16724577.1
AGENDA ITEM #8
SEPTEMBER 28, 2020
PENINSULA CORRIDOR JOINT POWERS BOARD
STAFF REPORT
TO: JPB Finance Committee
FROM: Jim Harnett Joan Cassman
Executive Director Legal Counsel
Michelle Bouchard Derek Hansel
Chief Operating Officer Chief Financial Officer
SUBJECT: ADOPTION OF FISCAL YEAR 2021 SECOND QUARTER OPERATING BUDGET
AND AMENDMENT OF THE FISCAL YEAR 2021 CAPITAL BUDGET
ACTION
Staff requests the Board:
1. Adopt a Fiscal Year (FY) 2020-2021 Second Quarter (Q2) Operating Budget of
$35,072,975
2. Adopt an amendment to increase the FY2021 Capital Budget by $65,035,293
for a new budget of $84,152,772.
SIGNIFICANCE
In recognition of the uncertainties presented by COVID-19, on June 4, 2020 the
Peninsula Corridor Joint Powers Board (JPB) adopted an Interim 1st Quarter Operating
Budget and Capital Budget for FY2021, with the understanding that budgets for a full
fiscal year would be presented in September. At the September Board of Directors
meeting, staff presented an FY2021 Operating Budget of $87,284,175, including a
deficit of $60,034,656, and an amended FY2021 Capital Budget of $61,676,772. The
Board chose not to adopt the proposed budgets because the proposed Operating
Budget was not balanced and the Board was not prepared to place capital funding
requirements on the JPB's member agencies at that time. In the Board's discussion,
directors asked for and received brief guidance on the legality of the JPB adopting an
imbalanced budget. The Board also requested that staff present a balanced 2
nd
Quarter budget for consideration and approval at the October Board meeting.
Budget Purpose and Balanced Budget Rules
As stated by legal counsel at the September Board meeting, the JPB is not required by
"black-letter law" to adopt a balanced budget (e.g., with revenues/use of reserves
equal to expenditures). Indeed, state law does not require cities or special districts to
adopt balanced budgets or, in some cases, any budgets at all.
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For joint powers authorities like the JPB, the enabling legislation allows public agencies
to join together under a contract to exercise powers that the agencies share. The law
requires that each joint powers agreement identify the member agency whose powers
will govern the joint powers agency and establish the scope of and restrictions upon
those powers. In Section 5 of the Joint Powers Agreement that formed the JPB,
"SamTrans" is identified as that member agency.
As is the case for special districts, the San Mateo County Transit District's enabling
legislation requires it to adopt an annual budget, but without any accompanying
statutory requirement that such budget is balanced. (Public Utilities Code section
103140). Similarly for VTA, its enabling legislation calls for the adoption of an annual
budget without any express requirement that the budget be balanced. (Public Utilities
Code section 100071).
1
The JPB's Joint Powers Agreement also requires adoption of annual operating and
capital budgets, but does not require the operating budget to be balanced, though
any capital program funding gaps "shall be shared equally by the Member Agencies."
Although there is no explicit statutory requirement for the JPB to adopt a balanced
budget, public agencies follow best and common policy practices to approve
balanced budgets. As stated in Concepts Statement No. 1 of the Governmental
Accounting Standards Board (GASB), a public agency's budget is an "expression of
public policy and financial intent [that]… provides both authorizations of and
limitations on amounts that may be spent for particular purposes." This GASB Statement
further opines that balanced budget requirements are expressions of "a common
perception that state and local governments need to 'live within their means.'"
Moreover, budgets are essential to address other laws and practical requirements. The
following are taken from The California Local Government Finance Almanac
2
:
• A public agency may not spend public funds without the legal authorization to
do so. Among other things, a budget appropriates public funds, thereby
providing the legal authorization from the governing body to expend these
funds. Appropriation authority can also be conferred by an ordinance or
resolution.
• Cal. Government Code Sec 53901 requires each local agency to file its budget
with the county auditor within 60 days after the beginning of its fiscal year. If an
agency does not have a “formal budget” it must “file a listing of its anticipated
1
For additional context, there are two examples of state law that specifically require a
balanced budget. First, the state legislature is now required to adopt a balanced budget by
reason of "The Balanced Budget Act" approved by California's voters as Proposition 58 in 2004.
Second, counties are required by Section 29009 of the California Government Code to adopt
balanced budgets. More curiously, the enabling statutes of some agencies, such as the
Metropolitan Transportation Commission, include no budget requirements at all, leaving all
budget policy-making to the local agencies' discretion. As a general rule though, state law is
silent on a balanced budget requirement for most other political subdivisions of the state.
2
"Are California Cities Required to Have Budgets? No. But…, " April 2, 2013, available at
http://www.californiacityfinance.com/CityBudgets.pdf
.
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revenues, together with its expenditures and expenses for the fiscal year in
progress” which amounts to much the same thing as a budget.
• In order to qualify to receive federal funds, a local agency must comply with
the federal Single Audit Act and must retain a Certified Public Accountant to
prepare an annual audit of its financial records. Such an audit will require the
agency to comply with Generally Accepted Accounting Principles and
government accounting and audit standards. That compliance will be very
difficult without an adopted budget.
In sum, it is not legally required for the JPB to have a balanced budget, but in light of
the foregoing, the JPB should have annual operating and capital budgets.
JPB Budget Mitigation Strategies
COVID-19 has continued to have a challenging impact on the operations and
finances of local governments and the public at large. Broadly speaking, the JPB has
faced the uncertainties that came with the COVID-19 pandemic head-on, placing a
new importance on considering the JPB's financial goals from the perspective of
maintaining sufficient liquidity and financial support to maintain operations, even
though at a reduced level.
In summary, the goals and challenges addressed through the Q2 budgets are:
To obtain budget appropriation for the 2
nd
Quarter of FY2021;
To add to the JPB's arsenal against COVID-19 an aggressive plan of action to
focus on bringing passengers back on the trains by building a higher level of
trust with the riding public that Caltrain is ensuring health safety on the trains;
To continue to recognize that affordable public transportation is vital to
equitably supporting economic recovery for the region;
To maintain a Caltrain schedule that will meet the changing behavior of the
riding public during the gradual lift of the State and local SIP orders.
The proposed FY2021 Q2 Operating Budget and amendment to the FY2021 Capital
Budget promote Caltrain’s ability to be nimble and adapt operations to changing
conditions, meet its financial obligations, and set the stage to be ready to meet the
challenges for the remainder of the fiscal year.
FY2021 Second Quarter (Q2) Operating Budget Overview
The FY2021 Q2 Operating Budget, outlined below and detailed in Attachment A,
cautiously assumes that passengers will start riding again, albeit at a lower level and at
a slower rate. Thus, the Q2 budget is built around the operation of a 70-train schedule
for the balance of the quarter.
In June, the Board approved the 1
st
Quarter Interim Operating Budget. The FY2021
budget presented before the Board is a 2
nd
quarter budget.
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On the revenue side, farebox revenue is relying heavily on the Go Pass fare. This
budget assumes an increasing monthly recovery rate from pre-COVID-19 ridership
levels up to 30% in the January 2021 to June 2021 timeframe. The ridership recovery
rate assumptions will be adjusted based on actual monthly trends. For the Q2 budget,
the ridership recovery rate was lowered from 10% to 5% based on actual Q1 ridership
indicators. The Q2 budget also assumes an annualized reduction of $0.9 million in the
operating funding contributions from the JPB member agencies.
