positive train controlgonctd.weebly.com/uploads/7/0/5/0/70503555/ptc_report_q_201509.pdf1.1.1. ptc...

Quarter Ending September 30, 2015

POSITIVE TRAIN CONTROL

Quarterly Report

CONTENTS

1. EXECUTIVE SUMMARY ............................................................................................................... 1

1.1. Project Overview ........................................................................................................................ 1

1.1.1. PTC Inter-Agency Coordination......................................................................................... 1

1.1.2. PTC Operations and Maintenance .................................................................................... 2

1.2. Scope of Work Overview ......................................................................................................... 3

1.3. Key Issues ............................................................................................................................... 5

1.3.1. WRE’s Individual Composite CRC (Cyclic Redundancy Check) Calculator (IC3) ............. 5

1.3.2. Back Office ........................................................................................................................ 5

2. PROGRAM MANAGEMENT .......................................................................................................... 6

2.1. Integration Management .......................................................................................................... 6

2.1.1. Program Governance ........................................................................................................ 6

2.1.2. Program Control ................................................................................................................ 6

2.1.3. Change Management ........................................................................................................ 7

2.1.4. Program/Project Management Information Systems ......................................................... 8

2.2. Scope Management ................................................................................................................ 8

2.3. Configuration Control Management ......................................................................................... 8

2.4. Quality Management ............................................................................................................... 8

2.4.1. Quality Plans ..................................................................................................................... 8

2.4.2. Deficiency Notices (DN), Nonconformance Reports (NCR), Corrective Action Reports (CAR) .......................................................................................................................................... 8

2.4.3. PTC Quality Audits and Surveillances ............................................................................... 9

2.4.4. Corrective Action Reports (CAR) ..................................................................................... 10

2.4.5. Quality Tasks................................................................................................................... 11

2.5. Risk Management .................................................................................................................. 12

2.6. Stakeholder and Communications Management ................................................................... 12

3. PROGRAM SAFETY ................................................................................................................... 13

4. PROGRAM PROGRESS ............................................................................................................. 14

4.1. Schedule Development ......................................................................................................... 14

4.2. Critical Path ........................................................................................................................... 14

5. POSITIVE TRAIN CONTROL CONTRACTS AND STATUS ....................................................... 17

6. EXPENDITURES / FUNDING SOURCES ................................................................................... 38

6.1. Expenditures .......................................................................................................................... 38

6.2. Funding Sources ................................................................................................................... 39

7. PROJECT PHOTOS .................................................................................................................... 40 NCTD PTC Monthly Report Page i Quarter Ending September 30, 2015

APPENDIX A: ABBREVIATIONS ........................................................................................................ 41

NCTD PTC Monthly Report Page ii Quarter Ending September 30, 2015

1. EXECUTIVE SUMMARY 1.1. Project Overview North County Transit District (NCTD) is implementing an interoperable Positive Train Control (PTC) System on the San Diego Subdivision where passenger and freight operations are conducted (as set forth in the Rail Safety Improvement Act of 2008 (RSIA08) and 49 CFR 236 Subpart I).

The purpose of a PTC System is to prevent the following:

• Train-to-train collisions • Over speed accidents • Incursion into work zones • Movements through a misaligned switch by requiring automatic control systems to override

mistakes by human operators

This PTC System will be designed and implemented to follow the standard and guidelines established by the Interoperable Train Control (ITC) Committee. The ITC Committee is comprised of the four largest US freight railroads – BNSF Railway, CSX, Norfolk Southern Railway (NS), and Union Pacific Railroad (UPRR). The NCTD goal for PTC implementation is the required December 31, 2015 completion date as stipulated in the Federal Rail Safety Act of 2008. In August 2011, NCTD procured a Vendor/Integrator contractor, Herzog Technologies Inc. (HTI), to design, install, commission, and maintain the PTC System.

In addition to and in advance of the implementation of the PTC System, NCTD has assumed the management control of the San Diego Subdivision by installing a new computer-aided dispatch system, Train Management and Dispatching System (TMDS), and assumes responsibility for railroad dispatching. Previously, NCTD’s dispatching was managed by Southern California Regional Rail Authority (SCRRA) using the DIGICON CTC system. NCTD awarded a contract to HTSI for CTC installation and dispatch services. The San Diego Subdivision dispatch cutover was April 2012, and the Escondido Subdivision dispatch cutover was December 2011.

The new PTC system will be located at the Rail Operations Center (ROC) within the Sprinter Operations Facility (SOF) in Escondido CA. NCTD’s General Administration Office (GAO) has been identified as a second location to provide geographic redundancy for both the command and control functions as well as the PTC back office functions. Once the Operations Control Center at GAO has been fully built out, GAO will be transitioned to the primary location with the ROC becoming the backup center.

1.1.1. PTC Inter-Agency Coordination Inter-Agency Coordination is one of the keys for successful implementation of the project. The PTC system must be fully and mutually compatible with host and tenant railroads. Interoperability will enable safe operation of mixed freight and passenger services to allow seamless uninterrupted movement among different host railroads. Interoperability shall be based on the ITC Committee standard and guidelines, and member governance currently in development by the UPRR, BNSF Railway, CSX, and NS. Host and tenant railroads may also execute Interoperability Agreements, which are envisioned as being similar to Shared Use Agreements. NCTD has executed Interoperability Agreements with BNSF Railway (April 2010), SCRRA (April 2010), Amtrak (March 2010) and Pacific Sun Railroad (August 2010).

The San Diego Subdivision rail corridor is 60.3 miles in length from the Orange County/San Diego County line (MP 207.4) to 200 feet south of Broadway Street in San Diego (MP 267.7).

NCTD PTC Monthly Report Page 1 of 42 Quarter Ending September 30, 2015

The entire line is signaled CTC territory with 50% of the territory having segments of multiple main track and passing sidings. Passenger train operations on the corridor are COASTER (22 trains/weekday), Amtrak Pacific Surfliner intercity service (22-24 trains/day), and SCRRA Metrolink commuter rail services (up to 14 trains/day). Freight service on the Subdivision is BNSF Railway (4-6 trains/day) and Pacific Sun Railroad (5-10 trains/week).

NCTD's COASTER service operates between the Oceanside Transit Center in Oceanside (MP 226.4) and Santa Fe Depot in San Diego (MP 267.5). NCTD’s Maintenance facility is located at Stuart Mesa (MP 221.9), north of Oceanside on Camp Pendleton. This yard is also used by SCRRA Metrolink. A layover facility is located at the San Diego Trolley Yard (MP 268.4) at 12th and Imperial in Centre City San Diego where COASTER train sets are stored during midday.

In addition to the NCTD COASTER service area, the tenant railroads use the corridor as follows:

• Amtrak's Pacific Surfliner Service - Entire subdivision, • BNSF Railway - Entire subdivision, • SCRRA's Metrolink Orange County Line - From Oceanside to the Orange County Line, • BNSF Railway’s contracted operator Pacific Sun Railroad, a Watco Company - Local

freight service operating between Stuart Mesa Maintenance Facility and Miramar freight spur, and Escondido Subdivision with occasional trips to San Onofre near the Orange County Line.

NCTD has organized monthly interoperability calls that include the Federal Railroad Administration (FRA), Caltrans Division of Rail, Pacific Sun, Southern California Regional Rail Authority (SCRRA), BNSF Railway, and Amtrak.

NCTD also attends the LA Regional PTC Conference quarterly meeting hosted by SCRRA and attended by BNSF Railway, UPRR and Amtrak.

1.1.2. PTC Operations and Maintenance HTI was selected as NCTD’s Vendor/Integrator, and included in their proposal was an option for PTC System Maintenance Services for a base period of five years with an additional five year option. Should this option be exercised, HTI would be responsible for maintenance of back-office PTC systems, on-board equipment on locomotives and cab cars, communications equipment at other base station locations, and Roadway Worker Protection (portable) equipment. At the time of award, the total original contracted amount was $32,819,671. The estimated cost for the base period of five years maintenance would be an additional $5,629,042, with a second five year maintenance period at a cost of an additional $6,624,426. The maintenance scope and fee will need to be revisited as the project progresses.

For the purpose of the Office Maintenance Services, the office includes back office and network management equipment. For the office maintenance, HTI would provide a technology refresh of the hardware and technology as part of the scheduled maintenance during year four of both the five year contract and the optional five year contract. The technology refresh would consist of replacing the back office hardware, software, and firmware with the latest proven operating platform, subject to NCTD approval.


