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Quarter Ending September 30, 2014

POSITIVE TRAIN CONTROL

Quarterly Report

NCTD PTC Monthly Report Page i Quarter Ending September 30, 2014

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. Network ............................................................................................................................. 5

1.3.2. Federal Communications Commission (FCC) ................................................................... 5

1.3.3. WRE’s Individual Composite CRC (Cyclic Redundancy Check) Calculator (IC3) ............. 6

1.3.4. Back Office ........................................................................................................................ 6

1.3.5. Federated Link .................................................................................................................. 6

2. PROGRAM MANAGEMENT .......................................................................................................... 7

2.1. Integration Management .......................................................................................................... 7

2.1.1. Program Governance ........................................................................................................ 7

2.1.2. Program Control ................................................................................................................ 7

2.1.3. Change Management ........................................................................................................ 8

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

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

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

2.4. Quality Management ............................................................................................................... 9

2.4.1. Quality Plans ..................................................................................................................... 9

2.4.2. Deficiency Notices (DN), Nonconformance Reports (NCR), Corrective Action Reports (CAR) ……………………………………………………………………………………………………...9

2.4.3. PTC Quality Audits and Surveillances ............................................................................. 10

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

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

2.5. Risk Management .................................................................................................................. 11

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 ....................................................... 18

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

NCTD PTC Monthly Report Page ii Quarter Ending September 30, 2014

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

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

7. PROJECT PHOTOS .................................................................................................................... 40

NCTD Purchase Order 11046: PTC for the LOSSAN Corridor ........................................................ 40

NCTD Purchase Order 13020: South COASTER Fiber .................................................................. 42

NCTD Purchase Order 13007: CP Friar Signal Project ................................................................... 43

APPENDIX A: ABBREVIATIONS ........................................................................................................ 45

NCTD PTC Monthly Report Page 1 of 46 Quarter Ending September 30, 2014

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).


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. Network The fiber backbone was anticipated to be completed by NCTD in 2013; completion is now anticipated in the beginning of the fourth quarter of 2014. The Program Management Team is working to mitigate impacts to the PTC project through segmental release of the South Fiber.

Final design for the network component of the PTC system was transferred into the PTC project (PO #11046) from the original contract for the PTC Network Design (PO #30066) effective in November 2013. The network installation has been completed.

1.3.2. Federal Communications Commission (FCC) As a Federal licensing agency, the Federal Communications Commission (FCC) fulfills its responsibilities under National Environmental Policy Act (NEPA) by requiring licensees to review their proposed actions for environmental consequences (47 CFR 1.1301 to 1.1319). HTI is responsible for implementing NEPA through submitting a NEPA Environmental Assessment (EA) Checklist and supporting documentation to the FCC. Of the 19 base stations, nine base stations fall outside the Nationwide Programmatic Agreement or the Collocation of Wireless Antennas, Section III – Collocation of Antennas on Towers Constructed on or Before March 16, 2001. HTI is required to submit an EA Checklist and supporting documentation for the remaining nine base stations prior to construction. The FCC required


documentation includes: public notification, Native American consultation and Tower Construction Notification System, Survey and Viewshed Analysis, FCC 620 and 621 Application, and an EA Checklist submission. The FCC process was completed at the end of July 2014.

1.3.3. WRE’s Individual Composite CRC (Cyclic Redundancy Check) Calculator (IC3) The IC3 proposal is anticipated in the fourth quarter of 2014. 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.

1.3.4. Back Office Integration between the Back Office Server (BOS), Interoperable Train Control Messaging (ITCM), and Computer Aided Dispatch (CAD) is a challenge, with ITCM being the most challenging. HTI is working with Meteorcomm, who is producing the design. A fully functional BOS/CAD system was delivered in July. The ITCM lab installation has been completed and test cases were successfully run. Functional testing of the TMDS to BOS has begun.

1.3.5. Federated Link Each railroad has its own communications network. When networks are connected together so that communications can take place between nodes of one network and the nodes or central server of another network, the networks are termed federated. The connection from a railroad office to the federated network is the federated link. NCTD will be a Tier 1 federation partner, which means that NCTD will have its own direct communications network with all tenant and Class 1 Railroads.


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 Chief Development Officer: Peykan Abbassi 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: Jill Gibson

HNTB Organization PTC Program Manager: Mary Holland PTC Deputy Program Manager: Anna Borrell PTC Construction Manager and Program Scheduler: Essie Rahbari Document Control Coordinator: Cara Smith Business Manager: Robert Hartley Project Analyst: Matt Daniels PTC Quality Manager: Mike Phillips PTC Quality Inspector: Erdi Kushe

2.1.2. Program Control The PTC program has 21 active 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 are in the process of closing out:

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 $63,464,907.


