AGENDA JIM HARTNETT EXECUTIVE DIRECTOR PENINSULA CORRIDOR JOINT POWERS BOARD Bacciocco Auditorium, 2Nd Floor 1250 San Carlos Avenue, San Carlos CA 94070

BOARD OF DIRECTORS 2015

ADRIENNE TISSIER, CHAIR PERRY WOODWARD, VICE CHAIR JOSÉ CISNEROS MALIA COHEN JEFF GEE ROSE GUILBAULT ASH KALRA TOM NOLAN KEN YEAGER

AGENDA JIM HARTNETT EXECUTIVE DIRECTOR PENINSULA CORRIDOR JOINT POWERS BOARD Bacciocco Auditorium, 2nd Floor 1250 San Carlos Avenue, San Carlos CA 94070

October 1, 2015 – Thursday 10:00 a.m.

1. Pledge of Allegiance 2. Call to Order/Roll Call 3. Public Comment Public comment by each individual speaker shall be limited to two minutes 4. Consent Calendar MOTION Members of the public or Board may request that an item under the Consent Calendar be considered separately a) Approval of Minutes of September 3, 2015 b) Acceptance of Statement of Revenues and Expenses for August 2015 5. Chairperson’s Report INFORMATIONAL 6. Report of the Citizens Advisory Committee INFORMATIONAL 7. Report of the Executive Director a) Caltrain Modernization Update INFORMATIONAL 8. Key Caltrain Performance Statistics August 2015 INFORMATIONAL 9. Authorize Execution of a Scoping and Design Services Agreement RESOLUTION in an Amount Not to Exceed $900,000 with Pacific Gas and Electric for the Peninsula Corridor Electrification Project 10. Authorize Adoption of the Fiscal Year 2015-2024 Caltrain Short RESOLUTION Range Transit Plan 11. Authorize the Submission of the Caltrain Regional Transportation RESOLUTION Plan Project List to the Metropolitan Transportation Commission 12. Authorize Amendment to Increase the Fiscal Year 2016 Caltrain RESOLUTION Capital Budget in the Amount of $1,095,944 Million for the Santa Clara Valley Transportation Authority Double Track Project 13. Authorize Increase to Executive Director’s Contract Authority in RESOLUTION the Aggregate Amount Not to Exceed $3,150,000 for On-Call Railroad Business and Operations Support Services Contracts

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

Page 1 of 3 Peninsula Corridor Joint Powers Board October 1, 2015 Agenda

14. Authorize Entering into a Cooperative Agreement with the City of RESOLUTION South San Francisco to Receive $5.9 Million for the South San Francisco Caltrain Station Project 15. Legislative Update INFORMATIONAL 16. Correspondence 17. Board Member Requests 18. Date/Time of Next Regular Meeting: Thursday, November 5, 2015, 10 a.m. at San Mateo County Transit District Administrative

Building, Bacciocco Auditorium, 2nd Floor, 1250 San Carlos Avenue, San Carlos, CA 94070 19. General Counsel Report a) Closed Session: Conference with Legal Counsel – Existing Litigation Pursuant to Government Code Section 54956.9(d)(1): PCAM, LLC v. San Mateo County Transit District, Peninsula Traffic Congestion Relief Alliance, and Peninsula Corridor Joint Powers Board, Case No. CIV533496 b) Closed Session: Conference with Legal Counsel – Existing Litigation Pursuant to Government Code Section 54956.9(d)(1): Town of Atherton, et al vs. Peninsula Corridor Joint Powers Board. Case No. CIV532457 20. Adjourn

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

Page 2 of 3 INFORMATION FOR THE PUBLIC

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

If you have questions on the agenda, please contact the JPB Secretary at 650.508.6242. Agendas are available on the Caltrain website at www.caltrain.com.

Location, Date and Time of Regular Meetings Regular meetings are held at the The San Mateo County Transit District Administrative Building located at 1250 San Carlos Avenue, San Carlos, one block west of the San Carlos Caltrain Station on El Camino Real, accessible by SamTrans bus Routes ECR, FLX, 260, 295 and 398. Additional transit information can be obtained by calling 1.800.660.4287 or 511.

The JPB meets regularly on the first Thursday of the month at 10 a.m. The JPB Citizens Advisory Committee meets regularly on the third Wednesday of the month at 5:40 p.m. at the same location. Date, time and place may change as necessary.

Public Comment If you wish to address the Board, please fill out a speaker’s card located on the agenda table and hand it to the JPB Secretary. If you have anything that you wish distributed to the Board and included for the official record, please hand it to the JPB Secretary, who will distribute the information to the Board members and staff.

Members of the public may address the Board on non-agendized items under the Public Comment item on the agenda. Public testimony by each individual speaker shall be limited to two minutes and items raised that require a response will be deferred for staff reply.

Accessibility for Individuals with Disabilities Upon request, the JPB will provide for written agenda materials in appropriate alternative formats, or disability-related modification or accommodation, including auxiliary aids or services, to enable individuals with disabilities to participate in public meetings. Please send a written request, including your name, mailing address, phone number and brief description of the requested materials and a preferred alternative format or auxiliary aid or service at least two days before the meeting. Requests should be mailed to the JPB Secretary at Peninsula Corridor Joint Powers Board, 1250 San Carlos Avenue, San Carlos, CA 94070-1306; or emailed to [email protected]; or by phone at 650.508.6242, or TDD 650.508.6448.

Availability of Public Records All public records relating to an open session item on this agenda, which are not exempt from disclosure pursuant to the California Public Records Act, that are distributed to a majority of the legislative body will be available for public inspection at 1250 San Carlos Avenue, San Carlos, CA 94070-1306, at the same time that the public records are distributed or made available to the legislative body.

Page 3 of 3 Peninsula Corridor Joint Powers Board (JPB) Board of Directors Meeting 1250 San Carlos Avenue, San Carlos CA 94070

MINUTES OF SEPTEMBER 3, 2015

MEMBERS PRESENT: J. Cisneros, M. Cohen, J. Gee, R. Guilbault, A. Kalra, T. Nolan, A. Tissier (Chair), P. Woodward, K. Yeager

STAFF PRESENT: J. Ackemann, J. Averill, J. Cassman, A. Chan, S. Cocke, D. Couch, G. Harrington, J. Hartnett, C. Harvey, R. Haskin, M. Lee, M. Martinez, N. McKenna, S. Murphy, S. Petty, M. Simon, S. van Hoften

Chair Adrienne Tissier called the meeting to order at 10:07 a.m. and led the Pledge of Allegiance.

Chair Tissier said the Execution of a Six-Party Regional Funding Supplement to the 2012 Nine-Party Memorandum of Understanding (MOU) for the Peninsula Corridor Electrification Project (PCEP) agenda item has been removed from the agenda and will be placed on the October agenda.

PUBLIC COMMENT Jeff Carter, Millbrae, said there was an incident on Highway 101 in Burlingame where high-voltage transmission lines fell across the freeway closing it for 20 hours. There were calls for Caltrain to run additional trains, but Caltrain was running additional trains for Giants game. He heard announcements that trains were running at capacity and some expressed from Hillsdale to San Francisco. He appreciates the efforts Caltrain put out for the people and this situation. Because of all the traffic at Broadway there were some people making U-turns on the tracks, and he hopes the transit police cited those people.

Perry Woodward arrived at 10:11 a.m.

Roland Lebrun, San Jose, said the California High-Speed Rail Authority (CHSRA) has run out of money for the Central Valley. All Proposition 1A funds have been blocked by the courts, including the $600 million for PCEP. He said the JPB is trying to use Federal Transit Administration funds for the PCEP, but they are earmarked for new trains. The agreement with the MOU that was pulled from the agenda states the funding gap is $125 million, but it is actually $725 million. Every party in the MOU is expected to commit a fixed amount except the CHRSA, which is only expected to commit up to $113 million. He suggested the Board ask the Metropolitan Transportation Commission (MTC) to set up an account and have the CHRSA deposit $113 million before discussing the MOU. The MOU does not include the $20 million from the Bay Area Air Quality Management District (BAAQMD), but if that was included, the $21 million from Regional Measure (RM) 1 and RM2 can be put back for Dumbarton Rail.

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Patty Smith, San Mateo, said she is a Redi-Wheels customer in San Mateo County and has trouble with San Francisco’s paratransit service. She appealed to the Board to consider having Redi-Wheels access UCSF Medical Center because it is a very important connection for disabled people and has a lot of specialists. She said Redi- Wheels goes to Pier 39 and Giants games in San Francisco, and UCSF is very important. Chair Tissier said she will pass the request to the San Mateo County Transit District Board and staff.

CONSENT CALENDAR a) Approval of Minutes of August 6, 2015 b) Acceptance of Statement of Revenues and Expenses for July 2015 c) Authorize Entering into a Funding Agreement with the Bay Area Air Quality Management District to Receive $20 Million in Grant Funds for the PCEP d) Authorize Entering into a Memorandum of Understanding with Santa Clara Valley Transportation Authority (VTA) for a Joint Disadvantaged Business Enterprise (DBE) Availability and Utilization Study with a JPB Funding Commitment Not to Exceed $270,000 e) Authorize Adoption of Amended and Restated Clipper Memorandum of Understanding f) Call for a Public Hearing on November 5 for Proposed Codified Tariff Changes

Public Comment Roland Lebrun, San Jose, said he wants the Board to approve entering into an MOU with VTA for a DBE study. He said consultants have awarded $43 million-worth of contracts, but only $175,000 went to DBEs. The goal is 12 percent, but the consultants have only achieved 0.4 percent. He said this is a scandal that needs to be addressed, not just with contracts, but how funds are distributed. He said the Board will be spending over $100 million on construction at 28th and 31st streets to make them safer. He asked how the streets could be made safer when there are no grade crossings there.

Motion/Second: Nolan/Woodward Ayes: Cisneros, Cohen, Gee, Guilbault, Nolan, Woodward, Yeager, Tissier Absent: Kalra

CHAIRPERSON’S REPORT None.

REPORT OF THE CITIZENS ADVISORY COMMITTEE (CAC) Chris Cobey, Chair, CAC, said at its August 19 meeting, the CAC:  Added fare equity, customer satisfaction survey results, and Wi-Fi to the work plan.  Received status updates on high-speed rail and American’s with Disabilities Act improvements to Caltrain stations.

REPORT OF THE EXECUTIVE DIRECTOR Recognition of San Mateo County Transit Police Deputies Lance Whitted and Erik Rueppel Jim Hartnett, Executive Director, said on August 3, sheriff’s deputies Lance Whitted and

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Erik Rueppel were on patrol in Sunnyvale when they saw a driver skid through an intersection, collide with the crossing arm mechanism and become trapped in the path of an oncoming train. The deputies worked quickly to warn the operator of the approaching train and pull the incapacitated driver from the vehicle. Mr. Hartnett presented the deputies with certificates of appreciation.

Deputy Rueppel said none of this is possible without a great team.

Deputy Whitted thanked the Board and everyone in the Transit Police Bureau who helps out and makes the job easy every day.

The offices of Congresswoman Jackie Speier, Assemblymember Kevin Mullin, Senator Jerry Hill, and Assemblymember Rich Gordon presented the deputies with certificates.

Recognition of G4S Secure Solutions (USA) Inc. Security Guard Dell Thompson Mr. Hartnett said Dell Thompson, Security Guard, works primarily at the Redwood City Caltrain Station and on August 5 Mr. Thompson calmly approached a woman on the tracks and coaxed her back to safety before the train entered the station. He very likely saved the woman’s life. Mr. Hartnett thanked Mr. Thompson for his extraordinary service and heroic action. He presented Mr. Thompson with a certificate of appreciation.

Mr. Thompson thanked G4S for giving him the proper training and thanked the Transit Police and Caltrain. He said he is honored to be part of the family.

Director Ash Kalra arrived at 10:30 a.m.

Proclamation Declaring September as Railroad Safety Month Jayme Ackemann, Communications Manager, said staff will spend September focusing on rail safety activities including outreach and education activities through Safe Routes to School as well as participating in a panel for National Suicide Prevention Week.

Motion/Second: Nolan/Kalra Ayes: Cisneros, Cohen, Gee, Guilbault, Kalra, Nolan, Woodward, Yeager, Tissier

The proclamation was presented to Jeneé Littrell, Director, Safe and Supportive Schools, San Mateo County Office of Education (SMCOE). She said she appreciates the work to make tracks and surrounding areas safer for everyone in the community.

Mr. Hartnett said:  Special Service: o San Francisco Giants had 12 regular home games in August, and year-to- date additional ridership is over 500,000 o Joel and Victoria Osteen presentation o Taylor Swift concert at Levi’s Stadium o San Francisco 49ers preseason game at Levi’s Stadium o Luke Brian and Florida Georgia Line concert at Levi’s Stadium o Ongoing special services for the Giants, 49ers and other concerts

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 Ongoing Construction Work: o Quint Street Bridge Replacement Project o San Mateo and San Francisco bridge projects o Los Gatos Bridge Replacement Project is ongoing o VTA Light-rail Efficiency Project at Mountain View  Last year staff updated the PCEP budget and identified a $451 million potential need. Efforts have been made to come with a funding plan to fill the need. The BAAQMD committed $20 million. The MTC committed up to $29 million, the CHSRA committed up to $113 million beyond its $600 million commitment, $9 million from Cap and Trade funds have been made available. A funding plan has been identified including a $220 million Core Capacity Grant application to the Federal government. Regional consensus and support have been obtained for the grant application.

KEY CALTRAIN PERFORMANCE STATISTICS – JULY 2015 Chuck Harvey, Deputy CEO, said:  Key Caltrain Performance Statistics July 2015 compared to July 2014 o Total Ridership was 1,729,241, an increase of 8.3 percent. o Average Weekday Ridership was 62,630, an increase of 6.9 percent. o Total Farebox Revenue was $7,564,426, an increase of 4.5 percent, the 60th consecutive month of increases. o On-time Performance was 83.9 percent, a decrease of 9.4 percent.  There were three pedestrian strikes, two of which were fatalities.  Staff is working on a potential schedule change.  Staff has started work in Palo Alto to clearing vegetation in preparation for fence installation.  Over the next fiscal year, three to four miles of fencing will be installed.

Public Comment Roland Lebrun, San Jose, said the staff report says nothing about increasing capacity. He said every train should be increased to six cars. This can be done with the Gallery trains if two trains are broken up and added to the other trains. He said on average there are three to four people in line for the bathroom on Gallery trains, and there should be a minimum of two bathrooms. He said changing the schedule will not help. More bullet trains are needed. The Board should ask the CAC to set up a working group to work on this and come up with a budget.

AUTHORIZE AN INTERIM FINANCING IN THE FORM OF A COMMERCIAL PAPER PROGRAM SECURED BY A DIRECT PAY LETTER OF CREDIT OR A REVOLVING LINE OF CREDIT IN AN AMOUNT NOT-TO-EXCEED $125 MILLION FOR THE PCEP Gigi Harrington, Deputy CEO, said staff looked at the projected cash flow for the expenses and revenues over the course of the PCEP and vehicle projects. Staff is waiting for the requests for proposals for electrification to further refine the cost estimates, but is currently using a staff projection. There are gaps beyond the JPB’s ability to carry financing with current funds. Staff is asking to start the process to secure a Letter of Credit or a commercial paper process. Staff would solicit proposals from financial institutions and work with the selected institution to put together a program. Staff is asking to start the solicitation and utilize an on-call contract for a financial advisor and use Orrick, Herrington and Sutcliffe, LLP as bond counsel. This transaction

Page 4 of 9 Joint Powers Board Meeting Minutes of September 3, 2015 will need to go to all three counties. The schedule anticipates this coming back to the Board in March for approval. She will provide an update later this fall on the progress.

Public Comment Roland Lebrun, San Jose, asked why staff is not looking at a Railroad Rehabilitation and Improvement Financing or Transportation Infrastructure Finance and Innovation Act loan. The JPB would get much better terms if it qualifies. He recommends striking the authorization for financing by revolving line of credit because it conflicts with the statement that staff expects to return to the Board to obtain approval. He said the JPB should reach out to the VTA Chief Financial Officer and staff to get guidance on the best way to secure funding. He said there should be an understanding that this line of credit will be used for electric multiple units, not for anything else, because the Caltrain needs trains.

Motion/Second: Nolan/Cisneros Ayes: Cisneros, Cohen, Gee, Guilbault, Kalra, Nolan, Woodward, Yeager, Tissier

AUTHORIZE DELEGATION OF AUTHORITY TO THE EXECUTIVE DIRECTOR TO EXECUTE COMPREHENSIVE AGREEMENTS WITH THE CITIES AND COUNTIES ALONG THE CALTRAIN CORRIDOR FOR IMPLEMENTATION OF THE PCEP Stacey Cocke, Principal Planner, said these are agreements with each of the 17 cities and three counties that span the project corridor. The purpose is to outline the roles and responsibilities between the JPB and each of the jurisdictions for design and construction for the implementation of the PCEP. The agreements propose to cover staff charges for design and permit costs. The cities have been lumped into three categories, low, medium, and high in terms of level of work. Estimates are between $20,000 and $40,000 per jurisdiction.

Motion/Second: Nolan/Gee Ayes: Cisneros, Cohen, Gee, Guilbault, Kalra, Nolan, Woodward, Yeager, Tissier

AUTHORIZE EXECUTION OF REAL ESTATE COOPERATIVE AGREEMENTS WITH THE SAN MATEO COUNTY TRANSIT DISTRICT AND VTA TO UNDERTAKE EMINENT DOMAIN PROCEEDINGS IN CONNECTION WITH THE PCEP Dave Couch, Project Delivery Director, said there are a series of properties the JPB has to acquire. Because the JPB does not have authorization to enter into eminent domain, it is entering into cooperative agreements to give the JPB the ability to have the eminent domain process in place.

Motion/Second: Nolan/Guilbault Ayes: Cisneros, Cohen, Gee, Guilbault, Kalra, Nolan, Woodward, Yeager, Tissier

UPDATE ON COMMUNICATIONS-BASED OVERLAY SIGNAL SYSTEM (CBOSS)/POSITIVE TRAIN CONTROL (PTC) PROJECT Ms. Harrington presented:  This is a turn-key contract with Parsons Transportation Group (PTG) that was executed in January 2012.

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 Meets all the requirements of the Rail Safety Act and has some additional enhancements to reduce headways and improve performance and management of the trains by the employee in charge.  The schedule calls for this to be in revenue service demonstration by December 31 and to accept the system next summer.  This is a $231 million project and is within budget. The contract with PTG is $139 million.  There are challenges with the software, interoperability, understanding the rules from the Federal Railroad Administration, and the need to put in long-term maintenance and support for the system.  Staff met with senior management from PTG and General Electric and made a number of agreements and mitigations to move forward and get back on schedule: o New dates for the software releases o Increased the productivity of the testing o Increased a number of technical resources o increased access to the railroad for testing o The safety plan may be completed sooner than originally scheduled  Next steps o Get the next release of the software o Finish wayside and subsystem testing o Cut over new mileposts o Make sure base station towers have coverage o Submit revenue service demonstration and safety plan o Complete Segment #1 and Segment #2 testing to be in initial revenue service by December 31

AUTHORIZE AMENDMENT TO THE CBOSS/PTC CONTRACT WITH PTG IN THE AMOUNT OF $10 MILLION Ms. Harrington said unforeseen conditions have occurred as the project has moved through construction. PTG had to do some work for other projects. The VTA track shift required them to revalidate the database. The San Mateo Bridges Project also required additional work. The amendment will be funded by a combination of funds in the CBOSS budget and other capital projects that have needed work by PTG. This will provide the contract authority needed to complete the project.

Public Comment Roland Lebrun, San Jose, asked who is responsible for the configuration management failures in the wayside field subsystem and if there is an opportunity to sue to recoup losses. He said this is not on budget because the Board is being asked to authorize increasing the contract by $23 million.

Motion/Second: Gee/Cisneros Ayes: Cisneros, Cohen, Gee, Guilbault, Kalra, Nolan, Woodward, Yeager, Tissier

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REGIONAL TRANSPORTATION PLAN (RTP) UPDATE AND CALL FOR PROJECTS (CFP) Sebastian Petty, Senior Planner, presented:  RTP: o Establishes regional mobility goals and guides MTC’s allocation of Federal, State and regional funds o Is part of a Sustainable Communities Strategy (SCS) to achieve greenhouse gas reduction targets o Has a 25-year planning horizon o Is updated every four years by MTC  Context o MTC is currently preparing “Plan Bay Area 2040” o Update to previous RTP/SCS “Plan Bay Area 2013” o Multi-county transit operators asked to provide input  Project Update and CFP o Most projects submitted by Congestion Management Agencies (CMA) in each county o Systemwide, multi-county projects submitted directly by transit agencies o State of good repair projects, minor enhancements, and ongoing operating needs are included in the RTP through a separate process  Caltrain Project List o Consistent with Short-Range Transit Plan’s draft Capital Improvement Plan o Many projects are bundled into categories o Operating and general capital improvement program included separately o Updates: . PCEP . Caltrain At-grade Crossing Improvements o Modifications: . Caltrain Terminal Improvements . Systemwide Access and Station Improvements o New: . Caltrain Modernization Phase 2 . New Control Points . San Mateo County Grade Separation Program  Next Steps o Continue coordination with partner CMAs o Refine details of candidate project submission o Adopt resolution authorizing submission of candidate projects – October

Director Tom Nolan asked if wayside restrooms are reflected in this RTP. Mr. Petty said they can be reflected in the broad envelope of station access and improvements.

Mr. Hartnett said these are estimates and plans that are not in the budget.

Public Comment Doug DeLong, Mountain View, said the figure of $3 million for wayside bike storage capacity is inadequate to the need and should be closer to $10 million. The JPB needs to multiply bike storage capacity. At Palo Alto and Mountain View stations, people can’t get around the platform because of bicycles locked to various things.

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Roland Lebrun, San Jose, said there is the opportunity to totally integrate Caltrain with the new Bay Area Rapid Transit station in the south, and it should be a top priority for funding. In the north, the capacity improvements at 4th and King don’t make sense because that station is going away. The JPB should start advocating for full funding of the downtown extension.

LEGISLATIVE UPDATE Seamus Murphy, Director, Government and Community Affairs, said there is a special session on transportation and two State bills would increase transit funding, one by doubling the Cap and Trade funding available for the Key Transit Programs and one by increasing funding for State Transit Assistance Program. Both bills made it out of the Senate Transportation Committee. Staff has been trying to foster support at the local level for the Legislature to move forward with including transit in this special session, which is mostly focused on highway maintenance and local streets and roads.

CAPITAL PROJECTS QUARTERLY STATUS REPORT – 4TH QUARTER FISCAL YEAR 2015 Ms. Harrington said this is the status report through June.

Public Comment Roland Lebrun, San Jose, said the PCEP budget for the real estate consultant was $650,000, but is now at $3.4 million, 500 percent over budget. The contract for the CBOSS project is $14 million over budget. The CBOSS project on Page 10 has all green lights. He said on Page 57, the DBE report shows $47 million was awarded by consultants to themselves or their peers and the actual amount awarded to DBEs was $179,500.

CORRESPONDENCE No discussion.

BOARD MEMBER REQUESTS None.

DATE/TIME/PLACE OF NEXT MEETING The next meeting will be Thursday, October 1, 2015, 10 a.m. at San Mateo County Transit District Administrative Building, Bacciocco Auditorium, 2nd Floor, 1250 San Carlos Avenue, San Carlos, CA 94070.

GENERAL COUNSEL REPORT Joan Cassman, Legal Counsel, said the Board will meet in closed session on two items of existing litigation.

Recessed at 11:16 a.m.

Reconvened at 11:33

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Closed Session: Conference with Legal Counsel – Existing Litigation Pursuant to Government Code Section 54956.9(d)(1): PCAM, LLC v. San Mateo County Transit District, Peninsula Traffic Congestion Relief Alliance, and Peninsula Corridor Joint Powers Board, Case No. CIV533496

Closed Session: Conference with Legal Counsel – Existing Litigation Pursuant to Government Code Section 54956.9(d)(1): Town of Atherton, et al vs. Peninsula Corridor Joint Powers Board. Case No. CIV532457

Ms. Cassman said the Board met in closed session and received an oral status report on each item and no action was taken.

Adjourned at 11:33 a.m.

Page 9 of 9 AGENDA ITEM # 4 (b) OCTOBER 1, 2015

PENINSULA CORRIDOR JOINT POWERS BOARD STAFF REPORT

TO: Joint Powers Board

THROUGH: Jim Hartnett Executive Director

FROM: Gigi Harrington Deputy CEO

SUBJECT: STATEMENT OF REVENUE AND EXPENSE FOR THE PERIOD ENDING AUGUST 31, 2015 AND SUPPLEMENTAL INFORMATION

ACTION Staff proposes the Board of Directors accept and enter into the record the Statement of Revenue and Expense for the month of August 2015 and supplemental information.

SIGNIFICANCE Revenue: For August of Fiscal Year 2016, Total Operating Revenue (line 7) is $594,059 or 3.7 percent better than budget. Within total operating revenue, Farebox Revenue (line 1) is $858,000 or 6 percent better than budget. Compared to the prior year, Total Operating Revenue (line 7) is $639,917 or 4 percent higher.

Expense: Grand Total Expenses (line 50) show a favorable variance of $2,847,941 or 12.2 percent. The Rail Operator Service (line 23) is 174,202 or 1.4 percent better than budget, and Total Operating Expense (line 36) is $2,495,244 or 12.6 percent better than budget. Total Administrative Expense (line 46) is $352,698 or 10.9 percent better than budget.

Compared to prior year, Grand Total Expenses (line 50) are $2,201,040 or 12.1 percent lower.

BUDGET IMPACT There are no budget revisions for the month of August 2015.

Prepared By: Jeannie Chen, Senior Accountant 650.508.6259 Sheila Tioyao, Manager, General Ledger 650.508.7752

Statement of Revenue and Expense Page 1 of 1 PENINSULA CORRIDOR JOINT POWERS BOARD STATEMENT OF REVENUE AND EXPENSE Fiscal Year 2016 August 2015

% OF YEAR ELAPSED 16.7% MONTH YEAR TO DATE ANNUAL CURRENT PRIOR CURRENT REVISED % REV APPROVED REVISED % REV ACTUAL ACTUAL ACTUAL BUDGET BUDGET BUDGET BUDGET BUDGET (AS PROJECTED) REVENUE OPERATIONS: 1 Farebox Revenue 7,692,247 14,451,304 15,256,673 14,398,673 106.0% 83,737,500 83,737,500 18.2% 1 2 Parking Revenue 349,567 746,854 745,052 739,433 100.8% 4,436,600 4,436,600 16.8% 2 3 Shuttles 85,991 273,409 226,144 424,783 53.2% 2,548,700 2,548,700 8.9% 3 4 Rental Income 124,019 291,722 275,813 296,933 92.9% 1,781,595 1,781,595 15.5% 4 5 Other Income 20,992 157,630 57,155 106,956 53.4% 641,736 641,736 8.9% 5 6 6 7 TOTAL OPERATING REVENUE 8,272,816 15,920,920 16,560,837 15,966,778 103.7% 93,146,131 93,146,131 17.8% 7 8 8 9 CONTRIBUTIONS: 9 10 AB434 Peninsula & TA Shuttle Funding 159,374 319,245 325,991 317,322 102.7% 1,903,930 1,903,930 17.1% 10 11 Operating Grants 931,936 1,108,904 931,936 939,314 99.2% 5,635,882 5,635,882 16.5% 11 12 JPB Member Agencies 1,167,809 3,315,127 8,049,367 8,049,367 100.0% 19,727,450 19,727,450 40.8% 12 13 Other Sources 0.0% 18,742,673 18,742,673 0.0% 13 14 14 15 TOTAL CONTRIBUTED REVENUE 2,259,120 4,743,275 9,307,294 9,306,002 100.0% 46,009,935 46,009,935 20.2% 15 16 16 17 GRAND TOTAL REVENUE 10,531,936 20,664,195 25,868,131 25,272,780 102.4% 139,156,066 139,156,066 18.6% 17 18 18 19 19 20 EXPENSE 20 21 21 22 OPERATING EXPENSE: 22 23 Rail Operator Service 6,590,619 11,790,355 12,620,506 12,794,708 98.6% 75,245,335 75,245,335 16.8% 23 24 Rail Operator Service-Other 100,000 - 200,000 250,000 80.0% 1,500,000 1,500,000 13.3% 24 25 Security Services 351,853 721,234 729,491 868,120 84.0% 5,208,717 5,208,717 14.0% 25 26 Rail Operator Extra work - - - 20,833 0.0% 125,000 125,000 0.0% 26 27 Contract Operating & Maintenance 7,042,471 12,511,589 13,549,997 13,933,661 97.2% 82,079,052 82,079,052 16.5% 27 28 Shuttles Services 294,960 713,836 688,451 911,333 75.5% 5,468,000 5,468,000 12.6% 28 29 Fuel and Lubricants 854,175 2,684,835 1,648,894 3,089,311 53.4% 18,541,863 18,541,863 8.9% 29 30 Timetables and Tickets 11,000 23,620 22,000 35,450 62.1% 212,700 212,700 10.3% 30 31 Insurance 263,762 (1,008,764) 737,629 948,125 77.8% 5,688,750 5,688,750 13.0% 31 32 Facilities and Equipment Maint 70,819 235,623 229,410 308,678 74.3% 1,852,069 1,852,069 12.4% 32 33 Utilities 129,985 274,999 293,765 379,318 77.4% 2,275,905 2,275,905 12.9% 33 34 Maint & Services-Bldg & Other 86,555 155,995 178,283 237,797 75.0% 1,426,783 1,426,783 12.5% 34 35 35 36 TOTAL OPERATING EXPENSE 8,753,728 15,591,734 17,348,429 19,843,673 87.4% 117,545,122 117,545,122 14.8% 36 37 37 38 ADMINISTRATIVE EXPENSE 38 39 Wages and Benefits 659,064 1,281,685 1,480,012 1,494,962 99.0% 7,565,180 7,565,180 19.6% 39 40 Managing Agency Admin OH Cost 407,362 763,196 874,598 960,126 91.1% 5,760,754 5,760,754 15.2% 40 41 Board of Directors 700 1,900 1,100 2,300 47.8% 13,800 13,800 8.0% 41 42 Professional Services 137,513 146,012 308,161 380,301 81.0% 4,597,104 4,597,104 6.7% 42 43 Communications and Marketing 2,642 13,326 4,288 23,300 18.4% 139,800 139,800 3.1% 43 44 Other Expenses and Services 132,592 263,066 215,488 375,355 57.4% 2,252,131 2,252,131 9.6% 44 45 45 46 TOTAL ADMINISTRATIVE EXPENSE 1,339,873 2,469,185 2,883,646 3,236,344 89.1% 20,328,769 20,328,769 14.2% 46 47 47 48 Long Term Debt Expense 106,848 183,813 213,696 213,696 100.0% 1,282,175 1,282,175 16.7% 48 49 49 50 GRAND TOTAL EXPENSE 10,200,449 18,244,731 20,445,771 23,293,712 87.8% 139,156,066 139,156,066 14.7% 50 51 51 52 NET SURPLUS / (DEFICIT) 331,487 2,419,464 5,422,360 1,979,068 274.0% (0) (0) 0.0% 52

"% OF YEAR ELAPSED" provides a general measure for evaluating overall progress against the annual budget. When comparing it to the amounts shown in the "% REV BUDGET" column, please note that individual line items reflect variations due to seasonal activities during the year.

9/23/15 10:57 AM BOARD OF DIRECTORS 2015

ADRIENNE TISSIER, CHAIR PERRY WOODWARD JOSÉ CISNEROS MALIA COHEN JEFF GEE ROSE GUILBAULT ASH KALRA TOM NOLAN KEN YEAGER

PENINSULA CORRIDOR JOINT POWERS BOARD JIM HARTNETT EXECUTIVE DIRECTOR

INVESTMENT PORTFOLIO

AS OF AUGUST 31, 2015

TYPE OF SECURITY MATURITY INTEREST PURCHASE MARKET DATE RATE PRICE RATE

------

Local Agency Investment Fund (Restricted)* Liquid Cash 0.330% $ 2,000,000 $ 2,000,000

Local Agency Investment Fund (Unrestricted)* Liquid Cash 0.330% 18,247,988 18,247,988

County Pool (Unrestricted) ** Liquid Cash 0.735% 10,813,142 10,813,142

Other (Unrestricted) Liquid Cash 0.000% 6,247,851 6,247,851

Other (Restricted) *** Liquid Cash 0.200% 28,116,197 28,116,197

------

$ 65,425,178 $ 65,425,178

Accrued Earnings for August 2015 $ 16,272.25 Cumulative Earnings FY2016 $ 31,003.48

(1) Earnings do not include prior period adjustments

* The market value of Local Agency Investment Fund (LAIF) was derived from the fair value factor of 1.000375979 as reported by LAIF for quarter ending June 30, 2015.

** As of August 2015 the amortized cost of the Total County Pool was $3,965,163,563.30 and the fair market value per San Mateo County Treasurer's Office was $3,972,303,938.28.

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

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

The Joint Powers Board has the ability to meet its expenditure requirements for the next six months. AGENDA ITEM # 8 OCTOBER 1, 2015

PENINSULA CORRIDOR JOINT POWERS BOARD STAFF REPORT

TO: Joint Powers Board

THROUGH: Jim Hartnett Executive Director

FROM: C.H. (Chuck) Harvey Deputy CEO

SUBJECT: KEY CALTRAIN PERFORMANCE STATISTICS AUGUST 2015

In August 2015, Caltrain’s average weekday ridership (AWR) was 62,849, which is an increase of 1,978 or 3.2 percent over the August 2014 AWR of 60,871. The total number of passengers who rode Caltrain in August 2015 was 1,679,299, which is 3.2 percent more than in August 2014. Fare box revenue increased 6.7 percent over August 2014.

On-time performance (OTP) for August 2015 was 87.9 percent, which is lower than the 93.3 percent OTP for August 2014. When trains arriving within 10 minutes of the scheduled arrival time are included, OTP rises to 96.8 percent. In fact, 73 percent of all delayed trains arrived at the final destination within 10 minutes of the scheduled time. The average length of delay for August was 13 minutes. As mentioned in previous months, many of the delays can be attributed to large groups, special event ridership, and the dramatic increase in ridership over the last few years. Overall in August 2015, there were 790 mechanical minutes of delay compared with 265 mechanical minutes of delay in August 2014. There were two days that operated with 100 percent of the trains on time and five additional days with 95 percent or better OTP.

Looking at customer service statistics, there were 8.6 complaints per 100,000 passengers in August 2015. This is lower than the both the 8.9 complaints in August 2014 and the 10.4 complaints from the previous month in July 2015.

Shuttle ridership for August 2015 is down 0.1 percent from August 2014. When comparing the same shuttle routes as last year and the Marguerite shuttles are removed, overall shuttle ridership decreased 5.1 percent over August 2014. For the station shuttles, the Millbrae-Broadway shuttle averaged 258 daily riders. The Belmont- Hillsdale shuttle averaged 62 daily riders. The weekend Tamien-San Jose shuttle averaged 80 riders per day.

Page 1 of 5 Caltrain Promotions – August 2015

Bike Buzz – Caltrain launched a social media campaign to provide tips to customers about bringing bikes on the train. The goal of the campaign is to educate customers, resulting in a more pleasant ride for all. Recent tips included:  Boarding with a bike? Check out our video on boarding and alighting at www.caltrain.com/bicycles. There’s also a video about alternatives to taking a bike onboard.  As a courtesy, allow bicyclists to sit in the bike portion of the train.

Each Wednesday, a new tip is posted to the Caltrain Facebook account (www.facebook.com/caltrain) and tweeted from the Marketing Department’s Twitter handle (@GoCaltrain). The tip also is posted on the agency’s website: www.caltrain.com/bikebuzz.

49ers – The professional football season kicked off and Caltrain was ready to receive the fans heading to Levi’s® Stadium. Train service was improved this season by replacing the two pre-game special local trains with express trains. The service was promoted through a special 49ers brochure, station messages, social media, news release and presence on the Caltrain, 49ers and Santa Clara Valley Transportation Authority (VTA) websites. Total additional ridership for the preseason game was 1,792.

Giants – The San Francisco Giants continued to battle for a top spot in their division as they played the Dog Days of summer. The smart fans didn’t need to battle the traffic because they chose to ride Caltrain to AT&T Park. The service is promoted through word of mouth, a dedicated web page, homepage web button, social media and a brochure that has pitcher Madison Bumgarner on it. Caltrain carried 87,516 additional customers for the 12 home games in August. Year-to-date ridership is up 4 percent compared to last season.

Levi’s® Stadium Concerts: Taylor Swift and Luke Bryan – Levi’s® Stadium hosted three concerts in August. Fans were treated to two nights of Taylor Swift and one of Luke Bryan and Florida Georgia Line. Caltrain service was promoted through social media, messages on station electronic signs, Caltrain’s website and news releases. A joint Caltrain/VTA Day Pass continued to be a popular way for people to get to the stadium. The rail line had ambassadors at the station before the concerts to assist customers with connecting to VTA light rail. Caltrain carried an additional 2,850 customers for the Taylor Swift concerts and 874 for Luke Bryan.