1.2. Scope of Work Overview HTI and its subcontractors are solely responsible for designing and implementing a PTC system that meets FRA and other applicable requirements and is FRA approved for NCTD rail operations. HTI is required to follow the Positive Train Control Development Plan (PTCDP) submitted by the NS, CSX, and UPRR railroads and utilize it as the basis for the NCTD PTC system. This PTCDP, revised on June 1, 2011 and subsequently approved by the FRA on August 26, 2011, is known as Interoperable – Electronic Train Management System (I-ETMS). HTI and its subcontractors are scoped to be following the I-ETMS Rung 1 model, which fully adheres to AAR/ITC standards and specifications, while designing the NCTD PTC system. This is in an effort to ensure FRA required "type approval" as well as streamlining the final FRA acceptance process. Any deviations from I-ETMS functionalities will require Request(s) for Amendment (RFA) to the FRA and may extend the timeline for FRA acceptance. The Contract has been awarded as a single Contract to be executed in two phases (based on available funding). Phase I includes the initial surveys, studies, and all design work necessary to amend the PTCDP submitted by NS, CSX, and UP to the FRA. Phase 2 includes all other work necessary for the design, installation and implementation of the PTC system. The PTC System is scoped to be completed by the mandated date of December 31, 2015 in accordance with the schedule defined in the Positive Train Control Implementation Plan (PTCIP), and must be compliant with standards and specifications developed by the ITC Committee for forthcoming publication by the Association of American Railroads (AAR). Safety is paramount. Consideration must also be given during the PTC System design to the NCTD level of service. The throughput (capacity) of the commuter railroad system must be maintained after PTC deployment, and the PTC System needs to support future capacity improvements and ridership growth.

a. Phase 1

HTI is scoped to: i. Perform the necessary studies and surveys; attend meetings; and perform the

engineering analysis, design and systems engineering necessary to amend the PTCDP per the RFA procedural requirements of 49 CFR 236.1009. HTI is scoped to provide all documentation, research, validation and verification services to ensure a "Type-Approved" system is provided to NCTD prior to commissioning.

ii. Provide for the development and submittal of a project schedule and planning for each task of the overall PTC program. HTI is scoped to develop a design, procurement and installation milestone schedule and plan construction, testing, and certification of the specified NCTD PTC System for full deployment in accordance with the milestones and deadlines established by NCTD. As part of HTI's coordination with tenant railroads, HTI shall prepare and submit an Interoperability Coordination Plan (ICP).

iii. Provide services necessary to perform detailed onboard surveys: a. Perform data collection subtasks for onboard systems. These data shall be used

in designing the removal, relocation, and installation of on board systems (both existing and new systems).

b. Develop and submit a Locomotive Survey Report and a Cab Car Survey Report. The survey report is intended to identify probable equipment mounting locations


for all Interoperable-Electronic Train Management System (IETMS) system components, create the preliminary BOM, measure probable cable lengths required, and identify probable relocations of existing equipment.

c. Develop and submit a preliminary Bill of Materials (BOM) and a baseline Installation and Relocation manual and schematics for each locomotive, cab car, and Hy-Rail vehicle type.

b. Phase 2 Upon issuance of the second NTP for Phase 2 by NCTD, HTI is scoped to:

i. Continue with the development, procurement, and installation of the PTC System for NCTD's PTC program.

ii. Prepare all required documents for submittal to and approval by the FRA, including the PTC Safety Plan (PTCSP).

iii. Provide a complete functional PTC System in accordance with the Contract Documents in compliance with the NCTD approved milestone schedule. The system is scoped to include wayside, onboard, radio communications network, and back office server segments.

iv. Develop an installation milestone schedule. v. Plan construction, testing, and certification of the specified NCTD PTC System including

full deployment. vi. Complete an initial design incorporating all PTC System components, including pre-PTC

equipment. The PTC System proposed shall be based on NCTD's PTCIP deferred track area of the San Diego Subdivision.

vii. Be responsible for ensuring proper systems engineering processes, systems integration, system function, and correct sub-systems interaction for all aspects of the NCTD PTC System and its inter-relationships, inter-dependencies, and interfaces with other equipment and systems. The furnished PTC System shall be interoperable with the PTC Systems that are being deployed in Southern California by SCRRA and BNSF. Interoperability refers to the ability of trains to cross property boundaries under PTC at territory speed without stopping to acquire authorities. The PTC System shall also require direct or throughput communications among the PTC offices of NCTD, SCRRA, and BNSF.

viii. Coordinate all PTC activities with the FRA and the California Public Utilities Commission (CPUC) as necessary.

ix. Establish a safety program that conforms with the requirements of 49 CFR 236 Parts 214, 218, 219, CPUC General Orders, and NCTD Operating Rules; and obtain roadway worker safety training certification for all HTI and supplier, subcontractor and subconsultant personnel who may enter the NCTD San Diego Subdivision and project right-of way.


Figure 1.1 provides an overview of the NCTD PTC System Architecture. Figure 1.1: NCTD PTC System Architecture

1.3. Key Issues This section describes the key issues that are contributing to, or have the potential to contribute to, schedule slippage.

1.3.1. WRE’s Individual Composite CRC (Cyclic Redundancy Check) Calculator (IC3) The IC3 proposal is anticipated to be finalized in the fourth quarter of 2015. IC3 is in development, originating as a requirement from ITC – Hazard Mitigation functionality. IC3 will be required to receive Safety Certification from the FRA. I-ETMS requires IC3, which is a new subsystem and will be a component of I-ETMS release 6.3.9, to reach full Phase 1 Independent Validation Server (IVS) functionality. The schedule for implementing IC3 is under discussion as part of the proposal.

1.3.2. Back Office Integration between the Back Office Server (BOS), Interoperable Train Control Messaging (ITCM), and Computer Aided Dispatch (CAD) is a challenge. TMDS to BOS to Onboard pre-testing activities with ITCM has been completed. Test cases from CAD to BOS through ITCM to the onboard are being run. Testing procedures are being developed, with test procedure training and testing occurring in the fourth quarter of 2015.


2. PROGRAM MANAGEMENT 2.1. Integration Management This section describes the status of integration management, program governance, program controls, change management process, and program/project management information systems.

2.1.1. Program Governance The governance for the PTC program is organized as follows:

NCTD Organization − Deputy Chief Development Officer: Ziad Malhas − Deputy Chief Operating Officer – Rail Systems: Eric Roe − Chief Technology Officer: Ryan Cashin − Chief Financial Officer: Ryan Bailey − Chief of Safety: Don Filippi − Deputy Chief Operating Officer – Rail Operations: Damon Blythe − Senior Network Engineer: Roy Gilbert − Rail Systems Engineer: Robert Paladino − Right of Way Officer: Tim Morehead − Public Outreach: Dahvia Lynch

HNTB Organization − PTC Program Manager: Mary Holland − PTC Construction Manager: Patrick Malley − Program Scheduler: Maggie Harris − Document Control Coordinator: Cara Smith − Business Manager: Robert Hartley − Project Analyst: Matt Daniels − PTC Quality Manager: Mike Phillips − PTC Quality Inspector: Otobong Usoro

2.1.2. Program Control The PTC program has 21 vendor-implemented projects within the PTC program. The status of each of the 21 projects is described in Section 5 of this report. The following projects have closed:

− San Diego Fiber (PO#13035 OS) − Centralized Traffic Control (PO # 10054 OS) − Centralized Traffic Control System Design (PO # 29314) − Wayside Interface Unit (WIU) Design & Installation (PO # 29485) − Centralized Traffic Control & Operations Control Center Support Services

(PO # 11032)

The total dollar value of the 21 vendor-implemented (active and closed) projects is $62,051,978.


2.1.3. Change Management The changes that are currently in process for the active vendor-implemented projects include:

− PTC for the LOSSAN Corridor (PO # 11046 OS) – Herzog Technologies, Inc.

A change order is in process that includes the addition of scope associated with the implementation of IC3. This potential change order is currently in negotiations between NCTD and HTI. The execution of this change order is anticipated in the fourth quarter of 2015.

A change order is in process that includes the dynamic braking in the event recorder download. The execution of this change order is anticipated in the fourth quarter of 2015.

A change order is in process that includes the ElectroLogIXS/EC5 in the PTC documentation. ElectroLogIXS/EC5 are being installed at intermediate wayside locations in the SANDAG contracts.

A change order is in process that includes Class D High Availability licenses for NCTD PTC WIUs. This General Electric (GE) functionality is necessary to interface between the WSRS and Wayside Interface Units (WIUs) on the network.

− South COASTER Fiber (PO # 13020 OS) - MP Nexlevel of California, Inc. Field Work Directive 16 / Change Order 16 includes the addition of scope associated with the repairs at CP Ponto. The execution of this change order is anticipated in the fourth quarter of 2015.

− Design Support During Construction (PO #29895) - Pacific Railway Enterprises (PRE), Inc. A change order to PRE includes the addition of scope associated with updating existing Coaster signal maintenance drawings to incorporate wayside PTC equipment, extended inspection services for PTC installation, and review fiber optic relocation work performed under SANDAG contracts. This was approved by the September NCTD Board of Director’s action.

− Engineering Support Services (PO #29934) – HNTB A future change order to HNTB is in process that includes the addition of scope associated with continuing support, guidance, and monitoring of the PTC project. Included are submittal reviews, as needed design work, scheduling services, and general project management.

− Annual Licenses (To Be Determined) – Meteorcomm

An agreement is in process that includes the annual licensing fees to support communications between the ITCM radios and the back office.


2.1.4. Program/Project Management Information Systems The current document control software was assessed for adequacy and will be maintained at this time.

2.2. Scope Management The Contract Document Requirements List (CDRL) for the PTC project is being cross-checked against the scope to check that contract requirements are met. This occurs once per quarter so that adjustments can be made where applicable.

2.3. Configuration Control Management The Configuration Control Management Plan (CCMP) and the Field Control Management Plan (FCMP) were formally submitted to the FRA in November 2014 and were found to be acceptable by the FRA.

The Configuration Control Board (CCB) continues to meet to organize the PTC configuration management structure. The CCB has been meeting regularly and is establishing configuration control processes.

