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Central Puget Sound

Regional Transit Authority

CONTRACT RTA/CN: 0101-11

UNIVERSITY LINK PROJECT EMI/VIBRATION MONITORING

AND WHEEL FLAT DETECTION SYSTEMS

CONTRACT U835

Contract Specifications

100% SUBMITTAL

Volume 1 June 2011

This Page is Intentionally Blank

CONTRACT SPECIFICATIONS

PREFACE

THE LINK CONTRACT SPECIFICATIONS FOR THE UNIVERSITY LINK SYSTEMS CONSTRUCTION

ARE CONTAINED HEREIN.

MEASUREMENT AND PAYMENT METHODS FOR EACH ITEM ON THE BID FORM ARE SPECIFIED IN

CONTRACT SPECIFICATIONS SECTION 01 20 00, PRICE AND PAYMENT PROCEDURES.


UNIVERSITY LINK PROJECT SECTION 00 00 10-1 LINK CONTRACT U835 EMI/VIBRATION MONITORING TABLE OF CONTENTS CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011


UNIVERSITY LINK PROJECT

EMI/VIBRATION MONITORING AND WHEEL FLAT DETECTION SYSTEMS

U835 CONTRACT SPECIFICATIONS

DIVISION 00 – PROCUREMENT AND CONTRACTING RERQUIREMENTS

00 00 10 Table of Contents

DIVISION 01 – GENERAL REQUIREMENTS

01 12 16 Work Sequence

01 20 00 Price and Payment Procedures

01 25 00 Substitution Procedures

01 27 00 Dispute Review Board

01 27 23 Escrow Bid Documentation

01 31 19 Project Meetings

01 31 23.10 Internet-Based Document Management System

01 32 13 Scheduling of Work

01 33 00 Submittal Procedures

01 41 26 Permits

01 45 00 Quality Assurance / Quality Control

01 60 00 Product Requirements

01 66 00 Product Storage and Handling Requirements

01 77 00 Closeout Procedures

01 78 23 Operation and Maintenance Data

01 78 39 Project Record Documents

01 79 10 Training of Operations and Maintenance Personnel

01 95 00 System Testing Requirements

TECHNICAL SPECIFICATION

END OF SECTION 00 00 10

UNIVERSITY LINK PROJECT SECTION 00 00 10-2 LINK CONTRACT U835 EMI/VIBRATION MONITORING TABLE OF CONTENTS CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011


UNIVERSITY LINK PROJECT DIVISION 01 LINK CONTRACT U835 EMI/VIBRATION MONITORING GENERAL REQUIREMENTS CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011

DIVISION 01

GENERAL REQUIREMENTS

UNIVERSITY LINK PROJECT DIVISION 01 LINK CONTRACT U835 EMI/VIBRATION MONITORING GENERAL REQUIREMENTS CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011


UNIVERSITY LINK PROJECT SECTION 01 12 16-1 LINK CONTRACT U835 EMI/VIBRATION MONITORING WORK SEQUENCE CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011


SECTION 01 12 16

WORK SEQUENCE

PART 1 - GENERAL

1.01 SUMMARY

A. Section specifies start and completion times, milestones, work sequence, constraints, hours of work, incentive provisions, and liquidated damages.

B. Schedule and conduct Work in a manner consistent with the Contract, and comply with approved construction schedule, specific work sequence, Contract milestones and constraints of Work as specified.

C. Plan sequence of construction to accommodate Contract requirements.

1.02 START DATES

A. Notice to Proceed (NTP) will be effective no earlier than XXX. This NTP will be the start date for Contract milestones, and Substantial Completion dates established herein.

1.03 COMPLETION DATES

A. Complete Work within XXX Days after NTP. Work complete by this time shall include Substantial Completion of Work.

B. Achieve Final Acceptance within specified time stated in Certificate of Substantial Completion as required by the General Conditions based on acceptance upon completion of maintenance.

1.04 HOURS OF WORK

A. Comply with requirements of applicable jurisdictions regarding limitations on work hours outside tunnel and station areas. Work hours are subject to noise level restrictions imposed by City of Seattle.

1.05 LIQUIDATED DAMAGES

A. Liquidated damages for failure to achieve Substantial Completion within XXX Days, as provided in General Conditions: $5,000 per Day.

PART 2 - PRODUCTS (NOT USED)

PART 3 - EXECUTION (NOT USED)


UNIVERSITY LINK PROJECT SECTION 01 12 16-2 LINK CONTRACT U835 EMI/VIBRATION MONITORING WORK SEQUENCE CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011


UNIVERSITY LINK PROJECT SECTION 01 20 00-1 LINK CONTRACT U835 EMI/VIBRATION MONITORING PRICE AND PAYMENT PROCEDURES IFB NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011


SECTION 01 20 00

PRICE AND PAYMENT PROCEDURES

PART 1 - GENERAL

1.01 SUMMARY

A. Section includes requirements for Measurement and Payment.

B. Payment for various items on Bid Sheet, as further specified herein, shall include all compensation received by Contractor for furnishing all tools, equipment, supplies, and manufactured articles, and all labor, operations, and incidentals as necessary to complete various items of Work in accordance with the requirements of Contract Documents, including all appurtenances thereto and including all costs of compliance with regulations of public agencies having jurisdiction, including safety and health requirements of Occupational Safety and Health Administration of the U. S. Department of Labor (OSHA), Washington Industrial Safety and Health Act (WISHA), Department of Labor and Industry, Seattle Department of Planning and Development, and Seattle Fire Department. No additional payment will be made for any item not specifically set forth in Bid Sheet, and all costs therefore shall be included in prices provided in Bid Sheet for various items of Work.

C. Allocate indirect costs, including but not limited to, supervision and overhead, profit, and general conditions specified in Contract to each bid item as applicable for Work defined in bid item. No separate payment will be made to Contractor for these items.

D. References in Contract Documents to referenced documents including Referenced Standards are for technical and administrative provisions only. Measurement and payment provisions referenced in all such standards are not applicable to this Contract. All payment for Work done under provisions of Contract is provided for in Bid Sheet set forth Special Conditions, and described herein.

1.02 BID ITEM MEASUREMENT AND PAYMENT

A. BID ITEM Number One: Lump Sum for all of Work of this Contract excluding item Two.

1. Measurement: In accordance with a reasonable apportionment of work as established in the Schedule of Values.

2. Payment: Based upon percentage of completion for each appropriate line item in Schedule of Values.

3. Additional mobilization information, refer to Article 1.05B, herein. Additional demobilization information, refer to Article 1.05C, herein.

B. BID ITEM Number Two: Provide a Electromagnetic Interference (EMI), Vibration and Wheel Flat Monitoring and Detection System for the University Link Tunnel expansion.

1. The bid Sheet includes a Lump Sum Price for the above Monitoring and Detection System for the University Link Tunnel expansion. Measurement: All work necessary for providing and testing the above Monitoring and Detection System for the University Link Tunnel expansion.

2. Payment: Based on Unit Price provided applied to the measured amount.


C. BID ITEM Number Three: Provisional Sum for additional unspecified University of Washington /City of Seattle Requirements.

1. Work of item includes costs associated with Unspecified University of Washington/City of Seattle Requirements are not indicated in Contract Documents.

2. Measurement: No separate measurement will be made for item.

3. Payment: Item will be paid for in accordance with the General Conditions for Payment on Time and Material Basis for Work satisfactorily completed as approved by Resident Engineer.

D. BID ITEM Number Four: Provisional Sum for Contractor Acquired Permit Fees.

1. Work of this item includes costs direct permit fees associated with Contractor Acquired Permits.


3. Payment: Item will be paid for in accordance with the General Conditions. No Contractor markup is allowed for these permit fee costs.

E. BID ITEM Number Five: Provisional Sum for Contractor System Maintenance.

1. Work of this item includes costs direct permit fees associated with Contractor System Maintenance.


3. Payment: Item will be paid for in accordance with the General Conditions. No Contractor markup is allowed for these permit fee costs.

1.03 SUBMITTALS

A. Procedures: Section 01 33 00, Submittal Procedures.

B. Formats for Submittals:

1. Hard Copy Formats

a. Schedule of Values: Medium 8-1/2 inches by 11 inches in size.

2. Electronic Copy Format

a. Draft Schedule of Values, Final Schedule of Values and Revised Schedule of Values: Electronic file in Microsoft Excel format and in .PDF format.

C. Schedule of Values.

1. Draft schedule of values: One paper copy and two electronic copies (.XLS and .PDF). Submit at Limited Notice to Proceed

2. Final Schedule of Values: One paper copy and two electronic copies (.XLS and .PDF). Submit within 30 Days following Limited Notice to Proceed.

3. Revised Schedule of Values: One paper copy and two electronic copies (.XLS and .PDF). Submit as required.


D. Conform to same requirements as original submittals for all re-submittals.

1.04 SCHEDULE OF VALUES

A. Schedule of Values shall be developed and used to provide an allocation of Contract Price for measurement and payment in accordance with General Conditions.

B. Schedule of Values shall be developed to an appropriate level of detail to ensure accurate payment for Work accomplished. The following is an example of a partial Schedule of Values depicting the minimum level of detail required.

Division 02 - Existing Condition Qty Unit Price Total

024100.001 Demolition Buildings & foundations TBD TBD TBD TBD

024100.002 Disconnect, cut & cap utility services TBD TBD TBD TBD

024100.003 Remove 225 kVA transformer TBD TBD TBD TBD

024100.004 Debris Removal & Disposal TBD TBD TBD TBD

Division 31 - Clearing And Grubbing TBD TBD TBD TBD

311100.001 Clear & Grub TBD TBD TBD TBD

312333.001 Trenching TBD TBD TBD TBD

312333.002 Backfilling TBD TBD TBD TBD

C. Schedule of Values shall be agreed between Contractor and Resident Engineer. No payment shall be made prior to an agreed-upon Schedule of Values.

D. Updated version of Schedule of Values shall be included with each progress payment request. Schedule of Values shall be updated to include:

1. Dollars earned and percent complete for prior month.

2. Dollars earned and percent complete this month.

3. Dollars earned and percent complete-to-date.

E. Contractor shall ensure that:

1. Total value of activities are equal to current Contract Price

2. Overhead and profit are prorated proportional to value of each activity.

3. Activity values are rounded to nearest hundred dollars.

4. Value of stored material, as defined in General Conditions, is identified in Schedule of Values with a corresponding cost-loaded activity in current schedule.

F. Schedule of Values shall be revised and submitted to Sound Transit upon execution of a Change Order. Contractor shall incorporate all executed Change Orders into Revised Schedule of Values and allocate costs appropriately.

G. If required by Resident Engineer, Contractor shall present documentation substantiating the cost allocations for line items within Schedule of Values.


H. Maximum of two progress payments shall be made prior to submittal of acceptable Contract Baseline CPM Schedule.

PART 2 - MATERIALS (NOT USED)



UNIVERSITY LINK PROJECT SECTION 01 25 00-1 LINK CONTRACT U835 EMI/VIBRATION MONITORING SUBSTITUTION PROCEDURES CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011


SECTION 01 25 00

SUBSTITUTION PROCEDURES

PART 1 - GENERAL

1.01 SUMMARY

A. Section includes administrative and procedural requirements for substitutions.

B. Refer to Request for Substitution Form, attached to this Section.

C. Applies to substitutions after Notice of Award.

1.02 SUBMITTALS


B. Substitution Requests: Submit each request for consideration on separate request form.

C. Submit Request for Substitution Form provided in Attachment A. Supplement form with following documentation in addition to requirements stated on form.

1. Statement indicating why specified product or fabrication or installation cannot be provided, if applicable.

2. Coordination information, including a list of changes or modifications needed for other parts of Work, and for construction performed by other Sound Transit contractors, necessary to accommodate proposed substitution.

3. Detailed comparison of significant qualities of proposed substitution with those of Work specified. Include annotated copy of applicable Contract Specifications Section. Significant qualities may include attributes such as performance, weight, size, durability, visual effect, sustainable design characteristics, warranties, and specific features and requirements indicated. Indicate deviations, if any, from Work specified.

4. Product Data, including drawings and descriptions of products and fabrication and installation procedures.

5. Samples, where applicable or requested.

6. Certificates and qualification data, where applicable or requested.

7. List of similar installations for completed projects with project names and addresses and names and addresses of architects, engineers, and owners.

8. Material test reports from a qualified testing agency indicating and interpreting test results for compliance with requirements indicated.

UNIVERSITY LINK PROJECT SECTION 01 25 00-2 LINK CONTRACT U835 EMI/VIBRATION MONITORING SUBSTITUTION PROCEDURES CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011

9. Detailed Contractor’s construction schedule using original products, methods or materials and a detailed comparison of Contractor's construction schedule using proposed substitution(s) with products specified for Work, including effect on overall Contract Time. If specified product or method of construction cannot be provided within Contract Time, include letter from manufacturer, on manufacturer's letterhead, stating date of receipt of purchase order, reasons for any lack of materials, lack of availability or delays in delivery, and normal lead time between receipt of purchase order and delivery lead time when purchase order is received.

10. Contractor's certification that proposed substitution complies with requirements in Contract Documents except as indicated in substitution request, is compatible with related materials, and is appropriate for applications indicated.

11. Contractor’s certification that it issued the purchase order in sufficient time to return original products.

12. Value Engineering Change Proposal (VECP).

1.03 QUALITY ASSURANCE / QUALITY CONTROL

A. Compatibility of Substitutions: Investigate and document compatibility of proposed substitution with related products and materials. Engage approved qualified testing agency to perform compatibility tests recommended by manufacturers.

1.04 PROCEDURES

A. Coordination: Modify or adjust affected work as necessary to integrate work of approved substitutions.



ATTACHMENTS A

Request for Substitution Form


UNIVERSITY LINK PROJECT SECTION 01 25 00 – ATTACHMENT A LINK CONTRACT U835 EMI/VIBRATION MONITORING REQUEST FOR SUBSTITUTION FORM CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011

SECTION 01 25 00 - ATTACHMENT A

REQUEST FOR SUBSTITUTION FORM

TO:

We hereby submit for your consideration the following item instead of the specified item for the above solicitation:

SPECIFICATION

SECTION ARTICLE SPECIFIED ITEM

Proposed Product Option/Substitution:

Attach complete technical data, including laboratory tests, and other information as required in Section 01 25 00, Substitution Procedures, to verify statements below.

Include complete information on changes to Contract Drawings and Contract Specifications that proposed product option/substitution will require for its proper installation.

Fill in Blanks Below:

A. Does the product option/substitution affect dimensions shown on Contract Drawings?

B. The Contractor agrees to pay for changes to the design, including engineering and detailing costs caused by the requested product option/substitution.

Yes No

C. What effect does product option/substitution have on other work?

D. Differences between proposed product option/substitution and specified item?

E. Manufacturer's guarantees of the proposed and specified items are:

Same Different (explain on attachment)

F. VECP attached:

Yes (attached) No

The undersigned states that the function, appearance, and quality of the proposed items are equivalent or superior to the specified item.

Submitted By: For Use by Sound Transit:

Accepted Accepted As Noted

Signature Not Accepted

Firm By

Date

Address Remarks

Date

Telephone

END OF FORM

UNIVERSITY LINK PROJECT SECTION 01 25 00 – ATTACHMENT A LINK CONTRACT U835 EMI/VIBRATION MONITORING REQUEST FOR SUBSTITUTION FORM CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011


UNIVERSITY LINK PROJECT SECTION 01 27 00-1 LINK CONTRACT U835 EMI/VIBRATION MONITORING DISPUTE REVIEW BOARD CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011


SECTION 01 27 00

DISPUTE REVIEW BOARD

PART 1 - GENERAL

1.01 SUMMARY

A. This Section includes specifications for establishing and operating a Dispute Review Board (DRB) to assist in and facilitate the avoidance and timely, impartial resolution of disputes.

B. Refer to attached Three-Party Agreement Form (Agreement), Attachment A.

C. The provisions of the Agreement take precedence over the language herein.

D. Sound Transit and the Contractor acknowledge that DRB reports shall not be binding on either party, and shall not be admissible in subsequent dispute resolution proceedings.

E. All disputes referred to the DRB shall be subject to the dispute resolution process herein described as a condition precedent to initiating a subsequent dispute resolution process such as arbitration or litigation for that dispute.

1.02 DISPUTES ELIGIBLE FOR CONSIDERATION BY THE DRB

A. Except as explicitly otherwise provided, disputes exceeding $250,000.00 in proposed value and that are actionable under the provisions of the General Conditions may be referred to the DRB.

1.03 DRB QUALIFICATIONS

A. Board members shall be experienced in the interpretation of contract documents and the resolution of construction disputes and in the type of construction to be performed.

B. The following definitions apply for the purpose of setting forth experience and disclosure requirements.

1. Party directly involved: Sound Transit or the Contractor.

2. Contractor includes all joint-venture partners individually.

3. Party indirectly involved: The construction manager, designers, architects, engineers, or other professional service firms or Consultants, Subcontractors of any tier, and suppliers on this project.

4. Financial ties: all ownership interest, loans, receivables, or payables.

C. Eligibility:

1. Direct Employment:

a. Current employees of any of the parties directly or indirectly involved are prohibited from serving as Board members.


b. Prospective Board members who were past employees of one of the parties directly involved must obtain permission from the other party prior to appointment.

c. Previous direct employment by one of the parties indirectly involved shall be disclosed.

2. Consulting Assignments:

a. Individuals who are employed in a consulting capacity by any of the parties directly involved are prohibited from serving as Board members.

b. Prospective Board members who are currently employed as consultants by one of the parties indirectly involved shall obtain permission from the other party prior to appointment.

c. Previous employment as a consultant by any party directly or indirectly involved shall be disclosed.

3. Financial Ties:

a. Individuals with financial ties to any of the parties directly involved are prohibited from serving as Board members.

b. Current financial ties to any of the parties indirectly involved shall be disclosed.

c. Previous financial ties with any party, directly or indirectly involved, shall be disclosed.

4. Close Personal or Professional Relationships:

a. Individuals with close personal or professional relationships with a key member of any party directly involved are prohibited from serving as Board members.

b. Such current relationships with a member of any party indirectly involved in the Contract shall be disclosed.

c. All past personal or professional relationships with a key member of one of the parties directly or indirectly involved shall be disclosed.

5. All past and current service as a Board member on projects where any of the parties directly or indirectly involved on this Contract were also involved shall be disclosed.

6. No member shall have had substantial prior involvement in the project, in the judgment of Sound Transit and the Contractor.

D. Ongoing Responsibilities: While serving as a Board member on this project, no member shall participate in any discussion contemplating the creation of an agreement or making an agreement with any party directly or indirectly involved in the Contract regarding employment or fee-based consulting services, or any other business arrangement after the Contract is completed.


1.04 ESTABLISHMENT OF THE DRB

A. After award of the Contract, Sound Transit and the Contractor shall meet to discuss and establish the qualifications upon which nominees are to be evaluated and to jointly select prospective nominees.

B. Sound Transit and the Contractor shall provide to the DRB nominees a list of the construction manager, designers, architects, engineers, professional service firms, consultants, joint-venture partners, Subcontractors, and suppliers involved, or likely to be involved in the project, with a listing of key personnel of each. DRB nominees shall provide the following, pursuant to the above requirements and in addition to the nominee’s full name and contact information, to both parties:

1. Resume showing construction experience qualifying the person as a DRB member.

2. Resume showing past DRB participation, if any. List each DRB assignment separately, indicating the name and location of the project, dates of DRB service, name of owner, name of contractor, contract value, nominating party if applicable, names of the other Board members and the number of disputes heard.

3. Disclosure statement describing past, present, and anticipated relationships, including indirect relationships through the nominee’s full-time employer, if any, to the project, and with all parties directly and indirectly involved in the Contract. Disclose close professional or personal relationships with key members of all these parties.

4. Disclosure is a continuing obligation of all Board members throughout the life of the Contract.

C. Sound Transit and the Contractor shall then have three weeks to solicit and receive information from prospective candidates, and another two weeks to review and to jointly agree on the final selection of the three members to serve on the DRB. In the event that all three members were not selected from the initial pool of nominees, the process shall be repeated.

D. If the DRB Chair has not already been appointed as part of the selection process, then as soon as is practicable the Board members shall nominate the Chair and submit the nominee’s resume and request approval by Sound Transit and the Contractor.

E. Sound Transit, the Contractor and the DRB shall execute the Three-Party Agreement at the first DRB meeting.

1.05 DRB MEETINGS

A. The DRB will visit the project site and meet with representatives of the parties at quarterly intervals and at other times requested by the parties.

B. Each meeting shall include an informal discussion and a field observation of the work in progress. The discussion and field observation shall be attended by personnel of Sound Transit and the Contractor.


1.06 DISPUTE RESOLUTION PROCESS

A. Prior Good-Faith Negotiation:

1. Sound Transit and the Contractor shall enter into good-faith negotiations to settle a dispute before referring such dispute to the DRB.

2. These good-faith negotiations shall be founded on the principle of full and timely disclosure of each party’s position to the other party, including the exchange of pertinent supporting records, analyses, expert reports, and similar documentation, and shall proceed without delay following the inception of the dispute. Such good-faith negotiations may involve the solicitation and rendering of a DRB advisory opinion as described herein.

B. Dispute Referral:

1. A dispute may be referred to the DRB by either Sound Transit or the Contractor. The dispute referral shall be made in writing to the DRB Chair with a copy concurrently provided to the other Board members and the other party.

2. If the Contract stipulates a precedent dispute resolution process prior to referral to the DRB, and if one party fails to meet or adhere to the time requirements set forth under the Contract for this process, the other party may then refer the dispute to the DRB. In the event that the Contract does not specify such precedent process, or specifies a precedent process without time requirements, either party may refer the dispute to the DRB after passage of a reasonable period of time without progress toward a negotiated settlement and the DRB will determine if the dispute should be heard.

3. The dispute referral shall concisely define the nature and specifics of the dispute that are to be considered by the DRB and the scope of the recommendation requested.

4. The DRB Chair shall confer with the parties to establish a due date for delivering pre-hearing submittals, and a date, time, and location for convening the DRB hearing. Hearings shall be convened at the next periodic meeting, unless the parties agree to a shorter or longer period.

C. Pre-Hearing Submittal:

1. Sound Transit and the Contractor shall each prepare a pre-hearing submittal and transmit it to all three members of the DRB and the other party. The pre-hearing submittal, comprising a position paper with such backup data as is referenced in the position paper, shall be tabbed, indexed, and the pages consecutively numbered.

2. Both position papers shall, at a minimum, contain the following:

a. A joint statement of the dispute, and the scope of the desired report, placed in a prominent location. The language of this joint statement shall summarize in a few sentences the nature of the dispute. If the parties are unable to agree on the wording of the joint statement of dispute, each party’s position paper shall contain both statements, and identify the party authoring each statement.


b. The basis and justification for the party’s position, with reference to Contract language and other supporting documents for each element of the dispute. In order to minimize duplication and repetitiveness, the parties may identify a common set of documents that will be referred to by both parties and submit them in a separate package.

c. When the scope of the hearing includes quantum, the referring party shall include a schedule impact analysis and full cost details, calculated in accordance with methods set forth in the Contract. This requirement does not apply if the report is to be made for entitlement alone or for entitlement with guidelines for quantum.

3. The number of copies, distribution requirements, and time for submittal will be established by the DRB and communicated to the parties by the Chair.

D. DRB Hearings:

1. Sound Transit will arrange for or provide hearing facilities at or near the site.

2. Attendance:

a. Sound Transit and Contractor shall both limit attendance at the hearing to personnel directly involved in the dispute and participants in the good-faith negotiations that were conducted prior to submittal to the DRB except as noted below.

b. Prior to the date established for the hearing, each party shall provide a list of proposed attendees to the DRB and to the other party. In the event of any disagreement, the DRB shall make the final determination as to who attends the hearing.

c. Attorneys shall not participate in the hearing. Attorneys representing the parties are permitted to attend dispute hearings, provided that prior permission is obtained from the other party.

d. At DRB hearings regarding claims by a Subcontractor, including pass-through claims by a lower tier Subcontractor or supplier, against the Contractor which are actionable by the Contractor against Sound Transit, the Contractor shall require and ensure that each Subcontractor involved in the dispute has present an authorized representative with actual knowledge of the facts underlying the Subcontractor claims.

3. The conduct of the hearing shall be established by the DRB according to its operating procedures and generally be consistent with the following guidelines:

a. The party that referred the dispute to the DRB shall present its position first, followed by the other party.

b. Both parties shall be allowed successive rebuttals, ensuring a full and adequate opportunity to present their position, and to rebut the opposing party’s position, until, in the DRB’s opinion, all aspects of the dispute have been fully and fairly covered.

c. The DRB shall be fully prepared to, and may at any time, ask questions, request clarifications, or ask for additional data andr job records.


d. Either party may request that the DRB direct a question to, or request a clarification from the other party. The DRB shall determine at what point in the proceedings such requests may be made and if they will be granted. In general, the DRB will not allow one party to be questioned directly by the other party.

e. In difficult or complex cases, additional hearings may be necessary to facilitate full consideration and understanding of the dispute.

f. The DRB, in its discretion, may allow introduction of arguments, exhibits, handouts, or documentary evidence that were not included in that party’s pre-hearing position paper and have not been previously submitted to the other party. In such cases the other party will be granted time to review and prepare a rebuttal to the new material.

E. Failure to Prepare a Pre-Hearing Submittal or Attend a DRB Hearing:

1. In the event that either party fails to deliver a pre-hearing submittal by the date established by the DRB, the DRB shall, at its discretion, determine whether the hearing shall proceed as originally scheduled, or whether additional time shall be provided and a new date established. On the final date and time established for the hearing, the DRB shall proceed with the hearing utilizing the information that has been submitted.

2. In the event that some or all of the representatives of either party fails to appear at the appointed time of a DRB hearing, the DRB shall proceed with the hearing. The hearing shall take place as if all party representatives were in attendance, and the DRB shall consider all evidence brought before it and hear testimony from those party representatives that are present.

F. Use of Outside Experts:

1. By Sound Transit or the Contractor:

a. A party intending to offer an outside expert’s analysis at the hearing shall disclose such intention in writing to the other party and to the DRB no less than 30 Days prior to the due date for delivering the pre-hearing submittal. The expert’s name and a general statement of the area of the dispute that will be covered by his or her testimony shall be included in the disclosure.

b. Upon receipt of the above disclosure, the other party shall have the opportunity to secure the services of an outside expert to address or respond to those issues that may be raised by the other party’s outside expert. The disclosure requirements shall be the same as that specified above, except the time requirement is 10 Days.

c. The cost for securing outside expert services shall be borne by the party securing such services.

2. By the DRB:

a. Prior to arranging for outside experts, the DRB shall obtain prior approval from Sound Transit and the Contractor by providing:

1) A statement explaining why the expert assistance is needed.

2) An estimate of the cost of the expert assistance.


3) A disclosure statement, in accordance with the requirements of Article 1.04B.2, herein, using the criteria established in Article 1.04B.3, herein.

4) A confidentiality statement, consistent with the DRB’s such agreement, executed by the proposed expert.

b. The DRB Chair shall include the cost of the outside expert in his or her regular invoice, and provide a copy of the invoice. Invoices shall be in accordance with the requirements for Board member invoices.

c. The Contractor and Sound Transit shall equally bear the cost of the services of the outside expert employed by the DRB.

G. DRB Report:

1. The DRB’s recommendations for resolution of a dispute will be formalized in a written report with format as determined by the DRB and signed by all Board members. The report should include a concise description of the dispute, short statements of each party’s position, findings as to the facts of the dispute, discussion and rationale for the recommendation(s), and the recommendation(s). The report shall be submitted concurrently to the parties, as soon as possible after completion of the hearing as agreed by all parties.

