STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION … · thereof solely in connection with CFRC PTC which license shall be deemed assigned to the Central Florida Rail Commission upon

CFRC Positive Train Control Contract BE494, FM No. 412994-5-52-01

STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION

STANDARD WRITTEN AGREEMENT 375-040-19

PROCUREMENT OGC - 09/16 Page

1 of 8

Agreement No.: BE494

Financial Project I.D.: 412994-5-52-01

F.E.I.D. No: F47-0724077

Appropriation Bill Number(s)/Line Item Number(s) for 1st year of

contract, pursuant to s. 216.313, F.S.: HB 5001/1934B

Procurement No.: RFP-DOT-16/17-9010-GH

D.M.S. Catalog Class No.: 25174800, 25172100

BY THIS AGREEMENT, made and entered into , by and between the STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION, hereinafter called the "Department" and Xorail, Inc. o f 5011 Gate Parkway, Bldg. 100, Suite 400, Jacksonville, FL 32256 duly authorized to conduct business in the State of Florida, hereinafter called "Vendor," hereby agree as follows:

1. SERVICES AND PERFORMANCE

A. In connection with Positive Train Control for the Central Florida Rail Corridor

the Department does hereby retain the Vendor to furnish certain services, information, and itemsas described in Exhibit "A," attached hereto and made a part hereof.

B. Before making any additions or deletions to the work described in this Agreement, and before undertaking any changes or revisions to such work, the parties shall negotiate any necessary cost changes and shall enter into an Amendment covering such work and compensation. Reference herein to this Agreement shall include any amendment(s).

C. All tracings, plans, specifications, maps, computer files, and reports prepared or obtained under this Agreement, as well as all data collected, together with summaries and charts derived therefrom, shall be the exclusive property of the Department without restriction or limitation on their use. Notwithstanding the foregoing, as to all pre-existing intellectual property of Vendor in all such tracings, plans, specifications, maps, computer files, and reports, as well as in preexisting data collected, together with summaries and charts derived therefrom, which are used or otherwise connected in any way with this Agreement, the Department shall instead have a perpetual, irrevocable, royalty free, non-exclusive license for the use, , thereof solely in connection with CFRC PTC which license shall be deemed assigned to the Central Florida Rail Commission upon assignment of the agreement. Vendor’s pre-existing intellectual property in its pre-existing documents is not the exclusive property of the Department under this Agreement and the Department’s use is pursuant to the license described above. The above said documents shall be made available, upon request, to the Department at any time during the performance of such services and/or upon completion or termination of this Agreement. Upon delivery to the Department of said document(s), the Department shall become the custodian thereof in accordance with Chapter 119, Florida Statutes. The Vendor shall not copyright any material and products or patent any invention developed under this Agreement. The Department shall have the right to visit the site for inspection of the work and the products of the Vendor at any time.

D. As identified and set forth in Exhibit “A” certain final plans, documents, reports, studies, and other data prepared by the Vendor shall bear the professional's seal/signature, in accordance with the applicable Florida Statutes, Administrative Rules promulgated by the Department of Business and Professional Regulation, and guidelines published by the Department, in effect at the time of execution of this Agreement. In the event that changes in the statutes or rules create a conflict with the requirements of published guidelines, requirements of the statutes and rules shall take precedence.

E. The Vendor agrees to provide project schedule progress reports in a reasonable format acceptable to the Department and at reasonable intervals established by the Department. The Department shall be entitled at all times to be advised, at its request, as to the status of work being done by the Vendor and of the details thereof. Coordination shall be maintained by the Vendor with representatives of the Department, or of other agencies interested in the project on behalf of the Department. Either party to this Agreement may request and be granted a conference.

F. All services shall be performed by the Vendor in accordance with the Contract Documents. Adjustments of compensation and contract time because of any major changes in the work that may become necessary or desirable as the work progresses shall be subject to mutual agreement of the parties, and amendment(s) shall be entered into by the parties in accordance herewith. Reference herein to the Director shall mean the Sunrail Chief Executive Office

DocuSign Envelope ID: 676CD552-BA16-4ED4-9F78-C72048EA35DE

November 28, 2017


2 TERM:

A. The term of this Agreement shall begin on the date of execution hereof and continue through three years after the end of FDOT Funding Period provided, however, that this Agreement expires upon the expiration of the FDOT Funding Period unless the Agreement is assigned to the Central Florida Commuter Rail Commission pursuant to an assignment that effects a novation of this Agreement which releases the Department from being a party to the Agreement. The FDOT Funding Period is defined as seven years from the commencement of Revenue Service (5/4/2014). Subsequent to the execution of this Agreement by both parties, the services to be rendered by the Vendor shall commence and be completed in accordance with the option selected below.

Services shall commence upon written notice from the Department's Contract Manager and shall be completed by _May 4, 2024_or date of termination, whichever occurs first.

B RENEWALS (Select appropriate box):

____This Agreement may not be renewed.

X This Agreement may be renewed for a period that may not exceed three (3) years or the term of the original contract, whichever is longer. Renewals are contingent upon satisfactory performance evaluations by the Department and subject to the availability of funds. Costs for renewal may not be charged. Any renewal or extension must be in writing and is subject to the same terms and conditions set forth in this Agreement and any written amendments signed by the parties.

C. EXTENSIONS. In the event that circumstances arise which make performance by the Vendor impracticable or impossible within the time allowed or which prevent a new contract from being executed, the Department, in its discretion, may, upon Vendor’s written request, grant an extension of this Agreement. Extension of this Agreement shall be in writing for a period not to exceed six (6) months and shall be subject to the same terms and conditions set forth in this Agreement; provided the Department shall, grant a proportional increase in the total dollar amount based on the method and rate established herein. There shall be only one extension of this Agreement unless the failure to meet the criteria set forth in this Agreement for completion of this Agreement is due to events beyond the control of the Vendor.

It shall be the responsibility of the Vendor to ensure at all times that sufficient time remains in the Project Schedule within which to complete services on the project. In the event there have been delays which would affect the project completion date, the Vendor shall submit a written request to the Department which identifies the reason(s) for the delay and the amount of time related to each reason. The Department shall review the request and make a determination as to granting all or part of the requested extension. Any disagreements related to requested extension, resulting from such delays, shall be subject to the Disputes Resolution clause.

3. COMPENSATION AND PAYMENT

A. Payment shall be made only after receipt and approval of goods and services unless advance payments are authorized by the Chief Financial Officer of the State of Florida under Chapters 215 and 216, Florida Statutes. Deliverable(s) must be received and accepted in writing by the Contract Manager on the Department's invoice transmittal forms prior to payment. If the Department determines that the performance of the Vendor is not in compliance with the contract the Department shall notify the Vendor of the deficiency to be corrected, which correction shall be made within a time-frame to be specified by the Department. The Vendor shall, within five days after notice from the Department, provide the Department with a corrective action plan describing how the Vendor will address all issues of contract non-performance, unacceptable performance, failure to meet the minimum performance levels, deliverable deficiencies, or contract noncompliance. If the corrective action plan is unacceptable to the Department, the Vendor shall be assessed a non-performance retainage equivalent to 10% of the total invoice amount. The retainage shall be applied to the invoice for the then-current billing period. The retainage shall be withheld until the vendor resolves the deficiency. If the deficiency is subsequently resolved, the Vendor will bill the Department for the retained amount during the next billing period. If the Vendor is unable to resolve the deficiency, the funds retained will be forfeited at the end of the agreement period. For purposes of this paragraph only, “the end of the agreement period” shall separately apply to the Departments term and the Commissions term upon assignment to the Commission.

B. If this Agreement involves units of deliverables, then such units must be received and accepted in writing by the Contract Manager prior to payments.



C. Bills for fees or other compensation for services or expenses shall be submitted in detail sufficient for a proper preaudit and postaudit thereof.

D. The bills for any travel expenses, when authorized by terms of this Agreement and by the Department's Project Manager, shall be submitted in accordance with Section 112.061, Florida Statutes. In addition, if compensation for travel is authorized under this Agreement and by the Department's Project Manager, then the Department shall not compensate the Vendor for lodging/hotel expenses in excess of $150.00 per day (excluding taxes and fees). The Vendor may expend their own funds to the extent the lodging/ hotel expense exceeds $150.00 per day. The Department, in its sole discretion and pursuant to its internal policies and procedures, may approve compensation to the Vendor for lodging/hotel expenses in excess of $150.00 per day.

E. Vendors providing goods and services to the Department should be aware of the following time frames. Upon receipt, the Department has five (5) working days to inspect and approve the goods and services, unless otherwise specified herein. The Department has twenty (20) days to deliver a request for payment (voucher) to the Department of Financial Services. The twenty (20) days are measured from the latter of the date the invoice is received or the goods or services are received, inspected and approved.

F. If a payment is not available within forty (40) days, a separate interest penalty as established pursuant to Section 215.422, Florida Statutes, shall be due and payable, in addition to the invoice amount, to the Vendor. Interest penalties of less than one (1) dollar shall not be enforced unless the Vendor requests payment. Invoices which have to be returned to a Vendor because of Vendor preparation errors shall result in a delay in the payment. The invoice payment requirements do not start until a properly completed invoice is provided to the Department.

G. The State of Florida, through the Department of Management Services, has instituted MyFloridaMarketPlace, a statewide eProcurement system. Pursuant to Section 287.057(22), Florida Statutes, all payments shall be assessed a transaction fee of seven-tenths of one percent (.70%) which the Vendor shall pay to the State. For payments within the State accounting system (FLAIR or its successor), the transaction fee shall, when possible, be automatically deducted from payments to the Vendor. If automatic deduction is not possible, the Vendor shall pay the transaction fee pursuant to Rule 60A-1.031 (2), Florida Administrative Code. By submission of these reports and corresponding payments, Vendor certifies their correctness. All such reports and payments shall be subject to audit by the State or its designee. The Vendor shall receive a credit for any transaction fee paid by the Vendor for the purchase of any item(s) if such item(s) are returned to the Vendor through no fault, act, or omission of the Vendor. Notwithstanding the foregoing, a transaction fee is non-refundable when an item is rejected or returned, or declined, due to the Vendor's failure to perform or comply with specifications or requirements of the Agreement. Failure to comply with these requirements shall constitute grounds for declaring the Vendor in default and recovering reprocurement costs from the Vendor in addition to all outstanding fees. VENDORS DELINQUENT IN PAYING TRANSACTION FEES MAY BE EXCLUDED FROM CONDUCTING FUTURE BUSINESS WITH THE STATE.

H. A vendor ombudsman has been established within the Department of Financial Services. The duties of this individual include acting as an advocate for vendors who may be experiencing problems in obtaining timely payment(s) from a state agency. The Vendor Ombudsman may be contacted at (850) 413-5516.

I. Records of costs incurred under terms of this Agreement shall be maintained and made available upon request to the Department at all times during the period of this Agreement and for three (3) years after final payment for the work pursuant to this Agreement is made. Copies of these documents and records shall be furnished to the Department upon request. Records of costs incurred shall include the Vendor's general accounting records and the project records, together with supporting documents and records of the Vendor and all subcontractors performing work on the project, and all other records of the Vendor and subcontractors considered necessary by the Department for a proper audit of project costs.

J. The Department, during any fiscal year, shall not expend money, incur any liability, or enter into any contract which, by its terms, involves the expenditure of money in excess of the amounts budgeted as available for expenditure during such fiscal year. Any contract, verbal or written, made in violation of this subsection is null and void, and no money may be paid on such contract. The Department shall require a statement from the comptroller of the Department that funds are available prior to entering into any such contract or other binding commitment of funds. Nothing herein contained shall prevent the making of contracts for periods exceeding one (1) year, but any contract so made shall be executory only for the value of the services to be rendered or agreed to be paid for in succeeding fiscal years. Accordingly, the Department's performance and obligation to pay under this Agreement is contingent upon an annual appropriation by the Legislature.

4. INDEMNITY AND PAYMENT FOR CLAIMS



A. INDEMNITY: To the extent permitted by Florida Law, the Vendor shall indemnify and hold harmless the Department, its officers and employees from liabilities, damages, losses, and costs, including, but not limited to, reasonable attorney's fees, to the extent caused by negligence, recklessness, or intentional wrongful misconduct of the Vendor and persons employed or utilized by the Vendor in the performance of this Agreement. Vendor shall not indemnify and hold harmless the Department, its officer and employees for personal injury or property damage resulting from the operation of the Department's trains except to the extent caused by the negligence, recklessness, or intentional wrongful misconduct of the Vendor and persons employed or utilized by the Vendor in the performance of this Agreement. Vendor shall not indemnify and hold harmless the Department, its officers and employees from liabilities, damages, losses and costs, including, but not limited to, reasonable attorney's fees, to the extent caused by the negligence, recklessness, or intentional wrongful misconduct of the Department and persons employed or utilized by the Department in the performance of this Agreement.

THIRD PARTIES: It is specifically agreed between the parties executing this Agreement that it is not intended by any of the provisions of any part of the Agreement to create in the public or any member thereof, a third party beneficiary hereunder, or to authorize anyone not a party to this Agreement to maintain a suit for personal injuries or property damage pursuant to the terms or provisions of this Agreement.

PAYMENT FOR CLAIMS: The Vendor guaranties the payment to its subcontractors or suppliers of all just claims for payment for materials, supplies, tools, or labor against the Vendor or any subcontractor, in connection with the Agreement. The Department's final acceptance and payment does not release the Vendor's bond until all such claims are paid or released.

B. LIABILITY INSURANCE.

Insurance requirements are addressed in the Special Provisions section of this agreement.

N/A No general liability insurance is required.

N/A The Vendor shall carry and keep in force during the term of this Agreement, a general liability insurance policy or policies with a company or companies authorized to do business in Florida, affording public liability insurance with a combined bodily injury limits of at least $ 200,000 per person and $ _______ each occurrence, and property damage insurance of at least $_____________ for the services to be rendered in accordance with this Agreement

N/A The Vendor shall have and maintain during the term of this Agreement, a professional liability insurance policy or policies or an irrevocable letter of credit established pursuant to Chapter 675 and Section 337.106, Florida Statutes, with a company or companies authorized to do business in the State of Florida, affording liability coverage for the professional services to be rendered in accordance

with this Agreement in the amount of $ .

C. WORKERS' COMPENSATION. The Vendor shall also carry and keep in force Workers' Compensation insurance as required for the State of Florida under the Workers' Compensation Law.

D. PERFORMANCE AND PAYMENT BOND. (Select as appropriate):

N/A No Bond is required.

X Bond is Required: Prior to commencement of any services pursuant to this Agreement and at all times during the FDOT Funding Period including extensions, the Vendor will supply to the Department and keep in force a Performance and Payment bond in the full amount of the contract provided by a surety authorized to do business in the State of Florida, payable to the Department and conditioned for the prompt, faithful, and efficient performance of this Agreement according to the terms and conditions hereof and within the time periods specified herein, and for the prompt payment of all persons furnishing labor, materials, equipment, and supplies therefor. Upon the assignment of the contract the Vendor shall make available to the Commission a Performance and Payment bond in the amount of the Optional Hosting Services, upon the Commissions authorization of continued services as described in Exhibit B – Section 2.1.4.

E. CERTIFICATION. With respect to any general liability insurance policy required pursuant to this Agreement, all such policies shall be issued by companies licensed to do business in the State of Florida. The Vendor shall provide to the Department certificates showing the required coverage to be in effect with endorsements showing the Department to be an additional insured prior to commencing any work under this Contract. Policies that include Self Insured Retention (SIR) will not be accepted. The certificates and policies shall provide that in the event of any material change in or cancellation of the



policies reflecting the required coverage, thirty days advance notice shall be given to the Department or as provided in accordance with Florida law.

5. COMPLIANCE WITH LAWS

A. As it applies to the Contract documents, the Vendor shall allow public access to all documents, papers, letters or other material subject to the provisions of Chapter 119, Florida Statutes. Specifically, the Vendor shall: (1). Keep and maintain public records required by the Department to perform the service.

(2). Upon request from the Department's custodian of public records, provide the Department with a copy of the requested records or allow the records to be inspected or copied within a reasonable time at a cost that does not exceed the cost provided in Chapter 119, Florida Statutes, or as otherwise provided by law.

(3). Ensure that public records that are exempt or confidential and exempt from public records disclosure requirements are not disclosed except as authorized by law for the duration of the Agreement term and following completion of the Agreement if the Vendor does not transfer the records to the Department.

(4). Upon completion of the Agreement, transfer, at no cost, to the Department, all public records in possession of the Vendor or keep and maintain public records required by the Department to perform the service. If the Vendor transfers all public records to the Department upon completion of the Agreement, the Vendor shall destroy any duplicate public records that are exempt or confidential and exempt from public records disclosure requirements. If the Vendor keeps and maintains public records upon completion of the Agreement, the Vendor shall meet all applicable requirements for retaining public records. All records stored electronically must be provided to the Department, upon request from the Department's custodian of public records, in a format that is compatible with the information technology systems of the Department.

Failure by the Vendor to comply with Chapter 119, Florida Statutes, shall be grounds for immediate unilateral cancellation of this Agreement by the Department

IF THE VENDOR HAS QUESTIONS REGARDING THE APPLICATION OF CHAPTER 119, FLORIDA STATUTES, TO THE VENDOR'S DUTY TO PROVIDE PUBLIC RECORDS RELATING TO THIS AGREEMENT, CONTACT THE CUSTODIAN OF PUBLIC RECORDS AT:

District 5 Florida Department of Transportation, District 5 - Office of General Counsel, 719 South Woodland Blvd., Deland, FL 32720, (386) 943-5000, [email protected]

TRADE SECRETS: If the Vendor believes that any document, communication, information or other material

provided to the Department, electronically or otherwise (“Vendor Submissions”) is a trade secret which is confidential or exempt from public records production under Florida law, the following provisions will apply:

a. Vendor must separately mark each Vendor Submission it deems to be a trade secret/confidential as “Trade

Secret/Confidential”. b. Except in the event of a public records request, the Department will not distribute Vendor Submissions so

marked to anyone other than the people that the Department reasonably believes have a need to have

them in connection with this Agreement. All people to whom any such Vendor Submissions is distributed will be advised that the Vendor has claimed them as trade secrets and be told that they are obligated to

comply with the provisions of this Agreement with regard to the use and distribution thereof. c. If the Department receives a public records request for any Vendor Submission that is properly marked as

a trade secret in accordance with these provisions, the requestor will be advised that the Vendor claims



them to be trade secrets and to be confidential and exempt from production under the Florida public records law.

d. If the requestor, once so advised, does not voluntarily, without request, withdraw the public records request, the Department shall notify the Vendor within 1 (one) business day that a public records request has been

made and the Vendor shall, within 10 (ten) business days from the notice, either withdraw its claim of trade secret protection or file suit in a court of competent jurisdiction requesting relief to protect the Vendor Submission from production, which request for relief may include a request for emergency temporary relief.

The Vendor shall seek an immediate hearing on its request for emergency temporary relief. The Department shall be immediately provided with copies of all documents filed in the suit. If the Vendor does

not timely file suit as required hereby, the Department may, without waiving its rights to produce pursuant to subparagraph e below, file suit to request a determination as to whether the Vendor Submission(s)

constitute trade secrets under Florida law and Vendor agrees to comply with all orders or judgments entered therein.

e. If the Vendor fails to materially comply with the requirement of these provisions, or if the court fails to grant

the Vendor’s request for emergency temporary relief, the Vendor’s claim of trade secret protection for the Vendor Submission(s) that are the subject matter of the public records request shall be deemed to be

waived and withdrawn and the Department may produce such Vendor Submission(s) in compliance with the public records request. Vendor further acknowledges that the actions required of Vendor hereunder constitute reasonable efforts to protect its trade secrets. The Department may also act in accordance with

any order or judgment entered by the court and Vendor waives and releases the Department and its officers, agents, employees and contractors from any and all claims of Vendor of any nature whatsoever related to

or arising out of acts taken in accordance with any such order or judgment.

B. The Vendor agrees that it shall make no statements, press releases or publicity releases concerning this Agreement or its subject matter or otherwise discuss or permit to be disclosed or discussed any of the data or other information obtained or furnished in compliance with this Agreement, or any particulars thereof, during the period of the Agreement, without first notifying the Department's Contract Manager and securing prior written consent. The Vendor also agrees that it shall not publish, copyright, or patent any of the data developed under this Agreement, it being understood that such data or information are works made for hire and the property of the Department.

C. The Vendor shall comply with all federal, state, and local laws and ordinances applicable to the work or payment for work thereof, and will not discriminate on the grounds of race, color, religion, sex, national origin, age, or disability in the performance of work under this Agreement.

D. If the Vendor is licensed by the Department of Business and Professional Regulation to perform the services herein contracted, then Section 337.162, Florida Statutes, applies as follows:

(1) If the Department has knowledge or reason to believe that any person has violated the provisions of state professional licensing laws or rules, it shall submit a complaint regarding the violations to the Department of Business and Professional Regulation. The complaint shall be confidential

(2) Any person who is employed by the Department and who is licensed by the Department of Business and Professional Regulation and who, through the course of the person's employment, has knowledge to believe that any person has violated the provisions of state professional licensing laws or rules shall submit a complaint regarding the violations to the Department of Business and Professional Regulation. Failure to submit a complaint about the violations may be grounds for disciplinary action pursuant to Chapter 455, Florida Statutes, and the state licensing law applicable to that licensee. The complaint shall be confidential.

(3) Any complaints submitted to the Department of Business and Professional Regulation are confidential and exempt from Section 119.07(1), Florida Statutes, pursuant to Chapter 455, Florida Statutes, and applicable state law.

E. The Vendor covenants and agrees that it and its employees and agents shall be bound by the standards of conduct provided in applicable law and applicable rules of the Board of Business and Professional Regulation as they relate to work performed under this Agreement. The Vendor further covenants and agrees that when a former state employee is employed by the Vendor, the Vendor shall require that strict adherence by the former state employee to Sections 112.313 and 112.3185, Florida Statutes, is a condition of employment for said former state employee. These statutes will by reference be made a part of this Agreement as though set forth in full. The Vendor agrees to incorporate the provisions of this



paragraph in any subcontract into which it might enter with reference to the work performed pursuant to this Agreement.

F. A person or affiliate who has been placed on the convicted vendor list following a conviction for a public entity crime may not submit a bid, proposal, or reply on a contract to provide any goods or services to a public entity, may not submit a bid, proposal, or reply on a contract with a public entity for the construction or repair of a public building or public work, may not submit bids, proposals, or replies on leases of real property to a public entity, may not be awarded or perform work as a contractor, supplier, subcontractor, or consultant under a contract with any public entity, and may not transact business with any public entity in excess of the threshold amount provided in Section 287.017, Florida Statutes, for CATEGORY TWO for a period of thirty-six (36) months following the date of being placed on the convicted vendor list.

G. An entity or affiliate who has been placed on the discriminatory vendor list may not submit a bid, proposal, or reply on a contract to provide any goods or services to a public entity, may not submit a bid, proposal, or reply on a contract with a public entity for the construction or repair of a public building or public work, may not submit bids, proposals, or replies on leases of real property to a public entity, may not be awarded or perform work as a contractor, supplier, subcontractor, or consultant under a contract with a public entity, and may not transact business with any public entity.

H. The Department shall consider the employment by any vendor of unauthorized aliens a violation of Section 274A(e) of the Immigration and Nationality Act. If the Vendor knowingly employs unauthorized aliens, such violation shall be cause for unilateral cancellation of this agreement.

I. The Vendor agrees to comply with the Title VI Nondiscrimination Contract Provisions, Appendices A and E, available at http://www.dot.state.fl.us/procurement/index.shtm, incorporated herein by reference and made a part of this Agreement. Pursuant to Section 216.347, Florida Statutes, the vendor may not expend any State funds for the purpose of lobbying the Legislature, the judicial branch, or a state agency.

K. The Vendor agrees to comply with s.20.055(5), Florida Statutes, and to incorporate in all subcontracts the obligation to comply with s.20.055(5), Florida Statutes.

6. TERMINATION AND DEFAULT

A. This Agreement may be canceled by the Department in whole or in part at any time the interest of the Department requires such termination. The Department reserves the right to terminate or cancel this Agreement in the event an assignment be made for the benefit of creditors.

B.

If the Department determines that the performance of the Vendor is in material breach with the Contract the Department shall notify the Vendor of the material deficiency with a requirement that the Vendor shall provide a recovery plan and commence in the correction of the material deficiency within fifteen (15) business days, otherwise the Agreement will be subject to termination if the Vendor fails to demonstrate progress to correct the material deficiency.

C. If the Agreement is terminated before performance is completed, the Vendor shall be paid only for that work performed within the requirements of the Contract for which costs can be substantiated. Such payment, however, may not exceed an amount which is the same percentage of the agreement price as the amount of work satisfactorily completed is a percentage of the total work called for by this Agreement. All work in progress shall become the property of the Department and shall be turned over promptly by the Vendor. The Vendor shall retain ownership rights to all PTC Software Products unless otherwise specified in this agreement.

D. For Contracts $1,000,000 and greater, if the Department determines the Contractor submitted a false certification under Section 287.135(5) of the Florida Statutes, or if the Contractor has been placed on the Scrutinized Companies with Activities in the Sudan List, the Scrutinized Companies with Activities in the Iran Petroleum Energy Sector List, or the Scrutinized Companies that Boycott Israel List, the Department shall either terminate the Contract after it has given the Contractor notice and an opportunity to demonstrate the Department's determination of false certification was in error pursuant to Section 287.135(5)(a) of the Florida Statutes, or maintain the Contract if the conditions of Section 287.135(4) of the Florida Statutes are met.

7. ASSIGNMENT AND SUBCONTRACTS

A. The Vendor shall maintain an adequate and competent staff so as to enable the Vendor to timely perform under this Agreement and may associate with it such subcontractors, for the purpose of its services hereunder, without additional cost to the Department, other than those costs within the limits and terms of this Agreement. The Vendor is fully responsible for satisfactory completion of all



subcontracted work. The Vendor, however, shall not sublet, assign, or transfer any work under this Agreement to other than subcontractors specified in the proposal, bid, and/or Agreement without the written consent of the Department.

B. Select the appropriate box:

X The following provisions are not applicable to this Agreement:

N/A The following provision is hereby incorporated in and made a part of this Agreement: It is expressly understood and agreed that any articles that are the subject of, or required to carry out this Agreement shall be purchased from a nonprofit agency for the blind or for the severely handicapped that is qualified pursuant to Chapter 413, Florida Statutes, in the same manner and under the same procedures set forth in Section 413.036(1) and (2), Florida Statutes; and for purposes of this Agreement the person, firm, or other business entity (Vendor) carrying out the provisions of this Agreement shall be deemed to be substituted for the state agency (Department) insofar as dealings with such qualified nonprofit agency are concerned. RESPECT of Florida provides governmental agencies within the State of Florida with quality products and services produced by persons with disabilities. Available pricing, products, and delivery schedules may be obtained by contacting:

RESPECT 2475 Apalachee Pkwy Tallahassee, Florida 32301-4946 Phone: (850)487-1471

N/A The following provision is hereby incorporated in and made a part of this Agreement: It is expressly understood and agreed that any articles which are the subject of, or required to carry out this Agreement shall be purchased from the corporation identified under Chapter 946, Florida Statutes, in the same manner and under the procedures set forth in Sections 946.515(2) and (4), Florida Statutes; and for purposes of this Agreement the person, firm, or other business entity (Vendor) carrying out the provisions of this Agreement shall be deemed to be substituted for this agency (Department) insofar as dealings with such corporation are concerned. The "corporation identified" is Prison Rehabilitative Industries and Diversified Enterprises, Inc. (PRIDE). Available pricing, products, and delivery schedules may be obtained by contacting:

PRIDE Enterprises 12425 - 28th Street, North St. Petersburg, FL 33716-1826 (800)643-8459

N/A This Agreement involves the expenditure of federal funds and Section 946.515, Florida Statutes, as noted above, does not apply. However, Appendix I is applicable to all parties and is hereof made a part of this Agreement.

8. MISCELLANEOUS

A. The Vendor and its employees, agents, representatives, or subcontractors are not employees of the Department and are not entitled to the benefits of State of Florida employees. Except to the extent expressly authorized herein, Vendor and its employees, agents, representatives, or subcontractors are not agents of the Department or the State for any purpose or authority such as to bind or represent the interests thereof, and shall not represent that it is an agent or that it is acting on the behalf of the Department or the State. The Department shall not be bound by any unauthorized acts or conduct of the Vendor or its employees, agents, representatives, or subcontractors. Vendor agrees to include this provision in all its subcontracts under this Agreement.

B. All words used herein in the singular form shall extend to and include the plural. All words used in the plural form shall extend to and include the singular. All words used in any gender shall extend to and include all genders.

C. This Agreement embodies the whole agreement of the parties. There are no promises, terms, conditions, or obligations other than those contained herein, and this Agreement shall supersede all previous communications, representations, or agreements, either verbal or written, between the parties hereto

D. It is understood and agreed by the parties hereto that if any part, term or provision of this Agreement is by the courts held to be illegal or in conflict with any law of the State of Florida, the validity of the remaining portions or provisions shall not be affected, and the rights and obligations of the parties shall be construed and enforced as if the Agreement did not contain the particular part, term, or provision held to be invalid.

E. This Agreement shall be governed by and construed in accordance with the laws of the State of Florida.



F. In any legal action related to this Agreement, instituted by either party, the Vendor hereby waives any and all privileges and rights it may have under Chapter 47 and Section 337.19, Florida Statutes, relating to venue, as it now exists or may hereafter be amended, and any and all such privileges and rights it may have under any other statute, rule, or case law, including, but not limited to those grounded on convenience. Any such legal action may be brought in the appropriate Court in Leon County and in the event that any such legal action is filed by the Vendor, the Vendor hereby consents to the transfer of venue to Leon County upon the Department filing a motion requesting the same.

G. If this Agreement involves the purchase or maintenance of information technology as defined in Section 282.0041, Florida Statutes, the selected provisions of the attached Appendix II are made a part

of this Agreement.

H. The Department may grant the Vendor's employees or subconsultants access to the Department's secure networks as part of the project. In the event such employees' or subconsultants' participation in

the project is terminated or will be terminated, the Vendor shall notify the Department's project manager no later than the employees' or subconsultants' separation date from participation in the project or immediately upon the Vendor acquiring knowledge of such termination of employees' or subconsultants' participation in the project, whichever occurs later.

J. Vendor/Contractor:

1. shall utilize the U.S. Department of Homeland Security's E-Verify system to verify the employment eligibility of all new employees hired by the Vendor/Contractor during the term of the contract; and

2. shall expressly require any subcontractors performing work or providing services pursuant to the state contract to likewise utilize the U.S. Department of Homeland Security's E-Verify system to verify the employment eligibility of all new employees hired by the subcontractor during the contract term.

K. Time is of the essence as to each and every obligation under this Agreement.

L. The following attachments are incorporated and made a part of this agreement:

Exhibit "A", Scope of Services, including the Special Provisions and Form PUR 1000 (as redacted)

Exhibit "B", Method of Compensation

Exhibit "C", Required Contract Provisions for Federal Transit Administration Federal Aid Contract

Exhibit “D”, Technical Specification Positive Train Control,

Exhibit “E” Davis Bacon Wage Rate Determinations

Appendix II, Information Technology Resources,

IN WITNESS WHEREOF, the parties have executed this Agreement by their duly authorized officers on the day, month and year set forth above.

XORAIL, INC. STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION

BY: BY:

Authorized Signature Authorized Signature

Michael Choat Thomas C. Byron, P.E.

(Print/Type) (Print/Type)

Title: President ________________________ Assistant Secretary for Intermodal Systems Development

FOR DEPARTMENT USE ONLY

PROCUREMENT OFFICE LEGAL REVIEW:

_______________________________ ______________________________________


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FLORIDA DEPARTMENT OF TRANSPORTATION

EXHIBIT “A”

SCOPE OF SERVICES

POSITIVE TRAIN CONTROL SYSTEM FOR THE CENTRAL FLORIDA RAIL CORRIDOR

FPID: 412994-5-52-01


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EXHIBIT “A” SCOPE OF SERVICES

1.0 Purpose

BACKGROUND

The Department-owned corridor received the Federal Railroad Administration (FRA) alpha designation Central Florida Rail Corridor (CFRC). The CFRC consists of approximately 30 miles of single track mainline with passing sidings, and approximately 32 miles of double track mainline. The limits of the CFRC extend from MP A749.61 to MP A813.82.

In 2014, Department initiated a new commuter passenger rail service, named “SunRail”, which currently operates on 31.96 miles of the CFRC Initial Operating Segment (IOS). CSX, Florida Central Railroad (FCEN), and Amtrak operate as tenant railroads on CFRC tracks.

As part of initiating commuter service on the line, the Department added double track,

upgraded crossing warning systems, installed a new microprocessor-based CTC signal

system and constructed a new Vehicle Storage and Maintenance Facility (VSMF)

including a new Operations Control Center (OCC) with an Ansaldo NGD Computer

Aided Dispatching (CAD) system. An expansion of SunRail 17.2-miles to the south of

the IOS is currently under construction. This expansion (Phase 2 South) includes

additional double tracking, crossing warning system upgrades, a new microprocessor-

based signal system, and four new stations.

The Department is responsible for installing a PTC System including additions to the

wayside signaling system, on 11 SunRail locomotives and 13 cab cars, and for providing

a hosted Back Office System (BOS) and a communications system to support the PTC

Systems.

The Vendor shall configure, furnish, manufacture, deliver, install, integrate, test, and

place in service an FRA Type Approved I-ETMS compliant Positive Train Control

System (PTC) in accordance with 49 CFR Part 236 Subpart I for the Department. As

part of the mandated PTC Regulations, the PTC System shall provide associated

warning and enforcement to the existing system to comply with FRA CFR 236 Subpart

I.

Installation of all equipment, training and system configuration shall be completed by

December 31, 2018 in accordance with FRA requirements and regulations. The Vendor

shall request authorization from CFRC to begin integration testing of the Test Territory

for Revenue Service Demonstration, allowing adequate time for FRA reviews, to enter

into RSD prior to the fourth quarter of 2018.

This system shall provide, at a minimum, the following functionality:

a. Enforce an upper speed limit associated with Civil Speed Restrictions.

b. Enforce an upper speed limit associated with a Temporary Speed

Restrictions.


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c. Prevent overspeed derailments related to civil speed restrictions

d. Prevent overspeed derailments related to all speed restrictions.

e. Prevent overspeed derailments related to slow orders.

f. Prevent overspeed derailments related to excessive speeds over switches

and through turnouts.

g. Appropriate warning or enforcement for derails or switches that protect

access to the mainline.

h. Enforce an upper speed limit with a Mandatory Directive associated with

a credible report of a crossing failure.

i. Prevent the movement of a train through a mainline switch in the improper

position.

j. Interoperability with tenant railroads.

k. Radio Spectrum, if required.

l. Dispatch Office requirements

The scope of work includes all configuration and to furnish, manufacture, deliver, install,

integrate, test, and provide a hosted Back Office System, Back Office Services and

training as well as development and implementation of a vital PTC Safety Plan for

approval by the Federal Railroad Administration (FRA) for the entire CFRC. The Vendor

shall be required to install and implement a “turn-key” PTC system that contains the

following four main components: the Office Segment which includes a hosted Back

Office Server, the Locomotive Segment, the Wayside Segment, and the

Communications Segment. The PTC installed by the Vendor shall also be interoperable

with Amtrak and the CSXT PTC onboard systems and compatible with the Meteorcomm

ITCnet platform for wireless communications.

The Department’s Contract Manager may authorize changes in processes and/or procedures from time to time as determined by operational necessity. All such changes shall conform to the existing Agreement’s terms and to all applicable statutes and guidelines regarding the establishment and maintenance of such agreements.

2.0 Definitions

For the purpose of this Scope, whenever the following terms appear, their intent and meaning shall, unless specifically stated otherwise, be interpreted as shown below:

Department: The Florida Department of Transportation, the contracting agency.

SunRail: The commuter rail service operated along the Central Florida Rail Corridor with stations to be located in Volusia, Seminole, Orange, and Osceola counties.

Central Florida Rail Corridor (CFRC): The FRA alpha designation for the railroad corridor from MP A749.61 to MP A813.82, including the railroad right-of-way, track, signals, structures contained herein.

Vendor: The firm retained by the Department to perform the services as described herein.


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Revenue Service Demonstration: Revenue Service Demonstration (RSD) shall include the complete physical installation of all wayside and sufficient onboard hardware for operational testing, including requirements for firmware or application software and all requirements for operational functionality and completed testing of the test track, and entry into RSD on the test track as defined in the Scope of Services and Technical Specifications. Vendor has submitted its Revenue Service Demonstration (RSD) request for the test track.

Substantial Completion: Complete installation of the wayside, onboard and communication system hardware and software; complete Back Office Hosted CAD/BOS/MD/ITCM/WSRS implementation for the entire CFRC (Operational); and final Safety Plan submittals, for the portions that Wabtec is responsible for in its entirety. Fulfillment of the requirements of §236.1035 and FRA’s conditions, as well as the completion of the following testing requirements:

• Complete and verified SubDiv file • Successful completion of critical feature V&V • Successful completion Field Integration Test • Successful completion of Lab Integration End to End test

System Acceptance / Beneficial Use: The delivered PTC system for the entire CFRC has passed all regulatory requirements directly related to the scope of work. Upon completion of System Acceptance, Beneficial Use shall be established and the warranty period on the PTC System and any remaining warranted parts or services shall commence.

Final Acceptance: Vendor has completed all of the contractual obligations and deliverables, including System Acceptance. Resolution and closure of all punch list items; provided, the FDOT provides the Vendor with a final punch list 30 days after substantial completion.

3.0 General

The Department is the owner and responsible for maintenance of the entire CFRC. The

Department, as a railroad operator, is subject to review by the FRA. The Department is

responsible for procuring and implementing a PTC system on the CFRC pursuant to the

Rail Safety Improvement Act (RSIA) of 2008.

For installation of the PTC system and revenue service demonstration, the

implementation of the CFRC Test Territory by the Vendor shall occur by December 31,

2018 with a possible alternate schedule to be approved by FRA and as such to be

completed by December 31, 2020.

4.0 Vendor Responsibilities

The Vendor shall be responsible for all activities required to configure, furnish, manufacture, deliver, install, integrate, test, and training of a PTC System. Working with the Department, the Vendor shall be responsible for the functionality of the system


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segments, the interrelation amongst the system segments, and the integration of a complete PTC system.

The Vendor is fully responsible for submitting the PTC Safety Plan in support of an FRA-Certified PTC System in accordance with CFR 49 Part 236 Subpart I. The Vendor shall be fully responsible to mitigate all issues identified through the hazard analysis and risk assessment. If further development of the PTC system is required to receive unconditional system certification and obtain final FRA Approval, the Vendor shall provide additional support for achieving an unconditional PTC Certified System from the FRA, subject to a mutually agreed upon change order.

4.1 Description of Work

The PTC system includes the entire 61.35 miles of the CFRC territory. Configuration and installation will require coordination with the IOS and Phase 2 South construction and design contractors, and with the O & M contractors. Such work shall be in conformance with CFRC Operating Rules and as specified in the Technical Specification. This Project shall be constructed entirely within the limits of the right of way owned by the Department.

5.0 System Components

The vendor shall provide a complete PTC implementation that contains four main system components; the back office system, the onboard system, the wayside system, and the bi-directional communications transport system. The PTC system shall be in accordance with the PTCDP FRA Type Approved – FRA-TA-2001-02.

5.1 Back Office Segment

The Vendor shall be responsible for providing the PTC Back Office Segment as a Hosted Back Office Segment including all components required for a complete the Back Office system in accordance with the Technical Specifications.

5.2 The Locomotive Segment

The Vendor shall be responsible for providing all onboard equipment required for the Locomotive Segment including all components required for a complete Onboard PTC system in accordance with the Technical Specifications.

5.3 The Wayside Segment

The Wayside Segment shall encompass the signaling equipment including signal aspects, switches positions, and track circuits information in accordance with the Technical Specifications. The Vendor is responsible for performing all Survey and GIS Mapping required to produce an FRA accepted SubDiv file for the CFRC.

5.4 The Communication Segment

The Vendor shall be responsible for providing a Communication Segment between the Back Office Segment, the Locomotive Segment, and the Wayside Segment in accordance with the Technical Specifications.


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5.5 Computer-Aided Dispatching System (CAD)

The Vendor shall be responsible for integrating a CAD system into the PTC System, The BOS will process data provided by the CAD system to enforce restrictions placed on train movements by the Dispatchers, including but not limited to, temporary speed restriction and grade crossing speed restrictions.

5.6 Interoperability

The PTC shall be interoperable with Amtrak and CSXT PTC Locomotive

Segments and shall be compatible with the Meteorcomm ITCnet platform for

wireless communications.

6.0 Point of Contact

The Vendor shall appoint and make known to the Department the name and telephone number of the individual responsible for the successful implementation of this contract.

7.0 Training

The Vendor shall provide a comprehensive training program to ensure that all the new software, hardware, and interfaces being introduced as part of the Project are clearly documented and CFRC personnel trained so that the PTC system is easily maintainable in accordance with the Technical Specifications.

8.0 Project Requirements and Provisions for Work

8.1 Railroad Coordination

The Vendor is responsible for coordinating track outages requiring four (4) or more hours of downtime with the Department and shall provide a minimum of 60 days advance notice to the Department to enable notification to Amtrak, CSX Transportation, Inc. and FCEN of any physical signal system changes in the field required to the existing signal system. The Vendor shall be responsible for coordination, through the Department, for all interoperability testing between CFRC and its tenant railroads. The Vendor shall be responsible for assisting the Department in creating documentation required for Operating Rules and Bulletins for the implementation of the PTC System.

The Vendor shall provide all required railroad Roadway Worker Protection services for configuration and construction activities within the corridor including, but not limited to, CFRC RWP training. The Vendor shall require all personnel who are working on the CFRC to undergo background checks in accordance with the Vendor’s policies and shall be solely responsible for obtaining employee verification.

8.2 Submittals

All submittal requirements are detailed in the PTC Technical Specification.


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8.3 Staged Implementation

The Vendor shall provide all services required for FDOT to comply with the requirements of the 49 CFR Part 236, Subpart I up to and including PTC System Certification through the submission of an acceptable PTC Safety Plan and entering into Revenue Service Demonstration for all segments. The PTC technology shall be installed on the entire corridor as a complete system and shall be implemented in four phases with the Test Territory as provided below undergoing Revenue Service Demonstration by the end of 2018.

Phases of Implementation

Phases Location Mile Post (MP) Limits

Approximate Number of

Miles

Description

1 Test Territory (Within

IOS) A 761.81 – A777.60

15 Double Main Line

2 Phase 1 (IOS) A761.81 – A796.63

34 Double Main Line

3 Phase 2 South A796.63 – A813.82

17 Double Main line

4 North Extension A749.56 - A761.81

12 Single Main Line

Installation of all equipment, training and system configuration shall be completed by December 31, 2018 in accordance with FRA requirements and regulations. The Vendor shall submit to FDOT all integration testing requests. FDOT shall request authorization from the FRA to begin integration testing of the test territory and shall apply to the FRA to enter Revenue Service Demonstration prior to the fourth quarter of 2018.

Final Implementation shall be completed in accordance with FRA requirements and regulations.

9.0 Potential Additional Services

Potential additional services are herein described solely for informational purposes and are not to be included in the price for the services described in this Scope of Services. These additional services are contemplated by the Department and may or may not be provided, at the Department’s sole discretion, by Other Contractors, or the Vendor. Such services may include:

9.1 Extended Warranties

Extended Warranties may be provided as an Optional Service and shall be


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detailed in future Amendments as specified by the Department.

9.2 Maintenance Services

The maintenance of the Department’s PTC System may be performed by a PTC Maintenance Contractor who shall be responsible for maintaining the entire PTC System so as to provide safe, reliable, and on-time service. The Scope of Work shall be delineated by work area and described in detail in future Amendments as specified by the Department. Any maintenance and support of the PTC Software Products shall be conditional upon the Department negotiating and executing a supplemental agreement for the services required

10.0 Turnover Requirements A minimum of six (6) months prior to the expiration of the Term of the Contract hereunder, or, in the event of termination, within thirty (30) calendar days of the Department’s notification to Vendor of its intent to terminate the Contract, the Vendor shall provide to the Department a complete and accurate inventory of all categories of documents related to the PTC Hosting Services including but not limited to drawings, specifications, calculations, manuals, procedures, reports, and databases.

Upon expiration of the Term of the Contract hereunder, the Vendor shall remit to the Department all Support Inventory, spare parts, and consumables related to the PTC Hosting Services. The Support Inventory, spare parts and consumables shall be in a State of Good Repair. Prior to the expiration of the Term of the Contract, the Vendor shall move to the Service Property and store in a secure manner all Support Inventory, spare parts and consumables, if any, that are not located on the Service Property. The Vendor shall provide a list of repair and return items not located on the Service Property. Upon expiration of the Term of the Contract, the Vendor shall transfer possession of the Support Inventory to the Department in a State of Good Repair and shall return the Support Inventory. The Vendor shall pay the Department the fair market value, as determined by the Department, of any Support Inventory not returned in accordance with this paragraph.

Upon expiration of the Term of the Contract hereunder, the Vendor shall remove all office equipment and supplies from the Service Property used in performing the PTC Hosting Services.


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SPECIAL PROVISIONS

The following provision replace or supersede the conditions shown elsewhere in the contract documents:

Waiver of Damages In no event shall the Vendor be liable for any indirect, incidental, punitive, aggravated, exemplary, consequential or special damages or liabilities, including without limitation, damages or liabilities for lost profits, loss of use or loss of opportunity. Except as stated elsewhere in the Agreement.

Limitation of Liability Vendor’s cumulative liability (inclusive of liquidated damages) to the Department under this agreement shall be limited to 50%% of the Contract amount that has actually been paid by the Department to the Vendor under this Contract, but no less than 30%% of the Contract amount.

Liquidated Damages Liquidated damages, limited to 10% of the Contract value, shall only be claimed as a sole and exclusive remedy for delays and shall be applied toward the Maximum Liability cap set forth within the Contract. Liquidated Damages shall be limited to $3,500/day and only be assessed if delays were caused solely by Vendor Amount of Liquidated Damages: Liquidated damages are only applicable to the milestone and amount established below:

Milestone Subject to Liquidated Damages Failure to enter into Test Track Revenue Service Demonstration prior to 12/31/2018 as stated in the Definitions Section of this agreement. .

$3,500 per day

Ownership of Information and Materials

Ownership. Vendor and its affiliates own (or otherwise have the authority to license) any and all Vendor IP, including, but not limited to, any and all Intellectual Property contained in the Products. Vendor has, shall have, and shall retain, title, exclusive ownership rights and all Intellectual Property rights and other rights and interests in and to the Products and Vendor IP, in the content thereof and in the ideas and concepts embodied therein, and in any and all copies, modifications, alterations and enhancements to the Products or Vendor IP. The Department will not acquire any rights in or to the Products or Vendor IP or any of the Intellectual Property rights in the Products or Vendor IP, except for the licenses granted under the License Agreements executed by the Department, and Vendor contemporaneously with this Agreement, The Products are copyrighted by Vendor or its affiliates, are deemed trade secrets and are otherwise confidential information and proprietary to Vendor or its affiliates, and shall remain the sole and exclusive property of Vendor or its affiliates. “Intellectual Property” or “IP” means intellectual property rights, including proprietary rights arising under (i) patent law, (ii) copyright law, (iii) trademark law, (iv) design patent or industrial design law, (v)


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semiconductor chip or mask work law, or (vi) any other statutory provision or common law principle applicable to this Agreement which may provide a right in ideas, formulae, technical requirements, algorithms, concepts, inventions or know-how generally, including trade secret law, or their expression or use as well as all applications, registrations, licenses, sub-licenses, franchises, agreements or any other evidence of such proprietary right, including derivative works. “Vendor IP” means any and all Intellectual Property rights associated with, or contemplated by, this Agreement. “Products” means Vendor’s and its affiliates’ current family of train control and communications products and services and related materials and documentation (including any Vendor IP contained therein)

Software and Documentation.

All software, and certain training materials, and manuals as determined by Vendor shall only be provided under the applicable License Agreements. If the Department and the end user are not the same entity, the end user may also be obligated to enter into an applicable license agreement at Vendor’s determination; provided, however, that in the event of an assignment of this agreement to the Central Florida Commuter Rail Commission, the Commission will be deemed to be substituted for the Department as licensee under the license. Delivery of the software and the training materials, manuals and shall be subject to the execution of all such applicable licenses and Vendor shall not be liable for delay in delivery caused by failure, for any reason, to execute the applicable license. In any event, use of the software and training materials, manuals and shall be deemed to be acceptance by the Department of the applicable license agreement. The software and training materials and manuals shall be governed by the applicable license, including, but not limited to warranty, if applicable, which takes precedence over this Agreement. Updates, support, and maintenance of documentation, software and hardware are not provided under this Agreement, but will be made available to the Department immediately following the warranty period at a negotiated rate and under negotiated terms and conditions.

Delays If Vendor is delayed in the performance of the Work or in meeting any milestone in the Milestone Schedule due to an Event of Force Majeure or other reasons beyond its control. The Vendor may be allowed a time extension and equitable adjustment if delays adversely impacts Vendor’s critical path to meeting milestone requirements.Vendor must in a timely manner upon receiving knowledge of such delay give written notice thereof to the Department and furnish the Department with information concerning the cause of the delay, the approximate anticipated length of the delay. Vendor acknowledges that the time requirements and content requirements of this section have the purpose, among others, of allowing the other party to evaluate the time extension and cost impact. Disagreements about whether a delay in Vendor’s performance is due to an Event of Force Majeure or other reasons beyond its control shall be resolved by first attempting to settle the matter through discussions. If no agreement can be reached then the parties shall proceed in accordance with the dispute resolution provision.


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Suspension or Delay Caused by the Department

If the Department orders the Vendor to suspend or delay Work or if the Department is delayed in the performance of any of its obligations under this Agreement, then, Vendor shall be entitled to a time extension and equitable adjustment if delays adversely impact the Vendor’s critical path to meeting milestone requirements of the baseline critical path schedule. The Department will reimburse all substantiated costs, incurred by Vendor as a consequence of the suspension or delay, including, without limitation, costs of mobilization, demobilization, extended bond and insurance premiums, wages and salaries and other direct expenses for proper storage and protection of materials, costs associated with leased equipment and temporary facilities, liquidated damages, penalties, and contract cancellations, subject, however, to Vendor’s obligation to use commercially reasonable efforts to mitigate such costs.

Dispute Resolution

This Agreement, as well as the rights, obligations and remedies of the parties, shall be governed by the laws of the State of Florida. Any suit or action arising from this Agreement, with the exception of equitable and injunctive relief in connection with violations of intellectual property or confidentiality, shall be referred to a mediation and then to a court of appropriate jurisdiction. Nothing contained in this section or in this Agreement is a waiver of the Department’s sovereign or governmental immunity from suit and liability.

Risk of Loss for delivered commodities

As to any commodities to be delivered pursuant to this Agreement, risk of loss shall pass to the Department upon delivery. , The Department waives its recovery rights against the Vendor for any loss or damage arising from risks assumed hereunder.

Compliance with LawsVendor shall comply with all applicable federal, state, and local laws, statutes, ordinances, rules, regulations, codes and with the orders and decrees of any courts or administrative bodies or tribunals in any matter affecting the performance under this Agreement, including, without limitation, workers’ compensation laws, anti-discrimination laws, environmental laws, minimum and maximum salary and wage statutes and regulations, health and safety codes, licensing laws and regulations in effect at the time of signature of this Agreement. In the event there is a change in law, statute, regulation, or codes subsequent to the execution of this Agreement, and if due to such change Vendor is required by Florida or Federal Law to modify, update or retrofit any of the items, or re-perform any of the services, being provided hereunder, Vendor shall be entitled to a time extension and/or reasonable compensation, as applicable, to implement such corrective action.

Order of Precedence

In the event that there are any conflicting terms among the Contract Documents, or any different or additional terms are included in one Contract Document that do


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not appear in another, and such different or additional terms can reasonably be read to impose obligations that are divergent from one another, such conflicting, additional or different terms shall be disregarded, and the controlling terms shall be determined in accordance with the Order of Precedence set forth below:

Special Provisions, Included as part of Exhibit “A” Vendor Software License Agreements Department Exhibit “A”, Scope of Services, excluding Special Provisions, including the General Contract Conditions (form PUR 1000 as redacted)

Department Standard Written Agreement

Department Exhibit B – Method of Compensation

Department Exhibit “C”, Required Provisions for FTA Contracts

Department Appendix II Information Technology Resources

Termination for Convenience

The Department may terminate this Agreement at any time, with or without cause, by giving thirty (30) days’ written notice to The Vendor at its address specified in this Agreement. Such thirty-day period shall commence upon receipt of such notice by the Vendor through actual delivery in person, fax, or regular or certified mail. The thirtieth (30th) day after The Vendor’s actual receipt shall be the “Termination Date.” If the Department terminates this Agreement other than for breach by the Vendor, The Department agrees to pay the Vendor, and The Vendor agrees to stop Work as stated in the notice (which shall be no less than thirty days) and accept, The Vendor’s unpaid costs, expended, or committed as of date of notice of termination or resulting from such termination, including, without limitation, , cancellation costs due to third parties , shipping costs, and demobilization costs, and other costs substantiated by The Vendor, to the extent any such costs cannot be reasonably mitigated. Termination of this Agreement and payment of an amount in settlement as described in this section shall extinguish all rights, duties, obligations, and liabilities of The Department and the Vendor under this Agreement, and this Agreement shall be of no further force and effect, provided, however, such termination shall not act to release either party from liability for any previous default either under this Agreement or under any standard of conduct set by common law or statute and neither party shall waive any right to damages incurred by reason of the other party’s breach hereof; obligations of confidentiality shall also survive. With the exception of the costs described above and other support as mutually agreed upon, The Vendor shall not receive any compensation for Work performed after the Termination Date, and any such Work performed shall be at the sole risk and expense of The Vendor. Upon receipt of a notice of termination, subject to the above The Vendor support exceptions which may extend beyond the Termination Date, The Vendor shall: (1) stop Work under this Agreement by or before the Termination Date; (2) place no further orders or subcontracts for materials, services, or facilities, except as may be necessary for completion of such portion of the Work under this Agreement as is not terminated; (3) terminate all orders and subcontracts to the extent that they relate to the performance of Work terminated by such notice; (4) account for any property in its possession belonging to the

Department Exhibit “E" Davis Bacon Wage Rate Tables


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Department, and dispose or return of such property as directed by the Department; and (5) generally act in such manner as is necessary to mitigate and minimize the amounts payable by The Department hereunder.

Warranties

Vendor’s Warranty

Excluding items covered by any Third-Party Warranties addressed below, Vendor warrants that all products, material, supplies, and equipment provided to the Department under this Agreement or which are incorporated into or are consumed in the project in any way shall conform to all samples and shop drawings provided, shall be free from defects in materials and workmanship, and shall comply with the Specifications, subject to the Assumptions. This warranty shall apply to each component of any assembly and to any assembly as a whole. In the event a defect, malfunction, or other failure not caused by (i) misuse, neglect, accident, damage or other abuse; (ii) improper maintenance by the Department or any third party, or (iii) designs or specifications provided by the Department, Vendor shall repair the warranted item if repair can be made on site within a reasonable time from receipt of notice of the occurrence. If repair cannot be made within a reasonable time from receipt of notice of the occurrence, Vendor shall replace the warranted item on site within a reasonable time from receipt of notice of the occurrence. In determining a reasonable time for repair or replacement, matters unique to the Vendor, such as office location or availability of personnel, shall not be considered. In the event that the Department determines that public health, safety, or welfare requires temporary measures to continue safe functioning of the facility of which the warranted item is a part, Vendor shall provide temporary items or take other temporary measures as the Department deems necessary. All repairs, replacements, and temporary measures shall be at the sole cost and expense of the Vendor, without any charge to the Department. This warranty shall be for one (1) calendar year, which calendar year shall commence upon completion of Revenue Service Demonstration (“Warranty Period”).

Software Warranties. The foregoing does not apply to any software delivered by Vendor; any software warranties provided by Vendor will be addressed in the relevant Software License Agreement.

Alterations. All warranties provided by the Vendor under this Agreement shall be void as to any products, material, supplies, equipment or item supplied by Vendor that has been altered, repaired, tampered with, or attempted to be repaired by anyone other than Vendor and/or Vendor’s authorized personnel.


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Limitations.

THE EXPRESS WARRANTIES SET FORTH IN THIS SECTION (AND/OR IN ANY SOFTWARE LICENSE AGREEMENTS) SHALL BE IN LIEU OF ALL OTHER WARRANTIES, EXPRESS OR IMPLIED, INCLUDING THE IMPLIED WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE, WHICH ARE HEREBY DISCLAIMED. FURTHER, THE PARTIES UNDERSTAND AND AGREE THAT VENDOR HAS MADE NO REPRESENTATIONS OR WARRANTIES TO DEPARTMENT THAT SOFTWARE IS TO BE ERROR-FREE, TO OPERATE IN AN UNINTERRUPTED MANNER OR TO OPERATE IN COMBINATION WITH OTHER SOFTWARE NOT PROVIDED BY VENDOR. Notwithstanding anything to the contrary, the warranties set forth in this Section and in the Software License Agreements shall supersede all other warranties and warranty like language in this Agreement and all related documents.

Services Warranty. Any services provided by Vendor shall be performed in accordance with the Specifications. In the event of a breach of this warranty during the Warranty Period, Vendor shall re-perform such defective services.

Exclusive Remedy. The foregoing warranty remedies shall be Vendor’s sole and exclusive liabilities, and the Department’s sole and exclusive remedies, for Vendor’s breach of any warranty provided in this Agreement.

Warranty Conditions

The following terms and conditions shall apply to the Vendor’s warranty services:

A. Vendor shall provide hardware and software defect and failure service and technical support of all products and systems supplied under this Agreement. Vendor shall provide the Department with a telephone number to which problems can be reported 24 hours per day, 7 days per week. If the problem as characterized by the Department is sufficiently severe that the system is wholly or substantially inoperable, the Vendor shall respond to the notice of the problem within eight (8) hours of notification. The Vendor shall commence on-site remedial efforts to resolve the problem most expeditiously.

B. If the system problem, as characterized by the Department, is less severe than that described in the preceding paragraph, the Vendor has forty-eight (48) hours in which to make its initial response to the problem.


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The initial response from the Vendor shall be made by a knowledgeable technician familiar with the system and, at a minimum, shall acknowledge receipt of the Department notification and inform the Department of the steps the Vendor intends to take to resolve problem.

C. Initial on-site responses to less severe problems shall conform to the following for hardware problems:

1. A maximum 48 hour on-site response time 5 days per week for critical processors and peripherals and critical network equipment, to the extent that backup or redundant systems are functional.

2. Two (2) day on-site response time, 8 hours per day, 5 days per week for non-critical processors, peripherals, workstations, network equipment and local PC-based consoles.

3. Once a problem is demonstrated, qualified service personnel shall be dedicated to correcting the problem until the problem is resolved.

D. For software related problems for less severe problems, the response may include Technical assistance in the form of trouble-shooting or program repair and shall meet the following service levels; telephone consultation with knowledgeable personnel shall be available within 24 hours during non-business hours; the warranty period shall include regular phone support for critical and non-critical issues during regular business hours; remote troubleshooting via the remote diagnostic port shall be available within 24 hours and on-site support shall meet the same criteria as for hardware problem resolution, when deemed necessary by the Department, at no additional cost to the Department. In its sole discretion, the Department may select the Vendor-recommended method, or any other method of correcting the discrepancy or defect, and the Vendor shall correct the discrepancy or defect using the method selected by the Department. Provided the Vendor has recommended a method of correcting the discrepancy or defect that complies with this Agreement, the Department shall reimburse the Vendor for any difference in cost to the Vendor (as substantiated by the) between the selected method and the proposed method, provided that an amendment to this Agreement providing for said payment is executed prior to the beginning of the work. The Department can escalate the severity level at their discretion upon notification to the Vendor by a duly authorized manager to be identified prior to Conditional Acceptance.

E. The Vendor will have access to, and permitted to use, spare parts for initial triage during the warranty period. Any Department owned parts used for warranty purposes shall be promptly replaced with new parts or, subject to the Department written approval, with reconditioned or repaired parts.

F. Any changes in the configuration, workmanship and/or material on the PTC system as delivered shall be approved by the Department and the Vendor shall revise the affected drawings and manuals to include the


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changes. These revisions shall be submitted to the Department no more than 30 days after approval of the change.

G. Any warranty work shall be accomplished with a minimum of disruption of Department operations and its facilities. The Department will make every reasonable effort to make such facilities available to the Vendor consistent with Department operational requirements.

H. In the event the Vendor is required to perform warranty work and is unable or fails within the time prescribed to commence and diligently pursue and complete the corrective work, the Department is by this provision authorized by the Vendor, at the option of the Department and upon written notice to the Vendor, to contract with another or to use its own forces for the performance of the warranty work. The actual costs of such work, as verified by invoices and/or receipts, may be deducted from monies due, or to become due, the Vendor. If no monies are then owed the Vendor, the Department shall invoice the Vendor for such costs, and the Vendor shall either pay the invoice within 30 calendar days of its receipt of the verified costs and supporting documentation, or said monies shall be deducted from the next milestone payment due the Vendor.

Third Party Warranties

Vendor, by execution of this Agreement, assigns to the Department any and all manufacturers’ or other sellers’ warranties that come with any products, material or supplies which are incorporated into or are consumed in the project in any way. To the extent that any such warranties do not extend to subsequent purchasers or owners or such warranties contain a limitation on assignment, Vendor agrees that Vendor purchased the products, materials and supplies on behalf of the Department with the intent that the Department be the intended recipient of any warranties. All documents associated with or describing any such warranties shall be delivered to the Department along with the other project final acceptance documents and shall be deemed to be a part of the required final acceptance documentation. Vendor shall not take any action or fail to act in any way which voids any such warranties. All subcontracts shall contain a similar provision which requires subcontractors to assign any such warranties to the Department. Unless expressly waived in writing by the Department, no such assigned warranties shall expire prior to the date of expiration of the Warranty Period set forth above, nor shall it contain any terms substantially different than required under this Agreement.

Source Code Escrow

1) LICENSOR shall establish and maintain a software escrow with InnovaSafe, Inc., Iron Mountain or another similar escrow agent satisfactory to LICENSEE (the


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“Escrow Agent”). LICENSOR shall deposit in such escrow, a copy of all source code for the Licensed Software (the “Escrow Deposit”), all in a form that is machine readable and useable, and, if any portion of the Escrow Deposit is encrypted, LICENSOR shall also include in the Escrow Deposit the decryption tools and decryption keys necessary to access the same. The Escrow Deposit shall be updated from time to time and in any event not later than thirty (30) days after delivery of any enhancements, updates, upgrades, or releases of the Licensed Software. LICENSEE shall be responsible for the payment of the Escrow Agent’s fees and all costs of producing and delivering the Escrow Deposit to the Escrow Agent. LICENSEE shall have the right to have the Escrow Agent verify, at LICENSEE’s expense, the Escrow Deposit, at any time, upon reasonable notice, for its accuracy and completeness. Escrow Agent shall, at LICENSEE’s cost, provide LICENSEE a quarterly update regarding the version and release of any source code held in escrow.

2) The Escrow Deposit shall be released to LICENSEE only in the event that (a) LICENSOR materially breaches its obligations hereunder in any respect that would give rise to a lawful right of termination because of such breach (whether or not Licensee exercises such right) following a reasonable opportunity for Licensor to cure such breach, (b) Licensor is adjudicated insolvent, or consents or acquiesces to the appointment of a receiver or liquidator; (c) LICENSOR’s board of directors or a majority of its shareholders take any action authorizing the dissolution or liquidation of LICENSOR; (d) LICENSOR voluntarily or involuntarily becomes a debtor subject to proceedings under the United States Bankruptcy Code, (e) LICENSOR makes an assignment for the benefit of creditors, or a receiver is appointed for LICENSOR; (f) LICENSOR assigns, directly or indirectly (whether by merger, acquisition or otherwise) the Licensed Software to any entity considered by LICENSEE, in its sole discretion, to be a competitor; (g)LICENSOR fails to continue to do business as a going concern; and/or (h) LICENSOR elects not to offer to support the Licensed Software.

3) Any such escrow shall be documented in an escrow agreement fully incorporating the terms of this Exhibit ”E” and including such other terms and conditions required by LICENSOR or the Escrow Agent as are reasonably satisfactory to LICENSEE; including but not limited to a requirement that any escrowed materials that may be released shall only be used for the Purpose pursuant to a limited license commensurate with the applicable terms hereof.

4) All provisions in the software escrow agreement shall comply with Florida Law

DIVERSITY ACHIEVEMENT

DISADVANTAGED BUSINESS ENTERPRISE (DBE) UTILIZATION The Department, in accordance with Title VI of the Civil Rights Act of 1964, 42 USC 2000d- 2000d-4, Title 49, Code of Federal Regulations, U.S. Department of


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Transportation, Subtitle A, Office of the Secretary, Part 21, Nondiscrimination in federally-assisted programs of the Department of Transportation issued pursuant to such Act, hereby notifies all bidders that the Department will affirmatively ensure that in any contract/agreement entered into pursuant to this advertisement, minority and disadvantaged business enterprises will be afforded the full opportunity to submit bids in response to this invitation and will not be discriminated on the basis of race, color, national origin, or sex in consideration for an award.

The Department encourages DBE firms to compete for Department contractual services projects, and also encourages non-DBE and other minority contractors to use DBE firms as sub-contractors. The Department, its contractors, suppliers, and consultants shall take all necessary and reasonable steps to ensure that disadvantaged businesses have an opportunity to compete for and perform contract work for the Department in a nondiscriminatory environment. The Department shall require its contractors, suppliers, and consultants to not discriminate on the basis of race, color, national origin, religion, gender, age, or disability in the award and performance of its contracts.

Federal law requires states to maintain a database of all firms that are participating or attempting to participate in DOT-assisted contracts. To assist the Department in this endeavor, proposers are requested to submit the Bidder’s Opportunity List with their Price Proposal Sheet. The list should include yourself as well as any prospective sub-contractor that you contacted or who has contacted you regarding the project.

Proposers are requested to indicate their intention regarding DBE participation on the Anticipated DBE Participation Statement and to submit that Statement with their Price Proposal Sheet. After award of the contract resulting from this RFP, the awarded Vendor will need to complete the “Anticipated DBE Participation Statement” online through the Equal Opportunity Compliance (EOC) system within 3 business days after award of the contract. The link to access the EOC system is:https://www3.dot.state.fl.us/EqualOpportunityCompliance. This will assist the Department in tracking and reporting planned or estimated DBE utilization.

During the contract period, the Vendor will be required to report actual payments to DBE and MBE subcontractors through the web-based EOC system. All DBE payments must be reported whether or not you initially planned to utilize the company. In order for our race neutral DBE Program to be successful, your cooperation is imperative. If you have any questions, please contact [email protected].

Additional information about the EOC system can be found on the Equal Opportunity Office (EOO) website at http://www.dot.state.fl.us/equalopportunityoffice/eoc.shtm. A help manual on how to use the system will be available within the EOC application. If you have any questions or technical issues, please contact the EOO help desk at [email protected].

To request certification or to locate DBEs, call the Department of Transportation’s Equal Opportunity Office at (850) 414-4747, or access an application or listing of DBEs on the Internet at www.dot.state.fl.us/equalopportunityoffice/.

INSURANCE


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The Vendor shall not commence any work until they have obtained the following types of insurance, and certificates of such insurance have been received by the Department. Nor shall the Vendor allow any subcontractor to commence work on this project until all similar insurance required of the subcontractor has been so obtained. The Vendor shall submit the required of Insurance to the Florida Department of Transportation, Procurement Office, 719 S Woodland Blvd. DeLand FL 32720 with the executed contract documents.

The insurance requirements shown in the Standard Written Agreement are replaced with the following:

General Liability

The Vendor must carry and keep in force during the period of this contract a general liability insurance policy or policies with a company authorized to do business in the state of Florida, affording public liability insurance with combined bodily injury limits of at least $1,000,000 per person and $5,000,000 each occurrence, and property damage insurance of at least $1,000,000 each occurrence, for the services to be rendered in accordance with this contract.

FELA and Workers’ Compensation Insurance:

Vendor shall provide coverage under the Federal Employers’ Liability Act (FELA) in the greater of the amount required by federal law or a limit of not less than $1,000,000 for all damages arising out of bodily injuries to, or death of, one person and, subject to that limit for each person, a total limit of $5,000,000 for all damages arising out of bodily injuries to, or death of, two or more persons in any one occurrence.

To the extent that FELA does not apply, Vendor shall provide Workers’ Compensation Insurance in accordance with the laws of the State of Florida and in amounts sufficient to secure the benefits of the Florida Workers’ Compensation Law for all employees. If subletting any of the work, ensure that the employees of the subcontractors are covered by similar insurance. Ensure that any equipment rental agreements that include operators who are employees of independent Contractors, sole proprietorships or partners are covered by similar insurance. The Department will accept equivalent approved protection in lieu of insurance.

Contractors’ Public Liability and Property Damages Liability Insurance:

Vendor shall furnish evidence to the Department that, with respect to the operations performed, regular Contractors’ Public Liability Insurance providing for a limit of not less than $1,000,000 for all damages arising out of bodily injuries to, or death of, one person and, subject to that limit for each person, a total limit of $5,000,000 for all damages arising out of bodily injuries to, or death of, two or more persons in any one occurrence; and regular Contractors’ Property Damage Liability Insurance providing for a limit of not less than $50,000 for all damages arising out of injury to, or destruction of, property in any one occurrence and, subject to that limit per occurrence, a total (or aggregate) limit of $100,000 for all damages arising out of injury to, or destruction of, property during the policy period is carried.


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Vendor shall cause the Department, and National Railroad Passenger Corporation (a/k/a “Amtrak”), and Florida Central Railroad Company, Inc., and Central Florida Commuter Rail Commission, and Volusia County, and Seminole County, and Orange County, and Osceola County, and City of Orlando, to be each an additional insured party on the Contractor’s Public Liability and Property Damages Liability policies that insure the Contractor for the described work that it performs under the Contract.

Contractors’ Protective Public Liability and Property Damage Liability Insurance:

Vendor shall furnish evidence to the Department that, with respect to the operations performed by subcontractors, regular Contractors’ Protective Public Liability Insurance providing for a limit of not less than $1,000,000 for all damages arising out of bodily injuries to, or death of, one person and, subject to that limit for each person, a total limit of $5,000,000 for all damages arising out of bodily injuries to, or death of, two or more persons in any one occurrence; and regular Contractors’ Protective Property Damage Liability Insurance providing for a limit of not less than $50,000 for all damages arising out of injury to, or destruction of, property in any one occurrence and, subject to that limit per occurrence, a total (or aggregate) limit of $100,000 for all damages arising out of injury to, or destruction of, property during the policy period is carried. Vendor shall cause the Department, and National Railroad Passenger Corporation (a/k/a “Amtrak”), and Florida Central Railroad Company, Inc., and Central Florida Commuter Rail Commission, and Volusia County, and Seminole County, and Orange County, and Osceola County, and City of Orlando, to be each an additional insured party on the Contractor’s Protective Public Liability and Property Damage Liability Insurance policies that insure the Contractor for the described work that it performs under the Contract.

Insurance Required for Construction at Railroads: Required for this project.

(A) General: In addition to any other forms of insurance or bonds required under the terms of the Contract, when the Contract includes the construction of a railroad grade crossing, overpass, or underpass structure, or a railroad crossing signal installation, or any other work or operations by the Contractor within the limits of the railroad right-of- way, including any encroachments thereon from work or operations in the vicinity of the railroad right-of-way, Vendor shall provide insurance of the types set forth below and in amounts not less than specified herein.

(B) Railroads’ Protective Public Liability and Property Damage Liability Insurance: Vendor shall furnish the Department with an original insurance policy that, with respect to the operations performed, will provide, in behalf of the railroad company regular liability insurance providing coverage for bodily injury, death, and property damage limited to a combined single limit of $2,000,000 per occurrence with an aggregate limit of $6,000,000 for the term of the policy.

CSX Transportation, Inc. and the Department are to be each a Named Insured on the policy. National Railroad Passenger


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Corporation (a/k/a “Amtrak”), and Florida Central Railroad Company, Inc., and Central Florida Commuter Rail Commission, and Volusia County, and Seminole County, and Orange County, and Osceola County, and City of Orlando are to be each an additional insured on the policy.

Insurance for Protection of Utility Owners:

When the work under the Contract involves work on or in the vicinity of utility-owned property or facilities, Vendor shall furnish the Department with evidence that, with respect to the operations performed, General Comprehensive Liability Insurance or its equivalent providing for a limit of not less than $1,000,000 for bodily injury or death to person(s) per occurrence and $300,000 property damage each occurrence is carried.

The Department and Utility Company are to be Additional Named Insureds, and the policy will be primary to any coverage maintained by the Department or Company. National Railroad Passenger Corporation (a/k/a “Amtrak”), and Florida Central Railroad Company, Inc., and Central Florida Commuter Rail Commission, and Volusia County, and Seminole County, and Orange County, and Osceola County, and City of Orlando, are each to be additional insured on the policy. Vendor shall not make any material change or cancellation to the policy without providing the Department with ten days prior written notice.

(6) Insurance by Others: Vendor shall require every subcontractor or other third party who may have a contract with Vendor and who may require access on or to State Property or the Corridor or the Sun Rail Corridor or the FCEN Corridor to obtain and maintain for the duration of such access an insurance policy or policies with coverage that satisfies the conditions stated in this section 4. B. paragraphs (1), (2), (3), (4), and (5), and including causing each of the Named Insureds and the additional insureds stated in those paragraphs to be Named Insureds and additional insureds on such subcontractor or third party policy or policies. For purposes of this section 4.B. paragraph (6) the following apply: “State Property” has the meaning stated in the “TRANSITION AGREEMENT Between State of Florida Department of Transportation and CSX Transportation, Inc.,” Appendix A, at page A-4; and “Corridor” has the meaning stated in the “INTERLOCAL OPERATING AGREEMENT FOR OPERATION OF THE CENTRAL FLORIDA COMMUTER RAIL SYSTEM By and Between FLORIDA DEPARTMENT OF TRANSPORTATION AND CENTRAL FLORIDA COMMUTER RAIL COMMISSION,” Appendix A, at page A-3; and Sun Rail “Corridor” has the meaning stated in the “AGREEMENT BETWEEN NATIONAL RAILROAD PASSENGER CORPORATION AND THE FLORIDA DEPARTMENT OF TRANSPORTATION,” Definitions, at page 6; and “FCEN Corridor” has the meaning stated in the “OPERATING AGREEMENT Between State of Florida Department of Transportation, an agency of the State of Florida, and Florida Central Railroad Company, Inc., a Florida Corporation,” Definitions, at page 6. Those agreement definitions mentioned above, and as heretofore amended, are incorporated by reference and may be accessed at www.sunrail.com.

Submission and Approval of Policies; Termination:


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Certificates of insurance (and other evidence of insurance requested by the Department) for each required policy shall be provided by Vendor at the time of Contract execution.

Vendor shall provide all insurance policies in such form and with insurers that are acceptable to the Department. Keep such insurance in force, in the full amount specified herein, until this contract is ended.

The Vendor must have and maintain during the period of this contract, a professional liability insurance policy or policies or an irrevocable letter of credit established pursuant to Chapter 675, Florida Statutes, and Section 337.106, Florida Statutes, with a company authorized to do business in the state of Florida, affording professional liability coverage for the professional services to be rendered in accordance with this contract in the amount of at least $1,000,000.00. The Vendor shall maintain professional liability coverage for a minimum of three years after completion of the services rendered under this contract.

With respect to any general liability insurance policy required pursuant to this Agreement, all such policies shall be issued by companies licensed to do business in the State of Florida. The Vendor shall provide to the Department certificates showing the required coverage to be in effect with endorsements showing the Department to be an additional insured prior to commencing any work under this Contract. The certificates and policies shall provide that in the event of any material change in or cancellation of the policies reflecting the required coverage, thirty days advance notice shall be given to the Department or as provided in accordance with Florida law.

The Department shall be exempt from, and in no way liable for, any sums of money which may represent a deductible in any insurance policy. The payment of such deductible shall be the sole responsibility of the Vendor or subcontractor providing such insurance.

Technical Assumptions

General Assumptions 1. This wayside infrastructure PTC cost estimate includes Phase 2 South (P2S);

Phase 2 North (P2N); Phase 1 IOS making for a 61.35 mile rail corridor operated

by CFRC.

2. Wabtec assumes any costs associated with recurring equipment or software

license fees, recurring RF spectrum fees, or recurring utility fees are not included

after final acceptance.

3. Costs associated with post acceptance maintenance or other support are not

included.

4. Wabtec assumes FDOT shall provide all civil and survey base drawings in

MicroStation format upon NTP.

5. All document reviews shall be no more than one (1) review cycle. Each review

cycle shall not exceed 15 business days. FDOT will provide comments to


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submittal and Wabtec will respond to comments and make agreed to changes in

the final submittal.

6. All products are industry standard and are being supplied as is. No special

environmental testing has been included at this time.

7. CFRC shall support Wabtec personnel in a timely manner when they are onsite

(for planned work). Lack of CFRC support personnel while Wabtec is onsite

could result in a nullified trip and may incur T&M costs to CFRC.

8. The PTC Availability in full PTC operation shall be 97.7%.

9. CFRC shall provide guidance for the IP address assignment. Wabtec shall create

a detailed IP assignment list based off information provided by CFRC.

10. Any environmental studies (NEPA, SEPA, EIS…) required by this project shall be

performed by others.

11. If this project involves the provision or use of Meteorcomm, Red Hat or their

affiliates’ products, including, but not limited to radio or software, (collectively,

“MCC Products”) or otherwise requires interoperability or other interaction with or

using MCC Products, the PRIME / End-Customer agrees to accept all terms of

Meteorcomm, Red Hat or their affiliates, suppliers, sellers or manufacturers, and

shall fully and completely release Wabtec, its subsidiaries, affiliates, officers,

directors, agents and representatives from any and all liability relating to the MCC

Products, and PRIME / End-Customer shall execute documents provided by

Meteorcomm, Red Hat or their affiliates, suppliers, sellers, or manufacturers and

Wabtec to effect the aforementioned. There shall be no obligation of Wabtec,

Meteorcomm, Red Hat, or their affiliates, suppliers, sellers, or manufacturers to

provide any warranty services or other support of MCC Products, and Wabtec is

in no way responsible for the performance of the MCC Products.

12. CFRC will purchase RF spectrum. Wabtec to perform all supplemental RF

planning activities after FDOT signs agreement providing access to the tools

available including but not limited to: wayside RF coverage, analysis (wayside,

GPS, Cell), channel planning, RF slot assignments, and throughput calculations.

Wabtec will work with tools as an agent of the Department.

13. For Train-the-Trainer format, the Trainer being trained is familiar with computers

and computer/electronic systems (I-ETMS® is an electronic/computer based

system and requires the people being trained to be familiar with such systems).

14. All utility coordination to resolve conflicts within the corridor shall be done by

others.

15. The proposal assumes, and our proposal is subject to, an NTP date no later than

10/31/17.

Back Office / CAD / TMDS Assumptions1. The PTC Hosted Back Office shall have 97.7% availability.

2. TMDS to replace Ansaldo CAD pre-PTC.

3. TMDS GCOR rule set will be the basic version implemented.


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4. No additional functionality other than that already provided in the base product as

deployed at SFRTA is included. Any changes to the base product would require

negotiations and mutual agreement between Wabtec and FDOT.

5. Cooperation for CAD migration will be available from Ansaldo, CFRC, and O&M

operator; Wabtec is not liable for any schedule delays due to lack of support from

FDOT or its existing suppliers.

6. At the OCC, the wayside communications NMS demarcation is a L3 integrated

service router provided by Wabtec and located in the CER. Cable and pathway

distribution from the CER to the dispatch areas shall be provided by FDOT.

7. FDOT will provide railroad qualified dispatching personnel who are qualified on

the existing Ansaldo solution to be trained on the TMDS CAD solution.

Onboard Installation Services Assumptions1. FDOT is responsible to submit PTCSP to the FRA.

2. The following test procedures will be conducted at completion of each onboard I-

ETMS® installation in Wabtec’s standard format; no additional test procedures are

included in Wabtec scope. Additional test procedures requested by FDOT will be

subject to change order. Commissioning is defined as the point following when

test procedures have been successfully performed on the Onboard system post

installation:

a. Installation / QA checklist

b. I-ETMS Installation Validation Procedure

c. VSWR Testing

d. PTC CHM Test Procedure

e. Outbound test procedure.

3. Wabtec will provide certificate of completion after a unit installation has been

completed and the unit has been tested.

a. Certificate of completion is defined as validation that the I-ETMS

components have been properly integrated with the locomotive/cab car

systems.

b. Certificates will be completed by unit, by the OBS Tech.

4. Installation invoicing will be provided on a per unit basis, upon completion of each

I-ETMS® installation.

a. OBS Tech services and QA support and Project Management will be

invoiced monthly and for each month services are required beyond

months quoted.

b. Completion of I-ETMS® installations occurs when the I-ETMS® Installation

Validation Test is satisfactorily complete.

5. FDOT will not change locomotive/cab car types or equipment during installation

process.

6. Wabtec will not perform any communications testing between the locomotive or

cab car and BOS – before returning unit into service.

7. Wabtec scope excludes updating Train Books or Car History Books. Wabtec will

provide information obtained during, and related to, the installation of I-ETMS® on


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vehicles. Editing or updating the FDOT’s actual Books is outside of Wabtec

scope.

8. Documentation requiring FDOT review and approval shall be subject to no more

than one review period. For each review period past what is noted herein, there

shall be an additional fee processed through a change order.

9. FDOT will provide space for office trailer and storage container.

10. FDOT shall provide representation during Pilot installations. This representative

shall have the authority to speak for FDOT in cases of design changes during

Pilot installations, and shall be available to help Wabtec ensure all facets of

installation are acceptable to FDOT.

11. Installations shall take place at only one location. Wabtec assumes complete

installations will be executed in one shopping of each vehicle. Installations will

not commence until all designs and required documentation are approved, and all

material and equipment is on hand, available and operational at the installation

site.

12. Project Staff that is located on site will be available during normal working hours,

Monday through Friday, generally first shift hours, as agreed upon by Wabtec and

FDOT. Prevailing wages to be applied.

13. Wabtec assumes each vehicle will require two movements for each installation to

facilitate initial delivery for installation and final acceptance after installation.

14. The installation crew will provide no field support for Revenue Service

Demonstration (RSD).

15. Human Factors Analysis (HFA) study is excluded from Wabtec scope. Wabtec

shall not be responsible for HFA but will assist FDOT with HFA, in the form of

drawings indicating the relevant measurements.

16. FDOT is responsible for ensuring that all tools required for delivering the training

such as projectors, white boards and writing materials, are available at the time

training starts. Wabtec will provide a list of training support requirements to FDOT

in advance of scheduled training.

17. Installation Guides and PTC schematics will be submitted to the FDOT to ensure

FDOT agreement with installation designs.

18. Wabtec will propose a separate agreement for long term services and support of

the PTC system. This proposal will identify services, scope, costs, etc.

19. Wabtec will supply the Meteorcomm master agreement prior to Locomotive

installation work begins.

20. Wabtec will pay the Meteorcomm Maintenance services fees.

21. Wabtec will supply and load the configuration file for the 220 MHz PTC Data

Radio.

22. Wabtec will update vehicle schematics for portions of the PTC I-ETMS® system

furnished by Wabtec, if native file AutoCAD or Microstation drawings are

furnished. Wabtec will not be responsible for verifying or validating the portions

of the vehicle schematics not related to the I-ETMS® implementation.

23. There shall be no solicitation of Wabtec employees by the FDOT during the

contract period and for two years after contract has ended.

24. FDOT will provide a safe and suitable work site for installation activities.


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25. FDOT will make applicable power (110V, single phase and 220V, triple phase)

and lighting available at the work site.

26. FDOT will make pressurized air available for charging of air brake systems.

27. FDOT will make locomotive/cab car shore power available on site.

28. FDOT will provide fall protection for roof work and welding equipment for use by

Wabtec crews.

29. Wabtec will provide a man lift for installation activities.

30. Wabtec will provide forklift, as necessary for installation activities.

31. FDOT will provide washroom facilities for use by Wabtec crews.

32. FDOT will provide safety training to Wabtec installation crews, according to

SunRail safety policy.

33. FDOT will ensure locomotives/cab cars delivered for installation are in good

working order.

34. FDOT will provide necessary locomotive documentation such as schematics and

cab drawings for each locomotive type and class.

35. FDOT will provide FDOT site specific policies and procedures to Wabtec

personnel.

36. FDOT will provide locomotives/cab cars on time, according to a schedule agreed

upon by FDOT and Wabtec.

a. Delays to delivery of locomotives/cab cars will adjust the schedule

accordingly.

b. Any time the Wabtec install crew is idle, defined as FDOT being unable to

deliver a locomotive or cab car, not allowing Wabtec full time access to a

unit, or other issue that is the liability of FDOT, for a period of over 4

hours, will be subject to additional charges to cover labor and expenses

incurred during this idle time. Idle time will be billed at $75 per hour per

crew member after the 4 hour delay.

37. FDOT to approve PTC I-ETMS® system installation design before Pilot

installations. Customer-directed changes identified after installation design

approval will require a change order.

38. Relocation of installed onboard equipment, if directed by FDOT, will require a

change order.

39. Costs for spare parts estimated at 10% of the total costs for active equipment

only.

Onboard Equipment Training Assumptions – Operations and Maintenance1. Number of delivered class iterations is assumed based on RFP training audience

information.

2. Additional classes beyond initial quote will require a change order.

Brake Testing Assumptions1. The Brake Testing support demonstrates the performance of the I-ETMS® braking

Algorithm on the railroad’s rolling stock. The Railroad will coordinate with the


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Federal Railroad Administration (FRA) to establish the Brake Testing program

requirements.

