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EXHIBIT D

APPENDIX 01: CONFORMED STATEMENT OF WORK

COMBINED RAIL OPERATIONS AND MAINTENANCERFP NO. 24617

24617 COMBINED RAIL OPERATIONS AND MAINTENANCE

Table of ContentsDEFINITIONS AND ACRONYMS..............................................................................................................10

Other Key Definitions and Acronyms:....................................................................................................15

1. background......................................................................................................................................... 16

1.1 NCTD Overview........................................................................................................................ 16

1.2 Current Operations................................................................................................................... 18

1.2.1 COASTER Commuter Rail Service.......................................................................................18

1.2.2 SPRINTER Hybrid Rail Service............................................................................................19

1.3 Future Plans.............................................................................................................................. 19

2. NCTD RESPONSIBILITIES................................................................................................................21

2.1 Operations, Safety, and Regulatory Oversight...........................................................................21

2.2 NCTD Programs, Plans, Procedures and Policies.....................................................................21

2.3 NCTD-Provided Rolling Stock...................................................................................................21

2.4 NCTD-Provided Dispatch Systems...........................................................................................22

2.5 NCTD-Provided Facilities, Support Vehicles and Support Equipment.......................................22

2.6 Fuel........................................................................................................................................... 22

2.7 Utilities...................................................................................................................................... 22

2.8 Security..................................................................................................................................... 22

2.9 Property and Liability Insurance................................................................................................23

2.10 Business Systems, Information Systems and Databases..........................................................23

3. THE CONTRACTOR RESPONSIBILITIES........................................................................................26

3.1 General..................................................................................................................................... 26

3.2 Administration........................................................................................................................... 26

3.3 Office space/furniture................................................................................................................26

3.4 Productivity Improvements........................................................................................................26

3.5 Warranties................................................................................................................................. 26

3.5.1 Warranty Administration.........................................................................................................26

3.5.2 Warranty Protection..............................................................................................................27

3.5.3 Warranty Assignment............................................................................................................27

3.6 Configuration Management.......................................................................................................27

3.6.1 General................................................................................................................................. 27

3.6.2 Modernizations, Additions and Improvements.......................................................................27

3.6.3 Retrofits and Changes..........................................................................................................28

3.7 Civil Rights Program................................................................................................................. 28

3.8 Coordination.............................................................................................................................. 29

3.9 Information Technology (IT) Help Desk.....................................................................................29

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3.10 The Contractor Document Management and Retention Plan.....................................................29

3.11 The Contractor Compliance and Internal Audit..........................................................................29

3.12 Support for Capital Construction and Maintenance Projects......................................................30

3.13 Asset Management....................................................................................................................30

3.14 Confidential Close Call Reporting System (C3RS)....................................................................30

4. TRAIN OPERATIONS, CREWS, AND PERFORMANCE...................................................................31

4.1 Schedule Requirements............................................................................................................31

4.1.1 Base Service Plan.................................................................................................................31

4.1.2 Routine Schedule Changes..................................................................................................32

4.1.3 Modified Consist Size............................................................................................................32

4.1.4 Modified Schedules...............................................................................................................32

4.1.5 Construction Schedules........................................................................................................32

4.1.6 Special Trains and Test Trains.............................................................................................33

4.1.7 Additions and Reductions to the Base Service Plan..............................................................33

4.2 Train Crew Uniform Requirements............................................................................................34

4.3 COASTER Operations Requirements.......................................................................................34

4.3.1 General................................................................................................................................. 34

4.3.2 Daily Pre-Revenue Service...................................................................................................35

4.3.3 Daily Revenue Service..........................................................................................................35

4.3.4 Daily Post-Revenue Service.................................................................................................36

4.3.5 Passenger Announcements..................................................................................................36

4.3.6 Emergencies/Incidents and Troubleshooting........................................................................36

4.3.7 Fare Verification....................................................................................................................36

4.4 SPRINTER Operations Requirements......................................................................................37

4.4.1 General................................................................................................................................. 37

4.4.2 Daily Pre-Revenue Service...................................................................................................37

4.4.3 Daily Revenue Service..........................................................................................................37

4.4.4 Daily Post-Revenue Service.................................................................................................38

4.4.5 Passenger Announcements..................................................................................................38

4.4.6 Emergencies/Incidents and Troubleshooting........................................................................38

4.4.7 Fare Verification....................................................................................................................39

5. TRAIN DISPATCHING....................................................................................................................... 40

5.1 Background............................................................................................................................... 40

5.2 HTSI’s Current Dispatching Services Scope..............................................................................40

5.2.1 Performance Requirements..................................................................................................40

5.2.2 Responsibilities.....................................................................................................................40

5.2.3 Dispatching Services.............................................................................................................40

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5.3 Coordination with Incumbent Train Dispatcher..........................................................................42

6. MAINTENANCE OF EQUIPMENT.....................................................................................................43

6.1 General..................................................................................................................................... 43

6.2 Inclusion in Rates...................................................................................................................... 43

6.3 NCTD Inspections..................................................................................................................... 43

6.4 Annual Fleet Optimization Plan.................................................................................................43

6.5 Revenue Vehicle Maintenance.................................................................................................44

6.5.1 Maintenance Standards........................................................................................................44

6.5.2 Safety.................................................................................................................................... 44

6.5.3 Appearance........................................................................................................................... 44

6.5.3.1 Passenger Cars and Diesel Multiple Units (DMUs)................................................................44

6.5.3.2 Locomotives........................................................................................................................... 45

6.5.3.3 Exterior Train Washing...........................................................................................................46

6.5.3.4 Seat Covers and Seat Foam..................................................................................................46

6.5.4 Wheel Truing..........................................................................................................................46

6.5.5 Regular Inspections and Preventive Maintenance.................................................................46

6.5.5.1 Timing and Scope.................................................................................................................. 47

6.5.5.2 Defects................................................................................................................................... 47

6.5.5.3 Records.................................................................................................................................. 47

6.5.5.4 Parts and Supplies................................................................................................................. 47

6.5.5.5 Fluid Analysis......................................................................................................................... 48

6.5.5.6 Applicable Codes and Regulations........................................................................................48

6.5.5.7 Response Times and Actions................................................................................................48

6.5.5.8 Reporting Marks....................................................................................................................48

6.5.6 Vehicle Warranty Repairs, OEM Bulletins and Other Repair Work........................................48

6.5.6.2 Notice of Defects.................................................................................................................... 48

6.5.6.3 Training.................................................................................................................................. 49

6.5.6.4 NCTD Role............................................................................................................................ 49

6.5.6.5 Repair Standards................................................................................................................... 49

6.5.6.6 Overhauls............................................................................................................................... 49

6.5.6.7 Fleet Defects.......................................................................................................................... 51

6.5.6.8 Heating and Air Conditioning.................................................................................................51

6.5.7 Painting and Signage.............................................................................................................52

6.5.7.1 Rolling Stock Painting............................................................................................................52

6.5.7.2 Decals and Signage...............................................................................................................52

6.5.8 Corrosion............................................................................................................................... 52

6.5.9 Long-term Holds.................................................................................................................... 52

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6.5.10 Stripping of Parts................................................................................................................... 52

6.5.11 Maintenance of On-Board Technology Systems....................................................................53

6.6 Support Vehicle Maintenance...................................................................................................54

6.6.1 Maintenance Standards.........................................................................................................54

6.6.2 Safety..................................................................................................................................... 54

6.6.3 Appearance............................................................................................................................ 54

6.6.4 Regular Inspections and Preventive Maintenance.................................................................54

6.6.5 Replacement of Support Vehicles..........................................................................................55

6.7 Fueling...................................................................................................................................... 55

6.8 Cleaning and Servicing for Metrolink Equipment.......................................................................55

6.8.1 SCCRA Statement of Work....................................................................................................56

6.9 Advertising Installation and Removal...............................................................................................57

7. MAINTENANCE-OF-WAY AND SIGNAL...........................................................................................59

7.1 NCTD Right-of-Way.................................................................................................................. 59

7.2 Base Maintenance of Way Services Plan and Signal Services Plan..........................................60

7.3 Maintenance Crew Uniform Requirements................................................................................60

7.4 Response Time.......................................................................................................................... 61

7.5 Track and Structures.................................................................................................................. 61

7.5.1 Operating Conditions.............................................................................................................61

7.5.2 Maintenance Performance.....................................................................................................61

7.5.3 The Contractor Obligations....................................................................................................61

7.5.4 Capital Maintenance of Way Service Plan.............................................................................63

7.5.5 Track and Structure Standards..............................................................................................63

7.5.5.1 Performance Standards.........................................................................................................63

7.5.5.2 Standard Control Documents.................................................................................................64

7.5.6 Track and Structures Maintenance Responsibilities..............................................................64

7.5.6.1 General.................................................................................................................................. 64

7.5.6.2 Track...................................................................................................................................... 65

7.5.6.3 Inspection............................................................................................................................... 65

7.5.6.4 Rail......................................................................................................................................... 65

7.5.6.5 Ties (Concrete and/or Wood).................................................................................................67

7.5.6.6 Track Structure......................................................................................................................67

7.5.6.7 Right-Of-Way.........................................................................................................................68

7.5.6.8 Grade Crossing Repair and Rehabilitation.............................................................................70

7.5.6.9 Other Maintenance and Repair..............................................................................................70

7.5.6.10 Maintenance of Bridges, Culverts and Drainage Systems.............................................71

7.6 Signal, Communications and Systems.......................................................................................73

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7.6.1 Standard Control Documents.................................................................................................74

7.6.2 Signal Maintenance................................................................................................................74

7.6.2.1 Tests and Inspections............................................................................................................76

7.6.2.2 Grade Crossing Maintenance................................................................................................77

7.6.2.3 Hazard Detector Maintenance...............................................................................................78

7.6.2.4 Sprinter Platform Gangways..................................................................................................78

7.6.2.5 Signals and Interlockings.......................................................................................................78

7.6.2.6 Signal & Highway Grade Crossing Warning System Modifications or Changes....................79

7.6.3 Maintenance of Dispatch Systems.........................................................................................80

7.6.4 Maintenance of Communications and Systems.....................................................................82

7.6.5 Signal and Communication Locks..........................................................................................83

7.6.6 Capital Signal Services Annual Plan......................................................................................83

7.7 Third Party Projects................................................................................................................... 84

7.7.1 Inspection and Compliance of Third Party Work....................................................................84

7.7.2 Inspection, Minor Repairs and Testing of Third Parties and Other The Contractor’s Work....84

7.7.3 Support of Communication Equipment and Signal Construction............................................84

7.7.4 Locating and Marking Underground Railroad Utilities............................................................84

7.8 Other MOW and Signal Services...............................................................................................85

7.9 PTC Maintenance...................................................................................................................... 85

7.10 Material Storage Areas..............................................................................................................89

7.11 Working in or Near Environmentally-Sensitive Areas or Habitats..............................................89

7.12 Flagging..................................................................................................................................... 89

8. Contract Close-OUT Audit..................................................................................................................91

8.1 Contract Close-Out Audit...........................................................................................................91

9. FACILITY AND SUPPORT EQUIPMENT...........................................................................................92

9.1 NCTD Facilities..........................................................................................................................92

9.1.1 Stuart Mesa Maintenance Facility..........................................................................................92

9.1.2 SPRINTER Operations Facility..............................................................................................92

9.1.3 San Diego Trolley Yard..........................................................................................................92

9.1.4 Maintenance-of-Way Facility..................................................................................................92

9.2 The Contractor Responsibilities for Facility Maintenance..........................................................92

9.3 NCTD Responsibilities for Facility Maintenance and Utilities.....................................................93

9.4 Access to and Use of Maintenance Facilities.............................................................................93

9.4.1 Parking................................................................................................................................... 93

9.4.2 Facility Use and Office Space................................................................................................93

9.5 Support Equipment.................................................................................................................... 94

9.5.1 The Contractor Responsibilities.............................................................................................94

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9.5.2 Support Equipment Maintenance Plan...................................................................................94

10. MATERIAL MANAGEMENT..........................................................................................................95

10.1 Material Storage.........................................................................................................................95

10.2 Inventory.................................................................................................................................... 95

10.3 Disposal of Material................................................................................................................... 96

10.4 Contract Closeout Inventory.......................................................................................................96

11. SAFETY AND SECURITY.............................................................................................................97

11.1 The Contractor Safety Management..........................................................................................97

11.2 Safety Action Plan...................................................................................................................... 98

11.3 NCTD System Safety Program Plan..........................................................................................98

11.4 Safety Committees.....................................................................................................................98

11.5 Facility and Station Inspections..................................................................................................98

11.6 Hazards Involving Projects.........................................................................................................99

11.7 Injury Statistics........................................................................................................................... 99

11.8 Regulatory Agency Reporting....................................................................................................99

11.9 Accident and Incident Investigation and Reporting....................................................................99

11.10 Data and Video Recorders...................................................................................................100

11.11 Revision of Safety Practices................................................................................................100

11.12 Worker Health and Safety and Hazardous Material Safety..................................................100

11.13 The Contractor Security Management.................................................................................100

11.14 Security Action Plan.............................................................................................................102

11.15 NCTD’s System Security and Emergency Preparedness Plan:...........................................103

11.16 Security Data Collection and Reporting:..............................................................................103

11.17 Security Committees............................................................................................................103

12. ENVIRONMENTAL AND HAZMAT SERVICES...........................................................................104

12.1 Permits and Certifications........................................................................................................104

12.1.1 Stuart Mesa Facility..............................................................................................................104

12.1.2 Escondido Facility................................................................................................................104

12.1.3 Other Requirements.............................................................................................................104

12.2 Air Emissions........................................................................................................................... 105

12.3 Regulated and Hazardous Waste and Material........................................................................105

12.4 Emergency Response..............................................................................................................106

12.4.1 Cleaning Methods in Case of Biohazard Incidents...............................................................106

12.5 Health and Safety Planning and Work Area Security...............................................................107

12.6 Training and Qualifications.......................................................................................................108

13. TRAINING AND QUALITY MANAGEMENT PROGRAM.............................................................109

13.1 Training Plan............................................................................................................................ 110

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13.2 Training Program Components................................................................................................110

13.3 Training for Designated NCTD Employees..............................................................................110

13.4 Quality Control Program Plan..................................................................................................111

13.5 Roadway Worker Protection....................................................................................................111

13.6 Training and Qualification of NCTD Employees and NCTD and Third Party Personnel..........112

14. CUSTOMER SERVICE AND EMPLOYEE BEHAVIOR EXPECTATIONS..................................113

14.1 Customer Service....................................................................................................................113

14.2 Conduct Unbecoming an Employee.........................................................................................113

15. DELIVERABLES, REPORTS, AND NOTIFICATIONS.................................................................115

15.1 Deliverables............................................................................................................................. 115

15.1.1 Annual Reports.................................................................................................................... 115

15.1.2 Monthly Reports................................................................................................................... 116

15.1.3 Daily Reports....................................................................................................................... 116

15.1.4 Immediate Reports...............................................................................................................117

15.1.5 On-Line Reports...................................................................................................................117

16. HOURLY RATES......................................................................................................................... 118

17. KEY MANAGEMENT PERSONNEL AND STAFFING LEVELS..................................................119

17.1 Key Management Personnel....................................................................................................119

17.2 General Manager.................................................................................................................... 120

17.3 Requirements.......................................................................................................................... 120

17.4 Staffing Levels.....................................................................................................................121

17.5 Key Personnel – The Contractor Proposed Alternative Structure...........................................121

17.6 Labor Agreements.................................................................................................................. 121

18. IT REQUIREMENTS.................................................................................................................... 122

18.1 IT Equipment Utilization Policy.................................................................................................122

18.2 Data Security and Ownership..................................................................................................122

18.3 Asset Accounting, Inventory and Disposition...........................................................................123

18.4 Business Continuity and Disaster Recovery............................................................................123

19. COORDINATION AND COMPLIANCE WITH REGULATORY AGENCIES.................................124

20. OPTIONAL TASK – TRAIN MOVEMENT CONTROL AND DISPATCHING................................125

20.1 Train Movement, Control, and Dispatching..............................................................................125

20.2 Performance Requirements.....................................................................................................125

20.3 Dispatching Services...............................................................................................................125

20.4 Dispatch Services Organization and Staffing...........................................................................126

20.5 Transitioning Between Primary Dispatch and Backup Dispatch...............................................127

20.6 Train Dispatching..................................................................................................................... 128

20.7 Service Schedules................................................................................................................... 128

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20.8 Maintenance Schedules...........................................................................................................129

20.9 Rail Traffic Control & Management..........................................................................................129

20.10 Service Disruption................................................................................................................131

20.11 Follow-Up Reporting............................................................................................................131

20.12 Maintaining Records/Reports...............................................................................................132

20.13 Maintaining Electronic Records/Logs...................................................................................132

20.14 System Safety and Security.................................................................................................133

20.15 Training Requirements.........................................................................................................133

21. MOBILIZATION............................................................................................................................ 134

21.1 Mobilization Services...............................................................................................................134

21.2 Mobilization Services Master Plan...........................................................................................135

22. APPENDICES.............................................................................................................................. 136

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DEFINITIONS AND ACRONYMSDefinitionsAdditional Service –additional passenger train service as described in the Agreement Services.

Agreement Services –services provided by The Contractor under the terms of the Contract.

Amtrak –the National Railroad Passenger Corporation, doing business as Amtrak, is a publicly funded railroad service operated and managed as a for-profit corporation which began operations on May 1, 1971, to provide intercity passenger train service in the United States.

Base Services –any work covered in the Agreement Services, not specified as Additional Service or Mobilization Services or Optional Services or Tasks.

BFT - bypass freight track.

BNSF –BNSF Railway, which is one of seven North American Class I railroads. BNSF has a permanent easement to operate on the San Diego and Escondido subdivisions. PACSUN provides freight service on the Escondido subdivision pursuant to an agreement with BNSF.

COASTER –NCTD’s commuter rail transit service that currently operates on the San Diego Subdivision.

Commencement Date – see “Service Date”.

Commuter Rail –a passenger rail transport service that primarily operates between a city center, and the middle to outer suburbs beyond 15 km (10 miles) and commuter towns or other locations that draw large numbers of commuters — people who travel on a daily basis. Trains operate following a schedule, at speeds varying from 50 to 200 km/h (30 to 125 mph). Distance charges or zone pricing may be used.

The Contractor –a person, firm, or corporation whose proposal was deemed to be in the overall best interest of NCTD and is approved for award of a Contract and subsequently enters into an Agreement with NCTD for the provision of services.

Deferred Maintenance –the practice or outcome of either postponing or failing to properly plan and complete scheduled and or normal/reasonably expected unscheduled maintenance activities such as repairs on either real property (i.e. infrastructure) and/or other property/equipment (i.e. machinery) consistent with NCTD and or regulatory requirements.

Escondido Subdivision –the NCTD-owned railroad right-of-way between Oceanside and Escondido.

Force Majeure – means performance failures caused by natural disasters (Acts of God: earthquakes, hurricanes, floods), wars, riots or other major upheavals or by performance failures of parties outside the control of the contracting party (e.g. disruptions in utility service attributable to the utility company or labor actions by employees of a common carrier.

Fraud – means an intentional misrepresentation, deceit, or concealment of a material fact with the intention of thereby depriving a person of property or legal rights or otherwise causing injury.

Hours of Service –the Hours of Service laws (HSL), first enacted in 1907 and most recently amended in 2008, which control how many hours train employees, dispatching service employees, and signal employees may work.

Malice –any conduct intended to cause injury to others or despicable conduct which is carried on with a willful conscious disregard of the rights or safety of others.

Metrolink –the commuter rail service centered in Los Angeles which connects Los Angeles, San Bernardino, Riverside, Orange, and Ventura Counties to the central Los Angeles area. Metrolink trains currently operate from Oceanside serving the Orange County, Los Angeles and Riverside areas, and are serviced at the NCTD’s Commuter Rail (COASTER) Maintenance of Equipment facility.

Mobilization –the services necessary to successfully commence the Agreement Services on the Service Date; these services are performed prior to the Service Date and after the Notice to Proceed.

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MOE –Maintenance of Equipment - the cleaning, servicing, and upkeep of NCTD’s revenue and support vehicles and equipment.

MOW –Maintenance-of-Way - the upkeep and maintenance of track, signals, communications and rail structures of the NCTD owned and controlled Right-of-Way.

MOS –Maintenance of Signals.

MTS –the San Diego Metropolitan Transit System (MTS) (or sometimes abbreviated SDMTS) is the public transit service provider for Central, South, Northeast and Southeast San Diego County, in the United States. MTS operating subsidiaries include the San Diego Trolley, Incorporated (SDTI), and San Diego Transit Corporation (SDTC).

Non-Peak Period –the period of service before, between, or after the peak period of each service day.

Oppression –despicable conduct that subjects a person to cruel and unjust hardship in conscious disregard of that person’s rights.

Pac-Sun –the local provider of freight service on the Escondido and San Diego subdivisions, under contract with BNSF to provide such service.

Peak Period –the period of service with the highest ridership during the entire service day, generally referring to either the peak hour or peak several hours.

Recklessness – means conduct which is of unreasonable character that was 1) performed in disregard of a known risk or that was 2) performed in disregard to a risk so obvious that he/she shall have been aware of the risk.

Revenue vehicles, Rolling stock –all locomotives, diesel multiple units (DMUs), and rail passenger or other cars owned by the NCTD that are used in providing rail service.

Right-of-Way (ROW) –land or rights to land used or held for railroad operations or for a public way.

Right-of-Way Assets –without limitation, rail lines, signal and communication systems, and related facilities (including signals, crossing warning devices, communication systems, and poles), railroad tracks and related components (including rails, ballast, ties, tie pads, and fasteners), turnouts (including switch points, frogs, switch ties, switch stands, and other switch components), bridges, trestles and culverts, structures, and facilities within the Right-of-Way, yards, designated passenger tracks, and designated freight tracks, which may be added or deleted by NCTD during the term of the Agreement, owned or controlled by the NCTD.

San Diego Subdivision –railroad right-of-way line extending from the Orange County/San Diego County line to the downtown San Diego Santa Fe Depot Station and connecting with the BNSF’s yard.

SANDAG or MPO –the San Diego Association of Governments (abbreviated SANDAG) is an association of local San Diego County governments. It is the metropolitan planning organization (MPO) for the County, with policy makers consisting of mayors, councilmembers, and County Supervisors, and also has capital planning and fare-setting powers for the County's transit systems, the San Diego Metropolitan Transit System and North County Transit District, some of which was assumed by the Metropolitan Transit Development Board.

SCRRA –the Southern California Regional Rail Authority, the joint powers authority created to develop, operate and maintain the METROLINK commuter rail service.

Service Date –the date that day-to-day operating responsibilities and provision of NCTD rail service transition to The Contractor following its mobilization period. This is also the date when The Contractor begins performing the Base Services, as defined in the Statement of Work of the Contract.

Shared Use Agreement (SUA) –the formal agreement executed between two or more entities setting forth the terms and conditions for shared use of public property or facilities such as a railroad and associated facilities.

SPRINTER –NCTD’s diesel multiple unit hybrid rail transit service that currently operates on the Escondido Subdivision.

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Subthe Contractor –a party or parties who is contracted to perform a specific statement of the work on behalf of the Contractor, pursuant to an agreement with The Contractor, and who, by the terms of the agreement agrees to comply in all respects with the terms of the Contract between the Contractor and NCTD.

Support Equipment –the equipment, tools, machines, and other equipment and materials (including inventory) needed to maintain the right-of-way and rolling stock.

Support Vehicles –the non-revenue vehicles needed to maintain the right-of-way, rolling stock, and perform Agreement Services.

Temporal Separation –operating conventional freight/commuter and transit rail equipment at distinct periods of the day and establishing procedures to ensure strict observation of the defined operating windows.

Train Crew –the Contractor personnel responsible for operating COASTER and SPRINTER trains in revenue and non-revenue service. For COASTER, this includes an Engineer and Conductor. For SPRINTER, this includes a DMU Operator.

Vendor or Supplier –the manufacturer, vendor or supplier of one or more components, parts or vehicles of NCTD Commuter Rail rolling stock and/or components and parts required for maintenance-of-way activities.

Written Order –a written order signed by the Executive Director, or his/her designee and/or a properly authorized representative or agent of NCTD, mailed to The Contractor at the address designated in the RFP, or to such other address as may be designated in writing as The Contractor’s official place of business.

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AcronymsADA – Americans with Disabilities Act

APTA – American Public Transit Association

AREMA – American Railway Engineering Maintenance of Way Association

BMP – Bridge Management Plan

CALTRANS - California Department of Transportation

CALOSHA – California Division of Occupational Safety and Health Administration

CARB – California Air Resources Board

CFR – Code of Federal Regulations

CPUC - California Public Utilities Commission.

CTC – Centralized Traffic Control

CWR – Continuously Welded Rail

DMU – Diesel Multiple Units

EPA – Environmental Protection Agency

ETC – Escondido Transit Center

FRA - Federal Railroad Administration of the U.S. Department of Transportation.

FTA - Federal Transit Administration of the U.S. Department of Transportation.

GCOR – General Code of Operating Rules

JDE – JD Edwards

LOSSAN – Los Angeles – San Diego- San Louis Obispo Rail Corridor

HRT – Hybrid Rail Transit

MOU – Memorandum of Understanding

MPO – Metropolitan Planning Organization

MTS – San Diego Metropolitan Transit System

MUTCD – California Manual on Uniform Traffic Control Devices

NCTD – North County Transit District

NTSB – National Transportation Security Board

OEM – Original Equipment Manufacturer

OTC – Oceanside Transit Center

OTP – On Time Performance

PCA – NCTD’s Procurement and Contract Administration Division.

PRESS – APTA Passenger Equipment Safety Standards

PTC – Positive Train Control

RCP – Regional Coordinated Plan

RTP – Regional Transit Plan

RWP – Roadway Worker Protection

SANDAG – San Diego Association of Governments

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SUA – Shared Use Agreement

SCOR – SPRINTER Code of Operating Rules

SCRRA – Southern California Regional Rail Authority

SMMF – Stuart Mesa Maintenance Facility

SOF – Sprinter Operations Facility

SOP – Standard Operating Procedures

TMDS – Train Management and Dispatch System

TMEI – Track Maintenance Engineering Instructions

TSA – Transportation Security Administration

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Other Key Definitions and Acronyms:FTA, FRA, and other regulatory agencies promulgate definitions and acronyms that are controlling definitions for reporting. The FTA’s National Transit Database glossary (NTD Glossary) provides industry-accepted definitions and establishes how certain operating, financial, and performance matters must be reported. The current NTD Glossary can be found at: http://www.ntdprogram.gov/ntdprogram/Glossary.htm. The FRA also promulgates definitions and acronyms governing its regulatory requirements. The definitions and acronyms promulgated and updated by these agencies will be the controlling method for any interpretation or calculation for reporting or accounting purposes for the extent of services pursuant to this Request for Proposal (RFP) and any subsequent contract issued pursuant to this RFP with the controlling oversight agency’s definitions and acronyms having the highest precedence.

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http://www.ntdprogram.gov/ntdprogram/Glossary.htm


1. BACKGROUND

1.1 NCTD OverviewThe North San Diego County Transit Development Board was created by California Senate Bill No. 802 on September 20, 1975, and was renamed the North County Transit District in 2005. NCTD was created to plan, construct, and operate, directly, or through a Contractor, public transit systems in its area of jurisdiction. NCTD provides bus, van, and train service for people in the northern half of San Diego County – from the rural areas of Fallbrook and Ramona and the Camp Pendleton Marine Corps Base, to the cities of Oceanside, Vista, Carlsbad, Encinitas, San Marcos, Del Mar, Solana Beach, and Escondido, plus the unincorporated areas of North San Diego County. The total population of NCTD’s 1,020 square mile geographic area is approximately 897,000. The FY 2015 operating budget is $97 million with a capital budget of $20.9 million with projected system-wide ridership of 12.8 million. NCTD operates a number of transportation services in the North County region through its Contractors. These services include the BREEZE (fixed route bus service), the COASTER (commuter rail service), the SPRINTER (hybrid rail service), the LIFT (paratransit service), and the FLEX (on-demand service).

NCTD is seeking a The Contractor to have an integral role in the delivery of safe, convenient, reliable, and user-friendly transportation service on COASTER and SPRINTER. The Contractor will be required to implement and maintain a strong and positive safety and customer service culture for rail operations that is incorporated and integrated within the overall NCTD service network. The detailed statement of work and requirements are provided in the RFP and the final contract documents. In summary, the Contractor will have responsibility for:

SPRINTER and COASTER Train Operations (Engineers, Conductors, Train Operators), SPRINTER and COASTER Vehicle Maintenance (non-revenue and revenue) Dispatch Services (included as an optional requirement, solely at NCTD’s discretion)

o Train dispatching is currently provided by Herzog Transit Services Inc. (HTSI) under a separate agreement, due to expire in 2021. Train Dispatching is procured as an optional task and further details are provided in Section 20.

Maintenance of Way and Signal including but not limited to:o Track and Structures o Signal o Communication Systems o Electronic Signage Maintenanceo Camera Maintenance throughout NCTD’s service area including all SPRINTER

and COASTER stations, SMMF, SOF, and MOW buildingso Wireless Mesh Maintenanceo PTC Maintenance

- Positive Train Control implementation is currently being advanced by Herzog Technologies Inc. (HTI) and it is anticipated that this contract will not be fully closed out until June 30, 2017.

- The Contractor should assume that it will be responsible for PTC Maintenance from the Service Date.

Facility and Support Equipment maintenance as defined in this projecto NCTD, through a separate contract, will maintain the facilities including station

maintenance and general housekeeping at facilities Environmental and HAZMAT Services

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The Contractor shall ensure that its operations and maintenance plans specifically address the goals and requirements associated with NCTD operations and that such plans and the execution of such plans in operations are overseen with a documented and robust oversight program, quality assurance program and training program provided and administered by the Contractor. The Contractor shall be proactive in capturing opportunities for improvement, as well as maintaining compliance with regulatory requirements and implementation of best practices. The Contractors must be cognizant and mindful of the role of NCTD in the operation of the services and the expectations of key stakeholders that The Contractor perform its contractual duties and responsibilities in a manner that supports the goals of NCTD to provide safe, convenient, reliable, and user-friendly transportation. NCTD will maintain policy control of all aspects of COASTER and SPRINTER services and operation, and have an active oversight role in order to ensure contractual and regulatory compliance, and customer satisfaction. Nevertheless, it is the Contractor’s responsibility to perform in accordance with contractual and regulatory requirements. It is also essential that the Contractor understand and share NCTD’s high performance expectations.

SIGNIFICANT REGIONAL RELATIONSHIPS:

NCTD COORDINATION WITH METROPOLITAN PLANNING ORGANIZATION (MPO)

With the passage of Senate Bill (SB) 1703 in 2003, SANDAG assumed responsibility for the consolidated agency functions for San Diego County while NCTD and Metropolitan Transit System (MTS) assumed the transit agency functions. SANDAG Board Policy No. 18 (see Appendix I) allows the transit systems to quickly and efficiently respond to changes in travel demand and operating/fiscal environment, while ensuring that the system is developed and modified consistent with longer range regional transportation and land use goals. As the regional planning organization, SANDAG works in coordination with NCTD and MTS for transit service planning and project development planning that:

Serve regional travel demand corridors that cross transit agency jurisdictional boundaries; Significantly affect passenger trip making; Require additional regional operating funds above the overall transit agency-adopted budget and

projected budget capacity; and Affect the policies, projects, services, and facilities included in the Regional Comprehensive Plan

(RCP), the Regional Transportation Plan (RTP), and TransNet Ordinance.

Specifically, SANDAG responsibilities for planning and project development include: Preparing the RCP, the RTP, and the Regional Short Range Transit Plan (RSRTP), also referred

to as the Coordinated Plan. SANDAG will conduct the long-range transit plans and corridor studies as part of the RTP, and regional and subarea planning studies as prioritized in the RSRTP, RTP, and RCP;

Planning, locating, and designing transit infrastructure and facilities for regionally significant transit projects and services, identified in the RTP, RCP, RSRTP, and the TransNet Ordinance;

Preparing Environmental Justice and Title VI compliance reports for fare changes; Managing the competitive process for granting FTA funds; and Developing the regional fare policy.

As a transit agency, NCTD planning responsibilities include the following: Development of service adjustments, evaluation and approval of changes, implementation and

monitoring of BREEZE, SPRINTER, COASTER, LIFT and FLEX service; Development of a service implementation plan; Participation in the development of service plans for service adjustments with regional

significance, in response to changes in regional travel demand, to address regional service gaps and deficiencies and to implement plans and programs identified in RTP, RCP, RSRTP, and the TransNet Ordinance.

NCTD COORDINATION WITH OTHER REGIONAL TRANSPORTATION OPERATORS:

Located in North San Diego County, NCTD operates transit service in proximity to other transit providers. Orange County Transportation Authority (OCTA), Metrolink commuter rail, Amtrak, Riverside Transit

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Agency (RTA), MTS, and Greyhound all operate adjacent to NCTD. Therefore, coordination between the respective agencies is required.

San Diego Metropolitan Transit System (MTS):NCTD, SDMTS, and BNSF are signatories to a Shared Use Agreement (SUA) that supports the operations of passenger and freight service in San Diego County. Significant revisions to the SUA are pending final approval over the next few months. The Revised and Restated SUA will include requirements between NCTD and MTS for capital activities.

NCTD owns 63 miles of rail right-of-way used for COASTER and SPRINTER operations. This includes 41 miles of COASTER track along the main north-south line between the Orange County border and the northern border of the City of San Diego. MTS owns the remaining 21 miles of track between Del Mar and downtown San Diego. NCTD also owns the 22-mile east-west line between Escondido and Oceanside. NCTD is responsible for maintaining these rights-of-way, including the portion of the San Diego subdivision owned by MTS, including track, signal systems, bridges, sidings, grade crossings, turnouts, road bed, culverts, drainage, and the land alongside the track.

Local Bus:MTS, OCTA, and RTA operate local bus services comparable to the NCTD system. MTS and OCTA’s paratransit service is integrated with that of NCTD, allowing paratransit passengers to transfer between NCTD and MTS or OCTA. The transfer point between NCTD and OCTA fixed-route local bus service is in San Clemente, at the northern terminus of BREEZE Route 395. MTS and NCTD transfer points between local bus routes are located at Del Lago Park and Ride in Escondido, Escondido Transit Center, and the VA Hospital and UTC in La Jolla. MTS local bus and Trolley service connects to three COASTER stations in the MTS service area: Sorrento Valley, Old Town, and Santa Fe Depot. As the only feeder system at these locations, MTS local bus and Trolley service play a critical role in the COASTER’s service.

Intercity Bus:Greyhound operates long-haul bus service through NCTD’s service area, stopping at the OTC and ETC, and also operates routes elsewhere throughout California, the United States, and Mexico.

Commuter Rail:Metrolink is the regional commuter rail network operating in 6 counties of southern California, with 55 stations and 7 rail lines. Metrolink provides 16 daily trips to OTC, which is also utilized by the COASTER, SPRINTER, and BREEZE. Metrolink service within San Diego County is provided pursuant to an agreement between NCTD and Orange County Transportation Authority with Metrolink serving as the operator.

Intercity Rail: Amtrak intercity rail operates on NCTD’s rail corridor, making stops at Santa Fe Depot, Solana Beach, and OTC. Amtrak service extends north of San Diego County throughout California and east across the United States. Amtrak and NCTD have agreements in place to support operations and maintenance (see Appendix R-1). In addition, Amtrak and NCTD also jointly operate the Rail2Rail program between San Diego and Oceanside. This program allows any ticketed Amtrak passenger to ride any COASTER train between San Diego and Oceanside, and allows any ticketed COASTER passenger to ride any one of six designated Amtrak trains between the two locations (see Appendix R-2).

1.2 Current Operations1.2.1 COASTER Commuter Rail Servicea. NCTD operates commuter rail service, which runs north and south between Oceanside and

downtown San Diego on the San Diego Subdivision line with a total of eight (8) station stops. A total of 126 trains run every week, with expanded service offered in spring and summer and additional trains scheduled for special events as needed. The annual ridership for COASTER is approximately 1.7 million. A complete current COASTER schedule is provided in Appendix A-1.

b. NCTD owns approximately 38 directional miles of the right-of-way (milepost 207.4 to 245.6) on the San Diego Subdivision from San Diego/Del Mar boundary north to the Orange County Line. The San

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Diego Metropolitan Transit Development Board owns approximately 22 directional miles of the right-of-way on the San Diego Subdivision from the San Diego/Del Mar boundary to downtown San Diego (milepost 245.6 to 267.61). Regardless of the ownership, NCTD, through its Contractor, is responsible for maintaining from milepost 207.4 to 267.61 (excludes MTS facilities, tracks, signals). The San Diego subdivision line runs generally parallel to the State’s most congested highway and road systems, including Interstate 5, and traverses environmentally-sensitive coastal areas. NCTD’s COASTER commuter rail, Metrolink commuter rail, Amtrak’s intercity rail, and BNSF/Pac-Sun freight service currently operate on the San Diego Subdivision. Current methods of operation are reflected in the most recent Timetable and Special Instructions, and most recently issued General Order No. 7. See Appendix B-1.

c. All trains are diesel-electric trains, which includes seven (7) locomotives and twenty-eight (28) bi-level coaches, out of which ten (10) are cab-cars. The trains operate on push-pull mode with the locomotive on one end and a cab car on the other end. On average, each train set operates with one (1) locomotive and five (5) coaches, which includes a cab-car. See Appendix C for a complete asset inventory.

d. The majority of the maintenance for this equipment is conducted at the SMMF, located on Camp Pendleton in Oceanside. Both Metrolink and BNSF/Pac-Sun also use the SMMF yard for vehicle storage. The San Diego Trolley layover yard in downtown San Diego is used to store the trains during the mid-day and to perform cleaning and minor maintenance work. NCTD owns the 8 stations associated with COASTER operations. All trains are currently dispatched from a dispatch center at the SOF in Escondido.

1.2.2 SPRINTER Hybrid Rail Servicea. NCTD operates hybrid rail service (SPRINTER), which runs east-west on the Escondido Subdivision

line, which is approximately 22 directional miles of right-of-way from OTC to ETC (milepost 99.0 to milepost 121.7) with a total of 15 station stops. A total of 455 trains operate every week. The annual ridership on SPRINTER is approximately 2.4 million. A complete current SPRINTER schedule is provided in Appendix A-2.

b. The Escondido Subdivision runs generally parallel to California State Highway 78 between Oceanside and Escondido and connects the cities of Oceanside, Vista, San Marcos, and Escondido, and unincorporated areas of San Diego County. The Right-of-Way includes about 1.7 miles of aerial track on the alignment that supports service to the California State University - San Marcos campus and a vehicle maintenance facility located near the east end of the corridor in Escondido. The Escondido Subdivision is predominantly a single-track railroad with three sections of second main track, each approximately 3.5 miles in length to permit opposing SPRINTER trains to meet and pass enroute. Current method of operation is reflected in the most recent Timetable and Special Instructions and most recently issued General Order No. 7. See Appendix B-2.

c. The Escondido Subdivision is a joint-use line that provides Hybrid Rail Transit (HRT) service and local freight service operated by BNSF and Pac-Sun. The line is subject to a FRA’s Shared Use waiver (see Appendix J) governing the temporal separation of LRT operations and conventional (freight) operations, which restricts freight train operations to hours when SPRINTER is not in operation. SPRINTER trains operate in an eighteen (18) hour window between approximately 3:45am and approximately 9:45pm. The local BNSF freight train service, plus Pac-Sun switching service, operates in a six (6) hour window from approximately 9:45pm to approximately 3:45am up to five (5) nights per week, with the other two (2) nights available for SPRINTER service or MOW projects. Currently Pac-Sun operates freight trains three (3) nights per week on the line.

d. All SPRINTER trains are diesel multiple-unit passenger trains. Each train set operates with one (1) or two (2) cars with operational controls on either end. See Appendix C for a complete asset inventory.

e. The majority of the maintenance for this equipment is conducted at SOF, located at the east end of the corridor at Escondido. NCTD owns 15 stations, associated with SPRINTER operations. All trains are dispatched from a dispatch center at the SOF.

1.3 Future Plans19


a. NCTD and SANDAG are collaborating to provide the funding and capital infrastructure to support expanded operations of both the SPRINTER and COASTER services. In summary, future plans assume that both the COASTER and SPRINTER services will have increased frequencies and travel time improvements based on infrastructure improvements. Future plans also contemplate the potential of new rail stations at Camp Pendleton and at the downtown San Diego Convention Center.

b. Proposers are required to review the following critical documents to gain a comprehensive understanding of the region’s plan for increased and improved rail operations, including expansion plans for the MTS Trolley operations (Mid-Coast Project).

1) San Diego 2050 Regional Transportation Plan, adopted in October 2011 by the SANDAG Board of Directors.

2) Monthly LOSSAN Projects Status Report, December 2014 Report.

3) North County Transit District Strategic Operating and Capital Plan (FY2014-2023).

c. NCTD, subject to availability of funding, contemplates that new facilities may be constructed during this agreement, new equipment purchased and that systems such as PTC may be expanded to the Escondido Subdivision. The provisions for the Contractor to maintain or provide service for such additions will be accounted for in accordance with the compensation and pricing data obtained as part of this procurement and subsequently negotiated and incorporated via a supplemental agreement.

d. NCTD is also funding state of good repair bridge replacement projects. The Contractor shall be expected to work collaboratively and proactively to support the management of impacts of capital project construction.

e. NCTD will also be conducting a rail vehicle study to support a future procurement and long term operating strategy. A critical goal for NCTD will be to support interoperable operations on both the Escondido and San Diego Subdivisions, reduce energy costs, and improve the efficiency and cost-effectiveness of maintenance/parts.

f. All projects listed in the 2050 RTP, LOSSAN Project reports, and NCTD Strategic Operating and Capital Plan are contingent upon funding availability and subject to change at the discretion of the NCTD and/or SANDAG.

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2. NCTD RESPONSIBILITIES

2.1 Operations, Safety, and Regulatory Oversighta. The Contractor shall ensure that its responsibilities are completed in a safe, efficient, and effective

manner consistent with NCTD, regulatory, and best practices within the industry. The Contractor, through its on-site leadership and corporate oversight, compliance, and administrative support resources, shall support and foster the success of its employees. NCTD will provide oversight for all aspects of The Contractor’s performance and requirements associated with this procurement, including but not limited to:

1. Monitoring : Monitoring the records, facilities, personnel, equipment, and timetable adherence of The Contractor in the performance of train operations. The Contractor shall supply competent and capable personnel at all times. NCTD may require the removal of personnel from the Contract that NCTD deems to be careless, incompetent, insubordinate, unsafe or otherwise objectionable and whose continued employment on NCTD property is not in the best interest of NCTD, at no cost to NCTD.

2. Materials Specification : Specifying supplies and uniforms to be used by The Contractor in the performance of train operation, Maintenance of Way, Maintenance of Signal, and Maintenance of Equipment.

3. Inspection and Removal : Inspecting any equipment at any time, and request repair or removal from service any equipment which in NCTD’s sole discretion is in an unacceptable condition.

4. Asset Management and Key Business Systems : NCTD will provide key systems to support asset management and other key business system requirements associated with this contract.

b. NCTD may employ persons or the Contractors/consultants other than The Contractor’s employees to perform functions including fare verification, passenger assistance, passenger counts, marketing, and customer information. NCTD’s use of these persons for such duties does not relieve The Contractor from performing its contractual requirements.