2. If the DRB cannot arrive at a unanimous report, the Board shall prepare minority findings and recommendation(s), which, together with the majority findings and recommendation(s) shall comprise the DRB report. The report shall identify the issues of disagreement, along with the reasons for disagreement.

3. Clarification:

a. Either party may request clarification of a report within 10 Days following receipt of the report. Within a reasonable period of time, the DRB shall provide written clarification to both parties.

b. Requests for clarification shall be submitted in writing simultaneously to the DRB and to the other party.

c. Only one request for clarification per dispute from each party will be allowed.

4. Reconsideration:

a. Either party may request reconsideration of a report, within 10 Days following receipt of the report, when new information is obtained or developed that was not known at the time of the hearing, or when, in the party’s opinion, the DRB misunderstood or failed to consider pertinent facts of the dispute. Within a reasonable period of time, the DRB shall provide written reconsideration to both parties.

b. Requests for reconsideration shall be submitted in writing simultaneously to the DRB and to the other party.

c. The Board will not entertain requests for reconsideration that amount to a renewal of prior argument or additional argument based on facts available at the time of the hearing.


d. Only one request for reconsideration per dispute from each party will be allowed.

5. Acceptance:

a. Sound Transit and the Contractor shall submit their written acceptance or rejection of the report concurrently to the other party and to the DRB within 14 Days of receipt of the report or following receipt of responses to requests for clarification or reconsideration.

b. Failure by either party to accept or reject within the specified period shall be construed as acceptance of the report by that party.

c. Acceptance by Sound Transit of a report on entitlement only, or on entitlement with guidelines for quantum, does not obligate Sound Transit to any particular quantum amount.

H. Advisory Opinions:

1. An advisory opinion serves as a method for potentially avoiding a DRB hearing. It is not intended to replace the dispute resolution process specified herein, but may be implemented as part of the good-faith negotiations conducted between the parties.

2. When mutually agreed by Sound Transit and the Contractor, the DRB may, at its discretion, provide an advisory opinion on any issue.

1.07 COMPENSATION

1. Sound Transit and the Contractor shall each bear their respective in-house costs and costs of providing those DRB-related services for which such responsibility has been allocated herein.

2. Sound Transit and the Contractor shall equally bear the cost of the DRB’s services in accordance with and as set forth in the Contract.



ATTACHMENTS

Three-Party Agreement Form

END OF SECTION

UNIVERSITY LINK PROJECT SECTION 01 27 00 ATTACHMENT A-1 LINK CONTRACT U835 EMI/VIBRATION MONITORING THREE-PARTY AGREEMENT FORM CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011


THREE-PARTY AGREEMENT FORM

I PARTIES

A. Puget Sound Regional Transit Agency, herein after referred to as Sound Transit.

B. _________________________________, herein after referred to as the Contractor.

C. Dispute Review Board, hereinafter referred to as the DRB, including three members:

1. _________________________________,

2. _________________________________,

3. _________________________________

II CONTRACT

A. The Contractor has entered into a PRIME CONTRACT with Sound Transit for the construction of the U835. EMI/Vibration and Wheel Flat Detection Systems, hereinafter referred to as the PROJECT.

B. The PROJECT PRIME CONTRACT provides for the establishment and operation of a DRB to assist in resolving disputes.

C. The DRB is composed of three members, selected in accordance with Section 01 27 00, Dispute Review Board.

III PURPOSE OF DRB

A. Assist in and facilitate avoidance of disputes and the timely and impartial resolution of disputes that are referred to it.

IV DRB SCOPE OF WORK

A. General:

1. Stay abreast of project developments by means of periodic meetings and site visits, review of progress reports, meeting minutes, and other job documents, and by other means as mutually agreed by all parties.

2. Examine site conditions or specific construction problems relating to an existing or potential dispute, unless such examination is not practical, or, in the judgment of either Sound Transit or the Contractor, would result in a delay to the project.

3. One of the selected members shall serve as Chair.

4. Execute this Agreement at the first meeting with representatives of Sound Transit and the Contractor.

B. Establish DRB operating procedures consistent with the requirements and general guidelines set forth in Section 01 27 00, Dispute Review Board:


1. Establish operating procedures mutually agreeable to all parties, such as administrative duties; content and format of information, which may be presented at DRB hearings; conduct of hearings; and invoicing details. Establish these procedures at the first meeting with representatives of Sound Transit and the Contractor.

2. Initiate new procedures or modify existing procedures as mutually agreed to by all parties.

3. Provide all parties with these operating procedures, including all modified procedures, in written form.

C. Recommend Resolution of Disputes:

1. Upon receipt by the DRB of a referral of a dispute from either Sound Transit or Contractor, schedule and conduct a hearing at a time and location set by the DRB following consultation with Sound Transit or Contractor.

2. When proper evaluation of the dispute requires expertise that is not within the collective experience of the DRB, engage, with the prior written approval of Sound Transit and the Contractor, the services of one or more outside consultants as may be needed to advise the DRB.

3. Convene internal meetings as needed to review and discuss the dispute, and to formulate the report.

4. Following each hearing and DRB deliberation, issue timely executed written reports to Sound Transit and the Contractor, including the supporting rationale.

5. When requested and deemed appropriate by the DRB, provide executed written responses to requests for clarification or reconsideration made by either Sound Transit or the Contractor.

6. All DRB reports and responses to requests for clarification or reconsideration shall be signed by all three Board members.

D. Perform services and assume responsibilities, as agreed by all parties, as may be required, including those necessary but not listed herein, to achieve the purpose of this Agreement.

V RESPONSIBILITIES OF THE PARTIES

A. DRB Responsibilities:

1. Maintain impartiality and avoid conflicts of interest by continuing to meet the specified requirements for nominees for Board members. Promptly advise all parties upon becoming aware of any development that could be perceived as a conflict of interest.

2. Do not discuss, individually or collectively, issues with Sound Transit or the Contractor that could possibly be construed as compromising the DRB’s ability to impartially resolve future disputes, such as the conduct of the work and the resolution of construction problems.

3. Do not express an individual or collective opinion of merit, in whole or in part, for any potential or other dispute at any time prior to the issue of a report, except in the case of an advisory opinion.


4. Except as required when performing the duties of the Chair or conducting a hearing which Sound Transit or Contractor refuses to attend, do not meet or communicate with either Sound Transit or Contractor in the absence of the other.

5. Consider the facts and conditions forming the basis for a referred dispute impartially and independently and evaluate the merits based on careful consideration of all contract requirements, applicable law and regulations, and the facts and circumstances of the dispute. Do not:

a. Ignore or undermine the clear intent of the Contract, or disregard or alter any requirements of the Contract or allocation of risk specified therein.

b. Supplant or otherwise interfere with the respective rights, authority, duties, and obligations of either Sound Transit or Contractor as set forth in the Contract Documents.

6. Make every effort to reach unanimous recommendations. If this cannot be accomplished, include written minority recommendations and supporting rationale with the report.

B. SOUND TRANSIT Responsibilities:

1. Except for participation in the DRB’s activities as provided in the Contract Documents and this Agreement, do not solicit advice or consultation from the DRB or its members on matters dealing with the conduct of the work or resolution of problems which might compromise the DRB’s ability to impartially resolve future disputes.

2. Furnish to each Board member one copy of the conformed Contract Documents, progress schedule and updates, weekly progress reports, minutes of progress meetings with the Contractor, Change Orders, and other documents pertinent to the performance of the contract and necessary for the DRB to conduct its operations.

3. Coordinate DRB operations in cooperation with the Contractor.

4. Arrange for or provide conference facilities at or near the site, and provide copying services.

5. Cooperate with the Contractor and the DRB to facilitate prevention of disputes and the timely and impartial resolution of disputes.

C. Contractor Responsibilities:

1. Except for participation in the DRB’s activities as provided in the Contract documents and this Agreement, do not solicit advice or consultation from the DRB or its members on matters dealing with the conduct of the work or resolution of problems which might compromise the DRB's ability to impartially resolve future disputes.

2. Furnish to each Board member and to Sound Transit, one copy of pertinent documents other than those furnished by Sound Transit as may be requested.

3. Cooperate with Sound Transit and the DRB to facilitate prevention of disputes and the timely and impartial resolution of disputes that are referred to it.


VI TIME FOR BEGINNING AND COMPLETION OF DRB ACTIVITIES

A. Unless the DRB Chair has been previously identified by the parties, the DRB shall begin its activities by selecting the Chair. After selection of the Chair, DRB activities shall proceed with preparation for the first meeting, including preparation of the DRB operating procedures.

B. This Agreement shall survive the termination, resignation or death of any member.

C. The DRB’s jurisdiction under this Agreement shall end on the date of final payment under the CONTRACT, unless terminated earlier by mutual agreement of Sound Transit and Contractor.

VII PAYMENT

A. Payments made to the Board members shall constitute full compensation for work performed, travel time and services rendered, and for all materials, supplies and incidentals necessary to serve on the DRB.

B. Payment for services rendered by Board members shall be at the rate and conditions agreed to between Sound Transit and the Contractor and each Board member.

C. Board members shall be reimbursed for actual direct, non-salary expenses including automobile mileage, parking, travel expenses from the point of departure to the initial point of arrival, automobile rental, taxi fares, food and lodging, printing, long distance telephone, postage and courier delivery, subject to limitations imposed by the contract.

D. Payment made to Board members in the form of bonus, commission, or consideration of any nature other than that specified hereinabove for performance and service provided under this Agreement, before, during or after the period that this Agreement is in effect, is prohibited.

E. Board members shall individually submit invoices for work completed to the Contractor:

1. Not more often than once per month.

2. Based on the agreed billing rate and conditions and on the number of hours expended, together with direct, non-salary expenses including an itemized listing supported by copies of original bills, invoices, and expense accounts.

3. Accompanied by a description of activities performed daily during that period.

F. The Contractor shall pay acceptable invoices, approved by Sound Transit, within 30 days of their receipt.

G. The Contractor shall be reimbursed for Sound Transit’s portion of the DRB costs in accordance with payment provisions specified elsewhere in the contract.

VIII CONFIDENTIALITY AND RECORDKEEPING

A. No Board member shall divulge information identified as confidential that has been acquired during DRB activities without obtaining prior written approval from Sound Transit and the Contractor.

B. Board members shall maintain cost records pertaining to this Agreement for inspection by Sound Transit or the Contractor for a period of three years following the end or termination of this Agreement.


IX ASSIGNMENT

A. No party to this Agreement shall assign any duty established under this Agreement.

X. TERMINATION

A. This Agreement may be terminated by mutual agreement of Sound Transit and Contractor at any time upon not less than four weeks written notice to the other parties.

B. Individual Board members may be terminated only by agreement of both Sound Transit and the Contractor.

C. If a Board member resigns, is unable to serve, or is terminated he or she shall be replaced within four weeks in the same manner as he or she was originally selected. This Agreement shall be amended to indicate the member replacement.

XI LEGAL RELATIONS

A. The parties to this Agreement expressly acknowledge that each Board member, in the performance of his or her duties on the DRB, is acting in the capacity of an independent agent and not as an employee of Sound Transit or the Contractor.

B. Board members shall not participate in subsequent dispute proceedings.

C. Sound Transit and the Contractor acknowledge that each Board member is acting in a capacity intended to facilitate the resolution of disputes. Accordingly, it is agreed and acknowledged that, to the fullest extent permitted by law, each Board member shall be accorded quasi-judicial immunity for any actions or decisions associated with DRB activities.

D. Each Board member shall be held harmless for any personal or professional liability arising from or related to DRB activities. To the fullest extent permitted by law, Sound Transit and the Contractor shall indemnify and hold harmless all Board members for claims, losses, demands, costs, and damages (including reasonable attorney fees) for bodily injury, property damage, or economic loss arising out of or related to Board members carrying out DRB activities. The foregoing indemnity is a joint and several obligation.

XII DISPUTES REGARDING THIS THREE-PARTY AGREEMENT

A. Disputes among the parties arising out of this Agreement that cannot be resolved by negotiation and mutual concurrence and actions to enforce any right or obligation under this Agreement shall be initiated in the Superior Court of King County, Washington.

B. All questions shall be resolved by application of State of Washington law.

C. The Board members hereby consent to the personal jurisdiction of the Superior Court of King County, Washington.

XIII FUNDING AGENCY REVIEW

A. The Federal Transit Administration’s Project Management Oversight Committee has the right to review DRB reports and to attend DRB hearings, but not to attend private DRB deliberations.


XIV THREE-PARTY AGREEMENT

Entered into on ____________ ___________, ___________ between:

(month) (day) (year)

Board Members

By: ___________________________

(Signature)

By: ___________________________

(Signature)

By: ___________________________

(Signature)

Contractor

By: ___________________________

(Signature)

By: ___________________________

(Name)

Title: ___________________________

(Signature)

___________________________

(Name)

___________________________

(Name)

___________________________

(Name)

Sound Transit

By: ___________________________

(Signature)

By: ___________________________

(Name)

Title: ___________________________

UNIVERSITY LINK PROJECT SECTION 01 27 23-1 LINK CONTRACT U835 EMI/VIBRATION MONITORING ESCROW BID DOCUMENTATION CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011


SECTION 01 27 23

ESCROW BID DOCUMENTATION

PART 1 - GENERAL

1.01 SUMMARY

A. This Section specifies the submittal, use, and preservation of Contractor’s Escrow Bid Documentation, as defined in Article 1.03, herein (hereinafter also referred to as “Bid Documentation”, “Bid Document” or “Documents”). The Bid Documents provided by the Contractor shall be specific enough that a third person could look at the Bid Documents and determine the labor, material, and equipment costs for each Contract Division and Specification Section within the Division. The Bid Documents shall also identify field and home office overhead and profit. The Contractor shall execute the enclosed Escrow Bid Documentation Instruction Agreement and submit it no later than the meeting to review the Bid Documents as set forth in Article 1.04A, herein.

B. An Escrow Bid Documentation Agreement is appended to this Section.

1.02 CONTRACTOR RESPONSIBILITIES

A. The Contractor shall submit a legible copy of all Escrow Bid Documentation used to prepare the bid for this Contract no later then the time set forth in Article 1.04A, herein.

1.03 ESCROW BID DOCUMENTATION DEFINITION

A. The terms “Escrow Bid Documentation”, “Bid Documentation” and “Bid Documents” as used in this Section include, but are not limited to, the following documents:

1. Anticipated, detailed project schedule at the time of the bid.

2. Scope of work on which the Contractor requested the Subcontractors and Suppliers to submit their proposals/quotations.

3. Proposals/quotations from Subcontractors and Suppliers with all backup documentation including the conditions and pricing.

4. Quantity takeoff documents including calculations.

5. Labor rates and the attendant development file(s).

6. Equipment rates and the attendant development file(s).

7. Equipment proposals / quotations including conditions and pricing.

8. Assumptions or details used to develop the production rates assumed in the estimate and project schedule.

9. All survey notes or calculations; site visit notes or documents and all notes from prebid meeting(s).

10. Takeoff sheets, cut and add sheets, and any and all backup documentation.


11. Bid estimate from summary level to the lowest level of detail commensurate with the capabilities of the Contractor’s estimating system including all notes and assumptions for each activity and bid item and including crew sizing, equipment utilization, material consumption rates, and Subcontractor pricing.

12. All writings, drafts, working papers, take off sheets, phone logs, computer printouts, charts, electronic data, spreadsheets, drawings, scope of work narratives or outlines, photographs, and all other documentation or data compilations which contain or reflect all information, data, and calculations compiled to, referred to, related to, and used for the above list of items.

13. All manuals, books, and/or reference guides which used by in determining the bid for this Contract. If such manuals, books, and reference guides are standard in the industry, they may be included in the Bid Documentation by reference provided the reference includes the title, edition, publication date, and author.

B. If the Contractor provides rolled up take off sheets or electronic data for all aspects of the Escrow Bid Documentation, the Contractor shall also provide the backup documentation supporting the rolled up take off sheets and electronic data.

C. The term Escrow Bid Documentation does not include the bid documents provided by Sound Transit for use by the Contractor in bidding on this Contract.

D. Unsuccessful Bidder(s) shall not destroy, throw away, or write over Escrow Bid Documentation or all other documentation used in, referenced, and referring to the its bid until the return of the its bid bond by Sound Transit.

1.04 DELIVERY OF BID DOCUMENTATION TO SOUND TRANSIT

A. Within 5 Business Days after being requested, the Contractor shall submit Bid Documentation to the Senior Contracts Administrator named in the Invitation to Bid at:

Sound Transit Procurement and Contracts

401 S. Jackson Street,

Seattle, WA 98104.

B. Escrow Bid Documentation shall be submitted as follows:

1. All Escrow Bid Documentation shall be in folder(s) or 3-ring binder(s). The folder(s) or 3 ring binder(s) shall be clearly marked “Escrow Bid Documentation - Contract No. LR 148-10 and shall contain the Contractor’s name, contact person, phone number, and date of submittal. Such Escrow Bid Documentation shall be stored in an offsite document repository of Sound Transit’s choice.

2. Contractor shall mark all of pages of the Bid Documentation it considers proprietary or confidential, accordingly. Such information will be treated as such by Sound Transit; however, Sound Transit cannot ensure that this information would not be subject to release pursuant to a public disclosure request. In the event Sound Transit receives a request for such information, Sound Transit will immediately advise the Contractor and will not release the marked documents for a period of not less than 10 Days in order to give the Contractor an opportunity to obtain a court order prohibiting the release of the information in response to the public disclosure request.

3. The writing on the pages shall be legible.


4. The paper shall be white in color or some other light (neutral) colored paper.

5. Documents shall be in the English language. Currency shall be expressed in U.S. dollars, and measurement units in either metric or U.S. units. Should the Contractor receive a quotation in a language other than English, the Contractor shall provide an English translation of that (those) document(s).

C. Contractor shall include with its Escrow Bid Documentation an affidavit signed under oath by an individual authorized by the Contractor to execute bids and contracts.

1. The affidavit shall list each document with sufficient specificity and reference page number(s) so that a comparison can be made between the list and the Bid Documentation to ensure that all Escrow Bid Documentation listed in the affidavit has been enclosed and that all documentation has been provided to Sound Transit.

2. The affidavit shall state that the affiant has personally examined the Escrow Bid Documentation and that all documentation that was used in preparing the bid and that supports how the bid price was calculated was provided to Sound Transit.

D. Documents listed in the affidavit but not included in the folder(s) or three ring binder(s) through error or oversight by the Contractor, shall be submitted to Sound Transit within 2 Business Days after notification from Sound Transit that Bid Documentation is missing or within 2 Business Days after the Contractor becomes aware of the error.

E. Prior to Contract execution, Sound Transit and the Contractor shall meet to review the Bid Documentation to ensure that the submitted Bid Documentation satisfies the requirements of this Section.

F. If Sound Transit determines that the Escrow Bid Documentation is illegible, not electronically accessible, or not submitted in accordance with this Section, the Contractor shall:

1. Provide legible copies of the Bid Documentation.

2. Supply the software necessary to access the Bid Documentation.

3. Comply with the requirements of this Section within 2 Business Days of Sound Transit’s request.

G. If Sound Transit believes that the Contractor has not provided all Escrow Bid Documentation, the Contractor shall, within 2 Business Days of Sound Transit’s request, supply additional documentation or an explanation as to why the documentation does not exist.

H. Failure to submit Escrow Bid Documentation within the times prescribed, failure to be cooperative with Sound Transit in providing the Bid Documentation, or destruction of Bid Documents is just reason for a Contractor to be found not responsible in which case Sound Transit may reject the Contractor as not responsible.

1.05 USE OF BID DOCUMENTATION

A. The Contractor agrees that the Escrow Bid Documentation shall contain all documentation used in preparing the Bid. No other Bid Documentation concerning the Contractor’s calculation of its bid shall be utilized by the Contractor during disputes or litigation of claims brought by the Contractor arising out of this Contract, unless otherwise approved by Sound Transit.


B. The Escrow Bid Documentation may be reviewed and used by Sound Transit to determine the Contractor’s bid concept, to evaluate the Contractor’s breakdown of Contract Price, evaluate productivity and schedule, in association with Claims or for all other reason related to the Contract.

C. Sound Transit may copy the Escrow Bid Documents and may provide the working copy(s) to Sound Transit personnel, agents, or consultants. Sound Transit, its agents, and consultants, may maintain such working copies of the Bid Documents and at the request of Resident Engineer, all copies of Escrow Bid Documents will be returned to Sound Transit.

D. If a Dispute Review Board is used to resolve disputed claims, the Board members shall have unrestricted use and access to the Escrow Bid Documentation for purposes of evaluating, understanding, resolving, and settling disputes/claims. The Dispute Review Board shall maintain submitted documents in a file marked confidential and proprietary which shall be returned to Sound Transit at the conclusion of the DRB process.




UNIVERSITY LINK PROJECT SECTION 01 27 23 – ATTACHMENT A–1 LINK CONTRACT U835 EMI/VIBRATION MONITORING ESCROW BID DOCUMENTATION AGREEMENT CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011


ESCROW BID DOCUMENTATION AGREEMENT

Public Body: Sound Transit

Contract No.: LR xxx-xx

Project Name: U835 University Link Systems

Estimated Contract Completion Date: ____________________________

This Agreement is for the retention of Escrow Bid Documentation submitted in accordance with Specification Section 01 27 23, Escrow Bid Documentation, Contract No. LR XXX-XX by

________________, (Contractor) the company selected low bidder by Puget Sound Regional Transit Agency (Sound Transit) to perform all the work associated with the Project named above.

Pursuant to Contracts Documents, the parties agree to the following conditions of this escrow agreement:

1 DURATION AND USE OF BID DOCUMENTATION

A. The Escrow Bid Documentation and affidavit shall remain in a secured location under the control of Sound Transit during the life of the Contract and will be returned to the Contractor by Sound Transit within 30 Days after the resolution of all claims, disputes and/or litigation, and the issuance of Final Acceptance.

B. The Escrow Bid Documentation may be used to determine the Contractor’s bid concept related to Claims arising out of this Contract. Pursuant to the Contract Specifications Section 01 27 23, Escrow Bid Documentation, Sound Transit may copy the Escrow Bid Documents and utilize copies.

C. For purposes of protecting the Escrow Bid Documents, Sound Transit and the Contractor shall each designate three authorized representatives that may access the Escrow Bid Documents. Such designations shall be by letter to the other party. The Contractor and/or Sound Transit may change the authorized representatives with written notice to the other party. In the event that a Claim is submitted by the Contractor, Sound Transit may at is sole discretion review the escrowed Bid Documentation to verify the fairness and reasonableness of any proposed adjustment in the Contractor Price or Contract Time. If Sound Transit elects to obtain access to such materials, Sound Transit will notify the Contractor and permit the Contractor to obtain equal access. At no time shall the Contractor have access to the Escrow Bid Documents and affidavit located with the Escrow Bid Documents without the presence of a Sound Transit authorized representative. Following each examination, the Escrow Bid Documentation will be returned to Sound Transit’s offsite document repository.


D. The Article above does not apply when Sound Transit or Contractor accesses their working copies of the Escrow Bid Documentation.

2 AUTHORIZED REPRESENTATIVES

A. For the Contractor are:

_____________________________________________________________________

_____________________________________________________________________

_____________________________________________________________________

B. For Sound Transit are:

_____________________________________________________________________

_____________________________________________________________________

_____________________________________________________________________

3 REMEDIES FOR REFUSAL OR FAILURE TO PROVIDE OR ALLOW ACCESS TO BID DOCUMENTATION

A. If the Contractor fails or refuses to allow Sound Transit to access, examine, copy, and/or maintain a copy of the Escrow Bid Documentation, the parties agree that:

1. Sound Transit shall provide access to the Escrow Bid Documents to Senior Contracts Administrator if Sound Transit provides a declaration and supporting documentation showing that:

a.) Sound Transit provided the Contractor with a minimum of 24-hour written notice of its intent to access or copy the Escrow Bid Documentation;

b.) Sound Transit provided timely written notice to the Contractor regarding access to the Escrow Bid Documentation;

c.) The Contractor has either failed to acknowledge notice of Sound Transit’s request, is refusing to allow Sound Transit access to the Escrow Bid Documentation, or is refusing to allow Sound Transit to access the Escrow Bid Documentation and it has been more than two days (48 hours) since Sound Transit provided notice of its intents to access the Escrow Bid Documents.

2. An employee from Sound Transit shall be present when Sound Transit accesses the Escrow Bid Documentation to ensure the authenticity of the Escrow Bid Documents.


Contractor Sound Transit

By: ____________________________ By: ____________________________

Name: ____________________________ Name: ____________________________

Title: ____________________________ Title: ____________________________

Date Signed: ________________________ Date Signed: ________________________

Notice to: ________________________

END OF AGREEMENT



UNIVERSITY LINK PROJECT SECTION 01 31 19-1 LINK CONTRACT U835 EMI/VIBRATION MONITORING PROJECT MEETINGS CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011


SECTION 01 31 19

PROJECT MEETINGS

PART 1 - GENERAL

1.01 SUMMARY

A. This Section includes specifications for project meetings prior to and during construction.

B. Related Sections: The work of the following Sections is related to the work of this Section. Other Sections, not referenced below, may also be related to the proper performance of this work.

1. Section 01 32 13 - Scheduling of Work.

2. Section 01 45 00 - Quality Assurance / Quality Control.

1.02 SPECIAL MEETINGS

A. Special meetings will be scheduled and conducted by Sound Transit throughout the course of construction as Sound Transit deems necessary.

1.03 PRECONSTRUCTION MEETING

A. A pre-construction meeting will be scheduled and conducted by Sound Transit not more than 21 Working Days after the effective date of the Notice of Contract Award. Attendance is required by the Contractor project manager, superintendent, and other necessary personnel. Sound Transit will provide written notice of this meeting not less than 4 Working Days prior to the date of the meeting.

B. At this meeting, Sound Transit will:

1. Introduce representatives of Sound Transit, governmental agencies, and public and private utilities.

2. Explain and discuss the responsibilities and authorities of the Resident Engineer.

3. Discuss Equal Employment Opportunity (EEO), Small Business and Disadvantaged Business Enterprises (SBE and DBE), and apprenticeship program requirements.

4. Discuss Community Relations functions.

5. Discuss construction quality control requirements, as specified in Section 01 45 00, Quality Assurance / Quality Control.

6. Discuss Contract quality assurance requirements.

7. Discuss Safety Certification process requirements.

8. Define and establish requirements for safety, first-aid, emergency actions, security, and full-time safety representatives.


9. Explain and discuss selected laws, codes, traffic regulations, and permit requirements of public agencies and their regulations.

10. Discuss procedures for processing Change Notices (CNs), Change Orders (COs), correspondence, Requests for Information (RFIs), shop drawings, submittals, product data, and samples.

11. Discuss monthly progress payments.

12. Discuss Construction Progress Meetings and bi-weekly Quality Control Meetings.

13. Discuss final payments.

14. Discuss project schedule.

15. Discuss special conditions.

C. Plan to discuss the following at this meeting:

1. Introduce project representatives and briefly describe each person's responsibilities.

2. Distribute and discuss the list identifying major Small Business and Disadvantaged Business Enterprises (SBE and DBE) Subcontractors including their areas of responsibility.

3. Discuss use of office, streets, rights-of-way, haul routes, storage areas, staging areas, construction areas, and temporary easements.

4. Define housekeeping procedures.

5. Discuss construction means and methods.

6. Describe anticipated means and methods for worksite layout, water pollution control, and fencing.

7. Discuss coordination and notifications required for utility work and services.

8. Discuss deliveries and priorities of major equipment.

9. Discuss breakdown of schedule of values for lump sum items.

10. Discuss construction progress schedule, including critical path activities.

11. Discuss public safety measures.

1.04 CONSTRUCTION PROGRESS MEETINGS

A. Construction progress meetings will be scheduled and conducted by the Resident Engineer and held each week during the period of performance of the Contract for the competent and timely execution of the Contract. Include representatives of Subcontractors who are or will be performing work during the current and following month in the progress meetings.

