PROJECT CHARTER South Coast 101 HOV Lanes Project Design Decision Phase

PROJECT CHARTER South Coast 101 HOV Lanes Project Design Decision Phase PRIMARY PROJECT SPONSOR Santa Barbara County Association of Governments (SBCAG) Date Prepared 03 April 2015 PROJECT PARTNERS Santa Barbara County Association of Governments (SBCAG) State of California Department of Transportation District 5 (CALTRANS) CHARTER PURPOSE The Project Charter establishes a mutual understanding and agreement between SBCAG, and Caltrans regarding the development of the design decision phase of the South Coast 101 HOV Lanes project. SBCAG and Caltrans agree that managing the projects and programs on the US 101 Corridor over the next several years requires a unique and separate operating model and partnership. In addition to the South Coast 101 HOV Lanes project, several independent projects and programs may be implemented in parallel all moving toward the goal of improving mobility on US 101. With so many projects and programs being implemented a partnership between Caltrans and SBCAG that helps ensure success, pro-active coordination, and aligned public outreach is required. The charter will provide guidance through the completion of the design decision phase for the South Coast 101 HOV Lanes Project. The charter will also serve as the guiding principles for future phases of work including final design and construction. The charter may be amended at a later date to address any changes in future phases. The charter provides a framework to establish the working relationship between Caltrans and SBCAG (and its consultants), which is paramount to the successful completion of improvements within the corridor. Furthermore, this charter begins to establish how SBCAG and Caltrans will coordinate work related to project deliverables, quality control and quality assurance, and independent quality assurance responsibilities. This specifically relates to the submittal of documents, review and approval of these documents and conflict resolution. The charter, which is a non-binding agreement, does not take the place of specific cooperative agreements for individual phases of the project that will be required. A cooperative agreement has a similar focus, as a charter except it is a formal contractual agreement that defines specific terms and clauses for the work to be completed. PROJECT BACKGROUND South Coast 101 HOV Lanes Project US 101 is one of two north-south highways that connect the Los Angeles basin, with a population of 13 million, and the greater San Francisco Bay Area, with a population of 6.7 million. On a daily basis, including weekends, commuters from neighboring Ventura County, interregional traffic, and tourists from around the world contribute to the facility s average daily traffic of 90,000 vehicles a day, exceeding the capacity of the 12 mile, four-lane bottleneck in south Santa Barbara County for hours at a time, bringing the corridor to a crawl. The congestion impacts the economic vitality of the Santa Barbara urbanized area, a vibrant employment center including businesses and industries that benefit from close proximity to Vandenberg Air Force Base near Lompoc, the University of California at Santa Barbara near Goleta, the blossoming and vibrant agricultural industry and hundreds of businesses related to the tourism industry. When Interstate 5 is closed due to accidents, fires, 1

snow, or other inclement weather, north-south traffic in California is diverted to the US 101. The US 101 is designated as a state Focus Route, a High Emphasis Route, a principal arterial on the National Highway System, Strategic Highway Network Route, a State Highway Extra Legal Load Route, and part of the National Truck Network. The South Coast 101 HOV Lanes Project is being designed to eliminate the four-lane bottleneck by widening the highway to six lanes, conforming to the cross sections north and south of Santa Barbara and Carpinteria, respectively. The two new lanes will be part-time (peak period), continuous access HOV lanes. Upon completion of the project, the corridor will be a part of a continuous 40-mile, 6-lane facility, extending from the Ventura/Oxnard urbanized area through Carpinteria and Santa Barbara, to the city of Goleta in southern Santa Barbara County. The widening of US 101 has its roots in the 2006 long-range planning study for congestion relief and improved mobility on US 101 called 101 in Motion. 