E Embarcadero – With the introduction of weekend E Embarcadero streetcar service across the street from the San Francisco Caltrain Station, customers have an easier time traveling along the Embarcadero to Fisherman’s Wharf. Caltrain assisted with promoting the service by posting take ones and hanging a banner at its northern depot.

A Night with Joel Osteen – AT&T Park hosted Pastor Joel Osteen and his wife Victoria for a night of praise, worship music and testimonials. Additional service was added after

Page 2 of 5 the event to accommodate the demand. The service was promoted through social media, web posting and news release. Caltrain carried an additional 4,699 customers.

Partnership - Caltrain Market Research and Development staff works with event organizers to co-promote events that will generate train ridership and also provide added value for current Caltrain customers. In August, promotions for Ringling Bros. and Barnum & Bailey Circus, which was held across the street to the San Jose Diridon Station, included information posted on Caltrain’s Track the Savings web page and in the Track the Fun brochure. As part of the partnership, the circus offered a 25 percent discount to Caltrain customers. The San Jose Summer Jazz Fest also partnered with Caltrain by providing onboard adcards promoting Caltrain on its website. Caltrain included information in Caltrain Connection, issued a news release and pushed social media messages.

Prepared By: Rita P. Haskin, Executive Officer, Customer Service and 650.508.6248 Marketing Catherine David, Senior Planner 650.508.6471

Page 3 of 5 Table A

AUGUST 2015 FY2015 FY2016 % Change Total Ridership 1,626,751 1,679,299 3.2% Average Weekday Ridership 60,871 62,849 3.2% Total Farebox Revenue $7,209,373 $7,692,247 6.7% On-time Performance 93.3% 87.9% -5.8% Average Caltrain Shuttle Ridership 9,061 9,052 -0.1%

Year to Date FY2015 FY2016 % Change Total Ridership 3,223,470 3,408,470 5.7% Average Weekday Ridership 59,735 62,740 5.0% Total Farebox Revenue $14,451,304 $15,256,673 5.6% On-time Performance 92.9% 85.9% -7.5% Average Caltrain Shuttle Ridership 9,060 8,844 -2.4%

Graph A

Page 4 of 5 Graph B

Graph C

Page 5 of 5 AGENDA ITEM # 9 OCTOBER 1, 2015

PENINSULA CORRIDOR JOINT POWERS BOARD STAFF REPORT

TO: Joint Powers Board

THROUGH: Jim Hartnett Executive Director

FROM: Marian Lee Chief Officer, Caltrain Planning/Modernization Program

SUBJECT: AUTHORIZE AWARD OF A SCOPING AND PRELIMINARY DESIGN SERVICES AGREEMENT WITH PACIFIC GAS AND ELECTRIC COMPANY (PG&E) FOR THE PENINSULA CORRIDOR ELECTRIFICATION PROJECT (PCEP)

ACTION Staff Coordinating Council recommends the Board award, and authorize the Executive Director to execute, a Scoping and Design Services Agreement (Agreement) with PG&E for the PCEP to proceed into the scoping and preliminary design phase of the required electricity delivery infrastructure to support the PCEP in a form approved by legal counsel.

SIGNIFICANCE The PCEP will require connection and support infrastructure from PG&E to implement the project. After initial technical studies performed by PG&E, a scoping and preliminary design effort will be required to determine the final scope of infrastructure construction and advance the design to prepare a construction document for construction of the project, which will be performed by PG&E under a separate agreement.

The purpose of the Agreement is to memorialize the parties’ consultation and cooperation, designate their respective rights and obligations, and ensure cooperation between the Peninsula Corridor Joint Powers Board (JPB) and PG&E in the next phase of work for the PCEP. The negotiated Agreement will be for an amount not to exceed $900,000. Agreement(s) associated with final design and subsequent construction will be brought back to the Board for approval.

BUDGET IMPACT The proposed cost of the Agreement services is included in the PCEP overall project cost estimate and is also included in the approved Fiscal Year 2016 Budget for the project

Page 1 of 2 11544019.1 BACKGROUND The PCEP is a key component of the Caltrain Modernization Program. The project will require connection and support infrastructure from PG&E for testing and revenue service.

Initial technical studies were performed by PG&E to determine preliminary connection and infrastructure requirements. In order to finalize a detailed scope of work for PG&E- related construction, a scoping and preliminary design effort is required to continue progress in support of the PCEP.

The Agreement will allow PG&E to provide the next phase of engineering for PG&E- related infrastructure by defining roles and responsibilities of JPB and PG&E as well as the proposed cost of the anticipated follow-on final design and construction work.

Prepared By: Zhenlin Guan, Project Manager 650.508.7976

Page 2 of 2 11544019.1 RESOLUTION NO. 2015 –

BOARD OF DIRECTORS, PENINSULA CORRIDOR JOINT POWERS BOARD STATE OF CALIFORNIA

* * *

AUTHORIZING AWARD OF A SCOPING AND DESIGN SERVICES AGREEMENT WITH PACIFIC GAS AND ELECTRIC COMPANY (PG&E) IN CONNECTION WITH THE PENINSULA CORRIDOR ELECTRIFICATION PROJECT (PCEP)

WHEREAS, on January 8, 2015, pursuant to Resolution No. 2015-03, the Peninsula

Corridor Joint Powers Board (JPB) certified a Final Environmental Impact Report (FEIR) for the PCEP and approved the PCEP; and

WHEREAS, the PCEP will require connection and support infrastructure from PG&E for the implementation of the project; and

WHEREAS, scoping and preliminary design of the necessary PG&E connections and support infrastructure is necessary at this time in order to prepare for the testing and operation of the PCEP; and

WHEREAS, a Scoping and Design Services Agreement (Agreement) with PG&E will memorialize the parties’ consultation and cooperation, designate their respective rights and obligations, and ensure cooperation between the JPB and PG&E for this phase of the PCEP; and

WHEREAS, agreements associated with the subsequent phases of Final Design and Construction, which also will be performed by PG&E, will be brought back to the

Board for approval; and

WHEREAS, the Staff Coordinating Council recommends and the Executive

Director concurs the Board award, and authorize the Executive Director to execute, the

Agreement with PG&E for an amount not-to-exceed $900,000 to complete this phase of the PCEP.

Page 1 of 2 11544082.1 NOW, THEREFORE, BE IT RESOLVED that the Board of Directors of the JPB awards, and authorizes the Executive Director to execute, a Scoping and Design Services

Agreement with PG&E in an amount not to exceed $900,000 and in a form approved by legal counsel.

Regularly passed and adopted this 1st day of October, 2015 by the following vote:

AYES:

NOES:

ABSENT:

Chair, Peninsula Corridor Joint Powers Board

ATTEST:

JPB Secretary

Page 2 of 2 11544082.1 AGENDA ITEM # 10 OCTOBER, 1 2015

PENINSULA CORRIDOR JOINT POWERS BOARD STAFF REPORT

TO: Joint Powers Board

THROUGH: Jim Hartnett Executive Director

FROM: Marian Lee Chief Officer, Caltrain Planning / Caltrain Modernization Program

SUBJECT: ADOPTION OF THE CALTRAIN SHORT RANGE TRANSIT PLAN (SRTP) FOR FISCAL YEARS (FY) 2015-2024

ACTION Staff Coordinating Council (SCC) recommends the Board adopt the FY2015-2024 Caltrain SRTP.

SIGNIFICANCE The Metropolitan Transportation Commission (MTC) requires San Francisco Bay Area transit operators to periodically prepare and submit SRTPs describing their systems and policies, and identifying 10-year operating and capital plans. In early 2014, Caltrain staff undertook the development of a “full” SRTP covering the next 10 years (FY2015-2024). The development of the Caltrain SRTP has been conducted in accordance with MTC’s published guidelines and also has been coordinated with the release of the Caltrain Strategic Plan (adopted September 2014) and with ongoing planning and environmental work related to the Caltrain Modernization Program.

Key elements of the Caltrain SRTP, including Caltrain’s operating plan and budget as well as Caltrain’s 10-year capital improvement plan, were presented to the Board in February and June of 2015. In August 2015, staff submitted a draft document to MTC and SCC for review and comment. On September 2, 2015, staff posted the draft document to the “Plans” section of the Caltrain website. The attached is a draft-final version of the FY2015-2024 Caltrain SRTP incorporating comments received on the draft document.

Following adoption of the FY2015-2024 Caltrain SRTP, staff will finalize the plan and submit to MTC. Per MTC’s requirements, staff anticipates returning to the Board with an updated version of the SRTP in 2016.

BUDGET IMPACT There is no impact on the budget.

Page 1 of 2 11543447.1 BACKGROUND Prior to 2010, MTC required Bay Area transit operators to prepare "full" SRTPs every four years and shorter, “mini” SRTPS annually. Caltrain last completed a “full” SRTP in 2008 and a “mini” SRTP in 2009. In 2010, MTC initiated the Transit Sustainability Project (TSP) and temporarily suspended the requirement that operators produce SRTPs.

In the fall of 2013, following completion of the TSP, MTC renewed its requirement that the largest seven transit agencies in the Bay Area (Alameda-Contra Costa Transit District; Bay Area Rapid Transit District; Caltrain; Golden Gate Bridge, Highway and Transportation District; San Francisco Municipal Transportation Agency; SamTrans; and Santa Clara Valley Transportation Authority) complete and submit SRTPs. The Caltrain SRTP serves as a midterm planning document that will be used by MTC to inform the development of the Regional Transportation Plan and Transportation Improvement Plan and will fulfill key regulatory requirements of the Federal Transit Administration. In addition to fulfilling a regional planning function, the SRTP describes Caltrain’s existing system and policies as well as its future operating and capital plans for the next 10 years.

Following adoption of the FY2015-2024 Caltrain SRTP, staff anticipates beginning work on the next SRTP update. Per MTC’s requirements this update will be completed in 2016.

Prepared By: Sebastian Petty, Senior Planner, Caltrain Modernization 650.622.7831 Program

Page 2 of 2 11543447.1 DRAFT FINAL

Short Range Transit Plan: FY2015-2024

October 1, 2015 DRAFT FINAL

Acknowledgements

Board of Directors 2015 Jose Cisneros Malia Cohen Jeff Gee Rose Guilbault Ash Kalra Tom Nolan, Chair Adrienne Tissier (Chair) Perry Woodward (Vice Chair) Ken Yeager

Executive Director Jim Hartnett

Executive Team April Chan – Executive Officer, Planning & Development Virginia Harrington – Deputy CEO Chuck Harvey – Deputy CEO Rita Haskin – Executive Officer, Customer Service & Marketing Marian Lee – Executive Officer, Caltrain Modernization Program Martha Martinez – Board Secretary Mark Simon – Executive Officer, Public Affairs Joan Cassman – Legal Counsel (Hanson Bridgett)

Technical Staff Catherine David – Senior Planner, Operations Planning Brian Fitzpatrick – Manager, Real Estate & Property Development Casey Fromson – Government Relations Officer, Government & Community Affairs Christiane Kwok – Manager, Market Research & Development Liria Larano –Director, Engineering & Construction Aandy Ly – Manager, Budgets Nancy McKenna – Assistant District Secretary Ladi Millard – Director, Budgets Sebastian Petty – Senior Planner, Caltrain Modernization Program Peter Skinner – Senior Grants Analyst Michael Stevenson – Associate Operations Contract Administration Danielle Stewart – Deputy Director, Contracts & Budgets

Consultant Support Nancy Mathison – Transportation Planner, Arup Tina Spencer – Managing Partner, NWC Partners

Titles reflect pre-fall 2015 organizational structure

Caltrain 1250 San Carlos Ave. San Carlos, California 94070 www.caltrain.com

ii OVERVIEW OF TRANSIT SYSTEM DRAFT FINAL

Table of Contents

Executive Summary 1

1 Overview of Transit System 5

2 Goals, Objectives and Standards 25

3 Service and System Evaluation 33

4 Operations Plan and Budget 41

5 Capital Improvement Program 51

6 Other Requirements 69

A Appendix A 75

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 iii DRAFT FINAL

Tables and Figures

Table 1.1: Caltrain Shuttle 10-Year Service Plan 13

Table 1.2: Caltrain Fleet Inventory 18

Table 1.3: Station Facilities 21

Table 2.1: Performance Standards and Goals 31

Table 2.2: Caltrain TSP Targets & Performance — 32 Rail only (2011 dollars)

Table 3.1: Five-Year Caltrain Performance Trends 34 (FY2009 to FY2014) 6 Other Requirements XX Table 3.2: 2013 Triennial Review Summary 40

Table 4.1: Caltrain 10-Year Service Plan 42

Table 4.2: Caltrain Shuttle 10-Year Service Plan 43

Table 4.3: Caltrain 10-Year Operations Financial Plan with Past Actuals (YOE$) 48

Table 5.1: Caltrain 10-Year Capital Improvement Program Summary (FY2015-FY2024) 52

Table 5.2: Caltrain 10-Year Capital Improvement Program (FY2015-FY2024) 56

Table 5.3: Funding Assumptions for Caltrain 10-Year Capital 64 Improvement Program (FY2015-FY2024)

Table 6.1: Peninsula Corridor Electrification Program Schedule 71

Table 6.2: Peninsula Corridor Electrification Program Cost 71

Table 6.3: Peninsula Corridor Electrification Program Estimate 72 to Complete

iv OVERVIEW OF TRANSIT SYSTEM DRAFT FINAL

Table 6.4: Peninsula Corridor Electrification Program Funding 72 by Source

Table A.1: Caltrain Fleet Configuration - Locomotives 76

Table A.2 Caltrain Fleet Configuration – Passenger Cars 77

Figure 1.1: Joint Powers Board Organization Chart 9

Figure 1.2: Caltrain System Map 12

Figure 1.3: Caltrain Fare Structure Effective August 1, 2014 . . .17

Figure 3.1: Average Weekday Ridership, FY2009-FY2014 35

Figure 3.2: End-to-End On-time Performance, FY2009-FY2014 35

Figure 3.3: Surveyed Overall Customer Satisfaction, 36 FY2009-FY2014

Figure 3.4: Farebox Recovery Ratio, FY2009-FY2014 36

Figure 3.5: Operating Cost Per Revenue Hour FY2009-FY2014 37 (in 2011dollars)

Figure 3.6: Operating Cost Per Passenger FY2009-FY2014 37 (in 2011dollars)

Figure 3.7: Operating Cost Per Passenger Mile 38 FY2009-FY2014 (in 2011dollars)

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 v DRAFT FINAL

vi OVERVIEW OF TRANSIT SYSTEM DRAFT FINAL

Executive Summary

The following document is a full update of the Caltrain 10-Year Short Range Transit Plan (SRTP) produced by the Peninsula Corridor Joint Powers Board (JPB), the entity that oversees Caltrain commuter rail service. The plan follows a set of guidelines prescribed by the Metropolitan Transportation Commission (MTC). Per MTC’s requirements, SRTPs have typically been produced as either “full” or “mini” SRTPs. Both the “mini” and “full” plans provide the JPB’s operating and capital investment plan across a 10-year horizon. The “full” plan is more extensive in that it also provides an overview of the transit system, goals and performance measures, information on service and system evaluation and other ancillary items. This document is a “full” SRTP.

The following introduction provides a summary of and enact the policy framework established in the the SRTP, discussing Caltrain’s major programs Strategic Plan. and challenges and highlighting the 10-year operating and capital investment plan. It is Caltrain Modernization important to note that this plan is the first SRTP that MTC has required Caltrain to produce since Both the SRTP and the Caltrain Strategic Plan 2009. The programs and plans described in this are structured around the Caltrain Modernization document have evolved substantially since the Program. Collectively, the Caltrain Modernization previous “mini” SRTP produced by Caltrain in Program (CalMod) encompasses both the delivery 2009. of a $1.7 billion package of infrastructure projects to the Caltrain system by 2020 (fiscal year 2021) Policy Context as well as ongoing planning for longer range improvements focused on expanding system This SRTP has been produced following an update capacity and preparing for the shared use of to the Caltrain Strategic Plan (adopted by the the Peninsula Corridor by both Caltrain and JPB Board in October 2014). The Strategic Plan High Speed Rail Service in a “Blended System.” is a comprehensive, high level document that The CalMod program and the blended system articulates a vision for Caltrain and elaborates are codified and funded through a 9-party policy around key service and investment decisions Memorandum of Understanding that was signed in the fiscal year 2015-2024 timeframe. The capital by the JPB, the California High Speed Rail and operating plans included in the SRTP reflect Authority, MTC and other regional entities in 2012.

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 1 DRAFT

This project is also included in the MTC Regional speed rail trains to bypass the Caltrain trains; Transit Expansion Program (Resolution 3434) that grade crossing upgrades, including potential grade was adopted in 2001 and amended in 2008. separations; a storage and maintenance facility and other system upgrades. Caltrain’s own capital By 2020, the Caltrain Modernization Program improvement program also contemplates a second will electrify and upgrade the performance, “phase” of improvements to the Caltrain system operating efficiency, capacity, safety and reliability including the full conversion of Caltrain’s fleet to of Caltrain’s commuter rail service through the EMUs, the extension of trains from 6 to 8 cars, and delivery of several key projects that form the modification of station platforms to accommodate “Early Investment Program” for the Caltrain / longer trains and support level boarding. Over the High Speed Rail blended system. These projects next ten years, Caltrain will work with the California include the electrification of the existing Caltrain High Speed Rail Authority and local and regional corridor between San Francisco and San Jose; the partners to plan for the blended system as well as installation of a Communications Based Overlay its own ongoing improvement and expansion. Signal System Positive Train Control (CBOSS PTC), which is an advanced signal system that includes federally-mandated safety improvements; and the Operational Challenges replacement of a majority of Caltrain’s diesel trains Today, Caltrain operates a total of 92 diesel with high-performance electric trains called Electric locomotive-hauled trains per day on the weekdays Multiple Units (EMUs). between San Francisco and San Jose with limited Together, the delivery of CBOSS PTC by 2015 and service further south to Gilroy. Over the 10-year the Peninsula Corridor Electrification Project by timeframe addressed in the SRTP, Caltrain will 2020 constitute an “early investment” in the future expand its service to 114 trains per weekday day shared operation of Caltrain and High Speed Rail using a mixed fleet of diesel locomotive-hauled on the corridor as a blended system. Prior to high rolling stock and new EMU trains. This shift poses speed rail’s anticipated arrival, additional system both a tremendous opportunity and challenge that upgrades including high-speed rail stations and underlies the agency’s operational planning across the rail extension from the Caltrain 4th and King the coming 10 years. station to the new Transbay Transit Center in Caltrain has experienced rapid ridership growth downtown San Francisco must also be planned, and many of its peak-hour trains currently operate funded and constructed. The blended system near, at or above their seated capacity. Meeting may also include passing tracks that allow high-

EXECUTIVE SUMMARY 2 DRAFT FINAL

growing customer demand while maintaining a developing strategies to balance the annual budget high standard of safe, reliable and comfortable through FY2024 and will comprehensively evaluate service is the preeminent operational challenge a variety of factors that influence the system’s faced by the agency over the horizon of the SRTP. operating deficit including: fare policy and pass It is anticipated that this challenge will be especially programs; incremental impacts of added service acute during the primary electrification construction on operating revenues and costs; potential for period (2016-2020) when Caltrain will need to securing dedicated operating funds through a maintain reliable revenue service in the midst of three-county ballot measure; and cost containment a corridor-wide construction project. Caltrain will strategies. also need to ensure its operational integrity by evolving its organization to operate and maintain an Capital Improvement Plan expanded, electrified system. Caltrain’s 10-Year CIP is a $3 billion program Operating Plan and Budget focused on maintaining the JPB’s assets in a state-of-good repair, enhancing the reliability of The 10-year Operating Plan indicates that Caltrain the system, and delivering electrified service from expects to operate a 92-train weekday schedule San Francisco to San Jose by 2020. The CIP with its current service pattern through FY2021 also reflects Caltrain’s ongoing planning for the with only minor schedule modifications. In FY2021, next generation of system improvements that are following the implementation of the Peninsula needed in the FY2015-2024 timeframe to expand Corridor Electrification Project, Caltrain will system capacity and continue preparations for the significantly modify its weekday service, adding 22 Caltrain / HSR blended system. additional trains per day and increasing frequencies during the commute periods and the midday hours. Revenue sources included in the CIP reflect Caltrain’s reasonable expectation of funding levels. The 10-year Financial Plan shows a deficit in Caltrain will, however, continue to work with its FY2017 through FY2024, with operating and funding partners to solidify the Caltrain 10-year maintenance costs exceeding revenues from fares, CIP funding plan and identify additional funding to partner contributions, and other sources. This implement the CIP in total. Among other options, occurs because Caltrain does not have a dedicated Caltrain will explore both traditional (e.g. grants) source of funding and has an on-going structural and innovative funding strategies including the deficit in its operating budget. Caltrain is currently possiblity of new public and private partnerships.

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4 OVERVIEW OF TRANSIT SYSTEM DRAFT FINAL 1 Overview of Transit System

1.1 Brief History

Railroad service along the San Francisco Peninsula has a long history and has existed, in some form, since 1863. The railroad line, one of the oldest in California, was first proposed in 1851 to connect the booming trade center of San Francisco and the first state capitol of California, San Jose.

Ground for the railroad was not broken until May the cost of operating the Peninsula commuter 186 when construction of the line began at San rail service increased and the number of riders Francisquito Creek, on the Santa Clara-San Mateo began to decline, the former Southern Pacific county line. By October 1863, regular service Railroad (SP) began to phase out its less began between San Francisco and Mayfield patronized trains and, by the mid-1970s sought to (now the California Avenue station in Palo Alto). discontinue passenger rail service. After extended The construction of the line to San Jose was negotiations, SP, the California Department of completed in January 1864, and two trains began Transportation (Caltrans), and the three counties operating daily between San Francisco and through which the Peninsula Commute Service San Jose. operated (San Francisco, San Mateo, and Santa Clara counties) reached an agreement to preserve Prior to Caltrain’s current ownership, passenger passenger rail service on the Peninsula. Beginning rail ridership on the Peninsula was at its peak in 1980, Caltrans Rail Management and Rail in the mid-1940s, when more than 9.54 million Operation branches administered a purchase- patrons rode the train annually. However, as of-service agreement with Southern Pacific

Caltrain Inaugural Train, 1980.

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under which SP operated the service, but state the commute service from Gilroy began. In the 22 and local government agencies subsidized and years that the JPB has owned Caltrain, ridership administered it. Besides contract administration, has increased nearly 150%. Caltrans’ responsibilities included planning, marketing, customer service, engineering In 2002, Caltrain weekend service was suspended and design, fare and schedule setting, and for two years to allow for construction of the CTX performance monitoring. The commuter service project. With new rolling stock and upgraded was renamed Caltrain. infrastructure, the Baby Bullet express service was initiated in June 2004 through support of In 1987, representatives of the City and County MTC with the project’s inclusion in the Regional of San Francisco, the San Mateo County Transit Transit Enhancement Program (Resolution 3434). District (“District”) and the Santa Clara County Following the start of express service, ridership Transit District (SCCTD), now the Santa Clara immediately began to increase. However, within a Valley Transportation Authority (VTA), began year Caltrain was facing financial difficulties and the effort to create the Peninsula Corridor Joint decided to overhaul the entire schedule and offer Powers Board (JPB) to transfer administrative more express service in order to attract additional responsibility for Caltrain from the state to riders, particularly those making longer trips. the local level. In July 1991, a Joint Powers The re-invention of Caltrain occurred in August Agreement, signed by the three parties, stipulated 2005 with a decrease of local trains in the peak the JPB membership and powers, specified and a doubling of express service to 22 Baby financial commitments for each member agency, Bullet trains a day. Since that point, Caltrain has delegated the San Mateo County Transit District experienced a sustained ridership increase and as the managing agency, and detailed other now realizes an average weekday ridership of administrative procedures. over 60,000.

The JPB purchased the 51.4-mile Caltrain right of The Caltrain system’s evolution continues today way from Southern Pacific in December 1991 for as the corridor modernizes and prepares for a cost of $212 million. In July 1992, San Mateo future blended operations with high speed rail. County Transit District personnel assumed the In 2009, following voter approval of $9 billion management and administration of the JPB, to plan and construct the state’s high-speed and the JPB assumed ownership of Caltrain, rail system, the Caltrain and the California High contracting with Amtrak as its operator. In 1992, Speed Rail Authority began working in partnership

6 OVERVIEW OF TRANSIT SYSTEM DRAFT FINAL

to advance specific improvements and identify BOARD OF DIRECTORS design alternatives supporting both high speed rail and modernized Caltrain service. Since The Peninsula Corridor Joint Powers Board that time, plans for high speed rail service on includes representatives from San Francisco, the Peninsula Corridor have evolved to reflect San Mateo, and Santa Clara counties. The JPB the concept of a “blended system” where consists of nine members, three from Caltrain and high speed rail trains primarily each county. share Caltrain’s existing tracks on a system that remains substantially within the existing Caltrain The San Francisco representatives include an corridor. In 2012, the Metropolitan Transportation appointee from the Mayor’s office, an appointee Commission, the California High Speed Rail from the San Francisco County Board of Authority, Caltrain and six other San Francisco Supervisors, and an appointee from the San Bay Area funding partners established an Francisco Municipal Transportation Agency. agreement to support the blended system and The three San Mateo County representatives to move forward with an early investment in the are all members of the San Mateo County Caltrain Modernization Program. It is this early Transit District’s Board of Directors, but three investment program that provides the funding for different appointing authorities designate a Caltrain’s efforts to deliver modernized, electrified representative from the Transit District’s Board, Caltrain service by 2020. as follows: The Transit District Board; the San Mateo County Board of Supervisors; and the Cities Selection Committee of the Council of 1.2 Governance Mayors of San Mateo County. The Santa Clara County representatives include a member of the The JPB is a joint powers authority created VTA Board of Directors appointed by the Board by agreement pursuant to Government Code representing the City of San Jose or the County Sections 6500 et seq. The three member of Santa Clara; a member of the VTA Board of agencies of this joint powers authority are the Directors appointed by that Board representing City and County of San Francisco, the San Mateo the County of Santa Clara or a city in Santa Clara County Transit District (“District”) and the Santa County other than the City of San Jose; and the Clara Valley Transportation Authority. County’s representative to the MTC, or if this person declines to serve, then the MTC appointee of the Cities Selection Committee, or if this

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person declines to serve, then a member served by Caltrain: San Francisco, San of the VTA Board of Directors, as appointed by Mateo and Santa Clara. One member from that Board. each county is a public agency staff member responsible for bike planning and/or policy JPB Directors do not have any terms as development, one is a member of a bicycle prescribed by the JPB; they serve at the advocacy organization, and one is a Caltrain discretion of their appointing authority. The bike passenger from the general public. The current members of the JPB board include: BAC serves as the primary venue for the interests and perspectives of bicyclists to be • Jose Cisneros, appointed by the Mayor of integrated into the Caltrain planning processes. San Francisco This group advises staff, bringing new ideas for discussion and helping Caltrain guide its future • Malia Cohen, appointed by the San Francisco investments. County Board of Supervisors • The Central Equipment Maintenance and • Jeff Gee, appointed by Cities Selection Operations Facility Monitoring Committee is Committee an advisory committee established by the San Jose City Council in cooperation with Caltrain. • Rose Guilbault, appointed by the San Mateo The primary responsibility of the committee County Transit District members is to provide ongoing communication with the community regarding the operation of • Ash Kalra, appointed by VTA the maintenance facility.

• Tom Nolan, appointed by the Municipal Transportation Agency 1.3 The Organization

• Adrienne Tissier, (Chair), appointed by the San The joint powers agreement creating the Joint Mateo County Board of Supervisors Powers Board (JPB) designates the Samtrans District as the Managing Agency of the JPB. The • Perry Woodward, (Vice Chair), appointed JPB has no direct employees. Instead, employees by VTA of the Managing Agency (Samtrans District) serve as staff to the JPB. Under this contractual • Ken Yeager, appointed by VTA arrangement, the CEO/GM of the District serves the JPB as its Executive Director. The Executive ADVISORY COMMITTEES Director is supported by Chief Officers who oversee individual departments within the agency. There are three standing advisory committees that See Figure 1.1. offer the JPB and Caltrain management input on a regular basis. These are as follows: STAFFING

• The Citizens Advisory Committee (CAC) is SamTrans District staff provides administrative composed of nine volunteer members who management for the Caltrain system, with serve in an advisory capacity to the tri-county district departments providing staff support in policy board, provide input on the needs of engineering, finance, capital project development, current and potential rail customers, and project monitoring, planning, marketing, customer review and comment on staff proposals and service, public and media relations, fare and actions as requested by the board. schedule setting, performance monitoring, personnel recruitment, budget and grant • The Bicycle Advisory Committee (BAC) is administration, and public outreach. a partnership composed of nine volunteer members and Caltrain staff. There are three The Rail Transportation Department is responsible representatives from each of the three counties for the day-to-day operation of Caltrain and

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Figure 1.1: Joint Powers Board Organization Chart

Peninsula Corridor Joint Powers Board

General Counsel

Deputy CEO Senior Advisor/Strategic Initiatives Executive Director Organizational Support/Special Jim Hartnett Projects

Senior Executive Assistant

Chief Financial Chief Operating Chief Operating Chief Officer/ Treasurer Officer/Bus Officer/Rail Communications Officer

- Controller - Bus Ops. - Caltrain Operations - Government/ - Budgets - PT/Shuttle/CUB - Contract Mngmnt. Community Affairs - Accounting/Ledger Contract Admin. - Vehicle/Facility Maint. - External - Payroll - Vehicle Maintenance Oversight Communications - Treasury - Facility Maintenance - Stations/Parking - Internal - Grant/Capital Accntg. - Stores/Inventory Management Communications - Project Controls Management - Operations Planning - Media Relations - Debt Issuance/Mngmt. - Fare Collection Systems - Engineering –Rail - Marketing - Finance/Financial Maintenance - SOGR Rail Program - Customer Service Capacity Modeling - ITS Systems Maint. Oversight - Market Research - Revenue Collection - Operations Planning - Construction (all non- - Distribution - Contracts and - Operations Training CalMod projects) - Sales Procurement - Accessible Services - PTC System - Fare Setting

Chief Officer/ Chief Officer, Executive Officer, Deputy CEO/Chief Caltrain Planning, Planning, Grants/ Board Secretary/ Administrative CalMod Transportation Executive Officer Authority Administration

- PCEP Project Delivery - TA Program - Board Support *Human Resources/ EEO/ - EMU Project Delivery Administration - Board Committee/CAC DBE - HSR Coordination/ - Strategic Planning Support *System Safety Officers Blended Service - General Planning - Public Records Act Planning - Grants Research and Requests - Information Technology - CalMod Future Phase Development - Custodian and - Transit Police Development - Transit Oriented Maintenance of Official - Security - Caltrain Planning Development Board Records - Risk Management - Grand Boulevard - Financial Disclosures - Insurance Initiative - Conflicts of Interest - Claims - Sustainability - Triennial Audits for - Real Estate FTA and MTC - Special Projects

Asterisk (*) denotes direct Revised organizational structure as of fall 2015 access to the CEO

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provides direct oversight of the contract operator, 1.4 Description of Services and Transit America Services Inc (TASI). TASI began Service Area Caltrain operations on May 26, 2012. The base portion of the contract expires on June RAIL SERVICE 30, 2017, with 5 one-year options thereafter. TASI employees include both union and non- Caltrain provides inter- and intra-county union staff. 11 labor unions represent workers commuter rail service along the San Francisco associated with maintenance and operations of Peninsula Corridor, including San Francisco, the rail service. San Mateo, and Santa Clara counties. The JPB operates Caltrain 365 days a year with reduced Although 11 labor unions represent workers schedules on major U.S. holidays. The current associated with maintenance and operations of weekday Caltrain operating schedule is comprised the rail service, these unions hold agreements of a mix of 92 express (Baby Bullet), limited, and with TASI, Caltrain’s contractor. The JPB does local trains. Scheduled headways, or the time not hold direct labor agreements with any between arrivals of vehicles moving in the same railroad workers. In July of 2015, however, direction at a station, vary by time of day, station, the JPB executed a project labor agreement and service type. Overall, service is most frequent (PLA) specifically for the Peninsula Corridor during the peak commute periods and is provided Electrification Project. The PLA was reached every hour in both directions during midday with the Building Trades Councils of the city and periods. Weekday Northbound service begins county of San Francisco, San Mateo County, and at 4:30 AM and ends at 12:01 AM. Weekday Santa Clara/ San Benito counties to govern the Southbound service begins at 4:55 AM and building and construction work to be performed ends at 1:32 AM. Caltrain operates 36 trains on under the design build contract for the PCEP. Saturday and 32 on Sunday, with service primarily The Board also adopted a Memorandum of composed of hourly local trains supplemented Understanding with the International Brotherhood by two Baby Bullet trains in each direction per of Electrical Workers (IBEW) Union, Local 1245, to day. Saturday Northbound service begins at 7:00 govern the overhead electrification systems work AM and ends at 12:06 AM, while Southbound to be performed under the design-build contract service begins at 8:15 AM and ends at 1:37 AM. for the PCEP. The agreement expires upon Sunday’s service span is more constrained, with the JPB’s filing of a Notice of Completion for Northbound service beginning at 8:00AM and the PCEP. ending at 10:36 PM and Southbound service running from 8:15 AM to 10:51 AM.

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Caltrain serves 32 stations along the 77.2-mile Francisco and San Jose are approximately 90 route between San Francisco and Gilroy, as minutes. Caltrain operates 28 local trains per illustrated in the system map presented in weekday. Figure 1.2. On weekdays and weekends, the majority of trains operate between San Given Caltrain’s blend of services, the individual Francisco and San Jose. On weekdays, three level of train service experienced by particular trains per weekday start in Gilroy during the stations along the route is variable, especially morning commute period, and three terminate in during weekday peak periods. During the AM and Gilroy during the evening commute period. On PM peak periods, all stations receiving express weekends, trains operate exclusively between San service are served by at least one bullet train per Jose and San Francisco. an hour with headways ranging between 15 to 30 minutes. Some higher frequency “bullet stations,” Twenty-three stations are served full-time. and terminals including San Francisco, Palo Alto, Weekend-only service is provided to Broadway and San Jose Diridon, are served by at least two and Atherton stations while the College Park bullet trains per hour. “Non-bullet” stations are station is served by only four trains each weekday. served by Limited and Local trains at headways The five stations on the Gilroy extension in ranging between 30 minutes to 60 minutes during southern Santa Clara County are served by six peak periods. During off-peak periods (early weekday trains per weekday during peak hours morning, midday, and after 7:00 PM), headways at only. A shuttle bus connects the Tamien station all stations are generally about 60 minutes. to the San Jose station on weekends. Stanford Stadium station is served approximately eight Caltrain provides supplemental service to large days per year when the Stanford football team special events in the form of extra trains. Extra plays home games. trains are provided for Independence Day, New Year’s Eve, and the Bay to Breakers race. Caltrain currently operates three variants of Selected regular weekend local trains make commuter rail service: stops at the Stanford station before and after Stanford home football games. Extra trains also • Express service (Baby Bullet service) provides are provided for certain events at the stadium a 60-minute trip between San Francisco and near the San Francisco Caltrain Station based San Jose, with stops at six to eight stations, on demand. The majority of this extra service is including terminal stations. Caltrain operates to Giants home baseball games. Before Giants 22 Baby Bullet trains on weekdays (11 per home games on weekdays, one extra scheduled direction) and 4 on weekend days (2 per train is provided outside of peak hours with direction). additional extra trains provided as needed. After Giants games, Caltrain typically provides two • Limited service includes trains operating a extra trainswith additional extra trains provided skip-stop or limited local service, stopping at as needed. Service to special events and Giants approximately half of the stations between games is periodically adjusted to meet passenger San Francisco and San Jose. Some limited demand and operational conditions. trains operate in an iterative skip stop pattern while others provide local service within a Over the course of the year, approximately 500 geographic segment of the corridor while special trains are operated in addition to the operating as express trains in other areas. Run more than 26,000 regularly scheduled trains. In times for limited service are longer than that 2014 Caltrain began providing extra service in of Baby Bullets trains, averaging roughly 70 and out of the Mountain View Caltrain Station to 80 minutes. Caltrain operates a total of 42 before and after major events at Levi’s Stadium in limited service trains on weekdays and none Santa Clara. Events being held in 2015 at the San on weekends. Jose Earthquakes stadium in Santa Clara will be monitored with possible additional service added • Local service trains stop at all stations and depending on the demand. operate outside the weekday peak period only. Travel times for local trains between San

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Figure 1.2: Caltrain System Map

CALTRAIN SYSTEM MAP

San Francisco

Pacic AT&T Ocean Park 22nd St. ZONE Bayshore 1

San Bruno

San Bruno South San Francisco

Millbrae Transit SFO San Francisco Center International Airport Broadway Weekend Only Burlingame San Mateo San Francisco Bay Hayward Park ZONE Hillsdale 2 Belmont San Carlos

Redwood City

Atherton Weekend Only Menlo Park Palo Alto Stanford Football Only California Ave. ZONE 3 San Antonio

Mountain View

Sunnyvale 902

Lawrence Levi’s ® Stadium

SJC San Jose Santa Clara International ZONE 10 Airport College Park 4 SAP Center San Jose Diridon

Tamien

Capitol ZONE 5 Blossom Hill

Morgan Hill N Distance between Blossom Hill and San Martin ZONE Gilroy not to scale Gilroy 6

Visit www.caltrain.com/stations for detailed station information and location.

