positive train control - nctd | north county … · bnsf railway’s contracted operator pacific...

Quarter Ending June 30, 2016

POSITIVE TRAIN CONTROL

Quarterly Report

NCTD PTC Monthly Report Page i Quarter Ending June 30, 2016

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. Documentation .................................................................................................................. 5

1.3.3. Schedule ........................................................................................................................... 5

1.3.4. Testing .............................................................................................................................. 5

2. PROGRAM MANAGEMENT .......................................................................................................... 5

2.1. Integration Management .......................................................................................................... 5

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

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

2.1.3. Change Management ........................................................................................................ 6

2.1.4. Program/Project Management Information Systems ......................................................... 6

2.2. Scope Management ................................................................................................................ 6

2.3. Configuration Control Management ......................................................................................... 7

2.4. Quality Management ............................................................................................................... 7

2.4.1. Quality Plans ..................................................................................................................... 7

2.4.2. Deficiency Notices (DN), Nonconformance Reports (NCR), Corrective Action Reports (CAR) .......................................................................................................................................... 7

2.4.3. PTC Quality Audits and Surveillances ............................................................................... 8

2.4.4. Corrective Action Reports (CAR) ....................................................................................... 8

2.4.5. Quality Tasks ..................................................................................................................... 9

2.5. Risk Management .................................................................................................................. 10

2.6. Stakeholder and Communications Management ................................................................... 10

3. PROGRAM SAFETY ................................................................................................................... 11

4. PROGRAM PROGRESS ............................................................................................................. 12

4.1. Critical Path ........................................................................................................................... 12

5. POSITIVE TRAIN CONTROL CONTRACTS AND STATUS ....................................................... 15

6. EXPENDITURES / FUNDING SOURCES ................................................................................... 27

6.1. Expenditures .......................................................................................................................... 27

6.2. Funding Sources ................................................................................................................... 28

NCTD PTC Monthly Report Page ii Quarter Ending June 30, 2016

7. PROJECT PHOTOS .................................................................................................................... 29

APPENDIX A: ABBREVIATIONS ........................................................................................................ 30

NCTD PTC Monthly Report Page 1 of 31 Quarter Ending June 30, 2016

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 extended December 31, 2018 completion date as stipulated in the Surface Transportation Extension Act of 2015. 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).


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 December 31, 2018 in accordance with the Surface Transportation Extension Act of 2015, 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) IC3 requirements are in development by the ITC, and the functionality will be required by the FRA for PTC Certification. The schedule for implementing IC3 is under discussion with the proposal anticipated to be finalized and negotiated in 2016.

1.3.2. Documentation Documentation is a continued focus.

1.3.3. Schedule The schedule updates submitted by the Contractor in 2015 continued to raise concerns for the NCTD team. NCTD continues to work with the Contractor on the schedule.

1.3.4. Testing Software version changes and related regression testing may impact the schedule.

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 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

HNTB Organization PTC Program/Construction Manager: Mary Holland Document Control Coordinator: Cara Smith Business Manager/Scheduler: Robert Hartley PTC Quality Manager: Mike Phillips PTC Quality Inspector: Patrick Malley

2.1.2. Program Control The PTC program has had over 21 active vendor-implemented projects. The status of selected projects is described in Section 5 of this report.

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 potential change order is in process that includes the addition of scope associated with the implementation of IC3.

A potential change order is in process that includes the dynamic braking in the event recorder download.

A potential 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 potential 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.

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 JLP Quality Control / Quality Assurance Manual, Last Revised, February 28, 2007 Innovative Solutions In Signaling, LLC, Supplier Quality Survey, March 18, 2016 Experior Systems Ltd, Supplier Quality Survey, April 15, 2016.

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 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 affecting 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 85 20 65 Nonconformance Reports 2 1 1 Corrective and Preventative Actions 16 0 16

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: Wayside/Network Walk Downs: In Progress

o Planned PTC Interface Management Plan (2nd Audit)

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 – 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.

Update: Closed. Closure Date: 6/14/2016 DN Log No. None


2.4.4.2. 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.