101 in Motion also recommended the implementation a number of other strategies such as commuter rail, operational and incident management, transit projects and demand management programs. However, the US 101 widening strategy was identified as the major congestion relief strategy. Caltrans and SBCAG have identified a four-phase approach for highway widening improvements to be implemented on US 101. A four-phased approach to widening US 101 began with the Milpas to Hot Springs Operational Improvement Project, completed in 2012. The project widened US 101 from Milpas Street to the Hot Springs/Cabrillo interchange by adding a new northbound lane from the Cabrillo Boulevard on-ramp to the Milpas Street off-ramp and added a third southbound lane from Milpas Street to the Butterfly Lane Pedestrian undercrossing. Another opportunity to fund a segment of the add a lane portion of the 101 In Motion recommendation came as a result of Proposition 1B being passed by the California voters in 2006. Funding for key transportation corridors was approved, and Caltrans Districts 5 and 7, along with the SBCAG and the Ventura County Transportation Commission, joined efforts to seek funding for an HOV lane addition/facility widening project extending from Mussel Shoals (Ventura County) to Carpinteria Creek. Construction on this second phase of the US 101 widening is nearly complete. The third phase of US 101 widening will occur in Carpinteria with the Linden Avenue and Casitas Pass interchanges project, slated for construction in 2016. This project would improve operations on US 101 by reconstructing two interchanges Casitas Pass Road and Linden Avenue and replacing the US 101 bridges over Carpinteria Creek. Both of these improvements will provide sufficient width to accommodate a third lane on US 101 in each direction through the project area. The focus of this charter is the South Coast 101 HOV Lanes Project or what is called Phase 4. The limits of the South Coast 101 HOV Lanes Project extend from 0.22 mile south of Bailard Avenue (post mile 1.4) in the City of Carpinteria to Sycamore Creek (post mile 12.3) in the City of Santa Barbara. The project proposes to widen US 101 from four lanes to six lanes (three lanes in each direction) and combined with the first three project efforts, will result in 30 lane-miles of HOV lanes, both northbound and southbound on US 101 between Mussel Shoals in northern Ventura County to the City of Santa Barbara. The environmental document for Phase 4 has been completed as of August 2014. In December 2014, initial recommendations for proceeding with design were provided to the SBCAG board, which were subsequently approved in March 2015. 2

South Coast 101 Rehabilitation Project A separate Caltrans project is planned to rehabilitate the US 101 freeway in Santa Barbara County from the Casitas Pass Overcrossing (OC) in Carpinteria to 0.5 miles north of the Cabrillo Boulevard Undercrossing in the City of Santa Barbara. This proposed project is planned to be constructed concurrently with the South Coast 101 HOV Lanes Project to allow for more efficient traffic control and to minimize long-term construction needs in the corridor. This project proposes to replace the existing structural section of the freeway to correct the existing structural deficiencies. This project proposes to widen outside shoulders to 10 feet (standard for three lane sections), profile grade adjustments, replacing nonstandard guard railing, raising guard railing to standard height, improving ramp geometry, replacing ramp structural sections, upgrading curbs, dikes, gutters and drainage inlets. CORRIDOR MANAGEMENT STRUCTURE The management structure proposed in the charter is based in the need to advance project implementation and proceed with 35% design related activities for the entire HOV Lanes project. The objective is to generate more detailed design in order to address stakeholders concerns, explore combining the HOV with the rehabilitation improvements, refine the cost estimate and generate additional information to evaluate alternative delivery methods. Furthermore, by advancing design, the overall project readiness for construction increases, which would enhance the ability to pursue potential opportunities to leverage additional funding. Following completion of this phase, SBCAG and Caltrans will assess the feasibility of advancing the entire project, or portions thereof, to final design and construction and make a final determination of whether alternative design strategies should be utilized. The organization chart below shows how Caltrans and SBCAG staff will cooperate to manage the projects and activities in the US 101 corridor during the initial design phase of the project. Recognizing that several disciplines and studies are common and most effectively and efficiently implemented across the entire corridor and not any one particular design segment, several tasks will be implemented across the entire corridor. The implementation of the organizational structure shown in Figure 1 will include the following: Establishment of a US 101 Executive Steering Committee comprised of SBCAG and Caltrans management, 101 Corridor Manger, and