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Table 1.1: Caltrain Shuttle 10-Year Service Plan

NUMBER OF ROUTES/ AVERAGE WEEKDAY TOTAL OPERATING FISCAL YEAR ANNUAL RIDERSHIP VEHICLES RIDERSHIP COST

2011 32/35 1,472,355 5,630 $2,883,594 2012 32/42 1,874,085 7,167 $2,969,715 2013 28/30 884,698 3,383 $3,141,384 2014 31/30 930,000 3,556 $3,219,919 2015 30/29 818,100 3,128 $3,165,527 2016 28/28 816,181 3,121 $3,063,937 2017 28/28 824,343 3,152 $3,140,535 2018 28/28 832,586 3,184 $3,219,049 2019 28/28 840,912 3,216 $3,299,525 2020 28/28 849,321 3,248 $3,382,013 2021 28/28 857,814 3,280 $3,466,563 2022 28/28 866,393 3,313 $3,553,227 2023 28/28 875,057 3,346 $3,642,058 2024 28/28 883,807 3,380 $3,733,109

CALTRAIN SHUTTLE SERVICES Caltrain shuttles are generally scheduled to meet particular trains and carry employees directly to Shuttles are an important element of the Caltrain nearby office or industrial employment centers. transit network as they provide the “last mile” Shuttle service is adjusted periodically to account connection between Caltrain stations and major for changes in demand, job location, and train activity centers. Shuttles connecting to Caltrain service patterns. Vehicles are replaced by the include a broad range of transportation services shuttle operator and are not part of the Caltrain that are both publically and privately provided vehicle replacement program. by transit agencies, community organizations, employers, and academic and cultural Caltrain-sponsored shuttles carried an average organizations. of 3,556 riders per weekday in FY2014. Caltrain shuttle ridership on most routes has grown Shuttle vehicles range from mini-vans to full-sized rapidly over the last several years. The large drop motor coaches. Most public shuttles operate fixed in ridership shown between FY2012 and 2013 routes between Caltrain stations and employment reflects the removal of several popular routes from sites. Some shuttles charge a nominal fare of “Caltrain Sponsorship” and associated reporting under $5.00; others are free. requirements.

Caltrain sponsors and is directly involved Caltrain-sponsored shuttle operations are largely in the administration of 30 shuttles serving constrained by grant funding availability and 18 of its stations. The operations of Caltrain the 10-Year Shuttle Service Plan in Table 1.1 sponsored shuttles are funded though several shown does not assume any increases in number sources. Typically, a sponsor, such as a major of routes or vehicles. Instead, the number of company, underwrites at least 25% of the cost Caltrain-Sponsored shuttle routes is slated to of the service, with the Bay Area Air Quality decrease in FY2015 and again in 2016 as specific Management District (BAAQMD) providing year- shuttle routes are cancelled or are moved to to-year discretionary fund financing of 25 to 40 contracts outside of Caltrain’s administration and and Caltrain subsidizing the balance of costs. sponsorship.

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Following these anticipated changes in FY2015 have increased steadily since that time. In 2011, and FY2016, shuttle ridership is anticipated to Caltrain trains were modified to be equipped grow steadily through to FY2024. It is assumed with two bicycles cars, increasing overall bicycle that any issues with shuttle capacity will be carrying capacity by 30%. Each Caltrain train addressed by operating routes with larger can now accommodate between 48 and 80 vehicles. This SRTP assumes that private bicycles at a time depending on equipment type. sponsorship and BAAQMD funds will continue In the future, Caltrain will add a third bike car to to be available at a rate comparable to today. all of its Bombardier-manufactured train sets, If these funding sources decline Caltrain will increasing their capacity from 48 to 72 bikes. need to seek alternative funding or reduce Caltrain does not charge fees to bring bicycles shuttle service. on-board. Average daily bicycle boardings have increased rapidly and in 2014, a total of 5,874 OTHER SHUTTLE SERVICES bicycles boarded daily (an increase of nearly 20% compared to the previous year). The popularity Recently, there has been substantial growth of of Caltrain’s Bikes on Board program creates shuttle operations in the San Francisco Bay Area, capacity challenges when all the available slots on especially private employer-provided regional a bike car are filled and new cyclists are unable shuttles that offer direct service to employment to board. When trains reach capacity, riders with sites either from residential neighborhood bikes are asked by conductors to wait for the next stops, or from major transit hubs, including train. Caltrain stations. Major employers offering such services include a number of technology industry Cyclists who ride Caltrain can also choose to companies based throughout the San Francisco store their bicycles at Caltrain stations rather Bay Area. than bring them on board. Caltrain and its local jurisdiction partners provide a variety of racks, BICYCLES lockers and shared access bicycle parking facilities at various stations, the majority of which Caltrain has a progressive bicycle access policy, are owned and administered directly by Caltrain.. providing more onboard bicycle storage capacity At some stations, however, facilities may be than any other commuter railroad in North owned and operated by a local jurisdiction or America. Caltrain’s “Bikes on Board” program other transit property. The two Caltrain stations began in 1992 and its scope and popularity without any dedicated bicycle parking are College

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Park and San Martin. The San Francisco Attended Authority (VTA), Altamont Corridor Express (ACE), Bike Parking Facility and the Palo Alto Bikestation and Amtrak’s Capitol Corridor and Coast Starlight. are examples of large, shared-use secure bike Caltrain connects with the Muni N-Judah and parking facilities. Individual keyed and assigned T-Third light rail lines at the San Francisco terminal bike lockers are managed by Caltrain and are at Fourth and King. Both lines operate on the available at many stations for a fee of $33 surface along the Embarcadero, then travel under for six-month reservations, plus a nominal key Market Street in the upper level of the Muni/BART deposit charge. subway, providing connections to the remaining Muni light rail lines as well as to the BART system. The N-Judah continues into San Francisco’s DEMAND-RESPONSIVE SERVICE western neighborhoods, while the T-Third serves the east and southeast waterfront of San Caltrain does not provide any demand-response Francisco. services and paratransit service is not a direct responsibility of the agency. Paratransit services Caltrain connects directly with BART’s Millbrae in the Caltrain service area are provided by the station. This connection provides service to the local transit agencies in each county — SFMTA, San Francisco International Airport as well as to SamTrans and VTA. The services for each county other locations throughout the BART system. are as follows: Caltrain connects directly to the VTA light rail system at three locations: Mountain View station • San Francisco County: The San Francisco (Mountain View-Winchester line), the San Jose Municipal Railway (SFMTA) contracts with a Diridon station (Mountain View-Winchester line) paratransit broker to manage their paratransit and Tamien station (Alum Rock-Santa Teresa line). service. The paratransit broker contracts Caltrain also connects with regional and interstate with van and taxi companies to provide rail systems. ACE provides peak-hour commuter transportation. rail service from San Joaquin and Alameda counties to employment centers in the Santa • San Mateo County: SamTrans contracts with Clara Valley. Connections to Caltrain can be made Redi-Wheels to provide paratransit service to at the Santa Clara and San Jose Diridon stations. Americans with Disabilities Act (ADA) eligible Amtrak’s Capitol Corridor service connects with patrons in San Mateo County. The service is Caltrain at the San Jose Diridon station. The provided 365 days per year along the Caltrain Capitol Corridor provides intercity rail service service corridor. between San Jose, Oakland, Sacramento and Auburn. Amtrak’s long distance Coast Starlight • Santa Clara County: VTA provides paratransit train (Los Angeles – Seattle) also stops at the service under contract with Outreach, a Diridon station. private, non-profit paratransit broker. Service is provided in most of the urban areas in Santa In addition to these rail connections, Caltrain Clara County and is operated seven days connects with local bus service provided by Muni, per week. SamTrans, VTA, AC Transit, San Benito County Express, Monterey Salinas Transit and Dumbarton Further details regarding the paratransit services Express (a consortium of AC Transit, BART, provided by these agencies can be found in their SamTrans, Union City Transit and VTA). Primary respective short range transit plans. connecting stations include:

CONNECTING SERVICES • San Francisco: A number of MUNI bus routes connect to the 4th and King, 22nd Street, Caltrain has direct rail connections with each and Bayshore Caltrain Stations. An Amtrak of the major transit operators along its route, Thruway connecting bus service also serves including the San Francisco Municipal Railway the 4th and King Caltrain Station. (Muni), San Francisco Bay Area Rapid Transit (BART), Santa Clara Valley Transportation

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• Hillsdale, Belmont, San Carlos, Redwood Caltrain offers one-way tickets, day passes, 8-ride City, Menlo Park, Palo Alto, Mountain View, tickets, monthly passes, zone upgrade tickets, Sunnyvale, Santa Clara and Gilroy: Each has and the Go Pass. Monthly passes and 8-ride five or more connecting bus transit lines. tickets, however, are only available on Clipper. Rates for seniors, persons with disabilities, • San Jose Diridon: Five VTA bus lines, a light Medicare cardholders and youth are 50% of the rail stop and free DASH shuttle, plus Monterey standard rate for all ticket types except the Go Salinas Transit to Monterey, Highway 17 Pass. Express bus service to Santa Cruz and Amtrak Thruway bus service to Santa Barbara. Private The Go Pass is an annual pass sticker purchased operators MegaBus, Bolt Bus and Greyhound by employers for all full time employees at a work also serve the San Jose Diridon station. location. Participants pay an annual fee for every eligible user regardless of whether an individual employee chooses to take advantage of the Go 1.5 Fare Structure Pass benefit. The total cost of participating in Similar to many other commuter rail systems the Go Pass program is the greater of $180 per around the nation, the Caltrain fare structure is eligible employee/resident or $15,120 per year. In distance-based. There is a base fare (currently 2014, 71 businesses participated in the Go Pass $2.75 for adults using Clipper or $3.25 for those program. paying cash at a ticket vending machine) and a fee (currently $2.00 for adults) for each additional INTER-OPERATOR FARE STRUCTURES AND zone traveled. Figure 1.3 shows Caltrain’s six- AGREEMENTS zone fare structure, in which trips of greater The concept behind Caltrain’s inter-operator distances have higher fares. The last Caltrain fare fare structures and agreements is to encourage increase took effect in July of 2014, when various ridership and transit connectivity through adjustments to Caltrain’s pass programs were discounted fares for trips requiring transfers made and 25 cents was added to the base fare for between operators or modes. The arrangements paper-media tickets (clipper-based fares remained are as follows: the same). It was the eighth time Caltrain adjusted its fares since 2005. • The Santa Clara Valley Transportation Authority allows customers presenting a two-zone or Caltrain operates a barrier-free proof-of-payment greater Caltrain Monthly Pass to receive a local (POP) fare system, whereby riders must board fare credit on its bus and light rail services. trains with a valid fare and show proof of their ticket when requested to do so during random • SamTrans allows customers presenting a spot checks onboard the trains. Passengers have two-zone or greater Caltrain Monthly Pass to two options for purchasing tickets: receive a local fare credit on its fixed-route buses. • Paper tickets for day-of-travel can be purchased at ticket vending machines (TVM) • The Dumbarton Express allows customers located at stations and on platforms, and presenting a two-zone or greater Caltrain include one-way tickets and day passes. Monthly Pass to receive a transfer credit of a local fare on its buses if boarding within 2 • The Clipper card, a regional reloadable fare hours of first tagging on Caltrain. payment card, can be used to pay for day of travel with e-cash (cash value pre-loaded onto Customers who load a Caltrain Monthly Pass on the card) or can store multi-ride and monthly their Clipper card also can purchase a special tickets. Clipper cards are also accepted on discounted - $5 off - Muni pass that allows other Bay Area transit systems. Caltrain passholders unlimited rides on Muni vehicles, except cable cars and special routes. This special pass is not valid on BART,

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Figure 1.3: Caltrain Fare Structure Effective August 1, 2014

FARE VIA TICKET TRAVEL FARE VIA ZONE STATIONS TICKET MACHINE EFFECTIVE WITHIN ANY CLIPPER® CARD 10/5/14 Full Fare: One-way $2.75 $3.25 San Francisco Day Pass --- $6.50 8-ride $20.25 --- 22nd Street Monthly Pass $73.00 --- Bayshore One 1 Eligible Discount: So. San Francisco Zone One-way $1.25 $1.50 San Bruno Day Pass --- $3.25 8-ride $10.00 --- Monthly Pass $36.50 ---

Millbrae Full Fare: Broadway One-way $4.75 $5.25 Burlingame Day Pass --- $10.50 8-ride $35.25 --- San Mateo Monthly Pass $126.00 --- Hayward Park Two 2 Eligible Discount: Hillsdale Zones One-way $2.25 $2.50 Belmont Day Pass --- $5.25 San Carlos 8-ride $17.50 --- Redwood City Monthly Pass $63.00 --- Full Fare: Atherton One-way $6.75 $7.25 Menlo Park Day Pass --- $14.50 Palo Alto 8-ride $50.00 --- Stanford Three Monthly Pass $179.00 --- 3 California Ave Zones Eligible Discount: San Antonio One-way $3.25 $3.50 Mountain View Day Pass --- $14.50 Sunnyvale 8-ride $25.00 --- Monthly Pass $89.50 --- Full Fare: One-way $8.75 $9.25 Day Pass --- $18.50 Lawerence 8-ride $64.75 --- Santa Clara Monthly Pass $232.00 --- College Park Four 4 Eligible Discount: Zones San Jose Diridon One-way $4.25 $4.50 Tamie Day Pass --- $9.25 8-ride $25.00 --- Monthly Pass $89.50 ---

Full Fare: One-way $10.75 $11.25 Day Pass --- $22.50 8-ride $79.50 --- Capitol Five Monthly Pass $285.00 --- 5 Blossom Hill Zones Eligible Discount: One-way $5.25 $5.50 Day Pass --- $11.25 8-ride $39.75 --- Monthly Pass $142.50 --- Full Fare: One-way $12.75 $13.25 Day Pass --- $26.50 8-ride $94.25 --- Morgan Hill Monthly Pass $338.00 --- San Martin Six 6 Eligible Discount: Gilroy Zones One-way $6.25 $6.50 Day Pass --- $13.25 8-ride $47.00 --- Monthly Pass $169.00 ---

Zone upgrade Adult $2.00; Eligible Discount $1.00 (available only at TVM)

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Table 1.2: Caltrain Fleet Inventory

NUMBER OF YEAR OF SERIES QUANTITY MAKE RETIRE DATE SEATS MANUFACTURE

Locamotives

F40 PH-2 5 na 1985 GM - EMD 2015 F40PH-2-CAT 15 na 1985-1987 GM - EMD 2015-2017 F40 PH-2C 3 na 1998 Boise Locomotive 2028 MP36PH-3C 6 na 2003 Motive Power 2033 Passenger Cars

Gallery Trailer 26 142 1985-1987 Nippon Sharyo 2015-2017 Gallery Trailer 16 148 1985-1987 Nippon Sharyo 2015-2017 Gallery Trailer 14 120 1999-2000 Nippon Sharyo 2030 Gallery Cab (Bike) 10 108 1985-1987 Nippon Sharyo 2015-2017 Gallery Cab (Bike) 6 78 1999-2000 Nippon Sharyo 2030 Gallery Cab (Bike) 21 97 1985 Nippon Sharyo 2015 Bi-Level Trailer* 16 149 1997 Bombardier 2027 Bi-Level Trailer 9 144 2002 Bombardier 2032 Bi-level Trailer (Bike) 2 114 2002 Bombardier 2032 Bi-level Trailer (Bike) 5 114 2001-2002 Bombardier 2031-2032 Bi-level Trailer (Bike) 2 114 2008 Bombardier 2038 Bi-level Trailer (Bike) 1 127 2002 Bombardier 2032 Bi-Level Trailer 6 140 2008 Bombardier 2038 *Trailers recently acquired from Metrolink with refurbishment ongoing.

1.6 Revenue Fleet vehicle and crew turns, Bombardier cars are used for many non-Baby Bullet trains. A summary The current Caltrain revenue fleet includes 29 of the revenue fleet is presented in Table 1.2. A diesel locomotives. At any given time, 20 of these detailed inventory of the revenue fleet is presented are in active service, 1 is slated for maintenance, 2 in Appendix A. are Protect locomotives and 6 are held as spares. Caltrain’s fleet also includes 133 passenger cars Twenty-six Caltrain stations are fully ADA that are, or will be, in service over the coming accessible and all train sets accommodate at year. least two wheelchairs at a time. Caltrain’s Gallery train sets have onboard wheelchair lifts and Cars and locomotives operate in a bi-directional each Gallery consist has at least one wheelchair “push-pull” mode. Northbound trains are pushed accessible car that can accommodate three by the locomotive in the rear and controlled from wheelchairs. Caltrain’s Bombardier train sets have the “cab” passenger car at the front. Southbound up to five wheelchair accessible cars and use trains are pulled by and controlled from the the accessible ramp (“Mini-highs”) or a mobile locomotive at the front. Within the passenger car platform wheelchair lift. Accessible stations also fleet, there are two sub-fleets, bi-level Gallery cars have a hand powered, mobile wheelchair lift that and the newer design, low-floor Bombardier-made provides back-up to onboard train powered lifts. cars that were acquired for the initial startup of Mini-high platforms have been installed at stations Baby Bullet express service. Most Baby Bullet to facilitate boarding and alighting for disabled trains operate with Bombardiers. In order to make patrons on and off of Bombardier train consists.

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The hand powered, mobile wheelchair lifts provide employees based at the Centralized Equipment, access to Bombardier consists at stations not Maintenance and Operations Facility (CEMOF) in equipped with mini-high platforms. San Jose.

MAINTENANCE AND FUELING 1.7 Work Locomotives and Non Revenue Rolling Stock Maintenance and inspection of the current fleet is done at the Centralized Equipment Maintenance Caltrain’s fleet of non-revenue work locomotives Facility (CEMOF), located at the site of an old consists of two EMD MP15DC Locomotives rail yard at Lenzen Avenue in San Jose. CEMOF built in 1974. The Caltrain non-revenue rolling began operations in 2007. Most maintenance is stock is located in several different areas along performed by contractor (Transit Service America the Caltrain right of way. Generally, cars are in Inc) employees. Daily inspections are also serviceable condition but are necessarily free of performed at the North Terminal (the railyard at defects. Caltrain’s fleet of non-revenue rolling the Caltrain 4th & King Station in San Francisco) stock includes the following: and at the Gilroy station. Overnight storage is available at North Terminal, CEMOF, Diridon, • 16 – Flat Cars Tamien, and Gilroy.

• 3 – Side Dump Cars CEMOF occupies a 20-acre site and includes a • 21 – Ballast Hoppers three-story maintenance shop, Central Control Facility, train washer, storage tracks, inspection • 1 – Gondola pits and fuel storage. The maintenance shop has a wheel-turning machine, drop table and • 2 – Cabooses overhead crane. The train washer water is treated and recycled. Two 800-foot long service and • 1 – Track Geometry Car inspection pits allow daily inspection and routine service of trains. Approximately 150 maintenance and operation contract employees (Transit 1.8 Description of Existing Faclilities ServiceAmerica Inc) are based at the facility. With interior modifications, CEMOF will be able to ADMINISTRATIVE accommodate the future electrified Caltrain fleet.

Almost all District staff supporting the JPB VEHICLE STORAGE perform executive, human resources, information technology, safety, security, customer service, The majority of vehicles are stored at the multi- marketing, public information, communications, track San Francisco north terminus platforms at contract, procurement, pass sales, real estate, 4th and King, and in the yard and platforms at finance, engineering, project planning, and the CEMOF. Three train sets (consists) are stored operations planning activities for the JPB and overnight and on weekends at a small yard at the do so from the administrative headquarters Gilroy station. In addition, one or two trains are (Central Office) of the San Mateo County Transit sometimes staged at the San Jose Diridon station. District located in San Carlos. This office building, Based on Caltrain’s experience and analysis, the constructed in 1979, is owned by the District and overnight storage capacity provided is adequate houses approximately 670 full-time and part- for the current and future fleet, anticipated within time employees, some of whom are dedicated to the horizon of this SRTP. Caltrain only.

Several District employees perform part of their work for Caltrain from District bus storage and maintenance bases. There are four District

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STATION FACILITIES scheduled commuter trains between San Jose and Gilroy (five in each direction per day). Caltrain Caltrain has 32 stations. Most stations and station commuter trains are given priority and dispatched buildings are owned by Caltrain. Two exceptions by UP on a mutually agreed to upon schedule. are the Millbrae Intermodal Station (which is owned by BART) and the Palo Alto station The railroad crosses 43 roads at-grade between (which is owned by Stanford University). Caltrain San Francisco and the San Jose Diridon station. manages and collects fees at parking facilities There are 28 at-grade road crossings between the owned by Caltrain. Caltrain-provided parking is San Jose Diridon station and Gilroy station. available at all stations except San Francisco, 22nd Street, and stations south of the Tamien Within the Caltrain right-of-way, there are Station. approximately 108 track miles of rail used in revenue service, 93.5 miles of which are main track Millbrae, Burlingame, San Carlos, Menlo Park, 1 (northbound) and main track 2 (southbound). Palo Alto, Santa Clara and San Jose Diridon are About 98% of all rail is continuously welded. stations listed on the National Register of Historic Almost 89% is Rail Weight 136 RE and more than Places. Caltrain does not maintain any park-and- 65% has been laid since 1991. ride service aside from its on-site station parking.

TRACK AND RIGHTS OF WAY

Caltrain operates on a total of 77.2 miles of track from San Francisco to Gilroy. Caltrain owns 51.7 miles of this track, from the San Francisco station (milepost 0.2) to Control Point Lick (milepost 52.0), south of the Tamien station. The JPB has the perpetual right of access to and from and use of the Gilroy Joint Facilities. The agreement between Union Pacific, which owns track from Tamien to Gilroy, and the JPB presently allows Caltrain to run not more than a total of ten

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Table 1.3: Overview of the Amenities for each Station Location

BIKE BIKE OTHER BIKE TICKET/CLIPPER STATION ADDRESS PARKING RACK LOCKER PARKING VENDING SPACES SPACES AMENITIES MACHINES Free Attended Bike 700 4th St., 8 ticket machines; San Francisco - 22 180 Parking Facility, Bike 2 Clipper add- San Francisco sharing available value machines 1149 22nd St., Street parking 22nd Street 27 N/A 2 ticket machines San Francisco only

400 Tunnel Ave., Bayshore 38 spaces 18 8 3 ticket machines San Francisco

South 590 Dubuque Ave., South San 81 spaces 18 20 2 ticket machines San Francisco Francisco 833 San Mateo San Bruno 201 spaces 7 40 4 ticket machines Ave., San Bruno also available: 16 Millbrae Transit 100 California 175 spaces 28 28 BART-run on-demand 6 ticket machines Center Drive, Millbrae electric lockers 1190 California Broadway Drive, Burlingame 119 spaces 18 12 2 ticket machines

290 California 68 spaces; city Burlingame 13 18 3 ticket machines Drive, Burlingame pay parking

385 First Ave., San Mateo 42 spaces 11 12 4 ticket machines San Mateo 401 Concar Hayward Park Drive, San 213 spaces 18 4 4 ticket machines Mateo 3333 El Camino Hillsdale 518 spaces 18 12 4 ticket machines Real, San Mateo

995 El Camino Belmont 375 spaces 18 24 2 ticket machines Real, Belmont

599 El Camino San Carlos 212 spaces 36 48 4 ticket machines Real, San Carlos

1 James Ave., 557 spaces Bike sharing Redwood City 18 50 4 ticket machines Redwood City among 3 lots available 1 Dinkelspiel Atherton Station Lane, 96 spaces - 26 Bombardier 2 ticket machines Atherton 1120 Merrill St., 50 in bike Menlo Park 155 spaces 8 storage 4 ticket machines Menlo Park shed

95 University Shared access bike Palo Alto 389 spaces 178 94 storage shed; Bike 8 ticket machines Ave., Palo Alto sharing available 101 California California Ave 185 spaces 33 42 3 ticket machines Ave., Palo Alto

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Table 1.3 (continued): Overview of the Amenities for each Station Location

BIKE BIKE OTHER BIKE TICKET/CLIPPER STATION ADDRESS PARKING RACK LOCKER PARKING VENDING SPACES SPACES AMENITIES MACHINES 190 Showers 199 spaces, shared Bike sharing San Antonio Drive, Mountain 18 4 ticket machines with housing develop- 180 available View ment across the street 600 W. Evelyn City provided shared ac- Mountain View Ave., Mountain 340 spaces 23 N/A cess bike storage shed, 4 ticket machines View Bike sharing available 121 W. Evelyn Sunnyvale 439 spaces 18 On-demand electronic 4 ticket machines Ave., Sunnyvale 8 lockers also available

137 San Zeno 122 spaces 18 4 ticket machines Lawrenceo Way, Sunnyvale 20

1001 Railroad Additional bike lockers Santa Clara 289 spaces 18 2 ticket machines Ave., Santa Clara 40 across the street at VTA Transit Center 780 Stockton No parking College Park No bicycle parking or storage 1 ticket machine Ave., San Jose available facilities

581 spaces; neigh- 5 ticket machines; 1 65 Cahill St., boring arena and Bike sharing Clipper add-value ma- San Jose Diridon San Jose businesses also make 16 48 available chine; Clipper cards also parking available to can be loaded using a Caltrain customers. VTA ticket machine. 1355 Lick Ave., 10 On-demand elec- Tamien 275 spaces 18 18 2 ticket machines San Jose tronic lockers available at VTA Transit Center 3400 Monterey Capitol 379 spaces 12 24 1 ticket machine Hwy., San Jose

5560 Monterey Blossom Hill 425 spaces 10 10 1 ticket machine Hwy., San Jose

17300 Depot St., Morgan Hill 486 spaces 12 30 1 ticket machine Morgan Hill

13400 Monterey San Martin 167 spaces No bicycle parking or storage 1 ticket machine Hwy., San Martin facilities 7150 Monterey Gilroy 471 spaces 2 ticket machines St., Gilroys 13 30

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BICYCLE FACILITIES bicycles. Facilities currently include 700 bicycles at 70 kiosk stations along the Peninsula corridor. The Bicycle racks and lockers are available at all majority of bicycles are located in San Francisco, Caltrain stations, except College Park and San with smaller numbers in Redwood City, Palo Alto, Martin. Availability at individual stations is shown Mountain View, and San Jose. Bay Area Bike on the Station Facility Table 1.3. Most lockers Share stations are located at or in immediate are owned and operated by Caltrain and operate proximity to the following Caltrain stations: mechanically (using individually assigned keys). Newer, electronic lockers are available to Caltrain • San Francisco (4th & King) patrons at a minority stations. • Redwood City In addition to racks and lockers, shared bicycle parking facilities are provided by the San • Palo Alto Francisco Bike Parking Facility, the Palo Alto Bikestation, and the City of Mountain View. The • California Ave San Francisco facility is operated under contract by Alameda Bikes and opened in June 2007. The • San Antonio facility was constructed using a combination of federal, state, and local funds and is owned by • Mountain View Caltrain. It provides free attended bike parking for up to 130 bikes, relieving overcrowding of bikes • San Jose (Diridon) onboard trains and a full service retail bike shop. The Palo Alto facility provides unattended, secure shared parking and is operated by the Bikestation not-for-profit network. Located in the old baggage room within the station, Bikestation provides 24-hour secure indoor bike parking for 96 bikes. It requires membership for access. The Mountain View shared bike parking facility provides unattended secure space for 52 bikes and is operated and administered by the City of Mountain View using a key-code system.

The JPB has participated in the Bay Area Regional bike-sharing program as both a funding partner and as a bike-station host at various locations throughout the Caltrain system. Bay Area Bike Share is a self-service system that provides members with easy access to a network of

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Goals, Objectives and 2 Standards

2.1 Description and Process

Caltrain’s vision and guiding principles are articulated within the 2014 Caltrain Strategic Plan. Caltrain’s strategic planning effort spanned a yearlong period from 2013 to 2014 and included extensive public outreach through dedicated public meetings along the corridor as well as repeated presentations to advisory and governing bodies which include the JPB, the Caltrain Citizen’s Advisory Committee, Caltrain’s Bicycle Advisory Committee and local policy makers and interest groups. Caltrain also received and responded to numerous written comments during the development of the plan. The plan was adopted by the JPB in September of 2014 and supersedes Caltrain’s previous, 2004 Strategic Plan.

2.2 The Caltrain Vision and VISION Focus Areas Provide a safe, reliable, sustainable modern rail The 2004 Caltrain Strategic Plan identified five system that meets the growing mobility needs of focus areas for Caltrain: service, infrastructure, the San Francisco Bay Area region. regional connectivity, partnerships with stakeholders, and financial sustainability. The FOCUS AREAS 2014 Caltrain Strategic Plan identifies two The Caltrain Strategic Plan identifies seven focus additional focus areas for Caltrain: safety and areas where Caltrain will make critical policy social responsibility. Safety is Caltrain’s top and business choices over the coming decade. priority and financial sustainability has been Caltrain’s overarching vision is supported by identified as a higher priority. focus areas, goals and objectives with each level

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of policy providing a greater degree of specificity B. Promote a safety culture and awareness within and intent. and beyond the organization.

Focus Area 1: Safety 1. Create an agency vision for safety, promote Ensure the safety and security of customers, it through the Board and integrate it employees and the public throughout the organization.

Ensuring the safety of every person who uses or 2. Ensure personal commitments to interacts with the Caltrain system is the agency’s safety from Board members, employees top priority. To fulfill this focus area, Caltrain must to contractors. pursue a coordinated set of safety practices and improvements which include coordinating with 3. Partner with local jurisdictions to protect the regulatory bodies, promoting a safety culture integrity of Caltrain’s safety program. inside and outside of the organization, and making targeted investments to improve the safety of 4. Continue and expand public safety Caltrain’s physical systems. The safety of the outreach and raise awareness of Caltrain system also includes guaranteeing the safety considerations. personal security of Caltrain’s customers and employees through the deployment of security 5. Foster public awareness of safety issues / personnel and the design of facilities. Planning regulations related to an electrified system. for and implementing a safe system is especially critical as Caltrain embarks on major changes to C. Invest in and maintain a safe system. its infrastructure that include the installation of a new train control and signal system and system Integrate safety assessment and certification into electrification by 2019. capital project planning and design.

Goals & Objectives 1. Implement Positive Train Control (PTC) as mandated by the FRA. A. Comply with safety and security regulations and best practices. 2. Make targeted infrastructure investments and conduct routine preventative 1. Update and implement Caltrain’s Safety and maintenance to improve public safety. Security Program Plans. 3. Actively partner with communities to plan 2. Coordinate safety through a consolidated and advance grade separations. cross-departmental group responsible for implementation of and compliance with D. Safeguard the security of Caltrain customers, safety initiatives. employees, and the public.

3. Maintain effective relations and interface 1. Expand security on trains, stations, and with safety and security regulatory agencies facilities. (FRA, FTA, CPUC, NTSB, TSA and Department of Homeland Security). 2. Integrate crime prevention through environmental design principles into 4. Support regulatory safety requirements system design. of the new advanced signal system and electrified system. Focus Area 2: Service Grow and manage customer demand with 5. Maintain close collaboration with local expanded and enhanced service. emergency response and law enforcement agencies and ensure continuity of rail safety Caltrain attracts and retains customers by training and emergency preparedness. delivering a consistently high standard of service.

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In the near-term, Caltrain must address peak- 1. Meet Caltrain’s on-time performance hour crowding, operate a punctual and reliable standard. service, and maintain a comfortable and clean environment on its trains. Looking forward, the 2. Strive for user-friendly / intuitive schedules. electrification of the system and procurement of new vehicles for service beginning in 2019 will 3. Provide real-time and user-friendly provide a tremendous opportunity for Caltrain to system information. update its services. Key challenges will include balancing rapidly growing ridership with customer 4. Respond to service delays desires for expanded onboard amenities and with prompt communications and new service patterns — all while ensuring a contingency operations. reliable and convenient travel experience. Finally, Caltrain must look beyond electrification and D. Provide a comfortable and convenient travel begin planning for customer needs and service experience. improvements that will come in the next decade. 1. Maintain Caltrain’s cleanliness and comfort. Goals & Objectives 2. Explore technological amenities (i.e. Wi-Fi, A. Meet current and future customer enhanced information, payment systems, mobility needs. open source data application).

1. Design service to maximize passenger E. Invest in staff dedicated to public service. throughput. 1. Attract and retain quality staff. 2. Develop short-term strategies to increase peak-hour capacity. 2. Provide resources and tools to encourage excellence and innovation. 3. Manage peak-hour demand and utilize off-peak capacity. 3. Invest in professional development.

4. Provide expanded and modernized Focus Area 3: Infrastructure and Rolling Stock electrified service. Maximize utilization of system infrastructure and rolling stock. B. Be competitive with auto travel and support different travel markets. In order to deliver the services its customers need, Caltrain must plan for, build and maintain 1. Maximize train capacity while addressing a complex system of rolling stock, equipment, on-board accommodation of bicycles, structures and facilities. Maintaining all of luggage and passenger facilities. these assets in a state of good repair is one of the agency’s foremost responsibilities and is 2. Link service levels to ridership, intermodal fundamental to Caltrain’s ongoing success. The connections and land use. Agency must invest its resources to protect and expand the capacity and reliability of the system 3. Balance demand for increased stops with while continuing to deliver capital upgrades. overall end-to-end trip times. In addition to its own projects, Caltrain must also support the region and local communities 4. Seek opportunities to increase demand/ as it works with the California High Speed Rail expand services during off-peak times and Authority to plan for a Caltrain / High Speed Rail at low ridership stations. blended system.

C. Operate a dependable and punctual service.

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Goals and Objectives D. Support a blended Caltrain/High Speed Rail system in the Peninsula Corridor. A. Maintain a state of good repair. 1. Ensure Peninsula corridor improvements 1. Adhere to industry and government accommodate High Speed Rail’s use of the guidelines for state of good repair and corridor. asset management. 2. Support CHSRA and the region in defining 2. Develop and implement a life-cycle based and implementing the blended system. preventative maintenance strategy. 3. Address local community interests and 3. Ensure timely implementation of the state of concerns in the design and construction of good repair program with sufficient funding the blended system. and resources. Focus Area 4: Finance 4. Evolve organizational resources to Establish financial stability, minimize operating maintain Caltrain’s future electrified subsidy and fund system improvements. system infrastructure. To consistently deliver excellent services and B. Invest in system reliability. projects, Caltrain needs financial stability. To achieve this, Caltrain strives to control its own 1. Incorporate flexibility and reliability into costs and operate as efficiently as possible. the design of capital investments and The agency can also bolster its finances by fleet management. maximizing the revenues it generates through operations and by exploring new sources of 2. Make targeted investments to safeguard income. Ultimately, however, Caltrain is the reliability during construction. only transit system in the Bay Area without a permanent, dedicated source of funding. To 3. Develop transitional and long-term achieve financial stability for both its operating strategies to reduce station dwell time and and capital needs, Caltrain must develop new, achieve level boarding. reliable sources of external funding.

C. Expand capacity through timely investments. Goals and Objectives

1. Make short-term investments in rolling stock A. Efficiently deliver services and projects. to address peak hour congestion. 1. Monitor and meet MTC’s Transit 2. Implement the advanced signal system Sustainability Program cost (CBOSS PTC) and peninsula corridor efficiency targets. electrification project. 2. Monitor and set Caltrain performance 3. Implement capital projects while maintaining targets to drive increased efficiencies and revenue service. guide investment decisions.

4. Define post-electrification core system 3. Continue annual cost containment capacity improvements. strategies.

5. Preserve the corridor for current and future B. Maximize revenues. rail uses. 1. Develop strategies to increase returns from existing revenue streams (e.g. fares, parking, concessions, advertising and leases).

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2. Generate revenue through transit-oriented 2. Prioritize partnerships and efforts related development. to key intermodal stations including the Transbay Transit Center, Millbrae and San 3. Explore new revenue streams. Jose Diridon.