2.4.4.3. 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.


2.4.4.4. 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.

Update: Item was closed by the contractor. NCTD is leaving this item open until the Wayside locations have been inspected and signed off as completed.

Estimated Closure Date: 8/30/2016 DN Log No. None

2.4.4.5. 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 affects two F40 Locomotives, Vehicles No. 2102 and 2104.

Update: Closed Closure Date: 3/31/2016 DN Log No. None

2.4.5. Quality Tasks The PTC Quality Manager continues to coordinate the technical review of the Software Quality Assurance Plan documents initiated in April 2014. Wabtec has developed additional test cases to satisfy quality requirements.

The onboard installations have been completed. The contractor is providing as-built plans and close out binders on each vehicle for NCTD records.

The Wayside and Network installations have been completed along the corridor under continuous NCTD Quality Inspection Representatives’ oversight. The PTC Quality Manager along with NCTD representatives are continuing to perform inspections / walk downs of each


Wayside and Network location. The Contractor is addressing punch list items identified by the inspection team; completion of the punch list will be verified by NCTD.

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. All wayside units have been installed. The base station radio installations are complete. The locomotive / on-board radios completed in April 2016.

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 17 0 100% Mar-2016

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 17 0 100% Apr-2016

Wayside Radios Not Applicable

New/novel technologies (if applicable)

0 0 0 0% TBD

Training activities, shown in Table 3.2, have begun. The number in the column titled “Employees Trained” represent the number of employees that have begun training. The number in the column titled “Employees Remaining” is the number of employees that have not begun training. The “Percent Trained” is the percentage of training hours completed out of the total hours of training for the total employees in that classification/craft. The Roadway Worker Protection System remains under development in the industry; training will be provided when the Roadway Worker Protection System becomes available.

Table 3.2: Training

Classification / Craft Total

Employees Employees

Trained Employees Remaining

Percent Trained

Estimated Completion Date

Train Operator 14 14 0 100% March 2016

Vehicle Maintainer 14 13 1 93% September 2016

Signal Maintainer 9 9 0 100% March 2016

Communications Maintainer 1 1 0 100% April 2016

Dispatcher 10 9 1 90% September 2016

IT & Administration 2 2 0 100% May 2016

Track Maintainer 24 23 1 96% September 2016

Configuration Control Board 10 10 0 100% March 2016

GIS Technician 1 1 0 100% September 2015

Hy-Rail Maintainer - Onboard 1 0 1 57% September 2016

Hy-Rail Maintainer - Communications 1 1 0 100% April 2016


4. PROGRAM PROGRESS

4.1. Critical Path The schedule updates submitted by the Contractor in 2015 have raised some concerns for the NCTD team. NCTD is working with Contractor to resolve the issues in the schedule updates.

Figure 4.1 presents the critical path graphic for the HTI Contract No. 11046 schedule that reflects the 2016 PTC Implementation Plan (PTCIP) schedule and compares the 2016 PTCIP critical path with the unapproved May 2015 schedule update as well as the 2013 PTCIP Request for Amendment (RFA) #1.

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 2016 PTCIP schedule. This date represents approximately 26 months of total delay from the original 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: 2013 PTCIP RFA#1 vs. May 2015 vs. 2016 PTCIP


Act. ID Project Milestones Per ContractApproved Baseline (DD1: 8/31/2012) (Finish Dates)

October 2013 Update (DD1:11/1/2013) (Finish Dates)

Negative=late Positive=early

(months)

Aug 2015 update (DD1: 8/31/2015) (Finish Dates)

Negative=late Positive=early

(months)

MS1000 NTP (Phase 1) 19‐Aug‐11 19‐Aug‐11 19‐Aug‐11 Completed completed completed completed

MS1010 PTC Phase 1: Development Complete 31‐Jul‐12 31‐Aug‐12 9‐Aug‐12 Completed completed completed completed

MS1030 PTC Phase 2: Procurement/Installation/Testing Complete 15‐Aug‐14 8‐Aug‐14 1‐May‐15 ‐8.6 14‐Oct‐16 ‐26.4 ‐17.7