2. It is assumed this coordination will establish a brake testing program limited to 5

uphill stops, 5 level terrain stops, and 10 downhill stops. These stops will be

performed on one typical train for the railroad, operating at maximum authorized

speed. This means there is no intention to vary the number of cars, the load

status of the cars, use different power consist or other variations in train makeup.

3. The successful demonstration will show all stops short of the intended target, and

the average of predicted stopping distances will be within 15%. This testing will

be best performed if the uphill stops are performed together, the level terrain

stops are performed together, and the downhill stops are performed together.

The “15%” criteria indicates the test conditions have been consistent.

4. The testing shall be accomplished within two one-week periods of time Wabtec

will be on site. Extension beyond the two one week periods, if outside of Wabtec

control, may incur additional time and material charges.

5. Wabtec will provide one Field Test Engineer on site. The customer will provide

operating crews, I-ETMS® equipped rolling stock, access to track time, and a

supervisor to oversee and coordinate the testing.

6. Wabtec will allow for one cycle of review and update of the brake test plans.

Wabtec will produce a test report for the brake testing. This testing typically does

not require a functioning communications segment, Back Office Segment or

Wayside Segment.

7. The railroad may elect to make this brake test report available to the Federal

Railroad Administration.

8. Any effort associated with loading or unloading trains will be provided by Wabtec.

9. It is assumed the stops will all be performed on one typical train.

Onboard Material and Engineering Assumptions 1. Configuration parameters are for an I-ETMS® Host Railroad.

2. Onboard Communications Configuration Equipment includes the configuration of

220, cell, and Wi-Fi set up.


only.

4. Manuals shall include:

a. I-ETMS Operations Manual (12 Printed Copies, 1 PDF Copy)

b. I-ETMS Maintenance Manual (12 Printed Copies, 1 PDF Copy)

Wayside Signal Engineering Assumptions1. Changes to the wayside signal system and/or track configuration by entities other

than Wabtec which result in the rework of hardware signal design, vital

application software and/or WIU application software submittals required under

this contract will be subject to a separate change order.

2. Adequate space exists in CFCRT equipment shelters to wall or rack mount new

equipment.


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3. Existing CFCRT facilities have adequate primary AC power to facilitate the new

equipment loads.

4. Wabtec will not be responsible for verifying or validating the accuracy of the

existing signal and communication circuit plans. Any potential signal and

communication system inaccuracies that are impactful to Wabtec’s Scope of

Work shall be subject to a contractual schedule and cost variation.

5. Upon NTP, the existing drawings for the signal system and associated circuitry

will be provided to Wabtec by CFRC in MicroStation format.

6. All In-Service vital and non-vital software to be field validated by CFRC.

7. All In-Service vital and non-vital software will be supplied by CFRC to Wabtec

upon NTP.

8. All IOS MLK II wayside signal hardware and software is not PTC compliant.

• Phase 2 South wayside hardware and software is PTC compliant.

9. All hand throw switches will be protected by the wayside signal system and will

not require a WIU.

10. CFRC shall support Wabtec personnel in a timely manner when they are on-site.


only.

Wayside Communications Assumptions1. Costs associated for post acceptance maintenance beyond final acceptance not

included in this estimate.

2. Adequate space exists in FDOT equipment shelters to wall or rack mount new

equipment. New PTC base radio equipment will occupy existing racks at existing

base radio sites.

3. All 220 MHz base radio locations shall include a new 60’ tilt down steel monopole

dedicated for PTC use only and provided by Wabtec. The existing FDOT wood

poles in place for existing radio antennas shall not be reused for PTC base radio.

4. The existing FDOT base radio facilities have adequate primary AC power and

HVAC capacity to facilitate the new PTC equipment loads.

5. At the OCC, the wayside communications network demarcation is the Ethernet

core switches provided by Wabtec and located in the CER. Wabtec will not run

new cabling outside the CER to dispatch or other OCC work areas.

6. Estimate includes Wi-Fi at (2) maintenance yards using existing fiber cable to the

OCC. Wi-Fi is also provided at each end of the 62 mile rail corridor for use by

tenant operators. Wi-Fi data radio at every CP location along the corridor IS NOT

included in this estimate. The assumption is FDOT has only two yards used to

initialize trains (VSMF and VSLMF).

7. It is estimated there will be (8) new PTC base radios with 60' tilt down monopoles

located along the alignment to provide the required 220MHz PTC base radio RF

coverage. The final base radio count will depend on the final RF design not

available at the proposal stage. Any changes to the proposed number of base

stations, their locations, antenna heights, or available equipment shelters by the


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Spectrum Lease agreement would require negotiations and mutual agreement

between Wabtec and FDOT. Same applies for the need to construct additional

radio towers in excess of quantity (8), or at heights greater than 60 feet AGL, or

the addition of wayside 220 MHz repeaters.

8. In P2N, each signal house WIU will have a dedicated PTC network connection

back to the host office using a commercial leased 1.5Mbps service ordered by

Wabtec. For route redundancy, this primary communications link will be backed

by a commercial cellular M2M service. To ensure failover between the two

services, a L3 router will be deployed by Wabtec. The assumption is any conduit

or pathway build through the FDOT ROW to extend this leased service to the

signal house will be performed by Wabtec. All commercial service fees, both

initial and MRC, are paid by Wabtec until RSD.

9. At any PTC 220 base radio or Wi-Fi location without fiber cable, a commercial

leased 3Mbps (2 x T1) service is ordered by Wabtec. For route redundancy, this

primary communications link will be backed by a commercial cellular M2M

service. To ensure failover between the two services, a L3 router will be deployed

by Wabtec. The assumption is any conduit or pathway build through the FDOT

ROW to extend this leased service to the signal house will be performed by

Wabtec. All commercial service fees, both initial and MRC, are paid by Wabtec

until RSD.

10. There is no 900 MHz ATCS work involved in the PTC project or communications

estimate.

11. There is no PTC communications provided at crossings in this estimate.

12. All required fiber optic backbone cable will be provided and tested by others.

FDOT will assign dedicated fiber optics for PTC. Wabtec shall place a dedicated

PTC network Ethernet switch and connect to PTC dedicated fiber strands at each

WIU location separate from any CTC equipment or operations. This will ensure

turn up and commissioning of PTC without CTC interruption, and ensure those

responsible for CTC maintenance and operations do not interfere with PTC POC

testing.

13. The Department shall guarantee FON performance meets or exceeds

performance criteria of 99.95% availability.

14. With the exception of P2N, all Control Point (CP) and intermediate signal

locations will be connected with the FON back to the OCC.

15. Fiber will be assigned and dedicated for PTC use only. The wayside FON will

access all CPs, Intermediate's, and radio towers back to the OCC except in the

P2N segment.

16. Cost to search and license 220 MHz RF spectrum via the 220LLC host server is

included in this estimate. The Department shall be responsible for all RF

spectrum lease or purchase costs.


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17. This estimate assumes any separate wayside PTC data radio system used for

tenant operators WILL NOT collocate with FDOT radio towers or shelters.

18. Costs associated with MCC initial or recurring license fees; initial or recurring RF

spectrum fees; initial or recurring commercial wireline and wireless service fees;

and initial or recurring utility service fees, are included in this estimate.


only.

20. The fiber optic backbone cable shall have a physical, diverse route protection

back to the OCC. The diverse route bandwidth shall mirror the primary route data

capacity.

21. All final construction drawings and support documents shall be signed and sealed

by a Wabtec PE.

22. FDOT shall provide all civil and survey base drawings in Microstation format upon

NTP.

23. Initial and recurring MCC messaging (WMS) license costs are included to RSD.

24. This estimate includes costs associated with 220 Mhz external EMI study and

analysis per the specifications.

25. When calculating system annual availability to include an MTTR component,

those subsystems not furnished and maintained by Wabtec shall not be part of

the calculations. This includes the FDOT FON.

26. Wabtec is responsible to secure the onboard cellular network cards (SIMs) as

part of securing their cellular accounts. Wabtec will install and setup the network

cards in the Wabtec provided cellular modems.

Subdiv File (Track Services) Assumptions

1. Customer will supply up to date time tables to be used for determining max and restricted permanent speeds.

2. Customer will provide validation of timetable speeds and application of timetable speeds to Subdiv file.

3. Field services for validation were calculated at 42 hours a week with one person. The assumption is that we will receive track time to perform validations 85% of the schedule time and will be able to access 85% of schedule track each day.

4. FDOT will provide field support for getting on track with a Hi-rail vehicle for any Track Services activities requiring track access/Hi-rail usage.

5. FDOT will provide personnel to perform critical feature validation, Wabtec will provide personnel to support the field critical feature validation but will expect FDOT to perform the validation activity.

6. FDOT will provide rules qualified Hi-rail operator to support all Track Services activities, as required, as well as an adequate number of EIC to provide access to


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signal houses as necessary. Wabtec will coordinate with FDOT to schedule Track Services activities in advance of work being done.

7. FDOT will perform work with Wabtec to validate designs of speed restrictions, PTC Entry, and other track elements.

8. FDOT will be responsible for scheduling tack time and providing all track protection.

9. Wabtec assumes four (4) trips, at a duration of five (5) days per trip, for two (2) Wabtec personnel and one (1) FDOT RWIC will be needed to complete wayside validation. FDOT will provide the appropriate number of Signal personnel to support this task, which will include one (1) person to support field critical feature validation, two (2) signal personnel, and one (1) qualified Hi-rail operator.

10. FDOT capital constructions jobs that result in Track Services rework for Subdiv design, development, quality testing, field validation and/or WIU testing are considered out of scope of this proposal and will require a separate change order.

11. Estimate assumes a phased release in which the Subdiv is added onto, but not redone completely each time.

12. Estimate does not include WAB-TRAX licensing.

13. Estimate assumes Pedestrian and Road Grade crossings will be placed in the subdivision per the survey results.

14. Estimate assumes upon client approval of the track charts that no asset appearing on the track charts will change and no assets will be added.

15. Estimate is for a Revision 8 PTC Data Model.

16. Field training is for 1 week for Track Verify and WIU verification with 2 Members of Wabtec Personnel

17. All wayside signals and track are to be in the final configuration.

PTC SP Assumptions1. No work related to the host RR's tenants is assumed. Depending on FRA

requirements which are not yet finalized, the host RR may have significant

responsibilities regarding providing safety-related documents to the FRA on

behalf of the host's tenants. This estimate does not include any of these costs.

2. No work related to the RR acting as a tenant on another RR's property is

assumed. Depending on FRA requirements which are not yet finalized, the

requirement for the tenant to provide documents to the host will depend on an

agreement between the host and tenant. The FRA may require the tenant supply

documents directly to the FRA.

3. No work related to any FRA "guidance" letter issued after 01Jan2017 is assumed

or included here.

4. It is assumed there are no PTC Development Plan variances.

5. Technical Specification Section 6.1, part D requires the PTC SP be submitted to

the FRA 60 days before commissioning. Based on current FRA direction, that Is

not needed and will not be provided.


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6. Technical Specification 6.1, part F states: “The Vendor shall certify the validity of

the Type Approval previously granted by FRA”. Wabtec will not “certify” a PTC

type approval. Wabtec will advise whether any preexisting type approvals apply

to CFRC.

7. Technical Specification 8.8.1, B, references a “CFRC System Safety Program

Plan” but it is not mentioned anywhere else in the Tech Spec. This doc will not

be provided.

8. Technical Specification 8.8.1 and 10.2 requires a “Product Safety Plan” (PSP);

however, it appears the required PTC Safety Plan will contain the information

required by the PSP. Section 10.2 seems to use “Product Safety Plan” and “PTC

Safety Plan” interchangeably. Note that a PSP is part of the methodology used by

Subpart H to gain FRA acceptance of a processor based train control system

before the inclusion of subpart I for PTC in CFR 49 Part 236. Since the material

specified for the PSP will be provided in the also specified PTC Safety Plan, and

it is the PTC Safety Plan which is required for system certification, a separate

PSP will not be provided."

9. Technical Specification 8.8.2: All analyses and reports will be submitted as part of

the PTC Safety Plan, not as separate CDRLs.

PTC Hosted Back Office Systems Assumptions 1. Customer visits, to take place at either the Primary (Carrollton, TX) or Secondary

(Phoenix, AZ) data center, to be scheduled a minimum 30 days in advance.

Agenda must be provided at the time the visit is scheduled.

2. Back office licenses and costs associated with Meteorcomm are included. This

includes the initial licenses as well as licensing costs for the subsequent thirty-five

(35) months. Assumes twelve (12) back office licenses.

3. Onboard licenses associated with Meteorcomm ITCM are included. This includes

the initial and annual licenses associated with the TMC equipment as well as

RedHat entitlement fees. Assumes twenty-four (24) onboard licenses.

4. MCC license costs based on latest available information (2017). Wabtec

reserves its right to reprice in the event MCC alters this price information or

pricing strategy as applicable to Host providers.

5. All Hosting scope and support to be provided remotely.

6. Hosting agreement term to be thirty‐five (35) months with three (3) 12‐month

options.

7. Hosted environment will support both cellular and Wi-Fi functionality.

8. Hosted Infrastructure server/storage hardware to be dedicated to CFRC only; not

a shared solution.

9. ITCM server/storage hardware to be shared.

10. Fee commences 60 days prior to the commencement of systems integration

testing the RSD activity.

11. Should RSD acceptance date slip beyond December 31, 2018, the cause of this

slippage will be agreed to between Wabtec and FDOT and any additional Hosting


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fee costs shall be distributed between Wabtec and FDOT based on the

agreement of the cause of delay.

Wayside/Communications Construction Assumptions 1. Scope, including troubleshooting and issue resolution, is fulfilled at the

completion of RSD.

2. Track protection and bungalow access to be provided with two days of request.

3. Existing shut-break hand throw switches in the P2N section will remain as-is.

4. Insulated joints retired by the removal of P2N cut-sections will be bonded around,

not removed.

5. Cabling retired by the removal of P2N cut-sections will be cut off 6” below grade,

not removed entirely. Track cables will be cut off at ballast level.

6. FDOT standards to govern installation means and methods.

Site Survey Assumptions1. Site survey schedule to be mutually agreed upon by both Wabtec and FDOT.

2. Data will be delivered in accordance with the most current standards at the time.

3. Wabtec will be able to traverse all tracks within survey limits.

4. All data, reports, measurements, calculations, and other deliverables generated

by Wabtec and supplied to the customer is intended to be used for PTC asset

identification and location only. These deliverables are provided such that they

satisfy the accuracy required to have an FRA certifiable Subdiv (or equivalent)

file. All survey related information will require final approval by the customer and

is in no way intended to replace, update, or supplant any information used to

evaluate the capabilities of the right-of-way, train operations, or construction

surveys. Nor is it intended to be used as an input for any engineering drawing,

analysis, calculation, or report without first being verified.

System Integration Assumptions 1. In section 10.1, RAM Program Plan, of the Technical Specification the following

changes shall apply:

a. 10.1.A.1 should be changed to read:

In the event of a component failure in the system, whether hardware or software, the failed component shall be able to be repaired, replaced, and restored to operation without disrupting the entire service of the system. b. 10.1.C should be changed to read:

Systems component configuration shall account for reasonable failures and shall upon recovery automatically restore all communications links and update all database and inputs to assure that operation is using current system status. This statement should apply to any PTC Component (Wayside, Onboard, Communication, and Back Office). c. 10.1.F should have the following added:

This section applies to the office segment only.


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2. In section 10.1.2, Reliability Requirements, of the Technical Specification,

Wabtec assumes Mean Time Between Functional Failures (MTBFF) is only

applicable to wrong side failures.

3. In section 10.1.2, Reliability Requirements, of the Technical Specification,

Wabtec assumes Mean Time Between Failures (MTBF) is calculated per train per

wayside segment. Wabtec shall provide detail on which devices will be provided

in this calculation per segment for acceptance by the Department.

4. Wabtec assumes in the calculation of Mean Time To Repair (MTTR), access time

is excluded.

5. Wabtec assumes Availability and Reliability Demonstration Test (ARDT) period is

6 months in duration.

Quality Management Assumptions 1. In section 4.8, Quality Management System (QMS), of the Technical

Specification, Wabtec assumes a QMS in compliance with the latest version of

ISO-9001 or AARM-1003 shall be sufficient.

State of Florida PUR 1000

General Contract Conditions

Contents

1. Definitions. 2. Purchase Orders. 3. Product Version. 4. Price Changes Applicable only to Term Contracts. 5. Additional Quantities. 6. Packaging. 7. Inspection at Contractor’s Site. 8. Safety Standards. 9. Americans with Disabilities Act. 10. Literature. 11. Transportation and Delivery. 12. Installation. 13. Risk of Loss. 14. Transaction Fee. 15. Invoicing and Payment. 16. Taxes. 17. Governmental Restrictions. 18. Lobbying and Integrity. 19. Indemnification. 20. Limitation of Liability. 21. Suspension of Work. 22. Termination for Convenience.


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23. Termination for Cause. 24. Force Majeure, Notice of Delay, and No Damages for Delay. 25. Changes. 26. Renewal. 27. Purchase Order Duration. 28. Advertising. 29. Assignment. 30. Antitrust Assignment 31. Dispute Resolution. 32. Employees, Subcontractors, and Agents. 33. Security and Confidentiality. 34. Contractor Employees, Subcontractors, and Other Agents. 35. Insurance Requirements. 36. Warranty of Authority. 37. Warranty of Ability to Perform. 38. Notices. 39. Leases and Installment Purchases. 40. Prison Rehabilitative Industries and Diversified Enterprises, Inc. (PRIDE). 41. Products Available from the Blind or Other Handicapped. 42. Modification of Terms. 43. Cooperative Purchasing. 44. Waiver. 45. Annual Appropriations. 46. Execution in Counterparts. 47. Severability.

1. Definitions. The definitions contained in s. 60A-1.001, F.A.C. shall apply to this agreement. The following additional terms are also defined:

(a) “Contract” means the legally enforceable agreement that results from a successful solicitation. The parties to the Contract will be the Customer and Contractor.

(b) “Customer” means the State agency or other entity identified in a contract as the party to receive commodities or contractual services pursuant to a contract or that orders commodities or contractual services via purchase order or other contractual instrument from the Contractor under the Contract. The “Customer” may also be the “Buyer” as defined in the PUR 1001 if it meets the definition of both terms.

(c) “Product” means any deliverable under the Contract, which may include commodities, services, technology or software.

(d) “Purchase order” means the form or format a Customer uses to make a purchase under the Contract (e.g., a formal written purchase order, electronic purchase order, procurement card, contract or other authorized means).


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2. Purchase Orders. In contracts where commodities or services are ordered by the Customer via purchase order, Contractor shall not deliver or furnish products until a Customer transmits a purchase order. All purchase orders shall bear the Contract or solicitation number, shall be placed by the Customer directly with the Contractor, and shall be deemed to incorporate by reference the Contract and solicitation terms and conditions. Any discrepancy between the Contract terms and the terms stated on the Contractor’s order form, confirmation, or acknowledgement shall be resolved in favor of terms most favorable to the Customer. A purchase order for services within the ambit of section 287.058(1) of the Florida Statutes shall be deemed to incorporate by reference the requirements of subparagraphs (a) through (f) thereof. Customers shall designate a contract manager and a contract administrator as required by subsections 287.057(15) and (16) of the Florida Statutes.

3. Product Version. Purchase orders shall be deemed to reference a manufacturer’s most recently release model or version of the product at the time of the order, unless the Customer specifically requests in writing an earlier model or version and the contractor is willing to provide such model or version.

4. Price Changes Applicable only to Term Contracts. If this is a term contract for commodities or services, the following provisions apply.Quantity Discounts. Contractors are urged to offer additional discounts for one time delivery of large single orders. Customers should seek to negotiate additional price concessions on quantity purchases of any products offered under the Contract. State Customers shall document their files accordingly. Best Pricing Offer. During the Contract term, if the Customer becomes aware of better pricing offered by the Contractor for substantially the same or a smaller quantity of a product outside the Contract, but upon the same or similar terms of the Contract, then at the discretion of the Customer the price under the Contract shall be immediately reduced to the lower price. Sales Promotions. In addition to decreasing prices for the balance of the Contract term due to a change in market conditions, a Contractor may conduct sales promotions involving price reductions for a specified lesser period. A Contractor shall submit to the Contract Specialist documentation identifying the proposed (1) starting and ending dates of the promotion, (2) products involved, and (3) promotional prices compared to then-authorized prices. Promotional prices shall be available to all Customers. Upon approval, the Contractor shall provide conspicuous notice of the promotion. Trade-In. Customers may trade-in equipment when making purchases from the Contract. A trade-in shall be negotiated between the Customer and the Contractor. Customers are obligated to actively seek current fair market value when trading equipment, and to keep accurate records of the process. For State agencies, it may be necessary to provide documentation to the Department of Financial Services and to the agency property custodian pursuant to Chapter 273, F.S. Equitable Adjustment. The Customer may, in its sole discretion, make an equitable adjustment in the Contract terms or pricing if pricing or availability of supply is


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affected by extreme and unforeseen volatility in the marketplace, that is, by circumstances that satisfy all the following criteria: (1) the volatility is due to causes wholly beyond the Contractor’s control, (2) the volatility affects the marketplace or industry, not just the particular Contract source of supply, (3) the effect on pricing or availability of supply is substantial, and (4) the volatility so affects the Contractor that continued performance of the Contract would result in a substantial loss.

5. Additional Quantities. For a period not exceeding ninety (90) days from the date of solicitation award, the Customer reserves the right to acquire additional quantities up to the amount shown on the solicitation but not to exceed the threshold for Category Two at the prices submitted in the response to the solicitation.

6. Packaging. Tangible product shall be securely and properly packed for shipment, storage, and stocking in appropriate, clearly labeled, shipping containers and according toaccepted commercial practice, without extra charge for packing materials, cases, or other types of containers. All containers and packaging shall become and remain Customer’s property.

7. Inspection at Contractor’s Site. The Customer reserves the right to inspect, at any reasonable time with prior notice, the equipment or product or plant or other facilities of a Contractor to assess conformity with Contract requirements and to determine whether they are adequate and suitable for proper and effective Contract performance.

8. Safety Standards. All manufactured items and fabricated assemblies subject to operation under pressure, operation by connection to an electric source, or operation involving connection to a manufactured, natural, or LP gas source shall be constructed and approved in a manner acceptable to the appropriate State inspector. Acceptability customarily requires, at a minimum, identification marking of the appropriate safety standard organization, where such approvals of listings have been established for the type of device offered and furnished, for example: the American Society of Mechanical Engineers for pressure vessels; the Underwriters Laboratories and/or National Electrical Manufacturers’ Association for electrically operated assemblies; and the American Gas Association for gas-operated assemblies. In addition, all items furnished shall meet all applicable requirements of the Occupational Safety and Health Act and state and federal requirements relating to clean air and water pollution.

9. Americans with Disabilities Act. Contractors should identify any products that may be used or adapted for use by visually, hearing, or other physically impaired individuals.


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10. Literature. Upon request and subject to Vendor’s availability of such literature, the Contractor shall furnish literature reasonably related to the product offered, for example, user manuals, price schedules, catalogs, descriptive brochures, etc.

11. Transportation and Delivery. Prices shall include all charges for packing, handling, freight, distribution, and inside delivery. Transportation of goods shall be FOB Destination to any point within thirty (30) days after the Customer places an Order. A Contractor, within five (5) days after receiving a purchase order, shall notify the Customer of any potential delivery delays. Evidence of inability or intentional delays shall be cause for Contract cancellation and Contractor suspension.

12. Installation. Where installation is required, Contractor shall be responsible for placing and installing the product in the required locations at no additional charge, unless otherwise designated on the Contract or purchase order. Contractor’s authorized product and price list shall clearly and separately identify any additional installation charges. All materials used in the installation shall be of good quality and shall be free of defects that would diminish the appearance of the product or render it structurally or operationally unsound. Installation includes the furnishing of any equipment, rigging, and materials required to install or replace the product in the proper location. Contractor shall protect the site from damage and shall repair damages or injury caused during installation contractor or its employees or agents. If any alteration, dismantling, excavation, etc., is required to achieve installation, the Contractor shall promptly restore the structure or site to its original condition. Contractor shall perform installation work so as to cause the least inconvenience and interference with Customers and with proper consideration of others on site. Upon completion of the installation, the location and surrounding area of work shall be left clean and in a neat and unobstructed condition, with everything in satisfactory repair and order.

13. Risk of Loss

As to any commodities to be delivered pursuant to this Agreement, risk of loss shall pass to the Department upon delivery. The Department waives its recovery rights against the Vendor for any loss or damage arising from risks assumed hereunder.

14. Transaction Fee. The State of Florida has instituted MyFloridaMarketPlace, a statewide eProcurement System (“System”). Pursuant to section 287.057(23), Florida Statutes (2002), all payments shall be assessed a Transaction Fee of seventy, one hundredths of one percent (0.70%), which the Contractor shall pay to the State, unless exempt pursuant to 60A-1.032, F.A.C.

For payments within the State accounting system (FLAIR or its successor), the Transaction Fee shall, when possible, be automatically deducted from payments to the Contractor. If automatic deduction is not possible, the Contractor shall pay the Transaction Fee pursuant to Rule 60A-1.031(2), F.A.C. By submission of these


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reports and corresponding payments, Contractor certifies their correctness. All such reports and payments shall be subject to audit by the State or its designee.

Contractor shall receive a credit for any Transaction Fee paid by the Contractor for the purchase of any item(s) if such item(s) are returned to the Contractor through no fault, act, or omission of the Contractor. Notwithstanding the foregoing, a Transaction Fee is non-refundable when an item is rejected or returned, or declined, due to the Contractor’s failure to perform or comply with specifications or requirements of the agreement.

Failure to comply with these requirements shall constitute grounds for declaring the Contractor in default and recovering reprocurement costs from the Contractor in addition to all outstanding fees. CONTRACTORS DELINQUENT IN PAYING TRANSACTION FEES MAY BE SUBJECT TO BEING REMOVED FROM THE DEPARTMENT OF MANAGEMENT SERVICES’ VENDOR LIST AS PROVIDED IN RULE 60A-1.006, F.A.C.

15. Invoicing and Payment. Invoices shall contain the Contract number, purchase order number if applicable, and the appropriate vendor identification number. The State may

require any other information from the Contractor that the State deems necessary to verify any purchase order placed under the Contract.

At the State's option, Contractors may be required to invoice electronically pursuant to guidelines of the Department of Management Services. Current guidelines require that Contractor supply electronic invoices in lieu of paper-based invoices for those transactions processed through the system. Electronic invoices shall be submitted to the Customer through the Ariba Supplier Network (ASN) in one of the following mechanisms – EDI 810, cXML, or web-based invoice entry within the ASN.

Payment shall be made in accordance with sections 215.422 and 287.0585 of the Florida Statutes, which govern time limits for payment of invoices. Invoices that must be returned to a Contractor due to preparation errors will result in a delay in payment. Contractors may call (850) 413-7269 Monday through Friday to inquire about the status of payments by State Agencies. The Customer is responsible for all payments under the Contract. A Customer’s failure to pay, or delay in payment, shall not constitute a breach of the Contract and shall not relieve the Contractor of its obligations to the Department or to other Customers.

16. Taxes. The State does not pay Federal excise or sales taxes on direct purchases of tangible personal property. The State will not pay for any personal property taxes levied on the Contractor or for any taxes levied on employees’ wages. Any exceptions to this paragraph shall be explicitly noted by the Customer in the special contract conditions section of the solicitation or in the Contract or purchase order.

17. Governmental Restrictions. If the Contractor believes that any governmental restrictions have been imposed that require alteration of the material, quality, workmanship or performance of the products offered under the Contract, the


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Contractor shall immediately notify the Customer in writing, indicating the specific restriction. The Customer reserves the right and the complete discretion to accept any such alteration or to cancel the Contract at no further expense to the Customer.

18. Lobbying and Integrity. Customers shall ensure compliance with Section 11.062, FS and Section 216.347, FS.The Contractor shall not, in connection with this or any other agreement with the State, directly or indirectly (1) offer, confer, or agree to confer any pecuniary benefit on anyone as consideration for any State officer or employee’s decision, opinion, recommendation, vote, other exercise of discretion, or violation of a known legal duty, or (2) offer, give, or agree to give to anyone any gratuity for the benefit of, or at the direction or request of, any State officer or employee. For purposes of clause (2), “gratuity” means any payment of more than nominal monetary value in the form of cash, travel, entertainment, gifts, meals, lodging, loans, subscriptions, advances, deposits of money, services, employment, or contracts of any kind. Upon request of the Customer’s Inspector General, or other authorized State official, the Contractor shall provide any type of information the Inspector General deems relevant to the Contractor’s integrity or responsibility. Such information may include, but shall not be limited to, the Contractor’s business or financial records, documents, or files of any type or form that refer to or relate to the Contract. The Contractor shall retain such records for the longer of (1) three years after the expiration of the Contract or (2) the period required by the General Records Schedules maintained by the Florida Department of State (available at: http://dlis.dos.state.fl.us/barm/genschedules/gensched.htm). The Contractor agrees to reimburse the State for the reasonable costs of investigation incurred by the Inspector General or other authorized State official for investigations of the Contractor’s compliance with the terms of this or any other agreement between the Contractor and the State which results in the suspension or debarment of the Contractor. Such costs shall include, but shall not be limited to: salaries of investigators, including overtime; travel and lodging expenses; and expert witness and documentary fees. The Contractor shall not be responsible for any costs of investigations that do not result in the Contractor’s suspension or debarment.

19. Indemnification. The Contractor shall be fully liable for the actions of its agents, employees, partners, or subcontractors and shall fully indemnify, defend, and hold harmless the State and Customers, and their officers, agents, and employees, from suits, actions, damages, and costs of every name and description, including attorneys’ fees, arising from or relating to personal injury and damage to real or personal tangible property alleged to be caused in whole or in part by Contractor, its agents, employees, partners, or subcontractors, provided, however, that the Contractor shall not indemnify for that portion of any loss or damages proximately caused by the negligent act or omission of the State or a Customer.

Further, the Contractor shall fully indemnify, defend, and hold harmless the State and Customers from any suits, actions, damages, and costs of every name and description, including attorneys’ fees, arising from or relating to violation or infringement of a trademark, copyright, patent, trade secret or intellectual property right, provided, however, that the foregoing obligation shall not apply to a


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Customer’s misuse or modification of Contractor’s products or a Customer’s operation or use of Contractor’s products in a manner not contemplated by the Contract or the purchase order. If any product is the subject of an infringement suit, or in the Contractor’s opinion is likely to become the subject of such a suit, the Contractor may at its sole expense procure for the Customer the right to continue using the product or to modify it to become non-infringing. If the Contractor is not reasonably able to modify or otherwise secure the Customer the right to continue using the product, the Contractor shall remove the product and refund the Customer the amounts paid in excess of a reasonable rental for past use. The customer shall not be liable for any royalties.

The Contractor’s obligations under the preceding two paragraphs with respect to any legal action are contingent upon the State or Customer giving the Contractor (1) written notice of any action or threatened action, (2) the opportunity to take over and settle or defend any such action at Contractor’s sole expense, and (3) assistance in defending the action at Contractor’s sole expense. The Contractor shall not be liable for any cost, expense, or compromise incurred or made by the State or Customer in any legal action without the Contractor’s prior written consent, which shall not be unreasonably withheld. Limitation of Liability. For all claims against the Contractor under any contract or purchase order, and regardless of the basis on which the claim is made, the Contractor’s liability under a contract or purchase order for direct damages shall be limited to the greater of $100,000, the dollar amount of the contract or purchase order, or two times the charges rendered by the Contractor under the purchase order. This limitation shall not apply to claims arising under the Indemnity paragraph contain in this agreement.

Unless otherwise specifically enumerated in the Contract or in the purchase order, no party shall be liable to another for special, indirect, punitive, or consequential damages, including lost data or records (unless the contract or purchase order requires the Contractor to back-up data or records), even if the party has been advised that such damages are possible. No party shall be liable for lost profits, lost revenue, or lost institutional operating savings. The State and Customer may, in addition to other remedies available to them at law or equity and upon notice to the Contractor, retain such monies from amounts due Contractor as may be necessary to satisfy any claim for damages, penalties, costs and the like asserted by or against them. The State may set off any liability or other obligation of the Contractor or its affiliates to the State against any payments due the Contractor under any contract with the State.

21. Suspension of Work. The Customer may in its sole discretion suspend any or all activities under the Contract or purchase order, at any time, when in the best interests of the State to do so. The Customer shall provide the Contractor written notice outlining the particulars of suspension. Examples of the reason for suspension include, but are not limited to, budgetary constraints, declaration of emergency, or other such circumstances. After receiving a suspension notice, the Contractor shall comply with the notice and shall not accept any purchase orders.


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Within ninety days, or any longer period agreed to by the Contractor, the Customer shall either (1) issue a notice authorizing resumption of work, at which time activity shall resume, or (2) terminate the Contract or purchase order. Suspension of work shall not entitle the Contractor to any additional compensation.

22. Termination for Convenience. The Customer, by written notice to the Contractor, may terminate the Contract in whole or in part when the Customer determines in its sole discretion that it is in the State’s interest to do so. The Contractor shall not furnish any product after it receives the notice of termination, except as necessary to complete the continued portion of the Contract, if any. The Contractor shall not be entitled to recover any cancellation charges or lost profits.

23. Termination for Cause. The Customer may terminate the Contract if the Contractor fails to (1) deliver the product within the time specified in the Contract or any extension, (2) maintain adequate progress, thus endangering performance of the Contract, (3) honor any term of the Contract, or (4) abide by any statutory, regulatory, or licensing requirement. Rule 60A-1.006(3), F.A.C., governs the procedure and consequences of default. The Contractor shall continue work on any work not terminated. Except for defaults of subcontractors at any tier, the Contractor shall not be liable for any excess costs if the failure to perform the Contract arises from events completely beyond the control, and without the fault or negligence, of the Contractor. If the failure to perform is caused by the default of a subcontractor at any tier, and if the cause of the default is completely beyond the control of both the Contractor and the subcontractor, and without the fault or negligence of either, the Contractor shall not be liable for any excess costs for failure to perform, unless the subcontracted products were obtainable from other sources in sufficient time for the Contractor to meet the required delivery schedule. If, after termination, it is determined that the Contractor was not in default, or that the default was excusable, the rights and obligations of the parties shall be the same as if the termination had been issued for the convenience of the Customer. The rights and remedies of the Customer in this clause are in addition to any other rights and remedies provided by law or under the Contract.

24. Force Majeure, Notice of Delay, and No Damages for Delay. The Contractor shall not be responsible for delay resulting from its failure to perform if neither the fault nor the negligence of the Contractor or its employees or agents contributed to the delay and the delay is due directly to acts of God, wars, acts of public enemies, strikes, fires, floods, or other similar cause wholly beyond the Contractor’s control, or for any of the foregoing that affect subcontractors or suppliers if no alternate source of supply is available to the Contractor. In case of any delay the Contractor believes is excusable, the Contractor shall notify the Customer in writing of the delay or potential delay and describe the cause of the delay either (1) within ten (10) days after the cause that creates or will create the delay first arose, if the Contractor could reasonably foresee that a delay could occur as a result, or (2) if delay is not reasonably foreseeable, within five (5) days after the date the Contractor first had reason to believe that a delay could result. THE FOREGOING SHALL CONSTITUTE THE CONTRACTOR’S SOLE REMEDY OR EXCUSE


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WITH RESPECT TO DELAY. Providing notice in strict accordance with this paragraph is a condition precedent to such remedy. No claim for damages, other than for an extension of time, shall be asserted against the Customer. The Contractor shall not be entitled to an increase in the Contract price or payment of any kind from the Customer for direct, indirect, consequential, impact or other costs, expenses or damages, including but not limited to costs of acceleration or inefficiency, arising because of delay, disruption, interference, or hindrance from any cause whatsoever. If performance is suspended or delayed, in whole or in part, due to any of the causes described in this paragraph, after the causes have ceased to exist the Contractor shall perform at no increased cost, unless the Customer determines, in its sole discretion, that the delay will significantly impair the value of the Contract to the State or to Customers, in which case the Customer may (1) accept allocated performance or deliveries from the Contractor, provided that the Contractor grants preferential treatment to Customers with respect to products subjected to allocation, or (2) purchase from other sources (without recourse to and by the Contractor for the related costs and expenses) to replace all or part of the products that are the subject of the delay, which purchases may be deducted from the Contract quantity, or (3) terminate the Contract in whole or in part.

25. Changes. The Customer may unilaterally require, by written order, changes altering, adding to, or deducting from the Contract specifications, provided that such changes are within the general scope of the Contract. The Customer may make an equitable adjustment in the Contract price or delivery date if the change affects the cost or time of performance. Such equitable adjustments require the written consent of the Contractor, which shall not be unreasonably withheld. If unusual quantity requirements arise, the Customer may solicit separate bids to satisfy them.

26. Renewal. Upon mutual agreement, the Customer and the Contractor may renew the Contract, in whole or in part, for a period that may not exceed 3 years or the term of the contract, whichever period is longer. Any renewal shall specify the renewal price, as set forth in the solicitation response. The renewal must be in writing and signed by both parties, and is contingent upon satisfactory performance evaluations and subject to availability of funds.

27. Purchase Order Duration. Purchase orders issued pursuant to a state term or agency contract must be received by the Contractor no later than close of business on the last day of the contract’s term to be considered timely. The Contractor is obliged to fill those orders in accordance with the contract’s terms and conditions. Purchase orders received by the contractor after close of business on the last day of the state term or agency contract’s term shall be considered void.

Purchase orders for a one-time delivery of commodities or performance of contractual services shall be valid through the performance by the Contractor, and all terms and conditions of the state term or agency contract shall apply to the single delivery/performance, and shall survive the termination of the Contract.


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Contractors are required to accept purchase orders specifying delivery schedules exceeding the contracted schedule even when such extended delivery will occur after expiration of the state term or agency contract. For example, if a state term contract calls for delivery 30 days after receipt of order (ARO), and an order specifies delivery will occur both in excess of 30 days ARO and after expiration of the state term contract, the Contractor will accept the order. However, if the Contractor expressly and in writing notifies the ordering office within ten (10) calendar days of receipt of the purchase order that Contractor will not accept the extended delivery terms beyond the expiration of the state term contract, then the purchase order will either be amended in writing by the ordering entity within ten (10) calendar days of receipt of the contractor’s notice to reflect the state term contract delivery schedule, or it shall be considered withdrawn.

The duration of purchase orders for recurring deliveries of commodities or performance of services shall not exceed the expiration of the state term or agency contract by more than twelve months. However, if an extended pricing plan offered in the state term or agency contract is selected by the ordering entity, the contract terms on pricing plans and renewals shall govern the maximum duration of purchase orders reflecting such pricing plans and renewals.

Timely purchase orders shall be valid through their specified term and performance by the Contractor, and all terms and conditions of the state term or agency contract shall apply to the recurring delivery/performance as provided herein, and shall survive the termination of the Contract. Ordering offices shall not renew a purchase order issued pursuant to a state term or agency contract if the underlying contract expires prior to the effective date of the renewal.

28. Advertising. Subject to Chapter 119, Florida Statutes, the Contractor shall not publicly disseminate any information concerning the Contract without prior written approval from the Customer, including, but not limited to mentioning the Contract in a press release or other promotional material, identifying the Customer or the State as a reference, or otherwise linking the Contractor’s name and either a description of the Contract or the name of the State or the Customer in any material published, either in print or electronically, to any entity that is not a party to Contract, except potential or actual authorized distributors, dealers, resellers, or service representative.

29. Assignment. The Contractor shall not sell, assign or transfer any of its rights, duties or obligations under the Contract, or under any purchase order issued pursuant to the Contract, without the prior written consent of the Customer. In the event of any assignment, the Contractor remains secondarily liable for performance of the contract, unless the Customer expressly waives such secondary liability. The Customer may assign the Contract with prior written notice to Contractor of its intent to do so.


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30. Antitrust Assignment. The Contractor and the State of Florida recognize that in actual economic practice, overcharges resulting from antitrust violations are in fact usually borne by the State of Florida. Therefore, the contractor hereby assigns to the State of Florida any and all claims for such overcharges as to goods, materials or services purchased in connection with the Contract.

31. Dispute Resolution. Any dispute concerning performance of the Contract shall be decided by the Customer's designated contract manager, who shall reduce the decision to writing and serve a copy on the Contractor. The decision shall be final and conclusive unless within twenty one (21) days from the date of receipt, the Contractor files with the Customer a petition for administrative hearing. The Customer’s decision on the petition shall be final, subject to the Contractor’s right to review pursuant to Chapter 120 of the Florida Statutes. Exhaustion of administrative remedies is an absolute condition precedent to the Contractor's ability to pursue any other form of dispute resolution; provided, however, that the parties may employ the alternative dispute resolution procedures outlined in Chapter 120.

Without limiting the foregoing, the exclusive venue of any legal or equitable action that arises out of or relates to the Contract shall be the appropriate state court in Leon County, Florida; in any such action, Florida law shall apply and the parties waive any right to jury trial.

32. Employees, Subcontractors, and Agents. All Contractor employees, subcontractors, or agents performing work under the Contract shall be properly trained technicians who meet or exceed any specified training qualifications. Upon request, Contractor shall furnish a copy of technical certification or other proof of qualification.

All employees, subcontractors, or agents performing work under the Contract must comply with all security and administrative requirements of the Customer and shall comply with all controlling laws and regulations relevant to the services they are providing under the Contract. The State may conduct, and the Contractor shall cooperate in, a security background check or otherwise assess any employee, subcontractor, or agent furnished by the Contractor. The State may refuse access to, or require replacement of, any personnel for cause, including, but not limited to, technical or training qualifications, quality of work, change in security status, or non-compliance with a Customer’s security or other requirements. Such approval shall not relieve the Contractor of its obligation to perform all work in compliance with the Contract. The State may reject and bar from any facility for cause any of the Contractor’s employees, subcontractors, or agents.

33. Security and Confidentiality. The Contractor shall comply fully with all security procedures of the United States, State of Florida and Customer in performance of the Contract. The Contractor shall not divulge to third parties any confidential information obtained by the Contractor or its agents, distributors,

.


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resellers, subcontractors, officers or employees in the course of performing Contract work, including, but not limited to, security procedures, business operations information, or commercial proprietary information in the possession of the State or Customer. The Contractor shall not be required to keep confidential information or material that is publicly available through no fault of the Contractor, material that the Contractor developed independently without relying on the State’s or Customer’s confidential information, or material that is otherwise obtainable under State law as a public record. To insure confidentiality, the Contractor shall take appropriate steps as to its personnel, agents, and subcontractors. The warranties of this paragraph shall survive the Contract.

34.Contractor Employees, Subcontractors, and Other Agents. The Customer and the State shall take all actions necessary to ensure that Contractor's employees, subcontractors and other agents are not employees of the State of Florida. Such actions include, but are not limited to, ensuring that Contractor's employees, subcontractors, and other agents receive benefits and necessary insurance (health, workers' compensations, and unemployment) from an employer other than the State of Florida.

35. Insurance Requirements. During the Contract term, the Contractor at its sole expense shall provide commercial insurance of such a type and with such terms and limits as may be reasonably associated with the Contract. Providing and maintaining adequate insurance coverage is a material obligation of the Contractor. Upon request, the Contractor shall provide certificate of insurance. The limits of coverage under each policy maintained by the Contractor shall not be interpreted as limiting the Contractor’s liability and obligations under the Contract. All insurance policies shall be through insurers authorized or eligible to write policies in Florida.

36. Warranty of Authority. Each person signing the Contract warrants that he or she is duly authorized to do so and to bind the respective party to the Contract.

37. Warranty of Ability to Perform. The Contractor warrants that, to the best of its knowledge, there is no pending or threatened action, proceeding, or investigation, or any other legal or financial condition, that would in any way prohibit, restrain, or diminish the Contractor’s ability to satisfy its Contract obligations. The Contractor warrants that neither it nor any affiliate is currently on the convicted vendor list maintained pursuant to section 287.133 of the Florida Statutes, or on any similar list maintained by any other state or the federal government. The Contractor shall immediately notify the Customer in writingif its ability to perform is compromised in any manner during the term of the Contract.

38. Notices. All notices required under the Contract shall be delivered by certified mail, return receipt requested, by reputable air courier service, or by personal delivery to the agency designee identified in the original solicitation, or as otherwise identified by the Customer. Notices to the Contractor shall be delivered to the


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person who signs the Contract. Either designated recipient may notify the other, in writing, if someone else is designated to receive notice.

39. Leases and Installment Purchases. Prior approval of the Chief Financial Officer (as defined in Section 17.001, F.S.) is required for State agencies to enter into or to extend any lease or installment-purchase agreement in excess of the Category Two amount established by section 287.017 of the Florida Statutes.

40. Prison Rehabilitative Industries and Diversified Enterprises, Inc. (PRIDE). Section 946.515(2), F.S. requires the following statement to be included in the solicitation: "It is expressly understood and agreed that any articles which are the subject of, or required to carry out, the Contract shall be purchased from the corporation identified under Chapter 946 of the Florida Statutes (PRIDE) in the same manner and under the same procedures set forth in section 946.515(2) and (4) of the Florida Statutes; and for purposes of the Contract the person, firm, or other business entity carrying out the provisions of the Contract shall be deemed to be substituted for the agency insofar as dealings with such corporation are concerned." Additional information about PRIDE and the products it offers is available at http://www.pridefl.com.

41. Products Available from the Blind or Other Handicapped. Section 413.036(3), F.S. requires the following statement to be included in the solicitation: "It is expressly understood and agreed that any articles that are the subject of, or required to carry out, this contract shall be purchased from a nonprofit agency for the Blind or for the Severely Handicapped that is qualified pursuant to Chapter 413, Florida Statutes, in the same manner and under the same procedures set forth in section 413.036(1) and (2), Florida Statutes; and for purposes of this contract the person, firm, or other business entity carrying out the provisions of this contract shall be deemed to be substituted for the State agency insofar as dealings with such qualified nonprofit agency are concerned." Additional information about the designated nonprofit agency and the products it offers is available athttp://www.respectofflorida.org.

42. Modification of Terms. The Contract contains all the terms and conditions agreed upon by the parties, which terms and conditions shall govern all transactions between the Customer and the Contractor. The Contract may only be modified or amended upon mutual written agreement of the Customer and the Contractor. No oral agreements or representations shall be valid or binding upon the Customer or the Contractor. No alteration or modification of the Contract terms, including substitution of product, shall be valid or binding against the Customer. The Contractor may not unilaterally modify the terms of the Contract by affixing additional terms to product upon delivery (e.g., attachment or inclusion of standard preprinted forms, product literature, “shrink wrap” terms accompanying or affixed to a product, whether written or electronic) or by incorporating such terms onto the Contractor’s order or fiscal forms or other documents forwarded by the Contractor for payment. The Customer's acceptance of product or processing of documentation on forms furnished by the Contractor for approval or payment shall not constitute acceptance of the proposed modification to terms and conditions.


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43. Cooperative Purchasing. Pursuant to their own governing laws, and subject to the agreement of the Contractor, other entities may be permitted to make purchases at the terms and conditions contained herein. Non-Customer purchases are independent of the agreement between Customer and Contractor, and Customer shall not be a party to any transaction between the Contractor and any other purchaser.State agencies wishing to make purchases from this agreement are required to follow the provisions of s. 287.042(16)(a), F.S. This statute requires the Department of Management Services to determine that the requestor's use of the contract is cost-effective and in the best interest of the State.

44. Waiver. The delay or failure by the Customer to exercise or enforce any of its rights under this Contract shall not constitute or be deemed a waiver of the Customer’s right thereafter to enforce those rights, nor shall any single or partial exercise of any such right preclude any other or further exercise thereof or the exercise of any other right.

45. . Annual Appropriations. The State’s performance and obligation to pay under this contract are contingent upon an annual appropriation by the Legislature.

46. Execution in Counterparts. The Contract may be executed in counterparts, each of which shall be an original and all of which shall constitute but one and the same instrument.

47. Severability. If a court deems any provision of the Contract void or unenforceable, that provision shall be enforced only to the extent that it is not in violation of law or is not otherwise unenforceable and all other provisions shall remain in full force and effect.



Exhibit B Method of Compensation

Positive Train Control for the Central Florida Rail Corridor

Financial Project ID No. 412994-5-52-01

1 .0 PURPOSE

This exhibit defines the method and limits of compensation to be made to the Vendor for the services and commodities described in the contract documents and the method by which payments will be made.

2.0 COMPENSATION

This contract is for a Turn Key Positive Train Control system. For the successful delivery of the Positive Train Control System delivered in accordance with the contract documents and accepted by the Department, the Department will pay the Vendor $58,530,547.00. This is a Term Contract for a defined product whereby the Vendor agrees to furnish the services and commodities by the prescribed date. At this time $58,530,547.00 has been encumbered for the Development, Implementation and Equipment necessary to complete the PTC system as defined in the contract documents. In addition to this amount, additional funding for Hosting services shall be made available in the monthly amount of $122,944.00. At such time as the Department and Vendor agree that the Hosting services are due to commence a Letter of Authorization will be issued by the Department detailing the term of the hosting and the total cost based on the time remaining in the FDOT funding period. Subsequent to contract execution the Department will issue Notice to Proceed for the commencement of services under this agreement.

The Department, based on need and availability of budget, may increase the Contract amount by amendment. At the Department’s option additional commodities may be added to the contract through one or more written authorizations or supplemental amendments, contingent upon legislative appropriation and budget approval.

Details of Compensation

2.1.1 Required Services, Positive Train Control System

For the services and commodities defined in the contract documents the Vendor shall be paid in accordance with Table 1 Milestone Schedule of Payment Values.

2.1.3 Hosting Services:

. The Department will issue a Letter of Authorization adding the funding necessary for Hosting services as defined “A”, Scope of Services. Hosting services shall be paid at a monthly rate of $122,944.00 for each month that the services are completed and accepted by the Department. It is anticipated that the term of the Hosting services provided for under this agreement will be 35 months from Notice to Proceed for the Hosting Services.

2.1.4 Optional Hosting Services, (After the FDOT funding Period) If this agreement is assigned to the Central Florida Rail Commission (the Commission) Hosting services will be available to the Commission in accordance with the contract documents for three, one-year renewal periods commencing on the date agreed to by the Department and The Commission. The Commission will issue a Letter of Authorization for the renewal for the continuation of services, funding and payments. It is anticipated that this will occur in May of 2021. Execution of this Agreement does not guarantee that the Optional Hosting Services will be authorized.

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It is agreed that the Optional Hosting Services shall be made available to The Commission at a cost of $116,860.00 per month.

2.1.4 Spare Parts and Maintenance Tools

The Department may purchase spare parts and Maintenance tools necessary for the successful operation and maintenance for the Positive Train Control System. The Quantity and delivery location and date of delivery for each item shall be at the sole discretion of the Department. Additional Spare Parts may be purchased for a total cost equal to cost per part plus 2 percent.

2.1.5 Liquidated Damages

The Vendor acknowledges that failure to complete the services by the completion date designated in the Technical Specification and Exhibit “A” Scope of Services may cause the Department to incur damages that, at present are, and upon the occurrence of the failure to timely complete the services may be, difficult to determine. Moreover, the Parties wish to avoid lengthy and expensive litigation relating to failure to complete the services on time. Therefore, in the event the Vendor fails to complete the authorized services by the completion date designated in the contract documents, the Department may exercise the remedy of liquidated damages against the Vendor, in the amounts of $3,500.00 per day after the applicable milestone as shown in Exhibit “A”, Scope of Services for Test Track RSD date shown in the project critical path schedule has passed.

Parties agree that if the Department allows the Vendor to continue and finish the services, or any part of it, after the expiration of the time allowed, that the Department’s action shall in no way act as a waiver on the part of the Department of the liquidated damages due under this contract. The Vendor shall pay said sum to the Department not as a penalty, but as liquidated damages. Liquidated Damages will be assessed and deducted from the monthly invoice.

3.0 INVOICING PROCEDURE

The Vendor will be eligible for progress payments under this Agreement at intervals not less than monthly or when individual tasks or milestones defined in Table 1 - Milestone Schedule of Payment Values are completed or reached.

The Vendor shall provide a certificate at the time of each milestone as indicated in Table 1, Milestone Schedule of Payment Values, certifying the amount of work completed by the Vendor. For payment approval by the Department, all invoices must be in compliance with all requirements of the Contract Documents.

Payments shall be achieved and become eligible for payment in accordance with Table 1 - Milestone Schedule of Payment Values. The Vendor shall submit with each invoice certification that all requirements of each milestone have been completed and approved by the Department. The Department shall verify that all deliverables meet the requirements of the contract documents.

Payment for spare parts shall be achieved and become eligible for payment at such time as the Department confirms in writing that all part specified have been delivered and accepted by the Department.

Documentation must be on file with the Vendor and forwarded to the Department to support the invoiced costs. The Vendor shall maintain books and records as related to this Agreement in such a manner that supports each invoice.

4.0 PROJECT CLOSEOUT

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4.1 Final Audit

If requested, the Vendor, upon reasonable notification, will permit the Department or FTA to perform or have performed an audit of the records of the Vendor and any or all sub-vendors to support the compensation paid the Vendor. The audit will be performed as soon as practical after completion and acceptance of the contracted services. In the event funds paid to the Vendor under this agreement are subsequently properly disallowed by the Department because of accounting errors or changes not in conformity with this Agreement, the Vendor agrees that such disallowed costs are due to the Department upon reasonable documentation substantiating the amounts are in fact due.

5.0 PAYMENT SCHEDULES

The Milestone Schedule of Payment Values is for payment and project completion purposes only and is shown in Table 1. Each milestone listed in Table 1 shall be completed and accepted by the Department prior to submitting an invoice for payment. Invoices will be paid in accordance with this Exhibit B.

Ongoing Hosted Service payments shall be submitted monthly for the Term of the Contract. A separate Amendment shall be prepared that outlines the terms and conditions of such monthly payments.

No Table 1, Payment Milestone Amount

155 Total Contract Amount: SunRail $58,530,547

7 PMO Total $7,316,318

1 Deployment of Contract Resources $1,755,916

2 Project Schedule - Final - Submission for Approval $292,653

3 CDRL List Submission for Approval $585,305

4 Document Control Plan Submission for Approval $585,305

5 Master Training Plan Submission for Approval $585,305

6 Substantial Completion $1,170,611

7 Final Acceptance $2,341,222

23 SYSTEMS ENGINEERING/INTEGRATON Total $10,652,560

13 Systems Engineering Sub Total $5,560,402

8 System Implementation Plan Submission for Approval $292,653

9 Configuration Items List Submission for Approval $585,305

10 Master Test Plan Submission for Approval $585,305

11 Track Database Management Plan Submission for Approval $585,305

12 Integrated Work Plan Submission for Approval $585,305

13 Database Configuration Management Plan Submission for Approval $585,305

14 PTC Safety Plan Submission for Approval $585,305

15 PTC System Concept of Operation Submission for Approval $292,653

16 Interface Requirement Specification Submission for Approval $292,653

17 Requirements Traceability Matrix Submission for Approval $292,653

18 Acceptance Testing and Commissioning Plan Submission for Approval $292,653

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19 PTC System Safety Program Plan Approved $292,653

20 PTC System Architecture and System Design - Final Submission for Approval $292,653

10 Systems Integration Sub Total $5,092,158

21 Lab Integration Test Plan Submission for Approval - Limited RSD $877,958

22 Lab Integration Test Results Approved - Limited RSD $468,244

23 Field Integration Test Plan Submission for Approval - Limited RSD $468,244

24 Limited RSD Starts $468,244

25 Lab Integration Test Plan Submission for Approval - RSD $468,244

26 Lab Integration Test Results Approved - RSD $468,244

27 Field Integration Test Plan Submission for Approval - RSD $468,244

28 System Acceptance / RSD / Beneficial Use $468,244

29 Formal PTCSP Submission for Approval to FRA $468,244

30 Field Integration Test Results Approved $468,244

7 TRACK DATA SERVICES (GIS) Total $3,254,298

31 Site Survey, GIS File 1 Submission for Approval $585,305

32 Site Survey, GIS File 2 Submission for Approval for Approval $585,305

33 SubDiv File (CFV Validated) Submission for Approval - Limited RSD $421,420

34 WIU Validation Submission for Approval - Limited RSD $415,567

35 SubDiv File (CFV Validated) Submission for Approval - RSD $415,567

36 WIU Validation Submission for Approval - RSD $415,567

37 Track Data Services (GIS) File Approved $415,567

19 COMMUNICATIONS IMPLEMENTATION [4] Total $7,608,971

38 Comms PDR Design Submission for Approval $292,653

39 Comms PDR Design Approved $292,653

40 Comms FDR Design Submission for Approval $292,653

41 Comms FDR Design Approved $292,653

42 Comms Design 100% - Issue for Construction (IFC) $292,653

43 Comms Material Delivered - Segment 1 $438,979

44 Comms Equipment Installed and Functionally Tested - Segment 1 $438,979







51 Comms Radio Site Installed and Functionally Tested (1st Location) $438,979

52 Comms Radio Site Installed and Functionally Tested (2nd Location) $438,979

53 Comms Radio Site Installed and Functionally Tested (3rd Location) $438,979

54 Comms Radio Site Installed and Functionally Tested (4th Location) $438,979


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41 WAYSIDE IMPLEMENTATION [4] Total $11,553,930

57 Signal HW Design 100% - Issue for Construction (IFC) - Segment 1 - Test Track $292,653

58 Signal SW Design 100% - Issue for Construction (IFC) - Segment 1 - Test Track $292,653

59 Signal Material Delivered - Segment 1 - Test Track $2,341,222

60 Signal Kits Installed and Functionally Tested - Segment 1 - Test Track $234,122

61 Signal HW PDR Design Submission for Approval - Segment 2 - IOS $193,151

62 Signal HW PDR Design Approved - Segment 2 - IOS $193,151

63 Signal HW FDR Design Submission for Approval - Segment 2 - IOS $163,886

64 Signal HW FDR Design Approved - Segment 2 - IOS $163,886

65 Signal HW Design 100% - Issue for Construction (IFC) - Segment 2 - IOS $234,122

66 Signal SW PDR Design Submission for Approval - Segment 2 - IOS $193,151

67 Signal SW PDR Design Approved - Segment 2 - IOS $193,151

68 Signal SW FDR Design Submission for Approval - Segment 2 - IOS $163,886

69 Signal SW FDR Design Approved - Segment 2 - IOS $163,886

70 Signal SW Design 100% - Issue for Construction (IFC) - Segment 2 - IOS $351,183

71 Signal Material Delivered - Segment 2 - IOS $351,183

72 Signal HW Installed and Functionally Tested - Segment 2 - IOS $234,122

73 Signal HW PDR Design Submission for Approval - Segment 3 - P2S $193,151

74 Signal HW PDR Design Approved - Segment 3 - P2S $193,151

75 Signal HW FDR Design Submission for Approval - Segment 3 - P2S $163,886

76 Signal HW FDR Design Approved - Segment 3 - P2S $163,886

77 Signal HW Design 100% - Issue for Construction (IFC) - Segment 3 - P2S $351,183

78 Signal SW PDR Design Submission for Approval - Segment 3 - P2S $199,004

79 Signal SW PDR Design Approved - Segment 3 - P2S $199,004

80 Signal SW FDR Design Submission for Approval - Segment 3 - P2S $163,886

81 Signal SW FDR Design Approved - Segment 3 - P2S $163,886

82 Signal SW Design 100% - Issue for Construction (IFC) - Segment 3 - P2S $351,183

83 Signal Material Delivered - Segment 3 - P2S $351,183

84 Signal HW Installed and Functionally Tested - Segment 3 - P2S $234,122

85 Signal HW PDR Design Submission for Approval - Segment 4 - P2N $199,004

86 Signal HW PDR Design Approved - Segment 4 - P2N $199,004

87 Signal HW FDR Design Submission for Approval - Segment 4 - P2N $158,032

88 Signal HW FDR Design Approved - Segment 4 - P2N $158,032

89 Signal HW Design 100% - Issue for Construction (IFC) - Segment 4 - P2N $351,183

90 Signal SW PDR Design Submission for Approval - Segment 4 - P2N $199,004

91 Signal SW PDR Design Approved - Segment 4 - P2N $199,004

92 Signal SW FDR Design Submission for Approval - Segment 4 - P2N $158,032

93 Signal SW FDR Design Approved - Segment 4 - P2N $158,032

94 Signal SW Design 100% - Issue for Construction (IFC) - Segment 4 - P2N $351,183

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95 Signal Material Delivered - Segment 4 - P2N $351,183

96 Signal HW Installed and Functionally Tested - Segment 4 - P2N $234,122

97 Signal Cutover - Segment 4 - P2N $351,183

27 ONBOARD IMPLEMENTATION - [24] Total $5,267,749

98 Installation Guides Final Submission for Approval $585,305

99 Onboard Material MP32PH Delivered $585,305

100 MP32PH Installed and Functionally Tested - Pilot $146,326

101 MP32PH Installed and Functionally Tested - 2 $146,326










111 Onboard Material Bombardier Delivered $585,305

112 Bombardier Installed and Functionally Tested - Pilot $146,326

113 Bombardier Installed and Functionally Tested - 2 $146,326












13 DISPATCH CAD Total $8,194,277

125 SRS Review with Customer to Start Software Development $877,958

126 BOS Design Review $877,958

127 VPN Established Complete $585,305

128 Segment Test BOS, MDM and IC3 Software Complete $585,305

129 Release of Final BOS, MDM and IC3 Build to LINN Test $585,305

130 BOS Software Delivered (PTC Ready) $585,305

131 TMDS CAD - Segment Test Complete $585,305

132 CAD Software Installed (PTC Ready) $585,305

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133 Release of Final CAD Build to LINN Test $585,305

134 Update CAD Manual Complete $585,305

135 CAD Cutover $585,305

136 CAD/BOS System Test Complete (PTC Ready) $585,305

137 BOS/OB LINN Test Complete $585,305

16 TRAINING (Operations & Maintenance Manuals) Total $3,804,486

138 Comms Training Program Plan Submission for Approval $292,653

139 Comms Training Plan Approved $146,326

140 Comms Operations and Maintenance Manuals $146,326

141 Comms Training Executed $146,326

142 Signaling Training Program Plan Submission for Approval $585,305

143 Signaling Training Plan Approved $146,326

144 Signaling Operations and Maintenance Manuals $146,326

145 Signaling Training Executed $146,326

146 Onboard Training Program Plan Submission for Approval $585,305

147 Onboard Training Plan Approved $146,326

148 Onboard Operations and Maintenance Manuals $146,326

149 Onboard Training Executed $146,326

150 Office Training Program Plan Submission for Approval $585,305

151 Office Training Plan Approved $146,326

152 Office Operations and Maintenance Manuals $146,326

153 Office Training Executed $146,326

2 HOSTING Total $877,958

154 Federation with Tenant Railroads Approved $292,653

155 Hosting Segment Delivered $585,305

Contract Total 58,530,547

6.0 TANGIBLE PERSONAL PROPERTY:

This contract includes the purchase of Tangible Personal Property as defined in Chapter 273, F.S., and is acquired in accordance with Rule 60A-1.017, Florida Administrative Code. The specific property(ies) are detailed in the contract documents, and will be subsequently transferred to and controlled by the Department upon completion of services or end of the contract, whichever occurs first. Upon receipt of property, the Vendor shall forward to the Department a property list to include the invoice/property description/serial number and date of receipt. The Department will forward inventory control label(s) to be affixed to all property. The Vendor will accommodate physical inventories required by this agreement.

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Florida Department of Transportation District 5

EXHIBIT “C”

REQUIRED CONTRACT PROVISIONS FOR FEDERAL TRANSIT ADMINISTRATION FEDERAL-

AID CONTRACT

For

Central Florida Rail Corridor (CFCR) Positive Train Control (PTC)

Financial Projects Number(s): _412994-5-52-01_ Federal Aid Project Number(s): __N/A_______

Contract Number: _________ BE494


REQUIRED CONTRACT PROVISIONS FOR FEDERAL TRANSIT ADMINISTRATION FEDERAL-AID

CONTRACT

I. FLY AMERICA REQUIREMENTS ...................................................................... 3 II. CARGO PREFERENCE REQUIREMENTS......................................................... 3 III. ENERGY CONSERVATION ................................................................................ 3 IV. CLEAN WATER .................................................................................................... 3 V. LOBBYING ............................................................................................................ 4 VI. ACCESS TO RECORDS ........................................................................................ 5 VII. FEDERAL CHANGES ........................................................................................... 6 VIII. CLEAN AIR……………………………………………………………………… 6 IX. RECYCLED PRODUCTS ..................................................................................... 7 X. CONTRACT WORK HOURS AND SAFETY STANDARDS ............................ 7 XI. NO OBLIGATION BY THE FEDERAL GOVERNMENT. ................................. 8 XII. PROGRAM FRAUD AND FALSE OR FRAUDULENT STATEMENTS OR

RELATED ACTS. .................................................................................................. 8 XIII. GOVERNMENT-WIDE DEBARMENT AND SUSPENSION

(NONPROCUREMENT) ....................................................................................... 9 XIV. PRIVACY ACT ...................................................................................................... 9 XV. CIVIL RIGHTS REQUIREMENTS..................................................................... 10 XVI. TRANSIT EMPLOYEE PROTECTIVE AGREEMENTS…………………….. 11 XVII. PARTICIPATION BY DISADVANTAGED BUSINESS ENTERPRISES……12 XVIII. ACCESS FOR INDIVIDUALS WITH DISABILITIES………….…… ……...12 XIX. DRUG AND ALCOHOL TESTING……………………………………………13 XX. SENSITIVE SECURITY INFORMATION………………………….………… .13 XXI. INTELLIGENT TRANSPORTATION SYSTEMS………….………………..... 13 XXII. INCORPORATION OF FEDERAL TRANSIT ADMINISTRATION (FTA)

TERMS…………………………………………………………….………….….14 XXIV. DAVIS-BACON AND COPELAND ANTI-KICKBACK ACTS ....................... 14 XXV. BUY AMERICA ................................................................................................... 20


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I. FLY AMERICA REQUIREMENTS The Vendor agrees to comply with 49 U.S.C. 40118 (the “Fly America” Act) in accordance with the General Services Administration’s regulations at 41 CFR Part 301-10, which provide that recipients and subrecipients of Federal funds and their contractors are required to use U.S. Flag air carriers for U.S Government-financed international air travel and transportation of their personal effects or property, to the extent such service is available, unless travel by foreign air carrier is a matter of necessity, as defined by the Fly America Act. The Vendor shall submit, if a foreign air carrier was used, an appropriate certification or memorandum adequately explaining why service by a U.S. flag air carrier was not available or why it was necessary to use a foreign air carrier and shall, in any event, provide a certificate of compliance with the Fly America requirements. The Vendor agrees to include the requirements of this section in all subcontracts that may involve international air transportation. II. CARGO PREFERENCE REQUIREMENTS Cargo Preference - Use of United States-Flag Vessels - The Vendor agrees: a. to use privately owned United States-Flag commercial vessels to ship at least 50 percent of the gross tonnage (computed separately for dry bulk carriers, dry cargo liners, and tankers) involved, whenever shipping any equipment, material, or commodities pursuant to the underlying contract to the extent such vessels are available at fair and reasonable rates for United States-Flag commercial vessels; b. to furnish within 20 working days following the date of loading for shipments originating within the United States or within 30 working days following the date of leading for shipments originating outside the United States, a legible copy of a rated, "on-board" commercial ocean bill-of -lading in English for each shipment of cargo described in the preceding paragraph to the Division of National Cargo, Office of Market Development, Maritime Administration, Washington, DC 20590 and to the FTA recipient (through the contractor in the case of a subcontractor's bill-of-lading.) c. to include these requirements in all subcontracts issued pursuant to this contract when the subcontract may involve the transport of equipment, material, or commodities by ocean vessel. III. ENERGY CONSERVATION The Vendor agrees to comply with mandatory standards and policies relating to energy efficiency which are contained in the state energy conservation plan issued in compliance with the Energy Policy and Conservation Act. IV. CLEAN WATER (1) The Vendor agrees to comply with all applicable standards, orders or regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251 et seq.


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The Vendor agrees to report each violation to the Purchaser and understands and agrees that the Purchaser will, in turn, report each violation as required to assure notification to FTA and the appropriate EPA Regional Office. (2) The Vendor also agrees to include these requirements in each subcontract exceeding$100,000 financed in whole or in part with Federal assistance provided by FTA.

V. LOBBYINGByrd Anti-Lobbying Amendment, 31 U.S.C. 1352, as amended by the Lobbying Disclosure Act of 1995, P.L. 104-65 [to be codified at 2 U.S.C. § 1601, et seq.] - Vendors who apply or bid for an award of $100,000 or more shall file the certification required by 49 CFR part 20, "New Restrictions on Lobbying." Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. Each tier shall also disclose the name of any registrant under the Lobbying Disclosure Act of 1995 who has made lobbying contacts on its behalf with non-Federal funds with respect to that Federal contract, grant or award covered by 31 U.S.C. 1352. Such disclosures are forwarded from tier to tier up to the recipient. APPENDIX A, 49 CFR PART 20--CERTIFICATION REGARDING LOBBYING Certification for Contracts, Grants, Loans, and Cooperative Agreements (To be submitted with each bid or offer exceeding $100,000) The undersigned [Vendor] certifies, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of theundersigned, to any person for influencing or attempting to influence an officer or employeeof an agency, a Member of Congress, an officer or employee of Congress, or an employeeof a Member of Congress in connection with the awarding of any Federal contract, themaking of any Federal grant, the making of any Federal loan, the entering into of anycooperative agreement, and the extension, continuation, renewal, amendment, ormodification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to anyperson for making lobbying contacts to an officer or employee of any agency, a Member ofCongress, an officer or employee of Congress, or an employee of a Member of Congress inconnection with this Federal contract, grant, loan, or cooperative agreement, theundersigned shall complete and submit Standard Form--LLL, "Disclosure Form to ReportLobbying," in accordance with its instructions [as amended by "Government wide Guidancefor New Restrictions on Lobbying," 61 Fed. Reg. 1413 (1/19/96). Note: Language inparagraph (2) herein has been modified in accordance with Section 10 of the Lobbying


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Disclosure Act of 1995 (P.L. 104-65, to be codified at 2 U.S.C. 1601, et seq.)] (3) The undersigned shall require that the language of this certification be included in theaward documents for all subawards at all tiers (including subcontracts, subgrants, andcontracts under grants, loans, and cooperative agreements) and that all subrecipients shallcertify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31, U.S.C. § 1352 (as amended by the Lobbying Disclosure Act of 1995). Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. [Note: Pursuant to 31 U.S.C. § 1352(c)(1)-(2)(A), any person who makes a prohibited expenditure or fails to file or amend a required certification or disclosure form shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such expenditure or failure.] The Vendor, ___________________, certifies or affirms the truthfulness and accuracy of each statement of its certification and disclosure, if any. In addition, the Contractor understands and agrees that the provisions of 31 U.S.C. A 3801, et seq., apply to this certification and disclosure, if any. __________________________ Signature of Vendor’s Authorized Official __________________________ Name and Title of Vendor’s Authorized Official ___________________________ Date

VI. ACCESS TO RECORDSThe following access to records requirements apply to this Contract:1. Vendor agrees to provide the Purchaser, the FTA Administrator or his authorizedrepresentatives, including any PMO Contractor, access to the Vendor’s records andconstruction sites pertaining to a major capital project, defined at 49 U.S.C. 5302(a)1, whichis receiving federal financial assistance through the programs described at 49 U.S.C. 5307,5309 or 5311. By definition, a major capital project excludes contracts of less than thesimplified acquisition threshold currently set at $100,000.2. Where any Purchaser which is the FTA Recipient or a subgrantee of the FTA Recipientin accordance with 49 U.S.C. 5325(a) enters into a contract for a capital project orimprovement (defined at 49 U.S.C. 5302(a)1) through other than competitive bidding, theVendor shall make available records related to the contract to the Purchaser, the Secretary of

Xorail, Inc.

Michael Choat, President


11/7/2017 | 4:35 PM EST

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Transportation and the Comptroller General or any authorized officer or employee of any of them for the purposes of conducting an audit and inspection. 3. The Vendor shall provide to the U.S. Secretary of Transportation and the ComptrollerGeneral of the United States, or their duly authorized representatives, access to all thirdparty records as required by 49 U.S.C. section 5325 (g). The Vendor shall further providesufficient access to third party procurement records as needed for compliance with Federallaws and regulations or to assure Project management as determined by FTA.4. The Vendor agrees to permit any of the foregoing parties to reproduce by any meanswhatsoever or to copy excerpts and transcriptions as reasonably needed.5. The Vendor agrees to maintain all books, records, accounts and reports required underthis contract for a period of not less than three years after the date of termination orexpiration of this contract, except in the event of litigation or settlement of claims arisingfrom the performance of this contract, in which case Vendor agrees to maintain same untilthe Purchaser, the FTA Administrator, the Comptroller General, or any of their dulyauthorized representatives, have disposed of all such litigation, appeals, claims or exceptionsrelated thereto.6. Vendor shall also include in its subcontracts the requirement that the subcontractors shallprovide to the U.S. Secretary of Transportation and the Comptroller General of the UnitedStates or their duly authorized representatives access to all third party contract records asrequired by 49 U.S.C. section 5325 (g), and shall further provide sufficient access to thirdparty procurement records as needed for compliance with Federal laws and regulations or toassure Project management as determined by FTA.

VII. FEDERAL CHANGESVendor shall at all times comply with all applicable Federal laws, regulations, and directives, including without limitation those listed directly or by reference in the Master Agreement between the Florida Department of Transportation and FTA, as they may be amended or promulgated from time to time during the term of this contract, except to the extent that FTA determines otherwise in writing, which Master Agreement is hereby incorporated herein by this reference. All standards or limits in the Grant Agreement or Cooperative Agreement for the Project, and in the Master Agreement, are minimum requirements, unless modified by FTA. Vendor’s failure to so comply shall constitute a material breach of this contract. VIII. CLEAN AIR(1) The Vendor agrees to comply with all applicable standards, orders or regulations issuedpursuant to the Clean Air Act, as amended, 42 U.S.C. §§ 7401 et seq. The Vendor agrees to


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report each violation to the Purchaser and understands and agrees that the Purchaser will, in turn, report each violation as required to assure notification to FTA and the appropriate EPA Regional Office. (2) The Vendor also agrees to include these requirements in each subcontract exceeding$100,000 financed in whole or in part with Federal assistance provided by FTA.

IX. RECYCLED PRODUCTSRecovered Materials - The Vendor agrees to comply with all the requirements of Section 6002 of the Resource Conservation and Recovery Act (RCRA), as amended (42 U.S.C. 6962), including but not limited to the regulatory provisions of 40 CFR Part 247, and Executive Order 12873, as they apply to the procurement of the items designated in Subpart B of 40 CFR Part 247.

X. CONTRACT WORK HOURS AND SAFETY STANDARDSThe Vendor is required to comply with employee protection requirements for nonconstruction employees of the Contract Work hours and Safety Standards Act, as amended, 40 U.S.C. section 3701 et. seq., in particular section 102 of that Act at 40 U.S.C. 3702, and the implementing regulations 29 C.F.R Part 5, in particular at 5.5 (b) as follows: (1) Overtime requirements - No contractor or subcontractor contracting for any part of thecontract work which may require or involve the employment of laborers or mechanics shallrequire or permit any such laborer or mechanic in any workweek in which he or she isemployed on such work to work in excess of forty hours in such workweek unless suchlaborer or mechanic receives compensation at a rate not less than one and one-half times thebasic rate of pay for all hours worked in excess of forty hours in such workweek.(2) Violation; liability for unpaid wages; liquidated damages - In the event of anyviolation of the clause set forth in paragraph (1) of this section the contractor and anysubcontractor responsible therefor shall be liable for the unpaid wages. In addition, suchcontractor and subcontractor shall be liable to the United States (in the case of work doneunder contract for the District of Columbia or a territory, to such District or to suchterritory) for liquidated damages. Such liquidated damages shall be computed with respectto each individual laborer or mechanic, including watchmen and guards, employed inviolation of the clause set forth in paragraph (1) of this section, in the sum of $10 for eachcalendar day on which such individual was required or permitted to work in excess of thestandard workweek of forty hours without payment of the overtime wages required by theclause set forth in paragraph (1) of this section.3) Withholding for unpaid wages and liquidated damages - The Department shall upon


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its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (2) of this section. (4) Subcontracts - The contractor or subcontractor shall insert in any subcontracts theclauses set forth in paragraphs (1) through (4) of this section and also a clause requiring thesubcontractors to include these clauses in any lower tier subcontracts. The prime contractorshall be responsible for compliance by any subcontractor or lower tier subcontractor withthe clauses set forth in paragraphs (1) through (4) of this section.

XI. NO OBLIGATION BY THE FEDERAL GOVERNMENT(1) The Vendor acknowledges and agrees that, notwithstanding any concurrence by theFederal Government in or approval of the solicitation or award of the underlying contract,absent the express written consent by the Federal Government, the Federal Government isnot a party to this contract and shall not be subject to any obligations or liabilities to theVendor, or any other party (whether or not a party to that contract) pertaining to any matterresulting from the underlying contract.(2) The Vendor agrees to include the above clause in each subcontract financed in whole orin part with Federal assistance provided by FTA. It is further agreed that the clause shall notbe modified, except to identify the subcontractor who will be subject to its provisions.

XII. PROGRAM FRAUD AND FALSE OR FRAULENT STATEMENTSOR RELATED ACTS

(1) The Vendor acknowledges that the provisions of the Program Fraud Civil Remedies Actof 1986, as amended, 31 U.S.C. § 3801 et seq. and U.S. DOT regulations, "Program FraudCivil Remedies," 49 C.F.R. Part 31, apply to its actions pertaining to this Project. Uponexecution of the underlying contract, the Vendor certifies or affirms the truthfulness andaccuracy of any statement it has made, it makes, it may make, or causes to be made,pertaining to the underlying contract or the FTA assisted project for which this contractwork is being performed. In addition to other penalties that may be applicable, the Vendorfurther acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulentclaim, statement, submission, or certification, the Federal Government reserves the right toimpose the penalties of the Program Fraud CivilRemedies Act of 1986 on the Vendor to the extent the Federal Government deemsappropriate.(2) The Vendor also acknowledges that if it makes, or causes to be made, a false, fictitious,


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or fraudulent claim, statement, submission, or certification to the Federal Government under a contract connected with a project that is financed in whole or in part with Federal assistance originally awarded by FTA under the authority of 49 U.S.C. § 5307, the Government reserves the right to impose the penalties of 18 U.S.C. § 1001 and 49 U.S.C. § 5307(n)(1) on the Vendor, to the extent the Federal Government deems appropriate. (3) The Vendor agrees to include the above two clauses in each subcontract financed inwhole or in part with Federal assistance provided by FTA. It is further agreed that theclauses shall not be modified, except to identify the subcontractor who will be subject to theprovisions.

XIII. GOVERNMENT-WIDE DEBARMENT AND SUSPENSION(NONPROCUREMENT)

The Vendor is required to comply with 2 CFR 1200 and 2 CFR 180, Subpart 3, and must include the requirement to comply with 2 CFR 180, Subpart 3, as supplemented by 2 CFR 1200, in any lower tier covered transaction it enters into. By signing and submitting its bid or proposal, the bidder or proposer certifies as follows: The certification in this clause is a material representation of fact relied upon by the Department. If it is later determined that the bidder or proposer knowingly rendered an erroneous certification, in addition to remedies available to the Department, the Federal Government may pursue available remedies, including but not limited to suspension and/or debarment. The bidder or proposer agrees to comply with the requirements of 2 CFR 1200 and 2 CFR 180, Subpart C, while this offer is valid and throughout the period of any contract that may arise from this offer. The bidder or proposer further agrees to include a provision requiring such compliance in its lower tier covered transactions.

XIV. PRIVACY ACTContracts Involving Federal Privacy Act Requirements - The following requirements apply to the Vendor and its employees that administer any system of records on behalf of the Federal Government under any contract: (1) The Vendor agrees to comply with, and assures the compliance of its employees with,the information restrictions and other applicable requirements of the Privacy Act of 1974,5 U.S.C. § 552a. Among other things, the Vendor agrees to obtain the express consent of the Federal Government before the Contractor or its employees operate a system of records on behalf of the Federal Government. The Vendor understands that the requirements of the Privacy Act, including the civil and criminal penalties for violation of that Act, apply to those individuals involved, and that failure to comply with the terms of the Privacy Act may result in termination of the underlying contract.


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(2) The Vendor also agrees to include these requirements in each subcontract to administerany system of records on behalf of the Federal Government financed in whole or in partwith Federal assistance provided by FTA.

XV. CIVIL RIGHTS REQUIREMENTSCivil Rights - The following requirements apply to the underlying contract:(1) Nondiscrimination - In accordance with Title VI of the Civil Rights Act, as amended, 42U.S.C. § 2000d, section 303 of the Age Discrimination Act of 1975, as amended, 42 U.S.C.§ 6102, section 202 of the Americans with Disabilities Act of 1990, 42 U.S.C. § 12132, andFederal transit law at 49 U.S.C. § 5332, the Vendor agrees that it will not discriminateagainst any employee or applicant for employment because of race, color, creed, nationalorigin, sex, age, or disability. In addition, the Vendor agrees to comply with applicableFederal implementing regulations and other implementing requirements FTA may issue.(2) Equal Employment Opportunity - The following equal employment opportunityrequirements apply to the underlying contract: (a) Race, Color, Creed, National Origin, Sex - In accordance with Title VII of the CivilRights Act, as amended, 42 U.S.C. § 2000e, and Federal transit laws at 49 U.S.C. § 5332,the Contractor agrees to comply with all applicable equal employment opportunityrequirements of U.S. Department of Labor (U.S. DOL) regulations, "Office of FederalContract Compliance Programs, Equal Employment Opportunity, Department of Labor," 41C.F.R. Parts 60 et seq., (which implement Executive Order No. 11246, "Equal EmploymentOpportunity," as amended by Executive Order No. 11375, "Amending Executive Order11246 Relating to Equal Employment Opportunity," 42 U.S.C. § 2000e note), and with anyapplicable Federal statutes, executive orders, regulations, and Federal policies that may inthe future affect construction activities undertaken in the course of the Project. The Vendoragrees to take affirmative action to ensure that applicants are employed, and that employeesare treated during employment, without regard to their race, color, creed, national origin,sex, or age. Such action shall include, but not be limited to, the following: employment,upgrading, demotion or transfer, recruitment or recruitment advertising, layoff ortermination; rates of pay or other forms of compensation; and selection for training,including apprenticeship. In addition, the Vendor agrees to comply with any implementingrequirements FTA may issue. (b) Age - In accordance with section 4 of the Age Discrimination in Employment Act of1967, as amended, 29 U.S.C. § § 623 and Federal transit law at 49 U.S.C. § 5332, theContractor agrees to refrain from discrimination against present and prospective employeesfor reason of age. In addition, the Vendor agrees to comply with any implementingrequirements FTA may issue. (c) Disabilities - In accordance with section 102 of the Americans with Disabilities Act, asamended, 42 U.S.C. § 12112, the Contractor agrees that it will comply with the


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requirements of U.S. Equal Employment Opportunity Commission, "Regulations to Implement the Equal Employment Provisions of the Americans with Disabilities Act," 29 C.F.R. Part 1630, pertaining to employment of persons with disabilities. In addition, theContractor agrees to comply with any implementing requirements FTA may issue. (3) The Vendor also agrees to include these requirements in each subcontract financed inwhole or in part with Federal assistance provided by FTA, modified only if necessary toidentify the affected parties.

XVI. TRANSIT EMPLOYEE PROTECTIVE AGREEMENTSTransit Employee Protective Provisions. (1) The Vendor agrees to comply with applicable transit employee protective requirements as follows: (a) General Transit Employee Protective Requirements - To the extent that FTA determinesthat transit operations are involved, the Vendor agrees to carry out the transit operationswork on the underlying contract in compliance with terms and conditions determined by theU.S. Secretary of Labor to be fair and equitable to protect the interests of employeesemployed under this contract and to meet the employee protective requirements of 49U.S.C.A 5333(b), and U.S. DOL guidelines at 29 C.F.R. Part 215, and any amendmentsthereto. These terms and conditions are identified in the letter of certification from the U.S.DOL to FTA applicable to the FTA Recipient's project from which Federal assistance isprovided to support work on the underlying contract. The Vendor agrees to carry out thatwork in compliance with the conditions stated in that U.S. DOL letter. The requirements ofthis subsection (1), however, do not apply to any contract financed with Federal assistanceprovided by FTA either for projects for elderly individuals and individuals with disabilitiesauthorized by 49 U.S.C. § 5310(a)(2), or for projects for nonurbanized areas authorized by49 U.S.C. § 5311. Alternate provisions for those projects are set forth in subsections (b) and(c) of this clause.(b) Transit Employee Protective Requirements for Projects Authorized by 49 U.S.C. §5310(a)(2) for Elderly Individuals and Individuals with Disabilities - If the contract involvestransit operations financed in whole or in part with Federal assistance authorized by 49U.S.C. § 5310(a)(2), and if the U.S. Secretary of Transportation has determined ordetermines in the future that the employee protective requirements of 49 U.S.C. § 5333(b)are necessary or appropriate for the state and the public body subrecipient for which work isperformed on the underlying contract, the Vendor agrees to carry out the Project incompliance with the terms and conditions determined by the U.S. Secretary of Labor tomeet the requirements of 49 U.S.C. § 5333(b), U.S. DOL guidelines at 29 C.F.R. Part 215,and any amendments thereto. These terms and conditions are identified in the U.S. DOL'sletter of certification to FTA, the date of which is set forth Grant Agreement or CooperativeAgreement with the state. The Vendor agrees to perform transit operations in connectionwith the underlying contract in compliance with the conditions stated in that U.S. DOLletter.