Deputy Corridor Manager that shall meet regularly to discuss projects and programs on-going in the corridor. The corridor manager, with assistance from the US 101 Corridor Advisor, shall be responsible for coordination of these meetings. SBCAG and Caltrans will each assign key individuals to serve in the capacity of the US 101 Executive Management Committee and corridor project organization as defined in Figure 1. SBCAG and Caltrans will coordinate and execute co-operative agreement(s) regarding funding opportunities to leverage existing funding and attract additional funding to ensure the timely completion of corridor improvements. SBCAG and Caltrans will develop and obtain the appropriate approval of a phasing strategy for implementation and/or alternate delivery method of the project that considers available funding, speed of delivery, HOV continuity, ability to leverage additional funding and congestion relief. SBCAG and Caltrans will enter into cooperative agreement to define roles and responsibilities for the design phase of the project 3

FIGURE 1 US 101 CORRIDOR PROJECT ORGANIZATIONAL CHART Corridor Advisor (SBCAG Consultant) SBCAG Board of Directors US 101 Executive Steering Committee Corridor Manager (Caltrans) & Dep. Corridor Manager (SBCAG) SOUTHERN SEGMENT Project Manager (Caltrans) Mainline 101 Improvements between Carpinteria Crk and Padaro Ln PM 2.0 to PM 7.5 35% PS&E Corridor Task Services (Caltrans) Topographical Surveys and Base Mapping Geotechnical Design, Hazardous Waste Analysis, Pavement Design, Materials, and Preliminary Foundation Reports Corridor Aesthetics Concept Plan Corridor Task Services (SBCAG Consultant) Floodplain Analysis Utility, Railroad, and Right of Way Coordination Community Involvement / Local Agency Coordination / Graphics, 3D Modeling Coastal Permitting Coordination Project Management Support and Oversight Engineering Peer Review / Value Analysis NORTHERN SEGMENT Project Manager (SBCAG Consultant) Reconstruct Interchanges at Cabrillo-Hot Springs and Sheffield and Mainline 101 Improvements between Padaro Ln and Cabrillo Blvd. PM 7.5 to PM 11.9 35% PS&E PROJECT DESIGN SEGMENTS AND PHASING 4

SBCAG and Caltrans have agreed that the project be divided into the following two segments for advancing the design to 35% at this time: Southern Segment (PM 2.0- PM 7.5) This segment begins within the City of Carpinteria and extends through the Toro Canyon community of Santa Barbara County, to just north of the Padaro Lane interchange; Northern Segment (PM 7.5- PM 11.9) This segment begins at the southern end of the Summerland community of Santa Barbara County, just north of the Padaro Lane interchange and extends through the Montecito community ending in the City of Santa Barbara, just north of the Cabrillo Blvd interchange. Caltrans District 5 would design the southern segment and an SBCAG selected consultant would design the northern segment. Caltrans would provide independent quality assurance for SBCAG s segment which includes the review and approval of products prepared by SBCAG s consultant. CORRIDOR MANAGEMENT In order to effectuate the US 101 Corridor working relationship and organization structure, SBCAG, and Caltrans agree to the following: Executive Committee and Management 1. A US 101 Executive Committee (EC) shall be established to act as the steering committee for Caltrans and SBCAG project delivery teams. The EC will include the following representatives from Caltrans District 5: the District Director, the Deputy Director for Program and Project Management, and the Corridor Manager. The EC will include the following representatives from SBCAG: the Executive Director, the Deputy Corridor Manager, the Corridor Advisor, the Deputy Director for Programming and Project Development, and the Government Affairs Coordinator/Public Information Officer. The EC shall meet as needed but not more infrequently than quarterly. The EC will be charged with providing strategic direction on key issues to the individual project delivery teams, and guide overall funding coordination at the regional, interregional, state and federal levels. 2. The agencies agree to designate a Corridor Manager (CM) and Deputy Corridor Manager (DCM) staffed by Caltrans and SBCAG, respectively. The role of the CM/DCM is to coordinate the work of the consultant and Caltrans design teams working towards 35% design and with the environmental team preparing the Project Approval/Environmental document for the rehabilitation project, coordinate the HOV Lanes project with other projects being developed in the corridor, coordinate internally at Caltrans the oversight of the work being done by the design teams, coordinate input from local agencies, maintain a corridor master schedule, coordinate the programming and allocation of funding for the project, eliminate red tape impediments to progress, ensure that similar project development issues that arise with each team are treated similarly and predictably, and allocate on-call corridor support resources as needed to each team. The CM/DCM are also responsible for keeping the US 101 Executive Team and SBCAG board informed of the progress of the project. 