MS1040Completion of System Safety Certification and Safety Plan

Submittals 15‐May‐14 31‐Oct‐14 24‐Jul‐15 ‐14.5 13‐Mar‐17 ‐34.4 ‐19.9

MS1050PTC System Commissioned into Revenue Service with PTC

System Certification by the FRA31‐Dec‐15 2‐Nov‐15 25‐Jul‐16 ‐6.9 14‐Mar‐18 ‐26.8 ‐19.9

MS1060 Final Acceptance 2 14‐Mar‐16 1‐Dec‐16 ‐8.7 13‐Jul‐18 ‐28.4 ‐19.6

2 Final Acceptance slippage is calculated based on baseline date of 3/14/16.

2016 PTCIP vs. 2013 PTCIP RFA #1 Neg.=Slippage Pos.= Gain (months)

1DD: Data Date

2013 PTCIP RFA #1 vs. Contract 2016 PTCIP vs. Contract

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, extending from the Orange County Line to the Santa Fe Depot, has had over 21 active vendor-implemented projects. The detail for these projects can be found in previous progress reports. Table 5.1 provides “at-a-glance” information for the five significant remaining open contracts. Additional detail on the progress and financial status is provided in Tables 5.2 through 5.6.

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.

$37,637,515 On-Going 5.2

COASTER Fiber Cable & Conduit Installation Projects

13020 South COASTER Fiber MP Nexlevel $6,442,249 On-Going 5.3

Other PTC Program Implemented Projects

29895 Design Support During Construction Pacific Railway Enterprises, Inc.

$2,742,430 On-Going 54

29935 Engineering Support Services HNTB $9,272,400 On-Going 5.5

30475 Environmental Support Services BRG Consulting $661,567 On-Going 5.6


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

NCTD PURCHASE ORDER

11046

PROJECT STATUS

BRIEF PROJECT DESCRIPTION

PROJECT NAME CONTRACTOR/CONSULTANT

PTC for the LOSSAN Corridor Herzog Technologies, Inc.

Network testing with NCTD began in July 2015 and will complete in early 1st quarter 2016. HTI is troubleshooting three locations and is anticipating these locations to be fully tested in January 2016. Witness training for the Field Device Network Connection Test with NCTD occurred in November. Punch list work remains on the fiber, consisting of fiber/sewer conflict repair in Sorrento Valley that is anticipated to be fixed 1st quarter 2016.

The PTC System for the LOSSAN Corridor is the primary contract for implementation of the PTC system.

On-GoingStakeholder and interoperability meetings continue to be held. The Caltrans quarterly meeting was held in November.

COMMUNICATIONS:Regarding the ATCS Antenna Install Proposal, HTI is working on disposal quote. Wi-Fi site testing with NCTD occurred in October with test results accepted in December. Base radio startup test results were approved in October.

ONBOARD:

All training is anticipated to complete in March 2016. Trainings are being scheduled with NCTD Operations, Vehicle Maintainers, Signal Maintainers, Communications Maintainers, Dispatch, Information Technology and Administration, Operations and Maintenance maintainers, and Track Maintainers. Train Operations training occurred in October, with a second round occurring in January 2016. The Roadway Worker Protection System remains under development in the industry; training will be provided when the System becomes available.

Onboard installation began in November with installations complete on seven of the 17 vehicles. The remaining 10 vehicle installations have interim approval and are in service. Punch list work on the remaining 10 vehicles includes PTC event recorder and the horn/bell/alerter fixes which are estimated to complete 1st quarter 2016. Onboard Radio Startup Test results were submitted in October; two of the 17 radios failed and will be fixed in February.

WAYSIDE:Route V&V and Critical Feature V&V testing with NCTD completed in December 2015. The FRA was invited to witness the Wayside V&V Testing that began in December 2015. Critical Feature V&V testing with the FRA is anticipated in 1st quarter 2016.