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(c) Transit Employee Protective Requirements for Projects Authorized by 49 U.S.C. § 5311in Nonurbanized Areas - If the contract involves transit operations financed in whole or inpart with Federal assistance authorized by 49 U.S.C. § 5311, the Vendor agrees to complywith the terms and conditions of the Special Warranty for the Nonurbanized Area Programagreed to by the U.S. Secretaries of Transportation and Labor, dated May 31, 1979, and theprocedures implemented by U.S. DOL or any revision thereto. The most current revision isthe Special Warranty For Application To Other Than Urbanized And Over-The-Road BusAccessibility Projects dated October 1, 2008.(2) The Vendor also agrees to include the any applicable requirements in each subcontractinvolving transit operations financed in whole or in part with Federal assistance provided byFTA.

XVII. PARTICIPATION BY DISADVANTAGED BUSINESSSENTERPRISES The Vendor shall agree to abide by the following statement from 49 CFR 26.13 (b). This statement shall be included in all subsequent agreements between the Vendor and any sub-vendor or contractor:

The contractor, sub-recipient or subcontractor shall not discriminate on the basis of race, color, national origin or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR part 26 in the award and administration of DOT-assisted contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the recipient deems appropriate.

Also, it is required, pursuant to 49 CFR 26.29 (a), that Vendor shall pay its subcontractors performing work related to this contract for satisfactory performance of that work no later than 30 days after the Vendor’s receipt of payment for that work from the Department. XVIII. ACCESS FOR INDIVIDUALS WITH DISABILITIESVendor agrees to comply with 49 U.S.C. Section 5301(d), which states the Federal policy that elderly individuals and individuals with disabilities have the same right as other individuals to use public transportation services and facilities, and that special efforts shall be made in planning and designing those services and facilities to implement transportation accessibility rights for elderly individuals and individuals with disabilities. The Vendor also agrees to comply with all applicable provisions of section 504 of the Rehabilitation Act of 1973, as amended, 29. U.S.C. Section 794, and all applicable provisions of the American with Disabilities Act of 1990 (ADA), as amended, 42 U.S.C. Sections 12101 et. seq. , and all applicable provisions of the Architectural Barriers Act of 1968, as amended, 42 U.S. C. sections 4151 et. seq,. and with other laws and amendments thereto pertaining to access for


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individuals with disabilities that may be applicable. In addition, the Vendor agrees to comply with applicable implementing Federal regulations, and any later amendments thereto, and agrees to follow applicable Federal implementing directives, except to the extent FTA approves otherwise in writing.

XIX. DRUG AND ALCOHOL TESTINGThe Vendor agrees to establish and implement a drug and alcohol testing program that complies with 49 CFR Parts 655, produce any documentation necessary to establish its compliance with Parts 655, and permit any authorized representative of the United States Department of Transportation or its operating administrations, the State Oversight Agency of Florida, or the Florida Department of Transportation, to inspect the facilities and records associated with the implementation of the drug and alcohol testing program as required under 49 CFR Parts 655 and review the testing process. The Florida Depart of Transportation will hereafter set the date before which Vendor must certify annually its complaint with its compliance with Parts 655 and the date before which it must submit the Management Information System (MIS) reports to http://transit-safety.fta.dot.gov/DrugAndAlcohol/DAMIS/default.asp and Vendor shall comply with those dates for certification and submitting the MIS reports. To certify compliance the contractor shall use the "Substance Abuse Certifications" in the "Annual List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements," which is published annually in the Federal Register. XX. SENSITIVE SECURITY INFORMATIONVendor must protect, and take measures to ensure that its subcontractors protect, “sensitive security information” made available during the administrator of the contract or subcontract to ensure compliance with 49 U.S.C. Section 40119 (b) and implementing DOT regulations, “Protection of Sensitive Security Information,’ 49 CFR Part 15, and with 49 U.S.C. Section 114 ( r) and implementing Department of Homeland Security regulations, “Protection of Sensitive Security Information,” 49 CFR 1520. XXI. INTELLIGENT TRANSPORTATION SYSTEMSIntelligent transportation system (ITS) property and services provided by Vendor must comply with the National ITS Architecture and Standards to the extent required by Section 5307(c) of SAFETEA-LU, FTA Notice, “FTA National ITS Architecture Policy on Transit Projects,” 66 FR 1455 et. seq., January 8, 2001, and later published policies or implementing directives FTA may issue.


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XXII. INCORPORATION OF FEDERAL TRANSITADMINISTRATION (FTA) TERMS

The preceding provisions include, in part, certain Standard Terms and Conditions required by DOT, whether or not expressly set forth in the preceding contract provisions. All contractual provisions required by DOT, as set forth in FTA Circular 4220.1F, are hereby incorporated by reference. Anything to the contrary herein notwithstanding, all FTA mandated terms shall be deemed to control in the event of a conflict with other provisions contained in this Agreement. The Vendor shall not perform any act, fail to perform any act, or refuse to comply with any Florida Department of Transportation requests which would cause Florida Department of Transportation to be in violation of the FTA terms and conditions.

X. DAVIS-BACON AND COPELAND ANTI-KICKBACK ACTS(1) Minimum wages - (i) All laborers and mechanics employed or working upon the site ofthe work (or under the United States Housing Act of 1937 or under the Housing Act of 1949in the construction or development of the project), will be paid unconditionally and not lessoften than once a week, and without subsequent deduction or rebate on any account (exceptsuch payroll deductions as are permitted by regulations issued by the Secretary of Laborunder the Copeland Act (29 CFR part 3)), the full amount of wages and bona fide fringebenefits (or cash equivalents thereof) due at time of payment computed at rates not less thanthose contained in the wage determination of the Secretary of Labor which is attachedhereto and made a part hereof, regardless of any contractual relationship which may bealleged to exist between the contractor and such laborers and mechanics.Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph (1)(iv) of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR Part 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided, That the employer's payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classifications and wage rates conformed under paragraph (1)(ii) of this section) and the Davis-Bacon poster (WH-1321) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. (ii)(A) The contracting officer shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The contracting officer shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met:


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(1) The work to be performed by the classification requested is not performed by aclassification in the wage determination; and(2) The classification is utilized in the area by the construction industry; and(3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonablerelationship to the wage rates contained in the wage determination.(B) If the contractor and the laborers and mechanics to be employed in the classification (ifknown), or their representatives, and the contracting officer agree on the classification andwage rate (including the amount designated for fringe benefits where appropriate), a reportof the action taken shall be sent by the contracting officer to the Administrator of the Wageand Hour Division, Employment Standards Administration, U.S. Department of Labor,Washington, DC 20210. The Administrator, or an authorized representative, will approve,modify, or disapprove every additional classification action within 30 days of receipt and soadvise the contracting officer or will notify the contracting officer within the 30-day periodthat additional time is necessary.(C) In the event the contractor, the laborers or mechanics to be employed in theclassification or their representatives, and the contracting officer do not agree on theproposed classification and wage rate (including the amount designated for fringe benefits,where appropriate), the contracting officer shall refer the questions, including the views ofall interested parties and the recommendation of the contracting officer, to the Administratorfor determination. The Administrator, or an authorized representative, will issue adetermination within 30 days of receipt and so advise the contracting officer or will notifythe contracting officer within the 30-day period that additional time is necessary.(D) The wage rate (including fringe benefits where appropriate) determined pursuant toparagraphs (a)(1)(ii) (B) or (C) of this section, shall be paid to all workers performing workin the classification under this contract from the first day on which work is performed in theclassification.(iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers ormechanics includes a fringe benefit which is not expressed as an hourly rate, the contractorshall either pay the benefit as stated in the wage determination or shall pay another bona fidefringe benefit or an hourly cash equivalent thereof.(iv) If the contractor does not make payments to a trustee or other third person, thecontractor may consider as part of the wages of any laborer or mechanic the amount of anycosts reasonably anticipated in providing bona fide fringe benefits under a plan or program,Provided, That the Secretary of Labor has found, upon the written request of the contractor,that the applicable standards of the Davis-Bacon Act have been met. The Secretary ofLabor may require the contractor to set aside in a separate account assets for the meeting ofobligations under the plan or program.


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(2) Withholding - The Department shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld from the contractor under this contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by the same prime contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor or any subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project), all or part of the wages required by the contract, the Department may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. (3) Payrolls and basic records - (i) Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work (or under the United States Housing Act of 1937, or under the Housing Act of 1949, in the construction or development of the project). Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in section 1(b)(2)(B) of the Davis-Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B) of the Davis-Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs. (ii)(A) The contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to the Federal Transit Administration if the agency if a party to the contract, but if the agency is not such a party, the contractor will submit the payrolls to the applicant, sponsor, or owner, as the case may be, for transmission to the Federal Transit Administration. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under 29 CFR 5.5(a)(3)(i), except that full social security numbers and home addresses shall not be included on weekly transmittals. Instead the payrolls shall only need to include an individually identifying number for each employee (e.g., the last four digits of the employee’s social security number). The required weekly payroll information may be submitted in any form desired.


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Optional Form WH-347 is available for this purpose . from the Wage and Hour Division Web site at http://www.dol.gov/esa/whd/forms/wh347instr.htm or its successor site. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current address of each covered worker, and shall provide them upon request to the Federal Transit Administration if the agency is a party of the contract, but if the agency is not such a party the contractor will submit them to the applicant, sponsor, or owner, as the case may be, for transmission to the Federal Transit Administration, the contractor, or the Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not a violation of this section for a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for its own records, without weekly submission to the sponsoring government agency (or the applicant, sponsor, or owner). (B) Each payroll submitted shall be accompanied by a "Statement of Compliance," signedby the contractor or subcontractor or his or her agent who pays or supervises the payment ofthe persons employed under the contract and shall certify the following:(1) That the payroll for the payroll period contains the information required to be providedunder section 5.5(a)(3)(ii) of Regulations, 29 CFR part 5, the appropriate information isbeing maintained under section 5.5(a)(3)(i) of Regulations, 29 CFR part 5, and that suchinformation is correct and complete;(2) That each laborer or mechanic (including each helper, apprentice, and trainee) employedon the contract during the payroll period has been paid the full weekly wages earned,without rebate, either directly or indirectly, and that no deductions have been made eitherdirectly or indirectly from the full wages earned, other than permissible deductions as setforth in Regulations, 29 CFR part 3;(3) That each laborer or mechanic has been paid not less than the applicable wage rates andfringe benefits or cash equivalents for the classification of work performed, as specified inthe applicable wage determination incorporated into the contract.(C) The weekly submission of a properly executed certification set forth on the reverse sideof Optional Form WH-347 shall satisfy the requirement for submission of the "Statement ofCompliance" required by paragraph (a)(3)(ii)(B) of this section.(D) The falsification of any of the above certifications may subject the contractor orsubcontractor to civil or criminal prosecution under section 1001 of title 18 and section 231of title 31 of the United States Code.(iii) The contractor or subcontractor shall make the records required under paragraph(a)(3)(i) of this section available for inspection, copying, or transcription by authorizedrepresentatives of the Federal Transit Administration or the Department of Labor, and shallpermit such representatives to interview employees during working hours on the job. If the


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contractor or subcontractor fails to submit the required records or to make them available, the Federal agency may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. (4) Apprentices and trainees - (i) Apprentices - Apprentices will be permitted to work atless than the predetermined rate for the work they performed when they are employedpursuant to and individually registered in a bona fide apprenticeship program registered withthe U.S. Department of Labor, Employment and Training Administration, Office ofApprenticeship Training, Employer and Labor Services, or with a State ApprenticeshipAgency recognized by the Office, or if a person is employed in his or her first 90 days ofprobationary employment as an apprentice in such an apprenticeship program, who is notindividually registered in the program, but who has been certified by the Office ofApprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency(where appropriate) to be eligible for probationary employment as an apprentice. Theallowable ratio of apprentices to journeymen on the job site in any craft classification shallnot be greater than the ratio permitted to the contractor as to the entire work force under theregistered program. Any worker listed on a payroll at an apprentice wage rate, who is notregistered or otherwise employed as stated above, shall be paid not less than the applicablewage rate on the wage determination for the classification of work actually performed. Inaddition, any apprentice performing work on the job site in excess of the ratio permittedunder the registered program shall be paid not less than the applicable wage rate on thewage determination for the work actually performed. Where a contractor is performingconstruction on a project in a locality other than that in which its program is registered, theratios and wage rates (expressed in percentages of the journeyman's hourly rate) specified inthe contractor's or subcontractor's registered program shall be observed. Every apprenticemust be paid at not less than the rate specified in the registered program for the apprentice'slevel of progress, expressed as a percentage of the journeymen hourly rate specified in theapplicable wage determination. Apprentices shall be paid fringe benefits in accordance withthe provisions of the apprenticeship program. If the apprenticeship program does notspecify fringe benefits, apprentices must be paid the full amount of fringe benefits listed onthe wage determination for the applicable classification. If the Administrator determinesthat a different practice prevails for the applicable apprentice classification, fringes shall bepaid in accordance with that determination. In the event the Office of ApprenticeshipTraining, Employer and Labor Services, or a State Apprenticeship Agency recognized bythe Office, withdraws approval of an apprenticeship program, the contractor will no longerbe permitted to utilize apprentices at less than the applicable predetermined rate for the workperformed until an acceptable program is approved.(ii) Trainees - Except as provided in 29 CFR 5.16, trainees will not be permitted to work atless than the predetermined rate for the work performed unless they are employed pursuantto and individually registered in a program which has received prior approval, evidenced byformal certification by the U.S. Department of Labor, Employment and TrainingAdministration. The ratio of trainees to journeymen on the job site shall not be greater than


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permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (iii) Equal employment opportunity - The utilization of apprentices, trainees andjourneymen under this part shall be in conformity with the equal employment opportunityrequirements of Executive Order 11246, as amended, and 29 CFR part 30. (5) Compliance with Copeland Act requirements - The contractor shall comply with therequirements of 29 CFR part 3, which are incorporated by reference in this contract. (6) Subcontracts - The contractor or subcontractor shall insert in any subcontracts theclauses contained in 29 CFR 5.5(a)(1) through (10) and such other clauses as the FederalTransit Administration may by appropriate instructions require, and also a clause requiringthe subcontractors to include these clauses in any lower tier subcontracts. The primecontractor shall be responsible for the compliance by any subcontractor or lower tiersubcontractor with all the contract clauses in 29 CFR 5.5. (7) Contract termination: debarment - A breach of the contract clauses in 29 CFR 5.5may be grounds for termination of the contract, and for debarment as a contractor and asubcontractor as provided in 29 CFR 5.12. (8) Compliance with Davis-Bacon and Related Act requirements - All rulings andinterpretations of the Davis-Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5are herein incorporated by reference in this contract. (9) Disputes concerning labor standards - Disputes arising out of the labor standardsprovisions of this contract shall not be subject to the general disputes clause of this contract.Such disputes shall be resolved in accordance with the procedures of the Department ofLabor set forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning of this clauseinclude disputes between the contractor (or any of its subcontractors) and the contractingagency, the U.S. Department of Labor, or the employees or their representatives.


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(10) Certification of eligibility - (i) By entering into this contract, the contractor certifiesthat neither it (nor he or she) nor any person or firm who has an interest in the contractor'sfirm is a person or firm ineligible to be awarded Government contracts by virtue of section3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1). (ii) No part of this contract shall be subcontracted to any person or firm ineligible for awardof a Government contract by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR5.12(a)(1).(iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18U.S.C. 1001.


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BUY AMERICA REQUIREMENTS The contractor agrees to comply with 49 U.S.C. 5323(j) and 49 C.F.R. Part 661, and any amendments thereto, which provide that Federal funds may not be obligated unless all steel, iron, and manufactured products used in FTA-funded projects are produced in the United States, unless a waiver has been granted by FTA or the product is subject to a general waiver, or except as provided in 49 C.F.R. 661.11. General waivers are listed in 49 C.F.R. 661.7 Separate requirements for rolling stock are set out at 49 U.S.C. 5323(j)(2)(C) and 49 C.F.R. 661.11. A bidder or offeror must submit to the FTA recipient the appropriate Buy America certification (below). If steel, iron, or manufactured products (as defined in 43 CFR 661.3 and 661.5) are being procured, the appropriate certificate as set forth below shall be completed and submitted by each bidder or offerer in accordance with the requirement contained in 43 CFR 661.13(b). Certificate of Compliance with Buy America Requirements The bidder or offeror hereby certifies that it will comply with the requirements of 49 U.S.C. 5323(j)(1) and the applicable regulations in 49 C.F.R. Part 661 Date ________________________________________________________________________________________ Signature _____________________________________________________________________________________ Company______________________________________________________________________ Name _______________________________________________________________________________________ Title ________________________________________________________________________________________

Certificate of Non-Compliance with Buy American Requirements The bidder or offeror hereby certifies that it cannot comply with the requirements of 49 U.S.C. 5323(j ), but it may qualify for an exception pursuant to 49 U.S.C. 5323(j)(2), as amended, and the applicable regulations in 49 C.F.R. 661. Date ________________________________________________________________________________________ Signature ____________________________________________________________________________________ Company______________________________________________________________________ Name _______________________________________________________________________________________ Title ________________________________________________________________________________________

If buses or other rolling stock (including train control, communication, and traction power equipment) are being procured, the appropriate certificate as set forth below shall be completed and

Xorail, Inc.

Michael Choat

President


11/7/2017 | 4:35 PM EST

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submitted by each bidder in accordance with the requirement contained in 49 CFR 661.13 (b). Certificate of Compliance with Buy America Rolling Stock Requirements. The bidder or offeror hereby certifies that it will comply with the requirements of 49 U.S.C. 5323(j) and the applicable regulations at 49 CFR. Date ________________________________________________________________________________________ Signature ____________________________________________________________________________________ Company______________________________________________________________________ Name ______________________________________________________________________________________ Title ________________________________________________________________________________________ Certificate of Non-Compliance with 49 U.S.C. 5323(j)(2)(C) Buy American Rolling Stock Requirements The bidder or offeror hereby certifies that it cannot comply with the requirements of 49 U.S.C. 5323(j), but may qualify for an exception to the requirement consistent with 49 U.S.C. 5323(j)(2) (C) and the applicable regulations in 49 CFR 661.7. Date ________________________________________________________________________________________ Signature ____________________________________________________________________________________ Company______________________________________________________________________ Name _______________________________________________________________________________________ Title ________________________________________________________________________________________


Technical Specification

Positive Train Control

For the Central Florida Commuter Rail Transit Project

Florida Department of Transportation

District 5


PTC SYSTEM TECHNICAL SPECIFICATION

MARCH 2017 PAGE 2

Revision Log

Draft Revision #

Revised By Date Issue / Revision Description

1 SWE 08/29/15 Original Document

2 PTC Team 03/20/16 Revised to include I-ETMS

3 PTC TEAM 09/26/16 Draft Final

4 PTC TEAM 03/03/17 Draft Final rev. 3

5 PTC TEAM 03/08/17 Final



MARCH 2017 PAGE 3

TABLE OF CONTENTS Page No. 1 INTRODUCTION .............................................................................................................. 13

2 TECHNICAL DEFINITIONS AND ABBREVIATIONS ..................................................... 14

2.1 ACRONYMS AND DEFINITIONS ......................................................................... 14

2.1.1 Acronyms ....................................................................................................... 14

2.1.2 Railroad Reporting Codes .............................................................................. 17

2.1.3 Definitions ....................................................................................................... 17

3 APPLICABLE DOCUMENTS AND TECHNICAL REFERENCES ................................. 19

4 General Project Requirements ......................................................................................... 22

4.1 PROJECT MANAGEMENT .................................................................................. 22

4.1.1 Key Project Personnel .................................................................................... 24

4.1.2 Project Meetings ............................................................................................. 28

4.1.3 Project Management Tools ............................................................................. 29

4.2 PROJECT SUPPORT FACILITIES....................................................................... 30

4.3 PROJECT SCHEDULE ........................................................................................ 30

4.3.1 Master Schedule ............................................................................................. 30

4.3.2 Baseline Contract Schedule............................................................................ 31

4.3.3 Schedule Revisions ........................................................................................ 34

4.3.4 Schedule Change and Slippage Tracking ....................................................... 34

4.4 SYSTEM IMPLEMENTATION PLAN .................................................................... 35

4.4.1 System Implementation Status Reports and Meetings .................................... 36

4.4.2 Site Specific Work Plan .................................................................................. 36

4.5 RISK MANAGEMENT .......................................................................................... 40

4.6 PROJECT PHASING AND TECHNICAL MILESTONES ...................................... 41

4.6.1 Configuration Review Requirements ............................................................... 42



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4.6.2 Development Phases...................................................................................... 42

4.6.3 Milestone Configuration Review Packages and Meetings ............................... 50

4.7 PROJECT DOCUMENTATION AND SUBMITTAL MANAGEMENT ..................... 53

4.7.1 Submittals ....................................................................................................... 55

4.7.2 Re-submittals ................................................................................................. 56

4.8 QUALITY MANAGEMENT SYSTEM .................................................................... 56

4.8.1 Software Quality Assurance............................................................................ 58

4.8.2 Configuration Management............................................................................. 58

4.8.3 Engineering Change Reports.......................................................................... 60

4.8.4 Software Configuration Management .............................................................. 60

4.8.5 Software Verification and Validation ............................................................... 62

4.8.6 Failure Reporting, Analysis, and Corrective Action System (FRACAS) ........... 62

4.8.7 Change Notification ........................................................................................ 64

4.9 CONTRACTOR SAFETY PROGRAM .................................................................. 64

4.9.1 Clearance Requirements ................................................................................ 65

4.9.2 Safety Training Requirements and Resources Available to Vendor ................ 65

4.10 PTC System Integration ....................................................................................... 66

4.10.1 Systems Integration / System Engineering Process ........................................ 66

4.11 COORDINATION ................................................................................................. 67

5 SOFTWARE REQUIREMENTS ....................................................................................... 68

5.1 SOFTWARE SYSTEM CONFIGURATION ........................................................... 69

5.1.1 Software Functions and Features ................................................................... 71

5.2 SOFTWARE TESTING ......................................................................................... 71

5.3 SOFTWARE CLASSIFICATION ........................................................................... 73

6 REGULATORY COMPLIANCE REQUIREMENTS ........................................................ 74

6.1 FRA REQUIREMENTS AND SUBMITTALS ......................................................... 74



MARCH 2017 PAGE 5

6.2 FRA TESTING/INSPECTION REQUIREMENTS AND COORDINATION ............. 75

6.3 FCC FILING REQUIREMENTS ............................................................................ 76

7 INSTALLATION, TEST, AND ACCEPTANCE ................................................................ 77

7.1 INSTALLATION .................................................................................................... 78

7.2 INSPECTION ....................................................................................................... 78

7.3 TEST AND COMMISSIONING PROGRAM .......................................................... 79

7.3.1 Test Types ...................................................................................................... 82

7.3.2 Test Requirements ......................................................................................... 83

7.3.3 Factory Acceptance Testing ........................................................................... 84

7.3.4 Site Acceptance Testing ................................................................................. 87

7.3.5 Site Integrated System Testing ....................................................................... 89

7.3.6 Revenue Service Demonstration Testing ........................................................ 90

7.4 FINAL SYSTEM ACCEPTANCE PERIOD ............................................................ 91

7.5 ELECTROMAGNETIC COMPATIBILITY TESTING ............................................. 92

7.5.1 Shock and Vibration Compatibility .................................................................. 93

7.5.2 Testing and Analysis ...................................................................................... 93

7.6 TEST DOCUMENTATION REQUIREMENTS ...................................................... 94

7.6.1 Master Test Plan ............................................................................................ 95

7.6.2 Test Plans ...................................................................................................... 96

7.6.3 Test Procedures ............................................................................................. 97

7.6.4 Test Records .................................................................................................. 98

7.6.5 Variance and Failure Reporting ...................................................................... 99

7.7 TEST STAFFING ............................................................................................... 100

7.8 TESTING SUPPLIES AND EQUIPMENT ........................................................... 100

7.9 TEST LABORATORY ......................................................................................... 101

7.10 Hi-RAIL TEST VEHICLE .................................................................................... 102



MARCH 2017 PAGE 6

7.11 TEST INITIATION, SUSPENSION, SYSTEM MODIFICATION AND COMPLETION102

7.12 FINAL ACCEPTANCE ........................................................................................ 104

7.13 MAINTAINABILITY ANALYSIS AND PROGRAM ............................................... 104

7.13.1 Failure Recovery Plans ................................................................................. 105

7.13.2 PTC Maintenance Records ........................................................................... 105

7.13.3 Manuals and Equipment Record Drawings ................................................... 106

7.13.4 Maintenance Tools and Equipment Requirements ........................................ 107

7.13.5 Spare Parts .................................................................................................. 107

8 PROJECT DOCUMENTATION ...................................................................................... 109

8.1 GENERAL DOCUMENTATION REQUIREMENTS ............................................ 109

8.2 PROJECT MANAGEMENT DOCUMENTS ........................................................ 110

8.2.1 RTM Reports ................................................................................................ 111

8.3 SYSTEM DOCUMENTS ..................................................................................... 111

8.3.1 System Functional Description (SFD) ........................................................... 111

8.3.2 Subsystem Functional Description (SSFD) ................................................... 112

8.3.3 Interface Control Documents (ICD) ............................................................... 113

8.3.4 System Response Timing Analysis ............................................................... 114

8.3.5 PTC Failure Backup Plan ............................................................................. 114

8.4 HARDWARE DOCUMENTATION ...................................................................... 114

8.4.1 Hardware Configuration and Specifications .................................................. 115

8.4.2 Hardware Installation Configuration .............................................................. 117

8.4.3 Hardware Inventory ...................................................................................... 118

8.5 SOFTWARE DOCUMENTATION ....................................................................... 118

8.5.1 Software Configuration List ........................................................................... 118

8.5.2 Standard Software ........................................................................................ 118

8.5.3 Software Requirements Specification (SRS) ................................................. 119



MARCH 2017 PAGE 7

8.5.4 Software Configuration Document (SCD) ..................................................... 119

8.5.5 Database Documentation ............................................................................. 119

8.5.6 Display and Reports Documentation ............................................................. 119

8.6 Installation Plans and Procedures ...................................................................... 120

8.7 TEST AND COMMISSIONING DOCUMENTATION ........................................... 122

8.8 SYSTEM SAFETY PROGRAM DOCUMENTATION .......................................... 122

8.8.1 Product Safety Plan ...................................................................................... 122

8.8.2 System Safety and Certification Reports....................................................... 123

8.9 TRAINING DOCUMENTATION .......................................................................... 126

8.10 OPERATING AND MAINTENANCE DOCUMENTATION ................................... 127

8.10.1 Manual Formats and Quantities .................................................................... 128

8.10.2 PTC Overview Manual .................................................................................. 130

8.10.3 Operating Manuals ....................................................................................... 130

8.10.4 Field Service / Running Maintenance Manuals ............................................. 132

8.10.5 Shop Repair Manuals ................................................................................... 135

8.10.6 Troubleshooting Manuals ............................................................................. 138

8.10.7 Engineering Manuals .................................................................................... 139

8.10.8 Site Description Manuals .............................................................................. 140

8.10.9 Special Test Tools, Diagnostic, and Test Equipment Manuals ...................... 140

8.10.10 Software Users and Maintenance Manuals ................................................... 140

8.10.11 Illustrated Parts Catalog ............................................................................... 143

8.10.12 Wayside Circuit Plans ................................................................................... 143

8.11 FINAL DOCUMENTATION ................................................................................. 143

9 TRAINING ....................................................................................................................... 145

9.1 TRAINING REQUIREMENTS ............................................................................. 145

9.2 TRAIN THE TRAINER PROGRAM..................................................................... 146



MARCH 2017 PAGE 8

9.2.1 Training for Hardware and Software Operation and Maintenance ................. 148

9.2.2 Training for PTC Communications Network Operations, Administration, Maintenance, and Provisioning ..................................................................... 148

9.2.3 Training Required for System Acceptance .................................................... 149

9.2.4 Other General Training Requirements .......................................................... 150

9.3 TRAINING PLANS AND SCHEDULE ................................................................. 151

9.3.1 Training Classes ........................................................................................... 152

9.4 TRAINING PROGRAM LESSON PLAN ............................................................. 152

9.4.1 Training and Practical Application Lessons ................................................... 152

9.4.2 Training Aids ................................................................................................ 153

9.4.3 Training Simulators ....................................................................................... 153

9.5 TESTING AND QUALITY ASSURANCE ............................................................ 154

9.6 TRAINING RECORDS DATABASE.................................................................... 154

9.7 TRAINING CURRICULUM REQUIREMENTS .................................................... 154

10 RELIABILITY, AVAILABILITY, MAINTAINABILITY & SAFETY .................................... 157

10.1 RELIABILITY, AVAILABILITY, AND MAINTAINABILITY (RAM) ......................... 157

10.1.1 RAM Program Plan ....................................................................................... 158

10.1.2 Reliability Requirements ............................................................................... 161

10.1.3 System Availability Requirements ................................................................. 161

10.1.4 Availability and Reliability Demonstration Test .............................................. 163

10.1.5 Maintainability Demonstration test ................................................................ 166

10.2 SYSTEM SAFETY REQUIREMENTS ................................................................ 167

10.3 SYSTEM SECURITY ......................................................................................... 168

10.3.1 System Security Management ...................................................................... 169

10.3.2 Exploits Included .......................................................................................... 170

10.3.3 Security Measures ........................................................................................ 170



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11 SITE SURVEY ................................................................................................................ 172

11.1 GPS TRACK SURVEY ....................................................................................... 172

11.1.1 Augmented GPS Quality Survey ................................................................... 172

11.1.2 REPORTS AND DATA OUTPUT .................................................................. 172

12 PTC WAYSIDE SYSTEM ............................................................................................... 173

12.1 HIGH LEVEL WAYSIDE FUNCTIONALITY ........................................................ 175

12.2 IMPLEMENTATION ........................................................................................... 175

12.3 TESTING AND QUALITY ................................................................................... 176

12.4 AS-BUILT DOCUMENTATION ........................................................................... 177

13 ROLLING STOCK PTC ONBOARD SYSTEM .............................................................. 178

13.1 HIGH LEVEL ONBOARD FUNCTIONALITY ...................................................... 180

13.2 DESCRIPTION OF ROLLING STOCK ............................................................... 182

13.2.1 Locomotives ................................................................................................. 182

13.2.2 Cab Cars ...................................................................................................... 182

13.3 ADDITIONAL DESCRIPTIONS OF SOME ONBOARD FUNCTIONS ................. 183

13.3.1 Train Braking Requirements ......................................................................... 183

13.3.2 Train Position Determination......................................................................... 183

13.4 CONFIGURATON COMPONENTS .................................................................... 184

13.5 HARDWARE FUNCTIONS AND FEATURES .................................................... 185

13.6 EQUIPMENT INITIALIZATION ........................................................................... 185

13.7 TRAIN INITIALIZATION ..................................................................................... 186

13.8 INTERFACES TO EVENT RECORDER ............................................................. 186

13.9 IMPLEMENTATION ........................................................................................... 186

14 PTC COMMUNICATIONS SYSTEM ............................................................................. 188

14.1 HIGH LEVEL COMMUNICATIONS FUNCTIONALITY ....................................... 188

14.2 GENERAL OVERVIEW ...................................................................................... 189



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14.2.1 Communications Network Element ............................................................... 189

14.3 PTC SYSTEM ARCHITECTURE ........................................................................ 190

14.3.1 PTC Prerequisites Prior to Departure ........................................................... 190

14.3.2 PTC Communications Post Departure .......................................................... 191

14.3.3 220 MHz Network Architecture Summary ..................................................... 191

14.3.4 WLAN Site Surveys ...................................................................................... 192

14.3.5 Commercial Cellular Service ......................................................................... 192

14.3.6 GPS Field Surveys ....................................................................................... 192

14.3.7 Simulation Calibration ................................................................................... 192

14.4 FUNCTIONAL REQUIREMENTS ....................................................................... 192

14.4.1 Radio Equipment Programming and Configuration ....................................... 192

14.4.2 PTC Data Communications Transport and Backhaul .................................... 193

14.4.3 Data Network Management .......................................................................... 193

14.4.4 220 MHz PTC Radio Coverage .................................................................... 194

14.4.5 802.11ac WLAN ........................................................................................... 198

14.5 GPS ................................................................................................................... 199

14.6 EQUIPMENT FUNCTIONAL REQUIREMENTS ................................................. 199

14.7 EQUIPMENT DIVERSITY AND REDUNDANCY ................................................ 200

14.7.1 Existing Infrastructure ................................................................................... 200

14.8 TESTING AND QUALITY ................................................................................... 200

15 PTC HOSTED BACK OFFICE SYSTEM ....................................................................... 201

15.1 HARDWARE FUNCTIONS AND FEATURES .................................................... 202

15.2 PTC HOSTED BACK OFFICE SOFTWARE FUNCTIONS AND FEATURES ..... 203

15.2.1 Infrastructure Database ................................................................................ 203

15.2.2 PTC Hosted Back Office Safety Functions .................................................... 203

15.2.3 Employee Credentials Database .................................................................. 204



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15.2.4 Train Location and Status Database ............................................................. 204

15.2.5 Conflicting Track Assignment Check ............................................................ 204

15.2.6 Wayside Status Database ............................................................................ 204

15.2.7 Onboard Database Updates ......................................................................... 205

15.2.8 Data Exchange with Tenant and Adjacent Railroads .................................... 205

15.2.9 Communications Status Database ................................................................ 205

15.2.10 Wayside and Onboard Message Routing...................................................... 205

15.2.11 Initialization Messages .................................................................................. 206

15.2.12 WIU/Train Messages .................................................................................... 206

15.2.13 Communications Path Monitoring and Prioritization ...................................... 206

15.2.14 Alarms .......................................................................................................... 206

15.2.15 Automatic Software Process Restart ............................................................ 206

15.2.16 Redundant Persistent Data Storage ............................................................. 207

15.2.17 Licensing ...................................................................................................... 207

15.3 IMPLEMENTATION ........................................................................................... 207

15.4 HOSTING SERVICES ........................................................................................ 207

15.5 ORIGINAL EQUIPMENT MANUFACTURER (OEM) .......................................... 210

15.6 PTC HOSTED BACK OFFICE DOCUMENTATION ........................................... 210

16 DISPATCHER USER INTERFACE SYSTEM (CADD System) ................................... 212

16.1 EXISTING DISPATCH OPERATIONS ............................................................... 212

16.2 INSPECTION AND SITE SURVEY..................................................................... 212

16.3 FUNCTIONS AND FEATURES .......................................................................... 213

16.4 NOT USED ......................................................................................................... 213

16.5 PTC DISPATCHING USER INTERFACE DOCUMENTATION ........................... 213

17 POTENTIAL ADDITIONAL SERVICES - PTC MAINTENANCE SERVICES .............. 214

18 APPENDICES ................................................................................................................. 214



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18.1 LIST OF APPENDICES ...................................................................................... 214



MARCH 2017 PAGE 13

1 INTRODUCTION

The State of Florida Department of Transportation, hereinafter referred to as the “Department”, is the owner of the Central Florida Rail Corridor (CFRC) and is required to install a Positive Train Control (PTC) system by December 31, 2018. The Departmentselected PTC IETMS System Contractor hereinafter referred to as the Vendor shall install an IETMS compliant PTC system along the entire Central Florida Rail Corridor (CFRC) from DeLand, FL to Poinciana, FL. as defined in this Technical Specification and Scope of Work.

This Technical Scope is intended to provide the Integrator technical requirements for:

1. System Performance, 2. Configuration and Construction, 3. PTC Testing Requirements, 4. Development of a fully FRA-compliant PTC Safety Plan



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2 TECHNICAL DEFINITIONS AND ABBREVIATIONS

2.1 ACRONYMS AND DEFINITIONS

2.1.1 Acronyms

The following is a list of Acronyms that may be used in this document:

Table 2-1

Acronym Meaning ABS Automatic Block Signal

ANSI American National Standards Institute APTA American Public Transportation Association ATS Automatic Train Stop AWG American Wire Gauge BCP Base Communications Package BOS Back Office Server BPS Baseline Project Schedule BTE Bench Test Equipment C&S Communications and Signals CAD Computer Aided Dispatching CASE Computer Aided Software Engineering CCP Configuration Control Plan CCR Critical Configuration Review CDRL Contract Data Requirements List CDU Computer Display Unit CFR Code of Federal Regulation CFRC Central Florida Rail Corridor CM Configuration Management CMMI Capability Maturity Model Integration CONOPS Concept of Operations COTS Commercial Off the Shelf CP Control Point CPLD Complex Programmable Logic Device CPM Critical Path Method CRC Cyclical Redundancy Check CSMA Carrier Sense Multiple Access CTC Centralized Traffic Control DC Direct Current EEPROM Electrically Erasable Programmable Read-Only Memory EIC Employee in Charge EPROM Erasable Programmable Read-Only Memory FAI First Article Inspection FAT Factory Acceptance Testing FCC Federal Communications Commission FCR Final Configuration Review



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Acronym Meaning FDOT Florida Department of Transportation (the Department) FDP Fiber Distribution Panel FOC Fiber Optic Cable FON CFRC Fiber Optic Network FPGA Field Programmable Gate Array FRA Federal Railroad Administration FTP File Transfer Protocol GPS Global Positioning System GUI Graphical User Interface HMI Human Machine Interface I/O Input/output IC Integrated Circuit ICD Interface Control Document IEEE Institute of Electrical and Electronics Engineers IETF Internet Engineering Task Force I-ETMS Interoperable – Electronic Train Management System ITC Interoperable Train Control ITP Interoperability Transport Protocol LAN Local Area Network LCD Liquid Crystal Display LED Light Emitting Diode LLRU Lowest Level Removable Unit LRU Lowest Removable Unit MAS Maximum Authorized Speed MDM Mobile Device Manager MHz Megahertz MIS Management Information System MP Mile Post MPH Miles per Hour MSDS Material Safety Data Sheets MTEA Main Line Track Exclusion Addendum MTTHE Mean Time to Hazardous Event NDGPS Nationwide Differential Global Positioning System NEC National Electric Code NFPA National Fire Protection Association NMS Network Management System NTP Notice to Proceed O&M Operations and Maintenance Contractors OCC Operations Control Center OCG Office Communication Gateway OEM Original Equipment Manufacturer OSHA Occupational Safety and Health Standards PCR Preliminary Configuration Review PIH Poison by Inhalation Hazard PIU Portable Interface Unit PLD Programmable Logic Devices



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Acronym Meaning PM Project Manager PROM Programmable Read-Only Memory PSP Product Safety Plan PSR Permanent Speed Restriction PTC Positive Train Control PTCDP Positive Train Control Development Plan PTCIP Positive Train Control Implementation Plan PTCSP Positive Train Control Safety Plan QA Quality Assurance RAM Random Access Memory RF Radio Frequency RFA Request for Amendment ROW Right of Way RTM Requirements Traceability Matrix SCD Software Configuration Document SCI Software Configuration Item SCMP Software Configuration Management Plan SFD System Functional Description SIP System Implementation Plan SMCP Software Management Control Plan SNMP Simple Network Management Protocol SPMP Software Project Management Plan SQAP Software Quality Assurance Plan SRS Software Requirements Specification SSFD Software System Functional Description STR Software Test Report SVVP Software Verification and Validation Plan SVVR Software Verification and Validation Report SUM Software User’s Manual TDMA Time Division Multiple Access TIH Toxic Inhalation Hazard TMC Train Management Computer TSR Temporary Speed Restriction U.S.C. United States Code UPS Uninterruptible Power Supply V&V Verification and Validation VDC Volts Direct Current VHF Very High Frequency VOiP Voice over Internet Protocol VPN Virtual Private Network VSLMF Vehicle Storage and Light Maintenance Facility VSMF Vehicle Storage and Maintenance Facility WAAS Wide Area Augmentation System WAN Wide Area Network WBS Work Breakdown Structure Wi-Fi Wireless Fidelity



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Acronym Meaning WIU Wayside Interface Unit WMDS Wayside Monitoring and Diagnostic System

2.1.2 Railroad Reporting Codes

The following is a list of Railroad Reporting Codes that may be used in this Technical Scope: Table 2-2

Reporting Code Railroad

AAR Association of American Railroads CFRC Central Florida Rail Corridor FRA Federal Railroad Administration

2.1.3 Definitions

The following is a list of definitions of terms that may be used in this Technical Scope:

Table 2-3

Term Definition

Host Railroad A railroad that has effective operating control over a segment of track.

Interoperability

The ability of a controlling locomotive to communicate with and respond to the PTC railroad’s positive train control system, including uninterrupted movements over property boundaries.

Main line

Except as provided in § 236.1019 or where all trains are limited to restricted speed within a yard or terminal area or on auxiliary or industry tracks, a segment or route of railroad tracks: (1) Of a railroad providing commuter service in a metropolitan or suburban area, as documented in current timetables filed by the Class I railroad with the FRA under § 217.7 of this title, over which 5,000,000 or more gross tons of railroad traffic is transported annually; or (2) Used for commuter service in a metropolitan or suburban area, or both.

Mainline Track Exclusion Addendum (MTEA)

The document submitted under §§ 236.1011 and 236.1019 requesting to designate track as other than main line.

PTC Positive Train Control as further described in § 236.1005.

PTC Railroad

Each railroad and each entity providing regularly scheduled intercity or commuter rail passenger transportation required implementing and operating a PTC system.

PTC System Certification

Certification as required under 49 U.S.C. § 20157 and further described in §§ 236.1009 and 236.1015.

PTCDP PTC Development Plan as further described in § 236.1013.



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Term Definition

PTCIP PTC Implementation Plan as required under 49 U.S.C. § 20157 and further described in § 236.1011.

PTCSP PTC Safety Plan as further described in § 236.1015.

PTCPVL PTC Product Vendor List includes all vendors and suppliers of each PTC system, subsystem, component, and associated product, and process in use system-wide.

Request For Amendment

A request for an amendment of a plan or system made by a PTC railroad in accordance with § 236.1021.

Segment of Track Any part of the railroad where a train operates.

Tenant Railroad A railroad, other than a host railroad, operating on track upon which a PTC system is required.

Track Segment Segment of track.



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3 APPLICABLE DOCUMENTS AND TECHNICAL REFERENCES

This section provides a list of documents and other sources referenced in this document. The Vendor shall be provided the latest version of documents A – K as of NTP. The following documents are relevant to this specification:

A. CFRC Timetable

B. Sunrail Schedule

C. CFRC Operating Rules

D. CFRC S.T.A.R. Manual and the CFRC Orange Fence Policy

E. CFRC Operating Agreement with Tenant Railroads

F. CFRC Quality Assurance Plan

G. CFRC Security Sensitive Information

H. CFRC Track, Signal, and Communications Standards

I. CFRC Roadway Worker Protection Safety Plan

J. eRailsafe Shortline

K. CFRC PTCIP

L. CFRC PTCDP FRA Type Approved – FRA-TA-2001-02

M. All applicable City, County, and State Regulations

N. Applicable Federal Regulations (including but not limited to): 1. Federal Communications Commission (FCC) 2. Federal Railroad Administration (FRA)

a. 49 CFR §15 b. 49 CFR §231 c. 29 CFR Parts 1910.19 and 1926 d. 49 CFR §234 e. 49 CFR §236 f. 49 CFR §238 g. 49 CFR §238.103 h. 49 CFR §1520

O. Association of American Railroads (AAR)

P. Reliability Analysis Center’s “Reliability Toolkit: Commercial Practices Edition

Q. American Institute of Steel Construction (AISC)



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R. American National Standards Institute (ANSI) Standards (including but not limited to) 1. ANSI Z400.1-1993 2. ANSI Standard C-80.1. 3. ANSI Standard B-2.1 4. ANSI 606B 5. ANSI C37.16 6. ANSI C37.13 7. ANSI C37.14 8. ANSI/IEEE STD 730 9. ANSI B31.1 Code for Pressure Piping

S. American Public Transportation Association (APTA) 1. SS-E-001-98 2. Signal and Communications Standards and Recommended Practices

T. American Railway Engineering and Maintenance-of-Way Association (AREMA) 1. Communications and Signal Manual of Recommended Practices 2. Manual for Railway Engineering

U. American Society for Testing and Materials (ASTM) Standards (including but not limited to) 1. ASTM B 33 2. ASTM B 298 3. ASTM B 174 4. ASTM E1354 5. American Welding Society (AWS)

V. Building Industry Consulting Service International/Telecommunications Distribution Methods Manual (BICSI/TDMM)

W. Commercial Item Description (CID) 1. A-A-59125A

X. Deutsches Institut für Normung (DIN) Standards 1. DIN 41612 Level 1 or 2

Y. Energy Services Network Association (ESNA)

Z. European Standards 1. EN 50121-3-2, 2000 Table 9

AA. Industrial Fasteners Institute Standards

BB. International Electro-technical Commission (IEC) 61000-Standards

CC. Institute of Electrical and Electronics Engineers (IEEE) Standards (including but not limited to)

1. IEEE Standard 1478 2. IEEE STD 1558-2004

DD. Internet Engineering Task Force (IETF) Standards



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EE. International Plumbing Code/Wiring Harness Manufacturer’s Association (including but not limited to)

1. IPC/WHMA-A-620 2. IPC-2221

FF. International Telecommunications Union (ITU) Standards

GG. Military Standards (including but not limited to) 1. MS-21044 2. MIL-DTL-13777K 3. MIL-I-46058 4. MIL-DTL-55302 5. MIL-R-6106 6. MIL-R-5757 7. MIL-DTL-3950 8. MIL-PRF-8805 9. MIL-DTL-83731MS-25036 10. MIL-S-13949, Type GF 11. MIL-S-13949, Type GH 12. MIL-STD-1472G 13. MIL-STD-882E

HH. National Electrical Manufacturers Association (NEMA) Standards (including but not limited to) 1. NEMA Standard LI 1, Type FR-4 2. NEMA Standard LI 1, Type FR-5

II. National Fire Protection Association (NFPA) 1. NFPA 70 – National Electric Code 2. NFPA 130 – Standard for Fixed Guideway Transit and Passenger Rail Systems

JJ. National Electric Code (NEC)

KK. Occupational Safety and Health Act (OSHA)

LL. Society of Automotive Engineers (SAE) International (including but not limited to) 1. SAE-AS50151 2. SAE-AS5942 Marking of Electrical Insulating Materials 3. Telcordia Technologies 4. GR-63 5. GR-1089

MM. Underwriters Laboratories (UL)

Note: All documents or standards referenced are considered to be the Current Edition of each document or standard at the time of execution of the Contract.



MARCH 2017 PAGE 22

4 General Project Requirements

A. The Vendor shall develop management plans for each of these areas and provide services, tracking, information storage and retrieval as required to implement these plans. These plans shall be updated as required over the course of the Contract in response to project experience/progress, modified requirements, regulatory input, and/or other requirements to assure the project meets implementation goals and FRA approval.

B. All Management Plans described in the following section shall be developed by the Vendor to meet the described requirements and submitted to the Department for review. The Vendor shall modify the proposed plans to meet the Department requirements and review comments prior to final approval and implementation.

C. The Vendor shall be responsible for providing the Project Management functions as described in this section: 1. Overall Project Management, 2. General Schedule Management, 3. System Implementation Management, 4. System Installation Planning and Management, 5. Material Acquisition Management, 6. Risk Management, 7. Document Control Management, 8. Test Management, and 9. Training Management.

4.1 PROJECT MANAGEMENT

A. A Project Management Plan (PMP) shall be provided that defines the Vendor’s organization chart; lines of communication and responsibility for the project; and identifies all key personnel, their resumes, roles, responsibilities on the project and within their organization, and their authority on the project. The Project Management Plan shall be organized to efficiently define the organization and activities applicable to each separate system of the PTC System. The Vendor’s core team shall include the key personnel defined herein, assigned to the project in the capacities listed. The key personnel, as identified in Section 4.1.1, shall be subject to the Department approval. Any key personnel removed from the project shall be replaced by an equally qualified person subject to the Department review and approval. Qualifications and resumes of Key Personnel as detailed in the paragraphs of this section shall be submitted as part of the Vendor proposal.

B. The management team to be assigned to this Project shall have sufficient management resources and ability and the necessary support staff to assure the Department that this Project will be properly coordinated and managed and will be completed on schedule. The key project personnel shall be dedicated to the project unless approved otherwise by the Department.

C. The Vendor Project Manager (PM) shall submit a report monthly on the status of the project in the form of a Monthly Progress Report. Additional reporting shall be provided as required by the Department, if in the sole judgment of the Department the project is not progressing in a manner consistent with timely and satisfactory completion or the



MARCH 2017 PAGE 23

Department has reason to doubt the veracity of the monthly report. 1. The Monthly Progress report shall contain the following:

a. Narrative of work completed in the prior period, work planned for the next period, and key risks, issues, delays and potential for delay or budget impacts.

b. Budget status c. Deliverable status d. Earned value (% complete) e. Correspondence log(s) f. Personnel status g. Quality of deliverable metrics. h. Updated Project Schedule i. System Implementation Status Reports j. Maintenance Records

D. The Project Management Plan requires a comprehensive process for collecting and

calculating project metrics relative to project cost, effort, and schedule duration. 1. The process along with the details of each calculation, including input data and form

of output shall be defined in the Project Management Plan. Quality of deliverable metrics shall be calculated and delivered for CFRC review as part of each Critical Path Method delivery.

2. The Vendor shall calculate metrics on quality of deliverables, per phase including: a. Percentage of internal document reviews resulting in acceptance for submission

the first time; b. Percentage of submissions to the Department resulting in acceptance the first

time; c. Quantity of the Department comments received per submission; d. Quantity of hours of rework for resubmission based on the Department

comments; e. Turnaround time required to respond to the Department questions, requests for

information, identified problems; f. Average time required to resolve issues.

E. Progress Reports shall be produced by the Vendor every reporting period to review progress of the project. Progress and Status reports shall be distributed by the Vendor a minimum of 2 working days in advance of any regularly scheduled Progress Meeting or as directed by the Department.

F. The Vendor shall develop and submit a Software Project Management Plan (SPMP) which defines the technical and managerial processes or activities necessary to satisfy the software project development requirements. The SPMP shall be the controlling document for managing PTC System software development necessary to meet the requirements of this Specification. 1. The Vendor shall be responsible for enforcing and auditing compliance to the Project

SPMP within the Vendor’s organization and across the entire PTC System Project. 2. The definition, configuration, development, integration, testing, and

documentation activities of PTC System software shall be performed in accordance with the Vendor's approved SPMP.

3. The SPMP shall define the staff and organization that will be supporting the software development for the project.

4. The SPMP shall define the software schedules and associated software milestones.



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The activities and milestones on the software schedule shall directly relate to activities on the project master schedule, thus integrating software, system, hardware, and subsystems Integrator development activities.

5. Changes to the approved SPMP shall result in resubmission for the Department approval.

G. Within 60 Calendar Days following the Contract Notice to Proceed, the Vendor shall submit Project Management Plan for review and acceptance. The Department shall have 30 calendar days to review and respond to the submitted Project Management Plan.

4.1.1 Key Project Personnel

A. The Vendor’s Key Personnel, as appropriate, shall attend all Progress Review Meetings and participate as required to support the Contract activities.

B. Unless otherwise specified, positions need not be full-time dedicated. Unless otherwise specified, and only after approval by the Department, multiple roles, as identified below, may be performed by the same individual.

C. The project team shall include Key Personnel, subject to Department approval, with additional support personnel deemed necessary by the Vendor in compliance with the requirements specified within this section: 1. Key Personnel:

a. Project Manager (PM); b. Systems Integration Engineer; c. Quality Program Manager; d. Construction Safety Supervisor/Manager e. Test Manager; f. Reliability, Availability, Maintainability and Safety (RAMS) Manager; and g. Environmental Compliance Manager

4.1.1.1 Vendor’s Project Manager (PM)

A. The Vendor shall assign an approved Project Manager to the overall PTC Project. The Project Manager (PM) shall be the Vendor’s liaison with the Department and be responsible for managing the Project. The PM shall be authorized to act on the Vendor (SI) behalf with respect to all matters arising under this Contract. The PM shall be dedicated full-time to the Project and assigned on-site. This position shall be performed by a single individual; that individual cannot perform other project responsibilities.

B. The PM shall be responsible for the overall project management, including cost, schedule, and technical performance for all deliverables and products delivered to the Railroad and availability of resources. The PM shall have a reporting relationship on all matters to the Department Project Manager and shall serve as the Vendor’s representative in all meetings with the Department and/or its’ duly appointed representatives.

C. The PM shall possess at least 10 years’ experience on railroad systems and technology projects of similar type, size, and complexity. Experience shall include the successful management of at least 3 completed projects, of comparable size and complexity that demonstrate the PM’s qualifications of prior experience in project management and



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familiarity with the configuration, communications, and inspection. The PM shall have demonstrated success in keeping projects on schedule and within budget, and in providing high quality products to meet the Department’s expectations. The candidate shall have a bachelor’s degree in Engineering or the Department approved equal. A Florida State Professional Engineering license is desirable.

4.1.1.2 Systems Integration Engineer

A. The Vendor’s Systems Integration Engineer (SI) provides general engineering expertise and shall be the technical leader responsible for coordinating and overseeing all system interfaces and system integration between and among the components of the complete PTC System. The Systems Integration Engineer shall possess a minimum of 20 years of railroad systems related experience including a key position of responsibility in a major project on an FRA regulated railroad similar in scope and magnitude to this project. The Systems Integration Engineer shall have sufficient experience in systems engineering related development and acceptance testing.

B. The Systems Integration Engineer shall be dedicated full-time to the Project and assigned on-site. This position shall be performed by a single individual; that individual cannot perform other project responsibilities.

4.1.1.3 Quality Program Manager

A. The Vendor shall assign to a member of its management the overall responsibility for implementing and maintaining its Quality Management Program throughout the Contract period. The Vendor’s Quality Program Manager shall be the technical leader responsible for coordinating and overseeing all of the Vendor’s quality assurance and quality control activities. The Quality Program Manager shall report to an officer of the firm or Joint Venture. The Quality Manager shall manage all quality management, QMS, and project quality controls for the Project and have the authority to act in all quality matters for the Vendor.

B. The Quality Program Manager shall possess at least 8 years of related experience with a project of similar scope and shall be a Certified Quality Engineer (CQE) as recognized by the American Society for Quality (ASQ) or shall be a certified ISO-9000 Lead Auditor as recognized by the Registrar Accreditation Board (RAB). The Department may accept other relevant certifications or trade experience in lieu of the aforementioned. The QM shall be a member of ASQ, or other recognized national quality focused organization.

C. This position shall be performed by a single individual; that individual cannot perform other project responsibilities. The interrelation of all Vendor personnel affecting the quality of Contract products and services and the reporting relationships relative to the Department Quality Management staff shall appear on the company organization chart for this Project.

D. The Quality Program Manager shall be responsible for configuration management or may elect a Configuration Manager. The Quality Program Manager or Configuration Manager shall manage the configuration of all artifacts developed as part of the Project and the development and adherence to configuration management processes: 1. All submittals/CDRLs, whether delivered or not; 2. Shop drawings/catalog cuts / coordination-arrangement drawings/ As-Builts;



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3. Software files, data, tools, inventory, including all COTS software; 4. Hardware, parts, pieces, inventory; 5. Manuals: O&M, User; 6. Formal training courses and courseware; 7. Test Plan/Procedures, including all data files and utilities; 8. Test Reports; 9. Maintenance Records; 10. Warranties, both hardware and software; 11. Project correspondence and transmissions; 12. Other artifacts that document project history, formal direction, approval/disapproval,

status, supporting discussions, 13. Other reports, logs, minutes, and correspondence documenting decisions,

clarifications, and resolutions to risks, issues, and concerns.

4.1.1.4 Safety/Construction Supervisor/Manager

A. The Vendor shall provide a Safety/Construction Supervisor/ Manager who shall coordinate and supervise onsite safety and health, including auditing and oversight of certification of the Vendor’s personnel in CFRC Railroad Worker Protection (RWP) requirements. 1. This position shall be performed by a single individual; that individual cannot perform

other project responsibilities.

B. As the direct representative of the Vendor at the worksite, the Construction Manager or Superintendent (or both if provided by Vendor) shall be responsible for the following: 1. Assist the Lead Safety Representatives/Safety Representatives in the discharge of

their duties and responsibilities. 2. Take immediate action to correct unsafe or unhealthful work practices or conditions. 3. Review and ensure implementation of administrative actions required to complete

accurate safety records as specified by the Department’s construction safety program record keeping requirements.

4. Attend safety meetings as directed by the Department. 5. Ensure that appropriate first-aid plans and facilities are established and maintained. 6. Ensure that all Subcontractors comply with all local, state, OSHA, CFRC regulations,

standards, ordinances, Vendor’s safety program or rules relating to the safety of persons and/or property.

7. Review and distribute foreman’s incident investigation reports to ensure timely submission and completeness, and that corrective actions have been completed to prevent recurrence.

8. Assure that all supervisors complete 30 hours of job specific safety training before beginning contract related activities. Certification of successful completion of an accredited OSHA 500 Construction Outreach Course shall satisfy this requirement. a. Instruction in the following topics shall be included:

i. Hazard identification and abatement ii. Preparation of Job Hazard Analyses iii. Communications in Safety iv. Applicable Federal and State Regulations v. Injury and Incident Investigation.

C. Training certificates and other records shall be submitted to the Department for review and acceptance. Training records shall be maintained at the worksite and made available to



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the Department for review without prior notice.

4.1.1.5 Vendor’s Lead Safety Representative

A. The Vendor Lead Safety Representative’s performance will be subject to periodic evaluation by the Department’s Safety Staff. Conclusions and recommendations of the review will be forwarded to the Department PM for information or action. The Vendor’s Lead Safety Representative or Safety Representatives shall at a minimum: 1. Make daily safety inspections of the jobsite(s) and public areas contiguous and

adjacent thereto and take necessary and timely corrective action(s) to eliminate unsafe acts and/or conditions.

2. Record and report observations to the Department’s PM. 3. Review incident and investigation reports, to ensure timely submission, and that

corrective action have been completed to prevent recurrence. 4. Provide foremen with relevant material for use in conducting daily and weekly tool

box safety meetings. 5. Review safety meeting reports to ensure adequacy of training as well as subject

matter. 6. Conduct incident investigations and preserve incident sites. Prepare and submit the

required reports to the Representative for final distribution in accordance with the manual.

7. Develop and implement a safety training program for supervisors and employees as applicable to their specific jobs.

8. Attend the Safety meetings held by the Department as well as other meetings as directed by the Department or its designee.

9. Ensure that employees receive medical treatment for occupational injuries and that a written OSHA 300 log is maintained and available for review by the Department or designee without prior notice.

10. Ensure that all subcontractor employees at any tier comply with jobsite safety rules and regulations; and that the subcontractors’ reports are completed in accordance with this scope of work and according to the requirements of the applicable regulatory agencies.

A. Safety Manager shall demonstrate knowledge of the governing CFRC Operating Rules, CFRC Roadway Worker Protection Safety Plan rules and regulations, and FRA regulations and procedures. The work of this project includes working with tightly controlled work windows on a railroad consisting of freight and commuter trains.

4.1.1.6 Test Manager

A. The Vendor’s Test Manager shall direct and organize the performance of all tests on PTC equipment and systems, in accordance with the Department approved testing program and procedures, prior to releasing the systems for service.

B. The Test Manager shall be responsible for preparation of all Test Plans and Procedures, and ensuring that all tests are conducted in the prescribed sequence and in accordance with the approved Test Plan and Procedures. 1. The Test Manager shall coordinate with the FRA designated Inspector for witnessing

of site tests. 2. The Test Manager shall document any deficiencies found during the testing and any



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actions taken to correct the deficiency. Deficiencies shall be reported to the Quality Manager.

3. The Test Manager shall track any changes made to the equipment or system during testing to ensure that these changes are captured in the as-built documentation and in the training provided to the Department personnel.

4. The Test Manager shall ensure that all applicable test documentation is completed and submitted prior to, or immediately after, in-service testing is completed.

4.1.1.7 Reliability, Availability, Maintainability, and Safety Manager

A. The Vendor’s Reliability, Availability, Maintainability, and Safety (RAMS) Manager shall be skilled, experienced and proficient in methods and procedures used in reliability engineering and system safety engineering as applicable. The candidate shall be responsible for the analysis of the configuration and work to ensure compliance with Specification requirements.

4.1.1.8 Environmental Compliance Manager

A. The Vendor shall follow all requirements of the National Pollutant Discharge Elimination System (NPDES) permit as well as Specification 01562, Soil Erosion & Sediment Control. Spec 01562, Part 1.4.D requires the Vendor to designate a qualified Environmental Compliance Manager (ECM); this individual may be a direct employee of the Vendor or an environmental professional or qualified technician employed by a third party environmental consultant.

4.1.2 Project Meetings

A. The Vendor shall participate in all project meetings and attend with appropriate representatives of their own staff, subcontractors, and suppliers as required. The Vendor shall prepare and submit an agenda for all project meetings for approval 5 days prior to the meeting. All Progress and Configuration Review meetings between the Vendor and the Department representatives shall be held at the Department offices unless otherwise agreed. Travel expenses for Vendor staff shall be included in the contract price.

B. The Vendor shall record official minutes of each meeting, distribute for the Department review within 2 business days after the date of each meeting for review and concurrence, and integrate review comments for final distribution.

C. Meetings between technical representatives for the purposes of issue resolution shall take place at the location(s) most appropriate for efficient problem resolution and maintenance of Schedule as approved by the Department. In cases where a mutually accepted location or time cannot be readily negotiated, the meeting shall be held at the location and time as directed by the Department representatives.

D. Progress meeting agendas shall include a summary of schedule progress and distribution of the Schedule Change and Slippage Reports and the 3 week Look-Ahead Schedule. The Vendor shall have authorized management and/or technical representatives conversant in issues resulting in changes or schedule delays in attendance to discuss and resolve schedule impacts or answer questions about the reports. The Schedule Status meeting shall occur weekly.



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4.1.3 Project Management Tools

A. The Vendor shall fully document all tools that will be used for the management and control of all aspects of the PTC Project within the PMP. All tools shall be implemented and configured for utilization within 90 days of NTP unless specified otherwise.

B. The Vendor shall establish, install, and manage the requirements and Requirements Traceability Matrix (RTM) for the PTC System as part of a COTS Requirements Management Tool. The COTS Requirements Management Tool shall be fully defined in the PMP, including the structure of the database to support classification and tracing of all requirements. The Requirements Management Tool shall include a requirements management database configured to categorize each system requirement. The RTM shall be sortable and reportable by any filter or combination of filters of categories and classifications. Each requirement within the RTM shall include the following: 1. Unique Identifier; 2. Source: Specification, Derived; 3. Reference to the Source ex: Specification Exhibit, Volume, Section, Paragraph in a

format best suited to the tool; 4. Subsystem(s): Wayside, Rolling Stock, Communication, Office, DIU; 5. Type: function, performance, process, documentation, safety, other defined in the

PMP; 6. Architecture: software, database, hardware, document, procedure, other defined in the

PMP; 7. Verification method: test, demonstration, inspection, analysis, other defined in the

PMP; 8. Traceability including CDRL ID and section in a format best suited to the tool for:

a. Configuration b. Implementation c. Verification including Procedures and Results (each test/inspection/

demonstration) d. Safety Critical Items.

9. All other requirement attributes necessary to define and track each requirement, as defined by the Department.

C. The Vendor shall establish, install, and manage a COTS Failure Reporting, Analysis, and Corrective Action System (FRACAS) that includes a Variance Tracking Database to be used to collect, document, and track all failures and variances found during PTC System development. The FRACAS and Variance Tracking Database shall be configured and installed as defined in the Project Management Plan and as specified in Section 4.8.6.

D. The Vendor shall establish, install, and manage a COTS System Configuration Management System (SCMS) to be used to manage, document, and track the development of all configuration items. The SCMS shall be configured as defined in the approved System Configuration Management Plan (SCMP). The SCMS shall be as specified under Section 4.8.2. 1. The Vendor shall establish, install, and manage all tools necessary to generate and

install all PTC data (inclusive of databases and parameters) and manage all software components and versions.



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4.2 PROJECT SUPPORT FACILITIES

A. The Vendor shall provide sufficient project support facilities as necessary to support the Vendor’s work. The Vendor responsibility shall consist of preparatory work and operations to establish support facilities and removal of those items no later than Contract completion and includes the establishment of all facilities necessary for work on the project; and for all other work and operations which must be performed or are incidental to beginning work on the various contract items in the various locations specified in the Contract Documents. Support facilities shall be located within the Orlando Metropolitan Areas where feasible or where an alternate location is approved by the Department.

B. The Vendor shall provide project office facilities, field office facilities, warehousing and training facilities as needed to manage the services being provided. The Vendor shall determine the type of facilities required and shall make all arrangements with utility companies and governmental agencies to secure such services. Contractor project offices will be located in the Orlando Metropolitan area. All costs incurred shall be at the sole expense of the Vendor.

4.3 PROJECT SCHEDULE

A. The Vendor shall develop a Project Schedule using Primavera Project Planner (P6) version 8.4latest version for Microsoft Windows 7 (or higher environment) or the Department approved alternative software. The schedule must be consistent with payment milestones set forth in Exhibit B, Method of Compensation.

4.3.1 Master Schedule

A. The Vendor shall coordinate with all stakeholders to develop, maintain, and administer the Project Schedule. The plan and procedures for developing and managing the Project Schedule shall be defined in the PMP. The Vendor shall develop and maintain a Project Schedule with deliverables and milestones for the overall program. The schedule and key milestones shall provide the Department with clear information about the development and execution of the various elements of the project and clearly describe the steps the Vendor will take to assure project completion by the deadline.

B. Within 21 days of the Contract Notice to Proceed, the Vendor shall host a meeting and provide a comprehensive review of the philosophy and strategy for development of the Baseline Contract Schedule (BCS) with the intent of enabling the parties to reach agreement on an accepted BCS. Within 60 Calendar Days following the Contract Notice to Proceed, the Vendor shall submit a detailed BCS and Basis of Schedule Report for review and acceptance. the Department shall have 30 calendar days to review and respond to the Project Schedule

C. The following definitions and provisions regarding the critical path and float shall apply for this contract: 1. The schedule will have at least one chain of activities, linked by logic, that constitute a

critical path from the current data date to the completion of the project. Critical Path is defined as activities on the longest path through the network. The critical path shall be noted on the baseline schedule and each update in red.

2. All Float contained in the Project Schedule as initially accepted or generated



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thereafter, shall be considered a project resource available to either the Vendor or the Department as needed.

3. The Contract completion date as determined by the allowed number of days is for the sole benefit of the Department and while the Vendor may plan and schedule it’s work in a manner that enables early completion of the Contract, the Department shall have no liability to the Vendor and the Vendor shall have no Claim against the Department for any delay with the Vendor's early completion of its work.

4. Use of float suppression techniques: preferential sequencing (arranging critical path through activities more susceptible to the Department caused delay), special lead/lag logic restraints, zero total or free float constraints, extended activity times, or imposing constraint dates other than as required by the contract, shall be cause for rejection of the project schedule or its updates.

D. The Vendor shall include the following as part of the Project Schedule as required by this Specification: 1. Baseline Schedule; 2. Look Ahead Schedule Updates; 3. Status and Schedule Meetings; 4. Schedule Change and Slippage Tracking Reports; 5. Progress Schedule Updates; and 6. Two month look-ahead schedule and narrative description identifying the type,

quantity and duration of any the Department assets needed to support the Vendor’s work.

4.3.2 Baseline Contract Schedule

A. The Vendor shall submit a comprehensive Baseline Contract Schedule (also referred to as Baseline Schedule) using the critical path method (CPM) listing start/end dates, activities and key milestones for the configuration, training, system installation, testing, final acceptance, and project closeout. The BCS shall include all configuration and construction activities necessary to clearly establish the Critical Path and to demonstrate complete and accurate planning and sequencing of the Contract work and to permit monitoring and evaluation of progress and time impacts. The Baseline Schedule shall show: 1. Clearly identified critical path activities. 2. Contract Milestones. 3. A practical plan to complete the work within the contract time. 4. The Vendor’s intent for prosecution and progress of the work. 5. Project characteristics, salient features and interfaces with the Department

Operations and outside entities that could affect time of completion. 6. Information or activity to be provided by the Department in support or as a

predecessor to a Vendor activity. 7. Work performed by the Vendor, Vendor subcontractor(s), and suppliers. 8. Submittal development, delivery, and review/approval activities, including those from

the Vendor, Vendor subcontractor(s), and suppliers. 9. Procurement, delivery, installation and testing of materials and equipment. 10. Utility notification and relocating. 11. The number of activities shall be sufficient to assure adequate planning of the project,

permit monitoring and evaluation of progress, and to do an analysis of time impacts. 12. Narrative report describing the basis (including Activity Duration basis), assumptions,

critical path analysis, historic project comparisons, productivity and installation rates,



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construction staging plans, planed sequence of work operations, manpower construction equipment plan, other resources, and constraints used to develop the BCS.

13. Schedule shall be cost and resource loaded for Vendor activities. 14. Schedule shall be resource loaded for the Department activities. 15. Schedule shall identify activities that are to be conducted at night or on weekends. 16. Detailed elements of installation and the test plans.

B. The Vendor shall consider and include seasonal weather conditions in the planning and scheduling of all work, specifically including all work influenced by high temperatures, precipitation, declared states of emergency and/or, to ensure completion of all work within the contract time. The Vendor and the Department’s Project Manager must agree to all weather delay days on the day that any such delay occurs.

C. Actual lost days due to weather conditions occur only when weather conditions that prevent the Vendor from performing work items critical to the timely completion of the project. Items critical to timely completion of the project are those on the critical path on the Vendor's approved construction schedule. If the Vendor does not have an approved construction schedule at the time a weather condition occurs, the Vendor may not be entitled to include the days lost due to that weather condition in the calculation of the total actual lost days for the project.

D. Upon receipt of Notice to Proceed and continuing to Final Acceptance, the Vendor shall record and submit a report to the Department on a daily basis when it considers itself to have suffered any actual lost day due to weather conditions detailing the circumstances of the delay. The Vendor's submission of this report on any day that the Vendor considers itself to have suffered any actual lost days due to weather will be a condition precedent to the Vendor's being entitled to claim that day as actual lost time. The Vendor shall also submit to the Department on a monthly basis an account of the actual days lost due to weather conditions for that month and a running total for the contract performance period.

E. The Schedule activities shall be defined in the Baseline Schedule with the following information: 1. A clear, legible, and concise description. 2. A time scale logic diagram that includes activities and their relationships. 3. Start and finish dates. 4. Duration of not less than 1 working day and not more than 20 working days unless

otherwise approved by the Department. 5. Duration shall be based on the craft labor, equipment, and materials required to

perform each of the activities on a normal workday basis. 6. At least 1 predecessor and 1 successor activity, except for project start (NTP) and

finish milestone activities. 7. Codes for responsibility, location, and scope. 8. Cost loading on each Vendor activity. Sum of all the activity costs must equal the

contract value. No activity values shall be assigned to manufacture or delivery activities.

9. Identification of any manpower, material and equipment restrictions. 10. Identification of interfaces and dependencies with preceding, concurrent, and follow-

on Vendors. 11. Testing and start-up of equipment, instrumentation, and controls.



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12. Actual test, submission of test reports, and approval of test results. 13. Punch-list work. 14. Operation and Maintenance Training. 15. Baseline Schedule Reporting Requirements.

F. The Baseline Schedule shall: 1. Not have more than 25% of the activities shown as critical. 2. Not extend beyond the project completion date specified in the Contract. 3. Not attribute negative float or negative lag to any activity. 4. Have a data date of the first business day of the contract. The Vendor shall submit

software generated tabular report. The tabular reports shall be 8 ½” x 11” in size and shall include at a minimum, the following information: a. Data date. b. Activity number and description. c. Activity ID numbers. d. Original duration (in work days). e. Early start date. f. Early finish date. g. Total float. h. Calendar. i. Manpower activity manpower (resource) j. Cost Activity (resource).

G. The Vendor shall provide a PDF version of the schedule and the P6 electronic (XER) or the Department approved equivalent files for the Baseline Schedule with all required submittals.

4.3.2.1 Baseline Schedule Submittal

A. The Baseline Schedule submittal shall contain the following: 1. Vendor transmittal letter. 2. Basis of Estimate Report 3. Tabular report. 4. Narrative report that describes the critical path. The description shall include the labor

resources required for each activity and the reason for the predecessor and successor activities.

5. The Vendor shall submit the initial Baseline schedule within 30 calendar days of Contract Award. The Department shall have 30 calendar days to review and respond to the initial Baseline Schedule.

B. Once the Baseline Schedule is accepted by the Department, the Baseline Schedule shall be updated monthly by the Vendor. Progress Schedule Update submittals are due the first business day of every month with progress payment request. The Progress Schedule Update Submittal has the same transmittal letter, tabular report and narrative requirements as the Master Schedule submittal. In addition, the Progress Schedule Update submittals shall include the following: 1. Tabular report identifying added and deleted activities, duration, activities description,

and logic changes; 2. Narrative describing current delays and appendices to support the cause and effect of

the delay;



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3. Narrative of anticipated delay issues; 4. Narrative of proposed corrective action to mitigate current and anticipated delays; 5. Color Gantt Charts (showing activity ID, description, original and remaining duration,

Percentage complete, calendar, early start, early finish, total float.); 6. All activities commenced during the preceding month; 7. All activities completed during this month; 8. Any activities which are behind schedule; 9. Look-Ahead Schedule Updates.

C. The Department shall have 10 working days to review and respond to Progress Schedule Updates.

D. The Vendor shall submit 3 week look-ahead schedule updates in conjunction with the Site Specific Work Plan process, as required in the System Implementation Plan. The look-ahead schedules shall be generated from the current approved Schedule Update, showing 3 weeks ahead and 1 week back. The look-ahead schedule shall additionally identify what and when the Department resources will be needed to support the Vendor.

4.3.3 Schedule Revisions

A. The Vendor’s construction schedule shall be revised until it is no longer useful as a status and control mechanism as determined by the department. All revisions shall be coordinated with and approved by the Department. Contract time (including all contract milestones) cannot be changed without a formal Amendment to this Agreement.

B. Construction schedule revisions shall accurately represent all adjustments and changes in the sequencing and timing of the work remaining. Schedule revisions shall be provided as needed to reflect all modifications in the Vendor’s plan of prosecuting the Work, or due to change orders.

4.3.4 Schedule Change and Slippage Tracking

A. The Vendor shall provide, and maintain an electronic database that tracks changes to the Master Schedule. The database shall include issues, comments, responses and decision rationale to document the issues and reasoning involved in Master Schedule changes. Likewise the reasons for schedule slippage shall be maintained in the database. The database system shall be used to generate Master Schedule Change and/or Slippage Reports. The capacity to query the database shall be readily available on-line for review by the Department and its representatives.

B. Within 5 days after a schedule delay is identified, the Vendor shall submit a written recovery statement to the Department describing the cause of the problem and the actions planned by the Vendor to recover the schedule. The Vendor shall promptly undertake appropriate action at no additional cost to the Department to recover schedule whenever the current schedule shows that the Vendor did not/cannot achieve a milestone establish on the Construction schedule. 1. Appropriate recovery actions may be assignment of additional labor, subcontractors,

equipment, shift work, overtime work, expediting submittals or deliveries, or any combination of them. Overlapping of activities or sequencing changes to increase activity concurrence shall be deemed appropriate only if properly substantiated in the



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submittal. Recovery plans that require a change in the Baseline schedule must be handle as a schedule revision.

C. Lack of Action: The Vendor’s refusal, failure or neglect to take appropriate recovery action or to submit a written recovery statement shall constitute reasonable evidence that the Vendor is not prosecuting the work, or separable part, with the diligence that will insure its completion within the applicable Contract Time.

D. The Vendor shall provide a separate fragnet schedule for each proposed Amendment showing the revised activities and the duration. A fragnet is defined as “a sequence of new activities and/or activity revisions that are proposed to be added to the existing schedule to demonstrate the influence of the delay and the method for incorporating delays and impacts into the schedule as they are encountered”.

E. Each analysis shall demonstrate the estimated time impact based on events of delay, the date the change was given to the Vendor, the status of construction at that point in time, and the event time computation of all activities effected by the change or delay. The event times used in the analysis shall be those included in the latest approved update of the Full Project Schedule or as adjusted for the events of delays.

F. The Department may adjust the contract duration for changes beyond the control of the Vendor that affect the scheduled completion date. The Vendor shall prepare a time impact analysis to determine the cause and effect of a change. The time impact analysis must establish that the change delayed the scheduled completion date and that the Department was responsible for the delay. Changes that do not affect the controlling operation on the critical path shall not be considered as a basis for a time adjustment. Delays to the critical path due to the actions or inactions by the Vendor, its subcontractors or vendors shall not be considered as a basis for a time adjustment.

G. A time impact analysis shall include a comparison of the controlling operation on the critical path from the most current accepted Progress Schedule Update prior to the change to the most current accepted Progress Schedule Update after the change. The comparison shall identify which controlling activities were delayed, the number of days of delay per controlling activity, a narrative explaining the responsibility for the delay per activity, and appendices to support the determination for responsibility. The narrative shall include a description of the applicable Contract Specifications to establish that the issue is a change from the contract. Appendices shall include the appropriate correspondence, submittals, and photographs. The Vendor shall provide Schedule Change and/or Slippage Reports or other project documentation to establish responsibility for delays.

H. The Vendor shall submit time impact analyses within 30 calendar days of the delay or change event. The Department has 30 calendar days to review and respond to the time impact analysis submittal, unless subsequent meetings or negotiations become necessary.

4.4 SYSTEM IMPLEMENTATION PLAN

A. The Vendor shall provide a System Implementation Plan (SIP) documenting the detailed plans for the configuration, installation, testing, and placement of the new PTC components and system(s) into service. The plan shall include a schedule identifying all critical activities and all requirements for the Vendor’s work, and participation requirements



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for the Department personnel, and potential impacts to daily operations. The SIP shall include samples of test forms which record system run time (uninterrupted and interrupted), system outages, network failures, software failures, hardware failures, scheduled downtime, and corrective actions.

B. The Vendor shall maintain a database that tracks changes to the SIP including review comments, responses and decision rationale to document the issues and reasoning involved in SIP changes. The SIP and archive of previous versions of the SIP shall be maintained under the Configuration Management System (Section 4.8.2). The system implementation database shall be used to generate System Implementation Change Reports. The capacity to query the database shall be readily available on-line for review by the Department and their representatives.

4.4.1 System Implementation Status Reports and Meetings

A. Project progress meetings shall address system implementation progress and issues. Progress meeting agendas shall include both progress in system implementation and any changes to the SIP. The Vendor shall submit a monthly System Implementation Progress Report. The System Implementation Progress Report shall include System Implementation Change Reports and report on system implementation and testing progress. The Vendor shall have an authorized technical representative responsible for System Implementation Management in attendance as required to discuss and resolve technical aspects of the SIP or answer questions about the reports. The Vendor progress reports shall include updates on system component installations, testing, cut-over and acceptance period testing. The status of system implementation tests shall be recorded and reported on the test forms defined in the SIP.

B. Periodic technical meetings between the Vendor and the Department technical representatives to develop, discuss and resolve SIP issues shall be scheduled as necessary for efficient coordination or as directed by the Department.

4.4.2 Site Specific Work Plan

A. This section outlines requirements and provisions for Rules and Hours of Operation which the Vendor must follow during the execution of the work under this Contract.

4.4.2.1 Vendor Responsibilities

A. Perform work in accordance with the Contract and applicable codes, ordinances, rules, regulations, orders and other legal requirements of governmental bodies and public agencies having jurisdiction, including rules and guidelines from the Department.

B. Schedule and then execute the work based on the most current copy of the Sunrail and Tenant Railroad train operating schedule ; all Weekly Site Specific Work Plans (WSSWP) (as described below) shall be consistent with this schedule.

C. Perform the work of the contract only after submitting a Work Plan (WP), WSSWP and receiving written approval of both from the Department.

D. Furnish all labor, materials, and equipment as required to perform and complete the work within the Work Windows in accordance with the WP and approved schedule in the WSSWP.



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E. Responsible for the cost of any damage to rails, ties, embankment, signal and communications equipment, or other facilities resulting from the Vendor’s installation activities including restoration to the initial condition or better as directed by the Department. The Vendor is responsible for making immediate notification to the dispatcher and the O&M contractor and providing the necessary protection of the damaged facilities. The O&M Contractor will be responsible for restoration of the damaged rails, ties, embankment, signal and communications equipment, or other facilities.

4.4.2.2 Work Plan (WP)

A. The Vendor shall prepare a detailed Work Plan, for each task associated with the work that is required by the Contract or any associated Field Instructions or Change Notices.

B. The Work Plan shall be a plan that includes the following information: 1. Include all activities necessary to perform field installation within the Department

ROW, including use of stations, sidings, temporary construction easements and proposed storage areas and work within the Operations Control Center.

2. Include all activities which have the potential to affect the dispatching system, communications system or any other elements of the Department operating network.

3. Include a description of any proposed changes to the Railroad Operating System including tracks, signals, bridge, stations, railcars, communications system, dispatching centers, corporate network or any related facilities in active service throughout the property between start and finish of the work, including any requested Work windows.

4. Conform to all other requirements applicable to the Contract Documents. 5. Contain a basic schedule of the work showing each activity and where and how it

affects normal operation of the Railroad Operating System. Each activity in the plan shall include all labor, materials and equipment required to complete the activity within the Department’s allotted time period.

6. Include Contingency Plans for putting the Railroad Operating System back in operation in case of an emergency or in case the Vendor fails to complete the work within the Work Window. The Contingency Plans shall address the various stages of activities to restore the System.

7. Include alternative work for the Vendor to perform in the event the scheduled work area or railroad systems become unavailable/inaccessible on short notice for the planned period.

C. The WPs must be of sufficient detail, clarity and organization to permit efficient review by the Department and approval at least 10 calendar days before the proposed work is performed. The WP shall be submitted to the Department as follows. 1. At least 21 calendar days prior to start of the subject work within the Department’s

ROW for work other than work affecting signal installations. 2. At least 30 calendar days prior of the start of the work for work involving affecting

signal installations and signal system cutover. 3. At least 30 calendar days prior of the start of the work for work involving the

communications system or the Department’s network or business applications. 4. The Department may request explanations and changes to the WP to ensure that it

conforms to the requirements of the Contract Documents. The Vendor shall revise the WP to address all comments provided. The Vendor is responsible for submitting a revised WP that can be reviewed and approved by the Department at least 7 days



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in advance of any work within the Department ROW.

D. The Vendor will be informed if the WP is acceptable not less than 7 calendar days prior to the scheduled start of work within the Department ROW. Once the plan is accepted, the Vendor shall muster the resources necessary to perform the work represented by the WSSWP, so that necessary resources are available and ready for use. The Department reserves the right to cancel a work window if the Department deems that the Vendor is insufficiently prepared to execute the work as planned.

4.4.2.3 Weekly Site Specific Work Plan (WSSWP)

A. In addition to Work Plans, the Vendor shall submit WSSWPs for the Department review and approval on a weekly basis.

B. All WSSWPs shall detail the proposed weekly events and activities, and include the Vendor’s request for Work Windows and Vendor’s alternative work. Owner furnished labor to support an approved WSSWP shall be determined in accordance with Owner Furnished Labor, Materials and Equipment.

C. All WSSWP’s with a potential to impact normal functioning of any part of the Railroad Operating System shall include a detailed schedule of events indicating the expected hourly progress of each activity that has a duration of 1 hour or longer. The schedule shall include a time at which each activity planned under the WSSWP and the requested Work Window shall be completed.

D. The WSSWP shall indicate the WPs that will be utilized in the performance of the work. The WSSWP shall include any specific details regarding the implementation of these WPs.

E. The Vendor must have the WSSWP submitted for review no later than the opening of the business day on the Monday, 2 weeks prior to the proposed start of the work.

F. The WSSWP must be submitted to the Department in both a hard copy submittal format, as well as emailed electronically so as to expedite review, comment and re-submittal as required.

G. The Vendor shall coordinate with the Department and its O&M Contractors in order for the Vendor to obtain access to the commuter rail vehicle fleet for installation, integration, testing and any other activities. The Vendor shall recognize that no specific guarantee of vehicle availability is promised or guaranteed by the Department. The Department emphasizes that it will work diligently with the Vendor to provide access to necessary vehicles and will work closely with the Vendor to facilitate contract execution.

H. The Vendor’s installation, survey, inspection and test activities which impact the Railroad Operating System including tracks, signals, bridge, stations, railcars, communications system, dispatching centers, corporate network or any related facilities in active service throughout the property shall be subject to the following requirements: 1. The Vendor shall provide sufficient personnel, equipment, material and all other

resources necessary to return the impacted facilities to full service upon the conclusion of the approved Work Window.

2. The Vendor shall perform the work expeditiously and continuously with no gaps or breaks in the work activities or substantive reductions in the labor force, equipment,



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and materials necessary to construct, reconstruct or repair the impacted facility to the full service upon the conclusion of the approved “Work Window”.

3. The size and scope of the impacted facilities within the Railroad Operating System, e.g., changes, adjustments to, connections and disconnects to the communications system, corporate network or signal system removed or potentially affected shall not exceed the Vendor capacity to conservatively return the impacted facility to required level of service within the approved Work Window.

4. The Vendor shall take all appropriate and reasonable measures to perform work activities and tasks located outside of the Railroad Operating System to effectively reduce the amount of time and effort required during the approved Work Window. These appropriate and reasonable measures shall include preconstruction and pre-assembly of antennas and towers, placement of new equipment, preparation of old equipment for removal, pre-staging of materials and equipment at work sites, pre-assembly of signal, network and communications components, pre-checking and testing of signal, network and communications systems, and other the Department-approved measures defined by the Vendor.

5. Backup or Emergency Plan: The Vendor shall include in the WSSWP a “Backup or Emergency” Plan(s) outlining the necessary resources (labor, equipment, materials) to assure the Department that all appropriate and reasonable measures are available for the return the impacted facility to full service upon conclusion of the approved Work Window.