C. Stabilize and expand external funding sources. 3. Improve physical, electronic and web-based intermodal wayfinding and 1. Obtain dedicated funding source for transfer information. operations and maintenance. 4. Participate in and influence regional 2. Maintain current funding streams while initiatives related to the integration of fares seeking new sources. and payment, information systems and marketing. 3. Stabilize partnership contributions. B. Improve multimodal station access. 4. Support 3rd party funding strategies that align with Caltrain goals. 1. Develop a station access plan based on the Caltrain Access Policy Statement. 5. Develop funding strategy for long-term system improvements. 2. Complement the Bikes on Board program by implementing the Caltrain Bicycle Access Focus Area 5: Transportation and Land Use and Parking Plan. Serve as a critical element of the region’s transportation and land use system. 3. Pursue strategies that enhance first- and last-mile connections to stations. Caltrain is a key link within a local, regional and statewide network of transportation systems. C. Encourage transit supportive development at As part of this network, the agency must work and around stations. with other transit operators and the region to ensure that is customers can transfer easily 1. Adopt a transit-oriented development policy. between different systems. Similarly, Caltrain can enhance the experience of its customers and 2. Participate in and influence local station the performance of its system by ensuring that area planning efforts along the corridor. riders have a wide variety of options to access its stations. Caltrain can also add value to its 3. Develop JPB real estate assets in a way corridor by helping local jurisdictions plan for land that supports the system financially and uses that both support their community vision operationally with local land use goals. and contribute to ridership. Finally, Caltrain must plan for and support the Peninsula Corridor’s D. Integrate with California’s statewide role as part of a larger rail network, its ongoing rail network. accommodation of freight, Amtrak, Capitol Corridor, and the Altamont Commuter Express 1. Support implementation of the Caltrain/HSR and its future use by high speed rail. blended system in the Peninsula corridor with consideration of local community Goals and Objectives interests and concerns.

A. Improve connectivity to local and regional 2. Continue to accommodate freight and transportation systems. passenger tenants whose operations are compatible with Caltrain and blended 1. Explore mutually beneficial ways to system service. plan and coordinate services with local transit providers.

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3. Partner with CHSRA, TJPA and the region, C. Strengthen partnerships by pursuing define roles and responsibilities, and common goals. implement the blended system. 1. Partner with cities to ensure that Caltrain Focus Area 6: Partners and Stakeholders stations are safe, clean, functional and Build partnerships with government agencies, active community spaces. stakeholders, and the public. 2. Increase Board participation to explore Caltrain operates in three counties and 19 cities, new areas of common interest to build serving a diverse population of customers and and strengthen partnerships with engaging with many different stakeholder groups. employers, developers, grass roots and As Caltrain conducts its business it must always community groups. treat its stakeholders and partners consistently and fairly, ensuring open communication and 3. Successfully implement joint projects providing venues for interaction and input. through a clear understanding of roles Encouraging participation from its partners, and responsibilities. stakeholders and the public help Caltrain deliver better projects and services and ensure the Focus Area 7: Social Responsibility integrity of its process. Whether partnering with Conduct business in a socially responsible way. cities to enhance stations or working with local employers to improve services, strengthening Whether building a new facility, procuring partnerships can help Caltrain and the region energy for its trains or planning its services, achieve new goals. Caltrain must hold itself to a high standard of social responsibility. This means fulfilling all civil Goals and Objectives rights obligations and ensuring that services are provided without regard for race, color or national A. Build relationships with openness and fairness. origin and that the system is equally accessible to persons of all abilities. More broadly, Caltrain 1. Clearly and consistently articulate JPB goals must ensure that it serves a market that is and seek opportunities to pursue mutually socially and economically representative of all the beneficial initiatives. Peninsula Corridor’s communities and that the benefits and impacts of its projects and services 2. Seek and provide venues to facilitate are distributed equitably. Social responsibility discussions with government agencies, also means minimizing Caltrain’s environmental external groups and the community. footprint by implementing sustainable business practices and planning for a system that has a 3. Apply a consistent approach in time and positive environmental impact on the environment. resource management to support multiple stakeholder initiatives. Goals and Objectives

B. Cultivate effective external participation. A. Fulfill civil rights regulations.

1. Ensure timely public and external 1. Comply with federal Americans with involvement through well-defined Disabilities Act requirements and Title VI planning processes. (Civil Rights) requirements.

2. Explore and utilize non-traditional venues to 2. Work with FTA to facilitate the timely review maximize public participation. and enactment of regulations.

3. Improve public access to agency data B. Minimize Caltrain’s environmental footprint. to encourage participation and inform stakeholder dialogue. 1. Implement and expand environmentally sustainable business practices (i.e. sustainable

30 GOALS, OBJECTIVES AND STANDARDS DRAFT FINAL

procurement, construction policies, and facility and to attract more customers to the transit and transportation operations). systems. To achieve this, MTC adopted the TSP final recommendations in 2012 as MTC Resolution 2. Promote environmental stewardship through 4060, establishing performance requirements for the development of Caltrain policies. the seven largest transit operators in the region, including Caltrain. Under the terms of the TSP, 3. Improve regional air quality and reduce each operator must achieve a 5% reduction in at greenhouse gas emissions by electrifying and least one of the following performance measures modernizing the railroad. by 2017:

C. Provide an inclusive and equitable system. • Cost per revenue hour

1. Pursue markets that are socially, • Cost per passenger geographically and economically representative of all Peninsula corridor • Cost per passenger-mile communities. The 5% real reduction is measured against 2. Strive for an equitable distribution of system the highest reported costs between FY2008 benefits and project impacts throughout and FY2011 for one of the three performance the corridor. measures listed above. These reductions must be maintained, thereafter limiting any further 3. Evaluate geographic, social and economic growth to the Consumer Price Index. Caltrain equity in service planning and policy adopted TSP targets in 2013 and reports annually decisions (i.e. fare structure). to the JPB and MTC on performance measure progress. Starting in FY2019, MTC will link Performance Standards the operating and capital funds it administers to the achievement of TSP targets. Table 2.2 Table 2.1 shows Caltrain performance standards shows target percentage reduction is for each and goals for on-time performance, customer measure compared to the baseline and highlights satisfaction and farebox recovery. Caltrain’s performance for FY2012, FY2013 and FY2014. Strategic Plan identifies the development Note that all cost metrics are shown in 2011 and monitoring of additional performance dollars. measurements as a priority mechanism for implementing the Strategic Plan’s policies. These metrics show that Caltrain is on track to fulfill its TSP obligations with strong ridership growth contributing to substantial reductions in Table 2.1: Performance Standards and Goals cost per passenger and cost per passenger mile. Caltrain will continue to work to control costs and improve efficiency to achieve further reductions in all three of its TSP metrics.

2.4 Transit Sustainability Project

Caltrain also monitors and reports on its performance as part of MTC’s Transit Sustainability Project (TSP). MTC initiated the TSP in January 2010 to address operating and capital shortfalls experienced by transit operators in the nine-county San Francisco Bay Area. The purpose of the TSP is to help improve transit performance

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Table 2.2: Caltrain Fleet Inventory

5% REDUCTION 2012 2013 2014 METRIC BASELINE TARGET PERFORMANCE PERFORMANCE PERFORMANCE

Cost/Service Hour $496.40 $471.58 $516.75 $515.69 $525.81 Cost/Passenger $8.18 $7.77 $7.31 $5.90 $5.70 Cost/Passenger Mile $0.32 $0.30 $0.34 $0.27 $0.26

STRATEGY • Station access planning and implementation In addition to setting baseline targets, Caltrain adopted and submitted a TSP Strategic Plan • Continue fuel hedging program in March 2013 that described how the targets would be achieved. Caltrain has implemented • Provide real-time information for customers several strategies in the past to improve financial performance which include the following: • Electrify Caltrain and improve service

– Operating Costs • Explore increasing off-peak ridership

• Fuel Hedging program Caltrain updates its TSP strategic plan and reports on progress to the JPB and MTC on an • Administrative cost control measures annual basis.

• Staffed ticket office closures

– Service Modifications

• Introduction of Baby Bullet in 2004

• Reinvention of service in 2005

• Weekend Baby Bullet service

• Reduced service in the off-peak

• Addition of peak-hour service in response to ridership growth

As part of the TSP Strategic Plan, Caltrain will implement the following strategies to meet the TSP reduction targets:

– Implement state of good repair and reliability projects

• Support transit-oriented development

32 GOALS, OBJECTIVES AND STANDARDS DRAFT FINAL

Service and System 3 Evaluation

3.1 Performance Evaluation and Retrospective

Table 3.1 shows six years of system performance data from FY2009 through FY2014. Metrics shown include data reported by Caltrain to NTD as well as key indicators tracked internally by the agency. Figures on the subsequent page highlight trends within specific metrics for further discussion.

During the years shown, Caltrain service levels part and has instead been driven by changing fluctuated with service reductions in FY2010 and demographics and economic conditions in the FY2011 as prompted by the Great Recession and agency’s service area as well as the continued Caltrain’s associated financial crisis. Since 2011, popularity of Caltrain’s core commuter service. service has been gradually restored as demand has Increasing ridership has led to increased revenues grown and Caltrain’s finances have stabilized. As and improved Caltrain performance across a range of FY2013, Caltrain operated a total of 92 weekday of financial and service metrics including reduced trains. In FY2011, Caltrain also began to operate costs per passenger and passenger mile as well as a weekend Baby Bullet service with a total of 4 increases in the number of passengers carried per trains per weekend day (2 per direction). Changes unit of service. to revenue miles and revenue hours shown in Table 3-1 reflect this reduction and subsequent Caltrain’s operating costs have increased since restoration of service over the 2010 to 2013 period. 2009. Increasing costs are driven by a number of factors including the increased demands of a Caltrain’s performance over the past five years higher ridership more intensively used system and has been overwhelmingly shaped by the system’s the restoration of services cut in 2010 and 2011. dramatic ridership increase. Since 2009, Caltrain Costs have also increased over the 2009-2014 has experienced a 58% increase in average period as the multi-year transition costs of moving weekday ridership and a 56% increase in annual Caltrain’s operating contract from Amtrak to Transit ridership. This increase has occurred without Services of America Inc (TASI) have been fully any major, net service changes on Caltrain’s realized.

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Table 3.1: Five-Year Caltrain Performance Trends (FY2009 to FY2014)

TARGET OR 5 YEAR 2 YEAR FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014 CHANGE CHANGE GOAL (FY09–FY14) (FY12–FY14) Operating Costs and Fare Revenue (1,000s)

Total Operating Cost ($) 87,036 85,346 92,227 97,555 101,992 109,320 26% 12% Fare Revenue 41,264 40,115 45,677 55,079 67,566 62,355 64% 23% System Usage

Total Operating Cost 37,989 85,346 92,227 97,555 54,934 59,916 58% 38% Fare Revenue 11,359,225 40,115 45,677 55,079 16,384,630 17,759,504 56% 37% Fare Revenue 292,646,966 295,357,284 289,067,501 280,076,437 357,919,061 389,288,711 33% 39% On-Time Performance

On-time Performance - 95% 95.0% 940% 92.8% 92.9% 91.3% 92.4% -3% -1% end-to-end Customer Satisfaction

Overall Customer 4% 4 4.03 3.99 4.01 4.04 4.05 1% 1% Satisfaction (out of 5)

Fare Revenue 25.3 24.5 16.9 10.2 13.6 10.5 -58% 3% Service Provision

Revenue Miles 6,895,746 6,657,845 6,484,270 6,418,662 6,590,727 6,695,023 -3% 4% (passenger car)

Revenue Hours 198,204 190,693 185,792 183,876 187,557 192,572 -3% 5% (passenger car) Cost Effectiveness

Farebox Recovery 45 – 65% 47% 47% 50% 56% 61% 62% 32% 10% Ratio

Operating Cost per Revenue Hour (year of 439.12 447.56 496.40 530.55 543.79 567.68 29% 7% expenditure dollars) Operating Cost per Revenue Hour (constant $471.58 451.81 455.02 496.40 516.75 515.69 525.81 16% 2% 2011 dollars) Operating Cost per Passenger (year of 7.66 8.04 7.33 7.50 6.22 6.16 -20% -18% expenditure dollars) Operating Cost per Passenger (constant $7.77 7.88 8.18 7.33 7.31 5.90 5.70 -28% -22% 2011 dollars) Operating Cost per Passenger Mile (year of 0.30 0.29 0.32 0.35 0.28 0.28 -6% -19% expenditure dollars) Operating Cost per Passenger Mile (constant $.30 0.31 0.29 0.32 0.35 0.27 0.26 -15% -23% 2011 dollars)

Operating Subsidy 4.03 4.26 3.70 3.27 2.42 2.35 -42% -28% per Passenger

Operating Subsidy per 0.16 0.15 0.16 0.15 0.11 0.11 -31% -29% Passenger Mile

34 SERVICE AND SYSTEM EVALUATION DRAFT FINAL

AVERAGE WEEKDAY RIDERSHIP

Caltrain’s average weekday ridership has increased enormously since 2009 and the railroad now carries nearly 60% more passengers on a typical weekday than it did five years ago. Increases in ridership are the combined result of economic growth and demographic changes in the Caltrain service area as well as the continued success of Caltrain’s core commuter rail service and ongoing marketing efforts to expand the railroad’s customer base.

Figure 3.33.1: FigureAverage 3 1:Weekday Average Ridership, Weekday Ridership,FY2009-FY2014 FY2009-FY2014

70,000

60,000

50,000

40,000

30,000

20,000

10,000

0 FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

ON-TIME PERFORMANCE

Caltrain’s on-time performance has declined slightly over the period between FY2009 and FY2014. Causes for the decline include increasing rates of mechanical failure associated with ageing diesel rolling stock as well as peak-period increases in dwell times at stations associated with rapidly increasing patronage. Caltrain monitors on-time performance closely and will periodically consider minor schedule adjustments to improve performance.

Figure 3.33.2: Figure End-to-End 3 1: Average On-time Weekday Performance, Ridership, FY2009-FY2014 FY2009-FY2014

100% 98% Standard (95%) 96% 94% 92% 90% 88% 86% 84% 82% 80% FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

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CUSTOMER SATISFACTION

Caltrain conducts an annual customer satisfaction survey to assess how well the service and its contract operator are meeting customer needs. Since 2009, overall customer satisfaction with the Caltrain system has remained consistently high, scoring at or above an average of “4” on a 1 to 5 scale.

Figure 3.3: Surveyed Overall Customer Satisfaction, FY2009-FY2014

4.5 4.4 4.3 4.2 4.1 4

3.9 Standard 3.8 4.0 3.7 3.6 3.5 FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

FAREBOX RECOVERY RATIO

Shaped by fare changes and increasing ridership, Caltrain’s farebox recovery ratio has increased substantially since 2009. In January of 2013, the JPB adopted a farebox recovery rate goal of 45% to 65% (an increase from the previous 38% - 50% goal).

Figure 3.33.4: Figure Farebox 3 1: Recovery Average Ratio,Weekday FY2009-FY2014 Ridership, FY2009-FY2014

80% Post 2013 Goal (45–65%) 70%

60%

50%

40%

30%

20% FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

36 SERVICE AND SYSTEM EVALUATION DRAFT FINAL

OPERATING COST PER REVENUE HOUR

Caltrain’s operating cost per revenue hour has increased steadily since 2009. Cost increases have resulted from the transition in Caltrain’s operator contract as well as increasing costs as ridership grows and system utilization intensifies. Figure 3.5 shows operating cost per revenue hour in constant, 2011 dollars so as to align with the target reduction goal established by Caltrain in the Transit Sustainability Program. Caltrain seeks to control and reduce operating costs using the strategies discussed in section 2.4.

Figure 3.5: Operating Cost Per Revenue Hour FY2009-FY2014 (in 2011dollars)

$600

$550

$500

$450 TSP Reduction Target $471.58 $400

$350

$300 FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

OPERATING COST PER PASSENGER

While operating costs per revenue hour have increased, Caltrain’s operating cost per passenger has declined dramatically; a function of service levels remaining constant while ridership has increased. Figure 3.6 shows operating cost per passenger in 2011 dollars and shows that Caltrain is on track to fulfill its TSP reduction target in this category.

Figure 3.6: Operating Cost Per Passenger FY2009-FY2014 (in 2011 dollars)

$10.00

$9.00 TSP Reduction Target $7.77 $8.00

$7.00

$6.00

$5.00

$4.00 FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

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OPERATING COST PER PASSENGER MILE

Like operating cost per passenger, Caltrain’s operating cost per passenger mile has also decreased in real dollars. Since 2009, passenger miles have not increased as rapidly as overall ridership therefore, the reduction in operating cost per passenger mile is not as dramatic as the reduction in operating cost per passenger.

Figure 3.7: Operating Cost Per Passenger Mile FY2009-FY2014 (in 2011 dollars)

$0.40 TSP Reduction Target $0.30 $0.35

$0.30

$0.25

$0.20

$0.15

$0.10 FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014

3.2 Equipment and Facility – San Mateo Deficiencies – Bayshore There are no equipment or facility deficiencies at this time. However, several new equipment and – East Palo Alto facility projects are planned for the upgrade to an electrified system. – North Central San Mateo

– San Bruno/South San Francisco 3.3 Community-based Transportation Plans – Santa Clara Post 2013 Goal (45–65%) Caltrain participates in the CBTP process as – Gilroy requested by cities and congestion management agencies within the Caltrain service area. While several cities along the Caltrain corridor have 3.4 Paratransit Services recently developed CBTPs, no Caltrain projects were included in the plans. CBTPS along the Paratransit services in the Caltrain service area Caltrain corridor include: are provided through the local transit agencies in each county including SFMTA, SamTrans and VTA. – San Francisco Paratransit service is not a direct responsibility of Caltrain. For more information, see the Paratransit – Bayview Hunters Point section of this report in Chapter 1.

38 SERVICE AND SYSTEM EVALUATION DRAFT FINAL

3.5 Title VI Report Summary 3.6 FTA Triennial Review Summary

In 2012, the Federal Transit Administration The Federal Transit Administration (FTA) Triennial updated its Title VI civil rights guidance for Review site visit was conducted on November 12- recipients, requiring Caltrain to complete a 13, 2013 with the final report issued on December number of new elements (C4702.1B). The 13, 2013. The review concentrated primarily on Caltrain/JPB Title VI Program was adopted by the procedures and practices employed by Caltrain Board on November 7, 2013. The Title VI Program during the three years prior to the review. Based included a Language Assistance Plan (LAP) for on the review, Caltrain was found to be deficient Limited English Proficient (LEP) populations, in 5 of the 18 Triennial Review areas, specifically: a Public Participation Plan aimed at engaging Legal, Technical, Satisfactory Continuing Control, minority and low-income riders, a Major Service Title VI, and Drug Free Workplace/Drug and Change Policy, and the Service Standards and Alcohol Program. These deficiencies have been Policies. The program also included two Equity addressed to the satisfaction of the FTA as Analyses conducted on fare changes performed documented in their closeout letter to the JPB in 2012 and 2013. The Title VI program also dated October 17, 2014. includes the public engagement efforts on the Title VI elements that were undertaken prior to the program adoptions.

During the 2013 Triennial Review of PCJPB, a deficiency was found with USDOT requirements for Title VI. At the time of this review, PCJPB was in the process of revising its Title VI Program. A review of PCJPB’s public notice found that the notice did not contain all of the required information. The public notice was to include: A statement that the agency operates programs without regard to race, color, or national origin. A description of the procedures that members of the public should follow in order to request additional information on the recipient’s Title VI obligations.

A description of the procedures that members of the public shall follow in order to file a Title VI discrimination complaint against the recipient. The corrective action was to revise and submit a Title VI public notice that addressed the requirements of the federal circular C4702.1B by December 31, 2013. Caltrain has satisfied this requirement and is in compliance with Title VI requirements.

The next Title VI Program update will be submitted to FTA by November 1, 2016.

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The deficiencies and responses and/or proposed corrective actions by Caltrain are shown below.

Table 3.2: Overview of the Amenities for each Station Location

TICKET/CLIPPER TRIENNIAL DEFICIENCY CORRECTIVE ACTION RESPONSE DATE VENDING REVIEW AREA MACHINES

Legal Pending Litigation notice deficiencies

Technical “Reclass” of PCJPB is to develop and submit to FTA Prior to next Echo grant funds Region IX the process it will use to ensure drawdown or expenditures are drawn down against the 12/31/13 older grants first

Satisfactory Violation of PCJPB is to submit formal requests to the 12/31/13 12/4/13 Continuing Control incidental use FTA Region IX Office regarding approval requirements for the incidental use of the Hillsdale Caltrain Station. Inadequate inventory process PCJPB is submit to the FTA Region IX 1/31/14 Office a description of the process and department responsible for ensuring compliance with the requirements associated with incidental use.

PCJPB is to develop and submit to FTA its procedures on how it will ensure 1/31/14 compliance with the bi-annual asset inventory as required per FTA Circular 5010.1D. Said procedures are to identfiy the source document used (e.g. master asset list), how the inventory will be conducted, results of inventory documented, and evidence that inventory results are reconciled to the master asset list.

PCJPB is provide the regional office with a master listing of FTA-funded assets 3/31/14 that are subject to being inventoried per C 5010.1D, and a reconciliation of when each asset was last inventoried.

Title VI Title VI public notice PCJPB is to revise and submit to the FTA 12/31/13 deficiencies Region IX Civil Rights Officer a revised Title VI public notice that addresses the requirements of C 4702.IB

Drug free Nonresponsive JPB is to immediately notify FTA Region 11/20/13 11/20/13 Workplace/Drug from Previous IX office how it intends to address the and Alcohol Triennial Review 2010 Triennial Review regarding drug and Program alcohol testing requirements for armed security personnel

40 SERVICE AND SYSTEM EVALUATION DRAFT FINAL

Operations Plan and 4 Budget

4.1 Caltrain Operating Plan

Caltrain expects to operate a 92-train weekday schedule with its current service pattern through FY2021 with only minor schedule modifications. In FY2021, following the implementation of the Peninsula Corridor Electrification Project, Caltrain will significantly modify its weekday service. The discussion below and Table 4.1 on the following page describe how Caltrain’s service will change over the coming 10-years.

The following operations plan and budget fleet service has not yet been determined. Over assumes implementation of the Peninsula the next several years, Caltrain will engage in a Corridor Electrification Project (PCEP) and the robust public planning process to develop a final, start of mixed diesel and electric operations detailed schedule and service plan for the mixed- in FY2021 (“mixed-fleet service”). Service fleet service the agency will begin operating in assumptions for FY2021-FY2024 were developed FY2021. This service planning exercise will also based on the project description and analysis provide a venue to evaluate available operations included in the PCEP Environmental Impact funding and consider potential midday and Review (adopted January 2015). The PCEP EIR weekend service increases The results of this included a “prototypical” schedule for mixed-fleet work will be reflected in future SRTPs. service that was developed for the purposes of environmental analysis. This same prototypical WEEKDAY SERVICE schedule underlies the operating plan described Caltrain currently operates a weekday peak period in this document. The final schedule for mixed- maximum of five trains per hour per direction.

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Table 4.1: Caltrain 10-Year Service Plan

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021* FY 2022 FY 2023 FY 2024

Total Trains per Weekday 92 92 92 92 92 92 114 114 114 114

Diesel Trains per Day 92 92 92 92 92 92 24 24 24 24

5-car diesel trains 92 36 36 36 36 36 0 0 0 0

6-car diesel trains 0 56 56 56 56 56 24 24 24 24

Electric Multiple Unit (EMU) Trains per Day 0 0 0 0 0 0 90 90 90 90

Trains per Weekday Peak Hour Direction (PHD) 5 5 5 5 5 5 6 6 6 6

Diesel Trains per PHD 5 5 5 5 5 5 2 2 2 2

EMU Trains per PHD 0 0 0 0 0 0 4 4 4 4

Locomotives (Diesel Fleet) 29 29 29 29 29 29 9 9 9 9

Cab Cars (Diesel Fleet) 36 36 36 36 36 36 15 15 15 15

Coaches (Diesel Fleet) 82 98 98 98 98 98 46 46 46 46

Electric Multiple Unit Vehicles 0 0 0 0 18 90 96 96 96 96

Total Revenue Service Hours (by train) 38,600 38,600 38,600 38,600 38,600 38,600 41,800 41,800 41,800 41,800

Total Revenue Service Hours (by car) 193,000 220,000 220,000 220,000 220,000 220,000 251,000 251,000 251,000 251,000

Total Revenue Service Miles (by train) 1,357,000 1,357,000 1,357,000 1,357,000 1,357,000 1,357,000 1,707,000 1,707,000 1,707,000 1,707,000

Total Revenue Service Miles (by passenger car) 7,332,000 8,058,000 8,058,000 8,058,000 8,058,000 8,058,000 10,602,000 10,602,000 10,602,000 10,602,000

Annual Passengers 19,169,000 20,540,000 20,804,000 21,123,000 21,466,000 21,879,000 24,472,000 26,084,000 26,084,000 27,729,000

Weekday Passengers 61,200 65,400 67,400 69,400 71,500 73,700 82,800 87,800 90,400 93,100

Fare Increase (%) N/A N/A 7.5% 0.0% 7.5% 0.0% 7.5% 0.0% 7.5% 0.0%

*Implementation of Peninsula Corridor Electrification Project (PCEP) and start of mixed electric and diesel fleet revenue service

This pattern typically includes a mix of two Baby in a number of ways. Overall, weekday service Bullet trains, a pair of local/express trains and will increase from 92 trains to 114 trains per one limited-stop train per peak hour. During the day. During the weekday peak period, Caltrain mid-day, Caltrain operates one all-stop local train will operate 6 trains per peak hour per direction. per hour per direction. Weekday evening service The prototypical schedule included in the PCEP after 7:00pm is also provided on headways of one EIR anticipates that two of these six trains will train per hour with all-stop local service. Although continue to operate as Baby Bullet express Caltrain is not planning modify its weekday trains while the remaining 4 will provide limited- service levels prior to FY2021, the agency is stop service. During the mid-day period, the extending many of its 5-car train consists. During prototypical schedule anticipates that Caltrain FY2015, Caltrain acquired 16 used Bombardier will continue to operate all-stop local trains at an coach cars from Metrolink. Caltrain is refurbishing increased frequency of every 30 minutes. Evening these cars in FY2015 and FY2016 and will use service is contemplated to remain as hourly, local them to add a 6th car to relieve crowding on all-stop service. some trains. During the 10 year timeframe of this SRTP, With the start of mixed-fleet revenue service in Caltrain will continue to operate Gilroy service FY2021, Caltrain’s weekday service will change much as it does today. With the start of mixed-

42 OPERATIONS PLAN AND BUDGET DRAFT FINAL

Table 4.2: Caltrain Shuttle 10-Year Service Plan

TOTAL OPERATING NUMBER OF ROUTES/ AVERAGE WEEKDAY FISCAL YEAR ANNUAL RIDERSHIP COST (IN FY2015 VEHICLES RIDERSHIP DOLLARS)

2011 32/35 1,472,355 5630 $2,883,594 2012 32/42 1,874,085 7167 $2,969,715 2013 28/30 884,698 3383 $3,141,384 2014 31/30 930,000 3556 $3,219,919 2015 30/29 818,100 3128 $3,165,527 2016 28/28 816,181 3121 $3,063,937 2017 28/28 824,343 3152 $3,140,535 2018 28/28 832,586 3184 $3,219,049 2019 28/28 840,912 3216 $3,299,525 2020 28/28 849,321 3248 $3,382,013 2021 28/28 857,814 3280 $3,466,563 2022 28/28 866,393 3313 $3,553,227 2023 28/28 875,057 3346 $3,642,058 2024 28/28 883,807 3380 $3,733,109

fleet revenue service in FY2021, Caltrain will also a return to 3% average growth is projected for continue to operate 6 daily diesel trains serving FY2023 and FY2024. the Gilroy Extension (3 northbound trains during the A.M. peak and three southbound trains during WEEKEND SERVICE & SPECIAL EVENT SERVICE the P.M. peak). While a final service plan for mixed-fleet operations will be developed over the Caltrain’s weekend service includes 36 Saturday coming years, the prototypical schedule assumes trains and 32 Sunday trains. Most of these trains that diesel trains serving Gilroy will be operated as provide local, all-stop service every 60 minutes. through-trains north of San Jose. Caltrain also operates four Baby Bullet express trains per direction on both Saturday and Sunday. Weekday ridership is anticipated to grow Between FY2017 and FY2021, Caltrain may throughout the 10-year period analyzed in the reduce the frequency of some local weekend SRTP. In FY2016, a ridership growth rate of 7% is trains from hourly to every 90 minutes to facilitate projected based on past trends and the addition the construction of the Peninsula Corridor of new capacity on peak-hour trains provided Electrification Project. Any final determination by the addition of the 6th car on crowded trains. regarding possible weekend schedule changes In FY2017-FY2020, no service changes are or reductions will be made when a contract is planned and a more conservative growth rate awarded to a design builder in late calendar year of 3% is assumed. In FY2021 and FY2022, high 2015. The operations plan and budget included in weekday ridership growth rates of 12.4% and 6% this document assume the continuation of hourly are anticipated as the introduction of increased weekend service through FY2021. Following service and added train stops induces new the implementation of the PCEP in FY2021, the ridership. This anticipated rate of ridership growth prototypical schedule assumes that Caltrain will is based on ridership projections developed for continue to provide the same weekend service the PCEP EIR. Following this growth in ridership, levels that it does today.

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 43 DRAFT FINAL

From FY2015-FY2024, Caltrain anticipates that of 25% to 40%. The balance is subsidized by it will continue its practice of providing regular Caltrain. All Caltrain-sponsored shuttle routes special event service for baseball games at are operated privately or on a contract basis and the Giant’s ballpark at China Basin as well as all shuttle vehicles are provided by the operating service to the Mountain View Station to support entity. Replacement or changes to shuttle vehicles select events at Levi’s Stadium in Santa Clara. are the responsibility of contractors and are not Additionally Caltrain will provide special service to reflected in Caltrain’s capital plan. select events that generate sufficient ridership. Like weekday ridership, weekend and holiday Currently, Caltrain-sponsored shuttles carried ridership is also anticipated to grow by 7% in an average of 3,556 riders per weekday in FY FY2016. In FY2017-FY2020, however, weekend 2014. Caltrain shuttle ridership on most routes ridership is expected to decline by 5% per year has grown rapidly over the last several years. in response to potential service disruptions as The large drop in ridership shown between construction of the PCEP occurs. With the start of FY2012 and 2013 reflects the removal of several electrified service in FY2021, weekend ridership popular routes from “Caltrain Sponsorship” and is expected to recover with two years of 10% associated reporting requirements. growth. Finally, in FY2023-FY2024, weekend ridership is projected to stabilize at a 3% annual Caltrain-sponsored shuttle operations are largely growth rate. constrained by grant funding availability and the 10-Year Shuttle Service Plan shown does CALTRAIN-SPONSORED SHUTTLE SERVICE not assume any increases in number of routes or vehicles operating. Instead, the number of Caltrain-sponsored shuttle service is not Caltrain-sponsored shuttle routes is slated to anticipated to change substantially during the 10 decrease in FY2015 and again in 2016 as specific years examined in the SRTP. Caltrain sponsors shuttle routes are cancelled or are moved to and is directly involved in the administration of contracts outside of Caltrain’s administration and 30 shuttles serving 18 of its stations. Caltrain- sponsorship. Shuttle ridership is anticipated to fall sponsored shuttles are funded by a sponsor, in FY2015 and FY2016 based on administrative such as a major company, underwriting at least changes that will remove certain routes from 25 percent of the cost of the service, with the Bay Caltrain sponsorship. Shuttle ridership is Area Air Quality Management District (BAAQMD) subsequently anticipated to grow steadily through providing year-to-year discretionary fund financing to FY2024 based on historical trends. It is

44 OPERATIONS PLAN AND BUDGET DRAFT FINAL assumed that any issues with shuttle capacity year and cannot spend money it does not have. will be addressed by operating routes with Should the agency fail to realize new revenues larger vehicles. or contain costs to the point where service reductions become necessary, Caltrain will 4.2 Caltrain Operating Budget focus on eliminating trains and modifying station stops in a way that streamlines its services and The 10-year Financial Plan shows a deficit in maintains as much utility to its customers as FY2017 through FY2024 as the result of operating possible. Less productive service during midday, and maintenance costs exceeding revenues from evenings and off-peak hours may be significantly fares, partner contributions, and other sources. reduced or eliminated to conserve costs. Similarly, Deficits are projected even as future farebox factors such as station ridership, intermodal recovery is anticipated to increase while operating connectivity, station-adjacency and social and costs per vehicle service hour and operating costs geographic equity will be used to reduce or per passenger are projected to fall over the 10- eliminate individual station stops and enhance the year timeframe examined. This occurs because productivity of the remaining service. Any service Caltrain, unlike many other transit systems, does reductions will be rigorously vetted through a not have access to a dedicated source of funding public process. Caltrain believes that maintaining to pay for the portion of its operating costs not service levels is essential to its customers and the covered by fare revenue. Over the course of the communities it serves and is continuing to work 10-year financial plan the absolute annual amount very aggressively with local, regional, state and of this funding gap is projected to increase along federal partners to find near-term and long-term with the overall scope and size of the Caltrain solutions to its operating deficit. system. Proportionally, however, the size of Caltrain’s anticipated funding gap is projected In addition to general trends, Table 4.3 shows to diminish. a distinct year to year variation in the size of Caltrain’s future anticipated operating deficit. Caltrain is currently developing strategies to While the many inputs underlying the financial balance the annual budget through FY2024. plan are discussed below, this specific variation Over the next several years, Caltrain will from year to year is driven by two key factors that comprehensively evaluate a variety of factors that influence Caltrain’s annual operating budget. influence the system’s operating deficit including: First, the planned schedule of fare changes used – Fare policy and pass programs in these projections assumes that fare increases are implemented every other year (meaning that – The incremental impacts of added service on fare revenue growth has a pronounced “step” operating revenues and costs pattern). Second, the Caltrain member agency contributions from San Francisco, SamTrans, – The potential for securing dedicated operating and VTA shown in the “JPB Member Agency funds through a three-county ballot measure Contributions” line also vary sharply based on past and future agreements regarding member – Cost containment strategies agency payments. In 2011 and 2012, SamTrans reduced its contribution and triggered an overall Should Caltrain be unable to secure or identify reduction in member agency payments. In 2013, additional funding sources for operating and however, SamTrans was able to increase its maintenance of the system, or develop a long- payments by leveraging a variety of one-time term strategy to address funding deficits, service sources. In 2014, all member agencies returned level commitments may need to be revisited to a lower, formula-based payment rate which will along with more aggressive cost containment be held through FY2016. In 2017, 2018 and 2019, strategies. This eventuality is reflected through SamTrans plans to increase its contribution by $4 the “Revenue Enhancement / Cost Containment” million per year with the assumption that other line shown in Table 4-3. Although Caltrain partner agencies will match the increase. views service reductions as a last resort, the agency must deliver a balanced budget every

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 45 DRAFT FINAL

Following 2019, member agency contributions Caltrain will add 22 additional trains per day and are expected to return to the lower, formula- increase train hours by 3,200 per year. Caltrain’s based rate used today. While these assumptions operating budget will increase by $15 million (or have been used to develop the Caltrain financial approximately 9%) between FY2020 and FY2021. plan, they remain subject to negotiation and This increase includes the costs of providing change. Similarly, Caltrain is continuing its own additional service as well as the costs and savings efforts to secure a dedicated source of funding to associated with converting from diesel operations comprehensively address its operational needs. to mixed-fleet service.

It is important to note that key inputs to Caltrain’s Contracted Operating Expenses 10-year financial projections, including projected ridership and future maintenance costs for new – Underlying contractor operating costs are equipment and systems, will also be updated over expected to increase 4% per year based on the the coming years. Specifically, it is anticipated terms of Caltrain’s existing contract with Transit that the next full SRTP required by MTC in June Service America Incorporated (TASI). 2016 will provide a better understanding of capital and operating needs associated with the PCEP – Significant anticipated additions and reductions since key contracts will have been awarded by to operating costs include: that time. These updates will change the 10-year operating budget and will be reflected in future – Added costs related to maintenance of the SRTPs and may impact the current deficits Communications Based Overlay Signal. System being projected. (CBOSS) and Positive Train Control (PTC) system starting in FY2016. Table 4.3 on the following pages provides an actual, adopted and projected operating budget – Added costs related to the maintenance of for the years FY2012 – FY2024. PCEP infrastructure including the wayside The 10-year budget plan shown for FY2015 traction power facilities and overhead catenary – FY2024 is based on the following major system starting in FY2021. assumptions: – Added costs related to the maintenance of 96 Service Levels EMU vehicles beginning in FY2021.

FY2016: – Added costs related to additional crews required to provide increased service level in FY2021. An increase in train length from 5-car to 6-car consists on select trains. – Reduced maintenance costs realized through the retirement of a portion of the diesel fleet – No increases in service hours. in FY2021.

– FY2021: Other Operating Expenses

Implementation of the PCEP and conversion of 90 – Underlying fuel prices are anticipated to out of 114 trains to EMU service. increase an average of 3% per gallon per year.