2.1.3. Change Management The changes that are currently in process for the 21 active vendor-implemented projects are:

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

Change Order 4 includes the deletion of existing scope associated with the Wayside Segment and peer to peer radio communications network, and the addition of installation and testing of the fiber network. Change Order 4 was executed in June. The total value of this change order is $1,089,567.03 and includes 364 calendar days of concurrent, noncompensable delay. The time extension is due to scope additions that affected the contract including:

FCC process to install PTC towers Interoperable Train Control Messaging hardware and software development

requiring additional integration testing, and Network design, installation, and testing.

South COASTER Fiber (PO # 13020 OS) - MP Nexlevel of California, Inc. Field Work Directive 11/ Change Order 11 includes the adjustment of the contract completion date by 28 days. Change Order 11 was executed in early August. Field Work Directive 12/ Change Order 12 includes the adjustment of the contract completion date by 70 days. Change Order 12 was executed in early September.

Signal Upgrade – CP Friar/Taylor Street (PO#13007 OS) – Herzog Technologies, Inc. Change Order 1/ Field Work Directive 1 Includes the adjustment of the contract completion date by 48 days. Change order 1 was approved in July. Change Order 2/ Field Work Directive 2 Includes added and changed contract work. HTI and NCTD negotiated this change order during the months of June and July. Change order approval is anticipated in July. Change Order 2 was executed in August. The total value of this change order is $42,634.88.

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 schedule to ensure contract requirements. This task will be repeated several times throughout the duration of the program 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 informally submitted to the FRA in August and responses from the FRA have been received. The FCMP and CCMP are planned for formal submittal to the FRA fourth quarter 2014. NCTD approved the Interface Management Plan (IMP) in September.


Configuration Control Board training took place in September. The Board continues to meet to organize the PTC configuration management structure. The Configuration Control Board (CCB) will be meeting a minimum of twice per month in the fourth quarter to organize and establish the logistics of the CCB workflow.

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 Quantity Open items Closed items Deficiency Notices 16 6 10 Nonconformance Reports 0 0 0 Corrective and Preventative Actions 4 1 3

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.

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 audit schedule is currently being updated. HTI is planning to conduct two audits before the end of the year.

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 – 001 (220 MHz Antenna) Issue Date of 11/22/13 NCTD inspected and documented that the HTI subcontractor did not follow the installation guide with regard to the 220 MHz Antenna installation on top of the roof of the locomotive. This issue has been addressed by HTI directing their subcontractor to comply with the NCTD approved installation guide.

Update: Corrective and Preventative Actions have been incorporated into the Installation Guides. The antennas were reinstalled in their new location during the BCC pilot installation.

Closure Date: 7/18/14 DN Log No. 003

2.4.4.2. CAR – 002 (F59 Conduit Clamp Welding Protocol) Issue Date of 12/05/13 The PTC Quality Manager attended a final PTC equipment installation construction inspection (surveillance) for the F59 Locomotive. It was during this surveillance when it was discovered that there was a possible welding issue, resulting in additional monitoring by TASI staff. A conduit clamp on the wheel truck was welded by HTI’s subcontractor who was not trained by TASI regarding the proper location of where to place the grounding clamps on the locomotive. As a result, the wheel bearing may have been damaged. HTI has noted the potential welding issue on their installation paperwork. The PTC Quality Manager will be involved with the review of the CAR by HTI.


Update: Information was added to the installation guides regarding grounding location approval prior to beginning the welding work. The preventative action was inserted into the CAR as well as other relevant quality documents by the HTI System Quality Manager.


2.4.4.3. CAR – 003 (F40, F59, BCC Non-Compliant Materials) Issue Date of 12/18/13 NCTD received notification on December 17, 2013 that some components installed in the vehicles were non-compliant with 49 CFR 238.103 Passenger Fire Safety requirements as evidenced by a Fire, Smoke, and Toxicity (FST) test.

Update: Fire Safety Analysis has been completed and approved. The installation of compliant components began as part of the new Pilot installation which began on June 25, 2014.


2.4.4.4. CAR – 004 (F40 Tri-Mode Antenna) Issue Date of 3/18/14 (est.) During a survey of the F40 for the Fire Safety Analysis, Wabtec discovered that the installer had cut through some structural beams during the installation of the Tri-mode Antenna. Since this was discovered, Wabtec has developed a plan to repair the roof and the structural beams.