NETWORK:

BACK OFFICE:Focus is on training and testing documentation. HTI has been developing their cost proposal for the IC3 documentation, which will finalize for negotiations in 1st quarter 2016. Federated MPLS Testing with Metrolink occurred in November. WSRS to ITCM Interface testing with NCTD occurred in November. Back office network connection training occurred in October. BOS-CAD witness training occurred in October. Key test witness training occurred in December. NCTD witness testing will continue in 1st quarter 2016.

INTEGRATION:The System Integration Test Cases and Procedures as well as the Integration Test Program remain under development and are anticipated to complete 1st quarter 2016.

TRAINING

DOCUMENTATION: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 Wayside V&V and Critical Feature V&V were found to be acceptable for formal submittal by the FRA (November 2015). A new PTCIP will be submitted in January 2016. PTCSP continues to be developed towards a 75% level in preparation for an informal FRA review planned for August 2016.


(Table 5.2 continuation from previous page)

CONTRACT DATES

08/19/2011

07/31/2012

10/14/2016

03/13/2017

03/14/2018

COMPLETION UPDATE COST UPDATE

Contract Amount $37,637,515

Spent to Date $32,675,724

Encumbered $4,961,791

CONTRACT & BUDGET INFORMATION

Description Contract Amount Date Executed

Original Contract Value $31,730,104 5-Aug-11

Change order 001 $237,000 5-Oct-12

Change order 002 $809,416 21-Jan-13

Change order 003 $2,456,863 21-Jun-13

Change order 004 $1,089,567 16-Jun-14

CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD

0013 - 4 Submittal - Design Control Procedures

0035 - 3 Submittal - System Quality Plan - Quality Procedure (QP) 4.1 and 14.1 Update

0035 - 4 Submittal - System Quality Plan - Quality Procedure (QP) 4.1 and 14.1 Update

0264 - 4 Submittal - Final - I-ETMS Preliminary Design Review

0264 - 5 Submittal - Final - I-ETMS Preliminary Design Review

0265 - 3 Submittals - PTC Office Software Design - I-ETMS BOS Preliminary Design Review

0827 - 3 Submittal - System Network Architecture

0947 - 2 Submittal - Training Program Plan

0947 - 3 Submittal - Training Program Plan

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



0970 - 3 Submittal - As-Built Drawings - CP Crosby M.P. 243.3

0970 - 4 Submittal - As-Built Drawings - CP Crosby M.P. 243.3

1017 - 4 Submittal - Critical Feature Validation Test Cases and Procedures

1018 - 2 Submittal - Route V and V Test Cases and Procedures

1045 - 2 Submittal - Interface Control Matrix (ICX)

1045 - 3 Submittal - Interface Control Matrix (ICX)

OTHER ISSUES:None.

NTP

Phase 1: Development Completed

Phase 2: Procurement/Installation/Testing

System Safety Certification

System Commissioned into Revenue Service

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 1: Development Completed 100%

Phase 2: Procurement/Installation/Testing 60%

System Safety Certification Not Started

System Commissioning into Revenue Service Not Started



1046 - 2 Submittal - Interface Management Matrix (IMM)

1046 - 3 Submittal - Interface Management Matrix (IMM)

1049 - 2 Submittal - Interface Control Manual (ICM)

1049 - 3 Submittal - Interface Control Manual (ICM)