– An increase in overall service levels from 92 – Underlying electricity prices are anticipated to weekday trains to 114 weekday trains. increase an average of 3% per kilowatt hour per year. – An increase in service hours from 38,600 (FY 15 to FY 20) to 41,800 (in FY 21-24). – All other operating expenses are anticipated to increase between 1 – 2 % per year. Between FY2020 and FY2021, the PCEP will begin revenue service and Caltrain will increase – Significant anticipated additions and reductions the level of service it provides. In FY2021, to other operating expenses include:

46 OPERATIONS PLAN AND BUDGET TABLE TO BE REDRAWN DRAFT FINAL

– Added electricity costs related to an 81 million – Parking fees are also slated to increase 3% kwh increase in consumption in FY2021 to every other year in coordination with fares. provide power for EMU vehicles. – Other revenues including shuttles, rental income – Reduced diesel fuel costs related to a 3.6 million and others are anticipated to increase at 2% gallon reduction in diesel fuel consumption in per year. FY2021 when electrified service begins. Contributions Other Use of Funds – Investment interest is expected to increase at – Caltrain administrative staffing levels and 1.5% per year. overhead costs are not anticipated to materially increase over the next ten years. Items listed – AB3434 and TA Shuttle funding is expected to as other use of funds include administrative increase at 2.5% per year. expenses for Caltrain and are expected to increase between 2 – 3.5% per year. – Operating grants primarily include State Transit Assistance Funds as shown. These are held Long Term Debt Expenses constant in future years and are not expected to increase. – The 10-year operating budget includes existing debt service costs. – JPB Member Agency Contributions increase at an underlying rate of 3% per year. SamTrans Fare Revenue is assumed to increase its contribution by $4 million in FY2017 through FY2019. Partner – Fare revenue grows annually as a function of agencies are assumed to match the increase increasing overall ridership as discussed in proportionally based on the mutually agreed section 4.1 upon Boarding Formula.

– In addition to ridership based revenue growth, JPB Member Agency Contributions increase at significant fare increases are planned for the 10- an underlying rate of 3% per year.SamTrans is year timeframe contemplated in the SRTP. assumed to increase its contribution by $4 million in FY2017 through FY2019. Partner agencies are – For the purposes of this financial forecasting assumed to match the increase proportionally exercise, these fare increases have been based on the mutually agreed upon Boarding programmed as biennial, 7.5% increases in Formula as has been past practice. Operating overall fare revenue occurring in 2017, 2019, budget contributions are negotiated by the JPB 2021 and 2023. partners on an annual basis. Any shortfalls in partner contributions will result in an increase in – This equates to a 2.66% annual increase in the Caltrain’s operating deficit that will need average passenger fare between FY2015 and to be addressed through increased revenues, FY2024. cost containment or service cuts as previously described. – Fare elasticity is assumed to be 0 (no observable reaction) based on Caltrain experience with fare increases over the last 10 years.

Other Operating Revenues

– Parking revenues are anticipated to increase in conjunction with ridership as discussed in section 4.1.

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 47 DRAFT FINAL

Table 4.3: Caltrain 10-Year Operations Financial Plan with Past Actuals (YOE$)

FY2012 FY2013 FY2014 FY2015 FY2016 YEAR ENDING 30 JUNE (YOE $) ACTUAL ACTUAL ACTUAL ACTUAL ACTUAL

Source of Funds

Farebox Revenues Subtotal - Farebox Revenue $59,891,343 $68,767,170 $74,846,066 $80,043,692 $83,737,500

Other Operating Revenues Parking Revenue 3,261,932 3,301,724 4,156,577 4,051,240 4,436,600 Shuttles 1,148,957 1,972,626 1,702,070 2,001,840 2,548,700 Rental Income 1,759,216 1,783,323 1,728,248 1,737,720 1,781,595 Other Income 2,780,807 2,932,340 4,625,745 1,502,954 462,420 Subtotal - Other Operating Revenues $8,950,912 $9,990,013 $12,212,640 $9,293,754 $9,229,315

Contributions Investment Interest 165,171 - - 176,666 179,316 AB434 & TA Shuttle Funding 989,533 1,922,649 2,025,645 1,981,540 1,903,930 State Transit Assistance 4,222,450 5,075,017 6,287,914 6,653,422 5,591,617 Other Grant Sources 5,040,535 - 5,005,799 - 44,265 JPB Member Agency Contributions SFMTA 4,510,684 4,510,684 4,510,684 4,510,684 4,510,684 SamTrans 10,620,000 14,000,000 5,440,000 6,260,000 6,080,000 VTA 10,206,572 10,206,572 10,206,572 10,206,572 10,206,572 Other Sources - - - 12,758,000 18,742,673 Subtotal - Contributions $35,754,945 $40,497,666 $30,550,917 $41,398,580 $46,189,251

Total - SOURCES OF FUNDS $104,597,200 $119,254,849 117,609,623 $130,736,026 $139,156,066

Uses of Funds

Contracted Operating Expenses Base Contract Operating and Maintenance Rail Operator Service 55,114,883 59,246,556 68,280,415 69,440,426 75,245,335 Security Services 4,198,912 4,217,676 4,266,665 4,989,510 5,208,717 Rail Operator Extra Work 4,345,905 (102,587) (249,931) 155,500 125,000 New Infrastructure Maintenance* - - - - 1,500,000 Subtotal - Contracted Op. Expenses $63,659,700 $63,361,645 $72,297,149 $74,585,436 $82,079,052

Other Expenses Shuttles (includes Peninsula Pass) 3,044,524 4,634,500 4,408,831 4,833,310 5,468,000 Diesel Fuel 15,281,681 15,344,013 14,781,706 17,702,600 18,541,863 Electricity - - - - - Timetables and Tickets 155,936 127,295 39,621 148,000 212,700 Insurance 4,783,055 5,186,334 3,873,986 5,713,750 5,713,750 Facilities and Equipment Maintenance 1,828,325 1,690,067 1,671,987 1,975,415 1,852,069 Utilities 1,438,295 1,684,661 1,415,833 2,120,185 2,275,905 Maint. & Services - Bldg. & Other 1,238,207 1,283,283 1,201,978 1,397,218 1,426,783 Subtotal - Other Operating Expenses $27,770,023 $29,950,153 $27,393,942 $33,890,478 $35,491,070

Other Uses of Funds Wages and Benefits 4,810,240 5,389,848 6,165,558 6,768,729 7,598,675 Managing Agency Admin OH Cost (AIA) 910,064 3,931,897 4,501,893 5,486,432 5,760,754 Board of Directors 10,020 12,127 11,867 11,700 13,800 Professional Services 2,498,188 2,680,039 3,754,688 3,533,792 4,563,609 Communications and Marketing 57,755 122,446 (1,071) 119,300 139,800 Office Expense and Other 1,407,082 1,607,726 1,640,052 2,027,284 2,227,131 Subtotal - Other Uses of Funds $9,693,349 $13,744,082 $16,072,987 $17,947,237 $20,303,769

Total - USES OF FUNDS $101,123,072 $107,055,880 $115,764,078 $126,423,151 $137,873,890

Net Surplus (DEFICIT) from Op. w/o LTD $3,474,128 $12,198,969 $1,845,545 $4,312,875 $1,282,175 Long-term Debt Expense 1,102,874 1,102,875 1,102,875 1,141,225 1,282,175 Net Surplus (DEFICIT) from Op. Activities $2,371,254 $11,096,094 $742,670 $3,171,650 $0 Revenue Enhancement / Cost Containment - - - - - REVISED NET SURPLUS (DEFICIT) $2,371,254 $11,096,094 $742,670 $3,171,650 $0

48 OPERATIONS PLAN AND BUDGET DRAFT FINAL

Table 4.3 (Continued): Caltrain 10-Year Operations Financial Plan with Past Actuals (YOE$)

FY2017 FY2018 FY2019 FY2020 YEAR ENDING 30 JUNE (YOE $) ACTUAL ACTUAL ACTUAL ACTUAL

Source of Funds

Farebox Revenues Subtotal - Farebox Revenue $91,079,814 $92,453,607 $100,866,790 $102,770,462

Other Operating Revenues Parking Revenue 4,605,504 4,639,012 4,812,687 4,849,278 Shuttles 2,599,674 2,651,667 2,704,701 2,758,795 Rental Income 1,817,227 1,853,571 1,890,643 1,928,456 Other Income 471,669 481,102 490,724 500,538 Subtotal - Other Operating Revenues $9,494,074 $9,625,352 $9,898,755 $10,037,067

Contributions Investment Interest 182,006 184,736 187,507 190,319 AB434 & TA Shuttle Funding 1,970,379 2,039,147 2,110,315 2,183,968 State Transit Assistance 5,591,617 5,591,617 5,591,617 5,591,617 Other Grant Sources 44,265 44,265 44,265 44,265 JPB Member Agency Contributions SFMTA 4,510,684 4,510,684 4,510,684 4,510,684 SamTrans 10,382,400 10,693,872 11,014,688 6,843,094 VTA 14,331,889 14,761,845 15,204,701 9,446,222 Other Sources - - - - Subtotal - Contributions $41,350,320 $42,428,680 $43,539,687 $30,131,092

Total - SOURCES OF FUNDS $141,924,207 $144,507,639 $154,305,232 $142,938,620

Uses of Funds

Contracted Operating Expenses Base Contract Operating and Maintenance Rail Operator Service 80,583,798 83,807,149 87,159,435 90,645,813 Security Services 5,417,066 5,633,748 5,859,098 6,093,462 Rail Operator Extra Work 130,000 135,200 140,608 146,232 New Infrastructure Maintenance* 3,333,200 4,331,808 4,505,080 4,685,284 Subtotal - Contracted Operating Expenses $89,464,063 $93,907,906 $97,664,222 $101,570,791

Other Expenses Shuttles (includes Peninsula Pass) 5,658,839 5,856,338 6,060,730 6,272,255 Diesel Fuel 19,258,425 19,836,178 20,431,264 21,044,202 Electricity - - - - Timetables and Tickets 214,827 216,975 219,145 221,336 Insurance 5,770,888 5,828,596 5,886,882 5,945,751 Facilities and Equipment Maintenance 1,870,590 1,889,296 1,908,189 1,927,270 Utilities 2,321,423 2,367,852 2,415,209 2,463,513 Maint. & Services - Bldg. & Other 1,441,051 1,455,461 1,470,016 1,484,716 Subtotal - Other Operating Expenses $36,536,042 $37,450,696 $38,391,434 $39,359,044

Other Uses of Funds Wages and Benefits 7,864,629 8,139,891 8,424,787 8,719,654 Managing Agency Admin OH Cost (AIA) 5,962,380 6,171,063 6,387,050 6,610,597 Board of Directors 14,076 14,358 14,645 14,938 Professional Services 4,654,881 4,747,979 4,842,938 4,939,797 Communications and Marketing 142,596 145,448 148,357 151,324 Office Expense and Other 2,271,674 2,317,107 2,363,449 2,410,718 Subtotal - Other Uses of Funds $20,910,235 $21,535,845 $22,181,226 $22,847,029

Total - USES OF FUNDS $146,910,341 $152,894,447 $158,236,882 $163,776,863

NET SURPLUS (DEFICIT) FROM OPERATING w/o LTD ($4,986,133) ($8,386,808) ($3,931,650) ($20,838,243) Long-term Debt Expense 1,282,175 1,282,175 1,526,335 2,897,474 NET SURPLUS (DEFICIT) FROM OPERATING ACTIVITIES ($6,268,308) ($9,668,982) ($5,457,985) ($23,735,716) Revenue Enhancement / Cost Containment 6,268,308 9,668,982 5,457,985 23,735,716 REVISED NET SURPLUS (DEFICIT) $0 $0 $0 $0

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 49 DRAFT FINAL

Table 4.3 (Continued): Caltrain 10-Year Operations Financial Plan with Past Actuals (YOE$)

FY2021 FY2022 FY2023 FY2024 YEAR ENDING 30 JUNE (YOE $) ACTUAL ACTUAL ACTUAL ACTUAL

Source of Funds

Farebox Revenues Subtotal - Farebox Revenue $121,367,317 $128,869,562 $142,288,262 $146,711,257

Other Operating Revenues Parking Revenue 5,398,604 5,556,866 5,808,589 5,898,703 Shuttles 2,813,971 2,870,250 2,927,655 2,986,208 Rental Income 1,967,025 2,006,365 2,046,493 2,087,422 Other Income 708,528 722,699 737,153 751,896 Subtotal - Other Operating Revenues $10,888,128 $11,156,180 $11,519,889 $11,724,229

Contributions Investment Interest 193,174 196,072 199,013 201,998 AB434 & TA Shuttle Funding 2,260,190 2,339,073 2,420,709 2,505,194 State Transit Assistance Other Grant Sources JPB Member Agency Contributions 22,784,551 23,468,087 24,172,130 24,897,294 SFMTA 4,510,684 4,510,684 4,510,684 4,510,684 SamTrans 7,048,386 7,259,838 7,477,633 7,701,962 VTA 9,729,609 10,021,497 10,322,142 10,631,806 Other Sources - - - - Subtotal - Contributions $30,873,797 $31,639,114 $32,427,734 $33,240,368

Total - SOURCES OF FUNDS $163,129,242 $171,664,856 $186,235,885 $191,675,854

Uses of Funds

Contracted Operating Expenses Base Contract Operating and Maintenance Rail Operator Service 86,852,721 90,326,830 93,939,903 97,697,499 Security Services 6,337,201 7,549,535 7,851,516 8,165,577 Rail Operator Extra Work 152,082 158,165 164,491 171,071 New Infrastructure Maintenance* 28,359,786 32,681,010 34,127,213 35,636,822 Subtotal - Contracted Operating Expenses $121,701,790 $130,715,540 $136,083,124 $141,670,970

Other Expenses Shuttles (includes Peninsula Pass) 6,491,163 6,717,711 6,952,166 7,194,803 Diesel Fuel 5,750,206 5,922,712 6,100,393 6,283,405 Electricity 9,172,074 9,447,237 9,730,654 10,022,573 Timetables and Tickets 223,550 225,785 228,043 230,324 Insurance 6,005,209 6,065,261 6,125,913 6,187,173 Facilities and Equipment Maintenance 1,946,543 1,966,009 1,985,669 2,005,525 Utilities 2,512,783 2,563,039 2,614,299 2,666,585 Maint. & Services - Bldg. & Other 1,499,563 1,514,559 1,529,704 1,545,002 Subtotal - Other Operating Expenses $33,601,091 $34,422,312 $35,266,842 $36,135,390

Other Uses of Funds Wages and Benefits 9,024,842 9,340,712 9,667,637 10,006,004 Managing Agency Admin OH Cost (AIA) 6,841,968 7,081,437 7,329,287 7,585,812 Board of Directors 15,236 15,541 15,852 16,169 Professional Services 5,038,593 5,139,365 5,242,152 5,346,995 Communications and Marketing 154,350 157,438 160,586 163,798 Office Expense and Other 2,458,933 2,508,111 2,558,273 2,609,439 Subtotal - Other Uses of Funds $23,533,923 $24,242,603 $24,973,788 $25,728,217

Total - USES OF FUNDS $178,836,804 $189,380,455 $196,323,754 $203,534,577

NET SURPLUS (DEFICIT) FROM OPERATING w/o LTD ($15,707,562) ($17,715,599) ($10,087,869) ($11,858,723) Long-term Debt Expense Long-term Debt Expense 2,878,340 2,862,688 2,854,649 2,849,082 NET SURPLUS (DEFICIT) FROM OPERATING ACTIVITIES ($18,585,901) ($20,578,287) ($12,942,518) ($14,707,805) Revenue Enhancement / Cost Containment 18,585,901 20,578,287 12,942,518 14,707,805 REVISED NET SURPLUS (DEFICIT) $0 $0 $0 $0

50 OVERVIEW OF TRANSIT SYSTEM DRAFT FINAL

Capital Improvement 5 Program

Caltrain’s Capital Improvement Program (CIP) includes individual capital projects and the capitalized maintenance of existing assets (tracks and related infrastructures, systems, facilities and equipment). The CIP supports the operations and services set forth in the operating plan and budget described in Chapter 4 and provides the basis for requests for federal, state and regional funding for capital replacement, rehabilitation and expansion projects.

programming and development activities related 5.1 Capital Projects to capital projects as well as an annual set- aside for unforeseen and emergency capital The Caltrain 10-year CIP presented in this expenditures. SRTP is a $3 billion program that is focused on maintaining a state of good repair, implementing – State of Good Repair: This capital program operational enhancements, and modernizing the includes the set of ongoing and specific Caltrain system. Projects within the Caltrain 10- rehabilitation and capitalized maintenance year CIP are grouped into four key program areas: activities required to maintain Caltrain’s existing and planned structures, facilities and rolling – Capital Contingency & Support: This program stock. area includes costs associated with planning,

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 51 DRAFT FINAL

Table 5.1: Caltrain 10-Year Capital Improvement Program Summary (FY2015-FY2024)

ALL NUMBERS IN FY2015 $ AND IN THOUSAND $

10 Year Total Support & Contingency Support & Contingency Subtotal 23,900

State of Good Repair System Infrastructure 214,230 Specific Rehabilitation Programs 168,174 State of Good Repair Subtotal 382,404

Caltrain Modernization Program Early Investment Program 1,599,298 Phase Two 430,000 Caltrain Modernization Program Subtotal 2,029,298

Reliability & Enhancement Program Projects with Funding Identified 226,672 Projects with Funding To Be Identified 421,370 Reliability & Enhancement Program Subtotal 648,042

CAPITAL IMPROVEMENT GRAND TOTAL 3,083,644

– Caltrain Modernization: The Caltrain Caltrain has elected to include them in the overall Modernization program includes the CIP because they are crucial to the ongoing introduction of a new train control and signal improvement of the railroad and support the system, the electrification of the corridor system’s overarching goals. Caltrain will continue from San Francisco to San Jose, and the to seek funding for these projects over the coming procurement of new, electric-powered rolling 10 years. stock. The program also encompasses a second phase of planned improvements Table 5.1 provides an overall summary of including rolling stock expansion and platform Caltrain’s 10-year CIP by program category. lengthening. In future years (beyond 2024) this The following pages provide additional detail on program will also include the implementation specific projects and programs encompassed of level boarding at stations throughout the within the CIP’s larger program areas. Table 5.2 Caltrain system. is a detailed, 10-year CIP showing individual projects and programs with anticipated – Reliability & Enhancements — Caltrain’s expenditures by year. program of reliability improvements and system enhancements includes specific capital projects SUPPORT & CONTINGENCY PROGRAM that improve the system’s performance beyond simply maintaining a state of good repair. Caltrain’s support and contingency program includes capital program development and Both the “Reliability & Enhancements” and management costs associated with planning, “Caltrain Modernization” program categories programming and development activities. include some projects where full or partial funding These are needed to ensure development has not yet been identified. These projects are of accurate project scopes, cost estimates not directly required to support the operating and implementation schedules as well as the plan and budget described in Chapter 4 however management of capital budget and programming

52 CAPITAL IMPROVEMENT PROGRAM DRAFT FINAL

processes, grant development, project and pavement markings; installing new signage; and program controls, and capital program and minor station building maintenance. management systems. The contingency program includes annual set-aside for unforeseen and – Signals & Communications: The Signals and emergency capital expenditures. Communication State of Good Repair category includes the servicing and maintenance of the STATE OF GOOD REPAIR PROGRAM existing signal system as well as the future capital rehabilitation of Caltrain’s public address One of the primary goals of the CIP is to keep system and Communications Based Overlay the railroad in a constant state of good repair. Signal System Positive Train Control System As structures, facilities and vehicles progress (CBOSS-PTC). through and exceed their useful lives they require rehabilitation and replacement. Caltrain’s 10- – Diesel Rolling Stock Rehabilitation: Caltrain’s year State of Good Repair Program supports the diesel fleet is approaching the end of its useful safety, reliability and performance of the system life and rolling stock rehabilitation is a major by ensuring that the railroad’s assets function as component of Caltrain’s State of Good Repair intended and realize their full value. The State Program. The Rolling Stock SOGR program of Good Repair Program is subdivided into the includes the mid-life overhauls and major capital below categories and projects that address maintenance required to keep Caltrain’s full the rehabilitation and replacement of specific diesel fleet running through electrification and systems. to keep a portion of the diesel fleet operating past 2020 alongside the system’s new, electric SYSTEMWIDE INFRASTRUCTURE multiple unit trains. REHABILITATION SPECIFIC REHABILITATION AND IMPROVEMENT – Bridge Replacement: The JPB’s bridge PROGRAMS replacement program identifies those bridges or other major structures that have reached the – Safety, Security and Fencing Improvements: end of their useful life or do not meet current The Safety, Security and Fencing Improvement seismic standards. Projects are identified program includes the addition of closed circuit through the JPB’s annual bridge inspection television cameras and other safety and security program. The CIP includes funding for the enhancing features to Caltrain’s stations. rehabilitation and replacement of a number of This category also includes Caltrain’s fencing structures over the coming 10 years. program, which increases the security of the right of way by strategically adding fencing – Track Rehabilitation: The scope of this ongoing and limiting track access through a program of annual project includes replacement of rails incremental improvements and points on an as-needed basis rail joint replacements; replacement of ties; placement – Ticket Vending Machine Replacement: of new ballast; minor repairs to structures; Ticket vending machines (TVMs) throughout geometry inspections; weed abatement; and the system will be replaced as the existing graffiti removal. equipment reaches the end of its useful life. Next generation TVMs will be procured and – Station Rehabilitation: The systemwide station installed in coordination with planned changes rehabilitation program is an annual project that to the Clipper regional fare system. rehabilitates various elements of passenger stations along the Caltrain right of way. Activity CALTRAIN MODERNIZATION PROGRAM typically include: replacing passenger shelters; installing information display cases; replacing The Caltrain Modernization Program includes center track fence; repainting station amenities a series of major capital investments in the Caltrain corridor that will electrify and upgrade the

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 53 DRAFT FINAL

performance, operating efficiency, capacity, safety improvements, the 10-year CIP shows a portion and reliability of Caltrain’s commuter rail service. of their anticipated timing and cost with initial The Modernization program also includes ongoing investments and implementation work occurring planning and development of longer range in FY2019-FY2024. The 10-year CIP specifically improvements focused on expanding system does not include costs or timing associated with capacity. While the modernization program is the implementation of level boarding. Discussions being planned to accommodate the shared use and planning for level boarding are still ongoing of the Peninsula Corridor by both Caltrain and between Caltrain and other corridor stakeholders High Speed Rail Service in a “Blended System” and at this time implementation of any level- it is important to note that Caltrain’s capital boarding improvement project is assumed to program only includes Caltrain projects with occur after FY2024. independent utility for Caltrain service. The capital program does not include any capital projects that RELIABILITY AND ENHANCEMENT PROGRAM specifically support the Caltrain / HSR blended service. Caltrain’s reliability and enhancement program includes both system wide and location-specific Within Caltrain’s Capital Improvement Plan, capital projects that improve the Caltrain system’s the Modernization program is divided into two performance and reliability beyond a state of phases. The first phase includes the “Early good repair. These projects also fall outside the Investment Program” projects that are in set of improvements included in the Caltrain construction or have funding plans in place and Modernization Program. The reliability and are moving actively towards implementation. Enhancement Program has been divided into These include the ongoing installation of two broad categories to distinguish between a Communications Based Overlay Signal those projects where funding sources have been System Positive Train Control (CBOSS PTC), identified and others where funding plans have yet the electrification of the existing Caltrain corridor to be developed. between San Francisco and San Jose and the partial replacement of Caltrain’s diesel trains with high-performance Electric Multiple Units Enhancement Projects and Programs (EMUS). It is important to note that the project with full Funding Identified cost shown for the PCEP in the CIP (Electrification and EMU procurement) totals to $1.531 billion. The following enhancement projects have full This represents the full project cost with no value funding plans in place or have known sources of engineering assumed. A value-engineered option funding available to support their completion. has been identified at a lower estimated total cost of $1.474 billion and is also being considered. – 6-Car Train platform Modifications: Includes Caltrain’s next SRTP will capture updated PCEP the lengthening of select platforms to costs as Caltrain finalizes project funding and accommodate service by longer, 6-car diesel awards contracts over the coming year. trains.

The second phase of the Caltrain modernization – Control Point Brittan: This new, mid-line program has not been funded and is still in the control point will provide operational flexibility planning phase. It includes the conversion of the and support incident recovery and ongoing remaining diesel fleet to EMUs, the purchase of construction activities along the railroad. additional vehicles to expand all EMU consists to 8-cars, the lengthening of platforms to – Grade Crossing Hazard Mitigation Project: accommodate 8-car trains, and the eventual This project upgrades safety measures for reconfiguration of station platforms to achieve at-grade crossings along the Caltrain line. level boarding. While the 10-year operating plan in JPB staff works with California Public Utilities Chapter 4 does not rely on this second phase of Commission (PUC) staff and local jurisdictions

54 CAPITAL IMPROVEMENT PROGRAM DRAFT FINAL

to determine potential improvements to increase support their completion. Caltrain will work to bicycle, pedestrian and vehicular safety. develop funding plans for these programs and projects. – San Mateo County Grade Separation Program: The grade separation program includes the – North Terminal Improvements: The North planning, design and construction of grade Terminal Improvements project is intended to separations in San Mateo County using the improve the functioning of Caltrain’s terminal funds specifically set aside for grade separation at 4th & King, improving the efficiency of rail in San Mateo County’s Sales Tax Measure. operations and addressing increased passenger flows. The North terminal project is currently at – San Mateo County Access and Station the conceptual planning phase; cost included Enhancements: The access and station in the CIP represents only a rough-order-of enhancements program includes improvements magnitude estimate. to San Mateo County stations supported through funds set aside for Caltrain in the – South Terminal Phase II and III: The South county’s Sales Tax Measure. Terminal Project will improve operational flexibility and throughput in the “South Terminal” – Removal of Holdout Rule – South San Francisco area of the railroad. Phase II includes the Station: This project includes platform construction of a tail track between Diridon enhancements that will allow for the removal Station and Caltrain central maintenance facility of the operational rule known as the “holdout (CEMOF). Phase III includes the construction of rule” at the South San Francisco Station and will a tail track from Diridon Station to just north of also enhance station access and connectivity to Interstate 280. surrounding uses. – Three Additional Control Points: Adding new control points to the railroad will enhance the Projects and Programs with Full system’s ability to recover from delays and will Funding to be Identified help support the efficient delivery of ongoing and planned construction projects. The following enhancement projects have only partial funding plans in place or do not currently – Mini-High Adjustments: As Caltrain modifies have known sources of funding available to platforms to accommodate longer trains the

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 55 All Numbers in FY2015 $ and in Thousand $ DRAFT FINAL

Table 5.2: Caltrain 10-Year Capital Improvement Program (FY2015-FY2024)

EST. TOTAL FY2014 AND FY2015 FY2016 PROJECT COST PRIOR

Support & Contingency Support 14,000 - 1,400 1,400 Capital Contingency 9,900 - 990 990 Support & Contingency Subtotal 23,900 - 2,390 333,333

State of Good Repair System Infrastructure Rehabilitation Bridge Replacement 146,200 12,970 24,000 54,560 Track Rehabilitation 63,000 - 7,500 7,500 Station Rehabilitation 5,000 - 500 500 Signals & Communications 11,595 - 1,000 1,500 Diesel Rolling Stock Rehabilitation 125,379 - 3,900 35,795 System Infrastructure Subtotal 351,174 12,970 36,900 99,855

Specific Rehabilitation and Improvement Programs Safety, Security & Fencing Improvements 13,000 - 1,300 1,300 Ticket Vending Machine Replacement 32,450 1,250 - -

Specific Rehabilitation Programs Subtotal 45,450 1,250 1,300 1,300 State of Good Repair Subtotal 396,624 14,220 38,200 101,155

Caltrain Modernization Program Early Investment Program CBOSS 231,000 133,021 73,429 15,972 Electrification 957,620 28,500 14,578 128,189 EMU Procurement 572,520 320 7,480 115,000 Early Investment Program Subtotal 1,761,139 161,841 95,487 259,161

Phase Two Improvements EMU increase to all 6-car trains 210,000 - - - EMU increase to all 8-car trains 230,000 - - - 8-Car EMU Platform Lengthening 34,000 - - - Level Boarding Cost to be determined - Phase Two Subtotal 474,000 - - - Caltrain Modernization Program Subtotal Project cost to be determined 161,841 95,487 259,161

Reliability & Enhancement Program Projects and Programs with Funding Identified Control Point Brittan 5,000 - 2,700 2,300 Grade Crossing Hazard Mitigation Project 2,700 - - 300 Grade Separation Program - San Mateo 117,972 - 1,200 2,500 6-Car Train Platform Modifications 1,000 - 400 600 San Mateo County Access and Station Enhancements 45,000 - 2,483 2,483 Removal of Hold-out Rule - South San Francisco 59,000 4,000 - 38,000 with Funding Subtotal 230,672 4,000 6,783 46,183

Projects and Programs with Funding to be Identified North Terminal 200,000 - - - South Terminal Phase II 50,000 - 800 1,200 South Terminal Phase III 28,000 - 500 1,500 Three Additional Control Points 15,000 - - - 22nd Street Station Access Improvement Project 30,000 - - - Mini-High Adjustments 700 - - 700 Hold-out Rule Removal Broadway 20,000 - - - Atherton 24,000 - - - College Park 15,000 - - - Access and Station Enhancements City & County of San Francisco 8,932 - 893 893 Santa Clara 30,240 - 3,024 3,024 Technology Enhancements 25,000 - 2,500 2,500 Seeking Funding Subtotal 446,872 - 7,717 9,817 Reliability & Enhancement Program 677,544 4,000 14,500 56,000

CAPITAL IMPROVEMENT GRAND TOTAL 3,333,207 180,061 150,577 418,706

56 CAPITAL IMPROVEMENT PROGRAM DRAFT FINAL

ADDTIONAL FY15 – FY24 FY2017 FY2018 FY2019 FY2020 FY2021 FY2022 FY2023 FY2024 FUTURE TOTAL COST

1,400 1,400 1,400 1,400 1,400 1,400 1,400 1,400 14,000 ongoing 990 990 990 990 990 990 990 990 9,900 ongoing 2,390 2,390 2,390 2,390 2,390 2,390 2,390 2,390 23,900

23,770 15,900 15,000 - - - - - 133,230 - 6,000 6,000 6,000 6,000 6,000 6,000 6,000 6,000 63,000 ongoing 500 500 500 500 500 500 500 500 5,000 ongoing 1,000 1,000 1,293 1,130 1,000 1,379 1,293 1,000 11,595 ongoing 33,438 18,646 5,600 5,600 5,600 5,600 5,600 5,600 125,379 ongoing 64,708 42,046 28,393 13,230 13,100 13,479 13,393 13,100 338,204 -

1,300 1,300 1,300 1,300 1,300 1,300 1,300 1,300 13,000 ongoing 1,200 15,000 15,000 - - - - - 31,200 -

2,500 16,300 16,300 1,300 1,300 1,300 1,300 1,300 44,200 - 67,208 58,346 44,693 14,530 14,400 14,779 14,693 14,400 382,404

8,578 ------97,979 - 218,061 325,578 179,095 51,619 12,000 - - - 929,120 - 111,910 43,150 121,073 84,128 24,366 41,590 8,393 15,110 572,200 - 338,549 368,728 300,168 135,747 36,366 41,590 8,393 15,110 1,599,298

- - - - 21,000 63,000 63,000 42,000 189,000 21,000 - - - - 23,000 69,000 69,000 46,000 207,000 23,000 - - 1,500 2,000 6,100 12,200 9,150 3,050 34,000 - Cost to be determined - - 1,500 2,000 50,100 144,200 141,150 91,050 430,000 44,000 338,549 368,728 301,668 137,747 86,466 185,790 149,543 106,160 2,029,298 44,000

------5,000 - 300 300 300 300 300 300 300 300 2,700 - 1,000 30,000 50,000 33,272 - - - - 117,972 ------1,000 - 2,483 2,483 4,483 7,483 8,655 9,483 2,483 2,483 45,000 - 17,000 ------55,000 - 20,783 32,783 54,783 41,055 8,955 9,783 2,783 2,783 226,672 -

- - 1,000 6,000 43,000 50,000 50,000 50,000 200,000 - 3,000 5,000 15,000 15,000 10,000 - - - 50,000 - 1,000 15,000 10,000 - - - - - 28,000 - - - - - 3,000 4,000 4,000 4,000 15,000 - - - - - 500 1,000 1,500 1,500 4,500 25,500 ------700 -

- - - - 1,500 2,000 6,500 10,000 20,000 - - - 2,000 5,000 10,000 7,000 - - 24,000 - - - - - 1,000 1,500 5,000 7,500 15,000 -

893 893 893 893 893 893 893 893 8,930 - 3,024 3,024 3,024 3,024 3,024 3,024 3,024 3,024 30,240 - 2,500 2,500 2,500 2,500 2,500 2,500 2,500 2,500 25,000 - 10,417 26,417 34,417 32,417 75,417 71,917 73,417 79,417 421,370 25,500 31,200 59,200 89,200 73,472 84,372 81,700 76,200 82,200 648,042 25,500

439,347 488,664 437,951 228,139 187,628 284,659 242,826 205,150 3,083,644 69,500

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 57 DRAFT FINAL

agency will evaluate the positioning of Mini-High included in each county’s sales tax ramps and make adjustments as necessary. expenditure plans.

– Holdout Rule Removal at Broadway, Atherton The following section provides detailed and College Park Stations: Redesigning these information about the financial assumptions used three stations to improve platforms and remove within the capital planning financial analysis. the operational rule referred to as the “holdout Changes in the financial assumptions, particularly rule” will enhance safety and improve the regarding revenue growth and eligible uses of efficiency of system operations. funds, may change the findings of the capital program’s financial analysis. The revenues – Access and Station Enhancements (City and identified in the capital program are subject to County of San Francisco and Santa Clara member agency allocations and agreements, and Counties): Access and station enhancements regional and state programming policies. support ridership growth and improve the experience of Caltrain customers at the station. FUNDING SHORTFALL

– Systemwide Technology Enhancements: Caltrain’s CIP includes a funding shortfall in Technology improvements enhance the certain categories. In general, Caltrain will, experience of Caltrain’s customers by providing continue to work with its funding partners to new conveniences like Wi-Fi, improving solidify the Caltrain 10-year CIP funding plan wayfinding and information, and enhancing data and identify additional funding to implement the collection and information gathering. CIP. Among other options, Caltrain will continue to explore both traditional (e.g. grants) and innovative funding strategies. Funding for some 5.2 Funding Assumptions programs contained in this plan has not yet been committed by the funding partners and depends The Capital Improvement Program is assumed to on certain funding assumptions being realized. be funded using sources expected to be available and/or committed over the 10-year period. These include federal, state and local funding that are Support, Contingency and State of reasonably expected to be programmed based Good Repair on existing fund programming policies. In general, these funds are available to support rehabilitation The Capital Improvement Program shows an $80 and replacement projects to maintain the railroad million funding gap in in the combined Support, in a state of good repair and avoid a system Contingency and State of Good Repair Categories of deferred maintenance. Local sales tax and over the 10-year life of the SRTP. This funding other earmarked funding are also available to gap is largely driven by the anticipated costs finance capacity expansion and other related of performing mid-life overhauls on portions improvements to the Caltrain system, as well of Caltrain’s diesel locomotives that will be as local access improvements. Some additional retained in service past FY2021 and the start of sources of funds are assumed to fund the Caltrain electrification. Modernization program and are discussed further below. Although the SRTP CIP shows a funding shortfall in this area, Caltrain believes the funding gap can Federal, state, and local match funds for capital be filled. All three of the JPB’s member counties improvements are assumed to remain at historical are currently discussing possible transportation levels. It is assumed, per the Joint Powers funding ballot measures that would go to the Agreement, that the three member agencies voters in the next several years. These funding share equal thirds of local capital matching funds measures would provide funding for various for system-wide improvement projects. Funds Caltrain needs including SOGR maintenance. In from San Mateo, Santa Clara, and San Francisco addition to potential ballot measures, Caltrain County sales tax measures are available to is also looking at supplemental strategies to fund system-wide and county-specific projects eliminate or reduce this SOGR funding gap

58 CAPITAL IMPROVEMENT PROGRAM DRAFT FINAL

including prioritizing rolling stock overhaul work identified. Similar to Phase Two of the Caltrain to spread project expenses over multiple fiscal Modernization Program, these unfunded projects years; value engineering to reduce project costs; have been included in the CIP to demonstrate and additional discretionary grant opportunities Caltrain’s intention and commitment to funding such as California’s Cap and Trade program or and delivering them and to including them in the MTC’s regional RM3 toll revenue. agency’s ongoing planning processes. These unfunded projects have been segregated within CALTRAIN MODERNIZATION the CIP (Table 5.2) and the table of funding assumptions (Table 5.3) and their completion is The CIP also shows the Early Investment not assumed in the operating plan described in Program, including the implementation of Chapter 4. Caltrain will continue to seek grants CBOSS-PTC and the Peninsula Corridor and work with partner agencies to identify funding Electrification Project as being fully funded. In for these important projects. addition to sources of funding already committed, the funding plan for the Early Investment Program FUNDING SOURCES assumes significant funding through FTA’s Core Capacity Grant Program along with additional Cap The following sources of funding are assumed as & Trade revenues as well as regional and local part of Caltrain’s Capital Improvement Program funds that have not yet been committed. These and are shown in Table 5.3. funding sources are described in more detail on the following pages. As previously referenced, the costs shown for the PCEP in the CIP (including Federal Funding Electrification and EMU procurement) total to $1.531 billion. This represents the full project On July 6, 2012, President Obama signed into cost with no value engineering assumed. A law new federal transportation legislation, Moving value-engineered option has been identified at an Ahead for Progress in the 21st Century (MAP- estimated total cost of $1.474 billion. Caltrain’s 21). MAP-21 reauthorizes surface transportation next SRTP will capture updated PCEP costs as funding in the United States. The legislation took Caltrain finalizes project funding and awards effect on October 1, 2012. contracts over the coming year. Various federal revenue sources are available for The CIP does show a funding gap associated with Caltrain’s capital projects. In general, in order to Phase Two of the Caltrain Modernization Program receive federal funding, Caltrain must provide (including expansion of the EMU fleet and local match. The Federal Transit Administration modifications to stations to lengthen platforms Sections 5307 and 5337 reimburse up to 80% and ultimately achieve level boarding). Phase in federal funding for a project, and the local Two of the Caltrain Modernization Program is match requirement is 20%. The amount of federal conceptual in nature. Components of the program funding that is included in the financial plan have been included in the CIP to demonstrate assumes that the three member agencies will be Caltrain’s intention and commitment to funding able to provide the local matching funds needed and delivering them over the coming ten years. to leverage the federal funding. The availability of Phase Two has been segregated within the CIP the local funds is subject to annual appropriation (Table 5.2) and the table of funding assumptions and approval by the three member agencies. (Table 5.3) and its completion is not assumed in the operating plan described in Chapter 4. Federal Transit Administration The Federal Transit Administration provides transit RELIABILITY & ENHANCEMENT PROGRAM capital funding to support mass transportation services to the public. The funding that Caltrain The CIP also shows a funding gap tied to a receives to finance capital projects includes number of Reliability and Enhancement Program Section 5307 urbanized area formula funds and projects where funding sources have not yet been Section 5337 state of good repair grants.