6. Materials and equipment shall not be piled, stored or parked, when not in use, closer than 25 feet horizontally from the centerline of the nearest track, or within any other shelters with working equipment.

7. The placement of piles, forms, braces, shoring, false-work, excavation, or other supports shall be in accordance with the current Department requirements. Temporary overhead structures shall be a minimum of 22‘-6” above top of rail in accordance with the Florida Public Service Commission (FPSC) requirements.

8. Open excavation areas shall be protected per the Department requirements and OSHA regulations.

4.4.2.4 Work Week, Work House, and Work Windows

A. The work week for this Contract shall be Monday through Friday, single daytime shift. Additional shifts may be required to perform work and testing within allowable work windows, which will typically occur on weekends and at night. Site-specific locations will require different work periods due to variations in permissible access to track and operating equipment.

B. For Vendor’s work requiring involvement of the Department personnel, the normal work hours shall be Monday through Friday between 7:00 a.m. and 4:00 p.m. EST. Activities that have the potential to impact train operations shall be performed during Work Windows as approved by the Department. It is anticipated that significant portions of the work will be required to be done at night and on the weekends. Activities that require the Department resources shall be coordinated with the Department at least 14 calendar days in advance.

C. The Vendor may not have exclusive rights to the Work Windows. The Vendor may be required to share these Work Windows with the Department, and other Department Contractors.



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D. Although every accommodation will be made to expedite the Vendor’s work, the Department reserves the right to restrict Vendor’s track access to not more than one Track CFRC 707 or one Single Track Work Window at any given time.

E. When the Vendor’s work is within 25ft of the field side of the near running rail and signal and communications systems, the Vendor shall be required to attend weekly track allocation meetings.

4.4.2.5 Railroad Operating System Back in Service

A. Prior to the end of each Work Window shown in the approved WSSWP, the Vendor shall return the Railroad Operating System to full service inclusive of all inspections that may be necessary by the Department or its O&M Contract Operator(s). Full service is defined as trains permitted to operate at maximum authorized speed on signal indication.

B. Final inspection shall be required by the Department before train service can resume on tracks previously out of service.

C. Measures required to return the Railroad Operating System back to an acceptable level of service shall be solely at the expense of the Vendor.

D. Rail service interruptions caused by the Vendor shall be considered an unauthorized delay to the Department train operations and rail service interruption, Assessments shall be made when any of the following occur: 1. The Vendor’s activities exceed the approved Work Window time limits specified in an

approved WSSWP by more than 10 minutes. 2. The Vendor’s activities result in a slow order on any mainline track. 3. The Vendor’s activities working under an approved Work Window results in the

stoppage of a scheduled train. In this case, the delay shall be calculated from the time the train is stopped at the working limit until the train has completely passed through the working limits.

E. The Department will determine the cause and amount of delay to train service and such determination shall be final.

4.5 RISK MANAGEMENT

A. Risk management includes the processes of planning, identification, analysis, responses, and monitoring and control, with the objective of decreasing the probability and impact of adverse events. All categories of risks shall be assessed, in the following categories financial, strategic, operational, and cultural. The risk management methodology shall address all processes listed above; thereby enabling the Department to better foresee and manage program risks.

B. The Vendor shall submit a Risk Management Plan describing how risk management will be structured and performed for the PTC project. It shall define the following: 1. Methodology; 2. Roles and Responsibilities; 3. Budgeting; 4. Timing;



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5. Risk Categories; 6. Risk Probability and Impact; 7. Risk Probability and Impact Matrix; 8. Stakeholder Tolerances; 9. Reporting Formats; and 10. Tracking.

C. The Vendor shall provide, and maintain an electronic database that tracks current identified project risks, their probability of occurrence, their potential impacts, their risk rating, associated risk response plans, contingency plans and fallback plans. Results of implementation of contingency and fall back plans shall also be recorded. The tracking system shall also archive historical information including comments, responses and decision rationale pertaining to an identified risk as the plan is updated to allow for review and evaluation of the evolution of current risk response plans. The database system shall be used to generate Risk Reports in accordance with those defined in the Risk Management Plan. Risk Reports shall be distributed as part of the monthly PM Progress Report. Reports and capacity to query the database shall be readily available on-line for review by the Department and their representatives.

D. Progress meeting agendas shall, if applicable, include changes to the Risk Management Plan Risk database and distribution of updated Risk Reports. The Vendor shall have an authorized technical representative responsible for risk management in attendance as required to discuss and resolve technical aspects of the Risk Management Plan risk database, or answer questions about the reports. Periodic technical meeting between the Vendor and the Department technical representatives to discuss and resolve risk management issues shall be scheduled as necessary for efficient coordination or as directed by the Department.

4.6 PROJECT PHASING AND TECHNICAL MILESTONES

A. Development of the PTC System shall follow a defined development life-cycle. The life-cycle development phases, activities, and milestones are defined within this Section. The requirements of each project phase shall apply to the overall PTC System and subsystems. The Vendor shall be responsible for planning the implementation, testing, and cut-over of the overall project.

B. The Vendor shall define all project phases as part of the Project Management Plan. The project phases shall include, at a minimum, all those defined within this Specification. The development of each PTC subsystem shall include all activities identified in this Specification for each phase. Where a specific PTC System does not require one or more activities (i.e., no software development) the Vendor shall furnish adequate justification for the Department approval.

C. The Vendor shall not proceed to work in a successor phase until approval from the Department of the predecessor phase has been received. All required work outputs of phases shall be completed and approved by the Department prior to start of a formal milestone Technical Review.

D. The Vendor shall schedule a formal milestone at the completion of each project work phase. A Technical Review shall be scheduled for the project phase milestones defined in



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this Specification; the Department and the Vendor may mutually define additional formal milestone Technical Reviews as needed which shall be performed in the same manner as specified herein. The Technical Reviews shall represent the configuration milestones in the development, scheduled with sufficient time for the Department review and approval cycles prior to beginning the next phase. The Vendor may begin work of successive phases early but doing so shall be at the Vendor’s risk.

4.6.1 Configuration Review Requirements

A. Formal configuration reviews shall be conducted at milestones during the development process. The Vendor’s personnel responsible for the implementation of the PTC System shall participate in the development reviews. After review and the Department approval of the Vendor’s PTC System Functional Description the Vendor shall submit various configuration packages to the Department for review and approval. Each review shall consist of documentation submittals as specified in the following sections and a formal presentation to the satisfaction of the Department. The reviews shall be conducted by the Vendor and shall be scheduled after the Department has had time to review the corresponding review documentation submittals. Review agendas and material shall be made available to the Department for review at least 10 working days prior to the review.

B. The Vendor shall provide the following Configuration Review deliverables for the Department approval as required by this Specification: 1. Specification Review Report; 2. System Functional Description 3. Preliminary Configuration Review Packages; 4. Final Configuration Review Packages; 5. Critical Configuration Package; (FCR) 6. Test Readiness Package. (FCR)

4.6.2 Development Phases

A. The Vendor shall configure, implement, and deliver the PTC System following a well-planned, structured development process that is broken down into distinct phases. The specific activities and documentation to be provided for the PTC System and each individual subsystem shall be as defined herein. The processes and activities that make up each project development phase are described in this section.

B. The Vendor shall baseline the requirements upon successful completion of all reviews, audits, and inspections.

4.6.2.1 Specification Analysis

A. The Vendor shall analyze the Contract documents and identify each function to be implemented in the PTC System, identify the overall configuration of systems/subsystems, and provide the Requirements Traceability Matrix (RTM) identifying the set of individual system requirements of the PTC System.

B. Within 15 days after NTP, the Vendor’s Project Manager shall prepare and submit a Specification Review Report (SRR) detailing the approach planned in response to each Specification requirement, requests for additional Railroad materials, and identifying any



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issues or clarification that must be resolved by the Vendor and the Department. The report shall identify the FRA Type Approved PTC System to be implemented and describe how the requirements of this Specification will be met.

C. Within 10 days after submittal of the Specification Review Report the Vendor shall schedule a meeting to review the report with the Department. The Department will, after review of the report and within 10 days after the Specification Review Meeting, provide a written response to questions which the Vendor may have regarding Technical Specification requirements.

D. The Vendor shall submit the following PTC planning documents for review and approval of the Department: 1. Project Management Plan; 2. Project Schedule; 3. CDRL List; 4. System Implementation Plan; 5. Document Control Plan 6. Software Project Management Plan; 7. Quality Management Plan; 8. Software Quality Assurance Plan; 9. Configuration Management Plan; 10. Configuration Items List; 11. Software Configuration Management Plan; 12. Software Verification and Validation Plan; 13. Reliability, Availability, and Maintainability Program Plan; 14. Master Test Plan; 15. Master Training Plan; 16. Product Safety Plan.

E. The Vendor shall analyze the functional requirements of the PTC System and each subsystem, as defined in these Specifications along with requirements derived from the selected PTC Type Approved system to develop the full set of PTC System requirements.

F. The full set of functional requirements shall be documented in the Requirements Traceability Matrix (RTM). Where requirements of this Specification are applicable to multiple PTC subsystems, each requirement shall be included separately to each subsystem to which it applies. A separate RTM for each subsystem shall be managed as part of the overall RTM.

G. The Vendor shall analyze the PTC functionality, existing infrastructure, external interfacing systems, and the current Department operations as part of the system definition. The System Analysis shall include the following areas:

1. Functions and capabilities of the system; 2. Organization and user requirements; 3. Safety, security, human-factors Engineering (ergonomics); 4. Interface, operations, and maintenance requirements; 5. Configuration constraints and qualification requirements; 6. Implementation and commissioning; 7. Hardware utilization; 8. System timing and performance;



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9. Reliability, availability, and maintainability requirements.

H. The Vendor shall document the complete set of PTC System functionality within the System Functional Description (SFD). The SFD shall identify each PTC System element; the supplier or subcontractor for each PTC System element; interfaces among the system elements and the complete PTC System itself; requirements traceability of each Specification requirements to each system element and interface; and the entity responsible for satisfying the requirements identified.

I. The Vendor shall fully analyze the selected FRA Type-Approved PTC System, to understand the functionality and performance that is part of the Type-Approved PTC. Full reuse of the Type-Approved PTC configuration and products is required to the maximum extent reasonably possible. The Vendor shall fully analyze and document all reuse (unmodified PTC) and provide description and justification for any modification or new functionality for the Department PTC, as part of the System Functional Description and Subsystem Description Documents for the Department approval. The Vendor shall not proceed with variance to PTC functionality without the Department approval.

J. The Vendor shall analyze all PTC interfaces (internal and external), as defined in this Specification, to identify and document all interface requirements as part of each Subsystem Interface Control Document (ICD). The interface analysis shall include identification of all data points required by the PTC System, from interfacing systems, to accurately and completely support PTC System functionality.

K. The Vendor shall perform a complete analysis of all functional requirements of each PTC Subsystem, defining the set of requirements to be fulfilled by system software including data, as applicable. The software requirements analysis shall begin with the system functions and requirements allocated to the Software Configuration Items (SCI). 1. The Vendor shall utilize the software requirements methodology defined in the

approved Software Project Management Plan in performing the software requirements analysis.

2. The Vendor shall perform an analysis of each PTC Subsystem to determine the complete set of PTC software requirements. The Vendor shall document the analysis in the applicable Subsystem Software Requirements Specification (SRS) as follows: a. Wayside SRS; b. Onboard SRS; c. PTC Hosted Back Office SRS; d. DUI SRS.

L. The Vendor shall perform a complete and comprehensive hardware requirements analysis including all installation and site preparation, for each PTC Subsystem. Hardware requirements analysis shall include identification and document of all requirements derived from the architecture and configuration of Type Approved PTC hardware; Vendor’s standard platform; selected PTC hardware configuration and functionality; and operational and maintenance considerations not explicitly within this Specification. 1. The Vendor shall deliver the Hardware Configuration Description for each

subsystem, including Hardware Specification, at minimum consisting of the hardware descriptions, preliminary utilization calculations, preliminary load calculations, maintenance and diagnostic capabilities, and the expected environmental tolerances.

2. The Vendor shall deliver preliminary Hardware Configuration Block Diagrams, at a



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minimum consisting of all system level drawings. 3. The Vendor shall deliver preliminary Hardware Installation Configuration,

including all site layout drawings with proposed equipment placement.

4.6.2.1.1 Requirements Traceability Matrix (RTM)

A. Within 90 days after NTP, the Vendor shall submit the System RTM. The System RTM shall report the results of the requirement analysis performed and document all system-level requirements: 1. Functional Requirements

a. Define the system response to each and every possible stimulus (each potential signal aspect, switch state, user input, event, track data item, timeout, etc.).

b. Fully address every system state, including initialization, operation, and termination.

c. Define responses during faults, failures, human errors, and lack of radio or GPS coverage as well as normal operation (e.g., which conditions are to result in stop enforcement vs. restricted speed enforcement vs. warning).

d. Identify which functions or responses are user-configurable. 2. Performance Requirements

a. Timeliness of responses. b. Capacity (e.g., number and density of trains accommodated, number and density

of wayside sites, amount of track). c. Probability or frequency of false warnings and enforcements.

3. Interoperability Requirements a. Primarily ITC/AAR Specifications.

4. External Interface Requirements a. Identification of interfaces with other systems and operators. b. Context diagram. c. Detailed interface requirements are to be contained elsewhere (ICD, IRS, and/or

ITC/AAR Specifications). 5. Safety Requirements

a. Criticality of each function, including for those that are safety-critical which must be implemented in a fail-safe manner.

b. System-level Mean Time to Hazardous Event (MTTHE). 6. Security Requirements

a. Authentication. b. Authorized user verification. c. Firewalls.

7. System Effectiveness a. Reliability and Availability requirements. b. Maintainability requirements. c. Human Factors requirements.

8. Environmental Requirements and Constraints a. Temperature, shock, vibration, humidity, and others as specified herein.

9. Physical Requirements and Constraints a. Size, weight, and power requirements.

10. Future Extensibility a. Provisions for potential future expansion in capacity, functionality, performance,

and others as specified herein.



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B. The RTM shall be a controlled document. The Vendor shall be responsible for updating and submitting the RTM Report on a monthly basis through Final Acceptance.

C. The descriptions of the PTC System and subsystems, as presented in the SFD shall address all system requirements defined in the System RTM including each function, interface, and terminology. The RTM shall establish the baseline performance, function and physical attributes for each interface.

4.6.2.2 Preliminary Configuration

A. The Vendor shall perform a preliminary configuration of each PTC Subsystem, describing the architecture of the software and hardware of each Subsystem component. The system requirements shall be allocated to the components of the software and hardware architectural configuration. The preliminary configuration of the software and hardware architecture shall be documented separately.

B. A separate Subsystem Functional Description (SSFD) shall be submitted for each subsystem describing the subsystem functionality and interfaces. The following Subsystem SSFD CDRLs shall be submitted, unless the Department approval is provided for combining submittals is received: 1. Wayside SSFD; 2. Onboard SSFD; 3. Communications SSFD; 4. PTC Hosted Back Office Subsystem SSFD; 5. Dispatching User Interface SSFD.

C. The Vendor shall deliver the Requirements Traceability Matrix (RTM), updated as a result of preliminary configuration activities. The Vendor shall update the mapping of the system requirements to the Preliminary Configuration phase delivered documentation in the RTM.

D. The Vendor shall document and deliver the preliminary version of all Operating Manuals, Software Manuals and Maintenance Manuals.

E. The Vendor shall deliver the Preliminary Configuration Review (PCR) materials required under Section 4.6.3.1 or as otherwise approved by the Department, at the completion of all of the preliminary configuration activities.

4.6.2.2.1 Software Architectural Configuration

A. The Vendor shall transform the software requirements for each SCI, documented in the SRS, into an architecture that describes its top-level structure and identifies the software components. The Vendor shall ensure that all requirements for the SCI are allocated to its software components and further refined to facilitate detailed configuration.

1. The Vendor shall document the overall architecture of SCIs for each applicable PTC Subsystem in Preliminary Software Configuration Document, as required under Section 8.5.4.

2. The Vendor shall develop and document, for each applicable PTC Subsystem, the configuration and architecture of the PTC databases in the Database Documentation, as defined in Section 8.5.5.

B. The Vendor shall deliver software verification and validation results in a Software



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Verification and Validation Report.

C. The Vendor shall prepare and deliver the materials required for Preliminary Configuration Review (PCR) under Section 4.6.3.1.

D. The Vendor shall deliver the Software Configuration Items List as defined in Section 8.5.1, updated with breakdown of SCI to software components.

4.6.2.2.2 Hardware Preliminary Configuration

A. The Vendor shall perform a complete and comprehensive preliminary configuration of the hardware and hardware installation starting with the hardware requirements identified during requirements analysis. The Vendor shall identify all hardware, equipment, or materials necessary to fulfill the hardware and installation requirements for PTC.

B. Hardware documentation shall be provided for each PTC Subsystem, as defined in Section 8.4: 1. The Vendor shall deliver the Hardware Configuration Description (HCD) including

Hardware Specifications and a preliminary set of all catalog cut sheets and preliminary calculations.

2. The Vendor shall deliver Hardware Configuration Block Diagrams, including updated system level drawings and subsystem level drawings to the assembly level. Board level drawings are not required in this phase.

3. The Vendor shall deliver Hardware Installation Documents, including all cableways and cabling routings.

4. The Vendor shall deliver a preliminary Hardware Inventory. 5. The Vendor shall deliver preliminary Rack and Enclosure Assembly Drawings. 6. The Vendor shall deliver preliminary Hardware Test Configuration Drawings.

4.6.2.3 Final Configuration

A. The Vendor shall deliver the Requirements Traceability Matrix (RTM), updated as a result of detailed configuration activities. The Vendor shall update the mapping of the system requirements to the Final Configuration phase delivered documentation in the RTM.

B. The Vendor shall develop and document, the Detailed Software Configuration Documentation, as defined in Section 8.5.4 including interfaces external to the software item, between the software components, and between the software units. The detailed configuration for each software component and the interfaces shall furnish all information that is required to allow for implementation of software.

C. The Vendor shall develop and document the detailed configuration of all databases in the Database Configuration Document (DBCD) as defined in Section 8.5.5.

D. The Vendor shall deliver the Programmer/System Administrator User Documentation

E. The Vendor shall deliver the Software Configuration Items (SCI) List, as defined in Section 8.5.1, updated to include detailed software unit identification for SCIs.

F. Vendor shall deliver the updated Final Configuration versions of all hardware configuration and installation documentation, as specified in Section 8.4. The Vendor shall develop the



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detailed configuration for each hardware component refined to the level of Line Replaceable Unit (LRU). The Vendor shall ensure that all hardware requirements are allocated from the hardware components to the LRUs.

G. The Vendor shall prepare and deliver the materials required for Final Configuration Review under Section 4.6.3.2 or as otherwise approved by the Department.

H. The Vendor shall document and deliver the following System Test Documentation for the Department approval: 1. FAT Test Procedures, for each separate PTC Subsystem; 2. Site Acceptance Test Procedures for each separate PTC Subsystem. The Site

Acceptance Test Procedures shall include procedures for the Installation Test, Site Update Period, and Site Functional Performance Test;

3. PTC Site Integrated System Test Procedures; 4. PTC Availability and Reliability Test Procedures; 5. PTC Maintainability Test Procedures.

4.6.2.4 Implementation

A. The Vendor shall submit and receive the Department approval of all required Critical Configuration Package materials as specified under Section 4.6.3.3 prior to commencing with Implementation phase activities.

B. The Vendor shall implement each PTC Subsystem database and shall populate the database with PTC System data.

C. Upon completion of implementation of the configuration and implementation of each PTC subsystem, the Vendor shall deliver the following: 1. Complete final Software/Firmware Configuration Item List, including for each, detailed

identification of version numbers, quantities, and licenses. 2. Software Verification and Validation Report (SVVR) for PTC Subsystem software,

demonstrating completeness of all software development testing. 3. Updated Software Change Report, documenting the final software and database

baselines, changes, and trouble reports. 4. Updated Hardware Documentation including Hardware Shop Drawings, Hardware

Installation Configuration, Hardware Configuration, and Hardware Reference Manuals and Instruction Books, as specified under Section 8.4.

5. Final Hardware Inventory, including all hardware assembly serial numbers, hardware configurations and assembled versions.

6. Final PTC System and Subsystem Operations and Maintenance manuals specified in Section 8.10 including Operating Manuals, Software Manuals and Maintenance Manuals.

4.6.2.5 Factory Test

A. The Vendor shall install and configure the equipment necessary for Factory Test, as defined in the Department approved PTC FAT Test Plans, as required in Section 8.10. The Vendor shall deliver certification of successful completion of dry run certification prior to the start of FAT. 1. The Vendor shall generate and load all PTC software, databases, and data from the



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SCMS prior to the start of FAT. All modifications to PTC software, databases, or data made after the start of FAT shall be controlled under the SCMS.

2. A Software Change Report shall be delivered by the Vendor for every modification, change, or update made at any time following start of FAT.

3. The Vendor shall perform a complete and comprehensive FAT, as defined in Section 7.3.3, to the satisfaction of the Department.

4. The Vendor shall ensure that all variances detected during FAT testing are recorded under the FRACAS Variance Tracking Database and corrected to the satisfaction of the Department prior to shipment for installation.

4.6.2.6 Installation and Site Testing

A. The Vendor shall pack and ship all PTC Systems, Subsystems, and support systems as specified in Section 7.1. Once delivered, the Vendor shall perform installation of all PTC System, Subsystems, and equipment. 1. The Vendor shall deliver final Hardware Installation Configuration documents as

specified in Section 8.4.2, including Hardware Reference Manuals and Instruction Books with sufficient detail and drawings to ensure proper installation and interface in the final operating environment.

2. The Vendor shall deliver all tools and utilities necessary for installation of each PTC component by others. The set of tools and utilities shall minimally include all identified in the approved Installation Procedures for each Subsystem, as required in Section 8.6.

B. The Vendor shall deliver complete and comprehensive Site Installation Test Procedures as specified in Section 7.6.3, sufficient for verification and checkout of each installation.

C. The Vendor shall be responsible for complete and comprehensive site testing, as defined in the approved Master Test Plan and the Subsystem Site Acceptance Test Plans required in Section 7.6.2.

D. The Vendor shall complete all the Department approved training of the Department representatives assigned to site testing activities, as defined in the approved Master Training Plan and required in Section 9.3.

E. The Vendor shall ensure that all training sessions have been successfully completed prior to the completion of Site Testing, including any necessary refresher sessions, as defined in the approved Training Plan.

F. The Vendor shall address all variances prior to completion of site testing, make all updates and modifications necessary to close each variance, and successfully perform all retesting deemed necessary by the Department.

G. The Vendor shall deliver prior to Factory Acceptance Test witnessing, orientation seminars of the Department personnel assigned to witness acceptance testing.

4.6.2.7 Availability and Reliability Demonstration Test

A. The Vendor shall perform the Availability and Reliability Demonstration Test, as required in Section 10.1.4, following completion of Revenue Service Demonstration Testing (Section



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7.3.6) while controlling revenue operations to demonstrate compliance with the availability and reliability requirements.

B. The Availability and Reliability Demonstration Test shall be performed, using the approved Availability and Reliability Demonstration Test Procedures. 1. The Vendor shall furnish personnel to monitor the test, prepare and maintain test

documentation, provide assistance in response to failures/variances, and answer the Department questions.

2. Test records defined in the approved PTC Availability and Reliability Test Plan shall be maintained by the Vendor.

3. PTC System maintenance support shall be furnished by the Vendor, as needed. Software maintenance shall be performed following the version control and configuration management procedures described in the approved Software Configuration Management Plan.

4. All maintenance procedures identified as part of the approved Reliability and Maintainability Program Plan shall be followed during Availability and Reliability Demonstration Testing.

4.6.3 Milestone Configuration Review Packages and Meetings

A. The configuration development and review involves an iterative process that requires the exchange of information among the Department, the Vendor and its suppliers and Vendor subcontractors. The Vendor shall present the identified and agreed to Configuration Packages for the identified levels of review. To support this process, a series of configuration review meetings as scheduled in the approved Project Management Plan shall be held in which the Vendor conducts a presentation in accordance with a previously approved agenda. In its presentation, the Vendor shall address configuration approaches, concepts, and configuration details for the system and subsystems and all associated test equipment. During these configuration review meetings, action items shall be identified, with each action item assigned to an individual for disposition by a pre-determined response date. A configuration review action item log shall be maintained by the Vendor.

B. Configuration review meetings should not address more than one system or subsystem except for system interface issues. At least 20 days prior to a configuration review meeting, the Vendor shall submit the agenda and a data package covering information to be addressed in the meeting for review and approval by the Department. Configuration Review meetings shall be held at locations as mutually agreed and shall include sites of the Department, the Vendor, and any of its subcontractors or suppliers.

C. The first configuration review meeting in each phase shall cover the overall system configuration as described in the System Functional Description.

D. Attendance at configuration review meetings shall include the Vendor’s PM, representatives of the Vendor, appropriate subcontractors and suppliers, and the Department representatives. The Vendor shall maintain minutes of all Configuration Review Meetings and submit those minutes to the Department within 5 days after the date of each meeting for review and concurrence.



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4.6.3.1 Preliminary Configuration Review

A. The Vendor shall submit Preliminary Configuration Review (PCR) Packages for the PTC equipment and its installation. The Preliminary Configuration Review Packages shall include sufficient detail to define the preliminary and architectural configuration and to allow the Department to determine that the intended configuration complies with the requirements of the Contract. Each Preliminary Configuration Review Package shall include, as applicable, the following information: 1. System Configuration Implementation

a. System Functional Description b. System Requirements Traceability Matrix (RTM) c. Top Level Diagrams (block diagrams) d. System Schematics (interconnection diagram) e. Communication and Interoperability Plan f. System Assembly Outline Drawings g. Component Data Sheets Related to the PTC System h. List of System and Vehicle Interfaces i. Dispatching User Interface Configuration and Transition Plan

2. Software Documentation a. Software Requirements Specification b. Software Requirements Traceability Matrix c. Software Release Strategy

3. Reliability, Accessibility, Maintainability and System Safety a. Reliability Prediction Analysis with Supporting Information b. Maintainability Analysis With Supporting Information c. Preliminary Hazard Analysis d. Lowest Removal Unit List

4. Testing a. Testing Strategy Table- component level, system level and system integration

level. 5. Configuration Requirements and Traceability Report

a. Updates and Revisions b. Validation Method c. Outstanding Items List

6. Action Items, CDRL and Correspondence Status a. Listing of All Open Issues, Requests

7. Other Supporting Information and Reports a. Spectrum Usage Evaluation and Preparedness Plan b. Electromagnetic Compatibility (EMC) Control Plan c. Fire Safety Analysis and Test Plan (CFR 238.103) d. Traceability and Serialization Plan e. Configuration Management Plan f. Proposals for Changes, Alternatives and Value Engineering Improvements g. Other Items as Appropriate.

B. All open issues, action items and clarifications resulting from previous correspondence, working sessions and PCRmeeting shall be satisfactorily addressed and approved by the Department prior to commencing the final configuration review activities.



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4.6.3.2 Final Configuration Review Package

A. The Final Configuration Review (FCR) shall take place when the definition of the configuration and interfaces are complete and approved by the Department. The Vendor shall submit the Final Configuration Review Package. The FCR is to provide the opportunity to review, revise, and agree on the details of the final configuration prior to release of the configurations for manufacture and/or installation. The FCR concerns the configuration, application and installation details and should not modify the basic configuration defined through the PCR phase. Any open engineering items and related program management issues shall be discussed and resolved during the FCR.

B. The Final Configuration Review Package shall emphasize configuration details and shall include details of the equipment, its installation, performance, manufacturing processes, operating logic and interfaces. The Vendor shall submit Final Configuration Review Packages for the PTC equipment and its installation. Each Final Configuration Review Package shall have all the information required to permit the Department to determine whether the system, equipment and/or apparatus complies with the Contract requirements. Each Final Configuration Review Package shall include, as applicable, the following information: 1. System Configuration Implementation

a. System functional description (system, wayside, vehicle and train levels). b. Block diagrams (system, wayside, vehicle and train levels). c. System schematics (interconnection diagram). d. Communication links and interoperability analysis. e. System assembly drawings. f. Layouts and Elevations. g. Site Plans. h. Component data sheets. i. Definition and list of characteristics for system, wayside, vehicle and train

interfaces. j. System installation, maintenance access and special tool drawings. k. Manufacturing scheme (who, what, where, when and how). l. CAD Configuration and Transition Plan. m. All other drawings required to demonstrate the Vendor’s Final Configuration

elements to the Department. 2. Software Documentation

a. Software requirements Specification. b. Software requirements traceability matrix. c. Software configuration description. d. Software verification and validation report.

3. Reliability, Accessibility, Maintainability and System Safety a. Reliability prediction analysis with support information. b. Maintainability analysis (preventative and corrective). c. Reliability summary. d. Safety analysis and traceability matrix. e. Lowest removal unit list.

4. Testing (Qualification Testing, Production Testing, Field Testing, Integrated System Testing and Commissioning Testing) a. Test procedure list - component, equipment, wayside, system, vehicle and

integrated system levels.



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b. Test locations. c. Test schedule.

5. Configuration Requirements and Traceability Report a. Up-dates and revisions. b. Validation method. c. Define responsible entity. d. Outstanding items list.

6. Action items, CDRL and Correspondence status a. Listing of all open issues, requests.

7. Other Supporting Information and Reports a. Spectrum Usage Evaluation and Preparedness Plan b. EMC control plan. c. Fire safety analysis and test plan. (CFR 238.103) d. Traceability and serialization plan. e. Configuration management plan. f. Proposals for changes, alternatives and value engineering improvements. g. Other items as appropriate.

C. All action items, issues and concerns identified during the PCRphase shall be satisfactorily resolved and approved by the Department to complete the FCRphase.

4.6.3.3 Critical Configuration Package

A. The Critical Configuration Package shall be submitted after the Final Configuration Review Package has been reviewed and approved or conditionally approved by the Department. When all action items, issues and concerns identified during the FCR phase have been satisfactorily resolved and approved by the Department and revised configuration documentation and drawings has been received, the implementation phase of PTC shall commence.

4.6.3.4 Test Readiness Package

A. The Test Readiness Package shall be submitted prior to the start of Factory Acceptance Testing. The Test Readiness Package should outline what test and how the test will be performed in relation to the following:

1. Software Compilation and System Generation Demonstration Tests;

2. Functional Performance Test;

3. Unstructured Testing; and

4. Integrated System Laboratory Test.

4.7 PROJECT DOCUMENTATION AND SUBMITTAL MANAGEMENT

A. The Vendor shall implement a document control program as called out in the Vendor’s approved Quality Management Plan. The document control process can be one the Vendor presently uses but shall be submitted for review by the Department. The program shall include processes for filing, tracking, submitting and archiving all submittals and final



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documents along with review comments throughout the project. The Vendor document control system shall provide secure and ready access to project documents for both the Vendor and the Department.

B. The Vendor shall use Primavera Contract Management or the Department approved equal to manage all project correspondence, submittals, RFIs, reports, and all other project related items. The Vendor shall define the process and interface with the Department’s existing Contract Management system which will be used to facilitate the exchange of documents between the Department and the Vendor.

C. The Vendor shall submit a Document Management Plan that specifies how all project-related documents are to be logged, archived, filed and accessed. As part of this task, the Vendor shall manage and inventory all relevant project-related documentation in a storage area accessible to the Department project staff. The complete document inventory and all documentation shall be transferred to the Department at Final Acceptance.

D. The Vendor shall adhere to the detailed transmission procedures for submittals and the procedures for correspondence defined by the Department. Submittals shall generally be hard copies and electronic media as specified by the Department. The Vendor shall provide a system to share files and deliver submittals to the Department.

E. Within 30 days from the date of the Notice to Proceed, the Vendor shall submit for the approval of the Department a complete list of submittals, Submittal List. All documentation required as Contract Data Requirements List (CDRL) items under this Specification shall be included in the Submittal List. The Submittal List shall include all documents, material and equipment drawings, catalog cuts, manuals and all installation drawings that are required to be furnished under this Contract. The Vendor shall update and submit the Submittal List monthly. 1. The Submittal List shall be incorporated into the Project Schedule showing submittal

dates, review dates and predecessor/successor tasks. 2. Each entry in the Submittal List shall contain the following:

a. Submittal Name; b. Transmittal Number; c. Vendor Document Number; d. CFRC Document Number; e. Item Description / Submittal Title; f. Submittal Revision Number; g. Application (where/how used); h. Applicable Specification Section / Paragraph / Drawing; i. Submittal Due; j. Submittal Actual; k. Return Due; l. Return Actual; m. Subsequent Submittal Dates; n. Status; o. Remarks.

F. Any changes to the Submittal List, with the exception of actual submittal or action dates, shall be highlighted for quick identification by the Department. Submittal dates shall be sequenced to follow the project milestones and configuration/construction activities. The



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proposed submittal dates shall reflect the needs of the Vendor for approval of submittals; i.e. those items for which the Vendor needs priority of approval shall be submitted first.

1. All work performed by the Vendor including meetings and their contents; correspondence (verbal, electronic or written); submittals; software listings and documentation; data; displays; manuals; drawings; test/ inspection procedures; training; schedules; and all other documentation required for the Contract shall be in the project standard language (US English).

4.7.1 Submittals

A. The requirements of this section apply to all Vendor documentation and submittals. Individual submittal requirements are specified in other sections of this Specification.

B. All submittals, including those originating with subcontractors, shall be made to the Department by the Vendor. Submittals will be processed within 15 days after receipt from the Vendor unless specified otherwise in the specific submittal Specification section. The Vendor shall make any required corrections to the submittal and shall make a re-submittal within 15 days of receiving written comments.

C. The Vendor shall, before making submittals, ensure that products will be available in the quantities and in the time required by the Contract and the construction schedule. The Vendor shall carefully review all submittals received from subcontractors and suppliers prior to submitting to the Department for review. The Vendor shall use methods of highlighting or arrows to clearly identify the products and materials proposed for use. If a submittal contains extraneous information, unmarked options or is incomplete it will be returned “Disapproved-Resubmit.” In addition, the Vendor shall clearly indicate all substitutes by noting substitutes and stating the reason for the substitution. Substitutes not properly identified or lacking complete information will be returned “Disapproved-Resubmit.” If the submittal contains an unacceptable substitution, it shall be rejected. The Vendor will be responsible for substitutions by subcontractors and suppliers.

D. The Vendor shall maintain a record of all submittal documents at the Vendor’s field office. The Vendor shall document his internal review and approval process by using a Vendor’s review stamp. Submittals which are received from sources other than through the Vendor’s office, or which have not undergone Vendor review will be returned without action.

E. The Department will review submittals for general conformance with the Contract Documents and standards only. Such review by the Department shall not relieve the Vendor or any subcontractor of responsibility for full compliance with the Contract Documents requirements; for proper configuration of details; for proper fabrication and installation techniques; for proper coordination with other trades; and for providing all devices required for safe and satisfactory installation and operation.

F. The Vendor shall not proceed with procurement, manufacture, or fabrication of items submitted for review, until such submittals have been designated by the Department as “Approved,” or “Approved as Noted,” unless specifically authorized to do so by the Department.



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4.7.1.1 Prepare Binders

A. The Vendor shall submit 5 copies of each submittal as follows: 1. Index sheet (with each item cross referenced with contract documents and the

divider tab number). 2. Divider Tab #1 (with item identification, including “P-1”). 3. Title Page including the following information for Item #1. 4. Project Name. 5. Name of subcontractor. 6. Description of item. 7. Item Number from Schedule of Values. 8. CDRL Number. 9. Specification section number, page number, and paragraph number. 10. Date of Submittal. 11. Vendor’s initials and date indicating approval of item of submittal to the Department. 12. The brochure, product data sheet, or catalog cut-sheet for the item.

B. Repeat A.2, A.3, and A.4 above for each item of the submittal. For submittals of only one item, omit the binder and steps A.1 and A.2 above. For shop drawings, omit items A.1 and A.2 above. Provide an electronic copy of the submittal.

4.7.2 Re-submittals

A. The Vendor shall submit re-submittals with all comments addressed within 15 days as follows: 1. Re-submittals are not required for submittals returned marked “Approved”, or “No

Action Taken.” 2. Submittals will be returned marked “Disapproved-Resubmit” if the submittal is not

sufficiently accurate, complete or legible enough to allow a complete review or is broadly unsuited to its intended use. Resubmit disapproved submittals only after appropriate corrective measures are taken.

3. Identify all re-submittals as being re-submittals and identify with the original Department’s transmittal number.

B. Maintain revisions to the Submittal List with dates, submittal numbers, transmittal numbers, and review status. Re-submittals shall bear the submittal number of the original submittal, plus a revision number.

C. The Vendor shall include a written disposition of each the Department comment with all resubmittals clearly identifying if a comment has been addressed or not addressed, the change(s) made, and if necessary justification for not making changes.

4.8 QUALITY MANAGEMENT SYSTEM

A. The Vendor shall establish and maintain a Quality Management System (QMS) in compliance with the latest version ISO-9001. The Quality Management System shall assure that all work performed and products are in conformance with this Specification. The Vendor’s Quality Management System shall be fully compliant with the requirements for the Quality Assurance Program Plan. 1. The Vendor shall document and submit a Quality Management Plan (QMP). The



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QMP shall be submitted for approval within 30 days after NTP.

B. The Vendor shall be responsible for a program of Quality Control including the reviews, inspections, tests, and retesting in the event of failure of any item of work, including that of the Vendor, equipment providers, and all other project parties, to assure compliance with Contract provisions. The Quality Control Program shall be documented as part of the QMP.

C. The Vendor’s Quality Management Plan shall both assure that the configuration, implementation, materials, processes and workmanship comply with the Technical Specifications and all other Contract Documents, and that its configuration and manufacturing documentation is approved by the Vendor’s Quality Program Manager and by the Department as required, and released in a timely manner.

D. The Vendor shall identify and plan processes necessary to produce, under controlled conditions, products, and services of the specified quality. The Vendor shall prepare documented instructions and workmanship criteria, and monitor and approve production processes.

E. The Vendor shall establish and maintain procedures for identifying products, where appropriate, during all stages of production, installation, and delivery. Individual items and lots of items shall retain a unique marking that identifies their acceptance, rejection, or uninspected status.

F. The Vendor shall establish and maintain inspection and testing procedures for this project that address the following quality functions: 1. Control, calibrate, and maintain inspection, measuring, and test equipment to

demonstrate that products conform to requirements; 2. Identify by suitable means the inspection and test status of products throughout

production and installation so that only acceptable products are used. The Vendor’s Quality Management Plan shall identify the inspection authority responsible for releasing product as conforming at each stage of production.

3. Establish and maintain a procedure to prevent the inadvertent use or installation of nonconforming product. The Vendor remains solely responsible to prevent unauthorized use of nonconforming material.

4. Establish and maintain procedures for inspection/verification activities. Procedures shall be suitably documented to provide objective evidence that specified product requirements have been met.

G. The Vendor’s Quality Management Program Plan shall identify all Final Inspections and Tests upon which the final release of system components and equipment are based. Products shall not be released for shipment until all final inspections and tests have been completed.

H. The Vendor shall establish and maintain procedures for handling, maintaining quality records and reports, including pertinent quality records and reports of subcontractors. The Vendor shall establish retention periods for quality records; provided that public records retention requirements are met.

I. The Vendor shall establish and maintain procedures to identify training needs as necessary to complete work successfully under this Contract. The Vendor shall provide



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appropriate training to personnel performing activities that affect the quality of products and services. Records of training needs and training completed shall be documented and maintained.

J. The Vendor shall establish and maintain procedures for servicing delivered products during the warranty period that include verifying warranty requirements are being met. Procedures shall clarify Vendor servicing and warranty responsibilities in accordance with this Contract.

4.8.1 Software Quality Assurance

A. The Vendor shall provide a Software Quality Assurance Plan (SQAP) in accordance with ANSI/IEEE STD 730. The SQAP shall describe a mechanism for orderly software development and quality reviews. The Vendor and all software subsystem suppliers shall all adhere SQAP. Software QA, configuration process and documentation shall be fully integrated with the corresponding hardware processes defined in the QMP. Notwithstanding the above requirements, the development and delivery of software documentation shall be in accordance with IEEE STD 1558-2004, Procurement Type 5 which shall prevail over ANSI/IEEE STD 730 in the event of differences.

1. Software shall be reviewed as an integral part of each configuration review for any system which utilizes software.

2. Software QA shall be part of all applicable QA audits or inspections. 3. Software revision control shall be maintained as defined in the Software

Configuration Management Plan.

B. The SQAP shall include complete and comprehensive descriptions of all processes and procedures related to software life-cycle activities including: requirements analysis, configuration, verification & validation, implementation, testing, training, documentation, configuration management, integration, commissioning, failure reporting and corrective action, and warranty.

C. The Department or its representative(s) shall be allowed access to the Vendor’s facilities or any facility at which PTC System software development is being performed for the purposes of inspections and audits. Vendor personnel and documents shall be made available during inspections and audits. Audits shall be either on-site audits or “desktop audits” of delivered documentation, at the discretion of the Department. 1. Inspections and audits by the Department will be performed as deemed necessary. 2. The Vendor shall fully cooperate during the audit by making personnel, facilities,

records and other necessary items available to the Department or the Department Representative(s).

4.8.2 Configuration Management

A. The Vendor and equipment suppliers shall have established and implemented or shall establish and implement configuration control and archiving policies and procedures related to hardware, firmware, software, and databases for supplied equipment for both executive (and/or operating system) and application programs in a Configuration Management Plan (CMP). These policies and procedures shall at a minimum conform to FRA requirements for Configuration Management Systems (49 CFR 236.1023) as applicable to the Vendor installed equipment. All engineering changes shall be submitted



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to the Department for review and approval. Submittals shall include documentation, drawings and data along with sufficient supporting information to convey the details of the change and the rationale for the change.

B. The Vendor shall prepare, deliver, and maintain a detailed inventory of all PTC System Configuration Items (CIs) in a Configurations Item List (CIL). All hardware, software, and documentation shall be identified and tracked in the CIL. The CIL shall be submitted monthly or on demand by the Department. 1. All CIs shall be identified by PTC System Subsystem, component, equipment, or

tool; classified by type; version and/or release identifier(s); license quantities; warranty; and cross reference to the associated CDRLs, data files, and configuration files.

2. The CIL shall track Variances or Failure Reports assigned to the CI and Safety Certifiable Items relevant to the CI.

C. All changes to controlled CIs shall be documented in Change Reports including Engineering Change Reports, Software Change Reports, and all other component changes.

D. The Vendor shall furnish FRA compliant Configuration Management Services through the end of the warranty period. 1. The Vendor shall clearly identify the configuration control processes and procedures

that apply to safety-critical components including software and databases. 2. The configuration management and version control processes shall include

identification of all documentation, safety or reliability analyses, tests, inspections, training, or other required activity or deliverable that may be affected by a change and the description of what must be performed for each as part of the change.

3. The Vendor shall be responsible to ensure that changes made to any safety-critical component do not compromise or degrade the safety-critical functioning or data of the PTC System.

E. The Vendor shall furnish a System Configuration Management System (SCMS) including version control for the identification, control, and archiving of all documentation, hardware, software, firmware, databases, tools, parameter data, test data, and other as specified in these Specifications. The SCMS shall be detailed as part of the CMP. 1. Version control shall include both safety-critical and non-safety-critical software and

data. Specific security features of the SCMS shall be provided to ensure restricting access to and detecting attempted access to PTC System components under Version Control. Security features shall be documented and integrated as part of the Configuration Management System.

2. The criticality of each component maintained and controlled within the Version Control of the SCMS shall be clearly identified.

3. During any upgrade or modification to any configuration item, the SCMS shall be capable of reverting to a previous version.

4. The Vendor shall maintain all maintenance agreements, licensing, and warranties under the SCMS.

5. A complete history of all changes, modifications, and the tracking of Change Reports through the SCMS shall be maintained without loss.

6. The PTC System components and equipment shall be managed down to the hardware configuration item(s) Line Replaceable Unit (LRU) and software



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configuration items. 7. The SCMS shall be delivered as part of the PTC System, inclusive of all managed

and controlled CIs at Final Acceptance. All hardware, software, and applicable licenses shall be delivered and transferred to the Department.

F. The Department shall have the right to audit the configuration management and version control process and/or review the results from the Vendor’s internal Quality Assurance audits.

G. The Vendor and equipment suppliers shall implement version control and archiving policies and procedures related to hardware, firmware, and software for supplied equipment, including executive (and/or operating system), application programs, and databases. 1. All modifications and upgrades shall be backwards compatible a minimum of 2

versions; this includes changes to the operating platform. 2. The Vendor shall also control software included as part of test, training, and training

tools and systems delivered as part of the PTC System including PIUs, BTE, and WMDS.

4.8.3 Engineering Change Reports

A. The Vendor shall distribute on a monthly basis, or as directed by the Department, a summary Engineering Change Report that lists changes submitted to the Department, their status and schedule for implementation. Separate sections that identify new issues and issues resolved since the last report shall also be included in the report.

B. Progress meeting agendas shall, if applicable, include Engineering Change discussion and distribution of updated Engineering Change Reports. The Vendor shall have a technical representative responsible for Engineering Change in attendance as required to discuss and resolve technical aspects of the proposed changes or answer questions about the reports.

C. Periodic technical meetings between the Vendor and the Department management and technical representatives to discuss and resolve scope issues shall be scheduled as necessary for efficient coordination as outlined in the Project Management Plan or as directed by the Department.

4.8.4 Software Configuration Management

A. All software and database development performed by the Vendor shall follow a formal software configuration management procedure and shall be documented in the Software Configuration Management Plan (SCMP). The software configuration management shall be implemented as part of the System Configuration Management System (SCMS) or as otherwise approved by the Department.

B. All software (COTS and non-COTS) delivered as part of the PTC System shall be defined and controlled as a Software Configuration Item (SCI), including all Operating Systems (OS), Built-In Operating System (BIOS), and firmware for the operational components or non-operational components (i.e., development and maintenance equipment and tools).



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C. The Vendor shall develop the procedures for software configuration management including definition of and management of the Software Configuration Items List for each PTC System Subsystem or segment, software version control, software change control, and software build management. The SCMP shall be developed in accordance with IEEE Std 1558, Procurement Type 5.

D. The SCMP shall include guidelines for the use of the configuration management/version control tool as well as the procedures for controlling the files during development. These guidelines shall address the structure of working directories, impose limitations on multiple program copies, and identify the criteria for retrieving and storing versions to control.

E. The SCMP shall include the following: 1. The Vendor’s approach to identifying and managing all software configuration items

documented in the Software Configuration Items List, including identification of criticality levels of each configuration item.

2. Methods and facilities used to maintain, store, secure and document controlled versions of the identified software developed as well as externally acquired COTS products.

3. Process and procedures for acquiring, evaluating, and updating patches, revisions, fixes,

4. Transitioning of the Software Configuration Management System and program to the Railroad.

5. Content requirements, format and the approval cycle of Configuration Management reports shall be included in the SCMP. Report formats shall be consistent and tool-independent.

F. The Vendor shall create a baseline of each software release of the PTC System, subsystem, segment, or component. A baseline shall be established prior to the Final Configuration Review milestone and updated through project completion. 1. Each software release shall be provided to the Department in a format agreed upon

by both parties and documented in a Version Description Document (VDD). 2. The VDD shall identify, for each SCI included in the release baseline, the versions of

applicable: hardware element, software executable, database and data file, configuration documentation, user documentation, installation manuals, rollback instructions, and Software Verification and Validation Report (SVVR). If source code is not placed into escrow, source code shall be included.

3. The Version Description Document shall be kept current, reflecting all agreed upon changes to the baselined software configuration items. The content of the Version Description Document shall identify changes to baselined software documentation, code, databases, data files, COTS products, and references to the Vendor maintained PTC Product Vendor List (PTCPVL).

4. The VDD shall contain a description of problems addressed and known problems yet to be addressed, features added, requirements added or changed, configuration changes, changes to related software documents and evidence of document review, test plan changes and test results. All regression testing and results are the responsibility of the Integrator.



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4.8.5 Software Verification and Validation

Software verification and validation processes determine whether development products of a given activity conform to the requirements of that activity and whether the software satisfies its intended use and user needs.

A. The Vendor shall document and deliver the approach for software verification and validation of all PTC System software, inclusive of executable software, databases, data files, configuration data, and interface protocols, in a PTC System Software Verification and Validation Plan (SVVP) for the Department acceptance. The SVVP shall be applicable to all software provided for the PTC System project. The Vendor and all Subsystem Providers, and Suppliers shall all adhere to the SVVP.

B. The Vendor’s SVVP shall conform to the latest release of IEEE Standard 1012, Standard for Software Verification and Validation, as clarified by IEEE 1558.

C. The Vendor and Subsystem providers shall verify, all PTC System software, databases, device programming, and data files required under the Contract, in accordance with the Department accepted SVVP and deliver the necessary documentation (defined in the SVVP) to demonstrate conformance..

D. The SVVP shall include descriptions of verification methods for all software inputs, activities, and outputs for each phase of the project. The SVVP shall define the procedures and schedule for configuration reviews and inspections.

E. The SVVP shall define the content and format for all outputs and reports to be provided as part of the Software Verification and Validation Report (SVVR). The Vendor shall document software verification and validation results in a Software Verification and Validation Report (SVVR).

4.8.6 Failure Reporting, Analysis, and Corrective Action System (FRACAS)

A. A documented closed-looped Failure Reporting and Corrective Action System (FRACAS) consistent with Reliability Analysis Center’s “Reliability Toolkit: Commercial Practices Edition” shall be established and maintained to provide for the identification, collection, analysis, tracking, and repair of all product/process failures and variances that occur during all configuration, testing, in-house and factory acceptance tests through commissioning, reliability and availability demonstration, and all Warranty Periods including extended Warranty Periods. Early elimination of failure causes or trends will contribute significantly to reliability growth and continuous process improvement. 1. Failures shall include all variances, errors, non-compliance, and anomalies that

require correction or action to correct. The analysis and recording of failures shall differentiate between those due to configuration or workmanship and those due to other causes including errors in handling, transporting, storing, documenting, and operating a PTC System.

2. For each failure, a complete description of the failure incident shall be documented. The cause of the failure shall be determined through analysis of the root cause and the System, Subsystem, Segment, Component, and LRU or lowest level software unit shall be documented. The exact cause of the failure shall be described including any contributing factors or assumptions made.



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3. The FRACAS processes, procedures, and reporting forms shall be defined in the QMP. The FRACAS shall be integrated into the Reliability, Availability, and Maintainability Program Plan (Section 10.1.1) and Master Test Plan (Section 7.6.1).

4. The Department approved corrective actions, closure, and test accept-reject decisions shall be documented as part of FRACAS for each identified failure or variance. Where the project is unable to come to agreement, the Vendor shall comply with the final determination made by an executive member of the Department.

B. Any error, malfunction, or other anomaly that degrades, limits, or otherwise prevents a component of the PTC System from performing its intended function or produces a result that is not desired or intended shall be classified as a failure. For the purposes of this Specification the term failure and variance are used interchangeably. All failures shall be calculated into the Reliability, Availability, Maintainability, and Safety of the system.

C. The Vendor shall manage the FRACAS database for collecting, managing, tracking, recording, and reporting all failures. The FRACAS database and applicable tools shall be delivered as part of the PTC System.

D. Failures shall be categorized, identified, tracked, and reported by type as follow: 1. Safety-Critical Failures: Failures of safety-critical functions, as defined within 49 CFR

236 that result in loss (either partially or fully), degraded, and/or erroneous or unexpected behavior of safety-critical components, data, features or functions of the system. Failures of safety-critical components include logic processing, database and data processing, communications, input and output, and display information that would result in any condition or state that is either: a) less safe than would otherwise exist; or b) fails to provide a safety function required by this Specification or FRA regulation. All components and functions identified within 49 CFR 236 as vital or safety critical are safety critical.

2. Operational Failures: Any failure that results in an unwanted or degraded Railroad operation, either directly related to PTC System functionality or not, in any manner that is not in the safety-critical category, including unnecessary stop, unexpected speed restrictions, and other degraded performance.

3. Functional Failures: Any unintended or unexpected failure or condition that does not directly impact safety or operations, and (a) requires an action to return a system component or function to its normal or proper condition or (b) results in a component or function to fail to perform its intended function or is otherwise unavailable for its intended use.

4. Non-Critical Failure (non-functional and non-operational failure): Any failure or condition that does not fall into any of the previous categories, and may either be recoverable or may require attention to correct the condition.

E. Safety-Critical, Operational, and Functional Failures are critical to the successful operation and maintenance of the PTC System and shall all be addressed as part of the PTC Safety Plan and the Reliability, Availability, and Maintainability Program Plan (RAMPP), refer to Section 10.1.1. Non-Critical Failures may impact maintainability and long term system reliability and shall be addressed by the RAMPP.



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4.8.7 Change Notification

A. The Vendor shall define an FRA 236.1023 compliant process for immediate notification to all necessary parties for all safety-critical software failures, upgrades, patches, or revisions, as well as any hardware repairs, replacements, or modifications for their PTC System, subsystems, or components as part of the CMP. The Vendor shall configure procedures for collecting, reporting, and tracking all faults, failures, problems, and improvements. The Change Notification process and procedures shall be sufficient for the Department to process change notifications to FRA through the life of the PTC System. Failure report data shall be collected in the Failure Reporting, Analysis, and Corrective Action System (FRACAS). 1. The Vendor shall define procedures for monitoring the frequency of safety hazard

events against set thresholds. Hazard mitigations that result in modifications to PTC System products shall be integrated into the FRACAS.

2. The Vendor shall include a process for the collection of accident and service degradation reports identifying and documenting any relevant unsafe conditions resulting and the investigations undertaken.

3. The safety notification process shall ensure that notification is made to the appropriate entities within 15 days, in a manner and form defined in the approved CMP documenting as much information as can be collected including: (i) Product(s) name and model; (ii) Identification of the part, component, or system involved, including the part number as applicable; (iii) Nature of the failure, malfunctions, or defective condition; (iv) Mitigation taken to ensure the safety of train operation, Railroad employees, and the public; (v) The estimated time to correct the failure, and (vi) Identification of employees, passengers, and/or other people involved or witness to the event.

4.9 CONTRACTOR SAFETY PROGRAM

A. The Vendor shall ensure that all employees, visitors, subcontractors, and their suppliers/vendors, while on the worksite and in the conduct of the Department contracts complies with the Vendor’s approved Construction Safety Plan (CSP), and Title 49 of the Code of Federal Regulations.

B. The Vendor is responsible for compliance with the injury prevention and safety requirements contained in its CSP.

C. The Vendor’s selection and operational parameters for field installation equipment and tools shall meet requirements of Florida State and Federal Occupational Safety and Health Administration (OSHA), Florida Public Services Commission (FPSC), Federal Railroad Administration (FRA), and requirements of the Department General Safety Regulations. 1. If there is a conflict between any of the above, the most stringent requirement shall

apply.

D. The Vendor shall comply with Federal Regulation 49 CFR 214 and CFRC Roadway Worker Protection Plan requirements for Railroad Safety Workplace. The Vendor shall be responsible for ensuring compliance with 49 CFR 219 and 218 for all Vendor employees working on the property, whether service is covered or not. 1. The Vendor shall submit the Construction Safety Plan, outlining the Project



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construction safety and health plan and defining the precautions demonstrating compliance with codes and regulations. The Vendor shall submit the Department approved Construction Safety Plan prior to beginning work on the Department Right of Way.

2. While performing work on the Department Right of Way, Vendor personnel of any tier shall be identified with Employee’s Company name or logo affixed to Employee’s hardhat, identification badge, or other identification acceptable to the Department. All Vendor personnel shall wear hard hats affixed with the CFRC Safety Trained sticker, denoting current certification of CFRC Safety Training.

E. Vendor personnel shall comply with the S.T.A.R manual as it relates to Personal Protection Equipment. Construction and Safety Equipment

F. The Vendor shall conform to requirements of the Department, and to applicable codes and regulations of Federal, State, and local authorities having jurisdiction over jobsite safety.

G. The Vendor shall Roadway Worker Protection Plan for roadway worker protection for Bridge Safety Management Plan.

H. Testing equipment as applicable to Work Site safety shall conform to requirements of Florida Department of Transportation, unless indicated otherwise.

4.9.1 Clearance Requirements

A. During operations adjacent to any track, all work within 25 feet of the track field side of the near running rail must be stopped when trains are approaching and equipment and employees moved to a safe distance from the tracks as stated in the CFRC Roadway Worker Protection Plan.

4.9.2 Safety Training Requirements and Resources Available to Vendor

A. The Vendor shall ensure that all employees, subcontractors, and their suppliers/vendors, while on the worksite and in the conduct of the Department contracts, are trained in accordance with CFRC Construction Safety and Security Program requirements including Construction Safety Orientation and CFRC Roadway Worker Protection Plan Training (required annually).

B. The Department shall provide a training program that shall allow the Vendor designated trainers to conduct training for the Vendor personnel in all aspects of the CFRC Construction Safety and Security Program requirements including Construction Safety Orientation and CFRC Roadway Worker Protection Plan Training (required annually). The Vendor shall coordinate with the Department.

C. If the Vendor requires large classes (greater than 20 students), coordinate with the Training Center to assure sufficient capacity is available. The Vendor shall be responsible for rescheduling personnel who cannot attend class because it may be full.

D. The Vendor shall provide certification cards and hard hat stickers to each worker trained for RWP. The certification cards shall be carried by all workers and numbered stickers shall be displayed on each worker’s hard hat when entering the worksite or the Department’s right-of-way.



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4.10 PTC System Integration

A. The Vendor shall deliver a complete, interoperable PTC System that functions efficiently as a part of the overall the Department rail network, adjacent rail networks and with any associated tenant railroads. The Vendor shall be responsible for the functional integration of the various subsystems within the Department’s PTC System and the integration of the PTC System with its operating environment: interconnections with the existing wayside signaling systems, rolling stock, hosted Back Office, and the tenant PTC Back Offices as well as existing communications network and the dispatching systems.

4.10.1 Systems Integration / System Engineering Process

A. As part of the Systems Integration process, the Vendor shall implement a system engineering program configured to assure attainment of the reliability, availability, safety, and performance goals. The Vendor shall develop and provide the following:

1. Provide a Systems Integration Configuration Process as part of the PMP that defines the process for accomplishing the system integration requirements.

2. Develop the Systems Integration Configuration Process to provide the system in a finished turnkey state that meets the system integration requirements.

3. Develop special drawings for coordination of the work among crafts, disciplines and systems.

4. Provide a Work Breakdown Structure addressing form, fit and function of all systems and subsystems.

B. The Vendor shall establish and maintain a systematic, documented, comprehensive, verifiable and continuous Systems Integration/System Engineering Process as part of the PMP applied throughout the duration of the Contract to implement the intent of the Contract Documents. The Vendor’s systems integration effort shall: 1. Systematically identify and formally document all interfaces and each interface. 2. Assign project responsibility for interface management and control, such that every

interface has a single entity within the Vendor’s organization accountable for engineering and verifying the interface.

3. Define methods to confirm interface compatibility and demonstrate compatibility through tests or other approved verification methods.

4. Assure that reliability, availability, maintainability, and safety (RAMS) requirements are propagated through all systems and system elements so as to meet the overall RAMS requirements set out in this Contract.

5. Allow the Department to independently audit and assess the effectiveness of the Vendor’s Systems Integration process.

6. Coordinate all disciplines, as applicable, to ensure that all systems fit together and that there are no conflicts.

C. The Vendor shall systematically identify and document all technical interfaces by means of an Interface Matrix that shall list all systems and major system elements, define the nature of the interactions, whether direct or indirect, and describe each interface as part of the Interface Control Document (ICD).

D. The Vendor shall provide a Systems Integration/Systems Engineering Process which shall: 1. Define a method for tracking physical, electrical, and electronic software interfaces. 2. Define a method for tracking contacts and meeting.



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3. List all major system components as applicable (e.g., Wayside Signals, Wayside Communications, Communications Network, Onboard System, Office systems, Dispatching systems, etc.) and their interfaces.

4. List all suppliers, subcontractors, the Department forces, and third party forces and their meetings.

5. Identify the Department interface points for existing systems. 6. Identify major coordination milestones. 7. Identify major system integration demonstrations. 8. Identify conflict resolution procedures.

4.11 COORDINATION

A. The Vendor shall provide all reasonable support to the Department related to coordination activities with the FRA, FTA, freight railroads, O&M Contractors, utilities and other stakeholders during the PTC program. Such support may include, but is not limited to, provision of information, assistance with development of presentations, participation in briefings, attendance at stakeholder meetings, and other such items.

B. The Vendor shall support and participate in the Department partnering workshops and meetings monthly or as required.

C. The Vendor shall develop, submit, and execute an Interoperability Coordination Plan that defines all coordination necessary to achieve and maintain complete interoperability between the Department PTC systems and those of tenant railroads. This Interoperability Coordination Plan shall be submitted as part of the PMP. At a minimum, the plan shall define the following elements and describe a means of managing these elements throughout the project to ensure interoperability: 1. Identification of Relationships and Agreements with Tenant/Host Railroads 2. ITC Interoperability Technical Standards and Project Specific Requirements 3. Interoperability Working Groups (Technical and Business) Structure,

Communications, Meetings, and Governance 4. Configuration Coordination 5. Schedule Coordination 6. Interoperability Testing, Integration, and Training 7. Configuration Management during Implementation and Long Term Operations and

Maintenance.



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5 SOFTWARE REQUIREMENTS

A. All computer hardware and software to be provided under this Contract, whether resident within a microprocessor-controlled intelligent subsystem, provided as part of test or interface equipment, provided for the purpose of post-download data analysis and processing, or incorporated within training technology and non-generic Bench Test Equipment (BTE), is subject to the requirements provided in this section. Systems that include data files and/or configurable and/or customizable components, Field Programmable Gate Arrays and Complex Programmable Logic Devices, are subject to the requirements in this section. 1. For purposes of these Specifications, software shall be defined to include all software

or firmware, middleware, operating systems, databases, messages, and data.

B. The Vendor shall develop a program for the preparation of software that complies with all requirements of this Specification and submit it as part of the Software Project Management Plan (SPMP). Where the Vendor has a process in place that meets the intent of these requirements but is not in complete compliance, the Vendor shall document the existing process as part of the SPMP, with specific details of the process they intend to use for the Department approval. The Vendor shall not proceed with the implementation of any software development process or plan prior to the Department approval; if the Vendor elects to do so, it will be at the Vendor’s own risk.

C. The Vendor shall provide a Software Maintenance Plan defining the plan for carrying-out software upgrade campaigns system wide on an expedited basis. The Software Maintenance Plan shall be part of the Vendor’s Software Project Management Plan (SPMP). The Software Maintenance Plan shall incorporate provisions in individual systems, in onboard networks, that furnish authorized maintenance personnel the capability to upload software or data to multiple processors in a simultaneous or overlapping manner.

D. The PTC System, subsystem, and components shall incorporate FRA Type-approved software, databases, and messaging structures. Existing software development and product documentation is acceptable for submission in full or partial fulfillment of software submittal requirements. The Vendor shall modify existing software documentation or create new documentation as needed to meet all requirements of this Contract. 1. Hardware and software requirements depend on the degree to which the hardware

and/or software is custom configured for or applied to this project. The Vendor shall prepare justification for all modifications to Type-approved software, new software development, or implementation of alternate non-Type-approved software as part of the Software Requirements Specification, with sufficient analysis and supporting data for the Department review. All software modification, new development, or application of alternate software products shall require complete documentation to meet all software submittal and document requirements; complete test plans and procedures; manuals; and training specific to the Department’s PTC System.

2. “Commercially available” or “Commercial Off The Shelf (COTS)” hardware or software

shall be readily available in the US through retail and wholesale sources and shall be subject to documentation and training requirements of the technical Specification. COTS Software shall be implemented unmodified for this project; that is only data input and configuration to the COTS Software may be performed.



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3. “Non-commercially available” hardware or software shall be provided as specified

according to the requirements in this section. It shall be subject to all of the configuration, documentation and training requirements of the technical Specification.

4. New software development or implementation of an alternate software product shall be fully compliant with the Type-approved PTC Development Plan (PTCDP) governing the Department PTC development; FRA 49 CFR 236 Subpart I requirements and all applicable regulations, laws, codes, and standards defined in Section 3.1.

E. The Vendor shall be responsible for the overall configuration and integration of the individual systems, inclusive of hardware, software, and data into the complete system: system component level, subsystem level, system segment level, and integrated system level. Even though each system may be configured and documented by the individual supplier, the Vendor shall be responsible for reviewing and approving the supplier’s configuration, test reports and supporting documentation prior to submittal to the Department. The Vendor shall be responsible for testing and documentation of the complete integrated system.

F. All system features and functions shall be testable. For features and functions that are testable only with the use of special equipment, all such equipment shall be supplied at no cost by the Vendor as part of the test equipment requirement.

G. The Vendor shall perform complete and comprehensive configuration reviews and inspections, as defined in the Software Verification and Validation Plan (SVVP), during each software phase to ensure that the requirements of that phase are met. The Vendor shall completely and comprehensively verify and test all PTC System software functionality beginning with the smallest units and testing up through fully integrated software systems and subsystems. The Vendor shall satisfactorily complete all software testing for each PTC subsystem or segment prior to the beginning of Factory Acceptance Test (FAT) activities.

H. Software licenses and warranties shall be granted or transferred to the Department for all copies of installed software as part of the Final Documentation. Licensing of PTC System and component software as distinct from third party operating system software shall extend through the duration of PTC System operation for use on the originally installed hardware or subsequent replacement hardware and shall constitute a site license anticipating 10% over 5 years while using the system at no additional cost for additional installed copies of the software.

I. Software shall perform self-diagnostic routines and respond promptly, safely and predictably to detect faults. Self–diagnostic routines shall incorporate testing for program corruption and for integrity in read/write memories. Software shall permit thorough interrogation of all input, output and internal conditions by external diagnostic equipment.

J. The Vendor shall furnish complete and comprehensive training for all software furnished as part of this Contract.

5.1 SOFTWARE SYSTEM CONFIGURATION

A. The software requirements in this Section of the Specification shall be applicable to all software provided to satisfy the functional requirements of the PTC System operation,



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maintenance, test, or training.

B. The Vendor shall be responsible for preparing and delivering complete and comprehensive documentation. 1. The Vendor shall define the existing documentation for each PTC System subsystem

or component that will be provided to meet specific required software documentation as part of the SPMP. The Vendor shall define the standards, guidelines, and formats for new software documentation to be provided as part of the SPMP.

2. The Vendor shall deliver a correct representation of the delivered software in the ‘as-built’ Final Documentation.

3. All documentation delivered under the Contract shall be maintained under Configuration Management by the Vendor following delivery, through all phases of PTC System development, to maintain a continuous and correct definition of the PTC System.

C. The software configuration and development processes and procedures documented in the SPMP shall be executed for all software including revisions by the Vendor during all phases of the project through the end of warranty period.

D. Any software, firmware, processing device or computer providing a safety-critical function shall comply with the requirements of the System Safety Program, and in particular Software Safety.

E. A Software Configuration Document (SCD) for each PTC subsystem shall be provided by the Vendor. The SCD shall provide all information related to the structure, capabilities, functionality and interfaces of the system. It shall serve initially as a configuration review document and shall be developed into a permanent reference as the project progresses. Each SCD shall be up-dated for each configuration review and configuration changes and thereafter as changes are incorporated through the end of the warranty period.

F. The Vendor and its suppliers shall use the current versions of all software and of all operating systems available at the time of Final Configuration Review (FCR). Obsolete operating systems shall not be used. In the event that an operating system becomes obsolete (defined as no longer supported by its supplier) during the life of the contract, the Vendor shall supply to the Department a migration plan to a current operating system, which describes the consequences to all affected hardware and software.

G. All software shall be dimensioned to accommodate the anticipated PTC System growth defined in this Specification. The dimensions and configuration of the software shall be established by parameters contained in files such that re-assembly or recompilation shall not be necessary to accommodate the specified expansion. Database values shall be used to change variable values. The software shall not be reliant on the configuration of the hardware environment such that downsizing of the system would require software modification.

H. The Vendor shall demonstrate that all PTC System software can be re-created and re-generated from the files located on the delivered System Configuration Management System, using the approved procedures, tools, documentation delivered as part of the PTC System.



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5.1.1 Software Functions and Features

A. The Vendor shall provide all tools necessary to support software, firmware, data, and database updates with the PTC System. Software and database tools shall be password-protected. Software and database programming tools shall be integrated as part of the Portable Interface Unit (PIU) or other Department approved tools.

B. All PTC System software, firmware, and data repositories shall synchronize date and time across all components utilizing a 4-digit year format.

C. PTC System components that contain software shall be defined in the Software Configuration Items List, identifying for each software element the type, manufacturer or vendor, version, version release date, operating system requirements, safety-criticality of the software, documentation of software, and all other attributes required in this Specification.

D. Software shall sample all input conditions and hardware status at rates sufficient to detect and remedy all unsafe and damaging conditions. Sampling rates and program execution time shall be such that the control system is not the limiting factor in response to unsafe and damaging conditions. All software shall be configured to ensure that the timing requirements for safety-related tasks are always met.

E. Software shall perform self-diagnostic routines and respond promptly, safely and predictably to detect faults. Self–diagnostic routines shall incorporate tests for program corruption and for integrity in read/write memories. Software shall permit thorough interrogation of all input, output, and internal conditions by internal, system level, vehicle level and external diagnostic equipment.

F. Software shall monitor all inputs for unsafe, erroneous, or unknown conditions or combinations of conditions. Software shall detect all alarm and alert conditions and generate associated alarm and alert messages and actions; the configuration of alarms and alert trigger conditions and associated messages and actions shall be configured through data parameters.

G. Software shall respond safely and predictably when powering up or recovering from power interruptions. All power interruptions likely to have corrupted temporary storage shall be detected and cause the system to re-initialize all affected routines and temporary data. Detection of power interruptions may be by hardware.

H. Software shall include a mechanism to verify the installed version numbers and shall be accessible to the System and Diagnostic Systems. Any modifications to software, databases, and data or parameter files shall incorporate the updated software version number.

5.2 SOFTWARE TESTING

A. The Vendor shall perform complete and comprehensive testing of all PTC System software during all phases of development. All software shall be integrated and tested in a bottom-up manner at the lowest unit and system level before fielding in the operational environment or any other successive PTC System software baseline modification. All



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software testing at the unit level and system level test shall incorporate functional, stress, and regression testing techniques and methodologies.

B. The Vendor shall perform complete development testing of all software starting at the unit level and through integration with hardware into a component ready for formal factory and site testing under the PTC System Test & Commissioning Program. 1. All software shall be verified under test to ensure that any default condition supports

the operational requirements of this Specification, e.g., defaults shall establish conditions such that unintended or unauthorized access to the system cannot be granted under any condition.

2. The Vendor shall perform successful testing of each software unit or lowest level component prior to release for FAT, site testing, commissioning, and acceptance.

3. All software testing shall be fully documented (test plans, procedures, test cases, test results) and maintained under Software Configuration Management.

4. Should any software inspections or tests indicate that specific Software or documentation does not meet the specified requirements, the appropriate item(s) shall be repaired, replaced, upgraded, or added, by the Vendor at no additional cost to the Department prior to proceeding to the next phase of development. a. All deficiencies shall be documented as part of the FRACAS. b. All tests necessary to verify the effectiveness of the corrective action shall be

repeated after correction of a deficiency. c. Software related variance reports shall include software element or document

affected, test(s) associated with the origination or correction of the variance, and versions of software in which the variance is detected and in which the variance has been corrected (as applicable).

C. All software testing shall be automated and modular in order to facilitate regression testing. All software test scripts, test software, software stubs or patches, and any other data and files necessary to support automated testing shall be maintained under the System Configuration Management System.

D. Software testing shall be performed using test plans, procedures, and tools provided under this Contract. All software testing shall be integrated as part of the total project Test Program. Specific approval by the Department is required for any system or subsystem level feature specifically required by the Technical Specification which is not testable on a systems or subsystem level; the Integrator shall provide the list of non-testable software functions and features with sufficient justification as part of the Master Test. 1. For features which are only testable off the test car or rolling stock with special

equipment, all such equipment shall be supplied by the Vendor as test equipment, and become the property of the Department. This equipment shall provide the logic, sequencing, and emulation necessary to verify that the software functions as intended. In lieu of separate equipment, appropriate test functions may be provided within the PIU.

2. Type tests of all processor systems shall verify the proper operation of all software features, including diagnostics. The type tests shall demonstrate that the system under test can successfully recognize and report all faults or events reported to the Monitoring and Diagnostic system. Fault criteria for triggering faults and system response, including number of cycles to equipment lockout, shall be documented for Department approval. Where such tests may result in damage to the system hardware,



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the fault or event shall be simulated to avoid damage to the hardware. Such testing shall be performed any time the software is changed prior to putting it into service.

3. Software test procedures shall submitted to the Department for review prior to the execution of the tests.

E. All software revisions shall undergo regression testing in the factory or laboratory in accordance with approved test plans and procedures. After successful completion of such tests, a test version of the software revision shall be site tested in a limited number of units for a period of time as approved by the Department. 1. In the case of the equipment, testing shall include static and dynamic operating

conditions. 2. Only after the results of the site testing have been approved by the Department shall

a new software revision be applied system wide or any portion of the system. 3. Application of any software revision to any portion of the PTC System at any time

shall be performed in accordance with the approved Configuration Management Plan.

5.3 SOFTWARE CLASSIFICATION

A. The Vendor shall deliver all software documentation in conformance with IEEE STD 1558 for Type 5 procurement and as required by this Specification.

B. Documentation for non-commercially available software shall be divided into 2 categories as follows: 1. Category A: Application-specific software developed or adapted for this Contract, and 2. Category B: Application-independent software, that is fixed system software that is

used in multiple applications, or software that is encapsulated in a replaceable component and in either case was not developed or adapted specifically for this Contract.

C. The Vendor shall identify the software category as part of the SPMP and as part of the Software Configuration Items List. Documentation for software in Category A shall meet all requirements of this Specification. Certain document submittal requirements may be waived, as approved by the Department, for software classified as Category B. In any case, Category B software must be of an existing, service-proven configuration. New software first developed or software adapted under this Contract that is also intended for use on other applications shall be considered as Category A regardless of the supplier’s intended use of the software in the future.



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6 REGULATORY COMPLIANCE REQUIREMENTS

6.1 FRA REQUIREMENTS AND SUBMITTALS

A. The Vendor shall be responsible for all necessary modifications to the FRA-Approved CFRC PTCIP that result from performance of the work associated with this Contract. 1. An annual review of the PTCIP shall be jointly conducted by the Vendor and

Department to determine what changes, if any, are required for the PTCIP with any necessary accompanying RFA’s and redacted version, track changes version and clean version of the PTCIP. Changes shall be presented to the Department for review and approval.

B. All documentation, submittals and reports required for submittal to the FRA by the CFRC are part of the scope of services to be performed by the Vendor including but not limited to the PTCIP, PTCDP Variance Requests, PTCSP, system performance certification documents, annual and quarterly status reports, test documentation, staging plans, and any other FRA required documentation. Submittal of documents to the FRA is the responsibility of the Department. 1. The Vendor shall be fully responsible for the delivery of the PTC System capable of

receiving FRA certification of the system. 2. Draft versions of all documents for the CFRC submittals to FRA shall be submitted for

the Department review and comment. 3. The Vendor shall prepare a detailed schedule of documents to be prepared and

submitted to the FRA. This schedule shall include a minimum of 21 calendar days for the Department review and comment for each document with time allocated for the Vendor to make any required modifications to the documents.

4. The Vendor shall prepare final versions of the documents incorporating the Department comments and revisions, and submit the final versions to the Department.

5. Vendor documentation for FRA submittal shall comply with all requirements of FRA Regulations 49 CFR 236 Subpart I.

6. Vendor shall provide all necessary information to comply with all FRA requirements of FRA Regulation 49 CFR 236 Subpart I.

C. The Vendor shall furnish all data and analysis to support generation of the PTC Safety Plan (PTCSP) specific to the CFRC, based on format and content as required by 49 CFR Part 236, and shall be responsible for creating and developing the document to successful FRA approval of the CFRC PTCSP in accordance with 49 CFR 236.1015.

D. The Department will utilize the Type Approvals as FRA-permitted fundamental safety evidence in the PTCSP for the CFRC PTC; however the Vendor shall provide the necessary analysis and documentation in support of CFRC’s PTCSP submission to the FRA a minimum of sixty (60) days prior to the Department’s schedule to commission any or part of the PTC system

E. The Vendor shall include a full demonstration to indicate all systems functionality

and reliability to the satisfaction of both the Department and the FRA that all requirements are met prior to commissioning any part of the system. The demonstration shall include all set-up, test, and diagnostic tools necessary for installation, configuration, trouble-shooting of the systems installed as a part of the demonstration.



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F. The Vendor shall certify the validity of the Type Approval previously granted by FRA. The

Vendor shall identify all of the elements of the existing type approvals that can be directly applied to the Department territory, equipment, and methods of operation.

G. Deliverables shall be planned, written, and supplied by the Vendor to support a petition for

Certification of the PTC system by the FRA using the PTCDP and/or Type Approval), and the PTCSP. Each of these documents shall be supported by specifications, studies, analysis, V&V and test results submitted by the Vendor, and all the Vendor’s Suppliers, in order to provide evidence of compliance with all internal PTC performance requirements and the FRA regulations.

H. It is the Department’s objective to meet all requirements for certification of its PTC system developed per the Implementation Plan and the governing FRA regulations. The primary method to achieve this objective is for the Vendor to pursue all necessary planning, configuration, analysis, verify and validate, and test tasks that confirm the PTC is a suitable and safe system to provide the functions required by §236.1005. The second method is to carefully and accurately document the plans and results from each stage of the PTC project work. Such documentation includes the FRA required PTCIP, PTCDP and/or Type Approval, and PTCSP for safety compliance, as well as the supporting evidence and analysis.

I. The Vendor shall be responsible for requests, document formats and document delivery to identify and prepare CFRC documents not to be published on the FRA docket. Record documents that contain Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520 shall be redacted by the PTC Integrator and include distribution limitation statement within documents per federal regulations and practices. Documents containing asset locations, test documents, software release documents, and other PTC related information (confidential, trade secret) that requires protection against disclosure shall be included.

6.2 FRA TESTING/INSPECTION REQUIREMENTS AND COORDINATION

A. The Vendor shall meet all FRA requirements for Testing and Inspection of the PTC System, including coordination of PTC testing with FRA inspectors who will witness the testing and review the results. All testing documentation that is requested or required by the FRA shall be supplied by the Vendor as part of the Vendor’s scope of work for this Contract. The Vendor shall inform the Department PM of all documentation requested by the FRA related to the requirements for testing and inspection of the Vendor’s work. The Vendor shall format and provide in accordance with and as required by 49 CFR Part 236.1035.

B. The Vendor is responsible for preparing the above draft test plans for pre-testing and final testing prior to placing the final PTC system in service. The Vendor shall work closely with the Department’s O&M and Signal Maintenance Contractors and the FRA in the preparation of the staging plans, and all required testing associated with these stages, for the final commissioning of the PTC installation. The Vendor shall work closely with the Department and the FRA for the implementation of PTC for Revenue Service Demonstration (RSD) in the test territory, including all test plans, and with an operating plan that shall permit the required testing with minimum interference with revenue service.



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The test plans shall include the plan for testing the onboard systems for all PTC-equipped vehicles that operate over the Department, including those of the tenant railroads. Provisions shall be made to ensure that all equipment operating in revenue service within each section as it is placed in service shall be fully tested prior to entering revenue service in that particular section.

6.3 FCC FILING REQUIREMENTS

A. The Vendor shall be responsible for preparing documentation for all filing requirements with the FCC necessary for the PTC system including at a minimum: 1. Any waivers necessary for operating in the PTC spectrum range of 217 MHz to

222MHz. 2. Any waivers necessary for the PTC Base Station Radios used in the intended

application. 3. Filing documents for modifications to existing antenna towers and structures and new

antenna towers, poles and structures necessary for the Section 106 Review Process under the Advisory Council on Historic Preservation (ACHP).



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7 INSTALLATION, TEST, AND ACCEPTANCE

A. This section defines requirements for the installation, testing and acceptance of all PTC System components, combination of components, and for the overall integrated PTC System as implemented on the Department designated rail segments and rolling stock. These inspection and testing requirements shall also apply to system components required to allow other railroad PTC-equipped rolling stock to operate as a tenant.

B. All PTC System equipment, materials, and components shall be subjected to a comprehensive inspection and test program to validate that each element of the PTC System complies with the function and performance requirements of the Technical Specifications, Contract Documents, and in accordance with 49 CFR Part 236. 1. The configuration and requirements of all testing phases described in this section

shall be modified if necessary to meet FRA or other regulatory requirements, to receive PTC Safety Plan acceptance prior to System Certification for testing and operation, or to receive any other permit, regulatory requirement or certification required for system testing and operation.

2. The Vendor shall be familiar with and responsible for any additional testing needed to meet all regulatory testing requirements or restrictions, notwithstanding explicit contradiction in or exclusion from this section, while also meeting the requirements of this section, and shall be responsible for all costs of successfully completing all regulatory, permit or certification mandated testing.

3. Should any inspections or tests indicate that specific hardware, software, or documentation does not meet the specified requirements or fails to meet regulatory requirements, the noncompliant items shall be repaired, replaced, upgraded, or corrected by the Vendor, at no additional cost to the Department. After correction of a deficiency, all tests necessary to verify the effectiveness of the corrective action shall be repeated and documented.

C. The Vendor shall establish and maintain procedures for handling, storage, packaging, preservation, and delivery of items furnished under this Contract. The Vendor and suppliers shall implement procedures that: 1. Identify methods for preventing damage or deterioration; 2. Provide for secure storage that includes documented receipt and dispatching; 3. Control packaging, packing, and marking processes; 4. Provides methods for preserving and segregating products in production, assembly,

and storage; and 5. Preserve product quality following final inspection and testing until delivered.

D. Hardware and software components of the PTC System or any subsystem shall not be shipped until all required submittals are approved, inspections and FAT tests have been successfully completed, and all deficiencies have been corrected.

E. Final acceptance of the PTC System(s) shall take place after successful completion of the Availability and Reliability Demonstration Test (ARDT). If during the ARDT a system failure occurs, the Vendor shall fix the problem and the test time shall be restarted. The Department retains the right to determine final acceptance criteria. 1. Once the final acceptance period is started no changes shall be made to the system

software or hardware without agreement from the Department. Any system downtime



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associated with system hardware or software changes shall restart the testing time unless the downtime was previously scheduled in which case it shall not be cause for restarting system test time.

F. The Vendor’s Quality Management Program, shall govern the entire installation, testing

and commissioning effort through final acceptance and certification. 1. Prior to returning to service, the Vendor shall provide written procedures to inspect

vehicles being retrofitted with onboard PTC System equipment, with Quality Control verifying and documenting completion status of the retrofit on a per vehicle basis.

7.1 INSTALLATION

A. The Vendor shall develop and submit all Specifications, drawings, requirements, and instructions required to install the PTC System systems, equipment, and components in a safe and efficient manner. The Vendor shall furnish all material, equipment, cables, layouts, assemblies, systems, programs, or other items necessary for properly staging and installing the system.

B. The Vendor shall furnish qualified personnel to perform installation. Installation personnel shall have sufficient in-depth knowledge and expertise to assure a quality installation that meets the warranty, performance, and life expectancy requirements of this Contract.

C. Detailed Installation Test Plans and Procedures shall be submitted with sufficient detail to support successful installation and to demonstrate compliance with the Specifications and intended functionality.

D. During installation the Vendor shall maintain all systems, subsystems, and equipment and prepare and maintain Maintenance Records. The Vendor shall collect, track, and maintain variances using the FRACAS during installation.

E. Upon completion of the installation of each system component, the Vendor shall conduct complete and comprehensive visual, electrical, and mechanical inspections to ensure proper assembly and acceptable quality of workmanship, and to check for malfunctions and correct operation and performance of all system components. A written report of these checks, tests and inspections shall be supplied to the Department as part of the subsystem Installation Test Results.

7.2 INSPECTION

A. The details of the inspection requirements shall be fully addressed in the Vendor’s approved Quality Management Plan. The Department shall have the right to conduct quality inspections of all work and materials and the manufacture or preparation of such materials from the Notice to Proceed through Final Acceptance. The Vendor shall extend and shall ensure that its subcontractors extend to the Department full cooperation and necessary facilities to permit the proper inspection and testing of materials, work and equipment supplied to ensure performance in accordance with the Technical Specification.

B. The Department shall have the right to identify defects in workmanship or materials and other errors and variations from the requirements of this Contract. No omission on the



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part of the Department or any of its representatives to identify errors, variations, and defects shall give the Vendor a right or claim against the Department or shall in any way relieve the Vendor from its obligations according to the terms of the Technical Specification and Contract Documents. The Department inspector’s shall have the right to reject any materials and/or workmanship that does not comply with the Technical Specification and Contract Documents requirements or with approved Vendor and subcontractor drawings and Specifications.

C. The right of inspection by the Department is intended solely for the Department benefit; and the Vendor covenants and warrants that the PTC System furnished and delivered hereunder shall be free from latent or patent defects, which the Department is not in any manner bound by inspection or otherwise to discover.

D. Should the Department inspector have evidence that defective work or defective materials have been used, the Vendor, if appropriate, shall provide the facilities and labor to conduct such inspections of the work or materials in question as may be required. The Vendor shall provide all inspection data reports showing the inspections and testing of the work and materials conducted to date of the item(s) under investigation. Any defective work and materials that are disclosed shall be corrected promptly at the Vendor’s expense. If the investigation discloses no defect, the delay caused by such investigation shall be considered as beyond Vendor control.