On the expense side, starting in FY2021, Positive Train Control (PTC) will move from a
capital project to an operating and maintenance requirement. We will separately
calculate the cost of complying with this unfunded federal mandate. Labor cost
assumptions continue to include an administrative hiring freeze and no universal wage
increase, among others. Furthermore, this budget includes an assumption of stability in
fuel costs under the JPB's diesel fuel hedging program.
FY2021 Capital Budget Overview
This period in the evolution of Caltrain demonstrates the resiliency and perseverance
of the agency to take important steps towards a future that enables Caltrain to
continue to serve as a critical mobility asset for the Peninsula and the broader San
Francisco Bay region.
During the FY2020 Shelter In Place (SIP) period, the 42-train schedule increased right of
way access and allowed the JPB to perform some critical work relative to rolling stock
“state-of-good-repair”. In the first quarter of FY2021, with funding from various
agencies in flux, the initial FY2021 Capital Budget focused only on projects that will be
supported by redirecting available funds from other projects that have been
completed under budget, or from other projects that can be postponed.
As the JPB looks ahead to the balance of the fiscal year, the Amendment to the
Caltrain Capital Budget, described in this report and set forth in Attachment B, includes
additional required capital projects that will be eligible for traditional annual federal,
state and local funding.
BUDGET IMPACT
FY2021 Second Quarter Operating Budget Impact
The following narrative describes the FY2021 Q2 Operating Budget as compared to
FY2021 Adopted Q1. Each section has a reference to a line item that corresponds to
the Financial Statement as shown on attachment A.
Revenue Projections
Total revenues for the second quarter of FY2021 are projected at $55.3 million,
an increase of $32.4 million or 142.0% higher than the adopted FY2021 Q1
budget.
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Revenue from Operations in the second quarter of FY2021 are projected at $9.7
million, an increase of $0.5 million or 5.4% higher than the adopted FY2021 Q1
budget.
Revenue from Contributions for the second quarter of FY2021 are projected at
$45.5 million, an increase of $31.9 million or 234.9% higher than the adopted
FY2021 Q1 budget.
Operating Revenue
Line 1 Farebox Revenue: $8.4 million, an increase of $0.4 million or 4.8% higher than
the FY2021 Q1 budget.
Farebox revenue includes fare receipts collected directly from rail passengers or
through pass sales. Go Passes purchased generally are valid for a 12-month period
and thus cuts across two fiscal years. Go Pass revenues average $2.5 million a month.
At the June 2020 Board meeting, the Board approved the extension of the Go Pass for
up to three months ending March 2021. The impact of this action reflects a loss of
approximately $7.5 million in FY202020 Farebox revenues. The proposed FY2021 Q2
budget assumes no further reductions in Calendar Year 2020 Go Pass revenues.
Based on the actual Q1 ridership indicators, the proposed FY2021 Q2 budget ridership
recovery rate was lowered.
Line 2 Parking Revenue: $126,782 reflects no changes over the FY2021 Q1 budget.
Parking revenue includes fees at parking lots at various passenger stations and from
a parking lot located at the SAP Center adjacent to the San Jose Diridon station.
Parking revenues directly follow the movements in ridership levels. The proposed
FY2021 assumes same levels as the adopted Q1 budget.
Line 3 Shuttle Revenue: $0.6 million, an increase of $0.2 million or 50.7% higher than
the FY2021 Q1 budget.
The Shuttle Program funding comes from participating employers, the San Mateo
County Transportation Authority (TA), Bay Area Air Quality Management District
(BAAQMD) and by JPB operating funds. This line item refers only to the revenue
generated from participating local area employers who provide rail passengers the
last-mile connections between Caltrain stations and work sites. In recent years, the
traditional funding sources for the shuttle program have continued to decline,
necessitating additional member and agency funding.
Line 4 Rental Income: $220,426, a decrease of $122,600 or 35.7% lower than the FY2021
Q1 budget.
Rental income generated from Caltrain right of way properties. In FY2021, the
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estimate does not include rental from bike lockers. Staff is also monitoring and
working with lessors on a month-to-month basis.
Line 5 Other Income: $430,620, an increase of $48,483 or 12.7% higher than the FY2021
Q1 budget.
Other Income consists of interest on invested funds, shared track usage maintenance
fees, advertising income, parking citation fees, and permit fees. Advertising income
includes income from train wraps, stations, ad cards, and digital displays. The FY2021
advertising income estimate is based on contractual minimum annual guarantees
and additional sales albeit lower than the prior years. The income from shared track
maintenance is based on an agreement with the Union Pacific Railroad (UPRR) which
provides for a fixed annual fee and a variable fee based on track usage.
Operating Contributions
Line 9 AB434 & TA Shuttle Funding: $435,549, an increase of $4,249 or 1.0% higher than
the FY2021 Q1 budget.
As addressed above, the JPB shuttle program has multiple funding streams.
Contributions for the service come from State and local sources. In 1991, through
Assembly Bill (A.B.) 434, the State Legislature authorized a $4 surcharge on cars and
trucks to fund projects that reduce on-road motor vehicle emissions. A.B. 434
revenues provide partial funding for the JPB shuttle program through a competitive
grant process managed by BAAQMD. The TA also funds shuttle services with revenues
of the Measure A San Mateo County-wide sales tax.
Line 10 Operating Grants: $1.2 million, an increase of $82,250 or 7.2% higher than the
FY2021 Q1 budget.
This increase reflects the additional award from the Federal Railroad Administration
received in Q2. This budget also reflects the agreement of Santa Clara Valley
Transportation Authority (VTA) and the Metropolitan Transportation Commission
(MTC) to allow the swap of VTA SOGR funds for preventive maintenance grant funds,
for VTA to meet its member obligation.
State Transit Assistance (STA) revenue comes from the statewide sales tax on diesel
fuel and is allocated to the region’s transit operators by formula. The formula allocates
funds based on population, the amount of passenger fares and local support
revenues collected by transit operators. The State sends out projections assuming a
growth rate and adjusts these throughout the year.
For FY2021, the MTC revised its STA estimates downwards as sales tax declined and as
diesel fuel prices weakened. The MTC then further lowered the FY2021 estimates due
to COVID-19. The FY2021 Q2 budget reflects the most recent MTC estimates.
STA funds are flexible for both operating and capital expenditures. Unlike prior years,
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the FY2021 STA funds will support only the operating budget. The FY2021 Q2 budget
also reflects the funding agreement with the Federal Railroad Administration (FRA) for
$48,500 in its Railroad Trespassing Enforcement Grant program.
Line 11 JPB Member Agencies: $5.6 million, a decrease of $6.4 million or 53.4% lower
than the FY2021 Q1 budget.
The FY2021 Q1 budget included an annual lump sum insurance costs and a reduction
in member agency contributions by $0.9 million. In FY2020 member agency annual
obligations were $29.9 million. In FY2021, the members aggregate contributions are
reduced to $29.0 million.
The JPB has three member agencies: the City and County of San Francisco, the San
Mateo County Transit District and the Santa Clara Valley Transportation Authority.