2.4. Quality Management 2.4.1. Quality Plans The quality plans being used for the PTC program include:

• NCTD Quality Plan, Rev. A, January 1, 2012

HTI PTC Project • FTA Quality Management System Guidelines (FTA-PA-27-5194-12.1), December 2012 • HTI PTC System Quality Plan, Rev. 1, April 30, 2012 • Wabtec Quality Assurance Plan for NCTD – Onboard Installation, Rev. 2, August 13,

2013 • Wabtec I-ETMS - Locomotive Segment, Software Quality Assurance Plan, Rev. 1.2,

August 19, 2013 • Wabtec Quality Management System Manual, Rev. 14, December 15, 2012 • Convergent Communications, Inc. Quality Policy, Rev. A, May 17, 2013

NCTD Program Support and Design • HNTB Northern California Office, Best Practices, Quality Assurance/Quality Control

Manual, Rev. 1, October 29, 2004 • Pacific Railway Enterprises, Inc. Design Quality Process, November 2, 2010

NCTD Fiber Construction Projects • HTI Quality Assurance Manual, Rev. G, July 2013

2.4.2. Deficiency Notices (DN), Nonconformance Reports (NCR), Corrective Action Reports (CAR)

The PTC Quality Manager and the HTI System Quality Manager meet on a weekly basis to review the current status of the project DNs, NCRs, and CARs. These items are defined as follows:

• DNs are items that have been identified as being deficient but not in nonconformance. These items can remain installed and in operation until they are either repaired or otherwise brought out of deficient standing.


• NCRs are items that have been identified where there is a discrepancy in characteristic, documentation or procedure which affects form, fit, or function and renders the quality of an item unacceptable or indeterminate in regard to meeting relevant project requirements.

• CARs are measures taken to rectify conditions adverse to quality and to avoid repetition.

Table 2.1 summarizes the total number of DNs, NCRs, and CARs that the PTC Quality Manager is tracking for the PTC project:

Table 2.1: Quality Tracking

Item Total Number

Open Items Remaining

Closed items

Deficiency Notices 30 8 22 Nonconformance Reports 2 1 1 Corrective and Preventative Actions 16 8 8

The work needed to resolve deficiency notices will be scheduled to coincide with other work taking place at the same locations in order to be as efficient and productive as possible. The deficiency notices will be closed through final inspections.

Nonconformance Reports are closed when the contractor has provided evidence that the nonconforming item has been properly repaired and/or corrected and meets the requirements of the project.

Corrective and Preventative Actions are described in Section 2.4.4 below. These are closed when the root cause analysis has been performed and when the adverse condition has been corrected to meet the requirements of the project based on an inspection of the HTI Quality Manager. In addition to the corrective action, a preventative action may need to be put in place to prevent recurrence of similar situations.

2.4.3. PTC Quality Audits and Surveillances The PTC Quality Manager is working with the HTI System Quality Manager on the following:

• Quality Records - HTI uses a project management software program called Fogbugz to conduct quality checks and to maintain quality records. Although this program is proprietary and only accessible by HTI employees, the HTI System Quality Manager will be coordinating efforts with the PTC Quality Manager to provide quality documents in a timely fashion when requested. HTI is developing a plan to transfer all quality records over to NCTD per the contract requirements for the project. Once developed, the plan will be submitted for review.

• Audits – The following is a summary of audits that were conducted during this quarter and the audits planned for next quarter:

o Conducted: Back Office Server Initial Audit

o Planned GPS Data V & V Plan: to be scheduled Radio Test Plan: to be scheduled Back Office Server: October 2015 Wayside/Network Walk Downs


2.4.4. Corrective Action Reports (CAR) The PTC Quality Manager is monitoring the progress of the following Corrective Action Reports for the PTC project:

2.4.4.1. CAR – 006 (F59 Wheel Tachometer Axle Generator Drive Shaft) Issue Date of 12/01/14

Following PTC installation, a test revealed that an axle generator drive shaft connecting to the Wheel Tachometer was too short. This resulted in the unit not recording data and therefore, no longer operating as intended. The purpose of this CAR is to identify the root cause that resulted in the installation of an incorrect part and to identify a process to prevent recurrence of this during future installations and routine vehicle maintenance.

Update: Currently under investigation.

Est. Closure Date: 10/15/2015 DN Log No. 023

2.4.4.2. CAR – 007 (PTC Reliability Program Plan Audit) Issue Date of 12/16/14 This is a follow-up on the action items resulting from the Reliability Program Plan audit. The purpose of this CAR is to resolve the outstanding findings and observations resulting from the Audit.


Est. Closure Date: 10/30/2015 DN Log No. None

2.4.4.3. CAR – 008 (PTC Interface Management Plan Audit) Issue Date of 12/16/14 This is a follow-up on the action items resulting from the Interface Management Plan audit. The purpose of this CAR is to resolve the outstanding findings and observations resulting from the Audit.



2.4.4.4. CAR – 011 (F40 Locomotive Horn / Bell Resetting the Alerter) Issue Date of 3/23/15

During installation of the new Event Recorder, there was an issue in the system resetting the alerter. The purpose of this CAR is to identify the root cause to the Horn/Bell/Alerter problem and viable solutions.



2.4.4.5. CAR – 012 (Wayside Audit Actions) Issue Date of 04/13/15 This is a follow-up on the action items resulting from the Wayside audit. The purpose of this CAR is to resolve the outstanding findings and observations resulting from the Audit.




2.4.4.6. CAR – 013 (Vehicle On Board Audit) Issue Date of 05/14/15 This is a follow-up on the action items resulting from the Vehicle audit. The purpose of this CAR is to resolve the outstanding findings and observations resulting from the Audit.



2.4.4.7. CAR – 015 (F59 Handset Cradle ERS Channel) Issue Date of 07/21/15 This item was written up by HTI as a Corrective Action in order to show the Handset cradle input as a direct input to the event recorder. Originally, the handset cradle input went into the radio interface unit then to the event recorder which was incorrect.



2.4.4.8. CAR – 016 (Cell Modem / NSM Enclosure) Issue Date of 08/07/15 The prefabricated installation mounting plate that was made for the NSM and Cell Modems was inspected by Wabtec who discovered that some of the studs had become loose and turned in place. New mounting plates are being manufactured and will be reinstalled on the vehicles once they go back through the final installation. This impacts two F40 Locomotives, Vehicles No. 2102 and 2104.

Update: Pending Installation.


2.4.5. Quality Tasks The PTC Quality Manager continues to coordinate the technical review of the Software Quality Assurance Plan documents which was initiated in April 2014. Wabtec continues to work to develop their software for the I-ETMS and the TMDS programs for PTC, as well as the quality documentation accompanying these products.

The onboard installations have been on hold until the contractor has developed solutions to items identified on the interim forms and corrective and preventative action reports. Wayside and Network installations have progressed along the corridor under continuous NCTD Quality Inspection Representatives’ oversight. Wayside and Network locations are nearing completion and the PTC Quality Manager is coordinating activities with the HTI System Quality Manager to perform final inspection / walk downs of each Wayside & Network location.


2.5. Risk Management Monitoring of project risk is ongoing by the NCTD and HTI project teams. A Risk Management Plan (RMP) has been developed and is reviewed on a monthly basis.

2.6. Stakeholder and Communications Management NCTD communicated to stakeholders about the broader PTC project. This included communications with City Staff, SANDAG, neighbors, written notices, e-mail communications, and website updates.


3. PROGRAM SAFETY Per the National Transportation Safety Board (NTSB)’s Safety Recommendations dated June 18, 2013, Tables 3.1 and 3.2 reflect the progress being made on the required components and training for the NCTD PTC program.

The locomotive / on-board installations began in June 2014 upon completion and acceptance of the fire safety analysis. All vehicles are complete to a 95% level, with the remaining work including punch list items and a software fix for the alerter. The software is anticipated to be ready for installation early in the fourth quarter of 2015, with the completion date for the locomotive / on-board installations anticipated to be late fourth quarter 2015.

All wayside units have been installed. The base station radio installations are complete.

The locomotive / on-board radios will be completed by November 2015 with the locomotive / on-board installations.

Table 3.1: Components

Component Description Total Components Completed Remaining Percent

Complete Estimated

Completion Date

Locomotives / On-board F40 (x5); F59 (x2); BCC (x10) 17 0 17 95% Nov-2015

Wayside Units VHLC; EC4; EL-1A 48 48 0 100% Dec-2014

Switches Not Applicable

Base Station Radios Meteorcomm 19 19 0 100% Feb-2015

Locomotive Radios Meteorcomm 17 0 17 0% Oct-2015

Wayside Radios Not Applicable New/novel technologies (if applicable) 0 0 0 0% TBD

Training activities, shown in Table 3.2, are anticipated to begin in the third quarter of 2015.

Table 3.2: Training

Classification/ Craft

Training Description

Total Employees

Employees Trained

Employees Remaining

Percent Trained

Estimated Completion Date

NCTD Mgmt/Ops Simulator TBD 0 TBD 0% Apr-2016

NCTD Mgmt/Ops Hy-Rail Test Vehicle TBD 0 TBD 0% Dec-2015

NCTD Operations General PTC TBD 0 TBD 0% Nov-2015

NCTD Mechanical General PTC TBD 0 TBD 0% Dec-2015

NCTD Dispatch General PTC TBD 0 TBD 0% Dec-2015

NCTD Mgmt/Ops GIS Mapping Tool TBD 0 TBD 0% Feb-2016

NCTD Mgmt/Ops Communications TBD 0 TBD 0% Dec-2015

NCTD Mgmt/Ops Back Office TBD 0 TBD 0% March-2016


4. PROGRAM PROGRESS 4.1. Schedule Development

The PTC program schedule is being updated to incorporate Capital Improvement Projects (CIP) inputs affecting the PTC system.

4.2. Critical Path The schedule updates submitted by the Contractor in the first and second quarters of 2015 have raised some concerns for the NCTD team. NCTD is working with Contractor to resolve the issues in the schedule updates. Two workshops have been held with Contractor, NCTD, and HNTB to validate the current critical path and logic. Comments on use of constraints and level of effort activities and other best practices have been addressed in the latest schedule received from Contractor.