2.2 NCTD Programs, Plans, Procedures and Policiesa. A complete list of current NCTD Programs, Plans, Policies, and SOPs is provided in Appendix E, Rail

SOP list. Proposers must carefully review these documents and advise NCTD of any requested significant modifications or objections during the Question and Answer phase of the solicitation. The Contractor shall provide NCTD with a listing of its documents that will be developed or modified to specifically support NCTD operations. The Contractor will be responsible for creating NCTD-specific documents that are required to support NCTD operations. The Contractor will have a collaborative approach in development of documents and final approval consistent with industry best practices and regulatory requirements.

b. NCTD has commissioned a consultant to develop SOPs for operations, safety and security. The SOPs are based on the APTA Standards Program, and will conform to all applicable regulatory requirements. The SOPs will be included in Rulebooks that will define training requirements. The Contractor will be responsible for adhering to all SOPs and complying with training requirements. Upon execution of the Agreement, the Contractor will have an opportunity to review and comment on the SOPs.

2.3 NCTD-Provided Rolling Stock a. NCTD currently has 12 Siemens Desiro Classic DMUs for use in SPRINTER service and 28

Bombardier commuter rail cars (10 cab cars, 18 coaches) and 7 locomotives for use in COASTER service.

b. The Contractor will be responsible for major overhauls for SPRINTER and COASTER vehicles according to the Statement of work as provided in the respective fleet management plans (Statement

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of Work Appendix F-1 and F-2). While the fleet management plans state that NCTD will be responsible for major overhauls, as part of this RFP that responsibility will shift to the Contractor.

2.4 NCTD-Provided Dispatch Systemsa. Under NCTD’s existing dispatch services contract with HTSI, HTSI provided the existing dispatch

equipment in use in the existing dispatch center in Escondido at the Sprinter Operations Facility. The Contractor selected by this solicitation will be responsible for a hardware refresh of the TMDS and Avtec equipment in this facility during FY17 and FY22.

b. The equipment in the new dispatch center at 810 Mission Ave, Oceanside CA will be provided by NCTD. The Contractor selected by this solicitation will be responsible for a hardware refresh of the TMDS and Avtec equipment in the 810 Mission Ave dispatch center in FY21 or 5 years after the 810 Mission Ave dispatch center comes on line, whichever is later. If the hardware refresh occurs in FY21, the Contractor will also be responsible for a hardware refresh in FY26.

c. The hardware specifications for the current dispatch system (TMDS and Avtec) is provided in Section 7.6.3 Maintenance of Dispatch Systems.

2.5 NCTD-Provided Facilities, Support Vehicles and Support Equipment

a. NCTD currently has three (3) facilities for use by the rail operations the Contractor: SMMF located on Marine Corps Base Camp Pendleton in Oceanside, the Maintenance-of-Way (MOW) building located in Oceanside, and the SOF located in Escondido.

b. A current listing of non-revenue support vehicles is provided in Appendix C-3. In addition, NCTD will provide the following support equipment listed in Appendix C-4. The Contractors shall ensure that the use of NCTD vehicles is consistent with NCTD’s policy related to vehicle usage. (Provided as Appendix W, NCTD Administrative Policy and Procedure No. OPS-3000 Vehicle Usage).

c. If the Contractor requires additional non-revenue vehicles or support equipment to support the requirements in this Statement of Work, the Contractor will be responsible for providing NCTD written justification to support its request for additional equipment. NCTD shall have the option of providing the equipment, declining the request in writing with explanation, or providing alternative solutions, including short-term leases.

2.6 FuelNCTD will issue the Contractor fuel cards for the sole use of fueling NCTD’s non-revenue vehicles and support equipment. NCTD will be responsible for the cost of the fuel. A daily fuel log will to be maintained in each vehicle outlining the monthly accumulated miles, fuel dispensed, miles and date of fueling. The Contractor will be required to submit a monthly, non-revenue fuel report indicating; total miles per vehicle, fueling dates and quantities by vehicle. NCTD will perform a monthly audit of the fuel usage. The Contractor will be responsible for the cost of any unaccounted or unauthorized fueling. The Contractor is also responsible for the security of the fuel cards. Any lost cards or unauthorized fueling as a result of a lost card is the Contractors responsibility.

2.7 UtilitiesNCTD will provide electrical, water, sewer, and garbage service for all buildings and facilities to support NCTD operations. The Contractor is precluded from use of NCTD utilities to support non-NCTD related business activities. Garbage removal service is only for normal business related weekly service. This does not cover trees, hazardous material, construction material, or electronics disposal.

2.8 Security

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NCTD’s Transit Enforcement Program consists of Code Enforcement Officers directly hired by NCTD and contracted Law Enforcement services through the County of San Diego Sheriff’s Department. The Transit Enforcement Division provides code compliance and transit system security services for NCTD. While the Transit Enforcement Division is responsible for overall transit system security, the successful the Contractor will have security related responsibilities associated with NCTD’s Rail Operations in the physical security of facilities, equipment, and staff under its immediate control. Please see Section 11 for more detail regarding the Contractor’s security responsibilities.

2.9 Property and Liability InsuranceProperty and Liability insurance requirements are attached to the RFP as Appendix 04A and 04B.

2.10 Business Systems, Information Systems and Databasesa. NCTD as the owner will strive to own/control all of these critical business systems, information

systems and databases to the degree that it is practical and operationally and financially efficient. The Contractor will utilize these systems in compliance with NCTD requirements, policies, and procedures as amended from time to time. Following is a summary of the key systems and how the Contractor will interface with such systems. The Contractor is responsible for providing workstations and network access to allow connection to these NCTD systems.

b. NCTD reserves the right to provide additional software or information system requirements throughout the term of the Agreement.

c. NCTD is responsible for providing training related to these systems. The cost of contract staff time associated with receiving this training is the Contractor’s responsibility.

d. NCTD IT Major Systems Inventory

1) Citrix Citrix XenApp will be used to deliver required desktop applications located behind NCTD’s firewall to the Contractor remotely via web interface and Citrix Receiver. Servers, back end infrastructure and their configurations will be managed by NCTD IT. Installation, configuration and troubleshooting of client software and functionality will be the responsibility of the Contractor IT support.

2) Enterprise One NCTD currently owns Oracle’s JD Edwards Enterprise One (JDE) enterprise resource planning software. NCTD currently uses this software system for documenting a comprehensive inventory of all NCTD owned rail system assets. The Contractor will be required to use this software system for maintaining and monitoring the asset inventory for all NCTD owned rail system assets. NCTD reserves the right to change this system at any time. The Contractor will be required to utilize any new or updated system provided by the NCTD. Client access will be provided to The Contractor via Citrix Xenapp.

NCTD intends to use JDE system to record maintenance work order activities.

3) ONSSI Ocularis Ocularis is used as NCTD’s main video surveillance platform. This system will be used to deliver COASTER platform video and other needed camera views to dispatchers. Back end servers and storage will be managed by NCTD IT. Troubleshooting of client workstations and software will be the responsibility of the Contractor IT support.

4) Syn-Apps SA Announce SA-Announce serves as part of NCTD’s VoIP paging system. It is used to deliver voice announcements at COASTER platforms. Back end servers and configuration will be managed by NCTD IT. NCTD will provide necessary devices to The Contractor to allow dispatcher paging at COASTER platforms.

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5) VoicePrint Recording System The VPI System consists of multi-location, fully redundant servers that record and catalog both analog and digital radio traffic during NCTD operations. Back end servers and configuration will be managed by NCTD IT. The Contractor access to the interface will be provided via Citrix Xenapp. Troubleshooting of client workstations and Citrix client install software will be the responsibility of the Contractor IT support. Retrieving all necessary recordings will be the responsibility of the Contractor, and will need to follow any NCTD policies regarding voice recording records.

6) RailDOCS NCTD utilizes RailDOCS for tracking inspections related to signals, track, and bridges. The Contractor will be required to use RailDOCS to track all inspection activities related to these assets. NCTD reserves the right to change the system used to record and monitor inspections at any time. The Contractor will be required to use any new or updated systems provided by the NCTD. RailDOCS requires a computer with a Core i5 processor at 2.0ghz or higher, 4gb of ram, 1024x768 display, 20gb of storage, mouse and keyboard (or touchscreen), network connectivity (cellular, Wi-Fi, or wired LAN), Windows 7 SP1 or Windows 8.1, .net framework 4.5 with all MS updates, Adobe Reader 10 or higher, and GPS (for limits compliance Geo-fence features). In addition, The Contractor will also provide the following items:

Track• Provide hardware compatible with RailDOCS software. Ensure hardware is able to have

mobile internet access. Provide mobile internet access to hardware accessing RailDOCS• Update track layout for new projects and changes to SD and ESC subdivisions. • Input track inspections• Input Hand switch inspections If FRA at any time during the performance of the Contract decides that track crews shall

adhere to the stated Hours of Service. RailDOCS shall be the system used to track the HOS. The Contractor shall pay for licenses for any crew that fall under the rule.

NCTD will furnish The Contractor with 2 track inspector licenses for Track personnel, any other licenses needed to perform duties will be at the Contractor cost.

Signal• Provide hardware compatible with RailDOCS software. Ensure hardware is able to have

mobile internet access.• Provide mobile internet access to hardware accessing RailDOCS• Update new signal equipment within configuration management system• Conduct all related signal test in accordance with CFR 49 pt. 234 & 236 within RailDOCS

system• All permanent employees covered under FRA/CPUC Hours of Service required to input

into RailDOCS. • Supervisors and Managers conduct random location audits quarterly, semi-annually, and

annually on configuration management and inspections to ensure work is being completed. Provide audit findings to NCTD

• Ensure new personnel and outgoing personnel are updated with NCTD to ensure accurate access to RailDOCS system.

• NCTD will furnish The Contractor with 10 licenses for signal personnel, any other licenses needed to perform duties will be at the Contractor cost.

Dispatchers/Train Crews• Provide hardware compatible with RailDOCS software. Ensure hardware is able to have

mobile internet access.• Provide mobile internet access to hardware accessing RailDOCS.

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• All regularly assigned employees covered under FRA/CPUC Hours of Service are required to input into RailDOCS

• NCTD will furnish 41 train crew licenses and 6 dispatcher licenses, any other licenses needed to perform duties will be at The Contractor cost.

7) IndustrySafe NCTD utilizes a proprietary software system (IndustrySafe) for tracking, monitoring, and managing accident, incident and hazardous condition information. The Contractor will be provided with user access to this system for purposes of entering similar NCTD rail system data. The Contractor is expected to work cooperatively with NCTD in implementing IndustrySafe for the NCTD rail system. IndustrySafe is a web based system, available via public Internet.

8) Guest Assist

Guest Assist is currently used by the Dispatch Contractor (HTSI) to provide emergency page-outs to NCTD and NCTD Contract staff regarding emergency situations on the Rail and Bus systems. NCTD is currently in the process to replace this system due to expired contract with Guest Assist. As part of optional Dispatching task (see Section 20 for more details), The Contractor will be responsible to use system, including updating distribution lists and working with vendor to obtain support. This system is available over the Internet, no software is required to download.

9) LaserficheLaserfiche is a Document Management System (DMS) used by NCTD. As part of document management to be mentioned in section 3.10, The Contractor will be required to use Laserfiche to store specific documents not stored in other NCTD owned systems. NCTD at its sole discretion will specify which documents that are required to be maintained in NCTD systems with electronic access to NCTD at all times as part of the oversight of this Statement of Work. The Contractor will access Laserfiche by use of Citrix. NCTD will maintain this system, and the Contractor should contact NCTD for support.

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3. THE CONTRACTOR RESPONSIBILITIES

3.1 GeneralThe Contractor’s responsibilities described in this Section may be duplicative and/or in addition to those requirements described in the remainder of this Statement of work.

3.2 AdministrationThe Contractor’s General Manager and Assistant General Managers shall be available for scheduled or unscheduled meetings within one (1) hour as required by NCTD, whether at the Stuart Mesa, SPRINTER Operating Facility, or at NCTD headquarters. The Contractor Assistant General Managers of MOW, Signal, and PTC or their designee shall be available twenty-four (24) hours a day, seven (7) days a week.

3.3 Office space/furniturea. The Contractor shall be responsible for providing all office furnishings for The Contractor employees

to perform the Agreement Services.

b. The Contractor shall be responsible for all costs related to tenant improvements and modifications to existing facilities. Tenant improvements and modifications may only be made with NCTD approval required for The Contractor’s proposed statement of work to be performed, and NCTD approval on the completed work/project.

3.4 Productivity ImprovementsThe Contractor shall work with NCTD to identify areas and/or instances in which improvements can be made or efficiencies can be gained in order to benefit NCTD rail operations.

3.5 WarrantiesAs specifically addressed below, The Contractor shall: (i) comply fully with the terms of every manufacturer’s warranty on NCTD assets and property used in provision of the Agreement Services; (ii) cooperate with NCTD regarding the fulfillment of any warranty obligations; (iii) administer such warranties on behalf of NCTD; and (iv) provide NCTD with any information necessary for the administration of any such warranties at termination of the Agreement.

3.5.1 Warranty Administrationa. The Contractor shall take all necessary measures to determine the status of relevant warranties,

effectively administer warranties in effect during the term of the Contract and pursue warranty claims on behalf of NCTD. The Contractor shall conduct inspections, troubleshooting, and repair work in a manner to identify circumstances where NCTD’s warranties may apply. The Contractor shall complete all required warranty document submission and provide a monthly warranty submission report to NCTD.

b. The Contractor shall use NCTD’s JD Edwards asset management system or other NCTD approved software to document and track warranty data and claims. The Contractor shall prepare and maintain all vendor required forms as necessary to pursue claims (inclusive of individual fleet repairs, fleet defects, fleet modification programs), and meet locally with vendors or other the Contractors at NCTD’s request, which shall not be considered Extra Work as defined herein.

c. The Contractor is required under the warranty administration to provide NCTD a full credit and reimbursement for any labor or materials cost credits under the warranty terms that were performed by the current budgeted contracted labor force or with the NCTD materials inventory. The Contractor shall provide this information as part of its monthly report for NCTD review. In the event the Contractor has diligently pursued warranty claims on behalf of NCTD, but cannot (for various reasons out of its control) obtain full credit and reimbursement from vendors for the labor/material costs, the

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“full credit” to be provided to NCTD will be limited to the actual amount the Contractor successfully obtained as a result of pursuing the warranty claim.

3.5.2 Warranty Protectiona. The Contractor shall not jeopardize any warranty covering any portion of NCTD assets and property.

The Contractor shall comply with the terms and conditions of any manufacturer’s maintenance and service schedules, except as otherwise modified by regulatory requirements or otherwise explicitly directed in writing by NCTD. For NCTD Rolling Stock, repairs made by The Contractor shall, at a minimum, follow the standards and practices described in workmanship and Materials for Maintenance of Equipment in Appendix D.

b. In the event that The Contractor is found to be in violation of the procedures and practices specified as a condition for maintaining a warranty, The Contractor shall notify NCTD immediately and take all actions necessary to be advance compliance with the conditions of the warranty work at no additional cost to NCTD. If The Contractor fails to adequately protect NCTD’s warranty interests, as solely determined by NCTD, all costs arising from such failure shall be the responsibility of The Contractor.

3.5.3 Warranty AssignmentThe Contractor shall assign to NCTD any and all manufacturers’ or other sellers’ warranties that come with any products, materials or supplies which are incorporated into or are consumed pursuant to the Contract in any way. To the extent that any such warranties do not extend to subsequent purchasers or owners or such warranties contain a limitation on assignment, The Contractor agrees that The Contractor purchased the products, materials and supplies on behalf of NCTD with the intent that NCTD be the intended recipient/beneficiary of any warranties. All documents associated with or describing any such warranties shall be delivered to NCTD during the course of the Contract when received by The Contractor and at the termination of the Agreement. The Contractor shall not take any action or fail to act in any way which voids any such warranties. All subcontracts shall contain a similar provision which requires Sub-Contractors to assign any such warranties to NCTD.

3.6 Configuration Management3.6.1 Generala. The configuration of the NCTD assets and property shall be maintained consistent with regulatory

requirements, NCTD requirements, and best practices. The Contractor shall employ a continuous business improvement process to ensure that configuration management program is improved in terms of accuracy and enhanced in terms of information. The Contractor shall use the asset information and material management systems to implement systematic improvements to the configuration management of NCTD assets and property. The Contractor’s configuration management practices and program shall be in compliance with the requirements of NCTD’s System Safety Program Plan.

b. The Contractor shall be responsible for complying with the requirements set forth in the Configuration Control Management Plan (CCMP), Fleet Maintenance Plan (FMP) and Field Control Management Plan (FCMP).

c. Notwithstanding anything written to the contrary elsewhere in this Contract, the Request for Proposal and/or all addenda thereto, but without limiting the rights that NCTD may have under another contract, The Contractor shall not assume any obligation/liability resulting from design issues with the Revenue Vehicles, except where/if The Contractor is responsible for any design modifications and/or where operating Revenue Vehicles that are not in compliance with FRA and CPUC requirements

3.6.2 Modernizations, Additions and Improvementsa. All costs resulting from modernization, additions, and improvements to equipment that can be

achieved during the normal maintenance cycle shall be included in the Base Price of Service.

b. The Contractor shall provide detailed justification and analysis if it determines that a proposed/potential modernization, addition, and or improvement cannot be achieved during the

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Hillary Guillot, 12/16/15,

Inserted IAW Bombardier email dtd 11 Dec 2015


normal maintenance cycle and budget. If NCTD concurs with the analysis and justification provided by The Contractor, such work will then be considered Extra work. Modernizations, additions, and improvements may be carried out by The Contractor for The Contractor’s own benefit. Such work shall be subject to written approval by the NCTD and shall comply with Appendix D (Workmanship and Materials) of this Statement of work. Such improvements shall become the property of NCTD as they are undertaken and shall be documented as required by the configuration management process.

3.6.3 Retrofits and Changesa. Changes to NCTD equipment and property configuration shall result in documented, controlled,

uniform, and traceable systems on the work equipment and property. Express written consent

b. All changes shall be documented by an Engineering Change Notice (ECN) process. The ECN shall be approved by NCTD. The ECN shall at a minimum include:

Rolling stock affected (if any); Purpose of ECN; Schedule;

o Changes to original or current; Parts books;

o Drawings, prints, and schematics;o Inventory;o Inspection and repair forms;

Detailed description of the work, including:o Material,o Tools,o Disposal of removed items,o Industrial safety and environmental precautions;

Updating of vehicle configuration files; Procedures for functional testing and inspection of the finished work; Instruction for crews; Benefits anticipated from the ECN; Approval required by NCTD’s System Safety Program Plan (SSPP).

c. ECNs may be issued for tests of changes. Such tests shall be clearly identified on the equipment being tested. Any and all ECNs shall include modifying pool spares and new material, including small renewal parts. All Engineering Change Orders (with the exception of modifications, additions, and improvements that can be included during the normal maintenance cycle) required by NCTD shall be independently evaluated and analyzed to determine if such work is Extra Work.

3.7 Civil Rights Programa. The Contractor is required to develop and maintain a Civil Rights Program covering all activities

related to Equal Employment Opportunity (EEO), Disadvantaged Business Enterprise (DBE), and Title VI/Unruh compliance. The person(s) responsible for maintaining and compliance with the Civil Rights Program shall not report to the local manager/supervisor, but shall report to The Contractor’s corporate office to ensure accountability of the managers/supervisors working on the contract.

b. Examples of activities that will be specified in the Civil Rights Program include but are not limited to:

DBE Program Administration and Outreach to include worksite monitoring, sub-Contractor payment monitoring, collaboration with NCTD’s Civil Rights Officer;

Regular EEO Administration to include complaint investigation, evaluating reasonable accommodation requests, and ensuring the creation, and submission to NCTD for approval, an EEO Program, as required by FTA Circular 4704.1

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Title VI/Unruh Administration to include but not limited to leading and or assisting NCTD’s Civil Rights Officer with investigation of complaints of discrimination by The Contractor personnel from passengers and/or members of the public.

3.8 Coordination a. NCTD may enter into expanded or new agreements for additional rail service. Throughout the

duration of the Contract, The Contractor shall not enter into an agreement that places any limitations on NCTD entering into expanded or new agreements. The The Contractor shall make good faith efforts to coordinate with other the Contractors providing services to NCTD with the goal of maximizing rail service performance.

b. The Contractor shall maintain communications with all other NCTD-designated third party the Contractors and shall initiate attempts to resolve all issues. The Contractor shall, whenever appropriate, recommend solutions and resolve operating problems in all areas which affect the provision or maintenance of rail service.

3.9 Information Technology (IT) Help Desk a. The Contractor is responsible for providing IT help desk support for all The Contractor IT systems

necessary in the statement of work assumed as part of this contract and for its employees. The IT help desk support shall be available 24/7 for The Contractor support. This includes troubleshooting of all network and/or telephone system issues, workstations, server, and software used by the Contractor not excluded in Section 2.10.

b. The Contractor’s help desk will also be responsible for providing IT support for dispatch equipment to include receiving and maintaining trouble calls/emails from HTSI Dispatching Contract employees in the event that the option for the Contractor to provide Dispatch Services is not executed as part of initial notice to proceed or thereafter for the remaining term of NCTD’s contract with HTSI which expires in 2021.

3.10 The Contractor Document Management and Retention Plan

1. Responsibility:

The Contractor shall be responsible for following approved NCTD Records Management/Retention policies. The policies contain detailed procedures to ensure that key documents, policies, plans, correspondence, and any other related items (whether paper or electronic) are maintained in a manner that is compliant with all applicable legal and regulatory requirements and are electronically accessible by NCTD and its the Contractors.

2. Inspection Forms:

The Contractor will ensure that all manual inspection forms that are utilized include features to prevent re-duplication. Examples of features to prevent reduplication include sequential numbering of forms.

3.11 The Contractor Compliance and Internal Audita. The Corporate Office of the Contractor shall also be responsible for:

1) Performing risk assessments and determining the level of risk related to activities required under this Agreement,

2) Understanding laws and regulations,3) Obtaining and/or establishing policies, procedures, and plans for specific issues and areas4) Educating staff including subcontracted staff on the policies, procedures, plans, regulatory and

NCTD requirements,

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5) Monitoring compliance with laws, regulations, and policies,6) Auditing the highest risk areas7) Re-educating staff on matters identified in audits

b. The Contractor’s Corporate Office shall be required to develop and maintain a Compliance and Internal Audit Program throughout the duration of this Agreement and to conduct audits after the end of each Contract year with the final report(s) submitted not later than 120 calendar days after June 30th of the Contract year.

3.12 Support for Capital Construction and Maintenance Projects

NCTD projects significant construction activity to included third-party projects that will impact rail operations during this agreement. The Contractor shall provide a Qualified Rail Engineer position as part of the base statement of work. This position will assist NCTD in supporting project planning, development and implementation. This position will provide input and reviews of all project documents as required by NCTD, will provide input on permitting reviews (looking at flagging needs, constructability, signal and PTC impacts, and railroad operations) and will serve as a liaison between NCTD and the Contractor in providing comments on project plans, documents, and permits. The Rail Engineer will be provided office space at the NCTD General Administration Office at 810 Mission Ave, and is expected to complete most of their work at this location.

3.13 Asset ManagementThe Contractor shall provide input and assist in the planning, implementation, and operations related to asset management to include providing input and support in the configuration of systems and making The Contractor staff available to receive initial training at NCTD expense. The Contractor can purchase additional training beyond initial training provided by NCTD.

3.14 Confidential Close Call Reporting System (C3RS)NCTD is strongly considering entering into an agreement under the FRA sponsored voluntary confidential program allowing railroad carriers and their employees to report close calls. The program provides a safe environment for employees to report unsafe events and conditions. Employees receive protection from discipline and FRA enforcement. Railroads also receive protection from FRA enforcement for events reported within C3RS. In the event that NCTD finalizes an agreement to participate in the C3RS program, the Contractor shall be required to fully support and actively participate in the success of the program.

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4. TRAIN OPERATIONS, CREWS, AND PERFORMANCE

4.1 Schedule RequirementsThe Contractor shall be responsible for operation of the COASTER and SPRINTER rail services, including the Base Service Plan, Routine Schedule Changes, Modified Consist Size, Modified Schedules, Construction Schedules, Special Trains, and Additions, Changes, and Reductions to Base Service Plan as described below:

4.1.1 Base Service Plana. The Base Service Plan shall be that level and type of train service initially in operation as of the

Service Date, as shown in the NCTD COASTER and SPRINTER public timetables as of the Service Date, unless otherwise modified by agreement between the parties. The Base Service Plan includes COASTER late night Friday and Saturday service operated for six months during the year, SPRINTER late night Friday and Saturday service operated year round, COASTER service to the Del Mar Fairgrounds for the horse racing season, and COASTER service for all San Diego Padres home games. The Base Service Plan is summarized as follows:

COASTER

Oct-Mar

COASTER

Apr-Sep

SPRINTER

Mon-Thurs 22 22 68

Friday 22 26 75

Saturday 8 12 55

Sunday 8 8 50

Weekly Total 126 134 452

Number of weeks this schedule is run

26 26 52

Average Number of trains per year

6,760 23,504

Annual trips in

addition to regular service

COASTER Padres

COASTER Holiday Train

COASTER New Year’s

Eve

COASTER Del Mar Racing

COASTER Rock N’ Roll

Marathon

COASTER 4th of July

SPRINTER New Year’s

Eve

SPRINTER 4th of July

80 4 2 2 2 2 6 4

b. The peak period (expected highest ridership period) for the COASTER and SPRINTER modes is as follows:

COASTER is from is from 5:45 am to 7:45 am and between 3:30 pm and 5:45 pm.

SPRINTER is from 5:15 am to 6:00 pm.

c. Neither revenue nor non-revenue train service shall be used to pick up or drop off passengers or The Contractor employees at unscheduled locations without prior written authorization by NCTD, except in the case of emergency, equipment failure, or at the specific direction of civil authorities.

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d. NCTD may modify the areas served by COASTER and SPRINTER (including, but not limited to: serving the new Camp Pendleton platform north of Oceanside, the Convention Center platform south of Santa Fe Depot, or continuing SPRINTER service north or south of Oceanside). Any modifications to serve these areas will not constitute an adjustment of the Base Service Plan. Possible expanded service scenarios include the following (all assume current base schedule shown in 4.1.1 (a)): Oceanside to Convention Center, Camp Pendleton to Santa Fe Depot, and Camp Pendleton to Convention Center.

4.1.2 Routine Schedule Changesa. NCTD reserves the right to make routine schedule changes. NCTD will consult The Contractor

prior to implementing these schedule changes. These changes are not meant to unduly harm The Contractor and significantly impact commuter railroad services. The Contractor will provide written analysis for any increased costs for which reimbursement will be sought if the cost for implementing these changes exceed the cost included in the price of Base Service Plan. Examples of schedule railroad include, but are not limited to:

Modifications to train departure and arrival times on the passenger schedule, including adjustments due to increases or decreases in running time (modifications of +/- 5 minutes in the running time); and/or +/- 30 minutes in departure and arrival times of base service trains.

b. NCTD anticipates making up to two (2) schedule changes per year, for both COASTER and SPRINTER. The Contractor shall provide to NCTD, on a regular basis, any recommendations for running time revisions or other scheduling matters which improve operating performance. The final decision on a schedule change rests with NCTD.

4.1.3 Modified Consist Sizea. NCTD reserves the right to make changes to the train consist size. NCTD will consult the Contractor

prior to implementing these consist size changes. These changes are not meant to unduly harm The Contractor or significantly impact railroad services. The final decision on consist changes rests with NCTD. The cost of implementing these changes will be included in the price of Base Service Plan. Examples of consist size changes include, but are not limited to:

Adding or removing coach or cab cars in a COASTER train consist to create four- or six-car trains as required. Adding or removing DMUs in a SPRINTER train consist to create one- or two-car trains as required. These train size changes will be required to be made with advance notice of at least 48 hours.

b. The Contractor shall provide to NCTD, on a regular basis and when identified, any recommendations for consist size changes which improve operating performance.

4.1.4 Modified SchedulesFor up to ten (10) weekdays per year, NCTD may authorize use of a modified weekday schedule to adjust service for holidays or other occasions with reduced ridership. These weekdays include, but are not limited to, New Year's Day, Memorial Day, Independence Day, Labor Day, Thanksgiving Day, and Christmas Day.

4.1.5 Construction SchedulesThe Contractor shall cooperate with NCTD and involved third parties in the event of construction that impacts rail service by developing alternate schedules for rail services, including making on-board announcements, and posting applicable notices on trains, without any limit per year. These construction schedules shall be considered within the Base Service Plan. Special schedules may result in service reductions or rearrangements, and the Contractor shall have labor arrangements containing flexibility in rescheduling the operating/station workforces.

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4.1.6 Special Trains and Test Trainsa. The Contractor shall provide Special Train service for designated special events. Proposers

shall provide a fixed price per round trip as part of this procurement for Special Trains which are outside of the Base services provided. Note that Special Train service is separate from any scheduled Commuter service such as COASTER late night Friday and Saturday service operated for six months during the year, and COASTER service to all San Diego Padre home games. NCTD will be responsible for identifying Special Trains to be operated.

b. The Contractor shall provide Test Train service for designated work projects. Proposers shall provide a fixed price per Test Train per day. Test Trains shall be used for a minimum of 8 hours and a maximum of 12 hours (thus requiring one crew).

4.1.7 Additions and Reductions to the Base Service Plana. Minor AdditionsIf NCTD requests additional scheduled service options that can be accomplished within the existing workforce required to support the Base Service Plan, NCTD will provide at least thirty (30) days written notice to The Contractor prior to initiation of these additional scheduled service options. If, after initiating the additional scheduled service option, NCTD desires to cease providing the additional scheduled service option, NCTD will provide The Contractor with at least thirty (30) days written notice prior to the cessation of the additional scheduled service option. NCTD will pay for these additional trips at the per/round trip basis in accordance with the compensation and pricing data obtained as part of this agreement and subsequently negotiated and incorporated via a supplemental agreement.

b. Major AdditionsIf NCTD requests additional scheduled service options that cannot be accomplished within the existing workforce required to support the Base Service Plan, NCTD will provide at least sixty (60) days written notice to the Contractor prior to initiation of these additional scheduled service options. If, after initiating the additional scheduled service option, NCTD desires to cease providing this option, NCTD will provide the Contractor with at least sixty (60) days written notice prior to the cessation of the additional scheduled service option. NCTD will pay for these additional trips at the per/round trip basis in accordance with the compensation and pricing data obtained as part of this agreement and subsequently negotiated and incorporated via a supplemental agreement.

c. Additions Outside Current Operating Rights and TerritoryIf NCTD requests additional scheduled service options outside NCTD’s current operating rights and territory, NCTD will provide at least sixty (60) days written notice to the Contractor prior to the initiation of these additional service options. If after initiating the additional scheduled service option, NCTD desires to cease providing this option, NCTD will provide the Contractor with at least sixty (60) days written notice prior to the cessation of the additional scheduled service option. NCTD will pay for these additional trips at the per/hour Engineer/Conductor/Mechanical Maintenance basis in accordance with the compensation and pricing data obtained as part of this agreement and subsequently negotiated and incorporated via a supplemental agreement. Possible additions include the base schedule shown in 4.1.1 (a) above, and would reflect service between Fullerton to Convention Center (or Santa Fe Depot) OR Anaheim to Convention Center (or Santa Fe Depot).

d. Additional Service with Non-NCTD EquipmentIf NCTD requests additional scheduled service options that cannot be accomplished within the existing workforce required to support Base Service Plan and will require the use of other than NCTD-owned equipment, NCTD will provide at least ninety (90) days written notice to the Contractor prior to initiation of these additional scheduled service options. If, after initiating the additional scheduled service option, NCTD desires to cease providing this option, NCTD will provide The Contractor with at least ninety (90) days written notice prior to the cessation of the additional scheduled service option. NCTD will pay for these additional trips at the per/hour Engineer/Conductor

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basis in accordance with the compensation and pricing data obtained as part of this agreement and subsequently negotiated and incorporated via a supplemental agreement.

e. Reductions to Base Service PlanIf NCTD requests reductions to Base Service Plan, NCTD will provide at least thirty (30) days written notice to the Contractor prior to making reductions to the scheduled service options. The basis for reductions to the Base Service Plan will be in accordance with the compensation and pricing data obtained as part of this agreement and subsequently negotiated and incorporated via a supplemental agreement.

4.2 Train Crew Uniform Requirementsa. All uniforms shall be coordinated to NCTD “brand” colors and logo standards as specified in Appendix

P, NCTD Brand Guidelines. Proposers shall include details of proposed uniform for NCTD approval as part of mobilization. Hats, caps, shirts, vests, coats and jackets shall display the NCTD logo. Shoes shall be black, consistent with GCOR regulations, and kept in good repair. Employees who leave their job with The Contractor shall be required to return all uniforms to The Contractor.

b. The Contractor shall ensure that crew members report for duty as scheduled, neatly groomed, and in the proper clean and neatly pressed uniform. Appearance shall at all times be neat and professional.

c. All crew members shall wear name badges on their outer layer of clothing that clearly identify them as a crew member. All uniform shirts, coats and jackets shall have an identification number permanently affixed to them on the upper right shoulder that can be used to identify each employee.

d. The Contractor will be responsible for the purchase and care of uniforms.

4.3 COASTER Operations Requirements4.3.1 Generala. The Contractor, under the direction of NCTD, shall manage the day-to-day safety, operation and

maintenance of the COASTER rail service in accordance with all regulatory and NCTD requirements, including but not limited to the following as revised and amended over time as required:

1) The current GCOR;

2) Current COASTER Timetables/Special Instructions;

3) Applicable federal, state, and local laws and regulations including FRA and CPUC regulations;

4) Necessary crew qualifications, including FRA certification of Engineers and Conductors;

5) NCTD’s SSPP, as approved under FRA regulations;

6) Operating rules and equipment operating instructions issued or approved by NCTD;

7) NCTD public train schedules or timetables;

8) FRA Drug and Alcohol testing requirements for Class 1 railroads; 49 CFR Part 219;

9) NCTD Engineering Instructions and Specifications;

10) NCTD System Security Plan, as approved under FRA and TSA regulations.

b. The Contractor shall ensure that train crews are properly trained and qualified in the above and periodically retrained and/or re-qualified as required by regulation, law, and/or accepted railroad industry practice and the Contract with NCTD as revised and amended over time. The Contractor is responsible for drafting, establishing, providing and documenting the necessary and required training programs for all The Contractor employees working on COASTER.

c. Each COASTER train shall be crewed by at least one certified Engineer and one certified Conductor.

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d. There will be no yard or road crew distinctions. Any crew may perform and shall be competent to perform any task and any mixture of tasks such as revenue service, non-revenue movements, switching, or work train service. However, consistent with FRA requirements, properly certified MOE employees may move equipment and perform switching within the designated limits of an equipment maintenance facility.

4.3.2 Daily Pre-Revenue Servicea. The Contractor shall inspect and prepare trains for revenue service according to applicable regulatory

requirements using the pre-trip inspection form (Appendix N) as amended from time to time consistent with NCTD and or regulatory requirements. These requirements include, but are not limited to inspecting the following components for operability and/or cleanliness: exterior, train control system, brake system, cables or connections, lights, doors, camera systems, public address system, and restrooms. The Contractor shall ensure that the necessary supplies are on board and perform brake or other required tests. Any problems and defects shall be reported on appropriate forms. The Contractor shall provide NCTD with the forms for reporting defects and problems and these forms shall be subject to NCTD written approval.

b. All Contractor Engineers and Conductors shall check-in with The Contractor Supervisory personnel when reporting for duty. The Contractor Supervisory personnel shall be responsible for conducting “fitness-for-duty” assessments of reporting employees, and a safety briefing shall be performed when reporting for duty.

c. The Contractor shall also switch cars in or out of trains as necessary and make all connections. The Contractor Engineers will secure the train, change controlling cabs and perform brake tests as required.

4.3.3 Daily Revenue Servicea. Trains shall be operated in a safe, customer-friendly, and on-time manner, in compliance with

operating rules, timetable special instructions, and in accordance with the current public timetable. Trains shall not depart any station prior to the departure time shown in the current public timetable for that station unless noted in the public timetable. As appropriate, The Contractor Engineer or Conductor will open train doors once the train is safely stopped at the appropriate station location and will close the doors for departure. The Contractor’s Conductor shall step onto the platform and not close doors until all passengers have safely disembarked and/or boarded.

b. COASTER vehicles are equipped with Automatic Passenger Counters (APCs). NCTD and SANDAG are advancing FTA certification on the APC system for National Transit Database (NTD) reporting requirements. In the event that APCs are not certified as of July 1, 2016, NCTD will assume responsibility for the counting of passengers. If the APC system is certified as of July 1, 2016, The Contractor will be responsible for performing passenger counting if there is an intermittent failure or malfunction of the APC system during a revenue trip. Such counts, at a minimum, satisfy federal, state or local funding or reporting requirements and comply with NCTD procedures. In the event The Contractor has to perform passenger counts, The Contractor Conductors will perform passenger counts on each car of every revenue trip, unless unusual circumstances or the ability to safely perform operational duties otherwise prevent the performance of a passenger count. For systematic failures, not due to the Contractors failure to maintain the APC system, anticipated beyond one day of revenue service, NCTD will be responsible for providing additional resources to conduct passenger counts.

c. Only Contractor train crew personnel, authorized The Contractor staff or authorized NCTD personnel shall be permitted in the head end of the cab car or locomotive. The cab car door shall remain closed and secured at all times during revenue operations. All seating areas in the passenger compartments of the train shall be made available to customers, with the exception of one quad-seating area in the operating cab car which may be cordoned off for The Contractor Conductor use.

d. The Contractor Conductors shall walk through the complete consist (all levels and areas) at least once per trip. This walk-through should be accomplished during the entire trip, making sure that all cars are visited by the Contractor Conductors at different times during the trip. The Contractor

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Conductors are encouraged to use different doors to exit the train at platforms unless other responsibilities or the ability to safely perform operational duties otherwise prevent them from doing so.

e. At the conclusion of every one way trip, the Contractor will pick up all visible litter to ensure the train is clean consistent with a train that is pulled from the yard. The Contractor shall walk through and inspect the train to determine that all passengers have detrained, mechanical and toilet problems have been identified and noted in the car books, and lost customer items/property are collected. The Contractor shall notify dispatch and provide documentation in the car book of any spills, graffiti, vandalism, toilet, or mechanical issues requiring attention at the end of every one way trip. Spills are required to be cleaned no later than one 1-way trip from the time they are identified. Train crews shall complete required reports including reports addressing mechanical problems.

f. The Contractor is required to comply with NCTD’s train idling policy at major stations to avoid air pollution, excessive noise from idling, and fuel conservation.

4.3.4 Daily Post-Revenue ServiceThe Contractor will reposition the train at the terminal as required or take the train to the appropriate location for servicing. The Contractor, will perform switching, work train or other services as required. The Contractor will position and secure trains in train yards and prepare trains for departure from train yards.

4.3.5 Passenger Announcementsa. All passenger announcements shall be made according to all regulatory requirements and in

accordance with the NCTD passenger announcement SOP. Using the train’s public address system, the Contractor’s Conductors shall announce each station stop sufficiently in advance to permit passengers to safely prepare to disembark. The Contractor’s Conductors shall make other announcements, as required, regarding passenger safety and conduct, train delays, unusual conditions and other NCTD customer service-related issues as designated by NCTD. When explaining delays, the Contractor’s Conductors shall briefly explain the cause whenever a delay exceeds five (5) minutes with regular updates every five (5) minutes. The Contractor Conductors shall consider making proper passenger announcements among their highest priorities. However, should other more pressing duties such as the safety of crew, passengers or the train, prevent the Contractor’s Conductor from making the necessary announcements, the Contractor Engineer shall make the necessary announcements at the Contractor Conductor’s request. In all cases, the Contractor shall use courteous language and demeanor when making announcements.

b. The Contractor will operate communications, public information, or other equipment which NCTD may install from time-to-time, consistent with other duties.

c. The Contractor’s employees shall not engage in conduct unbecoming an employee, as defined in Section 14 - Customer Service and Employee Behavior Expectations.

4.3.6 Emergencies/Incidents and Troubleshootinga. Consistent with and supplemental to NCTD’s Passenger Train Emergency Response Plan (see

Appendix O-1), the Contractor shall draft specific procedures for each crew position and management for responding to emergencies. The Contractor shall ensure that the Contractor’s crew members are fully trained in all emergency procedures and communications. The Contractor’s personnel shall assist in all transportation emergencies/incidents, in accordance with NCTD’s Passenger Train Emergency Response Plan. Crew members shall report mechanical or electrical problems in a manner specified by radio, telephone, or orally to expedite repair arrangements, as well as completing the specified report or form.

b. The Contractor’s supervisory transportation staff shall be on-call during all hours of service operations and be available to respond to emergencies. Pre-approved responder shall be available after hours. The Contractor will provide a schedule and contact information of the pre-approved responders to NCTD, with immediate updates when schedule changes are made.

4.3.7 Fare Verification

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The Contractor will not be responsible for fare enforcement. NCTD’s Transit Enforcement Division is responsible for fare verification and enforcement.

4.4 SPRINTER Operations Requirements 4.4.1 Generala. The Contractor, under the direction of NCTD, shall manage the day-to-day safety, operation and

maintenance of the SPRINTER rail service in accordance with all regulatory and NCTD requirements, including but not limited to the following as revised and amended over time as required:

1) The current GCOR (Currently SPRINTER operates using the Sprinter Code of Operating Rules (SCOR), but proposer may propose transitioning to GCOR if possible);

2) Current SPRINTER Timetables/Special Instructions;

3) Applicable federal, state, and local laws and regulations including FRA and CPUC regulations;

4) Necessary crew qualifications, including FRA/CPUC certification;

5) NCTD’s SSPP as approved under FRA regulations and other designated agencies;

6) Operating rules and equipment operating instructions issued or approved by NCTD;

7) NCTD public train schedules or timetables;

8) FRA and FTA Drug and Alcohol testing requirements;

9) NCTD Engineering Instructions and Specifications;

10) NCTD System Security Plan, as approved under FRA and TSA regulations.

b. The Contractor shall ensure that train crews are properly trained and qualified in the above and periodically retrained and/or re-qualified as required by regulation, law, and/or accepted railroad industry practice and the Contract with NCTD as revised and amended over time. The Contractor is responsible for drafting, establishing, providing and documenting the necessary and required training programs for all The Contractor employees working on SPRINTER.

c. There will be no yard or road crew distinctions. Any crew may perform and shall be competent to perform any task and any mixture of tasks such as revenue service, non-revenue movements, switching, or work train service. However, consistent with CPUC requirements, properly certified MOE employees may move equipment and perform switching within the designated limits of an equipment maintenance facility.

4.4.2 Daily Pre-Revenue Servicea. The Contractor shall inspect and prepare trains following applicable regulatory and NCTD

requirements using the pre-trip inspection form (see Appendix N) that may be revised from time to time to meet NCTD and/or regulatory requirements. These requirements include, but are not limited to, inspecting the following components for operability and/or cleanliness: exterior, train control system, brake system, cables or connections, lights, doors, camera system, door thresholds, and public address system. The Contractor shall ensure that the necessary supplies are on board and perform brake or other required tests. Any problems and defects shall be reported on appropriate forms. The Contractor shall provide NCTD with the forms for reporting defects and problems and these forms shall be subject to NCTD written approval.

b. Operators/The Contractors shall check-in with Supervisory personnel when reporting for duty. The Supervisory personnel shall be responsible for conducting “fitness-for-duty” assessments of reporting employees, and a safety briefing shall be performed at this time.