E. Each system component, unless explicitly agreed by the Department, shipped from the Vendor plant or its subcontractor plant to the delivery site shall be complete, ready-to-run, and in compliance with all provisions of the Technical Specification and Contract Documents. All parts that must be removed to permit shipment shall be securely packaged and shipped. Any special temporary fittings and locking devices required for shipment shall be provided and removed by the Vendor at its expense. The Vendor shall take all reasonable precautions to ensure that the system components are protected from damage during transit. The risk of loss during transit shall be with the Vendor.

F. The Vendor shall inspect and physically and/or functionally test all items to be delivered under the terms of this Contract. Inspection and testing shall occur at appropriate points in the manufacturing sequence to ensure compliance with drawings, process and test Specifications, quality procedures and standards. The Vendor shall ensure that inspections and tests are based on the latest approved configuration. When modifications, repairs, reworks and replacements are required there shall be a re-inspection and retest of the affected item and subsystem. All inspection procedures shall include the documenting and reporting of defects, exceptions, deficiencies and questionable work to the Department.

G. Components, equipment and apparatus that require inspection prior to shipment to the Vendor facility shall be identified in the Vendor’s approved Quality Management Plan. The Vendor shall maintain records of these inspections with item part numbers, associated correspondence, drawings, test data, and dates when inspections were conducted and by whom. Samples of approved materials shall be maintained throughout the Contract.

7.3 TEST AND COMMISSIONING PROGRAM

A. The Vendor shall develop a comprehensive test, commissioning, and acceptance program



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for all PTC System Subsystems and the PTC System as a whole. All phases of the test, commissioning, and acceptance program are referred to as the ‘Test Program’ or ‘testing’ for the purposes of this section. The PTC System Test Program shall include complete verification and validation of all hardware, software, maintenance, and operation.

B. Vendor will perform V&V, Critical Feature Validation, Route Validation, and Lab testing. The Vendor will be responsible for ensuring these test are performed and coordinate the Master Test plan for field Integration to RSD. The Vendor will be responsible for WIU validation and all other test associated with delivering a functional PTC system.

C. Test scheduling shall be coordinated with the Department staff and the Department’s O&M and Signal Maintenance Contractors to avoid interruptions of normal staffing and operating schedules. Testing schedules shall meet the Department requirements for system implementation dates and make allowances for the Department pre-testing comments, testing participation and witnessing, submittal/review of testing results, problem resolution, retesting and testing acceptance.

D. Testing schedules shall meet applicable regulatory agency requirements to meet all dates for system implementation and make allowances, as required, for regulatory agency pre-testing comments, availability for testing participation and witnessing, submittal/review of testing results, problem resolution, agency directed retesting and testing acceptance.

E. Proposed testing schedules shall be included in individual test plans.

F. The Vendor shall implement a formal set of test phases that commence upon approval of the Critical Configuration Package.

G. PTC Subsystem testing shall include all requirements, interfaces, messaging, and configuration. Subsystem testing shall include the following: 1. Hot-standby, warm-standby, and failover operation, as applicable; 2. Operational performance including all timing, throughput, messaging, refresh, start-up

and shut-down, reliability, availability, and maintainability; 3. Interoperability with external PTC Systems; 4. Software and database generation and administration; 5. All displays, reports, and user interactions and functionality; 6. All data communications and messaging including ITC, SNMP & MIBs, IP addressing,

Fiber Optic Network, cellular, WiFi, and radio communications, as applicable, for system capacity and quality of service, RF coverage and signal strength levels;

7. Security testing including intrusion monitoring and detection, office virus scanning, firewalls, and corrective actions shall be performed;

8. Installation testing including proper grounding, cabling and cable continuity, wiring and installation defects, data and parameter configurations, and loading of software and databases.

9. Inspections of Equipment Racks, Grounding, patch panels, cabling, locking mechanisms, ventilation, and cooling installation;

10. All vehicle PTC System configurations and kits shall be fully tested and demonstrated; 11. Operation under all host/tenant scenarios applicable to the Department operating

environment.

H. Any required static tests or adjustments shall be performed to the Onboard PTC System



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prior to conducting vehicle level dynamic testing and integrated PTC System testing.

I. The Vendor shall develop a program for testing interference along the wayside and onboard the locomotive. The testing for interference shall include the following:

1. Effective Receive Sensitivity at the base sites; 2. Intermodulation testing of adjacent channel sources; 3. Interference from adjacent or co-located radio frequency channels; 4. EMI output of all communications devices including onboard locomotive, power or

radio systems, and/or other systems at wayside locations and onboard systems; 5. Interference from extraneous licensed or unlicensed sources of RF in the vicinity of

base stations or any segments or right of way where reported problems may exist or be found through testing or operations of PTC-equipped locomotives;

6. Onboard interference testing for antenna and transmission systems for each locomotive type.

J. The Vendor shall document all Test Program processes, activities, guidelines, and methodologies in a Master Test Plan. The Master Test Plan shall describe all procedures for all Test Program activities. The Vendor shall furnish all documentation, test equipment and tools, test programs and data, management, and other support necessary to ensure complete and correct execution of all test activities.

K. The Vendor shall coordinate and facilitate the assurance of safety and collection of all necessary Test Program outputs with the Safety Program and tests shall be incorporated and integrated into the Master Test Plan documentation.

L. Testing shall be coordinated with the Department and regulatory agencies that have jurisdiction over product or system use and shall conform to their requirements for any and all applicable procedures, notifications, pre-testing certifications, regulatory personnel participation in testing, and review and acceptance of testing results required for component use or PTC System implementation. All testing relevant to safety systems must be coordinated with the FRA in accordance with 49 CFR 236.1035.

M. The Master Test Program shall define test plans and procedures for all systems,

subsystems, products, components, equipment, and materials furnished, including hardware and software, and all work performed sufficient that testing can be fully executed during all phases of development. Testing shall be repeatable such that tests can be re-executed as required or deemed necessary by the Department.

1. Software and hardware development testing shall be defined and executed first at the lowest unit level and then as integrated software systems and hardware systems.

2. After completion of the software and hardware development testing, the hardware and software shall be integrated and tested in the factory to verify that the subsystem or component was built to the Department approved configuration prior to shipment for installation.

3. Following completion of factory testing, the fully tested system shall be shipped for installation, test, and commissioning by the others to verify that the configuration is correct and the system is properly connected and communicating with non-PTC System Systems.

N. The Vendor shall record and track any variance, failure, or non-conformance item detected



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during any phase of testing, including software and hardware development testing through the FRACAS. Each variance, failure, or non-conformance shall be logged and tracked including the following: requirements affected; components (hardware, software, and documentation); test phase; tests (including inspections and demonstrations); maintenance or corrective action taken; and other information required in this Specification.

1. All variances, failures, and non-conformance detected during testing shall be corrected or mitigated to the satisfaction of the Department and all tests necessary to verify the effectiveness of the corrective action shall be repeated and regression testing conducted to the satisfaction of the Department.

2. In the event that changes and/or modifications are made during, or resulting from testing, the Department has sole authority to determine any and all tests that the Vendor shall repeat and/or additional tests that shall be performed.

O. The Vendor shall establish and maintain records that indicate whether products have passed required inspections and tests. Any items that have failed inspection or test shall have such failure documented and processed via the Vendor nonconformance procedures. Inspection and Test Records shall identify the Vendor authority responsible for releasing inspected and tested products.

7.3.1 Test Types

A. There are 3 basic types of tests to be performed for the PTC System and its components: qualification, production conformance/pre-delivery, and acceptance. Qualification tests on first articles, and conformance/pre-delivery tests (Specification compliance tests) and acceptance tests on production items shall be performed by the Vendor.

1. The Vendor shall retain all production conformance Pre-Delivery Qualification Test Reports for all system level components and equipment and all tests performed at the manufacturer and Vendor facilities that demonstrate conformance of the components and equipment.

2. The Vendor shall retain all Production and Qualification Test Reports for all components and equipment and all tests performed in compliance with the functional requirements and performance parameters of the Contract.

3. The Vendor shall submit the Production and Pre-Delivery Qualification Test Report results with the Production and Qualification Test Report results in a report submitted for review and approval.

B. Qualification Tests are proof of configuration tests on components, equipment, subsystem and integrated system tests performed at manufacturer, Vendor, and the Department facilities to demonstrate the conformance of the item with all feature, function and performance requirements of the Specification. Tests include hardware, firmware and software elements of the PTC System. Tests shall be witnessed by the Department unless waived. Each item under test shall be assembled in its final approved configuration with auxiliaries, as necessary, to allow the complete qualification tests to be conducted. The qualification tests shall include all functional requirements and performance parameters that simulate all normal and abnormal inputs and verify all outputs. All microprocessor based items shall receive a burn-in test.

1. Component and system failure and recovery testing of the final overall system operation requirements shall be included in the configuration qualification tests. Prior to conducting the configuration qualification tests, test procedures and



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associated report forms shall be submitted for review by the Department.

C. Production Conformance/Pre-delivery Tests are Specification compliance tests of all components, equipment, and subsystems performed on an on-going, routine basis at manufacturer and Vendor facilities. 1. The production tests shall demonstrate proper operation and conformance with the

Contract requirements. 2. Pre-delivery tests and factory inspections of individual components shall be

performed to demonstrate proper configurations and operation prior to delivery. 3. Prior to conducting production and pre-delivery tests, test procedures and

associated report forms shall be submitted for review.

D. Acceptance Tests encompass individual units and system components in approved configurations to demonstrate proper functioning and performance. Acceptance tests shall be conducted for all individual unit and system components at the subsystem level, and also as an integrated system. Component and system failure and recovery testing of the final overall system operation requirements shall be completed prior to system acceptance. 1. Interoperability acceptance tests encompass the integrated PTC System and shall

demonstrate the ability of a PTC equipped train operated by a tenant on the Department designated rail segments. Interoperability acceptance tests shall be conducted prior to the CFRC rail system cutover to PTC System Control. Prior to conducting the acceptance tests, test procedures and associated report forms shall be submitted for review.

7.3.2 Test Requirements

A. Testing shall be completed at a number of levels, locations, and in phases prior to final site testing and acceptance of the PTC System. Successful completion of the testing requirements is a prerequisite for any site testing required in this section. Testing phases shall include: 1. Factory Testing including Unit and Integrated System Factory Test; 2. Site Testing including Installation Test, Site Test, Site Integrated System Test, and

Field Interoperability Test.

B. Prior to each test phase, the Vendor shall facilitate and coordinate a Test Readiness Workshop that shall include participants from the Department and all other entities affected by and participating in each test. Each Workshop shall take place at a location and on a date approved by the Department.

C. The Vendor shall submit test plans, test procedures, and test forms for all formal tests that are required to be documented, tracked, and reported to FRA (excluding inspections and software demonstrations) to ensure that each test is comprehensive, repeatable, and verifies the proper performance of the PTC System elements. 1. During the development of test plans, test procedures, and test forms for the PTC

System, emphasis shall be placed on testing each functional requirement, functional features, and configuration details under a full range of operating situations and conditions, including abnormal error conditions. The techniques used to simulate the various situations, conditions, and abnormalities tested shall be documented. The test plans, test procedures, and test forms shall be modular to allow individual test



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segments to be repeated as necessary. 7.3.3 Factory Acceptance Testing

A. Factory Acceptance Tests (FAT) shall be conducted on each PTC System component. It is the Vendor responsibility to obtain all equipment needed for the test, including packaging the equipment per manufacturer requirements, transferring the equipment to the Vendor test site, and repackaging and returning the equipment after tests are completed.

B. The deliverable hardware and software shall be fully tested during these tests. The Vendor shall provide, for the duration of these tests, any additional hardware needed for the test configuration to verify the functions being tested.

C. Individual unit component factory tests shall be conducted prior to and completed separately from the integrated system laboratory test. For testing the PTC as an integrated system with communication to multiple WIUs, multiple onboard units, or foreign railroad PTC Hosted Back Office Servers all critical hardware required to support the test shall be provided with an emulation of the balance. It is acceptable but not necessary, to duplicate the entire field communication interface. For the field communication interface, it is only necessary to provide a demonstration of communication compatibility and interoperability of critical component from different manufacturers as being used on tenant/host railroads.

D. The Vendor shall designate, in writing and prior to the start of these tests, a test coordinator. Each coordinator shall be responsible for ensuring that the tests are conducted in accordance with the requirements of this Contract. The coordinators shall each have the authority to make binding commitments for their employer, approvals of test results and scheduling for variance corrections.

E. Responsibility for the conduct of all factory and laboratory tests shall rest with the Vendor. The Department shall have the right to witness these tests, at its discretion and determination. The number of representatives in attendance for the tests will be determined as part of the formulation of the testing plan. The Vendor shall provide approved training for the Department representatives including component training and manuals as well as overview of approved test plans and procedures a minimum of one (1) week prior to their witnessing/participation in factory testing. Knowledgeable Vendor staff shall be present at all times to participate in testing along with the Department personnel. Other Vendor personnel shall be available to assist the testing as needed. 1. FAT tests of any hardware or software not witnessed by the Department or

Department representative(s) shall not be accepted without previous written authorization from the Department.

F. Each test shall be considered a separate test, and the requirements for test plans and procedures, test records, test initiation, test satisfaction and unstructured testing shall apply separately to each test. Factory Acceptance Testing shall include the following: 1. Software Compilation and System Generation Demonstration Tests; 2. Functional Performance Test; 3. Unstructured Testing; and 4. Integrated System Laboratory Test.



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G. The factory tests shall be conducted as a formal FAT with the Department witnesses in attendance at its option to verify the successful operation. The Vendor shall perform dry run testing of all tests using the Department-approved test plans and procedures to successfully validate the test procedures prior to the formal FAT testing. 1. The Vendor shall submit written certification of completion of dry run testing for the

Department review, Pre-FAT Certification. Written certification shall be provided at least one (1) week prior to the scheduled start of the formal FAT test. Successful completion of the dry-run testing shall not relieve the Vendor of responsibility to conduct the witnessed tests.

2. Dry run test certification shall include the status of each test procedure and a report of any failures, variances, or non-compliances detected during testing.

H. Software Compilation and System Generation Demonstration Tests: Compilation of each software program shall be demonstrated as part of the system generation process. The proper compilation of the software shall be proven by: (1) Loading the software modules compiled from the master source modules; (2) Linking the compiled modules with PTC System databases and displays for the initial system generation; and (3) Running newly generated software on the PTC System components during the factory testing. The new system software generated through this process shall be used as the baseline software for factory testing.

I. Functional Performance Test: The functional performance test shall completely verify all features of the PTC System hardware and software. These tests shall be conducted using a hardware configuration that simulates the field configuration.

J. As a minimum, the following items shall be included in the functional performance test: 1. Testing of the proper functioning of all software, including test scenarios with normal

and abnormal field and user-entered inputs and field responses to outputs. 2. Verification of all required functionality of the component or integrated PTC System

configuration under test. Subsystems, data exchange, and information storage and retrieval functions shall be confirmed. Verification shall include all standard and custom functions.

3. Verification that all software capacities have been correctly sized and meet Department capacity requirements.

4. Verification of all communication protocols, including testing of error detection and recovery.

5. Verification of proper acquisition, processing, and storage of data from appropriate sources, and verification of protocol and data exchanges with all external systems that shall interface with the component or system. Where necessary, the Vendor shall provide appropriate simulations of the external systems; such simulations must themselves be verified before being used.

6. Verification of all user interface functions and displays. 7. Verification of the proper operation and configuration of local and wide area network

devices, including bridges, routers, gateways, and the network as a whole by monitoring network traffic using diagnostic procedures and reconfiguration tests.

8. Verification of the application program and system development capabilities including: software configuration management, source code development, documentation management, user interface development, database management, and maintenance, display generation and modification, report generation and modification, alarm and event message definition, test environments, and other utility functions.



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9. Verification of communications maintenance capabilities including diagnostics, communications maintenance (for example, data links), and local input/output maintenance.

10. Verification of all hardware maintenance capabilities. 11. Verification of the proper response of the system, including failover, to simulated

hardware, software, and network failures. 12. Demonstration of the security of the system from unauthorized access. 13. Verification that spare capacity and ultimate sizing requirements have been met,

including expansion requirements. 14. Verification that the processor loading and system response time requirements have

been met while exercising the system. 15. Verification that changes of system time shall not prevent the system from operating

properly and that the system can correctly handle the beginning of a new day, month and year; leap years; and changes to and from Daylight Savings Time.

16. Verification of the accuracy of system documentation via random tests.

K. Unstructured Testing: Periods of unstructured testing shall be allocated to allow the Department to verify proper operation of the individual components or the integrated PTC System configuration under conditions not specifically included in the reviewed test procedures. Unstructured testing shall be conducted in compliance with the following conditions: 1. A minimum of 25% of the actual total test period shall be reserved for unstructured

exercising of the component or integrated PTC System by the Department. This testing shall be conducted within the normal test day period. Unstructured testing shall be allowed at the Department discretion both at the end of a structured test segment and after completion of the functional performance test.

2. The Vendor test representative and the other Vendor technical staff members shall be available for consultation and assistance with the Department personnel during unstructured test periods.

3. All simulation software, test cases, and other test facilities used during the structured portions of the factory tests shall be made available for the Department use during unstructured testing.

L. Integrated System Laboratory Test: The laboratory test of an integrated PTC System configuration shall verify the stability of the PTC System hardware and software after the functional performance test has been successfully completed. During the integrated system test, all PTC System functions shall run concurrently and all Vendor supplied equipment shall operate normally for a continuous 96 hour period. The test procedure for the integrated system test shall include periodic repetitions of the normal and peak loading scenarios. 1. This minimum level of activity may be augmented, at the discretion of the

Department, by other activities that represent normal day-to-day operation of the PTC System as long as these activities are conducted in accordance with the training and documentation provided with the PTC System. These other activities may include, but shall not be limited to, database, display, and report modifications, software development activities, configuration changes (including user-commanded processor and device failovers), and the execution of any function described in this Technical Specification.

2. The Integrated System Test shall also verify that the PTC System is free of improper interactions between software and hardware while the PTC System is operating as



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an integrated whole. As a requirement of the PTC System, no un-commanded functional restarts or processor or device failovers shall have occurred during this test period. The test shall be extended until the requirement for continuous 96 hour operation is satisfied.

7.3.4 Site Acceptance Testing

A. Site tests shall be performed to verify that component units have been properly installed and to demonstrate that all performance, reliability, and functional requirements are satisfied while communicating with a full complement of devices under actual service conditions.

B. All site tests shall be coordinated with and approved by the Department and in compliance with the Central Florida Operational and Maintenance Agreement. All testing involving the control of field devices that affect revenue operations shall be performed during periods of non-revenue operation, as defined by the Department CFOMA. The completion of all site testing is required for Site Acceptance Test approval.

C. The Vendor shall establish component interfaces to communications circuits and the proper operation of these circuits shall be verified. For the purposes of interpreting the requirements for test plans and procedures, test records, test initiation, and test completion, the site testing for a system component shall be considered to be a single test accomplished in 3 parts: 1. The Installation Test. 2. The Site Update Period. 3. The Functional Performance Test.

7.3.4.1 Installation Tests

A. Field installation tests shall provide verification that the PTC System component is operationally equivalent to the component or system configuration that successfully completed factory testing.

B. The Vendor shall be responsible for conducting the field installation tests. However, the Department shall have the right to witness all tests and perform the hands-on actions of the test procedures to the maximum extent possible. Knowledgeable Vendor staff shall be present at all times to participate with the Department in the testing.

C. The test shall include a complete component inspection, for proper installation, grounding, cabling work in conformance to plans and drawings, neatness, equipment access, and verification of installed versions of hardware and software. The Vendor, as directed by the Department, shall conduct typical component maintenance procedures, manual device-failover, and replacement.

D. To complete the field installation test, following inspection, a subset of the factory functional performance test shall be run to confirm the operation of component functions, primary and backup communications, data acquisition, user interface, and the support and utility functions as appropriate for the component under test. Diagnostics shall be run to test all PTC System component hardware.



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7.3.4.2 Site Testing Updates

A. After completion of the initial and subsequent phase(s) of field installation tests for a full complement of system components, including communications links, a partially complete, but fully integrated system for a track segment or track subdivision shall be subjected to site update tasks as follows: 1. Verify the operation of interfaces to all available support systems, and interfaces to

remote consoles at their final location. 2. Perform verification and validation of all Operationally Critical and/or Safety-Critical

features, signals, switches, and routes. 3. Update, correct and validate databases, reports, and displays. 4. Provide maintenance training courses scheduled for this period. 5. Install and test any Department, or Third Party developed software.

B. During these periods, the Vendor shall provide on-site assistance to the Department and shall be responsible for providing and installing corrections for all PTC System variances found to date.

7.3.4.3 Functional Performance Test

A. The Functional Performance Test shall concentrate on areas of PTC System operation that were simulated or only partially tested in the factory testing. Testing shall include the following: 1. Component responsiveness to communications between field components and

components at the Dispatch Office; 2. System reaction and component operation under adverse field conditions, loss of or

degraded GPS information, and loss of communication links with one or more Wayside elements or with Dispatch Office components;

3. Control of field devices; 4. Interface to external systems; 5. Onboard components 6. Correlation of location accuracy to actual GPS /WAAS data.

B. After the site update period, the Functional Performance Test shall be conducted to verify those parts of the functional performance test that were not fully tested as part of the field installation test. The conduct of all site performance tests shall be a joint responsibility of the Department and the Vendor. The Department staff shall operate the system according to established test procedures while witnessing the test results. The Vendor staff shall guide and assist the Department through the testing period as needed. Where the Department finds it necessary, the Vendor shall conduct an entire test of a feature and the Department shall witness.

7.3.4.3.1 Field Test Braking Performance

A. Field Testing shall be performed on the brake enforcement portion of the PTC System. Testing shall include the following: 1. Characterization of braking performance of all consist configurations; 2. Verification of the brake enforcement algorithm under all of the Department-approved

conditions; 3. Validation of the reliable and safe performance using practical consist data;



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4. Correlation of actual braking performance to programmed braking curves; 5. Verification that PTC shall enforce all MAS, stop, and speed restriction targets, and

misaligned routes within the Department approved distance in advance of the target under all of the Department-approved conditions.

7.3.4.3.2 Field Test Position Determination Onboard PTC System Performance

A. Field Testing shall be performed to verify safe and reliable operation of the position determination portion of the Onboard PTC System. Testing shall include the following, and confirmation of Operator display information shall be verified during each test: 1. Validation of general mainline moves; 2. Validation of movement over switches in normal & reverse settings; 3. Route verification with movement over switches; 4. Verification of mainline to siding moves; 5. Verification of siding to mainline moves; 6. Verification of property transitions; 7. Verification of reliable operations in GPS degraded mode; 8. Verification of route and location maintenance for movements over wye switches; 9. Verification of entry and exit from both permanent and temporary speed zones (both

at the end limits and at mid-limit points); 10. Verification of entry and exit from work zones (both at the end limits and at mid-limit

points); 11. Verification of entry and exit from shared track and time zones (both at the end limits

and at mid-limit points); 12. Verification of crossing warning failure enforcement; 13. Verification of proper onboard response to signal upgrade; 14. Verification of proper onboard response to signal downgrade; 15. Verification of automatic horn activation; 16. Verification that automatic horn will not activate in Quiet Zones; 17. Verification of warning of unauthorized incursion by others; 18. Verification of Equipment Initialization process; 19. Verification of Train Initialization process; and 20. Verification of correct transition between Operating Modes.

B. Functional tests shall include both verification of enforcements if the prescribed train handling conditions are violated and verification that train operation will not be encumbered when the prescribed train handling conditions are followed. Each train control type shall be tested and certified under a full complement of Functional Tests.

C. The validity of factory test results determined by calculation or extrapolation shall be examined. The functional performance test shall include the verification of performance requirements for the entire PTC System. The Department may repeat selected portions of the field installation test during the functional performance test if the Department believes that previously tested functions have since been modified and are not operating in accordance with the Technical Specifications, Contract Documents, or Vendor provided drawings and information.

7.3.5 Site Integrated System Testing

A. Initial Site Integrated System Testing shall commence upon completion of Site Acceptance



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Testing for the following: PTC Hosted Back Office System, PTC Dispatcher User Interface, and the Network Management System. In addition, a Department designated portion of the Communications Network and associated Wayside Equipment sufficient to implement PTC operation over a segment of track containing a minimum of 2 signaled control points (CPs) shall have completed Site Acceptance Testing prior to commencing this initial integrated testing.

B. All Onboard PTC equipment functions, interfaces, communications and database update capabilities shall be tested. Correct PTC Hosted Back Office System and PTC Dispatcher User Interface functions shall also be tested. The Vendor conduct for an initial test rail segment a series of Vehicle Only – Site Integrated System Tests using a PTC equipped Department vehicle with the Onboard PTC braking controls deactivated, followed by vehicle only tests with PTC controlled braking active. Following successful completion of these “vehicle only” tests, a similar sequence of non-service testing shall be conducted using a maximum, passenger vehicle consist of 3 cars at empty, ready-to-run weight. All Onboard equipment functions, interfaces, communications and database update capabilities shall be retested during each of the Vehicle Only and Unoccupied Train tests.

C. After successful completion of all testing in the initial test rail segment, and as site acceptance testing of the Communications Network and Wayside Equipment is completed, additional segments of track shall undergo integrated system site testing using an unoccupied passenger train testing with a PTC-equipped vehicles that is designated to run on the track segment under test. All Onboard equipment functions, interfaces, communications and database update capabilities shall be tested. PTC Hosted Back Office System functions shall also be tested.

D. A minimum of 10% of the actual total integrated site test period for each test shall be reserved for unstructured exercising of the PTC System by the Department. This testing shall be conducted after the normal test day period.

7.3.5.1 Field Interoperability Testing

A. Initial site testing of foreign railroad PTC onboard equipment during operation as a tenant on the Department territory shall be conducted on the initial track segment for each tenant. All tenant railroad onboard equipment functions, interfaces, communications and database update capabilities between the tenant railroad equipment and the Department’s PTC Hosted Back Office System shall be tested.

7.3.6 Revenue Service Demonstration Testing

A. The Revenue Service Demonstration Testing shall demonstrate in revenue services that all PTC System functionality, interoperability, and performance requirements execute in accordance with the Department-approved configuration and in accordance with the PTC regulations.

B. Prior to Revenue Service Demonstration Testing, the Vendor shall perform dry run testing. During this period, all procedures and test scenarios that the FRA will be witnessing in the subsequent phase of the Revenue Service Demonstration Test will be run and validated. All system functions and performance shall be verified: hardware/software system, operating procedures, and personnel performance.



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C. The Test Manager will identify, schedule and coordinate the required interoperability tests. These tests shall be a subset of the Field Integration & Functional Tests.

7.3.6.1 PTC Cutover and Testing Plan

A. All safety critical databases shall have been validated prior to this time, such that the main tasks in this period shall be to ensure that communications are switched over correctly and that the dispatching center control transitions to CTC operations in response to simulated PTC System failures. Cutover shall be performed during non-revenue hours and the Transition Period shall continue until all trains traveling in or through the division are operational under PTC System control. During the Transition Period, the Vendor shall ensure that all problems encountered are resolved and that revenue operations are not impaired by Component and System Failure and Recovery Testing. 1. The Vendor shall provide a PTC Cutover and Testing Plan defining the cutover and

transition process, procedures, responsibilities, and controls for the Department approval. PTC cutover and transition tasks shall be included in the Project Schedule.

B. All testing phases for all components shall include tests that simulate component and system failures and demonstrate the ability of the component and system to operate in fallback modes, minimizing disruption to operations, and to then revert to full PTC System capabilities upon resolution of the failure.

7.4 FINAL SYSTEM ACCEPTANCE PERIOD

A. Following successful transition of all control operations to the new PTC System and with all remaining variances corrected and signed off by the Department, an Availability and Reliability Demonstration Test (ARDT) shall be conducted by the Vendor to verify PTC System ability to meet the specified availability requirements over a contiguous 6 month period. This test shall be conducted with the PTC System is operational during normal revenue service. All hardware and software documentation shall be completed prior to the start of the test and shall accurately match the system component it describes. The PTC System training for maintenance and operations shall have been completed for the all personnel participating in this test.

B. After the elapse of 180 days of cumulative test time, test records shall be examined to determine conformance with availability criteria. If test objectives have not been met and no major changes are required that would make it necessary to discontinue the test, the test shall continue until the specified availability is achieved based on either of the following time periods (exclusive of hold time): 1. Total elapsed test time. 2. Consecutive 180-day period of test time.

C. To establish that all failures have been satisfactorily resolved prior to the end of the

availability test, no downtime, intermittent (hold time) failures, or more than one (1) un-commanded failover shall have occurred within 28 days of the test’s conclusion. The test shall be extended, if necessary, to satisfy this requirement. If it becomes necessary to discontinue the test while the Vendor applies remedial measures to correct the problem(s) found, the test shall be restarted, with the clock reset to zero, after the remedial measures are complete, and continue until the full 6 month criteria is met.



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D. After the satisfactory conclusion of the availability test, the availability of each PTC System device shall be measured against the device availability criteria and records kept during the availability test. If one or more PTC System devices do not meet the defined criteria, then completion of the test shall be delayed until the Department and the Vendor mutually agree that corrective action has been completed for those devices. Corrective action shall include all necessary procedures to test and verify proper operation.

7.5 ELECTROMAGNETIC COMPATIBILITY TESTING

A. The Vendor shall submit an Electromagnetic Compatibility Test Plan (EMCP) for review verifying that PTC equipment furnished and installed as required by this Specification operates within the ambient electromagnetic environment. Except as modified herein, the Vendor shall comply with the requirements of and follow the guidelines provided in the following standards and Specifications: 1. AAR S5702 Railroad Electronics Environmental Requirements. 2. APTA SS-E-010-98 Standard for Development of an Electromagnetic Compatibility Plan

(EMCP).

B. An electromagnetic compatibility test shall be performed on each type vehicle with the Onboard PTC System installed to ensure compliance with those requirements and to ensure compatibility with the Department signal and communications systems. During these tests, confirmation of emissions limits specified in this section shall be conducted by monitoring signal and communication systems functions. The EMCP shall require the onboard equipment to be tested at the individual Line Replaceable Unit (LRU) level, at the system level prior to installation on the vehicle and at the vehicle level with the complete system integrated and operating on the vehicle. The vehicle level tests shall be conducted under dynamic and static conditions.

C. All Onboard PTC System electronic components which are potential EMI emitters or victims shall be tested separately by a qualified laboratory. These tests shall include the following specific requirements: 1. IEC 61000-4-2 Electrostatic discharge Immunity test. Test level 4 is required. 2. IEC 61000-4-3 Radiated, radio frequency, electromagnetic field immunity test. This test

shall be conducted at a field-strength of 20 V/m. The range from 80 MHz to 6 GHz shall be tested.

3. IEC-6100-4-4 Electrical fast transient / burst immunity test. Test Level 4 is required. 4. IEC-6100-4-5 Surge immunity test. Test Level 4 is required. 5. IEC-6100-4-6 Immunity to conducted disturbances, induced by radiofrequency fields

test. Level 3 is required from 150 kHz to 80 MHz. 6. Radiated Emissions per FCC part 15, class A levels from 30 MHz to 6 GHz. 7. Conducted Emissions per FCC part 15, class A levels from 0.15 MHz to 30 MHz. 8. For all Immunity testing, Performance Criteria A shall be required for all safety critical

systems. Performance Criteria B shall be required for all other systems. 9. A vehicle level radio frequency immunity test shall be conducted using handheld radios

of the same type used by the Department and various types of cellular phones. The test shall include interior and exterior of vehicle. The Vendor shall submit a test plan and test procedure for review and approval of the Department prior to any testing.

D. The Vendor shall demonstrate through specified electromagnetic compatibility, inductive, and radiated emissions tests that the worst-case emissions of an Onboard PTC System



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equipped consist (worst case consist of each Department vehicle fleet shall be tested) is electromagnetically compatible with all Department systems, including both onboard and wayside elements.

E. To determine the worst-case emissions, the Vendor shall perform the specified tests for normal, abnormal, and failed operating conditions, and in the full range of all applicable operating modes, speeds, voltages, train lengths, and loading. The Vendor shall test all operating modes including appropriate combinations of HVAC and all auxiliaries including light ballast and destination signs at maximum and minimum power, and under failure conditions.

F. Failure conditions shall include failures of all EMI control components or subsystems, all EMI detection components and subsystems, all EMI sources that affect amplitude or frequency, and all failures identified in the safety analysis.

G. The Vendor shall submit EMC Equipment Certifications covering all PTC subsystems prior to installation of any PTC equipment.

7.5.1 Shock and Vibration Compatibility

A. The Vendor shall perform shock and vibration compatibility testing. Except as modified herein, the Vendor shall comply with the requirements of and follow the guidelines provided in the following standards and Specifications: 1. AAR S5702 Railroad Electronics Environmental Requirements. 2. IEC 61373 Railway applications – Rolling stock equipment – Shock and vibration

tests.

B. The Shock and Vibration Test Plan (SVP) shall be submitted for review and approval. The Plan shall require the vehicle mounted equipment to be tested as per AAR S5702, which refers to I-810E. Equipment that will be mounted to the truck or wheel sets will be tested per the appropriate sections of IEC 61373. Pass fail conditions shall be as detailed either in AAR S5702 (I-810E Method 514.4, Section 5.2.7) or IEC 61373 Section 12, as appropriate.

C. The Vendor shall document the shock and vibration test results in a report submitted to the Department for review as part of the Shock and Vibration Test Report.

7.5.2 Testing and Analysis

A. The Vendor shall develop and submit a test procedure for each EMI test as part of the EMC Test procedures for Department review and approval. The Vendor shall perform the tests. In each case, the Vendor shall document the test and submit a test report for review. Vendor will perform laboratory tests to be conducted as part of the subsystem qualification tests. Site tests shall be conducted as part of the qualification tests.

B. The Vendor shall conduct vehicle EMC tests to ensure that all systems operate correctly without interference. Testing shall be performed with systems operating in all modes under normal and abnormal operating conditions. All EMC tests shall be documented as part of the EMC Test Plan.



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C. The Vendor shall document the results of the Electromagnetic Compatibility Testing in EMC Test Results report submitted for review.

D. The Vendor shall perform Laboratory Inductive EMI Tests. 1. The draft EMC Test Procedures shall be presented at the Preliminary Configuration

Review. 2. The Vendor shall document the Laboratory Inductive EMI test results in the EMC Test

Results and submitted for review.

E. The Vendor shall perform a Field Inductive EMI Test with all of the Onboard PTC Equipment installed. 1. The draft Field Inductive EMI Test procedure shall be presented at Preliminary

Configuration Review. 2. The Vendor shall document the Field Inductive Emission Test results in the EMC Test

Results and submitted for review.

F. The Vendor shall perform a Field Radiated EMI Test. 1. The draft Field Radiated EMI Test procedure shall be available at Preliminary

Configuration Review. 2. The Vendor shall document the Radiated Test results in the EMC Test Results and

submitted for review.

G. The Vendor shall cooperate with the Department in the resolution of all complaints received by the Department and attributed to the vehicle’s PTC systems. Complaints shall include interference with radio, televisions or other wireless devices.

7.6 TEST DOCUMENTATION REQUIREMENTS

A. The Vendor shall submit test plans, test procedures, and test forms for all formal tests (excluding inspections and software demonstrations) to ensure that each test is comprehensive, repeatable, and verifies the proper performance of the PTC System elements under test. Emphasis shall be placed on testing each functional requirement, functional features, and configuration details under a full range of operating situations and conditions, including abnormal error conditions. The techniques used to simulate the various situations, conditions, and abnormalities tested shall be documented. The test plans, test procedures, and test forms shall be modular to allow individual test segments to be repeated as necessary.

B. The Test Plans and Test Procedures shall be organized into one or more repeatable test segments (or test cases) that combine to form a series of tests that together fulfill the purpose and objectives of a test. The Test Plans and Test Procedures shall be modular to allow individual test segments to be repeated as necessary or as otherwise approved by the Department.

C. For the overall PTC System the following test documentation shall be submitted: 1. Master Test Plan 2. Site Integrated Test Plan 3. Site Integrated Test Procedures 4. Site Integrated Test Results 5. PTC Cutover and Testing Plan



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6. Final Acceptance Certification

D. For each PTC Subsystem the following test documentation shall be submitted: 1. Factory Acceptance Test (FAT) Test Plan; 2. FAT Test Procedures; 3. FAT Test Results; 4. Site Acceptance Test (SAT) Test Plan; 5. SAT Test Procedures; 6. SAT Test Results.

7.6.1 Master Test Plan

A. The PTC Master Test Plan shall include all required Test Plan components, addressing each separate PTC Subsystem, with emphasis on: 1. Definition of all phases of testing; 2. Relationships between each phase; 3. Relationships of testing between PTC Subsystems, i.e., dependencies; 4. Overall testing and commissioning methodology; 5. Regression test strategy to be implemented as part of each test phase; 6. Identification of the test documentation to be developed and used for each phase; 7. The overall Master Test Schedule, integrated with the Project Schedule; 8. Responsibilities (Vendor and the Department) for testing; 9. Criteria to be applied to determine successful completion of each phase and the

method to be used to measure completion; 10. Risk identification, control, and management; 11. FRACAS process including variance tracking; 12. Methodology to assure that all functionality, user operations, performance, normal and

abnormal or perturbed conditions are completely and successfully tested prior to control of revenue operation.

B. The Master Test Plan shall describe the procedures and include forms for recording the hardware and software configuration for each test or series of tests that includes the name and version number of each software module and hardware component. The procedures for controlling and documenting changes to the CIs under the SCMS in relationship to the test processes shall be defined.

C. The overall test approach for each PTC System subsystem, segment, product, component, and equipment shall be developed by the Vendor to verify against all functional and performance requirements. PTC System testing shall include both normal and abnormal scenario testing including out of bound inputs, incorrect data, and incorrectly formatted data (i.e. messaging system). The testing will also include stress testing to verify performance requirements associated with throughput and latency. Testing shall range from component testing to subsystem testing to full PTC System testing.

D. The Vendor shall develop Requirements-Based Testing (RBT) that ensures that each component, subsystem, interface, and the PTC System requirements are fully implemented and satisfied in the product under test. The functional requirements of each Subsystem shall be verified as a stand- alone entity or as integrated system. The Vendor shall maintain a Requirements Traceability Matrix (RTM) documenting how each requirement is verified. If a requirement cannot be verified by formal testing then



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inspection, analysis or demonstration methods shall be submitted.

E. The Vendor shall develop stress tests that demonstrate the system operates as intended in an operating environment equal to or greater than the maximum demands, both peak and sustained stresses of the Railroad operating environment. Stress testing is testing that stresses the system in terms of throughput capability, latency, maximum volume of data, high number of transactions, or failure of system elements that put stresses on other system elements. The PTC System and its subsystems/components shall be stress tested to a level commensurate with the expected operating environment to ensure its suitability for operations under normal and emergency conditions. Stress testing shall include scenarios for all PTC System environments and operating conditions within each environment.

F. To ensure integration, suitability, and capability of the PTC System in the operating environment, the Vendor shall develop operational scenarios in conjunction with the Railroad to exercise and test the System and its Subsystems. These operational scenarios shall include normal, degraded, cutout and emergency operating modes as well as the transitions between them. The scenarios shall mirror actual expected operational situations to the maximum extent possible. System stress conditions shall also be included in scenarios.

G. The Vendor shall coordinate with tenant railroads (CSX and Amtrak) on providing appropriate equipment to demonstrate interoperability of their equipment as a tenant on the Department’s trackage. All on-board equipment functions, interfaces, communications and database update capabilities between the Department’s PTC System and the tenant railroads PTC servers shall be tested.

H. The Vendor shall coordinate all required testing at the entrance boundaries with CSX to ensure seamless transition between PTC handoffs. To include seven (7) miles outside each entrance to the Department’s corridor.

7.6.2 Test Plans

A. The Vendor shall develop a separate Test Plan for each formal test identified. Each Test Plan shall describe the overall test process, including the responsibilities of individuals and the documentation of the test results.

B. Test Plans shall describe the overall test process including: 1. Plan for conducting all tests including list of test procedures; 2. Purpose and objectives of each test; Descriptions of error conditions and operational

perturbations addressed by each test. 3. Test schedule, showing all functions to be tested, expected test dates and test

duration for each function. 4. Staffing requirements, qualifications and assignments for each test. Any pretest

training of Vendor or the Department personnel shall be outlined and scheduled. Responsibilities of Vendor and Department personnel.

5. Identification of test site(s). 6. Record-keeping assignments, procedures, and forms including a detailed list of the

test procedures used to test each specific function, as well as procedures for monitoring, correcting, and retesting variances.



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7. Procedures for controlling and documenting all changes made to the hardware and software after the start of testing and identification of all regression testing that may be required should a change be made.

8. Block diagrams of the hardware test configuration, including Department supplied equipment, external communication interfaces, and any test or simulation hardware.

9. Requirements Traceability Matrix (RTM) mapping the tests to the hardware and software functional requirements that they verify.

10. Regulatory and rail operations coordination requirements and scheduling.

C. Detailed list of test procedures that shall be used to fulfill regulatory requirements.

D. Test Plans shall be submitted to and approved by the Department prior to the Vendor performing testing. Testing plans and any other permit applications or other plans (e.g. Implementation Plans, and Development Plans) requiring Federal, State, or Local regulatory agency review shall be submitted to and approved by the governing regulatory agency prior to performing testing.

7.6.3 Test Procedures

A. The Vendor shall prepare a detailed test procedure for each test. Each test procedure shall be submitted to the Department for review and approval at least 90 days prior to conducting the test, unless otherwise approved by the Department. The test procedures shall describe the methods and processes to be followed in testing the system components individually and the Integrated System as a whole. The test procedures shall be modularized, such that individual functions of the system can be independently tested and so that the testing proceeds in a logical manner. This section uses the term segment to refer to a higher-level part of a test procedure and the term step to refer to the most detailed level of test instruction.

B. The test procedures shall include the following items: 1. The name of the function to be tested. 2. References to the functional, configuration, user and any other documents describing

the function. 3. A list of test segments to be performed and a description of the purpose of each test

segment and any prerequisite tests and activities. 4. The mapping of the test segments to the functional requirements from the RTM; all

requirements covered within a segment shall be identified and listed within that segment.

5. The setup and conditions for each segment, including descriptions of the test equipment and data to be supplied by the Vendor and by the Department.

6. Test constraints, including make and model of test equipment, personnel, and support required from subcontracts, if appropriate.

7. Descriptions, listings, and instructions for all test software tools and displays. 8. Step-by-step descriptions of each test segment, including the inputs and user

interaction for each test step. 9. The expected results for each step, including pass/fail criteria. 10. Descriptions of the techniques and scenarios to be used to simulate system field

inputs and controlled equipment. 11. Descriptions of the techniques and scenarios used to simulate ultimate system loading

during performance tests.



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12. Copies of any certified test data signed by the Vendor’s Professional Engineer(s) may

be used in lieu of testing, with prior approval of the Department. In addition to test procedures required for component and system factory testing, installation, integration and system acceptance. The Vendor shall also provide testing procedures for the Department review for the following: 1. Periodic testing procedures to assure proper component operations, maintenance,

and to meet regulatory requirements after system acceptance for all equipment and software

2. Testing procedures necessary to place back in-service system components following routine maintenance or following non-routine maintenance upon a component malfunction or failure for all equipment and software.

3. Testing procedure necessary to restore to service system components following total component, hardware module, software and/or firmware upgrades or replacement.

C. All tests shall utilize preprinted Test Forms specific to the test being performed and the hardware and software version states to be tested. Allowable value ranges or pass/fail criteria shall be included on the preprinted report form for each measurement or observation to be made.

7.6.4 Test Records

A. Complete Test Records of all tests results shall be compiled and maintained by the Vendor and delivered at the completion of each test as follows: 1. Complete Test Records of all software component test results; 2. Complete Test Records of all hardware component test results; 3. Complete Test Records of all integrated and other test results; 4. Test records shall be furnished for each test and traced to the Test Procedures; 5. Test Records shall include the date and actual duration of the test; 6. Test Records shall document any deviation from the test procedure in the form of a

description of any test conditions, configuration, input data, output, display, or user actions differing from that described in the test procedure;

7. Test Records shall identify the Vendor’s Test Engineer and for the Department witnessed tests the Department test representative(s);

8. Test Records shall include provision for comments by the Department test representative(s), as well as a signature line for both parties.

B. The Test Records shall include copies of all outputs including reports, display copies, and any other printed or electronic records including event and alarm logs, generated as part of the test. 1. The Test Records shall document the test results for each test segment including a

pass/fail indication. Where a test segment or test procedure has been executed more than once, the test records shall document results separately for each instance in chronological order.

2. Test report forms shall include for each test: test name, test description, test form revision, test date, test personnel involved for each function, test location, Test Procedure being used including revision identifier, test conditions, test equipment manufacturer, model, serial numbers and calibration dates, any problems encountered during the test, test readings or observations, and in the case of failures



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a description of the disposition of the failed equipment along with a proposed solution to the failure.

C. The RTM shall be used to maintain test statistics including, how many PTC System requirements have been partially tested, fully tested and not tested. The Vendor shall generate and submit a monthly report that defines the testing statistics for the report period. The Vendor shall generate and submit a final report of testing statistics that verifies that all the requirements have been fully tested.

7.6.5 Variance and Failure Reporting

A. A variance report shall be prepared by the Vendor, entered into the FRACAS Variance Tracking Database, and submitted to the Department each time a deviation from the requirements of these Specifications or a defect is detected. Variance report forms to be used during testing shall be as approved by the Department as part of the PTC System Master Test Plan.

B. Copies of any variance reports recorded during a PTC System test shall be included in the test records for that test. Variance Reports shall include a complete description of the Specification requirement deviation, defect, or other test anomaly identified.

C. The following information shall be included in the Variance Report: 1. A sequential identifying number assigned to the variance; 2. The date and time the variance was detected; 3. Appropriate references to the Test Procedures related to the variance and the

requirements tested by the Test Procedures; 4. A description of the test conditions at the time the variance was detected and a

methodology for reproducing the variance; 5. Identification of Vendor staff member assigned to correct the variance;

6. Identification of Vendor and the Department’s representatives’ responsibilities,

including Assignment, Correction, Signoff, Retesting, Acceptance and Closure of variances;

7. A description of the cause of the variance, the affected PTC System System(s), system elements (hardware and software) and corrective actions taken (or to be completed as part of the variance resolution process);

8. Identification of documentation and other data items that require update or are updated;

9. A dated signature line for the Department and Vendor representatives to signify correction of the variance.

D. The Vendor shall document all actions taken to correct variances on the variance report. The variance report shall document the functional areas impacted by a variance and associated corrective actions. The variance report shall include any instructions necessary to incorporate the resolution of the variance into the software release.

E. Each variance shall be assigned to 3 variance classes defining the action to be taken to resolve the variance, as approved by the Department: 1. Class 1 – Critical failures that prevent further testing of the function under test where



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no workaround is possible; Testing will immediately stop and the Vendor will evaluate and correct the variance before testing is resumed;

2. Class 2 – Defects to critical functions that cause the system under test to not conform to standards and conventions for which workarounds exist to achieve functionality objectives; Testing will continue and the variance will be evaluated and corrected by the Vendor at the end of the current test session but prior to further testing;

3. Class 3 – Defects which do not affect the functionality of the system; Testing will continue and the variance will be evaluated and corrected within a reasonable time.

F. A variance shall be deemed resolved only when all re-testing has been performed and after the Vendor’s and the Department’s representatives acknowledge correction of the variance on the variance report.

7.7 TEST STAFFING

A. Vendor staff involved in testing shall have the appropriate qualifications and experience required to meet existing Department and regulatory agency requirements for the work being performed. Any training requirements for Vendor staff participating in a test shall be defined in the Master Test Plan. The Vendor shall ensure all staff participating in the test is trained, including any training required by the Department. Vendor test support training shall be successfully completed prior to initiation of the test.

B. The Vendor shall provide sufficient staff resources to perform all testing without relying upon the Department or the Department’s O&M Contractors other than for: 1. Witnessing and coordination of testing, if the Department attends the test; 2. Permission to access railroad properties or equipment, subject to system, vehicle and

track availability; and 3. Required for adherence to safety and operational requirements while on railroad

property or equipment. However, in addition to the above, the Department designated personnel may be present and shall be allowed to perform the hands-on actions of the test procedures to the maximum extent possible.

7.8 TESTING SUPPLIES AND EQUIPMENT

A. All testing supplies and equipment required for testing shall be provided by the Vendor in sufficient quantities to accommodate the scope and quantity of work so as to provide for timely contract completion. Upon completion of testing and prior to system acceptance, ownership and warranty of special testing equipment required for maintenance and replacement testing of system components shall be transferred to the Department. Any nonfunctioning special testing equipment shall be replaced by the Vendor at no additional cost to the Department. Accuracy and response of instrumentation used for testing shall be sufficient to determine the degree of compliance with the Specification and the configuration data. All instrument calibrations shall be current prior to the start of tests. The Vendor shall demonstrate calibration of any instrument upon request by the Department.

B. The Vendor shall provide licenses for all test equipment giving the Department unlimited use of the software for the approved purposes of this Contract. Licenses shall not be linked to specific hardware serial numbers. In addition, Portable Interface Unit (PIU) and Bench Test Equipment (BTE) software documentation shall be furnished.



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C. The Vendor shall be required to attend Interoperability coordination monthly meetings with other railroads. A plan shall be submitted on how these- meetings shall be documented and attended.

7.9 TEST LABORATORY

A. The Vendor shall configure and provide a PTC test lab for the Department use at the OCC. This lab shall be used throughout the installation and testing periods, and will become the property of the Department at completion of the warranty period. Vendor shall install with all components of the lab.

B. The test lab shall include a functionally complete configuration of the integrated PTC System for the Department permanent use and shall be capable of performing tests to be conducted on each PTC System component (WIU, Locomotive, CAD, Base Station, BOS) in a lab setting and also for training and familiarization purposes. Functionality shall also be tested with the PTC Hosted Back Office. The lab shall also be used by the Vendor and Department to verify, validate and perform regression testing to the PTC system prior to implementation. It shall be the Vendor responsibility to obtain all equipment needed to set up this lab, including packaging the equipment per the manufacturer requirements, and transferring the equipment to and installing the equipment at Department designated location.

C. The test lab shall have physical equipment to simulate all segments of the PTC system. Simulations may be used to represent inputs from equipment and systems not included in the PTC system (train consist tractive effort, cab signal aspects, signals, etc.).

D. The test lab shall be able to functionally test and simulate different configurations and test cases for:

1. PTC Integrated System –the test lab shall be able to test and simulate the integrated PTC system in an end-to-end “type configuration” (i.e., the wayside segment communicates to the BOS and On-Board segments through the Communications segment).

2. PTC Neighbor–the test lab shall be able to isolate the integrated PTC system and test only between neighbor PTC segments (i.e., the wayside, On-Board, and BOS communicate and transfer data to the Communications Segment).

3. PTC Segments –the test lab shall be able to isolate and test isolated PTC segments to validate correct functionality between components and systems within the PTC segment (i.e., the On-Board Segment receives a brake apply input and correctly communicates within the On-Board segment to apply the brakes). For this configuration, all inputs outside of the testing segment shall be simulated.

E. The test lab shall be able to operationally simulate and test the PTC equipment

continually without stopping or starting the testing in order to consider the testing successful. All testing scenarios shall be pre-programmed.

F. The test lab shall also be able to conduct a system wide configuration simulation. This simulation shall include an entire segment. The simulation shall provide an indication of the operational impacts of PTC.



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G. The Vendor shall submit for the Department review the proposed arrangement, functionality, communication channels, user manual and capabilities of the test lab. The test lab shall be delivered and fully functional four (4) months prior to commencing any field testing. The Vendor shall maintain the test lab to the most current configuration during the duration of the Contract.

H. The Test Laboratory will transition to the Department at the completion of the warranty period. The Department plans to utilize the laboratory as a trouble-shooting diagnostic and training tool. The Vendor shall ensure at the time the laboratory transitions to the Department that all hardware, software and firmware is at the most current configuration.

I. In the event the OCC is unable to accommodate the additional PTC equipment, as a result

physical space demands, it shall be the responsibility of the Vendor to provide a solution, subject to the Department approval.

7.10 Hi-RAIL TEST VEHICLE

A. Vendor shall provide a Hi-Rail vehicle equipped with dual batteries and heavy duty battery charger. The Vendor shall be responsible for the installation of all On-Board PTC equipment necessary to emulate and replicate locomotive or cab car functionality, and to test all aspects of the PTC system including track database, wayside, communications, etc. The On-Board equipment shall include at minimum, a Train Management Computer with a console display, speed sensors, GPS, and data radio components with all other system and test apparatus required for system performance and database validation. At completion of the Contract, the Hi-rail and On-Board PTC equipment shall become the property of the Department.

7.11 TEST INITIATION, SUSPENSION, SYSTEM MODIFICATION AND COMPLETION

A. The following conditions shall be met before starting any test (exclusive of informal inspections or demonstrations): 1. All test plans and procedures for the test shall be reviewed and approved by the

Department and applicable regulatory agencies. 2. Prior to the test, all variances recorded during prior tests and development phases

shall be mitigated and corrected. 3. All hardware and software engineering configuration change orders shall be

incorporated into the system under test. 4. All relevant documentation including drawings, lists of deliverables, software functional

documents, configuration documents, and user manuals shall have been reviewed and approved by the Department.

5. Any applicable training of the Department’s O&M and Signal Maintenance Contractors and Vendor staff required to implement testing shall have been reviewed, approved and completed.

6. All operating system parameters, files, and configuration information shall be saved to archive media so that the PTC System operating environment can be recreated starting with an un-initialized system. The existence and completeness of this data shall be demonstrated to the Department. Auditing software shall be provided to record the steps for this activity.



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7. All railroad specific configurable parameters shall be identified by the Vendor and accepted by the Department prior to the beginning of any lab or site testing that relies upon these parameter settings. No configurable parameter shall be changed without prior Department approval. Regression testing shall be conducted to verify that any approved change to a configurable parameter did not adversely affect the safe functioning of the component or system.

8. All database, display, and report definitions shall be saved to archive media so that the PTC System databases, displays, and reports can be recreated if necessary.

9. All source code libraries shall be saved to archive media so that PTC System software can be regenerated if necessary.

B. If the Department believes, at any time, that the quantity or severity of Component or PTC System variances warrants suspension of any or all testing, the test(s) shall be halted, remedial work shall be performed, and the complete test shall be repeated at the sole expense of the Vendor. The repeat of the test shall be scheduled for a date and time agreed upon by the Vendor and the Department.

C. No changes shall be made to the PTC System after factory testing has started without the express authorization of the Department. It shall be the Department’s intent to carefully control the test environment so that all changes can be readily identified and so that any changes installed for any purpose can be removed and the previous test environment restored. The Department shall have the right to suspend testing, to revert to a previous version of any software or hardware, and to restart any testing previously performed if, in its opinion, changes have been made to the system under test without authorization.

D. A test shall be deemed to be successfully completed only when: 1. All test plan elements have been conducted. 2. All Critical, High, and Normal priority variances have been resolved and retested to the

satisfaction of the Department and the plan for resolution of all low priority variances has been approved by the Department.

3. All test records have been transmitted to the Department. 4. The Department acknowledges, in writing, successful completion of the test. 5. If applicable, regulatory agency acceptance of test results has been received.

E. The Vendor shall comply with 49 CFR 236.1009 - Procedural Requirements, specifically section (f) Supporting Documentation and Information. The Vendor shall comply with 49 CFR 236.1035 Field Testing Requirements. 1. The Vendor shall meet all FRA requirements for testing and inspection of the PTC

System, including coordination of PTC testing with FRA guidelines for inspector witnessing, participation, and review and/or ordered re-testing, if required. All testing documentation that is requested or required by the FRA shall be supplied by the Vendor at no additional cost to the Department. The Vendor shall inform the Department of all documentation requested by FRA related to the requirements for testing and inspection of the Vendor work.

2. The FRA testing shall be conducted by the Vendor. The Department personnel/contracted personnel shall operate test train consist through the system according to the approved FRA test procedures while witnessing the FRA test results.

3. Test scheduling shall be coordinated with the Department’s O&M and Signal Maintenance Contractors to avoid or minimize interruptions of normal staffing and operations schedules.



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7.12 FINAL ACCEPTANCE

A. Following are the criteria for Final Acceptance: 1. Successful completion of the 180-day availability test. 2. Completion of all required training. 3. Submittal to and approval by the Department of all required documentation, manuals

and CDRLs. 4. Delivery to and acceptance by the Department of all Components Equipment and

systems. 5. Certification that the work has been completed in accordance with the Contract

Documents. 6. Deposit into escrow of all source code. 7. Final, non-conditional issuance of PTC System Certification by the FRA.

7.13 MAINTAINABILITY ANALYSIS AND PROGRAM

A. The Vendor shall perform a maintainability analysis for the PTC System and each subsystem and prepare a Maintenance Plan. The analyses shall be the basis for development of maintenance tasks, procedures, methods, and techniques that are compatible with the Department practices, procedures and equipment. This analysis shall establish the maintenance concepts to be incorporated in the configuration, taking into consideration the requirements for safety, reliability, accessibility of apparatus, and the skills available for performing maintenance. The Maintenance Plan shall define all tasks required at each level of maintenance, the task frequency, the time required, required labor resource, skill levels, and the necessary tools and support equipment. The maintainability analyses shall be a continuing effort during the configuration and shall provide data for consideration in the review of the configuration of each system. The Maintenance Plan shall be presented at PCRand finalized at FCR.

B. In the configuration of the PTC System, the Vendor shall not require that maintenance be performed more frequently than at 180 day intervals, except where approval has been given specifically in writing by the Department for a shorter interval when requested by the Vendor as part of the Maintenance Plan. 1. The Maintenance Plan shall include a detailed plan outlining all schedules and

activities for the corrective and scheduled maintenance for PTC System for the first 5 years of service life. The Plan shall include details of the schedules and activities for the unscheduled (corrective) and scheduled (preventative) maintenance. It shall outline each maintenance task, time schedules, recommended tools, personnel, skill levels required, etc.

C. As part of the training program for maintenance personnel, preventative maintenance, troubleshooting, change-out of components, corrective maintenance, and the use of special tools and test equipment shall be demonstrated. The Vendor demonstration shall verify that task’s duration falls within the times established by the approved Maintenance Plan.

D. The Maintenance Plan shall define maintenance and Vendor support through System Acceptance followed by Warranty and Long Term Technical Support for each system component hardware and software, as well as for the system as a whole.



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1. The Maintenance Plan shall identify Maintenance and Support Coordinator(s), staffing levels, locations and qualifications.

2. Technical Support suppliers shall be identified along with their proposed staffing levels, locations, qualifications information and Service Response Times shall be provided.

E. The Vendor shall provide subscription(s) to service bulletins for all Vendor or OEM supplied equipment and software throughout the life of the system. Service Bulletins shall be distributed in electronic PDF format via email to any individual that the Department designates as a necessary recipient. Service bulletins shall be managed. The Service Bulletins shall be coordinated with the PTC Product Vendor List (PTCPVL).

7.13.1 Failure Recovery Plans

A. The Vendor shall develop and submit for the Department review comprehensive Failure Recovery Plans anticipating possible hardware, software or system failures over a range of possibilities from one to multiple system components. These plans shall detail: 1. The required contingency operating activities and procedures to be followed to allow

for continued revenue service; 2. The activities and procedures for component or system restoration; 3. The responsibilities, levels of support and response times of Vendor and Supplier

personnel; and 4. The expected duration of the restoration effort and its anticipated impact on levels of

the Department service.

7.13.2 PTC Maintenance Records

A. The Vendor shall meet with the Department to collect existing maintenance record formats and preferred maintenance database system and configuration. The Vendor shall define the Maintenance Records database, configuration, and report formats in the Maintenance Plan.

B. The Vendor shall provide routine maintenance, inspection and testing schedules for all PTC hardware components in a Maintenance Database.

C. Records of all maintenance actions shall be maintained and managed as part of the Maintenance Database. The Vendor shall be responsible for keeping hardware and software maintenance records for the duration of the Contract. Maintenance activities shall be recorded in a hardware maintenance log, beginning with the start of hardware and software integration. All records shall be maintained in an electronic database accessible by the Department. The Maintenance Database shall be used to produce Maintenance Records meeting the formatting requirements of the Department and shall be submitted to the Department for approval. The Vendor shall provide monthly reports of the Maintenance Records as part of the PM Monthly Progress Report

D. Corrective maintenance and repair log entries in the Maintenance Database shall include the following information: 1. Identification of the item repaired, replaced, or upgraded. 2. Name of the person who performed the repair. 3. Date and time when the malfunction was detected.



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4. Description of the malfunction. 5. Date and time when the malfunction was corrected. 6. Description of the corrective action taken. 7. Date component was originally installed.

E. Preventive maintenance log entries in the Maintenance Database shall include the following information: 1. Identification of the element being maintained. 2. Name of the person who performed the maintenance. 3. Date and time when the maintenance was performed. 4. Detailed list of the maintenance procedures performed. 5. Description of any problems encountered.

F. The Maintenance Database logs and generated reports shall be available to the Department at all times including between the monthly updates, upon Department request. The last update of the monthly log that the Vendor shall submit shall be at end of the Final Acceptance Period.

7.13.3 Manuals and Equipment Record Drawings

A. Manuals shall be provided for all system hardware and software in both hard paper copy and electronic format. Each piece of hardware installed at a distinct location shall be accompanied by the designated manuals. At locations with multiple duplicate equipment installations, the number of manuals provided shall be at minimum one-half the number of pieces of equipment provided but no less than 2 manuals at that location. Manuals distributed at Training Sessions shall not be counted toward these requirements. 1. All provided hardware equipment and software systems shall be accompanied by

complete Operating Manuals. User’s Operating Manuals shall include all operational procedures, functional descriptions and commands, description of optional operating modes, basic troubleshooting and summary of hardware configuration settings.

2. Hardware shall also be accompanied by a complete set of Maintenance Manuals. The Hardware Maintenance Manuals shall include all installation, inspection, testing and maintenance procedures; complete hardware descriptions and Specifications; model and spare parts numbers; functional schematics and wiring diagrams; complete requirements and settings for Optional configurations; and complete troubleshooting guidance.

B. Stand alone and system software, as well as Database and Network Systems, shall also be accompanied by the appropriate subsystem Software Manuals. User Manuals shall include all operational procedures, functional descriptions, commands, menu options, description of optional operating modes, descriptions of displays and display options, user customization features, utilities and basic troubleshooting. 1. System and Database User Administrator Manuals shall include descriptions of all

administrative procedures, user and system configuration procedures, access and security features, utilities, maintenance, upgrade procedures, system restoration, and complete troubleshooting guidance as appropriate.

C. The Vendor shall provide As-in-Service Equipment Record Drawings for all installed equipment.



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7.13.4 Maintenance Tools and Equipment Requirements

A. The Vendor shall provide as part of the PTC System, all tools, equipment, and software that is necessary to support continuing field maintenance of the PTC System. The maintenance tools and equipment shall include Portable Interface Units (PIU) and Bench Test Equipment (BTE), and software. The Vendor shall provide all special diagnostic and test equipment, other special devices or existing software utilities or diagnostics necessary to troubleshoot and repair all PTC System equipment. The Vendor shall utilize these maintenance tools through the Acceptance Period and transfer all licenses and ownership to the Department after the Acceptance Period. 1. If it becomes necessary, prior to acceptance of the PTC System, to modify the

complement of supplied hardware or software (including, use a different type, size, or configuration of equipment) to meet the requirements of this Specification, the Vendor shall provide all modifications and additions at no cost to the Department.

B. The complement of special diagnostic test equipment, PIUs and BTEs, software utilities and software diagnostics provided for the PTC System shall be the basis for its maintenance through the Acceptance Period, when the Vendor is responsible for maintenance, and beyond, when the Department assumes this responsibility. All test equipment and other special devices, software utilities, and diagnostic programs deemed necessary for field maintenance and to troubleshoot and repair the system shall be delivered with the PTC System in sufficient quantities to allow for simultaneous use at projected levels of required maintenance staffing.

7.13.5 Spare Parts

A. The complete complement of standby, capital, and consumable replacement parts judged necessary to maintain the complete system and its equipment from system installation through the Warranty Period shall be the full responsibility of the Vendor to procure, store and replenish as required. The Vendor shall document a Spare Parts List for each PTC Subsystem including the Wayside, Rolling Stock, Communications, and PTC Hosted Back Office defining the spare parts to be provided for each component, hardware, software, and equipment.

B. The Vendor and Department shall hold a Spare Parts Workshop prior to the end of the Warranty period at a time to be determined by the Department to document and determine the following items: 1. Review the complete listing of all spares and consumables that the Vendor will

procure, store and provide during system operation through the end of all Warranty Periods. This spare inventory should include, at a minimum, a spare quantity of 10% of all equipment components (rounded to the next highest whole number) requiring timely replacement to meet the specified subsystem availability requirements for which a quantity of 10 or more are originally furnished and installed. The costs of all spare parts used by the Vendor to support operations from system installation through the end of all Warranty Periods shall be the full responsibility of the Vendor; and

2. Fully define all recommended capital and consumable spares that are anticipated to support system operation from the end of all Warranty Periods for a period of 2 years. If spare parts are purchased prior to the end of the Warranty Period, these spare parts shall not be used by the Vendor in correction of defective work during the Warranty Period.



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3. Prior to this workshop, the Vendor shall provide a complete listing of all spare items, including consumables as part of each PTC Subsystem Spare Parts List for the Department review. As defined above, these lists shall be separated with one list for spares intended to be used during the Warranty Period and another list for Recommended spares to be used after the Warranty Period. The information supplied regarding each spare part shall include, but not be limited to, the following: a. The manufacturer’s part number, b. Space for the Department part number, c. Description – a full description of the spare part, including a note as to whether it is

a sealed unit or whether it is an assembly or sub assembly which can be broken down into component parts,

d. Quantity recommended, e. Expected utilization in 2 years following the Warranty Period, f. Overall dimensions and weight including packing, (if any), for shelf space

purposes. g. A note as to interchangeability or otherwise with similar parts. h. The source – the manufacturer’s name and address and that of its agent where

appropriate, i. The normal manufacturing availability and shipment lead times for additional

quantities, j. A fixed unit price that is valid for one (1) year after delivery of the recommended

spare parts list, k. If available, terms for a guaranteed future price cap and/or Volume purchase

discounts, l. Projected availability for OEM equipment shall be discussed in terms of both direct

purchase availability from the OEM and/or availability from any inventories that the Vendor may maintain through the life of the contract. An updated Spare Parts List for each PTC Subsystem shall be provided prior to System Acceptance.

C. All Consumable Spare Parts, Special Tools and Special Testing Equipment shall be new, never before used, and for the exclusive use by the Department staff to service, maintain, repair and test the System unless other otherwise agreed to pursuant to this Contract’s warranty provision.

D. Spare parts shall be manufactured, works tested, and delivered to the Department’s designated storage facility by the Vendor at such times as required by the Department and shall be suitably packed and identified for prolonged storage. The Department reserves the right to inspect and/or test spare parts on receipt and re-pack them if approved. If any part is deemed defective upon inspection or test, if shall be replaced at the Vendor’s sole expense.

E. Any spares and consumables purchased by the Vendor for intended use during the Warranty Period and not used by the Vendor at the end of the Warranty Period shall be turned over to the Department within 30 days of the expiration of the Warranty Period.

F. In the event of modifications being introduced into the equipment under the terms of the Contract, the Vendor shall, at no cost to the Department, introduce the same modifications into any spare parts, whether delivered or otherwise, or shall replace such parts by others of modified configuration, and in such event shall make the relevant modifications to the Maintenance Manuals.



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8 PROJECT DOCUMENTATION

A. This section outlines general requirements for Vendor submittals and documentation that are applicable to all individual PTC System components, equipment, software, subsystems and for the overall integrated PTC System. This includes all required plans, procedures, and manuals to support all operation, maintenance, and repair of the PTC System through useful life.

B. The requirements of submittals and documentation described in this section include any FRA or other regulatory requirements required to obtain FRA System Certification. The submittals and documentation require shall include materials completed by the Vendor in support of obtaining or meeting any other permit, regulatory requirement or certification required for system commissioning and/or operation.

C. Three (3) hard copies and a PDF file of all Vendor submittals and documentation shall be submitted.

8.1 GENERAL DOCUMENTATION REQUIREMENTS

A. The Vendor shall be responsible for the creation, content, and delivery of all documentation and submittals required within this section or elsewhere within this this Specification. All submittals and documentation shall be provided as Contract Data Requirements List (CDRL) items. All required submittals, documentation, and other materials required to be submitted shall be provided as a CDRL item whether directly identified as a CDRL item within this Specification or not identified.

B. The set of CDRL items necessary to meet the requirements of this Contract, regardless if included in the CDRL Tables defined in this section, shall be furnished by the Vendor. These CDRL tables shall be used by the Vendor as basis for creation of the Submittal List. 1. The Vendor shall be responsible for identification of all submittals and documentation

to be furnished, assignment of a unique CDRL identifier consistent with the CDRL numbering provided in these tables, and meeting all requirements for document and data submittal of these Specifications.

2. The due dates provided in these CDRL tables are provided as expected delivery timeframes; the Vendor shall be responsible for documenting expected and actual due dates for each CDRL item in the Submittal List for Department approval. Due dates shall be defined in compliance with this Specification inclusive of these CDRL tables.

C. The Vendor shall use standard Department terminology, symbols, part numbers, naming conventions and other nomenclature in the documentation of the Department specific materials unless approved otherwise by the Department. 1. The Vendor shall be responsible to request all Department standard information to

ensure approval by the Department. 2. Standard symbols and terminology shall be utilized on all drawings, schematics,

component lists and inventories, manuals, test plans and procedures, and all other submitted and delivered documentation as applicable.

D. The CDRL numbering format for the project shall be defined in the PMP for Department approval. The Department approved CDRL numbering and definitions shall be managed



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and maintained in the Submittal List.

E. The Vendor shall provide all documentation and submittals to the Department as required in this section and the individual submittal requirements contained in the various sections of the Technical Specifications and Contract Documents. Submittals are categorized as follows: 1. Plans and Procedures: Include narrative descriptions, diagrams, and equipment,

procedures for activities including system configuration analysis, configuration data collection, configuration validation, component installation, testing, troubleshooting, training, maintenance and other activities requiring advanced planning.

2. Certificates: Include certified material test reports or tickets demonstrating compliance with materials, tests or Specifications indicated.

3. Equipment: Include equipment Specifications, manufacturer information and demonstration of suitability of equipment for intended operation or function.

4. Shop Drawings: Include specifically prepared technical data, including drawings, performance curves, data sheets, schedules, templates, patterns, reports, calculations, instructions, measurements, and similar information not in standard printed form for general application.

5. Product Data: Include standard printed information on materials, products, systems; not specifically prepared for this project, other than the designation of selections from among the available choices printed therein.

6. Samples: Include physical examples of materials either for limited visual inspections or (where indicated) for more detailed testing and analysis.

7. As-Built Red-line Documentation: Provide Red-line markups of Plans, schedules, or application logic printouts detailing any changes made to existing equipment, systems, or physical plant immediately after any change has been made. The red-line documents shall not be removed from the work site and shall be available to the Department’s O&M and Signal Maintenance Contractors. A written explanation of the changes and the effect the change may have upon pre-existing systems and operations shall be provided. As-built Red-line documentation shall be dated and signed by the Vendor.

8. As-Built Documentation: Provide an update in native format of Plans, schedules, or application logic printouts detailing the final configuration of equipment, systems, or physical plant of any change that have been made to the existing infrastructure. The as-built documents shall be provided to the Department in native CADD format, regardless of provided source file format, no later than 10 working days after the change has been placed into service. Hard copy of all as-builts shall be included as part of each submission of as-built drawings. As-built documentation shall be dated, signed and sealed by the Vendor as required.

8.2 PROJECT MANAGEMENT DOCUMENTS

A. The Vendor shall submit the Project Management Plan (PMP) as specified in Section 4.1 and Project Schedule as specified in Section 4.3.

B. The Vendor shall submit a Software Project Management Plan (SPMP), as specified in Section 4.1.

C. The Vendor shall compile a current list of approved PTC Vendors as part of a PTC Product Vendor List (PTCPVL). The PTCPVL shall be maintained current and submitted as a



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separate document by the Vendor. The PTCPVL shall be resubmitted for each change made to the list.

D. The Vendor shall submit the required planning and schedule documentation for the implementation and deployment of the PTC System, as part of the System Implementation Plan, as specified in Section 4.4.

8.2.1 RTM Reports

A. The Vendor shall prepare a Requirements Traceability Matrix (RTM) Report, generated from the PTC Requirements Management Tool (Section 4.1.3) and submit for the Department approval. The RTM Report shall list all requirements that have been mapped to the documents of the associated phase, identifying traceability to the section within the document in which the requirement was met. 1. The RTM Report shall be submitted as part of the Monthly Progress Report. 2. The RTM Report shall be submitted in Specification order where the requirements are

listed as they appear in the Specification and shall be submitted in document order, where the requirements are listed in the order they appear in the document. This provides two-way traceability mapping necessary to the Department for reviewing documentation and project status.

B. The Vendor shall keep the RTM up to date at all times with Specification requirements mapped to delivered documents. The RTM Report for each submittal shall include only those requirements that are addressed in the submittal.

C. Complete RTM Reports shall be submitted prior to each Milestone Configuration Review Package (Section 4.6.3) such that the Department can verify coverage of all Specification Requirements up to and including that phase.

D. The Vendor shall submit examples of all RTM Reports to the Department for review 60 days after NTP.

8.3 SYSTEM DOCUMENTS

A. Complete description of the PTC System and each subsystem shall be submitted.

B. The Vendor may submit required system level CDRLs as combined documents with Department approval.

8.3.1 System Functional Description (SFD)

A. The Vendor shall deliver a System Functional Description (SFD) that describes the following information: 1. Clearly define the subsystems which make up the overall system. 2. Clearly describe and graphically depict the interfaces between the subsystems.

Where the interfaces between subsystems are extremely complex, the interface may be generally described in the SFD, but the details shall be described in an Interface Control Document.

3. Describe how the requirements of the Technical Specification are allocated to the subsystems, including the possible decomposition of single requirements into multiple requirements which are allocated to multiple subsystems.



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4. Define a common terminology for all subsystems which is to be used by all suppliers. 5. Define the system’s LRUs.

B. The SFD shall contain a high-level definition of the overall PTC System hardware and firmware, and where applicable software, and the functions performed by each. The System Functional Description shall serve as a complete introduction to the PTC System, the requirements it fulfills, and the set of documents that will be delivered to the Department.

C. An operational overview shall be included describing the planned/intended operation and maintenance of the PTC System.

D. “Normal” and perturbed conditions and response objectives to perturbations shall be described.

8.3.2 Subsystem Functional Description (SSFD)

A. The Vendor shall deliver Subsystem Functional Description (SSFD) documents that describes the following for the subsystem: 1. Clearly describe and graphically depict the subsystem hardware components and the

interfaces between these components. 2. An overview shall be included with hardware block diagrams in sufficient detail to show

the interrelationships of major hardware components and the elements that comprise them.

3. The hardware block diagram shall define interfaces to all PTC subsystems and the existing facilities and systems of the Railroad(s) (this includes the interfaces with the tenant Railroads).

4. The configuration items shall be categorized as either standard (COTS) or non-standard (non-COTS).

5. Provide an overview of the major software, firmware, and database components. High-level software diagrams shall be included to enhance the reader’s understanding of the overall capability of the PTC System, identifying all SCIs and relationships.

6. Allocation of each SCI to major hardware components shall be defined. 7. Describe the allocation of the Technical Specification requirements, which have been

allocated to the subsystem, including derived requirements, among the subsystem components. Where the subsystem components are further divided into subcomponents, it shall describe the allocation of requirements to these components down to the lowest level of the LRU.

8. Clearly describe the allocation of requirements to hardware and the allocation of requirements to software, including the allocation of requirements to all programmable logic devices used in the system.

9. Provide a technical description of the hardware and of the software used to execute each function that implements the allocated hardware and software requirements.

10. Provide a technical description of all key algorithms used to implement allocated requirements.

11. Contain a table which links each Software Configuration Item (SCI) to a specific subsystem component and to the specific processor in which the SCI runs. The table shall link each SCI to its configuration documentation (SRS, SCD) by document number. Each SCI shall be identified by assigned part number and each processor shall be identified by manufacture’s part number and descriptive name.



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12. An overview of all external interfaces to the system shall be described. The overview shall include block diagrams and textural information sufficient to show the relationship of each element to the functionality of the subsystem and the PTC System. Included in the overview shall be descriptions of any control, special handling, or limitations of the interface

13. Major requirements imposed on the configuration such as system availability, processor utilization, spare auxiliary memory, and expansion capabilities shall be described.

14. Contain a table which identifies all Programmable Logic Devices (PLD), including Complex Programmable Logic Devices (CPLDs) and Field Programmable Gate Array (FPGA). The table shall identify the device by manufacture’s part number and shall identify, by part number, the data used to customize the device to the specific application. It shall also identify the means used to program each PLD, and the documentation, by document number, which shall be provided to describe the configuration of the PLD.

15. Contain a description of each programmable logic device used in the subsystem, which includes a description of the each functions performed by the PLD.

B. The Vendor shall provide the following Subsystem Functional Description documents either a separate CDRLs as specified or in combined CDRLs upon Department approval. Regardless, the Vendor shall provide all requirements of the SSFD for each subsystem. The following SSFD’s shall be submitted: 1. Wayside SSFD; 2. Onboard SSFD; 3. Communications SSFD; 4. PTC Hosted Back Office Subsystem SSFD; 5. Dispatching User Interface SSFD.

8.3.3 Interface Control Documents (ICD)

A. The Vendor shall develop and submit Interface Control Documents (ICD) for all interfaces including the following: 1. Wayside ICD; 2. Onboard ICD; 3. PTC Hosted Back Office ICD.

B. The Vendor shall ensure the completeness and accuracy of each ICD provided as part of the PTC System and the requirements defined in this Specification.

C. The ICD shall define each message including message description, type, format, data elements, data definitions, and interfacing components or subsystems shall be defined. The Vendor may provide a separate document defining the PTC data messaging referenced within the ICDs. 1. As a minimum, each ICD shall be updated to include complete and accurate

information for the interface as follows: a. The project-unique identifier for the interface; b. Identification of all interfacing entities; c. Interface diagrams depicting interface with all interfacing entities; d. Dependent system states or modes; e. Each individual data element that will be provided, stored, sent, accessed, or



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received including: f. Name/identifier; g. Data type; h. Size and format; i. Units of measurement; j. Range of possible values; k. Accuracy and precision; l. Priority, timing, frequency and other constraints; m. Security constraints; n. Sources and recipients; o. Data element assemblies (records, messages, files, arrays, displays, reports,

etc.).

8.3.4 System Response Timing Analysis

A. The Vendor shall prepare and submit for approval a System Response Timing Analysis which fully and completely analyzes and describes the system response to numerous operating conditions and user activities for each PTC Subsystem as follows: 1. Wayside System Response Timing Analysis; 2. On Board System Response Timing Analysis; 3. Communications System Response Timing Analysis; 4. PTC Hosted Back Office System Response Timing Analysis; 5. DUI System Response Timing Analysis.

B. The System Response Timing Analysis shall be submitted for Department approval prior to PCRand updated and refined as part of all milestone configuration review packages and finalized within twenty days of the successful completion of Site Testing.

C. The initial submission of the System Response Timing Analysis shall allocate performance times to system configuration items.

D. Successive updates of the System Response Timing Analysis shall reflect improved characterization of the system and its timing response as a result of information developed through the development process.

8.3.5 PTC Failure Backup Plan

The Contractor shall provide a fully functional backup plan which includes documented procedures for a secondary method for train movements in case of PTC failure(s). The backup plan shall cover a failure of any PTC System segment and provide alternate methods of train control for each variation or combination of failures.

8.4 HARDWARE DOCUMENTATION

A. The PTC System equipment and installation shall be fully documented. Documentation that describes all aspects of the hardware configuration, selection, assembly, layout, installation, operation, maintenance and upgrading capabilities shall be furnished to the Engineer for review and approval. The term “hardware”, as used in this Specification shall include all equipment, subsystems, components, and assemblies, sub-assemblies, connectors, PCBs which may be lower than a LRU.



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8.4.1 Hardware Configuration and Specifications

A. The Vendor shall generate, submit, and maintain a Hardware Inventory List of all Subsystem Hardware Configuration Items (HCI). The Vendor shall maintain the Hardware Inventory List through final acceptance of the PTC System. The Vendor’s process for hardware configuration, device selection, and testing shall be documented in a Hardware Configuration Description (HCD) for each subsystem. The HCD shall furnish a drawing list with descriptions of each drawing type and organization or groupings of drawings. The HCD shall describe and detail the analyses and decision criteria used to determine compliance with the requirements of this Specification including standards and regulations.

B. The HCD shall describe and detail the methodology for hardware upgrade and change throughout the project phases.

C. Hardware Specifications shall define the Hardware Configuration Items (HCI) from the highest level, beginning with the major hardware components defined in the SFD, down to the lowest Line Replaceable Unit (LRU) level. The Hardware Specifications shall include block diagrams in sufficient detail to show the interrelationships of HCIs at each level. Each HCI shall be described relative to the PTC System requirements that each performs. 1. Hardware Specifications shall describe and detail the product Specifications including

identification and description of all products and assemblies and catalog cut sheet Specifications of purchased products and assemblies. Catalog cut sheets included as part of the Hardware Specifications shall identify the make and model numbers for the PTC System.

2. The Hardware Specifications shall include utilization of all processors and data communications channels under normal and peak load conditions.

3. The Hardware Specifications shall document all of the environment characteristics of the HCI equipment including: a. Temperature and humidity range; b. Power and KVA rating and operating consumption; c. Heat dissipation; d. EMI susceptibility and emissions; e. Shock and vibration resistance; f. Susceptibility to airborne particulates.

4. The Hardware Specifications shall document the spare capacity, expansion capability built into the system and available via modular upgrade, and spare parts necessary for the PTC System.

5. The Hardware Specifications shall include all of the diagnostics and maintenance access provided for each type of hardware as well as the diagnostic tools furnished.

6. The Hardware Specifications shall include subsystem electrical load calculations for the PTC System equipment.

7. The Hardware Specifications shall include power-up sequencing procedures for all PTC System equipment.

D. As part of the Hardware Configuration Description documentation, the Vendor shall verify all dimensions, sizes and quantities and to verify that all items fit properly into the work. 1. Where a submission involves engineering computations or original configuration work

is depicted, the submission shall show the name, the State of Florida registration number and seal, and signature of the Professional Engineer certifying that such computations or configuration work are correct and in conformance with standards,



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codes and acceptable engineering practice.

E. The Vendor shall prepare and submit shop drawing and product data submittals for all products and assemblies as required by the various sections of the Specifications. 1. For shop drawings larger than 11” x 17”, submit clean, reproducible hard-copies.

Accompany each submittal with a transmittal letter which identifies the Specifications by number and which lists all deviations from the contract documents.

2. Provide an electronic copy of all shop drawings and product submittals in their native CADD file format.

3. The set of drawings including, as applicable: a. Hardware Configuration Block Diagrams; b. Rack and Enclosure Assembly Drawings; c. Component installation details; d. Interconnection cabling.

F. Hardware drawings shall be furnished, including all HCIs from highest level system component level (overview) which includes the Line Replaceable Unit (LRU) level down to the lowest level. A hardware drawing tree shall be furnished as a part of each Hardware Drawing submittal that clearly defines all PTC System hardware drawings beginning with the highest level system component level diagrams and the path for each highest level HCI down to the lowest level component diagrams. All hardware drawings shall be depicted on the hardware drawing tree with a designation of the current drawing level. 1. Each hardware component and interconnection cable shall be uniquely identified

within each hardware drawing. 2. Each drawing shall be stamped in a manner subject to approval of the Department

with the category of drawing identified. Each distinct drawing set shall have an index sheet and symbol sheet. The Vendor shall provide drawings in the following progression: a. Shop drawings consisting of marked-up as-assembled/as-installed drawings; b. Final system As-Built documentation drawings

3. The lowest level diagrams for all hardware shall include wire numbering and connector mapping (i.e., pinouts).

4. Hardware drawings shall include interconnections to the applicable existing Railroad Systems.

G. Hardware Configuration Block Diagrams shall depict the logical and physical arrangement of PTC System equipment and their interconnections with PTC System equipment and non-equipment and/or data communications systems. Logical configuration block diagrams and physical configuration diagrams shall be depicted in separate drawing types. In addition to overall System Configuration Block Diagrams and Interconnection Diagrams, major subsystems shall be depicted separately.

H. Rack and Enclosure Assembly Drawings shall be furnished showing the construction of the enclosure, as well as the layout, mounting, and interconnection of all PTC System devices within an enclosure, and cableways for cabling entering/exiting the enclosure. 1. Rack and Enclosure Assembly Drawings shall identify each component by part

number and revision level. Each Rack and Enclosure Assembly Drawing shall include interconnection wiring diagrams showing all interconnecting cables including data, ground, and power distribution cables.

2. An individual enclosure assembly drawing shall be produced for each enclosure



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(including equipment cabinets and consoles). 3. Each Rack and Enclosure Assembly Drawings shall clearly identify the location and

room covered by the drawing.

8.4.2 Hardware Installation Configuration

A. The Hardware Installation Configuration shall include a description of the installation process, defining all installation sites, schedule and methods of installation. The Hardware Installation Configuration shall be developed as a complete package for each site in which PTC System equipment is installed. The Hardware Installation Configuration shall include: 1. Indices, Symbol identification, construction notes and references; 2. Layout plans of each location; 3. Methods to provide security for installed equipment before use; 4. Existing conditions, removals, and facility modifications; 5. Work staging plan including site offices, site egress, material storage and security of

stored material, and work staging area; 6. Planned construction machinery and equipment; 7. Methods of securing construction sites; 8. Methods of assuring against disruption to the Department’s service delivery; 9. Detailed layouts of all cabinets, equipment, and cableways; 10. Point to point cable tabulations including cable and wire types, sizes, tagging, and

cableway fill; 11. Mounting details, clearance requirements, and environmental restrictions; 12. Distance restrictions between cabinets; 13. Temporary and permanent electrical power supply requirements and distribution; 14. Grounding plan; 15. Applicable Specifications and Standards compliance.