Figure 4.1 presents the critical path graphic for the HTI Contract No. 11046 unapproved August 2015 Project Schedule Update and compares the unapproved August 2015 critical path with:

• the unapproved May 2015 schedule update, • the October 2013 schedule reflecting the PTC Implementation Plan Request for

Amendment #1, and • a “what-if” schedule that removes the 50% and 90% submittals.

The purpose of the “what-if” schedule is to show that if the contractor can submit one final submittal instead of three incremental ones, the overall duration of the schedule could be reduced by eight months.

HTI has been revising their schedule, incorporating activities that were not originally shown in their baseline schedule. The preliminary review indicates that the schedule has slipped by 328 and 322 calendar days from the May 2015 update for the FRA system certification and final acceptance respectively. The current critical path shows the critical activities in the following order:

- System Integration Test Procedures - Final Integration Testing - Appendix N Test Results - Develop PTC Safety Plan - FRA Certification activities

Figure 4.2, Milestone Summary, shows the MS1050 PTC System Certification by the FRA completion date reflecting a date of March 14, 2018 in the August schedule update. This date represents approximately 26 months of total delay from the federally mandated date of December 31, 2015. The project team continues to work to recover schedule.

Figure 4.3, Schedule Summary, is a rollup of the major elements of work, with Certification and Acceptance concluding in end of July 2018.


Figure 4.1: Monthly Progress Report - Critical Path for HTI Contract PO#11046: October 2013 vs. February 2015 vs. May 15


Figure 4.2: Milestone Summary for HTI Contract PO#11046

Figure 4.3: Project Schedule Summary for HTI Contract PO#11046


5. POSITIVE TRAIN CONTROL CONTRACTS AND STATUS The PTC Program has 21 vendor-implemented projects from the Orange County Line to the Santa Fe Depot. The total dollar value of the 21 vendor-implemented projects is $62,051,978, which has increased since the previous reporting due to additions in the contracts for HTI, HTSI, and PRE. Table 5.1 provides “at-a-glance” information for the 21 projects. Additional detail on the progress and financial status is provided in Tables 5.2 through 5.22.

Table 5.1: PTC Program Projects Summary NCTD Tracking

Number Project Name Contractor Contract Amount Status Table #

on report

PTC Vendor-Integrator Project

11046 PTC for the LOSSAN Corridor Herzog Technologies, Inc. $37,655,300 On-Going 5.2

COASTER Fiber Cable & Conduit Installation Projects

13013 North COASTER Fiber The Fishel Company $1,308,968 Closed 5.3

13020 South COASTER Fiber MP Nexlevel $6,442,249 On-Going 5.4

13035 San Diego Fiber The Fishel Company $189,463 Closed 5.5

Other PTC Program Implemented Projects

10054 Centralized Traffic Control HTSI $1,976,866 Closed 5.6

29314 Centralized Traffic Control System Design Pacific Railway Enterprises, Inc.

$235,627 Closed 5.7

29485 Wayside Interface Unit (WIU) Design & Installation $136,440 Closed 5.8

29895 Design Support During Construction $2,849,215 On-Going 5.9

11032 Centralized Traffic Control & Operations Control Center Support Services Macro Corp. $351,307 Closed 5.10

29935 Engineering Support Services HNTB $7,538,339 On-Going 5.11

12024 Configuration Management Software RailCar Management $688,119 On-Going 5.12

30475 Environmental Support Services BRG Consulting $661,297 On-Going 5.13

29504 CTC/PTC Network Design & Implementation

Datel Systems

$177,528 Closed 5.14

30066 PTC Network Design $81,908 Closed 5.15

13003 Test & Training Facility Equipment $170,799 Closed 5.16

30374 PTC Lab Install (Task 2) $3,880 Closed 5.17

30616 Additional Requirements to PO 30374 $0 Closed 5.18

30265 Task Order: PTC Lab Cabling $12,000 Closed 5.19

30729 TMDS Network Extension $76,233 Closed 5.20

30073 PTC Signal Maintainer & WIU Installation TASI $601,068 On-Going 5.21

13007 Signal Upgrade – CP Friar/Taylor Street Herzog Technologies, Inc. $895,373 Closed 5.22

Miscellaneous* TASI Flagging and NCTD Personnel costs $1,950,883 Pending

* These miscellaneous items include potential purchase orders. When approved they will become part of the PTC Program active vendor-implemented projects NCTD PTC Monthly Report Page 17 of 42 Quarter Ending September 30, 2015

T able 5.2: Positive Train Control System for the LOSSAN Corridor; NCTD PO#11046

6/30/2015NCTD PURCHASE ORDER11046

PROJECT STATUS

DOCUMENTATION:

OTHER ISSUES:None.

Focus is on training and testing documentation. Operator credentials, log-in, and pin numbers have been created. Preliminary initialization trials have begun.Logs from locomotives are being pulled, checking coverage.IC3 documentation is finalizing for negotiations in 4th quarter 2015.Witness Training and Witness Testing for the BOS-CAD Test Procedures is anticipated to occur in early 4th quarter 2015.

INTEGRATION:Witness training for the Brake Test Cases and Procedures was held in September.

PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTPTC for the LOSSAN Corridor Herzog Technologies, Inc.

TRAININGPTC System Overview, Configuration Management, and Field Configuration Management Trainings were held in July; training continues in the 4th quarter 2015. Train Operations training is anticipated to occur in 4th quarter 2015.Trainings are being scheduled with NCTD Operations, Vehicle Maintainers, Signal Maintainers, Communications Maintainers, Dispatch, Information Technology and Administration Operations and Maintenance maintainers, Employee-in-Charge and Roadway Workers, and Track Maintainers.

BRIEF PROJECT DESCRIPTIONThe PTC System for the LOSSAN Corridor is the primary contract for implementation of the PTC system.

On-GoingThe Interoperability Coordination Plan has been signed by all tenants and sent to Caltrans on 9/4/15. Stakeholder and interoperability meetings continue to be held. The LA Regional meeting was held in July. The Caltrans quarterly meeting was held in August as was the FRA Site Monitoring Visit. An additional interoperability meeting was held with Metrolink in September.

COMMUNICATIONS:ATCS Antenna Install Proposal - HTI working on disposal quote.

ONBOARD:

Formal radio acceptance testing is underway. Witness training for the Base Radio Startup and Onboard Radio Startup Test Procedures occurred in August. Witness testing on the Base Radio Startup Tests occurred in September and the Onboard Radio Startup Test started in September and is anticipated to complete in early 4th quarter 2015.

NETWORK:

All17 vehicle installations have interim approval and are back in service. Punch list work includes PTC event recorder and the horn/bell/alerter fixes which are estimated to begin 4th quarter 2015.

WAYSIDE:WIU installations are 100% complete. WIU implementation completed with WIU test results approved in July 2015. Wayside V&V Test Cases and Procedures were accepted by NCTD. Witness training and testing is anticipated to occur in 4th quarter 2015.

The Test Waiver was conditionally approved by the FRA (August 2014). Test waiver conditions continue under review by HTI.The Configuration Control Management Plan (CCMP) and Field Configuration Management Plan (FCMP) have been formally submitted to the FRA and were found to be acceptable by the FRA (December 2014). The PTCIP RFA #2 will be developed in early 4th quarter 2015. PTCSP continues to be developed towards a 75% level in preparation for an informal FRA review planned for August 2016.

NCTD witness testing began in July and is anticipated to complete early 4th quarter 2015. Punch list work remains on the fiber, consisting of fiber/sewer conflict repair in Sorrento Valley.

BACK OFFICE:


(Table 5.2 continuation from previous page)

CONTRACT DATES08/19/201107/31/201210/14/201603/13/201703/14/2018

COMPLETION UPDATE COST UPDATEContract Amount $36,928,501

Spent to Date $28,432,944Encumbered $8,495,557

CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedOriginal Contract Value $31,730,104 5-Aug-11Change order 001 $237,000 5-Oct-12Change order 002 $809,416 21-Jan-13Change order 003 $2,456,863 21-Jun-13Change order 004 $1,089,567 16-Jun-14CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD

0013 - 3 Design Control Procedures0035 - 2 System Quality Plan - Quality Procedure (QP) 4.1 and 14.1 Update0035 - 3 System Quality Plan - Quality Procedure (QP) 4.1 and 14.1 Update0257 - 4 Maintainability Program Plan0385 - 3 NCTD PTC Hy-Rail As-Built Installation Guide0502 - 4 Hy-Rail I-ETMS Install Validation Test

0700 - 4 PTC Base Radio Startup Test Procedure

0712 - 3 WSRS Design Specification

0782 - 6 NCTD Master Test Plan

0844 - 4 NCTD Radio Test Program

0856 - 1 Design Considerations for Virtual Remotes in a Data Center

0858 - 1 Wayside Segment Test Program

0859 - 4 GIS Test Program

0882 - 3 Final BCC Bill of Materials

0947 - 2 Training Program Plan

0952 - 1 Onboard Segment Maintenance Training Course (Event Recorder Training Module)

0970 - 2 As-Built Drawings - CP Crosby M.P. 243.3


1012 - 1 Electronic Database for Training Certification Tracking

1018 - 1 Route Validation Test Case and Procedure

1023 - 1 Onboard Segment Maintenance Manuals

1030 - 1 WIU Pre-Validation Test Procedure and Results CP Pulgas M.P. 218.1

1040 - 1 Concept of Operations and System Architecture

1045 - 2 Interface Control Matrix (ICX)

1046 - 2 Interface Management Matrix (IMM)

1048 - 2 PTC Overview Training Course

1049 - 2 Interface Control Manual (ICM)

1063 - 0 Radio Frequency(RF) Propagation Analysis Studies (100%)

1097 - 3 Maintainability Analysis

System Commissioning into Revenue Service Not Started

NTP Phase 1: Development Completed Phase 2: Procurement/Installation/Testing System Safety Certification

Phase 1 includes the initial surveys, studies, and all design work necessary to amend the Positive Train Control Development Plan (PTCDP) submitted by NS, CSX, and UPRR to the FRA. This Phase has been completed. An amended PTCDP was not needed at the time this phase was completed. Once lab testing is underway, the PTCDP may be revisited.Phase 2 includes all other work necessary for the design, installation and implementation of the PTC system.