B. Distribute notices of these meetings before such meetings to Subcontractors.


C. The agenda for construction progress meetings will be prepared by the Resident Engineer and will generally include the following:

1. Introduce new attendees and areas of responsibility.

2. Review minutes of previous meetings, amend minutes if necessary, and accept minutes.

3. Discuss Construction Safety.

4. Discuss Community Outreach.

5. Discuss SBE/DBE Utilization and Apprenticeship Program issues.

6. At each meeting, display and discuss the status of the Critical Path activities. If they are behind schedule, describe the methods intended to be used to bring these activities back on schedule.

7. Discuss corrective measures to maintain progress.

8. Discuss the Three-Week Look-Ahead Schedule submitted as specified in Section 01 32 13, Scheduling of Work, and last work plan for the previous period showing activities accomplished and those not completed in accordance with the prior submittal. Discuss the reasons for failure to complete the work as shown in the schedule and the methods to be implemented to complete the unfinished activities.

9. Confirm that all related submittals have a satisfactory disposition as “No Exceptions Taken” or “Exceptions as Noted – Resubmission Not Required” unless this is not in conjunction with the Readiness Review Meeting indicated in Section 01 45 00, Quality Assurance / Quality Control. If the submittal is “Exceptions as Noted – Resubmission Not Required”, confirm that all comments have been implemented.

10. Discuss quality observations, audit or surveillance reports, failed tests, non-conformances, and employee work standards.

11. Discuss coordination of utility work.

12. Discuss changed conditions, time extensions, and other relevant subjects as they affect the progress of the work.

13. Discuss the status of Contract changes: new changes, status of negotiations, and completed changes.

14. Discuss the status of Requests For Information.

15. Discuss commissioning work progress and coordination.

1.05 DESIGN PROGRESS MEETINGS

A. Design progress meetings will be scheduled and conducted by the Resident Engineer during the period of performance of the Contract for the competent and timely execution of the Contract. Include representatives of Subcontractors who are or will be performing work during the current and following month in the progress meetings.


B. The agenda for design progress meetings will be prepared by the Resident Engineer and will generally include the following:

1. Review minutes of previous meetings, amend minutes if necessary, and accept minutes.

2. At each meeting, display and discuss the status of the monitoring detection design, submittal status and deliverable dates.

C. Review the minutes of the meeting prepared by Sound Transit and submit all requested corrections. Minutes will be prepared in action-item format with named responsible parties and dates for completion indicated for each item.

1.06 QUALITY CONTROL MEETINGS

A. Attend Quality Control Meetings every 2 weeks with Sound Transit’s Representative, the Contractor’s Quality Representative, inspectors and Third Parties (if required) to discuss Contract quality issues. Items discussed will be documented by the Contractor’s Quality Representative and agreed upon Sound Transit’s Representative with due dates for assigned action items. Minutes will be distributed to all attendees and other interested parties. At a minimum, the Quality Meetings shall cover topics of:

1. Construction Work Plans and Inspections.

2. Test Plans, Procedures, and Test Results.

3. Non-conformance Reports.

4. Safety Critical submittals.

5. Audit / Surveillance Findings.

6. Off-site activities.

7. Materials received.

8. Special inspections and tests.

9. Updates to As-built Contract Documents.

1.07 PROGRESS PAYMENT MEETINGS

A. On the 25th of each month, or subsequent Monday if the 25th falls on a weekend, meet with the Resident Engineer to discuss the monthly progress payment.

1.08 CHANGE ORDER MEETINGS

A. Every two weeks or as necessary, meet with the Resident Engineer to negotiate Change Orders.

1.09 COORDINATED INSTALLATION PROGRAM (CIP) MEETING

A. CIP scheduled and conducted with the System-Wide Contractors to update progress and resolve interface issues. Distribute notices of these meetings to attendees and Resident Engineer. Frequency as necessary.


1.10 CONSTRUCTION WORK PLAN READINESS REVIEW MEETINGS

A. Attend a Readiness Review Meeting after each Construction Work Plan has been accepted and before beginning associated work activities, as specified in Section 01 45 00, Quality Assurance / Quality Control.






UNIVERSITY LINK PROJECT SECTION 01 31 23.10-1 LINK CONTRACT U835 EMI/VIBRATION MONITORING INTERNET BASED DOCUMENT CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS MANAGEMENT SYSTEM 100% SUBMITTAL JUNE 2011


SECTION 01 31 23.10

INTERNET BASED DOCUMENT MANAGEMENT SYSTEM

PART 1 - GENERAL

1.01 SUMMARY

A. Section specifies an Internet-based document management system, the selected software required for use by Contractor and Sound Transit for collaboration and communications of all Contract related Work.

B. Requirements of this Section are applicable across all Sections of the Contract Documents. Unless otherwise indicated, be responsible to utilize Internet-based document management requirements of this Section when performing all Document Communications.

1.02 SUBMITTALS


B. Initial and Updates of User Identification Information.

C. Proposed schedule of attendance for selected software training sessions.

D. Signed verification of training attendance for all users.

1.03 DEFINITIONS

A. Document Communication(s).

1. All written documentation and written communications required by Contract Documents including, but not limited to: correspondence, reports, notices, submittals, transmittals, RFIs, request for Change Order, payment applications, Change Orders, claims, change proposals, field directives, meeting agendas, meeting minutes, substitutions, VE Change Proposals, test reports, monitoring reports, punchlists, and all other formal Contract communications.

2. Documents required by the Contract that include written documents, demands, instruments, or directives, unless otherwise indicated in this Section.

3. Communications including sketches, suggestions, e-mails, and similar communications.

B. Electronic Documents.

1. Electronic form or image of Document Communications that can be stored on and retrieved from an electronic storage device through a collaboration system over Internet.

2. Includes all written and graphic products produced with computer software or converted to electronic form or electronic image by computer software.


C. Secure Documents: A secure form of original or created electronic document that communicates the content and information of the original document and prevents alteration of the original document.

D. Notice.

1. As defined in the Contract.

2. Notice for documents transmitted through selected software is time and date when document is sent to other party as recorded in selected software.

E. Document Team: Associated members of Sound Transit, Sound Transit’s Consultants, Construction Management, Contractor, Subcontractors, and Vendors.

F. The Selected Software.

1. Internet-based document management system developed by Sharepoint and Sound Transit.

2. Document management system for document workflows, communication, and collaboration.

3. Serves as a single source for document information for communication and collaboration among all document participants by automating various tasks in an organization of modules.

4. Provides a secure, permissions based access requiring identification of all users and their approved access rights.

5. More information may be obtained via World Wide Web at selected software url.

G. Document Guide: Selected software users guide that demonstrates the modules in the software program and the step-by-step use of the modules.

H. Snapshot.

1. A read-only archive of select document data on a compact disc (CD) or digital video disc (DVD) medium that is independent of the selected software application.

2. Includes only selected document data in selected software at the time Snapshot is produced.

3. Data contained on Snapshot is static such that no edits can be made to the data.

4. Provides an archive of document data and allows permanent access to data after selected software user accounts are no longer available.

1.04 USER IDENTIFICATION INFORMATION

A. Submit the following for each proposed authorized software user within 10 Days of effective date of Notice to Proceed:

1. Name, title, and company affiliation.

2. Address, phone number, email address and fax number.

3. Specific job related functions.


4. Level of authority within Contractor’s organization.

5. Level of authority requested for each user, for accessing selected software modules.

6. Date at which selected software access is required.

B. Submit an updated list of authorized users on a quarterly basis or more frequently as needed, to indicate users to be added or removed.

1.05 DOCUMENT COMMUNICATIONS

A. Submit and process all Document Communications using selected software. Communication through selected software is primary written communication tool for all Document Communications. Unless otherwise indicated, no other form of written Document Communication will be recognized.

B. Submit documents converted from their original format into electronic Portable Document Format (PDF) by using the built-in “convert” or “print” function of the original software, whenever that function is available. Scanned versions from hardcopy are not acceptable if a direct conversion can be made.

C. Submit scanned documents of machine quality (not rescans) unless original exists in no other form than a copy.

D. In addition, provide Sound Transit with a hard copy/paper copy of each Document Communication for which there is a paper-based source document, photograph, map or drawing which is either scanned or otherwise converted to electronic form or electronic image by computer software. Do not destroy any paper-based Document Communications, even if Document Communication has been converted to an imaging system or to selected software.

E. This Section shall not relieve Contractor of its obligations to provide Sound Transit with Record Drawings in physical form specified in Section 01 78 39, Project Record Documents.

F. Document Communications and requirements of the Contract that are not to be implemented through selected software are as follows:

1. Notice to Proceed: Delivered in written form as a paper document.

2. Notice of Termination or Suspension: Delivered in written form as a paper document in accordance with the General Conditions.

3. Exceptions noted in specific Sections of the Contract.

4. Substantial Completion: Delivered in written form as a paper document in accordance with the General Conditions.

5. Final Acceptance: Delivered in written form as a paper document in accordance with General Conditions.

1.06 ACCESS REQUIREMENTS

A. Maintain list of authorized users to reflect current authorized users of selected software.


B. Protect security of selected software system by limiting access to authorized users only. Take appropriate precautions to maintain security of system. Immediately notify Resident Engineer of all changes to list of authorized users.

C. Access will only be permitted to certain modules, in accordance with permission levels configured by selected software administrator.

1.07 USE REQUIREMENTS

A. Use and implement selected software in accordance with the Project Guide.

B. Use selected software as Document file storage system with a file folder structure created by Sound Transit, unless otherwise agreed to, to organize the Document documents.

C. Follow Sound Transit data/document naming and numbering conventions identified in Project Guide.

D. Use of selected software is used for collaboration and written contract communication and to record flow of Contract documentation.

E. Encourage major subcontractors and key vendors to utilize Internet-based document management system, as appropriate, to improve communications and coordination within Contractor’s team.

F. Abide by all policies, procedures, and standards established by Sound Transit for use and application of selected software.

G. Comply with applicable laws and regulations regarding electronic transmission of documents requiring professional engineering stamps or signatures, including provision of hard copies of such documents as appropriate.

H. Document Communications that require signature of authorized persons will use either:

1. An approved digital signature in accordance with Washington State law, including but not limited to Washington Electronic Authentication Act (WEAA).

2. An approved “image” of official signature affixed to document. Also provide Sound Transit with original signed hard copy/paper document.

3. An electronic copy or electronic image of a fully executed document containing required signatures. Also provide Sound Transit with original signed hard copy/paper document.

1.08 DOWNTIME

A. In the event that selected software system is temporarily unavailable, continue with Document Communications utilizing other electronic means (email) or hard copies to transmit and receive Document Communications.

B. Maintain records of all Document Communication during selected software downtime and upload records to selected software when it is operational.

C. Notify Sound Transit by telephone or email when selected software is not functional.


1.09 TRAINING

A. Submit a proposed schedule of attendance for selected software training sessions including a list of back up personnel.

B. Mandatory for listed users of selected software prior to use, including any training sessions as requested.

C. Ensure each authorized selected software user attend a minimum of two 1/2-Day training sessions. Submit signed verification of attendance for these sessions.

D. Be responsible for all costs of attendance by selected software users at training sessions.

E. Training will be held in the general area of the Project.

1.10 DOCUMENT MANAGEMENT SYSTEM REQUIREMENTS

A. Provide computer hardware and software that meet requirements of selected software at both field office and home office location(s) where Document Communications on this Contract are generated or processed.

B. Modifications.

1. Selected software is continually modified and improved in order to enhance product and provide additional functionality.

2. Selected software has many methods of alerting clients to changes and providing support to end users.

3. Methods to be used in order to maintain this knowledge base will be specified.

C. Software, hardware, and Internet access:

1. Minimum software requirements are as follows:

a. A 32-bit operating system such as Microsoft Windows, current version.

b. An Internet browser: Microsoft Explorer, current version.

c. A document capture software such as Kofax Virtual Re-Scan (VRS) for automated image cleanup.

2. Minimum hardware requirements are as follows:

a. Pentium-based (or equivalent) workstation or laptop with a minimum of 2 GB of RAM.

b. A scanning device capable of scanning a minimum of 11-inch by 17-inch color document into electronic Portable Document Format (PDF) with a minimum density of 300 dpi.

3. Minimum access requirements are as follows:

a. Broadband connection using Integrated Services Digital Network (ISDN), Digital Subscriber Line (DSL), or better.

4. Be responsible for all costs associated with provisions, maintenance, and upgrade of hardware, software, and Internet access for duration of the Contract.


5. Software necessary to create documents in format compatible with selected software or to convert non-electronic documents to such formats. Compatible formats include: current versions of Microsoft Word, Microsoft Excel, Autosoft AutoCAD, and Adobe Acrobat.

1.11 RESTRICTIONS AND LIMITATIONS

A. All Document Communications submitted to Sound Transit through selected software after 3:00 PM, Monday through Friday, will be acknowledged no earlier than the following business day.

B. For Document Communication purposes, business days and hours are defined as Monday through Friday, 8:00 AM to 5:00 PM, Pacific Time, excluding Sound Transit’s holidays.

C. User access rights to selected software site will restrict access to this Contract only.

D. Access permission levels will be established by agreement with Resident Engineer.

1.12 SOUND TRANSIT RESPONSIBILITY

A. Provide Contractor with a Document Guide within 7 Days of effective date of Notice to Proceed.

B. Provide user access to selected software system for duration of the Contract.

C. Manage permissions level for all users of system.

D. Provide selected software training for personnel using system for each selected software user identified by Contractor.

E. Provide selected software licenses to use document database for duration of Contract.

F. Provide technical support (administration) for selected software through selected software system vendor, acting solely through and at request of Sound Transit.

G. Provide guidelines regarding organization and format of selected software modules and access permission requirements for each module or element thereof.

H. Allow users to upload, download, view, and markup files, based on permissions.

I. Track history of revisions and activities with respect to each document submitted or managed within selected software.

J. Adjust and revise folder structure as necessary to facilitate management of Document Communications.

K. With prior approval of Sound Transit, exceptions may be made to allow specific items to be transmitted, submitted, responded to, or distributed in hard copy only. In these instances, use selected software to track and expedite processing of these items.

L. At Final Acceptance, provide one copy to Contractor of a Snapshot from selected software of data that Contractor had access to during the Contract.

M. When notified by Contractor, remove unauthorized users.




END OF SECTION 01 31 23.10



UNIVERSITY LINK PROJECT SECTION 01 32 13-1 LINK CONTRACT U835 EMI/VIBRATION MONITORING SCHEDULING OF WORK CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011


SECTION 01 32 13

SCHEDULING OF WORK

PART 1 - GENERAL

1.01 SUMMARY

A. This Section includes specifications for the preparation, revision, and submittal of cost loaded Contract Critical Path Method (CPM) Schedule.


1. Section 01 12 16 - Work Sequence.

2. Section 01 31 23.10 - Internet-Based Document Management System.

1.02 DEFINITIONS

A. Scheduler: The individual or entity assigned by Contractor the responsibility for the development, preparation, and management of all required CPM schedules and submittals.

1.03 SUBMITTALS


B. Formats for Submittals:

1. Hard Copy Formats

a. Preliminary Baseline CPM Schedule, Contract CPM Baseline Schedule, and Re-Baseline Contract CPM Schedule: Time-scaled network diagram; clearly indicating critical activities; sheets no smaller than 22 inches wide by 34 inches long, and no larger than 34 inches wide by 44 inches long.

b. Monthly CPM Schedule Update and Monthly Statused CPM Schedule: Time-scaled network diagram, clearly indicating critical activities; sheets no smaller than 22 inches wide by 34 inches long, and no larger than 34 inches wide by 44 inches long.

c. Three-Week Look-Ahead Schedule: Sheets no larger than 11 inches by 17 inches and no smaller than 8-1/2 inches by 11 inches using landscape orientation.

d. Schedule Narratives: Medium 8-1/2 inches by 11 inches in size. Charts may be submitted in a medium up to 11 inches by 17 inches in size for reports.

e. Monthly Progress Status Report: Medium 8-1/2 inches by 11 inches in size. Charts may be submitted in a medium up to 11 inches by 17 inches in size for reports.


2. Electronic Copy Format

a. Preliminary Baseline CPM Schedule, Contract CPM Baseline Schedule, and Re-Baseline Contract CPM Schedule: Electronic backup file in its native form (.XER) and in .PDF format.

b. Monthly CPM Schedule Update and Monthly Statused CPM Schedule: Electronic backup file in its native form (.XER) and in .PDF format.

c. Monthly Progress Status Report and Schedule Narrative: Electronic file in its native form (.doc) and in .PDF format.

C. Schedule submittals, as stated and in accordance with Section 01 31 23.10, Internet-Based Document Management System:

1. Preliminary Baseline CPM Schedule: One paper copy, two electronic copies (native file and .PDF) and narrative. Submit at Notice to Proceed.

2. Contract CPM Baseline Schedule: One paper copy, two electronic copies (native file and .PDF) and narrative. Submit within 60 Days following Notice to Proceed.

3. Monthly Statused CPM Schedule: One paper copy, two electronic copies (native file and .PDF) and narrative. Submit with each application for payment.

4. Monthly CPM Schedule Update: One paper copy, two electronic copies (native file and .PDF) and narrative. Submit with each application for payment.

5. Re-Baselined Contract CPM Schedule (if required): One paper copy, two electronic copies (native file and .PDF) and narrative. Submit as requested.

6. Three-Week Look-Ahead Schedule: One paper copy. Submit at the Weekly Progress Meeting.

D. Monthly Progress Status Report: Five paper copies, two electronic copies (DOC and PDF). Submit with each progress payment request.

E. Conform to the same requirements as the original submittals for all re-submittals.

1.04 GENERAL

A. The Contractor shall designate a full time scheduler that will be responsible for the development, preparation, and management of all required CPM schedules. The designated Scheduler/s shall have at least five years of prior experience developing, creating, managing, and reporting on schedules of similar size and complexity to this contract and experience in the designated scheduling software system. A resume outlining the qualifications of the Scheduler shall be submitted to Sound Transit for review at the Pre-Construction Meeting. Should the Scheduler leave the employ of the Contractor, leave the Project, or Sound Transit find the Contractor‟s Scheduler to be incompetent or objectionable, the Contractor will be required to find a replacement meeting all original qualification requirements within 30 Days. Progress payments will not be processed or authorized until an acceptable Scheduler is provided.

B. Schedules shall represent a practical and logical plan to complete the work within the Contract time, and convey the plan to execute the work.

C. Be responsible for the scheduling and execution of construction in accordance with the Contract Documents.


D. The submittal of schedules shall be understood to be the Contractor's representation that the schedule meets the requirements of the Contract Documents and that the work will be executed in the sequence and duration indicated in the schedule.

E. Failure to include any element of work required for performance of the Contract or failure to properly sequence the work shall not excuse the Contractor from completing all work with the Contract Time.

F. All schedule submittals, excluding monthly progress reports, are subject to Sound Transit approval. Sound Transit retains the right to withhold appropriate monies (up to the full value of the progress payment) from progress payments until the Contractor submits a schedule in accordance with these provisions.

G. A maximum of two progress payments shall be made prior to the submittal of an acceptable Contract Baseline CPM Schedule.

H. The Contractor shall certify in writing and have signed by major Subcontractors that the Preliminary Baseline CPM Schedule, Contract Baseline CPM Schedule and Re-Baseline CPM Schedule (if required), have been discussed in detail with all Subcontractors and major suppliers as it relates to their respective work, and submit a copy of the certificate to Sound Transit.

I. Utilize Primavera Project Planner (P6), Version 6.2, or later, software to prepare all required schedules.

J. The Contractor shall use the “Retained Logic” preference for scheduling activities.

K. All schedules, including monthly schedule CPM Updates, shall be developed utilizing industry standard „best practices‟ including, but not limited to:

1. No open-ended activities.

2. No use of constraints other than those defined in the Contract Documents without the prior approval of Sound Transit.

3. No negative leads or lags.

4. No excess leads or lags without prior justification and approval from Sound Transit.

L. With the exception of those activities in the Preliminary Baseline CPM Schedule that are scheduled after the first 90 Days following Notice to Proceed, all individual construction activities shall not exceed 21 Days in duration without prior approval of Sound Transit. Subdivide activities exceeding 21 Days in duration to an appropriate level of detail.

M. Subdivide all concrete activities, as a minimum, into formwork, rebar placement, concrete placement and finish sub-activities, and curing periods.

N. Sufficiently describe schedule activities to include what is to be accomplished in each work area. Express activity durations in whole days. Clearly define work that is to be performed by Subcontractors.

O. The Contractor shall create all schedules in conformance with the work-hours, constraints, and Activity Code Structure, set forth in these Contract Documents.

P. Sound Transit-Required Activities:


1. Include a “Sound Transit Controlled Float” activity (duration of 45 Days) following the last Contractor activity that is prior to Substantial Completion. This float shall be under the sole control of Sound Transit. The Contractor shall have no right to this float and no right for additional compensation of any kind for Sound Transit‟s use of this float. Sound Transit intends to use this float for Sound Transit (or third party) delays caused during the contract in accordance with the requirements in the Special Conditions. This activity is only to be utilized and distributed in the schedule at the direction of Sound Transit.

2. In order for Sound Transit to monitor progress on Sound Transit‟s overall program at the same level of detail the Contractor shall incorporate Sound Transit-provided level-of-effort activities into its schedule.

3. Sound Transit has provided the following activities and associated Global Codes.

a. Sound Transit provided activities

1) Prepare and submit staging plans for UW approval

2) Mobilization

4. If required, Sound Transit will provide additional level-of-effort activities and associated global codes for incorporation into the current schedule.

5. The activities to be added will encompass the whole scope of the work at a summary level, will be level-of-effort type, will not drive the logic or progress of the schedule and will be exclusively for Sound Transit‟s internal reporting purposes.

6. Contractor-developed detailed activities are to be incorporated into one of the Sound Transit-provided level-of-effort activity. If no level-of-effort activity appears to represent the detailed activities‟ scope the Contractor shall immediately notify Sound Transit for direction.

7. The Contractor is required to incorporate these into the schedule as „hammocks‟, so that each Sound Transit-provided, level-of-effort activity encompasses the start and finish dates for a number of representative Contractor-developed, detailed-level activities.

8. The Sound Transit-provided level-of-effort activities should status automatically as the tasks they summarize progress and should not require manual statusing.

9. If activities are added or deleted from Monthly CPM Schedule Updates, the Contractor is required to update the Sound Transit-provided level-of-effort activities to ensure they represent the correct detailed activities‟ start and finish dates and notify Sound Transit of all changes.

10. These activities are required to be filtered (hidden) for all Contractor-related reporting.

Q. Sound Transit Required Activity Codes:

1. In order for Sound Transit to monitor progress on Sound Transit‟s overall program at the same level of detail the Contractor shall incorporate Sound Transit provided global activity codes into its schedule.


2. The global activity codes will be finalized by Sound Transit prior to the pre-construction meeting. The following is an example of the types of Sound Transit global activity codes to be incorporated into the schedules:

a. Sound Transit provided Global Activity Codes

1) Milestone Activities

a) Global Activity Code Name: LR Contract Milestones

b) Global Activity Code Value: M835

c) Global Activity Code Description: U835 Milestones

2) Summary Activities

a) Global Activity Code Name: LR Work summary

b) Global Activity Code Value: S835

c) Global Activity Code Description: U835 Summary

b. If required, Sound Transit will provide additional level-of-effort activities and associated global codes for incorporation into the current schedule.

R. Activity Code Structure:

1. Each activity shall be identified with codes including as a minimum:

a. The party responsible for performing the work.

b. Where work is to be subcontracted, the Subcontractor to be responsible for performing the work.

c. The Construction Specifications Institute (CSI) classification associated with the work.

d. Phasing of the work in accordance with the Contract Documents and associated milestones.

e. Area or location of the work.

f. Cost and resource coding as set forth in these Contract Documents.

2. Cost and Resource Loading:

a. All schedules, with the exception of the Three-Week Look-Ahead Schedules are required to be cost-loaded, cost-coded and resource-loaded.

1) All Contractor activities are required to be cost-loaded and cost-coded unless fully explained and agreed to by Sound Transit. The sum of all identical cost-codes shall correlate on a one-to-one match with line items in the Schedule of Values. Sound Transit will provide a cost-loaded and cost-coded schedule sample (FRAGNET) to illustrate expected level of effort no later than the Pre-Construction Meeting.


2) Cost-loading shall be updated monthly with modifications made to the cost-loading taking into account actual payment requests or additions, deletions or revisions to activities in the Updated Monthly Updated CPM Schedule.

b. All Contractor construction activities are required to be resource-loaded with estimated labor, material, and equipment.

S. Sound Transit Required Calendar Format:

1. For all schedules developed using Primavera Project Planner (P6) Version 6.2 software, use the following calendar naming convention. All calendar names shall begin with the prefix “U-835” followed by the type of calendar and end with the revision number of the calendar.

a. Example:

1) “U-835 5-Day Calendar with Standard Holidays–0”

b. If a revision to this example calendar is made it shall be renamed:

1) “U-835 5-Day Calendar with Standard Holidays–1“

1.05 PRELIMINARY BASELINE CPM SCHEDULE

A. The Contractor shall submit a CPM schedule covering the complete Contract work at Notice to Proceed.

1. The purpose of the Preliminary Baseline CPM Schedule is to depict the detailed work activities for the first 90 Days following Limited Notice to Proceed. Subsequent activities can be in more summary-level detail. The schedule will assist and serve as the basis of payment between Limited Notice to Proceed and the submittal and acceptance of the Contract Baseline CPM Schedule.

B. Include with the submittal a written narrative that describes the schedule in detail and the approach to the work that will be employed during the initial 90-Day period of the Contract.

C. Include all submittal and fabrication activities required to supply construction for the duration of the Contract.

D. The Preliminary Baseline CPM Schedule shall be cost-coded, cost-loaded and resource-loaded as set forth in these Contract Documents.

E. Indicate on the schedule diagram a clearly defined critical path.

F. If in the opinion of the Resident Engineer the schedule is determined to be impractical or not in compliance with the Contract Documents, the Contractor shall revise the schedule and resubmit within 7 Days.

G. A Contract Schedule showing the work completed in less than the Contract time, which is found practical by Sound Transit, shall be considered to have float (in addition to Sound Transit Controlled Float . Impractical early-completion schedules will not be accepted by Sound Transit. The float shall be the time between the scheduled completion of the work and the Contract completion date.


1.06 CONTRACT CPM BASELINE SCHEDULE

A. The Contractor shall submit a Contract CPM Baseline Schedule covering the complete Contract within 60 Days following the date of the Notice to Proceed.

B. The schedule shall replicate the detailed activities, and correlate to the summary-level activities, developed in the Preliminary Baseline CPM Schedule

C. If in the opinion of the Resident Engineer the schedule is determined to be impractical or not in compliance with the Contract Documents, the Contractor shall revise the schedule and resubmit within 14 Days.

D. Show clearly on the Contract Schedule the sequence and interdependence of activities and list specifically:

1. Delivery of Sound Transit-furnished equipment, if any.

2. Inspection of the work including punch list and Acceptance.

3. Work to be performed by other agencies or utilities that affect the schedule.

4. Acquisition of construction permits.

E. For individual schedule construction activities, do not exceed 21 Days in duration without prior approval of Sound Transit. Subdivide activities exceeding 21 Days in duration to an appropriate level.

F. Indicate on the schedule diagram a clearly defined critical path.

G. Include lines for Incentives, Liquidated Damages and Provisional Sums.

H. Include with the schedule submittal a detailed written narrative describing the approach and methods for completion of the work. Include all assumptions and specific schedule risks identified in development of the schedule. Use understandable narrative that conveys schedule information to Sound Transit.