Update: The F40 Roof and Beam Repair Procedure was approved and will be performed during the Pilot 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 continued with a total of four vehicles receiving interim release to go back into service, with some retouch work required in the future. The PTC Quality Manager, the PTC Quality Inspector, and the NCTD Quality Control staff are providing full-time Quality Assurance inspection services during the Pilot Installations. Wayside and Network installations have progressed along the corridor under continuous NCTD Quality Inspection Representatives’ oversight. An audit of the signal shelter work that took place on the CP Friar Signal project was conducted; the results of the audit were positive with no findings or observations to report.

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 and antenna installations. This included communications with City Staff, SANDAG, neighbors, written notices, e-mail communications, and website updates. Outreach prior to tower installations occurred in September.


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 on-board installations began in June 2014 upon completion and acceptance of the fire safety analysis. The completion date for the on-board installations is March 2015.

Four locomotives have been completed to an interim condition with retouches to be scheduled in the future to complete the installation. A March 2015 completion date is anticipated. Ninety-six percent of the wayside units have been installed. HTI’s most recent estimated completion date is October 2014.

Installation of the base station radios is 95 percent complete, with 17 of the 19 base station radios installed. The FCC process concluded at the end of July 2014, with the tower construction completing in October 2014.

Table 3.1: Components

Component Description Total

ComponentsCompleted Remaining

Percent Complete

Estimated Completion Date

Locomotives F40 (x5); F59 (x2);

BCC (x10) 17 0 17 0% Mar-2015

Wayside Units VHLC; EC4;

EL-1A 48 46 2 96% Oct-2014

Switches Not Applicable

Base Station Radios Meteorcomm 19 18 1 95% Oct-2014

Locomotive Radios Meteorcomm 17 0 17 0% Mar-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 first 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% Feb-2015

NCTD Mgmt/Ops Hy-Rail

Test Vehicle TBD 0 TBD 0% Feb-2015

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

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

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

NCTD Mgmt/Ops GIS Mapping Tool TBD 0 TBD 0% Apr-2015

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

NCTD Mgmt/Ops Back Office TBD 0 TBD 0% Mar-2015


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 Figure 4.1 presents the critical path graphic for the HTI Contract No. 11046 August 2014 Project Schedule Update, comparing the August 2014 critical path with the October 2013 schedule and previous July 2014 submission.

NCTD and FRA coordination efforts have revealed that the estimated one year of FRA Review may be reduced by an estimated six months based on progressive PTCSP submittals rather than a fully complete PTCSP submittal at the conclusion of FRA testing. This has the potential to mitigate approximately six months of project delay, contingent upon the actual occurrence of events.

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 15 days from the July 2014 update for both the FRA system certification and final acceptance. The current critical path shows the critical activities in the following order:

- South Fiber - Network - Back office work - TMDS - Field Integration Testing (FIT) - FRA Certification activities

Figure 4.2, Milestone Summary, shows the new PTC System Certification by the FRA completion date to be November 7, 2016. This date represents approximately 10 months of total delay from the federally mandated date of December 31, 2015. The 10 months of delay is partially mitigated by a six month FRA review as opposed to a 12 month FRA review. As stated above, the August 2014 schedule adds additional delay from the October 2013 update completion date. 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 March 2017.


Figure 4.1: Monthly Progress Report - Critical Path for HTI Contract PO#11046: Oct ’13 vs. July ‘14 vs. August ‘14


Figure 4.1 (continuation): Monthly Progress Report - Critical Path for HTI Contract PO#11046: Oct ’13 vs. July ‘14 vs. August ‘14


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 active vendor-implemented projects is $63,464,907, which has increased since the previous reporting due executed change orders. 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.

$38,744,084 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 $6,568,125 On-Going 5.4

13035 San Diego Fiber The Fishel Company

$187,037 Close-Out 5.5

Other PTC Program Implemented Projects

10054 Centralized Traffic Control HTSI $2,512,625 Close-Out 5.6

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

$323,633 Close-Out 5.7

29485 Wayside Interface Unit (WIU) Design & Installation

$136,461 Close-Out 5.8

29895 Design Support During Construction $2,325,000 On-Going 5.9

11032 Centralized Traffic Control & Operations Control Center Support Services

Macro Corp. $351,307 Close-Out 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 $763,317 On-Going 5.21

13007 Signal Upgrade – CP Friar/Taylor Street Herzog Technologies, Inc.

$834,246 On-Going 5.22

Miscellaneous* TASI Flagging and NCTD Personnel costs $2,072,420 Pending

* These miscellaneous items include potential purchase orders. When approved they will become part of the PTC Program active vendor-implemented projects


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

9/30/2014

NCTD PURCHASE ORDER11046

PROJECT STATUS

PROJECT STATUS TABLE FOR PERIOD ENDED

PROJECT NAME CONTRACTOR/CONSULTANTPTC for the LOSSAN Corridor Herzog Technologies, Inc.