Phase 2: Procurement/Installation/Testing 60%System Safety Certification Not Started

System Commissioned into Revenue Service

Phase 1: Development Completed 100%



CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedOriginal Contract Value $31,730,104 5-Aug-11Change order 001 $237,000 5-Oct-12Change order 002 $809,416 21-Jan-13Change order 003 $2,456,863 21-Jun-13Change order 004 $1,089,567 16-Jun-14CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD

0013 - 3 Design Control Procedures0035 - 2 System Quality Plan - Quality Procedure (QP) 4.1 and 14.1 Update0035 - 3 System Quality Plan - Quality Procedure (QP) 4.1 and 14.1 Update0257 - 4 Maintainability Program Plan0385 - 3 NCTD PTC Hy-Rail As-Built Installation Guide0502 - 4 Hy-Rail I-ETMS Install Validation Test

0700 - 4 PTC Base Radio Startup Test Procedure

0712 - 3 WSRS Design Specification

0782 - 6 NCTD Master Test Plan

0844 - 4 NCTD Radio Test Program

0856 - 1 Design Considerations for Virtual Remotes in a Data Center

0858 - 1 Wayside Segment Test Program

0859 - 4 GIS Test Program

0882 - 3 Final BCC Bill of Materials

0947 - 2 Training Program Plan

0952 - 1 Onboard Segment Maintenance Training Course (Event Recorder Training Module)



1012 - 1 Electronic Database for Training Certification Tracking

1018 - 1 Route Validation Test Case and Procedure

1023 - 1 Onboard Segment Maintenance Manuals

1030 - 1 WIU Pre-Validation Test Procedure and Results CP Pulgas M.P. 218.1

1040 - 1 Concept of Operations and System Architecture

1045 - 2 Interface Control Matrix (ICX)

1046 - 2 Interface Management Matrix (IMM)

1048 - 2 PTC Overview Training Course

1049 - 2 Interface Control Manual (ICM)

1063 - 0 Radio Frequency(RF) Propagation Analysis Studies (100%)

1097 - 3 Maintainability Analysis

1136 - 3 WIU Pre-Validation Test Procedure and Results Intermediate 249.2

1150 - 1 WIU Pre-Validation Test Procedure and Results CP Sorrento M.P. 249.1

1152 - 1 WIU Pre-Validation Test Procedure and Results CP Scripps M.P. 251

1159 - 1 Office Test Program

1167 - 1 Onboard Segment Spare Parts List

1178 - 1 PTC Onboard Radio Startup Test Procedure

1196 - 1 Network Management System Concept of Operations

1213 - 1 Brake Test Cases and Procedures

1232 - 1 NCTD Onboard Test Program

1232 - 2 Onboard Segment Test Program

1242 - 1 Wayside Segment Maintenance Manuals

1260 - 1 PTCSP Appendix D - Hazard Log Exceptions Questionnaire

1269 - 0 As-Built Drawings - Intermediate 254.9

1270 - 0 As-Built Drawings - CP Elvira M.P. 257.9

1271 - 1 ITCM Test Cases and Procedures

1271 - 2 ITCM Test Cases and Procedures



1273 - 0 Software Management and Distribution System (SMDS)

1273 - 1 Software Management and Distribution System (SMDS)

1275 - 1 Project Schedule Update May 2015

1282 - 0 Wi-Fi Radio System (Stuart Mesa Yard Ethernet Extender)

1299 - 0 GIS Technician Speedtrax Data Collection PTC Training Course

1299 - 1 Speedtrax Data Collection Training Course

1300 - 0 GIS Technician Data Validation PTC Training Course

1302 - 0 Operating Rule Modifications - DRAFT

1303 - 0 Key Exchange Server Concept of Operations

1308 - 0 Key Exchange Server Test Cases and Procedures

1309 - 0 Back Office Network Connection Test Cases and Procedures

1310 - 0 Project Schedule Update June 2015

1317 - 0 NCTD-Specific Largo Product Data

1323 - 0 ITCM Test Procedure and Results

1325 - 0 Project Schedule Update July 2015

1329 - 0 NCTD FRA Certification Test Program 50% Draft

1331 - 0 Network Management System Software Design

1334 - 0 BOS-CAD Test Procedures



1339 - 0 As-Built Drawings - CP Don M.P. 216.5

1340 - 0 As-Built Drawings - CP San Onofre M.P. 212.3

1341 - 0 As-Built Drawings - CP Farr M.P. 231.60


1343 - 0 As-Built Drawings - CP Tecolote M.P. 263.10


1345 - 0 As-Built Drawings - CP Torrey M.P. 247.8


1347 - 0 Wayside V and V Test Procedures

1347 - 1 Wayside V and V Test Procedures



1356 - 0 As-Built Drawings - CP Del Mar M.P. 243.9

1357 - 0 As-Built Drawings - CP Cardiff M.P. 239.7




1360 - 0 Wayside V&V Test Book

1361 - 0 WSRS Test Cases and Procedures

1363 - 0 Federated MPLS Test Cases and Procedures


1365 - 0 As-Built Drawings - CP Shell M.P. 225.9

1366 - 0 As-Built Drawings - CP Swami M.P. 238.1

1367 - 0 As-Built Drawings - CP Songs M.P. 209.2

1368 - 0 As-Built Drawings - Wye Tower M.P. 227.4

1370 - 0 Federated MPLS Test Book

1372 - 0 As-Built Drawings - CP Eastbrook M.P. 225.3

1373 - 0 As-Built Drawings - CP Pulgas M.P. 218.1

1374 - 0 As-Built Drawings - CP Escondido Junction M.P. 226.7 NCTD PTC Monthly Report Page 21 of 42 Quarter Ending September 30, 2015


1375 - 0 As-Built Drawings - CP Ponto M.P. 234.5


1378 - 0 TMDS Test Procedures

1381 - 0 Project Schedule Update August 2015

1382 - 0 PTCSP Appendix O - NCTD and Industry Configuration Management Plans

1384 - 0 Test Plan Matrix

1386 - 0 As-Built Drawings - CP Stuart M.P. 221.7

1387 - 0 As-Built Drawings - CP Mesa M.P. 222.6


1389 - 0 As-Built Drawings - CP Longboard M.P. 228.4

1390 - 0 As-Built Drawings - CP Carl M.P. 229.6

1391 - 0 As-Built Drawings - CP Craven M.P. 241.1

1392 - 0 As-Built Drawings - CP Cudahy M.P. 262.2

1393 - 0 PTC Appendix H - I-ETMS Master Test Strategy and NCTD PTC Master Test Plan

1399 - 0 As-Built Drawings - CP Ash M.P. 267.2

1400 - 0 Wi-Fi Site Test Cases and Procedures

1402 - 0 Route V and V Test Book

1403 - 0 Wi-Fi Site Test Book

1409 - 0 Brake Test Book

1413 - 0 Train Operation Training Course (Operating Rules Modifications Training Module)

1414 - 0

1416 - 0 Base Radio Startup Test Results (NCTD Witnessed)

1417 - 0 220 MHz Coverage Analysis - Bombardier Cab Car 2301

1418 - 0 220 MHz Coverage Analysis - F40 Locomotive 2105

1419 - 0 Back Office Network Connection Test Book

1420 - 0 As-Built Drawings - CP Valley M.P. 242.2

1421 - 0 As-Built Drawings - CP Morena M.P. 260.40

1422 - 0 As-Built Drawings - CP Friar M.P. 264.1

1423 - 0 As-Built Drawings - Santa Fe Depot Comm M.P. 267.51424 - 0

1426 - 0 As-Built Drawings - CP Sorrento M.P. 249.1

1427 - 0 As-Built Drawings - CP Scripps M.P. 251.0

1428 - 0 As-Built Drawings - CP Miramar M.P. 253.0

1429 - 0 As-Built Drawings - CP Convair M.P. 265.2

1430 - 0 WSRS Test Results (NCTD Witnessed)

1432 - 0 Final Track Chart


1435 - 0 PTC Safety Plan Appendix L System Operations & Maintenance Manuals

1436 - 0 220 MHz Coverage Analysis - PTC Base Stations

1438 - 0 Office Software Documentation Inventory List

1439 - 0 Office Software Inventory List

1440 - 0 Hardware Inventory List

Train Operation Training Course (I-ETMS Onboard Systems Operation Training Modules)

Onboard Segment Maintenance Training Course (NCTD I-ETMS System Maintenance Modules)


Figure 5.1 shows the S-curve for the PTC project (PO 11046) dollars budgeted versus expended. The equation used to formulate the S-Curve is a logistic differential formula, which creates a graphic display of cumulative estimated costs plotted against time. S-Curve forecasting assumes slow initial growth, subsequent rapid growth, followed by declining growth as saturation levels are achieved. The essential concept of this function illustrates that the rate of growth is proportional to both the amount of growth already accomplished and the amount of growth remaining to be accomplished.