1.07 MONTHLY STATUSED CPM SCHEDULE

A. The Contractor shall submit a Monthly Statused CPM Schedule with each progress payment request.

B. The Monthly Statused CPM Schedule shall be the prior month‟s current accepted schedule with all actual progress, resources and cost included.

1. The current schedule shall be the later of:

a. The Preliminary Baseline CPM Schedule (prior to the acceptance of the Contract CPM Baseline Schedule);

b. The Contract CPM Baseline Schedule (prior to submittal and acceptance of the first Monthly CPM Schedule Update);

c. The most current approved Monthly CPM Schedule Update

C. The Monthly Statused CPM Schedule shall have a data date (statused) as of the last day of the corresponding month (e.g. for schedules submitted at the beginning of February 2009 the data date shall be 31 January 2009).


D. Incorporate accurate actual progress, start dates, completion dates, resources and costs so that the Monthly Statused CPM Schedule will act as the Project‟s As-Built schedule.

1. If requested provide documentation to substantiate as-built information.

2. No actual start or finish dates shall be changed or corrected without a narrative explaining the reason for the change and Sound Transit approval.

E. If in the opinion of the Resident Engineer the information contained in the Monthly Statused CPM Schedule is inaccurate and the Contractor cannot substantiate otherwise, the Contractor shall revise the schedule accordingly and resubmit within 7 Days.

F. Payment shall not be made without a current approved Monthly Statused CPM Schedule.

G. The Monthly Statused CPM Schedule will be used as a basis justifying payment, to measure the impacts to the schedule as a result of actual progress on the Project.

1.08 MONTHLY CPM SCHEDULE UPDATE

A. The Contractor shall submit a Monthly CPM Schedule Update with each application for payment

B. The Monthly CPM Schedule Update shall have a data date (statused) as of the last day of the corresponding month (for example; for schedules submitted at the beginning of February 2009 the data date shall be 31 January 2009).

C. The Monthly CPM Schedule Update shall incorporate all progress to-date, in correlation with the Monthly Statused CPM Schedule.

D. All changes and revisions made in the Monthly CPM Schedule Update shall be addressed in the detailed narrative accompanying the submittal.

E. Change Orders shall be addressed in accordance with the General Conditions and incorporated into the Monthly CPM Schedule Update as additional schedule activities.

F. Any changes made to the schedule shall also include changes to the cost and resource loading as required. All the remaining Contractor activities to be completed shall sum to the remaining cost of the Work.

G. If in the opinion of the Resident Engineer the schedule is determined to be impractical or not in compliance with the Contract Documents, the Contractor shall revise the schedule and resubmit within 7 Days.

H. If, according to the current updated Monthly CPM Schedule Update, the work is more than 14 Days behind the current Milestone, or the schedule contains more than 14 Days of negative float, considering all granted time extensions, submit, prior to the next progress payment, a recovery schedule, showing a work plan to complete the work within the required schedule period. Include with the submittal a detailed narrative describing the means and methods proposed to achieve the work in the time period. Sound Transit may withhold approximate progress payments until a revised schedule, acceptable to Sound Transit, is submitted by the Contractor at no additional expense to Sound Transit.


1.09 RE-BASELINED CONTRACT CPM SCHEDULE

A. If, in the opinion of and at the request of, Sound Transit, the work has significantly fallen behind schedule and/or the nature of the work has changed from that which was originally portrayed in the Contract Baseline CPM Schedule, a Re-Baselined Contract CPM Schedule shall be submitted that portrays the plan to complete the remaining Contract Work.

B. The Re-Baselined Contract CPM Schedule shall be cost and resource-loaded and be the basis for all subsequent Monthly CPM Schedule Updates.

1.10 THREE-WEEK LOOK-AHEAD SCHEDULE

A. Submit a Gantt chart format depicting the intended work activities for the upcoming three-week period plus a one-week retrospective.

B. All activities in the Three-Week Look-Ahead Schedule must correlate to an activity in the current Monthly CPM Schedule Update either as a one-to-one match, or as a subset of activities whose cumulative duration correlate to an activity in the Monthly CPM Schedule Update.

C. Note and explain in writing all deviations, including but not limited to sequences of work, timing, and durations of activities, from the most current Preliminary Baseline CPM Schedule, Contract Baseline CPM Schedule, or Monthly CPM Schedule Update.

D. Portray all activities clearly and legibly on the schedule and include logical activity numbers.

E. Submit the schedule at the weekly progress meeting.

1.11 SCHEDULE NARRATIVES

A. Include with the Preliminary Baseline CPM Schedule the Contract Baseline CPM Schedule and the Re-Baselined CPM Schedule submittal a written narrative describing the approach and methods for completion of the work. Use understandable narrative that conveys schedule information to Sound Transit.

B. Include with the Monthly Statused CPM Schedule a listing of all activities that were planned on being completed, or worked on during the reporting period but were not and the reason for the lack of activity.

C. Include with the Monthly CPM Schedule Update submittal a written narrative describing:

1. All changes, additions or deletions that have been made to the schedule since the prior month and, with the exception of adding actual durations, a reason for each of the changes.

2. Provide for activities that were planned on being completed, or worked on during the reporting period but were not, the actions taken that have addressed any adverse impacts to the project.

D. All narratives shall include all assumptions that the Contractor has made in developing and updating the schedule.

E. All narratives shall include all major risk items that could potentially have an adverse impact to the schedule and how these risks are to be addressed.


1.12 MONTHLY PROGRESS STATUS REPORT

A. Sound Transit shall provide the format for the Monthly Progress Status Report at or prior to, the Pre-Construction Meeting.

B. The Monthly Progress Status Report shall at a minimum include the following:

1. Executive Summary

2. Contract Status

3. Schedule Status (baseline versus current forecast)

a. Milestones

b. Contract Completion

c. Critical Path

4. Planned (Baseline) versus actual resources (early and late start)

5. Planned (Baseline) versus actual costs (early and late start)

6. Planned (Baseline) versus actual material (early and late start)

7. Earned value of accepted work based on physical percent complete

8. Work activities accomplished in the reporting period

9. Small Business status report

10. Intended work activities for upcoming reporting period

11. Work that is being performed out of sequence with the current accepted schedule

12. Problem and risk areas and planned mitigation actions

13. Status of Change Orders

14. Notices of potential claims

15. Status of submittals

16. Status of Contractor procurement items,

17. Current construction photographs documenting progress.

1.13 REVIEW, UPDATE AND REVISIONS

A. Allow for Sound Transit review with comments according to the following schedule from the date of receipt:

1. Preliminary Baseline CPM Schedule: 21 Days

2. Contract CPM Baseline Schedule: 21 Days

3. Monthly Statused CPM Schedule: 7 Days

4. Monthly CPM Schedule Update: 14 Days


5. Three-Week Look-Ahead Schedule: 2 Days

B. Make all corrections to the schedule requested by Sound Transit and resubmit the schedule for approval. If the Contractor does not agree with Sound Transit's comments, provide written notice of disagreement within 7 Days from the receipt of Sound Transit's comments for the Contract CPM Baseline Schedule. Sound Transit‟s comments to the schedules for which the Contractor disagrees shall be resolved in a meeting held for that purpose, if necessary.

1.14 REQUESTS FOR TIME EXTENSIONS

A. Be responsible for submitting a written request for all extensions of Contract Time in accordance with the General Conditions. Requests not submitted in writing, without the required documentation and not submitted in a time consistent with the General Conditions will not be considered.

B. Include in the request documentation with written justification for the extension of time, supporting evidence and specific references to the current approved schedule at the time the qualifying event occurred.

C. Also include with request an analysis of a calendar time-scaled CPM network schedule (FRAGNET) and reports depicting the time impact basis of the request with the affected areas prominently highlighted. Use only the current and accepted schedule at the time the qualifying event occurred when determining time extension request.

D. If Sound Transit finds that the Contractor is entitled to an extension of time of any completion date under the General Provisions of the Contract, Sound Transit's determination of the total number of days extension will be based upon the current analysis of the current schedule and upon data relevant to the extension. Extensions of time for performance under all of the General Provisions of the Contract will be granted only to the extent that equitable time adjustments for the activity or activities affected exceed the total float along the paths involved of the accepted and current schedule.






UNIVERSITY LINK PROJECT SECTION 01 33 00-1 LINK CONTRACT U835 EMI/VIBRATION MONITORING SUBMITTAL PROCEDURES CONTRACT NO. RTA/LR: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011


SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 - GENERAL

1.01 SUMMARY

A. This Section specifies the general requirements and procedures for preparing and submitting construction information, shop drawings, product data, and samples for information and review.


1. Section 01 31 23.10 - Internet-Based Document Management System.

2. Section 01 32 13 - Scheduling of Work.

3. Section 01 45 00 - Quality Assurance / Quality Control.

1.02 REFERENCES

A. This Section incorporates by references the latest revisions of the following documents.

1. American National Standards Institute (ANSI)

a. ANSI Y 14.5 Dimensioning and Tolerances

1.03 DEFINITIONS

A. Shop Drawings: For the purpose of this Section, shop drawings and working drawings are understood to be interchangeable terms. Shop drawings are required for falsework, shoring, formwork, and for other temporary work and methods of construction the Contractor proposes to use.

1.04 SUBMITTAL

A. Schedule of Submittals: Within 21 Days after the effective date of Notice to Proceed, submit a completed submittal list and add to CPM schedule.

1. Include for each planned submittal:

a. Date on which each submittal will be submitted.

b. Shop drawings, product data, and samples. Include description of the item and name of manufacturer, trade name, and model number.

c. Contract Specifications reference, by Section and Article.

d. Intended submission/resubmission date(s).

e. Lead time to delivery/anticipated delivery date(s).


2. Highlight submittals that will require expedited review to meet the Contract schedule.

3. Highlight submittals that are on the critical path.

4. Annotation of Safety Critical submittals based upon a list of Contract Specifications’ Section and Article numbers provided by Sound Transit. Include in the annotation the Sound Transit Safety Certification Specification Checklist item number.

5. Present in a form that is readily reproducible.

6. Update and resubmit on a monthly basis.

7. Submit shop drawings not less than 21 Days before work involving such drawings is to be performed as indicated on the Contractor’s CPM Schedule.

1.05 CONTRACTOR’S RESPONSIBILITIES

A. Contractor's Review

1. Stamped, and signed as reviewed and approved by the Contractor before submission including subcontractor submittals including subcontractor submittals.

2. If the submittal is designated to be sent to the Resident Engineer for information, obtain approval by the designated approval authority before submission to the Resident Engineer.

3. Coordinate each submittal with the requirements of the work, placing particular emphasis upon ensuring that each submittal of one trade is compatible with other submittals of that trade and with the submittals of other trades. Submit complete with all relevant data required for review.

4. Be responsible for the correctness of the drawings, for shop fits and field connections, and for the results obtained by the use of such drawings.

B. Submittal Quantities: Unless noted otherwise, provide submittals in accordance with Section 01 31 23.10, Internet Based Document Management System. Where permits and licenses and other such documents are obtained in Sound Transit’s name, submit the original and conform to requirements of Section 01 31 23.10, Internet Based Document Management System.

C. Review documents or other approval methods of the various designated approval authorities may not be the same as those of Sound Transit. Work with the various designated approval authorities and obtain approvals in the clearest and most straightforward manner possible.

D. Attend meetings as requested by the Resident Engineer to address issues related to the review of submittals.

E. Samples. Submit samples as required by these Contract Specifications and supply to the Resident Engineer for information and approval.


1.06 RESIDENT ENGINEER'S REVIEW

A. The Resident Engineer will indicate its reviews of submittals and the action taken by means of his/her submittal review document. The submittal document will be posted electronically by the Resident Engineer, and the submittal review document will be recorded automatically by the software with the time and date of posting.

B. The submittal review document will be filled out with the following statements and have the following meanings:

1. The mark NO EXCEPTIONS TAKEN means that every illustration and description appears to conform to the respective requirements of the Contract Documents; that fabrication, assembly, manufacture, installation, application, and erection of the illustrated and described product may proceed; and that the submittal need not be resubmitted.

2. The mark EXCEPTIONS AS NOTED - RESUBMISSION NOT REQUIRED means that every illustration and description appears to conform to the respective requirements of the Contract Documents upon incorporation of the reviewer's corrections, and that fabrication, assembly, manufacture, installation, application, and erection of the illustrated and described product may proceed. Submittals so marked need not be resubmitted unless the Contractor challenges the reviewer's exception.

3. The mark EXCEPTIONS AS NOTED - RESUBMISSION REQUIRED means that every illustration and description appears to conform to the respective requirements of the Contract Documents upon incorporation of the reviewer’s corrections, and that fabrication, assembly, manufacture, installation, application, and erection of the illustrated and described product may proceed after incorporation of the reviewer's corrections and verification by the Resident Engineer that the reviewer's corrections have been properly incorporated in the submittal. Resubmission is also required if the Contractor challenges the reviewer's corrections.

a. Resubmit within 30 Days of date of reviewer’s transmittal.

4. The mark REJECTED means that the submittal is deficient to the degree that the reviewer cannot correct the submittal with a reasonable degree of effort, has not made a thorough review of the submittal, and that the submittal needs revision and is to be corrected and resubmitted.

C. The Resident Engineer will post the disposition of the Contractor’s submittal within 21 Days after submittals have been received in accordance to Section 01 31 23.10, Internet Based Document Management System.

D. Include at least 21 Days in the Contractor’s CPM schedule for Sound Transit and other parties to review submittals, unless otherwise specified.

E. Allow 21 Days for review by Sound Transit of all re-submittals.

1.07 SHOP DRAWINGS

A. General:

1. Shop drawings shall be approved by the Resident Engineer before work involving such drawings is performed. Submit shop drawings not less than 21 Days before work involving such drawings is to be performed as indicated on the Contractor’s CPM schedule.


2. To the following standard sizes (in inches), except as otherwise permitted by the Resident Engineer:

WIDTH (Vertical) by LENGTH (Horizontal)

8.5 11.0

11.0 8.5

11.0 17.0

17.0 22.0

22.0 Maximum 34.0 Maximum

3. Include a title block in the lower right hand corner that identifies the Contractor, Subcontractor, Contract by number and title, subject matter of the drawing, sheet number, and date of the original issue of the drawing, and the serial number and date of each revision.

4. Submittal Stamp and Action Block Space: Include a 5-inch square blank space, in the lower right corner, just above the title block, in which the Resident Engineer may indicate the action taken.

B. Provide sufficient dimensions on drawings so that size, shape, and location may be determined without calculation. As a minimum, the following are required:

1. Drawings are fully legible.

2. Show each dimension clearly so that only one interpretation is possible.

3. Show dimensions between points, lines, or surfaces having a necessary and specific relationship to each other or which control the location of mating parts or components.

4. Select dimensions and arrange to avoid accumulation of tolerances that might ultimately permit more than one interpretation resulting in unsatisfactory mating of parts and failure in use.

5. Show each dimension for a feature once.

6. When possible, dimension each feature in the view where it appears in profile or the one depicting its true profile.

7. Follow applicable dimensioning and tolerance practices as specified in ANSI Y14.5.

8. Update each shop drawing to reflect the latest configuration, which includes all Change Orders.

9. Include on the shop drawings details necessary for the installation, maintenance, and repair of all equipment provided.

C. Sample Drawings: The first drawings submitted by Contractor, Subcontractor, or vendor will be reviewed for conformance. Once approval is given, use this approved drawing format as the standard and prepare subsequent drawings to a quality equal to the approved standard.


1.08 PRODUCT DATA

A. Modify manufacturers' standard schematic drawings to delete information that is not applicable to the Contract. Supplement standard information with additional information applicable to this Contract.

B. Modify manufacturers' standard catalog cuts, brochures, diagrams, schedules, performance charts, illustrations, calculations, and other descriptive data to delete information that is not applicable to the Contract. Indicate dimensions, clearances, performance characteristics, capacities, wiring and piping diagrams, and controls.

C. Modify manufacturer's printed installation, erection, application, and placing instructions to delete information, which is not applicable to the Contract.

D. Include the following:

1. Contract title and number.

2. Reference Contract Drawing numbers.

3. Applicable Contract Specifications Section numbers.

4. Applicable standards, such as ASTM or Federal Specification numbers.

5. Identification of deviations from the Contract Drawings and Contract Specifications.

6. Contractor's stamp, initialed or signed, certifying:

a. Dimensional compatibility of the product with the space in which it is intended to be used.

b. Review of submittals for compliance with the specified requirements.

c. Compatibility of the product with other products with which it is to perform or with which it will be contiguous.

E. Certificate of Compliance:

1. The Resident Engineer may permit the use of certain materials prior to sampling and testing if accompanied by a certificate of compliance stating that the materials involved comply in all respects with the requirements of these Contract Specifications.

a. Signed by the manufacturer of the material.

b. Furnished with each lot of material delivered to the work and the lot so certified is clearly identified in the certificate.

2. Materials used based on a certificate of compliance may be sampled and tested at any time. The fact that material is used on the basis of a certificate of compliance shall not relieve the Contractor of responsibility for incorporating material in the work which conforms to the requirements of the Contract Drawings and Contract Specifications and all such material not conforming to requirements will be subject to rejection whether in place or not.

3. The Resident Engineer reserves the right to refuse to permit the use of material based on a certificate of compliance without test data.


F. Manufacturer Test Reports.

1. Certain technical specification sections permit Manufacturer Test Reports in lieu of producing new test and supporting documentation.

2. Provide legible signed copies by authorized representative of testing agency of equipment tested that is the same as specified. Test shall have been conducted in accordance with Contract Documents and standards specified.

1.09 CONSTRUCTION WORK PLANS

A. Format Construction Work Plan in order of items listed in Section 01 45 00, Quality Control, Article 3.02A (Construction Work Plans).

1.10 SAMPLES

A. Furnish to Resident Engineer samples indicated in the Contract Documents or these Specifications. Submit samples without charge, with shipping charges prepaid. Materials for which samples are required shall not be used in the work until samples are reviewed.

B. Label each sample with the following data:

1. Name, number, and location of project.

2. Name of Contractor.

3. Material or equipment represented, and location in the project.

4. Name of producer, brand, trade name if applicable, and place of origin.

5. Date of submittal.

C. Forward a letter in triplicate to Resident Engineer submitting each shipment of samples and containing information required in previous article.

D. Approval of a sample will be only for characteristics and use named in submittal and approval, and shall not be construed to change or modify any Contract requirement.

E. Before submitting samples, verify that materials or equipment will be available in quantities required in the project.

F. Test samples as required by Contract Specifications.

G. Samples of material from local sources shall be taken by or in the presence of Resident Engineer; otherwise, samples will not be considered for testing.

H. Failure of any material to pass specified tests will be sufficient cause for refusal to consider, under this Contract, any further samples of the same brand, make, or source of that material. Resident Engineer reserves the right to disapprove any material, which has previously proven unsatisfactory in service.

I. Samples of material delivered on site or in place may be taken by Resident Engineer for Quality Assurance testing. Failure of samples to meet Contract requirements will annul previous approvals of item tested.


1.11 OTHER SUBMITTALS

A. General.

1. Title Block: Provide the following information for data, reports, or other submittals which are not drawings:

a. Date and revision dates;

b. Contract title and number;

c. The names of the Contractor, Subcontractors, Suppliers, and manufacturers as applicable;

d. Identification of product by either description, model number, style number, serial number, or lot number; and

e. Subject identification by Contract Drawing or Contract Specification reference.


PART 3 - EXECUTION

3.01 SUBMITTAL PROCESS

A. Unless otherwise directed, submit shop drawings, and product data in accordance with Section 01 31 23.10, Internet-Based Document Management System.

B. Transmittal Form: Accompany submittals with Sound Transit furnished transmittal forms provided by the Resident Engineer.

C. Submittal includes the following document type:

1. Each shop drawing, or product data.

2. Manufacturers’ standard schematic drawings.

3. Manufacturers’ calculations, and a copy of manufacturer’s standard data.

4. Manufacturer’s equipment fabrication drawings.

5. Manufacturers’ printed installation, erection, application, and placing instructions.

6. As specified in the various Specification Sections, unless otherwise specified.

7. A copy of inspection reports, test reports, and certificates of compliance.

D. Final approved shop drawings or product data annotated to reflect installation details:

1. Upon completion of work.

2. Marked “as-built.”

E. List of sources for materials.


3.02 CONTRACTOR’S RESPONSIBILITIES

A. Do not start work for which submittals are required until submittal review forms have been completed by the Resident Engineer, and said forms indicating review and approval have been received.

B. The Contractor may proceed at its own risk with work on all submittal review forms with the following disposition: “NO EXCEPTIONS TAKEN”, or “EXCEPTIONS AS NOTED – RESUBMISSION NOT REQUIRED.”

3.03 REVIEW PERIOD:

A. Prepare submittals sufficiently in advance so that review may be given before commencement of related work.

B. Allow 21 Days after receipt by the Resident Engineer for review of Work Plans, Shop Drawings, RFIs, Field Clarifications, and Submittals.

C. Be responsible for determining whether or not certain governmental entities require longer review periods. Where longer review periods are required, schedule the work accordingly, so that the work and construction schedules are not adversely impacted.

3.04 CHANGES

A. Changes in Reviewed Submittals: Changes in reviewed submittals will not be permitted unless those approved submittals with changes have been resubmitted and reviewed, in the same manner as the original submittal.

B. Changes in products for which shop drawings, product data, or samples have been submitted will not be permitted unless those changes have been accepted and approved, in writing, by the Resident Engineer.

C. Supplemental Submittals: Initiated by the Contractor for consideration of corrective procedures contain sufficient data for review. Make supplemental submittals in the same manner as initial submittals.

D. Incomplete submittal packages will be returned without review.


UNIVERSITY LINK PROJECT SECTION 01 41 26-1 LINK CONTRACT U835 EMI/VIBRATION MONITORING PERMITS CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011


SECTION 01 41 26

PERMITS

PART 1 - GENERAL

1.01 SUMMARY

A. Section specifies permit requirements and conditions.

1.02 SUBMITTALS


B. Permits obtained by Contractor, submitted prior to performing any work covered by the permit or easement.

C. Approvals when work is complete for permits obtained by Contractor. Include a copy of permit.

1.03 EASEMENTS AND AGREEMENTS WITH UNIVERSITY OF WASHINGTON

A. Sound Transit has acquired or will acquire prior to Notice to Proceed the following easements and agreements:

1. Memorandum of Agreement (MOA) with University of Washington.

2. Master Implementation Agreement (MIA) with University of Washington.

1.04 PERMITS OBTAINED BY SOUND TRANSIT

A. Sound Transit has acquired, or will acquire prior to Notice to Proceed, the following permits:

1. NPDES Waste Discharge Permit, Link Light Rail Project, Washington Department of Ecology.

2. Industrial Waste Discharge Permit, King County.

3. Puget Sound Clean Air Agency (PS Clean Air).

B. Terms and conditions of the permits obtained by Sound Transit prior to bid submittal that are applicable to the Contractor are included in the Contract Specifications and Contract Drawings.

C. Copies of permits obtained by Sound Transit will be transmitted to the Contractor at the Preconstruction Meeting.

1.05 PERMITS OBTAINED BY CONTRACTOR

A. Be responsible for and obtain all other permits and right of entries listed in Articles 1.04C, herein, required to perform Work.


B. University of Washington Right Of Entry.

1. Right of Entries shall be acquired by Contractor for elements of work that occur outside of Construction Work Limits.

2. Right of Entry permit.

C. City of Seattle Department of Planning and Development (DPD):

1. Electrical Permit (for permanent installations):

2. After NTP, prepare a design submittal package containing information required by DPD to approve an electrical permit for Work performed within Seattle. Combine locations into permit request packages such that no more than three shall encompass all of the Seattle Work. Calculate submittal dates to achieve schedule requirements. Rejection of permit application may require Contractor to adjust design or provide such additional information as required by DPD. Modifications or delays necessary to receive DPD approval shall not result in additional costs or schedule delays to Sound Transit.

3. After installation of traction power, signals, and communication equipment is complete, coordinate with City of Seattle Department of Planning electrical department to schedule an inspection. Repeat for each location. Incorporate any changes required to meet city codes at no additional expense to Sound Transit.

4. Seattle Department of Transportation is responsible for coordinating permits within City right of way for University Link Project within Seattle City limits. Department of Planning and Development (DPD) is the Authority having Jurisdiction for permits outside of the City right of way and for electrical permits within and out of the City right of way.

5. Building Permit for Temporary Construction Offices (pertains to applicable permits to install, occupy, and use construction trailers as temporary offices) if Contractor chooses to erect trailers for construction offices.

6. Electrical Permit (for temporary power within City of Seattle city limits).

D. City of Seattle Department of Transportation (SDOT).

1. Street Use Permits (as necessary for temporary closure of sidewalks and City right-of-way).

2. When required by the permit and during work progress covered by the permit, ensure Work be inspected by the issuing agency.

E. Track Access.

1. Coordinate with Resident Engineer procedures and protocols for obtaining track access permits for right-of-way access.

1.06 POSTING PERMITS

A. Post all permits at the site of Work.

B. Post permits required by law only.







UNIVERSITY LINK PROJECT SECTION 01 45 00-1 LINK CONTRACT U835 EMI/VIBRATION MONITORING QUALITY ASSURANCE / CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS QUALITY CONTROL 100% SUBMITTAL JUNE 2011


SECTION 01 45 00

QUALITY ASSURANCE / QUALITY CONTROL

PART 1 - GENERAL

1.01 SUMMARY

A. Section defines requirements for Contractor to establish, implement and maintain an effective Quality Program to manage, control, document and assure work complies with requirements specified in the Contract Documents. Prepare, implement, and maintain plans, programs, procedures and organization necessary to assure quality for materials, equipment, workmanship, manufacturing, installation operations covering both on-site and off-site Work by Contractor, including subcontractors, suppliers, testing laboratories and consultants.

B. Related Sections: Work of the following Sections is related to Work of this Section. Other Sections not referenced below may also be related to proper performance of this Work.

1. Section 01 31 23.10 - Internet Based Document Management System.

2. Section 01 33 00 – Submittal Procedures.

1.02 REFERENCES

A. This Section incorporates by reference latest revisions of the following documents. It is a part of this Section as specified and modified.

1. Federal Transit Administration (FTA)

a. FTA QA/QC Guidelines FTA-IT-90-5001-02.1.

2. International Organization of Standards (ISO)

a. Quality Management Systems – Fundamentals and Vocabulary - ISO 9000:2005

b. Quality Management Systems – Requirements - ISO 9001:2008

1.03 CONTRACTOR QUALITY CONTROL REQUIREMENTS

A. Assign a Quality Assurance (QA) Manager dedicated to this Contract responsible for managing and acting on all quality matters and who has authority to act on all quality matters as a representative of Contractor. Quality Assurance Manager cannot be subordinate to Contractor’s personnel that directly perform, supervise, or progress Work, and; can not be responsible for directly performing, supervising, or progressing Work or have any responsibilities for this Contract that conflict or appear to conflict with his/her primary responsibility for quality matters.


B. Qualification of Contractor Quality Assurance (CQA) Manager: At least 10 years over all quality experience with at least 5 years prior experience as a QA Manager, on transit project(s) of comparable complexity to this Contract, and; 5 years as a Quality Control (QC) Manager or Supervisor, Quality Engineer, Quality Auditor or QC Inspector CQA Manager must be approved by Resident Engineer and on site before Work on this Contract can begin. At the sole discretion of Sound Transit, Contractor may be required to replace CQA Manager.