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 59 DRAFT FINAL

MTC establishes the policy for programming The Surface Transportation Program (STP) Sections 5307 and 5337 funds, which are the two provides funding for highways, bridges, transit major sources that Caltrain receives for transit capital, bicycle and car pool programs, and other capital replacement and rehabilitation projects. multimodal uses. It provides flexible funding that Sections 5307 and 5337 funds are allocated may be used for transit capital projects, and by formulas and MTC establishes the criteria intracity and intercity bus terminals and facilities to distribute funding in these two programs to (MAP-21). This financial plan assumes that MTC eligible transit operators to ensure, first and will continue the current programming policy for foremost, that the existing system is replaced, STP and CMAQ funds as it is anticipated the rehabilitated, and maintained in good working funding needs for transit capital projects will order before any capacity expansion projects continue to grow, and will likely exceed the growth would be funded. in funding availability.

In accordance with MTC guidelines, rail vehicle Core Capacity replacement projects are subject to a $30 FTA’s Core Capacity Program was created by the million annual cap, infrastructure projects for rail current authorizing legislation, MAP-21. Projects properties are subject to a $13 million annual eligible for Core Capacity grants must expand cap, and other high priority replacement and capacity by at least 10 percent in existing transit rehabilitation project categories are subject corridors that are already at or above capacity, or to the $7.5 million annual cap. These include are expected to reach that point within five years. signal and communication, and ticket vending The PCEP project qualified for entry into the equipment projects. With respect to the annual project development phase of the Core Capacity cap for infrastructure projects, Caltrain will Program and JPB staff are in the process of work with MTC to advocate for the $13 million seeking a $220 million discretionary grant. cap to ensure all critical rail assets Caltrain manages are maintained in a state of good repair. Finally, the capital financial plan also assumes State Funding a $150,000 annual allocation for ADA projects. MTC programming policy provides that, if ADA Proposition 1A requirements are met, the $150,000 may be In 2012, Senate Bill 1029 allocated $600 million in redirected to other non-ADA projects High Speed Passenger Train Bond Program funds (Proposition 1A) to the construction of the PCEP. Federal Highway Administration (FHWA) STP/ These funds require a dollar-for-dollar match of CMAQ other State, local or Federal funding. The JPB The Congestion Mitigation and Air Quality will be using these funds for the infrastructure Improvement Program (CMAQ) provides funding component of the PCEP. for Clean Air Act projects, State Implementation Plan Projects, and other projects that the State Transportation Improvement Program Department of Transportation and the federal The State Transportation Improvement Environmental Protection Agency determine Program (STIP) is the major program for will help attain mandated air quality standards. state transportation dollars. Eligible projects Demonstration service projects are eligible for include improvements on state highways, local this funding source. MTC has used CMAQ funds roads, public transit, pedestrian and bicycle to fund bus retrofit projects to install clean air facilities, rail grade separations, transportation emission devices on urban coaches. Funds system management, transportation demand are apportioned to every state based on the management, soundwall projects, intermodal population in “non-attainment” areas, adjusted facilities, and safety projects. STIP funding cannot in line with the severity of the pollution. The Bay be used for transit operations. Area has been designated as one of these non- attainment areas.

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Regional Transportation Improvement Program (SLPP); Highway/Rail Crossing Safety Program (RTIP) Account (HRCSA); and the transit security grant These are the funds included in the Regional program. The Prop 1B programs sunsets in FY16 Transportation Improvement Program, and are and no additional funding is assumed beyond the directly programmed in the Bay Area by MTC on a funds that have already been programmed. biennial basis. While the California Transportation Commission allocates funds, decisions on Local Funding Sources what should be included in the program, and the responsibility for amending, delivering and The following sources of local revenues are managing the program, fall to MTC. Seventy-five assumed in the capital program. Most of the local percent of all state funds available for capital sources have already been earmarked for specific programming flow through this mechanism. projects in the expenditure plan of the respective county’s sales tax measures. Cap and Trade Program There are several state programs funded Regional Bridge Tolls by auction proceeds from the California Air Bridge toll revenues provide funding for transit Resources Board’s Cap-and-Trade Program that projects on or near bridge corridors that help to provide direct investments in transit programs relieve bridge traffic and/or provide alternative that reduce greenhouse gas (GHG) emissions. public transit services. Types of projects that can The SRTP includes formula funding from the Low receive such funding include bicycle facilities, Carbon Transit Operations Program (LCTOP). ferry planning, capital and operations, and rail This program has a continuous appropriation of extensions that serve bridge corridors. Bridge toll 5% each fiscal year. The LCTOP provides capital revenues, apportioned to transit operators serve funding as well as operational assistance for as state and local match for Caltrain and other expanded transit service to reduce greenhouse operators to leverage federal capital funds. In gas emissions and improve mobility. The JPB will general, funding available from this source has not also be pursuing appropriate discretionary grant been sufficient to provide the match for all funded opportunities through the Cap and Trade program capital projects. The first priority for matching to offset funding shortfalls or to support unfunded funds is given to projects funded under the federal projects. Section 5307and 5337 program.

Public Utilities Commission Programs Local Match to Federal Grants PUC 130 is a funding program administered by All Member Agency contributions are assumed the California Public Utilities Commission (CPUC) using a 1/3 - 1/3 - 1/3 split unless otherwise for at-grade crossing safety improvements while noted. These contributions do not apply to PUC 190 is a funding program for rail grade expansion projects. In addition, based on separation projects. The JPB assumes funding historical allocations, the financial plan assumes from both of these state programs, based in a $0.5 million allocation from MTC AB664 Bridge part on historical grant amounts, and the relative Toll Program annually, which makes matching ranking priorities of Caltrain projects established funds available for the federal grants. by the CPUC. VTA Funds: Proposition 1B VTA Measure A funds have been earmarked for This plan includes funds from the 2006 Program Electrification, Dumbarton, and Caltrain service that provides both formula and competitive grant upgrades in Santa Clara County. Funding for funds that have been received for several State of Caltrain system-wide improvements, as well Good Repair and enhancement projects. The Prop as local access projects in Santa Clara, will be 1B program provides funding to Caltrain in several considered on a project-by-project basis as part categories, including: the Public Transportation of this study effort. Modernization, Improvement and Service Enhancement (PTMISEA); State Local Partnership

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 61 DRAFT FINAL

San Mateo Measure A: cars will be fully integrated into the revenue fleet The Measure A sales tax, initially approved in FY2016. Details of these vehicles are included by County voters in 1988, along with its in Appendix A. reauthorization, passed by voters in 2004 to extend the sales tax from 2009 through 2033, In FY2021, Caltrain will open the electrified provides funding for transportation improvements system for service, triggering another set of in San Mateo County. changes to its revenue fleet. Over the coming years, Caltrain will purchase 96 EMUs semi- Local San Francisco Funds, including permanently coupled into 16 six-car trainsets. Proposition K: The specific EMUs that will be acquired for San Francisco’s local contribution to Caltrain’s the electrified railroad will be determined over program will include, but is not fully comprised of, the coming year as the Caltrain Modernization Proposition K funds. Proposition K was approved Program advances. Vendor selection associated by the San Francisco voters in 2003, and funds with the EMU procurement is anticipated in early were included in the expenditure plan for Caltrain 2016. The JPB board has been actively engaged Electrification. In addition, the Proposition K discussing issues related to passenger amenities expenditure plan has also set aside funding for including on-board restrooms and bike storage, the Caltrain CIP, and other infrastructure, facilities, and will consider these issues further as the EMU and rolling stock replacement needs. procurement proceeds.

Carl Moyer Funding/Bay Area Air Quality The EMUs that Caltrain acquires will not only Management District expand the overall fleet but will also replace The Carl Moyer Memorial Air Quality Standards a portion of Caltrain’s existing diesel fleet. At Attainment Program (Carl Moyer Program) this time, Caltrain plans to replace 73 of the provides grant funding for cleaner-than-required older diesel passenger vehicles and 20 diesel engines and equipment. Grants are administered locomotives. These 93 total vehicles all date from by local air districts with input from the California about 1985: 73 passenger vehicles are all Nippon Air Resources Board (CARB). A $20 million Carl Sharyo gallery cars and the locomotives are all Moyer grant was approved by the Bay Area Air either F40PH-2 or F40PH-2CAT. Quality Management district at their July 2015 board meeting to help fund the PCEP. Caltrain will retain 61 passenger vehicles and 9 locomotives through and beyond FY2024. The passenger vehicles are a mix of newer gallery cars 5.3 Vehicle Replacement, (from 1999-2000), Caltrain’s current Bombardier Rehabilitation & Expansion bi-level vehicles (from 2002, and 2008), as well as the Bombardier vehicles recently acquired from Metrolink. The diesel locomotives that will remain Caltrain’s fleet will undergo a number of changes in service include three newer F40PH-2Cs and six over the coming years. In general, Caltrain plans MP36s, which were put into service in 1998 and to electrify the corridor and replace a portion 2003, respectively. The operating plan and CIP of today’s diesel locomotive-hauled fleet with account for the required maintenance needed to Electric Multiple Units (EMUs). A future fleet keep these vehicles in operation. management plan under development will provide additional details to inform future SRTPs. The entire existing revenue fleet is further detailed in Appendix A. In FY2015, Caltrain acquired and is refurbishing 16 Bombardier bi-level vehicles originally owned by Metrolink, which were built in 1997. These cars will be used to run 6-car consists on some trains to expand capacity and alleviate crowding. The operating plan in Chapter 4 assumes that these

62 CAPITAL IMPROVEMENT PROGRAM

DRAFT FINAL

Table 5.3: Funding Assumptions for Caltrain 10-Year Capital Improvement Program (FY2015-FY2024)

CATEGORY / FY2014 AND FY2015 FY2016 PROJECT TOTAL PRIOR

Support, Contingency & State of Good Repair Programs Federal FTA Section 53371 168,108 7,360 19,200 41,548 Federal FTA Section 5307 1,600 - 160 160 Fed/State FHWA (San Francisco Roadway Bridges) 19,600 3,770 3,800 7,800 Fed/State FHWA (Proposed HBR funds for Quint) 1,500 - 1,500 State Prop 1B Safety Funds (~$900k/yr based on FY08 State Budget) 1,800 - 900 900 State Prop 1B (Seismic funds for Quint) 200 - 200 State Prop 1 B (Awarded HRCSA funds for San Mateo) 9,000 - 4,500 4,500 State PUC 190 Program (San Mateo Bridges) 5,000 - - 5,000 State Low Carbon Transit Operations Cap and Trade2 7,000 - - - Local Prop K (SF Roadway Bridges) 600 - 200 200 Local SMCTA (San Mateo Bridges) 7,900 - - 2,900 Loca lAB 664 Bridge Tolls 2,200 200 200 200 Local SF 3 38,770 963 3,400 3,800 Local SMCTA Measure A 38,770 963 3,400 3,800 Local VTA 38,770 963 3,400 3,800 Support, Contingency & State of Good Repair Funding Available 340,819 14,220 39,160 76,308 Support, Contingency & State of Good Repair Funding Need (See Table 5.2) 420,524 14,220 40,590 103,545 Cumulative Balance (79,705) (0) (1,430) (28,667)

Caltrain Modernization Program Early Investment Program - CBOSS PTC Federal FRA 17,250 17,250 - - Federal FTA 27,430 27,430 - - Federal FHWA 2,830 2,830 - - State Prop 1A 105,450 105,450 - - State Prop 1B Public Transportation Modernization & Improvement Account) 16,320 4,220 12,100 - State Prop 1B (SLPP) 2,500 2,500 - - Local Prop K 19,737 5,460 5,000 9,277 Local SMCTA Measure A 19,737 5,460 5,000 9,277 Local VTA Measure A 19,737 5,460 5,000 9,277 CBOSS PTC Project Funding Sub-Total 230,991 176,060 27,100 27,831

Early Investment Program - Electrification & EMU Procurement (PCEP) Committed Funding Federal FTA Section 5307/5337 7 329,900 16,000 5,230 21,620 State Prop 1A 600,000 - 60,630 145,110 State Prop 1B (Public Transportation Modernization & Improvement Account) 8,000 - 8,000 - Regional Carl Moyer 20,000 - - 4,000 Local Bridge Tolls 11,000 - - 11,000 Local JPB Members 133,000 5,360 18,460 9,720 Additional Funding State High Speed Rail Cap and Trade 113,010 - - 15,000 Regional RM2 20,000 - - - Regional RM1 9,000 - - - Local Caltrain Low Carbon Transit Operations Cap and Trade 2 9,000 - - 1,800 Local Santa Clara (VTA) Contribution 20,000 - - 3,900 Local San Francisco Contribution 20,000 - - 1,460 Local San Mateo (SMCTA) Contribution 20,000 - - 20,000 Federal FTA Core Capacity 220,000 - - 5,560 PCEP Project Funding Sub-Total 1,532,910 21,360 92,320 239,170 Caltrain Modernization Phase Two TBD Funding Source to be determined - - - -

Total Caltrain Modernization Funding Available 1,763,901 197,420 119,420 267,001 Caltrain Modernization Need - Early Investment Program Only (See Table 5.2) 1,761,139 161,841 95,487 259,161 Cumulative Balance - Early Investment Program Only 2,762 35,579 23,933 7,840 Total Caltrain Modernization Need - Early Investment Program and Phase Two (See Table 5.2) 2,235,139 161,841 95,487 259,161 Cumulative Balance- Early Investment Program and Phase Two (471,238) 35,579 23,933 7,840

64 CAPITAL IMPROVEMENT PROGRAM DRAFT FINAL

FY15 – FY24 FY2017 FY2018 FY2019 FY2020 FY2021 FY2022 FY2023 FY2024 TOTAL

12,500 12,500 12,500 12,500 12,500 12,500 12,500 12,500 160,748 160 160 160 160 160 160 160 160 1,600 4,230 ------15,830 ------1,500 ------1,800 ------200 ------9,000 ------5,000 - - - - 1,750 1,750 1,750 1,750 7,000 200 ------600 5,000 ------7,900 200 200 200 200 200 200 200 200 2,000 3,984 4,102 4,021 3,700 3,700 3,700 3,700 3,700 37,807 3,984 4,102 4,021 3,700 3,700 3,700 3,700 3,700 37,807 3,984 4,102 4,021 3,700 3,700 3,700 3,700 3,700 37,807 34,242 25,166 24,923 23,960 25,710 25,710 25,710 25,710 326,599 69,598 60,736 47,083 16,920 16,790 17,169 17,083 16,790 406,304 (64,023) (99,593) (121,753) (114,713) (105,793) (97,252) (88,625) (79,705) (79,705)

------12,100 ------14,277 ------14,277 ------14,277 54,931

62,530 29,400 66,050 58,360 37,960 16,380 4,090 12,280 313,900 200,020 135,030 45,080 14,130 - - - - 600,000 ------8,000 4,000 4,000 4,000 2,000 2,000 20,000 - - - - - 11,000 23,060 35,570 24,230 11,440 5,160 127,640

23,820 28,950 26,910 18,330 - - - - 113,010 20,000 ------20,000 9,000 ------9,000 1,800 1,800 1,800 1,800 - - - 9,000 3,900 3,900 3,900 3,900 500 - - - 20,000 6,540 4,000 4,000 4,000 - - - - 20,000 ------20,000 61,090 40,450 79,570 19,640 9,780 1,960 490 1,460 220,000 415,760 283,100 255,540 133,600 55,400 18,340 4,580 13,740 1,511,550

------

415,760 283,100 255,540 133,600 55,400 18,340 4,580 13,740 1,566,481 338,549 368,728 300,168 135,747 36,366 41,590 8,393 15,110 1,599,298 77,211 (85,628) (44,628) (2,147) 19,034 (23,250) (3,813) (1,370) (32,817) 338,549 368,728 301,668 137,747 86,466 185,790 149,543 106,160 2,029,298 77,211 (85,628) (46,128) (4,147) (31,066) (167,450) (144,963) (92,420) (462,817)

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 65 DRAFT FINAL

Table 5.3: Funding Assumptions for Caltrain 10-Year Capital Improvement Program (FY2015-FY2024) continued

CATEGORY / FY2014 AND FY2015 FY2016 PROJECT TOTAL PRIOR

Reliability & Enhancement Program Projects with Funding Identified Federal FTA STP/CMAQ - Transit Performance Incentive4 3,600 1,400 1,100 State Prop 1B (Public Transportation Modernization & Improvement Account - South Terminal) 1,200 1,200 State PUC 130 Program 300 Local South San Francisco (SSF Station) - 2,000 Local ACE (South Terminal) - - - - Local CCJPA (South Terminal) 1,000 - 1,000 - Local SMCTA (for Caltrain improvements in San Mateo County) 5 104,000 4,000 - 38,000 Local SMCTA (Grade Separation Program) 6 118,000 - 1,200 2,500 Reliability & Enhancement Program - Projects with Funding Sub-Total 230,500 4,000 3,600 45,100

Projects with Funding to be Identified TBD Funding Source TBD - - - -

Total Reliability & Enhancement Funding Available 230,500 4,000 3,600 45,100 Reliability & Enhancement Project Need- Projects with Funding Identified Only (See Table 5.2) 230,672 4,000 6,783 46,183 Cumulative Balance - Projects with Funding Identified Only (172) - (3,183) (1,083) Total Reliability & Enhancement Program Funding Need (See Table 5.2) 677,544 4,000 14,500 56,000 Cumulative Balance- Early Investment Program and Phase Two (447,044) - (10,900) (10,900)

GRAND TOTAL CIP FUNDING AVAILABILITY 2,335,220 215,640 162,180 388,409 Total Project Needs (excluding unfunded enhancements & CalMod Phase Two) 2,412,335 180,061 142,860 408,889 TOTAL CUMULATIVE BALANCE (excluding unfunded enhancements & CalMod Phase Two) (77,115) 35,579 19,320 (20,480) Total Project Needs (all projects) 3,333,207 180,061 150,577 418,706 TOTAL CUMULATIVE BALANCE (997,987) 35,579 11,603 (30,297)

66 CAPITAL IMPROVEMENT PROGRAM DRAFT FINAL

FY15 – FY24 FY2017 FY2018 FY2019 FY2020 FY2021 FY2022 FY2023 FY2024 TOTAL

1,100 3,600 1,200 300 300 300 300 300 300 300 300 2,700 2,000 1,000 ------1,000 17,000 5,000 5,000 5,000 9,000 9,000 9,500 2,500 100,000 1,000 30,000 50,000 33,300 - - - - 118,000 21,400 36,300 55,300 38,600 9,300 9,300 9,800 2,800 226,500

------

21,400 36,300 55,300 38,600 9,300 9,300 9,800 2,800 226,500 20,783 32,783 54,783 41,055 8,955 9,783 2,783 2,783 226,672 617 3,517 517 (2,455) 345 (483) 7,017 17 (172) 31,200 59,200 89,200 73,472 84,372 81,700 76,200 82,200 648,042 (9,800) (22,900) (33,900) (34,872) (75,072) (72,400) (66,400) (79,400) (421,542)

471,402 344,566 335,763 196,160 90,410 53,350 40,090 42,250 2,119,580 428,930 462,247 402,034 193,722 62,111 68,542 28,259 34,683 2,232,274 42,472 (117,681) (66,271) 2,438 28,299 (15,192) 11,831 7,567 (112,694) 439,347 488,664 437,951 228,139 187,628 284,659 242,826 205,150 3,083,644 32,055 (144,098) (102,188) (31,979) (97,218) (231,309) (202,736) (162,900) (964,064)

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 67 DRAFT FINAL

68 OVERVIEW OF TRANSIT SYSTEM DRAFT FINAL 6 Other Requirements

6.1 Resolution 3434

There are two active Caltrain expansion projects that were originally included under MTC Resolution No. 3434 in 2001 and have been carried through the Resolution’s most recent update in 2008. These include:

– Caltrain Electrification Program

– Caltrain Express Phase II

An additional JPB project, Caltrain Express Phase The Electrification program now forms the I (also known as the Caltrain Baby Bullet) was foundation of the broader “Caltrain Modernization included in the original Resolution 3434 list of Program,” a group of projects that will modernize projects. This project has since been completed Caltrain’s infrastructure and services to address and was put into revenue service in June of 2004. growing mobility needs in the corridor and prepare for a Caltrain / High Speed Rail Blended Since its inclusion in Resolution 3434, the Caltrain System. Electrification Program has achieved significant milestones and the project’s scope, schedule and The first phase of the Caltrain Modernization the funding needs have all undergone redefinition. Program includes the “Early Investment Program.”

Artist’s Conception

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 69 DRAFT FINAL

This program includes projects that have funding the infrastructure constructed through the PCEP plans in place and are moving actively towards will also be compatible with the future use of the implementation. The Early Investment Program Peninsula Corridor by California’s High Speed is defined through a 2012 9-party Memorandum Rail System. of Understanding that recognizes a specific, inter-related program of projects that support Project Description electrification of the Peninsula Corridor and The PCEP includes the electrification of a 51-mile facilitate implementation of California High Speed stretch of JPB-owned right of way between San Rail service. The MOU also provides a framework Francisco and San Jose. Specifically, the project to assist project partners in seeking funds includes the installation of 130 to 140 single-track necessary to implement the electrification project miles of overhead contact system (OCS) for the and plan for the Caltrain / High Speed Rail Blended distribution of electrical power to new electric System. rolling stock. The OCS will be powered from a 25 kilovolt (kV), 60 Hertz (Hz), single-phase, alternating The Early Investment Program specifically includes current (AC) traction power system consisting the installation of a Communications Based of two traction power substations (TPSs), one Overlay Signal System and Positive Train Control switching station and seven paralleling stations. (CBOSS PTC) to address federal mandates associated with the Rail Safety Improvement The PCEP also includes the procurement of up Act of 2008 and the Peninsula Corridor to 96 new Electric Multiple Unit vehicles that will Electrification Project (PCEP). This includes both utilize this new infrastructure and replace a portion the electrification of the existing Caltrain corridor of Caltrain’s aging diesel fleet. By 2020, this will between San Francisco and San Jose, and the allow for the conversion of approximately 75 partial replacement of Caltrain’s diesel trains with percent of the service fleet between San Jose and high-performance Electric Multiple Units (EMUs). San Francisco to EMU vehicles, with the remaining 25 percent being diesel-powered. The remaining Beyond the projects defined in the Early diesel rolling stock used for San Francisco to San Investment Program, the Caltrain Modernization Jose service will be replaced with EMUs after 2020 Program also includes a conceptual second phase as diesel vehicles reach the end of their useful of projects. These include rolling stock expansion life and additional funding is identified. Because and platform lengthening to follow the Early the PCEP only involves electrification of the Investment Program, and in future years (beyond Caltrain right of way from San Francisco to a point 2024), the implementation of level boarding at approximately 2 miles south of Tamien Station, stations throughout the Caltrain system. Caltrain’s diesel-powered locomotives will continue to provide service between Gilroy and the San Jose As a result of the work over the last several years, Diridon Station with through service north to San the definition of the Resolution 3434 project should Francisco. be revised to include elements associated with the Peninsula Corridor Electrification Project (PCEP), PROJECT OVERVIEW: described below. Project: Caltrain Electrification Program PENINSULA CORRIDOR ELECTRIFICATION Revenue Service Date: 2020 PROGRAM Miles of New/Enhanced Service: 51 miles Mode: Electric passenger trains Project Purpose Number of New Stations: none The Peninsula Corridor Electrification Program will Number of New Vehicles/Rolling Stock: up to 96 improve Caltrain system performance and expand EMUs the capacity of the system to provide enhanced System Connectivity: Caltrain will continue service to a growing ridership. The project will to connect with Muni (San Francisco), BART also reduce noise and greenhouse gases and (Millbrae), VTA (Mountain View, San Jose) and improve regional air quality. In addition to allowing ACE and Amtrak (Santa Clara and San Jose for an improved and expanded Caltrain service, Diridon).

70 OTHER REQUIREMENTS DRAFT FINAL

PROJECT SCHEDULE

The JPB is pursuing an aggressive schedule to make the PCEP a reality. The schedule below details the work completed to-date as well as upcoming major project milestones, including those associated with funding.

Table 6.1: Peninsula Corridor Electrification Program Schedule

MILESTONE MILESTONE DESCRIPTION MILESTONE

1 Federal Environmental Review / 35% Design Complete—2009 2 9 Party Regional Funding MOU Complete—2012

Board Action Contracting Method(D B for electrification; Best Value 3 Complete—2013 for vehicles)

4 Procurement of Owner’s Team Complete—2014 5 RFQ for Electrification and RFI for Vehicles Complete—2014 6 State Environmental Review Complete—Jan. 2015 7 Approval of Entry into Core Capacity Program/Project Development Complete—April 2015 8 Procure / Select Contractor Teams Late 2015/Early 2016 9 Design/Manufacture/Build/Test 2016-2020/21 10 Open for Revenue Service 2020/21

The latest cost estimate for the PCEP is $1.474 - $1.531 billion depending on the utilization of various possible value engineering strategies. A cost breakdown of the two project components is provided in Table 6-2. Table 6-3 provides a snapshot of the project estimate to complete from January 2015 to project completion.

Table 6.2: Peninsula Corridor Electrification Program Cost

CURRENT COST COMPONENT SCOPE (MILLIONS)

Design and construction of the electrified infrastructure including Electrification the OCS, substations, switching stations, paralleling stations and $950- $958 Infrastructure management reserve

Purchase of up to 96 EMU’s to replace Caltrain’s fleet of aging fleet Purchase of EMU’s $524- $573 of rolling stock

TOTAL $1,474 – $1,531

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 71 DRAFT FINAL

Table 6.3: Peninsula Corridor Electrification Program Estimate to Complete

PROJECT EXPENDITURES AND ESTIMATE TO COMPLETE AMOUNT (MILLIONS)

Expended plus accrued through December 2014 $44

Expended plus accrued through December 2014 $32

Expended plus accrued through December 2014 $1,398 $1,455

TOTAL $1,531

Project funding is broken down in Table 6-4. This table includes funding committed through the regional 9-party memorandum of understanding with the project partners, and additional funding currently under negotiations with the partners to fully fund the project. Caltrain anticipates that a new, 6-party MOU identifying full funding for the project will be approved by the JPB in the fall of 2015. The funding plan shown identifies funds sufficient to complete the full estimated cost of the project.

Table 6.4: Peninsula Corridor Electrification Program Funding by Source

FUND SOURCE AMOUNT (MILLIONS)

FTA 5307 funds $331

State HSR Prop 1A Bond Funds $600

State Prop 1B program $8

Bay Area Air Quality Management District Carl Moyer Program $20

Regional Bridge Toll Revenue $11

JPB Member Agencies $193

FTA Core Capacity $220

State HSR Cap & Trade $113

JPB Cap & Trade $9

MTC RM 1 & RM2 $29

TOTAL $1,534

72 OTHER REQUIREMENTS DRAFT FINAL

Caltrain Express Phase II PROJECT OVERVIEW:

The Resolution 3434 project list also includes a Project: Caltrain Express Phase II variety of improvements to the Caltrain system to Project Cost Estimate: $278 million support service expansion in the corridor. Within Revenue Service Date: 2025 resolution 3434, these projects are collectively Miles of New/Enhanced Service: 52 miles grouped together under the umbrella label of Mode: Mixture of Electric-Powered Trains and “Caltrain Express Phase II.” Diesel Locomotive Trains PROJECT PURPOSE Number of New Stations: none Number of New Vehicles/Rolling Stock: N/A Caltrain Express Phase II is meant to improve System Connectivity: The project will not alter system capacity by improving the termini of the the extent of the current system. Caltrain will railroad, including the San Francisco and the San continue to connect with Muni (San Francisco), Jose station approaches and yards. Combined BART (Millbrae), VTA (Mountain View, San Jose), with the already implemented signal improvements California High Speed Raid (Millbrae, Diridon, SF) included in CBOSS PTC, the Caltrain Express and Amtrak (San Jose Diridon). Phase II family of projects will enhance the quality and efficiency of passenger service by improving the safety of the system and enhancing throughput. Burden Policy, and Caltrain Systemwide Service Standards and Policies. These policies and standards were adopted to ensure that the needs PROJECT DESCRIPTION of minority and low-income populations were The Caltrain Express Phase II effort includes the considered during the evaluation of the system following constituent projects that will improve and service changes. Policies were adopted after capacity by maximizing the utility of existing significant public outreach was undertaken to Caltrain facilities and infrastructures: solicit input from Caltrain riders and constituents. Four outreach meetings were held in communities North Terminal along the corridor from Gilroy to San Francisco. The North Terminal project includes improvements Additionally, notices were placed at all train to the San Francisco 4th and Townsend stations, on the Caltrain website, on board trains, Caltrain Station. The project includes widening and in numerous English and Spanish newspapers. and lengthening the terminal platforms and reconfiguring the track approach at the terminal. In October 2013, the JPB Board also adopted Track modifications will support the Downtown San the Caltrain Title VI Compliance Program that Francisco Extension to the Transbay Terminal. This included new and necessary elements in order to project maximizes throughput, improves access, comply with federal guidance related to Title VI adds storage and allows for future expansion. and Environmental Justice contained in circular 4702.1B. Along with the newly adopted policies, South Terminal this update included the development of a Limited The South Terminal project includes further English Proficiency Language Assistance Plan, improvements to the San Jose Diridon Station a Public Participation Plan aimed at meaningful and approaches to and from the station to public involvement for minorities and low-income accommodate the rail traffic in the vicinity of this population, and two Equity Analyses that were location, including service provided by Caltrain, conducted on fare changes in 2012 and 2013. ACE, Capitol Corridor, Amtrak, California High The program also included a map-based station Speed Rail, as well as Union Pacific. This project analysis of demographic characteristics adjacent to will improve operational capacity, reliability the Caltrain stations that can be used for outreach, and flexibility. community engagement, and station planning. Caltrain’s Title VI program is discussed in more 6.2 Title VI and Environmental detail in section 3.4 of this document. Justice The next update to the Title VI Program will be On April 4, 2013, the JPB adopted Resolution submitted by November of 2016. 2013-21, which included the Major Service Change Policy, Disparate Impact Policy, Disproportionate

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 73 DRAFT FINAL

6.2 TITLE VI AND public involvement for minorities and low-income ENVIRONMENTAL JUSTICE population, and two Equity Analyses that were conducted on fare changes in 2012 and 2013. The program also included a map-based station On April 4, 2013, the JPB adopted Resolution analysis of demographic characteristics adjacent 2013-21, which included the Major Service to the Caltrain stations that can be used for Change Policy, Disparate Impact Policy, outreach, community engagement, and station Disproportionate Burden Policy, Caltrain planning. Caltrain’s Title VI program is discussed Systemwide Service Standards and Policies. in more detail in section 3.4 of this document. These policies and standards were adopted to ensure that the needs of minority and low-income The next update to the Title VI Program will be populations were considered during the evaluation submitted by November of 2016. of the system and service changes. The policies were adopted after significant public outreach was undertaken to solicit input from Caltrain riders and constituents. Four outreach meeting were held in communities along the corridor from Gilroy to San Francisco. Additionally, notices were placed at all train stations, on the Caltrain website, on board trains, and in numerous English and Spanish newspapers.

