Stages

Stage 1: Exclusive Negotiating Agreement with the Developer

An Exclusive Negotiating Agreement is an agreement between two organizations that will only negotiate together for a project.  A successful negotiating agreement is the first go/no milestone.  Originally, SamTrans had an Exclusive Negotiating Agreement with Cross Bay Transit Partners.  Cross Bay Transit Partners was the developer before the pandemic started, and once the project moves forward again, a new developer might need to be selected.

Stage 2: Resource Permits

Please see the Resource Agency section under the Stakeholders section for a list of resource permits.

Stage 3: SamTrans Leads, Developer/Cross Bay Transit Partners support)

A California Environmental Quality Act review will be required since a public agency, SamTrans, is leading the project.  A National Environmental Policy Act Review will be required if federal funds or agencies are involved in the Dumbarton Project.  NEPA requires that all federal agencies evaluate the environmental impacts of their projects, regardless of their role.  They could be helping to fund the project, federal lands are involved, or federal agencies such as the Fish and Wildlife Service are issuing permits.169 An Environmental Impact Report is required if a CEQA review reveals significant impacts from the project.  The same thing applies to NEPA (California Environmental Quality Act).  If NEPA shows a significant or adverse impact, an Environmental Impact Statement is required.  They are similar and will be grouped as Environmental Impact Assessments. for this report.  Specific Impacts to the land surrounding the Dumbarton Bridge will be revealed should there be a Review Process.

Notice of Participation/Notice of Intent

The first step is a Notice of Intent, which states the lead agencies desire to start the Environmental Review process.  A notice of participation and a notice of intent includes a description of the project, potential impacts, and a map showing the project's location (Notice of Participation).  Once a notice of participation/intent is complete, it gets sent to the government office of planning and research before being sent to the state clearing house, where it is given a reference number that is used for all other documents related to the project.  A 30-day review process starts where anyone can comment on the Notice of Participation.

Draft Environmental Impact Assessment

The Draft Environmental Impact Assessment starts with an Environmental Assessment, which aims to determine if an Environmental Impact Assessment is required.  If the Environmental Assessment reveals no significant impacts, then there is the finding of no significant impact, and no EIA is required, and the project continues.  An EIA is required before the project continues if there is a finding of potential or significant impacts.  The Draft Environmental Impact Assessment (EIA) simultaneously assesses the potential and existing environmental risks, encouraging all stakeholders to communicate promptly.  The Draft Environmental Report is composed of multiple sections (Middleton, 2018):

1.     Introduction and a Purpose and Need Statement.  A Purpose and Need statement describe the project's purpose and why it is needed.

2.     Description of the Surrounding environment.

3.     Range of Alternatives to the Project.  Alternatives for a project like the Dumbarton would be a bus rapid transit line or a pedestrian bike bridge rather than building a new rail corridor.

4.     An analysis of the environmental impacts of each alternative.

Once the Draft Environmental Impact Assessment has been completed, it goes out for public review and comment.  The public can leave comments and feedback through writing or public hearings (Middleton, 2018).  Once the comment period closes, work on the Final Environmental Impact Assessment begins.

Final Environmental Impact Assessment

The Final EIR is an updated version of the draft EIR.  It incorporates any newly discovered information, such as new impacts, new mitigation measures, all public comments, and the lead agency/developers' responses to the public remarks.  The final report's release is the second go/no-go milestone.  There is no public comment period for the final EIA, but the public can protest the lead agency, which could lead to potential revisions to the final EIA.

Record of Decision

Finally, the lead agency releases a record of the decision, which states the lead agency's decision to move forward with the project or not.  The Environmental Impact Assessment and Record of Decision are the third go/no go milestones and are generally the final step before the project begins.  If any unexpected changes to the EIA or too much time has passed, the EIA needs to re-evaluate.  This evaluation process reviews the new changes and what effects they might have.

There are three potential outcomes of the review process (Middleton, 2018):

1.     No significant changes, and the project can continue

2.     Significant Impacts are possible with the changes but can adequately be mitigated with a supplemental EIA

3.     The proposed changes changed the project's scope, and a new EIA is needed.

The Supplemental EIA is prepared after the Final EIA or Record of Decision has been released and usually contains new environmental impacts that were not discovered, included in, or considered for the original EIA.  New alternatives and potential mitigation measures are written up for the Supplemental EIA (Middleton, 2018).

Stage 4: Memorandum of Understanding

The third go/no-go milestone is the Memorandum of Understanding.  A Memorandum of Understanding is a written agreement between two parties and is the starting point for negotiations and defines the scope and needs of what will be negotiated.  One example would be SamTrans and Caltrain signing a Memorandum of understanding with Union Pacific Railroad before negotiations about trackage rights to Hayward begin.  Long-term plans indicate SamTrans and Caltrain would like to have passenger service to Hayward.

Stage 5: Tech Feasibility (Developer leads, SamTrans Supports)

Preliminary engineering involves bridge design for the Newark Slough Bridge and Dumbarton Bridge, grade crossing designs, station design and placement, maintenance facilities, etc.  The Technical feasibility Phase is where the developer and SamTrans select and negotiate with designers, contractors, and builders or vendors.  Vendors can bid on various project phases: steelwork, electrical, bridge design and construction, and paving, for example.  Those vendors that provide the best solutions, plan, and work for the best prices get selected.  Cross Bay Transit Partners (with SamTrans playing a supporting role) will need to estimate how much capital they will need for passenger operations and maintenance of the Dumbarton Corridor. According to the Dumbarton 2019 meeting notes, ridership numbers were estimated at 25,000 people a day.

However, the pandemic and the 2020 shelter-in-place orders likely shifted these numbers, so new ridership studies must be undertaken.  Finally, Cross Bay Transit Partners and SamTrans will need to negotiate with and select the designers of the corridor and the builders.  The fourth go/no-go milestone is the tech feasibility study.  If the project is technologically feasible, CrossBay Transit Partners and SamTrans move on to the 5th go/no go milestone, the Financial Analysis.

Stage 6: Financial Analysis (Developer leads, SamTrans Support)

Cross Bay transit partners will lead a financial analysis examining passenger service's cost and revenue benefits.  Will there be enough riders to generate enough revenue to more than cover the costs of running passenger service? Costs can include money needed to maintain the line, rolling stock, and paying employees.  Is this going to be profitable, in the long term, for Caltrain, SamTrans, and the project partners?  Conformation of the Financial feasibility of the Dumbarton Project is the 5th Go/No-Go milestone.  If it's deemed not financially feasible, a review of the finances will occur to make the project feasible.

Stage 7: Implementation (Developer leads, SamTrans Support)

All contracts are finalized with the various stakeholders and vendors, and all finances are disclosed to the stakeholders and the public.  This is the project's construction phase, and after construction of the rail corridor finishes, SamTrans and Caltrain will start to test trains and get crews certified on the Dumbarton Corridor.  Regardless of the railroad, all crews must be approved before operating passenger and freight trains.