The BCC Pilot retrofit installation started in June and was followed by the F40 and the F59 pilot. The first BCC production vehicle was completed. A second touch for each vehicle will be required due to PTC event recorder issues.

BRIEF PROJECT DESCRIPTION

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

On-Going

The Interoperability Coordination Plan continues to be under revision with coordination occurring between NCTD and their tenants. The Configuration Control Management Plan (CCMP), and Field Configuration Management Plan (FCMP) were informally submitted to the FRA in August. Formal submittal to the FRA is planned for the fourth quarter of 2014. The onboard installations continued with a total of four vehicles receiving interim release to go back into service, with some retouch work required in the future.

COMMUNICATIONS:ATCS Antenna Install Proposal is under review by HTI.

ONBOARD:

BCC roof repair: Wabtec is working with Bombardier to order a replacement panel.

PTCSP continues to be refined in preparation for an informal FRA review.

OTHER ISSUES:None.

Installations at 18 of 19 base station locations have been completed. Construction began once the FCC process completed at the end of July. Construction anticipated to complete in October.

BACK OFFICE:

ITCM 1.3 has been deployed and validated in the lab. The lab is being updated to ITCM 1.4. Production office environment is complete; ITCM 1.4 has been functional and performance tested. Production to field pre-testing is anticipated to begin in mid-November.

Production BOS/CAD system has been delivered and pre-tested. Functional testing is in progress.

IC3 documentation (rev. 2) is under review by HTI.

WAYSIDE:

WIU installations are 96% complete. Validations are anticipated to be complete by the end of 2014.

The Configuration Control Management Plan (CCMP) and Field Configuration Management Plan (FCMP) have been informally reviewed by the FRA and are being prepared for formal submission.

The Test Waiver has been conditionally approved by the FRA. Conditions are currently under review.

NETWORK:Network installations are complete. Fiber testing north of OTC is complete. Fiber terminations and testing south of PTC is pending completion of NCTD's fiber installation projects.

DOCUMENTATION:


(Table 5.2 continuation from previous page)

CONTRACT DATES08/19/2011

07/31/2012

05/01/2015

07/24/2015

07/25/2016

COMPLETION UPDATE COST UPDATE

Contract Amount $38,744,084

Spent to Date $26,275,393

Encumbered $12,468,691

CONTRACT & BUDGET INFORMATION

Description Contract Amount Date ExecutedOriginal Contract Value $31,730,104 5-Aug-11

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

Change order 002 $809,415 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

System Commissioning into Revenue Service

0527 - 5 Configuration Control Management Plan

0257 - 0 Maintainability Program Plan

0422 - 5 NCTD I-ETMS Installation Validation Test

0485 - 4 Onboard Materials Product Data

0845 - 0 ITCM 1.4 System Architecture

0623 - 4 Locomotive F40P2HM Onboard Equipment Production Bill of Materials Part 2

0758 - 4 F40 Roof and Beam Repair Procedure

Phase 1: Development Completed

Phase 2: Procurement/Installation/Testing

System Safety Certification

0295 - 1 TMDS Back Office Server Requirements Specification

Phase 1 includes the initial surveys, studies, and all design w ork 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 w as not needed at the time this phase w as completed. Once lab testing is underw ay, the PTCDP may be revisited.

Phase 2 includes all other w ork necessary for the design, installation and implementation of the PTC system.

0843 - 1 Network Testing (NT)

0826 - 1 Network Installation Templates

0827 - 2 System Network Architecture

0829 - 1 PTC Production Schematic - F59 Locomotive

0624 - 1 Interface Management Plan

0624 - 2 Interface Management Plan

0810 - 2 CDU Placement and Acceptance

0824 - 2 NCTD Coaster Subdivision Independent Review of Theoretical Train Braking Calculations

0829 - 2 PTC Production Schematic - F59 Locomotive

Phase 1: Development Completed 100%

0767 - 3 Project Schedule Update February 2014

Phase 2: Procurement/Installation/Testing 50%

System Safety Certification Not Started

System Commissioning into Revenue Service Not Started

NTP

0623 - 3 Locomotive F40P2HM Onboard Equipment Production Bill of Materials Part 2