B. The Hardware Installation Configuration shall be submitted for PCR.

C. The Hardware Installation Configuration shall be developed in two parts: Preliminary Site Plans and Detailed Installation Configuration and Drawings. Preliminary Site Plans shall include preliminary layouts of all equipment, cabinet, and peripheral device locations and cable routing for all Vendor-provided equipment being installed. The Detailed Installation Configuration and Drawings shall include final configuration documentation for the installation of all PTC System equipment and interconnections. 1. The Hardware Installation Configuration shall include any special precautions

associated with cable and/or equipment installation. Cable and wiring terminations shall be shown on drawings, and all terminal markings, cable connector markings, and cable lengths shall be clearly indicated. Description of the isolation of cabling, wiring, racks and equipment of the PTC System shall be furnished.

2. The Hardware Installation Configuration shall include a description of how the Vendor will control noise levels, air particulates, construction hazards, and other disturbances during installation.

3. The Hardware Installation Configuration shall include a description of the controls to be utilized to avoid disruption to the Railroads existing, operational Systems during installation.

4. The Hardware Installation Configuration shall include descriptions of any temporary measures, such as temporary utility services, rubber floor mats used to reduce noise traffic or temporary rubber or foam padding to be placed on corners to protect walls



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and equipment. 5. The Hardware Installation Configuration shall include a description of the type, source,

and quantity of support materials needed for the installation. 6. The Hardware Installation Configuration shall include electrical and heat budgets of

the subject system equipment for all locations in which subject PTC System equipment is installed.

8.4.3 Hardware Inventory

A. The Vendor shall generate, submit, and maintain a Hardware Inventory List of all PTC Subsystem HCIs. The Vendor shall maintain the Hardware Inventory List through final acceptance of the PTC System.

B. The Hardware Inventory List shall include inventory of all hardware to be supplied, including the manufacturer’s name, model number, serial number, input power requirements, weight, and overall dimensions.

8.5 SOFTWARE DOCUMENTATION

A. The Vendor shall furnish documentation for all PTC System software. The set of required Software Documentation shall be furnished separately for each system, segment, and/or subsystem unless otherwise approved by the Department. In addition to the Vendor’s standard and purchased documentation, documentation shall be furnished which is specifically tailored and configured for each Railroad configuration as applicable and for the various levels and skills of users and maintenance personnel intended to operate and maintain the system.

8.5.1 Software Configuration List

A. A detailed inventory of all software configuration items shall be maintained by the Vendor in the Software Configuration Items (SCI) List and provided to the Department as part of each development phase as part of the Software Documentation submittal. The SCI List shall document all software configuration items for all PTC Subsystems, grouped by system and subsystem.

8.5.2 Standard Software

A. Some software supplied under this procurement may be commercially available to a wide variety of users; generally referred to as Commercial Off The Shelf or COTS. Examples include operating systems supplied by chip manufacturers and database software for wayside fault analysis. The Vendor shall submit a list of software which is commercially available to the general public as part of the SPMP. The Department shall determine which software will be classified as Commercially Available Software. 1. For Commercially Available Software, the Vendor shall provide the following Standard

Software documentation in lieu of the software documentation requirements elsewhere in the Specification:

2. The original data storage/transfer media (CD-ROM) functional and usage details 3. All provider manuals. All licenses required for the Department site use. 4. The Vendor shall incorporate training on how the software is to be used in the specific

situation for which it was provided as part of the Training Program.



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8.5.3 Software Requirements Specification (SRS)

A. The Vendor shall allocate all system requirements from the RTM to the software components defined by the System Functional Description (SSFD). A Software Requirement Specification (SRS) for each subsystem shall be provided that documents the software requirements such that each can be objectively verified and validated.

B. The SRS shall also document the assumptions and design constraints imposed on the software implementation.

C. The SRS shall define the software requirements for the subsystem and allocations of software requirements to each software configuration item. Derived software requirements from the software components, implementation, safety, timing, or other design considerations and constraints shall be identified, described, added to the RTM, and traced and verified in the same fashion as requirements that originated from the Specifications.

8.5.4 Software Configuration Document (SCD)

A. Software configuration documents shall be furnished by the Vendor in two phases to meet the PCR and FCR requirements. Software Configuration Documents shall be furnished for each PTC software system and subsystem and shall encompass all PTC System functions identified in these Specifications.

B. The Vendor shall document and submit the Software Configuration Documentation for each PTC Subsystem first at the Software Architecture level and then the Detailed Configuration level.

8.5.5 Database Documentation

A. Database Configuration Documents (DBCD) shall be furnished for each PTC Subsystem describing the structure of the PTC System database both textually and graphically.

B. The Vendor shall develop the DBCD first at a high level, referred to as High Level DBCD and then updated to support the software detailed configuration, the Detailed DBCD. Portions of the database schema and data structures developed specifically for the Department’s PTC System shall be identified and described in the DBCD.

8.5.6 Display and Reports Documentation

A. All display and report documentation shall be populated with data accurately representative of the data expected under PTC System operation.

B. A Display Description Document shall be furnished which illustrates and explains the configuration, usage, features and functionality of each PTC Subsystem workstation user interface. Each display shall be illustrated in the Display Description Document by means of an accurate color display copy with annotations, illustrating all the display features, device states, and types of displayed information. 1. The Display Description Document shall define the display hierarchy, static and

dynamic fields, and controllable and selectable items for each display.

C. A Report Description Document shall be furnished which illustrates and explains the



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configuration, usage, and features of each PTC Subsystem report. Each report shall be illustrated by means of an accurate copy, which illustrates as many of the report features and types of reported information as possible.

8.6 Installation Plans and Procedures

A. The Vendor shall deliver complete Installation documentation for each PTC Subsystem for the Department approval. Installation Plans shall be submitted for each PTC Subsystem and separate detailed Installation Procedures.

B. The Vendor shall be responsible for Installation Documentation for all PTC Subsystem device and equipment locations. The Vendor shall perform a site inspection of all locations where PTC components or equipment will be installed. The Vendor shall develop the installation configuration including drawings for each installation location and storage location indicating the following: 1. Identification of all PTC systems, components, devices, and equipment to be delivered

for installation. 2. Identification of all installation locations, installation work sites, storage locations,

temporary storage locations, and delivery locations. 3. Locations of all existing and new cabinets, racks, power plants, cables, cable ladders

and conduits with sizes and types indicated. Provide actual (installed) locations as determined by field measurements.

4. A.C. and D.C. feeds to equipment cabinets, racks, or devices with references to the source locations (electric panels, transfer panels).

C. The Vendor shall detail and submit an Installation Plan for each PTC Subsystem that defines the installation of all PTC components, devices, and equipment including hardware, software, cabinets, racks, and cabling, in compliance with the Department approved Installation Configuration for the Subsystem. The Installation Plan shall include the following: 1. The schedule for installation activities, included manpower and resource requirements

shall be defined for installations. 2. All applicable standards and codes shall be identified. 3. All safety and security procedures for protection of personnel and property shall be

included. 4. Description of the PTC Subsystem, including theory of the operation of the system and

a description of each operating unit including the following: a. Complete operation and maintenance instructions for each device or component. b. Complete technical Specifications, installation procedures, mechanical details,

schematic diagrams, block diagrams, power diagrams, wiring diagrams, adjustment and alignment procedures, trouble-shooting procedures, parts list and all part numbers.

c. All precautions which shall be taken before, during and after the installation of equipment in order to prevent any damage to it or any injury to the personnel.

5. Installation testing required for each installation with references to the Test Plans. 6. Generation of all software and databases from the configuration control and loading or

programming of the data to the systems and devices. Verification procedures during installation.

7. Vendor installation organization and contact information. 8. Copies of standard OEM, Manufacturers, or Vendor installation documentation shall



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be identified in the Installation Plan. Standard documentation shall be included without modification.

9. Identification of all tools, equipment, and materials necessary for installation shall be defined.

10. All installation forms for recording and reporting the results of installation activities defined in the Installation Procedures shall be included in the Installation Plan. a. The Vendor shall prepare an inspection form to document the existing conditions

of installation locations before work begins. b. The Vendor shall prepare an inspection form to document the conditions of the

installation site at completion of installation and testing. c. The Vendor shall define the procedures for maintaining detailed and up-to-date

records of all installations, including but not limited to, the installation status of each component, when the installation was performed, who installed the equipment, who inspected the installation, make, model and serial numbers of all major installed components, problems encountered, problem resolutions, acceptance status, and other pertinent data.

11. The Vendor shall define how the installation work will be performed, the sequence in which installations will be performed system wide, and installation parameters and dependencies.

D. The Vendor shall provide detailed Installation Procedures for all PTC Subsystem components, devices, and equipment. 1. The Installation Procedures shall define illustrated step-by-step installation instruction,

dimensions, tolerances and details for all procedures, tools, equipment and materials required for installation of the equipment.

2. Copies of all PTC drawings, block diagrams, operations, and maintenance manuals necessary to support installation or as reference during installation shall be included with the installation procedures.

3. Installation procedures shall include start-up and test, operation and maintenance, troubleshooting, and repair as part of each installation.

4. A complete set of Record Drawings for the installation work shall be delivered The Vendor shall ensure that the Record Drawings accurately show the permanent installations as they are actually made. After installation, the Vendor shall make all corrections to drawings and documents to reflect the as-built condition and make them conform to Railroad standards. All symbols and designations used in preparing Record Drawings shall match those on Contact Drawings. The Vendor shall maintain the as-built drawings and submit as part of Final Documentation, Section 8.11.

5. References to documentation not included as part of the Installation Documentation package is not acceptable; all reference material shall be provided by the Vendor as part of the Installation Documentation.

6. Standard OEM, Manufacturers, and Vendors Installation Procedure documentation shall be included without modification. Installation work shall follow equipment manufacturers’ instructions and recommendations. The estimated time for each installation shall be defined for each installation procedure.

7. All installation work shall be configured in such a manner that the existing equipment and operation at the installation work location continues without impact or degradation.



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8.7 TEST AND COMMISSIONING DOCUMENTATION

A. The Vendor shall submit a Master Test Plan for the overall PTC Program and separate test plans and procedures for each PTC Subsystem as required in Section 7.6.1.

B. The Vendor shall develop and deliver Test Plans and Test Procedure documentation, as specified in Section 7.6, for each required test. The Vendor shall use the latest issue of I Standard I 829, “I Standard for Software Test Documentation”, as a guide in the preparation of factory and site test plans and documentation for the software portion of the tests. Test Records shall be submitted for each required test as specified in Section 7.6.

8.8 SYSTEM SAFETY PROGRAM DOCUMENTATION

A. The Vendor shall submit complete documentation to support FRA System Certification. The Vendor shall submit any other documents that are necessary to show compliance with the system safety requirements and necessary to meet the FRA System Certification regardless if it is explicitly specified in these Specifications. All System Safety submittals shall be integrated into the PTC Safety Plan (PTCSP) as specified in Section 10.2.

B. The Vendor shall submit Certifiable Items List (CIL) identifying equipment and/or functions that will affect the safety or security of the PTC System or subsystem and tracing each certifiable item to the RTM and variance in the Variance Database.

8.8.1 Product Safety Plan

A. The Vendor shall submit a Product Safety Plan (PSP), defining the Vendor System Safety Program. The Product Safety Plan shall define the safety criteria, safety requirements and the tasks necessary to implement them, the resources needed to accomplish the defined tasks, as well as identifying the Department to implement all the activities.

B. The Product Safety Plan shall define the acceptable safety risk for the scope addressed by the plan. The System Product Safety Plan shall assign acceptable safety risk for each of the PTC Subsystem suppliers. 1. The Vendor shall ensure all subsystem suppliers’ comply with the PSP. 2. The Vendor Product Safety Plan shall be fully compliant with the requirements of the

FRA 3. System Certification process defined in FRA 49CFR236 Subpart I and the CFRC

System Safety Program Plan.

C. The development of the Product Safety Plan shall require a complete knowledge of the project and associated tasks, identification of required, associated safety standards and Specifications. The Product Safety Plans shall include: 1. A description of the safety-critical configuration processes that the Vendor or

subsystem supplier will follow, and specific safety standards employed. 2. A description of the safety analysis methodologies that the Vendor and/or subsystem

supplier will employ. 3. A description of the safety management procedures that the Vendor and/or subsystem

supplier will adopt throughout the configuration, manufacture and installation phases. This shall include a description of the Vendor and/or subsystem supplier system safety organization and responsibilities.



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4. Description of all safety analysis and safety documentation that will be submitted, the content and format of each analysis, and the schedule for delivery. Each safety submittal shall be assigned a CDRL ID by the Vendor and shall be included in the Submittal List.

5. A description of the Vendor and/or subsystem supplier plans for safety verification and safety validation, with specific reference to the methods of verification of safety-critical software.

6. Definition of the test planning processes, throughout the project life cycle from factory testing through to post implementation testing, including the assignment of responsibilities for safety related testing shall be furnished in the Product Safety Plan.

7. Identification of any Railroad responsibilities, including safety interfaces between the Project System and facilities, subsystems, equipment and components provided by others, to assure safe operation of the Project System in the Railroad environment. This shall include the process for identifying the post implementation testing to be performed by the Railroad to ensure the continued safe operation of the system.

8. A description of the Vendor and/or subsystem supplier plans to document hazard identification, reporting, tracking and resolution, using the Hazard Log and Certifiable Items List as required.

9. The Vendor and/or subsystem supplier milestone schedule for completion of activities and submittals required by the System Safety Program

D. The Vendor shall provide sufficient detail and documentation of the safety concepts, techniques, and dependencies as part of the SFD and SCD documents. This safety concepts documentation may be included as an appendix to the SFD for the overall PTC System and the SCD for each software subsystem or the Vendor may submit a separate Safety Concepts Document.

8.8.2 System Safety and Certification Reports

A. The Vendor shall submit the Safety Analyses performed on the PTC System and subsystems as defined in the Department approved PSP. The safety analyses shall define the set of hazards, associated risks, mitigation, and safety requirements. All hazards shall be managed and maintained as part of a Hazard Log.

B. The Vendor shall document all safety analyses performed on the PTC System and each subsystem and submit each analysis. Analyses may be submitted in separate CDRLs or as part of a combined document updated for each analysis. The Vendor shall submit the following as part of the Safety Analyses, addressing safety of the overall PTC System and each subsystem: 1. Preliminary Hazard Analysis; 2. Subsystem Hazard Analysis; 3. Operating Hazard Analysis; 4. Interface Hazard Analysis; 5. Failure Modes and Effects Criticality Analysis; 6. Fault Tree Analysis.

C. The Vendor shall submit a Software Safety Verification and Validation Report documenting the results of the Vendor and/or subsystem supplier safety-critical validation of the ability of the PTC System and Subsystems (verified to have been implemented in a fail-safe manner) to operate in a safe manner.



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D. The Vendor shall submit a Database Safety Verification Report as part of the Software Safety Verification Report, on the handling of PTC databases to ensure their data integrity based on the database safety methods defined as part of the system safety concepts. 1. The verification shall discuss methodology used for protection of the vital data during

data entry, storage, and use. The verification will also discuss operation including communications, processing, update, and system calculations. The scope of protection will be quantified for use in the calculation of the system fault probability, a component of the Mean Time To Hazardous Events (MTTHE).

2. The Database Safety Verification Report shall detail the methodology for ensuring that changes to the database are adequately controlled and tested to ensure that once deployed in a multi- supplier environment the safety of the PTC System and PTC Subsystems is maintained. This shall include requirements for staged deployment as well as compatibility issues associated with updates to the database and application software where appropriate.

3. The Safety Validation tests, defined in the PSP and included as part of the System test plans and procedures, shall confirm the resolution of hazards by the implementation of the PTC System and Subsystems, and demonstrate that the PTC System operates in a safe manner. Tasks may be integrated with the Software V&V (defined in Section 4.8.5), but must be distinctly identified as being safety-critical. Results of safety V&V shall be included in clearly identified sections of the V&V reports.

4. The Vendor shall incorporate the approach to safety-critical validation tests and safety demonstration tests into the Master Test Plan. Test Plan(s) and Procedures for each specific test necessary to support safety validation shall distinctly define the safety-critical tests that the Vendor will perform as part of the unit, subsystem integration, and system testing required in Section 7.3.

5. The SVVP and Test Plans shall demonstrate the testing process to ensure that all elements introduced as part of the PTC System and Subsystems can be introduced safely, having been appropriately tested. The V&V and Test Plans shall also address the testing of modifications to PTC System and subsystem elements including hardware and software, databases and all other elements which could impact the safety of the PTC System.

E. Safety-critical test results shall be included as part of the required test reports and documented in the Software Safety Verification and Validation Results for inclusion into the Safety Case and PTCSP. The Vendor shall ensure that the safety testing results illustrate the successful completion of safety-critical validations and tests sufficient to meet the approval of the Department and the FRA.

F. The Vendor shall submit a Certificates of Compliance for the PTC System and Subsystems, respectively prior to Revenue Service Demonstration, to confirm the status of the safety requirements. The Certificates of Compliance shall be based on the evidence compiled in the Final Safety Report for the PTC System and the respective PTC Subsystems.

G. The Vendor shall submit a Final Safety Report providing a summary of the results of the overall analysis, safety verification, safety validation, and system safety demonstration for the complete PTC System. The Final Safety Report shall furnish evidence that the safety program has been completed in accordance with the requirements of this Specification and FRA 49 CFR 236 Subpart I regulations.



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H. The Final Safety Report shall build on the PTC Subsystem Certification Reports, Safety Analyses, Hazard Log and any other relevant outputs from the PTC Safety Program. The report shall contain evidence of the Vendor system safety analyses.

I. This report shall address all risk reduction actions taken during system configuration, production, test, operation, and maintenance, including mitigation of faults caused by the following: 1. Operating scenarios. 2. Failures of plant and equipment. 3. Latent configuration errors in system hardware and software. 4. Installation errors. 5. Human reaction to situations and events resulting from failures, unusual operating

situations, and events beyond the Railroads direct control. 6. Post implementation changes to the software or hardware. 7. Interoperability and compatibility issues associated with software and hardware

changes.

J. The Safety Report shall include the following information: 1. Describes the Safety and FRA System Certification process and issues encountered

during the certification process. 2. Describes current certification status. 3. Describes remaining restrictions/open items and actions/workarounds to ensure an

acceptable level of safety is maintained until the open items are corrected, and the item(s) closed out on the Verification Safety Report.

4. Provides a schedule for eliminating restrictions/workarounds as appropriate. 5. Includes the Certificates of Compliance for each certifiable item and all

data/documentation necessary to support evidence of compliance.

K. The report shall contain the evidence of the resolution of hazards, as reviewed and approved by the Department. The evidence of hazard resolution shall consist of the satisfactory closure of the items as listed in the Hazard Log and the achievement of certification of the items on the Certified Items List.

L. The report format shall be as approved in advance by the Department. The Final Safety Report shall be submitted in draft form during the Preliminary Configuration Review and Final Configuration Review phases of the project. The Final Safety Report shall be considered draft until such time as the PTC System and PTC Subsystem are safety certified.

M. The PTC Subsystem Suppliers are required to submit Safety Certification Reports for their scope of supply. The Safety Certification Reports shall be submitted to the Department in fulfillment of the requirement of 49 CFR Part 236. The PTC Subsystem Safety Certification Reports shall be reviewed by the Vendor for compliance with all safety requirements. The output of the PTC Subsystem Safety Certification Reports shall be incorporated in the Final Safety Report.

N. The PTC Subsystem Safety Certification Reports shall furnish, for each PTC Subsystem the information required, for each PTC Subsystem to be certified by the FRA. Safety Certification Reports shall be revised and submitted for all modifications to the characteristics of the territory, PTC Subsystem, system interface, or the PTC System, that



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impact on safety. The PTC Subsystem supplier shall update the Safety Certification analyses and reports to provide evidence that modifications, including post implementation modifications, are implemented in a safe manner and do not adversely impact safety. The safety analyses shall include requirements and constraints required to safely implement the modifications.

8.9 TRAINING DOCUMENTATION

A. The Vendor shall submit all Training Program documentation as specified in Section 9 including the following: 1. Master Training Plan; 2. Training Schedule; 3. Lesson Plans; 4. Training Aids including: 5. Student Workbooks; 6. Instructor’s Guides; 7. Training Materials; 8. Training Records. 9. Training Qualification Exams

B. The Vendor shall provide all required materials including manuals, all classroom plans and

guides, and training aids used during all training sessions of the PTC System. These are in addition to specific and specialized training manuals or documentation applicable to individual equipment and components.

C. All records of training program(s) including, training attendance, test completion, certifications, credits, and expirations for the Department designated personnel including staff, the Department’s O&M and Signal Maintenance Contractors, and Vendor subcontractor employees shall be maintained in a Vendor provided database system. This system shall have the ability to track and report on training achievements and needs for in-house management and regulatory reporting throughout the term of the contract. The Training Records shall be transferred to the Department at project completion. The documentation shall include both hardware and software training.

D. The Vendor, working with its sub Vendors, third party software suppliers, and OEMs, shall prepare Training Materials and submit them to the Department for review at least 60 days prior to the start of classroom instruction.

E. The training manuals shall be prepared specifically for use as training aids; reference manuals, maintenance manuals, and user manuals should be used as supplementary training material but not as the primary training manual.

F. Principal documents used for training shall be tailored to reflect all Department hardware, software, and user requirements. The Department shall retain the master and 2 copies of all training manuals and materials as reference documentation.

G. This reference documentation shall be in addition to the documentation quantities supplied to accompany hardware and software installation, and for maintenance reference. Three complete sets of instructor’s manuals and training aids shall also be provided. Three copies and all source files of all training manuals and associated materials, instructor’s



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manuals, and training aids shall be provided in an electronic PC-readable format on CD-ROM, DVD, flash-drive or uploaded to a document control and share site for Final Documentation as approved by the Department.

H. Upon completion of each course, instructor’s manuals, training manuals, and training aids shall become the property of the Department. As part of the delivered system documentation and the Final Documentation, the Vendor shall supply revisions and update the training material, in the same quantities previously required, when changes to the PTC System are approved and implemented. The Department reserves the right to reproduce all training manuals and aids for use in Department-conducted training courses. The Vendor shall furnish for use during training courses all special tools, equipment, and any other materials required to train course participants. The number of special tools and other training equipment shall be adequate for the number of participants attending the course. All training material shall become the property of the Department after course completion.

I. Training simulation and/or training equipment simulators shall be used for hands-on training whenever training on the actual equipment is not practicable prior to installation. A course shall include detailed instruction on the procedures required to start and control the simulator, including the selection of scenarios developed by the Vendor specifically for the training program. Instructions for developing new simulation scenarios and modifying existing scenarios shall also be covered in detail in the course.

8.10 OPERATING AND MAINTENANCE DOCUMENTATION

A. The Contactor shall provide Maintenance Manuals covering all System equipment maintenance functions; Operating User’s Manuals which include operating, signals, communications, and rolling stock equipment; and manuals for each software systems including Software User Manuals, Database Administrator Software Manual, and System Administrator User Manual. The types of manuals and guides to be provided as part of this Contract include: 1. Operating Manual:

a. PTC Overview Manual; b. System and Subsystem Operating Manuals;

2. Maintenance Manual; a. Field Service / Running Maintenance Manuals; b. Shop Repair Manuals; c. Troubleshooting Guides; d. Engineering Manuals; e. Site Description Manuals; f. Special Tools, Portable Test Equipment (PTE), Diagnostic and other Test

Equipment Manuals; g. Illustrated Parts Catalogs;

3. Subsystem Software Manuals; a. Software User Manuals; b. Database Administrator User Manuals; c. System Administrator User Manuals.

B. The content of all manuals shall be thorough, concise, clear and complete, and shall take into consideration all user groups as the target audience. Technical words shall be used only when no other word can convey the intended meaning. The manuals shall be



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developed and validated by the Vendor as being accurate, suitable for maintenance facilities, and maintenance and operating personnel. 1. Manuals shall not contain extraneous material including advertisements or irrelevant

information.

C. The Vendor shall use the following publishing software applications or open source publishing software as approved by the Department for generation and update of all manuals and submittals. The applications shall include the following: 1. Microsoft Word® (Department Preferred); 2. Microsoft PowerPoint® (Department Preferred);

D. Usability of the Field Service / Running Maintenance Manuals, Shop Repair Manuals and

Troubleshooting Manuals shall be demonstrated to the satisfaction of the Department and as part of the Maintainability Demonstration Test defined in Section 10.1.5.

E. All Operating and Maintenance Manuals shall be submitted for review prior to hardware or software Installation. Approved hardware and software manuals and drawings, as applicable, shall be provided at the time of field installation of equipment and shall be the latest version applicable to the hardware/software or system installation. Prior to final acceptance of the system the Vendor shall provide all updates to distributed Manuals and Equipment Drawings as warranted by changes in system components or software either necessitated by system modifications during testing or at the direction of the Department or due to manufacturer upgrades or Options installation.

F. All manuals shall be maintained as part of the System Configuration Management System as specified in Section 4.8.2. The Vendor shall maintain all manuals through System Acceptance Period and used to assure that update distribution is tracked and complete.

8.10.1 Manual Formats and Quantities

A. Manuals shall be configured for continuous long-term use in a field or maintenance shop environment. Manuals shall lie flat when opened and shall permit adding and replacing pages. Manuals shall be resistant to oil, water and wear. All manuals shall have a table of contents, list of figures, list of tables, list of schematics and illustrations, a subject index, a term glossary, a list of abbreviations, and any applicable symbol conventions.

B. Each figure used to illustrate the manuals shall be numbered and shall incorporate an integrated legend that shall identify, by letter or number, specific features of the subject of the figure. The appropriate figure numbers and legend identifying numbers shall be used as references within the descriptive text of the manuals. Manuals shall contain all operating, maintenance, servicing and storage procedures required by the Department to successfully operate, maintain and support the equipment provided. Instructions shall be included and safety equipment identified for the safe handling and disposal of hazardous materials.

C. It shall be the responsibility of the Vendor to ensure that all subcontractor materials used in the manuals meet all requirements of the Contract Documents and Technical Specifications. The Vendor shall ensure that all information and details concerning the description, illustration, inspection, servicing, and replacement are included in the manuals for all equipment, including FRA and APTA recommendations and requirements, suppliers



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recommendations and warranty provisions. The subcontractor materials shall be completely integrated into the Vendor produced materials. They shall be configured, developed, and presented in a single style, conforming to the style and format detailed in this Specification. All materials produced under this Specification shall appear to have been produced “by a single hand.” Inclusion of, or reference to, “out-of-format” material and/or material that does not meet the requirements of this Specification shall not be acceptable.

D. All manuals shall be prepared as follows: 1. Loose leaf, 3-ring with elliptical rings; stiff cover with covering resistant to oil, water

and wear; reinforced hinges; label holder on spine; mechanical device to open, close and lock rings; and sheet lifters. Size shall be eight-and-a half (8½)- inch by eleven (11)-inch paper;

2. Color and lettering will be approved by the Department; 3. When the assembled data exceeds the capacity of the binder, provide additional

binders as necessary; 4. Catalog data: Offset printed copy on white paper, with plastic reinforced edge; 5. Standard pages: eight-and-a half (8½) inches by eleven (11) inches. If eleven (11) inch

by seventeen (17) inch pages must be used, fold to (8½) inches by eleven (11) inches in the same binder.

6. Holes punched for standard 3-ring binders. Reinforcement labels shall be used for all pages that do not meet the dimensions of the eight-and-a half (8½) inches by eleven (11) inches standard page;

7. Manuals shall be segmented into tabbed sections subdivided by topic / subject matter. Diagrams and schematics shall be subdivided into sections separate from descriptions, procedures, instructions, or other now graphic material.

E. All manuals shall be provided electronically as well as hard copy sets in a format approved by the Department. Three copies on CD-ROM, DVD, flash-drive, a document control and share site for Final Documentation as approved by the Department of all pre-recorded course material shall be provided to the Department for retention, playback, and reference documentation. Each manual shall also be delivered in PDF format, with a linked table of contents and linked references to appendices, and drawings.

F. The detailed contents of sealed assemblies need not be displayed, but their function shall be explained, and the appropriate voltage and current values shown for each external connection and terminal. Procedures appropriate to their replacement, including methods and tests, shall be stated.

8.10.1.1 Warnings, Cautions, and Notes

A. Warnings, Cautions, and Notes shall be included in the manuals as necessary in order to minimize the risk of injury to personnel and to reduce the possibility that improper work methods and practices result in damage to the equipment or render it unsafe. The definitions of Warning, Caution, and Note shall be as defined in Table 8-10-1.



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Table 8-10-1: Definitions of Warning, Caution and Note

Warning A warning shall be used to emphasize an essential operation, procedure, or practice, which if not strictly observed, could result in death or injury to personnel. A warning shall precede the text to which it applies.

Caution A caution shall be used to emphasize an essential operation, procedure, or practice, which if not strictly observed, could result in damage to the equipment. A caution shall precede the text to which it applies.

Note A note shall be used to emphasize an important operation, procedure, or condition. A note may precede or follow the text to which it applies. Training Program shall consist of classroom and field (hands-on) instruction; a written test and a practical (hands-on) test. The Vendor shall develop a complete set of troubleshoot diagnostic procedures.

8.10.2 PTC Overview Manual

A. The PTC Overview Manual shall serve as a reference document for all operators and maintainers of the Department PTC system. The PTC Overview Manual shall provide the PTC System description as part of the Operating Manuals.

B. The Manual shall contain general information on the System, its structure, main components and links between them, as well as the principle of operation of the System and its components, including the dependencies with interfacing systems and subsystems.

C. The Manual shall be written such that staff at all levels can understand the specifics of the System. The content of the Manual shall be used as reference material in all training courses.

8.10.3 Operating Manuals

A. The Vendor shall provide Operating Manuals for each PTC Subsystem and the overall PTC System. The Vendor shall be responsible to update each existing PTC-equipped fleet’s CFRC Vehicle Operating Manual to reflect all necessary items of the installed PTC systems. 1. The updated Operator’s Manual shall contain all information needed for the optimum

operation of the equipment, and shall be printed on the same size pages with the same binder holes to be easily added or substituted to the existing Operator’s Manual.

2. The new Vendor manual pages shall include general vehicle familiarization material including location, function, and operation of controls, gauges, indicators, and switches. This manual augment shall also discuss system features that the Operator may not be in a position to control or adjust but of which he should have some knowledge including emergency procedure and troubleshooting information.

3. Operator’s Manual for each type of PTC-equipped Department vehicle shall be augmented to include and incorporate all PTC system elements (Operator’s display, cutouts, bypasses, etc.) that are installed and integrated into the Department vehicles.

B. The manual shall be logically organized with systems and elements considered in descending order of importance. Care shall be taken that all statements are clear, positive,



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and accurate, with no possibility of incorrect implications or inferences. The Vendor shall submit draft versions of each vehicle Operator’s Manual for the Department review.

C. The following Operating Manuals shall be supplied for the use of operating personnel including Train Engineers and dispatchers: 1. PTC Hosted Back Office and PTC Dispatcher User Interface Operator’s Manuals

(covering all workstations); 2. The Vendor shall be responsible for modification to existing Department CAD/Ansaldo

manuals for PTC 3. Dispatcher User Interface if the existing Department CAD/Ansaldo is upgraded and

used by the Vendor to comply with the requirements of the Vendor Documents and Technical Specifications.

4. The Vendor shall be responsible for furnishing complete manuals for replacement the Department CAD system inclusive of all CAD operation and PTC Dispatcher User Interface functions if a new Department CAD system is furnished to comply with the requirements of the Vendor Documents and Technical Specifications.

5. Update or Create all required Locomotive and Cab Car Manuals with the all required PTC information for operating the Locomotive and Cab Car

D. The Operating Manuals shall contain all information necessary for the efficient and safe operation of the System under the operator’s responsibility.

E. The Operating Manuals shall include general system familiarization material, including: 1. The location, function and operation of all control elements, gauges, indicators,

switches, and other functions configured for users; 2. A description of elements of the System which execute the operator’s control

commands and which the operator may not be in the position to control or adjust, but should have some basic knowledge;

3. Procedures shall be in step-by-step format and detail how each step is performed, which parameters can be adjusted, and the effects obtained by varying each parameter;

4. Emergency procedures; 5. Trouble symptoms and diagnosis methods; 6. Operator corrective actions, if any.

F. The Operating Manuals shall include: 1. User guidance and error messages, along with the steps necessary to recover from

errors; 2. Illustration of each type of user display used in the System, along with a description of

each dynamic data field; 3. User instructions for all operator interactive procedures associated with the data fields

on each display associated with the system functions.

G. The Vendor shall review existing and updated (as per the integration of the Department PTC system) the Department’s operating rules, regulations, procedures and bulletins and shall detail any changes required to ensure technical accuracy with respect to the System furnished under this Contract, and ensure the Operating Manuals are consistent with the CFRC operating rules, regulations, procedures and bulletins. The Vendor’s review of the CFRC operating rules, regulation, procedures and bulletins shall verify that System degraded and failure mode prescribed mitigation is incorporated where required.



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8.10.4 Field Service / Running Maintenance Manuals

A. The Vendor shall be responsible to develop and supply Maintenance and Overhaul Manuals for the installed system as part of the Maintenance Manuals. The Maintenance and Overhaul Manuals shall contain detailed analyses of each component of the PTC System so that maintenance personnel can effectively perform servicing, inspection, maintenance, adjustment, troubleshooting, repairs, replacement, and overhauls. The manuals shall also include all information needed for basic overhaul, periodic inspection, and servicing, including testing of each system, subsystem, and component. Periodic inspection, testing, and adjustment of all apparatus shall be organized in a separate section. A separate section shall contain all operation, maintenance, troubleshooting, diagnosis, and repair data on each microprocessor component.

B. Each manual shall include a separate section that provides a schedule, duration and list of tools for any maintenance tasks as described within other sections of the manual. Procedures for adjustment and/or calibration shall describe manual settings of adjustable elements on the equipment and GO/NO GO criteria. Troubleshooting procedures and charts shall permit isolating faults to the point of a replaceable component.

C. Scheduled maintenance information shall include procedures for cleaning, lubricating, testing, frequency, methods, and recommended materials. Block diagrams, illustrations, and other visual aids shall be used to support text where applicable.

D. The instructions for the proper use and periodic inspections of test apparatus shall be included in the manuals.

E. Tasks, as applicable, shall be grouped based on FRA-mandated inspection and test intervals (daily, 92-day, etc.), and as required by the equipment manufacturer. Inspection and test time intervals that are more stringent than those specified by the FRA, shall be subject to approval by the Department.

F. The Vendor shall provide a separate vehicle PTC Maintenance Manuals for each PTC-equipped type of vehicle. These manuals shall “stand alone” and complement the existing maintenance manuals that the Department currently has and uses to maintain its fleet of the Department vehicles. These manuals shall reference existing CFRC vehicle sections, schematics and other necessary elements to help integrate the new Vendor prepared PTC vehicle maintenance manuals with the existing CFRC vehicle manuals.

G. The Field Service / Running Maintenance manuals shall provide all information needed for troubleshooting in-service failures and for performing scheduled maintenance, inspection, and adjustment.

H. The Field Service / Running Maintenance manuals shall be supplied for each of the following items (subsystems) of the System: 1. PTC Hosted Back Office equipment; 2. PTC Dispatcher User Interface equipment; 3. Wayside Interface Unit, and other wayside and on-track equipment; 4. Onboard PTC Equipment; 5. Communication subsystem including all radios and antennas; 6. Interfaces between wayside PTC equipment and the existing signal equipment.



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I. The Field Service/Running Maintenance Manual shall include: 1. A description of the equipment, which shall contain at a minimum:

a. An overview discussion for each major unit/subunit, operating modes and setup, equipment startup and shutdown, control and monitoring functions and other functions, electrical supplies, physical arrangement, and typical operating characteristics.

2. The Theory of Operations, which shall contain at a minimum: a. A functional narrative written to facilitate the understanding of the electronic

equipment necessary to support fault isolation to the depth needed for field maintenance. The operation of the equipment and related system/components shall be presented in a logical flow based on the description of comprehensive standard scenarios. The description shall include any issues associated with interfaces between multiple PTC subsystem supplier equipment, in particular to ensure clear, consistent fault isolation capabilities for all System configurations;

b. Identification of significant input, output signals and internal circuits with: i. Minimum and maximum operating ranges; ii. Functional block diagrams to support the text; iii. An explanation of all operating modes; and iv. Standard messages and screen shots for the operator’s displays and

workstations. 3. Preventive Maintenance/Inspection procedures, which shall contain at a minimum:

a. A model check list suitable for duplication and use, stating locations of all items to be inspected, adjusted, tested, cleaned, etc. under normal and abnormal conditions;

b. Safety precautions/warnings/guidelines which also identify personal protection equipment, material lists, and lead times (mean times to restore/repair);

c. Electrostatic discharge warnings and methods of protection/mitigation; d. A description of all the steps in each maintenance procedure, detailing for each

step the purpose, location, tools, and supplies required, measurement settings and minimum tolerances, condemning values, instrumentation adjustments, and suitable diagrams and/or photographs;

e. Recommended inspection and maintenance frequencies for each LRU, with lead times (mean times to restore/repair); and

f. Early warning detection of equipment problems and recommended measures for resolving problems.

4. Detailed and complete documentation of the operation and function of all local and remote diagnostics systems.

5. Troubleshooting Procedures a. Procedures for detection, isolation and correction of equipment system failures or

malfunctions. The tasks shall include methods of determining the cause and isolation of the fault to a replaceable part, interface wires or mechanical linkage. Troubleshooting procedures, in conjunction with testing procedures, shall include steps required to enable the maintainer/technician to isolate equipment failures or malfunctions. In addition, instructions shall direct repair or replacement of parts authorized for repair or replacement, at the field level of maintenance. Schematics are required as backup data, and shall integrate mechanical, electrical and electronic components as applicable.

b. Troubleshooting and diagnostic functionality shall be included in the PTC software in order to check the software status and data. This functionality shall guide the user in an efficient way through this system.



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c. One of the following formats for troubleshooting procedures is acceptable: i. Logic tree format; fault logic text; procedural text; or fault, probable cause,

remedy table. d. Troubleshooting procedures shall utilize self-diagnostic programs embedded into

the system, and shall generally not rely solely on manual procedures. 6. Repair (Removal and Replacement) Procedures

a. Each procedure shall incorporate all Department safety and precautionary requirements, appropriate lists of parts that are authorized to be replaced at the field level of maintenance, and tests necessary to validate the proper repair and installation of the equipment.

b. A list of all steps in the procedure, giving for each step the tools and supplies required, measurement settings, and diagrams supplementing the list of steps where practicable.

c. Removal and Replacement procedures shall identify how to return material to the vendor with complete contact information and copies of the form used to return components.

7. System Schematic Diagrams a. The use of block diagrams, exploded view, illustrated parts breakdowns, and

schematic drawings shall be maximized to facilitate descriptions of assemblies and the relationship of components, subsystems and systems.

b. Where applicable, as-built drawings shall be incorporated into each field service / running maintenance manual.

c. Wiring documentation shall be prepared to ensure the understanding of the functions, system states, messages, and the makeup of each power, control, and network and signal interface with the mechanical system. This documentation shall contain complete details on Level 1, 2 and Level 3 records.

d. An explanation of the wire identification method and the equipment and the terminal board identification used.

e. All wiring information including inter-module connections, plug coupler harnesses, pin connections, back panel and assembly wiring diagrams for all installed systems, subsystems and equipment.

f. Specific wire and connector repair information, as required. g. Equipment Layout drawings showing component types and positions. h. Other electrical, electronic, and mechanical data shall be provided. Mechanical

dimensions shall utilize English units. i. Inputs and outputs j. A detailed listing of I/O port assignments, which shall also include function

assignments by name, description, and nomenclature for each input and output function. Spare input and output ports shall be included in this listing.

8. Product Specifications and catalog cut sheets.

8.10.4.1 Electrical Wiring Electronic and Pneumatic Devices Integrated Schematics Manual

A. The Vendor shall supply Electrical Schematic Wiring and Connection Diagram Manuals for the installed systems as part of the Field Service / Running Maintenance Manuals. These manuals shall contain: 1. Schematic wiring and connection diagrams; 2. Drawings illustrating all wiring and electrical apparatus; 3. Schematic piping and connection diagrams and drawings; 4. Layouts for piping and apparatus including:



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a. To all electrical devices, b. Electro-pneumatic apparatus, and c. All microprocessor circuits and test points.

B. For the vehicle electrical schematics, the Vendor shall provide complete replacement pages for each page of the electrical schematic manuals that have changes to reflect the installation and integration of new onboard systems for each affected Department vehicle. These new Vendor prepared electrical schematics for the onboard equipment shall use the existing schematic formats, page numbering systems, symbols and designations so the replacement pages work seamlessly with all existing electrical schematic pages. The Vendor shall submit a draft set of schematic pages for the Department review and approval.

C. The manuals shall be fully indexed and cross referenced to enable locating any device or wire number or terminal point between each drawing, schematic or part number. The manuals shall have sufficient detail to permit maintenance staff to troubleshoot and repair the PTC equipment.

D. Integrated schematic diagrams shall comprehensively present the electrical, electronic, and pneumatic functions of the onboard PTC equipment in a manner optimized for user understanding of signal and energy flow, and shall be suitable for use in training maintenance staff in the principles of operation.

E. The integrated schematic narratives shall be detailed, comprehensive, point-by-point, descriptions of all electrical, electronic, and pneumatic control system operations. The narratives shall reference the integrated schematics. The style of the narratives shall be as if a knowledgeable person were explaining the schematics to a trainee or apprentice. A narrative listing of the devices and connections in a circuit will not be considered as complying with the requirements for the narrative.

F. The integrated connection diagrams shall be a separate volume and shall include train line connection diagrams that are based on the integrated schematics. The diagrams shall include and reference all wiring, pneumatic piping, raceways, terminals, conduits, and connections.

8.10.5 Shop Repair Manuals

A. The Shop Repair Manuals shall be configured for use by overhaul and shop personnel with basic knowledge of electricity and electronics for the purpose of diagnosing and repairing/rebuilding/replacing LRUs sent from the field, to the lowest level of LRU replacement. Shop Repair Manuals shall be required for Bench Test Equipment and Portable Test Equipment. Shop Repair Manual requirements for Bench Test Equipment shall be applicable for the BTE Overhaul Manual. Support equipment maintenance procedures not included in separate support equipment maintenance manuals shall be provided. The Shop Repair Manuals shall be provided as part of the Maintenance Manuals. 1. The Shop Repair Manuals shall be supplied for each of the following items

(subsystems) of the System: a. Wayside Interface Unit; b. On-Board PTC Equipment; c. Communication subsystem including all radios and antennas.



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2. The Shop Repair Manual shall include: a. A Description of the equipment, which shall contain at a minimum:

i. An overview discussion for each major unit/subunit, operating modes and setup, equipment startup and shutdown, control and monitoring functions and other functions, electrical supplies, physical arrangement, and typical operating characteristics.

3. The Theory of Operations, which shall contain at a minimum: a. A functional narrative written to facilitate the understanding of the electronic

equipment necessary to support fault isolation to the depth needed for field maintenance. The operation of the equipment and related system/components shall be presented in a logical flow based on the description of comprehensive standard scenarios;

b. Identification of significant input, output signals and internal circuits with minimum and maximum operating ranges;

4. Functional block diagrams to support the text; a. An explanation of all operating modes; b. Standard messages and screen shots for the operator’s displays. Product

Specifications and catalog cut sheets. 5. Hardware Detailed Configuration and Escrow Agreement.

a. All proprietary System related hardware and equipment that is supplied to the Department under this Contract, meaning that only a single hardware item is qualified to be used for a given function which is available from less than 3 suppliers, shall be subject to an escrow agreement for the detailed manufacturing drawings and related configuration information and documentation including all component Specifications that would be needed to enable a third party to construct compatible hardware for replacement or expansion of the system. This information shall include any associated embedded software and firmware and associated source code and all configuration information for application specific semiconductors. If an escrow agreement is required, the escrow agent shall be acceptable to the Department and the agreement shall be agreed and executed by the Department.

b. The detailed hardware information shall also include a list of all qualified sources of components for the hardware and embedded software/firmware items. Further, any special test equipment that is required to test and verify Specification conformance of such proprietary hardware shall also be documented to a similar level of detail and operating and maintenance manuals also provided. Upon Completion of Final Acceptance, the proprietary hardware documentation package shall be placed in escrow.

c. In the event of the withdrawal of product support by the Vendor or its subcontractors and suppliers, the Department will be able to access the hardware documentation in escrow with a perpetual license to use and modify such hardware as required to support and maintain the Department’s railroad business and/or any future and different owner of the Department’s railroad assets.

6. Complete Parts List a. Complete parts lists for all of the printed circuit cards, backplanes, and cables

contained within the diagnostic test equipment and those that are tested by the diagnostic test equipment shall be provided.

7. Troubleshooting Procedures a. Shop repair level procedures for detection, isolation and correction of equipment

system failures or malfunctions. The tasks shall describe methods of determining



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the cause and isolating the fault to a single component or single circuit, interface wires or mechanical linkage. Troubleshooting procedures, in conjunction with testing procedures, shall include steps required to identify equipment failures or malfunctions. Instructions shall direct repair or replacement of parts authorized for repair or replacement at the shop level of maintenance. Schematics and other diagrams shall supplement the text where practicable.

b. Troubleshooting and diagnostic functionality shall be included in the System in order to check the software status and data. This functionality shall guide the user in an efficient way through this system.

c. Troubleshooting data, combined with operational check procedures, shall guide the technician, in as practical a manner as possible, to the cause of equipment failure or malfunction and its repair.

d. One of the following formats for troubleshooting procedures is acceptable: logic tree format; fault logic text; procedural text; or fault, probable cause, remedy table.

e. Troubleshooting procedures shall incorporate the use of test equipment including, dedicated test units, digital meters, oscilloscopes, and specialized test gauges and equipment.

f. Procedures shall be detailed to identify failures to the lowest LRU level. g. Procedures shall be provided to verify and validate the safety and operations of

the repaired equipment. h. Procedures shall be detailed to list steps required to reload all bench test

equipment onto a new workstation. 8. LRU Replacement Procedures

a. Procedures shall direct technicians in the proper practice of replacing parts authorized for Level 2 or Level 3 maintenance.

b. Clearance, dimensions, torque, maximum and minimum values and ranges, and other similar data.

c. Step-by-step procedures for any alignment adjustment or calibration required as a result of the replacement of any LRU.

d. Specific instructions for any precautions or special maintenance required. In particular specific instructions shall be included for maintenance under extreme environmental conditions, including inspection of seals or items susceptible to electrostatic discharge.

e. Special procedures for preparation of the equipment for shipping and storage. Special precautions necessary to prevent damage in shipment and other storage procedures peculiar to the equipment shall be included.

9. Test Procedures a. Detailed step-by-step test procedures including all equipment and materials

required for testing. 10. Safety

a. Safety precautions, guidelines, and warnings shall be provided to protect equipment and personnel. The precautions shall take into consideration extreme environmental operating conditions.

b. Electrostatic discharge warnings and precautions shall be provided. 11. Test fixtures

a. Provide test fixtures to support Level 1 and Level 2 repairs. Instructions and recommendations for the use of each type of test fixture provided under this Contract applicable to the System to which the manual refers. A description and wiring diagram of the test fixtures and theory of operation shall be provided.

12. Installation details



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a. Step-by-step installation instructions, including dimensions, and tolerances, detailing all procedures, tools, equipment and materials required for installation of the equipment.

8.10.6 Troubleshooting Manuals

A. The Vendor shall be responsible to develop and supply a Fault Isolation Guide for the installed system. The Fault Isolation Guide shall include, in summary form, all fault isolation, on-the-road, and field repair procedures contained in the Operator’s Manuals. The Vendor shall update the fault isolation guide as new fault codes are established and updates shall be submitted to the Department. The complete updated guide shall be furnished at the end of the warranty period. The Troubleshooting Manuals shall be provided as part of the Maintenance Manuals.

B. Supply troubleshooting guides for signal maintainers, communications technicians, and road mechanical inspectors. For the signal maintainer and communications technicians, the respective guides shall be for their easy reference in the process of isolating the cause of equipment malfunction and repairing the faults. For the road mechanical inspector, the guide is for their easy reference in recovery of trains and their removal from the mainline. 1. The content shall be concise to facilitate ease of understanding. Wherever possible,

diagrams shall be provided to aid understanding and reduce voluminous text. The troubleshooting guides shall be prepared as follows: a. Troubleshooting guides shall be a compact reference tool with a plastic cover and

laminated pages. The guide shall be configured to be carried in the field by the Department’s personnel and kept in a toolbox or pocket. Actual dimensions and bindings to be approved by the Department.

b. Troubleshooting guides shall be tear-resistant and feature multi-color printing (minimum of 3 colors).

c. Troubleshooting guides shall provide, in a flow chart format, the most basic information required to diagnose and troubleshoot a problem.

d. Troubleshooting guides shall briefly describe in outline format the procedures required to operate and troubleshoot and make temporary/permanent repairs to the equipment.

e. Troubleshooting guides shall indicate references to the Training Guides and Maintenance Manual sections, which provide the detailed procedures.

2. The Vendor shall submit a sample of the troubleshooting guide, prior to the submittal of the training materials, to the Department for review and approval.

3. Troubleshooting guides shall include diagrams and photographs of excellent visual quality that illustrate the typical configurations of installed equipment.

C. The signal maintainer and communications technician troubleshooting guides shall also contain: 1. A logical sequence of steps, so that the maintainer can locate the defective

component; 2. A Logical sequence of steps to determine the defective sub-unit; 3. Precautionary measures to be taken when troubleshooting and maintaining equipment

for safe train operation and protection of personnel; Testing requirements to return the repaired or replaced unit back into service.

D. The road mechanical inspector troubleshooting guides shall also contain:



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1. A logical sequence of steps, so that the maintainer can prepare the train to be manually driven or propelled by another vehicle off of the mainline;

2. Precautionary measures to be taken when operating the train under special conditions.

8.10.7 Engineering Manuals

A. The Vendor shall supply Engineering Manuals as part of the Maintenance Manuals configured for use by the Department. These manuals shall provide details about engineering involved in the configuration and operation of the equipment. The manuals shall detail configuration drawings and diagrams, configuration calculations and explain the configuration concepts involved in the configuration of the equipment. These manuals will be used as an ultimate resource in resolving problems in the operation of equipment (including diagnosis of defective equipment), as well as a configuration reference for future enhancement or modification of equipment, and for its use at other locations.

B. The Engineering Manuals shall include: 1. Theory of Operations of the System and its subsystems explained in detail; 2. System impact on and adjustments to the safe braking model and speed enforcement

algorithm; 3. A narrative description of the system operation and functions provided by the System; 4. The operation of operating displays including all operational functions controlled and

indications displayed, with explanations of the information that is provided by the display;

5. Trouble indications including all panel indications or printed circuit board LED light indications, with a complete description of the trouble condition specified by each indication;

6. A technical section including, for each item of equipment, complete technical Specifications, network diagrams, data structures, product brochures, data sheets, installation procedures, mechanical details, detailed alignment procedures, white papers, schematic diagrams, photographs and/or drawings detailing components so that they are readily identifiable, test points, voltage readings, resistance readings, stage gains, oscilloscope waveforms, etc., so that all the information necessary to make a complete analysis of the equipment adjustment and the performance is available;

7. A technical section on Local and Remote Diagnostics including, detailed documentation of the complete local and remote diagnostics systems, use of all diagnostic equipment and software and detailed step-by-step diagnostic procedures;

8. Configuration application focusing on configuration modifications, field equipment and hardware relocation and civil speed enhancements, vital database measurements and modifications;

9. Detailed operation and use of the PTE and other tools needed to manage, enhance, and troubleshoot the System;

10. System equipment locations and wiring and logical interfaces to signal system equipment;

11. Capabilities of modifications for the Wayside Signal System; 12. Vital Databases – How to develop the data within databases including proper methods

of measuring wayside equipment; 13. Software Architecture including a detailed explanation of its operating and application

software.



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8.10.8 Site Description Manuals

A. The Vendor shall supply a detailed Site Description Manual of information for every equipment room as part of the Maintenance Manuals. The purpose of the manual is to provide signal maintenance personnel with a comprehensive description of the equipment at each location. The manuals shall include information of what equipment and supplies are in the room, how the equipment is wired, and the configuration of all hardware. Text descriptions shall be supplemented with detailed drawings and tables to provide a clear understanding of the site and hardware layout.

8.10.9 Special Test Tools, Diagnostic, and Test Equipment Manuals

A. The Vendor shall provide Special Tools, Diagnostic and Test Equipment Manuals describing the efficient, safe, and effective use of the tools and diagnostic equipment supplied as part of the Maintenance Manuals. The manual content shall include: 1. Description of the tools, bench test, diagnostic and test equipment and its applications; 2. Detailed and safe setup of operation and use of procedures; 3. Adjustment, calibration, troubleshooting, and maintenance procedures for the

equipment and tools. All tools are to be calibrated in accordance with OEM standards and applicable national standards;

4. Detailed schematic diagrams of the equipment; 5. Storage and transport requirements; 6. Maintenance and inspection schedule; 7. Equipment manufacturer contact information; and 8. Bill of materials.

B. The manuals shall be compatible with the diagnostic, bench test, and test equipment supplied under this Contract.

8.10.10 Software Users and Maintenance Manuals

A. Provide complete documentation for all aspects of the System for possible future modifications and enhancements. The Vendor shall provide all software documentation necessary for the Department to be able to upload onboard, communications, and wayside subsystems with version control tracking. 1. Software Executables and Source Code

a. Use of the software and firmware shall be subject to licenses and other agreements as specified herein.

2. Software Maintenance Manual a. Provide 5 five copies of a software maintenance manual that addresses the

processes and tools that shall be used by the Department to administer and maintain the System software. The manual shall include a system operation description (hardware and software) as it relates to the user’s tasks. The manual

shall be prepared specifically for the system delivered to the Department under this Contract. The software maintenance manual will not include standard descriptions that do not apply to the delivered equipment.

b. Describe the processes for performing version control and define the configuration management procedures as described in the approved Software Configuration Management Plan.



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c. Define the processes for monitoring software risk management and how and when the Department identifies, assesses, monitors, and controls areas of software risk during the Operations and Maintenance Phase.

d. Describe how to perform routine maintenance and how to recover from system problems. Include descriptions of system notifications for routine maintenance and alarm conditions, how to monitor the performance of System software, how to modify the database, and how to track and load software versions using the tools and utilities provided.

e. Describe procedures to be followed as a result of computer system restarts, failures, and failovers. The manual shall have sufficient information to guide the operator through starting and configuring the System, initiating diagnostics, and interpreting diagnostic and error output.

f. The software maintenance manual shall include a functional explanation and description of each application program and its use. This includes any preprogrammed Read Only Memory (ROM), Programmable Read Only Memory (PROM), and Erasable Programmable Read Only Memory (EPROM) etc. This manual shall not be written as a programmer’s document. Documentation shall include both hard copy and copies in magnetic or other acceptable electronic storage media, including CD-ROM, fully programmed PROM or ROM chips which can be used to program duplicate EPROMS for replacement purposes. Program documentation shall include executable machine language program code and files as well as source code and files where programs are written in higher level language.

8.10.10.1 Database Administrator User Document

A. Database Administrator User Document shall be furnished by the Vendor for each PTC Subsystem that instructs the user in the preparation of data to be loaded into the PTC Subsystem Databases. 1. The Database Administrator User Document shall describe:

a. The overall organization of input records b. The format of each data record, including definition of tables c. Each data field and the valid entries and/or numeric ranges pertaining to the data

field d. Connections between tables (e.g. keys).

B. Sufficient database user documentation shall be furnished to enable the updating, restructuring, or regeneration of the database when inputs are changed and added, and as programs are modified and new programs are added.

C. If a database management system or a database access routine is utilized by the Vendor, the appropriate user documentation shall be supplied. If the Vendor uses COTS products for configuring the database, the standard documentation for these products shall be furnished, but only as a supplement to the full set of documentation to be provided by the Vendor. If the standard techniques for database definition and maintenance from these products are used with no changes, the standard descriptions of the methods directly used may be referred to in the Vendor’s documentation without repeating the information.



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8.10.10.2 System Administrator User Documentation

A. System documentation shall be furnished by the Vendor for each PTC Subsystem to guide Railroad systems administration personnel in the operation and procedures required to update the PTC Subsystem, including system software and firmware, database, application software, and other elements of the PTC System.

B. Each System Administrator User Manual shall be in conformance to I Standard 1063, Standard for Software User Documentation unless otherwise approved by the Department. For descriptions of software maintenance activities, the System Administrator User Manual shall conform to I Standard 1219, Standard for Software Maintenance or the Department-approved equal. 1. The System Administrator User Manual shall define the processes and procedures for

software code management, including a description of the software configuration management tool and related scripts and procedures. The System Administrator User Manual shall define process and procedures for the following, as applicable to the subsystem: a. Document management; b. Software development, management, maintenance, test, and training tools,

simulators, and equipment provided as part of the delivered system; c. Network communications management; d. Processor configuration; e. System performance monitoring; f. System restart, failover management and diagnostic procedures; g. Database generation and management; h. Display generation and management; i. Report generation and management; j. Diagnostic programs; k. Software utilities;

2. All Vendor-supplied system software not specifically required above, but necessary for the PTC System maintenance and operation;

3. System generation and management procedures; 4. Software maintenance activities necessary for generation, modification, and test of the

system software, databases, and data; a. The software maintenance activities shall comply with the Software Maintenance

Plans included as part of the Software Project Management Plan.

C. The System Administrator User Manual shall describe the activities and criteria necessary for software maintenance including the following: 1. Identification and classification of problems and/or modifications; 2. Feasibility analysis and detailed modification analysis; 3. Configuration and documentation modification; 4. Database data modification; 5. Verification and validation; 6. Acceptance test; 7. Software configuration management; 8. Software quality assurance; 9. Risk Management; 10. Metrics to be collected.



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D. The System Administrator User Manual shall include references to Department approved; Vendor- supplied PTC System documentation for details of activities relevant to software maintenance activities. The references shall be furnished for additional support of the procedures detailed in the manuals and shall not be accepted in fulfillment of any manual requirement.

8.10.11 Illustrated Parts Catalog

A. The Vendor shall be responsible to develop and supply Illustrated parts Catalogs for the installed system. The Illustrated Parts Catalog (IPC) shall enumerate and describe every component of the equipment provided under this contract with its related parts and quantities, including the OEM part number, Vendor part number if required, and any commercial equivalents. All replaceable parts shall be identified. The Front Matter of the IPC shall include a complete listing of the supplier names, addresses, and codes. Parts common to different components (including bolts and nuts, electrical and mechanical fasteners, pipe fittings, etc.) shall bear the same Vendor number, size, type material, quantity per car, and location with a reference to the other components in which they are used.

B. Cutaway and exploded view illustrations shall be used to identify all parts. Each part or component shall be identified as part of the next higher assembly. Each illustration shall have all of its components identified with a figure index number with an accompanying Detailed Parts List utilizing the same index number designation. The Detailed Parts List shall enumerate each part by figure index number, description, quantity per assembly, vendor name, vendor part number, Vendor part number, Department part number, and “useable on” code (when a part is used, for example, only on a specific model or version).

8.10.12 Wayside Circuit Plans

A. The Vendor shall utilize the Department circuit plans for showing installation location, mounting, and interconnection details for all equipment added, removed or reconfigured within the existing signaling houses and cases.

B. The Department will provide existing source electronic files as well as PDF files of as-built circuit plans for each wayside location. The Vendor shall use these plans to show the location, mounting details and interconnection details for all modifications proposed to be made to the location by the Vendor.

C. Upon completion of site modifications, the Vendor shall provide updated circuit plans reflecting the as-built configuration and shall provide CADD files to the Department, regardless of provided source file format.

8.11 FINAL DOCUMENTATION

A. Final Documentation shall be furnished and delivered on electronic media in source format for Microsoft Word, Excel, and PowerPoint, or a Department approved word processing, spreadsheet, and graphic processing tool that are commercially available. Hard copies of all Contract deliverable documents shall be furnished.

B. Final Documentation shall consist of all development documentation updated to include all



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changes made to the PTC System up until Final Acceptance (referred to as ‘As-Built’ versions). 1. The Vendor shall be responsible for preparation of accurate as-built drawings,

including any changes incorporated at the commissioning of the system. 2. The Vendor shall submit within 60 days after commissioning of the PTC System the

as-built drawings.

C. Documentation revisions or changes necessitated by inaccuracies, installation requirements, omissions determined by usage, and configuration or production alterations to the PTC System shall be supplied as part of the Final Documentation. All changes shall be issued in the form of replacements for the affected drawings, diagrams, charts, graphs, tables, lists, and entire pages of various documents as part of the Final Documentation. Where directed by the Department, the complete document shall be re-issued.

D. All documents or drawings larger than B-size (11” x 17”) shall be supplied as reproducible drawings in addition to the required paper copies. All final Vendor-supplied documentation shall be easily reproducible.

E. In addition to hardcopies, all text documentation prepared specifically for the Railroad shall be furnished, as part of the Final Documentation, on computer-readable portable media that can be edited by the Railroad using software tools included in the PTC System.

F. All document formats shall be submitted to the Department for approval. An index for all system documentation shall be included as part of the Final Documentation.



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9 TRAINING

A. This section provides the requirements for Vendor-supplied training and is applicable to all Vendor provided individual I-ETMS PTC System components, equipment, software, subsystems and for the overall integrated I-ETMS PTC System. The Training Program shall provide to the Department all required training, special tools, tests and diagnostic equipment for the operation, inspection, troubleshooting and maintenance of the I-ETMS PTC System and equipment.

B. The Vendor shall develop and provide PTC-related training for the following designated classifications of the Department staff, the Department’s O&M and Signal Maintenance Contractors and Vendors: 1. Dispatchers, 2. Train crews, 3. Maintenance personnel; and 4. Management staff.

C. The requirements of all training phases described in this section shall comply with any FRA or other regulatory training requirements to obtain timely approval of plans required for FRA System Certification.

D. The Vendor shall maintain training records. The Vendor shall coordinate with the Department and the Department’s O&M and Signal Maintenance Contractors to determine the hours and days on which training shall be scheduled. The Vendor shall not assume that any training session will take place over a consecutive 8 hour period during normal business hours unless specifically approved by the Department and the Department’s O&M and Signal Maintenance Contractors. The Vendor shall accommodate the scheduling and availability restrictions necessary to allow the Department and the Department’s O&M and Signal Maintenance Contractors to operate the Department system. Where multiple, identical classes are required to train personnel on different shifts, classes shall be offered during hours of these shifts. This may require classes outside of normal working hours (8:00 a.m. to 5:00 p.m.). Training shall be conducted locally unless specifically authorized by the Department.

9.1 TRAINING REQUIREMENTS

A. The Vendor shall provide a comprehensive training program that prepares the Department designated personnel for factory testing, onsite installation, site testing, operation, and maintenance of all I-ETMS PTC System components. A Master Training Plan shall be submitted documenting the plans and procedures for the training program. The objectives of the training program shall be (1) to transfer a thorough understanding of the I-ETMS PTC System capabilities to the trainees and (2) to provide comprehensive instruction in the operation and maintenance of all I-ETMS PTC System software and hardware, such that the Department achieves optimum operational benefits and the targeted level of maintenance for the I-ETMS PTC System. 1. For Office Systems, the training program shall specifically address the needs of the

Department, operations, dispatch, and maintenance personnel, and database administrators. The training program shall provide a thorough explanation of the user interface, and of the system features, functions and operational concepts. The training



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course shall include hands-on training using a simulator with parallel versions of the actual delivered hardware and software.

2. The Dispatching User Interface Systems training program shall provide training on procedures necessary to configure, operate, and maintain the PTC DUI System in an efficient, controlled, and well documented manner.

3. For Communications Systems, the Master Training Plan shall define how the Department’s personnel will be provisioned with the skills to successfully use and maintain the new Radio and other communications systems. The Master Training Plan shall include the Vendor’s plan for Technical, User and Dispatcher training. Only on-site training will be accepted. All training days and hours shall be coordinated with the Department and the Department’s O&M and Signal Maintenance Contractors to ensure that training sessions can be accommodated during CFRC system operations. The Department prefers that most training will take place in the evenings and occur in approximately 4 hour increments to allow the Department and its personnel to safely and efficiently operate the Department system.

4. The training proposed shall be of sufficient detail and scope to enable relevant personnel to fully maintain the new radio and backhaul systems. The Vendor shall permit the Department to video and/or audio record any or some of the training classes for the unrestricted use by the Department in follow-up training sessions as required.

B. Responsibility for effective completion of the training sessions shall be solely borne by the Vendor. If a session is canceled because of either lack of equipment or materials or poor instructor preparation, the session shall be rescheduled and rerun at the Vendor’s expense. No training course shall commence unless the Vendor has furnished each participant with a copy of the course’s reviewed documentation including all user manuals, system drawings, course materials, and maintenance reference material before start of the training course.

C. The training program shall provide training on all procedures necessary to install, configure, operate, and maintain the system in an efficient, controlled, and well documented manner. The training program and manuals provided shall follow all applicable requirements for Training Materials and Manuals as described in Sections 9.9 and 10.

9.2 TRAIN THE TRAINER PROGRAM

A. The Vendor shall provide a training program that shall allow the Department designated trainers to conduct training for the Department’s O&M and Signal Maintenance Contractors personnel in all aspects of the operation, troubleshooting and maintenance of the I-ETMS PTC System. Instruction courses shall be conducted at the Department designated facility, unless otherwise approved. The Vendor shall coordinate with the Department to assure that training commences no later than 30 calendar days after completion of the system installation.

B. Training Program shall consist of classroom and field (hands-on) instruction; a written test and a practical (hands-on) test. The Vendor shall provide training on the troubleshooting diagnostic procedures included in the Troubleshooting Manuals.

C. The program shall be of sufficient quality and depth of content to teach operation, servicing, maintenance, troubleshooting, and repair of the I-ETMS PTC System and



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equipment. This program shall utilize models, manuals, diagrams, spare parts and parts catalogs to illustrate the subject matter. The Vendor may assume that the Department’s O&M and Signal Maintenance Contractors personnel have the basic skills pertinent to their respective crafts. All courses shall be presented in the English language.

D. The Vendor shall submit Training Materials including all slide programs, desk manuals, diagnostic hardware, software, videos, and mock-ups that will be supplied to support the training program at least 9 days prior to the scheduled completion of the system installation. The program shall be scheduled to be completely prepared, approved, and ready for presentation no less than 60 days prior to the scheduled completion of the system installation. The program shall be configure, developed, and conducted for following minimum groups of personnel: 1. Maintenance employees responsible for the electrical/electronic systems and

subsystems; 2. Maintenance employees responsible for all other systems than electrical/electronic

systems and subsystems; 3. Operators, Dispatchers, Supervisors and other train service employees responsible for

operations (including tenant railroad personnel); 4. IT System Administrators and Database Administrators; 5. Rolling Stock maintenance employees responsible for the electrical/electronic systems

and all onboard subsystems; 6. Communication employees responsible for the electrical/electronic systems,

communication, fiber, network, base station, dispatch, and subsystems; and 7. Maintenance employees responsible for managing change management requirements.

E. To assure training is provided in a timely manner so as to enable the Department’s O&M and Signal Maintenance Contractors to operate and control the system after the installation, training shall commence no later than 30 calendar days after completion of the installation.

F. The material covered shall be presented in a fashion that will enable the Department’s O&M and Signal Maintenance Contractors to become knowledgeable with the operation and maintenance of the new equipment and shall comply with the course description format and lesson plan requirements. Written documentation shall be provided in source format and presentations shall be provided in source format. The Vendor may also propose other training methods including web-based pre- and post-training.

G. The program shall provide high quality, professionally prepared material printed on paper. The program shall also include means to determine the proficiency of the students. Final drafts of manuals, catalogs, and drawings for each student shall be delivered prior to the initiation of classroom instruction. Implementation of the training program shall be contingent upon review, approval, and final acceptance by the Department of all instructional material. Throughout the training program and after completion of all modifications, the Vendor shall incorporate into the training program and training aids all configuration changes and modifications within 30 days of approval of such modification. The training program and training aids shall be current with the approved configuration at all times.



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9.2.1 Training for Hardware and Software Operation and Maintenance

A. The Vendor training plans shall include training prior to any hardware and/or software installation. The Vendor provided training courses shall be provided to the Department’s designated O&M and Signal Maintenance Contractors testing representative(s), trainers, supervisors and additional course evaluators. These courses shall be provided a minimum of one (1) week prior to any hardware installation and a minimum of 2 weeks prior to any site testing of the software or application program or databases associated with an installed component,

B. The hardware and software training shall enable the Department’s O&M and Signal Maintenance Contractors to develop a self-sufficient hardware maintenance team for the equipment.

C. Courses shall include troubleshooting and repair at the user serviceable level. Course participants shall operate actual equipment, run all applicable diagnostic software or equipment, and diagnose and repair simulated failures.

D. Hardware and software training curricula and course completions prior to hardware and software installation shall be sufficient to allow necessary the Departments designated personnel to constructively participate in and evaluate Initial Field Integrated Testing of the initial test segment. Following submittal of testing results for a successfully completed Initial Field Integrated Testing of the initial test segment, the Department shall have up to 2 weeks to request changes or correction of deficiencies in the training sessions for the supplied training.

9.2.2 Training for PTC Communications Network Operations, Administration, Maintenance,

and Provisioning

Session Definition The initial pre-installation Communications Network Training sessions shall serve as pilot for future training sessions, but should be complete with all curricula, documentation and training materials, aids, and/or simulators and typical equipment configurations in a final presentation format satisfactory for acceptance without modification. The pilot training sessions shall include a minimum of three Department representatives to review and evaluate the curriculum and training methodology. Training course adequacy shall also be evaluated by the Department following initial component installation and determination made by the Department as to if modification of a training courses, content, materials, or aids shall be required. A. Communications Network Training courses that are not complete or considered draft in

nature within one week of completion of the initial presentation, shall be deemed inadequate, satisfactory, and as a result shall rejected by the Department.

B. The Vendor may seek prior review of course materials, but lack of rejection of a reviewed course prior to an initial course offering shall not be construed as acceptance or preclude the Department from rejecting a course.

C. A rejected course shall be redeveloped with supplemental training provided and accepted as sufficient prior to initial component installation.



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The Vendor shall request and provided scheduled training courses prior to any network element and/or network application software release change. The Department shall designate the appropriate staff and/or representative(s) to adequately support the proposed Communications Network Unit Field Testing and Initial Integrated Field Testing activities. A minimum of one (1) week prior for any network element and a minimum of two (2) weeks prior to any transmission link installation/change/test as a result of a network software release associated with an installed network component. The Communications Network Training courses shall provide the Department representatives and the Department’s O&M and Signal Maintenance Contractor personnel with an in-depth working knowledge of the operation, management, and recovery of the cab-to-wayside, wayside-to Dispatch Center, and wayside to Data Center transmission network. The network training courses shall provide the Department participants with hands-on experience using network hardware identical to that being supplied with the PTC Communications Network. Course participants shall operate actual network equipment, run all applicable diagnostic network management software and simulated network failures. The network training courses shall provide the Department participants with hands-on experience using network manage system (NMS) software. This training shall include network element logon, Ping Command diagnostic utility, and network administrative routines such as utilization, availability, and performance metrics. Transmission network configuration management and escalation procedures along with a Communications Network Problems database, tracking, and status report forms shall also be included in the network training courses.

Syllabus The network training courses shall cover: A. How to verify network equipment installation, operation, interfaces and cabling between the

network and signaling equipment, preventive maintenance, troubleshooting procedures, corrective maintenance, and expansion procedures.

B. How to configure network hardware parameters, how to backup and restore system and application software and/or firmware, and how to perform any other routine maintenance or system tasks to keep the network hardware properly maintained.

C. How to diagnosis, troubleshoot, resolve, and recover from a network outage.

D. How to provision, administrate, and manage the transmission link LAN/WAN architecture including wayside communications nodes, Dispatch Centers and the remote PTC Application Data Center.

9.2.3 Training Required for System Acceptance

A. All training of the Department designated personnel shall be completed prior to Dec 31, 2018. The required system acceptance trial period shall not start until all training, including required supplemental training has been completed; all training documentation submitted



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and approved; and all training manuals, training materials, special tools and other training equipment required to train course participants transferred to the Department.

B. Supplemental training may be required prior to full cutover of the I-ETMS PTC System and the system acceptance period. The Vendor shall provide extended, duplicate, or additional training for the I-ETMS PTC System deemed necessary by the Department because of the following occurrences: 1. Vendor modifications to either I-ETMS PTC System hardware components or I-ETMS

PTC System software, made after completion of the scheduled training courses, including modifications necessary to meet the requirements of these Technical Specifications and Contract Documents.

2. Delivery of either I-ETMS PTC System hardware or I-ETMS PTC System software more than 6 months late due to Vendor delays.

3. Conflicts or inconsistencies between Vendor -provided course materials and I-ETMS PTC System requirements, functionality, capability, and performance. This training may only require emphasis on correction of problem areas.

4. Vendor generated delays between the time of the Operations User training and the start of the Transition Period.

C. In the event such supplemental training is needed, the Vendor shall supply such training at no cost to the Department. The Department shall determine the time and extent of any supplemental training in consultation with the Vendor.

D. The Vendor shall also develop any training courses required for annual or periodic recertification of personnel that may be required to meet regulatory standards for operation or maintenance of I-ETMS PTC Systems or that are required to assure safe operation and maintenance of the system. These training courses and schedules shall be developed and submitted for review and acceptance by the Department prior to the end of the System Acceptance Period.

9.2.4 Other General Training Requirements

A. Training requirements for other I-ETMS PTC System Components shall be integrated into the Training Plans and schedule as required for system implementation. These requirements include user/operator training, display generation and maintenance, report generation and maintenance, component or system diagnostics, and software administration.

B. Course materials shall train Department personnel in procedures used for system problem analysis and system administration. Participants shall learn to troubleshoot hardware and software problems using the I-ETMS PTC System Component diagnostic and error monitoring functions and tools. System administration procedures for operating and maintaining I-ETMS PTC System component software in a controlled and documented manner shall also be addressed.

C. Techniques and procedures for use of all troubleshooting and debugging tools provided with the I-ETMS PTC System Components shall be presented in user training.



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9.3 TRAINING PLANS AND SCHEDULE

A. The Vendor shall submit, for review and approval, the Master Training Plan and Training Schedule, no later than 180 days after NTP. The plan shall be formulated to ensure that training is properly integrated within the overall I-ETMS PTC System Implementation Plan with timely submittals and sufficient resources devoted to assure that contract implementation is not impacted while allowing adequate time for training reviews. The Master Training Plan shall be updated to final at PCR. The Vendor shall maintain an updated Training Schedule and resubmit at each milestone configuration review and a final version prior to the Test Readiness Review package. The Vendor shall work with the Department to define the quantities of training sessions and trainees.

B. The Master Training Plan shall define the training curriculum and along with the Training Schedule define a complete training program addressing the following: 1. Course objectives. 2. Summary of content. 3. Type(s) of personnel that should attend. 4. A list of any prerequisites for trainees. 5. Duration of the course. 6. Course outline. 7. Instructional technique to be used (e.g. lecture vs. hands-on). 8. Instructional aids used. 9. Proposed calendar schedule (this shall be determined by accounting for the

availability of the Department personnel due to their on-going operations and maintenance responsibilities. the Department shall provide information on normal work schedules for trainees).

10. Train-the-Trainer Program for the Department’s designated personnel. This shall include training guidelines, lectures/presentations, and training aids, testing procedures, evaluation methods and workbooks to be used in training.

11. Training location(s) – The Vendor shall provide the training facility and classroom(s) furnishing needed to conduct classes. The Vendor shall coordinate with the Department for use of the Department facilities (for example, O&M Facilities) for training.

12. Instructors and their qualifications.

C. In addition to the specific training schedule requirements imposed by meeting the above sections, the calendar schedule for training shall meet the following general guidelines: 1. Hardware training shall be given close to the time that the student may use the

knowledge acquired. 2. Application or system software training including database, display, report, hardware,

and system administration training courses shall be offered in a minimum of 2 complete cycles, such that neither the cycles nor the courses within a cycle overlap.

D. The principal instructors provided by the Vendor, by the Vendor’s subcontractor, by third party software suppliers, and by OEMs shall have had previous formal classroom instructor training and relevant experience with the I-ETMS PTC System hardware and software. The instructors shall demonstrate a thorough knowledge of the material covered in the courses and familiarity with the training manuals, system documentation, tools, and training aids used in the courses. The instructors presented shall be subject to review and approval by the Department before permanent assignment to the courses is made.



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Instructor/course evaluation sheets shall be provided and used by the Vendor to adjust the course content (including instructional material) as needed for future Department training sessions. When prerecorded lectures are part of a training course, the lecturer or a qualified substitute shall supplement the recorded material. A qualified instructor shall present all Department-specific material in person.

E. The Vendor may use pre-recorded lectures on digital or other audio-visual media only as supplemental training material. These pre-recorded lectures shall not serve as a replacement for the classroom instructor or as a primary training material. The Vendor shall provide 3 copies of any pre-recorded course material on CD-ROM or DVD to the Department for retention, playback, and reference documentation. Webinars are an acceptable form for delivering training.

9.3.1 Training Classes

A. Vendor shall, at a minimum, provide for training 94 students. The Vendor shall accommodate no less than 20% additional students.

9.4 TRAINING PROGRAM LESSON PLAN

A. The Vendor shall submit a complete set of the training program Lesson Plans, including a set of classroom lesson plans (one for each class), no later than 30 calendar days prior to the start of the first class. This overall plan shall include: 1. Class topics and schedules organized by day for each session. 2. Description of the training program, including program goals and objectives, sequence

of activities, course outlines, evaluation methods, required resources, and time required for each part of the program.

3. Lists of diagrams, displays, and teaching aids to be utilized for each day. 4. Special arrangements, tools, projectors and other equipment required for the class. 5. Instruction guides for each course to be taught within the program. 6. Lesson plan for the class with student workbooks which include a syllabus, objectives,

schedule, outlines, figures, lesson summaries, and any other appropriate instructional information.

7. Definition of the desired outcomes from the training. 8. Sample tests and other instruments to verify the training was successful.

9.4.1 Training and Practical Application Lessons

A. The duration of training sessions and practical application sessions shall be established by the Vendor after close coordination with the Department’s O&M and Signal Maintenance Contractors. General format of classes shall include: 1. Introduction of material. 2. Lecture. 3. Hands on demonstration. 4. Verbal test for comprehension. 5. Written test for comprehension.



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9.4.2 Training Aids

A. The Vendor shall provide all training aids for both operation and maintenance instruction programs including Instructor’s Guides and Student Workbooks.

B. The training aids shall comply with the following: 1. All equipment utilized for training purposes shall be restored to new condition by the

Vendor subsequent to its use for training purposes and the Vendor shall provide a full warranty for this equipment.

2. Training aids may include actual samples of manually operable devices or working models of devices. The workings of other significant components shall be illustrated with diagrams or cut-away views, displayed with sufficient scale and clarity to be seen clearly.

3. Operations and Maintenance Manuals shall be available for use in the training program. 4. Wiring diagrams, when used as training aids and reference material, shall be marked

and separated to facilitate comprehension. There shall be single-line functional diagrams of systems. Schematic diagrams shall include details of each component in the systems. Where parts are identified by initials or reference number, there shall be a key to permit precise identification.

5. PowerPoint programs shall illustrate sub-assemblies showing component locations, component cutaways, schematics, and wiring diagrams. Electronic versions of presentations shall also be provided in Microsoft PowerPoint.

6. Notebook-size copies of all visual displays used by an instructor shall be included in the Student Workbooks.

7. All training materials, including Instructor’s Guides, Student Workbooks, Lesson Plans, Training Materials, training database, and Training Records shall become the property of the Department after the completion of the training program.

8. All training documents and materials shall be in Microsoft PowerPoint or Microsoft Word format.

C. The Vendor shall be responsible for the condition of these materials for the duration of the training program, and shall replace all damaged materials unless the damage results from neglect by the Department. Lesson plans shall be updated as required during the course of instruction.

D. The Vendor shall provide a master copy of all training program materials which shall include one (1) master camera ready copy and one (1) copy on electronic medium as part of each submission.

E. The Vendor shall be responsible for all necessary training systems and equipment to successfully execute the training program. The Vendor shall coordinate with the Department to provide sufficient training workstations and servers to be utilized for I-ETMS PTC System training. This training system equipment shall be delivered as part of the I-ETMS PTC System to provide the Department the means to provide training. The training system shall be equipped with all of software, training tools, and simulators necessary to execute the training.

9.4.3 Training Simulators

A. The Vendor’s PTC shall provide a locomotive simulator for operations and/or maintenance training, and/or for maintenance staff to troubleshoot system components.



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9.5 TESTING AND QUALITY ASSURANCE

A. The Vendor shall develop written and/or practical tests that shall be delivered by the instructor at the end of each course segment and at the completion of each training course. The tests shall be included as part of the Training Materials. The tests shall be completed or performed by each student and shall be developed as a measuring device to determine the knowledge transference. Written tests shall be in a multiple choice format. Whenever possible, a practical hands-on test shall be developed to demonstrate the transference of operational, hardware, and system administration skills. The tests shall be submitted for the Department review at the same time as the training manuals. Tests shall be revised as may be required at the end of each pilot course. Alternatively, the Vendor shall provide any testing required in the appropriate format required to assure compliance and adherence to regulatory requirements of the FRA and other regulatory agency having jurisdiction. Training and testing programs provided and documented by the Vendor shall be sufficient to obtain/maintain Certifications of personnel to meet any regulatory requirements.

9.6 TRAINING RECORDS DATABASE

A. The Vendor shall provide a database system to schedule and track training and progress for the Department personnel. The training database shall be included as part of the Training System. Course testing results and evaluations shall also be incorporated into the database system to allow for tracking of the success of, and the need for modification of training needs. The system shall include and the Vendor shall submit Training Records to document success in meeting training requirements. This system shall track any mandated Certifications/Qualifications achieved, the period of applicability and provide for scheduling of retraining and retesting to prevent expiration of Certifications.

B. Training program records, including training requirements and prerequisites by job class, training attendance, test completions, certifications, credits and expirations for the Department designated personnel including staff, the Department’s O&M and Signal Maintenance Contractors operations and maintenance, and subcontractor employees, shall be maintained in a Vendor provided database. The database shall be used to track and report training achievements and needs for management and regulatory reporting throughout the term of the contract and shall be submitted as Training Records. The training program database shall be transferred to the Department for use following system acceptance. The system shall document and report records of both hardware and software training.

9.7 TRAINING CURRICULUM REQUIREMENTS

A. The Vendor shall provide a training curriculum for the I-ETMS PTC System and subsystems that include the following curriculum: 1. I-ETMS PTC System

a. PTC Overview & Operational Training b. PTC Operational Overview c. PTC Technical Overview d. PTC Dispatcher Training e. PTC Train Engineer Training f. PTC Disaster Recovery training g. PTC Maintenance Tools/Simulator Training (as provided)



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2. PTC Hosted Back Office Training a. Operational Training Course b. WSRS c. MDM d. ITCM e. Instruction Methods Training Course f. Instructor Simulator Training Course g. Hardware Training h. Software & Database Maintenance Training i. Network Configuration, troubleshooting and Training j. Hardware Replacement, troubleshooting and System Rebuilding k. Programming l. System and Application Software m. Software Administration n. Software Application Testing o. Database Administration p. Display and Report Administration q. System Administration

3. PTC Communications Training a. Operational Training Course b. Instruction Methods Training Course c. Instructor Simulator Training Course d. Hardware Training e. Communications Equipment Training f. Network Management and Troubleshooting Training g. Antennae Installation h. System Wiring i. Mobile Communications Package Installation j. System and Application Software k. Software Administration l. Software Application Testing m. System Administration n. Communication Manager Configuration Management o. ITCM p. NMS

4. PTC Wayside Training a. Overview and Theory of Operation b. Instruction Methods Training Course c. WIU Field Trouble Shooting d. WIU Bench Diagnostics e. WIU Programming f. WIU Message Development g. WIU Hardware (incl. Power Supplies) h. WIU Configuration Management

5. Rolling Stock System Training a. Overview & Theory of Operation b. Instruction Methods Training Course c. Onboard Troubleshooting d. Onboard Electrical systems e. Onboard Hardware installation



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f. Communication Equipment Installation (incl. Power Supplies) g. Onboard Programming h. Onboard Hardware i. ITCM (Slot 10) j. Onboard Bench Diagnostics k. Onboard Configuration Management.



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10 RELIABILITY, AVAILABILITY, MAINTAINABILITY & SAFETY

A. The Vendor shall be responsible for developing, performing, and implementing the Quality Management program, which includes procedures, inspection, testing, reporting and other functions along with all reliability and availability analysis described within the CFRC Quality Program Plan for Capital Improvement Programs, Quality Program Exhibit, Quality Assurance and Quality Control Standard Specifications, the FTA’s QMS Guidelines

(December 2012 update), and other documents herein. The Department may assign personnel to perform inspection and audit functions of the Vendor’s work and records in

accordance with this program.

B. The Vendor shall also be responsible to warrant the performance of all equipment supplied for the duration of the warranty period and for performing repairs and preventive maintenance on all system components during development, factory testing, integration, and through the end of the Acceptance Period identified in Technical Specification Section 7.4, unless specifically waived by the Department. Prior to the Final Acceptance Testing, the Vendor shall certify or have the equipment certified by its OEM as acceptable for operation and maintenance service, Final Acceptance Certification.