1062 - 1 Submittal - Hazard Log Flowdown To Test

1196 - 2 Submittal - Network Management System Concept of Operations

1196 - 3 Submittal - Network Management System Concept of Operations

1213 - 1 Submittal - Brake Test Cases and Procedures

1213 - 2 Submittal - Brake Test Cases and Procedures

1232 - 2 Submittal - Onboard Segment Test Program

1243 - 1 Submittal - PTC Safety Plan Appendix FF System Safety Program Plan

1253 - 1 Submittal - Level 3 Communication Network Architecture Layout

1308 - 0 Submittal - Key Exchange Server Test Cases and Procedures

1309 - 0 Submittal - Back Office Network Connection Test Cases and Procedures

1309 - 1 Submittal - Back Office Network Connection Test Cases and Procedures

1329 - 1 Submittal - FRA Certification Test Program

1329 - 2 Submittal - FRA Certification Test Program

1331 - 0 Submittal - Network Management System Software Design

1334 - 1 Submittal - BOS-CAD Test Procedures

1340 - 1 Submittal - As-Built Drawings - CP San Onofre M.P. 212.3

1347 - 2 Submittal - Wayside V and V Test Procedures

1347 - 3 Submittal - Wayside V and V Test Cases and Procedures

1350 - 1 Submittal - As-Built Drawings - Intermediate 233.25

1356 - 1 Submittal - As-Built Drawings - CP Del Mar M.P. 243.9

1357 - 1 Submittal - As-Built Drawings - CP Cardiff M.P. 239.7


1360 - 1 Submittal - Wayside V&V Test Book

1363 - 1 Submittal - Federated MPLS Test Cases and Procedures

1370 - 1 Submittal - Federated MPLS Test Book

1372 - 1 Submittal - As-Built Drawings - CP Eastbrook M.P. 225.3

1372 - 2 Submittal - As-Built Drawings - CP Eastbrook M.P. 225.3

1373 - 1 Submittal - As-Built Drawings - CP Pulgas M.P. 218.1

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

1384 - 1 Submittal - Test Plan Matrix

1384 - 2 Submittal - Test Plan Matrix

1400 - 1 Submittal - Wi-Fi Site Test Cases and Procedures

1400 - 2 Submittal - Wi-Fi Site Test Cases and Procedures

1402 - 0 Submittal - Route V and V Test Book



1403 - 1 Submittal - Wi-Fi Site Test Book

1403 - 2 Submittal - Wi-Fi Site Test Book

1404 - 0 Submittal - TMDS and BOS to ITCM Test Cases and Procedures

1404 - 1 Submittal - TMDS and BOS to ITCM Test Cases and Procedures

1405 - 0 Submittal - TMDS and BOS to ITCM Test Book

1405 - 1 Submittal - TMDS and BOS to ITCM Test Book



1409 - 0 Submittal - Brake Test Book

1409 - 1 Submittal - Brake Test Book

1410 - 0 Submittal - Field Device Network Connection Test Cases and Procedures

1410 - 1 Submittal - Field Device Network Connection Test Cases and Procedures

1411 - 0 Submittal - WSRS to ITCM Test Cases and Procedures

1411 - 1 Submittal - WSRS to ITCM Test Cases and Procedures

1412 - 0 Submittal - Field Device Network Connection Test Book

1412 - 1 Submittal - Field Device Network Connection Test Book

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

1413 - 1 Submittal - Train Operation Training Course (Operating Rules Modifications Training Module)

1414 - 0 Submittal - Onboard Segment Maintenance Training Course (NCTD I-ETMS System Maintenance Modules)

1414 - 1 Submittal - Onboard Segment Maintenance Training Course (NCTD I-ETMS System Maintenance Modules)

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

1416 - 1 Submittal - Base Radio Startup Test Results (NCTD Witnessed)

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

1418 - 0 Submittal - 220 MHz Coverage Analysis - F40 Locomotive 2105

1419 - 0 Submittal - Back Office Network Connection Test Book



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

1420 - 1 Submittal - As-Built Drawings - CP Valley M.P. 242.2

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

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

1423 - 0 Submittal - As-Built Drawings - Santa Fe Depot Comm M.P. 267.5

1424 - 0 Submittal - Train Operation Training Course (I-ETMS Onboard Systems Operation Training Modules)

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

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

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

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

1432 - 0 Submittal - Final Track Chart


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

1435 - 1 Submittal - PTC Safety Plan Appendix L System Operations & Maintenance Manuals