0650 - 2 Staging Plan

0676 - 2 TMDS Back Office Server Test Plan

0712 - 2 WSRS Design Specification

0810 - 1 CDU Placement and Acceptance

0819 - 3 Production I-ETMS Installation and Relocation Guide - Bombardier Cab Car

0820 - 1 Reassignment of Key Personnel

0824 - 1 NCTD Coaster Subdivision Independent Review of Theoretical Train Braking Calculations



0846 - 0 I-ETMS Onboard Segment Data Distribution Messages Interface Control Document (ICD) S-9364 V1.0

0847 - 0 Locomotive Interface Gateway (LIG) to Positive Train Control (PTC) Interface Control Document (ICD) S-9365 V2.0

0860 - 0 CRF00614 BCC Antenna Locations and Cable Entry

0861 - 0 Project Schedule Update May-June 2014

0853 - 0 Back Office - ITCM, WSRS, and NMS Bill of Materials with Product Data

0856 - 0 Design Considerations for Virtual Remotes in a Data Center

0858 - 0 Wayside Test Program

0850 - 0 Interoperable Train control (ITC) Wayside-Locomotive Interface Control Document (ICD) S-9362 V1.1

0852 - 0 Back Office Architecture

0854 - 0 Back Office Hardware Narrative

0859 - 0 GIS Test Program

0857 - 1 Production I-ETMS Installation and Relocation Guide - F59 Locomotive

0860 - 1 CRF00614 BCC Antenna Locations and Cable Entry

0857 - 0 Production I-ETMS Installation and Relocation Guide - F59 Locomotive

0869 - 1 BCC Pilot Installation Guide Redlines

0871 - 0 BCC Pilot Schematic Redlines

0848 - 0 Positive Train Control Office-Locomotive Segment - Interface Control Document (ICD) S-9361 V1.1

0855 - 0 Existing Signal System Interface

0849 - 0 Guide to ITCM Federation Between Organizations

0880 - 0 Final BCC Schematic

0881 - 0 Wayside Database Development

0882 - 1 Final BCC Bill of Materials


0871 - 1 BCC Pilot Schematic Redlines

0874 - 0 BCC Pilot Installation Onboard Test Results Vehicle #2304

0875 - 0 BCC Pilot BOM Redlines

0862 - 0 Tripod Roof Top Antenna Mount

0862 - 1 Tripod Roof Top Antenna Mount

0863 - 0 CRF00414 Cell Modem/NSM Enclosure Mounting Location

0863 - 1 CRF00414 Cell Modem/NSM Enclosure mounting Location

0869 - 0 BCC Pilot Installation Guide Redlines

0896 - 0 Existing Electrical Service Loading and Demand Factors Evaluation

0897 - 0 Partnering Facilitator Identification

0898 - 0 PTC Safety Plan Appendix W - PTC Data Captured in Event Recorder

0899 - 0 Event Recorders

0899 - 1 Event Recorders

0891 - 0 PTC Safety Plan Appendix U - NCTD Safety Case for WIU by Vendor

0889 - 0 Secure Access Control System (ACS)

0892 - 0 Update FRA Documents as required

0893 - 0 Proposed Electrical Service Loading and Demand Factors Evaluation

0894 - 0 Software Configuration Management Plan

0895 - 0 Existing Vehicle Electrical Loading and Demand Factors Evaluation

0880 - 1 Final BCC Schematic


0883 - 0 BCC Pilot Installation Inbound/Outbound Test Vehicle #2304

0885 - 0 NCTD Railroad MTEA Definition (PTCSP Appendix II)

0875 - 1 BCC Pilot BOM Redlines

0879 - 0 Final BCC Installation Guide





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, 2014.

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

0907 - 0 Configuration Control Management Plan - Change Control Board Training

0908 - 0 Locomotive/Cab-Car Inbound/Outbound Inspection and Test

0922 - 0 90% Design - Santa Fe Depot Communications Shelter WiFi Equipment M.P. 267.5

0925 - 0 Final F59 Locomotive Schematic

0926 - 0 Final F59 Locomotive Installation Guide

0927 - 0 Final F59 Locomotive BOM

0932 - 0 Enclosures, Enclosure Panels, and Hardware and Equipment Layout

0933 - 0 Route Intersection Locations to the Existing Signal System

0940 - 0 Project Schedule Update August 2014

0904 - 0 Project Schedule Update July 2014


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

9/30/2014


PROJECT STATUS


06/10/2013




Encumbered $0


Description Contract Amount Date ExecutedOriginal Contract Value $1,068,136 29-Nov-12



Change order 003 $52,260 27-Feb-13

Change order 004 $43,078 2-Oct-13

CONTRACTOR/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.