37


c. Crew members shall also switch cars in or out of trains as necessary and make all connections. Operators/The Contractors will secure the train, change controlling cabs and perform brake tests as required.

4.4.3 Daily Revenue Servicea. Trains shall be operated in a safe, customer-friendly, and on-time manner, in compliance with

operating rules, timetable special instructions and in accordance with the current public timetable. Trains shall not depart any station prior to the departure time shown in the current public timetable for that station unless noted in the public timetable. As appropriate, the Contractor will open train doors once the train is safely stopped at the appropriate station location and will close the doors for departure.

b. SPRINTER vehicles are equipped with APCs that have received FTA certification for NTD reporting requirements. In the case that APC’s during service malfunction, NCTD will arrange for passenger counts as necessary.

c. Only the Contractor train crew personnel, appropriate management or authorized NCTD personnel shall be permitted in the head end of the DMU. The cab door shall remain closed and secured at all times during revenue operations. All seating areas in the passenger compartments of the train shall be made available to customers.

d. At the conclusion of every one way trip, the Contractor will pick up all visible litter to ensure the train is clean consistent with a train that is pulled from the yard. The Contractor shall walk through and inspect the train to determine that all passengers have detrained, mechanical problems have been identified and noted in the car books, and lost personal items are collected. The Contractor shall notify dispatch and provide documentation in the car books of any spills, graffiti, vandalism or mechanical issues requiring attention at the end of every one way trip. Spills are required to be cleaned no later than one 1-way trip from the time they are identified. Train crews shall complete required reports including reports addressing mechanical problems.

e. The Contractor is required to comply with NCTD’s train idling policy at major stations to avoid air pollution, excessive noise from idling, and fuel conservation.

4.4.4 Daily Post-Revenue ServiceThe Contractor will reposition the train at the terminal as required or take the train to the appropriate location for servicing. The Contractor, will perform switching, work train or other services as required. The Contractor will position and secure trains in train yards and train crews will prepare trains for departure from train yards.

4.4.5 Passenger Announcementsa. All passenger announcements shall be made according to all regulatory requirements and in

accordance with the NCTD passenger announcement Standard Operating Procedure. The Contractors are required to manage and monitor the automated messaging system on the SPRINTER vehicle. The Contractor shall make other announcements, as required, regarding passenger safety and conduct, train delays, unusual conditions and other NCTD customer service-related issues as designated by NCTD. When explaining delays, The Contractor shall briefly explain the cause whenever a delay exceeds five (5) minutes, with regular updates every five (5) minutes. The Contractor shall consider making proper passenger announcements among their highest priorities. However, should other more pressing duties prevent the Contractor from making the necessary announcements at the designated time, the Contractor shall resume making the necessary announcements as soon as possible. In all cases, The Contractor shall use courteous language and demeanor when making announcements.

b. The Contractor will operate communications, public information, or other equipment which the NCTD may install over time, consistent with other duties.

c. The Contractor shall not engage in conduct unbecoming an employee, as defined in Chapter 14 Customer Service and Employee Behavior Expectations.

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4.4.6 Emergencies/Incidents and Troubleshootinga. Consistent with and supplemental to NCTD’s Passenger Train Emergency Response Plan (see

Appendix O-2), The Contractor shall draft specific procedures for each crew position and management for responding to emergencies. The Contractor shall ensure that Crew members are fully trained in all emergency procedures and communications. The Contractor’s personnel shall assist in all transportation emergencies/incidents, in accordance with NCTD’s Passenger Train Emergency Response Plan. Crew members shall report mechanical or electrical problems in a manner specified by radio, telephone, or orally to expedite repair arrangements, as well as completing the specified report or form.

b. The Contractor supervisory transportation staff shall be on-call during all hours of service operations and be available to respond to emergencies. Pre-approved responder shall be available after hours. The Contractor will provide a schedule and contact information of the pre-approved responders to NCTD, with immediate updates when schedule changes are made.

4.4.7 Fare Verification The Contractor will not be responsible for fare enforcement. NCTD’s Transit Enforcement Division is responsible for fare verification and enforcement on SPRINTER.

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5. TRAIN DISPATCHING

5.1 Backgrounda. NCTD utilizes a fully-functional, FRA-compliant CTC system for train dispatching and maintenance

access control services across NCTD’s entire rail network. The SPRINTER Operations Facility, located in Escondido, California, houses the existing CTC system and workstations. NCTD plans to create a new dispatching center in the basement of its existing General Administration building at 810 Mission Avenue in Oceanside in the near future.

b. Train dispatching is currently provided by HTSI under a separate agreement with NCTD, due to expire in 2021. HTSI currently provides all line staff, supervision, management, training, standard operating procedures, incident and emergency response procedures, and back-up systems and support necessary to safely and efficiently operate an FRA-compliant CTC Dispatching Center for NCTD’s San Diego (COASTER) and Escondido (SPRINTER) Subdivisions. Dispatching is performed in accordance with the safety, operational and priority protocols established by NCTD.

c. NCTD may decide to continue to utilize the services of HTSI for train dispatching. As part of this solicitation, NCTD may procure train dispatching services as an Optional Task, as described in Section 20- Optional Task Train Movement Control and Dispatching of this statement of work, to be exercised at NCTD’s discretion. The Contractor’s optional responsibilities for Train Dispatching are explained in Section 20.

5.2 HTSI’s Current Dispatching Services Scope5.2.1 Performance Requirements a. HTSI is responsible for providing staff, management and supervision of NCTD’s Dispatch Center and

providing train dispatching and maintenance access control services for both rail corridors.

b. All services provided are subject to and governed by all applicable NCTD policies and procedures and regulatory requirements to include, but not limited to: operating and safety protocols, rules, orders, procedures, and regulatory requirements of the GCOR, FRA, APTA, CPUC, and AAR as agreed with NCTD.

5.2.2 Responsibilities a. HTSI is responsible for:

1) Dispatch operations of both corridors in accordance with all applicable requirements.

2) Following the requirements of NCTD Emergency Response Plans and SSPPs for both COASTER and SPRINTER.

b. Service evaluation and planning functions are shared by NCTD and HTSI, with NCTD assuming the lead role.

5.2.3 Dispatching Services a. HTSI provides train dispatching, internal and external paging, maintenance access control and overall

rail corridor traffic management services in accordance with the protocols, schedules and priorities established by NCTD including, but not limited to:

1) Staffing, operation and management of NCTD’s Dispatch Center in Escondido or Oceanside, and any related backup location.

2) Dispatching of all rail traffic and control of all maintenance access on both the San Diego and Escondido Subdivisions.

3) Providing services predicated upon equipment schedules.

4) Providing services in support of Service Adjustments.

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5) Interfacing with MOW for all track and signal work. Train Dispatchers or Supervisors interface with any or all maintenance crews to assure the coordinated provision of passenger rail and freight services over NCTD controlled corridors.

6) Cooperating with all other necessary Third Parties to assure the coordinated provision of passenger rail and freight services over NCTD controlled corridors and authorized Right-of-Way access.

7) Controlling train movements to and from yards or other dispatch points

8) Dispatching trains such that delays to passenger rail schedules and delays in freight services over NCTD Subdivisions are minimized.

9) Dispatch additional trains not originally within the Service and Maintenance Schedules.

10) Implementing service adjustments to minimize service delays, in cooperation with NCTD and NCTD’s COASTER and SPRINTER O&M the Contractors, by rerouting trains and providing additional service as required to meet NCTD’s service delivery objectives. Receiving, monitoring, managing and processing requests for Right-of-Way maintenance access, temporary restrictions and/or conditions, and issuing daily Track Warrants, Track Bulletins, General Orders, and other Bulletins and Notices as required.

11) HTSI shall continuously monitor service performance and implement an on-going service quality and safety assurance process to maximize system safety, train on-time performance and maintenance access efficiency.

12) HTSI shall cooperate, develop and maintain current emergency responder contact information for each of the jurisdictions served by NCTD’s rail lines. HTSI shall develop and implement emergency and incident response and management procedures consistent with, and in support of, NCTD’s Part 239 Passenger Train Emergency Response Plan.

13) HTSI shall develop and implement procedures to collect all required data and prepare and submit all reports required by FRA, CPUC, EPA, APTA, FTA and other applicable laws, rules and regulations.

14) Dispatching training.

15) Emergency Response training in accordance with NCTD procedures for dispatchers.

16) Coordination with NCTD and Operations Contractor’s personnel and outside agencies in Emergency Situations.

17) Handshake with SCRRA Dispatch at San Diego/Orange County Line.

18) HTSI shall, at NCTD’s discretion, make available GCOR-qualified professionals to participate in and provide input into the local and regional operating rule/special instruction development and implementation process.

19) Make all required notifications to applicable NCTD staff and the Contractors.

20) Update platform message boards on COASTER and SPRINTER during normal operations and for delays or service interruptions.

21) Make station and transit center announcements as necessary to keep customers informed.

22) Manage rail replacement bus service by coordinating with bus dispatch.

23) Track and log all incidents and accidents in computerized log or database.

24) Track and maintain NCTD Twitter and Facebook, and any additional media outlets to provide train and bus status updates to customers.

25) Coordinate with bus dispatch to maintain rail to bus connections.

26) Maintain and update paging groups on a regular basis.

b. HTSI also receives Maintenance-of-Way requests for track time for general maintenance work from

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NCTD’s Maintenance-of-Way the Contractor prior to commencement of work, except in emergencies or unforeseen occurrences.

c. HTSI interfaces with any or all other maintenance departments and construction the Contractors to obtain requests for track time for maintenance work within or near the San Diego and Escondido Subdivisions.

5.3 Coordination with Incumbent Train Dispatcher a. The Contractor is responsible for communicating and coordinating activities with HTSI, NCTD’s Train

Dispatcher with the goal of expediting train movements on NCTD Right-of-Way.

b. Throughout the duration of the Contract, The Contractor shall make good faith efforts to coordinate with the incumbent Train Dispatcher concerning delays, schedules, problems, construction scheduling and similar matters, and shall initiate attempts to reasonably resolve all such issues. The Contractor shall, whenever appropriate, recommend solutions and resolve operating problems in all areas which impact rail service. The dispatching office shall have the final determination about the method to resolve operational or mechanical problems to maintain the schedule or to return the schedule to normal operations. Issues related to safety shall be governed by the safe course of action by qualified and authorized individuals authorized to make such determinations.

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6. MAINTENANCE OF EQUIPMENT

6.1 Generala. The Contractor is responsible for maintaining NCTD Revenue Vehicles deployed on COASTER and

SPRINTER service in accordance with OEM, NCTD, FRA, CPUC, APTA PRESS, and other applicable standards and regulations. The Contractor shall maintain the NCTD Revenue Vehicles and not degrade the value of these assets to reduce The Contractor costs.

b. The Contractor is also responsible for maintaining NCTD Support Vehicles and Equipment.

c. The Contractor, when conducting maintenance of equipment activities, shall follow the Workmanship and Materials standards as outlined in Appendix D.

d. The Contractor will be responsible for developing a Shop Health and Safety Plan that ensures, promotes and maintains a healthy shop environment that clearly indicates a heightened focus on organization efficiency and a positive “Safety Culture”. At a minimum the Contractor’s Plan will require “Safety and Information Boards” that highlight; safety topics, PPE requirements, service bulletins, new procedures, training updates, goals, performance, trends and incident reports.

e. The Contractor’s Plan will ensure a high level of organization through the efficient use of assigned storage locations, the development and enforcement of procedures outlining the required condition of the facility, and post shift cleaning and housekeeping requirements throughout the shop. The Plan will outline that it is the Contractors responsibility to keep the shop and work area in a well-organized, safe and clean condition.

6.2 Inclusion in RatesThe Contractor shall operate and maintain the different types of Revenue Vehicles, Support Vehicles, and support equipment provided by NCTD by the Service Date or purchased by NCTD during the term of the Contract. The Contractor acknowledges that the full cost, including parts and labor, of such operation and maintenance of Revenue Vehicles and Support Vehicles is fully included in its Base Service cost. See 6.5.4

6.3 NCTD InspectionsNCTD reserves the right in its sole discretion to review maintenance records, and to inspect and reject temporarily or permanently, by notice to The Contractor, any vehicle The Contractor utilizes which the NCTD deems unacceptable due to uncleanliness, appearance, mechanical failure, or safety concerns. In the event any vehicle is rejected by NCTD as a result of deficient vehicle condition or appearance, The Contractor shall take immediate action to address that condition or appearance. If necessary, the vehicle may be removed from service and The Contractor shall replace such vehicle and may be subject to applicable Liquidated Damages, until such vehicle is replaced by The Contractor with one that is satisfactory to NCTD.

6.4 Annual Fleet Optimization PlanThe Contractor shall develop and submit the Annual Fleet Optimization Plan to NCTD by October 1 st on an annual basis for review and incorporation into NCTD’s upcoming fiscal year budget which begins on July 1st. The Annual Fleet Optimization Plan that is designed to assure the serviceability of each vehicle for its projected remaining useful life. The Fleet Optimization Plan shall provide a five-year forecast of all required capital purchases and vehicle subsystem and component overhauls and identify all items that may not meet Buy America requirements. The Annual Fleet Optimization Plan shall be developed by evaluating The Contractor’s Preventative Maintenance Plan, OEM vehicle maintenance and overhaul recommendations, actual fleet maintenance history, SPRINTER and COASTER service factors, the SRINTER and COASTER operating environment and effective maintenance practices of other Siemens,

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“Desiro Classic”, Diesel multiple units, Bombardier Bi-Level Passenger Cars and EMD locomotives, as applicable.

6.5 Revenue Vehicle Maintenance6.5.1 Maintenance Standardsa. The Contractor is responsible for maintaining NCTD Revenue Vehicles deployed on COASTER and

SPRINTER service in accordance with NCTD, FRA, CPUC, APTA PRESS, NCTD fleet management plans, OEM standards and instructions, and all other applicable standards and regulations. The Contractor, when conducting maintenance of equipment activities, shall follow the Workmanship and Materials standards as outlined in Appendix D. The Contractor shall maintain the Revenue Vehicles of NCTD and not defer maintenance or cleanliness. The Contractor shall be responsible for maintaining all Revenue Vehicles in proper working condition, and free of damage or malfunction.

b. The Contractor is responsible for replacing the components and systems identified in Section 6.5.6.6 – Overhauls with prior written approval from NCTD. The Contractor shall be responsible for replacing all other components and systems not identified in Section 6.5.6.6 – Overhauls as part of base services.

c. The Contractor, at its sole expense, shall repair any rail revenue vehicle damaged by vandalism, or otherwise in need of repair from normal wear and tear (including parts and labor, seat covers) as part of the base scope. Normal wear and tear is deterioration that occurs without negligence, carelessness or abuse of equipment.

6.5.2 SafetyThe Contractor will maintain all Revenue Vehicles in accordance with all OEM, NCTD, local, state, federal requirements for safety and all other applicable standards and regulations.

6.5.3 Appearance6.5.3.1 Passenger Cars and Diesel Multiple Units (DMUs)Daily CleaningThe Daily Cleaning provisions set forth herein shall be applied to both passenger cars and DMUs. This cleaning will take place no less than once every day for each passenger car or DMU. See appendix F-5 for daily cleaning checklist. The Daily Cleaning shall include, but not be limited to, the following work:

Interior:

Remove all trash Wipe down all seating surfaces Clean all spills on all floors Sanitize all handles and passenger grab handles, stanchions, and hand-holds Toilet Room

- wash all surfaces with an approved anti-bacterial cleaner- dumping the waste from the toilets each night after revenue service- filling water tanks

Sanitize water fountain Remove all graffiti, etching, vandalism, and unauthorized materials (stickers, gum, etc., from interior

surfaces) Clean all tabletops Re-stock all supplies (paper towels, toilet paper, schedules, etc.) Wash and squeegee interior cab windows Vacuum, sweep and mop floors

Exterior:

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Remove all graffiti, etching, vandalism, and unauthorized materials (stickers, gum, etc., from exterior surfaces)

92-Day CleaningThe 92-day cleaning shall be applied to both passenger cars and DMUs and will take place no less than once every 92-days for each coach and DMU. See appendix F-5 for 92-day cleaning checklist. The 92-day Cleaning shall include, but not be limited to, the following work:

Interior:

Remove all trash Hand wash all interior panels (walls, bulkheads, ceilings, etc.) Hand wash seat backs and bottoms, arm rests, cup-holders, crevices, and headrests Replace any dirty, worn or torn seat covers. Clean and sanitize table tops and clean table legs Hand wash seat frames Clean all vents and air-conditioning grills Clean door tracks Vacuum and shampoo all carpeted areas Sweep tile floors, then strip and mop tile floors Wash and squeegee windows Wash floor and heater guards Clean all light covers and fixtures Toilet Room – wash all surfaces with an approved anti-bacterial cleaner Sanitize water fountain Hand wash all stanchions and partitions Hand wash all cab surfaces (console, switches, etc.) Hand wash all trash receptacles Inspect all decals and repair/replace as required Remove all graffiti, etching, vandalism and unauthorized materials (stickers, gum, etc. from interior

surfaces).

Exterior: Wash coach exterior with an approved cleaner Hand wash and squeegee windshields and all windows Hand wash doors and frames Remove all debris from the exterior of the vehicle; Inspect all decals and reflective materials and repair/replace as required; and Remove all graffiti, etching, and unauthorized materials (stickers, gum, etc. from exterior surfaces).

6.5.3.2 LocomotivesDaily CleaningThe Daily Cleaning will take place no less than once every day for each locomotive. The Daily Cleaning shall include, but not limited to, the following work:

Interior

Remove all trash; Wipe down all seating surfaces; and Wash and squeegee windows.

Exterior:

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Remove all graffiti, etching, vandalism, and unauthorized materials (stickers, gum, etc., from exterior surfaces)

92-Day CleaningThe 92-day Cleaning shall include, but not limited to, the following work:

Interior

Remove all trash; Hand wash seat backs and bottoms; Wash and squeegee windows; Wash floor and heater guards; Hand wash all cab surfaces; Remove all graffiti and unauthorized materials (stickers, gums, etc. from interior surface) Pressure wash floor of engine room

Exterior

Wash locomotive exterior with an approved cleaner Power wash trucks, fuel tank; Hand wash and squeegee windows; Remove all graffiti and unauthorized materials

6.5.3.3 Exterior Train WashingAll revenue equipment will be run thru exterior automatic train washing systems every other day. In addition, SPRINTER DMU equipment will be hand washed annually, one DMU per month. SPRINTER DMU equipment will be waxed annually, one DMU per month in the same month it receives the hand washing.

6.5.3.4 Seat Covers and Seat FoamThe Contractor shall machine wash the seat existing covers and maintain a sufficient supply of new seat covers to ensure that all seat covers shall be replaced during the 92-day cleaning or on an as-needed basis due to spills or stains. Seat covers with obvious rips, tears, or worn areas shall be replaced with new or washed seat covers during the daily cleaning. Seats with degraded seat foam shall be replaced with new or washed seat covers along with new seat foam during the 92 day cleaning.

6.5.4 Wheel TruingThere are no drop tables or wheel truing machines at SMMF or SOF. Wheel truing is currently outsourced for both SPRINTER and COASTER. The Contractor shall arrange for wheel truing to be accomplished off-site by a third party or by other means. The cost of wheel truing shall be included in the base statement of work.

6.5.5 Regular Inspections and Preventive Maintenancea. In performing regular inspections and preventive maintenance, The Contractor shall comply with:

COASTER Fleet Management Plan, FRA regulations and CPUC regulations, and any other regulatory requirements for frequency and scope of COASTER inspections and preventive maintenance;

SPRINTER Fleet Management Plan and CPUC regulations, and any other regulatory requirements for frequency and scope of SPRINTER inspections and preventive maintenance; and

Workmanship and Materials standards as outlined in Appendix D

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b. Regular Inspections and Preventive maintenance should, to the maximum extent feasible, be conducted during off-peak periods, and should be conducted in a timely manner to minimize the amount of time vehicles are out of revenue service. Any material changes to the approved maintenance program shall require the prior written approval of NCTD.

6.5.5.1 Timing and ScopeThe Contractor shall refer to COASTER and SPRINTER OEM requirements, regulatory requirements, and NCTD’s fleet management plans for the timing of inspections and preventive maintenance. All regular inspections and preventive maintenance shall be performed on schedule.

6.5.5.2 Defects Any defects noted by The Contractor during any inspection or during routine or preventive maintenance shall be noted on a Defect Report. Appropriate action shall be taken by The Contractor to correct defective items noted in a Defect Report prior to the operation of the Revenue Vehicle. Revenue Vehicles shall not be operated with defects or other required repairs that make them unsafe to operate. NCTD requires that there be no deferred work or repairs without NCTD’s prior written approval.

6.5.5.3 Records a. The Contractor shall use JDE or another NCTD-approved software to record, monitor, and report on

all Revenue and Support Vehicle maintenance, inspections, parts utilization, fueling, and repair activities. In addition, The Contractor shall use the same software to record and report on warranty repair information in accordance with Section 3.5 - Warranties. The Contractor shall enter all of the required data into the system on a daily basis. The Contractor shall generate reports for NCTD to review on a monthly basis, and should provide data extracts for import and interface to the NCTD internal systems.

b. A written record of all inspections shall be kept by The Contractor. The Contractor shall utilize inspection forms that encompass all items listed on the sample inspection forms from the COASTER and SPRINTER Fleet Management Plans, and meet all applicable regulatory and OEM requirements. The Contractor shall maintain such records for NCTD inspection at any time. The Contractor shall utilize JDE (or another NCTD-approved software) in submitting reports and maintenance records. Records shall be maintained as permanent NCTD property.

c. Records shall contain at a minimum:

1) Vehicle #

2) Vehicle mileage/hours at time of inspection/repair

3) Date of inspection/repair

4) Description/Coding of work being performed

o Complaint (why vehicle is in the shop)

o Cause (problem found)

o Correction (repairs performed)

5) Labor used for inspection/repair

6) Parts used for inspection/repair

o Part OEM#

o Parts Cost

7) Name/Signature of employee releasing vehicle to service

8) Name/Signature of supervisory personnel granting/reviewing vehicle for release to service.

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6.5.5.4 Parts and Supplies In carrying out all scheduled and unscheduled vehicle maintenance and repairs, The Contractor shall use parts and supplies from the OEM or parts and supplies that are better or equal in quality and service. The Contractor shall provide documentation to substantiate request. NCTD reserves the right to reject the use of any after-market product or supply that NCTD finds is not equal or better in quality or service to the OEM product. For the items that are identified as the responsibility of NCTD, The Contractor will need prior approval before or if such product or supply jeopardizes existing warranty.

6.5.5.5 Fluid Analysis As part of its maintenance program, The Contractor shall implement an NCTD-approved fluid analysis program. At appropriate intervals, as proposed by The Contractor and approved by NCTD, The Contractor shall retrieve samples of the required fluids and have the samples analyzed at a facility approved by NCTD, at The Contractor’s sole expense. The fluids covered by this program and the applicable requirements are as follows:

Engine oil shall be analyzed in advance of each preventive maintenance inspection, as directed by NCTD, and each unscheduled oil change.

Transmission fluid shall be analyzed each time it is drained and replaced, in accordance with the applicable schedule, and at a minimum shall be analyzed annually.

Coolant and differential fluid shall be analyzed at least annually. HEP oil shall be analyzed in advance of each preventive maintenance inspection, as directed by

NCTD, and each unscheduled oil change. Gearbox oil shall be analyzed in advance of each preventive maintenance inspection, as directed

by NCTD, and each unscheduled oil change.

6.5.5.6 Applicable Codes and Regulations The Contractor shall be responsible for ensuring that all vehicles utilized in service under the Contract are safe for operation on right-of-way and meet all requirements of the FRA, CPUC, FTA, and any other applicable regulatory requirements. All vehicles (including all parts and all equipment mounted on or in the Vehicles) shall conform to Title 13, the Americans with Disabilities Act, and all applicable regulations of the California Air Resources Board and the U.S. Environmental Protection Agency.

6.5.5.7 Response Times and Actionsa. Required Response - In the event of a trouble call, The Contractor shall promptly dispatch a

technician(s) (if appropriate). The maximum response time (i.e., the time between the receipt of a trouble call until the arrival of a technician) shall be sixty (60) minutes. NCTD reserves the right to establish additional criteria regarding the reliability of The Contractor’s response in the event of mechanical failures and accidents.

b. The Contractor shall take all necessary steps to minimize delays due to mechanical failures and restore revenue service.

6.5.5.8 Reporting MarksNCTD will pay for reporting mark registration. The Contractor is responsible for maintaining the legibility of the reporting marks applied to the exterior of the equipment.

6.5.6 Vehicle Warranty Repairs, OEM Bulletins and Other Repair Work

The Contractor shall be responsible for the exercise and enforcement of all warranties relating to all Revenue Vehicles and all systems, components, and subcomponents thereof, and shall also be responsible for taking all available and reasonable actions to ensure that all warranty covered repairs or service bulletin repairs are performed in a timely fashion. All repair work shall be performed in a manner that will preserve all applicable warranties. Failure to exercise warranties or perform service bulletin repairs or updates will not relieve The Contractor of current or future responsibilities for repair.

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6.5.6.2 Notice of DefectsIf The Contractor detects a defect or malfunction within the applicable warranty period, The Contractor shall promptly notify NCTD of the actions it is taking to enforce the warranty. Following commencement of the warranty repair process, The Contractor shall promptly notify NCTD of any disagreements or disputes with the equipment manufacturer or supplier regarding warranty coverage. Such notice shall include a description of the disagreement or dispute and a suggested plan for resolution. The Contractor shall also record all warranty repairs in JDE or other NCTD-approved software.

6.5.6.3 TrainingThe Contractor shall ensure that all appropriate maintenance personnel receive training from qualified individual(s) on OEM warranty procedures for all Revenue Vehicles and all systems, components, and subcomponents thereof.

6.5.6.4 NCTD RoleNCTD agrees that it will take whatever actions may be appropriate to assist The Contractor in ensuring timely warranty repairs and resolving any warranty disputes. NCTD may directly contact the equipment manufacturer or supplier to pursue the prompt resolution of warranty issues. Such actions by NCTD do not relieve The Contractor of its obligations as described in this Section.

6.5.6.5 Repair Standardsa. All repairs made by The Contractor shall comply with OEM requirements and, at a minimum, follow

the Workmanship and Materials standards and practices in Appendix D.

b. The Contractor’s maintenance personnel shall have the necessary equipment and tools to perform any authorized work. All repairs must be in accordance with the following:

1. Upon removal of a vehicle from service for repairs, a schedule shall be established within twenty-four (24) hours setting forth a timetable for repairs and an estimated date for returning the vehicle to service.

2. Inspection and/or repair work shall be commenced promptly in accordance with the established schedule.

3. The Contractor shall provide daily updates to reflect the progress of work and the estimated return of the vehicle to service.

4. To the maximum extent feasible, The Contractor shall not remove vehicles from Revenue Service during peak periods except to conduct emergency repairs.

6.5.6.6 OverhaulsVehicle and Component Overhauls

a. The Contractor shall be responsible for all aspects of completing overhaul projects based on the unit pricing provided as part of this procurement. Overhauls are to be completed based on Maintenance plan and Optimization plan schedules. OEM recommendations, operating conditions and condition based assessments are the basis of the final determination to complete the overhaul. Below are tables of the major overhaul projects. The list is not all inclusive, but serves as high level view of the major projects. More detail of the requirements is contained in the OEM recommendations, Optimization plan and the corresponding NCTD Fleet Maintenance Plans. The requirements of the projects are to comply with all regulatory requirements, OEM recommendations, ensure continued serviceability and to restore the vehicles and components to a “Like New’ Condition on a proactive basis.

The Contractor will be responsible for cost of rebuilding the respective vehicles/components, including cost of shipping to third-party the Contractor’s location. The Contractor will provide monthly reports and invoices that provided detail of any completed capital projects and the cost associated to each overhaul project. These overhaul projects will be priced on unit cost basis as provided for in the cost forms.

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The Contractor will be responsible for the labor costs for removal of old replacement components and sub-systems and installation costs of new or rebuilt components and sub-systems. These labor activities and associated costs should be included as part of the base services.

COASTER Locomotives

Component Frequency Last Overhaul

Complete Overhaul “Summary”

(Includes but not limited to body corrosion, complete exterior and interior paint, truck reconditioning, cab interior reconditioning, glass replacement, replacement/rebuild of coolant package, brake system, hydraulic system, auxiliary alternator, batteries, voltage regulator, fuel system, air compressor, shock and spring assemblies, control systems and evaluation of electrical and pneumatic systems and piping for replacement or rebuild if necessary) this is in addition to the items listed below.

10 years 2001-2005 for F-40

Not done for F-59

Traction Motor 8 years

Head End Power 30,000 hours

Main Engines/Generator 10 years 2001-2005 for F-40

2012 for F-59

COASTER Passenger/Cab Cars

Component Frequency Last Overhaul

Interior/Exterior Refresh “Summary”

(Includes but not limited to body corrosion and complete exterior paint, truck reconditioning, operators cab interior reconditioning and control replacement for cab cars only, interior reconditioning and replacement to include; seat foam, seating material, flooring tiles, carpet replacement, interior lighting replacement to LED, graphics and signage replacement, complete restroom refurbishment, evaluation of electrical systems and pneumatic systems and piping for replacement or rebuild if necessary)

12 years Cars 2201-2208, 2301-2308, 2401-2406 were overhauled in 2005-2010. Cars 2309-2310 and 2501-2504 have not yet received an overhaul.

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HVAC System Refrigerant Upgrade

When Required

SPRINTER DMUs

Component Frequency Last Overhauled

Power Pack overhaul 18,000 – 19,000 Hours None

Truck overhauls 5 years None

Gearbox 10 to 12 years None

Exterior corrosion and paint 10 years None

HVAC System Refrigerant Upgrade

When Required None

The Contractor shall be responsible for the cost (other than work covered by warranty), and proper performance of any major items on Revenue Vehicles that are required sooner than the standards for replacement set forth in the tables or plans. Any sub-component or major component failure after the rebuild interval is complete is the responsibility of the Contractor with the exclusion of any warranty provisions.

b. Major Overhauls

NCTD’s ability to reimburse the Contractor for capital overhaul projects for Revenue Vehicles is contingent on Federal, State and Local funding sources. During the contract term there may be the need to extend or modify the overhaul schedules. This modification will only be permitted with NCTD approval. Modifications will take into consideration; priorities, safety, OEM recommendations, regulatory requirements and condition based assessments.

In the event of a complete major system failure where it is determined a complete overhaul is necessary and NCTD requested to modify or extend the schedule, NCTD will be responsible for the cost.

In the event NCTD decides to delay/postpone the performance of certain Major Overhauls listed in the price forms, Bombardier will only assume the costs relating to the failure of “Minor Subcomponents” during three (3) additional years past the OEM recommendations. Past the above mentioned period, or if NCTD’s decision to delay/postpone the performance of certain Major Overhauls is inconsistent with Bombardier’s recommendations further provided in Bombardier’s annual capital/optimization plans, then Bombardier will not assume the costs relating to the failure of “Minor Subcomponents”. “Minor Subcomponents” is defined as material with a value of $1,000 or less and that can be replaced on the maintenance premises internally by Bombardier within four (4) labor hours or less in the context of a regular corrective maintenance. “Minor Components” include, for example, starting motor, fuel injector, hoses and pipes. It however excludes, for example, traction motors, HVAC compressor/condenser.

It is understood that for complete major system failures, and anything not included in what constitute “Minor Subcomponents”, Bombardier will not assume the costs arising because of NCTD’s decision to delay/postpone of the Major Overhauls. Also, in any event, Bombardier will not be held liable for any damages (including liquidated damages) arising because of such modification/extension of the Major Overhauls. Finally, it is understood that NCTD will not delay/postpone Major Overhauls governed by FRA or any other safety regulations.

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Lori Winfree, 12/14/15,

Bombardier email 12.11.2015


A sample of the prior Statement of Work for the overhauls performed on the F-40 locomotives and the Bombardier coaches is attached as Statement of Work Appendix F-6 and F-7

6.5.6.7 Fleet Defectsa. NCTD shall be responsible for declaring Fleet Defects, in consultation with and input from The

Contractor, and for seeking resolution of Fleet Defect issues with the vehicle manufacturer.

b. The Contractor shall promptly notify NCTD of any situation which it reasonably believes may give rise to a Fleet Defect.

6.5.6.8 Heating and Air Conditioninga. All Revenue Vehicles shall enter revenue service with fully-functional heating and air conditioning

services.

b. If the heating or air conditioning on a SPRINTER Revenue Vehicle fails to function properly while in service, The Contractor shall replace such Revenue Vehicle within ninety (90) minutes after the failure was reported.

c. If the heating or air conditioning on a COASTER Revenue Vehicle fails to function properly while in service, The Contractor shall lock out that car to prevent passengers from accessing the car while the train is in revenue service.

d. The Contractor shall perform yearly preventative maintenance actions on HVAC systems to ensure systems are 100% operational throughout the year. Preventative maintenance will include all components, lubricants, mechanical and electrical connections, and ducting. Preventative maintenance will also include cleanings, as well as repairs, checks and adjustments. The Contractor shall develop and submit for NCTD approval, HVAC maintenance plans and check sheets.

6.5.7 Painting and Signage6.5.7.1 Rolling Stock PaintingThe Contractor shall conduct restorative painting on rolling stock with damaged and/or cracked paint for all damaged or deteriorated areas. All restorative painting shall utilize NCTD-approved brand colors and logos as specified in Appendix P, NCTD Brand Guidelines and comply with California environmental regulations. Failure to do so may result in applicable Liquidated Damages (see Section 5.5 of RFP). NCTD has a paint booth on site. NCTD is responsible for maintaining the booth, PM, filters and repairs. However, the Contractor is responsible for securing insurance, operating and environmental permits and tracking paint usage. NCTD may, at its sole discretion, choose to use the paint booth and its facilities for the purpose of repairing and/or repainting non-NCTD rolling stock. This work may be contracted out to a third party. If this work is planned, it shall not interfere with, or adversely affect, The Contractors performance in meeting the requirements of this Statement of Work. These other the Contractors would most likely be doing work of a non-recurring nature, such as a coach refurbishment program.

6.5.7.2 Decals and SignageThe Contractor shall supply, maintain and apply or remove, as required, all decals and signage specified by NCTD, ADA, APTA, and FRA and any other applicable standards and/or regulations, including those which may be added/removed or required after the Service Date. See SOW Appendix C-8 for complete list of current COASTER and SPRINTER decals. If new regulations require additional decals or replacement of current decals, The Contractor shall supply and install new decals. If NCTD requests new non-regulatory decals to be installed (ads, service advisories, etc.), NCTD shall supply the decals and The Contractor shall install decals.

6.5.8 CorrosionThe COASTER and SPRINTER operate in an environment that is highly susceptible to metal corrosion. The Contractor is responsible for maintaining the equipment and preventing and repairing corrosion damage.

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6.5.9 Long-term Holdsa. The Contractor shall not permit vehicles to go unrepaired or remain otherwise unavailable for use

by NCTD for extended periods, without prior written approval from NCTD. Such vehicles shall be termed a “The Contractor’s Long Term Hold.” Any vehicle or vehicle item out of service for greater than seven (7) days during a fifteen (15) continuous calendar day period shall be considered a Long Term Hold. Liquidated Damages may apply where a vehicle is left unrepaired or otherwise remains unavailable due to The Contractor Long Term Hold.

b. A vehicle or vehicle item shall not be deemed a The Contractor’s Long Term Hold if it has suffered major damage, not caused by The Contractor’s actions.

6.5.10 Stripping of Partsa. Rolling stock, spares, and capital assets belonging to NCTD, shall not be stripped of parts to use

on other equipment, unless prior written approval from NCTD is received.b. Parts shall not be cannibalized or removed from any vehicle to repair another vehicle without written

approval from NCTD. If such action is deemed necessary, The Contractor shall request approval from NCTD in writing and request shall contain the following information:

1) Date, mileage/hours, and equipment # of vehicle requiring part2) Date, mileage/hours, and equipment # of donor vehicle3) OEM Part number4) Proof part is on order5) Estimated time of arrival of new part6) Part usage history7) Part minimum and maximum stock levels8) A separate work order will be opened for each instance and each vehicle9) The Contractor shall note each vehicle and each part on daily equipment status report

c. Equipment shall not be in an out-of-service status for more than seven (7) consecutive days awaiting parts. This requirement will not be waived should NCTD deny The Contractors cannibalization request. The intent of this section is to ensure stocking levels are in line with part usage and fleet needs.

6.5.11 Maintenance of On-Board Technology Systemsa. The Contractor is responsible for maintaining all NCTD provided on-board systems including but not

limited to the following. NCTD approved maintenance plan shall be developed to ensure state of good repair for all systems. All maintenance and inspection activities shall be documented similar to other work performed on revenue vehicles in JDE or another NCTD approved software.

1) Automatic Vehicle Location (AVL) devices: NCTD currently uses cellular GPS transponders to send location information to NextBus servers.

2) Automatic Passenger Counters: NCTD currently uses Dilax (COASTER) and Init (SPRINTER) APC systems. These systems consist of a GPS antenna, a processor, and sensors above each door.

3) On-board camera Systems: COASTER Locomotives and Cab cars are using Axis fixed mount cameras connected to an Axis Q8108-R DVR that records forward facing and engineer facing video. COASTER passenger areas are covered by Mobotix Q24 hemispherical cameras. All coach cars and cab cars have 2 Q24 cameras on the upper level and 2 Q24 cameras on the lower level, all recording to local SD memory cards. The OEM to the SPRINTER camera system is Apollo. Each Sprinter LRV has a self-contained camera system which records all actions on the interior of the vehicle and forward and rear facing camera located in the cab area. There are 16 cameras in the Sprinter LRV: 1 in each cab facing forward, 1 in each cab facing the operator, 1 camera facing each door opening and the rest are covering the interior passenger area. All

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video is captured on a DVR which is located in one of the electric lockers. The DVR captures video for approximately 2 weeks before it is recorded over. The Contractor will be responsible for retrieving video clips.

4) Customer Wireless Internet Network (Wi-Fi ): COASTER and SPRINTER cars are equipped with Cradlepoint MBR1400 broadband routers to provide customer internet access. NCTD will pay for cellular service that provides these routers with an Internet connection. The Contractor will be responsible for maintaining the Wi-Fi router and cellular modems.

5) Passenger Announcement (PA) systems: COASTER vehicles contain a custom built wireless paging solution consisting of Cisco Call Manager Servers and wireless Cisco 7925 Wireless Phones using the legacy amplifiers and speakers installed on each car. SPRINTER PA system is made by GSP SPRACHTECHNOLOGIE GMBH. This system is utilized for the Passenger Announcements, Passenger Intercom System and Destination Sign Information System. The equipment includes interior speakers, intercom units, microphones, interior and exterior destination signs, and central communication logic unit.

6) Passenger Emergency Call box Systems : COASTER cars contain 2 Cyberdata VoIP emergency call box stations that communicate directly with the Cisco Call Manager servers used by COASTER PA System and connect the caller to the Cisco 7925 phones carried by the conductors. SPRINTER passenger call box system is included as part of the communication system provided by GSP SPRACHTECHNOLOGIE GMBH. The only equipment is the passenger intercom unit and an operator communication device

7) Wireless Mesh On-Board Components : COASTER cars use a complex wireless system that is centered on Strix OWS-2400 units that join daily consists together into a standalone wireless network. This network allows all on-board IT systems to communicate. This systems also contains a Strix MWS-100 that connects the entire consist to the trackside wireless mesh network.

b. The Contractor shall safeguard all recorded content on-board the COASTER and SPRINTER technology systems. Such content is the sole property of NCTD, and the Contractor shall upon request release the contents to NCTD in accordance with the chain of custody procedure.

6.6 Support Vehicle Maintenance6.6.1 Maintenance Standardsa. The Contractor is responsible for maintaining NCTD Support Vehicles deployed to perform the

Agreement Services described in the SOW Appendix C-3. The Contractor, when conducting maintenance of equipment activities shall follow OEM standards, as well as the workmanship and Materials standards as outlined in Appendix D. The Contractor shall maintain the Support Vehicles of NCTD and not degrade the value of these assets to reduce The Contractor costs or for any other purpose. The Contractor shall be responsible for maintaining all Support Vehicles in proper working condition, and free of damage or malfunction.

b. The Contractor shall, at its sole expense, repair or replace damage to any vehicle caused by an accident or collision with foreign objects. If a third party is responsible for the damage to the vehicle, the Contractor should seek reimbursement from the negligent third party and/or the carrier. In the case of damage impairing the safe mechanical operation or proper appearance of the vehicle, such repairs shall be made immediately.

c. Any The Contractor supplied Support Vehicles shall, at a minimum, be maintained using the same preventive maintenance, graphic, and cleanliness standards as the NCTD-provided vehicles in accordance with OEM regulatory and NCTD requirements.

6.6.2 SafetyThe Contractor will maintain all Support Vehicles in accordance with all local, State, and Federal requirements for safety.

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6.6.3 AppearanceSupport Vehicles used in the provision of the Agreement Services shall be washed, and cleaned inside and outside at least every other week.

6.6.4 Regular Inspections and Preventive Maintenancea. Each Support Vehicle shall receive a daily pre-trip inspection by The Contractor prior to being placed

in service and at each change in operators. Daily pre-trip inspections shall be supplemented by regular time and mileage maintenance inspections to ensure safe and proper operating condition of vehicles. A record of all such inspections shall be kept by The Contractor in the Drivers’ Daily Reports and shall be available to the NCTD upon request.

b. The Contractor shall follow an NCTD-approved Preventive Maintenance Program for Support Vehicles, which should include the manufacturer’s recommended maintenance schedule. Any material changes to the approved Preventive Maintenance Program shall require prior written approval of NCTD.

c. The Contractor shall perform routine Preventive Maintenance Inspections and Servicing at intervals of 5000 miles or the recommended OEM standards and specifications, whichever is lower. All Preventive Maintenance Inspections shall be performed “On Schedule”, defined as within +/- 10% of the schedule mileage mark each month.

d. The Contractor shall have proof of insurance and the current vehicle registration in the vehicle at all times. The Contractor shall provide a monthly report of beginning and ending mileage/hours for each support vehicle. Beginning mileage/hours will be taken at 00:00:00 of the first day of the month and the ending mileage/hours will be taken at 23:59:59 of the last day of the month.

6.6.5 Replacement of Support Vehiclesa. NCTD intends (but is not obligated to) to replace Support Vehicles during the Contract Term at the

following intervals:

Type Interval

Light Duty Vehicles with Gross Vehicle Weight Rating (GVWR) 10,000 pounds or less

150,000 miles (or 10 years)

Heavy Duty Vehicles with GVWR more than 10,000 pounds

250,000 miles (or 15 years)

b. If Contractor identifies other support vehicle or equipment needs above and beyond NCTD supplied vehicles and equipment, The Contractor should prepare a written request to NCTD stating:

1) Exact vehicle or equipment needed

2) Date needed

3) How extra equipment will benefit NCTD or provide cost savings to NCTD

c. NCTD will consider such requests, but will not be obligated to provide equipment if NCTD does not concur with The Contractor’s assessment of cost savings or proposed benefits.