The expended amount shows the total amount that NCTD has paid to HTI as of September 30, 2015.

Figure 5.1: PTC Project (PO 11046) Budgeted versus Expended

$37,637,517

$30,052,593

$0

$05

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San Diego Subdivision Fiber Installation The San Diego Subdivision fiber installation is comprised of three geographically based contracts as listed below and shown in Figure 5.2:

• North COASTER – Orange County Line to Oceanside Transit Center • South COASTER – Oceanside Transit Center to Old Town Transit Center • San Diego – Old Town Transit Center to Santa Fe Depot

All three contracts include the installation of fiber conduit and cable along the San Diego Subdivision right-of-way to provide fiber for the PTC communication system. Status and financial information on the individual contracts is provided on Tables 5.3, 5.4 and 5.5.

Figure 5.2: San Diego Subdivision Fiber Installation

North COASTER Fiber (Orange County Line to Oceanside Transit Center)

Status: Closed

South COASTER Fiber (Oceanside Transit Center to Old Town Transit Center)

Status: Construction underway

San Diego Fiber (Old Town Transit Center to Santa Fe Depot)

Status: In close-out


Table 5.3: North COASTER Fiber; NCTD PO#13013

Table 5.4: South COASTER Fiber; NCTD PO#13020


PROJECT STATUS

CONTRACT DATES11/29/201206/10/2013


Spent to Date $1,308,968Encumbered $0

CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedOriginal Contract Value $1,068,136 29-Nov-12Change order 001 $88,532 22-Jan-13Change order 002 $56,962 29-Jan-13Change order 003 $52,260 27-Feb-13Change order 004 $43,078 2-Oct-13CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIODNone

Contract Completion

Conduit Installation 100%Fiber Installation 100%

BRIEF PROJECT DESCRIPTION

This contract is one of three contracts for fiber conduit and cable installation along the San Diego Subdivision right-of-way to provide fiber for the PTC communication system. Project limits are from the Orange County Line to Oceanside Transit Center.

ClosedFiber test results reviewed with no discrepancies noted.

NTP

PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTNorth COASTER Fiber The Fishel Company


PROJECT STATUS

On or about February 13, 2015, a contractor performing geotechnical borings, hit part of the 72 pair fiber at CP Ponto. An estimate and price proposal was prepared. However, the repair work is currently on hold pending the outcome of the sewer conflict mentioned above.

There still remains the repair of the sewer conflict with fiber optic cable at Rose Canyon. FWD 15 is being routed for signatures and will be issued third quarter of 2015; this Change Order will extend the project until December 31, 2015 in order to facilitate right-of-entry for the work directed under FWD 14 for the contractor to repair the Rose Canyon conflict and provide a resolution that is satisfactory to the City and for any future repair work.The repair work for CP Del Mar, Intermediate Signal 246, missing tracer wires and CCH module at fiber patch panel has been completed.

PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTSouth COASTER Fiber MP Nexlevel

BRIEF PROJECT DESCRIPTIONThis contract is one of three contracts for fiber conduit and cable installation along the San Diego Subdivision right-of-way to provide fiber for the PTC communication system. Project limits are from the Oceanside Transit Center to the Old Town Transit Station.

On-GoingAll work was completed on Friday 12/12/2014. PRE reviewed and accepted the 24 and the 72 Pair fiber test result. NCTD turned over this section to HTI and they began the additional fiber terminations (Fibers 5-12) in February 2015.


(Table 5.4 continuation from previous page) CONTRACT DATES

01/03/201309/30/201301/28/201405/15/201412/31/2015


Spent to Date $6,432,553Encumbered $135,572

CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedContract Value $4,959,010 3-Jan-13Change order 001 $70,218 8-Apr-13Change order 002 $0 8-Aug-13Change order 003 $0 18-Sep-13Change order 005 $7,500 23-Jan-14Change order 006 $197,667 7-Mar-14Change order 008 (FWD004) $50,363 10-Apr-14Change order 007 $0 28-Apr-14Change order 009 (FWD005) $297,256 13-May-14Change order 004 (FWD006) $1,085,700 1-Jun-14Change order 010 (FWD007) $0 24-Jun-14Change order 011 (FWD011) $0 7-Aug-14Change order 012 (FWD012) $0 5-Sep-14Change order 013 (FWD013) $0 13-Nov-14Change order 014 (FWD014) $0 30-Dec-14Change order 015 (FWD015) $0 2-Apr-15CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD

Original Contract NTP Contract Completion

Change Order 15 Contract completion


Amendment 1 NTP Amendment 1 Contract completion

None


Table 5.5: San Diego Fiber; NCTD PO#13035 6/30/2015

NCTD PURCHASE ORDER13035

PROJECT STATUS

CONTRACT DATES10/03/201305/16/2014

COMPLETION UPDATE COST UPDATEContract Amount $189,463

Spent to Date $189,463Encumbered $0

CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedOriginal Contract Value $161,569 3-Oct-13Change Order 001 $0.00 26-Dec-13Change Order 002 $22,914.15 3-Feb-14Change Order 003 $26,011.08 10-Feb-14Change Order 004 -$29,226.47 7-Aug-14Change Order 005 $5,769.49 7-Aug-14Change Order 006 $3,358.70 25-Apr-14Change Order 007 $3,235.06 7-Aug-14Change Order 008 $2,893.39 7-Aug-14CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIODNone

NTP Contract Completion


BRIEF PROJECT DESCRIPTIONThis contract is one of three contracts for fiber conduit and cable installation along the San Diego Subdivision right-of-way to provide fiber for the PTC communication system. Project limits are from the communication house at Old Town Transit Station to Santa Fe Depot.

Close-OutAll construction activity was completed on May 16,2014. This contract has been closed.

PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTSan Diego Fiber The Fishel Company


Table 5.6: Centralized Traffic Control; NCTD PO#10054 6/30/2015


PROJECT STATUS

CONTRACT DATES01/21/201107/31/2013



CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedContract Value $1,679,211 21-Jan-11Change order 001 $423,029 8-Jul-11Change order 002 - 8-Jul-11Change order 003 $46,140 14-Sep-11Change order 004 $49,834 8-Dec-11Change order 005 - 30-Jan-12Change order 006 $3,652 24-Apr-13

CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD

Contract Completion

Overall Contract 79%

None

NTP

PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTCentralized Traffic Control HTSI

BRIEF PROJECT DESCRIPTIONThis contract is for design and support of centralized traffic control for the PTC project

Close-OutFinal acceptance completed. Software license agreement is under continuing review. HTI is handling all future changes to TMDS, per HTSI maintenance agreement.This contract has been closed.


Table 5.7: Centralized Traffic Control System Design; NCTD PO#29314 6/30/2015


PROJECT STATUS

CONTRACT DATES01/28/20117/1/2013



CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedOriginal Contract Value $323,633 18-May-12


Contract Completion


None

NTP

PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTCentralized Traffic Control System Design Pacific Railway Enterprises, Inc.

BRIEF PROJECT DESCRIPTIONThis contract provides design support for the centralized traffic control (CTC) system.

Close-OutThis contract has been closed.

Table 5.8: Wayside Interface Unit (WIU) Design & Installation; NCTD PO#29485 6/30/2015


PROJECT STATUS

CONTRACT DATES05/19/201105/31/2013



CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedOriginal Contract Value $136,440 11-Apr-12


Contract Completion


None

NTP

PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTWayside Interface Unit (WIU) Design & Installation Pacific Railway Enterprises, Inc.

BRIEF PROJECT DESCRIPTIONThis contract provides design support and installation programming services for wayside interface units (WIU).

Close-OutThis contract has been closed.


Table 5.9: Design Support During Construction; NCTD PO#29895 6/30/2015


PROJECT STATUS

CONTRACT DATES11/08/201112/31/2015



CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedContract Value $2,325,000 8-Nov-11Amendment 3 $524,215.00 1-Oct-15


The consultant is providing ongoing design reviews and inspection services for the PTC project.

Contract Completion


Various project documentation.

NTP

BRIEF PROJECT DESCRIPTIONThis contract provides signal and communication systems support for the PTC project as well as inspection services.

On-Going

PRE is providing construction inspection services for the South Fiber Contract, monitoring contract performance, and submittals. PRE is providing construction inspection services for the HTI PTC Contract.

PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTDesign Support During Construction Pacific Railway Enterprises, Inc.

Table 5.10: Centralized Traffic Control & Operations Control Center (OCC) Support Services; NCTD PO#11032


PROJECT STATUS

CONTRACT DATES05/13/201103/31/2015



CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedContract Value $351,307 13-May-11


Task 1 CTC: Final acceptance is underway.

Contract Completion


None

NTP

BRIEF PROJECT DESCRIPTIONThis contract provides support for the centralized traffic control system and the operations control center.This contract has been closed.

Close-Out

Task 2: NCTD selected the 810 Mission building as the location for the Primary Operations Command Control Center. The OCC will support PTC, Code Enforcement, Call Center, Bus Dispatch, and Rail Dispatch. This project is being completed outside the PTC program; Macro’s purchase order will be closing.

PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTCentralized Traffic Control & Operations Control Center (OCC) Support Services

Macro Corp.