Contributions from the JPB's member agencies estimates are in accordance with an
allocation methodology based on the average mid-weekday boarding data
(including at Gilroy) and subsequently adjusted for FY2020 to reflect passenger data
collected in FY202019. Furthermore, for FY2021, the member contribution from Santa
Clara Valley Transportation Authority (VTA) will be partially covered by an operating
grant for $200,000; this is reflected in the Operating Grants budget starting in Q2.
Line 12 CARES Act Funding: $38.3 million covers the projected cumulative deficit of
FY2021 Q1 and Q2 budgets.
The CARES Act Funding is the Coronavirus Aid, Relief and Economic Security Act
provided by the federal government to transit agencies to recoup some of the losses
resulting from lower ridership. A total of $41.5 million of this fund has been allocated
in FY2021, of which $38.3 million will be applied to recover the Q1 and Q2 budget
deficits.
Expense Projections
Grand Total Expenses for the second quarter of FY2021 is projected at $35.1
million, a decrease of $7.9 million or 18.4% lower than the adopted FY2021 Q1
budget.
Operating Expenses for the second quarter of FY2021 is projected at $28.4
million, a decrease of $8.2 million or 22.3% lower than the adopted FY2021 Q1
budget.
Administrative Expense for the second quarter of FY2021 is projected at $6.1
million, an increase of $0.2 million or 4.1% higher than the adopted FY2021 Q1
budget.
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Operating Expenses
Line 22 Rail Operator Service: $21.5 million, a 13.6% decrease or $3.4 million lower than
the FY2021 Q1 budget
The JPB contracts out for rail operator service. The current operator contract is with
TransitAmerica Services, Inc. (TASI). The TASI contract was awarded on September 1
st
,
2011, for a five-year term and was set to expire on June 30, 2017, with an option to
extend for up to five additional years. On February 2
nd
, 2017, the Board approved an
amendment to exercise the five one-year options and extend the contract through
June 30
th
, 2022.
TASI provides rail operations, maintenance and support services in the following
areas: Administration/Safety; Operations and Dispatch; Maintenance of Equipment,
maintenance of Track, Communications, Signals and Stations; Capital Construction
Support and State of Good Repair (SOGR) maintenance. TASI is paid on a cost plus
performance fee contract structure.
As the pandemic unfolded in FY2020, JPB and TASI worked collaboratively to mitigate
costs by performing the following:
• issuing a hiring freeze,
• shifting staff from traditional operations maintenance to support the State of
Good Repair Program and the Capital Improvement Program,
• reducing overtime
• reducing labor overhead
The FY2021 Q1 budget assumes a 92 weekday train service schedule. At the time of
adoption, the full annual budget for TASI was $99.4 million, of which was $24.9 million.
Since then, the annual budget for Rail Operations was reduced to $89.3M, based on
the revised reduction of weekday train service in FY2021. This $10 million reduction
are primarily due to several factors:
• Weekday train service was reduced from 92 weekday trains per day to 70
trains per day.
• Reduction in budgeted overtime due to revised weekday train service
schedule.
• Elimination of Special Services for sporting and concert events.
• Reduction of maintenance services corresponding with a reduction of train
service.
The FY2021 Q2 is based on the revised annual budget of $89.3M. In accounting for
the budget adopted in Q1 of $24.9M, the projection for the remainder of FY2021 is
$64.4 million. Only $21.5 million is proposed to be adopted at this time.
Line 23 Security Services: $1.7 million, a decrease of $25,000 or 1.5% lower than the
FY2021 Q1 budget.
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Security services are provided through a law enforcement contract and a
communications services contract with the San Mateo County Sheriff’s Office
(SMCSO), and a security guard contract. The SMCSO contract supports Rail operations.
The FY2021 Q2 budget assumes savings for not holding special events such as the SF
Giants, SF 49ers, SJ Sharks, among others.
Line 24 Shuttles: $1.1 million, an increase of $0.4 million or 61.5% higher than the FY2021
Q1 budget.
The Shuttle program provides last-mile connections for Caltrain passengers. The FY2021
Q2 budget assumes a minimum service schedule option. There were four routes
eliminated In FY202020; this will continue in FY2021. In FY2021, the cost of the shuttle
contract will likely increase as new rates will be negotiated.
Line 25 Fuel and Lubricants: $1.4 million, a decrease of $0.2 million or 13.5% lower than
the FY2021 Q1 budget.
The Q1 budget was based on a fuel price of $1.20 per gallon and a fuel usage based
on a 92 train schedule. On the other hand, the Q2 budget assumes a higher $1.30 per
gallon price applied to a lower fuel usage based on a 70 train schedule. Net change
is a lower Q2 budget.
The FY2021 Q2 budget covers the cost of a diesel fuel for JPB locomotive operations,
including the associated taxes. Caltrain has entered into a diesel fuel-hedging
program that will help manage the exposure to changes in diesel fuel prices.
Line 26 Timetables and Tickets: $29,166, an increase of $6,666 or 29.6% higher than the
FY2021 Q1 budget.
Timetables and Tickets includes the cost of designing, updating and printing of time
tables, schedules, maps and the Caltrain tickets.
Line 27 Insurance: $0.1 million, a decrease of $5.0 million or 98.0% lower than the FY2021
Q1 budget.
The Q1 budget includes the premiums that are required to be paid in July.
The Insurance budget includes premiums, deductibles, adjuster fees, broker fees and
other insurance costs. Rates reflect costs for property, casualty, and liability insurance.
The FY2021 Q1 and Q2 budgets reflect the cost of the recently negotiated insurance
contract adjusted with the impact of changes in ridership.
The market condition in the industry predates pre-COVID-19-19. This was a market
hardened by huge losses, global events and a litigious environment in the rail industry.
Liability insurance cost went up as fewer insurers opted to continue to operate in the
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industry and existing carriers reduced their exposures.
Line 28 Claims, Reserves and Payments: $240,687, an increase of $2,739 or 1.2%
higher than the FY2021 Q1 budget
This budget item covers the cost of claims, reserves and payments, and the associated
legal fees.
Line 29 Facilities and Equipment Maintenance: $1.2 million, an increase of $66,348 or
5.8% higher than the FY2021 Q1 budget.
This budget item covers expenses related to Clipper Operator charges, revenue
collection services, ticket vending machines, data line services and other contract
services. The FY2021 Q1 and Q2 budget includes additional PTC maintenance cost of
$3.2 million and reflects a $1.0 million decrease in Clipper usage charges.
Line 30 Utilities: $685,904, an increase of $12,229 or 1.8% higher than the FY2021 Q1
budget.
This line covers the cost of gas & electric, telephone, water, trash & sewer. The budget
also includes utility costs of PTC maintenance such as circuits, radio license fees and
spectrum lease.
Line 31 Maintenance & Services – Building and Other: $383,618, a decrease of $47,255
or 11.0% lower than the FY2021 Q1 budget.
This item covers the cost of building maintenance services, printing and information
services, and repair and maintenance of computers and office equipment.
Administrative Expenses
Line 35 Wages & Benefits: $2.5 million, a decrease of $0.8 million or 22.9% lower than
the FY2021 Q1 budget.
The Q1 budget was higher as it included the lump sum payment for CalPers and
retiree medical contributions required to be paid in July.
The FY2021 Q2 budget includes existing positions, no new full time employee positions
(also referred to herein as "FTEs"), an administrative staff hiring freeze, a lower benefits
rate, no universal wage increase, and lower agency allocations to the retiree
medical and OPEB plans.