Closed

Fiber test results reviewed with no discrepancies noted.

NTP


PROJECT NAME CONTRACTOR/CONSULTANTNorth COASTER Fiber The Fishel Company


Table 5.4: South COASTER Fiber; NCTD PO#13020

9/30/2014


PROJECT STATUS


09/30/2013

01/28/2014

05/15/2014

11/14/2014




Encumbered $479,478


Description 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-13

Change order 003 $0 18-Sep-13


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



PROJECT 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-Going

Change Order 11 and 12, both being a no-cost time extension, have been issued to extend the project to allow MP Nexlevel to finish the job.

Previous reports described the status of the project as being nearly complete. However, during the final testing process in July it became apparent that most of the 72 pair fiber had failed the test. Upon further investigation it was determined that the fiber was damaged beyond repair and had to be re-installed. As a result, MP is in the process of re-installing the damaged fiber which will add two and a half more months to their previous completion date of 8/8/2014 to a new completion date of 10/25/2014. The project is currently 95% complete.

Contract Completion

Change Order 12 Contract completion



Fiber Optic Splice Closure - FOSC 450 B6 Closure

As-Builts drawings

Original Contract NTP

Amendment 1 NTP

Amendment 1 Contract completion


Table 5.5: San Diego Fiber; NCTD PO#13035

9/30/2014


PROJECT STATUS


05/16/2014


Contract Amount $187,037

Spent to Date $185,115

Encumbered $1,922


Description Contract Amount Date ExecutedOriginal Contract Value $161,569 3-Oct-13

Change Order 001 $0.00 26-Dec-13

Change Order 002 $22,914.15 3-Feb-14

Change Order 003 $26,011.08 10-Feb-14

Change Order 004 -$29,226.47 7-Aug-14

Change Order 005 $5,769.49 7-Aug-14

Change Order 006 $3,358.70 25-Apr-14





PROJECT NAME CONTRACTOR/CONSULTANTSan Diego Fiber The Fishel Company

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-Out

All construction activity was completed on May 16,2014. The contract is in the process of being closed, awaiting resolution of as-built discrepancy.

None

NTP

Contract Completion




Table 5.6: Centralized Traffic Control; NCTD PO#10054

9/30/2014


PROJECT STATUS


02/20/2012




Encumbered $539,411


Description Contract Amount Date ExecutedContract Value $1,912,815 21-Jan-11

Change order 001 $497,684 8-Jul-11

Change order 002 - 8-Jul-11

Change order 003 $46,140 14-Sep-11

Change order 004 $49,834 8-Dec-11


Change order 006 $3,652 24-Apr-13


NTP


PROJECT NAME CONTRACTOR/CONSULTANTCentralized Traffic Control HTSI

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

Close-Out

Final acceptance completed. Software license agreement is under continuing review. HTI is handling all future changes to TMDS, per HTSI maintenance agreement.This contract is complete and is in the process of being closed.

Contract Completion1

1Note: Date reflects PTC portion of purchase order

Overall Contract 79%

None


Table 5.7: Centralized Traffic Control System Design; NCTD PO#29314

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

9/30/2014


PROJECT STATUS


12/31/2015




Encumbered $88,006


Description Contract Amount Date ExecutedOriginal Contract Value $323,633 18-May-12


NTP


PROJECT 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-Out

This contract is complete and is in the process of being closed.

Contract Completion


None

9/30/2014


PROJECT STATUS


12/31/2015




Encumbered $21


Description Contract Amount Date ExecutedOriginal Contract Value $136,461 11-Apr-12


NTP


PROJECT 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-Out

This contract is complete and is in the process of being closed.

Contract Completion


None


Table 5.9: Design Support During Construction; NCTD PO#29895

9/30/2014


PROJECT STATUS


12/31/2015




Encumbered $974,511


Description Contract Amount Date ExecutedContract Value $2,325,000 8-Nov-11



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.

Contract Completion


None

NTP


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

9/30/2014


PROJECT STATUS


05/12/2016




Encumbered $0


Description Contract Amount Date ExecutedContract Value $351,307 13-May-11



PROJECT NAME CONTRACTOR/CONSULTANTCentralized Traffic Control & Operations Control Center (OCC) Support Services

Macro Corp.

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

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.

Task 1 CTC: Final acceptance is underway.