Table 5.11: Engineering Support Services; NCTD PO#29935 6/30/2015


PROJECT STATUS

CONTRACT DATES12/07/201112/31/2015



CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedContract Value $2,620,999 7-Dec-11Amendment 1 $4,917,340 4-Mar-14


PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTEngineering Support Services HNTB

BRIEF PROJECT DESCRIPTIONThis contract provides continuing support, guidance and monitoring of the PTC project. Scope includes design submittal review, as needed design work, scheduling services, and general project management.

On-GoingHNTB Program Management efforts are ongoing. HNTB has assigned six full-time employees to the project. All are co-located at the NCTD offices in Oceanside (Tremont office). Beginning in September 2014, some of these six full-time employees have been assigned to the project part-time due to the completion of the fiber projects and issue resolution.



Various project documentation.

Table 5.12: Configuration Management Software; NCTD PO#12024 6/30/2015


PROJECT STATUS

CONTRACT DATES09/05/201209/05/2017


Spent to Date $600,070Encumbered $88,049

CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedOriginal Contract Value $688,119 5-Sep-12


PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTConfiguration Management Software RailCar Management

BRIEF PROJECT DESCRIPTIONThis contract scope provides track configuration management software, including implementation.

On-GoingRailDOCS software is in use for all NCTD field work by TASI contractors and quality control and enforcement is underway by NCTD. Track and signal crews are using RailDOCS since January 8th, 2014. On-going expenditures are for licensing.



None


Table 5.13: Environmental Support Services; NCTD PO#30475

Table 5.14: CTC/PTC Network Design & Implementation; NCTD PO#29504


PROJECT STATUS

CONTRACT DATES09/18/201212/31/2015



CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedOriginal Contract Value $2,144,097 18-Sep-12Contract Deduction ($1,482,800) 21-Feb-14




None

BRIEF PROJECT DESCRIPTIONThis contract provides as needed environmental support for PTC project. Initial task order was increased due to extent of environmental risks and other considerations identified in the PTC program, specifically the fiber project.

On-GoingNo specific construction monitoring has ocurred during this period.Efforts are provided on an as-needed basis for environmental and archeological monitoring support for the PTC Program.

PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTEnvironmental Support Services BRG Consulting


PROJECT STATUS





CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIODNone



BRIEF PROJECT DESCRIPTIONThis contract provides network design and implementation for the PTC project.

ClosedThis contract has been closed.

PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTCTC/PTC Network Design & Implementation Datel Systems


Table 5.15: PTC Network Design; NCTD PO#30066

Table 5.16: Test & Training Facility Equipment; NCTD PO#13003


PROJECT STATUS






Contract Completion


None

NTP

PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTPTC Network Design Datel Systems

BRIEF PROJECT DESCRIPTIONThis contract scope includes preliminary and final design for the network component of the PTC system.

ClosedThis contract has been closed and remaining work transferred to the Positive Train Control System for the LOSSAN Corridor, HTI purchase order 11046.


PROJECT STATUS




CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedContract Value $170,799 21-Sep-12


Contract Completion


None

NTP

PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTTest & Training Facility Equipment Datel Systems

BRIEF PROJECT DESCRIPTIONThis contract provides as needed hardware, software, and licenses for the PTC Test & Training Facility (TTF).



Table 5.17: PTC Lab Install (Task 2); NCTD PO#30374

Table 5.18: Additional Requirements to PO 30374; NCTD PO#30616


PROJECT STATUS




CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedOriginal Contract Value $3,880 21-Sep-12


Contract Completion


None

NTP

PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTPTC Lab Install (Task 2) Datel Systems

BRIEF PROJECT DESCRIPTIONThis contract provides PTC lab installation requirements under task 2.



PROJECT STATUS


COMPLETION UPDATE COST UPDATEContract Amount -

Spent to Date -Encumbered -

CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedOriginal Contract Value $8,665 5-Dec-12


Contract Completion

None

The costs incurred for this purchase order were applied to PO #30374. The status of this purchase order is closed.

NTP

PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTAdditional Requirements to PO 30374 Datel Systems

BRIEF PROJECT DESCRIPTIONThis contract provides additional requirements to the PTC lab installation purchase order under task 2.



Table 5.19: Task Order: PTC Lab Cabling; NCTD PO#30265

Table 5.20: TMDS Network Extension; NCTD PO#30729


PROJECT STATUS




CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedOriginal Contract Value $12,000 21-Jun-12


Contract Completion


None

NTP

PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTTask Order: PTC Lab Cabling Datel Systems

BRIEF PROJECT DESCRIPTIONThis contract provides the required cabling to the PTC lab.



PROJECT STATUS




CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedOriginal Contract Value $76,233 6-Mar-13


Contract Completion


None

NTP

PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTTMDS Network Extension Datel Systems

BRIEF PROJECT DESCRIPTIONThis contract provides a temporary solution for NCTD to free up fiber for the PTC project.



Table 5.21: PTC Signal Maintainer & WIU Installation; NCTD PO#30073 6/30/2015


PROJECT STATUS

CONTRACT DATES 3/2/20126/30/2016



CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedContract Value $367,875 2-Mar-12Change order 003 $232,431 4-Mar-14

CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIODNone.

BRIEF PROJECT DESCRIPTIONThis contract provides for the installation and testing of the Wayside Interface Units (WIU) and the training, special tools, equipment and vehicle lease for the signal maintainer.

On-GoingThis work was completed in June.

PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTPTC Signal Maintainer & WIU Installation TASI

Contract Completion

Overall Contract 64%PTC WIU Installation: 100%

NTP


Table 5.22: Signal Upgrade – CP Friar/Taylor Street; NCTD PO#13007


PROJECT STATUS

CONTRACT DATES10/17/201307/12/201408/29/2014



CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedOriginal Contract Value $834,246 17-Oct-13Change order 1 $0.00 10-Jul-14Change order 2 $42,634.88 19-Aug-14Change order 3 $18,491.69 28-Jan-15

CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIODNone

Change Order 01 Contract Completion


PROJECT STATUS TABLE FOR PERIOD ENDEDPROJECT NAME CONTRACTOR/CONSULTANTSignal Upgrade - CP Friar/Taylor Street Herzog Technologies, Inc.

Contract Completion

BRIEF PROJECT DESCRIPTIONContractor will provide modernization upgrade to the civil, signaling, and communication equipment within the signaling houses at CP Friar and Taylor Street.

ClosedAll construction activity was completed on August 8, 2014. The NCTD Board approved change order 3 in January 2015 regarding the additional cost for Wabtec database changes and MTS flagging. The project has been officially closed on February 24th 2015.

NTP


6. EXPENDITURES / FUNDING SOURCES 6.1. Expenditures Through September 2015, expenditures to date on the PTC Program total $58,089,387, or 67 percent of the project budget.

The period expenditures total $1,619,650 and were primarily composed of contractor charges, followed by NCTD staff, engineering, and consultant charges.

Overall, expenditures are in line with the current $87,292,969 estimate at completion. Without contingency, the project value is currently $83,885,605. NCTD is closely monitoring the budget and the impact of pending contractor change orders and schedule changes.

Figure 6.1 represents the budgeted funding versus the expenditures to-date for the overall PTC Program.

Figure 6.1: PTC Program Budgeted versus Expended

$87,292,969

$58,089,387

$0

$05

$10

$15

$20

$25

$30

$35

$40

$45

$50

$55

$60

$65

$70

$75

$80

$85

$90

$95

$100

Jul-1

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Sep-

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Mar

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Sep-

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Jan-

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5Ap

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May

-15

Jun-

15Ju

l-15

Aug-

15Se

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Oct

-15

Nov

-15

Dec-

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Feb-

16M

ar-1

6Ap

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May

-16

Jun-

16Ju

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Aug-

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-16

Nov

-16

Dec-

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Feb-

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May

-17

Jun-

17Ju

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Aug-

17Se

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Oct

-17

Nov

-17

Dec-

17Ja

n-18

Feb-

18M

ar-1

8Ap

r-18

May

-18

Jun-

18Ju

l-18

Aug-

18Se

p-18

Oct

-18

Nov

-18

Dec-

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Mar

-19

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Table 6.1 summarizes the PTC Program expenditures.

Table 6.1: PTC Program Expenditures

6.2. Funding Sources The FRA and Prop 1A Discretionary funds comprise just over 55 percent of the overall PTC budget. Prop 1A Formula funds total 20 percent of the PTC program budget and Federal Section 5307 Formula Funds total comprise roughly 9 percent. A variety of sources make up the remaining 16 percent, with the largest component being Proposition 1B – TSGP funds. Table 6.2 summarizes the PTC Program Funding.

Table 6.2: PTC Program Funding

Description Total Planned and Programmed Funding

Federal Section 5307 Formula Funds $7,658,502.00

FRA $24,900,000.00

Prop 1A Discretionary $24,010,000.00

Prop 1A Formula $17,833,000.00

Prop 1B - PTMISEA $1,302,585.00

Prop 1B – TSGP $5,757,164.00

Other State / Local Funding $3,641,402.00

TDA Article 4.0 $1,190,316.00

TransNet Major Corridor $1,000,000.00

Total $87,292,969.00

Alternative Cost Code Original FRA

Budget

Incurred Costs to Date

9/30/2015

Open Encumbrances

TotalIncurred &

Encumbered

Available Budget

Pre-Award - 512554 4,009,524$ 4,244,050$ 379,430$ 4,623,481$ 250,000$ Post-Award 83,283,445$ 53,845,337$ 10,739,270$ 64,584,607$ 17,834,881$

Phase 1: System Development - 512555 7,949,248$ 7,949,248$ -$ 7,949,248$ -$ Phase 2 - 512556 30,270,426$ 21,995,798$ 7,501,457$ 29,497,255$ 3,079,756$ Non Prime Post Award Costs - 512557 28,821,212$ 23,804,618$ 3,226,362$ 27,030,980$ 9,791,950$ OCC: Procurement, Installation, Testing, and Implementation - 512558

16,242,559$ 95,673$ 11,451$ 107,124$ 4,963,175$

GRAND TOTAL 87,292,969$ 58,089,387$ 11,118,700$ 69,208,088$ 18,084,881$


7. PROJECT PHOTOS

NCTD Purchase Order 11046: PTC for the LOSSAN Corridor

During the months of April, May, and June 2015, the following photos were taken during construction:

Network Testing: Ash communications house hub site showing (2) IE3000, a fiber patch panel, and an uninterrupted power supply.