3. Caltrans Corridor Manager and SBCAG s Deputy Corridor Manager shall work closely together as the primary point of contact for establishing consistency in the application of strategy, policy, and design requirements. They shall also work together and with their own individual management teams and the Corridor Advisor to establish the agendas for the regular meetings of the US 101 Management Executive Committee and to provide regular updates to the SBCAG Board of Directors. 35% Design Phase 5

1. The South Coast 101 HOV Lanes project will be implemented through the design phase in two design segments: Northern segment and Southern segment. Each of the design segments will require the development of a Project Development Team (PDT). 2. Caltrans shall assign a design team to develop the Southern Segment. The Design team shall be committed to working on this project for the entirety of this phase. 3. Caltrans shall assign an environmental team to develop the environmental documentation for the South Coast 101 Rehabilitation project, both the Northern and Southern segments. Caltrans shall prepare the project report for the Southern Segment. 4. SBCAG shall conduct a consultant selection process by which a design team will be selected to develop the Northern Segment. This consultant team shall also be responsible for preparing the Project Report for the South Coast 101 Rehabilitation project for the Northern Segment. SBCAG shall include representatives from Caltrans and the local agency(s) in the area on the selection panel. 5. SBCAG shall also conduct consultant selection process (es) by which firm(s) will be selected to perform corridor task services as identified in Figure 1. The Deputy Corridor Manager from SBCAG will be responsible for the allocation of these services. 6. Caltrans shall also be responsible for completing corridor task services as identified in Figure 1. The Caltrans Corridor Manager will be responsible for the delivery of these services. 7. Caltrans shall establish a PDT for the Southern Segment. The full PDT will consist of, at minimum, applicable Caltrans functional unit managers, appropriate corridor task services consultants, and local agency staff representatives related to the particular design segment being developed. The PDT is responsible for addressing issues at the lowest possible level and briefing their respective management in a timely manner. Also, the PDT is responsible for developing recommendations for decisions that require management or regulatory agency action. 8. SBCAG shall establish a PDT for the Northern Segment. The full PDT will consist of, at minimum, design consultant technical representatives, Caltrans environmental team and oversight technical representatives, and local agency staff representatives related to the design segment being developed. The PDT is responsible for addressing issues at the lowest possible level and briefing their respective management in a timely manner. Also, the PDT is responsible for developing recommendations for decisions that require management or regulatory agency action. 9. For the purposes of effectuating deliverables, exchanging information, and monitoring progress, a corridor working group shall be established consisting of the Corridor Manager, Deputy Corridor Manager, the Southern and Northern Segment Project Managers, and the Southern and Northern Segment Project Engineers. Any project scope or PDT membership changes for the Northern or Southern segments would need to be considered by the corridor working group. This group is expected to meet tri-annually, or as needed. 10. Caltrans shall act in an oversight role for any design segments led by SBCAG. Caltrans shall provide independent quality assurance as part of their review process. 11. SBCAG s design team shall prepare design deliverables for review by Caltrans oversight representative(s). SBCAG shall be responsible for providing quality assurance and quality control for its submitted deliverables. 12. Caltrans and SBCAG will prepare a work plan to include the scope of work, schedule and estimated cost for their respective design segments. 13. As the design decision phase work products near completion, Caltrans and SBCAG will conduct an evaluation process to develop a recommended phasing and / or alternative delivery method for completing final design, right of way, and construction in the corridor. The evaluation will consider updated design decision phase work products including, but not limited to, project costs, traffic staging, and FEMA coordination needs. Other factors will also be taken into account, including but not limited 6