C. CQA Manager’s responsibilities include: development and implementation of Quality Program Plan, documenting and submitting Monthly Quality Reports, planning, performing quality audits of design and construction activities, approving IDRs, issuing NCRs, managing the Quality Control Inspectors and attending progress meetings.

D. Develop a Quality Program Plan (QPP) that addresses 15 quality elements identified in FTA QA/QC Guidelines FTA-IT-90-5001-02.1. Provide descriptions of, and references to Quality procedures and work instructions, including specified requirements unique to this Contract, which relate to quality system elements defined in Quality Management Systems – Fundamentals and Vocabulary ISO 9000:2005 and Quality Management Systems – Requirements ISO 9001:2008. Include the following elements in Contractor QPP:

1. QA/QC Organization and staff, including job description and an organizational chart showing relationship between Contractor’s General Manager, Project Manager, Quality Manager, Subcontractors, and consultants.

2. Documented Quality System.

3. Design Control.

4. Document Control and Submittal Management.

5. Subcontractor, Consultant and Supplier Control.

6. Identification, Traceability and Receiving, Handling, Storage and Control of Products, Materials and Equipment.

7. Process Control (including CWPs) and control of special fabrication processes, i.e. welding, plating, and soldering.

8. Inspection and Testing.

9. Control of measuring and test equipment.

10. Inspection and Test Reporting.

11. Identification, Control and Correction of Non-conforming Conditions.

12. Corrective Actions.

13. Quality Records.

14. Audits - Contractor internal audits and audits of Subcontractors and Suppliers.

15. Training.


E. Contractor QPP submittal must be acceptable to Resident Engineer with a No-Exceptions-Taken or an Exceptions as Noted, No Resubmittal Required disposition, before Work can begin. No extension of time or monies is entitled to Contractor for failure to secure a QPP acceptable to Resident Engineer.

F. As work progresses, periodically evaluate, revise as necessary and re-submit QPP to Resident Engineer for review.

G. Include in subcontracts to subcontractors Quality Program Plan requirements and quality requirements defined herein applicable to the work they perform.

H. Inspector’s Daily Reports (IDRs): Create and maintain daily quality control reports for each workday at the construction site containing factual records with numerical data of the Work and quality control activities with format and content acceptable to the Resident Engineer. Obtain the verification and signature of the CQA Manager on all IDRs. Provide verification statement on IDRs that states: “All supplies and materials incorporated in to the Work are in compliance with the terms of the Contract except as noted.” Sign and date each IDR.

I. Employ services of an Independent Testing Laboratories if required by Contract Documents, to confirm acceptable quality of materials, parts, and equipment not currently certified by test laboratories. Employ only Independent Testing Laboratories that are currently certified by a nationally and/or state recognized regulatory agency or an industrial sponsored organization. Obtain approval to use Independent Testing Laboratories from Resident Engineer before commencing any Work for which testing is required by Contract Documents. Independent Testing Laboratories must have special inspection capability and certification.

J. Special Inspections Coordination: Performed by CQA Manager, including the following measures:

1. Preparation of schedule of special inspections required.

2. Notification of Resident Engineer of special inspection in advance of performance of special inspections.

3. Coordination with the work to ensure next step in process does not obscure ability to inspect until the required special inspections have been completed.

4. Notation of all special inspections in inspector reports.

5. Monitoring of the correction of all discrepancies and notation in the inspector reports and the Monthly Quality Report.

K. Employ qualified and/or certified quality control inspectors and test technicians with a minimum of 3 years quality control experience or testing experience for Work they are responsible for inspecting and testing. Upon request from Resident Engineer, provide qualifications and certifications of the quality control inspectors and test technicians within 3 Working Days. Quality control inspectors must report directly to the CQA Manager and cannot be subordinate to Contractor’s personnel that directly perform, supervise, or progress the Work, and; cannot be responsible for directly performing, supervising, or progressing the Work or have responsibilities for this Contract that conflict or appear to conflict with his primary responsibility for quality matters.

L. Mobilize the number of experienced quality control inspectors and test technicians necessary to perform the Quality Control requirements commensurate with the ratio of work crew size to inspectors and the type of work requiring specific types of inspectors.


M. Achieve control of On-Site and Off-Site Construction through the development of Contractor Construction Work Plans (CWPs), approval of CWPs by Resident Engineer, execution of Work in accordance with CWPs and Contract requirements, and timely reporting of required inspections and tests.

1.04 SUBMITTALS


B. Quality Program Plan, within 60 Days after effective date of Notice to Proceed.

C. Name and qualifications of Contractor’s Assurance Manager, within 15 Days after effective date of Notice to Proceed.

D. List of Construction Work Plans, within 180 Days after effective date of Notice to Proceed.

E. Construction Work Plans required by Contract Specifications, a minimum of 24 Days prior to commencement of the applicable installation Work activity.

F. Name and qualifications of the Contractor's Independent Testing Laboratory and all subcontracted Independent Testing Laboratories, within 180 Days after the effective date of the Notice to Proceed.

G. Testing Laboratory Inspection and Test Reports, within 3 working days after completion of the inspection or test.

H. IDR form within 60 Days after the effective date of the Notice to Proceed.

I. IDRs within 5 working days.

J. Notification of any failed non-qualifying tests or rejected work within 1 Working Day of test or inspection.

K. Non-Conforming Report form within 60 Days after effective date of Notice to Proceed.

L. Non-Conformance Reports within 3 Working Days of non-conformance discovery.

M. List of Subcontractors and subconsultants within 45 Days after effective date of Notice to Proceed. Provide updates at least 30 Days prior to each new Subcontractor or subconsultant beginning work on Contract.

N. Quality Assurance Audit Schedule, within 90 Days after effective date of Notice to Proceed.

O. Document Control Procedure, within 15 Days after effective date of Notice to Proceed.

P. Monthly Quality Reports, within 10 Days after end of each month.

Q. QA Audit Reports within 15 Days after the completion of each audit.



PART 3 - EXECUTION

3.01 QUALITY PROGRAM PLAN

A. Documented Quality System

1. Describe plans, procedures, and organization necessary to design, procure, install, inspect, test and audit to achieve compliance with the requirements of Contract Documents. Identify all design and installation Work processes and their QC inspection and testing requirements and QA oversight responsibilities. Develop detailed Construction Work Plans (CWPs) and other procedures for processes and work activities determined by Resident Engineer or Contractor to be complex, involve multiple Subcontractors and/or multiple activities, involve special processes, require interfacing with third parties, or require job hazard analysis to be developed.

2. Include construction operations, both on-site and off-site including fabrication, manufacturing and suppliers. Include Sound Transit and Third Party imposed inspection and test hold points in CWPs.

B. Design Control.

1. Document and implement the following design controls:

a. Review of Contract Document requirements and change orders.

b. Requirements for professional engineer from State of Washington.

c. List of information for design interfaces with subcontractors, third parties or existing infrastructure.

d. Approval of pre-requisite submittals.

e. Calculation checking requirements and documentation of assumptions and backup materials.

f. Utilization of nomenclature and abbreviations defined in Contract Documents.

g. Applicable code requirements satisfied.

h. Applicable software quality plan and reliability plan requirements for design satisfied.

i. Internal design audits planned and performed for each submittal phase.

j. Design checking for each design submittal phase and for design changes during construction.

k. Qualified checker independent of design.

l. Methods of making comments, revising documents and verifying corrections using color coding and check print stamps.

2. Design Review Comments for each design submittal phase comments and for submittal review comments.


a. Document and track all internal design review and external submittal review comments, responses, dispositions and incorporation of comments.

3. Develop and maintain configuration controls for all design and as-built documents including drawings, specifications, plans, procedures, work instructions and software to track distribution and revisions.

C. Document Control.

1. Prepare and maintain a Document Control Procedure for detailing control of receipt, status, maintenance, and transmittal of Contract records and documents using the Internet Based Document System in Section 01 31 23.10, Internet Based Document Management System.

2. Establish a document control system to store and record the large quantity of correspondence, drawings, progress reports, technical reports, as-built records, specifications, Contract Documents, submittals, calculations, and administrative documents generated under the Contract. Establish correspondence routing, filing, control, and retrieval methods that are compatible with the system currently in use by Sound Transit.

3. Provide technical document control, storage, and retrieval methods for both hard copies and electronic records. Provide technical document control methods capable of handling documents being developed (progress), finalized documents (for construction), and documents representing as-built conditions.

4. Identify submittals with the Contract Specification number, followed by the sequential numbering of the submittals, followed by the review cycle number of the submittal, followed by the Specification paragraph number and subparagraph number. As an example, identify recurring submittal of the third Monthly Quality Report as 014500-003.001 ref. 1.04N. When necessary, identify supplemental submittals within the same review cycle with a decimal point, three digits, and a sequential alpha character. As an example, identify a supplement to the test report submittal as 014500-001.001A ref. 1.04I.

5. Serialize and maintain all correspondence of Contractor to and from Sound Transit and its representatives (including Resident Engineer) and separate incoming and outgoing correspondence logs. At a minimum, use a serialization similar to the following:

a. Contract Identifier No: [U-835]

b. Prefix: [CRE or REC]

CRE: Contractor to Resident Engineer;

REC: Resident Engineer to Contractor

c. Serial No. [00001]

Example: U-835-CRE-00001


6. Within 5 Working Days of issuance of Notice to Proceed, Contractor and Resident Engineer each designate, in writing, their respective authorized representatives to receive copies of all or specified correspondence. Include in all correspondence Project Name, Contract Name, and Contract Number, along with the specific subject of the letter. For all replies, refer specifically to prior correspondence to which they relate.

7. Do not change or alter Contract records or documents without Resident Engineer’s written approval.

8. Provide current revisions of procedures, instructions, drawings, and other documents at Work locations.

9. Identify and maintain records and documents in an organized manner. Make records available and provide copies to Sound Transit upon request.

10. Protect records and documents from damage, deterioration, and loss. Keep records in fireproof cabinets at the Contractor's work-site or maintain a duplicate set at another location. The off-site duplicate set may be an electronic image format (i.e. pdf).

D. Subcontractor, Consultant and Supplier Control

1. Assure all products and services procured from subcontractors, consultants and suppliers have the capability of meeting Contract Document requirements and comply with Contractor’s QPP or have their QPP approved by Contractor.

2. Develop and maintain procure procedures to select and control suppliers and subcontractors including:

a. Evaluate and assess supplier’s and subcontractor’s quality systems.

b. Methods utilized to monitoring quality performance of suppliers and subcontractors.

c. Flow down of design, reliability and quality requirements to suppliers and subcontractors.

d. Determination of criteria for performing source inspections.

E. Identification, Traceability and Control of Products, Materials, and Equipment

1. Establish and maintain procedures for identifying and controlling items of production (batch materials, parts, components and subassemblies) to prevent use of incorrect or defective items and to ensure only correct and acceptable items are used or installed.

a. Provide identification and traceability during all phases of production from receipt of raw materials, components and subassemblies through manufacturing process, to delivery of final products and systems.

b. Utilize batch number, shipment number, packing slips or invoices along with test data sheets and material certifications for determining traceability of raw materials.

c. Employ store room or inventory tracking procedures for traceability of items back to a particular order number, batch number, date received, test lot or other pertinent source.


d. Employ routing documentation for traceability of assemblies in production.

e. Mark final assemblies with contract number, model number, serial number, bar codes, etc.

2. Control receipt of products, materials, and equipment.

3. Inspect all products, materials and equipment received for identification, damage and quantity. Large lots may be inspected by an industry approved standard sampling method (i.e.: ANSI/American Society for Quality ASQ Z1.9 Sample Procedures and Tables for Inspection by Variables for Percent Nonconforming)

4. All products, materials, and equipment are subject to receipt inspection by Sound Transit.

F. Process Control.

1. Construction Work Plans.

a. Construction Work Plans: Detailed descriptions of a specific Work activity in the field.

b. Resident Engineer, in consultation with Contractor, will determine which Work activities require submission and approval of a CWP. Prepare and submit a list of CWPs to Resident Engineer. Resident Engineer and Contractor may add CWPs to the list. Update the CWP list when new CWPs are added and resubmit within 5 Working Days to Resident Engineer for approval. Prepare and submit a CWP for each of the Work activities identified on the CWP list. Do not begin Work without Sound Transit acceptance of a CWP and convening of a Readiness Review Meeting. All Readiness Review Meetings shall be included in the updated Monthly Schedule. As a minimum include the following in each CWP:

1) Scope of Work.

2) List of persons responsible for supervision of Work.

3) List of required approved submittals (i.e. traffic control plans and special processes,), drawings (with latest revisions), and the job hazard analysis.

4) Planned start-work and completion dates, progress rate expected, and work hours.

5) Sequence of events and construction methods for performing Work. Include Sound Transit hold points and inspection requirements.

6) Handling and storage of materials and equipment.

7) Inspection and Test hold points required where the next process step or activity will cover up work.

8) Inspections and tests required by Contractor, Third Parties, and Sound Transit.


9) Individuals responsible for performing inspections and providing input to as-built drawings.

10) Prerequisite activities and related construction safety issues.

11) Off-site inspection and test activities and their locations.

12) Procedures for controlling hazardous materials, as applicable.

13) Best Management Practices for sediment and erosion control.

14) Actions defined as “Special Events”, which may expose the general public to danger or inconvenience, and which may require a Third Party to be notified.

15) Safety-critical installations, inspections, and tests listed on the safety certification checklist (provided by Sound Transit).

16) Specific Job Hazard Analysis (JHA) for each CWP.

2. CWP Readiness Review Meeting.

a. After the CWP has been returned by Resident Engineer annotated with a “No Exceptions Taken” (NET) or “Exceptions as Noted, Resubmittal Not Required”, and before beginning associated Work activities, a Readiness Review Meeting will be conducted by Resident Engineer with Contractor, Subcontractors, and applicable Third Party representatives who are involved in executing, supervising, inspecting, testing and monitoring Work activity to discuss all CWP elements identified in Article 3.02, herein. Resident Engineer will document meeting with an agenda and minutes of meeting including an attendance record.

3. Control Of Special Processes.

a. Perform special processes (i.e.: welding, brazing, soldering, etc) only with personnel certified in accordance with the requirements of the specific processes. Maintain qualification records of personnel performing special processes in the worksite files, submit to the Resident Engineer, and reference in the applicable CWPs.

b. Obtain Sound Transit approval of qualifications of personnel performing special processes prior to starting work.

G. Inspection And Test.

1. Inspection and Test Plans.

a. Prepare Inspection and Test Plans as required for each major system and subsystems as required by the Contract Specification 01 95 00, System Testing Requirements with a list of tests and test procedures, along with test report, test witnessing and test failure requirements.

b. Prepare an Inspection and Test Plan for trackwork with a Matrix defining the types and frequency of inspections and tests and the entity responsible for performing each inspection and test (i.e.: laboratory, Contractor, Subcontractor or Third Party). The Inspection and Test Matrix included at the end of this Section is provided to assist the Contractor with preparation of an Inspection and Test Plan. The


Inspection and Test Matrix includes minimum testing requirements defined in the Contract Documents and does not relieve the Contractor of responsibility from performing inspections and tests not referenced in the matrix that are required in the Contract Documents or tests that are necessary to confirm the accuracy or completeness of work. Update the Inspection and Test Plan whenever an Independent Testing Laboratory is added or deleted, or when an inspection or test is deleted or added by Change Order or a Change Notice-Work Directive.

2. First Article Inspection and Testing.

a. All first article inspection and testing requires advanced notification to Sound Transit and act as a hold point before proceeding with further assembly of that item or for initiating assembly of production units.

3. Contractor is responsible for performing all inspections and tests, unless otherwise stated in these Specifications. The CQA Manager is responsible for verifying that quality standards are maintained throughout the Contract through in-process inspections, substantial completion inspections and final inspections. Adjustments to control procedures and CWPs may be required based upon results of inspections and tests. Document inspection and test results of the in-process inspections in the inspection reports.

4. Report inspection and test compliance or non-compliance with the contract requirements specified or indicated in Contract Documents.

H. Control of Inspection, Testing, and Monitoring Equipment.

1. Calibrate and certify all testing equipment and monitoring devices. Calibration and certification requirements include the following and apply to Contractor and all Subcontractors, Suppliers and Independent Testing Laboratories:

a. Be able to trace calibration to known national standards.

2. List inspection, test, and monitoring equipment with the name and serial number, date of current calibration, due date of next calibration, and name of person or agency conducting the certification or calibration with a brief description of use.

3. Store all testing equipment and monitoring devices in a safe and secure location, maintained throughout the Contract and used only for testing or monitoring Work for which they are designed.

4. Re-calibrate, re-test, and re-inspect materials, parts and equipment if the inspection or testing equipment is suspected of being out of calibration, broken, dismantled, or damaged.

5. Make all testing and inspection equipment calibration records available and display calibration sticker showing the last date of calibration and the due date of the next calibration.

I. Field Inspection and Test Reports.

1. Field inspection and test reports are considered Contract Record documents. Require parties performing field testing and inspections to verbally transmit information regarding failed inspections and tests on the same day as discovery to Resident Engineer. Submit all field reports of all failed inspections and test to Resident Engineer within 5 Working Days.


2. Contractor-performed and subcontractor-performed inspections and tests are subject to verification and approval by Resident Engineer.

J. Identification, Control and Correction of Non-Conforming Conditions.

1. Document and submit to Resident Engineer nonconforming items on a Non-Conformance Report (NCR) within 1 Working Day of discovery. Failure to do so will result in Sound Transit Resident Engineer documenting and issuing a Non-Conformance Report to Contractor.

2. Document the root cause of the nonconformance and the corrective action taken in the NCR.

3. Sequentially number and log all Non-Conformance Reports. Number NCRs as follows: i.e.: U860-10-001 [Contract identifier-year-sequential number]. Continue the sequential numbering throughout the life of Contract.

4. Upon receipt of a Non-Conformance Report, Contractor is responsible for: investigating and describing root cause of nonconformance, providing remedial correction for nonconforming item(s), except for “USE AS IS” dispositions, providing preventive actions to prevent recurrence, and recommending a disposition within 21 Days of issuance of NCR. Failure to provide this information within 21 Days will result in reduction of the amount approved for payment for the affected Work on the next payment. Complete all rework within 30 Days from date that non-conforming condition was documented. Complete all repairs within 30 Days of the written approval of the repair procedure by Sound Transit Resident Engineer. Applicable disposition codes for NCRs are:

a. USE AS IS: Allows the use of an item that does not meet specified Contract requirements without the need for corrective action, but may require some form of compensation to Sound Transit.

b. REPAIR: Item may be repaired if it cannot be reworked to its full compliance with Contract requirements, but it can be made suitable for use.

c. REWORK: Item may be reworked to bring it into conformance with requirements of Contract.

d. REJECT: Item is unsuitable for its intended use, is economically or physically incapable of being reworked or repaired, and shall be replaced to bring it into conformance with Contract Requirements.

5. Nonconforming items dispositioned as USE AS IS or REPAIR require review and approval of the Resident Engineer and the Sound Transit Material Review Board. Transmit corrective and preventative action responses, along with a justification letter for to using as is or repairing the non-conforming item from the Contractor’s Engineer of Record to the Resident Engineer by the due date stated on the NCR.

6. Nonconforming items requiring REWORK, REPAIR or USE AS IS shall be tagged or otherwise identified and no follow-on work that integrates with that item can be performed until rework or repair is completed and accepted, or a Use As Is disposition is provided in writing by the Resident Engineer.

7. Red-tag and remove all nonconforming items, identified as REJECT, from the Site within 72 hours of discovery.


K. Quality Records.

1. Records are defined as documentation required by the Contract. Record documents include, but are not limited to, correspondence, submittals, test reports, Contract and shop drawings, schedules, certificates of compliance, pay requests, change documents, requests for information (and their responses), schedules and as-built documents.

2. Quality Records are any Contract documentation that document or reflect the quality of the products of the Contract. This includes, but is not limited to, inspection and test reports, quality audit and surveillance reports, Monthly Quality Reports, mill test reports, certificates of compliance, personnel qualifications and certifications, non-conformance reports, corrective action reports, failure analysis reports, instrumentation calibration reports and punch lists.

3. Maintain and retain all records in accordance with the Contractor's Document Control Procedure.

4. Make available and provide copies of all record documentation to Sound Transit for audits, assessments and surveillances performed by Sound Transit, State of Washington or Federal Agencies upon request.

L. Audits.

1. Schedule, perform and document the results of QA audits, assessments and surveillances of the Work and the Project Records. Submit schedule of anticipated QA audits. Audit each element of the Contractor’s QPP at least once within 180 Days after NTP and at least every 6 months thereafter plus an audit no more than 60 Days before the substantial completion date. Audit each element of each of the subcontractors and design consultants to the Contractor QPP or their own QPP every 6 months. Contractor QA Manager or Contractor corporate Quality Manager to perform QA audits. Include the following scope elements in the audit schedule:

a. Design Control.

b. Documentation Management.

c. Subcontractor and Supplier Control.

d. Receiving, Handling, Storage and Control of Materials and Equipment.

e. Process Control (and workmanship).

f. Inspection and Test.

g. Inspection and Testing Measuring and Monitoring Equipment.

h. Inspection and Certified Test Reports.

i. Quality Records.

j. Non-Conformance and Corrective Action Documentation.

k. Training.

l. Software Development and Testing.


m. Punch Lists (at Substantial Completion).

n. As-Built Documentation.

o. Warranties.

2. Facilitate audits, assessments and surveillances performed by Sound Transit, State of Washington and Federal Agencies by providing access to its facilities, personnel, and records. Provide access to documents and photo copies when requested.

3. Respond to audit, assessment and surveillance report findings with corrective actions that have and are to be taken to correct non-conforming conditions and preventative actions that have and are to be taken to prevent a recurrence of the non-conforming conditions. Document corrective and preventive actions to Resident Engineer within 21 Days of the issuance of the audit, assessment or surveillance report. Document the dates of implementation of the corrective and preventive actions in the response. Failure to provide this information within 21 Days will result in reduction of amount approved for payment for the affected Work on the next payment. Provide copies to Sound Transit of record documents as requested during audits or surveillance.

M. Training.

1. Provide training to personnel performing work activities affecting quality of the processes and the product. Maintain records of the training including attendance sign-in records, curriculum, tests, certifications and training materials.

3.02 MONTHLY QUALITY REPORTS

A. Include the following in the Monthly Quality Reports:

1. Audits planned.

2. List of Internal and subcontractor audits completed with quantity and description of findings.

3. Status of previously reported audit findings.

4. List of Non-Conformance Reports, their dispositions, and verified corrective action(s).

5. List of Tests Completed.

6. List of failed tests with reason for failure and subsequent corrective actions.

7. List of Quality related submittals.

8. List of Safety Certification related submittals.

9. List of revisions to signaling software installed in the field.

10. Other quality related issues.




UNIVERSITY LINK PROJECT SECTION 01 60 00-1 LINK CONTRACT U835 EMI/VIBRATION MONITORING PRODUCT REQUIREMENTS CONTRACT NO. RTA/LR: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011


SECTION 01 60 00

PRODUCT REQUIREMENTS

PART 1 - GENERAL

1.01 SUMMARY

A. This Section includes specifications for:

1. Product option requirements.

2. Spare parts and maintenance materials.

3. Obtaining approval of alternative and substitute products.

B. Related Sections: The work of the following Sections is related to the work of this Section. Other Sections not referenced below may also be related to the proper performance of this work.

1. Section 01 25 00 – Substitution Procedures.

2. Section 01 33 00 - Submittal Procedures.

3. Section 01 66 00 – Product Storage and Handling Requirements.

1.02 SUBMITTALS

A. Procedures: Section 01 33 00 - Submittal Procedures.

B. Installation Instructions: Submit for products where specifications call for installation in accordance with manufacturer’s instructions. See Part 3 of this Section.

PART 2 - PRODUCTS

2.01 PRODUCTS

A. Provide new products unless specifically required or permitted by the Contract Documents.

B. Provide products, materials and equipment of the same generic kind from a single source. Where products or materials, by nature, are available only from sources that do not individually comprise sufficient quantity for the total project requirement, select products and materials from those individual sources that are most nearly equal and uniform in the indicated qualities.

C. Do not use products having the following characteristics:

1. Made outside the United States, its territories, Canada, or Mexico.

2. Made using or containing CFCs or HCFCs.

3. Made of wood from newly cut old growth timber.

UNIVERSITY LINK PROJECT SECTION 01 60 00-2 LINK CONTRACT U835 EMI/VIBRATION MONITORING PRODUCT REQUIREMENTS CONTRACT NO. RTA/LR: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011

D. Where all other criteria are met, Contractor shall give preference to products that:

1. Are extracted, harvested, and/or manufactured closer to the location of the project.

2. Have longer documented life span under normal use.

3. Result in less construction waste.

2.02 PRODUCT OPTIONS

A. Products Specified by Reference Standards, Performance or by Description Only: Use only product meeting those standards, performance requirements, or description.

B. Products Specified by Naming One or More Manufacturers: Use a product of one of the manufacturers named and meeting specifications, no options or substitutions allowed.

C. Products Specified by Naming One or More Manufacturers with a Provision for Substitutions: Submit a request for substitution for a manufacturer not named in accordance with Section 01 25 00, Substitution Procedures.

2.03 SPARE PARTS AND MAINTENANCE PRODUCTS

A. Provide spare parts, maintenance, and extra products of types and in quantities specified in individual specification sections.

B. Deliver to Project site; obtain receipt from Resident Engineer prior to final payment.

PART 3 - EXECUTION

3.01 MANUFACTURERS' INSTRUCTIONS

A. When Contract Documents require that installation of Work comply with manufacturers' instructions, obtain and distribute copies of such instructions to parties involved in installation and one reproducible copy to Resident Engineer. Maintain one set at site until installation is complete.

B. Handle, install, connect, clean, condition, and adjust products in strict compliance with instructions and specified requirements. Should job conditions or specified requirements conflict with manufacturers' instructions, notify Resident Engineer. Handle all equipment in strict accordance with manufacturer’s written handling instructions.

C. Perform Work in accordance with manufacturer's instructions. Do not omit any steps unless specifically modified or exempted by Contract Documents.


UNIVERSITY LINK PROJECT SECTION 01 66 00-1 LINK CONTRACT U835 EMI/VIBRATION MONITORING PRODUCT STORAGE AND CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS HANDLING REQUIREMENTS 100% SUBMITTAL JUNE 2011


SECTION 01 66 00

PRODUCT STORAGE AND HANDLING REQUIREMENTS

PART 1 - GENERAL

1.01 SUMMARY

A. Section includes requirements for general requirements for packaging, handling, delivery, and storage of materials and equipment. Additional requirements for product listing, product selection, equivalent materials, and product performance included in Article 5 of the General Conditions and Section 01 60 00, Product Requirements.



PART 3 - EXECUTION

3.01 HANDLING OF MATERIALS

A. Handle all materials and equipment to be incorporated in Work in a manner that will prevent misalignment of parts or the occurrence of damage of any kind.

B. Protect all materials and equipment at all times from all environmental conditions that might cause damage in a secure and dry storage facility.

C. Verify with manufacturer all information regarding scheduling, delivery, and preparations necessary for installation.

D. Mark each item in accordance with referenced codes and standards.

E. Ship each unit securely wrapped, crated or packaged, and labeled for safe handling in shipment and to avoid damage or distortion.

F. Supply all necessary supervision and coordination information to accommodate installations of equipment.

G. Adhere to manufacturer’s handling requirements when off-loading equipment and materials at jobsite.

H. Provide electrical and electronic equipment with impactographs.

I. Submit impactographic record to Resident Engineer.

3.02 STORAGE OF MATERIALS AND EQUIPMENT

A. Store all equipment and materials in accordance with manufacturer’s recommendations, or as specified in Contract Documents to preserve their quality and fitness for Work. Stored equipment and materials, although determined acceptable for Work upon delivery or during storage, must again be inspected by Contractor before their incorporation into Work. Stored equipment and materials shall be located and arranged to facilitate inspection by Resident Engineer.