Below are the FTEs for each division funded by operating funds and by capital funds.
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Line 36 Managing Agency Admin OH Cost: $1.3 million, an increase of $20,644 or 1.6%
higher than the FY2021 Q1 budget.
Managing Agency Administrative Overhead (OH) Cost reflects the cost of San Mateo
County Transit District (District) personnel dedicated to the Caltrain business (as
opposed to Caltrain operations). The Proposed budget assumes an increase of 1.2%
over the FY202020 Forecast. This FY2021 estimate will be revised further pending results
of the current study of the Internal Cost Allocation Plan (ICAP).
The ICAP calculates the indirect cost rate used to recover overhead costs related to
agency indirect administrative overhead and capital projects. The District procured
the assistance of an outside consulting firm to develop a methodology that equitably
allocates the costs incurred by the District for services and functions shared by the
different agencies administered by District staff. The consultant team was selected for
its experience and knowledge in developing allocation methodologies for
governmental and public entities.
The ICAP is prepared in accordance with the principles and guidelines set forth in the
Office of Management and Budget (OMB) Circular A-87 “Cost Principles for State,
Local and Indian Tribal Governments” and ASMB C-10 “Cost Principles and Procedures
for Developing Cost Allocation Plans and Indirect Cost Rates for Agreements with the
Federal Government.”
The ICAP calculates two components:
Agency Indirect Administration (AIA) – a pool of costs that cannot be directly
attributed to a specific agency.
This consists of labor and non-labor support functions that benefit each of the three
agencies managed by the District as well as a fourth agency, the San Mateo
County Express Lanes Joint Powers Agency (SMCELJPA) supported by the District
beginning in FY 2020. Examples include the time charged by the Payroll
Department to process the biweekly payroll or the time charged by the Human
Resource Department to post recruitments on industry websites. Based on specific
statistics, these costs distributed to each department are. For example, the payroll
department costs are distributed to each department based on the number of
FTEs. The District incurs all of the AIA costs and then recovers appropriate shares of
the costs from the District’s Operating and Capital budgets, the JPB Operating
FY2021 FTE - Operating
Finance
Planning
Executive
Comm
Admin
Bus
Rail
Calmod
Total
Represented
-
-
- 5.8 - 5.0 - - 10.80
Non-Represented 6.2 2.8 0.5 12.6 7.1 4.9 34.2 0.1 68.25
New FTEs - - - - - - - -
Total Operating 6.2 2.8 0.5 18.4 7.1 9.9 34.2 0.1 79.1
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and Capital budgets, the TA budget and the SMCELJPA budget.
Capital Overhead – a pool of project support costs that cannot be directly
attributed to a specific capital project.
A capital overhead rate is calculated for each agency. An example of a capital
overhead cost would be the time charged by an administrative assistant who
supports multiple capital project engineers. The capital overhead costs are
tracked and included in the ICAP rate and is charged to each capital project.
Line 37 Board of Directors: $0, a decrease of $11,025 or 100.0% lower than the FY2021
Q1 budget.
The first quarter budget reflects the annual budget for this expense line.
This covers director compensation, seminars and training, and meetings for the Board
of Directors. Cost decreases result from diminished conference attendance.
Line 38 Professional Services: $1.6 million, an increase of $0.9 million or 145.9% higher
than the FY2021 Q1 budget.
The Q1 budget was extremely conservative. The Q2 budget reflects a more realistic
estimate of needs for Q2.
This covers the cost of consultants for legal services, audit services, and legislative
advocacy and technical services. The professional services also include additional
operating maintenance of PTC related to rail friction, electronic recording,
measuring, and communications systems and communications data security.
Line 39 Communications and Marketing: $20,208, a decrease of $55,167 or 73.2%
lower than the FY2021 Q1 budget.
The FY2021 Q1 and Q2 budget reflects the suspension of special celebrations and
promotional advertising for sporting events during the pandemic.
This covers the cost of promotional advertising for fares, schedule changes and the
cost of providing the riding public with a mobile app.
Line 40 Other Office Expense and Services: $673,201, an increase of $103,122 or 18.1%
higher than the FY2021 Q1 budget.
The Q1 budget included only the software maintenance costs that needed to be
paid in July. The Q2 budget includes all other costs to be covered for the rest of the
year.
This covers license renewal, bank fees, office vehicle maintenance, property taxes,
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software maintenance, and leases for properties along the Right of Way (ROW) in
support of commuter services. The ROW leases include critical facilities for radio
transmission antennas and real estate for storage of train equipment and spare parts.
Line 43 Long Term Debt Expense: $0.6 million reflects no change over the FY2021 Q1
budget
This covers the cost and principal retirement of debt incurred for the acquisition and
rehabilitation of passenger rail cars, for the acquisition of real property, and for
maintenance of a revolving line of credit.
In February 2019, the JPB refunded bonds issued in 2007 and 2015 to achieve interest
savings and restructure debt, and issued additional bonds to purchase two pieces of
real property previously leased by the JPB.
FY2021 Capital Budget Impact
The initial FY2021 Capital budget approved by the Board in June for a total of
$19.1 million included only those capital projects that had available funding, but
required Board-approved budget authority to incur the expenditures.
The amendment to the FY2021 capital budget is an increase of $65.0 million and
includes urgent projects eligible for the anticipated annual FY2021 Federal, State
and Member Agency funds. This brings the total FY2021 Capital budget to $84.2
million.
The Projects included in the Amendment 1 as reflected in Attachment B, are as
follows:
STATE OF GOOD REPAIR (SOGR – $30,968,825
RIGHT OF WAY - $11,205,000
1. Fencing – Request: $585,000 (additional)
Continue to install vandal-resistant fencing at key locations along the PCJPB
main line rail corridor to deter trespassing. This contract will terminate end of
November 2020.
2. Guadalupe River Bridge Replacement – Request: $2,100,000
Replace the Guadalupe River Bridge in San Jose, damaged by weather and
arson.
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3. San Francisquito Creek Bridge Replacement – Request: $2,000,000
In FY2021, this project moves to the construction phase for the replacement of
this 118-year-old bridge, with a modern railway bridge with a 100-year design
life.
4. Structures Maintenance SOGR – Request: $800,000
This includes minimum maintenance repair to restore the structural integrity to a
fair condition, increase the safety, security, and the useful life of the assets.
The inspection rated structures in poor conditions, suffering from deterioration
and corrosion as well as poor workmanship from the original construction.
Structures Maintenance SOGR FY2021 will enhance operation safety, worker,
and public safety.
5. System-wide Track Rehab SOGR FY202020-FY202024 – Request: $5,720,000
Continue the work required to keep the Caltrain railroad in a state of good
repair, including rehabilitation of track and other purchased services. Replace
track components, wedging, surfacing and selected minor bridge repairs.
SIGNAL AND COMMUNICATION - $5,000,000
6. Caltrain Communication System SOGR – Request: $2,000,000
This is a yearly evaluation and implementation of projects for the overall railroad
communications system to keep assets current. Evaluates replacements prior to
end of life or vendor support. This includes all voice and data radio systems,
microwave systems, leased landlines and the data communications system.
7. Rail Network SOGR – Request: $500,000
Upgrade internet service and equipment as necessary to support secure
vendor Virtual Private Network (VPN) access, remote monitoring of PTC
environment, and communications with external clients such as 511.org.