6.7 Fuelinga. NCTD, or its authorized agent, is responsible for purchasing and paying for locomotive fuel to be

utilized at the Stuart Mesa Facility and Escondido Maintenance Facility. The Contractor is not responsible for purchasing or paying for locomotive fuel.

b. The Contractor is responsible for coordinating the need to purchase, receive, and document delivery of fuel with NCTD or its authorized agent. The responsibility includes notifying NCTD, or its authorized agent, of inventory levels.

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c. The Contractor is responsible for fueling locomotives at SMMF and in emergency situations at the San Diego Trolley yard. The Contractor is responsible for properly fueling SPRINTER vehicles at SOF.NCTD’s fuel supplier normally delivers during daytime, weekday hours. If deliveries are required at other hours due to the requirements of The Contractor, NCTD may require The Contractor to pay extra costs associated with altered delivery hours.

d. The Contractor will be responsible for using NCTD provided fuel cards for all other vehicles and equipment. NCTD will be responsible for the cost of the fuel. A daily fuel log will to be maintained in each vehicle outlining the monthly accumulated miles, fuel dispensed, miles and date of fueling. The Contractor will be required to submit a monthly, non-revenue fuel report indicating; total miles per vehicle, fueling dates and quantities by vehicle. NCTD will perform a monthly audit of the fuel usage. The Contractor will be responsible for the cost of any unaccounted or unauthorized fueling. The Contractor is also responsible for the security of the fuel cards. Any lost cards or unauthorized fueling as a result of a lost card is the Contractors responsibility. The Contractor is responsible for the creation and enforcement of a fuel card use plan to eliminate waste and abuse of the fuel cards.

6.8 Cleaning and Servicing for Metrolink EquipmentSCRRA, under a March 1994 Agreement with NCTD, can store up to thirty-four (34) coaches and nine (9) locomotives at NCTD’s permanent layover facility (currently the Stuart Mesa Maintenance facility). At the request of SCRRA, The Contractor shall make this storage space available to SCRRA. At SCRRA’s expense and direction, The Contractor is also responsible for the lay-over maintenance that may be required on the train sets that are stored at the Stuart Mesa Maintenance facility. The Contractor shall have different staff for Metrolink cleaning and servicing (see Appendix T-3). The Contractor shall separately allocate costs for Metrolink and COASTER maintenance, and shall ensure Metrolink costs are not attributed to COASTER. The Contractor shall directly invoice SCRRA for the services rendered on SCRRA equipment based on the Statement of Work agreed upon by The Contractor and SCRRA, and at the unit cost quotes provided by The Contractor in appropriate price forms separately (refer to price forms for more instructions). These unit costs shall apply for all work performed pursuant to the Statement of Work regardless of consist size or number of consists maintained. Any work performed in addition to tasks described in the SCRRA Statement of Work shall be considered Extra Work and shall be compensated by SCRRA at the rates negotiated between The Contractor and NCTD for NCTD’s equipment. All of these costs, terms, and conditions shall be the subject of a separate agreement between SCRRA and The Contractor (see Appendix T-1).

6.8.1 SCCRA Statement of WorkCurrently SCRRA stores five (5) train sets at the Stuart Mesa facility overnight. The train sets stored overnight currently include one locomotive and six cars each. SCRRA may add additional train sets for overnight storage during the course of the contract period up to the 34 car and/or 9 locomotive limit. Current maintenance activities on these train sets include light cleaning of the vehicles and conducting any inspections necessary to prepare the train set for revenue service.

These activities are detailed in the following SCRRA statement of work:

D a ily :1) Shut down the equipment, apply ground power and air if available.

2) Start equipment in preparation for departure of train from yard for service.

3) Perform Class 1A Brake Test as described in, and in compliance with, 49 CFR 238.315.

4) Inspect and test cab radio(s) for proper operation – adjust or repair as necessary.

5) Inspect and test windshield wipers for proper operation – adjust or repair as necessary.

6) Test toilets and faucets for proper operation, adjust or repair as necessary.

7) Cleaning of passenger cars and locomotives including:

* Emptying all trash receptacles

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* Removal of all litter and debris from equipment

* Cleaning of toilets, vanities and mirrors

* Restocking of paper goods in bathrooms and cups at drinking fountains

* Sweeping and mopping of all bathroom floors

* Vacuuming of floors and steps in cars

8) Cleaning of windshields

9) Class 1 Air Brake Test and a Daily Inspection according to 49 CFR 229.21, 238.303, 238.305 and 238.313.

Weekly:1) All train sets stored overnight at Stuart Mesa shall receive a Class 1 Air Brake Test and a Daily

Inspection according to 49 CFR 229.21, 238.303, 238.305 and 238.313 prior to Monday morning revenue service.

As Required:1) Cleaning of windows (spray and wipe). Assume approximately 100 windows per month.

2) Miscellaneous repairs such as: Replacement of light bulbs and lamps, replace blown fuses, replace brake shoes/pads, resetting breakers and devices. Assume approximately 16 car brake shoes per month, 8 locomotive brake shoes per month, 8 disk pads per month, 1 case of bulbs/lamps per month, and 6 fuses per month. Other repairs deemed necessary to prepare the equipment for service shall be performed at the rates established in the Proposal for such tasks. SCRRA reserves the right to review such charges for reasonableness and negotiate a settlement for disputed charges. Should SCRRA and the Contractor fail to agree upon the charges appropriate for the work, the matter shall be subject to the dispute resolution clause in the Agreement.

Offerors shall provide the total annual cost of the SCRRA equipment layover maintenance as described in this section as a separately i d entified co m ponent of the NCTD Base Services costs, using appropriate price forms.

This form requires an annual firm quote per consist for the currently scheduled equipment sets. This SCRRA maintenance cost shall be included in the evaluation of total cost of NCTD Base Services, for evaluation purposes only. However, all personnel and material provided by the Contractor for the SCRRA maintenance shall be identified separately from the personnel and material to be provided for NCTD’s rolling stock maintenance.

Unless otherwise negotiated between the Contractor and SCRRA, the terms conditions negotiated between The Contractor and NCTD for NCTD’s equipment shall apply to maintenance services performed on SCRRA’s equipment. The Contractor shall directly invoice SCRRA for the services rendered on SCRRA equipment based on the Statement of Work in this section, and at the unit cost quotes provided by the Contractor in appropriate price forms separately (refer to price forms for more instructions). These unit costs shall apply for all work performed pursuant to the Statement of Work regardless of consist size or number of consists maintained. Any work requested and performed in addition to tasks described in the SCRRA Statement of Work will be compensated at the ho u r l y rates negotiated between the Contractor and NCTD for NCTD’s equipment. All of these costs, terms, and conditions shall be the subject of a separate agreement between SCRRA and the Contractor. No Extra Work shall be performed on SCRRA equipment by the Contractor without the express authorization of SCRRA or SCRRA’s equipment maintenance the Contractor.

6.9 Advertising Installation and RemovalThe NCTD Marketing department manages an advertising sales program in which Coaster and Sprinter exterior rail car wraps and interior signs are sold to generate revenue. Advertising installations and removals shall be completed by NCTD’s advertising sales consultant and sub consultants and take place at either the Stuart Mesa maintenance facility or the Sprinter maintenance facility. The Contractor’s

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responsibility shall be to make best efforts to accommodate requests related to this program in order for NCTD to maximize revenue opportunities using the following as guidelines:

a. COASTER exterior advertisements

1) Upon notification of an exterior wrap sale, the Contractor shall provide NCTD with a general car assignment (coach or cab) to be used for the wrap within four business days.

2) The Contractor shall provide NCTD with a preferred installation date and time that allows a minimum of ten business days’ notice for the advertising installer.

3) The Contractor shall provide NCTD with a preferred removal date and time that allows a minimum of ten business days’ notice for the advertising remover.

b. COASTER interior advertisements

1) NCTD shall provide the Contractor a minimum of ten business days’ notice of the requested date to install interior advertisements. Best efforts will be made to complete interior advertisement installations after 9:00 p.m.

2) NCTD shall provide the Contractor a minimum of ten business days’ notice of the requested date to remove interior advertisements. Best efforts will be made to complete interior advertisements removals after 9:00 p.m.

a. SPRINTER exterior advertisements

1) Upon notification of an exterior wrap sale, the Contractor shall provide NCTD with a general car assignment to be used for the wrap within four business days.

2) The Contractor shall provide NCTD with a preferred installation date and time that allows a minimum of ten business days’ notice for the advertising installer.

3) The Contractor shall provide NCTD with a preferred removal date and time that allows a minimum of ten business days’ notice for the advertising remover.

a. SPRINTER interior advertisements

1) NCTD shall provide the Contractor a minimum of ten business days’ notice of the requested date to install interior advertisements. Best efforts will be made to complete interior advertisement installations after 12:00 a.m.

2) NCTD shall provide the Contractor a minimum of ten business days’ notice of the requested date to remove interior advertisements. Best efforts will be made to complete interior advertisements removals after 12:00 a.m.

All involved parties shall make best efforts to accommodate advertisements sold on short notice or that require special circumstances.

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7. MAINTENANCE-OF-WAY AND SIGNAL

7.1 NCTD Right-of-Way a. The Contractor’s maintenance responsibility will be on the NCTD controlled Right-of-Way along the

following rail lines some of which may extend some distance from the tracks themselves.

Orange County Line to downtown San Diego extending from mile post 207.4 to 267.76 Oceanside Transit Center to Escondido Transit center extending from mile post 99.3 to

121.66 Stuart Mesa Maintenance Facility Escondido Maintenance Facility Following spurs and sidings

o San Onofre House Track MP208.6

o SoCal Edison Spur MP209.4

o Lemon Grove Wye East Leg MP224.2

o Lemon Grove Wye West Leg MP223.7

o Fallbrook Wye West Leg MP224.5

o Fallbrook Wye East Leg MP 225.2

o SDG&E Spur MP231.3

o Ponto House Track MP234.3

o Pines Spur MP249.8 track

o Miramar House Track MP253.0

o Levitz Spur MP 263.4 (to be removed as part of Mid-Coast Project)

o West leg Washington Street Wye MP 265.5

(Now called Kennebeck Spur, will need billing for this under separate invoice each month to bill MTS for services)

o East leg Washington Street Wye MP 265.55

o Union Tribune MP 114.9

o Robert Irrigation MP 117.3

o Pine Tree Lumber MP 120.3

o Vita Gold (Mission Pool) MP 121.66

b. Along the Right-of-Way, The Contractor shall maintain all Right-of-Way Assets, including but not limited to, rail lines, signal and communication systems, and related facilities (including signals, crossing warning devices, communication systems, and poles), railroad tracks and related components (including rails, ballast, ties, tie pads, and fasteners), turnouts (including switch points, frogs, switch ties, switch stands, and other switch components), bridges, trestles and culverts, structures, and facilities within the Right-of-Way, yards, designated passenger tracks, and designated freight tracks.

c. The Contractor will also be responsible for the maintenance of new Right-of-Way, track, and signal systems built after the award of the Contract but during the Contract term. The Contractor is required to review Section 1.3 - Future Plans for additional new projects that might add Right-of-Way, track, and signal systems. See Statement of Work Appendix S-5 and S-6 for NCTD track charts and Statement of Work Appendix S-3 for grade crossing equipment summary chart.

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7.2 Base Maintenance of Way Services Plan and Signal Services Plan

The proposed Base Maintenance of Way Service Plan and Signal Service Plan shall be separate documents and shall be developed by each individual Proposer based on the review of this RFP’s requirements, NCTD key documents and plans associated with maintenance of way and signal services, and other information as available and subsequently requested by Proposers and provided by NCTD.

The Base Maintenance-of-Way Service Plan shall identify all work, including the inspection and maintenance activities to be undertaken by The Contractor, Maintenance-of-Way Standards, and frequencies of tasks, staffing plan, and specific schedules for accomplishing such work, and proposed work windows or Rail Service diversions.

The Base Maintenance-of-Way Service Plan shall include at least the following components:

Rail Maintenance Program (including Rail Grinding and Rail Replacement Program) Preventative Maintenance and Inspection Schedule and Documentation Requirements Tie Maintenance Program (including Tie Replacement Plan and Track Surfacing) Special Track Work Maintenance Program Ballast and Roadbed Maintenance Program Right-of-Way Maintenance Program (including mowing and removal of graffiti, vegetation, trash) Drainage Maintenance Program (including Drainage Ditch Reshaping Plan) Fencing Maintenance Program (including Fencing Installation Plan) Bridge, Culverts And Track Structures Inspection and Maintenance Program Update MOW Standards Annually (including Track Maintenance and Engineering Instructions

(TMEI), Continuous Welded Rail Plan (CWR) Standard drawings and Specifications. Material Management Plan Inspection and Testing Plan - The Contractor shall submit an Inspection and Testing Plan that

contains inspection procedures and schedules to confirm all tests are performed. Shunting Plan – The Contractor shall supply a shunt use and training plan. This plan shall clearly

state who can place a shunt and under what circumstances a shunt can be used. The plan shall clearly state all persons using shunts have been trained to understand that it is their responsibility to ensure the safety of the traveling public. The shunt training program will address the dangers of placing a shunt that can interfere with the normal functioning of automatic grade crossing warning systems, the wayside signal system, and a review of the work plan to decide if proper flagging protection is needed.

7.3 Maintenance Crew Uniform Requirementsa. All uniforms shall be coordinated to NCTD brand colors and logos as specified in NCTD’s brand

guidelines document (Appendix P) or meet ANSI Class II (Orange only). The Contractor shall include details of proposed uniform for NCTD approval as part of mobilization. Hats, caps, shirts, vests, coats and jackets shall display the NCTD logo. Shoes shall be black, consistent with GCOR regulations, and kept in good repair. The Contractor maintenance employees who leave their job with The Contractor shall be required to return all uniforms to The Contractor.

b. The Contractor shall ensure that The Contractor maintenance employees report for duty as scheduled, neatly groomed, and in the proper uniform. Appearance shall at all times be neat, clean and professional.

c. All Contractor maintenance employees shall wear name badges on their outer layer of clothing that clearly identify them as a crew member. All uniform shirts, coats and jackets shall have an identification number permanently affixed to their on the upper right shoulder that can be used to identify each employee.

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7.4 Response TimeThe Contractor shall immediately respond and arrive at any location on the NCTD Right-of-Way as expeditiously and safely as possible upon the notification of a defective condition or emergency situation. At no time should the elapsed time between notification and arrival time exceed sixty (60) minutes

7.5 Track and Structures7.5.1 Operating ConditionsThe Contractor shall understand the operating environment of the rail service. This operating environment includes:

All weather conditions (including high surf) Highway and transit interfaces, The potential of derailments and accidents, Vandalism, trespassing, and other crimes, Shared operations with Amtrak, Metrolink, PAC SUN and BNSF Shared corridor operations with MTS Coastal areas (highly corrosive), and environmentally sensitive areas Regulatory requirements and standards to include but not limited to the FRA, FTA, APTA, AREMA,

DHS, Caltrans, CPUC, NCTD, the U.S. Coast Guard, Department of Defense and state and local authorities to the degree applicable.

7.5.2 Maintenance Performancea. In the performance of the Agreement Services, The Contractor shall maintain the Right-of-Way and

Right-of-Way Assets, and shall not defer maintenance of either for any reason, without NCTD’s prior written approval. The Contractor’s responsibility regarding the Right-of-Way and Right-of-Way Assets includes control of the assets’ configuration and the information required for a safe, quality, and economical rail service.

b. The Contractor shall fully remedy, remove or replace all work which has been rejected by NCTD and or a regulatory entity as not being in accordance with the terms of the Contract, and no additional compensation will be allowed for such removal, replacement or remedial work. Upon failure of The Contractor to comply with any direction regarding such work, NCTD may cause the rejected work to be remedied, removed, or replaced by other the Contractors. NCTD may deduct the costs of the work performed by the other the Contractors from any payments due or to become due to The Contractor.

7.5.3 The Contractor Obligationsa. The Contractor shall inspect, service, repair, and maintain the trackage, Right-of-Way, Right-of-Way

Assets and associated infrastructure.

b. The Contractor shall perform all work in a manner that does not unnecessarily delay or cause disruption to Rail Service. Track outages shall be requested by The Contractor in writing to NCTD at least ninety (90) days in advance of the date needed. Track outages for maintenance will only be allowed under the terms of NCTD Board Policy No. 23. The Contractor shall explore all available alternatives to perform their work during established work windows, except in emergency situations. The Contractor shall explore all available alternatives to the outages and, if none are available, The Contractor shall provide NCTD with the reasons why such alternatives are not viable.

c. All Equipment and appurtenances shall be maintained in accordance with OEM, NCTD, and applicable regulatory requirements.

d. The Contractor shall be responsible for locating all underground utilities within the NCTD Right-of-Way.

e. The tamper, a ballast regulator and a dynamic track (the “Equipment”) will be purchased by The Contractor during the mobilization period. The purchase price of the Equipment is included as part of The Contractor’s mobilization price payable by NCTD, and the “residual value” of the Equipment

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at the end of the Contract has been already deducted/credited from The Contractor’s annual price throughout the contract duration, as reflected within the price forms submitted with The Contractor’s proposal. In consideration of the foregoing, The Contractor will retain ownership of the Equipment during and after the Contract duration

f. The Contractor shall make all repairs to Right-of-Way and Right-of-Way Assets using the standards and practices described in the MOW Standards as the minimum standard. The Contractor shall provide a tamper, a ballast regulator and a dynamic track stabilizer for the performance of maintenance-of way activities as part of Base Services. The tamper shall be of a sixteen tool-type multiple mainline tamper with curve equipment and table and laser line that will simultaneously tamp ballast with a squeeze vibratory-type power tamper. The tamper shall have surfacing and lining lights that operate simultaneously during the lifting cycle. This model shall be the level of a Jackson 6700 or approved equal. The ballast regulator shall be Kershaw 70 or approved equal. The dynamic track stabilizer shall be used whenever the tamper is used to ensure no slow orders remain after ballast is disturbed. The Contractor shall indicate all information for this required equipment in their proposals. The Contractor shall indicate in the proposal if they intend to purchase this equipment for sole use on NCTD property for this Contract. If the Contractor intends for NCTD to provide reimbursement for this purchase over the life of the Contract, the equipment purchased becomes the property of NCTD at the end of the Contract. If the Contractor already owns this equipment, and no costs are passed thru to NCTD for this equipment, the Contractor retains ownership of the equipment at the end of the Contract. If the Contractor leases this equipment, the Contractor must provide these costs as part of the proposal to be eligible for reimbursement. The Contractor must provide proof of lease payments with monthly invoices to be reimbursed by NCTD. NCTD reserves the right to deem any equipment unacceptable for use if it does not meet the minimum prescribed standards.

g. The Contractor will perform other track related “spot” maintenance services, other than production work, which will include, but not be limited to:

1) Defective rail replacement to include transposing of the rail for the entire length of curve is to be considered “Routine Maintenance” and covered in the base services

2) Defective weld replacement

3) Defective tie or fastener replacement

4) Grade crossing panel/pavement approach repair

5) Ditch and drainage systems maintenance

6) Drainage system maintenance and filter replacements on the Del Mar Bluffs drainage improvements

7) Right-of-way cleanup

8) Right-of-way mowing

9) Maintenance and grading of right-of-way roads

10) Switch adjustment and lubrication

11) Curve lubricator maintenance

12) Ballast maintenance of track crib and shoulder.

13) De-stressing of rail as necessary except in cases of capital projects outside of this contract

14) Ditching

15) Branch/Brush cutting

h. The Contractor is responsible for the monthly delivery to NCTD reports that capture the following information:

1) Surfacing Report

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Inserted IAW Bombardier’s email 11 Dec 2015


2) Scheduled Maintenance vs. Actual Maintenance for both Maintenance of Way and Maintenance of support equipment

3) Tie installation report

4) Safety Incident Detail Report: A detail of all incidents, accidents, injuries, fatalities and derailments occurring on NCTD property for the month, regardless of FRA report ability or operator involved (Coaster, Amtrak, Metrolink, BNSF, other)

5) Completed FRA and CPUC accident/incident reporting forms (both paper and electronic versions).

7.5.4 Capital Maintenance of Way Service Plana. The Contractor shall provide an annual Capital Maintenance of Way Service Plan to support work that

will be performed within the timeframe of NCTD’s fiscal year, which spans from July 1 through June 30. The Contractor shall submit to NCTD the Capital Maintenance of Way Service Plan by October 1st on an annual basis for NCTD’s review and incorporation into NCTD’s upcoming fiscal year budget that begins on July 1. The Contractor, based on NCTD’s final approved budget for Capital maintenance-of-way that results from the procurement process, will provide documentation to support the full expenditure of the budget as part of the annual update to the Capital Maintenance of Way Service Plan. The initial and subsequent updates to the Capital Maintenance of Way Service Plan shall be approved by NCTD after every update. If The Contractor does not fully expend the approved budget and or fails to provide sufficient justification of expenses, the amounts not expended shall be carried forward to the following year’s Capital Maintenance-of-Way Service Plan to support additional project activities beyond the base statement of work and or the amounts not expended being credited to NCTD, at NCTD’s discretion.

c. The Capital Maintenance-of-Way Service Plan shall include at least the following components:

Recommended Programmed Improvement Program Rail Capital Replacement Program (in addition to Base Services Plan) Tie Capital Replacement Program (in addition to Base Services Plan) Special Track Work Capital Replacement Program Ballast and Roadbed Capital Renewal Program Grade Crossing Improvement Program Drainage Capital Improvement Program

7.5.5 Track and Structure Standards7.5.5.1 Performance Standards a. All activities undertaken in the performance of the Maintenance-of-Way Agreement Services shall

comply with safety standards of FRA designated class of track for all mainline Track, and FRA designated class of track for Maintenance Yards, Branch lines, Spurs. NCTD reserves the right to establish Maximum Authorized Speeds and track class designation for specific track segments, based on the maintenance class of track. The Contractor shall maintain the performance level of the Right-of-Way and Right-of-Way Assets to allow, at a minimum, Rail Services to be provided at speeds no less than the Maximum Authorized Speeds in existence on the Service Date. The Contractor shall maintain all mainline track to FRA Class V track maintenance standards.

b. As directed by NCTD, The Contractor shall create the Maintenance-of-Way Maintenance Standards which shall serve as a complete set of standards for maintaining all aspects of the Service Property. These Maintenance-of-Way Maintenance Standards will be submitted to NCTD for approval and The Contractor shall comply with the approved Maintenance-of-Way Maintenance Standards. Revisions to and additional Maintenance-of-Way Maintenance Standards shall be submitted to NCTD for review and approval by The Contractor as directed by NCTD or as determined necessary by The Contractor.

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c. At a minimum, all Right-of-Way, Right-of-Way Assets, and related inventory shall be maintained in accordance with Maintenance-of-Way Maintenance Standards and FRA regulations. Additional requirements include, but are not limited to:

Inspection and test cycles shall be tied to Maintenance-of-Way Maintenance Standards or other applicable standards, whichever is more stringent. Inspection and test dates shall be scheduled from the last inspection date. Additional testing may be required, as specified in this Paragraph or by the Maintenance-of-Way Maintenance Standards, prior to the regulated test date.

The Contractor shall maintain the Right-of-Way in a condition equal to or greater than the minimum maintenance standards for that class of track.

7.5.5.2 Standard Control DocumentsListed below are the standards to be applied for work performed in accordance with the Contract.

For Maintenance:

AREMA Manual for Railway Engineering and Portfolio of Track Work Plans, current edition FRA Track and Railroad Workplace Safety Standards (49 CFR 213 and 214), Bridge Safety

Standards (49 CFR 237) CPUC General Orders Continuous Welded Rail (CWR) Plan NCTD Bridge Management plan (BMP) NCTD Track Maintenance Standards (TMI) NCTD MOW Operating Instructions (ORI) NCTD Railroad and Non-railroad Roadway Worker Protection (RWP) NCTD Design Standards for Maintenance NCTD Design Standards for Construction

SCRRA Engineering Standard Drawings and Specifications

7.5.6 Track and Structures Maintenance Responsibilities7.5.6.1 Generala. The Contractor will not eliminate, modify or remove from service any NCTD-owned or controlled track

structure, bridge, trestle, culvert or other structure and facility, unless required by emergency, without the prior written approval of NCTD.

b. All Maintenance-of-Way reporting locations, tool houses, and shop Facilities, including Buildings, Equipment, utilities, driveways, roadways and access ways shall be kept clean.

c. Oil, engine coolant and any other waste or Hazardous Material shall be captured, labeled and disposed of by The Contractor in accordance with applicable environmental laws and regulations and any applicable NCTD requirements to include NCTD’s Storm Water Management Plan.

d. If a temporary unplanned speed restriction is imposed for any reason that will last more than eight (8) hours, The Contractor shall submit to NCTD, within twenty-four (24) hours of such imposition, a written schedule to be approved by NCTD prior to the performance of any work, for performing the work necessary to remove each such temporary speed restriction. The Contractor shall perform the work in accordance with the approved schedule.

e. If a temporary planned speed restriction is imposed for any reason that will last more than eight (8) hours, The Contractor shall submit to NCTD, prior to the performance of any work, a written schedule for NCTD approval for performing the work necessary to remove each such temporary speed restriction. The Contractor shall perform the work in accordance with the approved schedule.

f. Maintenance scheduling and requirements for the Right-of-Way and Right-of-Way Assets shall be performed to the highest standard per OEM, regulatory, and NCTD requirements, In the absences of a standard, the Contractor and NCTD will work collaboratively to establish a written standard for maintenance scheduling and requirements.

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g. In performing the Agreement Services, The Contractor shall also be sensitive to the historical nature of the Right-of-Way. The Contractor shall have the obligation to identify any sites which have been designated historic on the NCTD Right-of-Way by applicable governmental agencies.

h. The Contractor will update NCTD’s Capital Asset Inventory (initially provided to NCTD by Parsons Brinkerhoff) as assets are added or removed from the Right-of-Way.

i. The Contractor will perform all work described in this Section 7.5.6 as provided in the approved annual Maintenance of Way Service Plan. Any deviations from the Maintenance of Way Service Plan shall be immediately brought to the attention of the NCTD.

7.5.6.2 Tracka. The Contractor shall maintain the trackage on the NCTD Right of Way.

b. The Contractor shall maintain and comply with all aspects of Maintenance-of-Way Maintenance Standards and 49 CFR 213 as amended from time to time and other applicable regulatory requirements. The Contractor shall also be required to maintain and comply with all aspects of the NCTD’s Continuous Welded Rail Plan.

7.5.6.3 Inspectiona. The Contractor shall perform the following inspections including, but not limited to, in accordance with

the following schedules:

1. FRA mandated Track inspections conducted per FRA regulations.

2. The Contractor’s Deputy General Manager of Maintenance of Way shall complete at least one Right-of-Way inspection every month of the entire ROW.

3. System-wide Right-of-Way inspections using regularly scheduled passenger trains once every month by The Contractor management personnel.

4. Track geometry car inspection on all NCTD mainline tracks once every six (6) months.

5. Grade crossing inspections at all highway grade crossings within the NCTD Right-of-Way at least annually.

6. Special inspection of track and Right-of-Way during and immediately after severe weather conditions and accidents or incidents, when these events potentially pose a risk to the NCTD Right-of-Way, as determined by NCTD.

7. Walking monthly turnout inspection and documentation for all NCTD turnouts and special track work.

8. Switch inspections performed quarterly with representatives of both The Contractor’s Track and Signal staff.

b. Qualified NCTD staff, without limitation, may make unannounced inspections with The Contractor’s Track Inspector. With twelve (12) hours advance notice from NCTD, The Contractor may expect and shall provide up to fifty two (52) hi-rail inspection trips per year. If possible NCTD will request hi-rail trips during the Contractor’s routine inspections.

c. The results of all inspections shall be recorded on an NCTD approved form including digital photographs, as appropriate, and signed by The Contractor’s inspector(s) and a summary report of all inspections shall be submitted monthly to NCTD. The RailDocs shall be updated to reflect the inspection findings, detail any conditions found during the inspections and propose a plan for repairing or replacing any discovered defects. Any conditions discovered that could affect the safe operation of trains shall be immediately reported and repaired or replaced by The Contractor.

7.5.6.4 Rail a. The Contractor shall ultrasonically test in-service rail for internal defects every three (3) months.

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b. The Contractor shall test all replacement rails for internal defects before installation. The Contractor shall provide identification on the rail for ultrasonic testing.

c. Additional tests shall be performed if, in either the opinion of NCTD, The Contractor or a regulatory agency having competent jurisdiction, conditions warrant additional testing.

d. All internal defects shall be addressed in accordance with FRA and Maintenance-of-Way Maintenance Standards, but in no case shall a temporary repair to an internal defect be allowed to remain longer than ten (10) days.

e. The Contractor is expected to perform annual maintenance rail grinding of entire San Diego and Escondido subdivisions under the base services, which will address rail maintenance activities including Corrective Rail Profile Grinding, Preventative Rail Profile Grinding, Rail Transposition, Rail Surface Welding Repair, Rail Joint Elimination and Rail Cascading. The Program shall consider anticipated freight, intercity, and commuter Rail Service and shall indicate the approximate location and schedule of the work. The Contractor will provide fire suppression support and EIC protection for the rail grinding. The Contractor shall avoid performing rail grinding during times of high fire risk to adjacent vegetation. The Contractor shall comply will all permitting processes and regulatory requirements necessary to perform rail grinding on all NCTD property.

Rail Grinding:

The goals of NCTD’s Rail Grinding Program as follows:

· To improve and extend rail life across the Service Property.

· To maintain the rail in a good state of repair by implementing the designated rail head profiles and removing surface defects from the rail including corrugations, shelling, spalling, hard checking, rail imperfections and surface roughness and /or irregularities, where found.

An annual production grinding program consisting of approximately ten to fifteen days per year or approximately 10 miles on the COASTER corridor and 5 miles on the SPRINTER corridor is anticipated to meet the needs of this program. This production grinding effort may be scheduled at one or two, different work windows depending on equipment availability, weather conditions, and other factors.

The Contractor shall require the performance of its employees to be consistent with the best railroad industry practices that develop during the life of the Contract, in a manner to protect the safety of the public and to preserve the economic life of the track structure throughout the Service Property. The Contractor is solely responsible for directing the means of methods of their employees in the performance of the Services.

f. The Contractor shall be completely familiar with proper installation and maintenance of CWR as outlined in the Maintenance-of-Way Maintenance Standards and shall ensure strict compliance with 49 CFR 213.119 and the CWR Plan. The Contractor shall provide approved annual training to its personnel for the installation and maintenance of CWR.

g. The Contractor shall be responsible for the purchase, positioning, welding, and installation of up to 21,120 linear feet or (2) track miles of CWR annually and replacement and installation of 50% of the associated rail fastening hardware. A Rail Replacement Plan indicating the approximate location of the new rail shall be developed by The Contractor and submitted to NCTD for prior, written approval as part of the annual Maintenance-of-Way Service Plan. Rail not installed in a year shall be programmed for installation in a subsequent year in addition to the annual amount. Replacement rails shall be kept neatly stacked in accordance with AREMA recommendations. Replacement rails shall only be stacked at NCTD-approved locations and secured on a continuous basis by The Contractor. In any given year, NCTD may increase the amount of rail replaced. The Contractor shall provide in the price sheet the cost of providing additional rail beyond the base amount specified.

h. The Contractor shall install all necessary thermite welds at locations determined by the Contractor and by NCTD. The Contractor shall document all thermite welds and maintain those records in a spreadsheet or electronic format, which should be available for NCTD review anytime. Records shall include, at a minimum, the ambient temperature, the rail temperature; the length/weight of rail installed

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and removed, the use of a rail heater, the length of pull if any, the name of the welder and any other conditions that may affect the proper de-stressing of rail. The Contractor is responsible for qualified testing of thermite welds and rail end welding as required by the FRA and the MOW Standards. The individual performing testing shall have current certification in non-destructive testing applications in a NCTD-approved course of study, and the Contractor shall provide written proof that the individual is currently qualified when requested by NCTD.

i. The Contractor shall provide to NCTD complete and accurate reports of all rail failures, defects, replacements, thermite welds, and weld failures and document them in the RailDocs. Rail installation records shall include the applicable milepost, rail replaced-left or right, weight, date rolled, manufacturer, heat number and methods taken to ensure proper installation and de-stressing.

j. The Contractor shall provide inspection and maintenance services for all aspects of the rail in order to maintain the Right-of-Way.

7.5.6.5 Ties (Concrete and/or Wood)a. Perform automated tie testing on an annual basis at a minimum.

b. All tie types and replacements procedures will conform to LOSSAN design criteria and standard plans.

c. All ties shall be renewed as required for the designated maintenance class. The Contractor shall be responsible for the purchase and installation of a minimum of 400 ties for each Agreement Year. Ties not installed in an Agreement Year shall be programmed for installation in a subsequent Agreement Year(s) if approved by NCTD in addition to the annual amounts.

d. The Contractor shall submit a Tie Maintenance Program to NCTD for approval as part of the annual Maintenance-of-Way Services Plan indicating the approximate location of the new ties.

e. In any given year, NCTD may increase the amount of ties replaced beyond the amount specified by the Contractor in the Annual Maintenance of Way Service Plan. The Contractor will provide in price sheet the cost of providing additional ties beyond the minimum amount specified.

f. Spot replacement of ties due to track conditions shall be included in the Base Services.

g. Ties, wood or concrete, shall be replaced with ties made from the same type as was removed and meeting current standards, unless otherwise directed by NCTD.

h. The Contractor shall perform all tie replacement in conformance with AREMA recommendations and Track buckling procedures in the Maintenance-of-Way Standards.

i. Turnout ties shall be changed as required.

j. Bridge ties shall be changed as required to maintain the Right-of-Way.

k. The Contractor shall be responsible to purchase, deliver, and install all ties.

l. Within thirty (30) days of removal, the Contractor shall sort all removed ties, separating ties to be reused along the Right-of-Way from ties for disposal.

m. Within thirty (30) days of removal, the Contractor shall stack and neatly stockpile ties to be reused. Within ten (10) days of sorting, the Contractor shall dispose of all remaining ties in accordance with all applicable environmental laws and regulations disposal cost to be covered in the base service cost, Ties shall be disposed of off the Right-of-Way. Ties fit for reuse off the Right-of-Way may be sold by a properly certified and licensed Hazardous Materials Disposal The Contractor, pursuant to all applicable laws and regulations and NCTD disposal procedures, as coordinated by the Contractor. The Contractor shall submit a record of disposal or sale of ties to NCTD, including disposal certification documents. Proceeds shall be provided back to NCTD.

7.5.6.6 Track Structurea. Gauge rods are prohibited. Any exception to the requirements in this Paragraph shall be submitted to

NCTD for prior written approval.

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b. Discovery by the Contractor of an improperly anchored track shall require the implementation of a temporary speed restriction and immediate notification of the condition to the dispatcher and the NCTD. The Contractor shall perform corrective measures to anchor the track in accordance with the Maintenance-of-Way Standards.

c. Discovery by the Contractor of any track not spiked or fastened pursuant to the Maintenance-of-Way Maintenance Standards shall require the Contractor to bring the track up to all applicable standards within thirty (30) days.

d. The Contractor shall be responsible for surfacing track as necessary to ensure that tracks are safe for the passage of trains at the maximum authorized speeds as specified in the Maintenance-of-Way Standards and in accordance with FRA regulations for the specified class of track. The Contractor’s qualified personnel shall inspect all surfacing work before the passage of any train. Ballast levels especially in areas prone to reduction, regardless of cause, are to be kept adequate at all times.

e. NCTD requires that the Contractor shall, unless otherwise directed in writing by NCTD, surface a minimum of 25 miles and surface through two road crossings a year (including road closures and permitting required to accomplish temporary grade crossing closure). In addition, spot tamping, without limitation, shall be performed as needed to maintain all tracks at minimum to the class of track for trains to operate at Class 5 timetable speeds. NCTD shall approve in writing track raises or track shifts in excess of one (1) inch, and survey stakes will be provided by The Contractor if required. Uniform and thorough runoff shall be executed at the end of all track raises.

f. Any temporary speed restrictions in existence on the Service Date shall be removed as quickly as practical.

g. Tracks and turnouts shall always be resurfaced and realigned as part of any re-timbering work and included within the submitted work schedule.

h. No changes to track geometry or existing platform elevations are to be made without prior written approval of NCTD.

i. The Contractor shall be responsible for all costs involving unloading ballast, including any work train Equipment, fuel, and crews. Under no circumstances will trains be allowed to operate on tracks with insufficient ballast, except work trains while unloading ballast, or in the event of an emergency, and only then with an appropriate slow order.

j. Frogs, switch points and stock rails shall be kept ground in accordance with FRA standards, other applicable standards, or rail industry standards, whichever is stricter, as part of the Agreement Services.

k. All at-grade crossings shall be inspected and maintained. Crossings shall be maintained in a manner that is safe, convenient and compliant with all applicable uses, current rules and regulations including FRA, USDOT, CA MUTCD, Caltrans, and CPUC.

l. Rail lubricators shall be maintained, repaired or replaced as necessary or deemed by the NCTD. The Contractor shall replenish the lubricating materials on an as-needed basis.

m. All switch components and other track materials removed from track and deemed as reusable by mutual agreement of NCTD and The Contractor shall be repaired for reuse by the Contractor and placed in the inventory.

7.5.6.7 Right-Of-Way a. The Contractor shall not permit and shall monitor and report to NCTD, any encroachment,

construction, or modification of any facility or structure of any kind which reduces existing clearance dimensions at any location along the Right-of-Way.

b. The Contractor shall take immediate actions to comply with all applicable laws and regulations concerning any storage, handling, or in the event of a release of a Hazardous Materials or contaminants on or within the Right-of-Way.

c. NCTD does not allow dumping or stockpiling of debris and spoils on the Right-of-Way. The

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Contractor shall secure and use legal disposal locations to ensure the Right-of-Way is kept clean. The Contractor shall remove all trash, debris, animal carcasses and otherwise undesirable or objectionable material which may include, but not limited to, abandoned automobiles, tires, tire pieces, lumber, appliances, paper, metal, vegetation, dead animals and other materials not considered “normal” to the Right-of-Way (“waste”), from the NCTD Right-of-Way. Such waste shall be removed immediately, after discovering same, or after receiving notice from NCTD of the existence of same within five (5) days.

d. The Contractor shall schedule and implement a semi-annual waste clean-up program, which shall include inspection of problem sites and implementation of additional implementation measures (e.g. implementation of higher security fencing) as required. The Contractor shall perform spot Waste clean-up activities as required by NCTD, including clean-up activities in response to community requests. All Waste removed from the Right-of-Way shall be disposed of at locations provided by the Contractor that are outside of the Right of the Way within five (5) days from NCTD request. In the event that the Contractor fails to remove the waste following written notice by NCTD of the continued existence of the condition, NCTD shall have the right to take corrective measures at the Contractor’s expense. Disposal shall be in accordance with applicable federal, state, and local laws and regulations and the Contractor shall be responsible for all disposal, and obtaining any required permits and licenses.

e. Stockpiling or storage of waste on the Right-of-Way is not permitted. Completed areas of work shall be free of waste after cleaning has occurred. Areas that are deemed unacceptable by NCTD shall be redone at no additional cost to NCTD. It is the intent that areas be cleaned in a manner that they are left reasonably free of all Waste.

f. Materials and Equipment removed from service shall be removed from the Right-of-Way within ten (10) days. Final disposition of materials and Equipment removed from service shall occur within thirty (30) days, except where otherwise specified by NCTD. Materials awaiting installation shall not be permitted to lie along the Right-of-Way for more than thirty (30) days, unless otherwise permitted or agreed to by NCTD, with the exception of any Material that is a safety hazard which shall be immediately removed or repositioned by The Contractor upon discovery or notification by NCTD or Third Party. Continuous welded rail strings longer than two hundred (200) feet awaiting installation shall be exempt if the Contractor has prior written approval from NCTD.

g. Scrap rail and relay rail shall be removed from the Right-of-Way within thirty (30) days of removal from the Track. The Contractor shall arrange for sale or disposal of scrap and relay rail at no cost to the NCTD and following NCTD’s disposal procedures (refer Chapter 10).

h. The Contractor shall report to local law enforcement and NCTD Code Enforcement, and shall attempt to control, illegal dumping activities, trespassing, and unauthorized use of the Right-of-Way. In addition, the Contractor shall also participate with NCTD in programs to educate the public as to the dangers of trespassing on the Right-of-Way including but not limited to, temporary/permanent signage installation, rail stenciling, and other methods determined by NCTD. The Contractor shall comply with NCTD requirements regarding signal lines (refer Paragraph 7.6 Third Party Projects), utility company standards, and "Dig Alert" procedures in regard to any excavations within the Right-of-Way. When excavating in proximity to underground fiber optics or communications lines, the work shall be coordinated with the affected utility.

i. The Contractor shall be responsible for any vegetation cutting and removal, which does or may interfere with train movement, signal observation or signal system operation or the clear sighting of an appurtenances as described below. Dry vegetation which may constitute a fire hazard shall be removed by the Contractor or at NCTD’s request. The Contractor is responsible for vegetation removal throughout the NCTD Right-of-Way. Vegetation removal may require the use of specialized Equipment, hand labor, small machine mowing or chain saws in certain areas. Removal of vegetation shall be made to maintain visibility of Signals, vehicle sight distance at grade crossings and clearance of track, to keep vegetation clear of signal and communication lines and to remove any hazards associated with same vegetation shall be kept back within twenty-five (25) feet of the centerline of the nearest mainline track (“Clearance Width”), and the Contractor shall promptly chip and remove all vegetation from the Clearance Width. The accumulation or piling of vegetation will

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not be permitted. Any such accumulation or piling shall be removed within three (3) days of notification. Any vegetation on the Right-of-Way, which is identified by NCTD as a nuisance or safety hazard shall be removed with due diligence within twenty-four (24) hours. All work shall include removal of cut vegetation from the Right-of-Way. The Contractor shall dispose of all refuse materials in accordance with applicable laws and shall conduct cleanup activities in accordance with applicable rules regarding Roadway Worker Protection (RWP). The Contractor shall mow to appurtenances. Appurtenances include sign posts, whistle posts, Signals, fences, guardrails, pipes, drainage structures, light and power poles, guy wires, and landscape areas. NCTD shall be notified if treatment or removal of any mature tree is recommended or proposed by the Contractor. NCTD shall authorize removal or treatment of the tree and the proposed timeline to ensure that any necessary public outreach and coordination with other agencies takes place as appropriate. Tree trimming and removal on NCTD Right-of-Way regardless of size shall be performed by a licensed individual or the Contractor in the State of California as part of the Base Services.

j. The Contractor will also be responsible for providing a supervisor level employee, qualified to provide flagging protection, to supervise a group of approximately 10 Community Service Assistants who are hired by NCTD from the County of San Diego to pick-up trash along the Right-of-Way. The Community Service assistants work Monday through Friday for approximately 4 to 5 hours a day. NCTD pays the county for these Community Service assistants directly. In addition, the Contractor shall be required to respond within five working days to specific trash clean-up and graffiti cleanup requests as required. The Contractor will also supply a dumpster.

k. Using hi-rail spray Equipment, the Contractor shall not less than semi-annually apply herbicides to prevent vegetation growth from all track beds and other designated areas within the Right-of-Way, to the extent that regulations allow. All work shall be performed in accordance with applicable local, state and federal regulations. Repetitive applications may be required. Mechanical removal of vegetation will be as directed by NCTD. Upon notification by NCTD, additional mechanical cutting of overhanging vegetation which originates on or off the Right-of-Way will be performed by the Contractor without limitation, using extendable boom equipment as needed.

l. The Contractor shall not cut vegetation beyond the Right-of-Way without the knowledge and permission of the affected property owner and prior written approval of NCTD.

m. The Contractor shall maintain and install Right-of-Way signage and rail stenciling pursuant to NCTD and Regulatory Standards, and shall promptly repair or replace damaged or missing signs. Prior to changing or replacing any critical feature signs identified with PTC, the Contractor is required to check with the Change Control Board. The Contractor is responsible for maintenance of inter-track fences and Right-of-Way fences. Fencing shall include standard chain link fencing, other fencing material, or effective barricade material necessary to prevent access to facilities and the Right-of-Way, as determined by NCTD. The Contractor shall inspect the Right-of-Way and inter-track fencing at least once per Agreement Year. Repairs shall be completed within ten (10) days of completion of inspection and if the fence in need of repair is near a school, park or publicly accessible location, repairs or replacement shall be undertaken immediately. Repair or replacement of any fencing shall be with the same materials, including make, gauge and quality, as the original fencing unless otherwise specified by NCTD. The Contractor is responsible to maintain and keep in good working order and appearance any inter-track fencing and gates that are immediately between portions of double tracking. This includes the baggage gates located at the Solana Beach and Oceanside Stations which shall require at a minimum, annual preventive maintenance work. The Contractor shall include these elements as part of the Fencing Maintenance Program.

n. The Contractor shall ensure that the Maintenance of Way Services Plan addressing the items herein.

o. Regardless of cause, the Contractor shall be responsible for Dust Control along the Right-of-Way.

p. The Contractor shall be responsible for maintaining and rebuilding Right-of-Way access roads at their own expense.