Eric Roe giving a tour of the PTC lab to Mark Hartong (FRA) and Todd McIntyre (FRA) during the FRA Site Monitoring Visit in August.

Eric Roe at CP Stuart (PTC Base Radio) during the FRA Site Monitoring Visit in August with Mark Hartong (FRA) and Troy Johnson (FRA).

Base Radio Startup Tests: Testing for base station radios completed at 19 locations.


APPENDIX A: ABBREVIATIONS AAR Association of American Railroads FHWA Federal Highway Administration ABS Automatic Block Signal System FIT Field Integration Test AFR Audit Finding Report FIT-I Field Integration Test – Interoperable ALI Application Layer Interface FMEA Failure Modes and Effects Analysis AMQP Advanced Message Queuing Protocol FMECA Failure Modes, Effects and Criticality Analysis AMTRAK National Railroad Passenger Corporation FQT Field Qualification Test ANSI American National Standards Institute FQT-I Field Qualification Test – Interoperable APTA American Public Transportation Association FRA Federal Railroad Administration AREMA American Railway Engineering and Maintenance-

of Way Association FRACAS Failure Reporting Analysis and Corrective Action

System AREMA C&S

American Railroad Engineering and Maintenance of Way Association Signal and Communications Manual of Recommended Practices

FST FTA

Fire Safety Test Fault Tree Analysis

ASCE American Society of Civil Engineers GCOR General Code of Operating Rules ASQ American Society For Quality GIS Geographic Information System ASTM American Society for Testing and Materials GPS Global Positioning System ATCS Automatic Train Control System HFA Human Factors Analysis ATS Automatic Train Stop HL Hazard Log BCP Base Communications Package HMI Human Machine Interface BER Bit Error Rate HTI Herzog Technologies, Inc. BMP Best Management Practices HVAC High Volume Air Conditioning BNSF BNSF Railway HW Hardware BOS Back Office Server HwDD Hardware Design Document BPRA Baseline Pre-Release Audit I Interface C Carrier IA Impact Analysis CA California IC3 Individual Composite CRC (Cyclic Redundancy

Check) Calculator CAD Computer Aided Dispatch ICD Interface Control Document CADD Computer Aided Drafting and Design ICM Interface Control Module CAR Corrective Action Request ICWG Interface Control Working Group CBTC Communications Based Train Control ID Identifier CCB Change Control Board IEEE Institute of Electrical and Electronic Engineers CCMP Configuration Control Management Plan IETF Internet Engineering Task Force CDR Critical Design Review I-ETMS® Interoperable Electronic Train Management

System CDRL Contract Deliverable Requirements List IM Inter-Modulation CDU Computer Display Unit (onboard) IMM Interface Management Matrix CFR Code of Federal Regulation IO Input / Output CHM Crash Hardened Memory IOC Input Output Concentrator (module) CI Configuration Item IP Ingress Protection / Implementation Plan CIL Configuration Item Library ISO International Organization for Standardization CIPAA Configuration Item Pre-Acceptance Audit IT Information Technology CM Configuration Management ITC Interoperable Train Control CMU Communication Management Unit ITCM ITC Messaging COM Communications Network (PTC Subsystem) ITP Interoperable Transport Protocol CONOPS Concept of Operations JRST Joint Railroad Safety Team COT Current Of Traffic LAN Local Area Network COTS Commercial Off the Shelf LCD Liquid Crystal Display CP Control Point LIEE Laboratory Integration End to End CPM Critical Path Method LIEE-I Laboratory Integration End to End – Interoperable CPU Central Processor Unit LINN Laboratory Integration Nearest Neighbor CPUC California Public Utilities Commission LOB Locomotive On-Board (PTC Subsystem) CRC Cyclic Redundancy Check LQEE Laboratory Qualification End to End CSA Configuration Status Accounting LQS Laboratory Qualification Segment CTC Centralized Traffic Control LRU Lowest Replaceable Unit DIO Digital Input / Output (module) MA Message Agent DIP Design Integration Plan MAH Model-Approved Hardware DOD Department of Defense MAS Maximum Authorized Speed DT Double Track MCC Meteorcomm LLC DVCS Distributed Version Control System MCP Mobile Communications Package eCIL Electronic Configuration Item Library MDT Maintainability Demonstration Test EIA Electronic Industries Alliance ME Message Exchange EIC Employee in Charge (Work Crew) MGT Million Gross Tons EMC Electromagnetic Compatibility MHz Megahertz EMD Electro Motive Diesel MIS Management Information System EMI Electromagnetic Interference ML Mainline ETL Electrical Testing Laboratories MO Message Originator ETMS® Electronic Train Management System MOC Metrolink Operations Center FAT Factory Acceptance Testing MOE Maintenance of Equipment FCC Federal Communications Commission MOW Maintenance of Way FCMP Field Configuration Management Plan MP Mile Post FFT Functional Fault Tree MPH Miles per Hour NCTD PTC Monthly Report Page 41 of 42 Quarter Ending September 30, 2015

MPP Maintainability Program Plan SCM Software Configuration Management MQ Message Queue SHA System Hazard Analysis MR Message Recipient SHA-1 Secure Hash Algorithm – 1 MRB Message Routing and Binding SMCP Software Management Control Plan MTBF Mean Time Between Failures SME Subject Matter Expert MTBSDF Mean Time Between Service-Disrupting Failure SOF Sprinter Operations Facility MTEA Mainline Track Exclusion Addendum SRS Systems Requirements Specification MTS Master Test Strategy SSHA Subsystem Hazard Analysis MTTHE Mean Time to Hazardous Event SSID System Safety Integration Document MTTRS Mean Time to Restore Service SSIP System Safety Integration Packet MUTCD Manual on Uniform Traffic Control Devices Subpart H 49 CFR Part 236 Subpart H N Noise Subpart I 49 CFR Part 236 Subpart I NAD North American Datum SW Software NAVD North American Vertical Datum SwDD Software Design Document NCTD North County Transit District SyDS System Design Specification NDGPS Nationwide Differential Global Positioning System SyRS System Requirements Specification NEC National Electrical Code TASI TransitAmerica Services, Inc. NEMA National Electrical Manufacturers Association TBD To Be Determined NESC National Electrical Safety Code TCNS Tower Construction Notification System NETA National Electrical Testing Association, Inc. TCP / IP Transmission Control Protocol / Internet Protocol NPI Notice of Product Intent TEC Test Environment Configuration NS Norfolk Southern Railroad TIA Telecommunications Industry Association NTP Notice to Proceed TIH Toxic Inhalation Hazard O&SHA Operation and Support Hazard Analysis TMC Train Management Computer OBC Onboard Segment Hardware Chassis TMDS Train Management and Dispatching System OCC Operations Control Center TSR Temporary Speed Restrictions OEM Original Equipment Manufacturer TWC Track Warrant Control OS Office Segment UBC Uniform Building Code OSHA Occupational Safety and Health Administration UHF Ultra High Frequency OSI Open Systems Interconnection UI User Interface OTA Over The Air UL Underwriters Laboratories, Inc. OTE On-Track Equipment UPRR Union Pacific Railroad PC Printed Circuit UPS Uninterruptible Power Supply PCBA Production Current Baseline Audit USB Universal Serial Bus PCIL Physical Configuration Item Library USC United States Code PHA Preliminary Hazard Analysis V&V Verification & Validation PIH Poison by Inhalation Hazard VCS Version Control System PMP Project Management Plan VHF Very High Frequency PRE Pacific Railway Enterprises WAAS Wide Area Application System PSP PSR

Product Safety Plan (per FRA Subpart H) Permanent Speed Restrictions

Wabtec Westinghouse Air Brake Technologies Corporation

PTC Positive Train Control WAN Wide Area Network PTCDP PTC Development Plan WIU Wayside Interface Unit

PTCIP PTC Implementation Plan WLAN Wireless Local Area Network PTCPVL PTC Product Vendors List WMS Wayside Message Server PTCSP PTC Safety Plan WRE Wabtec Railway Electronics PTCSPDD PTC Safety Plan Definition Document WSWS Wayside Status Message PTCSYS PTC System WS Wayside Segment PTS Positive Train Stop WSRS Wayside Status Relay Service QA Quality Assurance QC Quality Control QM Quality Management RA Risk Assessment RAM Reliability, Availability, Maintainability RF Radio Frequency RFA Request for Amendment RFC Request for Comment RFI Request for Information RFP Request for Proposal ROW Right of Way RPP Reliability Program Plan RSAC Railway Safety Advisory Committee RSD Revenue Service Demonstration RSIA08 Rail Safety Improvement Act of 2008 RSPP Railroad Safety Program Plan RTM Requirements Traceability Matrix SAC Safety Assurance Concept SANDAG San Diego Area Governments SAT Site Acceptance Test SBD Safe Breaking Distance SCIL Safety-Critical Items List (same as Hazard Log)