Contract Completion


None

NTP


Table 5.11: Engineering Support Services; NCTD PO#29935

Table 5.12: Configuration Management Software; NCTD PO#12024

9/30/2014


PROJECT STATUS


12/31/2015




Encumbered $3,391,745


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

Amendment 1 $4,917,340 4-Mar-14


NTP

Contract Completion


13035OS Closeout Documents


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-Going

HNTB 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, 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.

9/30/2014


PROJECT STATUS


09/05/2017




Encumbered $327,421


Description Contract Amount Date ExecutedOriginal Contract Value $688,119 5-Sep-12


NTP

Contract Completion


None


PROJECT NAME CONTRACTOR/CONSULTANTConfiguration Management Software RailCar Management

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

On-Going

RailDOCS 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.


Table 5.13: Environmental Support Services; NCTD PO#30475

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

9/30/2014


PROJECT STATUS


12/31/2015




Encumbered $489,691


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

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


A biologist was present on the South Fiber construction site, monitoring while a boring was being drilled at Solana Beach. No other environmental issues or work window constraints are present. BRG and the construction teams will continue to monitor the development of the project plans during completion of the construction work.

NTP

Contract Completion


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-Going

BRG is reviewing the South Fiber completion.

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

9/30/2014


PROJECT STATUS


10/1/2013




Encumbered $0



CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIODNone

NTP

Contract Completion


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

Closed

This contract has been closed.


PROJECT 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

9/30/2014


PROJECT STATUS


10/1/2013




Encumbered $0




Contract Completion


None

NTP


PROJECT 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.

Closed

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

9/30/2014


PROJECT STATUS


3/31/2013




Encumbered $0


Description Contract Amount Date ExecutedContract Value $170,799 21-Sep-12


Contract Completion


None

NTP


PROJECT 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).

Closed



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

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

9/30/2014


PROJECT STATUS


3/31/2013




Encumbered $0


Description Contract Amount Date ExecutedOriginal Contract Value $3,880 21-Sep-12


Contract Completion


None

NTP


PROJECT NAME CONTRACTOR/CONSULTANTPTC Lab Install (Task 2) Datel Systems

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

Closed


9/30/2014


PROJECT STATUS


3/31/2013


Contract Amount -

Spent to Date -

Encumbered -


Description 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 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.

Closed



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

Table 5.20: TMDS Network Extension; NCTD PO#30729

9/30/2014


PROJECT STATUS


3/31/2013




Encumbered $0


Description Contract Amount Date ExecutedOriginal Contract Value $12,000 21-Jun-12


Contract Completion


None

NTP


PROJECT NAME CONTRACTOR/CONSULTANTTask Order: PTC Lab Cabling Datel Systems

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

Closed


9/30/2014


PROJECT STATUS


4/26/2013




Encumbered $0


Description Contract Amount Date ExecutedOriginal Contract Value $76,233 6-Mar-13


Contract Completion


None

NTP


PROJECT 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.

Closed



Table 5.21: PTC Signal Maintainer & WIU Installation; NCTD PO#30073

9/30/2014


PROJECT STATUS

CONTRACT DATES 3/2/2012

6/30/2013




Encumbered $277,418


Description Contract Amount Date ExecutedContract Value $367,875 2-Mar-12

Change order 001 $232,431 4-Mar-14

CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIODNone.

Contract Completion


NTP


PROJECT NAME CONTRACTOR/CONSULTANTPTC Signal Maintainer & WIU Installation TASI

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-Going

This work was completed in June.


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

9/30/2014


PROJECT STATUS


07/12/2014

08/29/2014




Encumbered $293,550


Description Contract Amount Date ExecutedOriginal Contract Value $834,246 17-Oct-13

Change order 1 $0.00 10-Jul-14

Change order 2 $42,634.88 19-Aug-14


Upgrade Work Plan

Taylor Street HXP Work plan

Testing Reports

Cut-over Rehearsal

Pre-Test Work Plan

Change Order 01 Contract Completion



PROJECT 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.

All construction activity was completed on August 8, 2014. There are 2 outstanding changes pending HTI's submission of final costs. These changes are :- HTI’s request of the additional cost for Wabtec database changes. - HTI’s request of the additional cost for MTS flagging.

NTP


6. EXPENDITURES / FUNDING SOURCES

6.1. Expenditures Through September 2014, expenditures to date on the PTC Program total $49,623,576, or 57 percent of the project budget.