In October 2013, the JPB Board also adopted the Caltrain Title VI Compliance Program that included new and necessary elements in order to comply with federal guidance related to Title VI and Environmental Justice contained in circular 4702.1B. Along with the newly adopted policies, this update included the development of a Limited English Proficiency Language Assistance Plan, a Public Participation Plan aimed at meaningful

74 OTHER REQUIREMENTS DRAFT FINAL

Appendix A A Caltrain Locomotive & Passenger Car Inventory

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 75 DRAFT FINAL

Table A.1: Caltrain Fleet Configuration - Locomotives

UNIT YEAR YEAR HORSE NO. MANUFACTURE TYPE SEPARATE HEP WEIGHT NUMBER MANUFACTURED OVERHAULED POWER

1 900 General Motors-EMD F40PH-2-CAT 1985 1999 425 KW CAT 3200 260,000

2 901 General Motors-EMD F40PH-2-CAT 1985 1999 425 KW CAT 3200 260,000

3 902 General Motors-EMD F40PH-2 1985 1999 Gear Drive HEP 3200 260,000

4 903 General Motors-EMD F40PH-2 1985 1999 Gear Drive HEP 3200 260,000

5 904 General Motors-EMD F40PH-2-CAT 1985 1999 425 KW CAT 3200 260,000

6 905 General Motors-EMD F40PH-2-CAT 1985 1999 425 KW CAT 3200 260,000

7 906 General Motors-EMD F40PH-2-CAT 1985 1999 425 KW CAT 3200 260,000

8 907 General Motors-EMD F40PH-2 1985 1999 Gear Drive HEP 3200 260,000

9 908 General Motors-EMD F40PH-2-CAT 1985 1999 425 KW CAT 3200 260,000

10 909 General Motors-EMD F40PH-2-CAT 1985 1999 425 KW CAT 3200 260,000

11 910 General Motors-EMD F40PH-2 1985 1999 Gear Drive HEP 3200 260,000

12 911 General Motors-EMD F40PH-2-CAT 1985 1999 425 KW CAT 3200 260,000

13 912 General Motors-EMD F40PH-2-CAT 1985 1999 425 KW CAT 3200 260,000

14 913 General Motors-EMD F40PH-2-CAT 1985 1999 425 KW CAT 3200 260,000

15 914 General Motors-EMD F40PH-2 1985 1999 Gear Drive HEP 3200 260,000

16 915 General Motors-EMD F40PH-2-CAT 1985 1999 425 KW CAT 3200 260,000

17 916 General Motors-EMD F40PH-2-CAT 1985 1999 425 KW CAT 3200 260,000

18 917 General Motors-EMD F40PH-2-CAT 1985 1999 425 KW CAT 3200 260,000

19 918 General Motors-EMD F40PH-2-CAT 1987 2000 425 KW CAT 3200 260,000

20 919 General Motors-EMD F40PH-2-CAT 1987 2000 425 KW CAT 3200 260,000

20 SUBTOTAL

21 920 Boise Locomotive Inc F40PH-2C 1998 NA 425 KW CAT 3200 282,000

22 921 Boise Locomotive Inc F40PH-2C 1998 NA 425 KW CAT 3200 282,000

23 922 Boise Locomotive Inc F40PH-2C 1998 NA 425 KW CAT 3200 282,000

3 SUBTOTAL

24 923 Motive Power, Inc. MP36PH-3C 2003 NA 600 KW CAT 3600 293,500

25 924 Motive Power, Inc. MP36PH-3C 2003 NA 600 KW CAT 3600 293,500

26 925 Motive Power, Inc. MP36PH-3C 2003 NA 600 KW CAT 3600 293,500

27 926 Motive Power, Inc. MP36PH-3C 2003 NA 600 KW CAT 3600 293,500

28 927 Motive Power, Inc. MP36PH-3C 2003 NA 600 KW CAT 3600 293,500

29 928 Motive Power, Inc. MP36PH-3C 2003 NA 600 KW CAT 3600 293,500

6 SUBTOTAL

29 TOTAL

76 APPENDIX A DRAFT FINAL

Table A.2 Caltrain Fleet Configuration – Passenger Cars

CAR YEAR YEAR LUGGAGE ADA NO. MANUFACTURE TYPE SEATS TOILET BIKES WEIGHT NUMBER MANUFACTURED OVERHAULED RACK LIFT

1 3800 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

2 3801 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

3 3802 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

4 3803 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

5 3804 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

6 3805 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

7 3806 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

8 3807 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

9 3808 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

10 3809 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

11 3810 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

12 3811 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

13 3812 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

14 3813 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

15 3814 Nippon-Sharryo Trailer Car 1985 2002 142 Yes No No 0 118,000

16 3815 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

17 3816 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

18 3817 Nippon-Sharryo Trailer Car 1985 2002 142 Yes No No 0 118,000

19 3818 Nippon-Sharryo Trailer Car 1985 2002 142 Yes No No 0 118,000

20 3819 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

21 3820 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

22 3821 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

23 3822 Nippon-Sharryo Trailer Car 1985 2002 142 Yes No No 0 118,000

24 3823 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

25 3824 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

26 3825 Nippon-Sharryo Trailer Car 1985 2001 142 Yes No No 0 118,000

27 3826 Nippon-Sharryo Trailer Car 1985 2002 108 No No No 40 118,000

28 3827 Nippon-Sharryo Trailer Car 1985 2002 108 No No No 40 118,000

29 3828 Nippon-Sharryo Trailer Car 1985 2002 108 No No No 40 118,000

30 3829 Nippon-Sharryo Trailer Car 1985 2002 108 No No No 40 118,000

31 3830 Nippon-Sharryo Trailer Car 1985 2002 108 No No No 40 118,000

32 3831 Nippon-Sharryo Trailer Car 1985 2002 108 No No No 40 118,000

33 3832 Nippon-Sharryo Trailer Car 1985 2001 108 No No No 40 118,000

34 3833 Nippon-Sharryo Trailer Car 1985 2002 108 No No No 40 118,000

35 3834 Nippon-Sharryo Trailer Car 1985 2002 108 No No No 40 118,000

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 77 DRAFT FINAL

Table A.2 Caltrain Fleet Configuration – Passenger Cars

CAR YEAR YEAR LUGGAGE ADA NO. MANUFACTURE TYPE SEATS TOILET BIKES WEIGHT NUMBER MANUFACTURED OVERHAULED RACK LIFT

36 3835 Nippon-Sharryo Trailer Car 1985 2002 108 No No No 40 118,000

37 3836 Nippon-Sharryo Trailer Car 1985 2002 148 No No No 0 118,000

38 3837 Nippon-Sharryo Trailer Car 1985 2002 148 No No No 0 118,000

39 3838 Nippon-Sharryo Trailer Car 1985 2002 148 No No No 0 118,000

40 3839 Nippon-Sharryo Trailer Car 1985 2002 148 No No No 0 118,000

41 3840 Nippon-Sharryo Trailer Car 1985 2002 148 No No No 0 118,000

42 3841 Nippon-Sharryo Trailer Car 1985 2002 148 No No No 0 118,000

43 3842 Nippon-Sharryo Trailer Car 1987 2002 148 No No No 0 118,000

44 3843 Nippon-Sharryo Trailer Car 1986 2001 148 No No No 0 118,000

45 3844 Nippon-Sharryo Trailer Car 1986 2002 148 No No No 0 118,000

46 3845 Nippon-Sharryo Trailer Car 1986 2002 148 No No No 0 118,000

47 3846 Nippon-Sharryo Trailer Car 1986 2002 148 No No No 0 118,000

48 3847 Nippon-Sharryo Trailer Car 1986 2002 148 No No No 0 118,000

49 3848 Nippon-Sharryo Trailer Car 1986 2002 148 No No No 0 118,000

50 3849 Nippon-Sharryo Trailer Car 1986 2002 148 No No No 0 118,000

51 3850 Nippon-Sharryo Trailer Car 1986 2002 148 No No No 0 118,000

52 3851 Nippon-Sharryo Trailer Car 1986 2002 148 No No No 0 118,000

53 3852 Nippon-Sharryo Trailer Car 2000 NA 122 No Yes Yes 40 122,000

54 3853 Nippon-Sharryo Trailer Car 2000 NA 122 No Yes Yes 40 122,000

55 3854 Nippon-Sharryo Trailer Car 2000 NA 122 No Yes Yes 40 122,000

56 3855 Nippon-Sharryo Trailer Car 2000 NA 122 No Yes Yes 40 122,000

57 3856 Nippon-Sharryo Trailer Car 2000 NA 122 No Yes Yes 40 122,000

58 3857 Nippon-Sharryo Trailer Car 2000 NA 122 No Yes Yes 40 122,000

59 3858 Nippon-Sharryo Trailer Car 2000 NA 122 No Yes Yes 40 122,000

60 3859 Nippon-Sharryo Trailer Car 2000 NA 122 No Yes Yes 40 122,000

61 3860 Nippon-Sharryo Trailer Car 2000 NA 122 No Yes Yes 40 122,000

62 3861 Nippon-Sharryo Trailer Car 2000 NA 122 No Yes Yes 40 122,000

63 3862 Nippon-Sharryo Trailer Car 2000 NA 122 No Yes Yes 40 122,000

64 3863 Nippon-Sharryo Trailer Car 2000 NA 122 No Yes Yes 40 122,000

65 3864 Nippon-Sharryo Trailer Car 2000 NA 122 No Yes Yes 40 122,000

66 3865 Nippon-Sharryo Trailer Car 2000 NA 122 No Yes Yes 40 122,000

66 SUBTOTAL

67 4000 Nippon-Sharryo Cab Car 1985 2001 97 No Yes Yes 40 125,000

68 4001 Nippon-Sharryo Cab Car 1985 2002 97 No No Yes 40 125,000

78 APPENDIX A DRAFT FINAL

Table A.2 Caltrain Fleet Configuration – Passenger Cars

CAR YEAR YEAR LUGGAGE ADA NO. MANUFACTURE TYPE SEATS TOILET BIKES WEIGHT NUMBER MANUFACTURED OVERHAULED RACK LIFT

89 4022 Nippon-Sharryo Cab Car 2000 2002 97 No Yes Yes 40 127,000

90 4023 Nippon-Sharryo Cab Car 2000 2002 97 No Yes Yes 40 127,000

91 4024 Nippon-Sharryo Cab Car 2000 2002 97 No Yes Yes 40 127,000

92 4025 Nippon-Sharryo Cab Car 2000 2002 97 No Yes Yes 40 127,000

93 4026 Nippon-Sharryo Cab Car 2000 2002 97 No Yes Yes 40 127,000

27 SUBTOTAL

94 164 Bombardier Trailer Car 1997 NA 149 No No Yes 0 119,000

95 165 Bombardier Trailer Car 1997 NA 149 No No Yes 0 119,000

96 167 Bombardier Trailer Car 1997 NA 149 No No Yes 0 19,000

97 169 Bombardier Trailer Car 1997 NA 149 No No Yes 0 119,000

98 170 Bombardier Trailer Car 1997 NA 149 No No Yes 0 19,000

99 172 Bombardier Trailer Car 1997 NA 149 No No Yes 0 119,000

100 173 Bombardier Trailer Car 1997 NA 149 No No Yes 0 119,000

101 175 Bombardier Trailer Car 1997 NA 149 No No Yes 0 119,000

102 176 Bombardier Trailer Car 1997 NA 149 No No Yes 0 119,000

103 177 Bombardier Trailer Car 1997 NA 149 No No Yes 0 119,000

104 178 Bombardier Trailer Car 1997 NA 149 No No Yes 0 119,000

105 179 Bombardier Trailer Car 1997 NA 149 No No Yes 0 119,000

106 180 Bombardier Trailer Car 1997 NA 149 No No Yes 0 119,000

108 181 Bombardier Trailer Car 1997 NA 149 No No Yes 0 119,000

109 182 Bombardier Trailer Car 1997 NA 149 No No Yes 0 119,000

110 219 Bombardier Trailer Car 2003 NA 127 No No Yes 24 119,000

111 220 Bombardier Trailer Car 2003 NA 144 No No Yes 0 119,000

112 221 Bombardier Trailer Car 2002 NA 144 No No Yes 0 119,000

113 222 Bombardier Trailer Car 2002 NA 144 No No Yes 0 119,000

114 223 Bombardier Trailer Car 2002 NA 144 No No Yes 0 119,000

115 224 Bombardier Trailer Car 2002 NA 144 No No Yes 0 119,000

116 225 Bombardier Trailer Car 2002 NA 144 No No Yes 0 119,000

117 226 Bombardier Trailer Car 2002 NA 144 No No Yes 0 119,000

118 229 Bombardier Trailer Car 2002 NA 144 No No Yes 0 119,000

119 230 Bombardier Trailer Car 2002 NA 144 No No Yes 0 119,000

120 232 Bombardier Trailer Car 2008 NA 140 No No Yes 0 119,000

121 233 Bombardier Trailer Car 2008 NA 140 No No Yes 0 119,000

122 234 Bombardier Trailer Car 2008 NA 140 No No Yes 0 119,000

CALTRAIN SHORT RANGE TRANSIT PLAN: FY2015-2024 79 DRAFT FINAL

Table A.2 Caltrain Fleet Configuration – Passenger Cars

CAR YEAR YEAR LUGGAGE ADA NO. MANUFACTURE TYPE SEATS TOILET BIKES WEIGHT NUMBER MANUFACTURED OVERHAULED RACK LIFT

123 235 Bombardier Trailer Car 2008 NA 1140 No No Yes 0 119,000

124 236 Bombardier Trailer Car 2008 NA 140 No No Yes 0 119,000

31 SUBTOTAL

125 112 Bombardier Cab Car 2002 NA 114 No No Yes 24 122,000

126 113 Bombardier Cab Car 2002 NA 114 No No Yes 24 122,000

127 114 Bombardier Cab Car 2002 NA 114 No No Yes 24 122,000

128 115 Bombardier Cab Car 2002 NA 114 No No Yes 24 122,000

129 116 Bombardier Cab Car 2002 NA 114 No No Yes 24 122,000

130 117 Bombardier Cab Car 2002 NA 114 No No Yes 24 122,000

131 118 Bombardier Cab Car 2002 NA 114 No No Yes 24 122,000

132 119 Bombardier Cab Car 2008 NA 114 No No Yes 24 122,000

133 120 Bombardier Cab Car 2008 NA 114 No No Yes 24 122,000

9 SUBTOTAL

133 TOTAL

80 APPENDIX A

1250 San Carlos Ave. Short Range Transit Plan: FY2015-2024 San Carlos, California 94070 www.caltrain.com October 2015 RESOLUTION NO. 2015 –

BOARD OF DIRECTORS, PENINSULA CORRIDOR JOINT POWERS BOARD STATE OF CALIFORNIA

* * *

ADOPTING THE FISCAL YEAR (FY) 2015-2024 CALTRAIN SHORT RANGE TRANSIT PLAN (SRTP)

WHEREAS, the Metropolitan Transportation Commission (MTC) requires San Francisco Bay Area transit operators to periodically prepare and submit SRTPs describing their systems and policies; and WHEREAS, MTC requires that each agency's SRTP serve as a management and policy document for the transit operator, describing the agency’s capital and operating budgets, capacity, and plans for the subsequent 10 years; and WHEREAS, the SRTP fulfills the Federal Transit Administration and MTC’s regulatory requirements to implement the Regional Transportation Plan and the Transportation Improvement Program, which allows the Peninsula Corridor Joint Powers Board (JPB) to qualify for Federal and State funding; and WHEREAS, the Caltrain SRTP was developed in accordance with MTC’s published guidelines and to coordinate with the Caltrain Strategic Plan, ongoing planning and environmental work related to the Caltrain Modernization Program, and priorities of the JPB’s partners and stakeholders. NOW, THEREFORE, BE IT RESOLVED that the Board of Directors of the Peninsula Corridor Joint Powers Board hereby adopts the FY2015-2024 Caltrain SRTP attached and incorporated by this reference. Regularly passed and adopted this 1st day of October, 2015 by the following vote: AYES:

NOES:

ABSENT:

Chair, Peninsula Corridor Joint Powers Board ATTEST:

JPB Secretary

11543653.1 AGENDA ITEM # 11 OCTOBER 1, 2015

PENINSULA CORRIDOR JOINT POWERS BOARD STAFF REPORT

TO: Joint Powers Board

THROUGH: Jim Hartnett Executive Director

FROM: Marian Lee Chief Officer, Caltrain Planning / Caltrain Modernization Program

SUBJECT: SUBMISSION OF THE CALTRAIN REGIONAL TRANSPORTATION PLAN (RTP) PROJECT LIST TO THE METROPOLITAN TRANSPORTATION COMMISSION (MTC)

ACTION Staff Coordinating Council recommends that, per the requirements of the MTC, the Board adopt a resolution authorizing staff to submit Caltrain’s RTP project list to the MTC.

SIGNIFICANCE The MTC is in the process of preparing Plan Bay Area 2040, an update to the Bay Area’s nine-county RTP and Sustainable Communities Strategy. Plan Bay Area 2040 will be used to guide MTC’s allocation of Federal, State and regional funds to transportation projects.

As part of the plan update, MTC has requested that Bay Area Congestion Management Agencies (CMAs) and multi-county project sponsors (including multi- county transit operators such as Caltrain) submit project updates for inclusion in Plan Bay Area 2040. In response to the call for projects, Caltrain has coordinated with its partner agencies to submit descriptions of the individual capital projects and programmatic categories identified in its draft Capital Improvement Plan.

Staff presented Caltrain’s draft RTP project list at the September 2015 Peninsula Corridor Joint Powers Board meeting. The attached draft-final project list incorporates comments received at that time and through further coordination with Caltrain’s partner agencies and associated CMAs.

Following Board adoption of the authorizing resolution, staff will finalize the submission of the Caltrain RTP project list to MTC.

BUDGET IMPACT There is no impact on the budget as a result of the Board authorizing staff’s submittal of the Caltrain RTP project list.

Page 1 of 2 11543412.1 BACKGROUND Plan Bay Area 2040 is a State-mandated, integrated long-range transportation, land use and housing plan intended to support the region’s economy, provide more housing and transportation choices and reduce transportation-related pollution in the nine- county San Francisco Bay Area. Plan Bay Area 2040 is the strategic update to Plan Bay Area 2013. On July 18, 2013, Plan Bay Area 2013 was jointly approved by the Association of Bay Area Governments’ Executive Board and by the MTC. Plan Bay Area 2013 includes the region’s Sustainable Communities Strategy and the 2040 Regional Transportation Plan.

MTC reviews transportation projects submitted by CMAs and multi-county project sponsors as part of the preparation of the RTP. Projects reviewed and approved by MTC are then included in the Regional Transportation Improvement Program and considered for inclusion in the State Transportation Improvement Program, making them eligible for Federal, State, and other key discretionary funding sources.

Prepared By: Sebastian Petty, Senior Planner, Caltrain Modernization 650.622.7831 Program

Page 2 of 2 11543412.1 AGENDA ITEM # 11 OCTOBER 1, 2015

Attachment

Caltrain Submittal to the Regional Transportation Plan Project Update and Call for Projects

Caltrain has coordinated with its partner agencies to submit descriptions of the following individual capital projects and programmatic categories as part of the Metropolitan Transportation Commission’s 2015 call for Regional Transportation Plan project submittals. This list was presented in draft to the JPB at their September 2015 meeting.

Estimated Capital Cost Project or Program Name and Description (millions of FY2015 $) Peninsula Corridor Electrification Project • Electrification from San Francisco to San Jose $1,474 - $1,531 • ~75% replacement of existing fleet with 6-car EMUs

Caltrain At-Grade Crossing Improvements • Grade crossing hazard mitigation projects at at-grade crossings $3

Caltrain Terminal Improvements • Capacity and signaling improvements in South Terminal area $278 • Capacity and efficiency improvements at North Terminal

Systemwide Access & Station Improvements • General access enhancements and amenity programs at all stations • ADA improvement projects at stations $174 • Holdout Rule Removal at four stations

Caltrain Modernization Phase 2 • Replacement of all non-Gilroy serving fleet with 8-car EMUs • Platform extensions to support 8-car EMU service $624 • Level boarding at 32 stations

New Control Points • Installation of four new control points along corridor $20

San Mateo County Grade Separation Program • Implementation of select grade separations in San Mateo County (based $118 on Measure A funds availability)

RESOLUTION NO. 2015 –

BOARD OF DIRECTORS, PENINSULA CORRIDOR JOINT POWERS BOARD STATE OF CALIFORNIA

* * *

AUTHORIZING THE SUBMISSION OF THE CALTRAIN REGIONAL TRANSPORTATION PLAN (RTP) PROJECT LIST TO THE METROPOLITAN TRANSPORTATION COMMISSION (MTC)

WHEREAS, the MTC is in the process of preparing Plan Bay Area 2040, an update to the Bay Area’s nine-county RTP and Sustainable Communities Strategy; and WHEREAS, MTC has requested that the Bay Area Congestion Management Agencies (CMAs) and multi-county project sponsors, including multi-county transit operators such as Caltrain, submit project updates for inclusion in Plan Bay Area 2040; and WHEREAS, MTC reviews transportation projects submitted by the CMAs and multi- county project sponsors as part of the preparation of the RTP, includes approved projects in the Regional Transportation Improvement Program and also considers them for inclusion in the State Transportation Improvement Program, making them eligible for Federal, State, and other key discretionary funding sources; and WHEREAS, the Peninsula Corridor Joint Powers Board (JPB) has coordinated with its partner agencies to submit descriptions of the individual capital projects and programmatic categories identified in its Capital Improvement Plan and presented a proposed project list to the Board of Directors in September 2015. NOW, THEREFORE, BE IT RESOLVED that the Board of Directors of the JPB authorizes the attached RTP project list to be submitted to MTC. Regularly passed and adopted this 1st day of October, 2015 by the following vote: AYES:

NOES:

ABSENT:

Chair, Peninsula Corridor Joint Powers Board ATTEST:

JPB Secretary

11543557.1 AGENDA ITEM # 12 OCTOBER 1, 2015

PENINSULA CORRIDOR JOINT POWERS BOARD STAFF REPORT

TO: Joint Powers Board

THROUGH: Jim Hartnett Executive Director

FROM: Gigi Harrington Deputy CEO

SUBJECT: AMENDMENT TO INCREASE THE FISCAL YEAR (FY) 2016 CAPITAL BUDGET BY $1,095,944 FOR A TOTAL CAPITAL BUDGET OF $201,888,094

ACTION Staff Coordinating Council recommends the Board amend the FY2016 Capital Budget to include $1,095,944 for the Mountain View Santa Clara Valley Transportation Authority (VTA) Double Track Project (Project) for a total Capital Budget of $201,888,094, as set forth in Attachment A.

SIGNIFICANCE Initially, the Project was created in the Peninsula Corridor Joint Powers Board’s (JPB) accounting systems as a “recollectible project” rather than as a regular capital project because all Project costs were to be funded by VTA. The proposed change would recharacterize the Project as a regular JPB capital project as of July 1, 2015 to facilitate more expeditious Project payments, though all Project costs still will be funded by VTA.

Transit America Services, Inc. (TASI) supports the Project, such as by managing work performed near the Caltrain right of way, and charges the JPB for such support. The JPB, in turn, collects these costs from VTA. Changing the Project from a recollectible project to a regular capital project will better facilitate cash-flow, both from and to the JPB, and eliminate delays attributable to the Project’s recollectible status.

BUDGET IMPACT Though the Project would appear as a regular project in the budget, it still will be fully funded by the VTA.

BACKGROUND The JPB approved Resolution No. 2015-33 on June 10, 2015, adopting the FY2016 Capital Budget in the total amount of $200,792,150.

The Project has been active as a recollectible project since FY2014, which has resulted in increasing delays in vendor payments. By including the Project in the Capital Budget, the JPB will gain increased control to manage JPB activity on the project and

Page 1 of 2 11555266.3 make payments to our vendors more efficiently.

The JPB annually adopts a capital budget to accompany the operating budget. The purpose of the capital budget is to implement a balanced program of projects that gives the JPB the ability to meet its goals and objectives as set forth in the Short-Range Transit Plan and the related Rapid Rail Plan.

Prepared By: Gigi Harrington, Deputy CEO 650.508.7950

Page 2 of 2 11555266.3 FY2016 CAPITAL BUDGET Attachment A 10/01/15 Amendment #1 - October 1, 2015

Estimated Previously Proposed Federal State Other Members Item # PROJECT TITLE / Description Phase Total Total Cost Programmed BUDGET Amount Source Amount Source Amount Source Amount

i. SOGR

Station & Intermodal Access 1.01 SSF Station Improvement Project Construction 59,100,000 5,233,000 38,831,000 38,831,000 SMCTA/SSF 38,831,000 1.02 Bayshore Station Painting Project Final Des & Constr 1,500,000 875,000 625,000 625,000 625,000 1.03 FY16 System Wide Station SOGR Construction 500,000 300,000 300,000 300,000 39,756,000 38,831,000 925,000 39,756,000 Right of Way / Signal & Communications 1.04 Train Dispatcher Voice Communication System Upgrade Construction 2,428,000 1,728,000 700,000 560,000 FTA 140,000 700,000 1.05 FY16 Grade Crossing Improvement Program Final Design 360,000 360,000 360,000 360,000 1.06 Marin Street & Napoleon Ave Bridge Closure Prelim & Final Des 5,000,000 600,000 764,000 611,200 FTA 152,800 764,000 1.07 FY16 Signal Rehab SOGR Construction 1,690,000 1,500,000 1,200,000 FTA 300,000 1,500,000 1.08 Guadalupe River Bridge Replacement Prelim & Final Des 20,000,000 800,000 1,500,000 1,200,000 FTA 300,000 1,500,000 1.09 Los Gatos Creek Bridge Replacement Final Des & Constr 31,823,000 10,302,000 13,000,000 10,400,000 FTA 2,600,000 13,000,000 1.10 FY16 System Wide Track Rehab SOGR Construction 9,276,000 7,490,000 5,992,000 FTA 1,498,000 7,490,000 1.11 Tunnel #4 Track & Drainage Rehab Prelim & Final Des 8,500,000 432,000 1,296,000 1,036,800 FTA 259,200 1,296,000 26,610,000 21,000,000 (1) 5,610,000 26,610,000 Rolling Stock 1.12 FY16 Rolling Stock SOGR Construction 4,000,000 160,000 FTA 3,840,000 4,000,000 Set-aside 4,000,000 160,000 3,840,000 4,000,000

ii. CALTRAIN MODERNIZATION

2.01 CALMOD TJPA Co-Ordination Design/ Build 478,130 220,966 139,000 139,000 TJPA 139,000 2.02 Electrification Design/ Build 894,575,000 22,077,560 77,065,027 77,065,027 EIP 77,065,027 2.03 Program Implementation & Management Design/ Build 61,263,000 15,853,000 8,300,000 8,300,000 EIP 8,300,000 2.04 Caltrain EMU Procurement Procurement 549,464,000 7,802,312 37,025,000 37,025,000 EIP 37,025,000 122,529,027 139,000 122,390,027 122,529,027

iii. LEGAL MANDATES AND REQUIRED ENHANCEMENTS

3.01 FY16 Bridge Load Rating Final Design 2,500,000 1,000,000 1,300,000 1,300,000 1,300,000 3.02 MS4 Year 3 (5 years total) Prelim Eng. 431,000 400,000 400,000 400,000 3.03 Santa Clara County Grade Crossing Medians Prelim & Final Des 1,215,000 229,000 229,000 PUC-130 229,000 1,929,000 229,000 1,700,000 1,929,000

iv. OPERATIONAL IMPROVEMENTS/ENHANCEMENTS

4.01 FY16 Station Fiber Connectivity Implementation Final Design 2,505,000 598,000 598,000 598,000 4.02 Train Departure Monitors @ Terminal Stations Final Des & Constr 1,530,000 585,000 822,000 650,000 Project 172,000 822,000 (SF & Diridon) Savings 4.03 FY16 ROW Fencing Construction 3,945,391 789,000 789,000 Prop 1B 789,000 4.04 FY16 Bicycle Wayside Improvements Program Construction 490,000 485,000 320,000 SF Prop 165,000 485,000 K/ 4.05 CCTV System Software Upgrades at Train Stations Final Des & Constr 150,000 150,000 150,000 Prop 1B 150,000 2,844,000 939,000 970,000 935,000 2,844,000

1 | 2 FY2016 CAPITAL BUDGET Attachment A 10/01/15 Amendment #1 - October 1, 2015

Estimated Previously Proposed Federal State Other Members Item # PROJECT TITLE / Description Phase Total Total Cost Programmed BUDGET Amount Source Amount Source Amount Source Amount

v. PLANNING/STUDIES

(2) 5.01 Caltrain Bicycle Parking Management Plan 151,500 17,377 134,123 134,123 Caltrans 134,123 5.02 Capital Project Development 500,000 500,000 500,000 500,000 5.03 Capital Program Management 500,000 500,000 500,000 500,000 5.04 Capital Contingency Funds - Engineering 330,000 330,000 330,000 330,000 5.05 Capital Contingency Funds - Rail 660,000 660,000 660,000 660,000 5.06 Third Party Re-collectible Program (3) - 4,000,000 3,000,000 1,000,000 1,000,000 3rd Party 1,000,000 Payments Providing staff & engineering support for third party 3,124,123 134,123 1,000,000 1,990,000 3,124,123

vI. OTHER

6.01 Mountain View VTA Double Track 2,577,944 1,482,000 1,095,944 1,095,944 VTA 1,095,944

GRAND TOTAL 201,888,094 21,160,000 1,441,123 164,286,971 15,000,000 201,888,094

Notes: (1) Assume MTC will release $21M this summer. Currently on hold as part of the $125M FTA Formula Fund in the 9 Party-MOU CalMOD funding plan. (2) Local match funding will be FY15 Project Development funds. (3) For High Speed Rail blended system planning from California High Speed Rail Authority (CHSRA).

2 | 2 RESOLUTION NO. 2015 –

BOARD OF DIRECTORS, PENINSULA CORRIDOR JOINT POWERS BOARD STATE OF CALIFORNIA

* * *

AMENDING TO INCREASE THE FISCAL YEAR (FY) 2016 CAPITAL BUDGET BY $1,095,944 FOR A TOTAL CAPITAL BUDGET OF $201,888,094

WHEREAS, the Peninsula Corridor Joint Powers Board (JPB) approved Resolution

No. 2015-33 on June 10, 2015, adopting the FY2016 Capital Budget with a total budget amount of $200,792,150; and

WHEREAS, JPB staff has estimated that an additional $1,095,944 is required to complete JPB work associated with the Mountain View Santa Clara Valley

Transportation Authority (VTA) Double Track Project (Project), including Transit America

Services, Inc. (TASI) support, consultant services and legal fees; and

WHEREAS, the total budget increase of $1,095,944 will be fully funded by the VTA; and

WHEREAS, staff recommends that the Project be converted from a recollectible project to a regular capital project to provide JPB greater control in administering

Project payments; and

WHEREAS, following review and deliberation, the Staff Coordinating Council recommends that the Board approve the proposed amendment to the FY2016 Capital

Budget to include the Mountain View VTA Double Track project and approve the conversion of the Project from a recollectible project to a regular capital project as of

July 1, 2015.

Page 1 of 2 11555432.3 NOW, THEREFORE, BE IT RESOLVED that the Board of Directors of the JPB amend the FY2016 Capital Budget to include $1,095,944 for the Mountain View VTA Double

Track Project, for a total Capital Budget of $201,888,094;

Regularly passed and adopted this 1st day of October, 2015 by the following vote:

AYES:

NOES:

ABSENT:

Chair, Peninsula Corridor Joint Powers Board

ATTEST:

JPB Secretary

Page 2 of 2 11555432.3 AGENDA ITEM # 13 OCTOBER 1, 2015

PENINSULA CORRIDOR JOINT POWERS BOARD STAFF REPORT

TO: Joint Powers Board

THROUGH: Jim Hartnett Executive Director

FROM: Gigi Harrington C. H. (Chuck) Harvey Deputy CEO Deputy CEO

SUBJECT: AUTHORIZE AN INCREASE TO THE EXECUTIVE DIRECTOR'S CONTRACT AUTHORITY FOR ON-CALL RAILROAD BUSINESS AND OPERATIONS SUPPORT SERVICES CONTRACTS

ACTION Staff Coordinating Council recommends the Board approve an increase to the Executive Director's contract authority in the aggregate not-to-exceed amount of $3,150,000, from $6.3 million to $9,450,000, for the on-call railroad business and operations support services contracts held by the following five firms:

 LTK Engineering Services, Ambler, PA  Nancy Whelan Consulting, San Francisco, CA  Parsons Brinckerhoff, Inc., San Francisco, CA  Systra Consulting, New York, NY  Transportation Resource Associates, Inc., Philadelphia, PA

SIGNIFICANCE Approval of the above action is necessary to provide the Peninsula Corridor Joint Powers Board (JPB) with continuing railroad business and operations support services on an on-call basis.

BUDGET IMPACT Each Work Directive issued under these contracts will contain a defined scope of services, and a separate schedule and budget. The increased contract authority will come from adopted capital and/or operating budgets.

BACKGROUND Board Resolution No. 2012-23 dated May 3, 2012 authorized award of five on-call contracts for railroad business and operations support for a three-year base term at an aggregate not-to-exceed amount of $3.8 million with up to two additional one-year option terms for an aggregate amount of $1,250,000 for each year. The expiration date of the current on-call contracts is June 30, 2017. In October 2008, Congress enacted the Rail Safety Improvement Act of 2008, which mandates the development and implementation of positive train control (PTC) systems on “Class I” and commuter

Page 1 of 2 11530627.2 railroads such as Caltrain by December 31, 2015. The Caltrain Communications-based Overlay Signal System (CBOSS) PTC system will not only improve rail safety, but it will also provide enhanced operational benefits including improved schedule management, station stop enforcement, crossing safety improvements, and optimized operating performance. Due to a higher-than-anticipated level of effort required to support the CBOSS PTC system testing and integration testing phase, the projected Board- approved aggregate contract value will be fully expended by December 2015. A solicitation for future on-call railroad business and operations support services has been initiated.

Prepared By: Alan Chan, Senior Contract Officer 650.508.6256

Page 2 of 2 11530627.2 RESOLUTION NO. 2015 –

BOARD OF DIRECTORS, PENINSULA CORRIDOR JOINT POWERS BOARD STATE OF CALIFORNIA

* * *

AUTHORIZING AN INCREASE TO THE EXECUTIVE DIRECTOR’S CONTRACT AUTHORITY FOR ON-CALL RAILROAD BUSINESS AND OPERATIONS SUPPORT SERVICES CONTRACTS IN THE AMOUNT OF $3,150,000

WHEREAS, in May 2012, the Peninsula Corridor Joint Powers Board (JPB) entered into five separate agreements (Contracts) with LTK Engineering Services, Nancy Whelan

Consulting, Parsons Brinckerhoff, Inc., Systra Consulting, and Transportation Resources

Associates, Inc. to provide on-call railroad business and operations support services for a three-year base term at an aggregate, not-to-exceed amount of $3.8 million and up to two additional one-year option terms for an aggregate amount of $1,250,000 for each year; and

WHEREAS, the expiration date of the current Contracts is June 30, 2017, however, due to a higher-than-anticipated level of effort to support the Communications–based

Overlay Signal System Positive Train Control system, staff recommends an increase to the Executive Director’s contract authority for the on-call Contracts in the aggregate amount of $3,150,000 to ensure the JPB has continued railroad business and operations support services on an on-call basis; and

WHEREAS, the Staff Coordinating Council recommends and the Executive

Director concurs that the Board of Directors (Board) of the JPB authorize an increase in the Executive Director's contract authority in the aggregate amount of $3,150,000 with the five firms identified above to ensure the availability of the aforementioned support services.

Page 1 of 2 11553102.2 NOW, THEREFORE, BE IT RESOLVED that the Board of Directors of the JPB hereby authorizes an increase in the Executive Director's contract authority for the Contracts with LTK Engineering Services, Nancy Whelan Consulting, Parsons Brinckerhoff, Inc.,

Systra Consulting, and Transportation Resources Associates, Inc. to increase the contract authority in the aggregate, not-to-exceed amount of $3,150,000 from

$6.3 million to $9,450,000.

Regularly passed and adopted this 1st day of October, 2015 by the following vote:

AYES:

NOES:

ABSENT:

Chair, Peninsula Corridor Joint Powers Board

ATTEST:

JPB Secretary

Page 2 of 2 11553102.2 AGENDA ITEM # 14 OCTOBER 1, 2015

PENINSULA CORRIDOR JOINT POWERS BOARD STAFF REPORT

TO: Joint Powers Board

THROUGH: Jim Hartnett Executive Director

FROM: April Chan Chief Officer, Planning, Grants and Transportation Authority

SUBJECT: AUTHORIZATION TO ENTER INTO COOPERATIVE AGREEMENT WITH THE CITY OF SOUTH SAN FRANCISCO TO RECEIVE $5.9 MILLION IN FUNDING FOR THE SOUTH SAN FRANCISCO CALTRAIN STATION PROJECT

ACTION The Staff Coordinating Council recommends the Board authorize the Executive Director, or his designee, to enter into a cooperative agreement with the city of South San Francisco for the Peninsula Corridor Joint Powers Board (JPB) to receive $5.9 million for the reconstruction of the South San Francisco Caltrain Station (Project).

SIGNIFICANCE In February 2015, the San Mateo County Transportation Authority (SMCTA) allocated $49.1 million and South San Francisco pledged $5.9 million in local matching funds to fully fund construction of the Project. The Project will provide a new platform and track configuration to eliminate the hold-out rule and to accommodate longer trains. The Project will also include the construction of a new pedestrian underpass connecting the west and east sides of South San Francisco, allowing for safe and convenient bicycle and pedestrian passage. To receive the $5.9 million, the JPB must authorize the Executive Director, or his designee, to enter into an agreement with South San Francisco.

BUDGET IMPACT There is no budget impact associated with this action. The $5.9 million from the city of South San Francisco is included in the Fiscal Year 2016 Capital Budget.

BACKGROUND The South San Francisco station is one of four remaining Caltrain stations (along with Atherton, Broadway, and College Park) that are subject to a safety precaution and operational constraint known as the “hold-out rule.” Under the hold-out rule, when a train is in the station, another train is prohibited from entering the station. The SMCTA previously allocated funds to complete the 95 percent design and engineering of the Project. The Project is consistent with the South San Francisco Downtown Station Area Plan, and would support their planned economic development in the vicinity of the station.

Prepared by: Peter Skinner, Senior Grants Analyst 650.622.7818

11554251.1 RESOLUTION NO. 2015 –

BOARD OF DIRECTORS, PENINSULA CORRIDOR JOINT POWERS BOARD STATE OF CALIFORNIA

* * *

AUTHORIZING A COOPERATIVE AGREEMENT WITH THE CITY OF SOUTH SAN FRANCISCO TO RECEIVE $5.9 MILLION IN FUNDING FOR THE SOUTH SAN FRANCISCO CALTRAIN STATION PROJECT

WHEREAS, the Peninsula Corridor Joint Powers Board (JPB) is a public agency under the laws of the State of California and operates commuter rail passenger service

(Caltrain) between San Francisco Station and Gilroy Station; and

WHEREAS, the city of South San Francisco is a public agency located adjacent to the Caltrain commuter rail line; and

WHEREAS, the parties desire the JPB to reconstruct the South San Francisco

Caltrain Station to provide a new platform and track configuration to eliminate the hold-out rule, accommodate longer trains, and include the construction of a new pedestrian underpass connecting the west and east sides of South San Francisco, allowing for safe and convenient bike and pedestrian passage (Project); and

WHEREAS, the San Mateo County Transportation Authority has allocated

$49.1 million to the Project; and

WHEREAS, South San Francisco agrees to provide $5.9 million to fully fund construction of the Project; and

WHEREAS, the JPB agrees to provide all services and materials required for completion of the Project; and

WHEREAS, the Staff Coordinating Council recommends that the JPB Board of

Directors delegate authority to the Executive Director, or his designee, to execute a cooperative agreement with South San Francisco to provide funding for the Project,

Page 1 of 2 11554425.1 and to take any other actions necessary for the purpose of obtaining funding from

South San Francisco.

NOW, THEREFORE, BE IT RESOLVED that the Board of Directors of the JPB authorizes the Executive Director, or his designee, to execute a cooperative agreement with the city of South San Francisco for South San Francisco to provide $5.9 million in funding for the South San Francisco Caltrain Station Project, and to take any other actions necessary to obtain the subject funding from South San Francisco.

Regularly passed and adopted this 1st day of October, 2015 by the following vote:

AYES:

NOES:

ABSENT:

Chair, Peninsula Corridor Joint Powers Board

ATTEST:

JPB Secretary

Page 2 of 2 11554425.1 AGENDA ITEM # 15 OCTOBER 1, 2015

PENINSULA CORRIDOR JOINT POWERS BOARD STAFF REPORT

TO: Joint Powers Board

THROUGH: Jim Hartnett Executive Director

FROM: Mark Simon Executive Officer, Public Affairs

SUBJECT: STATE AND FEDERAL LEGISLATIVE UPDATE

ACTION This report is for information only. No Board action is required

SIGNIFICANCE Staff will provide regular updates to the Board in accordance with the approved Legislative Program.