UNIVERSITY LINK PROJECT SECTION 01 66 00-2 LINK CONTRACT U835 EMI/VIBRATION MONITORING PRODUCT STORAGE AND CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS HANDLING REQUIREMENTS 100% SUBMITTAL JUNE 2011

B. Materials paid for before incorporation shall be stored in secure locations approved in writing by Resident Engineer in a manner that will preserve their full value. Such materials shall be prominently labeled as property of Sound Transit and shall not be commingled with non-Sound Transit materials. If necessary, storage shall be in controlled environment buildings.


UNIVERSITY LINK PROJECT SECTION 01 77 00-1 LINK CONTRACT U835 EMI/VIBRATION MONITORING CLOSEOUT PROCEDURES CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT MONITORING SYSTEMS 100% SUBMITTAL JUNE 2011


SECTION 01 77 00

CLOSEOUT PROCEDURES

PART 1 - GENERAL

1.01 DESCRIPTION

A. This Section specifies requirements for performing all operations necessary for and incidental to closing out a Contract and assisting in the final inspection.

1.02 CLOSEOUT SCHEDULE AND PROCEDURE

A. Requirements Preparatory to Final Inspection:

1. Notify the Resident Engineer that the Work is ready for a preliminary final inspection for determining the state of completion. The Resident Engineer will advise when the inspection will be conducted. From the information gathered from this inspection, the Resident Engineer will prepare a Punch List of work to be performed, corrected or completed before the Work will be accepted. Complete all work on the Punch List prior to final inspection.

2. Clean the site and all applicable appurtenances and improvements. Properly mount operating instructions for equipment and post as specified or required.

3. Prepare and submit a report which provides detail on all waste and spoil generated in the course of the Project and which documents the ultimate destination of those wastes and spoils.

B. Final Inspection:

1. After all requirements preparatory to the final inspection have been completed, request that the Resident Engineer perform the final inspection.

a. Give notice at least 7 Days in advance of the time the Work will be available for final inspection.

b. The Resident Engineer will advise when the inspection will be conducted.

c. If the work is acceptable at the final inspection, the requested date will be the Acceptance date.

2. Contractor’s Project Manager shall accompany the Resident Engineer on the final inspection tour, as well as all principal Subcontractors that the Resident Engineer may request to be present.

3. If the work has been completed in accordance with the Contract Documents, and no further corrective measures are required, the Resident Engineer will issue a Notice of Acceptance.

UNIVERSITY LINK PROJECT SECTION 01 77 00-2 LINK CONTRACT U835 EMI/VIBRATION MONITORING CLOSEOUT PROCEDURES CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT MONITORING SYSTEMS 100% SUBMITTAL JUNE 2011

4. If the work has been substantially completed in accordance with the Contract Documents, and the work can be used for its intended purpose with only minor corrective measures required, the Resident Engineer will issue a Notice of Substantial Completion along with a Punch List of Corrective Actions or other work to be completed. These items will be completed after Final Inspection contingent upon the Contractor's assurance that corrective measures will be completed within the shortest practicable time period. Submit a fixed schedule for corrective measures to the Resident Engineer for approval.

5. If the work has not been substantially completed in accordance with the Contract Documents, and corrective measures are still required, the Resident Engineer will not issue a Notice of Substantial Completion. Instead, a Punch List will be prepared based on the information gathered from the inspection, and the Contractor shall be required to complete this work and then call for another final inspection, following the procedure outlined above.

6. Should the Resident Engineer perform re-inspections due to failure of the work to comply with the claims of status of completion made by the Contractor:

a. Contractor shall compensate Sound Transit for such additional services at the rate of $150.00 (one-hundred and fifty dollars) per labor-hour.

b. Sound Transit will deduct the amount of such compensation from the final payment to the Contractor.

7. Final Acceptance of the work by Sound Transit will be issued in accordance with the General Conditions.




UNIVERSITY LINK PROJECT SECTION 01 78 23-1 LINK CONTRACT U835 EMI/VIBRATION MONITORING OPERATION AND MAINTENANCE DATA CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011


SECTION 01 78 23

OPERATION AND MAINTENANCE DATA

PART 1 - GENERAL

1.01 SUMMARY

A. Section specifies requirements for providing Operation and Maintenance (O&M) Manuals and Operating and Maintenance Instructions for installed equipment and systems.

1.02 SUBMITTALS


B. Posted Operating and Maintenance Instructions.

C. Operation and Maintenance (O&M) Manuals.

D. Renewal Parts Catalog.

1.03 PRELIMINARY O&M MATERIALS

A. Within 60 Days of approval of product data submittals for each specification section submit 3 hard copies and 1 CD of preliminary O&M materials.

1.04 OPERATION AND MAINTENANCE MANUALS

A. Before the work will be considered for Substantial Completion, prepare one complete bound set and one electronic version of Operation and Maintenance Manuals, to be posted on the selected software, of instructions for each equipment plant and its component parts, including:

1. Manufacturers' certificates.

2. Warranty slips.

3. Parts lists.

4. Descriptive brochures.

5. Maintenance and operating instructions for all equipment and systems installed.

6. Installation and start-up instructions.

7. Installation verification checklist.

8. Start-up checklist.


B. Format.

1. Standard sized manuals shall be reproduced on pages that are 8-1/2 inch x 11 inch. The binder cover shall be 10 inches to 10-1/2 inches wide (depending on ring size) and 11-1/2 inches to 12 inches high. The binders shall not exceed 3 inches overall thickness. Punched holes shall be on 3/4 inch centers. Folded pages will be permitted (11 inch x 17 inch, "Z" - folded) where the information to be conveyed cannot be presented clearly on single pages. Manuals for 8-1/2 inch x 11 inch pages may be divided into multiple volumes if the required material cannot be accommodated within the maximum binder thickness. Cross-references and a Table of Contents shall be provided in each volume.

2. All covers shall be approximately 1/16 inches thick, resistant to oil, moisture, and wear, to a high degree commensurate with their intended uses. Final sets of manuals shall be serialized with numbers to be supplied by Sound Transit. The numbers shall be permanently marked on the spine of the cover.

3. Loose-leaf metal binder rings with locks shall be used to prevent undesired opening and to provide positive engagement when closed. Diagrams and illustrations shall not be loose or in pockets.

4. Printed material shall be clearly reproducible by dry copying machines. This precludes the use of halftone illustrations. Line drawings are required.

5. Supply master reproducible copies of all documents. The quality of the master shall be such that duplicates may be made of the same quality as the original, approved submittals.

6. All documents or drawings shall be in English language only. All dimensions given in metric units shall also state the English unit equivalents in parenthesis next to the metric dimensions.

7. Include a title page, contents page, frontispiece, and information covering description, installation, operation, preventive maintenance, corrective maintenance, overhaul, parts list, and list of recommended spare parts, and an appendix.

8. Include on the title page, the name and function of the equipment, manufacturer's identification number, and the Contract Specifications number and title.

9. List the contents of all sections and subsection titles of the Manuals with reference to the page on which each starts and a list of included drawings.

10. Frontispiece shall be a recognizable illustration of the equipment described in the Manuals.

11. Paper: loose leaf, 60 or 70 pound offset.

C. Contents.

1. Descriptive information including drawings and diagrams, and a physical and functional description of the equipment, and major assemblies and subassemblies.

2. Cover the installation information and pre-installation inspection, installation, calibration, and preparation for operation, both for initial installation and for installation after overhaul.


3. Include the operation information, step-by-step procedures for starting, restarting, operating, shutdown, and emergency requirements. Include the information on performance specifications and operating limitations.

4. Include the maintenance information step-by-step procedures for inspection, operation checks, cleaning, lubrication, adjustments, repair, overhaul, disassembly, and reassembly of the equipment for proper operation of the equipment. Include a list of special tools that are required for maintenance with the maintenance information.

5. Provide the complete parts list and a list of recommended spare parts with all necessary information, including part numbers and catalog item numbers if applicable, for identifying parts. Identify parts or assemblies obtained from another manufacturer by the name of that manufacturer and its identifying part number. Supply the size, capacity, or other characteristics of the part if required for identification. The material in the maintenance manuals and parts catalogs shall be organized and indexed, with a standard numbering system.

6. Include in the appendix safety precautions, a glossary, and, if available at time of submittal, copies of test reports and other relevant material not specified to be submitted.

7. Delete all information on material or equipment not used in the work from the O&M Manuals.

D. Manual Revisions.

1. Revise the O&M Manuals to show the equipment as installed.

2. Revise by issue of replacement pages to the final O&M Manuals, or by reissue of the O&M Manuals, at Resident Engineer’s option.

3. Following the issue of each publication, provide revised pages covering any changes, whether required by change of design, or procedures, or due to error. Submittals of revised pages shall be accompanied by an updated revision record for each manual documenting date revised, page number, effective date of the revision, a description of the change, and the reason for the change. Manual and catalog revisions shall be supplied to Sound Transit before, or coincident, with the arrival of the altered parts or components.

4. These revisions shall be kept current (revised every 6 months or less) during the warranty period. After the warranty period, revisions shall be supplied to Sound Transit every 6, 9 or, 12 months for a period of 2 additional years. Changes affecting safety, safe maintenance or operation shall be supplied as soon as they are discovered

PART 2 - PRODUCTS

2.01 RENEWAL PARTS CATALOG

A. Enumerate and describe every component with its related parts, including supplier's number, Contractor's number, Drawings Apparatus Reference number, and provision for entry of Sound Transit part number.

B. Use cut-away and exploded drawings to aid identification of parts not readily identified by description.


C. Parts common to different components, as for instance, bolts, and nuts, must bear the same Contractor's number with a reference to other components in which they are found.

D. Identify each part or component as being part of the next assembly.

E. Commercially available items such as common standard fastenings, fuses, lamps, fittings, etc., must be identified by standard hardware nomenclature besides Contractor's number. Provide a separate list of these items in the catalog with adequate information to order these items through commercial channels. List a minimum of three suppliers for each part.

F. Provide a complete itemization of servicing materials (oils, paints, special compounds, greases, etc.) required and component requiring its use.

G. Provide ordering and procurement information required for components and subassemblies to the lowest level replaceable component. Ensure Sound Transit shall not need to request information from Contractor at any future date.

H. Submit lists in the form of reproducible Bills of Materials suitable for loose-leaf binding adequately cross-referenced to related drawings and Bills of Material.

2.02 POSTED OPERATING AND MAINTENANCE INSTRUCTIONS

A. Provide at each location with equipment that needs to be operated or maintained, a printed sheet under framed clear acrylic plastic, giving brief, concise operating and maintenance instructions for items of mechanical, optical, and electrical equipment at that location.

PART 3 - EXECUTION

3.01 SPECIAL SUBMITTAL PROCEDURES

A. Work with Sound Transit to review O&M Manuals together in meeting environment. Revise manuals in accordance with directions and comments from both meeting inputs and formal mark-ups (by reviewers).

B. Resubmit as required in accordance with Section 01 33 00, Submittal Procedures.

3.02 SOUND TRANSIT RESPONSIBILITY

A. Upon receipt of Contractor’s Notice of Substantial Completion, Sound Transit will designate operating and maintenance personnel who will be responsible for operation, adjustment, and maintenance of all equipment and systems.

B. Sound Transit and O&M personnel will set a meeting, to introduce and to review their complete understanding of all procedures necessary to operate and maintain all equipment and systems on a continuing basis.

C. Sound Transit and O&M personnel will review the contents of the O&M Manuals with Contractor’s personnel in full detail as they relate to the operation and maintenance of all equipment and systems.


UNIVERSITY LINK PROJECT SECTION 01 78 39-1 LINK CONTRACT U835 EMI/VIBRATION MONITORING PROJECT RECORD DOCUMENTS CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011


SECTION 01 78 39

PROJECT RECORD DOCUMENTS

PART 1 - GENERAL

1.01 SUMMARY

A. Section specifies requirements for Project Record Documents including as-built drawings.

B. Related Sections: Work of the following Sections is related to Work of this Section. Other Sections, not referenced below, may also be related to proper performance of this Work.

1. Section 01 31 23.10 - Internet Based Document Management System.

2. Section 01 78 23 - Operation and Maintenance Data.

1.02 MAINTENANCE OF PROJECT RECORD DOCUMENTS

A. Maintain at the jobsite one copy of the following Contract Documents for record purposes:

1. Updated as-built drawings including executed Change Orders.

2. Shop Drawings: Submitted in accordance with Section 01 33 00, Submittal Procedures.

3. Conformed Contract Documents.

4. Inspection Reports.

5. Laboratory Test Records.

6. Field Test Records.

7. Copy of standards applicable to Work.

B. Maintain at each environmentally controlled equipment location (i.e. room, cross passage, terminal case, or cabinet) one copy of the updated as-built drawings for that location in a binder or book.

C. Store documents used for record purposes in the field job office or other location approved by Sound Transit.

D. Provide files and racks for storage of documents.

E. Maintain documents in clean, dry, legible condition.

F. Do not use record documents for construction purposes.

G. Make documents available for periodic review by Resident Engineer.


H. Store documents electronically on selected software, in accordance with Section 01 31 23.10, Internet Based Document Management System.

I. Retain Project Record Documents in accordance with General Conditions.


PART 3 - EXECUTION

3.01 PROJECT RECORD DOCUMENTS

A. Contract Drawings.

1. Resident Engineer will furnish electronic copies of Contract Drawings for the purpose of as-built or record drawings. Immediately upon receipt, produce a hard copy and stamp drawings “As-Built.”

2. Maintain as-built drawings of Work continuously as the job progresses. Keep a complete set of prints, for this purpose only, at the jobsite.

3. During course of construction, update as-built set and make it available to Resident Engineer for monthly review.

4. As identified by Resident Engineer, make selected drawings available incrementally for reproduction. Incremental updates shall not exceed more than three requests for duration of Contract.

5. Incorporate as-built conditions into as-built drawing set in red ink or red pencil.

6. During course of construction, identify actual locations to scale in red ink or red pencil on as-built drawings. Show deviations from Contract Drawings in detail. Where Contract Drawings are not of sufficient size, scale, or detail, furnish Contractor’s own shop drawings for incorporation of details and dimensions. Provide annotations on as-built drawing set referencing applicable shop drawings. Note responses to RFIs or other similar documents on as-built set.

7. Do not permanently conceal any work until required as-built information has been documented by Contractor.

B. Change Orders.

1. Incorporate Change Orders to Contract Drawings into as-built drawings. Annotate as-built changes into revised Contract Drawings.

2. Do not incorporate drawings deleted in their entirety by Change Orders as part of record set. Mark these drawings “Deleted” or “Superseded,” and keep with as-built drawings to reflect status.

C. Shop Drawings.

1. Submit one complete set of approved shop drawings, including manufacturers' originals copies of printed catalog cuts and data, and maintain for record purposes.

2. File shop drawings and maintain separate from Contract Drawings. File shop drawings in 9-inch by 12-inch file folders to greatest extent possible and index in accordance with these Specifications.


3.02 RECORD CONTRACT SPECIFICATIONS

A. Contract Specifications.

1. File Contract Specifications for record purposes in a large, three-ring binder or binders.

2. Record Specification information, changes, and notes in red ink or red pencil in blank areas, such as page margins or backs of opposite pages, or on separate sheets inserted in the binder.

3. Ensure Record Specifications are complete and include applicable Contract Documents other than Contract Drawings.

B. Change Orders.

1. Incorporate Change Orders into front of record Contract Specifications in reverse numerical order. Use appropriate page dividers to identify Change Orders and to separate Change Orders from Contract Specifications.

2. If changes are made to Contract Specifications by Change Order, make appropriate annotations on affected page or pages of Contract Specifications or adjacent thereto.

3.03 INCREMENTAL SUBMISSION OF DOCUMENTS

A. Upon request from Resident Engineer, make available selected as-built drawings for reproduction. Accomplish reproduction by maintaining original blackline copy with red annotations (ink or pencil) reproduced in red on the reproduction print.

B. Incremental as-built drawings requested by Resident Engineer shall be stamped “As-Built”, signed, and dated by Contractor.

C. Include a transmittal letter containing the following information:

1. Date of submission.

2. Project title and number.

3. List of items covered in the incremental as-built submission

4. Contractor’s name and address.

5. Certification that each document as submitted is complete and accurate.

6. Signature of Contractor or its authorized representative.

3.04 SUBMISSON OF FINAL DOCUMENTS

A. At completion of Work, and before requesting Final Acceptance of Work, deliver record documents to Resident Engineer.

B. For as-built drawings, submit hard and electronic copies including AutoCAD (latest revision) of shop drawings and as-built drawings.

C. Stamp final as-built drawings “As-Built,” sign, and date.


D. Ensure record documents are delivered neatly and efficiently filed and packaged in appropriate file storage cabinets or boxes, 12 inches by 15 inches in size. Roll as-built drawings and wrap with transmittal letter affixed identifying contents.

E. Ensure boxes have covers and cutout handles, and contents are accurately identified.

F. Submit record documents with a transmittal letter containing the following information:

1. Date of submission.

2. Project title and number.

3. Contractor's name and address.

4. Title and number of each record document. Shop drawings may be grouped in basic categories or divisions of work and by box identification.

5. Certification that each document as submitted is complete and accurate.

6. Signature of Contractor or its authorized representative.


UNIVERSITY LINK PROJECT SECTION 01 79 10-1 LINK CONTRACT U835 EMI/VIBRATION MONITORING TRAINING OF OPERATIONS CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS AND MAINTENANCE PERSONNEL 100% SUBMITTAL JUNE 2011


SECTION 01 79 10

TRAINING OF OPERATIONS AND MAINTENANCE PERSONNEL

PART 1 - GENERAL

1.01 SUMMARY

A. Section includes requirements for instruction and training of Operations and Maintenance personnel in the management, operation, and maintenance of furnished equipment and systems.

B. Related Sections: Work of the following Sections is related to Work of this Section. Other Sections, not referenced below, may also be related to proper performance of this Work.

1. Section 01 33 00 - Submittal Procedures.

2. Section 01 78 23 - Operation and Maintenance Data.

1.02 SUBMITTALS


B. Submit drafts of the Training Program Plan, Training Materials, and Instructor Guides 6 months before the start of training.

C. Submit resumes of proposed instructors.

D. Submit final versions 1 month prior to the start of training. Training shall not commence until the Training Program Plan and Instructor Guides are approved by Sound Transit.

E. Submit Training Reports subsequent to completion of each training session, but not later than 1 week after completion of each course.

F. Quantity of Submittal.

1. Three hard copies and one electronic copy (Microsoft Office document) of the draft and final versions of the Training Program Plan.

2. Three hard copies and one electronic copy (Microsoft Office document) of the draft version, and 15 hard copies and ten electronic copies (Microsoft Office document) Guide on CD-ROM or DVD of the final version for the Instructor.

3. Three hard copies of the training reports.

PART 2 - PRODUCTS

2.01 TRAINING PROGRAM

A. Train Sound Transit's maintenance personnel in details of furnished equipment and systems and enable them to operate, service, and maintain systems such that systems will perform and continue to perform in accordance with requirements of this Contract.


B. Provide a logically related sequence of separate courses covering Equipment Operation and Maintenance.

C. Ensure operations and maintenance personnel are fully trained prior to new systems being used for revenue service.

D. Operations and Maintenance Personnel Qualifications.

1. Assume personnel to be trained have only basic skills pertinent to their craft as outlined in Sound Transit's job descriptions for the involved personnel.

2. Assume Operations and Maintenance personnel to be trained have no knowledge of features of specific equipment or systems to be taught.

2.02 TRAINING COURSE

A. Course requirements.

1. Include classroom, hands-on, and/or field instruction, as appropriate, and models, mockups, documentation, and aids to carry out the program.

2. Class Sizes: Unless otherwise specified elsewhere in these Specifications, Sound Transit will be able to send up to fifteen participants to each of the training courses specified.

3. Schedule: Days and times may not be consecutive or at identical times of the day. Training schedule to be coordinated with maintenance personnel schedule to be provided by Resident Engineer.

4. Duration: Maximum 8 hours per day, minimum 40 hours total.

5. Training Location and Classrooms: Conduct training courses in facilities provided by Sound Transit. The facilities will be equipped with tables, chairs, and one cabinet with lock hasp.

6. Provide video players and projectors as required.

7. Provide instructors who are fluent in English.

8. Provide literature and equipment necessary to train personnel.

9. Training on actual system equipment and spare equipment will be permitted; however, such use shall not interfere with pre-revenue tests and system demonstrations.

B. Equipment Operations and Maintenance Training.

1. Provide training in the operation and maintenance of equipment systems provided.

2. Provide Operations and Maintenance personnel with a thorough knowledge of the equipment and its operation, its interface with other equipment, and the capabilities and use of test equipment.

3. Provide participants with theoretical background and hands-on experience in troubleshooting, repair procedures, and preventive maintenance procedures.


4. Course participants shall operate actual in place equipment, and learn how to use test equipment and fixtures to troubleshoot problems and repair failures.

5. Provide the first course in the classroom.

6. Next provide Operations and Maintenance personnel hands-on experience, where they will put the theoretical classroom training to practical use.

7. Provide hardware training including, but not limited to:

a. Equipment operation.

b. Troubleshooting procedures, including field diagnostics and test equipment.

c. Interface with other equipment.

d. Preventative maintenance procedures.

e. Theoretical background of equipment.

C. Supplemental Training: Provide extended, duplicate, or additional training for the systems provided, as deemed necessary by the Resident Engineer, due to modification of systems and equipment configuration made after completion of the scheduled training courses.

2.03 TRAINING MATERIALS

A. Provide Sound Transit-specific materials prepared specifically for use as training aids.

B. Use reference manuals, operating and maintenance manuals, and user's manuals as supplementary training materials.

C. Tailor principal documents used for training to reflect Sound Transit equipment and specific user requirements.

D. Use Operations and Maintenance Manuals specified in Section 01 78 23, Operation and Maintenance Data, as reference during training.

E. Materials: Durable construction.

F. Provide each course participant copies of training manuals and other pertinent material prior to commencement of courses.

G. Sound Transit will retain the master and two additional copies of training manuals and materials as reference documentation.

H. Upon completion of each course, instructor's manuals, training manuals, and training aids become the property of Sound Transit unless such items are specifically exempted by the Resident Engineer.

I. Throughout the Contract and warranty periods, supply Sound Transit with changes and revisions to training manuals and other documentation.

J. Sound Transit reserves the right to copy training materials and aids for use in Sound Transit-conducted training courses.


K. Provide special tools, equipment, training aids, and other materials required to train course participants. Provide sufficient quantity of special tools and other training equipment for the number of participants attending the course.

L. Use actual hardware and photographs taken during the manufacturing process wherever possible. Actual hardware used for training must pass re-inspection and acceptance testing prior to being placed in service.

M. Videos.

1. Use prerecorded lectures as supplementary training material.

2. Do not use videos as a replacement for a classroom instructor, or as the primary training vehicle.

3. Provide videos to Sound Transit for retention and playback by Sound Transit staff members as reference documentation.

4. Sound Transit shall have the right to videotape training courses presented by the Contractor. Sound Transit shall also have the right to use these videos to train personnel in the future.

2.04 TRAINING PROGRAM PLAN

A. Form: Narrative form supported by such tables, charts, schedules, and graphs as are necessary to fully convey and describe Contractor’s plan for accomplishing the training set forth herein.

B. Include resumes and qualifications of key instructors and training staff.

C. Provide complete documentation to substantiate employee certification. The Plan shall contain, as a minimum, the following:

D. Program Objectives. The program objectives are precisely worded statements of the end-of-course performance expected of the students.

1. Each program objective shall include:

a. The knowledge, skills, and abilities that the students will acquire.

b. The methods of evaluating achievement of the objective, i.e. written exam, skills test, or oral quiz.

c. The conditions under which the evaluation will occur.

d. The measurable level of performance required.

2. Sample Program Objective: On completion of the Training Program, Operations and Maintenance Personnel will demonstrate, using actual equipment and written procedures in the training environment, the ability to perform Field Level Preventive and Corrective Maintenance to a level sufficient to support and maintain the System and Equipment in accordance with these Specifications.

E. Flow Diagram: Indicate logical progression of training courses, include Course Title, Target Population, and Course Duration.


F. Training Matrix: For each course, describe each training day, include Course Title, Title of Lesson, Type of Instruction, Lesson Objectives, Method of Evaluating Achievement of each objective, Material and Equipment requirements, and Time to Teach each lesson.

G. Principal Instructors: Previous formal classroom instruction training and relevant experience with provided systems equipment in an operating environment, demonstrate a complete and thorough technical knowledge of material in the course, thoroughly familiar with handbooks, guides, tools, test equipment, and other aids used in troubleshooting and repairing the equipment. Provide résumés showing the qualifications of proposed instructors for approval by Resident Engineer.

H. Present classes and instructions in person by a qualified instructor.

I. When prerecorded lectures are part of a training course, the instructor or a qualified substitute shall supplement the recorded material.

J. List Subcontractors or other equipment manufacturers to be used in training program and a description of their responsibilities.

K. List each course's prerequisites (e.g., knowledge of basic electronics).

L. Training Schedule.

1. Develop a complete, detailed training schedule, in consultation with Sound Transit, after Sound Transit's receipt and review of Contractor recommendations.

2. Show Training Program milestones in reference to Contract milestones. Each milestone shall be approved by Sound Transit prior to accomplishment of the next.

M. Instructor Guides: Detail instructor actions during program presentation, one Instructor Guide for each training session.

1. Supply the following materials with each Instructor Guide:

a. Microsoft PowerPoint presentation file on disk.

b. Slides, pictures, charts used in support of the lesson.

c. One complete student handout package.

d. One copy of material referenced in the lesson.

N. Each Instructor Guide shall be arranged in sections:

1. Section 1. Title: Short and descriptive, must contain lesson name and target audience.

2. Section 2. Time To Teach: Designate estimated time to teach for each Instructor Guide, an approximate period and may vary due to student number and knowledge level.

3. Section 3. Objective: One or more performance-based objectives each of which specifies:

a. End-of-course performance expected of the student.

b. Conditions under which behavior will occur.


c. Measurable minimum level of performance considered acceptable.

4. Section 4. References: List sources of material presented, include maintenance manuals, test equipment manuals, and other documents developed for this Contract.

5. Section 5. Materials List: List materials needed to teach content, include training aids (such as overhead transparencies, charts, projectors, and size and type of facility), student handouts (such as books, drawings, and schematics), equipment (such as tools parts for disassembly).

6. Section 6. Introduction: Cover at least the following areas:

a. Introduction of subject covered by the lesson.

b. Lesson objectives.

c. An outline of the lesson.

d. A schedule of the lesson's activities.

7. Section 7. Presentation: Presentation should be in outline form, narrative is acceptable but not necessary.

8. A suggested numbering system is:

A.

B.

1.

2.

a.

b.

(1)

(2)

(a)

(b)

O. Presentation portion of the Instructor Guide should be detailed enough to:

1. Serve as a written record of the specific facts and information.

2. Allow another instructor with knowledge of the area to teach the class.

3. Ensure that the subject delivery is consistent each time the lesson is given.

4. Allow replication of all evaluations, tests, and quizzes given in conjunction with this lesson.


2.05 TRAINING REPORTS

A. Grading System: Establish to report progress of each trainee during a course, identify requirements for further training for each participant, furnish grades only to Resident Engineer.

B. Training Reports: Include graded tests (without names) with raw scores, include a summary of the results of monitoring and evaluating as well as records of student attendance and performance.