1436 - 0 Submittal - 220 MHz Coverage Analysis - PTC Base Stations

1436 - 1 Submittal - 220 MHz Coverage Analysis - PTC Base Stations

1438 - 0 Submittal - Office Software Documentation Inventory List

1438 - 1 Submittal - Office Software Documentation Inventory List

1439 - 0 Submittal - Office Software Inventory List



1440 - 0 Submittal - Hardware Inventory List

1440 - 1 Submittal - Hardware Inventory List

1443 - 0 Submittal - Level 3 (WiFi) Network Calculations for Bandwidth, Level and Quality of Service

1445 - 0 Submittal - As-Built Drawings - Oceanside Transit Center Comm M.P. 226.4

1446 - 0 Submittal - As-Built Drawings - Stuart Mesa Yard M.P. 222.4



1447 - 0 Submittal - As-Built Drawings - Mt. Soledad

1455 - o Submittal - Present and Future Network Message Traffic Detailed Assessment

1456 - 0 Submittal - 802.11b Wi-Fi Coverage Analysis

1456 - 1 Submittal - 802.11b Wi-Fi Coverage Analysis

1458 - 0 Submittal - Onboard Radio Startup Test Results (NCTD Witnessed)

1461 - 0 Submittal - NMS Test Cases and Procedures

1461 - 1 Submittal - NMS Test Cases and Procedures

1462 - 0 Submittal - NMS Test Book



1463 - 0 Submittal - Cellular Test Cases and Procedures

1464 - 0 Submittal - PTC System Certification Plan

1464 - 1 Submittal - PTC System Certification Plan



1469 - 0 Submittal - As-Built Drawings - CP Miramar Remote Case M.P. 252.9

1471 - 0 Submittal - Hy-Rail PTC Equipment Maintenance Training Course

1471 - 1 Submittal - Hy-Rail PTC Equipment Maintenance Training Course

1472 - 0 Submittal - 220 MHz Coverage Analysis - F59 Locomotive 3002

1474 - 0 Submittal - System Integration Test Cases and Procedures

1474 - 1 Submittal - System Integration Test Cases and Procedures

1476 - 0 Submittal - Integration Test Program

1476 - 1 Submittal - Integration Test Program

1479 - 0

1480 - 0 Submittal - Project Schedule Update September 2015

1481 - 0 Submittal - WSRS Software Design

1481 - 1 Submittal - WSRS Software Design

1483 - 0 Submittal - As-Built Drawings - Friar Base Communications Package M.P. 264.1

1485 - 0 Submittal - Critical Feature V&V Test Book

1486 - 0

1486 - 1

1486 - 2

1487 - 0 Submittal - As-Built Drawings - Torrey Pines Base M.P. 250.6

1488 - 0

1502 - 0 Submittal - Site Power Monitor

1503 - 0

1504 - 0 Submittal - Back Office Segment Maintenance Training Course (NMS System Training Module)

1504 - 1 Submittal - Back Office Segment Maintenance Training Course (NMS System Training Module)

1505 - 0 Submittal - Back Office Segment Maintenance Training Course (BOS System Training Module)

1506 - 0 Submittal - Back Office Segment Maintenance Training Course (ITCM Training Modules)

1508 - 0 Submittal - Microwave Installation Test Procedure

1511 - 0

Submittal - Back Office Segment Maintenance Training Course (Key Exchange Service Training Module)

Submittal - Onboard Segment Communications Special Tools - Locomotive Radio Maintenance Laptop Computer



Submittal - I-ETMS Test Request for NCTD Interoperability Testing of Pacific Sun Locomotives on NCTD

Submittal - PTC Back Office Segment Maintenance Training Course - Back Office Environment Overview Module

Submittal - PTC Communications and Network Segment Maintenance Training Course (Meteorcomm Modules)



1512 - 0 Submittal - Cellular Test Book

1513 - 0 Submittal - TMDS Cut-in Plan

1515 - 0

1515 - 1

1517 - 0 Submittal - Formal Field Locomotive Test Cases

1518 - 0 Submittal - Formal Field Locomotive Test Book

1523 - 0

1526 - 0 Submittal - Wayside Segment Requirement Specification (SRS)