The period expenditures total $6,280,437 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 $80,161,034. 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 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 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

Projected

Costs

Current

Budget

Proposed

Budget

Difference

(increase)

decrease

Incurred Costs

to Date

9/30/2014

Open

Encumbrances

Total

Incurred &

Encumbered

Available

Budget

Pre‐Award ‐ 512554 4,009,524$ 907,437$ 4,608,367$ 5,027,085$ (418,719)$ 4,119,648$ 907,437$ 5,027,085$ ‐$

Post‐Award 83,283,445$ 36,761,956$ 82,684,602$ 82,265,884$ 418,718$ 45,503,928$ 17,767,078$ 63,271,005$ 18,994,878$

Phase 1: System Development ‐ 512555 7,949,248$ ‐$ 7,949,248$ 7,949,248$ ‐$ 7,949,248$ ‐$ 7,949,248$ ‐$

Phase 2 ‐ 512556 30,270,426$ 14,050,531$ 25,879,840$ 32,833,725$ (6,953,885)$ 18,783,195$ 10,696,276$ 29,479,471$ 3,354,255$

Non Prime Post Award Costs ‐ 512557 28,821,212$ 17,364,388$ 37,790,418$ 36,041,480$ 1,748,938$ 18,677,092$ 7,058,071$ 25,735,162$ 10,306,317$

OCC: Procurement, Installation, Testing,

and Implementation ‐ 51255816,242,559$ 5,347,038$ 11,065,096$ 5,441,431$ 5,623,665$ 94,393$ 12,731$ 107,124$ 5,334,307$

GRAND TOTAL 87,292,969$ 37,669,393$ 87,292,969$ 87,292,969$ ‐$ 49,623,576$ 18,674,515$ 68,298,091$ 18,994,878$


7. PROJECT PHOTOS

NCTD Purchase Order 11046: PTC for the LOSSAN Corridor

During the months of July, August and September 2014, the following photos were taken during construction:

PTC for the LOSSAN corridor – DC converter install at CP Morena – July 09, 2014

PTC for the LOSSAN corridor – Mounting the CISCO switch with extra ports at CP Miramar – July 11, 2014

PTC for the LOSSAN corridor – Installed Wago blocks, DC/DC converter and breakers at CP Ash – July 15, 2014

PTC for the LOSSAN corridor – Installing tower at CP Swami – August 27, 2014


PTC for the LOSSAN corridor – Tagging at Escondido Jct.– August 27, 2014

PTC for the LOSSAN corridor – Screw type tower install at MP 254 – September 04, 2014

PTC for the LOSSAN corridor – PTC code verification at CP Convair – July 21, 2014

PTC for the LOSSAN corridor – Testing PTC codes at CP Sorrento Valley – July 23, 2014


NCTD Purchase Order 13020: South COASTER Fiber

During the month of July, August and September 2014, the following photos were taken during construction:

South COASTER Fiber Project – Fiber push at Solana Beach station – July 15, 2014

South COASTER Fiber Project – Fiber install at Sorrento Valley, MP 249.0 – July 22, 2014

South COASTER Fiber Project – Pouring concrete north of Lomas Santa Fe station – July 25, 2014

South COASTER Fiber Project – Splice tray at Solana Beach station – August 05, 2014


South COASTER Fiber Project – 72 fiber reels at MP Laydown Yard – September 12, 2014

NCTD Purchase Order 13007: CP Friar Signal Project

During the months of July and August 2014, the following photos were taken during construction:

CP Friar Signal Project – Installing shunt box at MP 264.1 – July 7, 2014

CP Friar Signal Project – Terminating express cable at Taylor Street house – MP 264.1– July 11, 2014


CP Friar Signal Project – House pulled at MP 264.1– July 15, 2014

CP Friar Signal Project – Signal LED lenses getting installed at MP 264.1 – July 17, 2014

CP Friar Signal Project – Wiring of HXP’s at CP Friar house - MP 264.1– July 22, 2014

CP Friar Signal Project – Fence completed at CP Friar house - MP 264.1 – August 14, 2014


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

FTA 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 Product Safety Plan (per FRA Subpart H) Wabtec Westinghouse Air Brake Technologies

Corporation PSR Permanent Speed Restrictions WAN Wide Area Network PTC Positive Train Control WIU Wayside Interface Unit

PTCDP PTC Development Plan WLAN Wireless Local Area Network PTCIP PTC Implementation Plan WMS Wayside Message Server PTCPVL PTC Product Vendors List WRE Wabtec Railway Electronics PTCSP PTC Safety Plan WSWS Wayside Status Message PTCSPDD PTC Safety Plan Definition Document WS Wayside Segment PTCSYS PTC System WSRS Wayside Status Relay Service PTS Positive Train Stop 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)