UNIVERSITY LINK PROJECT SECTION 01 95 00-1 LINK CONTRACT U835 EMI/VIBRATION MONITORING SYSTEM TESTING REQUIREMENTS CONTRACT NO. RTA/CN: 0101-11 AND WHEEL FLAT DETECTION SYSTEMS 100% SUBMITTAL JUNE 2011


SECTION 01 95 00

SYSTEM TESTING REQUIREMENTS

PART 1 - GENERAL

1.01 SUMMARY

A. Section includes test documentation and general test requirements for completion of this Contract.

1.02 DEFINITIONS

A. Factory Design Tests: Conducted by or under supervision of equipment manufacturer to verify compliance with design requirements of Contract Documents. Perform tests on production components, assemblies, subsystems and systems and on highest level of assembly that will allow demonstration of design compliance for each production line.

B. Factory Production Tests: Verifies units to be delivered operate within specified limits and are in compliance with design requirements of Contract Documents. Tests conducted by or under supervision of equipment manufacturer. Requirements may vary from an inspection and functional demonstration for a simple component to a full system functional demonstration of an assembly. Perform tests on each piece of equipment or material at manufacturer's facility prior to shipment to the field.

C. Factory Functional Tests: Verifies the portion of system to be delivered operates within specified limits and is in compliance with design requirements of Contract Documents. Conduct test by or under supervision of system vendor. Design test to verify functionality of system assembly elements to the greatest extent possible before shipment to the field for installation.

D. Field Installation Tests: Verifies physical and electrical characteristics of materials and equipment have been maintained during shipment and that installation meets requirements of Contract Documents.

E. Field System Tests: Verifies system equipment and materials installed operate as designed and meet requirements of Contract Documents. Installation of system elements must be complete at time of test. Some tests may require operation of a light rail vehicle (LRV) for final verification of system functionality.

F. Test: Activity to determine capability of an item to meet specified requirements by subjecting item to physical or electrical analysis or environmental and/or operational conditions.

G. Testing: Determination or verification of capability of an item to meet specified requirements by subjecting item to a set of physical, electrical, environmental, or operating conditions.

H. Material Tests: Tests performed to verify the basic strength of materials and/or fabrication and construction techniques, and includes tests of static, non-operating facilities.


I. Quality Records: Permanent quality records, which have significant value such as:

1. Construction compliance to Contract Documents;

2. Demonstrating capability for proper function and safe operation of critical item;

3. Maintaining, reworking, repairing, replacing, or modifying the item;

4. Determining the malfunction of an item;

5. Providing required baseline data;

6. Documenting the results of inspection and tests; and

7. Audit and Surveillance Reports.

J. Verification: act of reviewing, testing, inspecting, checking, auditing, or otherwise determining and documenting to ensure that items, processes, services, and documents conform to these Specifications.

1.03 SUBMITTALS

A. Submittals shall be in accordance with Section 01 33 00, Submittal Procedures.

B. Monthly Testing Summary: Submit monthly beginning with first factory test submittal. Include Test Issue Log update.

1.04 TEST PROGRAM PLAN

A. Ensure testing requirements contained in Contract Documents have been incorporated and adequate provisions have been made for testing in Contractor Testing Plan.

B. Achieve an early mutual understanding between Contractor and Resident Engineer on range, scope, and other aspects of tests to be conducted.

C. Submit 15 Days after NTP.

D. Plan Elements.

1. Identify system Test Director for each system being tested. Test Director is responsible for coordinating various tests needed for each designated system and being point of contact with Resident Engineer.

2. Provide a detailed schedule showing the time and place of each test to be performed.

3. Scheduled start and completion date for each test.

4. List of design submittals and Certified Test Reports that must be submitted and closed prior to performance of test.

5. Identify all tests by reference to the Section, Article, and Paragraph number of the appropriate technical Section of these Specifications.

6. Test Result Form: Provide sample test result form for each test with expected test results.


E. Tests Included.

1. Each test described in this Section and in other Contract Specification Sections.

2. Supplier and Subcontractor tests to be completed at the suppliers’ or Subcontractors’ plants.

3. Contractor’s tests to be completed at its plant prior to delivery.

4. Other tests conducted by Contractor in connection with its own Quality Assurance program.

1.05 TEST PROCEDURES

A. Develop detailed test procedures, sample test result form, and proposed test report form for recording data for each test.

B. Submit 30 Days prior to commencement of each test.

C. Procedure Elements.

1. List step-by-step procedure for performing test, title, test objective, test location, dates, and times.

2. Test Conductor: Name of agency performing each test (Contractor, his supplier, or an independent testing company).

3. Test equipment: list requirements for equipment including manufacturer’s name, model number, and serial number.

4. Personnel Requirements: Include Resident Engineer witness and any other Sound Transit, third party, or other contractor personnel needed to complete test.

5. List design documents needed by test staff during performance of test. Attach copies of applicable portions of ANSI or ASTM standards.

6. List test criteria, data evaluation procedures, test methodology, and test setup with circuit diagrams and test sequence.

7. Show test input and expected output.

8. Contract Specifications Section, Article, and Paragraph number.

9. Include a step-by-step format for data reduction and formulas used in deriving the format.

10. Include criteria for acceptability and justification for the criteria set forth, including procedures for evaluating data.

1.06 TEST RESULTS

A. Develop test result forms based on criteria and data evaluation procedures developed in the Test Procedures document.

B. Submit 5 Days after date of test being conducted.

C. Record test results and observations of each test on approved test report forms.


D. Provide test result form for each test including raw test data and field notes. Provide actual form used in the field not a copy.

E. Test Result Forms.

1. List title of test, test objectives, location, dates, times of test, abbreviations and references, test equipment used including calibration data, and conditions of test including temperature and humidity.

2. Include test results required by Contract Documents for each test criteria.

3. Describe equipment and material failures, and reasons for failure.

4. List equipment or wiring performed during testing, and reason for modifications with names of individuals approving such modifications.

5. Include criteria to show whether test passed or failed.

6. Include space for test witnesses to sign and signatures if test was witnessed.

7. Include space for individual performing test to sign and signature of individual performing test.

1.07 TEST REPORTS

A. Certified Test Report: A written and signed document approved by a qualified testing party that contains sufficient data and information to verify actual properties of items and actual results of required tests, for tests conducted at point of manufacture.

B. Contractor Test Report:

1. Include copy of test results with data being analyzed.

2. Reduced test data including tables, curves, photographs and any additional test data required to support the test results.

3. Test results in a form that can easily be compared to these Specifications requirements.

4. Descriptions of equipment and material failures, and reasons for the failure.

5. Descriptions of all modifications performed during testing, reasons for modifications, and names of individuals approving such modifications.

1.08 MONTHLY TEST SUMMARY

A. Show consolidated test data including tables, curves, photographs, and any additional test data required to support test results. List summary and conclusions based on test data for each system.

B. List tests performed, when performed, and if test passed or failed. List tests scheduled for the upcoming month including personnel, equipment, and other resources required to complete the tests. List any issues impacting scheduling of tests. Provide update to the testing CPM schedule and list critical path tests.

C. Provide an update of the Test Issue Log to show new issues found and issues with resolutions determined and retests passed.


1.09 TEST ISSUE TRACKING

A. Test Issue: Tests that produce results that do not meet acceptance criteria, either in the field or the factory, produce a test issue. Systematic test issues are created when failures of the same type occur more than twice.

B. Test Issue Log: Document used to track test issues and their corresponding resolution. Provide a summary sheet tracking systematic test issues in order to aid in identification of quality and procedural problems.

1. For each test issue provide the following information on the Test Issue Log:

a. Test number and description.

b. Equipment identification and location.

c. Briefly describe observations about the performance which was associated with failure to achieve acceptable results. Identify the cause of failure if such is apparent.

d. Diagnostic procedure or plan to determine the cause if the cause is not readily apparent.

e. Diagnosis of fundamental cause of issues as specified below if the cause is not readily apparent.

2. For each test issue resolution provide the following information on the Test Issue Log:

a. Identify the fundamental cause of unacceptable performance as determined by diagnostic tests and activities.

b. Identify corrective action taken to resolve the issue.

c. List date of retest and result. Final entry shall be of test that passed.

C. Track and report test issues until resolution and retesting are successfully completed. Maintain a current record of testing issues on a Test Issues Log to be submitted with the Monthly Testing Summary.

PART 2 - PRODUCTS

2.01 TEST EQUIPMENT

A. Ensure that test equipment and instrumentation required to perform the testing is of industry standard quality for testing and calibration.

B. See Technical Sections for specific test equipment requirements.

C. Ensure that test equipment and instrumentation meets the following standards:

1. Be of sufficient quality and accuracy to test and measure system performance within the tolerances required to determine adequate performance.

2. Be calibrated at the manufacturer’s recommended intervals with calibration tags permanently affixed to the instrument being used.


3. Be maintained in good repair and operating condition throughout the duration of use on this project.

4. Be recalibrated/repaired if dropped or damaged in any way since last calibrated.

2.02 PROPRIETARY TEST INSTRUMENTS

A. Provide proprietary test instruments or tools required by the equipment manufacturer. Provide and operate the proprietary test instruments or tools as required for testing.

B. Identify proprietary test instruments or tools required in each Test Program Plan. Include a separate list of proprietary test instruments in the Operations and Maintenance manuals.

C. Proprietary test instruments or tools become the property of Sound Transit upon completion and approval of testing.

D. Test instruments and tools are proprietary if they are required by the equipment manufacturer for testing, calibrating, servicing, or maintaining equipment provided under this contract, and if the test instruments or tools are available exclusively through said manufacturer or their authorized representative.

PART 3 - EXECUTION

3.01 TEST SEQUENCE

A. Tests shall not be performed and test reports and results will not be considered valid until procedures are approved by Resident Engineer.

B. Tests results showing prerequisite test passed must be submitted before subsequent tests can be performed as outlined in accepted Contractor Testing Plan.

3.02 THIRD PARTY TESTS

A. Arrange and coordinate inspections and tests requiring Washington State Labor and Industry (i.e. electrical inspection and test) or other jurisdictional approval (i.e. City of Seattle).

B. Provide advanced notification of Third Party inspections to Sound Transit.

3.03 INSPECTIONS

A. Coordinate inspections performed by local jurisdictions with Third Party local jurisdictions, as required by the International Building Code or other applicable codes or standards.

B. Cooperate fully with these inspectors and provide them with any assistance necessary to complete their inspections.

C. Provide payment for inspections.


3.04 WITNESSING OF TESTS

A. Provide opportunity for Resident Engineer or Resident Engineer representative to witness each test.

B. Provide 3 Work Days advanced notice to Resident Engineer where Sound Transit or Third Party inspection or test is required within Washington State and at least 20 Work Days advanced notice to Resident Engineer for Sound Transit or Third Party inspections and tests outside of Washington State. Notification shall be in writing and include date, time and location test will be performed.

C. Witnessing of tests shall not be considered as acceptance of test results or test reports.

3.05 FAILURE OF TEST

A. If any test fails, make corrections and retest at no additional cost to Sound Transit.

B. If test is witnessed by Sound Transit Representative and fails or equipment is not ready for testing by Contractor upon agreed testing date and Sound Transit arrives at test site, Contractor shall pay for return trip to facility or test site(s) including round trip air fare, lodging, surface transportation, meal per diem, and associated Sound Transit Representative travel costs.




UNIVERSITY LINK PROJECT PAGE 1 LINK CONTRACT NO. U835 EMI/VIBRATION MONITORING AND CONTRACT NO. RTA/LR: 0101-11 WHEEL FLAT DETECTION SYSTEMS 100% SUBMISSION JUNE 2011

U835 UNIVERSITY LINK PROJECT

EMI/VIBRATION AND WHEEL FLAT DETECTION SYSTEMS

TECHNICAL SPECIFICATIONS

SECTION 1 SCOPE OF CONTRACTOR WORK ....................................................................................2

SECTION 2 SUBMITTALS .......................................................................................................................5

SECTION 3 FUNCTIONAL REQUIREMENTS ........................................................................................8

SECTION 4 DESIGN REQUIREMENTS ............................................................................................... 12

SECTION 5 EQUIPMENT ..................................................................................................................... 15

SECTION 6 INSTALLATION ................................................................................................................. 18

SECTION 7 TESTING REQUIREMENTS ............................................................................................. 20

SECTION 8 SYSTEM SUPPORT ......................................................................................................... 24

SECTION 9 ABBREVIATIONS AND STANDARDS .............................................................................. 26

SECTION 10 APPENDICIES .................................................................................................................. 27

The Professional Engineer‟s seal and signature affixed hereon indicates this Engineer‟s review and participation in the preparation of the Technical Specifications.

Jesse C. Knaak, PE

Engineer‟s Name

LTK Engineering Services

Firm

Engineer‟s Seal

UNIVERSITY LINK PROJECT PAGE 2 LINK CONTRACT NO. U835 EMI/VIBRATION MONITORING AND CONTRACT NO. RTA/CN: 0101-11 WHEEL FLAT DETECTION SYSTEMS 100% SUBMISSION JUNE 2011

SECTION 1 SCOPE OF CONTRACTOR WORK

1.1 EXECUTIVE SUMMARY

The Request For Proposal (RFP) calls for the design, installation, commissioning, and maintaining of a Monitoring and Detection System (MDS) to monitor Magnetic fields, Vibration, and Wheel Flat levels.

1.2 GENERAL

Design, furnish, install, and maintain a monitoring and detection system that will measure, record, and transmit magnetic fields, vibration levels, and wheel flat data resulting from the operation of Sound Transit light rail vehicles (LRV). The Contractor shall:

1. Procure, install, configure and test a monitoring and detection system to measure and detect Magnetic fields, Vibration and Wheel Flats at locations as shown on the Contract Drawings.

2. Provide interface with Train Control System (TCS) located at the Sound Transit Operations Maintenance Facility (OMF).

3. Provide MDS data to Sound Transit and University of Washington (UW) for report generation. Install temporary and permanent monitoring sensors.

4. Install and configure monitoring sensors.

5. Develop Transfer Functions using empirical data as noted in Appendix A.

6. Develop and deliver submittal documents.

7. Provide as-builts and operation and maintenance manuals to reflect new field conditions.

8. Train Sound Transit Operations and Maintenance staff on new monitoring and detection system.

9. Supply warranty services and equipment.

1.3 CONTRACTOR QUALIFICATIONS

Work required to be performed requires engineers with specialized knowledge and training. Engineers shall have had recent satisfactory experience in performing similar type of work, and have a minimum of five years field experience in software configuration. In addition, engineers shall have experience in hardware systems integration and in dealing with design and installation of electronic systems requiring monitoring temperature and compensation for temperature fluctuations.

1.4 DESIGN IMPLEMENTATION

Design and integrate each MDS element such that specified requirements are achieved without conflict or error within or between each individual MDS device. Ensure that managers, engineers, designers, suppliers, and subcontractors are informed of specified requirements and appropriate engineering management tools are utilized to ensure that integration, coordination and communication occurs between the designers of inter-related systems.

Cooperate and coordinate with the U250 and U830 station construction and system contractors on interface issues.


Name brands, specific equipment, or specific materials may be referenced in this document. Such equipment has been shown to be successful in previous applications, where correctly applied and integrated with other systems equipment. References shall not be interpreted as pre-approval of any Contractor designs, equipment, or applications. The Contractor is responsible for the selection, application, and integration of equipment and materials as necessary to conform to specified requirements.

1.5 MASTER IMPLEMENTATION AGREEMENT

The magnetic fields and vibration monitoring program was established in Section 4.1.4 of the "Master Implementation Agreement for Sound Transit Entry to the University of Washington Seattle Campus," dated July 2007. Key goals outlined therein required for the monitoring and detection system design are:

1. Measurement, recording, analysis and transmission of magnetic fields and vibration data collected at the UW campus in the vicinity of the University Link (ULink) rail alignment.

2. Continuous and long term monitoring and detection to ensure that magnetic fields and vibration levels remain within specified thresholds as agreed to by Sound Transit and UW.

3. Real time data analysis.

4. Alarm Reporting at Link Control Center (LCC) and UW campus.

1.6 NORTH LINK OPTION

Submit measurement and payment per Section 01 20 00, Price and Payment Procedures for the option to extend MDS to Brooklyn Station (North Link). For the North Link phase, five additional magnetic field control locations are proposed. The exact number and spacing of vibration sensors have yet to be determined. Final locations for monitoring devices will be determined as the design progresses for North Link, however the conceptual design calls for vibration sensors installed on the tunnel wall in each bore at intervals of 150 feet in alternate tunnel bores. North Link MDS shall include the following:

1. Five (5) Magnetic field control (borehole) locations. Each location shall consist of 2 magnetic field sensors, 2 temperature sensors, and applicable magnetic field monitor electronics. Power and control cabinets shall be provided by systems contractor. Borehole and conduit shall be provided by civil contractor.

2. Twenty-eight (28) Vibration control (tunnel) locations. Each location shall consist of 2 vibration sensors, battery back-up supply and applicable vibration monitor electronics. Power and control cabinets shall be provided by systems contractor. Conduit shall be provided by civil contractor.

3. Interface with TCS located at the OMF.

4. Interface with ULink MDS to provide data to Sound Transit and UW for report generation. Install temporary and permanent monitoring sensors.

5. Install and configure monitoring sensors.

6. Develop Transfer Functions.

7. Develop and deliver submittal documents.

8. As-built and operation and maintenance manuals to reflect new field conditions.


9. Training of Sound Transit Operations and Maintenance staff on new monitoring and detection system.

10. Supply warranty services and equipment.


SECTION 2 SUBMITTALS

2.1 GENERAL

Provide submittal documentation in accordance with Section 01 33 00, Submittal Procedures.

2.2 DESIGN DRAFT

Submit complete technical document for the monitoring and detection system.

Resume for each proposed engineer describing his experience in the design, installation, and maintenance of a system to monitor Magnetic Fields, Vibration, and Wheel Flats.

Data sheets for materials and equipment required to carry out functions and purposes indicated in this document, and to make the system suitable for the purpose for which it is intended.

Example of documentation of past contracts.

System schematic plan and detail drawings indicating complete monitoring system showing locations of all sensor devices, temporary building monitoring locations, and other ancillary devices as depicted in this document.

Provide a submittal for the draft of the Software Design Document that is consistent with IEEE 830 or UML and that shall include:

1. Functions, (including those for System Administrator) data to be collected including units and sample Alarm list.

2. Data base Format including application data.

3. Systems Interface List (SIL) with data definitions, protocol, and timing constraints definitions.

4. Sample reports available for generation.

Provide a Software Quality Assurance Plan in accordance with IEEE-730, a Software Configuration Plan in accordance with IEEE-828.

2.3 DESIGN REVIEW

2.3.1 Updates of Proposed Material.

Provide updates of the technical information submitted in the Design Document.

Provide the final version of the Software Design Document.

Provide final SIL with data definitions, protocol, and timing constraints definitions.

2.3.2 Hardware Overview Block Diagram.

Provide a hardware overview block diagram that shows:

1. Identification and function of hardware equipment.

2. Hardware configuration detailed block diagrams, including allocation of functions, system software, and data to equipment.


3. Detailed locations of monitoring and detection devices. Temporary device locations to be submitted to Resident Engineer for approval.

4. Cabinet and rack layouts.

5. Description of the physical connections between equipment.

2.3.3 Design Analysis.

Provide analysis of the hardware and software design of each monitoring and detection system. The information submitted shall include:

1. Performance: Capacity, workload and response times.

2. Maintainability and growth: The ability and means to support changes in and growth of the Sound Transit Light Rail System.

3. Requirements for the development of transfer functions for each MDS using data as noted in Appendix A.

Review and evaluate requested threshold and baseline predictions as noted in Appendix A for areas where there is an exceedance in the baseline predictions, make recommendations to Sound Transit about how to address and modify these locations to fulfill the Master Implementation Agreement.

2.4 INSTALLATION

Submit installation plan for each monitoring and detection device location. Develop a written device installation procedure and check-off list for approval prior to device installation. This procedure shall be prepared based on Contractor‟s review of field site survey and shall include installation information for each device, and equipment wiring diagrams.

2.5 TESTING

Submit test program plan, procedures, and expected results for Resident Engineer approval. Submit troubleshooting procedures. Submit monthly report tracking failures and corrective actions taken for each failure. Provide test documentation in accordance with 01 95 00, System Testing Requirements.

Submit a complete list of problems encountered during installation and field testing, when they occurred and how they were corrected. Deliver a complete list of open problems, bugs and requirements not met at the completion of integrated testing. Provide resolutions and timetable to complete.

Provide Software Test Documentation five days after test completion and Software Verification and Validation Results five days after verification and validation completion.

2.6 SYSTEM SUPPORT

Submit copies of Manufacturer support and warranty agreements for equipment, software, and systems provided. Provide contact information for equipment and software manufacturers in accordance with delivered support and warranty agreements.

Submit Maintenance Plan showing preventative maintenance tasks and listing frequency. Detail level of support and procedure for corrective maintenance. List required tests to ensure proper configuration.


Submit suggested spare parts list and list of test equipment to be used for troubleshooting and maintenance.

Provide new test equipment upon completion of Contract.


SECTION 3 FUNCTIONAL REQUIREMENTS

3.1 ALARM MANAGER

Report, display, and record alarm conditions received from each monitoring device. Display and annunciate alarm conditions and require acknowledgement according to Settable priorities. Provide for viewing current alarms and alarm histories.

Display alarms as a text list unacknowledged alarms requiring acknowledgement by the user.

3.1.1 Alarm Properties.

1. Alarm type (Magnetic fields, Vibration, or Wheel Flat).

2. Alarm priority.

3. Date and time alarms were generated.

4. Message text for the alarm.

5. Ability to set alarm to audibly annunciate.

3.1.2 Alarm Window Functions.

1. List alarms in priority and then chronological order, with higher priority and then newest at the top.

2. Scroll as needed.

3. Enable selecting and acknowledging an alarm with a single keystroke or equivalent mouse action. Provide ability for user to add a note upon acknowledging an alarm.

4. Enable temporary inhibiting reporting of individual and groups of security-related indications and alarms for a settable time.

3.1.3 TCS Interface.

Provide summary alarm status for MDS. Present these summary status indications to the TCS. Describe data coming from TCS.

3.1.4 Alarm Processing.

Provide for alarm priorities that define alarming intensity, whether an acknowledgement is required, whether the alarm is defined as a major alarm or minor alarm, and the display order.

1. Priority 1 Alarms are major alarms, are reported visually and audibly, display red in color, and require acknowledgement.

2. Priority 2 Alarms are minor alarms, are reported visually and audibly, display yellow in color, and require acknowledgement.

3.1.5 Email Notification: Provide ability to send email to user settable list of recipients for settable number of alarms.


3.1.6 Internal Alarms.

Generate alarms for:

1. A comprehensive set of equipment and software failure conditions.

2. Failover from server to backup server.

3. Failure of the interface to external systems.

3.1.7 Historical Alarm Lists.

Provide for display of historical alarms in text list, based upon both fixed and ad hoc selection criteria including priority, location, or type, chronologically, specified time period, and active/ unacknowledged/ acknowledged status.

Fixed criteria lists include:

1. Current alarms, by priority, and within each priority in descending chronological order. The window shall show the time and the acknowledged/unacknowledged status of each alarm.

2. Alarms within the last Settable number of days by Equipment Group (user‟s choice of: Magnetic fields, Vibration or Wheel Flats) and priority, and by time within each priority.

Provide a convenient method for choosing selection criteria and sort order for historical alarm lists.

3.2 EVENTS LOGGING AND REPORTING

Maintains a soft copy Events Log of indicated and derived device monitoring system conditions, user commands, and user entries to forms or other data entry. The Events Log is made available for various processes. Specific examples of contents of the Event Log are:

1. User log on/log off.

2. Alarms.

3. Alarm acknowledgements and comments attached.

4. Automatic or user-initiated device status changes.

5. Controller equipment faults.

6. Device failures to operate.

7. Equipment and software faults.

Event Log entries include a timestamp indicating date and time (including seconds) of occurrence. Event Log entries for user actions and commands include the user log on ID.

Storage Length: Databases to maintain 4 to 6 weeks of online Event Log data.


3.3 REPORT GENERATOR

Provide report manager server to access raw sensor data. Report Generator application shall be Crystal Reports or approved equal. Access to application shall be based on user log in from Sound Transit or UW staff.

3.3.1 Vector B-Field.

1. Verified valid alarm (train has caused B-field magnitude above specified limits)

2. Automated alarm (train may have caused B-field magnitude above specified limits)

3. Threshold exceeded (B-field magnitude is above specified limits, cause unknown)

4. Net vector B-field signal (for Bx, By and Bz separately, points average signal minus rolling average ambient), and net vector B-field magnitude signal.

5. Vector points average signal (Bx, By and Bz each averaged over N points), and vector

magnitude of the sum of components.

6. Vector raw signal: Bx, By and Bz each recorded every 0.25 seconds.

7. Temperature of B-field sensor and temperature of magnetometer interface unit.

8. Temperature-corrected raw signal values.

9. Raw signal (raw B-field every 0.25 second).

10. Substation current values.

11. Train presence detection.

3.3.2 Vibration.

1. Real time 1/3-octave band vibration velocity levels for each monitoring station. This data may be made available with integration times of as short as one-second, depending on bandwidth of the server.

2. Historical record of vibration levels and any excesses for each location.

3. Periodic reports of vibration statistics. This may be summarized in terms of integrated energy mean vibration velocity levels over a time period of perhaps one week or one month. This data would be intended for monitoring the health of the wheel/rail system.

3.4 SYSTEM ADMINISTATION

3.4.1 General

System Administrator tools enable easy manipulation and update of off-line versions of configuration files, and easy activation of an off-line version set as the on-line set. Allow System Administrator to:

1. Perform orderly system start-up and shutdown.

2. Install new software version, including loading of reformed database.


3. Rollback to previous software version, including restoration of database.

4. Define and introduce new equipment of types already defined, such as communications and database servers and controller equipment.

5. View complete definitions of field data connections such as controller indication and control point names and addresses, and field device locations in latitude and longitude.

6. Turn on or off any logged data that are intended for debugging and performance analysis, but are not essential for operation.

System Administrator tools shall include a software library management tool.

3.4.2 User Access and Privileges.

Provide ability to define and add new user types with corresponding access and privileges. Provide a list of user access capabilities based upon detailed definition of user interactions to meet functional and design requirements, and upon consultation with and agreement of Sound Transit.


SECTION 4 DESIGN REQUIREMENTS

4.1 MONITORING AND DETECTION SYSTEM (MDS) OVERVIEW

Provide MDS hardware and software necessary to satisfy functional, safety and performance requirements for all devices. Provide Commercial Off The Shelf (COTS) software to the greatest extent possible for this Contract.

Provide MDS software with at least 3 to 5 years of established service and industry use. Multiple copies of a product in one system are considered the same usage.

Assure each MDS is complete, reliable, provided on schedule and changeable without compromising design integrity.

Equipment provided under this contract shall be new. Rebuilt or refurbished equipment is prohibited. New equipment damaged during execution of this contract may be restored to new condition only where approved by Sound Transit on a case-by-case basis, and restorations shall be performed by the original equipment manufacturer.

Design MDS to measure, record and transmit data related to magnetic field levels, vibration levels, and flat spots on train wheel sets.

Develop transfer functions based on temporary sensor installation locations for vibration levels.

Data collected at each sensor location shall be transmitted to the servers provided at the Operations and Maintenance Facility (OMF). Communications shall be through the Train Control Network on a separate MDS VLAN.

4.2 SOFTWARE REQUIREMENTS

4.2.1 General

Furnish Software and support items required for maintenance, diagnostic functions, development tools, and test tools and systems.

Deliver complete monitoring and detection software. Do not deliver unused or unnecessary software either in whole or in part. Delivered software shall be fully defined, implemented, integrated, tested and operational.

Monitor inputs for unsafe, erroneous, unusual, or unknown conditions or combinations of conditions.