7.5.6.8 Grade Crossing Repair and RehabilitationRepairs to at-grade vehicle or pedestrian crossings shall be completed within two (2) business days

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of notification from NCTD. Repairs include asphalt grinding or patching, sliding concrete panels, and end restraint replacement. Any condition considered hazardous to the public, as determined by NCTD, shall be reported and repaired as soon as discovered but no later than eight (8) hours.

7.5.6.9 Other Maintenance and RepairOther responsibilities of the Contractor shall include, without limitation, the following:

a. Joint maintenance, documentation and replacement, including incidental installation of new joint bars and bolt replacement/tightening and walking inspections of same.

b. Repair or replacement of hand-throw and power-operated switch components.

c. Rail de-stressing and neutral temperature verification and adjustments.

d. Repair of damages to Right-of-Way and Right-of-Way Assets caused by derailments or other accidents where such repairs are within the limits of the Right-of-Way or otherwise described elsewhere in the Agreement. If the derailment is caused by the Contractor, the Contractor is responsible for the cost of repairs. For any derailment caused by third parties, the Contractor is not responsible for the cost of repairs but is responsible to provide NCTD with adequate documentation to pursue third parties for the cost of those repairs.

e. Inspections of curve lubricators shall be scheduled as part of FRA mandated track inspections to keep the curve lubricators in operating condition at all times. The Contractor shall be responsible for repairing all broken or damaged components, whether caused by use, derailment, or vandalism, and proper adjustment of wiping bars and lubrication flow. The Contractor shall provide lubricant. NCTD may choose to relocate existing lubricators without limitation at The Contractor’s expense. The Contractor shall provide the labor, parts, and Equipment necessary to relocate or upgrade any or all of the existing lubricators. The Contractor shall have two (2) weeks to relocate or install new wayside lubricators upon written notification from NCTD.

f. Graffiti, which impacts safety (e.g. graffiti on railway operating signs and signals), that contains obscene or offensive content, or that which is located on railway infrastructure (e.g. signal bungalows, signal bridges, sound and crash walls, equipment buildings, etc.), shall be removed expeditiously but not more than 24 hours. All other graffiti shall i be removed not later than five (5) days after the Contractor’s receipt of a report of graffiti at any location along the Right-of-Way or on Right-of-Way Assets or on NCTD property, including barrier walls. NCTD shall have the right to take corrective measures at The Contractor’s expense if the Contractor fails to correct within the prescribed timeframe. Graffiti removal shall be in accordance with applicable local and state laws and regulations and shall include all removal costs, including, permits and licenses at the Contractor’s expense. Completed areas of work shall be free of graffiti after cleaning has occurred. Areas that are deemed unacceptable by NCTD shall be redone at no additional cost to NCTD. It is the intent that areas be cleaned in a manner that they are left reasonably free of all graffiti. It is not the intent to penalize the Contractor for graffiti that may be deposited between the time an area is worked and the time it is inspected. The NCTD will use prudent and reasonable judgment when evaluating completed work and his/her decision as to acceptance or rejection shall be final.

g. The Contractor will be responsible for placement and maintenance of ballast keepers along NCTD Right-of-Way to ensure ballast complies with AREMA standards and NCTD Engineering Standards. NCTD reserves the right to direct The Contractor to install additional ballast keepers at no additional cost to NCTD.

h. The Contractor will be responsible for maintenance of all manholes located in NCTD Right-of-Way. These manholes may require vacuuming or replacement of filters consistent with the preventative maintenance schedule developed and needs/special requirements of the respective manholes.

7.5.6.10 Maintenance of Bridges, Culverts and Drainage Systems7.5.6.10.1 Generala. The Contractor shall inspect and maintain all drainage systems, culverts, and those overhead and

undergrade railroad bridges that are part of the Right-of-Way for which NCTD has the maintenance

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responsibility (referred as “Structures” in this section).

b. All inspections shall report visible minor and major damages to NCTD’s Right-of-Way Officer (ROW Officer) and will be documented by The Contractor and recorded in an electronic format on an Excel spreadsheet. The format of the spreadsheet shall be determined by the ROW Officer. Bridge inspections shall include digital photographs. If NCTD observes unreported damage, The Contractor shall provide the necessary repair work within 24 hours. If The Contractor is unable to provide repair work within 24 hours, NCTD may obtain the work from another source at The Contractor’s expense.

c. The Contractor shall perform preventive, routine and corrective maintenance measures on all structures on the NCTD Right-of-Way.

d. Undergrade track bridges, bridge seats, trestles and culverts shall be kept free of debris, vegetation, trash, and other obstructions. The Contractor must remove all debris, vegetation, trash and other obstructions so that that waterways are clear and there are no combustibles that could cause a fire. Waste and all combustibles shall be removed. If NCTD observes unreported obstructions, The Contractor shall provide the necessary cleaning and removal work within 24 hours of request. If The Contractor is unable to provide cleaning and removal work within 24 hours of request, NCTD may obtain the work from another source at the Contractor’s expense.

7.5.6.10.2 Maintenance of Drainage Systems a. Track drainage systems shall be fully and consistently maintained to their design capacity.

b. Flooding on the Right-of-Way shall be controlled by the use of drainage systems. The use of pumping to remove water from the Right-of-Way and track shall be performed as necessary and The Contractor will be responsible to provide pump.

c. Culverts used to pass water under tracks shall be maintained by The Contractor for their entire length.

d. Drainage ditches shall be kept open and at proper design profiles (depth, grade and alignment). The Contractor shall rehabilitate all drainage ditches in accordance with all applicable as-built profiles or other applicable regulatory requirements. The Contractor shall establish and provide an annual Drainage Ditch Rehabilitation Program to NCTD for prior, written approval as part of the annual MOW Service Plan.

e. Any structure or system used intentionally or otherwise to direct the flow of water shall be considered a drainage system.

f. The Contractor shall maintain all drainage manholes, catch basins, clean-outs and other drainage structures and systems.

g. The Contractor shall keep all closed drainage systems clean and free of obstructions.

h. The Contractor shall maintain, and as necessary repair storm water systems.

i. The Contractor’s Drainage Maintenance Program shall describe the Maintenance of all NCTD drainage systems.

j. The Contractor is responsible for maintaining the drainage at Del Mar Bluffs. See attached MOU in Appendix G for exact location and details.

7.5.6.10.3 Third Party Inspections and Contractor Inspections for Railroad Bridges, Pedestrian Structures and Culverts

a. Currently, NCTD contracts with a third party for detailed bridge structural inspections and assessments per FRA’s Title 49 CFR 237.

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The Contractor shall work cooperatively with NCTD’s bridge inspection the Contractor to support bridge structural inspections (including providing flagging and any other necessary support). NCTD’s bridge inspection the Contractor will be required to update the annual Bridge Management Plan (BMP).

b. The Contractor shall perform the following activities:1) Scheduling bridge visual inspections per inspection intervals indicated in the Rail Asset Inventory

List.2) The Contractor will perform inspection activities for all structures, including drainage systems,

culverts, overhead and undergrade railroad bridges that are part of the Right-of-Way.3) Maintaining inspection records on Excel spreadsheets and or in Maintenance Information

Systems, including digital photos after every inspection must reflect rail assets that need maintenance work, repair work, and component replacement only. The format of the spreadsheet will be determined by the NCTD ROW Officer.

4) Conducting special bridge inspections when the bridge is involved in an event which might have compromised the integrity of the bridge, including but not limited to flood, tidal swells, fire, derailment, vehicular or vessel impact and hurricane.

7.5.6.10.4 Overhead and Undergrade Railroad Bridge Maintenance a. The Contractor shall perform maintenance activities and Minor Repairs (see definition below) on all

bridges on the Right-of-Way as part of the Agreement Services. Bridge maintenance will include the following:

1) Track alignment, profile, ballast and ties, including CWR standards

2) Repair of walkway posts, handrails, mounting brackets, walkway surfaces, hardware and fasteners

3) Replacement of loose rivets with the appropriate high strength bolts on steel bridges.

4) Repair of deteriorated concrete, spalling, scaling, cracking and exposed rebar

5) Tightening loose or replacing missing anchor bolts

6) Repair or replace bridge bearings and protective fencing

7) Repair of timber caps, stringers, bracing, curb timbers and piles

8) Point Repairs of steel beams, girder webs, flanges, floor beams, stringers, bracing, truss members, connection plates or worn components

9) Point Repairs of structures damaged by flood, fire, derailment, vehicular or vessel impact and hurricane

10) Clearing of vegetation and maintaining railroad clearance

b. Minor Repairs are defined as repairs performed on structures or components of such structures in which the structural functionality and capacity will remain unchanged after the repair work is performed. NCTD shall make the final determination as to whether the repair work shall be considered a Minor Repair or a Major Repair.

c. The Contractor shall maintain all crash walls, retaining walls, back walls, wing walls, abutments, bracing, and other structures.

d. The Contractor shall keep all bridge seats, bearings, and abutments clean and free of debris at all times. Expansion deck joints shall be cleaned, resealed, and replaced.

e. The Contractor shall maintain and repair all stairs, walkways, sidewalks, catwalks, railings and other bridge attachments and devices with similar materials as directed by NCTD.

f. The Contractor shall be responsible for painting services pertaining to MOW Service Plan and installing temporary support measures

g. The Contractor shall safely attach and/or remove banners, posters and signage to/from bridges within

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the Right-of-Way as requested by NCTD.h. The Contractor shall clear debris and kelp from bridge pile bents.i. The Contractor shall remove all unauthorized attachments immediately after such are reported or

found during inspection.

7.5.6.10.5 Maintenance of Culverts a. The Contractor shall be responsible for maintenance of all culverts located on the Right-of-Way. A culvert is any drainage crossing within the Right-of-Way. The Contractor shall inspect, clean and perform maintenance and repairs as needed on all culverts. Inspections shall include digital photographs of the culvert condition.

b. The Contractor shall keep all culvert approaches free and clear of all debris and vegetation.

7.6 Signal, Communications and Systems7.6.1 Standard Control DocumentsListed below are the standards to be applied for work performed in accordance with the Contract (“Maintenance-of-Signal Standards”).

FRA Signal System Reporting Requirements (49 CFR 233)

FRA Grade Crossing Signal System Safety and State Action plans (49 CFR 234)

Instruction Governing Applications for Approval of Discontinuance or Material Modification of a Signal System or Relief from Requirements of Part 236 (49 CFR 235)

Rules, Standards, and Instructions Governing the Installation, Inspection, Maintenance, and Repair of Signal and Train Control Devices, and Appliances (49 CFR 236)

AREMA Signal Manual, current edition

NCTD Communication and Signal Standards

NCTD Signal Maintenance Manual

CPUC Rules, Standards, and Regulations

Any other regulatory agency requirements

7.6.2 Signal Maintenancea. The Contractor shall, at a minimum, maintain all existing, reconstructed, or newly accepted Signal

systems located within the Right-of-Way in accordance with FRA 49 CFR Parts 233, 234, 235, and 236 Regulations, the recommendations detailed in the latest version of the AREMA Signal Manual and the Maintenance-of-Signal Standards.

b. The Contractor will manage safety sensitive software for all crossing and train control systems in accordance with the Software Management Control Plan.

c. Signal systems shall not be installed, modified, or permanently removed from service without prior written approval from NCTD. When such an approval is requested by The Contractor, it shall fully detail through drawings and/or text the request being made. The Contractor is responsible for providing to NCTD all information necessary for NCTD to obtain any federal approvals required under Title 49 of the U.S. CFR.

d. Emergency modifications shall be performed in the interest of safety. The Contractor shall promptly notify NCTD by telephone of such modifications within one (1) hour after the event becomes known to The Contractor. The Contractor shall provide a written request to NCTD for final modifications and approval within twenty-four (24) hours of such notification and shall include a detailed explanation of the required modifications and the reason emergency modification was initiated.

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e. All permanent modifications made to the Signal system shall be recorded in CAD format and a PDF format and a markup of signal circuit drawings shall be submitted to NCTD for approval no later than thirty (30) days after the modification is placed in service. The Contractor shall obtain all applicable warranty agreements for permanent modifications in the name of NCTD and provide any and all associated documentation to NCTD. The Contractor shall administer those warranties.

f. The Contractor shall be responsible for coordination with other railroads on boundary or division of territory circuits. The recognition of the Signaling system being a complete “end to end” system shall be accepted by The Contractor. All testing, maintenance, and trouble resolution that may affect other railroads shall be done only after a complete understanding has occurred between The Contractor and the other railroad.

g. Signal cases and apparatus shall be kept sealed, locked, clean and free of all foreign material, such as:

Vegetation

Rodents

Insects

Moisture

Rust

Graffiti

h. Signal cases and apparatus shall be painted in accordance with the following painting schedule and comply with application regulations:

Signal cases and apparatus requiring painting shall be identified annually in the Maintenance-of-Way Service Planning Signal Service Plan section and painted in accordance with same or as required by NCTD. Paint colors shall be determined by NCTD.

Aluminum Equipment will not require paint, unless necessary to improve visibility (such as in the case of signal backgrounds and hoods), or to obscure graffiti that cannot be removed by other means.

Switch Machines shall be painted and numbered for identification on the machine cover.

Acid resistant paint shall be used to protect signal cases and housings from battery acid damage. This paint shall be applied as required to prevent corrosion.

i. Only OEM replacement parts and procedures shall be used to repair broken Signal and Communication Equipment, including PTC. Temporary repairs shall be permanently repaired commencing on the next business day after the installation of the temporary repair. Material that can be much more economically repaired, or has proprietary rights or patents established, or is covered by warranty, may be repaired by an outside vendor at NCTD’s discretion and The Contractor’s own expense.

j. The Contractor shall follow applicable FRA regulations regarding investigation and reporting of false proceeds. The Contractor shall also submit the following reports to NCTD after every false proceed:

A preliminary report, within twenty-four (24) hours of the reported false proceed, in both hardcopy and electronic formats.

A final report within fifteen (15) days of the false proceed, filed on form FRA F 6180-14, in both hardcopy and electronic formats.

k. A monthly Train Delay Report due to Signal failures shall be forwarded to NCTD no later than the 10 th

day of the following month.

The report shall include a breakdown of preventable and non-preventable Signal failures.

Adjustments to the report shall be made only after review and with concurrence of both The

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Contractor and NCTD.

The Contractor shall develop Signal Failure Response Procedures for the NCTD.

l. The Contractor shall be responsible for the maintenance of the complete wayside communication and dispatch system, including, but not limited to, maintenance and improvements of the Right-of-Way Assets and support of related construction and Third Party projects on the Right-of-Way.

m. The Contractor shall provide inspection and maintenance services for all aspects of the dispatch and communications systems in order to maintain these systems in a condition equal to or greater than minimum maintenance standards, as defined in the Maintenance-of-Signal Standards, in compliance with 49 CFR regulations.

n. Maintenance to the dispatch and communications systems shall be performed per each manufacturer's recommendations and instructions to the extent that they exist or as otherwise directed herein.

o. Dispatch or Communications Equipment shall not be installed, modified, or permanently removed from service without prior written approval from NCTD. When such an approval is requested by The Contractor, they shall fully detail the request through drawings and/or text. After receiving NCTD approval, The Contractor will assist NCTD in obtaining any federal approvals required under Title 49 of the CFR prior to installing, modifying, or permanently removing from service any such systems.

p. Any permanent modifications made to the dispatch or communication system shall be recorded in CADD format (latest version compatible with NCTD) and the mark up of signal circuit drawings shall be submitted to NCTD no later than thirty (30) days after the modification is placed in service.

q. The Contractor shall provide jumper control and application plan that details how jumpers will be utilized, by whom, and plans to safeguard equipment taken out of service.

7.6.2.1 Tests and Inspectionsa. All Signal systems in use in the Right-of-Way shall be tested and inspected by The Contractor in

accordance with the Maintenance-of-Signal Standards and the FRA 49 CFR.

b. Inspection and test cycles shall comply with Maintenance-of-Signal Standards or other applicable standards, whichever is more stringent. Inspection and test dates shall be scheduled from the last inspection date. Additional testing may be required, as defined in this Chapter or the Maintenance-of-Signal Standards, prior to the regulated test date.

c. All corrections or repairs shall be made within time limits specified by FRA Parts 234 and 236 for correction.

d. Test and inspection dates and results shall be recorded in the RailDOCS and summarized in the monthly Report on FRA Test Compliance.

e. The Contractor shall provide a specific repair provider at its own expense, approved by NCTD, where it shall repair relays, switch machines, switch circuit controllers, and other Signal apparatus.

f. The Contractor shall maintain as-in-service, up-to-date, and legible circuit plans at all wayside Signal locations as required by FRA Parts 234 and 236 regulations. The Contractor shall be responsible for updating all circuit plans. Any changes to the existing circuit plans shall be revised to comply with FRA requirements within 30 days.

g. The Contractor shall coordinate Signal and Communication Equipment updates and revisions with other the Contractors responsible for new Signal construction to ensure compliance with the applicable FRA regulations.

h. Updated field plans reflecting changes made by other the Contractors shall be supplied to The Contractor within thirty (30) calendar days of the time such field change is placed in service.

i. Annual review of current line plans, track charts, and interlocking layouts within the Right-of-Way shall be provided to NCTD by anniversary date of each Agreement Year.

j. All CAD and Communication Equipment in use on the Right-of-Way shall be tested and inspected by

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The Contractor.

k. Inspection and test cycles shall be tied to Maintenance-of-Signal Standards, the applicable standards, or manufacturer’s recommendations, whichever is more stringent. Inspection and test dates shall be scheduled from the last inspection date.

l. The Contractor shall maintain a "Trouble Log" of each trouble incident that will include time of initial notification, exact location, type of problem reported, type of problem found, corrective action taken, time trouble cleared and any other information deemed appropriate by NCTD. This log shall be kept in the IndustrySafe, in such a format as to permit sorting of data using any of these fields. The Trouble Log will be reviewed monthly by NCTD and The Contractor management. At the request of NCTD, further investigation of signal and communications problems shall be required by The Contractor. The Contractor shall submit a report when requested providing details of findings and any action taken.

m. The Contractor will review the tools, test equipment and meters provided by the NCTD (NCTD will provide 10 Fluke and 10 TS-113 meters) and shall furnish as part of the Base Services all other tools, equipment, and meters not provided by NCTD, test Equipment and meters as necessary to maintain the Signals, CAD, and Communication Equipment systems. At The Contractor’s expense, all meters and test instruments, including NCTD provided tools and instruments, shall be calibrated at a certified test facility on an annual basis, or whenever dropped, jarred or otherwise damaged.

7.6.2.2 Grade Crossing Maintenancea. All at-grade crossings shall be inspected and maintained in a manner that is safe and compliant with

all applicable uses, rules and regulations including FRA, CPUC, and CA MUTCD.

b. Within one (1) hour notice from NCTD, The Contractor shall provide, maintain, operate, and secure back-up generators and fuel at each at-grade crossing along the Right-of-Way during a power loss, except during Catastrophic Events (Earthquake, Major Flooding, Tsunami, Government Declared Emergency, etc). Within twenty-four (24) hours’ notice from NCTD that Rail Service will be resuming on the NCTD, following any Catastrophic Event, The Contractor shall provide, maintain, operate, and secure back-up generators and fuel to operate any at-grade crossing in which electrical power is not available.

c. The Contractor shall ensure that all components of the Highway Grade Crossing Warning Systems are in place and functioning.

d. The Contractor shall provide all resources and maintain inventory and parts required for the maintenance of Warning Systems along the Right-of-Way to respond to the identified crossing within sixty (60) minutes of NCTD or Dispatching Service or Third Party notification, protect the crossing as required by FRA CFR 234, and promptly make repairs.

e. Grade crossing gates, lights, and wires shall be properly attached to apparatus following appropriate AREMA Section 3 Standards and in accordance with FRA CFR Part 234 Regulations. Warning Systems shall be maintained in accordance with the Maintenance-of-Signal Standards and in conformance with the appropriate sections of the CA MUTCD Current Edition and CPUC requirements Current Edition. Twelve inch (12”) Light Emitting Diode (LED) signal lamps are approved for use on the Right-of-Way and shall be utilized after existing Inventory of incandescent bulbs are depleted.

f. The Contractor shall ensure all appropriate devices and appurtenances are in place and functioning.

g. The Contractor shall remove vegetation from the Right-of-Way so that the view of the Warning System from an approaching train or motorist line of sight visibility is not obstructed. The Contractor shall immediately report to NCTD any vegetation on roadways or beyond the Right-of-Way that obstructs the view of the Warning System.

h. The Contractor shall immediately report to NCTD all gate and grade crossing malfunctions that result in an Activation Failure. The Contractor shall submit a report within twenty-four (24) hours to the Dispatch Contractor and NCTD that provides the failure cause and all planned corrective actions. The Contractor shall be responsible for providing reporting information to NCTD Dispatch

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Center. NCTD will submit reports to the FRA regarding the Activation Failure as described in FRA CFR Part 234 regulations. The Contractor shall document these elements as part of its Highway-Rail Grade Crossing Failure Response Procedures.

i. The Contractor shall maintain crossing approach distances of sufficient length to accommodate the maximum authorized track speeds and adjust them as necessary in the event that changing track conditions warrant track speed changes.

j. The Contractor shall maintain all signs listing the DOT crossing number, milepost designation, and emergency contact phone number, including all Emergency Notification Signs (ENS) signs and stenciling on wayside equipment.

k. As new highway-crossing technology is installed by the Contractor or other Contractor, The Contractor shall accept and maintain these Warning Systems. Technology included in The Contractor’s responsibility shall include maintenance of the following components of Warning Systems:

1. Warning gate systems

2. Quiet zone systems (if installed)

3. Vehicle detection systems, if installed.

4. Traffic light preemption systems coordinated with the highway crossings

5. Visual monitoring systems

6. Wayside horns

7. Remote Terminal Units (such as SCADANet) if installed

8. Other technologies associated with Warning Systems

9. Fiber communication equipment

l. The Contractor shall immediately respond, and arrive at the location no later than one (1) hour after NCTD notification to any grade crossing failures.

m. At Service Date, the Contractor will be responsible for all underground and aerial cable. This includes aerial and underground AC meter services with responsibility up to and including the weather head. NCTD will make available all cable test results on file for the Contractor review.

7.6.2.3 Hazard Detector MaintenanceHazard detector systems need to be maintained according to FRA, NCTD (included in Signal Maintenance Manual), and manufacturer maintenance instructions.

7.6.2.4 Sprinter Platform Gangwaysa. Because of the width difference between Sprinter and freight trains, the Sprinter stations (with the

exception of the San Marcos Loop, Oceanside Transit Center and one platform at Escondido Transit Center) shall incorporate gangways at each passenger platform that will be lowered before the first Sprinter train in the morning and raised after the last Sprinter train at night. The lowering and raising will be performed through a communication system activated by the dispatch office. However, should a communication failure occur, the Contractor shall be responsible for manually raising and lowering the gangways as required for Sprinter and freight operations. The Contractor shall maintain and replace all necessary parts for each gangway’s mechanical and electrical systems, ensure that the system meets clearance requirements for both Sprinter and freight operations, and that gangways when lowered, meet ADA accessibility requirements.

b. Each Sprinter train will have level boarding at all platforms on the Escondido Subdivision with some of the stations on super-elevated curves. The Contractor shall maintain the necessary line and surface for all approach tracks and those adjacent to each platform for ADA/accessibility compliance.

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7.6.2.5 Signals and Interlockingsa. The Contractor shall be responsible for procuring the existing inventory and shall provide and

maintain an adequate inventory of spare parts and consumables to assure proper and timely maintenance and operation of NCTD’s signal, communication, and PTC system as part of the Base Services contract. At the end of this contract NCTD reserves the right to buy all or part of this inventory back from the Contractor. The Contractor shall store and maintain all capital improvement project spares as per NCTD’s Capital Improvement Project Spares SOP, Appendix E. The capital improvement spares cannot be used for normal maintenance, unless approved by NCTD.

b. All Signals shall be maintained by the Contractor to provide the optimal sight distance at all times. This shall include adequate vegetation removal as required.

c. Under no circumstances shall any railroad material be stored in or around Signal cases or Signal masts by the Contractor or other The Contractor. The Contractor shall remove any materials other than Signal materials stored around Signal cases or masts.

d. Track wires and connectors shall be installed by The Contractor in accordance with generally accepted rail industry practice as outlined in the AREMA Signal Manual.

e. The Contractor shall be responsible for verifying Signal number plates are properly displayed so that Signal identification cannot be mistaken. Signal interlocking bungalows shall have the interlocking identification name and milepost displayed on both sides of the bungalow at central instrument locations, and at all entrances to the Interlocking.

f. The Contractor shall support existing Signal systems.

g. The Contractor shall replace Switch Machines as required to maintain the Signal system. The Contractor shall track failures associated with both the new and old Switch Machines and assist the NCTD in prioritizing the replacement of switch machines that reflect the greatest failure rate.

h. The Contractor shall immediately respond, and arrive at the location no later than one (1) hour after NCTD notification to any Signal and Switch Machine failures.

i. Within twenty-four (24) hour notice from NCTD, the Contractor shall provide, maintain, operate, and secure back-up generators and fuel at each at each radio base station, Signal, and interlocking locations on the Right-of-Way during a power loss, except during Catastrophic Events. Within twenty-four (24) hours’ notice from NCTD that Rail Service will be resuming on the NCTD Right-of-Way, following any Catastrophic Event, The Contractor shall provide, maintain, operate, and secure back-up generators and fuel to operate any radio base station, Signal and interlocking in which electrical power is not available.

j. Upon NTP, the Contractor will be responsible for all underground and aerial cable. This includes aerial and underground AC meter services with responsibility up to and including the weather head. NCTD will make available all cable test results on file for The Contractor review. NCTD will provide 10 Fluke and 10 TS-113 meters.

7.6.2.6 Signal & Highway Grade Crossing Warning System Modifications or Changes

All modifications and/or changes to the existing signal or highway grade crossing warning system shall conform to CFR Title 49, Parts 234, 235, and 236. Changes to the system, requiring approval of an application by the FRA, as specified in CFR Title 49, Part 235, shall not be made without prior approval of NCTD. Modifications and changes that do not require prior FRA approval shall only be made under the following conditions:

NON-EMERGENCY

Proposed modifications or changes to any operating system shall be submitted to NCTD for approval. The Contractor shall provide NCTD with a written description of the proposed change. The description shall include the reason and benefits of the proposed change. In addition, drawings, calculations, and other pertinent information, that support the proposal, should be

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included.

Upon completion of NCTD’s review of the proposal, The Contractor will receive direction from NCTD to either perform the proposed change as submitted, to modify the proposed change, or to reject the proposal.

At any time, NCTD may direct the Contractor to modify or change the existing system. The Contractor’s costs associated with changes directed by NCTD shall be reimbursed as Extra Work under the contract, as applicable.

“As-Builts” - When a modification or change to the existing or a newly constructed system has been performed as required above, the Contractor shall red-line the “record drawings” showing all modifications or changes, sign and date said drawings, and submit them together with all supporting documentation to NCTD for review within seven (7) days of completed work. After review, NCTD may accept or reject the red-lined record drawings. Should NCTD reject the record drawings, the Contractor shall correct said drawings at no expense to NCTD.

EMERGENCY

If the Contractor determines that a modification or change to the existing system is required to ensure the safety of the public, the Contractor, or NCTD employees, the Contractor may make such modification using good judgment in keeping with the standard of care, and in accordance with federal, state, and local regulations. The Contractor shall notify NCTD of changes associated with emergencies as soon as practical but in no instance more than 48 hours after making the change. The Contractor shall provide a written description of the change, including drawings, calculations and other pertinent data. The written notice shall include the reason and justification for the change.

Upon completion of NCTD’s review of the modification or change, the Contractor will receive direction from NCTD in writing. NCTD may accept the changes, request further modifications, or reject the modification. Should NCTD reject the Contractor’s modification or change that was performed during the emergency, the Contractor shall return the system to its original configuration, prior to the Contractor’s change, at no additional cost to NCTD.

“As-Builts.” - When a modification or change to the existing or a newly constructed system has been performed as required above, the Contractor shall red-line the “record drawings” showing all modifications or changes, sign and date said drawings, and submit them together with all supporting documentation to NCTD for review within seven (7) days of completed work. After review, NCTD may accept or reject the red-lined record drawings. Should NCTD reject the record drawings, the Contractor shall correct said drawings at no expense to NCTD.

7.6.3 Maintenance of Dispatch Systemsa. The Signal System is controlled by a TMDS dispatch system at the Dispatch Center via a data radio,

fiber optic, and cellular transmission based dispatch system. The Contractor shall maintain and support the office dispatch system and all communication modes. The TMDS system is currently maintained by Wabtec thru an agreement with HTI. The Contractor selected as part of this RFP will be responsible for maintaining the system or arranging for maintenance thru Wabtec.

b. The Contractor will manage software for the dispatch system in accordance with the Software Management Control Plan. The Contractor is responsible for maintaining 99.99% up time for all dispatch and support systems.

c. The Contractor is responsible for all database changes to the TMDS dispatch system. The Contractor is responsible for regular backups prior to making changes to systems connected to the database and for verifying the integrity of the backups. All dispatcher GUIs shall be updated, as physical changes to the track layouts occur on the field, prior to track reopening for service after such changes occur. All backups shall be stored locally and off-site, and made accessible to NCTD upon request.

d. The Contractor is responsible for all OEM upgrades, patches, and security updates after testing and verification of the update. Such upgrades shall be performed in accordance with standard network security procedures. The Contractor may provide their own remote access to the dispatch

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environment. The Contractor shall provide software release notes and list of regression testing, if it was performed.

e. Under NCTD’s existing dispatch services contract with HTSI, HTSI provided the existing dispatch equipment in use in the existing dispatch center in Escondido at the Sprinter Operations Facility. The Contractor selected by this solicitation will be responsible for a hardware refresh of the TMDS and Avtec equipment in this facility during FY17 and FY22 of the contract. Proposer should provide a price for this hardware refresh as a separate line item in the price sheets. Price for the refresh should be spread across the five years following each refresh to ensure a consistent price coupled with CPI increase.

f. The equipment in the new dispatch center at 810 Mission Ave, Oceanside CA will be provided by NCTD. The Contractor selected by this solicitation will be responsible for a hardware refresh of the TMDS and Avtec equipment in the 810 Mission Ave dispatch center in FY21 or 5 years after the 810 Mission Ave dispatch center comes on line, whichever is later. If the hardware refresh occurs in FY21, the Contractor will also be responsible for a hardware refresh in FY26. Proposer should provide a price for this hardware refresh as a separate line item in the price sheets (separate from the hardware refresh in the Escondido dispatch center). Price for the refresh should be spread across the five years preceding each refresh to ensure a consistent price coupled with CPI increase.

g. These hardware refreshes will provide all new equipment for all TMDS workstations, TMDS servers, Avtec Radio workstations, and Avtec Radio servers. The Contractor will also be responsible for providing new equipment necessary for upgrades/maintenance of these systems in both of the dispatch centers. These refreshes are covered under the base statement of work, even if the current dispatch contract with HTSI remains in place.

h. The hardware specifications for the current dispatch system (TMDS and Avtec) is provided below.

Item Category DescriptionQuantit

y1 RACK R710 SERVERS 22 RACK VLA SQL SERVER STD 2008 R2 (A3748552) 3

3 VLA SQL USER CAL 2008 R2 (A3748108) 12

4 RACKPDU, 20A, 120V, (24)5-20r, VERTICAL, WITH L5-20P 3M ATTACHED INPUT CORD, CUSKIT (331-0034) 2

5 RACK

DELL 4220 42U RACK WITH DOOR AND SIDE PANELS, GROUND SHIP (224-4934) 1U KMM CONSOLE WITH TOUCHPAD KEYBOARD AND 17 LCD, RAPID RAILS (310-9961)

6 POWERCONNECT 6248, 48 GBE PORTMANAGED SWITCH, 10GBE AND STACKING CAPABLE (222-6714) 2

7 8 PORT KEYBOARD/VIDEO/MOUSE ANALOG SWITCH 180AS(221-8096) 1

8 RACKDELL EQUALLOGIC PS4000E, COST EFFICIENT, HIGH CAPACITY, 7.2KSATA DRIVES (224-6084) 1

9 WRKSTN DELL PRECISION T5500 WORKSTATION (224-4858) 5

10 WRKSTNDELL U2410 24 INCH VIS ULTRASHARP WIDESCREEN, FLAT PANEL, OPTI, FPWS, CUSTOMER INSTALL (320-8277) 20

11 WRKSTN DELL MULTIFUNCTION COLOR LASER PRINTER 3115CN (222-6548) 2

12 WRKSTN MOBILE PRECISION, M6500 CARBIDE SILVER (224-7095) 1

13 WRKSTN600 VA STANDBY UPS COMPACT LOW PROFILE 8 OUT 5-15R W/ USB PORT (A2013735) 5

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ItemModel Number Description Quantity

Console (operator) position hardware/software1 CON-

SCOUTScout Console package. Includes media workstation, single jackbox, dual speakers, console and PM software, and serial cable. PC, Monitor and other accessories not included

6

2 ACC-HND-6W

Handset, black, 10' cord, 6W PTT 1

3 ACCNET-FSW-SING

Single PTT footswitch, Scout or DSPatchNET VoIP Console Media Workstation 4

4 ACCNET-MIC-DESK

Desk microphone for DSPatchNET/Scount consoles 6

5 ACC-TSC-22WS-PC

22' LCD touch screen for PC console - 16x9 format 6

6 ACCNET-JKB-SING

Headset/handset jack box (single jack), Scout or DSPatchNET VoIP Console Media Workstation

5

7 ACC-CPU-WIN7

PC minitower for PC Console Position, MS Windows 7 OS 6

RoIP Network and Endpoint Equipment8 GW-8FXO-

SIPSession Initiation Protocol (SIP) Telephony Gateway, supports eight each FXO circuits

3

9 ACC-NETWK-

48P

48-Port Managed Ethernet Switch 2

10 OUTPOST-2R

Radio Controller, VoIP, 2 Ports, 12V DC Input 16

11 OUTPOST-CBL-R

Outpost Radio Cable, Custom, Minimum order of 10 16

RoIP Network and Endpoint Equipment

12

SFW-VPG-L1V1

Redundant VPGate Software License for a maximum of 40 endpoints, up to 20 may be "B" Licenses, Version 1.x. Includes CPS software license

2

Warranty and Support

13

First year Warranty

Hardware/Software Warranty and Technical Support

On-going Technical Support Program (TSP)

14 Technical Support/Software Upgrades for Years 2 & 3

7.6.4 Maintenance of Communications and Systemsa. NCTD shall supply all rail related radios (voice and data) for the performance of the Agreement

Services. The Contractor shall provide programming information to enable radios to operate on the assigned NCTD frequencies. The Contractor shall maintain, test, and certify that all system radios operate on the NCTD assigned frequencies and are in compliance with all applicable FCC regulations.

b. The Contractor will be responsible for programming all radios. The Contractor will be responsible for installing all radios (including but not limited to radios in NCTD owned vehicles, wayside radios, base stations, rail-borne equipment, etc.).

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c. The Contractor will be responsible to maintain and repair wayside communication systems, including PTC Communications Equipment including the back office server, the radio transceiver locations and antenna, Control Point radio Equipment and antenna, Control Point cellular backup, grade crossing communication devices, etc.

d. The Contractor will be responsible to maintain and repair the NCTD Wireless Mesh Network, including all wayside nodes (47 nodes in total and 13 nodes with cameras attached), solar panels (total of 82 solar panels), battery units, antennas, mesh pole cameras and on-board devices that are part of the system (Section 6.5.11). This includes possible Mesh expansion onto the Escondido Subdivision and along the San Diego Subdivision. Expansion of the San Diego subdivision Mesh Network is in the preliminary engineering phase, with construction estimated to begin 2018. The Escondido subdivision Mesh Network is not funded, nor designed yet. Preventative maintenance and antenna alignment should be performed for all nodes on a regular basis to ensure good state of repair.

e. The Contractor will monitor, maintain, repair, and troubleshoot all NCTD owned fiber optic networks and supporting equipment. The Contractor is responsible for fixing any issues related to fiber optic networks within four (4) hours upon discovery of the problem, unless approved by NCTD otherwise. The Contractor is responsible for maintaining 99.99% up time for all NCTD owned fiber optic networks and supporting equipment. The Contractor shall be responsible for responding to Communication Equipment failures, troubleshooting and repairing malfunctioning systems and shall document Communication Equipment maintenance, testing and failure information in the IndustrySafe.

f. The Contractor shall be responsible for troubleshooting and repair of any NCTD fiber optic cabling located in NCTD right of way, up to and including any breakouts, terminations, patch panels and connectors located in COASTER Communication Bunkers and SPRINTER Communication Interface Cabinets (CIC). The fiber optic cable along the SPRINTER line is 48 strand fiber from OTC CIC to ETC CIC. The fiber optic cable breaks out at each CIC on the SPRINTER line and at SOF. Fiber is either fusion spliced or terminated at each CIC. The fiber optic cable along the COASTER line is 72 strand fiber from Stuart Mesa to Santa Fe depot. Fiber breaks out at each communication bunker on the COASTER line. Fiber either passes through or terminates at each bunker. All strands are terminated at OTC, Old Town, and Santa Fe locations. COASTER – 24 strand fiber from Orange County line to Broadway south of Santa Fe Depot. Fiber stops at every wayside signal location, as well as at OTC Comm bunker, Old Town Comm bunker, and Santa Fe Comm Bunker.

g. The Contractor shall be responsible for identifying the location of and maintaining access to hand-holes/man-holes.

h. The Contractor shall monitor, maintain, repair, and troubleshoot NCTD owned fiber optic network and supporting equipment that is part of the SPRINTER OTN Communications System. This includes all individual systems inside of the SPRINTER CIC and Gangway Control Cabinets (GCC), including HVAC, digital video recorders, PA systems, battery backup systems and the physical enclosures themselves. Maintenance of workstations, servers, network hardware and software connected to the OTN network located at the SPRINTER Operations Facility will be the responsibility of the Contractor. The Contractor is responsible for fixing any issues related to OTN System within four (4) hours upon discovery of the problem, unless approved by NCTD otherwise. The Contractor is responsible for maintaining 99.99% up time for NCTD owned OTN System.

i. The Contractor shall be responsible for the maintenance and repair of COASTER Communication Bunker components including, HVAC systems radio equipment, and battery backup systems/UPS.

j. The Contractor shall be responsible for the maintenance and repair of all rail platform and station electronic devices, excluding ticket validation and vending machines.

k. The Contractor shall be responsible for maintenance and cleaning of all NCTD owned platform and parking lot cameras, platform and parking lot call boxes, electronic/variable message signs, PA speaker systems, including all cabling between CIC or Communications Bunkers and Cameras, Signs, PA speaker systems, and Call boxes.

l. The Contractor shall be responsible for the maintenance and repair of the SPRINTER Civic Center Vista Platform Rear Door Camera and Display. This is a single monitor and fixed camera used by SPRINTER engineers to verify closing of the rear doors Civic Center Vista platform.

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7.6.5 Signal and Communication Locks The Contractor will replace all existing signal and communication locks with NCTD approved lock (Abloy Protec2 PL 330 Padlock) or its equivalent and needs to be engraved “NCTD Signal”. All locks will become the property of the NCTD at the conclusion of this agreement. The Contractor will maintain a key plan and provide the plan to NCTD. If a key becomes lost or missing, the Contractor will be responsible for replacing all locks using that key. The Contractor will provide to NCTD the keys to all locks, as directed by NCTD. For the purpose of pricing, the Contractor should assume about 1700 signal and communication locks.

7.6.6 Capital Signal Services Annual Plana. The Contractor shall provide an annual Capital Signal Services Plan to support capital work that will

be performed within the timeframe of NCTD’s fiscal year, which spans from July 1 through June 30. The Contractor shall submit the Capital Signal Services Plan by October 1st on an annual basis for NCTD’s review and incorporation into NCTD’s upcoming fiscal year budget that begins on July 1. The Contractor, based on its final approved budget for capital signal work that results from the procurement process, will provide documentation to support the full expenditure of the budget as part of the annual update to the Capital Signal Services Plan. The initial and subsequent updates to the Capital Signal Services Plan shall be approved by NCTD after every update. If the Contractor does not fully expend the approved budget and or fails to provide sufficient justification of expenses, the amounts not expended shall be carried forward to the following year’s Capital Signal Services Plan to support additional project activities beyond the projected extent of capital work and or the amounts not expended being credited to NCTD, at NCTD’s discretion.

b. The Signal Services Plan shall identify all work, including the inspection and maintenance activities to be undertaken by The Contractor, Signal Maintenance Standards, and frequencies of tasks, staffing plan, and specific schedules for accomplishing such work, and proposed work windows or Rail Services diversions.

7.7 Third Party Projects7.7.1 Inspection and Compliance of Third Party WorkThe Contractor shall ensure the safety compliance of all work done on the Right-of-Way and Right-of-Way Assets by Third Parties and other the Contractors.