Furthermore, this upgrade will be able to handle higher bandwidth and current
equipment including firewalls and routers have reached the end of their
technology life cycle.
8. TVM Upgrade Phase 4 – Request: $1,000,000
The project will continue the upgrade of the Ticket Vending Machines (TVMs) to
include Clipper functionalities and upgrade old, obsolete parts in the TVMs. The
new upgraded TVMs will be able to dispense new Clipper cards and add value
or products to existing Clipper cards. The upgraded TVMs will also have a new
touchscreen display screen, printer, bill acceptor and new software.
Page 15 of 19
16724577.1
The previous phases upgraded 34 TVMs. Phase 4 will upgrade an additional 25
TVMs. After Phase 4, there will be 29 TVMs at the stations still needing an
upgrade.
9. Clipper CID Installation & Relocation Plan & Construction – Request: $1,000,000
This project will relocate and install new Clipper Card Interface Devices (CIDs)
at key passenger stations at more accessible locations for passengers getting in
and out of train stations. The improved flow will allow Caltrain to move more of
its customers onto the Clipper system, and away from less-efficient and less-
effective payment systems. This will also maximize touchless fare payments.
10. BCCF Buildout Assessment – Request: $500,000
This project will evaluate the areas of the Backup Communications Control
Facility (BCCF) that are partially developed and to assess build-out for
occupancy as well as for inventory of the building materials on site from the
previous contractor and to develop options and plans for additional working,
meeting, and storage space.
ROLLING STOCK - $12,663,825
11. Bombardier Cars FY2021 – Request: $1,663,825
Implement scheduled maintenance for FY2021. These include mid-life over-
hauls, replacing cables, seats, batteries, cab refurbishment, and heating
ventilation air condition (HVAC) system.
12. Upper Doors Installation – Request: $11,000,000
This is a placeholder project for the future reinstallation of the upper level doors
in the event that these are required in the Electrical Multiple Units, as requested
by the funding partners of the electrification program’s Change Management
Board.
STATION AND INTER-MODAL ACCESS - $2,100,000
13. Stations SOGR FY202020-FY202024 – Request: $1,000,000
Repair and replace several passenger station amenities. These include
Passenger Needing Assistance (PNA) shelters, Information Display Cases (IDC),
benches and trashcans. The pedestrian tunnel in San Jose needs repainting
since a fire three years ago, and epoxy coating applied on all of the ramps that
feed into the San Jose pedestrian tunnel. These continued activities maintain
these facilities to a state of good repair.
Page 16 of 19
16724577.1
14. CCF Crew Quarters Roof Replacement & Trailer – Request: $1,000,000
The Crew quarters are made up of a series of single and doublewide trailers in
the parking lot of Centralized Control Facility (CCF) in San Jose across from
Centralized Equipment Maintenance & Operations Facility (CEMOF). These
include used trailers to support the crews that operate the passenger service.
The roofs on these trailers are failing and will need replacements. The floorings
and sidings of these trailers will need repairs to maintain these facilities to a state
of good repair.
15. Menlo Park Facility 4000 Campbell Avenue HVAC – Request: $100,000
This is a newly acquired property. The HVAC units on the roof are not functioning
efficiently and needs to be replaced/upgraded.
LEGAL MANDATES AND REQUIRED ENHANCEMENTS - $1,500,000
16. Clipper Next Gen Validators Site Prep – Request: $1,500,000
Design and install 360 new Next Generation Clipper Validators at stations to
prepare for the regional transition to the new Clipper system mandated by MTC.
Compliance due date is June 20, 2021.
OPERATIONAL IMPROVEMENTS / ENHANCEMENTS - $24,428,000
17. Wayside Bike Parking Improvements – Request: $1,040,000 (additional)
The project will replace existing keyed bicycle lockers with new, on demand
electronic lockers. The existing lockers, which are assigned to individual users,
are nearing the end of their useful lives. These are being replaced with 520 first
come, first served electronic lockers that will better serve Caltrain customers with
bikes. Operations and maintenance responsibilities will shift from TASI to the
vendor, saving the agency approximately $100 per space annually. Lockers will
be located throughout the corridor.
18. Grade Crossing Hazard Analysis Data Collection – Request: $200,000
The project will collect data at the Caltrain grade crossings for the Grade
Crossing Hazard Analysis. Video data will then determine the risks at each
grade crossing. Data will include traffic counts, near misses and driver behavior.
The last video data collection was in 2015 and new data is required to update
the Grade Crossing Hazard Analysis Report.
19. Grade Crossing Safety Improvements Design FY2021 – Request: 500,000
Identify the highest priority grade crossings in a Grade Crossing Hazard Analysis
Report. Subsequently a design developed for these grade crossings will
improve safety as recommended by the Hazard Analysis Report. There are still
Page 17 of 19
16724577.1
crossings that have safety risks such as having no median to prevent drivers from
driving around a lowered gate arm.
20. EAM – Enterprise Asset Management Software – Request: $750,000
Develop a Request for Proposals (RFP) to solicit and procure a base EAM system.
Core capabilities include asset registry, asset condition and assessment, work
request, work planning and management, warranty management, materials
management, planning and budgeting, and management reporting.
Asset information is currently stored in various disparate systems and some by
the Rail Contract Operator (TASI). The industry best practice is to centralize asset
data within a single EAM system to maintain data consistency and analysis.
Implementation of an EAM system is in accordance with Transit Asset
Management (TAM) Plan of Caltrain.
The EAM system is required to enable Caltrain and the other agencies to
maintain its assets in a database. This will allow responsible personnel to write
work orders against assets for the performance of maintenance and the state
of good repair projects; to maintain a parts inventory; to assign labor to perform
maintenance activities, as well as to perform other asset management
functions. The EAM will also be required to support Operations and
Maintenance of the Electrification system.
21. Update and Upgrade GIS System – Request: $500,000
The updated Geographic Information System (GIS) system will provide a
graphical user interface for information and data stored in the Enterprise Asset
Management system as well as AutoCAD. This system will facilitate capturing
utility location information, asset locations, real estate easements and parcels;
it will support operations.
Both the EAM and GIS systems are required for proper operations and
maintenance, and for the organization to start moving towards an excellent
model.
22. San Mateo Grade Crossing Improvements Design – Request: $1,600,000
Design safety improvements at the 4th Ave and 5th Ave grade crossings in San
Mateo to include quad gates to prevent drivers from driving around a down
gate arm and over the tracks when a train is approaching. These needed
safety improvements were jointly agreed upon during a field diagnostic
meeting between JPB, the City of San Mateo, California Public Utility
Commission, and Caltrans as part of the Section 130 Program.
Page 18 of 19
16724577.1
23. Broadway Burlingame Grade Separation – Request: $19,838,000
Complete the design phase of the grade separation of Broadway. This project
will include the following:
o environmental permitting process,
o the reconstruction of the Broadway Caltrain station to meet current
standards,
o the relocation and reconfiguration of parking from the west to the east
side of the track,
o a new pedestrian and bicycle access crossing in proximity to Carmelita
Avenue and the grade separation of an existing at-grade pedestrian
and bicycle access at Morrell Avenue that is within close proximity to the
existing crossing.