1527 - 0

1529 - 0

1531 - 0 Submittal - Project Schedule Update October 2015

1534 - 0 Submittal - Spectrum and Network Engineering Analysis and Report

1543 - 0 Submittal - Wi-Fi Site Test Results (NCTD Witnessed)

1544 - 1 Submittal - WSRS to ITCM Interface Test Results (NCTD Witnessed)

1546 - 0 Submittal - PTCSP Appendix Y - Safety Audits

1554 - 0

1569 - 0 Submittal - PTC Safety Plan Appendix P- Record Retention Policies and Standards

1570 - 0 Submittal- Project Schedule Update- November 2015

1572 - 0 Submittal - Amended PTC Concept of Operations (ConOps)

Submittal - PTC Communications and Network Segment Maintenance Training Course (PTC Communications Equipment Overview Module)

Submittal - PTC Communications and Network Segment Maintenance Training Course (Network, Wi-Fi, Wireless Routers, and Power Systems Module)Submittal - PTC Communications and Network Segment Maintenance Training Course (Eclipse Installation, Operation and Maintenance Module)

Submittal - PTC Safety Plan Appendix M - NCTD Field PTC System Safety Validation and Verification Test Plan

Submittal - PTC Onboard Segment Maintenance Training Course (Slot 10 Card Interface Module)

Submittal - PTC Onboard Segment Maintenance Training Course (Slot 10 Card Interface Module)


Figure 5.1 shows the S-curve for the PTC project (PO 11046) dollars expended and projected versus dollars contracted. 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 June 30, 2016.

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


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: In close-out

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

Status: Closed


Table 5.3: South COASTER Fiber; NCTD PO#13020

PROJECT STATUS

CONTRACT DATES

01/03/2013

09/30/2013

01/28/2014

05/15/2014

12/31/2015

3/31/2016

COMPLETION UPDATE COST UPDATE

Contract Amount $6,442,249


Encumbered $9,696

CONTRACT & BUDGET INFORMATIONDescription Contract Amount Date ExecutedContract Value $4,959,010 3-Jan-13

Change order 001 $70,218 8-Apr-13

Change order 002 $0 8-Aug-13Change order 003 $0 18-Sep-13

Change order 005 $7,500 23-Jan-14

Change order 006 $197,667 7-Mar-14

Change order 008 (FWD004) $50,363 10-Apr-14

Change order 007 $0 28-Apr-14

Change order 009 (FWD005) $297,256 13-May-14

Change order 004 (FWD006) $1,085,700 1-Jun-14

Change order 010 (FWD007) $0 24-Jun-14

Change order 011 (FWD011) $0 7-Aug-14

Change order 012 (FWD012) $0 5-Sep-14

Change order 013 (FWD013) $0 13-Nov-14

Change order 014 (FWD014) $0 30-Dec-14

Change order 015 (FWD015) $0 2-Apr-15

Change order 015 Amd 01 $0 14-Dec-15


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.

Contract Completion

Change Order 15 Amd 01 Contract Completion

Conduit Installation 100%

Fiber Installation 100%

Amendment 1 NTP

Amendment 1 Contract Completion

None

Change Order 15 Contract Completion

Original Contract NTP

Change Order 15 was amended and issued in December 2015 to extend the project until March 31, 2016 in order to accommodate right-of-entry for the work directed under Field Work Directive 15 for the contractor to repair the Rose Canyon sewer/fiber conflict.

The repair work for CP Del Mar, Intermediate Signal 246, missing tracer wires and CCH module at fiber patch panel has been completed. The repair of the Rose Canyon sewer/fiber conflict was completed in February 2016. Project is in closeout.


Table 5.4: Design Support During Construction; NCTD PO#29895

Table 5.5: Engineering Support Services; NCTD PO#29935

NCTD PURCHASE ORDER29895

PROJECT STATUS

CONTRACT DATES

11/08/2011

12/31/2015

4/30/2016

COMPLETION UPDATE COST UPDATEOverall Contract 94% Contract Amount $2,742,430


Encumbered $175,466


Description Contract Amount Date ExecutedContract Value $2,000,000 8-Nov-11

Amendment 1 $160,522 29-Jun-12

Amendment 3 $581,908 1-Oct-15


PROJECT NAME CONTRACTOR/CONSULTANTDesign Support During Construction Pacific Railway Enterprises, Inc.