7.7.2 Inspection, Minor Repairs and Testing of Third Parties and Other Contractor’s Work

a. The Contractor shall inspect, make minor repairs and correct deficiencies, and test other the Contractors' work performed by other the Contractors or third parties as a part of NCTD's construction projects and third party projects. The purpose of inspection, repair and testing shall be to ensure that the work of such other the Contractors or third parties satisfies all of the requirements for the safe operation of trains, including, but not limited to, all applicable FRA and NCTD requirements, MOW, and MOS Standards.

b. The Contractor shall notify NCTD and the other the Contractors or Third Parties, as applicable, of non-compliant or unsuitable work determined by such testing and/or inspections. The Contractor shall continue to test and/or inspect until such time as the Other Contractor’s or Third Party’s work is deemed acceptable.

c. All The Contractor employees performing such testing, repair and inspection services shall complete daily reports, in a format approved by NCTD. Each daily report shall be submitted at the end of each workday to the NCTD.

d. The Contractor shall inspect, test and certify other the Contractors' and Third Party Equipment used as a part of NCTD's construction and Third Party projects. The purpose shall be to determine whether

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the Equipment is in a satisfactory condition to operate safely on the NCTD Right-of-Way, including, but not limited to, compliance with all FRA requirements. The Contractor shall notify NCTD and the other the Contractors or third parties, if applicable, of non-compliant or unsuitable Equipment determined by such inspection. All equipment inspections shall be documented and submitted in a format approved by NCTD.

7.7.3 Support of Communication Equipment and Signal Construction

The Contractor shall support any Communication Equipment and Signal construction work performed by other the Contractors or Third Parties as a part of NCTD's construction projects and third party projects. The Contractor's support shall include, but not be limited to, providing access to all Communication Equipment and Signals and identifying, assisting with, and performing the testing of such Communication Equipment and Signals. The Contractor shall provide signal support services for work performed by third parties including SANDAG and shall be compensated by third parties for signal support services, based on the Signal Support Services Hourly Rate submitted by the Contractor as part of this procurement and approved by NCTD’s Board of Directors for inclusion in NCTD’s Cost Recovery Fee Schedule. Changes to the Contractor’s rate for signal support services is subject to Board approval.

7.7.4 Locating and Marking Underground Railroad Utilities a. Within 48 hours notification, the Contractor shall locate all underground railroad utilities that exist at or

near the area of other the Contractors' or Third Party work performed as a part of NCTD's construction and Third Party projects. The Contractor shall perform such Services in advance of other the Contractors' or third party work, and The Contractor shall clearly identify the location of all railroad utilities by markings on the ground. The Contractor will help support NCTD in developing "As-Builts" for underground railroad utilities at various locations. The Contractor also shall be required to provide minor protection of underground Signal facilities and underground cable, devices, and enclosures, as necessary.

b. the Contractor shall be responsible for locating fiber optic cables within other jurisdictions’ Right-of-Way. NCTD is a member of “Dig Alert” for cables outside the Railroad Right of Way, and the Contractor will be responsible to respond to those notifications in accordance with “Dig Alert” membership requirements.

7.8 Other MOW and Signal Servicesa. For any new installation, modification or maintenance work performed on or within the Right-of-Way,

the Contractor shall provide NCTD with a complete set of updated plans and/or documents in electronic and hard copy formats within thirty (30) days following completion of the work. The Contractor shall provide plans as necessary to NCTD for control of encroachments.

b. The Contractor shall provide inspection and testing of Track and Signals before placing or restoring these systems to service following an outage.

c. The Contractor shall comply with all standard plans, material specifications, design criteria, work practices and methods, and use only NCTD approved materials in performing the Agreement Services and in designing modifications, improvements or additions to the Right-of-Way Assets.

d. The Contractor shall make available to NCTD sufficient The Contractor personnel that are qualified and authorized by The Contractor to support NCTD, The Contractor, other the Contractors, and third parties for Agreement Services and Extra Work.

e. Existing "as-built" plans shall be maintained in accordance with FRA regulations at all times. Once plans are created in or converted to electronic CADD format, they shall be maintained without "mark ups" in a one hundred percent (100%) correct and accurate state.

f. All CADD work shall utilize the latest version of CADD Software approved by NCTD.

g. Electronic copies of any new or updated CADD files shall be forwarded to NCTD promptly so as to keep NCTD’s set of plans current at all times.

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h. The Contractor shall have its staff operate and maintain electronic files. Specific duties include, without limitation, neat and orderly storage of plans, protecting plans from damage, controlling access to other the Contractors and third parties, plan copying, safe and appropriate handling of plans, third party billing, and cataloging of new and updated plans.

i. The Contractor shall provide surveys, design, development of plans, layouts, sketches, pictures, staging and phasing plans, and other engineering functions that are normally required for the Agreement Services.

j. The Contractor shall investigate, respond to, and attempt to resolve complaints and problems on and along the Right-of-Way that result from the performance of the Agreement Services.

k. The Contractor will provide their expertise and respond to NCTD’s request to review its project plans.

7.9 PTC Maintenancea. The Contractor shall ‘enter’ all communications regarding trouble calls, equipment failures, alarms, or

any unusual occurrence of the PTC System into the ‘NCTD Coaster Rail IT Environment’ to alert the designated NCTD staff of service related incidents. The location/vehicle information shall be listed in sufficient detail so as to be understandable to a person without Railroad expertise to interpret without confusion.

b. The Contractor shall document all responses to trouble calls and calls for assistance in the NCTD Coaster Rail IT Environment, and the Contractor shall conduct follow-up investigations to determine the root cause for any equipment failures.

c. The Contractor shall respond to emergencies and COASTER Rail service disruptions with sufficient resources without regard for time, day or otherwise, to resolve all such related emergencies or disruptions. Overtime, night, weekend and holiday work is expected and shall not be restricted for economic reasons.

d. The Contractor shall maintain the performance level of the NCTD Coaster Rail to allow commuter services to be provided at speeds no less than the Maximum Authorized Speeds in existence on the Service Date, or higher as maximum authorized speeds are increased during the term of this Agreement.

e. All corrections or repairs to the PTC System shall be made within the time limits specified by FRA Part 236 for correction.

f. Emergency repair may be performed in the interest of safety. Oral notification of such repair will be accepted if received by NCTD within one (1) hour of initiation of such repair. The Contractor shall provide a written request (CR) for final modification, per the PTC Configuration Control Management Plan (PTC CCMP) , within twenty-four (24) hours of such initiation, and shall include a detailed explanation of the required repairs and the reason emergency repair was initiated.

g. Only Model Approved (PTCSP stated manufacturer-recommended or approved) replacement parts; and PTCSP and delivered PTC maintenance document procedures shall be used to repair PTC segments, equipment and subsystems. All PTC CCMP, NCTD RailDocs, and NCTD Engineering Contractor configuration control procedures/policies shall be followed in the performance of the PTC System maintenance.

h. The Contractor shall provide inspection and testing of PTC Systems before placing or restoring these systems to service following an outage. The Contractor shall further ensure the safety compliance of all work done on the Coaster Rail Service PTC System resulting from a third party (SANDAG, Verizon, and ATT) work.

i. The Contractor shall also ensure that the PTC System is safe to go back into service after corrections or repairs to the PTC System have been verified, validated, audited and inspected.

j. NCTD will provide limited storage facilities and the Contractor shall ensure that NCTD support facilities and PTC System maintenance materials inventory are stored only in areas approved by NCTD, and under security appropriate for the nature of the materials.

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k. The Contractor shall keep the PTC System material storage facilities neat and in an orderly fashion at all times. All surplus PTC System materials or quantities above the minimum needed for routine maintenance shall be stored at the material storage facilities unless otherwise approved by NCTD.

l. The Contractor shall provide all resources and maintain PTC System Maintenance inventory and parts required for the maintenance of the PTC System on the Coaster Rail Service in a timely fashion. The Contractor shall record and monitor the Contractor procured inventory in the ‘NCTD Coaster Rail IT Environment’.

m. The Contractor shall adhere to the following in the performance of PTC inspection, maintenance, repair, replacement, and construction work pursuant to this Agreement.

n. All applicable laws and regulations, including those specific to the PTC and railroad industry.

o. Standards specific to NCTD’s Coaster Rail system.

p. The Contractor shall not modify NCTD PTC and communication maintenance and construction standards unless authorized in writing by NCTD.

q. The NCTD PTC System shall be verified, validated, audited and inspected by the Contractor to assure that they are all in Good Working Condition. This shall be accomplished by periodic validations, audits and inspection of the PTC System as required by this Agreement and FRA requirements in its current form and as periodically amended and updated during the Term of this Agreement.

r. PTC System verification, validation, audit and inspection dates and results shall be recorded in the ‘NCTD Coaster Rail IT Environment’ and summarized in the monthly Report on NCTD PTC System Maintenance Compliance. The Contractor shall provide the monthly Report, in electronic format, to NCTD.

s. The Contractor shall maintain the NCTD-owned fiber optic systems used for PTC System communications and CTC communications. This shall include all telecommunications interfaces, code lines, radio lines and data lines that interface with the Train Control systems.

t. Redundant communication links (fiber: 24 Train Control fibers, microwave, Wi-Fi, 220 MHz radio, MPLS, cellular) shall be maintained in an operable condition at all times when available, and periodic testing/usage by the Contractor shall be performed to ensure their integrity and that they are in Good Working Condition. The Contractor shall ensure survivability and continuity of PTC communications network services in the case of any catastrophic event or incident and ensure communications between NCTD GAO Control Center, SOF and the Coaster PTC System, and as further required by NCTD’s IT Security policies.

u. The Contractor shall be responsible for the implementation of all communication links (fiber, microwave, Wi-Fi, 220 MHz radio, MPLS, cellular) testing and maintenance activities, including but not limited to scheduling, utility coordination, outage duration, and notification. The Contractor shall notify NCTD at least 35 days prior to planned outages that affect the operation of trains and shall notify NCTD immediately in the case of unplanned outages.

v. The Contractor shall record all communication links (fiber, microwave, Wi-Fi, 220 MHz radio, MPLS, cellular) testing and maintenance activities and results in the ‘NCTD Coaster Rail IT Environment’. The Contractor shall provide a monthly Report, in electronic format, to NCTD containing a comprehensive summary of all communication links maintenance and testing activities and results for the previous month, as well as anticipated activities for the coming month.

w. The Contractor shall maintain all PTC Systems in non-revenue vehicles and work equipment in good working condition in accordance with the standards for revenue vehicles. The Contractor shall perform annual non-revenue vehicle and work equipment inspections. The inspections shall be performed with an NCTD representative. The results of the inspection shall be entered into the ‘NCTD Coaster Rail IT Environment’.

x. The Manager, Positive Train Control position shall oversee the PTC System maintenance activities for all PTC vehicles (including hybrid-rail) and at all NCTD Train Control facilities. The Manager,

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Positive Train Control position shall investigate and be responsible for producing Reports on all trouble calls, equipment failures, alarms, and any unusual occurrence of the PTC System.

y. All The Contractor Personnel who perform installation, maintenance, repair, modification, inspection, and testing of the PTC System shall be properly certified according to FRA regulations. Such personnel certification documents shall be stored at NCTD and shall be provided on demand to NCTD and the FRA. The Contractor shall maintain all PTC System maintenance personnel certifications in the NCTD electronic database system utilized for tracking certifications. The PTC Maintenance Contractor shall utilize the database system certification Report that supports timely recertification notifications and schedule recertification courses for the Contractor Personnel, NCTD Personnel and NCTD designated personnel. A copy of said Report shall be submitted to NCTD for its records.

z. As part of the Maintenance Services, the Contractor shall provide qualified flagging and qualified hybrid-rail operators for all The Contractor work on and near the Right-of-Way as required by NCTD.

aa. As part of the Maintenance Services, the Contractor shall implement the NCTD PTC Training Program Plan and provide the NCTD approved comprehensive PTC training programs for all The Contractor Personnel, NCTD Personnel and NCTD designated personnel involved in providing Coaster Rail Service, including, without limitation, any training required by the FRA.

bb. The Contractor shall develop and implement calibration standards, processes, procedures and documentation for all tools and equipment that are used to measure and verify PTC System characteristics and processes. This calibration document shall be submitted to NCTD.

cc. The Contractor shall implement the NCTD PTC CCMP that governs the configuration of all NCTD Train Control Systems. It shall encompass all processes, documents, and equipment used to provide the Maintenance Services.

dd. The Contractor shall implement the NCTD PTC CCMP. The Contractor shall perform annual audits that encompass all areas of the PTC CCMP. Copies of all audit reports shall be transmitted to NCTD within thirty (30) days of conclusion of the audit.

ee. NCTD reserves the right to conduct its own Quality, Configuration, and Safety audits of the Contractor or the Subthe Contractors and suppliers at any time. The Contractor shall fully cooperate and assist in such audits, as requested by NCTD.

ff. The Contractor shall attend a monthly Change Control Board (CCB) that will have oversight authority and provisional approval authority over all Train Control system level changes, material changes, and new system procurement efforts, as per NCTD’s PTC CCMP and policies. The Contractor shall be responsible to fill the following positions on the CCB: Secretary, Test Director, Architect, Chair, and Quality Control.

gg. On an annual basis, the Contractor shall conduct a full inventory and audit of all software, hardware, Office - Vehicle and Net CAD drawings and other equipment listed in the ‘eCIL’ comprising the NCTD PTC System. The Contractor shall compile the Annual PTC inventory in an itemized list, with fields designated by NCTD. The Contractor shall promptly update the inventory listing with incremental changes in the Annual PTC Inventory. The Contractor shall update the PTC Product Vendor List (PTCPVL) at the same time as the Annual PTC Inventory. Copies of all audit reports and the updated PTCPVL shall be transmitted to NCTD within thirty (30) days of conclusion of the audit.

hh. The Contractor shall schedule and attend monthly meetings with NCTD and be prepared to provide and discuss a summary of PTC System maintenance and testing activities and results for the previous month, as well as anticipated activities for the coming month. The Contractor shall publish and distribute a schedule for these meetings, prepare and distribute to all stakeholders a meeting agenda prior to each meeting, as well as prepare and distribute to all stakeholders meeting minutes within one (1) week after each meeting.

ii. The Contractor shall provide information to NCTD regarding railroad operations involving specific PTC System segments and subsystems upon request, including but not limited to, present and projected radio traffic; present and projected communication link/ne traffic; present and projected office processor performance; present and projected reliability, availability and

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maintainability characteristics/; and other conditions which may affect the planning for, and prioritization of PTC System/ Coaster Rail Service improvements.

jj. A monthly Train Delay Report shall be forwarded to NCTD no later than the date of the submission by the Contractor of its monthly invoice to NCTD. The Report shall include a breakdown of preventable and non-preventable PTC System failures. Adjustments to the Report shall be made only after review and with concurrence of both the PTC Maintenance Contractor and NCTD.

kk. The Contractor shall provide other engineering services as may be required for the performance of the Agreement services. These engineering services may include surveys, design, development of plans, layouts, sketches, pictures, reviewing staging and phasing plans, and other engineering functions that are normally required in the operation, maintenance and construction support of a PTC railroad. Unless otherwise stated, these services are to be included in the Base Services.

ll. The Contractor shall be responsible for coordination with neighboring railroads and other abutters of NCTD with regard to any failures of NCTD PTC devices or other electronic/configuration matters that result in inhibiting the safety of the Coaster Rail service.

mm. The Contractor shall be responsible for coordination with partnering NCTD the Contractors with regard to any maintenance of NCTD PTC devices or other electronic/configuration matters that result in inhibiting the safety of the Coaster Rail service.

nn. The Contractor shall provide the necessary support and documentation for any regulatory proceedings to comply with FRA regulations regarding PTC failures and unsafe conditions caused by the PTC System. This will include all the I-ETMS Hazard Log and notification of all I-ETMS system users of hazards discovered on NCTD’s PTC system as required by the FRA.

oo. The Contractor shall establish and update as necessary appropriate drug and alcohol testing programs for all The Contractor personnel in full compliance with the stringent interpretation of applicable Federal regulations governing control of drug use and alcohol abuse in railroad and/or transit operations.

pp. The Contractor shall make available to NCTD sufficient personnel that are qualified and authorized by the Contractor to support NCTD and/or other the Contractors for Extra Work.

qq. The Contractor shall be prepared to support construction on the railroad. All of the work performed by the Contractor as the result of construction support shall be performed as Extra Work.

rr. The Contractor, when requested by NCTD, shall furnish any Track Survey services as may be necessary for the proper ‘subdiv file’ operations of the Coaster PTC System. The ‘subdiv file’ shall be prepared, and brought before NCTD CCB, for potential changes to existing NCTD track, signal, timetable, and operating rules as may be required. All of the work performed by the Contractor as the result of Track Survey services shall be performed as Extra work.

ss. The Contractor shall provide engineering reviews of plans and specifications submitted by or on behalf of third parties and shall arrange for reimbursement of expenses incurred in its services from such third parties.

7.10 Material Storage Areas The Contractor shall establish a material storage area(s) using existing Stuart Mesa and SOF maintenance facilities. The Contractor shall not increase, decrease or otherwise modify the current level of utility of any existing location(s) without prior, written approval from NCTD. Should NCTD build or acquire a new material storage facility in the future, The Contractor will utilize both existing and/or new NCTD material storage facility at its own expense or relocate from old to new at its own expense.

7.11 Working in or Near Environmentally-Sensitive Areas or Habitats

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a. Many of NCTD’s right-of-way structures traverse environmentally-sensitive areas. It is the policy of North County Transit District to plan and carry out railroad maintenance activities in a manner that provides appropriate safeguards for the environment, in accordance with applicable Federal and State regulations. This policy is contained in NCTD’s Planning and Management Procedures for Railroad Maintenance Activities within or Near Sensitive Environmental Resources Areas.

b. The Contractor will be required to comply with the project planning and implementation requirements for maintenance projects as specified in the above Policy, including submission of Site Specific Work Plans (SSWP), project management and oversight, and application of Best Management Practices. Once the Site-Specific Work Plan has been approved by NCTD, The Contractor shall be responsible to follow it. No deviation from the SSWP shall occur without the prior approval of NCTD and, if necessary, biological monitors or resource agencies. The Contractor will be held liable for any unauthorized failure to follow the SSWP that results in penalties or fines, service delays, or related damages incurred to the NCTD for work performed, including the payment/reimbursement of such penalties or fines.

7.12 Flagginga. The Contractor shall provide NCTD-approved flagging services within ten (10) business days of such

approval, except during emergencies, see Appendix Y. During emergencies, The Contractor shall provide flagging services within one (1) hour of NCTD notification.

b. The Contractor shall provide flagging services for work performed by third parties including SANDAG and shall be compensated by third parties for flagging services, based on the Flagging Hourly Rate submitted by The Contractor as part of this procurement and approved by NCTD’s Board of Directors for inclusion in NCTD’s Cost Recovery Fee Schedule. Changes to the Contractor’s rate for flagging is subject to Board approval. In the provision of Flagging Services, the Contractor shall designate an Employee-in-Charge (EIC) whose sole responsibility will be monitoring and shall not be redirected to perform other ancillary duties such as inspections.

c. The Contractor shall be solely responsible for obtaining reimbursement for the provision of flagging services. All flagging provided by The Contractor shall be authorized by NCTD’s Right-of-Way Coordinator.

d. The Contractor shall provide flagging at no additional cost to NCTD for activities related to the Contractor oversight and project development.

e. No Flagman, Lookout, or EIC shall perform multiple tasks/job functions while on the wayside.

f. The EIC shall not perform any duties related to a Lookout or Flagman when there is more than one workgroup. When there is more than one workgroup, there shall be a Lookout or Flagman with each workgroup, with an EIC over all workgroups.

g. All job briefings will be documented and the form turned in to the Supervisor after every shift.

h. The Supervisor shall sign each job briefing form and upload them into Industry Safe after each shift.

i. The job briefing form shall have at a minimum, the date & time, location, Form B number, limits of Form B, any additional restrictions, the Contractors permit number, name of all the Contractors on site, and the name of all individuals providing protection.

NCTD estimates the level of effort based on historic usage of flagging for the first five years of the resultant Contract.

FY17 FY18 FY19 FY20 FY21 TotalNCTD 2,800 2,800 2,800 2,800 2,800 14,000SANDAG 62,754 55,642 33,570 26,578 11,592 190,136Other 3rd Party 5,460 5,733 6,020 6,321 6,637 30,170Total 71,014 64,175 42,390 35,699 21,029 234,306FTE 39 35 23 20 12

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8. CONTRACT CLOSE OUT AUDIT

8.1 Contract Close-Out Audita. Upon termination of this Agreement (for whatever reason) and transition to a new The Contractor, the

incumbent The Contractor selected as part of this RFP process shall in collaboration and under the direction of NCTD conduct a Close-Out audit to determine if all Revenue Vehicles, support vehicles and equipment, the Right-of-Way, Right-of-Way Assets, bridges, culverts, ditches, signals, communications equipment, dispatching equipment, and all other items The Contractor is responsible for maintaining have been properly serviced and maintained, and are in good repair, in accordance with this Agreement, and to support the return and transition of equipment, vehicles and other items to NCTD in sound condition, normal wear and tear excluded.

b. The audit will be completed at least ninety (90) days prior to the termination date of the Contract that results from this RFP. NCTD, the incumbent the Contractor, and the new the Contractor (if any) taking over operations and maintenance responsibility for NCTD, shall participate in the turnover inspection and audit process set forth in this subsection led by an independent auditor/consultant provided by NCTD.

c. If the audit finds any Revenue Vehicles, support vehicles and equipment, the Right-of-Way, Right-of-Way Assets, bridges, culverts, ditches, signals, communications equipment, dispatching equipment, or any other items The Contractor is responsible for maintaining have not been properly serviced and maintained, or are in good repair in accordance with this Agreement, the Contractor selected as part of this RFP process shall be responsible to bring those items into compliance with this agreement. If the Contractor is unable to bring those items into compliance with this agreement, the Contractor shall be held financially responsible for the cost of repair or, if repair is impossible, replacement, of all items not in compliance with this agreement. The extent of repair or replacement shall be agreed upon by NCTD, outgoing The Contractor, and incoming The Contractor.

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9. FACILITY AND SUPPORT EQUIPMENT

9.1 NCTD Facilities9.1.1 Stuart Mesa Maintenance FacilitySMMF is a 15 acre facility located on Camp Pendleton and was opened in 1996. It is used to perform routine maintenance of the COASTER fleet and store maintenance of equipment inventory for COASTER locomotives and coaches. Offices for The Contractor personnel, vehicle records, and the Transportation crew sign-in are also located at this facility. There are 2 pits, located in the enclosed area of the facility and one pit in the unenclosed area of the facility, but there is no drop table or wheel truing machine at Stuart Mesa. Wheel truing is currently outsourced and The Contractor shall arrange for wheel truing to be accomplished off-site or by other means as part of the base services. There are 5 tracks available for the storage of passenger trains. There is a fueling station and a train washer. There is a forklift at this facility. This facility is also equipped with a California - approved paint booth which can accommodate both coaches and locomotives. Southern California Regional Rail Authority (SCRRA) and Burlington Northern Santa Fe (BNSF) also store trains at the Stuart Mesa Facility.

9.1.2 SPRINTER Operations FacilitySOF is a 6.3 acre facility located in Escondido, CA that was opened in 2007. It is used to perform routine maintenance of the SPRINTER fleet and store maintenance of equipment inventory for SPRINTER DMU’s. Offices for The Contractor personnel, vehicle records and the transportation crew sign-in are also located at this facility. There are 2 pits, located in the enclosed area of the facility, but there is no drop table or wheel truing machine at SOF. Wheel truing is currently outsourced and The Contractor shall arrange for wheel truing to be accomplished off-site or by other means as part of the base services. There are 3 tracks available for storage of passenger equipment. There is a fueling station and train washer. This is also the current location of the Dispatching center, and if/when the Dispatching center is moved to Oceanside, this will remain a backup location for train dispatching.

9.1.3 San Diego Trolley Yard

San Diego Trolley Yard is located in downtown San Diego. This is a layover facility, part of the San Diego Trolley Yard, utilized by the NCTD to lay-over trains during the mid-day. There are 3 tracks available to lay-over trains. There is a trailer for use by The Contractor at the San Diego Trolley Yard, but the trailer does not comply with FRA standards for crew quarters. There is no operable ground power supply available to The Contractor.

9.1.4 Maintenance-of-Way FacilityThe Maintenance-of-Way and Signal facility is located in Oceanside near the Rancho Del Oro SPRINTER Station. This facility is used for the storage of all Right-of-Way and Signal spares, as well as offices for the Right-of-Way and Signal Supervisors and Managers. This facility also serves as the training classroom for the RWP training that will be offered by The Contractor. All of the trucks and other equipment used to provide Right-of-Way and Signal support for the contract are stored here over-night.

9.2 The Contractor Responsibilities for Facility Maintenancea. The Contractor is not responsible for providing facility maintenance services. NCTD will be

responsible for performing facility maintenance services. The Contractor is not responsible for providing station maintenance services. NCTD will be responsible for performing station maintenance services. The Contractor is responsible for communicating and coordinating activities with NCTD or its station and facility maintenance the Contractor.

b. The Contractor shall have general responsibility for opening and closing the facilities as needed and general housekeeping to maintain these facilities at a safe and reasonably organized level. The Contractor shall open the facilities for operations each day. Opening and closing the facilities

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includes unlocking and locking doors, turning on and off lights, HVAC, and other necessary systems, and otherwise preparing the facilities to perform the work described in this Statement of Work.

c. The Contractor shall be responsible for the maintenance and upkeep of the facility at the San Diego Trolley Yard, including cleaning services, emptying and cleaning of the holding tank, and removal of trash.

d. The Contractor is expected to provide furniture, land lines, internet access, cellular telephones, and computers, printers, scanners and faxes at all facilities.

9.3 NCTD Responsibilities for Facility Maintenance and Utilities

a. NCTD is responsible for maintaining interior and exterior of the facilities which includes maintenance of all building systems and equipment, including train wash systems, fueling systems, solar panels, and way-side power hookups, as well as custodial and landscaping services.

b. NCTD is responsible for security at the maintenance facilities. If the Contractor determines there is a need for supplemental security at its facility, the Contractor will be responsible for providing such security based on pricing data obtained as part of this procurement.

c. NCTD shall furnish and pay for the utilities (electricity, water, sewer, trash) at the facilities.

9.4 Access to and Use of Maintenance Facilitiesa. As of the commencement of service and throughout The Contractor’s tenure, NCTD will grant The

Contractor the right to enter and utilize the mechanical and Maintenance-of-Way facilities. NCTD shall have access and control of access to the maintenance facilities at all times. State and federal inspectors and law enforcement officers are permitted to enter the facilities without prior notice to NCTD.

b. The Contractor shall be responsible for NCTD pass codes, key(s) and/or identification / building access cards loaned to The Contractor for entry and exit to NCTD’s premises while performing services under the contract. The Contractor shall return all keys and/or access cards upon contract termination or when requested by NCTD. Identification access cards shall not be used by any persons other than the person to whom the card was issued. All lost, stolen or broken keys and access cards shall immediately be reported to the Facilities Manager and NCTD Chief of Transit Enforcement. The Contractor shall be charged for key and access card replacement(s) if keys / access cards are lost during the term of the contract or not returned within twenty-four (24) hours of contract termination, at a rate of $10.00 per key and $25.00 per access card. For security purposes, NCTD reserves the right to re-key any locks as required due to The Contractor’s loss of control over keys issued to The Contractor at a rate of $100.00 per lock.

c. The Contractor shall promptly notify NCTD of any facility issue at any maintenance site that are malfunctioning, broken or otherwise in need of repair or replacement. Additionally The Contractor shall notify NCTD of any issues that could pose a hazard to the public or employees.

9.4.1 ParkingOn-site parking is currently available for employees of NCTD and The Contractor. The Contractor will have access to all parking at the facilities with the exception of parking spots reserved for NCTD.

9.4.2 Facility Use and Office Spacea. NCTD personnel shall at all times have access to NCTD maintenance of equipment and

Maintenance-of-Way equipment and facilities. NCTD may provide space in its maintenance facilities to third parties, but will consult The Contractor prior to such action to ensure that it does not conflict with The Contractor’s ability to perform the Agreement Services.

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b. NCTD may authorize office space for its coach or locomotive refurbishment the Contractor at the Stuart Mesa facility. NCTD will designate the office space at maintenance facilities that will be available for use by The Contractor.

c. NCTD may, at its sole discretion, choose to use the paint booth and its facilities for the purpose of repairing and/or repainting non-NCTD rolling stock. This work may be contracted out to a third party. If this work is planned, it shall not interfere with, or adversely affect, The Contractor’s performance in meeting the requirements of this Statement of Work. NCTD is responsible for maintaining the booth, PM, filters and repairs. However, the Contractor is responsible for securing operating and environmental permits and tracking paint usage.

9.5 Support Equipment9.5.1 The Contractor Responsibilitiesa. The Contractor is responsible for the maintenance of Support Equipment, which includes equipment,

tools, machines, non-revenue vehicles, and other equipment and materials (including inventory) needed to maintain the Right-of-Way and Rolling Stock.

b. The Support Equipment owned by NCTD includes, but is not limited to, the items listed in Appendix C-4. The Contractor at its own expense shall make arrangements to acquire/lease any Support Equipment not owned by NCTD required to perform the activities described in this Statement of work.

c. The Contractor shall be responsible for:

Development of maintenance and inspection programs for Support Equipment in a Support Equipment Maintenance Plan;

Proper maintenance and repair of all Support Equipment, complying with the programs established in the Support Equipment Maintenance Plan, such that they are clean, in good working order, fully functional, and meet all OEM levels of design performance;

Ensuring 100% availability of Support Equipment during scheduled maintenance operation work hours;

Rental or purchase of any necessary additional equipment (including tools) not provided by the NCTD, which The Contractor believes is necessary or appropriate to carry out its duties under this Statement of Work;

Recommending the procurement new or replacement of Support Equipment consistent with NCTD’s annual CIP with any request being submitted by October 1st on an annual bases.

Replacement of any Support Equipment (except automobiles and service trucks) that fails due to normal wear and tear. It shall ultimately remain the property of NCTD.

9.5.2 Support Equipment Maintenance Plana. Per the requirements of Appendix U, which requires the development of a Support Equipment

Maintenance Plan, The Contractor shall submit to NCTD for review and comment a preliminary support equipment maintenance plan, which describes The Contractor’s proposed plan of operating and maintaining the NCTD’s MOE and MOW equipment.

b. This plan shall be updated on an annual basis.

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10. MATERIAL MANAGEMENT

a. The Contractor is responsible for the procurement of all materials, parts and services, unless otherwise provided by NCTD as part of this procurement process. The Contractor shall develop and maintain an Inventory Plan approved by NCTD to ensure a sufficient inventory for the successful operation and maintenance of NCTD assets as specified in this procurement process. The Contractor shall acquire, store, secure, issue, account for, control and dispose of NCTD-provided materials and other assets in accordance with applicable regulatory and NCTD policies. The Contractor shall adhere to all applicable regulatory (including, FTA Third Party Contracting rules) and NCTD policies and procedures when procuring materials and parts for services performed under this Contract. A list of SPRINTER Capital Spare parts is provided in SOW Appendix C-6. The COASTER equipment does not fall under Buy-America regulatory requirements, but a list of COASTER Capital Spare parts in provided in SOW Appendix C-7.

b. The Contractor shall ensure that material and parts are entered into NCTD’s JDEdwards asset/inventory system or other NCTD-approved inventory management software. When materials and parts are entered into the system and inventory, they become NCTD property. All supplies and materials for preventative maintenance inspections (PM) will be on hand to ensure that no scheduled inspection is delayed due to the lack of parts or materials. All common parts for scheduled and reactive repairs (consumed more than one or more item per six months) will be stocked to prevent any delays of repairs or service delays. Any item that requires more than one (1) week of lead time shall be kept on the shelf in sufficient quantity. The Contractor shall maintain an inventory of repair-and-return, unit exchange, and other spares required to support the requirements of the Contract. When requested by NCTD, The Contractor shall keep separate inventory records in the Material Management system for those items that have been purchased using capital funds, “Capital Inventory”. NCTD has the final authority on supplier selection for any material, part or service. Before any substitution of a NCTD-approved supplier can occur, it shall be approved in writing by NCTD. NCTD reserves the right to transfer management or procurement responsibility for some or all of The Contractor-managed materials, parts and services to NCTD. NCTD will have the final approval over the method, software, part numbers, forms, etc. used in maintaining inventory.

c. OEM equipment is required on all replacement parts. Unless a replacement part or component has been certified in compliance with NCTD's SSPP. The cost of implementing a non-OEM specified part or component is the Contractor’s sole responsibility.

10.1 Material Storagea. All material shall be stored in an orderly manner, tagged or identified, such that it can be easily

found, inventoried and placed and is not damaged, warped, twisted or otherwise distorted during storage. NCTD may reject as non-compliant any inventory not stored in conformance with manufacturer requirements and the requirements set forth in this RFP. Loss of value due to improper handling or storage of support property or support material shall be the responsibility of The Contractor.

10.2 Inventorya. NCTD will provide the Contractor the existing inventory of materials and parts documented by part

number, quantity, location and current estimated inventory value. The Contractor shall be responsible for providing, and maintaining an adequate inventory of spare parts to assure proper and timely maintenance and operation of all Revenue Vehicles, support vehicles, MOW, MOS, and support equipment as part of the Base Services. An annual “Fiscal Year” inventory shall be completed each year. The inventory shall start on or after June 15th and be completed no later than June 30th each year to ensure the content is at a level to meet the contractual obligations.

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The Annual Inventory will be completed by the Contractor with oversight provided by NCTD. The Contractor shall provide staff support for this function, as required.

b. The Contractor will provide a consistent and accurate inventory report of the annual inventory to NCTD for review and approval. This includes accurate exception reporting of quantity adjustments. The Contractor shall reconcile any inconsistencies in reported data. Reconciliation may include replenishing of quantities, adjustment to quantities or total value of the inventory, or payment to NCTD for unaccounted shortages. The Annual report to NCTD will also outline the physical locations of the inventories to include storerooms, warehouse locations and any "stockpile" locations of all NCTD-provided property or assets.

c. To ensure consistent inventory control over the term of each contract year, the Contractor shall be required to develop and maintain a security inventory plan, and will be required to complete quarterly “cycle counts” or “mini inventories”. The quarterly inventory will be random in nature and cover no less than 10% of the total inventory per quarter. Results of the quarterly inventory will be provided to NCTD for review.

d. Upon reasonable notice, NCTD shall have the right to inspect all The Contractor-maintained inventories. NCTD, at its own expense, may conduct inventories of any NCTD-furnished materials or property.

e. All material stored in the warehouse shall be verified as to count and condition prior to recording in the JDE or other NCTD-approved software. All material issued or received shall be recorded and documented as to whom it was issued and which vehicle or asset it was issued to if applicable.

10.3 Disposal of Materiala. The Contractor shall dispose of any materials designated by NCTD as scrap, surplus or obsolete

with proceeds returned to NCTD. Such disposal shall only occur with the written approval of NCTD in accordance with NCTD Board Policy 29.

b. On an annual basis NCTD may conduct a joint audit with The Contractor aimed at identifying obsolete material. In accordance with NCTD policies and procedures, The Contractor shall dispose of any obsolete material identified through this process, but may do so only with NCTD written approval. All proceeds shall be returned to NCTD.

10.4 Contract Closeout InventoryAt the completion of the contract, the Contractor shall perform an annual inventory as outlined in section (10.2) no less than 30 days but no more than 45 days prior to the contract completion. The closeout inventory is required to ensure sufficient inventory by quantity for the next the Contractor to adequately maintain the assets. As defined in Section 10.2 the Contractor will be required to replenish the inventory to the established inventory quantities prior to the contract completion. NCTD may approve a payment reconciliation for some or all unaccounted shortages.

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11. SAFETY AND SECURITYThe safety and security of the general public, and NCTD’s customers, staff, facilities, equipment, brand, and the surrounding communities that NCTD serves shall be the primary concern of The Contractor in the execution of the Agreement and performance of its duties. The Contractor will conduct its operations with strict adherence to the NCTD SSPP, the NCTD System Security and Emergency Preparedness Plan (SSEPP), all applicable safety, security and operating rules, all safety and security provisions of the Statement of Work, and Federal, State, and local regulations. The Contractor shall not permit its employees or subthe Contractors to perform any duty without proper training in safety, security, and operating rules. The Contractor's Safety Management Group will audit The Contractor's employees for compliance. Failure of The Contractor's employees to comply with any part of these safety and security requirements shall be considered a breach of the Agreement. As such, the NCTD reserves the right to remove, insofar as NCTD service is concerned, The Contractor's employees who perform in violation of the Agreement, and or other applicable regulatory requirement related to the safety and security of operations.

11.1 The Contractor Safety Managementa. The Contractor shall employ a full-time Safety Management Group consisting of two or more

Safety Officers, dedicated solely to the NCTD system (“The Contractor Safety Management Group”). The Contractor Safety Officer(s) must have previous rail safety experience in a FRA operating environment with one person having expert experience in rail transportation/operation and the other position having expert experience in vehicle maintenance. The Contractor Safety Management Group has the responsibility to ensure all requirements of this Paragraph are complied with and will report directly to The Contractor's General Manager. The Contractor will furnish NCTD as part of this procurement process, a Safety Management Group Plan that outlines the organizational structure of the group and duties and responsibilities of the employees therein. The Safety Management Group plan will ensure that training responsibility is completed outside of the Safety Management Group function and area of responsibility.

b. The Contractor's safety management duties will include, but are not limited to, auditing of rail operations and maintenance activities for compliance with NCTD, Federal, and State requirements; 24/7 response to all accidents or safety-related incidents; reporting officer for Federal and State reporting requirements; use of the NCTD Safety Reporting Program for the purpose of entering safety-related information such as identified hazards, corrective actions, training records, accident/incident information, and audit reports (both internal and external); completion of an annual internal audit to determine compliance with the NCTD SSPP; participation in the establishment and, staffing of an NCTD Emergency Operations Center (EOC) during emergencies and accidents; participation in the NCTD tri-annual SSPP third-party audit; coordination of required Emergency Response Drills with local agencies and in compliance with NCTD's PTEP; EPREP, and ERP’s, coordination of The Contractor Safety Committee and Safety Meeting requirements; participation in the NCTD System Safety Review Committee; audit of The Contractor training requirements as identified in the NCTD SSPP; handling of all environmental and employee health issues; and other duties as required by Agreement or as assigned. The Contractor's General Manager and Senior Safety Officer shall be signatories to the NCTD SSPP.

c. The Contractor Safety Management Group responsibilities shall also include comprehensive oversight of The Contractor roadway worker safety in accordance with the NCTD On-track Safety Protection Plan. Responsibilities include RWP training of all The Contractor maintenance employees, other the Contractors, and subthe Contractors; review of work plans for safety compliance; and field audits of maintenance and construction activities, during day time, night time, and weekends when the work is performed.

d. The Contractor Safety Management Group will participate, where practicable, in all audits by outside parties or agencies such as APTA, FRA, or CPUC. Following receipt of an audit report, The

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Contractor Safety Management Group will develop and submit a Corrective Action Plan to the NCTD Safety Officer for approval for all deficiencies or recommendations that result from the audit. The timeframe and scope for submission of the plan will be determined by NCTD Safety Officer. The Contractor Safety Management Group will be responsible for completion of the Corrective Action Plan.

11.2 Safety Action Plan a. The Contractor shall provide a comprehensive Safety Action Plan to NCTD for review and approval

that describes how The Contractor will comply with the NCTD SSPP, and must include employee, customer and operational safety, employee health and environmental safety. The Safety Action Plan shall be finalized for NCTD approval at least 60 days prior to the Service Date of the Agreement. The Safety Action Plan will be updated annually to be consistent with the most current version of the NCTD SSPP and will be submitted to the NCTD Safety Officer for review and approval no later than December 31 each year. The Safety Action Plan shall be created and published for NCTD, and be identified as an NCTD-specific document. Investigation reports, forms and files shall be identified as belonging to NCTD. The Contractor's standard "corporate" safety program and forms shall not be used.

b. The Contractor's Safety Action Plan elements shall include, but are not limited to, General Safety Rules for Employees, an Accident/Incident Reporting program, a Hazard Identification and Management program (including "close calls"), a Passenger Train Emergency Preparedness Plan, a Safety Committee plan, a Substance Abuse program as specified by FRA regulations, a Fatigue Management program, an Hours Of Service management plan, employee certification programs, and an Operational Rules Testing program. All of these Safety Program elements will be in full compliance with FRA and CPUC regulatory requirements.

c. The Contractor shall perform an annual internal audit as directed by the NCTD to determine compliance with the NCTD SSPP. The Contractor shall prepare a written summary of findings, with a remedial action plan, for NCTD review within 10 days of the completion of the internal audit. The Contractor shall implement corrective actions recommended by the internal audit or by third-party auditors, after review with and approval by NCTD designated personnel. The Contractor shall invite and allow NCTD management to participate in all safety-related reviews, including, but not limited to, efficiency tests, internal safety audits, and other reviews of a related nature.

11.3 NCTD System Safety Program Plan The Contractor shall comply with and support the most current NCTD SSPP. Updates and modifications to the plan are made regularly, and The Contractor shall participate with the NCTD during annual update and review of the SSPP and comply with any and all changes to the plan. The Contractor shall also participate in the review and update of other safety related documents as required by the NCTD.

11.4 Safety CommitteesThe Contractor shall maintain a safety committee program as described in The Contractor's Safety Action Plan and in compliance with the NCTD SSPP. The NCTD Safety Division shall be responsible for auditing the safety committee meetings and may attend and participate at his or her discretion. Minutes of these meetings shall be forwarded each month to the NCTD Safety Officer. The Contractor also shall participate in a monthly safety meeting with the NCTD Safety Officer.

11.5 Facility and Station Inspections

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The Contractor shall conduct monthly safety and security inspections of facilities under the control or responsibility of The Contractor and may include, but is not limited to, employee layover facilities and offices and maintenance facilities. Inspections shall be documented on NCTD-approved checklists as defined in the current SSPP and will include corrective action plans and assignments of responsibility. Copies of inspection reports shall be forwarded to the NCTD Safety Officer within three (3) days of inspection, and findings of inspection shall be recorded by The Contractor in the NCTD NCTD’s Safety Reporting Program.

11.6 Hazards Involving ProjectsWhere NCTD or The Contractor determine an immediate and serious hazard exists, The Contractor or NCTD representative has the authority to immediately contact the appropriate personnel to request that the hazardous conditions be corrected or hazardous practices halted. Should contact prove to be infeasible or unsuccessful, The Contractor or NCTD representative shall have the authority to stop the project work. NCTD reserves the right to conduct unannounced inspections aimed at identifying and eliminating unsafe practices, operations, and conditions.

11.7 Injury Statistics The Contractor shall furnish to designated NCTD personnel a monthly report capturing injury statistics, including the number of FRA reportable employee injuries, in a format approved by NCTD.

11.8 Regulatory Agency Reportinga. An Internal Control Plan for Accident and Incident Reporting, as required by NCTD Standard

Operating Procedure, and all regulatory agency requirements shall be submitted for NCTD review and approval at least sixty (60) days prior to the Service Date of the Contract. The Contractor shall be the Operating Railroad of Record for all incident and injury reports to regulatory agencies, including but not limited to FRA, CPUC and Cal-OSHA and in accordance with NCTD internal policies, and all regulatory agency requirements. The Contractor shall also enter all incident and injury information into NCTD’s Safety Reporting Program within 48 hours of the incident. The Contractor shall designate a reporting officer as the primary contact for all reporting requirements, and The Contractor's reporting officer and NCTD Safety Officer shall meet monthly to discuss the previous month's incidents and on-going issues involving reporting compliance.

b. On behalf of NCTD, The Contractor shall complete and make timely submission of all reports required by the FRA and the CPUC associated with the operation and maintenance of the NCTD railroad and the COASTER commuter rail and SPRINTER hybrid rail service as required. FRA-required reporting shall be in accordance with applicable regulations and the current edition of the FRA Guide for Preparing Accident/Incident Reports. NCTD shall provide The Contractor access to the NCTD’s IndustrySafe safety data and reporting management system to facilitate portions of this reporting requirement.