This project will significantly improve safety, local mobility, and operational
flexibility of the railroad. Project has highest rank in California Public Utility
Commission Grade Separation Priority List. This project is primarily funded by the
San Mateo County Transportation Authority and with $1.5 million funded the City
of Burlingame.
PLANNING/STUDIES - $8,138,468
24. Capital Planning (CIP) – Request: $1,250,000,
Further CIP development, infrastructure analysis to support the Caltrain Business
Plan service vision and planning of station modifications, overtake tracks, site
planning of facilities, planning support for ongoing grade separation projects
and evolving engineering and construction guidelines.
25. San Francisco Station and Terminal Planning – Request: $1,000,000
Study conceptual activities related to the layout and operation of the Caltrain
terminal and station facilities between Salesforce Transit Center & 22nd Street,
with particular focus on outcomes and connecting to the existing rail yard and
station at 4th & King.
26. Diridon and South Terminal Area – Request: $1,000,000
Continue work with agency partners and the California High Speed Rail
Authority to further develop and refine the vision for a future Diridon Station.
Undertake additional work in partnership with the City of San Jose to examine
rail and storage needs and operations through the South Terminal Area.
27. Rail Network and Operations Planning – Request: $1,250,000
Further near-term planning based on the Caltrain Business Plan service vision;
selection and development of a long-term service vision operating plan; fleet
planning; systems planning; level boarding analysis, and maintenance
planning.
Page 19 of 19
16724577.1
28. Redwood City Station Planning – Request: $750,000
Develop a Memorandum of Understanding with City of Redwood City and
other stakeholders to establish the broad terms of a collaborative planning
process for the Redwood City area between Whipple and Redwood Junction.
The goal is to develop a conceptual station plan to accommodate future
Caltrain service levels, which will include grade separations/closures, private
development of a Transit Oriented Development and a connection with
Dumbarton rail service.
29. Caltrain Downtown Rail Extension (DTX) – Request: $60,000
Continue to develop Downtown Rail Extension as part of the San Francisco
Peninsula Rail Program Memorandum of Understanding. Caltrain has
committed to actively participate in a wide range of activities to promote
successful delivery of this project.
30. System-wide Planning, Policy & Org Design – Request: $1,168,468
Include development of interagency agreements on planning and
organizational design to support the Caltrain Business Plan findings, and
updates to modeling and tools.
31. Capital Contingency Funds - Engineering – Request: $330,000
Support unforeseen capital expenditures related to the delivery of capital
projects/programs.
32. Capital Contingency Funds - Rail – Request: $660,000
Support unforeseen capital needs related to rail operations.
33. Capital Program Development – Request: $335,000
Support unforeseen capital planning needs.
34. Capital Project Development – Request: $335,000
Implement planning and engineering study activities.
Prepared by:
Cynthia Scarella Manager, Budgets 650.508.6230
Melanie Hartanto Senior Budget Analyst
Cleo Liao Senior Budget Analyst
Page 1 of 3
16895241.1
RESOLUTION NO. 2020-
BOARD OF DIRECTORS, PENINSULA CORRIDOR JOINT POWERS BOARD
STATE OF CALIFORNIA
* * *
ADOPTING FISCAL YEAR 2021 2
nd
QUARTER OPERATING BUDGET IN THE AMOUNT
OF $35,072,975 AND AMENDING TO INCREASE THE FISCAL YEAR 2021 CAPITAL
BUDGET BY $65,035,293 FOR A NEW TOTAL BUDGET OF $84,154,772
WHEREAS, the Joint Powers Agreement of the Peninsula Corridor Joint Powers
Board (JPB) requires the Board of Directors (Board) to approve annual operating and
capital budgets; and
WHEREAS, the adoption of an operating budget is necessary for obtaining both
Federal and State funds to support the Peninsula Commute Service operation known as
Caltrain; and
WHEREAS, the adoption of a capital budget complements the JPB's strategic
planning process; and
WHEREAS, on June 4, 2020, pursuant to Resolution 2020-29 and in recognition of
the economic instability created by the COVID-19 global pandemic, the Board
adopted an Interim, First Quarter Fiscal Year 2021 (FY 2021) Operating Budget in the
amount of $42,989,267, and a FY2021 Capital Budget in the amount of $19,119,479, with
the understanding that budgets for the full year would be presented for future Board
consideration and adoption; and
WHEREAS, the Executive Director and the Staff Coordinating Council
recommend that the Board adopt the Fiscal Year (FY) 2021 2
nd
Quarter Operating
Budget shown as Attachment A, and the Amended FY2021 Capital Budget shown as
Attachment B; and
Page 2 of 3
16895241.1
WHEREAS, the local match funding component of the FY2021 Capital Budget is
$18.0 million, requiring a capital investment of $6.0 million from each of the JPB's three
member agencies; and
WHEREAS, the City and County of San Francisco will provide its $6.0 million FY2021
capital investment from Proposition K funds through the San Francisco County
Transportation Authority; and
WHEREAS, San Mateo County will provide its $6.0 million FY2021 capital
investment through the San Mateo County Transportation Authority; and
WHEREAS, Santa Clara County Valley Transportation Authority will provide its $6.0
million FY2021 capital investment itself, using local and Measure B funds; and
NOW, THEREFORE, BE IT RESOLVED that the Board of Directors of the Peninsula
Corridor Joint Powers Board hereby adopts the FY2021 2
nd
Quarter Operating Budget, a
copy of which is attached hereto and incorporated herein as Attachment A, in the
amount of $35,072,975.
BE IT FURTHER RESOLVED that the Board amends to increase the FY2021 Capital
Budget by $65,035,293, for a new total budget of $84,154,772, attached hereto and
incorporated herein as Attachment B, with the understanding that the three JPB
member agencies will each contribute $6.0 million to meet their FY2021 capital
investment commitments; and
BE IT FURTHER RESOLVED that the Executive Director, or his designee, is requested
to forward a copy of the FY2021 2
nd
Quarter Operating Budget and Amended FY2021
Capital Budget to the JPB member agencies at the earliest practicable date; and
BE IT FURTHER RESOLVED that the Board authorizes the Executive Director, or his
designee, to take such additional actions as may be necessary to give effect to this
Page 3 of 3
16895241.1
resolution including executing funding agreements, amendments, and submitting
required documents to granting agencies to receive the funding identified in the
Capital Budget.