C. Beginning with the start of the Final Acceptance Test, the Department shall participate in system maintenance. Until successful completion of the Final Acceptance Test, the Vendor shall provide maintenance support. Emergency repairs by the Department’s O&M and Signal Maintenance Contractors in accordance with Vendor provided maintenance information shall not void Vendor warranty responsibilities.

10.1 RELIABILITY, AVAILABILITY, AND MAINTAINABILITY (RAM)

A. The system shall provide a high degree of reliability and availability, configured to operate 365 days per year, 24 hours per day, and 7 days per week. The Vendor shall develop a Reliability, Availability, and Maintainability (RAM) Program to ensure that the Department’s PTC System, meets or exceeds the requirements of these Specifications and the requirements of 49 CFR Part 236. 1. In the event of a component failure in the system, whether hardware or software, the

failed component shall be able to be repaired, replaced, and restored to operation without disrupting the continuing service of the system.

2. Upon recovery from a failure, there shall be no loss of any data that was successfully committed to persistent storage before the failure occurred.

B. The Vendor shall convey compliance through detailed analyses of system elements and operational demonstration as defined in these Specifications. 1. The analyses shall be included in the PTC Safety Plans of the Department to be

submitted and reviewed by the FRA.

C. The system shall be configured to prevent a component failure from resulting in loss of critical functions. Systems component configuration shall account for reasonable failures and shall upon recovery automatically restore all communications links and update all database and inputs to assure that operation is using current system status.

D. A component fault or failure in the system shall not cause the system to issue device



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control commands or issue authorities not initiated by the operator and shall not cause the system to fail to deliver device control commands initiated by the operator. A failure of system components shall not affect the operation of the wayside processors or the ability to control the wayside signal locations from local panels. Procedures and processes for contingency operation of a train that is either unequipped or with a failed onboard component shall be provided as part of the system configuration, and shall allow for concurrent operation with an otherwise functional PTC equipped system. In cases of loss of PTC control of the system or any portion of it, the dispatching, communications and signaling systems shall be capable of reverting to the existing CTC mode of operation.

E. The fault tolerance capability of the system shall be provided via hardware and software mechanisms, and the following key components shall have redundant and/or fail safe configurations: 1. Dispatching/Train Control Servers and Stations. 2. Communication Servers and Links. 3. Database Servers. 4. Local and Wide Area Networks. 5. Individual Software Process Failover.

F. The system shall provide redundant software processes that reside on both the primary/secondary servers. The system shall detect that a server software process has failed and automatically fail over to the other copy residing on the other server. An authorized operator shall also be able to initiate the failover manually by stopping the active process.

G. In the event of a hardware failure of a system server, all the software processes on the failed server shall automatically failover to the redundant processes on the other server. An event log message shall be generated each time a hardware component failover occurs. Failovers shall be transparent to the system component operator. In the event of a software failure of a single server process, the system shall automatically transition over to the redundant process on the other server. Therefore, the primary/secondary servers in the system shall be capable of each having “active” server processes running. An event log message shall be generated each time a software process failover occurs. Failovers shall be transparent to the system component operator.

H. If it is determined by analysis that a third level of redundancy is required in order to satisfy the required levels of reliability, a third function specific server shall be provided. The servers shall operate in a primary/secondary/standby architecture. The standby server shall be in a warm standby unless either the primary or secondary server fails, at which time the standby server automatically assumes the role of the secondary server or if necessary, the secondary server automatically assumes the role of the primary server. When the failed server returns to functionality, it shall automatically assume the role of standby server.

10.1.1 RAM Program Plan

A. The Vendor shall establish and maintain a Department approved Reliability, Availability, and Maintainability Program Plan (RAMPP) that is planned and developed in support and management of the specified RAM requirements and objectives. The RAMPP shall be developed in conformance with IEC 62278, Railway Applications – Specification and



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Demonstration of Reliability, Availability, Maintainability, and Safety (RAMS) and in general accordance with applicable provisions of MIL-HDBK-781A, Reliability Test Methods, Plans, and Environments for Engineering, Development, Qualification, and Production.

B. Within 30 days of NTP, the Vendor shall submit to the Department for review and approval the RAMPP covering the configuration, manufacture, test, and warranty phases of the project.

C. The RAMPP shall define the RAM program standards, objectives, tasks, and verification methods.

D. The methodology whereby the Vendor will predict compliance with the specified RAM requirements shall be defined. The RAMPP shall define the methodology for hardware and software reliability prediction and estimation, and the procedures for estimating the projected reliability growth to be achieved during development. The RAMPP shall define the methodology the Vendor will use to verify that the configuration and implementation meet or exceed the availability and reliability objectives for the system, functions, hardware, software, and individual device availability. The verification shall include a fixed duration RAM demonstration test.

E. The RAMPP shall define the organization and personnel responsible for managing and executing the RAM program. The individual assigned by the Vendor, responsible for the management and administration of the RAM Program shall be identified and approved by the Department. The RAMPP shall define the controls for Vendors, Subsystem Integrators, and vendors to assure equipment compliance. The RAMPP shall be updated and resubmitted at the time of Vendor reassignment of the individual responsible for the management and administration of the RAM Program.

F. The RAMPP shall define procedures and controls, including piece part selection and screening, manufacturing process, procurement, and test procedures, to be utilized during production to assure achievement of RAM requirements. Provisions for source selection, first article inspection, and surveillance of equipment provider RAM activities shall be defined. The Vendor shall define the techniques for allocation of quantitative requirements to lower level functional elements of a subsystem and to the piece part level. Procedures to determine the efficacy of built-in diagnostic functionality in the PTC System configuration, including both hardware and software shall be defined as part of the plan. 1. A Reliability Engineer shall be assigned to manage and perform the RAM

requirements of this 2. Specification. The Reliability Engineer shall have sufficient authority within the

Vendor’s organization to effectively plan and implement the RAM program and assure achievement of the quantitative and qualitative RAM requirements.

3. The RAMPP shall define the procedures for identifying and recording failures as part of the Failure Reporting, Analysis, and Corrective Action System (FRACAS), defined in Section 4.8.6. All failures shall be collected and managed through the FRACAS and calculated into the RAM and Safety of the delivered system.

4. The RAM program shall plan and document procedures for 2 major demonstrations: (1) Availability and Reliability Demonstration Test (ARDT) and (2) Maintainability Demonstration Test (MDT).

G. The RAMPP shall define the estimated reliability and availability that the PTC System,



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system components and subsystems will achieve during operation by the Department. Each unit of equipment to be furnished shall be configured for maximum reliability, so that it will be able to perform its specified functions under the required conditions. Reliability of each unit of equipment shall be measured based upon relevant failures of a given unit. Mean Time Between Failure (MTBF) of a unit shall be calculated in conformance with applicable sections of MIL-HDBK-217 or other approved standard. Components and materials shall be selected, and standards of quality control and test procedures employed that assure the lowest possible failure rates. 1. A description of the techniques to be used in the reliability analyses including reliability

block diagrams that show equipment elements and interrelationships essential to the successful performance of the system, a reliability model consisting of reliability block diagrams, and probability of success equations showing the relationships required for system success. Both the block diagrams and model shall be kept current with configuration iterations.

H. The Vendor shall perform quantitative and qualitative Reliability Analyses of the PTC System, its components, and subsystems. The Reliability Analysis shall be a continuing activity throughout the execution of the Contract and shall be revised to reflect configuration changes, test results, failure data, and other data sources that affect reliability. The quantitative analyses shall include, as a minimum, a description of the data sources, adjustment factors used, and the rationale for their use, reliability block diagrams, reliability mathematical model, failure criteria, and the predicted values of reliability. Qualitative evaluations shall include failure modes and effects analyses to be performed early in the configuration phase and specific detailed reliability functional analyses of components and subsystems to be performed in conjunction with the configuration of the PTC system. The Reliability Analyses shall be available to the Department for inspection at all times and shall be submitted to the Department for review at least every other month. A revision page shall be submitted with each update of the report. It shall list all revisions from the last submittal and all approved and unapproved items.

I. The Vendor shall submit a reliability report as part of the PM Monthly Report. The format of the monthly reliability report, including electronic copies of all data, shall be defined in the RAMPP including the following: 1. The Vendor shall explain the types of failures encountered their effect on the reliability,

corrections being implemented, and the predicted improvements in component and/or subsystem reliability and overall PTC System reliability.

2. A system Pareto analysis shall be provided to document the number of relevant failures incurred by each component, and subsystem over the monthly reporting period. For trending purposes, the Vendor shall provide a 6 month history.

3. The Vendor shall provide graphs of the reliability performance. The graphs shall depict a rolling 12 month period. Superimposed on these graphs shall be the forecast reliability goals. Each monthly reliability report shall be submitted no later than 10 days following the end of the reporting month.

J. The Vendor shall perform failure analysis of defective part(s) and determine the causes(s) of failure. A report of the failure analysis shall be submitted to the Department for review. The Department reserves the right to monitor the failure analysis and to perform independent failure analyses.

K. For each reported variance or failure, the Vendor shall submit a proposed plan of



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corrective action to the Department for review and approval, and, following approval, the Vendor shall implement the corrective action. The implementation of corrective actions shall be scheduled through the Department to cause minimum disruption in the normal operation.

L. Each reported failure shall be considered a relevant failure if it requires unscheduled maintenance, repair, replacement, or adjustment and: 1. Was not a dependent failure; 2. Was not caused by collision, accident, vandalism, or Department negligence; 3. Did not occur after the normal useful life of the part or component; 4. Was not caused by abusive or incorrect action by the Department’s O&M and Signal

Maintenance Contractors or incorrect maintenance procedures or practices by the Department’s O&M and Signal Maintenance Contractors.

10.1.2 Reliability Requirements

A. Table 10-1-1 defines reliability requirements that are established for the systems and components of the PTC system, assuming routine maintenance is performed by the Department’s O&M and Signal Maintenance Contractors as recommended by the Vendor.

Table 10-1-1: PTC Segment Reliability Goals Subsystem / Segment MTBFF (no less than) MTBF

The complete set of PTC onboard equipment for each possible CFRC full length train, including redundant equipment

500,000 hours 10,000 hours

Each subsystem of PTC field equipment 500,000 hours 20,000 hours Each UPS used to back-up power of the PTC field and PTC Hosted Back Office

1,000,000 hours 30,000 hours

Each PTC Wireless Communication link 1,000,000 hours 10,000 hours

10.1.3 System Availability Requirements

A. The Vendor shall furnish and implement a PTC system that is highly available, meeting or exceeding the availability requirements of these Specifications and the requirements of 49 CFR Part 236. The Vendor shall convey compliance through detailed analyses of system elements and operation demonstration as defined in these Specifications. 1. The analyses shall be included in the PTC Safety Plans of the CFRC to be submitted

and reviewed by the FRA.

B. Availability and reliability shall be measured based upon functional failures of PTC (equipment availability), and relevant hardware failures of PTC equipment (equipment reliability). The Vendor shall perform and submit an analysis of the availability of each subsystem and system in the Availability Analysis.

C. In addressing PTC failures, the Vendor shall make a distinction between the failure types as follows: 1. Type 1: Type 1 failures are defined as failures or combination of failures that result in

the loss of a PTC function as defined in the Technical Specifications.



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2. Type 2: Type 2 failures are defined as those failures that do not result in a loss of any specified PTC functionality (i.e., due to equipment redundancy).

D. The PTC availability criteria shall include consideration of only Type 1 failures. The PTC Availability (A) is defined as the probability that PTC does lose any system functionality as defined in the System Requirement Specification.

E. Mean Time Between Functional Failures (MTBFF) is the mean time between failures that cause PTC or an individual subsystem to cease to perform its intended function. If redundancy or other techniques are used to continue to provide the complete system/subsystem functionality after a failure of an individual component occurs, then the failure shall not be counted as a functional failure. The MTBFF of an item is the ratio of the total operating time, (t), accumulated by the total population of identical items, to the total number of functional failures, FF, occurring within the population of identical items during time t.

F. The PTC Mean Time Between Functional Failures (MTBFF) criteria shall include consideration of Type 1 failures only. If non-redundant equipment is not sufficiently reliable to satisfy the overall PTC availability requirements, appropriate levels of equipment redundancy shall be employed such that the failure of a single component, processor, or device shall not render PTC unavailable, or an operationally critical function non-operative (i.e., maximize PTC MTBFF).

G. Mean Down Time (MDT) is the time during which one or several trains are unable to operate in PTC mode.

H. Mean Time Between Failures (MTBF) of an item is the ratio of the total operating time, t, accumulated by the total population of identical items, to the total number of relevant failures, F, occurring within the population of identical items during time t. The MTBF for components, subsystems, and systems shall be calculated preferably using proven service reliability data or, if not available, in general conformance to applicable sections of MIL-HDBK-217 or other approved standard. The PTC MTBF criteria shall include consideration of all Type 1 and Type 2 failures.

I. Mean Time To Repair (MTTR) is the ratio of the total active corrective maintenance time, (TCM), expended during a given time interval, t, for the total proportion of identical items to the total number of relevant failures, F, requiring corrective maintenance that occur within the population of items during the same time.

J. The following targets apply to PTC and not to the conventional signaling system, existing components on the train, or antennas for the Communications Network Element (CNE) and other elements of the existing railroad infrastructure.

K. The PTC Availability in full PTC operation shall be at least 99.9%.

L. The PTC Hosted Back Office shall have 99.95% or greater availability. 1. In order to meet the PTC Hosted Back Office availability of 99.95% with a Mean Time

To Restore Service (MTTRS) of 30 minutes (required), the Mean Time Between Service-Disrupting Failures (MTBSDF) shall be greater than 999 hours. The MTTRS of 30 minutes includes only troubleshooting and repair time, not access time.

2. A Reliability Demonstration Test shall be conducted by the Vendor over the first 3



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months of PTC Hosted Back Office revenue operation. During this time period failures shall be recorded to assure actual availability data is consistent with predicted availability data. In addition, any failure trends shall be identified and eliminated by the Vendor prior to the end of the Warranty Period.

3. For any systems or sub-systems that do not meet 99.95% availability, reliability testing shall continue until the root cause of failure is determined. Continued failure to meet 99.95% availability shall result in substitution of the component(s) responsible for the failure at no cost to the Department.

M. The PTC Communications shall meet or exceed the following availability: 1. PTC transport and backhaul networks shall be configured for availability of 99.99% or

greater; 2. RF links

a. Base site radio to locomotive 220 MHz RF communication links for messages between the PTC office and trains shall be configured for reliability (availability) of 99.9% at a maximum Packet Error Rate of 10%. If the base radio is used to transmit and receive PTC message traffic from WIU equipment, then the link requirements of the wayside radio above shall apply to the base radio.

3. The PTC wayside locations shall have 99.95% or greater availability.

10.1.4 Availability and Reliability Demonstration Test

A. A continuous Availability and Reliability Demonstration Test (ARDT) shall be conducted by the Vendor to verify that each PTC Subsystem and the PTC System meet or exceed the specified availability and reliability requirements.

B. During the Availability and Reliability Demonstration Tests, the Vendor shall furnish personnel to perform and monitor the test, prepare and maintain test documentation, provide assistance in response to failures/variances, and answer questions. Representatives of the Department and Vendor shall monitor and witness the Availability and Reliability Demonstration Testing.

C. PTC System maintenance support shall be furnished by the Vendor as needed during the Availability and Reliability Demonstration Test.

D. The Availability and Reliability Demonstration Tests shall be initiated following the completion of commissioning and after all software and hardware documentation is received and approved by the Department.

E. The Vendor shall submit an Availability and Reliability Demonstration Test Plan. 1. The Availability and Reliability Demonstration Test Plan shall include a detailed test

schedule. 2. The Availability and Reliability Demonstration Test Plan shall define resources for

testing including facilities, support equipment, spare parts, support logistics, and coordination procedures with the Department and/or Representatives.

3. The list of availability tests and reliability tests required to be performed to demonstrate that the required system availability and reliability goals have been achieved shall be defined in the Availability and Reliability Demonstration Test Plan.

F. The Vendor shall submit detailed Availability and Reliability Demonstration Test Procedures, including criteria for test acceptance and rejection.



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G. All spare parts used during the Availability and Reliability Demonstration Test shall be drawn from the Department inventory, if purchased with the PTC System, or supplied in accordance with the equipment maintenance agreement procured by the Department. All spare parts supplied from the Railroads inventory and used to replace failed equipment during the Availability and Reliability Demonstration Test shall be replenished by the Vendor. If, during the Availability and Reliability Demonstration Test, a part is required which is not in the Railroads inventory of purchased spares due to the failure of the Vendor to recommend appropriate spare parts, the PTC System shall be considered down until the part is obtained. The failed part shall be repaired or replaced; if replaced by a Railroad spare, the Vendor shall furnish an additional unit, placed into the Railroads inventory, at no cost to the Department.

10.1.4.1 Downtime and Hold Time

A. Downtime shall be declared whenever the criteria for successful operation are not satisfied. Downtime shall be measured from the start of diagnostic procedures until full service is restored. In the event of multiple failures, the total elapsed time for repair of all problems (regardless of the number of maintenance personnel available) shall be counted as downtime.

B. All maintenance procedures identified as part of the approved Reliability, Availability, and Maintainability Program Plan shall be followed during Reliability testing.

C. During the Availability and Reliability Demonstration Test, certain contingencies may occur that are beyond the control of either party. These contingencies may prevent successful operation of a PTC System but are not valid for the purpose of measuring PTC System availability. Such periods of unsuccessful operation may be declared “holdtime” by mutual agreement of the Department and the Vendor. Holdtime is accounted for in determination of test satisfaction. Specific instances of “holdtime” contingencies are listed below. 1. During scheduled shutdowns, or if an equipment failure occurs while its backup device

is scheduled out of service, the resulting system outage shall be “holdtime”, provided that service can be restored according to Vendor specified procedures within 30 minutes.

2. Loss of power or manual shutdown in the event of loss of environmental control shall be considered “holdtime”. If a PTC System is operated during periods of power or environmental conditions beyond those specified, any resultant downtime shall also be considered “holdtime”.

3. Periods during which an intermittent, recurring software or hardware failure is experienced shall be considered “holdtime”, provided that the Vendor is engaged in remedial action and normal functions can be restored by Vendor-defined procedures whenever the failure occurs. Instead of accounting for the actual intermittent downtime, one hour of downtime shall be counted for each 120 hours of otherwise successful operation while the problem persists.

4. Time during which a PTC System is down due to failure of software written and independently produced by others defined as COTS in the Department approved Software Configuration Items List (Section 4.8.4) shall be considered “holdtime”. If a failure in such software cannot be overcome by Vendor-defined procedures, execution of the failed program will be suspended. If the failure is a result of the Vendor’s improper configuration and/or use of such software, the failure shall be considered downtime.



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5. A maximum 24 hours of “holdtime” will be allowed for the Vendor to respond to each call for maintenance support. The time between detection of a failure and the start of diagnostic procedures shall also be considered “holdtime” when performed by the Department.

6. “Holdtime” may be declared by mutual agreement to ensure against similar future

occurrences if a failure occurs due to a defect in PTC System configuration for which the Vendor defines and implements corrective measures. In such a case, “holdtime”

shall be allowed in increments of 120 hours to allow verification of the corrective action.

7. If repairs are delayed due to previous use of spare parts or because of the Department’s failure to purchase required spare parts, “holdtime” shall be declared after diagnosis of the failure and while the Vendor is pursuing replacement parts in an expeditious fashion.

D. Any parts required for successful completion of the Availability and Reliability Demonstration Test shall be available from the Vendor within 24 hours of the time when need for the part was identified; otherwise, PTC System downtime shall begin to accrue.

10.1.4.2 Availability and Reliability Demonstration Test Satisfaction

A. Test records shall be examined by the Vendor to determine conformance with the availability and reliability criteria. If test objectives have not been met, the Vendor shall take whatever remedial measures are required to implement corrective action, including any necessary repair, replacement and reconfiguration work.

B. In the event the ARDT is declared failed, the Vendor shall continue testing and extend the test period until the ARDT is successful, unless directed otherwise by the Department.

C. To establish that all failures have been satisfactorily repaired prior to the end of the Availability and Reliability Demonstration Test, no downtime, intermittent (“holdtime”) failures, or more than one un-commanded failover shall have occurred within 240 hours of the test’s conclusion.

D. Corrective action shall include all necessary procedures to test and verify proper operation to the satisfaction of the Department.

10.1.4.3 Availability and Reliability Demonstration Test Assessment

A. The Vendor shall prepare and submit an Availability and Reliability Demonstration Test Assessment Report after completion of all subsystem and equipment testing for all PTC segments, components, and systems.

B. The Availability and Reliability Demonstration Test Assessment Report shall summarize all Reliability Test Logs obtained during the Availability and Reliability Demonstration Test.

C. This Availability and Reliability Demonstration Test Assessment Report shall utilize test results, achieved actual reliability growth, mathematical analyses, and engineering analyses to ensure that the PTC System reliability meets or exceeds the reliability and availability requirements for each PTC Subsystem and the complete PTC System.



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D. The Availability and Reliability Demonstration Test Assessment Report shall be submitted to the Department for approval within two weeks of meeting the test satisfaction requirements for the Implementation phase.

10.1.5 Maintainability Demonstration test

A. A Maintainability Demonstration Test shall be performed to show compliance with the specified maintainability requirements for each PTC Subsystem and the Complete PTC System.

B. The Vendor shall submit a Maintainability Demonstration Test Plan that defines the test methodology, schedule, responsibilities, reporting, and criteria to be applied for measuring test success. The Maintainability Demonstration Test shall be segmented according to Implementation Stage and segments as specified for the Availability and Reliability Demonstration Test. 1. The Maintainability Demonstration Test Plan (MDTP) shall be submitted for approval

by the Department prior to the PCR, and as a final version for the FCR. The list of tasks and test procedures shall be defined for each Implementation Segment.

2. The Maintainability Demonstration Tests shall include a selection of representative tasks that constitute the maintainability demonstration sample for each system configuration specific to the components and equipment commissioned in the current segments. Where representative tasks are identified that correlate to more than one PTC segment configuration, results of the task demonstrations shall be included in the multiple test segment analyses.

C. The Vendor shall submit the Maintainability Demonstration Test Procedures describing the selection of representative demonstration tasks including all necessary steps (i.e., troubleshooting, disassembling, removing, replacing, repairing, and verifying) of maintenance.

10.1.5.1 Accept – Reject Decision

A. The following defines the criteria to be applied in determining whether to accept or reject the Maintainability Demonstration Test results.

1. A decision to accept the Maintainability Demonstration Test results shall be based upon each observed PTC System configuration MTTR being equal to, or less than, the specified MTTR for the configuration at the consumer risk of 10%.

B. The Maintainability Demonstration Test accept – reject decision shall be made at the time prescribed in the Maintainability Demonstration Test Plan and documented as specified in the plan.

C. In the event of a Maintainability Demonstration Test reject decision based on elapsed time, the previous results shall be documented and testing shall continue by inducing failures until an accept/reject decision can be made based on the number of maintenance tasks.

D. In the event of a second Maintainability Demonstration Test reject decision, the results shall be documented and the problem shall be resolved to the satisfaction of the Department.



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10.1.5.2 Maintainability Test Assessment

A. A Maintainability Test Assessment Report shall be prepared and submitted by the Vendor after completion of all subsystem and equipment testing.

B. The Maintainability Test Assessment Report shall summarize all Maintenance Test Records obtained during the Contract and shall include a repair summary and analysis, and a general maintainability analysis. The repair summary and analysis and a general maintainability analysis shall utilize test results, mathematical analyses, and engineering analyses to ensure that all known potential sources of problems have been identified and eliminated or controlled.

C. The Repair Summary and Analysis shall cover the detailed diagnosis of each failure and include basic corrective actions identified, indicated, or accomplished. Each repair analysis shall be cross- referenced to the consecutive incident report numbers as identified in Maintenance Test Records.

10.2 SYSTEM SAFETY REQUIREMENTS

A. The Vendor shall develop, submit for review and approval by the Department a Product Safety Plan (PSP) that details the tasks and activities of system safety management and system safety engineering required to identify, evaluate, and eliminate/control hazards, or reduce the associated risk to the level specified in this section.

B. The Vendor shall provide a complete PTCSP inclusive of all materials required for FRA approval.

C. The PSP shall be developed by the Vendor in accordance with the requirements of 49 CFR Part 236 regarding regulations pertaining to the PTC Safety Plan. As the PTCSP is required to be developed to address the complete System, baseline product safety management activities addressing product specific or product related issues shall be provided complimentary information that describes how PTC will be safely supported and operated by the Department.

D. The PSP shall be instituted by the Vendor as early as practicable and prior to the commencement of safety related work and shall continue during the Contract. The PSP shall emphasize the prevention of accidents by identifying and resolving hazards in a systematic manner.

E. The PSP shall also assure the safety of the Department personnel, the Department passengers, the general public and the Vendor’s construction and testing personnel during construction and testing activities. The Department is separate from and complements the Contract required (construction) Safety and Security Program activities.

F. Implementation of the PSP shall specifically recognize and address configuration management issues, given the importance of software and hardware configuration control in maintaining system safety.

G. The Vendor’s PSP shall define the plan and procedures for establishing the safety of the PTC System and subsystems. The PSP shall define the content and management of the



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PTCSP. The PSP shall define the following: 1. Scope and Objectives: The PSP shall define the Vendor’s program to assure that

System safety requirements are met and shall: 2. Describe the scope of the overall project and the related PSP activities; 3. List the tasks and activities of system safety management and engineering. Describe

the interrelationships between system safety and other functional elements of the project. List the other project requirements and tasks applicable to system safety; identify where they are specified or described;

4. Account for all of the Vendor’s safety tasks and describe the assigned responsibilities.

A matrix shall be provided to correlate requirements to the location in the PSP where the requirement is addressed.

5. System Safety Organization: The system safety organization or function within the Vendor’s organization for the project using charts to show the organizational and functional relationships and lines of communication. The organizational relationship between functional elements, with system safety impacts and the role of the system safety management and engineering organizations shall be shown;

6. The responsibility and authority of the Vendor’s system safety personnel, other Vendor organizational elements involved in the system safety effort, subcontractors, and system safety groups. Describe the methods by which the Vendor’s safety personnel may raise issues of concern within the Vendor’s organization. Identify the organizational unit responsible for executing each task. Identify the authority in regard to resolution of identified hazards;

7. The process by which the Vendor shall integrate and coordinate the system safety efforts of their own organization, their subcontractors and suppliers, and Department safety personnel, including coordination of subcontractor system safety programs, integration of hazard analyses, program and configuration reviews, program status reporting, and system safety groups. The PSP shall be updated to maintain consistency with continuous safety improvement efforts relating to all safety stakeholders and plans;

8. The process through which Vendor decisions shall be made including immediate notification to the Department of any identified hazard conditions that cannot be fully mitigated by configuration and that may therefore require subordinate means of mitigation, unacceptable risks, necessary action, incidents or malfunctions, waivers to safety requirements, program deviations, etc.

9. The qualifications of discipline leads or experts who will comprise the risk evaluation team including the evaluation of mitigation Option(s) performance.

10. The Plan shall also describe how the Vendor plans to evaluate hazard consequence severity and probabilities relating to conditions within the Department’s operating environment and how the Vendor plans to improve the sensitivity of its analysis for mitigation Options that have not been formally evaluated in an environment similar to the Department’s.

11. Details of how resolution and action relative to system safety shall be affected at the Vendor’s program management level possessing resolution authority.

12. Methodology to be performed to identify potential system weaknesses, critical items, and unsafe failure modes, evaluating each potential failure to determine its effect at system and subsystem levels.

10.3 SYSTEM SECURITY

A. The Department’s PTC project involves proprietary and confidential operational information



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– information security is paramount. Proper management of the Department’s source code and project documentation is crucial compliance to Department’s Security Sensitive Information. Developing and adhering to a security management plan and process is vital. This task involves the control, access and management of critical information related to the project and the Department, in general.

B. Secure Information repositories provided by Vendor shall be available to the Department project team as necessary. Occasional audits of relevant information may be conducted on an ongoing basis.

10.3.1 System Security Management

A. The Vendor shall provide a Security Management Plan that defines system access and security methodology, systems and features, and practices that protects the PTC System while providing authorized access to users. 1. The Security Management Plan shall define the Access Control that provides secure

access to the PTC System and subsystems. a. Security shall be provided in the form of login authorization, authentication, and

function access assignments in addition to the Department facility physical security access.

b. All functions of the subsystem shall be assignable to all users or user groups defined as part of the system.

c. Access to the PTC Hosted Back Office functions shall be assignable from any DUI or PTC Hosted Back Office workstation or terminal.

d. The Vendor shall define the set of User Classifications that defines the assignable user groups.

2. Each separate Back Office Subsystem shall utilize a single consistent login procedure (aka SSO or Single Sign-On), minimizing the number of separate system and sub-system logins.

3. The SI shall make use of the security principle of “Least-Privileged User Account” (LUA) unless approved by the Department. The LUA approach ensures that users always log on with minimum adequate privileged account whereby all processes run with the smallest adequate set of privileges needed to perform the user's tasks, making it more difficult for malicious software or attackers to infect a machine and propagate to other machines. This strategy also aims to limit the use of administrative credentials to administrators, and only for administrative tasks.

B. All application(s)/system(s) shall include a mechanism for ensuring that actions performed by users or processes acting on behalf of the user can be linked to the user. Sufficient logging information shall be maintained to facilitate after-the-fact investigation of loss or impropriety. Logging information shall be protected from unauthorized access or modification.

C. All application(s)/system(s) shall generate a security audit trail that contains information sufficient for investigation of loss or impropriety. A log server shall be employed to collect and store all security logs from all application or productions servers or systems including routers, switches, PTC Hosted Back Office servers, PTC Dispatching User Interface servers, Office Communication servers, and NMS servers. Logs shall record all security relevant events, including the user ID associated with the events. Log events shall include information regarding: 1. Invalid user authentication attempts. 2. Logons and activities of privileged users, e.g., System Administrators.



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3. Unsuccessful data access or transaction attempts. 4. Successful accesses of security-critical resources (e.g., security logs, security

commands). 5. Changes to users security profiles, privileges or attributes. 6. Changes to access rights of resources. 7. Changes to the system security configuration. 8. Log events shall include:

a. Date and time of the event. b. User identification. c. Type of event. d. Name of resources accessed. e. Success or failure of the event.

D. Vehicle communication and control systems shall be secured against unauthorized access and attack, both from the vehicle itself and from the wayside. Security requirements shall apply both when the vehicle is in revenue service and when the vehicle is out-of-service for maintenance or storage. Security measures shall be consistent with industry best practices at the time of configuration.

E. To demonstrate compliance, the Vendor shall prepare and submit for approval a System Vulnerability Assessment identifying all potential system vulnerabilities; associated risk (including exploit likelihood and consequences); countermeasures applied; and resulting mitigated risk. The report format shall be similar to that of a hazard analysis; a representative sample of the proposed report format shall be submitted for approval as part of the software documentation methodology.

10.3.2 Exploits Included

A. Exploits to be considered shall include, but are not limited to, the following, as appropriate: 1. Vandalism 2. Eavesdropping 3. Device/user impersonation 4. Dictionary attacks 5. Message modification 6. Session hijacking 7. Buffer overflow 8. Denial of service 9. Jamming (physical layer denial of service) 10. Virus/worm infection 11. Unauthorized software installation 12. Unauthorized root/administrator access

10.3.3 Security Measures

A. Security measures shall include, but are not limited to, the following, as appropriate: 1. Restricting physical access to communication and control system components to all

but authorized personnel. 2. Use of Access Control Lists (ACL). 3. Use of device and/or user authentication. 4. Use of encryption.



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5. Use of hardware keys in conjunction with passwords/passphrases. 6. Access logs. 7. Intrusion detection/prevention. 8. Antivirus. 9. Proper isolation of security critical system functions from other functions. 10. Application of secure coding practices. 11. Use of secure operating systems.

B. Security measures shall be configured and implemented such that their effect on reliability, availability and basic system operation is minimized.



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11 SITE SURVEY

11.1 GPS TRACK SURVEY

A. The Vendor shall perform the topographic databases encompassing all of the topographic features of the Department rights of way that are necessary for the PTC functionality, including creation of ITC-compatible Subdiv files for tenant trains operating on the Department trackage. The Vendor shall provide an accurate and functional Subdiv that has been tested and verified.

B. The topographic databases shall identify the Latitude and Longitude of all PTC-relevant features. Unless otherwise directed by the Department, the method for determining the location of critical features relative to the centerline of track shall be in accordance with the recommendations of AAR Standard S-9501C.

C. The tools used need to be compliant with the I-ETMS systems and minimizes redundant translation of survey information into the proper files required by the I-ETMS system.

D. The Vendor shall provide all training necessary to survey and develop all required GIS files for the PTC System.

11.1.1 Augmented GPS Quality Survey

A. GPS data is required to be received by the onboard equipment, wayside, and radio base stations by the ITC standards. The Vendor shall perform a coverage quality survey along the Department railroad ROW. The Vendor shall perform detailed survey of the Department tracks to document the presence, quality, reliability and redundancy of Augmented GPS coverage. A measurement of the signal strength and other relevant parameters shall be taken along the Department using a highway rail vehicle. The results shall be documented and presented in graphical and Excel formats and shall be submitted to Department for evaluation.

11.1.2 REPORTS AND DATA OUTPUT

A. All data shall be in a format that will allow the data to be used in the following: 1. Database Management System 2. ESRI GeoDatabase 3. ESRI Shape Files (required by FRA) 4. PTC Data Model (use the latest version available at time of site survey) 5. ITC/AAR Standard S9501A



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12 PTC WAYSIDE SYSTEM

A. The Vendor shall configure, furnish, install, integrate, test, and commission the wayside signal system locations of the Department CTC systems governing mainline train movements such that the I-ETMS PTC SYSTEM is certified by the FRA in accordance with 49 CFR Part 236, and meets the RAMS requirements of these Specifications. All required modifications to the wayside signal system for PTC shall meet Department standards and configurations. Testing activities shall be coordinated with tenant railroads as required.

B. PTC wayside system components at a minimum consist of: 1. Wayside Interface Units (WIU) to encode signal and route status to trains;

a. Interfaces to existing vital signaling for vital signal aspect, switch position, and any other required signal system data.

2. Fiber Connectivity to interface to the PTC to the Operation Control Center. 3. All data communications equipment to interconnect. 4. Backup data communications services as required. 5. All racks, assemblies, mountings, and interconnecting cabling. 6. Equipment cases, compliant with AREMA C&S Manual requirements applicable to the

Department environmental conditions. 7. Power supplies and battery backup. 8. All grounding and EMI/EMC mitigation.

C. The I-ETMS PTC SYSTEM shall be an overlay to the existing CTC system as applicable to implement Part 236 Subpart I requirements. The CTC system wayside locations are distributed trackside and include Control Points, intermediate signals, manual hand operated switches, highway-rail grade crossings, and electric lock switches. 1. The integration of grade crossings as part of the I-ETMS PTC System is not

considered to be necessary for meeting PTC requirements to enforce protection of Stop and Warn at crossings with credible reports of Highway Crossing activation failures, that the requirements can be met with PTC functionality that allows Dispatchers to stop trains prior to selected locations along the railroad with mandatory directives from the PTC Hosted Back Office. However, if the Vendor’s I-ETMS PTC System cannot meet PTC requirements without equipment at Highway Crossing locations, then the Vendor shall include the requirement equipment and interfaces as part of the base proposal.

2. The Department utilizes the Electrologixs and Microlok II family of wayside signaling control vital processers. A list of locations is provided in the CFRC PTCIP.

D. The Vendor shall integrate the I-ETMS PTC System into the existing CTC vital wayside signal systems, in order to furnish Signal aspect and route information to trains (see PTC Typicals – Appendix D). The interfaces to CTC system signals for aspect determination and switches for switch position shall be vital.

E. The existing CTC wayside signaling systems shall facilitate safe train movements under the requirements of §236.1029 in the event a train experiences an enroute failure of the onboard I-ETMS PTC System.



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F. The Vendor shall configure, install, test, and commission PTC signal system interfaces at all existing signaling locations required to implement the requirements of the PTC regulations. Testing and installation shall be coordinated with the Departments O&M and Signal Maintenance Contractors and tenant railroads. Vendor shall work with the Departments O&M and Signal Maintenance Contractors to develop detail work plans when installing and testing the PTC system. These plans should outline access to houses or equipment, working in existing houses or within equipment, maintenance, transfer of responsibility, FRA testing and documentation.

G. No functional and physical changes shall be made to the existing signaling equipment unless approved by the department.

PTC wayside equipment shall be installed in existing signal equipment housings.

H. The Vendor shall be responsible for supply, installation and integration of the fiber, all cables, wiring, any additional grounding, surge protection, standby batteries and charger, distinct from signaling battery equipment, capable of 8 hours of normal operation in event of a power outage, and programming and configuration for all wayside interfaces. The Vendor shall provide power loading calculations and capacity for each PTC equipped wayside location.

I. The Vendor shall ensure proper staffing for configuration and construction. Personnel

utilized for the performance of this scope shall have current the Department-required training for work within the Corridor, including CFRC Roadway Worker Protection Safety Plan requirements and CFRC e-Railsafe Shortline security clearance.

J. Construction personnel shall coordinate all wiring and testing with the Departments O&M and Signal Contractors to prevent unnecessary crossing activation and mitigate impact to train operations.

K. A schedule shall be provided as part of the Master Project Schedule for completion of the scope of work from a Notice-to-Proceed (NTP) date to final testing and documentation. The schedule shall include all activities of the scope and shall show task durations and sufficient detail to allow an analysis of time required to complete and deadlines for providing NTP for procurement and configuration start dates.

Schedule to include as a minimum the following activities:

90% Configuration Initial Drawings Final issue for Construction of temporary configuration drawings Final issue for Construction temporary Software 100% Configuration Final Drawings Final issue for Construction configuration drawings Final issue for Construction Software As Build Circuit Plans As Build Software



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Deliverables: Test Procedure, covering all functionality Documentation of Test Results by location Submission of test results to Department for certification

L. All work shall be completed per AREMA recommended practices, FRA requirements and

CFRC’s CFOMA standards.

12.1 HIGH LEVEL WAYSIDE FUNCTIONALITY

The Wayside I-ETMS PTC System shall implement the high level functions identified in Table 12-1-1 below and elsewhere in these Specifications. All functions shall be performed by the I-ETMS PTC System within tolerances to meet or exceed the operational requirements of the Department and as required to pass FRA System Certification. See Section 10 on Reliability requirements.

Table 12-1-1: Wayside High Level Functions List

No Function 1. Signal System Status 1.1. Transmit signal aspect and route information to the PTC office as required for

proper operation of the Vendor’s furnished I-ETMS PTC SYSTEM via the fiber optic network system (or as otherwise approved by the Central Florida Rail Corridor) furnished as part of the work.

2. Provide wayside diagnostics for maintenance staff to trouble shoot the wayside I-ETMS PTC Systems with Portable Test Equipment (PTE) at each location, as well as remotely from the PTC Hosted BackOffice(s).

2.1. Furnish capability to interrogate wayside equipment from the I-ETMS PTC Hosted Back Office Servers.

3. Provide wayside real-time event recording. 3.1. Event log data shall be stored locally and transmitted to the PTC Hosted Back

Office Servers periodically and on-demand. Sufficient storage shall be provided to avoid overwriting data between routine maintenance cycles.

12.2 IMPLEMENTATION

A. The Vendor shall be responsible for installation configuration, installation, test, and commissioning of PTC equipment and systems all wayside signal locations. Testing shall be coordinated with the Department and tenant railroads.

B. WIU programming shall meet ITC standards and utilize the Department PTC library provided by Vendor and be lab tested and verified by the Vendor prior to installation in the field. Testing shall be done using actual GETS/Alstom and Microlok II processor units with simulated field inputs. Testing and field installation shall be performed under the direct on-site supervision of a Department approved signal engineer.

C. The Vendor shall provide the application logic for each programmable module upon demonstration of readiness following acceptance testing. This application logic shall



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conform to 49 CFR, Parts 234 and 236. The Vendor shall furnish application logic for testing and certification.

In the event a wayside instrument house is unable to accommodate the additional PTC equipment, either as a result of insufficient power supply or physical space demands, it shall be the responsibility of the Vendor to provide a solution, subject to the Department approval.

D. The Vendor shall install discrete WIU’s to monitor the aspects and switch positions between milepost A749.56 - A761.81 (see P2N - Appendix E).

E. The Vendor shall size all wire in order to assure proper operation of the apparatus on the basis of equipment loads and the operating parameters for the systems described in this specification.

F. Wire for interconnection of apparatus involved in vital signal circuits shall not be less than No. 16 AWG, 19 strand wire. For all lighting circuits and local buss feeds, the wire shall not be less than No. 10 AWG, 27 strand wire.

G. All local wiring shall be routed through cable ways or dressed with cable ties following a regular vertical and horizontal pattern consistent with the wiring required.

H. Vital circuit rack wiring shall be accomplished with solderless connections using stranded wire, minimum size No. 16 AWG and shall use closed end energy loops where practicable. Non-vital circuit wiring shall be accomplished with solderless connections using stranded-wire, minimum size No. 20 AWG, and shall include non-vital relay connections. All wires not inside plastic wireways shall be neatly laced using plastic wire ties.

I. All apparatus, cable wires and wires shall be tagged. For vital circuits, tags shall be furnished on every wire at each termination point showing termination designation. Nomenclature used shall be consistent with AREMA.

J. All cable terminations shall be clearly tagged to identify the circuit associated with each conductor used. Each individual wire of all local wiring shall be clearly tagged near each termination with the circuit identification.

K. Every relay, device, and electronic component shall be clearly marked with an identification clearly describing its function by tagging with embossed label or approved equal. Stenciled markings shall be provided within equipment houses or cases.

12.3 TESTING AND QUALITY

A. The Testing and Quality Management Program applied to the Vendor’s Wayside Communications System shall conform to all applicable requirements under Section 7, Inspections, Testing and Acceptance and Section 10, Reliability, Availability, Maintainability, and Safety. Testing shall be coordinated with the Department’s O&M and Signal Contractors and tenant railroads.



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B. Install and test the equipment in accordance with all applicable requirements of CFR49, Part 234 and 236 and the AREMA C&S Manual, Part 8.1.2.

C. Testing, including pre-testing, shall including operating any hand operated switches and lighting all signals. The use of lamp simulators in lieu of, or in parallel with signal lamps will be allowed in pre-testing.

12.4 AS-BUILT DOCUMENTATION

A. Upon receipt of a written request from the Vendor, the Department will provide PDF Drawings and Schematics of the circuit plans for each wayside location. The Vendor shall use these plans to show the location, mounting details and interconnection details for all modifications proposed to be made to the location by the Vendor. PTC codes for aspects and switch position shall be included within location plans.

B. It is the responsibility of the Vendor to provide as-built plans and note any deviations from what was originally approved by the Department’s review and approval. Vendor shall maintain an accurate set of plans in the signal houses at all times. The Department shall review, certify, and accept the As-Built Plans prior to issuing Final Acceptance of the project in order to complete the As-Built Plans.



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13 ROLLING STOCK PTC ONBOARD SYSTEM

A. The Vendor shall configure, furnish, install, integrate, test, and commission the retrofit of designated rolling stock of the Department rolling stock identified in these Specifications with onboard PTC equipment and systems such that the PTC System is certified by the FRA in accordance with 49 CFR Part 236. 1. See Section 13.5 for description of minimum onboard PTC System components.

B. The Vendor shall modify existing rolling stock systems and infrastructure in order to implement the onboard PTC Systems. The Vendor shall review the existing rolling stock documentation to become thoroughly familiar with it, and to confirm the characteristics of the existing systems. The Vendor shall furnish and implement any additional components or elements needed to interface to the vehicle subsystems in order to provide a completely integrated and functional Onboard PTC System.

C. Relative to the existing rolling stock systems and functions that the Vendor interfaces to for implementation of onboard PTC systems, the Vendor’s configuration and implementation shall: 1. Maintain the operational and functional integrity, safety, and maintainability of the

existing onboard systems. 2. Separate from the requirements of 49 CFR Part 236.1029 for temporary operation with

onboard a. PTC cutout due to en route failures, the Vendor’s configuration and

implementation shall provide for isolation of PTC equipment from existing onboard braking and propulsion system by the Department’s O&M Contractor. Such cutout shall facilitate continuing operation of existing rolling stock systems and functions. The Department-approved indication of cutout or by-pass PTC elements shall be provided.

D. The Vendor shall coordinate with the Department’s O&M Contractor to obtain access to the vehicles and maintenance areas to perform all vehicle-based installation and testing activities. During the time the Vendor has use of rolling stock for retrofit, all installation and testing to ready rolling stock for system integration testing shall be completed within the time periods identified below. 1. The Department will provide the Vendor with access at its VSMF; one track will be

available for the use of the contractor up to a continuous 3 weeks per locomotive or cab car to complete the retrofits.

E. The Vendor shall develop and furnish for review and approval Interface Control Documents for the CFRC’S rolling stock one for each unique type of vehicle. Interface Control Documents shall define and document all electrical, mechanical, pneumatic, performance and functional interfaces between the Department rolling stock subsystems and the Onboard PTC equipment. The component weight, maintenance access, wire routing, heat dissipation and thermal conditions shall be included in the interface development process and addressed in the Interface Control Documents.

F. The Vendor shall configure, development, integration and test of all Onboard PTC System hardware and software, fabrication of enclosures, installation of equipment, and any modifications required to the vehicles as part of the installation. Interface compatibility



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shall be demonstrated by the Vendor during the specified configuration reviews, and further demonstrated during the required system testing activities.

G. The Vendor shall engage representatives of the Department’s vehicle maintenance staff and the Train Engineers in determining the optimum location and orientation of equipment.

H. The Vendor shall configure the Onboard PTC System to integrate and properly interface with the vehicles and all subsystems. The Vendor shall prepare and submit for approval a detailed Onboard Hardware Installation Configuration and Onboard Installation Plan that addresses each vehicle type. The Installation Plan shall include drawings and written description clearly describing work. Drawing set for each vehicle type shall utilize existing as-built drawings to show interface details where possible.

I. The Vendor shall provide all equipment, hardware, and cabling required for the installation of the Onboard PTC System and for the re-location of all existing equipment that is necessary to accommodate the placement of the PTC equipment in each vehicle type.

J. A pre-acceptance inspection and test of each vehicle shall be conducted by the Vendor prior to beginning any modification or installation activities on the vehicle. Vendor shall prepare and submit for approval Onboard Installation Plans and Onboard Installation Procedures that address each vehicle type. Any discrepancies found during the inspections shall immediately be submitted to the Department in writing. As part of the Onboard Installation plan, the contractor shall create a Return to Service Checklist of all PTC component installation and testing. The plan and checklist will have to be approved by the Department.

K. A comprehensive pre-release inspection and test of the vehicle shall be conducted by the Vendor prior to releasing the vehicle back to the Railroad for normal service. The written report of the status of all modifications made to the vehicle shall be provided to the Department at the time the vehicle is released. This report shall state whether the PTC system has been tested and is ready for certification or if it is pending completion, and what mitigating measures have been taken to assure that any modifications made will not prevent the safe operation of the vehicle in revenue service. The Vendor shall prepare and submit for approval detailed test plans and procedures addressing all vehicle types.

L. The Vendor shall document all modifications made to a vehicle prior to releasing the vehicle to Railroad for service.

M. The Vendor shall ensure the Onboard PTC System equipment functions with the vehicle and its subsystems under all modes of operation.

N. The Vendor shall provide a fire safety analysis and supplemental material information in accordance with 49 CFR 238.103 submitted at Preliminary Configuration Review.

O. All documents necessary to support the Railroad PTCSP and System Certification submittal in accordance with 49 CFR 236.1015 shall be provided by the Vendor at Final Configuration Review.

P. The Vendor shall perform safe braking testing under all operating conditions for each train type to verify that PTC enforce train braking that complies with each Railroad’s safe



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braking criteria.

Q. All of the onboard PTC System components shall be equipped with self-test, diagnostic and health monitoring functions. These functions shall be used by the Vendor to support testing, troubleshooting and maintenance tasks and be part of the operating and maintenance documentation. All self-test, diagnostic and health monitoring functions and interfaces shall be identified and documented in required configuration review packages.

13.1 HIGH LEVEL ONBOARD FUNCTIONALITY

A. The onboard PTC system shall implement the high level functions identified in Table 13-1-1 below and elsewhere in these Specifications. All functions shall be performed by the PTC system within tolerances to meet or exceed the operational requirements of the Railroads and as required to pass FRA System Certification. See Section 10 on Reliability requirements.

Table 13-1-1: Onboard High Level Functions List

No Function 4. Train Movement Monitoring and Speed Enforcement 4.1. Monitor train speed in real-time 4.2. Determine in real-time train position along the track utilizing GPS and all

supplementary position determination and correction equipment to meet the performance requirements of these Specifications. Onboard automatic mechanism shall be implemented to ensure that accumulated position error does not exceed 5% of actual. Worst-case position accumulation error shall be accounted for in all safety-critical functions for enforcement of train slowing and stopping.

4.3. Enforce train slowing and stopping for the most restrictive condition in the direction of travel.

4.3.1. The PTC onboard shall enforce train slowing and stopping consistent with safe braking distance by train type.

4.3.2. Train slowing and stopping shall be optimized for operational performance to achieve target speeds as close the target as possible consistent with railroad train safe braking criteria by train type.

4.3.3. Provide automatic application of the brakes in accordance with the railroads’ train

handling procedures and safe braking criteria for each type of train operated by the railroads. Braking enforcement algorithms shall account for track profile (curves, grades, and any other condition affecting braking distance) and train configuration to ensure safety while minimizing operational impacts from achieving target speeds (including zero and MAS) further in advance of the target than necessary for safety.

4.3.4. Enforce Timetable Maximum Authorized Speed (MAS) 4.3.5. Enforce Timetable Permanent Speed Restrictions (PSR) 4.3.6. Enforce speeds associated with signal aspects 4.3.7. Enforce diverging route speeds



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No Function 4.3.8. Enforce all temporary speed restrictions that have been manually input

through the PTC Dispatcher User Interface 4.3.8.1. Enforce Work Zone limits. Trains shall only be able to enter Work Zones via

release by the Dispatcher or the designated Employee-In-Charge of the Work Zone.

4.3.8.2. Enforce mandatory directives related to Highway Grade Crossing failures 4.4. Enforce PTC functions from the unit in which the train is controlled. 4.4.1. Facilitate initialization and activate PTC for en route train reversal whereby the

Engineer changes position from which the train is operated from their initial position to the opposite end of the train.

4.5. Provide for temporary cutout of PTC speed enforcement functions in accordance with the requirements of 49 CFR §236.1029.

4.6. Provide for acquisition of signal status, movement information, and all data necessary for train movements via wireless communications.

4.6.1. Wireless communications necessary for train initialization shall be provided to facilitate train run origination anywhere along the Railroads’ PTC territories, MTEA

areas, yards and storage locations, and entry points of tenant railroads. 5. Train Engineer Interaction 5.1. Provide speed and stop enforcement warning (audible and visual) to Train

Engineers sufficiently in advance of automatic enforcement by the PTC onboard systems such that the Train Engineer has time to correct the train speed slowing to avoid the automatic enforcement by the PTC System.

5.2. Provide visual indication to Train Engineers of the operational status of onboard PTC Systems including overall operational status (operational/failed/cutout). Separate status indications shall be provided for the onboard computer and the communications subsystem. Sufficient indications shall be provided for the Train Engineer to determine when the onboard PTC system has failed at initial terminals and while enroute.

5.3. Provide identification of manual directives onboard PTC system has stored for enforcement.

5.4. Enroute cutout/disabling of onboard PTC systems by Train Crews shall be provided such that the train can complete its trip in accordance with the requirements of 49 CFR §236.1029.

5.5. Provide indication of success or failure of Departure test. 5.6. Provide methods for Train Engineers to initiate all PTC functions. 5.6.1. Devices provided for Train Engineer to override of PTC enforcement including

override of interlocking Stop Signal enforcement shall be located such that the Train Engineer cannot assert the override from the operating position.

5.7. Provide audible and visual alerts to Train Engineers in advance of a train operating at a speed that is in excess of that required by PTC braking algorithms

6. Provide Departure Testing of onboard PTC systems in accordance with 49 CFR Part 236.

6.1. Prevent train movement during execution of Departure Test. 6.2. Departure Tests shall test the all onboard PTC functions including

communications over-the-air tests.



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No Function 7. Provide onboard diagnostics for maintenance staff to trouble shoot the onboard

PTC Systems with Portable Test Equipment (PTE) furnished by the Vendor and load all necessary software.

8. Provide onboard real-time event recoding. 8.1. Event log data shall be stored onboard. Sufficient storage shall be provided to

avoid overwriting data between routine maintenance cycles.

13.2 DESCRIPTION OF ROLLING STOCK

A. The rolling stock fleet to be retrofit for PTC operation is comprised of 11 diesel electric road locomotives and 13 bi-level cab control coaches used as lead units in push-pull service.

Table 13-2-1: Fleet

Vehicle Builder & Class # of

Units LVPS Event Recorder Brake

System

MPI Locomotive MP32PH-Q (no. 100-110)

11 74 VDC Bach-Simpson Model

403 26L

Bombardier Non-powered BiLevel Cab cars (no. 2000-2012

13 74 VDC & 36

VDC Bach Simpson Model

53300 26C

13.2.1 Locomotives

A. The locomotives are not currently equipped with train control systems including cab signal or ATC.

B. The MPI MP32PH-Q is the passenger service locomotive built by MotivePower, Boise Idaho. It is equipped with a 26L Braking System, utilizes blended brake

13.2.2 Cab Cars

A. The Cab Cars are not equipped with cab signal equipment. The Cab Cars are equipped with an operator cab that has all of the operating and control functions of the locomotive. When operating in the “push” mode, the operator will set the cab control stand to establish the cab car as the controlling end. The controller in the operator's compartment sends train line commands for propulsion and dynamic braking to the locomotive at the rear of the train consist. The cab car is equipped with the 26C Automatic Brake Valve to apply brake pipe commands for the train’s brake system.



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13.3 ADDITIONAL DESCRIPTIONS OF SOME ONBOARD FUNCTIONS

13.3.1 Train Braking Requirements

A. The Onboard PTC System shall utilize approved braking algorithm. The PTC onboard system shall continually calculate the distance required to safely stop the train in advance of a stop target. If safe limits are exceeded, a warning shall be given in advance which provides the Operator an opportunity to respond. If the Operator takes the appropriate remedial action, the Operator shall retain control of the train and the warning shall be cleared. If the train is projected to exceed authorized limits or the train exceeds authorized speed limits, a full service brake application shall be applied. 1. The system shall be arranged such that the penalty brake application resulting from

authority violation cannot be released (not recoverable) until the train comes to a complete stop, except when configured as described in 2.

2. The system shall be arranged such that the penalty brake application resulting from overspeed violation shall be owner configurable to be released (i.e. recoverable) when the equipment control positions and measured performance assure that the vehicle has been brought under the control of the operator and is no longer in violation of an overspeed condition.

3. The Vendor shall thoroughly review and understand the braking characteristics and various braking modes of each type of vehicle of the fleet. The braking algorithm shall be optimized for each vehicle type. The Vendor shall conduct all braking tests per train type and per the requirements of Section 8.

B. The braking algorithm shall accommodate each of the train configurations of the Department required to comply with PTC requirements. The Vendor shall be responsible to verify and validate the performance of the braking algorithm through analysis and dynamic tests utilizing the Department’s rolling stock. The Vendor shall develop its plan and schedule for performing train braking verification and validation tasks. The Onboard Train Braking Verification and Validation Plan, including the schedule of tasks shall be submitted for the Department review and approval.

13.3.2 Train Position Determination

A. When operating on Railroad mainline trackage, trains shall determine the front of train position in real-time as trains move along the railway’s. 1. The PTC system shall at all times know what track the train is on.

B. The PTC onboard systems shall determine position primarily through GPS and augmented GPS.

C. The GPS, Nationwide Differential Global Positioning System (NDGPS) and the Wide Area Augmentation System (WAAS) are land-based or satellite-based systems using GPS or some enhancement or augmentation of GPS to provide navigational aid. Not all of these systems have nation-wide coverage. The WAAS radio frequency network uses satellite based microwave radio frequency beacons to provide a differential GPS signal to augment GPS accuracy.

D. An augmented GPS system which provides the minimum required spatial resolution for PTC (including ITC interoperability for tenant trains) shall be selected for use by the



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Vendor as the PTC navigational aid. Vehicles moving on the Department trackage under PTC shall use onboard augmented GPS equipment, in conjunction with the speed sensor, to obtain reliable, accurate and up-to-date information on its current position.

E. The navigational information provided by the GPS instrumentation and speed sensor data shall be processed onboard to precisely update the location of the vehicle relative to the Department’s track database, and to predict movement violations and stopping targets. 1. The Vendor shall be responsible to survey the selected augmented GPS coverage

along the Department’s ROW.

F. When there is a loss of GPS signals, e.g., inside covered terminals, or due to heavy cloud cover, the speed sensor, in conjunction with the onboard track database and additional instrumentation and software as deemed necessary by the Vendor, shall be used to provide train position determination by the dead reckoning technique.

13.4 CONFIGURATON COMPONENTS

A. The Vendor shall be responsible for providing the Onboard Subsystem Functional Description identifying all the required system components and the necessary interfaces. Additionally the Vendor shall provide the Onboard Hardware Documentation and Onboard Software Documentation defined in describing the configuration and installation of the all of the system components, their mounting locations and interfaces to each vehicle type included in the Railroad fleet. Vendor shall provide all locomotive software and hardware requirements. The Department’s locomotives will communicate with the Department’s PTC Hosted Back Office for full functionality. The configuration elements shall include the following: 1. Train Management Computer which controls all core functions of Onboard PTC

System. 2. Central Display Unit (CDU) which shall display all essential information and

annunciate relevant events and alarms to the train operator. 3. Mode Switch or equivalent mechanical and software functionality which is to select

between a normal (PTC) position and restricted mode(s) in the event of failure or a degradation of PTC capabilities.

4. All equipment including; hardware, firmware, software, brackets, supports, covers, access panels, display drivers, wiring harnesses, cables, conduits, relays, magnet valves, cut out/isolation devices, terminals, connectors and terminal blocks for interfacing between PTC onboard equipment and existing vehicle equipment. It shall be possible to replace portions of the wiring harnesses without the need for re-wiring the entire train, subject to Department approval of all proposed connection methods.

5. All power supplies necessary for Onboard PTC System components. 6. Primary 220 MHz data radio, antenna systems and filters required to maintain the

communication link between the train, the central office and all wayside locations. 7. Connection Manager (CM) which establishes the communication link between the

onboard computer and data radios for all PTC and maintenance messages communicated between the wayside and office.

8. 802.11ac WLAN modem and antenna systems for supplemental data communications including database updates.

9. Two GPS antenna and receiver systems for time and positioning determination. 10. One commercial cellular modem from each of 2 distinct carriers and antenna



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systems as required for reliability. 11. Cut-out switch to provide the ability to isolate the Onboard PTC System from the

train functional system by the actuation of the switch. The cut-out switch shall include provisions to permit the installation of a Department approved “wire seal”.

12. Circuit breakers as necessary to provide circuit protection. 13. Speed sensor(s) to determine train speed and direction of travel. 14. Logic and components to record key PTC related data and events in hardened

memory either through integration of PTC information into the existing Event Recorder or by providing a stand- alone PTC Event Recorder synchronized with the existing event recorder.

15. Interface equipment to provide the required interaction with the vehicle brake system. Interfaces shall be included for full service and emergency brake applications.

16. Interface equipment to provide the required interaction with wheel slip and propulsion systems.

17. Diagnostic ports to facilitate maintenance, inspection and troubleshooting of onboard PTC equipment.

18. Onboard PTC System Self Health Monitoring capability. 19. All necessary wiring and associated terminations.

B. For all fleet vehicles, the Vendor shall consider the feasibility of a common electronics equipment enclosure that houses the CPU, power supplies, data radio(s), CMM and any required interface unit(s). Regardless of whether a common enclosure can be utilized, the equipment shall be arranged and installed to allow access for all inspection, maintenance and trouble-shooting tasks. The equipment shall be arranged such that the line replaceable unit can be removed without requiring any other equipment or component to be removed or disassembled. The access shall be demonstrated on the first prototype installation. The Vendor shall document the accessibility findings following the prototype installation as part of the Onboard Prototype Installation Report for Department review and approval.

13.5 HARDWARE FUNCTIONS AND FEATURES

A. The Onboard PTC System installed in the vehicles shall be microprocessor based and shall be interconnected with all of the vehicles’ control systems. The hardware and mounting shall be suitable for the harsh operating environment onboard the Department’s rolling stock and shall operate as intended without degradation under all operating conditions.

13.6 EQUIPMENT INITIALIZATION

A. The Vendor, as part of the equipment initialization process, shall ensure the vehicle specific information and all parameters required by the Onboard PTC System are input to the onboard PTC System through the use of maintenance diagnostics tool (laptop) or other approved means. Prior to commencing any road testing, the track database and other operating parameters shall be installed on the PTC onboard computer and validated. The Vendor shall submit documentation that proves the track database and other required operating parameters have been successfully uploaded to the Onboard System as part of the Maintenance Records following completion of the test. Two maintenance diagnostics tools shall be provided with all of the necessary locomotive onboard diagnostic tools installed and functional.



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13.7 TRAIN INITIALIZATION

A. Prior to any train entering mainline trackage, all pertinent train information, e.g.; form-based authorities, temporary speed restrictions, work zone limits, advisories, critical alerts, train consist and crew data, and encroaching events shall be input automatically to the onboard computer from the PTC Hosted Back Office through the data radio communications or other approved means including WLAN. The Vendor shall be responsible for establishing the train initialization process. The train initialization process shall be approved by the Department as part of the Operating Manual and the Onboard Software User’s Manual. Rolling stock shall be able to complete the initialization process, at a minimum, at all of the Department’s O&M facilities, yards and storage tracks, and MTEA areas. Train initialization shall facilitate trains reversing direction on the mainline tracks.

13.8 INTERFACES TO EVENT RECORDER

A. The Vendor shall review and evaluate the existing event recorders and crash protected memory modules of each vehicle type included in the fleet to completely understand the hardware and software capabilities of the system. The Vendor shall determine if data storage memory capacity with the existing onboard event recorders is adequate to store all of the required PTC related events. It is the Department’s preference for the Vendor to utilize the existing event recorders, but it is the sole responsibility of the Vendor to provide a system that satisfies all requirements of 49 CFR 229.135 as well as all updates to 49 CFR 236 Subpart I relative to PTC and IEEE Standard 1482.1. The final recommendation shall be submitted as part of the Onboard Hardware Configuration Description.

B. PTC Events shall include, but not are limited to, the following: 1. Train Speed 2. Speed Limit 3. Odometer 4. Overspeed Condition 5. Profile or Warning Curve Violation 6. PTC generated Brake Application 7. All PTC related control signals 8. Target Over Run 9. Territory Transition 10. GPS Data Status 11. Direction of Travel 12. Route Violation 13. Text messages for mandatory directives displayed to Train Engineers 14. Communications status 15. System Status; (Cut-in/Cut-out) 16. Train Engineer actuation of PTC input devices. 17. Failures (and return to normal) of PTC Onboard devices.

13.9 IMPLEMENTATION

A. The Vendor shall provide adequate resources to complete the installation of the Onboard PTC System and associated equipment when a vehicle is made available in accordance



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with this section so there is no impact to Railroad’s operations.

B. The Vendor shall perform all installations and static and dynamic testing of the Department’s vehicles at the VSMF.

C. It is emphasized that any and all train movements required for installation and/or testing shall utilize a train operating crew from the Department’s O&M Contractor. Scheduling of any train operating crew shall be handled through the department and the department O&M contractor. Any costs associated with the scheduling and use of all train operating crews shall be borne by and shall be the responsibility of the Vendor.

D. The Vendor shall complete a prototype installation of production onboard PTC System equipment on each of the vehicle rolling stock types to be equipped with PTC selected and defined vehicles prior to commencing full production on the remaining vehicles. The prototype vehicles shall be used to verify installation procedures, proof of configuration testing, ensure proper vehicle interfaces and compliance with the requirements of the Technical Specifications. Results of the prototype installation shall be documented in the Onboard Prototype Installation Report.

E. Vendor shall coordinate and work with the Department’s O&M Contractor for testing and integrating locomotives and cabcars.

F. Vendor shall provide all required equipment and specific software that is loaded on the devices.

G. Vendor shall coordinate all necessary locomotive testing with the Department’s O&M Contractor and identify within the test plan what testing needs to occur with PTC System to return the Locomotive or Cab Car back to service.



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14 PTC COMMUNICATIONS SYSTEM

A. The Vendor shall configure, furnish, install, integrate, test, and commission new PTC communications systems and retrofit of existing communications systems of the Department’s PTC Railroads identified in these Specifications such that the PTC system is certified by the FRA in accordance with 49 CFR Part 236, and meets the RAMS requirements of these Specifications.

B. Communications components of the PTC System shall at a minimum consist of: 1. Radio base stations for PTC Hosted Back Office to train wireless communications. 2. Antenna towers and antennas. 3. Office to wayside Fiber Optic Network communications with connectivity to all PTC office

and wayside locations. 4. 802.11ac WLAN WiFi or other means of uploading train initiation data at yards, terminals

and other train run origination locations. 5. Backup data communications services as required to meet reliability and availability

requirements. 6. All racks, assemblies, mountings, and interconnecting cabling. 7. Power supplies and battery backup. 8. All grounding and EMI/EMC mitigation.

C. The terrain surrounding the railroad is a mixture of urban, semi-urban, and mostly flat terrain territory. The Vendor shall ensure that the configuration and operation of the Department’s 220 MHz data radio system and the Wi-Fi system comply with ITC Standards as published by the American Associations of Railroads (AAR), latest version as of the date of Contract Notice to Proceed. The Department has adopted the ITC interoperability standard for its PTC system, and therefore, the Vendor shall provide a system in full compliance with the ITC interoperability requirements.

14.1 HIGH LEVEL COMMUNICATIONS FUNCTIONALITY

A. The PTC communications system shall implement the high level functions identified in Table 14-1-1 below and elsewhere in these Specifications. All functions shall be performed by the PTC system within tolerances to meet or exceed the operational requirements of the Department and as required to pass FRA System Certification. See Section 10 on Reliability requirements.

Table 14-1-1: Wayside High Level Communications Functions List

No Function 1. 2 way Office to Train Base Station communications 2. Fiber Optic Network data communications 2.1. Data communications between wayside locations and PTC Hosted Back Office 2.2. Data communications between the Department’s PTC Hosted Back Office and PTC

Back Office of tenant railroads. 3. Wireless Train initiation data upload at yards, terminals, and other train run origination

locations.



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No Function 4. Encryption of all wireless PTC transmissions. 5. Provide diagnostics for maintenance staff to trouble shoot the PTC communications

systems with Portable Test Equipment (PTE) at all field locations with PTC communications equipment as well as remotely at the PTC Hosted Back Office.

5.1. Furnish capability to interrogate communications equipment from the PTC Hosted Back Office System.

6. Provide real-time event recoding. 6.1. Event log data shall be stored locally and transmitted to the office periodically and on-

demand. Sufficient storage shall be provided to avoid overwriting data between routine maintenance cycles.

14.2 GENERAL OVERVIEW

A. The following subsystems and considerations are included in the Vendor’s scope: 1. A digital Radio Communication network capable of operating–in the 217.6 - 222 MHz

frequency range, the functional requirements of which are defined in Sections 15.4.1 through 15.4.6 below. This digital radio network is hereafter referred to as the PTC 220 MHz network.

2. One WiFi (where x = selected standard including b, a, g, or n) subsystem that shall be deployed to support PTC data uploads at the OCC. The WLAN shall be based on the same or a compatible standard as recommended by the ITC. The Vendor shall be responsible for providing a WiFi that meets the data throughput, coverage needs and performance (i.e. initialization upload speeds) identified herein. This WLAN is hereafter referred to as the WiFi.

3. One commercial cellular modem from each of 2 distinct carriers on each vehicle to allow for the Department data uploads when outside of the WiFi network. The commercial cellular modem service providers shall be proposed by the Vendor for approval by the Department. Empirical data relating to the signal strength of each carrier over the length of the alignment needs to be submitted to support the selection of each carrier. Further details regarding vehicles requiring onboard PTC equipment is provided in section 13 of this Specification.

4. The Vendor shall perform a coverage quality survey where WiFi is installed. The coverage quality survey should cover WiFi. Vendor shall review and verify a coverage quality survey.

B. The approach for topology of the wayside WIU communications shall utilize a new fiber optic backhaul network connection between Base Stations and PTC Hosted Back Office to each WIU location. Alternate approaches that provide the Department improved value in performance or cost or both will be considered by the Department. All references to a WIU or wayside connection in this Specification assumes the Fiber Optic Network topology will be used.

14.2.1 Communications Network Element

A. The Railroads communication infrastructure, existing or under construction, identified for preferred PTC use shall be reviewed by the Vendor to verify its suitability and feasibility for



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use in the Vendor’s final configuration of the PTC 220 MHz network equipment and antennas, as well as for the WiFi subsystem.

B. The Communications Network Element (CNE) scope includes PTC 220 MHz network, Commercial Cellular, the GPS communication on all of the Department’s ROW to include seven (7) miles outside each entrance to the Department’s trackage and the WiFi subsystem at designated locations.

C. The CNE with its components shall together be used to provide the following hardware/software functions and features for all Locomotive and Cab Cars operating on tracks under PTC 220 MHz: 1. The upload of relevant track database, train consists, work zones, speed restrictions and

other information from the PTC Hosted Back Office to all vehicles. These updates shall be provided using the WiFi, commercial cellular, and 220 MHz network as defined herein.

2. Reliable, accurate, and current movement authority information sent from the PTC Hosted Back Office/Dispatching Center using the PTC 220 MHz data radio network.

3. Reliable, accurate, and current information regarding location of vehicles relative to the track, switches, signals and other elements of the Signal system database, obtained via the augmented GPS network and calculated using a mathematical algorithm, combined with the position data obtained using vehicle speed sensors to define current location.

4. Reliable packet digital communications between the Office and the Wayside using the Fiber Optic Network.

5. A reliable Wayside Status Relay Service (WSRS) shall provide WIU status to a vehicle in route through fiber optic network to the Department’s Office and back through the 220 MHz network.

6. Reliable coordinated interface with existing Communications subsystems and infrastructure.

7. Vendor shall provide the PTC communication interface at the OCC. The contractor shall provide all necessary configuration details to implement this interface. The contractor will integrate the communication network element to full implementation with tenant railroads for interoperability.

D. The Communications Network Element shall interface to the following components: 1. The Onboard System defined in Section 13. 2. The PTC Hosted Back Office System (defined Section 15) and the Department’s PTC

Dispatcher User Interface System defined in Section 16. 3. Existing communications systems and infrastructure. 4. Commercial Cellular and Land Based providers.

14.3 PTC SYSTEM ARCHITECTURE

14.3.1 PTC Prerequisites Prior to Departure

A. The PTC process shall begin at any of the yards. With the vehicle stationary, a wireless data network based on the WiFi standard, or the commercial cellular network in the absence of a WiFi network, will upload the relevant track database, train consist, work-zones, speed restrictions, clearance sheets, advisories, critical alerts and other relevant information from the PTC Hosted Back Office to the Train Management Computer (TMC). The process of initialization shall be as short as possible and shall not, under ordinary



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operating circumstances, exceed 10 minutes. The WiFi wireless data network shall employ data authentication and encryption from source to destination. 15.4.5.2 for additional details. All vehicles must register for polling with the PTC Hosted Back Office prior to departing a yard or any vehicles which have a route that includes the Department’s territory. Onboard GPS-based navigational equipment, in conjunction with the speed sensor, shall establish the location of a vehicle on the track database prior to its entering territory under PTC.

14.3.2 PTC Communications Post Departure

A. Once the vehicle departs a yard, and enters the Department’s territory enroute, the 220 MHz PTC CNE, or the commercial cellular network in the absence of a 220 MHz network, shall support the communication of data between the vehicle and the PTC Hosted Back Office and between the CNE base stations. This data includes information on train location, enforcement events and violation reports. As a vehicle enters territory under PTC, it shall be sent reliable, accurate and up-to-date movement authority information from the controlling PTC Hosted Back Office using the assigned PTC 220 MHz frequency channel (as assigned by Vendor). The PTC 220 MHz band radio communication links shall be protected using data authentication from source to destination (end-to-end) in accordance with the ITC standards.

B. A vehicle operating on territory under PTC shall use onboard GPS navigational equipment, in conjunction with the speed sensor, to obtain reliable, accurate and up-to-date information on its current position. The information shall be processed by the onboard equipment to precisely locate the vehicle relative to the track database, and to predict movement violations and stopping targets.

C. The onboard data radio equipment on vehicles operating on the Department’s territory shall use radio communications in the PTC 220 MHz band, through WSRS with wayside devices to obtain information regarding signal aspects, switch alignment and track and equipment status.

D. Vehicles shall use radio communications in the 220 MHz PTC band, to communicate with CNE Base Station sites in order to obtain movement authorities as well as any additional information including speed restrictions, mandatory directives, stops and proceeds transmitted from the PTC Hosted Back Office.

E. As vehicles operate on territory, onboard radio equipment shall use radio communications in the PTC 220 MHz band to provide the PTC Hosted Back Office with non-PTC related information about vehicle status and diagnostics.

14.3.3 220 MHz Network Architecture Summary

A. The PTC 220 MHz radio communication shall be packet digital adaptive TDMA, and each PTC 220 MHz frequency shall be configured for time division duplexing (each frequency has timeslots used for talk-out and for talk-back). A TDMA message epoch will combine vehicle to/from PTC Hosted Back Office traffic. Time slots shall be coordinated via a network allocation process to ensure compatibility with other Florida surrounding PTC Railroads.



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14.3.4 WLAN Site Surveys

A. As part of the Preliminary Configuration Review, the Vendor shall perform WLAN frequency/ access point site surveys of the VSMF and VSLMF to document and define if and where frequencies from the selected WLAN standard are in use, and of sufficient strength to cause interference to the new WLAN. The Vendor shall submit these Site Survey Reports for WLAN to the Department for review prior to proposing a frequency plan for the WLAN access points.

14.3.5 Commercial Cellular Service

B. The Vendor shall perform detailed coverage and performance survey to provide the Department performance data of the proposed commercial cellular data networks. Cellular performance data shall include RSSI, throughput, connection delay, and channel in use parameters tied to corresponding GPS coordinates. The survey shall include Railroads’ ROW and VSMF and VSLMF. 1. The results shall be documented and submitted to the Department for evaluation. 2. In addition to the performance data, the Vendor shall provide a cost estimate for

recurring and non-recurring costs associated with the proposed carrier’s services and installations and its integration into the existing network.

14.3.6 GPS Field Surveys

A. The Vendor shall perform detailed survey of the tracks of the Department’s railroads to document the presence, quality, reliability and redundancy of the GPS and augmented GPS coverage. A measurement of the signal strength and other relevant parameters shall be taken every 3 feet or less along the railroads. This task shall be included in the GIS Survey described in Section 11 of this Specification. The GPS Survey Report shall be documented and presented in graphical and Excel format and shall be submitted to the Department for evaluation.

14.3.7 Simulation Calibration

A. The Vendor shall perform Continuous Wave (CW) testing as necessary to calibrate the coverage model.

14.4 FUNCTIONAL REQUIREMENTS

14.4.1 Radio Equipment Programming and Configuration

A. The configuration of the 220 MHz Base Stations, wayside and onboard equipment shall be programmed and configured for full interoperability based on the ITC Specifications.

B. Each base station shall be configured to provide the quantity of simultaneous data-paths indicated in the final configuration and as necessary to facilitate the existing and future operations of the Railroads without causing train delay (except as may occur due to failure conditions).

C. All data radio links shall be protected using data authentication and encryption in accordance with PTC regulations. The equipment shall be compatible with encryption



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schemes per ITC Specifications. The Vendor shall coordinate with the railroads in the programming and configuration of the data authentication in order to ensure interoperable communications between the railroads, per ITC Specifications.

D. A method of remote monitoring the health of the 220 MHz radios shall be provisioned for the radio equipment per ITC Specifications.

14.4.2 PTC Data Communications Transport and Backhaul

A. To the maximum extent possible, the Vendor shall utilize existing backhaul communications of the Railroads, but where it is not possible, the Vendor shall include the installation of additional backhaul communications transport circuit(s) required to support the new PTC communication systems and networks. It is the sole responsibility of the Vendor to make the determination of additional infrastructure.

B. The Vendor shall only implement final connectivity and provisioning needed for the PTC System.

C. All PTC transport and backhaul networks shall be configured for at least 50% spare traffic capacity. This applies to those transport and backhaul networks configured for PTC by the Vendor, if any, as well as any transport and backhaul networks or circuits configured by others, but selected by the Vendor for PTC use.

14.4.3 Data Network Management

A. The Department currently uses Solarwinds Orion NPM as a Network Management System (NMS). The Vendor shall provide additional licenses and polling engines as needed. As well as node custom properties as well as configuring node custom properties advance alerts and reports. To the maximum extent possible, the Vendor shall utilize existing Solar Winds communications of the Department, but where it is not possible, the Vendor shall include the installation of additional backhaul communications transport circuit(s) required to support the new PTC.

B. The NMS shall, at a minimum, provide a real time network topology map customized for this system, indicating and monitoring the communication devices at communications sites including onboard radios and backhaul connections. At a minimum, the following alarm conditions shall be monitored:

1. RF Output Power (each transmitter shall be equipped with a power monitor) and high Voltage Standing Wave Ratio (VSWR)

2. Receiver Fail 3. Transmitter Fail 4. Bad Data/High Bit Error Rate 5. Loss of Sync 6. Network and Backhaul Component Alarms 7. Loss of timing source

C. The Vendor shall provide a list showing the remote commands and functions that shall be supported by the NMS. As a minimum, this list shall include a remote reboot for all non-vital microprocessor based equipment at the various base radio sites. A programmable, audible



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alert for major alarms shall be provided at the OCC. Any subsequent alarm must be acknowledged in turn. 1. The Dispatcher or other designated person shall have the capability to mute the sound

after a programmable duration. The display screen shall change colors to indicate this muted condition. Normal colors shall be restored after the alarm is cleared.

2. Alarms shall require acknowledgement in order to clear and complete the cycle. 3. All alarm notifications shall be configurable, in order that they may be classified

according to severity and routed, emailed or transmitted to portable and mobile devices of the maintenance personnel.

14.4.4 220 MHz PTC Radio Coverage

A. The following are the functional and performance requirements for the 220 MHz PTC radio communications network.

14.4.4.1 Interoperability

A. Interoperable RF communications for PTC is an essential requirement of the project. The Vendor shall be responsible to ensure that the Department’s PTC 220 MHz communications network is interoperable with all vehicle types and applicable tenant railroad vehicle types that operate throughout the territory and all ITC-compliant PTC 220 MHz network equipment and signals. The Vendor shall coordinate with all tenants on the Department’s lines as well as PTC-220 and tenant railroads, regarding the interoperability aspects for the use of 220 MHz PTC radio network and document the RF Interoperability in the RF Interoperability Report.

14.4.4.2 Air Interface

A. PTC 220 MHz radio communication equipment shall be compliant with ITC Specifications. The Contactor shall be responsible for the final configuration and coordination of the timeslots to be used by the PTC 220 MHz network in accordance with the requirements of the Department’s PTC system.

14.4.4.3 RF Demand and Data Throughput

A. The Vendor shall be responsible to review and provide the RF demand and throughput analysis for the 220 MHz PTC radio network for the Department in accordance with these Specifications. This review shall begin immediately after NTP and the results shall be used by the Vendor to verify how many 217.6-222 MHz frequencies are required to meet the PTC data communications requirements under worst-case conditions. The Vendor shall provide a copy of the analysis and there comments.

B. The Vendor’s configuration shall be based on train traffic projected to the year 2020, error performance, maximum speeds, minimum headways, track configuration, plus 50% future growth in vehicles and wayside traffic, authentication and other overheads, re-transmission latency, PTC Hosted Back Office configuration and other factors, as determined by the Vendor, that are adverse to data communications throughput. The data throughput analysis shall be based on the ITC Specifications.



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14.4.4.4 RF Coverage and Data Error Rates

A. Definitions: 1. RF coverage is defined as a received signal level greater than the static threshold of the

receiver at which the agreed upon Bit Error Rate (BER) or Packet Error Rate (PER) are not exceeded.

2. RF coverage reliability is defined as the probability that the signal strength is above the RSSI threshold needed to achieve the agreed to BER or PER.

3. RF link availability is defined as the percentage of time over a year that a link will be operational. The requirements for RF link availability are specified in Section 10.1.2.

B. RF coverage shall be provided within 100% of the Department’s right of way, including on rail lines, wayside, and terminals; and shall extend not less than 0.5 miles in either direction with respect to the center of each covered track.

C. RF link: 1. Base Station radio to locomotive 220 MHz RF communication links shall be configured

for a minimum coverage probability of 99.9% at a maximum Packet Error Rate of 10%.

D. RF Coverage Reliability 1. The reliability metric applies to each section of track a vehicle can occupy, if used. In

computing the link reliability, no 2 failures shall occur within any 2 adjacent signal blocks which a vehicle can occupy during acceptance testing.

2. Base site radio to locomotive 220 MHz RF coverage shall be configured for a minimum coverage probability of 90.0% at a maximum Packet Error Rate of 10%.

E. Subject to the approval of the Department, the Vendor shall quantitatively determine the maximum Bit Error Rate (BER) without Forward Error Correction (FEC) coding that the system communication links can sustain, under the worst-case scenarios for data communication and traffic as defined herein, before network data throughput and system latency causes trains not to operate at maximum speeds permitted by Timetable, signal system, or movement authority. The calculated BER value shall take into the consideration the distance from the signal of a train at which it requires the status of the signal in order to proceed. The BER of all radio paths configured for PTC shall be better than this value or 1.0E-4, whichever is lower. Refer to Section 14.4.5.2 for the factors adverse to data throughput that shall be used in the quantitative determination of this maximum BER. The Vendor shall submit the calculations in the BER Study for PTC 220 MHz System.

F. Data traffic shall be based on existing vehicle traffic projected to the year 2020, plus 50% to account for future growth. The Vendor shall quantitatively determine, subject to the approval by the Department, the minimum received signal strength corresponding to the maximum PER/BER. 1. RF coverage propagation computer simulations shall be performed by the Vendor using

RF engineering computer software configured for this purpose. These computer simulations shall utilize terrain data and land use data with a resolution no more than 10 meters, and shall use the WGS 84 geodetic datum. The Vendor’s computer simulations

shall be verified using field signal strength measurements to further refine and calibrate the model in order to more accurately predict the signal strength and reliability of the various PTC 220 MHz radio links.

2. Radio Coverage Simulation Results, with field verification data witnessed by the



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Department shall be submitted per the CDRL schedule to the Department for approval. 3. The Vendor shall account for all fade margin factors including Rayleigh, log-normal and

multi-path fading in the modeling performed. The Vendor shall establish a link-budget that addresses these and all other losses or gains to complete the budget and submit detailed calculations as part of the BER Study for PTC 220 MHz System for review and approval.

14.4.4.5 Coverage Redundancy

A. Coverage redundancy is an essential requirement of the PTC 220 MHz network. The final configuration of the 220 MHz PTC communication network performed by the Vendor shall evaluate the coverage redundancy (overlap) in the coverage report and provide a revised configuration, if necessary, to ensure adequate coverage overlap and network redundancies will be provided, such that the failure of any one (1) site or any one (1) network device does not result in a coverage outage of any one (1) cell or region. The Vendor shall be responsible to provide the required frequency reuse analysis to determine the optimal site spacing, frequency reuse plan and required Signal to Interference ratio that supports the BER/PER and reliability requirements defined in Section 14.4.4.4.

B. Only system configurations that demonstrate coverage and network redundancies consistent with this criterion shall be considered. The Vendor shall describe in detail the redundancy features of the network and how it will provide the system availability specified. This description shall include site hardening to survive adverse conditions including a loss of commercial power for up to 8 hours for all new sites. This description shall also include mitigation techniques to address the failure of components and/or systems.

C. Vendor shall confirm with that the quantity and configuration of PTC Base Station radios used at each Base Station site meet the requirements of the Technical Specifications, including the coverage redundancy requirements.

14.4.4.6 Frequencies and Licensing

A. PTC communications shall utilize portions of the 217.6 - 222 MHz spectrum for the communication links from vehicles to/from Base Stations.

B. The Vendor shall be responsible to validate the 220 MHz frequency plan to ensure the RF demand and data throughput requirements of the Department are met. This result shall be formally communicated to the Department, who will be responsible for the acquisition and licensing of spectrum.

C. The Department is to acquire spectrum in the 220 MHz band in order to support PTC data communication. The Vendor shall be responsible to evaluate the spectrum acquired to determine if it is suitable for its PTC system.

D. The Vendor shall be responsible to monitor and record activity on the spectrum at a minimum of 3 strategic locations approved by the Department. The locations should span the Department’s territory in order to document co-channel interference from nearby licensed users as well as from squatters. The contractor shall be responsible for this task through the duration of the contract. The contractor shall turn over all tools and equipment to the Department’s O&M Contractor at Final Acceptance.



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1. The Vendor shall present monthly reports of this spectrum monitoring to the Department, who will be responsible to provide relevant information to the FCC for enforcement action, where required. The Vendor shall be responsible for determination on which of the recorded co-channel interference activities is the result of interference from nearby licensed users and to devise mitigating configuration and frequency planning strategies.

14.4.4.7 Frequency Reuse

A. The Vendor shall plan or prepare its own Cellular Network Configuration and Interoperable Frequency Re-Use Plan and Resultant C/(I+N) for 220 MHz Network as part of the Vendor’s final configuration. The Vendor’s re-use plan shall optimize re-use distance, re-use factor and re-use ratio in order to achieve the highest C/(I+N) possible above the minimum considering the frequency resources available while maintaining compliance with ITC/AAR interoperability requirements as well as BER requirements of these Specifications.