11.9 Accident and Incident Investigation and Reporting a. This NCTD Accident Investigation Procedure will establish investigatory compliance requirements for

NCTD. NCTD Managers, Employees and Modal Contract Managers responsible for NCTD operations, maintenance and system safety tasked to respond to accidents within the NCTD System will follow this procedure and other regulatory requirements. This accident investigation procedure is also a guide to gathering and evaluating data in order to determine the root cause of an accident and identify corrective measures to prevent reoccurrence. The objective of this SOP is to achieve the following:

Define the roles and responsibilities of specific NCTD and Modal Contract individuals and departments which are required to respond to accidents or incidents which occur on the NCTD system.

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Improve system safety by effectively reporting, investigating, and analyzing all accidents, incidents and develop complete, accurate, and comprehensive reports.

Implement corrective measures based on the results of the complete investigation to prevent or mitigate reoccurrences.

Provide opportunities for NCTD System Safety, Claims, Risk Management and Legal departments to effectively analyze all accident reports with regard to exposure to liability and potential internal or external claims and/or litigation.

11.10 Data and Video Recordersa. The NCTD reserves the right to install additional video recorder camera systems in NCTD rolling

stock and fixed facilities.

b. The NCTD shall have full and complete access to and control of the following, without prior notification to The Contractor:

Rolling stock event recorders and event recorder data; Rolling stock video recorder camera systems and video recorder data; Control system and signal system event recorders and recorder data; and Closed-circuit television (CCTV) systems at fixed facilities. Signal Equipment downloads

c. The Contractor shall follow the NCTD Chain of Custody plan at all times.

11.11 Revision of Safety Practices The Contractor shall, with prior NCTD written approval, revise its SOPs, emergency response practices, training techniques, or reporting practices if it is revealed to The Contractor through regulatory agency communications, industry communiqué, employee communications, or NCTD communication that such revisions will assist in the reduction or prevention of injury or loss of life to its employees, NCTD passengers, NCTD employees, the surrounding community, or NCTD equipment or property or foster improvement to operations..

11.12 Worker Health and Safety and Hazardous Material Safety

The Contractor shall comply with all applicable Federal and California Occupational Safety and Health Administration (OSHA) safety requirements as they apply to The Contractor’s work environment. The Contractor shall develop required employee health and safety programs, hazardous materials handling and disposal procedures and emergency evacuation procedures for the facilities occupied by The Contractor’s personnel.

11.13 The Contractor Security Managementa. As referenced in section 11.1, The Contractor shall employ a full-time Safety Management

Group. Matters of security are inclusive in the responsibilities of the Safety Management Group. The Contractor Safety Management Group has the responsibility to ensure all security requirements of Sections 11.13 through 11.17 are complied with. The Contractor will furnish NCTD as part of this procurement process, a Security Management Plan that outlines the duties and responsibilities of the Contractor’s employees therein.

b. The Contractor's security management duties will include, but are not limited to, development, submittal, and implementation of a Security Action Plan; auditing of rail operations and maintenance activities for compliance with NCTD, Federal, and State requirements; use of the

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NCTD safety reporting software system (currently, IndustrySafe) for the purpose of entering security-related information such as threats, crimes, identified hazards, corrective actions, training records, crime/incident information, and audit reports (both internal and external); completion of an annual internal audit to determine compliance with the NCTD SSEPP; participation in the NCTD SSEPP third-party audit; employee security awareness training.

c. The Contractor Safety Management Group will participate, where practicable, in all security audits by outside parties or agencies such as APTA, FRA, FTA, or CPUC. Following receipt of a security audit report, The Contractor Safety Management Group will develop and submit a Corrective Action Plan to the NCTD Chief of Transit Enforcement for approval for all deficiencies or recommendations that result from the audit. The timeframe and scope for submission of the plan will be determined by the NCTD Chief of Transit Enforcement. The Contractor Safety Management Group will be responsible for completion of the Corrective Action Plan.]

d. While NCTD provides overall general system security services on the NCTD rail system via uniformed personnel, contract law enforcement services, and off-site monitoring of a CCTV system of various locations throughout the NCTD service area, The Contractor is responsible for the physical security of facilities, equipment, and staff under its immediate control.

e. The Contractor, at its sole cost, shall be solely responsible for the necessary physical security of its personnel, agents, suppliers, facilities, materials, and equipment, at and of the work site. The Contractor understands and accepts that NCTD is not be responsible for such security measures, and The Contractor shall take necessary and prudent measures to ensure the security of his personnel, agents, suppliers, facilities, materials, and equipment, and the work site by the provision of, including but, not limited to: security fencing/gates, locked storage facilities and containers, secured equipment areas, posted professional, bonded or insured, State of California BSIS certified and licensed security personnel, security cameras and media recording devices (DVR’s), and other measures deemed necessary by The Contractor for the security needs thereof. The Contractor understands that the cost for any damaged, vandalized, or stolen items shall be borne solely by The Contractor.

f. NCTD may elect to investigate criminal or security related incidents affecting the NCTD rail system such as incidents or events, including, but not limited to: crimes against persons, crimes against property, motor vehicle related crimes, breaches, threats, thefts, burglaries, work place violence, fatalities, injuries, accidents, and passenger complaints.

g. The Contractor shall be responsible for:

1. Maintaining general security awareness and protection of NCTD property and assets under its charge;

2. Providing security awareness training for all new employees and to all employees every two years; this training will be based on the National Transit Institute (NTI) or Transportation Safety Institute (TSI) Transit Employee Security Awareness course curriculum;

3. Developing, implementing, and updating employee security policies in accordance with the approved Security Action Plan;

4. Conducting internal security inspections of facilities and assets;

5. Developing corrective actions and making improvements to security deficiencies;

6. Managing and resolving non-security and non-criminal related passenger disputes in accordance to NCTD approved Standard Operating Procedures;

7. Notifying dispatch center/control center to request assistance from NCTD’s Transit Enforcement Division or law enforcement, in case of incidents that lead to impairment of safety and security of NCTD operations and traveling public;

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8. In case of incidents or accidents, The Contractor is responsible for informing the Incident Commander that they are representing NCTD, until relieved;

9. Providing full cooperation, support, and required coordination with Federal, State, and local law enforcement officials conducting security operations and/or engaged in active criminal investigations;

10. Cooperate and assist NCTD and law enforcement officials in any incidents or accidents;

11. In the case of security-related or criminal incidents (thefts, break-ins, etc.) identified by The Contractor’s employees, The Contractor will provide a written report documenting the details of the incident within twenty-four (24) hours of the incident; The Contractor shall provide a copy of the Law Enforcement criminal activity report to NCTD within 15 calendar days of the report being filed.

12. To notify the NCTD Transit Enforcement Division Control Center (“Station O”) of any criminal activity within 2 hours of being aware of the crime and contact local Law Enforcement to file a criminal activity report for any losses estimated to exceed $100.

13. The Contractor shall report any unlawful entry or trespassing incident upon the facilities they are in control of or any unusual or criminal activity adjacent to the facility (i.e. facility open parking lots) immediately to the NCTD Transit Enforcement Division Control Center (“Station O”).

14. The Contractor shall be in full compliance with Cal OSHA Guidelines for Workplace Security for the duration of the agreement. Cal OSHA Website: http://www.dir.ca.gov/dosh/dosh_publications/worksecurity.html

11.14 Security Action Plan a. The Contractor shall provide a comprehensive Security Action Plan to NCTD for review and

approval that describes how The Contractor will comply with the NCTD SSEPP, and shall include employee, customer and operational security. The Security Action Plan and all attachments and appendices will be considered Sensitive Security Information, pursuant to 49 CFR Parts 15 and 1520, and will be marked “SSI”. The final Security Action Plan shall be implemented at least sixty (60) days prior to the Service Date of the Contract. NCTD will review the proposed Security Action Plan and provide corrections and comments for The Contractor action. A plan will be considered reviewed and approved once conditions are met and the NCTD reviewer signs the plan as “Approved”. The Security Action Plan will be updated annually to be consistent with the most current version of the NCTD SSEPP and will be submitted to the NCTD Chief of Transit Enforcement for review and approval no later than April 1 st each year. A copy of the most current version of the SSEPP will be provided to the Contractor for reference. The failure to submit a Security Action Plan or to fail to implement and continue the conditions placed in the approved plan can result in the imposition of liquidated damages until remedied per approved schedule. The Security Action Plan shall be created and published for NCTD as a NCTD-specific document. Investigation and Incident reports, forms and files shall be identified as NCTD. The Contractor's standard or template "corporate" security program and forms shall not be used.

b. The Contractor's Security Action Plan elements shall include, but are not limited to, Security Rules for Employees, a Crime/Security Incident Reporting program, a Security Threat or Hazard Identification and Management program; Employee Security Awareness Training Program, Security Committee; Internal Inspection and review of facility security conditions. All of these Security Program elements will be in full compliance with any and all FTA, FRA and CPUC regulatory requirements.

c. The Contractor shall perform an annual internal audit as directed by the NCTD to determine compliance with the NCTD SSEPP. The Contractor shall prepare a written summary of findings, with a remedial action plan, for NCTD review within 10 days of the completion of the internal

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audit. The Contractor shall implement corrective actions recommended by the internal audit or by third-party auditors, after review with and approval by NCTD designated personnel. The Contractor shall invite and allow NCTD management to participate in all security-related reviews, including, but not limited to, site inspections, internal security audits, and other reviews of a related nature.

11.15 NCTD’s System Security and Emergency Preparedness Plan:

The Contractor shall comply with and support the most current NCTD SSEPP. Updates and modifications to the plan are made regularly, and The Contractor shall participate with the NCTD during annual update and review of the SSEPP and comply with any and all changes to the plan. The Contractor shall also participate in the review and update of other security related documents as required by the NCTD. The Contractor shall be a signatory participant in the NCTD SSEPP, and The Contractor signatures shall indicate agreement and compliance with the SSEPP. A copy of the most current and approved SSEPP will be provided to the Contractor.

11.16 Security Data Collection and Reporting: The Contractor shall furnish designated NCTD Transit Enforcement Division personnel with a monthly report, including the number and summary description of security or criminal incidents on the Contractor controlled facilities and equipment, in a format approved by the NCTD, no later than the 10 th of the following month.

11.17 Security Committeesa. The Contractor shall maintain a Security Committee Program as described in The Contractor's

Security Action Plan and in compliance with the NCTD SSEPP. The Contractor Safety Management Group shall be responsible for auditing the security committee meetings and may attend and participate at their discretion. Minutes of these meetings shall be forwarded each month to the NCTD Chief of Transit Enforcement or designee. The Contractor also shall participate in a monthly security meeting with the NCTD Chief of Transit Enforcement or designee.

b. Behavior Pattern Recognition (BPR) and general Transit System Security Awareness as developed by National Transit Institute/Department of Transportation shall be included in the Training Program for the appropriate The Contractor personnel as directed by the NCTD.

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12. ENVIRONMENTAL AND HAZMAT SERVICESa. The Contractor shall properly dispose of any waste or hazardous material generated while performing

Agreement Services throughout the NCTD property. Disposal and storage of waste and hazardous material shall be in accordance with all applicable Federal, State, and local regulations. The Contractor shall keep storage of waste and hazardous waste material on the premises to a minimum. The Contractor shall return the work area to its original conditions after conducting work efforts included in this Paragraph.

b. The Contractor shall monitor and notify the designated NCTD personnel immediately by phone of any incident with possible environmental impacts, regardless of who the responsible party is, such as diesel fuel spills, illegal disposal of hazardous material on NCTD property, and spills from rail cars. This notification will not relieve The Contractor from its obligation to initiate and supervise cleanup and disposal of spilled material.

12.1 Permits and Certifications12.1.1 Stuart Mesa FacilityThe Contractor shall be responsible for complying with the Stuart Mesa Storm Water Pollution Prevention Plan. The Contractor shall be responsible for obtaining and complying with all applicable environmental permits listed below, at its expense as part of the Base Services cost. The Contractor shall be responsible for complying with all applicable environmental permits and requirements at the facilities. The following is a list of permits that The Contractor may have to obtain. This list may not include all permits required by The Contractor and The Contractor may not be required to obtain all items on the list.

Spray Paint Operations - Permit to Operate through Air Pollution Control District

Hazardous Waste Generator Permit through Department of Environmental Health Hazardous Waste Disposal Permit for waste generated as part of vehicle maintenance Fire Extinguishers (for revenue vehicles) certification required by OSHA and local Fire

Department

12.1.2 Escondido Facilitya. The Contractor shall be responsible for complying with the SOF Water Pollution Prevention Plan. The

Contractor shall be responsible for obtaining and complying with all applicable environmental permits listed below, at its expense as part of the Base Services cost. The Contractor shall be responsible for complying with all applicable environmental permits and requirements at the facilities. The following is a list of permits that The Contractor may have to obtain. This list may not include all permits required by The Contractor and The Contractor may not be required to obtain all items on the list.

Spray Paint Operations - Permit to Operate through Air Pollution Control District

Hazardous Waste Generator Permit through Department of Environmental Health Hazardous Waste Disposal Permit for waste generated as part of vehicle maintenance Fire Extinguishers (for revenue vehicles) certification required by OSHA and local fire department

12.1.3 Other Requirements

a. No later than sixty (60) days prior to the Service Date of the Contract, The Contractor shall submit for NCTD review and approval an Environmental Compliance Program for Operations to manage the transfer, updating, implementing, and record keeping for all plans, permits, licenses, and certificates. The Environmental Compliance Program for Operations shall include a listing of all required permits and a schedule for transferring those permits into the Contactor's name. Applicable permits will be transferred to The Contractor prior to the Service Date. The program shall be submitted in an electronic format and shall include, but not be limited to, compliance with all Federal, State and local environmental laws and regulations.

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b. The Environmental Compliance Program for Operations shall also specify the procedures to be followed during fuel handling activities within the NCTD property, for locomotives, DMUs and on-track equipment. NCTD shall contract for the purchase of locomotive fuel, and The Contractor shall coordinate delivery requirements and supervise deliveries. The Contractor shall monitor all fuel deliveries at each fueling location, document observations on an NCTD-approved checklist and maintain them for not less than 36 months. More details on fueling can be found in Section 6.

c. No later than ninety (90) days prior to the Service Date of the Contract, The Contractor shall submit for NCTD review and approval a draft Emergency-Spill Response/SPCC plan, including a chain of command for spills throughout the NCTD property, regardless of source. A final Emergency Spill Response/SPCC plan for each facility shall be adopted within thirty (30) days of the Service Date. The plan shall be updated on an annual basis and provided to the NCTD by the start of each Fiscal Year.

d. The Contractor shall complete periodic inspections, sampling, and reporting requirements necessary to maintain all environmental permits, certificates, licenses. Applications for permits, certificates, and licenses relating to the NCTD property, Support Property and systems will be prepared and forwarded to the NCTD 90 days prior to expiration. The Contractor shall maintain the tracking of permits, certificates and licenses.

12.2 Air Emissionsa. The Contractor shall be responsible for all testing, monitoring, permitting and reporting related to

requirements of the California Air Resources Board (CARB), the San Diego Air Pollution Control District and other regulatory agencies.

b. To help meet evolving air emission regulations, particularly in connection with fuel consumption and potential greenhouse gas or particulate emission issues, The Contractor shall maintain fuel usage logs, which are to include total monthly fuel usage for all combustion units. A monthly report shall be submitted to NCTD that includes a copy of all fuel usage logs and calculates fuel usage for the past 12 months. Receipts and logs shall be maintained on-site and available for inspection by any regulatory agency upon request. The log also shall include the name and signature of the responsible foreperson. This data will help the NCTD and The Contractor ensure compliance with regulations.

12.3 Regulated and Hazardous Waste and Materiala. NCTD shall be the generator for all waste related to routine maintenance or operations, and The

Contractor shall be generator for waste related to spills or other occurrences related to The Contractor’s errors or negligence. Any regulated waste or spent hazardous materials located on NCTD property shall be disposed of in accordance with all applicable environmental regulations. The Contractor shall submit for NCTD review and approval 60 days prior to the Service Date of the Agreement an Environmental Hazard Procedures Manual that addresses all uses of hazardous waste and materials on NCTD property. These procedures shall include, but not be limited to spill prevention and control (including a formalized description of The Contractor's emergency/spill response team and chain of command for all applicable NCTD property locations), hazardous materials and medical waste handling, hazardous materials or waste generators (not limited in size), an emergency/spill response team and chain of command for all applicable NCTD property locations. The procedures shall be developed in compliance with NCTD policy and all applicable local, State and Federal environmental laws and regulations. All policies shall be developed and updated, and all Services provided by The Contractor shall be in compliance with applicable Federal, State and local environmental laws and regulations, applicable permits, and NCTD policy.

b. The Contractor shall take immediate actions to comply with all applicable laws and regulations and permit conditions concerning the release of any contaminant on or along NCTD property without regard to source. The Contractor and subthe Contractors shall comply with all written policies

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maintained by NCTD or applicable regulatory agencies pertaining to environmental compliance and response policies and procedures, including coordination with NCTD and its designated subthe Contractors or representatives. Extreme care shall be used when fueling or changing fluids. The Contractor shall immediately inform NCTD of any hazardous material spills. The Contractor shall be fully responsible for the containment and cleanup of any contaminants spilled onto NCTD or others' property. Any and all hazardous material spills on NCTD property, including, without limitation, diesel fuel, effluent from The Contractor or NCTD facilities, solvents or cleaning solutions, etc., shall be reported immediately to the NCTD Safety Officer.

c. Storage of hazardous materials shall be limited to areas as indicated by NCTD and in compliance with codes and regulations. Where facilities for storage may not exist, The Contractor shall provide the needed facilities or store off site. The Contractor shall minimize storage of waste, regulated and hazardous materials on NCTD property.

d. Disposal of any regulated materials such as petroleum based products, antifreeze, oils, lubricants, paint, fluorescent light bulbs, railroad ties, drip pans, and batteries shall be through the services of a properly-certified and licensed hazardous materials disposal the Contractor. Disposal of defective or obsolete batteries shall begin within one week of removal from service and completed within 60 days. Battery disposal and storage sites shall be in accordance with OSHA regulations. All The Contractor-designated/utilized hazardous material disposal sites or disposal subthe Contractors shall be subject to the approval of NCTD. Oil and engine coolant and any other waste or hazardous material draining shall be captured and disposed of in accordance with environmental regulations. The Contractor shall also provide for recovery of HVAC refrigerant.

e. The Contractor shall ensure that containers used for storage and transportations of waste materials meet applicable Federal, State, and local requirements for labeling, storage, disposal, and transportation of waste materials. The Contractor shall conduct any and all testing of waste materials to be transported and disposed off-site, if required, to determine proper and legal methods for transport and disposal. The Contractor shall only utilize appropriately licensed subthe Contractors to transport regulated or hazardous waste. Waste shall be appropriately containerized for shipment. The Contractor shall produce hazardous waste manifest forms as required for the transportation and disposal of hazardous wastes under these specifications. The Contractor shall provide the appropriate copies of the completed hazardous waste manifest to the facility supervisor and to NCTD. Copies of all waste management documentation, including material handling, manifests, bills-of-lading, weight slips, and receiving facility receipts shall be, kept on site and copy provided to NCTD.

f. Should the Contractor encounter previously unknown materials which the Contractor reasonably believes to be hazardous, The Contractor shall cease work the in the affected areas and report conditions to NCTD.

12.4 Emergency ResponseThe Contractor shall be prepared to respond to spills and environmental emergencies at all times regardless of cause. The Contractor shall retain an Environmental Subthe Contractor that shall respond immediately in the event of uncontained releases of hazardous materials or incidents involving biohazards, including fatal incidents or major injuries on NCTD property. The Environmental Subthe Contractor also shall respond to emergency environmental services requests by NCTD or The Contractor. Services provided by the Environmental Subthe Contractor shall include all labor, tools, equipment, materials, testing, and reporting associated with providing services and shall be included in the Base Services.

12.4.1 Cleaning Methods in Case of Biohazard Incidents a. Trains on NCTD right-of-way may, from time-to-time, be involved in collisions with persons.

Response procedures for such incidents are detailed in NCTD’s Passenger Train Emergency

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Response Plan. In such cases, The Contractor personnel shall not touch or disturb any remains, tissue or personal effects except as necessary for the immediate safety of passengers, crew or the general public. Following an event, The Contractor shall:

1. Upon release of the equipment by authorities, promptly clean rolling stock at the incident scene (including any rail carrier, not just COASTER or SPRINTER), to the extent possible and according to appropriate NCTD biohazard procedures, so that evidence of the collision shall not be readily visible to passengers or the general public.

2. Upon release of the incident scene by authorities, promptly clean and decontaminate the right-of-way, track and other structures as necessary to remove visible indications of the incident and remove or neutralize any biohazard exposure to persons on or near the right-of-way.

3. Upon COASTER or SPRINTER equipment’s return to a maintenance facility, thoroughly clean and decontaminate all rolling stock involved in an incident and dispose of any remaining human tissue according to approved biohazard handling and disposal procedures.

b. Any personal effects or substantial human tissue discovered after the fact shall be turned over to the investigating authorities or to the Medical Examiner. The Contractor may retain the services of a specialized biohazard cleaning subthe Contractor to perform the above tasks, as required and such costs shall be included in the Base Service plan.

12.5 Health and Safety Planning and Work Area Securitya. The Contractor shall adhere to all applicable health and safety laws and comply with appropriate work

practices when performing maintenance activities or other Services and shall ensure that work areas are secured when work is not being performed and otherwise secured during the work to prevent inadvertent access to work areas by unauthorized or unqualified persons. The Contractor shall develop and implement a Hazardous Materials Site Specific Health and Safety Plan (HMSSHASP) for all The Contractor personnel or subthe Contractor personnel working with or exposed to hazardous materials or other contaminated materials as part of their work. The plan shall be submitted for NCTD review and approval within thirty (30) days of the Service Date (see Appendix U) and shall include provisions related to the following:

NCTD property is situated in an urban area proximate to many current and historic sources of hazardous material impacts to soil and groundwater. Metals (primarily lead and arsenic), petroleum hydrocarbons, and polynuclear aromatic hydrocarbons are known to be present in the ballast and sub-ballast within portions of NCTD property.

Timber cross ties on the property contain creosote. New and used cross/switch ties may only be stored at locations approved by the NCTD ROW Officer, who also shall approve all The Contractor subcontracts for disposal of used ties.

Some bridges and structures requiring maintenance and or painting by The Contractor under provisions of the Agreement may have previously been painted with paint containing lead.The Contractor shall strictly adhere to all environmental, health and safety laws and regulations with regard to lead paint.

b. The plan also shall require compliance with the following general work practices:

Do not smoke, chew gum, apply cosmetics or consume food and beverages in areas where hazardous materials are being handled.

Wash hands thoroughly before eating, smoking, or drinking.

Do not store food in areas where it may come in contact with hazardous materials, including soil and dusts.

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To the extent practical, stay upwind from operations that emit vapors, gases or particulates.

Clean clothing and footwear upon leaving jobsite and prior to entering any vehicle, mobile equipment, or office.

Clean vehicle interiors and hand held tools as needed to prevent accumulation of particulates.

Don gloves when handling soil or hand tools in contact with soil.

c. The HMSSHASP shall be prepared following the guidelines of the United States Department of Labor, OSHA 29 CFR 1910.

12.6 Training and QualificationsThe Contractor shall ensure that personnel executing Environmental Services are qualified to perform the services. The Contractor and Environmental Subthe Contractor personnel who work on NCTD property providing Environmental Services shall be trained in compliance with applicable regulations as required by OSHA, Cal-OSHA and the EPA.

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13. TRAINING AND QUALITY MANAGEMENT PROGRAM a. The Contractor, in accordance with NCTD standards and Federal and State regulations and

standards, shall develop and implement an ongoing comprehensive training and certification program (Training Program) for employees who are providing Services including, but not limited to, all craft and management employees. The Contractor’s organizational chart shall establish a Training and Quality Management Program and ensure that the sole purpose of the training function is to support the responsibilities as specified in this section and ensure that the responsibilities are clearly defined as to not to interfere with the functions and independence of the Safety Management Group. The Training Program shall be developed for NCTD review and approval 90 days prior to the Service Date of the Agreement. Training shall include those elements required for the performance of duties in addition to specific areas of training for NCTD operations, including disabled passengers and passengers needing assistance and system safety and security training for new hires consistent with current NCTD programs. Training courses shall include provisions for refresher training.

b. As part of the Training Program, the Contractor, in accordance with applicable collective bargaining agreements and in consultation with the NCTD, shall develop, implement and administer an ongoing proficiency testing program for all crafts that ensures that the Contractor employees have the knowledge and skills required to safely and competently administer their duties. Testing shall include equipment and procedures unique to NCTD operations.

c. All employees shall be trained to the extent necessary to be fully qualified and competent to perform their duties. Those who are identified as being deficient in knowledge or skills shall be required to promptly attend and pass courses of instruction specific to their craft or service area. Employees who refuse or decline training and fail to successfully pass certification tests shall not be allowed to hold a position where such certification is required. NCTD reserves the right as deemed necessary to qualify each employee proposed by the Contractor to perform work. The Contractor shall be required to remove from NCTD service any the Contractor personnel who fails to successfully complete training required in the approved Training Program.

d. The Contractor may reinstate the removed The Contractor personnel to NCTD service once the employee successfully completes the required training. NCTD reserves the right to request evidence that The Contractor's employees and subthe Contractors who are providing Services are appropriately trained and certified and have completed appropriate efficiency and competency tests.

e. The Contractor shall accept previous training and certification of mechanical employees who have been issued training certification indicating that they are a "Qualified Maintenance Person" as required by 49 CFR 238.109. The Contractor shall comply with NCTD Training Program standards and shall require that all employees who perform safety-related inspections and tests of passenger equipment are trained, tested and certified in accordance with programs which comply with both 49 CFR 238.109 and current APTA requirements and guidelines.

f. The Contractor shall meet quarterly with NCTD to review the effectiveness of the approved Training Program. The Contractor shall also provide the NCTD with a quarterly training report furnished to the NCTD at least two weeks prior to the quarterly training review. The Contractor also shall provide monthly reports to the NCTD on performance of efficiency testing as required by 49 CFR 217.

g. The Contractor is responsible for formulating and coordinating all training activities. The Contractor shall provide training within NCTD's service area, unless prior written approval to hold training elsewhere is provided by NCTD. The Contractor shall schedule training activities so as to not interfere with its provision of services under the Contract. The Contractor shall provide a schedule of all planned training and upon request shall make available to NCTD employees and to third-party the Contractor personnel any training offered to or by its own personnel who are assigned to work on the Contract. The Contractor shall provide at least fourteen (14) day notice

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to NCTD of all training offered to or by the Contractor for its own personnel prior to the beginning of such training.

h. All training plans developed by the Contractor shall be specific to NCTD operations and shall be compliant with NCTD requirements and with all regulatory requirements and shall be submitted to NCTD for review and approval. Position titles described in this paragraph and its exhibit may not exactly match the union craft and categories and positions required under the Contract.

i. All training records will be maintained in a NCTD provided or approved alternative system. The system for maintaining training records shall be able to provide real time report generation, notifications, and be remotely accessible.

j. All employees of current The Contractors retained by the successful Proposer of this RFP must be retrained to new SOP’s and regulatory standards prior to Service Start Date.

13.1 Training PlanThe Contractor shall develop a training and proficiency plan consistent with job requirements for the following functions and associated personnel. Examples include, but are not limited to:

Transportation functions including engineer, conductor, and operator;

Maintenance of equipment functions including carman, electrician, machinist, coach cleaner, and supervisor;

Maintenance-of-Way functions including equipment operator, welder, laborer, and foreman;

Track and signal and communication functions including supervisor, technician, inspector, foreman, maintainer, and signalman;

Management positions associated with all of the functions listed above, including Incident Command System (ICS) and performance of efficiency testing;

Training, testing, and rules qualification for NCTD staff, outside NCTD the Contractors and NCTD third-party the Contractors including all applicable FRA, GCOR, RWP, Test and Maintenance Manual for Railroad Signals, Test and Maintenance Manual for Railroad Communications Systems, and other specialized classes.

13.2 Training Program ComponentsThe Training Program shall include a requirement that all training is provided by qualified individual to provide such training and documented in a manner that is available for NCTD inspection at any time. Training should encompass management, frontline and non-frontline employees, refresher training, new hire training, system safety training and ADA training. Information developed for each course should include a course description, category of personnel required to attend, objectives, curriculum, frequency of training, proficiency required to obtain certification or qualification, and methods for addressing failures or retraining.

13.3 Training for Designated NCTD EmployeesThe Contractor shall provide training to designated NCTD employees to provide training above and beyond The Contractor RWP access. This training will enable these designated NCTD employees to enter signal houses, perform lone-worker inspections, and obtain track and time protection similar to MOW/MOS/EIC employees.

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13.4 Quality Control Program Plan a. The Contractor within the Training Program function shall develop and maintain a Quality Control

Program Plan to ensure that all aspects of The Contractor’s work is conducted and completed in the highest quality standards and consistent with regulatory and NCTD requirements.

b. The Quality Control Program Plan shall include, but is not limited to: maintenance activities, training activities/requirements, operating activities, customer service, and adherence to contract requirements. The Quality Control Program Plan will support a high quality of workmanship through independent monitoring and validation that provides assurance of the completeness and correctness of repairs. The Quality Control Program Plan will ensure that vehicles, DMUs, locomotives, and coaches exhibit workmanship that is consistent with the procedures and workmanship outlined in the Workmanship and Minimum Procedures section in Appendix D of the SOW.

c. The Quality Control Program Plan will specify requirements for on-site staff and also provide/identify oversight staff and or resources that are independent of the on-site staff and representatives responsible for activities specified in the Contract. The independent reviews shall be conducted on a quarterly basis, at a minimum based on a work plan mutually agreed upon with NCTD. The Contractor must submit completed quality control guidelines for NCTD approval 60 days prior to the Service Date. The Contractor’s quality control guidelines are subject to the written approval of NCTD.

d. NCTD reserves the right to conduct quality assurance reviews of The Contractors maintenance practices. The Contractor shall remedy any NCTD quality assurance findings resulting from these reviews expeditiously and in accordance with NCTD’s written corrective action correspondence

13.5 Roadway Worker Protectiona. All roadway workers, the Contractors and subthe Contractors of the Contractor or NCTD shall be

trained, qualified in, and work in compliance with the NCTD On-track Safety Protection Plan and all applicable regulations contained in 49 CFR 214. All required RWP training shall be conducted by The Contractor and documented in the NCTD’s Safety Reporting Program provided by the NCTD. Auditing of the NCTD's and the Contractor's roadway workers, the Contractors, and subthe Contractors for compliance with the NCTD On-track Safety Protection Plan and all applicable regulations contained in 49 CFR 214 shall be performed by the Contractor and NCTD both jointly and independently. The Contractor shall participate in an annual review and update of the NCTD On-track Safety Protection Plan and shall comply with all updates.

b. The Contractor will provide FRA roadway worker protection training services for third-party access to NCTD owned property in accordance with FRA 49 CFR 214 and all other regulatory requirements.

1) The FRA requires railroads and/or their the Contractors to provide RWP training to any worker whose job duties include inspection, construction, maintenance or repair of track, bridges, roadway, signal and communication systems, roadway facilities or maintenance machinery on or near the track.

2) The Contractor will provide all educational resources and materials needed to ensure Third Parties are properly trained in on-track safety procedures.

3) The Contractor shall perform field inspections or audits for compliance with flag protection and RWP training requirements.

a) Reporting Requirements Provide NCTD a monthly report of all training provided including individual name,

date training completed and company name.

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Update NCTD provided database NCTD’s Safety Reporting Program of all individuals that have completed the required training and the expiration date.

Notify NCTD within 24 hours of all violations or incidents discovered while conducting field inspections or audits for compliance of flag protection and the Contractor training requirements.

Notify NCTD immediately of all safety violations.

b) Training & Field Safety Compliance Officer Provide 4 hour classroom annual instruction (bilingual) including testing and

certifications at least once but not more than three times weekly at the Oceanside MOW facility classroom.

Provide training at offsite locations provided by the Third Parties within San Diego County not exceeding 50 miles of Oceanside, if required.

Issue ID Photo Badges and Stickers for Hardhats. Issue Railroad The Contractor Safety Training Manuals. Maintain NCTD database for all Third Parties trained and perform routine audits. Conduct Field inspections and audits for compliance of flag protection and the

Contractor training.

c) Support Service and Materials Provided by The Contractor Field support vehicle ID badges and stickers Database input and maintenance Computer, software, copy, printers, and other office supplies FRA regulations updates and training for instructors

13.6 Training and Qualification of NCTD Third Party Personnel The Contractor and NCTD shall jointly develop training, testing and employee qualification programs for other the Contractors and Third Party personnel. Such training shall include, but not be limited to, all applicable FRA, RWP, MOS, and MOW Standards.

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14. CUSTOMER SERVICE AND EMPLOYEE BEHAVIOR EXPECTATIONS

14.1 Customer Service

a. High quality customer service is critical to the overall success of NCTD rail service. The Contractor shall develop training programs, procedures, and initiatives which will guide employees in dealing with customers, and will ensure that customer concerns and complaints will be addressed in an expeditious manner. The Contractor is required to investigate and respond to all passenger complaints (referred to them by authorized NCTD staff) within three (3) days. If The Contractor receives a complaint directly, The Contractor shall promptly notify NCTD staff and the same standards for response apply. The Contractor shall, at all times, treat all customers and persons interacted with in the performance of its duties with respect and courtesy and shall undertake all reasonable means to provide required and/or requested assistance. The Contractor shall develop training programs and be highly sensitive to persons needing assistance. Any such programs and procedures shall also incorporate (as applicable) NCTD regulations and programs for handling passengers with special needs, special groups, youths, etc.

b. The Contractor personnel shall be familiar with NCTD’s and regional sources of transit information to the public, and direct inquiries to these channels as needed.

c. The Contractor’s Conductors shall perform their duties at all times in a courteous and informative manner, and answer customer questions to the best of their ability without compromising safety. Crew members shall enforce the COASTER and SPRINTER Rules of Riding posted in each car. Handling of disorderly passengers will be in accordance with NCTD policies. Conductors/The Contractors will report security issues immediately to the dispatching center.

d. The Conductors/ Contractors Critical Skill Position are to be visible on platform (unless duties require presence elsewhere) and Conductors/The Contractors shall assist disabled passengers as required by the Americans with Disabilities Act (ADA).

e. NCTD Customer Service personnel have the primary responsibility for responding to formal customer complaints. The Contractor’s General Manager and crew members shall assist in responding as requested by NCTD. Court appearances regarding claims, accidents, incidents and citations may be required at The Contractor’s expense.

14.2 Conduct Unbecoming an Employeea. The Contractor is required to develop a Code of Conduct and train all of its employees on an annual

basis of its requirements which shall include EEO and ethics.

b. All of the Contractor’s employees and agents including subcontracted employees and agents shall avoid conduct unbecoming an employee, as defined below. NCTD may, at its sole discretion, require the removal or requalification of any The Contractor employee or agent from service or performance of work on this Contract or NCTD property for behavior or actions as outlined below, and/or for engaging in conduct unbecoming an employee as defined below. This removal shall be at no cost to NCTD.

c. Examples of conduct unbecoming an employee include, but are not limited to:

1) Any instance of use of language that is obscene, risqué or religiously, ethnically or sexually demeaning, or making light of physical or mental disability, regardless of whether it is directed at a customer.

2) Any instance of belligerent or malicious behavior.

3) Instance(s) of willful failure to assist customers.

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4) Any instance of violation of applicable safety rules that causes injury to a person, damage to property, or release of a hazardous substance.

5) Instance(s) of littering in rolling stock or station areas.

6) Instance(s) of snacking, smoking, reading, listening to radio or other audio devices or watching or listening to TV while on duty.

7) Conduct demeaning to NCTD or The Contractor, including demeaning oral or written remarks made to the public and/or customers.

8) Conduct that constitutes oppression, fraud, malice, negligence or recklessness, as defined herein.

9) Any violation of NCTD and The Contractor Personal Electronic Device policies.

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15. DELIVERABLES, REPORTS, AND NOTIFICATIONS

15.1 Deliverablesa. The Contractor shall be required to create and implement the deliverables specified as part of this

RFP and outlined in this Section 15. The deliverables are all subject to NCTD’s review and written approval prior to implementation by The Contractor. (See Appendix U, Deliverables list.)

b. The Contractor shall maintain complete and accurate records to support validation of work performed and other activities carried out during the contract period. This requirement includes documentation that establishes the basis and frequency of work to be performed.

c. The Contractor shall maintain complete and accurate accounting records, including source documentation, of all expenses and revenues in connection with Agreement services. All such records shall be prepared in accordance with Generally Accepted Accounting Principles. The Contractor shall retain such records for at least three (3) years following the end of the accounting period to which the records apply. These records shall be subject to NCTD review at any time.

d. The format of the reports identified below shall be developed by the Contractor and subject to the review and written approval of NCTD.

15.1.1 Annual ReportsUnless otherwise specified, Annual Reports are due to NCTD Project Managers by October 1st of each year:

Annual Report of previous fiscal year (from July 1 to June 30) including:

a) Record of accomplishments as compared by on-time performance; financial and operations statistics; and ridership including passenger miles.

b) Issues requiring action and recommendations.

c) Assessment of the condition of all capital property including rolling stock (including locomotive and car maintenance and utilization report).

d) Assessment of condition of right-of-way including condition of track, signals, and grade crossings and an assessment of bridges and structures (See Section 7. Maintenance-of-Way for more detail regarding the annual report on bridges and structures).

e) Mean Distance Between Failures (MDBF) for DMUs, coaches, cab cars, and locomotives for each type

f) Actual versus budgeted expenditures

g) Bridge Inspection and Repair Recommendation Report

h) Annual Drug and Alcohol program compliance reporting, in accordance with 49 CFR Part 219.

i) Training Report Summary

j) Fleet Maintenance Management and Maintenance Plan (to be updated annually) as described in Section 6: Maintenance of Equipment.

k) Support Equipment Maintenance Plan (to be updated annually) as described in Section 9: Maintenance of Facilities and Support Equipment

l) Fixed Asset Inventory (to be updated annually)

m) Update to the MoW and Signal Services Plan comparing the previous fiscal year Plan with actual work accomplished.

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n) Summary of all incidents, accidents, injuries, fatalities and derailments occurring on NCTD’s Right-of-Way and property, regardless of FRA reportability or operator involved (COASTER, SPRINTER, Amtrak, Metrolink, BNSF, other).

15.1.2 Monthly ReportsUnless otherwise specified, Monthly Reports are due to NCTD Project Managers within ten (10) days of the end of the month, unless otherwise specified by NCTD:

a) Statement of actual ridership, maximum load points and average passenger counts by train

b) Late train report (greater than 5 minutes), including detail data on root cause of delay and whether or not the delay could have been avoided through action or inaction on the part of The Contractor (chargeable).

c) Scheduled Maintenance vs. Actual Maintenance for both Maintenance-of-Way and Maintenance of Equipment

d) Description of planned major maintenance work that will require slow orders during the next month

e) Train and car mile report (including COASTER and SPRINTER revenue and deadhead miles, and including train and car-miles for freight rail operations on the NCTD owned Right-of-Way)

f) Support vehicle and equipment mile/hour report

g) Safety Incident Detail Report: A detail of all incidents, accidents, injuries, fatalities and derailments occurring on NCTD property for the month, regardless of FRA/CPUC reportability or operator involved (COASTER, SPRINTER, Amtrak, Metrolink, BNSF, other), including:

• Nature of accident and any recommended corrective action;

• Lost employee productivity (person-hours);

• Damage to equipment (repair/replacement cost);

• Management responsibility;

h) Report detailing FELA claims or Worker’s Compensation claims if applicable.

i) MDBF for coaches, DMUs and locomotives for each coach, DMU and locomotive type.

j) Detailed documentation of the disposal of hazardous materials.

k) Completed FRA and CPUC accident/incident reporting forms (both paper and electronic versions).

l) Accounting of inventory value changes for the month.

m) Accounting of warranty work and claims for the month.

15.1.3 Daily ReportsUnless otherwise specified, Daily Reports are due each day by 12:00pm (noon) to the NCTD Project Managers:

a) Report on previous day’s operations, including on-time performance, equipment availability, causes of mechanical delays, train consist information, unusual occurrences, unforeseen emergency brake applications, unusual conditions such as holidays, etc., and personal injury report summary year to date.

b) Comments or complaints

c) Diagnosis of rolling stock failures (if any) which occurred in the prior service day.

d) Crew assignment and equipment consist report that details crews and equipment used (to be submitted to NCTD by 8:00 a.m. every day).

e) Status report of equipment modification and repair, to include projected return to service date.

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15.1.4 Immediate ReportsUnless otherwise specified, Immediate Reports shall be made to NCTD the NCTD Project Manager immediately upon the Contractor having knowledge of the incident or issue:

a) By phone or radio, report all incidents, accidents, injuries, fatalities, derailments, stoppage or major disruption of service, and major damage occurring on NCTD property regardless of FRA/CPUC reportability or operator involved (COASTER, SPRINTER, Amtrak, Metrolink, BNSF, other).

b) Operating rule violations resulting in discipline or an employee being removed from service.

c) Major vandalism or other illegal activity that substantially disrupts NCTD railroad services. The report shall be made concurrently to appropriate law enforcement agency.

d) NCTD Unusual Occurrence report or equivalent, including employee statements to be submitted to NCTD within 24 hours of a collision, derailment, fire, explosion, force majeure, passenger injury, or other extraordinary event involving operation of NCTD rail equipment.

e) The Contractor shall report all visits of FRA or CPUC Inspectors within twenty-four (24) hours of such a visit. The Contractor shall report the findings of FRA or CPUC Inspectors on such visits as soon as the findings become available and furnish a copy to the NCTD representative.

f) Any order imposed by a competent regulatory authority.

15.1.5 On-Line Reportsa. Access to and training on using these data management applications will be provided to key The

Contractor personnel.

b. The Contractor shall maintain all fleet maintenance information and spare parts and inventory data in JD Edwards or another NCTD-approved software as referenced in section 6 - Maintenance of Equipment.

c. The Contractor shall maintain all Maintenance-of-Way and signal activities in RailDOCS or EnterpriseOne or other NCTD-approved software as referenced in section 7 - Maintenance-of-Way and Signals. The Contractor shall maintain all Maintenance-of-Way and signal, spare parts and inventory in JD Edwards or another NCTD-approved software as referenced in section 10 - Material Management.

d. The Contractor shall maintain accident, incident, employee training and other relevant data in NCTD’s on-line IndustrySafe database as referenced in section 11 - Safety and Security.