Regularly passed and adopted this 1st day of October, 2020 by the following
vote:
AYES:
NOES:
ABSENT:
Chair, Peninsula Corridor Joint Powers Board
ATTEST:
JPB Secretary
Attachment A
FY21 Q1
Adopted
FY21 Q2
Proposed
$ CHANGE
FY21 Q2 vs
FY21 Q1
% CHANGE
FY21 Q2 vs
FY21 Q1
A B C = B - A D = C / A
REVENUE
OPERATIONS:
1
Farebox Revenue 8,015,496 8,400,000 384,504 4.8%
1
2
Parking Revenue 126,782 126,782 - 0.0% 2
3
Shuttles 368,000
554,415
186,415 50.7% 3
4
Rental Income 343,026
220,426 (122,600) -35.7% 4
5
Other Income 382,137 430,620 48,483 12.7%
5
6
TOTAL OPERATING REVENUE 9,235,441 9,732,243 496,802 5.4%
6
7 7
8
CONTRIBUTIONS:
8
9
AB434 & TA Shuttle Funding 431,300
435,549 4,249 1.0%
9
10
Operating Grants 1,135,439 1,217,689 82,250 7.2%
10
11
JPB Member Agencies 12,020,136 5,596,433 (6,423,703) -53.4%
11
12
CARES Act Funding 38,258,012 38,258,012 12
13
TOTAL CONTRIBUTED REVENUE 13,586,875 45,507,683 31,920,808 234.9% 13
14 14
15 15
16
GRAND TOTAL REVENUE 22,822,316 55,239,926 32,417,610 142.0% 16
17 17
18 18
19
EXPENSE 19
20 20
21
OPERATING EXPENSE: 21
22
Rail Operator Service 24,850,000 21,469,462 (3,380,538) -13.6% 22
23
Security Services 1,705,477 1,680,477 (25,000) -1.5%
23
24
Shuttle Service 694,000 1,121,082 427,082 61.5%
24
25
Fuel and Lubricants 1,650,270 1,426,749 (223,521) -13.5%
25
26
Timetables and Tickets 22,500 29,166 6,666 29.6%
26
27
Insurance 5,100,000 103,333 (4,996,667) -98.0%
27
28
Claims, Reserves, and Payments 237,948 240,687 2,739 1.2% 28
29
Facilities and Equipment Maint 1,153,630 1,219,978 66,348 5.8%
29
30
Utilities 673,675 685,904 12,229 1.8%
30
31
Maint & Services-Bldg & Other 430,873 383,618 (47,255) -11.0%
31
32
TOTAL OPERATING EXPENSE 36,518,373 28,360,456 (8,157,917) -22.3% 32
33 33
34
ADMINISTRATIVE EXPENSE
34
35
Wages and Benefits 3,299,828 2,543,391 (756,437) -22.9%
35
36
Managing Agency Admin OH Cost 1,274,516 1,295,160 20,644 1.6%
36
37
Board of Directors 11,025 - (11,025)
-100.0% 37
38
Professional Services 644,633 1,585,122 940,489 145.9% 38
39
Communications and Marketing 75,375 20,208 (55,167) -73.2% 39
40
Other Office Expense and Services 570,079 673,201 103,122 18.1%
40
41
TOTAL ADMINISTRATIVE EXPENSE 5,875,456 6,117,082 241,626 4.1%
41
42 42
43
Long-term Debt Expense 595,438 595,437 (1) 0.0%
43
44 44
45
GRAND TOTAL EXPENSE 42,989,267 35,072,975 (7,916,292) -18.4%
45
46 46
47 47
48
PROJECTED SURPLUS / (DEFICIT) (20,166,951) 20,166,951 40,333,902 -200.0%
48
PENINSULA CORRIDOR JOINT POWERS BOARD
Proposed FY2021 2nd Quarter Budget
AttachmentB
Amendment1
October2020
SF SM VTA
Project
Savings
AB664
SFPropK
other
Regional
Funds
SanMateo
County
Transportation
Authority
Other
i.SOGR
RightofWay
1
MarinStreetandNapoleonStreetBridges
1
JSharma
6,704,000 9,696,000 ‐ 9,696,000 4,965,021 ‐ 1,350,915 ‐ ‐ ‐ ‐ 2,740,064 640,000 ‐ ‐ ‐ ‐ 3,380,064 9,696,000
2 Fencing‐ROW
RScarpino
‐ 915,000 585,000 1,500,000 ‐ 915,000 ‐ 250,000 335,000 585,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 1,500,000
8 GuadalupeRiverBridgeReplacement
PKwan
10,300,000 2,100,000 2,100,000 1,680,000 ‐ ‐ 227,500 ‐ 192,500 420,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 2,100,000
9SanFrancisquitoCreekBridgeReplacement
APiano
600,000 2,000,000 2,000,000 1,600,000 ‐ ‐ 227,500 ‐ 172,500 400,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 2,000,000
10 StructuresMaintenanceSOGR
RScarpino
800,000 800,000 800,000 640,000 ‐ ‐ 160,000 ‐ ‐ 160,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 800,000
11 System‐wideTrackRehab‐SOGR
EStocklmeir
5,500,000 5,720,000 5,720,000 4,576,000 ‐ ‐ 1,144,000 ‐ ‐ 1,144,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 5,720,000
10,611,000 11,205,000 21,816,000 13,461,021 915,000 1,350,915 1,759,000 250,000 700,000 2,709,000 2,740,064 640,000 ‐ ‐ ‐ ‐ 3,380,064 21,816,000
Signal&Communication
3
FiberOpticCorrectiveRepair
2
MScanlon
1,000,000 1,000,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ 1,000,000 1,000,000 1,000,000
12 CaltrainCommunicationSystemSOGR
MScanlon
‐ 2,000,000 2,000,000 1,600,000 ‐ ‐ ‐ ‐ 400,000 400,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 2,000,000
13 RailNetworkSOGR
MScanlon
‐ 500,000 500,000 400,000 ‐ ‐ ‐ ‐ 100,000 100,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 500,000
14 TVMUpgradePhase4
RTam/JNavarro
1,795,000 1,000,000 1,000,000 800,000 ‐ ‐ ‐ ‐ 200,000 200,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 1,000,000
15 ClipperCIDinstallationandRelocationPlanandConstruction
H.Chan
500,000 1,000,000 1,000,000 800,000 ‐ ‐ ‐ ‐ 200,000 200,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 1,000,000
20 BCCFBuildoutAssessment
MScanlon
‐ 500,000 500,000 ‐ ‐ ‐ 500,000 ‐ 500,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 500,000
1,000,000 5,000,000 6,000,000 3,600,000 ‐ ‐ ‐ 500,000 900,000 1,400,000 ‐ ‐ ‐ ‐ ‐ 1,000,000 1,000,000 6,000,000
RollingStock
21 Bombardier
JNavarro
1,663,825 1,663,825 ‐ ‐ ‐ 1,663,825 ‐ ‐ 1,663,825 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 1,663,825
22
UpperLevelDoorsInstallation
7
JNavarro
‐ 11,000,000 11,000,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ 11,000,000 11,000,000 11,000,000
‐ 12,663,825 12,663,825 ‐ ‐ ‐ 1,663,825 ‐ ‐ 1,663,825 ‐ ‐ ‐ ‐ ‐ 11,000,000 11,000,000 12,663,825
Station&IntermodalAccess
23 StationsSOGR
RScarpino
500,000 1,000,000 1,000,000 ‐ ‐ ‐ 400,000 600,000 1,000,000 ‐ ‐ ‐ ‐ ‐ ‐ 1,000,000
24 CCFCrewQuartersRoofReplacement&TrailerRepairs
RScarpino
‐ 1,000,000 1,000,000 ‐ ‐ ‐ ‐ ‐ 1,000,000 1,000,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 1,000,000
25 MenloParkFacility4000CampbellAvenueHVAC
RScarpino
‐ 100,000 100,000 ‐ ‐ ‐ ‐ 100,000 100,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 100,000