STATE ISSUES Staff continues to monitor bills of interest, including:

Senate Bill (SB) 9 (Beall) - SUPPORT The bill amends the Transit and Intercity Rail Capital Program by allowing eligible applicants to include ferry transit systems and bus operators. The bill also allows for the multi-year commitment of funds to a project and requires the California State Transportation Agency to develop a five-year program of projects, to be updated every two years thereafter.

SB 705 (Hill) - SUPPORT This bill authorizes San Mateo County to exceed the existing 2 percent local sales tax cap if needed to pursue a potential sales tax ballot measure to address local transportation needs. The bill was approved by the Legislature and is currently awaiting the governor’s signature.

Transportation Funding Governor Brown’s $3.6 billion proposal to fund State highways, goods movement, local streets and roads, public transit, complete streets, and early loan repayments failed to pass during the last days of regular session. Instead the Legislature is convening a Legislative Joint Transportation Infrastructure Conference Committee, which will meet during the Transportation Special Session, to help devise a new transportation funding plan. The following members have been appointed to the Joint Committee:  Senator Jim Beall (D-San Jose) (Co-chair)  Senator Benjamin Allen (D- Santa Monica)

Page 1 of 2  Senator Connie Leyva (D-Chino)  Senator Anthony Cannella (R-Ceres)  Senator Ted Gaines (R-Roseville)  Assemblymember Jimmy Gomez (D-Northeast Los Angeles), Co-Chair  Assemblymember Autumn R. Burke (D-Inglewood)  Assemblymember Melissa Melendez (R-Lake Elsinore)  Assemblymember Kevin Mullin (D-South San Francisco)  Assemblymember Jay Obernolte (R-Big Bear Lake)

Initial hearings will begin in October in Sacramento with additional hearings taking place across the State throughout the rest of the year.

The Legislature recessed the first year of the two-year Legislative Session on September 11. The governor has until October 11 to act on legislation sent to him in the final two weeks of session. The Legislature will reconvene on January 4, 2016.

FEDERAL ISSUES Positive Train Control (PTC) Mandate A recent Government Accountability Office report confirms that the vast majority of the nation’s passenger railroads will not be able to comply with the January 1, 2016 mandate to implement PTC.

Representative Mike Quigley (D-IL) and Representative Dan Newhouse (R-WA) have asked their colleagues to join them in supporting swift action to extend the Federal deadline and avoid impacts on passenger and freight rail throughout the country.

Congress must pass a continuing resolution (CR) by October 1 to maintain spending on Federal programs, but the legislative text associated with this effort was released on September 23 without language that would extend the PTC deadline. If the deadline is not addressed in the CR, the next opportunity would be legislation to reauthorize surface transportation programs. Language extending the deadline is included in the Senate reauthorization proposal, but has not yet been incorporated in the House version.

Prepared By: Seamus Murphy, Director, Government and Community 650.508.6388 Affairs

Page 2 of 2 Peninsula Corridor Joint Powers Board State Legislative Matrix as of 9/21/2015

Bill ID/Topic Location Summary Position AB 2 A. ENROLLED Would authorize certain local agencies to form a community revitalization authority (authority) within a Alejo D 9/17/2015-Enrolled and community revitalization and investment area, as defined, to carry out provisions of the Community presented to the Redevelopment Law in that area for purposes related to, among other things, infrastructure, affordable Community Governor at 11:30 a.m. housing, and economic revitalization. Last Amended on 9/4/2015 revitalization authority. AB 6 A. TRANS. Would provide that no further bonds shall be sold for high-speed rail purposes pursuant to the Safe, Wilk R 4/21/2015-In committee: Reliable High-Speed Passenger Train Bond Act for the 21st Century, expect as specifically provided with Set, second hearing. respect to an existing appropriation for high-speed rail purposes for early improvement projects in the Bonds: Failed passage. Phase 1 blended system. transportation: Reconsideration granted. school facilities. The bill, subject to the above exception, would require redirection of the unspent proceeds received from outstanding bonds issued and sold for other high-speed rail purposes prior to the effective date of these provisions, upon appropriation, for use in retiring the debt incurred from the issuance and sale of those outstanding bonds. These provisions would become effective only upon approval by the voters at the next statewide election. AB 21 S. 2 YEAR Would require the State Air Resources Board in preparing its scoping plan to consult with specified state Perea D 9/11/2015-Failed agencies regarding matters involving energy efficiency and the facilitation of the electrification of the Deadline pursuant to Rule transportation sector. This bill contains other related provisions and other existing laws. California Global 61(a)(14). (Last location Last Amended on 5/5/2015 Warming Solutions was INACTIVE FILE on Act of 2006: scoping 9/11/2015) plan. AB 23 A. NAT. RES. The California Global Warming Solutions Act of 2006 authorizes the State Air Resources Board to include Patterson R 3/23/2015-In committee: the use of market-based compliance mechanisms. Current state board regulations require specified Set, first hearing. Failed entities to comply with a market-based compliance mechanism beginning January 1, 2013, and require California Global passage. additional specified entities to comply with that market-based compliance mechanism beginning Warming Solutions Reconsideration granted. January 1, 2015. Act of 2006: market-based This bill would instead exempt those categories of persons or entities that did not have a compliance compliance obligation, as defined, under a market-based compliance mechanism beginning January 1, 2013, from mechanisms: being subject to that market-based compliance mechanism through December 31, 2020. exemption. AB 33 S. 2 YEAR The Public Utilities Act requires the Public Utilities Commission to review and accept, modify, or reject each Quirk D 9/11/2015-Failed electrical corporation's procurement plan and requires that each approved procurement plan Deadline pursuant to Rule accomplish specified objectives. Electrical 61(a)(14). (Last location corporations: was THIRD READING on This bill would require the commission, as part of a new or existing proceeding, to determine what role procurement plans. 9/8/2015) large scale energy storage could play as part of the state's overall strategy for procuring a diverse portfolio of resources and to consider specified factors in making that determination. Last Amended on 9/4/2015

Page 1 of 12 Peninsula Corridor Joint Powers Board State Legislative Matrix as of 9/21/2015

Bill ID/Topic Location Summary Position AB 61 A. 2 YEAR Would allow local authorities to permit shuttle service vehicles, as defined, to stop for the loading or Allen, Travis R 5/15/2015-Failed unloading of passengers alongside specified curb spaces upon agreement between a transit system Deadline pursuant to Rule operating buses engaged as common carriers in local transportation and a shuttle service provider, as Shuttle services: 61(a)(3). (Last location defined. loading and was TRANS. on 4/21/2015) unloading of The bill would state that it is the intent of the Legislature to not replace public transit services. passengers. Last Amended on 4/20/2015 AB 156 S. 2 YEAR Current law requires the California Environmental Protection Agency to identify disadvantaged Perea D 8/28/2015-Failed communities and requires the Department of Finance, in consultation with the State Air Resources Board Deadline pursuant to Rule and any other relevant state agency, to develop, as specified, a 3-year investment plan for the moneys California Global 61(a)(11). (Last location deposited in the Greenhouse Gas Reduction Fund. Current law requires the 3-year investment plan to Warming Solutions was APPR. on 8/27/2015) allocate a minimum of 25% of the available moneys in the fund to projects that provide benefits to Act of 2006: disadvantaged communities. disadvantaged communities. This bill would require the state board to prepare and post on its Internet Web site a specified report on the projects funded to benefit disadvantaged communities. Last Amended on 8/18/2015 AB 194 A. ENROLLMENT Current law authorizes a regional transportation agency, as defined, in cooperation with the Department Frazier D 9/11/2015-Senate of Transportation to apply to the California Transportation Commission to develop and operate amendments concurred high-occupancy toll (HOT) lanes. High-occupancy toll in. To Engrossing and lanes. Enrolling. (Ayes 58. Noes This bill would authorize a regional transportation agency or the department to apply to the commission to 20.). develop HOT lanes and other toll facilities, as specified, and would delete the January 1, 2012, deadline for HOT lane applications and remove the existing limitation on the number of facilities that may be approved. Last Amended on 9/4/2015 AB 227 A. 2 YEAR Current law provides for loans of revenues from various transportation funds and accounts to the General Alejo D 5/1/2015-Failed Deadline Fund, with various repayment dates specified. This bill, with respect to any loans made to the General pursuant to Rule 61(a)(2). Fund from specified transportation funds and accounts with a repayment date of January 1, 2019, or later, Transportation (Last location was would require the loans to be repaid by December 31, 2018. This bill contains other related provisions and funding. BUDGET. on 4/16/2015) other current laws. Last Amended on 4/15/2015 AB 318 S. 2 YEAR Would, until December 31, 2020, provide that if that lost property is found on a vehicle of public Oppose Chau D 7/17/2015-Failed conveyance or on public transit property, that it instead be turned in to the public transit agency, and Deadline pursuant to Rule would provide 90 days for the owner to return and claim the property, as specified. Lost money and 61(a)(10). (Last location goods: bicycles: was JUD. on 6/11/2015) The bill, until December 31, 2020, also would require the public transit agency to cause notice of the restoration to owner. property to be published under specified circumstances. Last Amended on 6/11/2015

Page 2 of 12 Peninsula Corridor Joint Powers Board State Legislative Matrix as of 9/21/2015

Bill ID/Topic Location Summary Position AB 326 A. 2 YEAR Current law requires the Labor Commissioner to issue a civil wage and penalty assessment to a contractor Frazier D 5/15/2015-Failed or subcontractor, or both, if the Labor Commissioner determines, after investigation, that the contractor or Deadline pursuant to Rule subcontractor, or both, violated the laws regulating public works contracts, including the payment of Public works: 61(a)(3). (Last location prevailing wages. prevailing wage was L. & E. on 4/22/2015) rates: wage and This bill would require the department to release the funds deposited in escrow plus interest earned to penalty assessments. those persons and entities as expeditiously as possible following the conclusion of all administrative and judicial review. This bill contains other existing laws. Last Amended on 4/21/2015 AB 378 A. 2 YEAR Current law provides that the Department of Transportation has full possession and control of the state Support Mullin D 5/15/2015-Failed highway system. Current law imposes various requirements for the development and implementation of Deadline pursuant to Rule transportation projects. State Highway 101 61(a)(3). (Last location corridor. was PRINT on 2/18/2015) This bill would declare the intent of the Legislature to enact legislation that will enable responsible local, regional, and state agencies to substantially improve mobility in the State Highway 101 corridor.

The bill would make findings and declarations in that regard. AB 464 A. VETOED Current law authorizes cities and counties, and, if specifically authorized, other local governmental Support Mullin D 8/17/2015-Vetoed by the entities, subject to certain limitations and approval requirements, to levy a transactions and use tax for Governor general purposes, in accordance with the procedures and requirements set forth in the Transactions and Transactions and use Use Tax Law, including a requirement that the combined rate of all taxes imposed in accordance with taxes: maximum that law in the county not exceed 2%. This bill would increase that maximum combined rate to 3%. combined rate. Last Amended on 6/17/2015 AB 471 A. 2 YEAR Current law prohibits, subject to certain exceptions, an employer from requiring an employee to work Harper R 5/15/2015-Failed more than 5 hours per day without providing a meal period. This bill would make a nonsubstantive Deadline pursuant to Rule change to those provisions. Employment. 61(a)(3). (Last location was PRINT on 2/23/2015) AB 516 S. 2 YEAR Would require the DMV to develop an operational system, no later than January 1, 2018, that allows a Support Mullin D 9/11/2015-Failed dealer or lessor-retailer to electronically report the sale of a vehicle and provide a temporary license Deadline pursuant to Rule plate, as specified. Vehicles: temporary 61(a)(14). (Last location license plates. was INACTIVE FILE on The bill would, commencing January 1, 2017, authorize the department to assess specified administrative 9/10/2015) fees on processing agencies to support the administration of this system. This bill contains other related provisions and other existing laws. Last Amended on 7/16/2015

Page 3 of 12 Peninsula Corridor Joint Powers Board State Legislative Matrix as of 9/21/2015

Bill ID/Topic Location Summary Position AB 528 A. 2 YEAR Would prohibit employees of the San Francisco Bay Area Rapid Transit District from engaging in a strike or Baker R 5/15/2015-Failed work stoppage if the transit district board maintains the compensation and benefit provisions of an Deadline pursuant to Rule expired contract and an employee or employee organization has agreed to a provision prohibiting strikes San Francisco Bay 61(a)(3). (Last location in the expired or previous written labor contract. Area Rapid Transit was P.E.,R. & S.S. on District: strikes: 4/9/2015) The bill would provide that an employee whom the transit district employer finds willfully engaged in a prohibition. strike or work stoppage in violation of these provisions is subject to dismissal if that finding is sustained upon conclusion of the appropriate proceedings necessary for the imposition of a disciplinary action. AB 828 S. 2 YEAR Would require the Public Utilities Commission to conduct an investigation to consider whether existing Low D 9/11/2015-Failed statutes and regulations relating to transportation services serve the public interest, encourage innovation, Deadline pursuant to Rule and create a fair and competitive transportation market between companies that provide regulated Vehicles: 61(a)(14). (Last location transportation services. transportation was E. U., & C. on services. 7/16/2015) The bill would require the commission to complete the investigation and report its conclusions and recommendations to the Legislature on or before January 1, 2017. This bill contains other related provisions and other existing laws. Last Amended on 7/14/2015 AB 857 S. 2 YEAR Would, between January 2, 2018, and January 1, 2023, inclusive, annually require no less than 50% or Perea D 8/28/2015-Failed $100,000,000, whichever is greater, of the moneys allocated for technology development, demonstration, Deadline pursuant to Rule pre-commercial pilots, and early commercial deployments of zero- and near-zero-emission medium- and California Clean 61(a)(11). (Last location heavy-duty truck technology be allocated and spent to support the commercial deployment of existing Truck, Bus, and was APPR. on 8/27/2015) zero- and near-zero-emission heavy-duty truck technology that meets or exceeds a specified emission Off-Road Vehicle standard. This bill contains other existing laws. Last Amended on 8/18/2015 and Equipment Technology Program. AB 869 S. 2 YEAR Current law authorizes a public transportation agency to adopt and enforce an ordinance to impose and Cooper D 9/11/2015-Failed enforce civil administrative penalties for fare evasion or other passenger misconduct, other than by Deadline pursuant to Rule minors, on or in a transit facility or vehicle in lieu of the criminal penalties otherwise applicable, with Public transportation 61(a)(14). (Last location specified administrative procedures for the imposition and enforcement of the administrative penalties, agencies: fare was INACTIVE FILE on including an initial review and opportunity for a subsequent administrative hearing. evasion and 7/2/2015) prohibited conduct. This bill would provide that a person who fails to pay the administrative penalty when due or successfully complete the administrative process to dismiss the notice of fare evasion or passenger conduct violation may be subject to those criminal penalties. Last Amended on 6/18/2015 AB 877 A. 2 YEAR Would expand the California Transportation Commission to 15 members, with one additional Member of Chu D 5/1/2015-Failed Deadline the Assembly and one additional Member of the Senate as ex officio nonvoting members. This bill contains pursuant to Rule 61(a)(2). other related provisions and other existing laws. Last Amended on 3/26/2015 Transportation. (Last location was TRANS. on 4/6/2015)

Page 4 of 12 Peninsula Corridor Joint Powers Board State Legislative Matrix as of 9/21/2015

Bill ID/Topic Location Summary Position AB 1068 A. 2 YEAR Would authorize each Member of the Legislature to nominate one project within his or her respective Allen, Travis R 5/1/2015-Failed Deadline district each year, and the Governor to designate those projects as priority projects if the projects meet pursuant to Rule 61(a)(2). specified requirements. California (Last location was NAT. Environmental RES. on 3/19/2015) The bill would require the Governor to provide a notice of the designation to the appropriate lead agency Quality Act: priority and to the Office of Planning and Research. projects. The bill would require the lead agency to notify the public and interested stakeholders of the designation, as specified, thereby imposing a state-mandated local program. AB 1171 A. ENROLLED Would authorize regional transportation agencies, as defined, to use the Construction Manager/General Linder R 9/16/2015-Enrolled and Contractor project delivery method, as specified, to design and construct certain expressways that are presented to the not on the state highway system if: (1) the expressways are developed in accordance with an Construction Governor at 4 p.m. expenditure plan approved by voters, (2) there is an evaluation of the traditional design-bid-build method Manager/General of construction and of the Construction Manager/General Contractor method, and (3) the board of the Contractor method: regional transportation agency adopts the method in a public meeting. Last Amended on 6/19/2015 regional transportation agencies: projects on expressways. AB 1347 A. ENROLLMENT Would establish, for contracts entered into on or after January 1, 2016, a claim resolution process Chiu D 9/11/2015-Senate applicable to all claims by contractors in connection with public works. amendments concurred Public contracts: in. To Engrossing and The bill would define a claim as a separate demand by the contractor for one or more of the following: a claims. Enrolling. (Ayes 77. Noes time extension for relief from damages or penalties for delay, payment of money or damages arising from 0.). work done pursuant to the contract for a public work, or payment of an amount disputed by the public entity, as specified. This bill contains other related provisions and other existing laws. Last Amended on 9/4/2015 AB 1360 S. 2 YEAR Would exempt from specified provisions relating to the Passenger Charter-Party Carriers' Act a service Support Ting D 7/17/2015-Failed operated by a transportation network company or a charter-party carrier of passengers that prearranges Deadline pursuant to Rule a ride among multiple passengers who share the ride in whole or in part, provided that the vehicle seats Charter-party carriers 61(a)(10). (Last location no more than 7 passengers, not including the driver, is operated by a participating driver, as defined, is of passengers: was E. U., & C. on not used to provide public transit services or carry passengers over a fixed route, is not used to provide individual fare 7/2/2015) pupil transportation services or public paratransit services, and the fare for each passenger is less than the exemption. fare that would be charged to a passenger traveling alone. Last Amended on 7/2/2015 ABX1 7 A. PRINT Current law requires all moneys, except for fines and penalties, collected by the State Air Resources Board Support Nazarian D 7/17/2015-From printer. from the auction or sale of allowances as part of a market-based compliance mechanism relative to reduction of greenhouse gas emissions to be deposited in the Greenhouse Gas Reduction Fund. Public transit: funding. This bill would instead continuously appropriate 20% of those annual proceeds to the Transit and Intercity Rail Capital Program, and 10% of those annual proceeds to the Low Carbon Transit Operations Program, thereby making an appropriation. This bill contains other current laws.

Page 5 of 12 Peninsula Corridor Joint Powers Board State Legislative Matrix as of 9/21/2015

Bill ID/Topic Location Summary Position ABX1 8 A. PRINT Would, effective July 1, 2016, increase the additional sales and use tax rate on diesel fuel to 5.25%. By Support Chiu D 7/17/2015-From printer. increasing the revenues deposited in a continuously appropriated fund, the bill would thereby make an appropriation. This bill contains other related provisions. Diesel sales and use tax. ABX1 24 A. PRINT Would, effective January 1, 2017, re-designate the Metropolitan Transportation Commission as the Bay Levine D 9/11/2015-Read first time. Area Transportation Commission. To print. Bay Area The bill would require commissioners to be elected by districts comprised of approximately 750,000 Transportation residents. Commission: election of commissioners. The bill would require each district to elect one commissioner, except that a district with a toll bridge, as defined, within the boundaries of the district would elect 2 commissioners.

The bill would require commissioner elections to occur in 2016, with new commissioners to take office on January 1, 2017. ACA 4 A. APPR. SUSPENSE FILE Would provide that the imposition, extension, or increase of a sales and use tax imposed pursuant to the Support Frazier D 8/27/2015-In committee: Bradley-Burns Uniform Local Sales and Use Tax Law or a transactions and use tax imposed in accordance Hearing postponed by with the Transactions and Use Tax Law by a county, city, city and county, or special district for the purpose Local government committee. of providing funding for local transportation projects, as defined, requires the approval of 55% of its voters transportation voting on the proposition. projects: special taxes: voter The measure would also make conforming and technical, nonsubstantive changes. approval. Last Amended on 8/17/2015 SB 1 S. E.Q. The California Global Warming Solutions Act of 2006 authorizes the State Air Resources Board to include Gaines R 4/7/2015-April 15 set for the use of market-based compliance mechanisms. Current state board regulations require specified second hearing entities to comply with a market-based compliance mechanism beginning January 1, 2013, and require California Global canceled at the request additional specified entities to comply with that market-based compliance mechanism beginning Warming Solutions of author. January 1, 2015. Act of 2006: market-based This bill instead would exempt categories of persons or entities that did not have a compliance obligation, compliance as defined, under a market-based compliance mechanism beginning January 1, 2013, from being subject mechanisms: to that market-based compliance mechanism. exemption.

Page 6 of 12 Peninsula Corridor Joint Powers Board State Legislative Matrix as of 9/21/2015

Bill ID/Topic Location Summary Position SB 5 S. E.Q. Under the California Global Warming Solutions Act of 2006, current State Air Resources Board regulations Vidak R 4/16/2015-April 15 set for require specified entities to comply with a market-based compliance mechanism beginning January 1, second hearing. Failed 2013, and require additional specified entities to comply with that market-based compliance mechanism California Global passage in committee. beginning January 1, 2015. Warming Solutions (Ayes 2. Noes 5. Page Act of 2006: 648.) Reconsideration This bill instead would exempt categories of persons or entities that did not have a compliance obligation, market-based granted. as defined, under a market-based compliance mechanism beginning January 1, 2013, from being subject compliance to that market-based compliance mechanism through December 31, 2020. mechanisms: exemption. SB 9 S. ENROLLED Would modify the purpose of the Transit and Intercity Rail Capital Program to delete references to Support Beall D 9/10/2015-Enrolled and operational investments and instead provide for the funding of transformative capital improvements, as presented to the defined, that will modernize California's intercity, commuter, and urban rail systems and bus and ferry Greenhouse Gas Governor at 3:30 p.m. transit systems to achieve certain policy objectives, including reducing emissions of greenhouse gases, Reduction Fund: expanding and improving transit services to increase ridership, and improving transit safety. Transit and Intercity Last Amended on 9/1/2015 Rail Capital Program. SB 32 A. 2 YEAR Would require the State Air Resources Board to approve a statewide greenhouse gas emissions limit that is Support Pavley D 9/11/2015-Failed equivalent to 40% below the 1990 level to be achieved by 2030. Deadline pursuant to Rule California Global 61(a)(14). (Last location The bill also would state the intent of the Legislature for the Legislature and appropriate agencies to adopt Warming Solutions was NAT. RES. on complementary policies that ensure the long-term emissions reductions advance specified criteria. This bill Act of 2006. 9/10/2015) contains other related provisions and other existing laws. Last Amended on 9/10/2015 SB 64 S. ENROLLED The California Transportation Commission is required to adopt and submit to the Legislature, by December Liu D 9/8/2015-Enrolled and 15 of each year, an annual report summarizing the commission's prior-year decisions in allocating presented to the transportation capital outlay appropriations, and identifying timely and relevant transportation issues California Governor at 4:30 p.m. facing the state. Transportation Plan. This bill would require that the annual report also include specific, action-oriented, and pragmatic recommendations for legislation to improve the transportation system. Last Amended on 6/24/2015 SB 122 A. 2 YEAR CEQA establishes a procedure for the preparation and certification of the record of proceedings upon Jackson D 8/28/2015-Failed the filing of an action or proceeding challenging a lead agency's action on the grounds of Deadline pursuant to Rule noncompliance with CEQA. California 61(a)(11). (Last location Environmental was APPR. SUSPENSE FILE This bill would require the lead agency, at the request of a project applicant and consent of the lead Quality Act: record of on 7/15/2015) agency, to prepare a record of proceedings concurrently with the preparation of a negative declaration, proceedings. mitigated negative declaration, EIR, or other environmental document for projects. This bill contains other related provisions. Last Amended on 6/1/2015

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Bill ID/Topic Location Summary Position SB 207 A. 2 YEAR Current law requires a state agency expending moneys from the Greenhouse Gas Reduction Fund to Wieckowski D 7/17/2015-Failed create a record, prior to the expenditure, that includes, among other things, a description of the Deadline pursuant to Rule expenditure proposed to be made and a description of how the proposed expenditure will contribute to California Global 61(a)(10). (Last location achieving and maintaining greenhouse gas emissions reductions, as specified. Warming Solutions was NAT. RES. on Act of 2006: 5/14/2015) This bill would require that record to be posted on the Internet Web sites of the state agency and the State Greenhouse Gas Air Resources Board prior to the state agency expending those moneys. Last Amended on 3/24/2015 Reduction Fund. SB 231 S. CHAPTERED Current law continuously appropriates specified portions of the annual proceeds in the Greenhouse Gas Gaines R 9/9/2015-Chaptered by Reduction Fund to various programs including 5% for the Low Carbon Transit Operations Program and 20% Secretary of State - for the Affordable Housing and Sustainable Communities Program. Transportation Chapter 286, Statutes of programs. 2015. This bill would include water-borne transit as an eligible project that may be funded under these 2 programs. Last Amended on 6/2/2015 SB 321 S. 2 YEAR Would, for the 2016- 17 fiscal year and each fiscal year thereafter, require the State Board of Equalization Beall D 9/11/2015-Failed on March 1 of the fiscal year immediately preceding the applicable fiscal year, as specified, to adjust the Deadline pursuant to Rule rate in a manner as to generate an amount of revenue equal to the amount of revenue loss attributable Motor vehicle fuel 61(a)(14). (Last location to the exemption, based on estimates made by the board that reflect the combined average of the taxes: rates: was INACTIVE FILE on actual fuel price over the previous 4 fiscal years and the estimated fuel price for the current fiscal year, adjustments. 9/11/2015) and continuing to take into account adjustments required by existing law to maintain revenue neutrality for each year. This bill contains other existing laws. Last Amended on 8/18/2015 SB 348 S. CHAPTERED CEQA exempts from its requirements railroad grade separation projects that eliminate existing grade Galgiani D 8/7/2015-Chaptered by crossings or that reconstruct existing grade separations. CEQA authorizes a lead agency, if it determines Secretary of State - that a project is exempt from the requirements of CEQA, to file a notice of exemption with specific public California Chapter 143, Statutes of entities. Environmental 2015. Quality Act: This bill would require a lead agency, if it determines that the above exemption applies to a project that exemption: railroad the agency approves or determines to carry out, to file a notice of exemption with the Office of Planning crossings. and Research and, in the case of a local agency, with the county clerk in each affected county. Last Amended on 4/6/2015 SB 358 S. ENROLLED Current law makes it a misdemeanor for an employer or other person acting either individually or as an Jackson D 9/1/2015-Enrolled and officer, agent, or employee of another person to pay or cause to be paid to any employee a wage less presented to the than the rate paid to an employee of the opposite sex as required by specified provisions, or who reduces Conditions of Governor at 4:30 p.m. the wages of any employee in order to comply with these provisions. employment: gender wage differential. This bill would revise that prohibition to eliminate the requirement that the wage differential be within the same establishment, and instead would prohibit an employer from paying any of its employees at wage rates less than those paid to employees of the opposite sex for substantially similar work, when viewed as a composite of skill, effort, and responsibility, as specified. Last Amended on 7/9/2015

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Bill ID/Topic Location Summary Position SB 391 S. 2 YEAR Would make an assault committed against a transit employee punishable by imprisonment in a county jail Huff R 5/1/2015-Failed Deadline not exceeding one year, by a fine not exceeding $2,000, or by both that fine and imprisonment. By pursuant to Rule 61(a)(2). expanding the scope of a crime, this bill would impose a state-mandated local program. This bill contains Assault and battery: (Last location was PUB. S. other related provisions and other existing laws. Last Amended on 4/21/2015 transit employees. on 4/21/2015) SB 400 A. 2 YEAR Would require the High-Speed Rail Authority to allocate not less than 25% of the moneys continuously Watch Lara D 8/28/2015-Failed appropriated to the authority from the Greenhouse Gas Reduction Fund to projects that either reduce or Closely Deadline pursuant to Rule offset greenhouse gas emissions directly associated with the construction of the high-speed rail project California Global 61(a)(11). (Last location and provide a co-benefit of improving air quality. Warming Solutions was APPR. on 8/27/2015) Act of 2006: The bill would require priority to be given within this expenditure category to measures and projects that Greenhouse Gas are located in communities in areas designated as extreme nonattainment. Reduction Fund. The bill would expand the purposes of a continuous appropriation, thereby making an appropriation. Last Amended on 6/1/2015 SB 413 S. ENROLLED Current law makes it a crime, punishable as an infraction, for a person to commit certain acts on or in a Support Wieckowski D 9/15/2015-Enrolled and facility or vehicle of a public transportation system, including disturbing another person by loud or presented to the unreasonable noise on the facilities, vehicles, or property of the public transportation system, in specified Public transit: Governor at 9:30 a.m. circumstances. prohibited conduct. This bill would revise the unreasonable noise provision so that it would apply to a person failing to comply with the warning of a transit official related to disturbing another person by loud and unreasonable noise, and also to a person playing unreasonably loud sound equipment on or in a public transportation system facility or vehicle. Last Amended on 9/3/2015 SB 461 S. ENROLLED Current law describes the authorized routes in the state highway system and establishes a process for Hernandez D 9/3/2015-Enrolled and adoption of a highway on an authorized route by the California Transportation Commission. Current law presented to the authorizes the commission to relinquish certain state highway segments to local agencies. State Highway Route Governor at 5:45 p.m. 164: relinquishment. This bill would authorize the commission to relinquish specified portions of State Highway Route 164 to the County of Los Angeles and to the City of South El Monte, under specified conditions. Last Amended on 7/8/2015 SB 491 S. ENROLLED Current law, in the area under the jurisdiction of the Bay Area Air Quality Management District, requires at Committee on 9/3/2015-Enrolled and least 40% of fee revenues to be proportionately allocated to each county within the district, and requires Transportation and presented to the an entity receiving these revenues, at least once a year, to hold one or more public meetings for the Housing Governor at 10 a.m. purpose of adopting criteria for expenditure of the funds and to review those expenditures.

Transportation: This bill would instead, at least once a year, require one or more public meetings to adopt criteria for omnibus bill. expenditure of funds, if the criteria have been modified from the previous year, and one or more public meetings to review those expenditures. Last Amended on 6/29/2015

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Bill ID/Topic Location Summary Position SB 508 S. ENROLLED Would delete the requirement for transit operators to maintain higher fare-box requirements based on the Beall D 9/3/2015-Enrolled and 1978-79 fiscal year. presented to the Transportation funds: Governor at 5:45 p.m. The bill would exempt additional categories of expenditures from the definition of "operating cost" used to transit operators: determine compliance with required fare-box ratios, including, among others, certain fuel, insurance, and pedestrian safety. claims settlement cost increases beyond the change in the Consumer Price Index. Last Amended on 8/20/2015 SB 529 S. T. & H. Current law provides various sources of funding for transportation projects. This bill would appropriate $10 Pan D 4/16/2015-Re-referred to million from the General Fund to the Downtown/Riverfront Streetcar Project, connecting Sacramento to Com. on T. & H. West Sacramento, for use in funding the development of the project. Last Amended on 4/14/2015 Transportation funding: Downtown/Riverfront Streetcar Project. SB 579 S. ENROLLED Current law prohibits an employer who employs 25 or more employees working at the same location from Jackson D 9/8/2015-Enrolled and discharging or discriminating against an employee who is a parent, guardian, or grandparent having presented to the custody of a child in a licensed child day care facility or in kindergarten or grades 1 to 12, inclusive, for Employees: time off. Governor at 4:30 p.m. taking off up to 40 hours each year for the purpose of participating in school activities.

This bill would revise references to a child day care facility to instead refer to a child care provider.

The bill would include the addressing of a child care provider emergency or a school emergency, as defined, and the finding, enrolling, or reenrolling of a child in a school or with a child care provider as activities for which a parent having custody of a child shall not be discriminated against or discharged, as described. Last Amended on 7/16/2015 SB 599 S. ENROLLED Current law requires a local government agency to give a 10% preference to any bidder on a service Mendoza D 9/3/2015-Enrolled and contract to provide public transit services who agrees to retain employees of the prior contractor or presented to the subcontractor for a period of not less than 90 days, as specified. Employment: public Governor at 5:45 p.m. transit service This bill would expand these provisions to require a state agency to also give a 10% preference to any contracts. bidder under these provisions. SB 698 S. 2 YEAR Would continuously appropriate an unspecified amount from the Greenhouse Gas Reduction Fund to the Cannella R 5/1/2015-Failed Deadline State Highway Account in the State Transportation Fund for purposes of funding school zone safety pursuant to Rule 61(a)(2). projects within the Active Transportation Program. This bill contains other existing laws. Active Transportation (Last location was E.Q. on Program: school zone 3/19/2015) safety projects.

Page 10 of 12 Peninsula Corridor Joint Powers Board State Legislative Matrix as of 9/21/2015

Bill ID/Topic Location Summary Position SB 705 S. ENROLLED Would authorize the County of San Mateo to, in accordance with the Bay Area County Traffic and Support Hill D 9/16/2015-Enrolled and Transportation Funding Act, impose a transactions and use tax for countywide transportation programs at presented to the a rate of no more than 0.5% that, in combination with other specified taxes, would exceed the combined Transactions and use Governor at 4:45 p.m. rate limit. taxes: County of San Mateo: The bill would also authorize the Transportation Agency for Monterey County to impose a transactions and Transportation use tax for the support of countywide transportation programs at a rate of no more than 0.375% that, in Agency for Monterey combination with other specified taxes, would exceed the combined rate limit. This bill contains other County. related provisions and other existing laws. Last Amended on 9/3/2015 SB 767 S. ENROLLED Would authorize the MTA to impose an additional transportation transactions and use tax at a maximum De León D 9/16/2015-Enrolled and rate of 0.5% as long as a specified existing 0.5% transactions and use tax is in effect, and at a maximum presented to the rate of 1% thereafter, as specified, for a period of time determined by the MTA, if certain conditions exist Los Angeles County Governor at 4:45 p.m. and subject to various requirements, including the adoption of an expenditure plan and voter approval, Metropolitan as specified. This bill contains other related provisions and other existing laws. Transportation Last Amended on 7/16/2015 Authority: transactions and use tax. SBX1 2 S. T. & I.D. Would provide that those annual proceeds shall be appropriated by the Legislature for transportation Oppose Huff R 9/1/2015-SEN. T. & I.D. infrastructure, including public streets and highways, but excluding high-speed rail. This bill contains other Vote - Do pass, but existing laws. Greenhouse Gas re-refer to the Committee Reduction Fund. on Appropriations. (AYES 3. NOES 9.) (FAIL) SBX1 3 S. SENATE Would provide that no further bonds shall be sold for high-speed rail purposes pursuant to the Safe, Oppose Vidak R 9/14/2015-Returned to Reliable High-Speed Passenger Train Bond Act for the 21st Century, except as specifically provided with Secretary of Senate respect to an existing appropriation for high-speed rail purposes for early improvement projects in the Transportation bonds: pursuant to Joint Rule Phase 1 blended system. highway, street, and 62(a). road projects. The bill, subject to the above exception, would require redirection of the unspent proceeds from outstanding bonds issued and sold for other high-speed rail purposes prior to the effective date of these provisions, upon appropriation, for use in retiring the debt incurred from the issuance and sale of those outstanding bonds. Last Amended on 8/17/2015 SBX1 6 S. SENATE Would delete the continuous appropriations from the Greenhouse Gas Reduction Fund for the high-speed Oppose Runner R 9/14/2015-Returned to rail project, and would prohibit any of the proceeds from the fund from being used for that project. Secretary of Senate Greenhouse Gas pursuant to Joint Rule The bill would continuously appropriate the remaining 65% of annual proceeds of the fund to the Reduction Fund: 62(a). California Transportation Commission for allocation to high-priority transportation projects, as determined transportation by the commission, with 40% of those moneys to be allocated to state highway projects, 40% to local expenditures. street and road projects divided equally between cities and counties, and 20% to public transit projects.

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Bill ID/Topic Location Summary Position SBX1 7 S. APPR. Would restrict expenditures of revenues from the July 1, 2016, increase in the sales and use tax on diesel Support Allen D 9/3/2015-Read second fuel to transit capital purposes and certain transit services. time and amended. Diesel sales and use Re-referred to Com. on The bill would require an existing required audit of transit operator finances to verify that these new tax. APPR. revenues have been expended in conformance with these specific restrictions and all other generally applicable requirements. This bill contains other related provisions and other existing laws. Last Amended on 9/3/2015 SBX1 8 S. APPR. Current law requires all moneys, except for fines and penalties, collected by the State Air Resources Board Support Hill D 9/2/2015-From from the auction or sale of allowances as part of a market-based compliance mechanism relative to committee: Do pass and reduction of greenhouse gas emissions to be deposited in the Greenhouse Gas Reduction Fund. Public transit: re-refer to Com. on APPR. funding. (Ayes 8. Noes 0.) This bill would instead continuously appropriate 20% of those annual proceeds to the Transit and Intercity (September 1). Rail Capital Program, and 10% of those annual proceeds to the Low Carbon Transit Operations Program, Re-referred to Com. on thereby making an appropriation. This bill contains other current laws. APPR.

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