B. In addition, the Vendor shall provide a simulation study to validate the following configuration parameters: 1. Hierarchy of the cellular configuration, in particular the use of macro and micro cells; 2. Diversity techniques to mitigate multi-path fading; 3. Sectorization of cells using directional antennas, including benefits to the C / (I + N)

ratio and frequency usage; 4. Handoff analysis and the types of cell-to-cell handoffs; 5. Synchronization using GPS time source; and 6. Power or automatic gain control used to minimize interference as the separation

between vehicle and base station varies.

C. The Vendor’s final configuration reports and channelization configurations are subject to the review and approval of the Department.

14.4.4.8 Data Encryption and Authentication

A. Data authentication and encryption shall comply with the ITC/AAR Specifications. The Vendor shall provide what scenarios, data encryption will be used. Encryption standard and application, if used, shall be interoperable.

14.4.4.9 Data Error Protection

A. Data errors during transmission shall be detected using a cyclic redundancy check (CRC). This adds some data overhead to all message transmissions, and shall therefore be factored into the network throughput calculations. Data error control is also required from end-to-end; hence it shall be implemented per the requirements of the ITC communications and messaging Specifications, at both the application layer (layer 7) and in the data link layer (layer 2).

14.4.4.10 TDMA Timing and Synchronization

A. The PTC 220 MHz network shall obtain TDMA timing and synchronization from a clock source provided via GPS. All PTC base station sites, and vehicles shall therefore be equipped with a GPS antenna(s), and receiver(s) to recover this clock source. The



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Onboard 220 MHz radio may use an external GPS source provided by the TMC.

14.4.5 802.11ac WLAN

A. The WiFi in the VSMF and VSLMF shall be used for database uploads to the Department’s rolling stock prior to departure form yards and terminals to mainline operation. The Vendor shall submit the Network configuration and Frequency Plan for WiFi.

14.4.5.1 Traffic Analysis and Data Throughput

A. The Vendor shall perform a traffic analysis, which shall be used to determine the appropriate number of WiFi access points as well as the number of distinct access point frequencies, from the selected WiFi standard required to meet the data throughput requirements of the Department. The Vendor shall be responsible for the configuration of the interface to the backhaul that will transport the WiFi data between the designated locations and the PTC Hosted Back Office. The Vendor shall submit the WiFi Traffic Analysis for approval.

14.4.5.2 Coverage Reliability and Data Error Rates

A. All WiFi communication links shall be configured for coverage reliability (availability) of 99.0% or better. A fade margin of at least 17 dB shall be factored into the configuration to account for Rayleigh fading that will affect radio paths. The Vendor shall configure the WiFi communication links such that even worst case links shall have signal strengths sufficient to minimize BER to levels below that which can reduce network data throughput and system latency to avoid degrading critical railroad performance parameters including minimum headways. Data traffic shall be based on existing vehicle traffic plus 100% to account for future growth. The Vendor shall configure the WiFi communication links such that the received signal strength exceeds this minimum signal threshold at least 99.0% of the time. This coverage reliability and error performance shall be provided to 100% of the selected locations.

14.4.5.3 Coverage and Network Redundancy

A. Coverage redundancy shall be a key feature of the WiFi. The configuration of the WiFi shall provide adequate coverage overlap and network redundancies, such that the failure of any one (1) access point or any one (1) network device does not diminish coverage footprint or reliability. Only System configurations that demonstrate coverage and network redundancies consistent with this criterion shall be considered.

14.4.5.4 Data Encryption and Authentication

B. For the WiFi network, the Department requires any authentication and encryption standard and application to be interoperable with ITC compliant vehicles. At a minimum, the WPA encryption/authentication standard shall be used. Authentication shall be provided at the application layer end-to-end. AES shall be used as the encryption component of the selected standard. WPA or WPA2 implementation adds data and processing overhead to all message transmissions, and shall therefore be factored into the network throughput calculations.



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14.4.5.5 Data Error Protection

A. Data errors during transmission shall be detected using a Cyclic Redundancy Check (CRC). This adds data overhead to all message transmissions, and shall therefore be factored into the network throughput calculations. Data error control is required from end-to-end; hence it shall be implemented at both the application layer (layer 7) and in the data link layer (layer 2).

14.4.5.6 Air Interface

B. The WiFi configuration shall use a CSMA/CA air interface per the IEEE 802.11 standard definition.

14.5 GPS

A. The GPS, Nationwide Differential Global Positioning System (NDGPS) and the Wide Area Augmentation System (WAAS) are land-based or satellite-based systems using GPS or some enhancement or augmentation of GPS to provide navigational aid. Not all of these systems have nation-wide coverage. The WAAS radio frequency network uses satellite based microwave radio frequency beacons to provide a differential GPS signal to augment GPS accuracy.

B. The Vendor shall time synchronize all PTC system to GPS.

14.6 EQUIPMENT FUNCTIONAL REQUIREMENTS

A. Equipment used at Radio Base Station sites shall have the following functional requirements: 1. Vendor shall provide load calculations at each base station location to determine

sufficient battery backup to meet the minimum requirement to have 8 hours at full load. 2. Antenna towers shall be structurally capable of supporting the number of antennas

necessary for PTC. The Vendor shall conduct a tower load study on the existing towers to ensure that sufficient physical support for PTC equipment is available.

3. Any new antenna towers, fully loaded, shall survive sustained winds and wind gusts as required by the department and TIA-222.

4. All equipment enclosures and towers shall be properly grounded to provide lightning protection.

5. The Vendor shall conduct a degradation in sensitivity assessment of the positioning of the existing 160 MHZ, 900 MHZ, and 220 MHZ antennas on the existing towers. This assessment shall be submitted to Department for approval.

B. Antennas located on any new towers shall be serviceable from the ground and shall not require cabling to be disturbed.

C. The Vendor shall ensure electromagnetic compatibility with the existing system are adequate for both PTC and co-located systems operation. This compatibility shall be verified through modeling and site testing. 1. All PTC radio, commercial cellular modem, Wi-Fi and GPS equipment shall meet the

EMI requirements specified in Section 14.4 and EMI/EMC requirements as defined in Sections 12 and 15.



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14.7 EQUIPMENT DIVERSITY AND REDUNDANCY

A. Various combinations of antennas and radio and wireless equipment shall be utilized at radio Base Station sites, and on vehicles to achieve space diversity and/or equipment redundancy in order to meet or exceed the availability, reliability and safety (as applicable) requirements of the Specifications or as dictated by the hazard and failure analyses.

B. Connectivity of Datacomm network service shall be redundant.

14.7.1 Existing Infrastructure

A. The Department uses the Department’s owned radio communication sites. The 5 radio tower sites are located along the Department’s right-of-way. The Vendor shall confirm that these sites in the implementation of the new PTC communication systems and networks are sufficient. If it is determined by the Vendor that re-use of these sites is not practical, the Vendor shall present proposed additions or improvements of communications infrastructure for Department evaluation and approval.

14.8 TESTING AND QUALITY

A. The Vendor shall prepare detailed Project Test Plan and Test Procedures for the PTC communications systems and their interfaces to the interconnected systems including external interfaces to tenant railroads. 1. This communications systems-specific Plan and procedures are required in addition to

the System-Wide Acceptance test plan and procedures defined in Section 7.

B. Testing shall verify that applicable FCC rules were followed for equipment, system configurations and installations. For all new installations, antennas, mountings, poles, and towers shall be adequately rated to match environmental conditions in the Department’s Service area, including at a minimum, wind survivability and grounding for lightning protection.

C. Testing shall verify that surge protection and EMC/EMI have been properly implemented and performing their intended function.

D. The Vendor shall perform Radio Coverage tests, Network Throughput Tests, Network BER tests, Network Load Tests, Factory Tests, Site Specific Tests, Field Tests, Interface Tests as part of or prior to System-wide Acceptance Tests. The successful conclusion of the System-wide Acceptance Tests, including all required re-tests, shall be the criterion for the Department consideration of acceptance and sign-off as referenced below.

E. The Vendor testing shall include network performance of the backbone infrastructure for PTC.



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15 PTC HOSTED BACK OFFICE SYSTEM

A. Vendor shall provide the PTC Hosted Back Office Components and coordinate the build out this infrastructure and interface. The Vendor shall be responsible to procure, install, configure and test all hardware infrastructure required to interface the PTC Hosted Back Office with all segments of the Department’s PTC infrastructure and all other external systems to provide a complete PTC System. The PTC Hosted Back Office implementation shall include the Individual Composite CRC Calculator (IC3) functionality.

B. The PTC Hosted Back Office System shall be responsible for the following functionality: 1. Create, store, and manage distribution of track databases; 2. Accept, store, and manage mandatory directives; 3. Create, store, and manage distribution of databases for crew identification and

certification, track train location and status, wayside and onboard status and asset tracking, and communication asset and coverage status;

4. Create, store and manage train consist information; 5. Exchange train and crew information with other host or tenant railroads over a

federated link; 6. Alarm and event management; 7. Storage of all messages, controls, commands, inputs, outputs, alarms, alerts,

and events in a historical archive with a timestamp of the time the element was initiated (not time it was logged). The most recent data shall be available for reporting or review by authorized users online; all historical data shall be retained without loss;

8. Manage the PTC Hosted Back Office network. 9. Maintain and exchange cryptographic keys between the Department and tenant

railroads, using an industry-standard Interoperable Train Control System protocol. Keys assigned to PTC (ITC) assets shall be accessed across Federated Links for PTC shared assets (onboard, base stations and WIUs).

C. The PTC Hosted Back Office shall be responsible for delivering mandatory directives and

I-ETMS functions for all PTC-equipped trains operating on the Department’s territory. The PTC Hosted Back Office shall interface to the PTC DUI System to provide dispatcher access to the PTC Hosted Back Office functions and information through the dispatcher workstations. The PTC Hosted Back Office shall provide the complete interoperable interface between the PTC Hosted Back Office central system and the wayside and onboard PTC components.

D. The Vendor shall ensure that the PTC Hosted Back Office System shall provide the functionality, configuration, and messaging protocol necessary to support interface and interoperability as follows: 1. Bidirectional via the PTC Communications Network:

a. I-ETMS-compliant rail vehicles; b. Wayside equipment and control points Wayside Interface Units (WIU); c. PTC 220 MHz Base Station sites;

2. Bidirectional via Multiprotocol Label Switching (MPLS) circuits to ITC-compliant tenant railroads;

a. I-ETMS compliant assets keys;



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3. Bidirectional via PTC Hosted Back Office LAN: a. DUI equipment; b. Network Management System (NMS);

4. To GPS for clock synchronization. 5. All interfaces shall be redundant and utilize diverse channels.

E. The Vendor shall develop and submit a PTC Hosted Back Office Interface Control Document that defines and documents all physical and functional interfaces for all elements of PTC Hosted Back Office.

F. The Vendor shall ensure that the PTC Hosted Back Office shall be configured to communicate and route messages to the Department’s PTC wayside and onboard systems via the Department’s PTC Communication Network utilizing all communication channels available. The Vendor shall be responsible for all interface hardware and software required to control, monitor, manage, and failure processing all communications channels. The Vendor shall ensure that the PTC Hosted Back Office utilizes the proper communication channels to support the PTC functionality and operational performance required including timing, reliability, and availability.

G. The Vendor shall conduct site visit(s) to the OCC at the VSMF Facility to determine the space and power that is available for the Vendor to install the required interface to PTC Hosted Back Office equipment. The Vendor shall ensure that existing in-service equipment is protected from damage from any work performed under this Contract or from PTC equipment. It is the Vendor’s responsibility to evaluate and determine available space, power, racks, and wiring/cabling within the existing infrastructure and facilities currently available at the OCC equipment room and dispatch center and to configure and modify each to fulfill the requirements of this Contract and to configure, install, integrate, test, and commission the new PTC equipment within these spaces. The Vendor’s utilization of the existing space or additional facilities shall be closely coordinated with the Department and the Department’s O&M Contractor. The Vendor shall complete all tasks and work necessary to provide a fully FRA compliant PTC System.

H. Any additional infrastructure shall be the responsibility of the Vendor.

15.1 HARDWARE FUNCTIONS AND FEATURES

A. The Vendor shall provide all systems, subsystems, equipment, components, and cabling fully configured and interconnected to support PTC Hosted Back Office functionality. The PTC Hosted Back Office System components may be comprised of multiple physical servers or multiple virtual servers in a hardware host.

B. The Vendor shall furnish the PTC Hosted Back Office System and PTC Dispatching User Interface System that meet the PTC Hosted Back Office reliability requirements and availability requirements see Section 10. 1. The PTC Hosted Back Office systems shall be configured as a redundant architecture

within each location. Implementation of non-redundant servers or hardware component shall meet all functional and performance requirements of this Specification. All processors performing critical functions, maintaining databases, and performing data communications for critical functions shall be implemented as a



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redundant processor group. 2. Redundant servers or hardware within the PTC Hosted Back Office shall be

configured for hot standby operation. 3. Failover shall occur automatically from primary PTC Hosted Back Office systems to

backup PTC Hosted Back Office systems. The backup PTC Hosted Back Office systems shall be configured as hot standby.

4. Authorized users shall have the capability to manually failover primary operation to available backup processor in a hot-standby processor group.

C. The hardware shall incorporate the following features: 1. All data shall be automatically backed up in a separate Vendor furnished electronic

storage media. 2. The PTC Hosted Back Office components shall be configured to perform self-tests. 3. The Vendor is responsible for all electrical work required to support the PTC Hosted

Back Office systems including as needed to existing equipment. 4. All PTC Hosted Back Office hardware shall be of the latest OEMs configuration and

be equipped with the latest revisions, manuals and equipment updates at time of issuance of Notice to Proceed (NTP).

15.2 PTC HOSTED BACK OFFICE SOFTWARE FUNCTIONS AND FEATURES

A. The Vendor shall furnish a PTC Hosted Back Office System that provides all software functions and features necessary to comply with the requirements of 49 CFR 236, Subpart I and the requirements described herein. Other functions and data structures not explicitly described below but which are necessary for PTC operation and appropriate for inclusion in the PTC Hosted Back Office shall be included in the PTC Hosted Back Office configuration and installation and submitted by the Vendor for approval as a part of the PTC Hosted Back Office Software Documentation.

B. The PTC Hosted Back Office shall be functionally interoperable with the tenant PTC Back Office systems and update tenant trains as they enter and leave the Department’s PTC territory. All information specific to the operational requirements and safety aspects of operations shall be routed through the PTC Hosted Back Office to ensure the safe and efficient movement of all trains in the Department’s PTC territory.

15.2.1 Infrastructure Database

A. The PTC Hosted Back Office shall be the repository of the current track and facilities infrastructure database. The PTC Hosted Back Office shall provide a secure HMI to allow the database to accept either batch-format updates or discrete updates from authorized personnel. The security features shall be coordinated with and integrated into the configuration management procedures.

15.2.2 PTC Hosted Back Office Safety Functions

A. The PTC Hosted Back Office shall be the repository of all active civil and other speed restrictions, as well as temporary deviations from the base characteristics defined in the Infrastructure database. Such deviations would include temporary civil speed restrictions,



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track out-of-service sections, and restrictions due to fouling or any other purpose. The PTC Hosted Back Office shall appropriately assign such restrictions to the correct trains and update the train’s Onboard PTC System with accurate information. The safety information from the Dispatcher for PTC operation shall be provided by the PTC DUI System to the PTC Hosted Back Office System.

B. The PTC Hosted Back Office shall provide the functions for ensuring that authorities created by the Dispatcher at the PTC Dispatchers User Interface System are delivered in a secure fashion to the onboard PTC computer with data integrity intact. The PTC Hosted Back Office shall verify that there are no overlaps of non-joint authorities in the PTC Hosted Back Office. The IC3 hardware and software solution shall be included to provide independent validation of specific data used for mandatory directives in train operations for PTC.

15.2.3 Employee Credentials Database

A. The Vendor shall provide an interface to the PTC Hosted Back Office System to maintain a database of the Department’s operating employee credentials and their current qualification/certification. The interface with the PTC Hosted Back Office System shall match employee credentials received from the onboard segment upon initialization and shall only provide data downloads and movement authority if the employee has appropriate credentials for the requested territory.

15.2.4 Train Location and Status Database

A. The PTC Hosted Back Office System shall maintain a database of all initialized trains. The PTC Hosted Back Office System shall maintain a database of all on track equipment authorities. The Train Location and Status Database shall contain location information, intended routes, and status (e.g., not initialized, initializing, initialized, initialization failed, missing, initialized but disabled, and annulled).

15.2.5 Conflicting Track Assignment Check

A. Whenever an exception is requested, the PTC Hosted Back Office System shall perform a check against authorized train movements and against other track assignments (e.g., slow orders and out of service orders). The PTC Hosted Back Office System via the PTC DUI System shall notify the Dispatcher of conflicts. The Dispatcher will check each conflict and approve it before the exception is approved. The PTC Hosted Back Office shall interface to and coordinate with the PTC DUI System to retrieve the necessary information and provide the notification and provision for exception handling.

15.2.6 Wayside Status Database

A. The PTC Hosted Back Office System shall maintain an up-to-date list of all wayside equipment controlled by the PTC System (for example, switches, signals, derails, and crossings) and their current status as communicated from the WIU’s (Wayside Interface Units).



MARCH 2017 PAGE 205

15.2.7 Onboard Database Updates

A. The PTC Hosted Back Office System shall communicate updates to trains when needed. The PTC Hosted Back Office System shall determine the information required and the unit to which it is to be sent, select an appropriate communications path, transmit the data, confirm data transmission, and accept the acknowledgement from the unit that the information was successfully accepted into the active onboard system.

15.2.8 Data Exchange with Tenant and Adjacent Railroads

A. The Vendor shall establish MPLS circuits between the Department’s PTC Hosted Back Office location and the tenant and adjacent railroads PTC Hosted Back Office to bi-directionally communicate PTC and trainsheet data.

B. The Vendor shall provide a key exchange system which maintains and exchanges cryptographic keys between the Department and tenant railroads, using an industry-standard Interoperable Train Control System protocol.

C. The PTC Hosted Back Office shall implement Train Sheet Transaction Set to exchange train sheet information and ensure that crews operating equipment on other railroads have current operating information. 1. The Vendor shall establish data exchange with tenant railroads to exchange train

sheet data. 2. The federated link between railroad PTC Hosted Back Offices shall provide a

message path between an owner or tenant railroad’s train and the PTC Hosted Back Office that controls the territory upon which the train is operating, when the PTC messaging is routed through a shared, third party owned radio base station. The Vendor shall provide all technical assistance to the Department staff in its negotiations and implementation of the federated link(s) with other railroads.

15.2.9 Communications Status Database

A. The PTC Hosted Back Office System shall maintain a database of, and continuously monitor all communications paths and their coverage area and their primary and secondary coverage assignments. The PTC Hosted Back Office System shall select the appropriate communications path to any given locomotive, or cab car based upon its location at the time. The PTC Hosted Back Office System shall select a secondary communications path if a primary or preferred communications path is not available.

B. The PTC Hosted Back Office System shall output alarms and reports through the NMS noting the status of any communications paths not functioning at full capacity.

15.2.10 Wayside and Onboard Message Routing

A. The PTC Hosted Back Office System shall use information from managed databases to route appropriate operations messages to wayside locations and trains. All messaging shall be ITC compliant with applicable AAR Standards. Office based functionality (remote Wayside ITCM instances) shall translate field equipment state messages from the WIUs to PTC Wayside Status Messages (WSMs) as defined in the Wayside-Locomotive ICD.



MARCH 2017 PAGE 206

15.2.11 Initialization Messages

A. When initialization is requested from a train, the PTC Hosted Back Office System shall confirm a qualified crew member has logged into the system, confirm the train is ready to accept data, select the most appropriate communications path, and download the necessary data. Data shall include route infrastructure information, routing information, exception data, and any other information required by the Train Management Computer (TMC).

15.2.12 WIU/Train Messages

A. The PTC Hosted Back Office System shall receive communications with the onboard and WIU on any available PTC Comms Network circuit utilizing the Wayside Status Relay Service (WSRS) implementation.

15.2.13 Communications Path Monitoring and Prioritization

A. The PTC Hosted Back Office System shall monitor the health of communications paths both directly and by interfacing with a Communications Manager application. The PTC Hosted Back Office shall use this information to assist with selecting communications routes. The PTC Hosted Back Office System shall provide a minimum of 3 priority levels with the operational messages at the highest priority and with business messaging occupying the lowest priority.

15.2.14 Alarms

A. The PTC Hosted Back Office shall provide alarm and event management to detect alarm conditions and alert the appropriate operation to critical and non-critical events. The PTC Hosted Back Office shall route alarm information to the appropriate DUI efficiently and in a timely fashion. An alarm summary display shall be provided for authorized users.

B. Any system input or combination of system inputs plus any system parameter or combination of system parameters shall be definable as an alarm or an event. Alarm priority shall be definable for each alarm or event type to be used for priority processing and display of alarms and events.

C. Alarm and event messages shall include data that indicates the lowest level object or subsystem to which alarm is attributed. This data shall be combined with configurable alarm and event message text for each type. Each alarm and event type shall be configurable to require acknowledgement and/or audible alert. 1. Operator shall have the capability to temporarily silence audible alerts. 2. Operator alarm acknowledgement shall silence the audible alert.

15.2.15 Automatic Software Process Restart

A. In the unlikely event of a software process failure, the software process shall restart automatically. This includes client processes on console workstations as well as server processes.



MARCH 2017 PAGE 207

15.2.16 Redundant Persistent Data Storage

A. Persistent data storage shall be implemented using a commercial Relational Database Management System (RDBMS). The RDBMS shall provide both server and disk storage redundancy, and ensures data integrity in the event of a hardware failure. Database management, performance monitoring and disk usage monitoring capabilities shall be available for authorized users.

B. Event log data shall be periodically archived to removable media, allowing the data to be moved to off-site storage as needed. The period of this archive cycle shall be configurable.

15.2.17 Licensing

A. The Vendor shall provide all software (operating systems, databases, and required applications) that comprise the PTC Hosted Back Office System. This includes related software upgrades, necessary user licenses, system and user documentation, and related warranties. Additionally, the Vendor is responsible for maintaining software and documentation inventories and managing the software and installation configurations. The Vendor is required to maintain and inventory software deliverables until Final Acceptance of the PTC Project.

15.3 IMPLEMENTATION

A. The Vendor shall, test and place into service the hardware and software specified in this section, including performing all work necessary to ensure that the integration of the PTC Hosted Back Office with the Department’s DUI system is secure, efficient, properly configured, and tuned. The Vendor shall perform all testing, inspections, analysis, and demonstrations to validate that the PTC Hosted Back Office systems comply with all performance requirements.

15.4 HOSTING SERVICES

A. The Vendor shall be responsible for providing and managing all of the services, functions, facilities, and associated resources required for the Hosting Services of the Back Office Segment for the term of this contract including, without limitation:

a. General Management

b. Provide facilities for the hosting site

c. Maintenance of the Back Office Segment Hardware

d. Maintenance of Communications interfaces

e. Help Desk / Troubleshooting support

f. PTC BOS System Security

g. Software updates



MARCH 2017 PAGE 208

h. Configuration Management and Quality Control

B. The Vendor shall provide the necessary qualified personnel and management to provide the services as specified in this Technical Specifications.

C. The Vendor shall be responsible for maintaining secured facilities as necessary to house the Back Office Segment.

D. The Vendor shall provide Help Desk support staff available 24 hours a day, seven days a week, 365 days a year. Help Desk support staff shall be experienced in the Back Office Hosted networks, ITCM, and PTC architecture and implementation and familiar with the systems specific to the Department’s PTC System.

E. The Vendor shall provide troubleshooting support for all back office systems including, but not limited to:

a. Tier 3 Troubleshooting support from Meterorcomm for ITCM Software issues

b. Communications systems to/from the Back Office System

c. Communications systems to/from the Federated Network

d. Coordinated troubleshooting support with Wabtec BOS

F. The Vendor shall be responsible for maintenance of the Communications systems necessary to connect the BOS to the Department’s Office, Communications and Wayside Systems including, but not limited to:

a. Private and secure connections with the cellular carriers that will terminate at the Vendor’s Hosted Back Office.

b. Private and secure connections to the OCC.

c. Private and secure connections to the Federated Network

G. The Vendor shall be responsible for maintaining system software, software configuration, software updates, software version control including, but not limited to:

a. Messaging and Office software releases coordinated with Class I railroads

b. Verification that all new releases of ITCM software provide correct interoperability functioning with the Federated Network.

H. The Vendor shall document all responses to trouble calls and calls for assistance and shall conduct follow-up investigations to determine the root cause for any equipment failures.

I. The Vendor shall be available 24 hours a day, seven days a week, 365 days a year to respond to emergencies and service disruptions with sufficient resources to resolve all failures or outages. Overtime, night, weekend, and/or holiday work should be expected and shall not be restricted for economic reasons.



MARCH 2017 PAGE 209

J. All corrections or repairs to the Hosted BOS System shall be made within the time limits specified by FRA Part 236 for correction, and at the frequency stated in the PTCSP and the PTC Maintenance Program documents.

K. The Vendor shall implement a PTC Training Program Plan and provide training for all Vendor Personnel, Department Personnel, and other personnel as designated by the Department involved in providing operation and maintenance service, including, without limitation, any training required by the FRA.

L. All Vendor Personnel who perform maintenance, repair, modification and testing of the PTC System shall be properly certified according to FRA regulations. Personnel certification documents shall be available on demand to the Department and the FRA. The Vendor shall maintain all PTC System maintenance personnel in the electronic database system utilized for tracking certifications. The PTCMC shall utilize a database system certification report that supports timely recertification notifications and schedule recertification courses for PTCMC Personnel, Department Personnel, t and other personnel as designated by the Department. A copy of this report shall be submitted to the Department.

M. The Vendor shall perform audits that encompass all areas of the Hosted System. Copies of all audit reports shall be transmitted to the Department within thirty (30) days of conclusion of the audit.

N. The Department reserves the right to conduct its own Quality, Configuration, and Safety audits of the Vendor or the Subcontractors and suppliers at any time. The Vendor shall fully cooperate and assist in such audits, as requested by the Department.

O. The Vendor shall attend monthly meetings with the Department, and the Department’s O&M and Signal Maintenance Contractors prepared to provide and discuss a summary of PTC System maintenance and testing activities and results for the previous month, as well as anticipated activities for the coming month.

P. The Vendor shall prepare and submit to the Department a monthly Report. The Report shall include a breakdown of preventable and non-preventable PTC BOS System failures, BOS system outages, braking events, communications outages and provide documentation of system availability. Adjustments to the report shall be made only after review and with concurrence of the Vendor, the Department, and the Department’s O&M and Signal Maintenance Contractors.

Q. The Vendor shall be responsible for coordination with other Department contractors with regard to any maintenance of PTC devices or other electronic/configuration matters that result in inhibiting the safety of service, including the Department and all tenant railroads.

R. The Vendor shall be responsible for the necessary support and documentation for any regulatory proceedings to comply with FRA regulations regarding PTC failures and unsafe conditions caused by the BOS System.

S. The Vendor, when requested by the Department or as necessary, shall furnish any Track Survey services as may be necessary for the proper ‘subdiv file’ operations of the PTC System. The ‘subdiv file’ shall be prepared, and brought before the Department CCB, for



MARCH 2017 PAGE 210

potential changes to existing track, signal, timetable, and operating rules as may be required. All of the work performed by the Vendor as the result of Track Survey services shall be performed as Supplemental Work. Track Survey services performed as the result of construction support shall be defined and performed as part of separate Supplemental Agreements.

15.5 ORIGINAL EQUIPMENT MANUFACTURER (OEM)

A. The Vendor shall use commercial-off-the-shelf (COTS) equipment for all equipment required to interface with the PTC Hosted Back Office systems unless otherwise Department-approved. Original Equipment Manufacturer (OEM) hardware components shall be new and suitable for the purposes specified. The Vendor shall provide OEM equipment that complies with the approved Department IT standards unless otherwise Department-approved. Hardware shall be of the latest OEM configuration as of the time of issuance of Notice to Proceed.

B. Engineering changes and field changes released by the OEM shall be installed prior to factory acceptance testing. Hardware shall comply with all applicable quality control standards of the OEMs.

15.6 PTC HOSTED BACK OFFICE DOCUMENTATION

A. The Vendor shall be responsible for providing complete documentation of the interface to the PTC Hosted Back Office System configuration and installation development for Department Approval.

1. PTC Hosted Back Office System documentation, modified as needed for the Department, shall be provided for Department approval. All existing documentation shall be provided without redaction. The Department may request additional FRA approved Vendor PTC documentation that the Vendor shall provide for review without redaction. Where existing documentation is not available, the Vendor shall develop the missing documentation to the satisfaction and approval of the Department.

B. In addition to documentation requirements specified elsewhere in this Specification, PTC

Hosted Back Office System documentation shall be provided as follows: 1. Identification of all components required to interface with the PTC Back Office System

components to meet the functionality of this Specification in the PTC Hosted Back Office Subsystem Functional Description (SSFD). Hardware components and software and database components shall be defined to meet the functionality of this Specification.

2. Hardware configuration shall be developed first as a Preliminary and then a Detailed Configuration in the interface to PTC Hosted Back Office Hardware Configuration Description and drawings in the interface to PTC Hosted Back Office Hardware Drawings. The PTC Hosted Back Office Hardware Configuration Description and Hardware Drawings shall include detailed Hardware Configuration Block Diagrams, electrical drawings, communications interface diagrams, and drawings of locations of



MARCH 2017 PAGE 211

the interface to PTC Hosted Back Office and equipment details. 3. Hardware installation plans and drawings in the interface to PTC Hosted Back Office

Hardware Installation Configuration. 4. List of all Hardware Configuration Items to be developed and furnished for the interface

to PTC Hosted Back Office System in the interface to PTC Hosted Back Office Hardware Inventory

5. Description and detail of all interfaces to the PTC Hosted Back Office components. 6. Identify all interface equipment and components and the quantities of each to be

furnished as part of the Department’s PTC System as spares in the PTC Hosted Back Office Spare Parts List.

7. Software configuration first as a Preliminary Configuration and then as a Detailed Configuration in the interface to PTC Hosted Back Office Configuration Documentation. The interface to PTC Hosted Back Office Configuration Documentation shall include an allocation of system requirements from the Project RTM to the interface to PTC Hosted Back Office software component configuration.

8. List of all Software Configuration Items to be developed and furnished for the interface to PTC Hosted Back Office System in the PTC Hosted Back Office Software Configuration Items List.

9. Employee Credentials Database configuration first as Preliminary Database Configuration and then as a Detailed Database Configuration in the interface to PTC Hosted Back Office Database Documentation

10. Operation, Administration, Programming and Maintenance Manuals as required under Section 8.10.

11. Test Documentation. 12. Training Documentation. 13. Reliability, Availability, Maintainability, Quality, and Safety Documentation.

C. Submittals shall be prepared and delivered for review in an organized fashion configured to demonstrate progress with a methodical configuration, delivery, installation and commissioning effort. Work performed or materials purchased prior to Department approval will be at the Vendor risk.



MARCH 2017 PAGE 212

16 DISPATCHER USER INTERFACE SYSTEM (CADD System)

A. The OCC is an operational facility that is currently utilizing an Ansaldo system. The OCC must remain fully functional during all cutovers or as coordinated with the department. The dispatch center will need to be upgraded to function with an I-ETMS PTC Hosted Back Office system. The Vendor shall provide the full configuration and material to facilitate the build out of this infrastructure. The Vendor shall be responsible to procure, install, and test all hardware infrastructure. All required software for dispatch hardware will be the responsibility of the Vendor. The Vendor will be responsible for the integration of PTC elements to make the PTC Dispatcher User Interface (DUI) functional.

B. The Vendor shall ensure a PTC Dispatcher User Interface (DUI) System provides the office functions and data needed to meet the overall requirements of the PTC operation. The PTC DUI shall provide authorized users the capability to create, modify, delete, and manage all operation information required by the PTC Hosted Back Office System to operate and respond to locomotive requests including: speed restrictions, movement authorities, work zones, stop and protect orders on highway grade crossings, track bulletins, train consists, and mandatory directives. The Vendor shall ensure all displays, forms, and reports necessary to support the Dispatcher input to the PTC Hosted Back Office or provide PTC Hosted Back Office information to the Dispatcher.

C. The Vendor shall ensure the PTC DUI have the capability to receive and display PTC Hosted Back Office alarms, train location and speed, wayside status, and all other data received from the PTC Hosted Back Office. The Vendor shall work closely with the Department on the PTC DUI System user interface and displays, reports, and all functionality of PTC. The Vendor shall be responsible for coordinating all activities for full integration of the PTC DUI.

D. All software developed for this interface is considered customized for this project and shall therefore be subject to the software submittal requirements.

E. The Vendor shall be responsible to plan and execute all PTC DUI implementation, testing, cutover and installation and without impact to or degradation of current rail operations or maintenance activities. Any system outages shall have written Department approval prior to implementing.

16.1 EXISTING DISPATCH OPERATIONS

A. The Vendor shall be responsible to be familiarized with operation of all areas of the Department’s rail systems.

B. The primary location for rail operations is at the Operation Control Center with backup capabilities at the VSLMF. The Vendor shall provide the installation of the DUI Interface.

16.2 INSPECTION AND SITE SURVEY

A. Within 60 days after NTP, the Vendor shall inspect the Operation Control Center facilities and ancillary rooms, and any other location where PTC DUI equipment is to be installed and submit the DUI Location Study Report of any equipment required. After inspection, the



MARCH 2017 PAGE 213

Vendor shall submit a DUI Site Survey Report describing how the Vendor will integrate the new PTC equipment within 30 days after site inspection.

16.3 FUNCTIONS AND FEATURES

A. The Vendor will provide the development of all PTC display and report formats, user interface, and content. Vendor shall provide PTC Hosted Back Office System alarm information to the PTC DUI and routed to the appropriate Dispatcher console with the appropriate urgency and layers of information to allow for timely Dispatcher response in an appropriate manner.

16.4 NOT USED

16.5 PTC DISPATCHING USER INTERFACE DOCUMENTATION

A. The Vendor shall provide the details of the installation, testing, and placement of the new PTC Dispatching User Interface component into service in the DUI Field Implementation Plan. The plan shall include a schedule identifying all critical activities, dependencies, and responsible parties, all requirements for the Vendor’s work, the Department participation requirements, and potential impacts to the daily service.

B. The Department shall provide the Vendor with a summary of the Department’s requirements and constraints to be considered in the development of the Field Implementation Plan. The date by which this information will be provided by the Department will be determined after NTP; the Vendor shall include this date as a milestone on the contract schedule. The Field Implementation Plan shall be submitted for review by the Department to ensure its successful integration into overall planning. The project management software package used to develop the plan shall be the same as that used for the contract schedule.



MARCH 2017 PAGE 214

17 POTENTIAL ADDITIONAL SERVICES - PTC MAINTENANCE SERVICES

Potential additional services are herein described solely for informational purposes and are not to be included in the price for the services described in this Technical Scope. These additional services are contemplated by the Department and may or may not be provided, at the Department’s sole discretion, by Other Contractors, or the Vendor. When and if such services are sought, additional information will be provided.

A. The maintenance of the Department’s PTC System may be performed by a PTC Maintenance Contractor (PTCMC) who shall be responsible for maintaining the entire PTC System so as to provide safe, reliable, and on-time service.

B. The PTCMC’s Scope of Work shall be delineated by work area and described, in detail in future Amendments or Modifications to the Vendor’s contract as specified by the Department.

C. The following work areas shall comprise the core scope of the PTCMC’s responsibilities:

1. PTC Onboard Maintenance Services 2. PTC Wayside Communications Maintenance Services

D. The PTCMC shall have reporting and record keeping duties and construction support

obligations (coordinating with the Department’s configuration and construction program) and future opportunities to perform Additional Construction Work as requested by the Department.

18 APPENDICES

18.1 LIST OF APPENDICES

Appendix A – CFRC Route Track Charts Appendix B – CFRC Operating Rules Appendix C – CFRC Timetable Appendix D – PTC Typicals Appendix E – Phase 2 North Appendix F – CFRC Route Track and Signals Charts


FL171 Orange CountyGeneral Decision Number: FL160171 01/08/2016 FL171

Superseded General Decision Number: FL20150171

State: Florida

Construction Type: Heavy

County: Orange County in Florida.

HEAVY CONSTRUCTION PROJECTS (Including Sewer and Water Lines)

Note: Under Executive Order (EO) 13658, an hourly minimum wageof $10.15 for calendar year 2016 applies to all contractssubject to the Davis-Bacon Act for which the solicitation wasissued on or after January 1, 2015. If this contract is coveredby the EO, the contractor must pay all workers in anyclassification listed on this wage determination at least$10.15 (or the applicable wage rate listed on this wagedetermination, if it is higher) for all hours spent performingon the contract in calendar year 2016. The EO minimum wage ratewill be adjusted annually. Additional information on contractorrequirements and worker protections under the EO is availableat www.dol.gov/whd/govcontracts.

Modification Number Publication Date 0 01/08/2016

ENGI0673-013 05/01/2013

Rates Fringes

OPERATOR: Oiler.................$ 20.36 10.85----------------------------------------------------------------* IRON0808-003 02/01/2015

Rates Fringes

IRONWORKER, STRUCTURAL...........$ 23.50 11.95---------------------------------------------------------------- LABO0517-002 05/01/2014

Rates Fringes

LABORER: Grade Checker..........$ 18.35 6.45---------------------------------------------------------------- PAIN1010-011 08/01/2014

Page 1


FL171 Orange County

Rates Fringes

Painter - Brush, Roller & Spray............................$ 19.50 8.83---------------------------------------------------------------- SUFL2009-167 06/24/2009

Rates Fringes

CARPENTER........................$ 13.56 1.84

CEMENT MASON/CONCRETE FINISHER...$ 13.44 0.00

ELECTRICIAN......................$ 16.71 3.51

FORM WORKER......................$ 12.00 1.43

LABORER: Common or General......$ 8.69 2.24

LABORER: Landscape..............$ 7.25 0.00

LABORER: Pipelayer..............$ 12.12 2.01

LABORER: Power Tool Operator (Hand Held Drills/Saws, Jackhammer and Power Saws Only)............................$ 10.63 2.20

OPERATOR: Asphalt Paver.........$ 11.88 0.00

OPERATOR: Backhoe Loader Combo............................$ 16.10 2.44

OPERATOR: Backhoe/Excavator.....$ 12.81 3.37

OPERATOR: Bulldozer.............$ 12.03 3.14

OPERATOR: Crane.................$ 16.17 3.89

OPERATOR: Grader/Blade..........$ 16.00 2.84

OPERATOR: Loader................$ 12.34 1.92

OPERATOR: Mechanic..............$ 13.83 2.19

OPERATOR: Roller................$ 10.67 1.87

Page 2


FL171 Orange CountyOPERATOR: Scraper...............$ 11.00 1.74

OPERATOR: Trackhoe..............$ 20.92 5.50

OPERATOR: Tractor...............$ 10.00 0.00

TRUCK DRIVER, Includes Dump Truck............................$ 9.50 1.70

TRUCK DRIVER: 4 Axle Truck......$ 14.12 0.00

TRUCK DRIVER: Lowboy Truck......$ 11.00 0.00

TRUCK DRIVER: Off the Road Truck............................$ 12.21 1.97----------------------------------------------------------------

WELDERS - Receive rate prescribed for craft performingoperation to which welding is incidental.

================================================================

Unlisted classifications needed for work not included withinthe scope of the classifications listed may be added afteraward only as provided in the labor standards contract clauses(29CFR 5.5 (a) (1) (ii)).

----------------------------------------------------------------

The body of each wage determination lists the classificationand wage rates that have been found to be prevailing for thecited type(s) of construction in the area covered by the wagedetermination. The classifications are listed in alphabeticalorder of "identifiers" that indicate whether the particularrate is a union rate (current union negotiated rate for local),a survey rate (weighted average rate) or a union average rate(weighted union average rate).

Union Rate Identifiers

A four letter classification abbreviation identifier enclosedin dotted lines beginning with characters other than "SU" or"UAVG" denotes that the union classification and rate wereprevailing for that classification in the survey. Example:PLUM0198-005 07/01/2014. PLUM is an abbreviation identifier of

Page 3


FL171 Orange Countythe union which prevailed in the survey for thisclassification, which in this example would be Plumbers. 0198indicates the local union number or district council numberwhere applicable, i.e., Plumbers Local 0198. The next number,005 in the example, is an internal number used in processingthe wage determination. 07/01/2014 is the effective date of themost current negotiated rate, which in this example is July 1,2014.

Union prevailing wage rates are updated to reflect all ratechanges in the collective bargaining agreement (CBA) governingthis classification and rate.

Survey Rate Identifiers

Classifications listed under the "SU" identifier indicate thatno one rate prevailed for this classification in the survey andthe published rate is derived by computing a weighted averagerate based on all the rates reported in the survey for thatclassification. As this weighted average rate includes allrates reported in the survey, it may include both union andnon-union rates. Example: SULA2012-007 5/13/2014. SU indicatesthe rates are survey rates based on a weighted averagecalculation of rates and are not majority rates. LA indicatesthe State of Louisiana. 2012 is the year of survey on whichthese classifications and rates are based. The next number, 007in the example, is an internal number used in producing thewage determination. 5/13/2014 indicates the survey completiondate for the classifications and rates under that identifier.

Survey wage rates are not updated and remain in effect until anew survey is conducted.

Union Average Rate Identifiers

Classification(s) listed under the UAVG identifier indicatethat no single majority rate prevailed for thoseclassifications; however, 100% of the data reported for theclassifications was union data. EXAMPLE: UAVG-OH-001008/29/2014. UAVG indicates that the rate is a weighted unionaverage rate. OH indicates the state. The next number, 0010 inthe example, is an internal number used in producing the wagedetermination. 08/29/2014 indicates the survey completion datefor the classifications and rates under that identifier.

A UAVG rate will be updated once a year, usually in January ofeach year, to reflect a weighted average of the currentnegotiated/CBA rate of the union locals from which the rate is

Page 4


FL171 Orange Countybased.

----------------------------------------------------------------

WAGE DETERMINATION APPEALS PROCESS

1.) Has there been an initial decision in the matter? This canbe:

* an existing published wage determination* a survey underlying a wage determination* a Wage and Hour Division letter setting forth a position on a wage determination matter* a conformance (additional classification and rate) ruling

On survey related matters, initial contact, including requestsfor summaries of surveys, should be with the Wage and HourRegional Office for the area in which the survey was conductedbecause those Regional Offices have responsibility for theDavis-Bacon survey program. If the response from this initialcontact is not satisfactory, then the process described in 2.)and 3.) should be followed.

With regard to any other matter not yet ripe for the formalprocess described here, initial contact should be with theBranch of Construction Wage Determinations. Write to:

Branch of Construction Wage Determinations Wage and Hour Division U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210

2.) If the answer to the question in 1.) is yes, then aninterested party (those affected by the action) can requestreview and reconsideration from the Wage and Hour Administrator(See 29 CFR Part 1.8 and 29 CFR Part 7). Write to:

Wage and Hour Administrator U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210

The request should be accompanied by a full statement of theinterested party's position and by any information (wagepayment data, project description, area practice material,

Page 5


FL171 Orange Countyetc.) that the requestor considers relevant to the issue.

3.) If the decision of the Administrator is not favorable, aninterested party may appeal directly to the AdministrativeReview Board (formerly the Wage Appeals Board). Write to:

Administrative Review Board U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210

4.) All decisions by the Administrative Review Board are final.

================================================================

END OF GENERAL DECISION�

Page 6


FL172 Osceola CountyGeneral Decision Number: FL160172 01/08/2016 FL172


State: Florida


County: Osceola County in Florida.




ENGI0925-009 06/01/2013

Rates Fringes

POWER EQUIPMENT OPERATOR: Drill.......................$ 29.61 11.50 Oiler.......................$ 22.91 11.50----------------------------------------------------------------* IRON0808-008 02/01/2015

Rates Fringes

IRONWORKER, STRUCTURAL AND REINFORCING......................$ 23.50 11.95---------------------------------------------------------------- LABO0517-002 05/01/2014

Rates Fringes

Page 1


FL172 Osceola CountyLABORER: Grade Checker..........$ 18.35 6.45---------------------------------------------------------------- PAIN1010-011 08/01/2014

Rates Fringes


Rates Fringes

CARPENTER, Includes Form Work....$ 13.37 1.78


ELECTRICIAN......................$ 16.71 3.51









OPERATOR: Crane.................$ 16.17 3.89


OPERATOR: Loader................$ 13.00 1.84


OPERATOR: Roller................$ 10.67 1.87

Page 2


FL172 Osceola County

OPERATOR: Scraper...............$ 11.00 1.74








================================================================


----------------------------------------------------------------



A four letter classification abbreviation identifier enclosedin dotted lines beginning with characters other than "SU" or"UAVG" denotes that the union classification and rate wereprevailing for that classification in the survey. Example:

Page 3


FL172 Osceola CountyPLUM0198-005 07/01/2014. PLUM is an abbreviation identifier ofthe union which prevailed in the survey for thisclassification, which in this example would be Plumbers. 0198indicates the local union number or district council numberwhere applicable, i.e., Plumbers Local 0198. The next number,005 in the example, is an internal number used in processingthe wage determination. 07/01/2014 is the effective date of themost current negotiated rate, which in this example is July 1,2014.







A UAVG rate will be updated once a year, usually in January ofeach year, to reflect a weighted average of the current

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FL172 Osceola Countynegotiated/CBA rate of the union locals from which the rate isbased.

----------------------------------------------------------------









The request should be accompanied by a full statement of theinterested party's position and by any information (wage

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FL172 Osceola Countypayment data, project description, area practice material,etc.) that the requestor considers relevant to the issue.




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FL177 Seminole CountyGeneral Decision Number: FL160177 01/08/2016 FL177


State: Florida


County: Seminole County in Florida.




ENGI0673-013 05/01/2013

Rates Fringes


Rates Fringes


Rates Fringes

LABORER: Grade Checker..........$ 18.35 6.45---------------------------------------------------------------- PAIN1010-011 08/01/2014

Page 1


FL177 Seminole County

Rates Fringes


Rates Fringes

CARPENTER, Excludes Form Work....$ 13.56 1.84


ELECTRICIAN......................$ 16.71 3.51

FORM WORKER......................$ 13.28 1.43









OPERATOR: Crane.................$ 16.17 3.89


OPERATOR: Loader................$ 12.21 1.59


OPERATOR: Roller................$ 10.67 1.87

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FL177 Seminole CountyOPERATOR: Scraper...............$ 11.00 1.74








================================================================


----------------------------------------------------------------




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FL177 Seminole Countythe union which prevailed in the survey for thisclassification, which in this example would be Plumbers. 0198indicates the local union number or district council numberwhere applicable, i.e., Plumbers Local 0198. The next number,005 in the example, is an internal number used in processingthe wage determination. 07/01/2014 is the effective date of themost current negotiated rate, which in this example is July 1,2014.








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FL177 Seminole Countybased.

----------------------------------------------------------------










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FL177 Seminole Countyetc.) that the requestor considers relevant to the issue.




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FL180 Volusia CountyGeneral Decision Number: FL160180 01/08/2016 FL180


State: Florida


County: Volusia County in Florida.

HEAVY CONSTRUCTION PROJECTS (Including Sewer and Water Lines)(EXCLUDING CAPE CANAVERAL AIR FORCE STATION, PATRICK AIR FORCEBASE, KENNEDY SPACE FLIGHT CENTER AND MALABAR RADAR SITE)



ENGI0673-013 05/01/2013

Rates Fringes


Rates Fringes


Rates Fringes

LABORER: Grade Checker..........$ 18.35 6.45

Page 1


FL180 Volusia County---------------------------------------------------------------- PAIN1010-011 08/01/2014

Rates Fringes


Rates Fringes

CARPENTER, Excludes Form Work....$ 13.56 1.84


ELECTRICIAN......................$ 16.71 3.51

FORM WORKER......................$ 11.36 0.00









OPERATOR: Crane.................$ 14.88 3.17


OPERATOR: Loader................$ 13.38 0.00


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FL180 Volusia CountyOPERATOR: Roller................$ 10.50 0.00

OPERATOR: Scraper...............$ 11.00 1.74







================================================================


----------------------------------------------------------------




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FL180 Volusia Countythe union which prevailed in the survey for thisclassification, which in this example would be Plumbers. 0198indicates the local union number or district council numberwhere applicable, i.e., Plumbers Local 0198. The next number,005 in the example, is an internal number used in processingthe wage determination. 07/01/2014 is the effective date of themost current negotiated rate, which in this example is July 1,2014.








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FL180 Volusia Countybased.

----------------------------------------------------------------










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FL180 Volusia Countyetc.) that the requestor considers relevant to the issue.




================================================================


Page 6


STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION Appendix II INFORMATION TECHNOLOGY RESOURCES

375-040-29 PROCUREMENT 06/16 Page 1 of 2

Contract (Purchase Order) #: PROJECT PLAN SCOPE LANGUAGE

The Department requires that the Vendor create and submit a Project Plan that demonstrates how the creation and maintenance of the application will be carried out. The Project Plan template may be found at http://www.dot.state.fl.us/OIS/docs/dispFiles.shtm, and is the template which the Department requires the Vendor to follow. The Project Plan must be submitted to the Department within business days after execution of Contract. Upon receipt of the Project Plan, the Department will have fourteen (14) business days to review and approve the Project Plan in its sole discretion. No other work may begin prior to the submission and approval of the Project Plan. After the Project Plan is approved, the Vendor shall keep the Project Plan updated as necessary or upon notification by the Department of a deficiency in the Project Plan. Any change to the Project Plan must be approved by the Department.

SECURITY PLAN SCOPE LANGUAGE The Department requires that the Vendor create and submit a Security Plan. The Security Plan template may be found at http://www.dot.state.fl.us/OIS/docs/dispFiles.shtm, and is the template which the Department requires the Vendor to follow. The Security Plan must be submitted to the Department by . Upon receipt of the Security Plan, the Department will have fourteen (14) business days to review and approve the Security Plan in its sole discretion. After the Security Plan is approved, the Vendor shall keep the Security Plan updated as necessary or upon notification by the Department of a deficiency in the Security Plan. Any change to the Security Plan must be approved by the Department.

OWNERSHIP OF WORKS AND INVENTIONS The Department shall have full ownership of any works of authorship, inventions, improvements, ideas, data, processes, computer software programs, and discoveries (hereafter called intellectual property) conceived, created, or furnished under this Contract, with no rights of ownership in Vendor or any subcontractors. Vendor and subcontractors shall fully and promptly disclose to the Department all intellectual property conceived, created, or furnished under this Contract. Vendor or subcontractor hereby assigns to the Department the sole and exclusive right, title, and interest in and to all intellectual property conceived, created, or furnished under this Contract, without further consideration. This Contract shall operate as an irrevocable assignment by Vendor and subcontractors to the Department of the copyright in any intellectual property created, published, or furnished to the Department under this Contract, including all rights thereunder in perpetuity. Vendor and subcontractors shall not patent any intellectual property conceived, created, or furnished under this Contract. Vendor and subcontractors agree to execute and deliver all necessary documents requested by the Department to effect the assignment of intellectual property to the Department or the registration or confirmation of the Department’s rights in or to intellectual property under the terms of this Contract. Vendor agrees to include this provision in all its subcontracts under this Contract.

ESCROW OF SOURCE CODE The Vendor shall maintain in escrow a copy of the source code for the licensed software. With each new release of the software provided to the Department, the Vendor shall maintain the updated source code in escrow. In the event the Vendor files for bankruptcy or ceases operations for any reason, the Department shall promptly be provided the current source code in escrow. The Department will only use the source code to support the licensed software subject to the same nondisclosure provisions of this Contract.

COPYRIGHT OR PATENT INFRINGEMENT To the extent permitted by Florida Law, the Vendor, without exception, shall save, defend and hold harmless the Department and its employees from liability of any nature or kind, including cost and expenses, for or on account of any copyrighted, patented or unpatented invention, process, or article manufactured or supplied by the Vendor. The Vendor has no liability when such claim is solely and exclusively due to the combination, operation or use of articles supplied hereunder with equipment or data not supplied by Vendor or is based solely and exclusively upon the Department's alteration of the article. The Department will provide prompt written notification of a claim of copyright or patent infringement. Further, if such claim is made or is pending, the Vendor may, at its option and expense, procure for the Department the right to continued use of, or replace or modify the article to render it non-infringing. If the Vendor uses any design, device, or materials covered by letters, patent or copyright, it is mutually agreed and understood that, without exception, the Contract price shall include all royalties or other costs arising from the use of such design, device, or materials in any way involved in the work.

COMPUTER HARDWARE/SOFTWARE In any Contract for the purchase or maintenance of machines or computer hardware/software or licensed programs, the Vendor's entire liability and the Department's exclusive remedy for damages to the Department related to the machine or computer hardware/software or

BE494


375-040-29 PROCUREMENT OFFICE 11/14 Page 2 of 2

licensed program which is the subject of this Contract, or maintenance thereof shall be limited to, at the Department's discretion, 1) the correction by the Vendor of the relevant defect(s); or 2) actual damages up to the greater of $ or an amount equal to 12 months maintenance charges for said product or the purchase price of said product. Such maintenance charges will be those in effect for the specific product when the cause of action arose. The foregoing limitation of liability will not apply to (a) the payment of cost and damage awards resulting from liability in accordance with the Copyright and Patent Infringement paragraph above, or to (b) claims for reprocurement costs or the cost of cover pursuant to Rule 60A-1.006, Florida Administrative Code, or to (c) claims by the Department for personal injury or damage to real property or tangible personal property caused by the Vendor's negligence or tortious conduct.

ACCOUNTING AND RIGHT TO AUDIT ACCOUNTING DOCUMENTATION REQUIREMENTS The Vendor shall maintain an accounting system which separately accumulates direct and indirect costs, and supports all billing to the Department. The system should include a set of records journals, ledgers, trial balances, and reports and policies and procedures used to process business transactions. A job-cost accounting system must contain each specific job. An acceptable job-costing accounting system should meet the following minimum requirements:

a. A general ledger in which direct and indirect costs are accumulated separately. b. A payroll system, supported by time sheets, that clearly accounts for 10% of a person’s work time and identifies all projects and

account numbers charged for each person, including those costs charged to direct and indirect accounts. c. Time sheets, hours recorded on labor distribution reports, and the hours and dollars summarized in the payroll register must

agree. d. A job-cost ledger or job-cost report in which costs related to all projects and account numbers are charged. e. Direct costs in the job-cost ledger or job-cost report must support and agree with direct costs contained in the general ledger. f. Periodic reconciliation of job-cost ledgers to the job-cost reports within the general ledger are conducted.

RIGHT TO AUDIT CLAUSE The Vendor shall permit onsite visits by State and Department authorized employees, officers, and agents to conduct audits to ensure compliance with Section 20.055, Florida Statues. The Vendor shall grant access to all records pertaining to this Contract including access to all computers, communications devices, and any other equipment used to store, monitor, produce or transmit such records at any premises, whether onsite or offsite. The Vendor shall maintain all records and other evidence of the Vendor, and any or all subcontractors, to support the costs incurred, and compensation received, directly or indirectly, by the Vendor. The Department, or its designated representatives, shall have the right to audit, copy, and inspect said records and accounts at all reasonable times during the performance of this contract and the retention period of three years after the cancellation, termination, or final payment, or until the conclusion of any claim, litigation, settlement, or appeal; or for such longer period, if any, required by applicable law or regulation, whichever date is latest. At any time, the Department discovers any excess payments, payments not in conformity with this Contract, or any disallowable costs were paid to the Vendor under this Contract, the Vendor agrees that such amounts are due to the Department upon demand. Vendor agrees that the Department may deduct from any payment due to the Vendor under any other contract between the Department and the Vendor an amount to satisfy any amount due the Department by the Vendor under this Contract. Final payment to the Vendor may be adjusted for audit results.

OPTIONAL CONTINUED SERVICES The Vendor shall, at the Department’s option, provide continued service to the Department for up to three consecutive annual periods after the initial Contract, under all the terms and conditions of this Contract. The price of such annual maintenance shall not exceed the Vendor’s then prevailing annual maintenance fee.


Page 1 Wabtec 2017

SOFTWARE LICENSE AGREEMENT

This Software License Agreement (“License”) is made this _____ day of _______________ 2017 by and between Wabtec Railway Electronics, Inc. (“LICENSOR” or “WRE”) and the Florida Department of Transportation (“LICENSEE”). Each of LICENSOR and LICENSEE is also sometimes hereinafter referred to as Party and together, collectively, as the Parties.

RECITALS

WHEREAS, LICENSOR and LICENSEE have entered into that contract for the provision of I-ETMS® On-Board Hardware and Software dated __________________, 2017 (the “Contract”) whereby LICENSOR is engaged to provide certain services and deliverables related to LICENSEE’s PTC project (the “Project”);

WHEREAS, LICENSEE wishes to license, subject to the terms and restrictions set forth below, from LICENSOR the right to use, solely in conjunction with the Project on the LICENSEE’s rolling stock (1) LICENSOR’s Interoperable Electronic Train Management System (I-

ETMS®) Onboard Software (“Onboard Software”); (2) LICENSOR’s PTC Installer software (“PTC Loader”); (3) LICENSOR’s Locomotive Identification Unlocker software (“Loco ID Unlocker”); (4) LICENSOR’s OPK Injection Tool software (“OPK Injection Tool”); (5) the ULP Client Software (“UPL”); and (6) the OS Switch FSA File (“OS Switch” and collectively with 1-6, “Licensed Software”).

NOW THEREFORE, in consideration of the foregoing and the mutual covenants made herein, the Parties, each intending to be legally bound, hereby agree as follows:

The Recitals set forth above are true and correct in all material respects and are hereby incorporated into this License by reference.

1.0 LICENSED SOFTWARE 1.1 LICENSOR or its affiliates have developed and own

or otherwise have the license to use and sublicense the software that comprises its Interoperable Electronic Train Management System Software (“I-ETMS®” or “Licensed Software”). The Licensed Software is not for sale. The purpose of the Licensed Software developed by LICENSOR is to provide LICENSEE with the functionality to operate a positive train control system exclusively on LICENSEE’s rolling stock, solely in conjunction with the Project, in compliance with the Association of American Railroads (AAR) Rung 1 functionality (the “Purpose”). “Rung 1” features are described in the Revised Interoperable Electronic Train Management System (I-ETMS®) Positive Train Control Development Plan (PTCDP), version 3, dated November 2014, found on FRA Docket FRA-2010-0061.

1.2 LICENSOR and its affiliates own (or otherwise has the authority to license) the Licensed Software and any and all Intellectual Property rights in and to the Licensed Software, related materials and documentation including any Intellectual Property contained there in. “Intellectual Property” shall mean intellectual property rights, including proprietary rights arising under (i) patent law, (ii) copyright law, (iii) trademark law, (iv) design patent or industrial design law, (v) semiconductor chip or mask work law, or (vi) any other statutory provision or common law principle applicable to this License which may provide a right in ideas, formulae, technical requirements, algorithms, concepts, inventions or know-how generally, including trade secret law, or their expression or use as well as all applications, registrations, licenses, sub-licenses, franchises, agreements or any other evidence of such proprietary right, including derivative works. Except for rights to Open Source Software listed on EXHIBIT A (“Open

Source Software”), LICENSOR or its affiliates has, shall have, and shall retain, title, exclusive ownership rights and all Intellectual Property rights and other rights and interests in and to the Licensed Software and related materials, in the content thereof and in the ideas and concepts embodied therein, and in any and all copies, modifications, alterations and enhancements to the Licensed Software or documentation (including any derivative works resulting therefrom, regardless of whether LICENSOR may have contributed to such work). LICENSEE will not acquire any rights in or to the Licensed Software or any of the Intellectual Property rights in the Licensed Software, except for the license to the Licensed Software granted in Section 3.0 below, nor will it take any action in violation of this License that may adversely affect or impair LICENSOR’s, its affiliates’, or its licensor’s, rights, title, and interest in or to their Intellectual Property rights in the Licensed Software. The Licensed Software is copyrighted by LICENSOR or its affiliates, is deemed a trade secret and is otherwise Confidential Information and proprietary to LICENSOR or its affiliates, and shall remain the sole and exclusive property of LICENSOR or its affiliates.

2.0 PRICING/PAYMENT 2.1 The license fee for the Licensed Software is included

as part of the Contract price (“License Fee”). 3.0 LICENSE 3.1 LICENSE GRANT:

Subject to the terms and conditions of this License, LICENSOR grants to LICENSEE a non-exclusive, non-sublicenseable (except strictly in accordance with Section 3.3 below), and non-transferable (except strictly in accordance with Section 11.1 below) limited licenses for: (a) Onboard Software for the sole Purpose defined

Section 1.1 above;


November

November 28

28th

Page 2 Wabtec 2017

(b) PTC Loader, ULP, and OS Switch solely to load new versions of the Onboard Software and the Slot 10 software onto the Train Management Computer (TMC) provided by LICENSOR;

(c) Loco ID Unlocker solely for editing previous entered installation specific parameters; and

(d) OPK Injection Tool solely to install the Operational Private Key (OPK) provided by LICENSOR (collectively a-d, the “Onboard Licenses”).

The Onboard Licenses are strictly limited to use on Wabtec Train Management Computer and Cab Display Unit Equipment on which Licensed Software was originally installed and to the Purpose set forth in Section 1.1 above. For the avoidance of doubt, the Onboard Licenses specifically excludes any use of the Licensed Software in any operations, non-rail vehicle test, simulation, and other laboratory environment.

3.2 Use of the Licensed Software with other applications, software, products, or services not provided by LICENSOR or specified by the LICENSOR on EXHIBIT B is prohibited and shall constitute a material breach of this Agreement.

3.3 LICENSEE (but not any approved Sublicensee) may sublicense the Licensed Software to its passenger rail operator only, provided that all of the following conditions are met: (a) Such sublicense is non-sublicenseable and is otherwise subject to all of the same terms and conditions as this License; (b) Such sublicense shall terminate if the passenger rail operator no longer operates LICENSEE’s trains on which the Licensed Software is installed; and (c) LICENSOR has expressly approved such sublicense in writing signed by LICENSOR and the Sublicensee has accepted, in writing, all obligations of LICENSEE under this License, and LICENSOR’s ability to enfore this License directly against Sublicensee.

3.4 LICENSE TERM: Subject at any time to LICENSOR’s revocation rights in the event of a material breach of this License, the license granted herein shall be perpetual.

3.5 LICENSE RESTRICTIONS: LICENSEE shall not: a) Make any copies of the Licensed Software

other than one (1) for backup or archival purposes;

b) Remove or otherwise modify any proprietary markings or notices of LICENSOR or its software vendor contained within or placed upon the Licensed Software or the Licensed Software media or documentation;

c) Sublicense, sell, assign, transfer or otherwise convey use of the Licensed Software except as expressly permitted herein;

d) Provide or allow any timesharing arrangements using the Licensed Software;

e) Make any alterations or modifications to or derivative works using the Licensed Software;

f) Disassemble, decompile, reverse engineer or otherwise create or attempt to create or allow others to create or attempt to create source code from the Licensed Software or any component thereof;

g) Use the Licensed Software except as described in Section 3.1 above.

3.6 LICENSOR reserves all rights not expressly granted herein.

4.0 WARRANTY 4.1 LICENSOR warrants for a period of one (1) year,

commencing on the date the FRA authorizes LICENSEE to use the Licensed Software in a production environment (the “Warranty Period”), that the Licensed Software will conform to the AAR Rung 1 requirements set forth in the Joint I-ETMS® PTC Development Plan with a docket number of FRA-2010-0061-0013 (the “Rung 1 Requirements”). LICENSOR’s sole obligation and liability hereunder shall be to use commercially reasonable efforts to remedy any such non-conformance which LICENSEE reports to LICENSOR during the Warranty Period. The foregoing warranty in Section 4.1 shall not cover any: (a) Altered or modified Licensed Software (b) Any combination of Licensed Software and

other software not covered. (c) Errors caused by LICENSEE’s negligence

or fault. (d) Errors resulting from hardware malfunction. (e) Errors that do not significantly impair or

affect the operation of the Licensed Software. An Error shall be considered significant when it prevents the Licensed Software from functioning in accordance with the Rung 1 Requirements.

(f) Licensed Software used on a computer or operating system other than that supplied by LICENSOR or its affiliates with the system.

4.2 The PTC Loader, Loco ID Unlocker, the OPK Injection Tool, the UPl, and the OS Switch are all provided on an AS IS basis, without any warranty whatsoever.

4.3 DISCLAIMER: THE EXPRESS WARRANTIES IN THIS LICENSE AGREEMENT SHALL BE IN LIEU OF ALL OTHER WARRANTIES, EXPRESS OR IMPLIED, INCLUDING, BUT NOT LIMITED TO, THE IMPLIED WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE WHICH ARE DISCLAIMED. FURTHER THE PARTIES UNDERSTAND AND AGREE THAT LICENSOR HAS MADE NO REPRESENTATIONS OR WARRANTIES TO LICENSEE THAT THE LICENSED SOFTWARE IS TO BE ERROR-FREE, TO OPERATE IN AN UNINTERRUPTED MANNER OR TO OPERATE IN COMBINATION WITH OTHER SOFTWARE NOT PROVIDED BY LICENSOR.Additionally, upon expiration of the Licensed Software Warranty Period, LICENSEE understands and agrees that use of the Licensed Software will be on an AS IS basis, without any warranty whatsoever.


Page 3 Wabtec 2017

At the request of LICENSEE, LICENSOR will make maintenance and support services available to LICENSEE on an annual basis, at negotiated rates, separately under LICENSOR’s standard maintenance and support agreement (“MSA”).

5.0 INDEMNIFICATION AND LIMITATION OF LIABILITY

5.1 (a) LICENSOR hereby agrees to indemnify and defend LICENSEE from and against claims, liabilities, losses, reasonable and necessary expenses actually incurred (including, but not limited to, reasonable attorneys' fees), fines, penalties, taxes or damages (collectively, the “Liabilities”) asserted against LICENSEE by a third party, to the extent such Liabilities result from a claim brought by a third party that the Licensed Software, as delivered, infringes upon the Intellectual Property rights of any third party's trade secret, trademark, service mark, copyright or patent issued as of the date of this License Agreement (collectively, an “IP Claim”) provided, that LICENSEE: (i) promptly notifies LICENSOR of any IP Claim subject to indemnification hereunder, (ii) gives LICENSOR the right to control and direct the preparation of the defense and any settlement of any such IP Claim, (iii) gives full cooperation to LICENSOR for the defense of the IP Claim, and (iv) complies with LICENSOR's direction to cease any use of the Licensed Software which, in LICENSOR's sole judgment, is likely to be ruled an infringement of a third party’s Intellectual Property. (b) The foregoing indemnity in Section 5.1 shall not apply to any infringement of Licensed Software, as delivered, arising out of: (i) use of the Licensed Software other than in accordance with applicable documentation or instructions supplied by LICENSOR or for other than LICENSEE’s internal purposes; (ii) any alteration, modification or revision of the Licensed Software; (iii) LICENSEE’s failure to use or implement corrections or enhancements to the Licensed Software made available by LICENSOR; (iv) LICENSEE’s distribution, marketing, or use of the Licensed Software for the benefit of third parties; (v) the combination of the Licensed Software with materials or other Intellectual Property not supplied by LICENSOR; or (vi) information, materials or specifications provided by or on behalf of LICENSEE or by a third party. (c) If the Licensed Software, as delivered, or any portion thereof is held, or in LICENSOR’s reasonable opinion, is likely to be held, in any such suit to constitute infringement, LICENSOR may within a reasonable time, at its option, either: (i) secure for LICENSEE the right to continue the use of the Licensed Software or portion (ii) replace, at LICENSOR's sole expense, such item with substantially equivalent non-infringing Licensed Software or portion or (iii) modify the infringing Licensed Software or portion so that it becomes non-infringing. In the event LICENSOR is, in LICENSOR’s reasonable discretion, unable to either procure the right to continued use of the allegedly infringing Licensed Software or portion or replace or modify the allegedly infringing Licensed Software or portion as provided in clauses (b)(i), (ii) and (iii), LICENSEE shall return the allegedly infringing Licensed Software to LICENSOR for a refund of the

amount paid to LICENSOR for such Licensed Software. The provisions of this Section 5 state LICENSOR's entire maximum liability and LICENSEE's sole and exclusive remedies with respect to any IP Claims.

5.2 LICENSEE expressly acknowledges that it is responsible for (a) the operation of its trains, (b) the validation of all data input into the Licensed Software, and (c) the validation of the accuracy of all data generated by the Licensed Software and LICENSOR will have no liability for personal injury or property damage resulting from the operation of LICENSEE’s trains, invalid data input into the Licensed Software, or invalid data generated by the Licensed Software, except to the extent that such damages are directly attributable to LICENSOR’s negligence or willful misconduct. LICENSEE shall indemnify and defend LICENSOR, its directors, officers, employees, agents, successors, and assigns (each a “Licensee Indemnitee”) from and against Liabilities associated with any claims brought by a third party, to the extent arising out the acts or omissions, negligence or intentional misconduct of LICENSEE or its contractors, subcontractors or agents (excluding breaches of this License by any by any Sublicensees), or breach of this License by LICENSEE This indemnification is conditioned upon the following: (i) LICENSOR shall provide LICENSEE with prompt notice of any such Claim; (ii) LICENSOR shall give LICENSEE the right to control and direct the preparation of a defense, the defense and any settlement of any such Claim (subject to LICENSOR's right to reasonably object to any counsel defending the claim), and (iii) LICENSOR shall give LICENSEE full cooperation for the defense of same. In no instance will LICENSEE be obligated to indemnify a Licensee Indemnitee to the extent of a Licensee Indemnitee's negligence, intentional misconduct or breach of this License.

5.3 IN NO EVENT WILL LICENSOR BE LIABLE TO ANY PARTY FOR ANY INDIRECT, SPECIAL, INCIDENTAL, PUNITIVE, AGGRAVATED, EXEMPLARY OR CONSEQUENTIAL DAMAGE, LOSS, COST OR EXPENSE OF ANY KIND WHATSOEVER (INCLUDING, WITHOUT LIMITATION, LOST PROFITS AND OPPORTUNITY COSTS) WHETHER ARISING IN CONTRACT, TORT OR OTHERWISE, EVEN IF ADVISED OF THE POSSIBILITY OF SUCH DAMAGE. IN NO EVENT WILL LICENSOR’S MAXIMUM LIABILITY UNDER THIS LICENSE, EXCEED IN THE AGGREGATE 50% OF THE VALUE OF THE CONTRACT, BUT ONLY UNTIL THE END OF THE WARRANTY PERIOD SPECIFIED IN THE CONTRACT, AND THEN, AFTER EXPIRATION OF SUCH WARRANTY PERIOD, 50% OF THE ANNUAL MSA FEE.

6.0 CONFIDENTIALITY 6.1 The Parties acknowledge that the Licensed Software

and any and all related information, including but not limited to associated documentation, processes and know-how is LICENSOR’s “Confidential Information.” Without limiting the foregoing, LICENSOR’s Confidential Information also includes


Page 4 Wabtec 2017

(a) data regarding the performance of Licensed Software, (b) any information related to the display and internal processing of data by the Licensed Software, and (c) any other data that describes directly or indirectly the internal behavior of the Licensed Software. LICENSEE acknowledges that the Licensed Software contains valuable trade secrets and confidential business information of LICENSOR and/or its third party suppliers and that all right, title, and interest in and to LICENSOR’s Confidential Information, including, but not limited to, the right to produce, extract, or exhibit to any third party, exist in the LICENSOR only . In addition to any other obligations of confidentiality, LICENSEE will hold the Licensed Software and any and all related information, including but not limited to associated documentation, processes and know-how and any other information as confidential or proprietary in confidence and take the precautions necessary to safeguard the confidentiality of such information, unless such disclosure is required by law or court order. LICENSEE will advise LICENSOR promptly of any request for such disclosure. The obligations of confidence and nondisclosure set forth in this paragraph will survive any expiration or termination of this License. LICENSEE shall not use LICENSOR’s Confidential Information for planning, marketing, product development, or any other purpose that may be deemed anti-competitive or otherwise injurious to the business of LICENSOR.

6.2 In the event LICENSEE is required by law, regulation, stock exchange requirement or legal process to disclose any of LICENSOR’s Confidential Information it must (a) give LICENSOR reasonable advance notice prior to disclosure so LICENSOR may contest the disclosure, and (b) limit the disclosure to the minimum amount that is legally required.

6.3 If the LICENSEE is a public entity subject to public record laws and the Confidential Information constitutes a public record under applicable public record law, then the Confidential Information shall be subject to such public record laws, but only to the extent that there are no exceptions to such public record laws that applies to the Confidential Information (including a part or portion of the Confidential Information). If a request is made for disclosure of the Confidential Information, the LICENSEE will promptly contact the LICENSOR in writing and work with the LICENSOR to determine whether the Confidential Information is exempt from disclosure under the law. If the LICENSEE determines that the Confidential Information is not exempt from disclosure, the LICENSEE will notify LICENSOR in writing of this decision and the period of time required to take appropriate legal action and will confirm that LICENSOR received this notice. The LICENSEE will allow the LICENSOR the maximum time under the public record law to take appropriate legal action. In no event shall LICENSEE release Confidential Information under this Section 6.3 that is exempt or otherwise not required to be released under public record law.

7.0 DEFAULT/TERMINATION 7.1 Subject to Section 7.2 below, if at any time while this

License is in effect, LICENSEE is in material breach

of this License, then LICENSOR may, after discussion with LICENSEE and an opportunity to cure any material breach capable of being cured, exercise its rights pursuant to Section 7.2 below.

7.2 If the material breach is able to be cured, LICENSOR will permit LICENSEE to cure the breach within a reasonable time period specified by LICENSOR but not less than thirty (30) days, in which case, LICENSOR may elect to suspend the license to the offending Licensed Software and/or services provided by LICENSOR related to the Licensed Software until LICENSEE has completed the cure to LICENSOR’s reasonable satisfaction. Should LICENSEE fail to cure the breach within the time specified by LICENSOR, LICENSOR may (a) exercise its rights of equitable or injunctive relief, or both pursuant Section 11.7 below, or (b) terminate this License, or both (a) and (b). All license rights granted hereunder shall cease upon any termination of this License.

7.3 LICENSOR and LICENSEE reserve all available rights in law or in equity.

8.0 GOVERNING LAW8.1 The laws of the State of Floridawill govern this

License. No choice of law rules of any jurisdiction will apply. The prevailing Party in any litigation under this License shall be entitled, in addition to such other relief as may be granted, to recover reasonable attorney’s fees and the costs incurred in connection with such litigation under this License.

8.2 If any term, provision, or portions thereof, of this License shall be found to be illegal or unenforceable, then, notwithstanding, the remaining provisions of this License shall remain in full force and effect and such term or provisions shall be deemed stricken and the Parties shall negotiate in good faith the replacement of the stricken provision by a provision that reflects the original intent of the Parties.

9.0 GOVERNMENT AND GOVERNMENT CONTRACTOR LICENSEES If Licensed Software is being acquired by or on behalf of the U.S. Government or by a U.S. Government prime contractor or subcontractor (at any tier), then the Government's rights in the Licensed Software and accompanying documentation will be only as set forth in this License; this is in accordance with 48 C.F.R. 227.7202-4 (for Department of Defense (DOD) acquisitions) and with 48 C.F.R. 2.101 and 12.212 (for non-DOD acquisitions).

10.0 EXPORT REGULATIONS LICENSEE acknowledges that certain export regulations prohibit, except under a special validated license, the exportation of technical data relating to certain commodities unless the exporter has received certain written assurances from the foreign importer. LICENSEE hereby agrees with and gives its assurance to LICENSOR that LICENSEE will not knowingly, unless prior authorization as may be required from any relevant governmental agency is obtained, re-export, directly or indirectly, any technical data, or direct by-product thereof, received from LICENSOR under this License and will not export directly the Licensed Software, or any products incorporating the Licensed Software programs to any country restricted under any applicable governmental regulation. LICENSOR makes no representations that an export license is not


Page 5 Wabtec 2017

required or that, if required, it will be issued by any requisite governmental agency. LICENSEE represents to LICENSOR that it is not on the denial order list established by the U.S. Bureau of Export Administration. LICENSEE further acknowledges and agrees that LICENSOR immediately may unilaterally terminate its obligations under this License, without damages, penalties or liabilities of any kind, if at any time, the LICENSOR becomes aware that any aspect of this License, or related transaction may violate export control laws and regulations.

11.0 GENERAL PROVISIONS 11.1 LICENSEE, without the express written consent of

LICENSOR, shall make no assignment of this License except that LICENSEE shall be permitted to assign this License to the Central Florida Commuter Rail Commission, who upon assuming the contract and exercising the optional services in accordance with Exhibit B shall expressly agree to accept and assume all of the LICENSEE’s obligations under the License. Any other assignment without the written consent of LICENSOR shall be considered VOID. LICENSOR shall have the right to assign this License without consent of LICENSEE or otherwise not in accordance with Section 3.3 above.

11.2 No waiver of any breach of any provision of this License shall constitute a waiver of any prior, concurrent or subsequent breach of the same or any other provisions hereof. No waiver shall be effective unless made in writing and signed by the waiving Party.

11.3 The Paragraph headings of this License are inserted for convenience only and are not intended to affect the meaning or interpretation of this License. If any clause or provision of this License is found to be, or becomes, illegal, invalid or unenforceable, such provision will be severed from the License and shall not affect the legality, validity or enforceability of, any other clause or provision herein.

11.4 This License may not be modified in any manner, including, but not limited to, prior or current course of dealing between the Parties or usage of trade, except by written instrument signed by duly authorized representatives of LICENSOR and LICENSEE.

11.5 The Parties acknowledge and agree that the provisions of Section 1, 3.5, 3.6, 4, 5, 6, 7, 8, 9, 10, and 11 survive the expiration or prior termination of this License. The Parties hereby agree that there are no third party beneficiaries to this License and no third party shall be entitled to assert a claim against either of the Parties to this License.

11.6 Notices under the terms of this License will be in writing and sent by prepaid certified mail, return receipt requested, facsimile, or courier to the addresses listed at the beginning of this License Agreement.

To: LICENSOR Wabtec Railway Electronics, Inc. 21200 Dorsey Mill Road Germantown, MD 20867 Attention: David Teach, Comptroller

With a copy to:

11.7

Wabtec Legal Dept. 1001 Air Brake Avenue Wilmerding, PA 15148 Attention: David DeNinno Senior Vice President and General Counsel

To: LICENSEE Florida Department of Transportation Address 801 SunRail Drive Sanford, FL 32771 Attn: Nicola Liquori Title: Executive Director

Notices will be effective on the first business day following receipt thereof. Notices sent by certified mail or courier will be deemed received on the date of delivery as indicated on the return receipt or delivery notice; notices sent by facsimile will be deemed received on the date indicated on the receipt acknowledgment. LICENSEE acknowledges that the use or disclosure of the Licensed Software in a manner inconsistent with this License will cause LICENSOR irreparable damage, and that LICENSOR shall have the right to seek equitable and injunctive relief, without the requirement to post a bond or other security, in order to prevent the unauthorized use or disclosure of the Licensed Software.

IN WITNESS WHEREOF, the Parties hereto, by and through their authorized representatives, do approve and accept this License as of the date indicated above.

WABTEC RAILWAY ELECTRONICS, INC.

By:

Name:

Title:

FLORIDA DEPARTMENT OF TRANSPORTATION

By:

Name: Thomas C. Byron, P.E.

Title: Assistant Secretary for Intermodal Systems Development

EXHIBITS ATTACHED

Exhibit A - Open Source Software

Exhibit B - Third Party Software


VP Signaling & Construction

Michael Choat

Page 6 Wabtec 2017


Page 7 Wabtec 2017

Exhibit A – Open Source SoftwareThe I-ETMS® provided under the License incorporates or uses certain software licensed under open source licenses, such as:

Component Source

FreeRTOS http://www.FreeRTOS.orgLWIP http://savannah.nongnu.org/projects/lwip/busybox http://www.busybox.net/Cairo graphics library http://cairographics.orge2fsprogs http://e2fsprogs.sourceforge.net/ext2.htmlexpat http://www.jclark.com/xml/expat.htmlezxml http://ezxml.sourceforge.net/fontconfig http://www.freedesktop.org/wiki/Software/fontconfigfreetype http://www.freetype.org/FreeType http://www.freetype.orgGNU http://www.gnu.org/iptables http://www.netfilter.org/libpng http://www.libpng.org/pub/png/libpng.htmlLinux Kernel http://kernel.orgGNU Nano http://www.nano-editor.orgOpenSSH http://www.openssh.orgOpenSSL http://www.openssl.orgPkg-config http://pkg-config.freedesktop.org/wiki/Trio (printf replacement for LynxOS) http://sourceforge.net/projects/ctrioGNU libraries: ld, libc, libcrypt, libdl, libm, libnss*, libresolv, librt, libutil, libncurses

http://www.gnu.org/software/

GNU Grub http://www.gnu.org/software/ALSA Sound Library http://www.alsa-project.org/main/index.php/Main_PageWpa_supplicant http://hostap.epitest.fi/wpa_supplicant/Zlib: Z library http://www.zlib.netLynxOS http://www.lynuxworks.com/rtos/fbset http://users.telenet.be/geertu/Linux/fbdev/LXC http://lxc.sourceforge.net/MSR Utils http://www.kernel.org/pub/linux/utils/cpu/msr-tools/libcap2 http://www.linuxfromscratch.org/blfs/view/svn/postlfs/libcap2.htmllibgcc http://gcc.gnu.org/gcc-3.0/libgcc.htmlWireless tools http://www.hpl.hp.com/personal/Jean_Tourrilhes/Linux/Tools.htmlnetperf http://www.netperf.org/netperf/TCL 8.5 http://www.tcl.tk/software/tcltk/8.5.htmlNTPDate http://support.ntp.org/bin/view/Main/SoftwareDownloadsexpect http://expect.sourceforge.net/Python 2.7 http://www.python.orgElementTree http://effbot.org/zone/element-index.htmPySerial http://pyserial.sourceforge.net/PyWin32 http://sourceforge.net/projects/pywin32/wxPython http://www.wxpython.org/pyQT http://www.riverbankcomputing.co.uk/software/pyqt/introPutty/Plink http://www.chiark.greenend.org.uk/~sgtatham/putty/download.htmlXML Notepad http://www.microsoft.com/en-us/download/details.aspx?id=7973

To the extent that any Open Source Software listed above is provided, and the license of such Open Source Software required that certain terms and conditions be included in a sublicense, such terms and conditions are hereby incorporated, but shall only apply to such Open Source Software.


Page 8 Wabtec 2017

Exhibit B - Third Party Software Interfacing With Licensed Software (LICENSEE to Provide)

Component Source

LynxOS http://www.lynuxworks.com/rtos/


FLORIDA DEPARTMENT OF TRANSPORTATIONFUNDS APPROVAL

BE494

11/1/2017

CONTRACT INFORMATION

FUNDS APPROVAL INFORMATION

FUNDS APPROVED/REVIEWED FOR ROBIN M. NAITOVE, CPA, COMPTROLLER ON 11/1/2017

Action: Original

Reviewed or Approved: APPROVED

Organization Code: 55310000933

Expansion Option: AW

Object Code: 563000

Amount: $58,530,547.00

Financial Project: 41299455201

Work Activity (FCT): 306

CFDA:

Fiscal Year: 2018

Budget Entity: 55100500

Category/Category Year: 088808/18

Amendment ID: O001

Sequence: 00

User Assigned ID:

Enc Line (6s)/Status: 0001/04

Total Amount: $58,530,547.00

Contract: BE494

Contract Type: B1 - OTHER CONTRACTUAL SERVICE (OTHER CS)

Vendor Name: XORAIL, INC.

Vendor ID: F470724077004

Beginning Date of This Agreement: 10/31/2017

Ending Date of This Agreement: 05/30/2024

Contract Total/Budgetary Ceiling: ct = $58,530,547.00

Method of Procurement: B - REQUEST FOR PROPOSAL (287.057,F.S.)

Description: Sunrail Positive Train Control

Page1 of 1

To: [email protected]


1001 AIR BRAKE AVENUEWILMERDING, PA 15148

Current Principal Place of Business:

Current Mailing Address:

1001 AIR BRAKE AVENUEWILMERDING, PA 15148 US

Entity Name: XORAIL, INC.

DOCUMENT# P02000054964

FEI Number: 47-0724077 Certificate of Status Desired:

Name and Address of Current Registered Agent:

CORPORATION SERVICE COMPANY1201 HAYS STTALLAHASSEE, FL 32301 US

The above named entity submits this statement for the purpose of changing its registered office or registered agent, or both, in the State of Florida.

SIGNATURE:

Electronic Signature of Registered Agent Date

Officer/Director Detail :

I hereby certify that the information indicated on this report or supplemental report is true and accurate and that my electronic signature shall have the same legal effect as if made under oath; that I am an officer or director of the corporation or the receiver or trustee empowered to execute this report as required by Chapter 607, Florida Statutes; and that my name appears above, or on an attachment with all other like empowered.

SIGNATURE:

Electronic Signature of Signing Officer/Director Detail Date

FILEDApr 10, 2017

Secretary of StateCC0246460954

DAVID M. SEITZ SECRETARY 04/10/2017

2017 FLORIDA PROFIT CORPORATION ANNUAL REPORT

No

Title DIRECTOR, VP, SECRETARY

Name SEITZ, DAVID M.

Address 1001 AIR BRAKE AVENUE

City-State-Zip: WILMERDING PA 15148

Title GENERAL MANAGER, VP

Name KUJALA, GARY



Title VP

Name DUGAN, PATRICK D.



Title DIRECTOR, VP, TREASURER

Name HILDUM, KEITH P.



Title VP

Name BOURG, ROBERT



Title VP, CEO

Name KRISHNARAO, SATYAPRAKASH