to, funding, coastal development permitting, HOV system continuity, traffic congestion relief, and adjacent projects funding and timing. Final Design, Right of Way and Construction Phases Upon selection of a preferred phasing strategy for completing final design, right of way, and construction, new charter(s) will be developed for the remaining phases of the project. DELIVERABLE MANAGEMENT AND SCHEDULE Management of the design phase deliverables will be conducted through the individual PDT s. Project progress shall be reported at regularly scheduled progress / coordination and US 101 Executive Committee meetings. Each PDT shall ascribe to the following goals in managing project progress: Meeting notes and correspondence serve as an important basis of documentation for project-related decisions. The project manager for each design segment will develop a delivery schedule and obtain the PDT s concurrence. ISSUE RESOLUTION It is the intent of Caltrans and SBCAG to resolve issues at the lowest level possible. However, certain issues may need to be elevated when consensus cannot be obtained. First level of review and resolution: many of the issues that arise during the development of a project can be resolved by the PDT, especially those that do not impact the scope, cost or schedule of the project. The PDT will review the project issue, the options for resolution, the pros and cons to each option, and any advocate s reasons in support of specific option. Provided the resolution does not change the scope, cost and schedule of the project, the PDT should determine the outcome. If the PDT either does not have sufficient authority to resolve the issue or is unable to agree, then the project manager will elevate the issue within six (6) working days following the meeting that identified and attempted to attain resolution. Second level of review and resolution: the second level involves the Caltrans Corridor Manager and the SBCAG Deputy Corridor Manager. They will review the document presenting the issue, the options for resolution, the pros and cons to each option, and any advocate s reasons in support of specific options. Provided the resolution falls within their responsibility and available contingencies, which they oversee, they should determine the outcome. If they either do not have sufficient authority to resolve the issue or are unable to agree, then they will elevate the issue to the third level of review after two discussions/meetings; an initial meeting to hear the issue, and, if necessary, a second meeting to hear any additional information requested during the first meeting. Third level review and resolution: the third level of review involves the District 5 Director and the SBCAG Executive Director. They will review the document presenting the issue, the options for resolution, the pros and cons to each option, and the advocate s reasons in support of specific options. Provided the resolution falls within the authority granted to them, then they should determine the outcome. If, for some reason, the issue cannot be fully resolved without approval from the SBCAG board of directors and/or Caltrans Headquarters, they will direct the preparation of agenda items for any required action needed to ratify their agreed upon solution. Caltrans expressly reserves the right to exercise its authority to direct the implementation of the appropriate responses to issues affecting the project in the event that Caltrans believes that the implementation of a project proposal may adversely affect: The safety of the traveling public or State or SBCAG employees; 7

Future Caltrans liability in respect to the operation and maintenance of the completed project facility; Future operations and maintenance costs of the constructed project facilities; and Future statutory obligations of Caltrans that may arise during the development of the project and pertain to either the new or existing facility but are not yet identifiable at this time. Should Caltrans exercise this authority, it will do so by advising SBCAG s Executive Director and Chair, 15 days prior to issuing a determination and by issuing the determination in a letter signed by the Caltrans District 5 Director. KEY PROJECT TEAM MEMBERS Corridor Manager / Caltrans Deputy Corridor Manager / SBCAG SBCAG Executive Director SBCAG Deputy Director SBCAG Project Manager for North Segment SBCAG Public Information Officer Caltrans District Director Caltrans Deputy Director for Program Project Management Caltrans Project Manager for South Segment APPROVALS Caltrans SBCAG Timothy M. Gubbins, District Director Jim Kemp, Executive Director 8