‐ 2,100,000 2,100,000 ‐ ‐ ‐ 400,000 100,000 1,600,000 2,100,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 2,100,000
TotalSOGR
11,611,000 30,968,825 42,579,825 17,061,021 915,000 1,350,915 3,822,825 850,000 3,200,000 7,872,825 2,740,064 640,000 ‐ ‐ ‐ 12,000,000 15,380,064 42,579,825
ii.LEGALMANDATESANDREQUIREDENHANCEMENTS
26 ClipperNextGenValidatorsSitePrep
JNavarro/HChan
‐ 1,500,000 1,500,000 1,200,000 ‐ ‐ ‐ ‐ 300,000 300,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 1,500,000
‐ 1,500,000 1,500,000 1,200,000 ‐ ‐ ‐ ‐ 300,000 300,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 1,500,000
iii.OPERATIONALIMPROVEMENTS/ENHANCEMENTS
4
PositiveTrainControlLitigation
3
SBullock
‐ 6,600,000 6,600,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ 6,600,000 6,600,000 6,600,000
5
WaysideBikeParkingImprovements
4
MReggiardo
4,000,000 349,322 1,040,000 1,389,322 ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ 1,240,000 ‐ 149,322 1,389,322 1,389,322
27 GradeCrossingHazardAnalysisDataCollection
GFleming
‐ 200,000 200,000 ‐ ‐ ‐ 200,000 ‐ 200,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 200,000
28 FY21GradeCrossingSafetyImprovementsDesign
RTam
‐ 500,000 500,000 ‐ ‐ ‐ 500,000 ‐ 500,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 500,000
29 EAM–EnterpriseAssetManagementsoftwaresystem
SChao
‐ 750,000 750,000 ‐ ‐ ‐ ‐ 750,000 ‐ 750,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 750,000
30 UpdateandUpgradeGISsystem
GFleming
‐ 500,000 500,000 ‐ ‐ ‐ 477,175 22,825 ‐ 500,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 500,000
31
SanMateoGradeCrossingImprovementsDesign
8
RTam
‐ 1,600,000 1,600,000 ‐ 1,600,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ 1,600,000
32
BroadwayBurlingameGradeSeparation
9
JSharma
4,550,000 19,838,000 19,838,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ 18,338,000 1,500,000 19,838,000 19,838,000
6,949,322 24,428,000 31,377,322 ‐ 1,600,000 ‐ 1,177,175 772,825 ‐ 1,950,000 ‐ ‐ ‐ 1,240,000 18,338,000 8,249,322 27,827,322 31,377,322
TOTALPROPOSEDFY21
CAPITALBUDGET
Members
Member
FundsTotal
Other
OtherFundsTotal
FY2020‐2021CAPITALBUDGET
Item#
PROJECTNAME
Project
Sponsor
PRIORYEARS
APPROVED
FY21ADOPTED
JUNEBOARD
STASOGR
Funds
AMENDMENT#1
PROPOSEDFY21
CAPITALBUDGET
Federal
Funds
State
Funds
AttachmentB
Amendment1
October2020
SF SM VTA
Project
Savings
AB664
SFPropK
other
Regional
Funds
SanMateo
County
Transportation
Authority
Other
TOTALPROPOSEDFY21
CAPITALBUDGET
Members
Member
FundsTotal
Other
OtherFundsTotal
FY2020‐2021CAPITALBUDGET
Item#
PROJECTNAME
Project
Sponsor
PRIORYEARS
APPROVED
FY21ADOPTED
JUNEBOARD
STASOGR
Funds
AMENDMENT#1
PROPOSEDFY21
CAPITALBUDGET
Federal
Funds
State
Funds
iv.PLANNING/STUDIES
6
22ndSt.ADAFeasibilityStudy
5
MReggiardo
300,000 50,000 ‐ 50,000 ‐ ‐ ‐ ‐ ‐ ‐ 50,000 ‐ ‐ ‐ ‐ ‐ 50,000 50,000
7
BusinessPlan
6
SPetty
5,537,118 509,157 ‐ 509,157 ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ 509,157 509,157 509,157
33 CapitalPlanning(CIP)
MReggiardo
750,000 1,250,000 1,250,000 ‐ ‐ ‐ ‐ 500,000 750,000 * 1,250,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 1,250,000
34 SanFranciscoStationandTerminalPlanning
MReggiardo
‐ 1,000,000 1,000,000 ‐ ‐ ‐ 1,000,000 ‐ ‐ 1,000,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 1,000,000
35 DiridonandSouthTerminalArea
MReggiardo
‐ 1,000,000 1,000,000 ‐ ‐ ‐ ‐ ‐ 1,000,000 * 1,000,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 1,000,000
36 RailNetworkandOperationsPlanning
MReggiardo
‐ 1,250,000 1,250,000 ‐ ‐ ‐ ‐ 1,250,000 1,250,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 1,250,000
37 RedwoodCityStationPlanning
MReggiardo
‐ 750,000 750,000 ‐ ‐ ‐ ‐ 750,000 ‐ 750,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 750,000
38 CaltrainDowntownRailExtension(DTX)
ASimmons‐ 60,000 60,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ 60,000 ‐ ‐ ‐ 60,000 60,000
39 System‐widePlanningandPolicy&OrgDesign
MReggiardo
‐ 1,168,468 1,168,468 ‐ ‐ ‐ ‐ 217,175 750,000 * 967,175 ‐ ‐ 201,293 ‐ ‐ ‐ 201,293 1,168,468
40 CapitalContingencyFunds‐Engineering
330,000 330,000 ‐ ‐ ‐ ‐ 330,000 ‐ 330,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 330,000
41 CapitalContingencyFunds‐Rail
‐ 660,000 660,000 ‐ ‐ ‐ ‐ 660,000 ‐ 660,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 660,000
42 CapitalProgramManagement
‐ 335,000 335,000 ‐ ‐ ‐ ‐ 335,000 ‐ 335,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 335,000
43 CapitalProjectDevelopment
‐ 335,000 335,000 ‐ ‐ ‐ ‐ 335,000 ‐ 335,000 ‐ ‐ ‐ ‐ ‐ ‐ ‐ 335,000
559,157 8,138,468 8,697,625 ‐ ‐ ‐ 1,000,000 4,377,175 2,500,000 7,877,175 50,000 ‐ 261,293 ‐ ‐ 509,157 820,450 8,697,625
TOTAL 19,119,479 65,035,293 84,154,772 18,261,021 2,515,000 1,350,915 6,000,000 6,000,000 6,000,000 18,000,000 2,790,064 640,000 261,293 1,240,000 18,338,000 20,758,479 44,027,836 84,154,772
1
OtherfundsincludesprojectsavingsfromtheLosGatosBridgeReplacementproject($2,102,558)andfromtheSanMateoBridgeReplacementproject($456,881)madeupofFederalSection5337funds($1,421,946),prioryearsVTAfunds($901,073)andSMfunds($236,402)anddeobligatedPropKfunds($180,624)
2
Insuranceproceedsand/orOperatingfunds
3
Litigationcostsfundedbyoperatingfunds
4
SanCarlosTransitVillageLLC($149,322)andBayAreaAirQualityManagementDistrict(BAAQMD$1,240,000)
5
PrioryearSFmemberfunds
6
UnspentfundsfromProject100337MegaRegionalRailPlanning(FY19$75k)andfromProject100458Service&AccessPlanning(FY20$434,157)
7
Requestonlyforboardauthority;fundingwillbeginuponcommencementoftheelectrifiedservicefromdesignatedoperationalsavings
8
Section130
9
SMCTAandCityofBurlingame($1.5million)
*
identifiestheprojectsthatwillbefundedbyVTAMeasureBfundsof$2.5million