Perform self-diagnostic routines and respond promptly, safely, and predictably to detected faults. The self-diagnostics shall include tests for program corruption and integrity with read/write memories.

Respond safely and predictably when powered up or recovering from power interruptions. Power interruptions likely to have corrupted temporary storage shall be detected and cause the system to reinitialize affected routines and temporary data. Detection of power interruptions may be by hardware. Permit thorough interrogation of input, output, and internal conditions by external diagnostic equipment.


4.2.2 Software Implementation

Furnish and install a complete and comprehensive monitoring and detection system and software requirements analysis, including identification and definition of derived requirements as required.

Furnish and install a complete and comprehensive implementation. Meet requirements for delivery of software implementation submittals including incremental builds of the software.

Furnish and install a complete and comprehensive testing of software implementation, including unit level, module and integration level testing as required.

4.2.3 Commercial- Off-The Shelf (COTS) Software

Provide Commercial Off the Shelf (COTS) and Standard software to the greatest extent possible for this Contract. Provide software compatible with virtual machine platforms; Sound Transit currently uses VMWare ESXi vSphere 4.1 and VDI (desktop virtualization).

Application software modified or developed under this Contract is written in an ANSI standard high level language. Sound Transit prefers “C” or “C++”, or a combination thereof. Design software to use operating system services to maintain hardware independence.

4.2.4 Software Modifications.

Ensure it is possible to add, change, remove, and operate any device or data point of a defined type without change to software code. Definitions of limits in software code and in logical data base definitions provide for a system capacity at least 50% greater than the Sound Transit North, expansion segments.

Application software shall be constructed with modular device driver software interfaces, and using standard I/O and operating system calls, to facilitate:

1. Migration to new Workstation monitor/controller devices.

2. Migration to new versions of operating systems, database management system, and other system software.

3. Replacement of Workstation and database server hardware platforms.

4.3 COVERAGE AND TRANSFERABILITY

Provide transfer mobility functions between each tunnel-mounted vibration sensor and critical UW buildings using empirical data as noted in Appendix A and calculated conservative attenuation rates. Using the transfer functions, the vibration level at the critical buildings will be continually estimated by the equation

Lv building = Energy Sum (Lv,i + TFbldg/i) i = 1 to N (number of sensors)

where

Lv building = estimated vibration level in the building

Lv,i = vibration level at sensor i

TFbldg/i = transfer function between sensor i and the building (*)


(*) Required to be developed through testing.

4.4 B-FIELD ALARM GENERATION AND SIGNAL ANALYSIS

Provide signal processing logic in determining B-field monitoring detection alarm generation as shown in Appendix B. The logic tree for alarm generation and signal analysis (see Fig.1) shall be used as a guide for the Magnetic field software processing.

The B-field signal will consist of 3 vector components (x, y and z) and the vector sum (resultant). The x, y and z components produced by the train will be evaluated during testing to determine if one or more of them can be used to further discriminate between train emissions and local ambient.

Prior to the start of any testing, each car must have been verified (by test in another remote location from UW campus) for proper propulsion, braking and auxiliary power functioning.

4.5 VIBRATION ALARM GENERATION AND SIGNAL ANALYSIS

Provide signal processing logic in determining vibration monitoring detection alarm generation as shown in Appendix B. The logic tree for exceedance detection, alerting, and confirmation (see Fig.2) shall be used as a guide for the vibration software processing.

4.6 WHEEL RAIL HEALTH MONITORING

Provide signal processing logic in determining wheel flat monitoring detection alarm generation as shown in Appendix B. Continuous system monitoring to be integrated with broken rail, wheel flat, and speed detection as illustrated in Figure 3.


SECTION 5 EQUIPMENT

5.1 HARDWARE REQUIREMENTS

Provide monitoring and detection hardware able to satisfy functional, and performance requirements in a tunnel environment for vibration sensors and a borehole environment for B-field sensors as described herein:

5.1.1 Magnetic Field Monitoring Hardware Physical Characteristics.

Three-Axis Fluxgate Magnetometer:

Display: X, Y, and Z-axis B-field levels and vector magnitude

Range: +/- 600mG

Accuracy: +/-0.5% of reading

Output shift vs. temperature change: Less than 0.0025 mG/degree C

Power: 90mW nominal at 6VDC input

Bandwidth: DC to 150 Hz nominal

Weight: 7.5 oz.

Temperature Range: 0 Degrees C to 50 Degrees C

5.1.2 Digital Thermometer(s) for sensing temperatures of B-field sensor head and interface unit:

Interface: 1-wire

Accuracy: +/- 1 Degree C

Temp resolution (Max) (bits) 10

Supply Voltage (Min) 2.7

Supply Voltage (Max) 5.5

Operating Temp (°C) -40 to 125

5.1.3 Vibration Monitoring Hardware Physical Characteristics.

1. Vibration Transducer :

Frequency: 8Hz

Distortion: 12Hz

Damping (open circuit): 0.315

Standard Coil Resistance: 375 Ohms


Tolerance Sensitivity: +/- 5%

Temperature Range: -40 Degrees C to +100 Degrees C

2. 1/3-Octave Real Time Analyzer:

No. of Channels: 1

Input Connector: 7 pin

Microphone: 50 mV/Pa

Preamp Supply Voltage: +/- 15V, max 3 mA

Polarization Voltage: 0V and 200V selectable

Max input signal: +/- 11V peak

Supply current: 4mA

Supply voltage: 24V

Input impedance: > 100kΩ <650pF

Temperature: -10 degrees C to +50 degrees C

5.1.4 Wheel Flat Detection System Characteristics.

Wheel Impact Load Detector:

Operating Speeds: 0 MPH to 60 MPH

Resolution: 10 Lb. / 50 Newtons

Accuracy: 1% Static 2% Dynamic

Measurement Zone: 50 Foot / 16 meters

Power: 120/220 volts AC or 12/24 volts DC

System Operating Temp: 0 Degrees C to 55 Degrees C

5.1.5 Programmable Logic Controller (PLC): Versamax, GE/Fanuc, or approved equal

5.1.6 UPS: Sola, or approved equal

Standard: UL 508 listing

Input Voltage: 100 to 240 Vac

5.2 OWNER SUPPLIED/FURNISHED EQUIPMENT

Communications room racks and rack ac power strips, station distribution cabinets, cabinet ac power strips, monitor enclosures, fiber cabling, and power cabling will be supplied by Systems Contractor, (U830).


Conduit pathways from the each magnetic field and vibration monitoring device location to the station communications room by U230 and U250 contracts.

Two sensor boreholes with surface pad-mounted cabinets to be supplied by Civil Contractor (U250).


SECTION 6 INSTALLATION

6.1 SITE VERIFICATION

Verify monitoring and detection device locations as shown on the Contract Drawings. Coordinate temporary monitoring and detection locations and access to each location with University of Washington liaison and Resident Engineer.

6.2 MONITORING AND DETECTION FIELD DEVICE LOCATIONS

Provide field monitoring and detection devices at locations as shown on Contract Drawings.

6.2.1 Boreholes.

Location 1 approximately 330 ft (100 m) east of the centerline of the alignment, north of the ship canal (approximate stationing 1200+50).

Location 2 approximately 160 ft (50 m) north of borehole 1 and 160 ft (50 m) east of the center point of the double crossover south of the UW passenger station platform (approximate stationing 1203+50).

6.2.2 UWS.

Northbound tunnel bore between stationing 1197+65 and the station communications room in five vibration cabinets. Southbound tunnel bore between stationing 1199+15 and the station communications room in four vibration cabinets.

6.2.3 Temporary Building Monitoring Locations.

The following are University Link temporary monitoring building locations for magnetic field and vibration: UW Medical Center, CHDD, Fisheries Center, Winkenwerder Hall, Wilcox Hall, and Roberts Hall.

North Link temporary monitoring building locations for magnetic field and vibration: Bagley Hall, Johnson Hall, Fluke Hall, ME Annex, Electrical Engineering, Loew Hall, Physics Building, Husky Union Building, and Kane Hall.

Building locations were confirmed by past surveys to determine baseline values for magnetic field and vibration levels at each temporary UW building location.

Coordinate access to each building with the University of Washington and Resident Engineer.

6.2.4 Wheel Flat Monitoring Locations.

The following are monitoring locations for wheel flat detection:

SODO Station: Wheel flat detection device Northbound at Stationing 141+20.

Mount Baker Station: Wheel flat detection device Northbound at Stationing 250+00.

Pine Street Stub Tunnel: Wheel flat detection device Northbound at Stationing 1012+46.

Coordinate installation and testing with King County Metro operations through Resident Engineer prior to performing work.


6.2.5 Proto-type Floating Slab.

The following is monitoring location for vibration detection for the University Link floating slab:

Cross Passage 4: Southbound at Stationing NB 1072+30.

6.2.6 Ultra Straight Rail.

The following is monitoring location for vibration detection for the University Link ultra straight rail:

Cross Passage 4: Northbound at Stationing NB 1072+60.

6.3 INSPECTION

Perform a physical audit and inventory of equipment and related materials to be delivered to Sound Transit. Upon delivery, the Contractor with Sound Transit shall repeat the physical audit and confirm the inventory data.

Install and inspect delivered equipment. Installation shall include checking for physical damage to equipment, improper placement of equipment, loose or mislabeled cables or wires, incorrect mechanical connections, improper electrical wiring or grounding, unacceptable strain on or bending of cable or wire.

Develop and use a detailed inspection checklist, subject to the approval by Sound Transit, to perform and inspect for proper installation of equipment.

Installation shall be performed in accordance with the approved submitted design schematics and installation plans.

Equipment shall be designed and installed in full compliance with the National Electric Code, latest edition.


SECTION 7 TESTING REQUIREMENTS

7.1 FACTORY FUNCTIONAL TESTING

7.1.1 Software Testing.

Demonstrate that the provided monitoring and detection software meets functional requirements.

Perform testing in accordance with the following:

1. IEEE Standard 730 Standard for Software Quality Assurance Plans

2. IEEE Standard 828 Standard for Software Configuration Management Plans

3. IEEE Standard 829 Standard for Software Test Documentation.

7.1.2 Test Program Plan.

Include the following items in the Test Program Plan:

1. Test schedule.

2. Responsibilities of the Contractor and Resident Engineer.

3. Record-keeping assignments, procedures and forms.

4. Procedures for monitoring, correcting and re-testing variances.

5. Procedures for controlling and documenting all changes made to the hardware and software after the start of testing.

6. Block diagrams of hardware test configuration, external data transmission interfaces and detailed descriptions of any and all test and/or simulation equipment.

7. Estimated duration of each test.

7.2 B-FIELD MONITORING FIELD SYSTEM TESTING

The purpose of the tests is to validate and test B-Field monitoring system baseline parameters will be established during pre-revenue service. Tests shall require 1-, 2-, and 4-car trains be operated in a pre-determined test zone under special conditions.

Test execution will be coordinated with the Resident Engineer and UW. During testing, the measured data will be witnessed, in real time at the OMF, at temporary and permanent monitoring stations on the UW campus, and aboard the test train.

7.2.1 Test to Establish B-Field Signature of Non-powered Train.

The following are preliminary tests for establishing B-field signatures:

1. Position one car train in selected location.

2. Accelerate car and hold speed. MPH to be determined by the Contractor.

3. Start recording data just before car goes into coast. Stop when car stops at station.


4. At selected location (in relation to monitoring station) before the UW Station go to coast.

5. Coast into station and brake to a safe stop using friction brakes only.

6. The onboard witness will call out car operation (starting acceleration, maintaining speed, going to coast, apply brakes, stopped) as it happens by radio to OMF. A second witness onboard will do the same to the Monitoring Station on UW campus.

7. Repeat test with 2-car train.


7.2.2 Test to Establish B-Field Signature of Accelerating Train.

The following are preliminary tests for establishing B-field signatures of accelerating train:

1. Position one car train in a location selected by the Contractor at UW Station.

2. Go to maximum acceleration going away from station toward Capitol Hill Station.

3. The onboard witnesses will call out train action as it happens and verify correct performance immediately after each test run.

4. Start data recording just before train starts acceleration. Stop recording when train stops.



7.2.3 Test to Establish B-Field Signature of Train in Regenerative Braking.

The following are preliminary tests for establishing B-field signatures of train in regenerative braking:

1. Position one car train in selected location headed toward UW Station.

2. Position a load train headed south, well away from UW Station. The number of cars in the load train must be the same as the number of cars in test train.

3. Accelerate train and go to coast. MPH to be determined by the Contractor.

4. At selected location go to full regenerative braking.

5. Load train must go into acceleration mode just before test train goes into braking.

6. The onboard witnesses will call out train action as it happens and verify correct performance immediately after each test run.

7. Start data recording just before test train goes into braking. Stop recording when test train stops in station.

8. Repeat with 2-car test and load train.

9. Repeat with 4-car test and load train.


Analyze data as each test or series of tests is completed and use results to set or modify parameters in the signal processing software. Test data may also lead to adding new processing blocks or changing or eliminating existing blocks.

Final testing must be repeated with changes to the signal processing implemented. Additional verification testing (during pre-revenue testing) may also be required.

7.2.4 Tests to Validate B-Field Transfer Functions Between Boreholes and Buildings.

Comply with B-field thresholds as noted in Appendix A at buildings on the UW campus. Thresholds will be based on compliance with surrogate thresholds at borehole monitoring locations in close proximity to the light rail alignment.

During the pre-revenue period, test to validate the transfer function between magnetic field levels at each affected building and each borehole monitoring location. The measurements will be used to verify or adjust, if necessary, the transfer function between each building and borehole pair to finalize the resultant compliance threshold at each borehole.

7.3 VIBRATION MONITORING FIELD SYSTEM TESTING

The purpose of the tests is to quantify the transfer functions between the tunnel transducers and UW buildings. Tests will require a 4-car consist made up of vehicles with rough wheels or wheels with flats (to the maximum extent possible). In addition, a 4-car consist with smooth wheels will be used to establish vibration monitoring system baseline parameters. Tests will be established during pre-revenue service.

Test execution will be coordinated with the Resident Engineer and UW. During all testing, the measured data will be witnessed, in real time at the OMF, at temporary and permanent monitoring stations on the UW campus, and aboard the test train.

7.3.1 Test Train Runs – Tangent Running.

1. Northbound into University Station.

Initial speeds: 20, 25, 30, 35, 40, 45, 55 mph.

Decelerating to stop in a safe manner.

4 runs into Station per speed in each tunnel.

2. Southbound out of University Station.

Begin from dead stop at far end of Station.

Accelerate at maximum rate to 20, 25, 30, 35, 40, 45, 55 mph.

4 runs out of Station per speed in each tunnel.

7.3.2 Test Train Runs – Traversing Cross Over.

1. Southbound Track to Northbound Track.

Speeds: 5 mph, 10 mph.


Maintain constant speed for entire train through cross-over.

6 runs at each speed; 3 in each direction.

2. Northbound Track to Southbound Track.

Speeds: 5 mph, 10 mph.

Maintain constant speed for entire train through cross-over.

6 runs at each speed; 3 in each direction.


SECTION 8 SYSTEM SUPPORT

8.1 MAINTENANCE REQUIREMENTS

Provide description of monitoring and detection maintenance requirements.

8.2 TRAINING REQUIREMENTS

Provide complete and comprehensive training per section 01 79 10, Training of Operations and Maintenance Personnel.

8.3 OPERATING AND MAINTENANCE MANUALS

Provide a Operation and Maintenance (O&M) Manuals and Operating and Maintenance Instructions for installed monitoring systems and equipment per Section 01 78 23, Operations and Maintenance Data.

8.4 TEST EQUIPMENT

Provide test equipment for maintenance and management of monitoring systems, equipment, and software.

8.5 SYSTEM DOCUMENTATION AND RECORD DRAWINGS

Submit the following Project record documents in accordance with Section 01 78 39, Project Record Documents.

8.5.1 Final Magnetic Field, Vibration and Wheel Flat Monitoring and Detection System Schematics and Detailed Rack Elevations.

8.5.2 Test Record Documents.

8.5.3 Software and Hardware configuration management files.

8.6 SUPPORT

8.6.1 Provide support for Magnetic Field, Vibration and Wheel Flat Monitoring and Detection System support for hardware and software for 5 years (3 year with 2 year option) after final acceptance. Contractor support for monitoring and detection system shall be supplemented by manufacturer support.

8.6.2 Provide maintenance agreement for a level of support that meets the following requirements:

8.6.3 Manufacturer support shall be available 24 hours a day, seven days a week.

8.6.4 Trending Analysis: Provide trending analysis to analyze data in 3 month intervals from start to determine if MDS levels have increased.

Manufacturer Support shall respond to a problem within four hours during normal business hours defined here as 9:00AM to 5:00PM Monday through Friday, Pacific Time, and shall respond to a problem within eight hours at all other times.


8.7 WARRANTY

Provide for the Magnetic Field, Vibration and Wheel Flat monitoring and detection system that covers the repair or replacement of equipment and software through a period from factory testing through two years after final acceptance at no additional cost to Sound Transit. Ensure that manufacturer warrantees cover support and replacement during this period.

Where any manufacturer warrantees cover less than this period or do not cover this period, provide warrantee for this equipment. Any upgrades or fixes to the Magnetic Field, Vibration and Wheel Flat monitoring and detection system hardware and software shall be made with Resident Engineer approval at no additional cost to Sound Transit.


SECTION 9 ABBREVIATIONS AND STANDARDS

9.1 ABBREVIATIONS

COTS Customer Off The Shelf

EMI Electromagnetic interference

IEEE Institute of Electrical and Electronic Engineers

ISO International Organization for Standardization

KCM King County Metro

LCC Link Control Center

MDS Monitoring and Detection System

NFPA National Fire Protection Agency

RFP Request for Proposal

SC Signal/Communications

UPS Uninterruptable Power Supply

UW University of Washington Campus

UWS University of Washington Station

VLAN Virtual Local Area Network

9.2 REFERENCES

Institute of Electrical and Electronic Engineers (IEEE):

IEEE 730 Standard for Software Quality Assurance Plans.

IEEE 828 Standard for Software Configuration Management Plans.

IEEE 830 Recommended Practice for Software Requirements Specification.

IEEE 1012 Standard for Software Verification and Validation.

IEEE 1016 Recommended Practice for Software Design Descriptions.

IEEE 1058 Standard for Project Management Plans

National Fire Protection Association (NFPA):

NFPA 70 National Electric Code,


SECTION 10 APPENDICIES

APPENDIX A EXHIBIT A.1 UW Vibration Thresholds

EXHIBIT A.2 UW Vibration Thresholds with ST Baseline Predictions

EXHIBIT B.1 UW EMI Thresholds

EXHIBIT B.2 UW EMI Thresholds with ST Baseline Predictions

EXHIBIT C University of Washington Seattle Campus

APPENDIX B B-Field Alarm Generation and Signal Analysis Logic

Vibration Alarm Generation and Signal Analysis Logic

Wheel Flat Monitoring Detection Alarm Generation Logic

APPENDIX A

The following Master Implementation Agreement Exhibits A.1, A.2, B.1, and B.2 define the vibration

and magnetic field thresholds at selected buildings on the UW campus, and Master Implementation

Agreement Exhibit C is a map showing the building locations. Note: Letter to left of building name

indicates building location on Exhibit C map.

Exhibit A.1 Master Implementation Agreement for Sound Transit Entry to the

University of Washington Seattle Campus

UW Vibration Requested Threshold: Vertical RMS Velocity Level, dB re: 1 micro-inch/second

Exhibit A.2 Master Agreement for Sound Transit Entry to the University of Washington

Seattle Campus

UW Vibration Requested Threshold and Sound Transit Baseline Predictions: Vertical RMS Velocity Level, dB re: 1 micro-inch/second

Note: Letter to left of building name indicates building location on Exhibit C map.

Exhibit B.1 Master Agreement for Sound Transit Entry to the University of Washington Seattle Campus

University of Washington EMF Thresholds

(Background Fluctuation in Magnetic Fields – measured in milli-gauss, mG)

Exhibit B.2 Master Agreement for Sound Transit Entry to the University of Washington

Seattle Campus

University of Washington EMF Thresholds and Baseline Predictions*

Building UW Requested Threshold ST Baseline Prediction

(mG) (mG)

Group 2

(L) Fluke Hall 0.3 0.010

(Q) ME. Building 0.2 0.017

(V) Roberts Hall 0.1 0.041

(Y) Wilcox Hall 0.1 0.056

* Per 100% EMI Prediction and Mitigation Design Report Nov 2008

Note: Letter to left of building name indicates building location on Exhibit C map.

Exhibit C University of Washington Seattle Campus

1. Y points averaging: Y number of 0.25 second

APPENDIX B

Figure 1 thru 3 depict Signal Processing Logic Tree in determining B-Field, Vibration, and Wheel Flat Monitoring Detection Alarm Generation. An explanation of each of the blocks follows:

Figure 1 Logic Tree Diagram for B-Field Alarm Generation and Signal Analysis

Explanation of Blocks in Decision Logic Tree; Figure 1

1. Raw B-Field Data: This is the near real time signal of the B-field, measured at a Monitoring Station as

received in the Link Control Center. There are two signals from each monitoring station which are processed in

parallel and separate paths. This signal will contain local ambient sources as well as any B-fields from the train.

The passage of a train may or may not be seen depending on the ambient fields and the health of the mitigation

system.

2. N minute rolling average: Data is sampled every 0.25 seconds. This signal is a rolling average of the

ambient for N minutes. The value of N will most likely be between 3 and 10 minutes and must be determined by

analysis of existing background data, simulation and finally by test. This data are only taken when no train is

present as determined by Sound Transit signal system. Obtain the average ambient B-field when no train is

present. This “Ambient Analysis” must also consider local disturbances such as buses or other heavy vehicle

traffic.

3. Y points averaging: Y number of 0.25 second samples are averaged together to obtain some degree of

smoothing in the curve. Y will most likely range from 2 to 8 data points. The exact value will be determined by

test. This data is taken continuously.

4. Subtraction: The rolling average ambient is subtracted from the points average signal to obtain the net

signal. The intent is to create a “cleaner” signal such that the disturbance from the train can be more easily seen.

5. Detection Threshold Comparator: Monitoring Stations and n Detection Threshold Levels, each unique to

that station. The detection threshold at each station will be selected to protect a given area that contains

buildings with sensitive equipment. Since the monitoring stations will be located closer to the Sound Transit right-

of-way than the buildings, the detection threshold will be higher than the building threshold. The thresholds will be

selected by predictions of the B-field at that location that will not exceed the threshold at the protected building(s).

These predicted values will be further refined during pre-revenue train testing. The calculations used to make the

initial predictions will depend on the location of each monitoring station.

6. Is Train in Zone: The Sound Transit block signal system will indicate if the train is present in the "Hi-Lo

mitigated" zone. If the train is not present, an event is logged, but no alarm is generated (Block 6A). UW will be

notified.

7. Is Substation current present: Substation current will be continuously monitored via the SCADA system and

such values can be compared with magnetic field data. The final substation current logging procedure will be

determined during pre-revenue testing, but it is currently thought that four samples a second would be

satisfactory. The value of substation current will be noted at the time of threshold exceedance. The initial value

of substation current threshold will be set to 500 amps. A 2-car train will always exceed this value during

acceleration. The final value will be refined during testing. If the answer is no, an event will be logged in 7A, but

no alarm will be generated. UW would be notified. Substation current will be recorded (4 times per second to

match B-field data) and available for data analysis.

8. Generate Alarm: If the answers to 6 and 7 are both yes, an alarm will be generated and appropriate

cautionary action would be taken by LCC. This step indicates that the train may have caused the B-field

threshold to be exceeded and/or the "Hi-Lo mitigation" system may have a problem that requires maintenance or

repair. UW would be notified and the data would be subjected to further analysis. Alarms can be sent at other

points in the tree if that information is found to be useful or necessary.

9. Examination of data required: When the alarm is generated, the data must be subjected to further

correlation analysis and manual review to determine if the higher than expected B-field signature compares

favorably (same shape and duration) to the substation current signal and if the site in question logically relates to

readings from other sites. The net B-field signals from all monitoring stations will be available at the OMF. When

a potential alarm is generated, the signals from various monitoring stations will be examined to determine if there

are obviously valid or invalid relationships among the signals. The exceedance alarm will be validated or

dismissed as not caused by the Light Rail Transit System operation.

10. Confirm Exceedance or Send Retraction: If the answers are yes, i.e. substation current was present and

the coincidence of events had a logical basis, the mitigation system must be inspected and tested for possible

defects. Any defects found must be repaired and verified by test. The exact test procedure must be developed

but most likely would include hands-on human monitoring of data as the next train passes through the mitigated

zone. The exact procedure between the time of alarm validation and corrective action must be developed and

agreed to jointly by Sound Transit and UW.

Figure 2 Logic Tree Diagram for Vibration Alarm Generation and Signal Analysis

1 Estimate Bldg Vibration

Levels using TFs

2 Estimated Bldg Vibration No

Levels exceed Criteria?

Yes

3 Train Detection: No

Train in block?

Yes

4 Train EMI Sensors: No

Train moving?

Yes

M Vibration at other

transducers > normal?

No

Maintenance Review:

Sensor faulty?

Yes

Replace or repair

faulty sensor

5 Issue 'Action Alert'

6 Human review No

confirms exceedance?

Yes

7 Train vibration

exceedance confirmed

COLOR KEY

Automated decision

Automated action

Human review or action

Outcome: No vibration exceedance

Outcome: Vibration exceedance

Condition

False

False

Positive

All Clear

Positive

False

Positive

Explanation of Blocks in Decision Logic Tree; Figure 2

1. Estimate Building Vibration Levels. UW building vibration levels will be estimated from tunnel vibration

measurements and transfer functions.

2. Exceedance Detection. The estimated vibration levels will be compared to the appropriate Master

Implementation Agreement threshold to detect a potential exceedance. Vibration levels less than the criteria are

expected under normal conditions.

3. Train Presence Detection. The Sound Transit block signal system will be checked to see if a train is

present. If not, a false positive will be registered and reported. False positive might be produced by heavy trucks

on Montlake, or local pile driving on campus, for example.

4. Train Movement Detection. The traction power current monitors will be checked to see if a train is moving.

If not, a false positive will be registered and reported.

5. ‘Action Alert’ Issued. At this point an „Action Alert‟ would be automatically sent to appropriate people at

Sound Transit and UW. Appropriate cautionary action would then be taken by LCC. This would most likely entail

LCC issuing an order for limited speed operation (slow order) for a particular train or through a particular section

of track.

6. Human Review. Final determination of an exceedance would be conducted by a person knowledgeable in

ground borne vibration produced by trains. This would happen after an „Action Alert‟ had been issued, so it would

not delay vibration reduction actions on campus.

The archived digitized sample of the excess vibration would be subjected to additional analysis. Wheel flat

detection data for the particular train indicated would be reviewed. The review may also be informed by a

performance check of one or more transducers (see Paragraph „M. Transducer Check‟). Finally, other sources of

vibration such as heavy construction in the area and seismic activity in the region will be investigated.

If close scrutiny of all available data indicates that the exceedance was not actually caused by a train, a false

positive will be registered and reported.

7. Confirmation of Exceedance. If no other extraneous reason has been found to account for the criteria

exceedance, then the event will be considered a confirmed exceedance.

M. Transducer Check. If vibration levels at other points in the tunnel do not exceed criteria, then the working

assumption would be that the transducer is faulty and it would be subject to a timely maintenance review. It may

also be possible to automate a sensor check, but that is not known at this time. If the maintenance review

confirms that the transducer is faulty, it would be repaired or replaced and the event would be registered and

reported as a false positive by the Human Review process.

Figure 3 Logic Tree Diagram for Wheel Flat Alarm Generation and Signal Analysis