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.

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

Amendment 3 Contract Completion

Various project documentation.

NTP

Contract Completion


PROJECT STATUS

CONTRACT DATES

12/07/2011

12/31/2015

6/30/2016COMPLETION UPDATE COST UPDATE

Overall Contract 91% Contract Amount $9,272,400


Encumbered $814,980


Description Contract Amount Date ExecutedContract Value $2,620,999 7-Dec-11

Amendment 1 $4,917,340 4-Mar-14Supplemental Agreement 11 $1,800,000 29-Dec-15

Supplemental 11 Amended $0.00 28-Jun-16


NTP

Supplemental Agreement 11 Completion

Various project documentation.

Contract Completion

PROJECT 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. Staff has reduced beginning in September 2014 due to the completion of the fiber projects and issue resolution. Primary activity is submittal review for the PTC project.


Table 5.6: Environmental Support Services; NCTD PO#30475


PROJECT STATUS

CONTRACT DATES

09/18/2012

12/31/2015

3/31/2016

COMPLETION UPDATE COST UPDATEOverall Contract 28% Contract Amount $661,567

Spent to Date $183,612

Encumbered $477,955


Description Contract Amount Date ExecutedOriginal Contract Value $2,144,097 18-Sep-12

Contract Deduction ($1,482,800) 21-Feb-14


NTP

Supplemental Agreement 03 Completion

None.

Contract Completion

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-GoingBRG performed environmental monitoring of the repair of the Rose Canyon sewer/fiber conflict.

Efforts are provided on an as-needed basis for environmental and archeological monitoring support for the PTC Program.

PROJECT NAME CONTRACTOR/CONSULTANTEnvironmental Support Services BRG Consulting


6. EXPENDITURES / FUNDING SOURCES

6.1. Expenditures Through June 2016, expenditures to date on the PTC Program total $63,920,620, or 73 percent of the project budget.

The period expenditures total $2,268,866 and were primarily composed of contractor charges, followed by 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 $85,267,484. 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

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 makes 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

FRA TASK Current FRA

Budget @ 3/2014Proposed Budget

12/2015

Incurred Costs Thru 6/30/16(Actual in JDE)

Open/Proposed Encumbrances

TotalIncurred & Encumbered

Available Budget

Pre‐Award ‐ 512554 5,063,042.07$ 5,294,348.92$ 4,538,969.12$ 755,379.80$ 4,623,480.74$ ‐$

Post‐Award 82,229,926.89$ 81,998,620.08$ 59,381,650.48$ 20,591,484.79$ 70,090,776.35$ 2,025,484.81$

Phase 1: System Development ‐ 512555 7,949,248.01$ 7,949,248.01$ 7,949,248.01$ ‐$ 7,949,248.01$ ‐$

Phase 2 ‐ Prime Post Award Costs ‐ 512556 33,089,553.80$ 32,577,268.96$ 24,573,929.89$ 8,003,339.07$ 32,700,224.46$ ‐$

Non Prime Post Award Costs ‐ 512557 35,746,958.67$ 37,361,522.71$ 26,762,799.29$ 10,598,723.42$ 29,334,179.94$ ‐$

OCC: Procurement, Installation, Testing, and Implementation ‐ 512558 5,444,166.41$ 4,110,580.40$ 95,673.29$ 1,989,422.30$ 107,123.94$ 2,025,484.81$

GRAND TOTAL PTC PROGRAM COSTS 87,292,968.96$ 87,292,969.00$ 63,920,619.60$ 21,346,864.59$ 74,714,257.09$ 2,025,484.81$


7. PROJECT PHOTOS

NCTD Purchase Order 11046: PTC for the LOSSAN Corridor

The following photos were taken during construction:

Wayside Inspection

Wayside Inspection

Wayside Inspection

Locating Critical Features


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


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)