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16. HOURLY RATESa. Any work not included in the base services or additional services shall be under the authority of

exigent or emergency work and will not be a part of the subsequent contract. See Appendix 08 of the Conformed RFP for the Emergency/Public Exigency process.

b. When and/or if such Extra Work items are requested by NCTD, the Contractor will be provided the relevant, additional information by NCTD, which will include scope, plans, specifications, or estimates of quantities of work to be performed or materials to be furnished by either NCTD or The Contractor, and a list of deliverables required. The Extra Work request will outline the desired timeline for the work to be completed, if known, or request a schedule and estimated milestones for the period of performance from the Contractor. The NCTD may require the Contractor to prepare submittals or work plans, which shall indicate the Contractor's planned method for fulfilling the terms of the Extra Work request. Said submittals or work plans shall be subject to the NCTD's approval prior to the Contractor's commencement of work.

c. Extra Work pricing proposals should be included as part of the price sheets to this RFP.

Additional notes:The Contractor shall provide titles of hourly employees and labor rates to include straight time and overtime for each employee. The Contractor is required to provide NCTD with cost and mark up of material and is required to meet the FTA requirements during any purchase of material by competitively bidding out material with three bids per part.

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17. KEY MANAGEMENT PERSONNEL AND STAFFING LEVELS

17.1 Key Management PersonnelThe General Manager will have seven (7) direct reports, including the Deputy General Manager –Operations, Deputy General Manager – Maintenance of Equipment, Deputy General Manager –Maintenance-of-Way, Deputy General Manager – PTC, Signal, and Systems, Rail Capital Projects Engineer, Deputy General Manager – Dispatch, and Deputy General Manager – Safety and Training. All other personnel identified below report to the seven Deputy General Managers. See suggested Organization Chart Appendix U-1. The General Manager and the following positions appointed by the Contractor will be considered the Key Management Personnel.

General Manager Deputy General Manager – Operations

Manager Operations - COASTER Manager Operations - SPRINTER

Deputy General Manager – Maintenance of Equipment Manager Equipment – COASTER Manager Equipment – SPRINTER Vehicle Maintenance Engineer

Deputy General Manager – Maintenance-of-Way Manager, Maintenance-of-Way (Track and Structures)

Deputy General Manager – PTC, Signal, and Systems Manager, Signals Manager, Positive Train Control Manager, Systems and Communications

Deputy General Manager for Safety and Training Safety Officers (at least 2 required minimum) Training Officers (at least 2 required minimum) Quality Assurance/Quality Control Officer Rules Officer

Rail Capital Projects Engineer Deputy General Manager – Dispatch (Required if NCTD executes the option to

include Dispatch services within this Agreement)

a. With the exception of the General Manager, the Key Management Personnel shall possess at least 7 years of recent experience (i.e., within the past 15 years) in freight, commuter, DMU, or intercity passenger rail services operated under Title 49 Chapter II, Parts 200-268 (FRA) of the U.S. Code of Federal Regulations and American Public Transit Association (APTA) safety standards and regulations or equivalent international railroad standards. In addition, the Contractor’s team members shall demonstrate relevant experience with the key railroad functions required in this Statement of Work.

b. The Rail Capital Projects Engineer shall support project planning, development, and implementation. The Contractor Rail Capital Projects Engineer shall provide input and assist in the reviews of projects and or plans to include routine activities such as permitting reviews in support of this Agreement. The Contractor Rail Engineer will work out of the NCTD General Administration Office at 810 Mission Avenue, Oceanside, California.

c. Rail Mechanical Engineer. The Rail Mechanical Engineer will be responsible for providing detailed plans and specifications for equipment and vehicle needs to ensure the continued operations of rail services. Examples of duties include, but are not limited to, obtaining detailed equipment component specifications, detailed work plans, assessments and evaluations of component replacement and

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rebuild options, rebuild and replacement status reports, reports on the performance and efficiency of components rebuilt and replaced and preparing the Annual Fleet Optimization Plan.

17.2 General Managera. The Contractor shall provide an on-site General Manager empowered to make immediate decisions

as necessary to maintain the safe and efficient operation of the NCTD rail system.

b. This individual shall have at least 15 years of relevant prior experience in management of commuter, freight, hybrid rail or intercity passenger rail services in the United States.

c. The General Manager shall be readily available for daily routine meetings and within an hour for emergency situations that may arise at any time during a 24 hour period.

d. The Contractor shall notify NCTD as soon as it becomes aware the General Manager is no longer employed with The Contractor or is otherwise no longer associated with the provision of NCTD Railroad Services. The Contractor shall fill vacant positions on an interim basis within three (3) business days and on a permanent basis within sixty (60) calendar days.

e. NCTD shall have the right to reject the General Manager without cause. Should NCTD reject the General Manager, the Contractor shall provide an interim General Manager within three (3) business days of notice by NCTD and shall provide a new permanent General Manager within sixty (60) calendar days.

17.3 Requirementsa. The NCTD, at its discretion, reserves the right at any time to reasonably reject the incumbent

General Manager or any Key Management Personnel, and the Contractor agrees to replace said person within sixty (60) days of written notice of rejection. The NCTD shall have the right to approve the hiring of all individuals who report directly to the General Manager, provided that such approval shall not be unreasonably withheld. The Contractor shall consult with the NCTD concerning the hiring of all management employees who report directly to individuals who report directly to the General Manager. The Contractor will not remove or reassign a General Manager approved by the NCTD without the prior approval of NCTD, which will not be unreasonably withheld. The General Manager will have the authority to discharge and replace the employees of The Contractor engaged in NCTD, and The Contractor will make best efforts to fill all vacancies within sixty (60) days of a position becoming vacant. If not initiated at the request of the NCTD, The Contractor shall bear the relocation and other costs associated with replacement of personnel during the term of the Agreement.

b. The Contractor shall provide appropriate management coverage at all times. There shall be no periods when managers are all assigned to non-NCTD work (e.g., for corporate level meetings, responding to other non-NCTD problems, etc.). This includes corporate management led meetings on NCTD property. Appropriate management representation shall be designated, with NCTD approval, for all NCTD-required meetings.

c. The Key Management Personnel shall be solely dedicated to NCTD and not responsible for any other activity of The Contractor. The Key Management Personnel will be on-call and available to report to NCTD within sixty (60) minutes.

The Contractor’s proposal shall include a resume with the following information for each of the Key Management Personnel:

Name Number and years of experience in function Expertise/qualifications References

d. The following requirements apply to all employees working under the direction of the Deputy General Manager of Safety and Training:

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1. All staff shall at a minimum meet the Training, Qualifications, and Oversight requirements outlined in MAP 21.

2. All staff shall at a minimum meet the requirements outlined in The Federal Register, Volume 79, Number 216 and Volume 77, Number 25. No The Contractor or Sub-the Contractor shall provide Safety Training, Qualifications, or Oversight until the parties have met all of the requirements set forth in the Federal Register.

3. Safety positions shall be filled with personnel that have experience in multiple disciplines. The Safety personnel will be required to provide a level of oversight for multiple crafts and the individuals experience shall be consistent with those responsibilities, experience levels subject to NCTD approval.

4. The Training positions shall be filled with personnel that have experience in the discipline they are providing training for, experience levels subject to NCTD approval.

17.4 Staffing LevelsThe Contractor in its proposal will submit a staffing plan that defines the staffing levels to perform the Agreement Services. NCTD will review and approve the minimum staffing levels. The Contractor is required to provide a monthly report of vacancies including forecast of positions being filled. Additional resources may be required to perform the Agreement Services to meet the established performance standards.

17.5 Key Personnel – The Contractor Proposed Alternative Structure

Proposers are required to provide the Key Management Personnel consistent with Section 17 - Key Management Personnel.

NCTD will consider Alternative Structure for Key Management Personnel in the event that a Proposer desires to provide an Alternative Structure that is believed to provide a superior approach to Section 17 requirements for Key Management Personnel. Proposer(s) desiring to submit an Alternative Structure must provide written justification and quantification of how its proposal provides comparable and or superior benefits in terms of safety and operational outcomes and cost. If NCTD accepts the Proposer’s alternative approach and the Proposer is awarded the Contract, the Proposer will be at risk to add the specified resources identified by NCTD at no additional cost to NCTD, if NCTD in its sole reasonable discretion, determines that the approach implemented by the Contractor does not support achievement NCTD’s expectation in terms of NCTD’s safety and operational outcomes.

17.6 Labor AgreementsThe Successful proposer of this RFP will be required to provide NCTD with any and all labor agreements and collective bargaining agreements for employees performing work under this RFP no later than 48 hours after they are fully executed. These additional resources shall be provided by the Contractor at no additional cost to NCTD.

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18. IT REQUIREMENTSa. The Contractor shall provide all equipment and network services including servers, workstations,

laptops, routers, switches, telephones, cell phones wireless LAN (Local Area Network), Internet WAN (Wide Area Network) and telephone connections to support the Contractor's Systems used to provide services in the Agreement, except for the hardware and software provided by NCTD for specified applications listed in SOW Section 2.10 Business Systems, Information Systems, and Databases. All hardware should have a minimum of four years warranty. After warranties expire, equipment should be replaced and upgraded with most current available model and meet the software vendor's recommended configuration

b. The Contractor shall be responsible for the cost of all computer hardware, software and communications upgrades not specifically required by NCTD. NCTD shall approve all computer equipment set up and installed by The Contractor, which shall comply with and adhere to NCTD standards. Such standards may change from time to time. Implemented hardware and software without prior approval by NCTD may be removed by NCTD. NCTD requires that the Contractor provide detailed design configurations and diagrams for all network infrastructure implemented by the Contractor.

c. The Contractor shall provide any internet services, analog and digital/data lines and phone equipment required by the Contractor to provide services in this Agreement.

d. The Contractor is responsible for protecting all servers and network equipment that they are responsible for under this agreement by Uninterruptible Power Supply (UPS), adequate cooling, ventilation and airflow; and power surge suppressor on all desktops and copier/printers.

e. The Contractor shall maintain and support all of the technology infrastructure including telecommunications, data center operations, power, cooling and UPS; network operations, backup/recovery services, data storage management services, system administration services; end user support of desktop computers, laptops and handheld devices to maintain a reliable end user computing and networking environment.

18.1 IT Equipment Utilization Policya. The Contractor shall operate and maintain all NCTD-owned IT Equipment (hardware and

software) in accordance with NCTD Administrative Policy No. IT-8000 Employee Information Technology Usage. Current NCTD policies prohibit removing updates and upgrades without expressed approval and prohibit removal of equipment from other than approved locations. The Contractor is required to upgrade hardware, update software security patches and upgrade to a version that is supported by the hardware and software manufacturer.

b. Additionally, NCTD policies prohibit the use of NCTD-owned computer equipment for activities that are illegal, for personal profit, or for purposes other than in direct support of NCTD business requirements.

18.2 Data Security and Ownershipa. The Contractor shall take all reasonable precautions including, management of firewalls and

prevention of unauthorized access to sensitive systems and data to ensure the safety, security and integrity, of any The Contractor/NCTD data produced, collected or maintained relative to the Agreement. This shall include, but is not limited to, safeguards and protections against unauthorized access, tampering, theft and damage from malicious computer code commonly referred as viruses, Trojan horses and worms; and also, prevent and remove, adware, spyware and other forms of malware.

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b. The Contractor shall provide a combination of network and application security, vulnerability, and risk and compliance management services, delivered on a common and standards-based infrastructure. The Contractor shall follow "Best Practice Methods" regarding network security including, connection to a third-party Internet Service Provider or wide-area-network connection to another location. A "Best Practice Method" is defined as one that follows general information systems recommendations for server hardware security, manufacturer and network operating system vendor recommendations, in areas including but not limited to routers, firewalls, network security, user permissions, virus scanning, e-mail content filtering and protection of key network passwords.

c. NCTD will own all operational data and reserves the right to request any operational data related to safety, security, or the operations and management of the trains not stored in the NCTD network. At the end of the Agreement, The Contractor will be required to provide all operational data to the NCTD in an agreed-upon electronic format.

d. Authorized NCTD staff shall be provided real-time, access to management information systems, data and reports for all available NCTD information. This data shall be able to be accessed from an NCTD network location, using common software over a secure connection.

18.3 Asset Accounting, Inventory and Dispositiona. All current NCTD-owned assets, including computer hardware and software, paid for by NCTD

and future procurements shall be clearly marked with asset labels identifying NCTD as the equipment owner and identifying each asset with a unique identification number. RFID asset labels can be obtained from NCTD IT to aid in tracking of IT assets.

b. A NCTD master list of all supplied equipment shall be signed by The Contractor upon delivery. A copy of the signed inventory list shall be kept by both parties. Periodic inventories, but not less than one per year shall be performed on a regular basis by The Contractor who will certify that all equipment is accounted for and in working condition, or has been declared surplus and is available for NCTD-directed disposition.

c. All IT equipment, provided or owned by NCTD shall be returned to NCTD upon Contract termination in useable condition, normal wear and tear excepted. All equipment purchased using NCTD funds shall become the property of NCTD, and all surplus equipment shall be returned to NCTD for disposition.

18.4 Business Continuity and Disaster Recoverya. The Contractor shall perform all data backup at server level on the Contractor's Systems used to

provide Services in the Agreement on daily, weekly and monthly frequencies. Backup involves integrated recovery capabilities for operating systems, databases, applications and telephone recordings. NCTD reserves the right to review and monitor these backups to ensure they are completed as scheduled. Daily backup will remain in-house for quick data recovery. Weekly and monthly data will be sent offsite for storage and data retention. All data will be stored and retained throughout the term of the Contract.

b. The Contractor shall be able to provide a temporary workplace environment or alternate work sites during a disaster if the Stuart Mesa and SOF facilities are unavailable for any reason whatsoever. The Contractor is required to perform quarterly disaster recovery failover testing and will provide detailed information regarding testing methodology and estimated amount of time needed to complete the testing on the Contractor’s systems used to provide services in the Agreement, including network recovery as part of its IT Plan. NCTD reserves the right to participate in the disaster recovery failover testing.

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19. COORDINATION AND COMPLIANCE WITH REGULATORY AGENCIES

a. The Contractor is responsible for maintaining compliance with all applicable parts of 49 CFR Section 200 to 299.

b. The Contractor is responsible for maintaining compliance with all applicable CPUC General Orders.

c. The Contractor is responsible for maintaining compliance with all applicable Federal, State, and local laws and regulatory requirements.

d. The Contractor shall consult, closely coordinate with, and receive approval from NCTD, prior to initiating contact with any regulatory agencies, including the FRA or the FTA or CPUC and the Transportation Security Administration (TSA). The Contractor shall keep NCTD fully apprised, both by immediate oral notification and in writing, of any such discussions with FRA, FTA, CPUC, TSA or other regulatory personnel.

e. The Contractor shall immediately notify NCTD when regulatory inspectors are on NCTD property and shall immediately provide all inspection reports issued by regulators to NCTD. When the FRA or CPUC recommends a violation or cites a defect, the Contractor shall provide NCTD Safety Division Chief with a written remedial action plan, which addresses how it intends to resolve (or has already resolved) all FRA and other regulatory violations, and any mitigating circumstances that led to violation. The Contractor will provide the NCTD Safety Division Chief with any inspection reports recommending violation. Any and all penalties and fines imposed regarding the violation of State and Federal codes, regulations, and laws shall be paid by the Contractor inasmuch as the violation occurs as a result of the Contractor's failure to perform as required by the Contract.

f. The Contractor shall maintain a current understanding of all applicable and pending regulations that may have an impact upon rail operations. This would also include any form of Emergency Order, Safety Advisory, Recommendation, etc. issued by a government agency. The Contractor shall maintain these documents and provide adequate training to their staff for new regulatory requirements, safety program enhancements, and retraining regarding current regulations to ensure that all employees affected by such changes are properly informed and trained in a timely manner.

g. The Contractor will also be required to provide NCTD’s Safety Division, for approval, a draft written response to all regulatory Advisories, Emergency Orders, Government Recommendations, etc. detailing the steps that the Contractor will take to meet the requirements outlined in each document.

h. NCTD will require a pro-active approach by all The Contractors when addressing regulatory and or safety concerns and the Contractor shall demonstrate to NCTD that every effort has been made to achieve the level of safety outlined by such notifications, advisories, and other communications.

i. NCTD will have the authority to mandate that any of the rail related items listed in said documents issued by regulatory or safety agencies are complied with as NCTD deems applicable.

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20. OPTIONAL TASK – TRAIN MOVEMENT CONTROL AND DISPATCHING

20.1 Train Movement, Control, and Dispatchinga. NCTD utilizes a fully-functional, FRA-compliant Centralized Traffic Control System (hereinafter

referred to as “CTC”) for train dispatching and maintenance access control services across NCTD’s entire rail network. The Sprinter Operations Facility, located in Escondido, California, houses the existing CTC system and workstations.

b. The Contractor shall provide all line staff, supervision, management, training, standard operating procedures, incident and emergency response procedures, and back-up systems and support necessary to safely and efficiently operate an FRA-compliant CTC for NCTD’s San Diego (COASTER) and Escondido (SPRINTER) Subdivisions. Dispatching will be done in accordance with the safety, operational and priority protocols established by NCTD.

c. NCTD plans to create a new dispatching center in the basement of its existing building at 810 Mission Avenue in Oceanside. Currently, NCTD does not have a date certain for the opening of this new dispatching center. Once the new center is open, the existing center will become a disaster recovery site (still able to fully dispatch and control train movement).

d. For pricing purposes, the Contractor shall provide pricing for the Contractor to start Dispatching effective on the Service Date with the rest of the contract. At the facility opening, the equipment in the new dispatch center at 810 Mission Ave, Oceanside CA will be provided by NCTD.

e. The cost of moving all necessary equipment, furniture, files and paperwork, from the existing dispatching center to the new dispatching center shall be the responsibility of the Contractor as part of the optional task.

20.2 Performance Requirements a. The Contractor shall staff, manage, supervise NCTD’s Dispatch Center and provide train dispatching

and maintenance access control services for both rail corridors, solely using The Contractor’s own or authorized personnel.

b. All services provided shall be subject to and governed by all applicable operating and safety protocols, rules, orders, procedures, and regulatory requirements of the GCOR, FRA, APTA, California Public Utilities Commission (CPUC), and AAR as agreed to with NCTD.

20.3 Dispatching Services The Contractor shall provide train dispatching, internal and external paging, maintenance access control and overall rail corridor traffic management services (“Dispatching Services”) in accordance with the protocols, schedules and priorities established by NCTD including, but not limited to:

a) Staffing, operation and management of NCTD’s Dispatch Center in Escondido or Oceanside, and any related backup location.

b) Dispatching of all rail traffic and control of all maintenance access on both the San Diego and Escondido Subdivisions.

c) Providing Dispatching Services predicated upon equipment schedules.

d) Providing Dispatching Services in support of Service Adjustments.

e) Interfacing with MOW for all track and signal work. Train Dispatchers or Supervisors shall interface with any or all maintenance crews to assure the coordinated provision of passenger rail and freight services over NCTD controlled corridors.

f) Cooperating with all other necessary Third Parties to assure the coordinated provision of

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passenger rail and freight services over NCTD controlled corridors and authorized Right-of-Way access.

g) Controlling train movements to and from yards or other dispatch points.

h) Dispatching trains such that delays to passenger rail schedules and delays in freight services over NCTD Subdivisions are minimized.

i) Dispatch additional trains not originally within the Dispatching Service and Maintenance Schedules.

j) Implementing service adjustments to minimize service delays, in cooperation with NCTD and NCTD’s COASTER and SPRINTER O&M the Contractors, by rerouting trains and providing additional service as required to meet NCTD’s service delivery objectives. Receiving, monitoring, managing and processing requests for Right-of-Way maintenance access, temporary restrictions and/or conditions, and issuing daily Track Warrants, Track Bulletins, General Orders, and other Bulletins and Notices as required.

k) The Contractor shall continuously monitor service performance and implement an on-going service quality and safety assurance process to maximize system safety, train on-time performance and maintenance access efficiency.

l) The Contractor shall cooperate develop and maintain as current emergency responder contact information for each of the jurisdictions served by NCTD’s rail lines. The Contractor shall develop and implement emergency and incident response and management procedures consistent with, and in support of, NCTD’s Part 239 Passenger Train Emergency Response Plan.

m) The Contractor shall develop and implement procedures to collect all required data and prepare and submit all reports required by FRA, CPUC, EPA, APTA, FTA and other applicable laws, rules and regulations.

n) Dispatching training.

o) Emergency Response training in accordance with NCTD procedures for dispatchers.

p) Coordination with NCTD and Operations Contractor’s personnel and outside agencies in Emergency Situations.

q) Handshake with SCRRA Dispatch at San Diego/Orange County Line.

r) The Contractor shall, at NCTD’s discretion, make available GCOR-qualified professionals to participate in and provide input into the local and regional operating rule/special instruction development and implementation process.

s) Make all required notifications to applicable regulatory agencies, NCTD staff and the Contractors.

t) Update platform message boards on COASTER and SPRINTER for delays or service interruptions.

u) Make station and transit center announcements as necessary to keep customers informed.

v) Manage rail replacement bus service by coordinating with bus dispatch.

w) Track and log all incidents and accidents in computerized log or database.

x) Track and maintain NCTD Twitter and Facebook, and any additional media outlets to provide train and bus status updates to customers.

y) Coordinate with bus dispatch to maintain rail to bus connections.

z) Maintain and update paging groups on a regular basis.

20.4 Dispatch Services Organization and Staffing

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a. The Contractor Personnel shall be responsible for direction, supervision and control over the safe and efficient movement of all trains or on-track vehicles and protection of all other on-track activity in the Service Area under the dispatch control of NCTD.

b. The Contractor shall provide an on-site Manager for Dispatching Services empowered to make immediate decisions as necessary to maintain the safe and efficient dispatching of the San Diego and Escondido Subdivisions. In addition, an on-site designee, similarly empowered shall be provided in his/her absence:

1) The On-site manager shall be solely dedicated to NCTD, as detailed herein, and not responsible for any other project of The Contractor.

2) The assigned Manager shall also be a qualified train dispatcher and shall be exclusively assigned the task of management of NCTD Dispatching, Train Traffic Control and Yard Services, unless and to the extent that prior written approval to the contrary is secured from NCTD.

3) The Contractor shall notify NCTD immediately if the Manager discontinues employment with The Contractor or is removed from the project. The Contractor shall fill vacant positions on an interim basis within three (3) business days and on a permanent basis within sixty (60) calendar days. NCTD retains approval over any proposed candidate for this function.

4) NCTD shall have the right to reject the on-site contract manager at any time if it is deemed in the best interest of NCTD. Should NCTD reject the on-site manager, The Contractor shall provide an interim on-site manager within three (3) business days of notice by NCTD and shall provide a new permanent on-site general manager within sixty (60) calendar days

c. Only trained and qualified Train Dispatchers shall dispatch trains.

d. The Contractor shall, at all times during the Term of this Agreement, provide qualified personnel, in numbers not less than that agreed-upon by NCTD and so indicated in the Agreement, to perform all services specified in the Agreement.

e. The Contractor shall provide adequate personnel and management to operate all functions of the dispatch center 24 hours per day, seven days per week, 365 days per year without exception.

f. The Contractor shall have qualified reserve Train Dispatchers and other critical staff on call if an employee does not report to work. An on-call reserve Train Dispatcher shall be required to report for duty within two (2) hours of notification.

g. NCTD reserves the right to request that the Contractor temporarily provide staffing at other locations in case of emergency scenarios requiring a transition between operations at the dispatch center to or from a potential backup dispatch center.

h. The Contractor’s proposal shall include a detailed schedule and staffing plan describing the proposed distribution of shifts, duties and the number of dispatching, support, supervisory and management staff proposed to meet the requirements of this RFP. Staffing plan shall also include a transition and training plan and schedule addressing the specific requirements of mobilization and assumption of dispatch center management and control.

i. The Contractor may propose both full and part time personnel, but shall specify to NCTD as such and identify each employee’s hours per week. These will be categorized as such on the Contractor’s cost forms.

j. The Contractor shall be required to maintain the headcount levels in the Contract at all times. At no time during the transition or the Contract period shall the Contractor alter the accepted and agreed upon Staffing Plan without prior written consent of NCTD.

20.5 Transitioning Between Primary Dispatch and Backup Dispatch

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a. The Contractor’s proposal shall address establishing a Disaster Recovery dispatch site outside of the primary dispatch location. NCTD desires to have mobile capabilities for disaster recovery using remote laptop hardware utilizing a web–based architecture with hierarchical control and operations functions.

b. NCTD shall work with The Contractor in the event of an emergency situation occurring that requires implementation of backup procedures or transfer of control to a back-up dispatch site.

c. The Contractor shall immediately notify the appropriate personnel, as specified in the procedures, upon determining that an emergency situation has occurred that requires an implementation of the backup procedures or transfer of control to a back-up dispatch site.

d. The Contractor shall be responsible for the coordination of data and control transfer between the primary dispatch site and the back-up dispatch site in the event of an emergency situation requiring such a transfer.

e. The Contractor shall be responsible for coordination with other the Contractors in the event of a transfer between the primary dispatch site and the back-up dispatch site occurs.

20.6 Train Dispatchinga. Only authorized personnel shall be provided access to the dispatch center. Authorized personnel

include the Train Dispatchers, designated rail operations staff, administration staff and maintenance personnel.

b. Authorized dispatching personnel shall be required to log-on to the Rail CTC Dispatch System.

c. Train Dispatchers shall be responsible for correctly performing and documenting turnover procedure(s) to or from other Train Dispatchers.

d. Both Subdivisions shall at all times be under the control of a qualified Train Dispatcher.

e. Train Dispatchers shall be responsible for correctly performing dispatch system alarm management procedure(s) (e.g., alarm acknowledgement).

f. Train Dispatchers shall be responsible for configuration of the system such that no dispatch alarms may be unseen or unnoticed by a Train Dispatcher.

g. Train Dispatchers shall be subject to all pertinent regulatory requirements, including the FRA Hours of Service rules.

20.7 Service Schedulesa. The Contractor shall be required to install, in a format required by the CAD system, the overall

Service Schedule for NCTD. The overall Service Schedule is a combination of schedules from NCTD (COASTER & SPRINTER), the various other organizations with trains on the San Diego and Escondido Subdivisions and maintenance and The Contractor work schedules.

b. Dispatching staff shall receive information and generate the required operating bulletins and/or documents associated with the safe operation of the rail lines.

c. NCTD reserves the right, at any time during the Term of this Agreement, to make changes to the Service Schedules and will provide advance notice to the Contractor of at least fourteen (14) calendar days.

d. Advance notice to the Contractor may be less than fourteen (14) calendar days if both Parties mutually agree, or in case of an Emergency or Force Majeure event. In this case, The Contractor shall work with NCTD in the best interest of the rail traffic.

e. In making schedule changes, NCTD shall consult with The Contractor and shall consider the following: (i) schedules shall promote a high degree of on-time train performance reliability; (ii) schedules shall contain sufficient time to accommodate the operation of all other scheduled trains.

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f. The Contractor shall provide constructive input to the service schedules, provided that final approval of all Service Schedules shall be within the sole discretion of NCTD.

g. The Contractor shall accommodate temporary schedule adjustments for emergency moves, as directed by NCTD.

h. The Contractor shall comply with train priorities as directed by NCTD.

20.8 Maintenance Schedulesa. Dispatching staff shall receive from the Contractor’s Maintenance-of-Way staff requests for track time

for general maintenance work by in a timely fashion prior to commencement of work, except in emergencies or unforeseen occurrences.

b. Train Dispatcher shall interface with any or all other maintenance departments and construction the Contractors to obtain requests for track time for maintenance work within or near the San Diego and Escondido Subdivisions.

20.9 Rail Traffic Control & Managementa. Train Dispatchers shall comply with the General Code of Operating Rules, the SPRINTER Code of

Operating Rules, the current edition of the applicable Timetable/System Special Instructions, and all applicable state and federal regulations governing their functions.

Train Dispatchers shall operate the CAD system at the dispatch center to perform the following functions:

1) Manage traffic and Right-of-Way access to optimize on-time train performance and provide for the necessary maintenance access.

2) Line routes for trains and MOW.

3) Block switches, tracks and signals.

4) Operate electric switch locks;

5) Provide Track & Time protection.

6) Provide Blue Signal protection.

7) Provide other protection for unforeseen restrictions and/or conditions that occur from time-to-time on the railroad.

8) Periodically test and validate CAD system operation as directed by authorized system maintenance personnel.

b. Train Dispatchers shall plan their work in such a manner as to maximize safety and to prevent unnecessary delays to trains.

1) Priority Order

Passenger trains are superior to and shall have priority rights over freight trains. Except in extenuating circumstances, regular scheduled passenger trains shall not be delayed in order to accommodate the movement of a freight train.

Scheduled passenger trains shall have priority over non-emergency MOW right-of-way access. Except for emergencies, extenuating circumstances, or pre-approved MOW projects, regular scheduled passenger trains shall not be delayed in order to accommodate MOW right-of-way access.

The Contractor shall comply with train priorities as dictated by NCTD.

In the event of a failure of the CAD system or any equipment that prevents sending CTC commands, Train Dispatchers shall direct rail traffic in accordance with applicable operating rules and/or special

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instructions utilizing voice communications over two-way radios or other approved communications devices.

Train Dispatchers shall not establish unintended conflicting train movements and non-clearing meets.

2) Vehicle Coupling and Uncoupling Train Dispatchers shall be required to maintain identification of trains when vehicles are coupled to form a new train or a train is decoupled into multiple vehicles.

3) Train Movement Authorizations

Train Dispatchers shall issue or establish all required train movement authorities in accordance with applicable operating rules.

a) Managing Crew Information

1. Train Dispatchers shall record and track train crew assignments and their hours-of-service information. Train dispatching staff shall create an operations plan if any train crew is within two hours of their hours of service limitations.

b) Managing Unusual Occurrences & Situations

1. In response to unusual occurrences or situations that disrupt normal operations, Train Dispatchers and dispatching staff shall use their best judgment in determining a reasonable and prudent course of action to avoid and/or minimize delays and to restore normal operations in a safe and expeditious manner.

2. Dispatching staff shall notify the NCTD Security Control Center and appropriate personnel when an unusual situation occurs.

c) Managing Emergency Situations

1. The Contractor shall develop and submit for NCTD approval an Emergency Management and Response Plan and Procedures. Train Dispatchers shall be trained and knowledgeable in the applicable elements of the BNSF rules and instructions for managing and responding to hazardous materials and environmental emergencies. A description of the proposed Emergency Management procedures, including field and table top training, exercises, mock accident drills, yard evacuation procedures, and a service recovery plan that shall address conditions resulting from major storms, earthquakes and other occurrences that could disrupt Rail service.

2. The Contractor shall maintain accurate, up-to-date “quick-reference” emergency response agency contact information for each jurisdiction through with the rail lines operate. In the event of an incident, accident or emergency, Train Dispatchers or dispatching staff shall immediately notify the appropriate law enforcement and emergency or incident responders.

3. Dispatching staff shall cooperate fully and coordinate with NCTD’s Security Control Center in the management and response to all incidents, accidents and emergency situations.

4. Dispatching staff shall document all incident, accident and/or emergency response activities and submit timely reports of such to NCTD when requested.

5. The Contractor personnel shall not discuss or divulge incident information with news media or other non-emergency or non-regulatory personnel, except as directed by NCTD.

6. Dispatching personnel, while concurrently taking action to restore normal service schedule, shall comply with and support the implementation of NCTD emergency response policies and procedures.

7. Dispatching personnel shall make, as applicable and/or required, all initial and follow-up incident, accident and/or emergency notifications to the National Response Center, the FRA, the California Public Utilities Commission, US Coast Guard, local, state and

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federal environmental protection agencies, and document and provide required information to the party responsible to prepare and submit all monthly FRA reports.

d) Non-Emergency Incident Management

1. The Contractor shall promptly report to NCTD any service delay of greater than five (5) minutes, all service disruptions or other occurrences that impact rail services. When requested by NCTD, The Contractor shall promptly investigate and report on the causes of service delays and disruptions.

2. The Contractor shall be responsible for the development, documentation, maintenance and training on all incident notification procedures, based upon existing NCTD Emergency Response Plans.

20.10 Service Disruptiona. Service Disruptions are events or occurrences on or off the Service Area including, without limitation,

collisions, derailments, fires, fatalities or injuries, or other emergencies whose potential delay of service requires close coordination of multiple activities.

b. The Contractor shall have primary responsibility to manage the response to and recovery from a Service Disruption.

c. In responding to a service disruption, THE Contractor shall coordinate and fully cooperate with NCTD and its other operating the Contractors to affect a safe and prompt service recovery.

d. The Contractor shall follow the incident management, notification and reporting protocols established by NCTD.

20.11 Follow-Up Reportinga. Following the occurrence of an incident, accident or emergency situation, the Contractor shall adhere

to the following sequence for follow-up reporting:

1) Within two (2) hours of restoration of all or part of the service, the Contractor shall produce a Preliminary Report including:

a) Type of Service Disruption/Emergency

b) Impacts on and/or delays to service

c) Chronology of relevant events

2) Within twenty-four (24) hours of partial or complete restoration of service, the Contractor shall produce a detailed Interim Report containing the following information:

a) Type of Service Disruption.

b) Effect of such disruption on trains.

c) Train number(s) and equipment number(s) directly involved.d) Employee information for those involved in the disruption.

e) Preliminary cause of service disruption

3) Within two (2) weeks, the Contractor shall submit to NCTD, written Final Incident/Accident Report and Analysis, as related to dispatching, that shall include, as applicable:

a) A chronology of events.

b) Relevant personnel statements

c) Subsequent findings and lessons learned.

d) Results of Drug and Alcohol Screening for Dispatchers, if applicable.

e) Dispatcher tapes.

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f) Remedial training actions.

g) Incident responses taken and effectiveness of such responses.

h) Primary and secondary findings.

i) Corrective Action Plans

b. If an investigation of the Service Disruption is ongoing at the time of submission of the Final Incident/Accident Analysis Report and Analysis, the report shall be further updated and provide NCTD the status of the investigation.

c. If the investigation is ongoing, the Final Incident/Accident Analysis Report and Analysis shall include a timeline for completion of the investigation and the final issuance of the report.

d. Updates to the Final Incident/Accident Analysis Report and Analysis are required every thirty (30) days after, until the resolution is completed.

e. The Contractor shall submit a final version of the Final Incident/Accident Analysis Report and Analysis report to NCTD that includes the data and information listed above as well as a qualitative analysis that encompasses information obtained from the investigation.

f. The Contractor shall meet with NCTD or other officials to discuss any Service Disruption or incident at any time following a Service Disruption.

20.12 Maintaining Records/Reportsa. For each NCTD train (COASTER & SPRINTER) operated on each day, the Contractor shall

complete a full computer record as soon as practicable but no later than 4:00 am of the next day, including: departure time from initial terminal; arrival time at final terminal, duration, and location of any delays or unusual circumstances occurring enroute; identification of all crew members and identification of all equipment used.

b. The final format of these records/reports shall be determined jointly by NCTD and The Contractor.

c. The Contractor shall be required to maintain a record of all on-track equipment movements and that all records and reports are prepared and transmitted as required by policy and procedure.

d. The Contractor shall be required to maintain a Train Dispatching Log and that all records and reports are prepared and transmitted as required by policy and procedure.

e. The Contractor shall maintain all FRA-required logs and records including but not limited to: logs of train movements, Form D movement permits, grade-crossing failures, and notes of extraordinary and unusual events.

f. The Contractor personnel shall produce all reports required by FRA, CPUC, EPA, APTA, FTA and other applicable laws, rules and regulations.

g. The Contractor shall provide promptly copies of any records relating to train dispatching and CTC operations and/or functions.

h. The Contractor shall maintain all training and qualification records for current and previous Train Dispatchers.

i. The Contractor shall provide promptly copies of any records relating to training and qualification of current and previous Train Dispatchers.

20.13 Maintaining Electronic Records/Logsa. All communications to and from the dispatch center are currently and shall be recorded including all

telephone lines, radio transmissions and other communications. The Contractor’s system shall be required to integrate with the current recording system.

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b. NCTD may task the Contractor with logging, temporary storage and sending to permanent archival any recording media used for recorded telephone conversations, radio transmissions and other communications.

c. NCTD shall provide to the Contractor the consumables required to maintain temporary storage and any agreements for permanent archival of the recording media.

d. The Contractor shall develop and perform NCTD approved computer back-up procedures on NCTD approved media for all electronic data related to the Contract. NCTD may at any time request and, the Contractor shall provide, a copy of any or all back-up media to ensure compliance with procedures.

e. The Contractor shall provide all electronic records/logs requested by NCTD within an agreed upon timeframe with NCTD.

20.14 System Safety and SecurityThe Contractor shall at all times conduct its operations in a safe and secure manner. The Contractor shall, at its own expense, promptly take all precautions which are reasonable or necessary to safeguard against risks.

Safety Audits

1) Upon request by NCTD, the Contractor shall cooperate with any audit of The Contractor’s System Safety Program conducted by NCTD or a Third Party acting on behalf of NCTD.

2) In the event that the Contractor becomes aware of an unsafe, non-secure, or potentially unsafe or non-secure condition on the property or with the equipment, or otherwise related to the Dispatching and Train Traffic Control, the Contractor shall immediately take all actions required to cure such condition, notwithstanding any other provision of this Agreement that requires or permits notice or any other interim measure.

3) NCTD shall compensate the Contractor for reasonable costs related to the actions required to cure unsafe, non-secure, or potentially unsafe or non-secure conditions, provided that these costs are approved by NCTD.

20.15 Training Requirementsa. The Contractor personnel who will be Train Dispatchers shall be fully qualified for train dispatching

prior to the commencement of the Train Dispatching.

b. All Train Dispatchers shall be required to have successfully complete and pass the previously agreed upon training courses (either previously or during the Transition Services portion of this Agreement) for train dispatching.

c. The Contractor shall be required to develop a Training Plan, for NCTD approval, prior to starting the development of Train Dispatcher Courses. All training shall be fully compliant with GCOR, FRA, CPUC and all other applicable regulatory requirements.

d. The Training Plan shall be due to NCTD sixty (60) days after NTP and be updated by the Contractor as required.

e. The Training Plan shall include the list of proposed courses and for each proposed course: the outline, course description, course pre-requisites, course duration, passing grade and the method(s) used for training as well as the proposed location of the training and instructor.

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21. MOBILIZATION

21.1 Mobilization Servicesa. the Contractor is scheduled to have a minimum of six (6) months between the Notice to Proceed

and the Commencement Date to mobilize. During the mobilization period, the Contractor shall undertake all steps necessary to successfully commence Contract Services on the Commencement Date.

b. No later than forty-five (45) days after the Notice to Proceed, NCTD via an independent NCTD provided auditor/consultant and the Contractor shall complete a contract assumption and joint audit and inspection of the maintenance of equipment, transportation, and Maintenance-of-Way facilities; the rail vehicles; railroad right-of-way infrastructure; support vehicles; and the support equipment. The purpose of contract assumption audit and inspection shall be to identify and establish the condition of the maintenance of equipment, transportation, and Maintenance-of-Way facilities; the rolling stock; right-of-way infrastructure; support vehicles; and the support equipment. This initial audit and inspection will establish the benchmark used to assess the condition and normal wear and tear on the maintenance of equipment, transportation, and Maintenance-of-Way facilities; the rolling stock and the support equipment at the termination of the Contract.

Except for the overhauls/capital work that The Contractor will have agreed to perform as part of this Contract, all deficiencies to NCTD assets (including Right-of-Way assets, Signal system, Support Vehicles, Revenue Vehicles, etc.) will be corrected before and/or during the mobilization phase of this Contract, and the related costs of the necessary corrections will not be allocated/borne by The Contractor. In accordance with the foregoing, NCTD’s fleet is, and/or will be, at the effective date of the Contract in a “state of good repair”, subject to the overhauls/capital work that The Contractor will have agreed to perform as part of this Contract

c. As part of the Mobilization Services, the Contractor shall prepare and submit to NCTD all specific plans identified herein. Each plan shall be in a format to be agreed upon with NCTD before its submission.

d. Each plan shall be submitted within the time periods specified on the mobilization and procurement schedule. The Contractor shall report on the development of each plan at weekly review meetings with NCTD.

e. Each plan shall be approved by NCTD before it is implemented. If NCTD requires changes to a plan to reflect The Contractor’s obligations under the Contract, the Contractor shall review the plan and re-submit it for NCTD’s review and written approval.

f. The hiring deadlines for the following positions must be completed by January 15, 2016 (documentation required to NCTD Program Manager by close of business on January 18, 2016):

General Manager Deputy General Manager – Operations; Deputy General Manager – Maintenance of Equipment; Deputy General Manager – Maintenance of Way; Deputy General Manager – PTC, Signal, and Systems; Deputy General Manager for Safety and Training; Rail Capital Projects Engineer Deputy General Manager – Dispatching (Required if NCTD executes the option to include

Dispatch services within this Agreement)

The above staff must be on site in Oceanside no later than February 1, 2016.

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Inserted IAW Bombardier email dtd 11Dec 2015


All other Key Management Personnel must be hired and on site (in place) no later than March 1, 2016.

g. Rail Grinding Production Work Plan: During the Contractors’ mobilization period, it is expected that the Contractor perform an initial rail grinding analysis to identify immediate needs based on the Contractor’s expert analysis of the rail profile data and a pre grind field investigation by the Contractor’s forces, the Contractor shall develop a Rail Grinding Production Work Plan for approval by NCTD’s Project Manager. The Plan shall describe the program of rail grinding services to be performed and that will apply NCTD’s target profiles at locations across the service property as appropriate to further the aforementioned goals of NCTD’s program. The Plan shall include grinding locations, number of grinding passes and speed during grinding, and proposed grinding schedule (locations, dates, time, and duration of workdays) coordinated with NCTD’s stakeholders, train operations and public outreach. The Plan will identify NCTD’s resource requirements for flag protection and / or grinding support. The Plan shall provide a methodology for measurement of actual rail ground based on production rail grinding schedule and post-grind services as described below.

21.2 Mobilization Services Master Plan

a. Proposers are required to submit a draft Mobilization Service Master Plan to support its costs and activities during the Mobilization Period. After the contract has been awarded and NTP issued, the successful The Contractor will have 30 calendar days to submit a final Mobilization Services Master Plan.

b. The Mobilization Services Master Plan shall identify all Mobilization Services to be performed by The Contractor prior to the Commencement Date. The Master Plan will include preparation of all specifically required plans including the designated elements of the System Safety Program Plan, Quality Control Guidelines, a staffing plan, a training plan, an equipment maintenance plan, and a drug and alcohol testing program. The Mobilization Master Plan will include the timeline for implementing training for understanding and use of JD Edwards or RailDOCS, or the NCTD approved equal, the fleet maintenance information system; the Maintenance-of-Way information system for track, signals, and grade crossings; IndustrySafe, and the material management information system.

c. The Mobilization Services Master Plan shall include a narrative description of all tasks, objectives, and deliverables required to successfully execute the Mobilization Services and prepare each plan.

d. The Mobilization Services Master Plan shall include a detailed schedule identifying the progress and sequence for completing all tasks within the Mobilization Services. The schedule shall identify all contractual milestone dates, specified dates for submission of plans and critical paths of activities.

e. The Mobilization Services Master Plan shall include an organizational chart identifying The Contractor’s and any subthe Contractor's key management personnel, their responsibilities, and relationships.

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22. APPENDICESAppendix A: Train Schedules

Appendix A-1: COASTER Train Schedule

Appendix A-2: SPRINTER Train Schedule

Appendix B: System Timetables and Special Instructions, and General Orders

Appendix B-1: General Order No. 7 COASTER

Appendix B-2: General Order No. 7 SPRINTER

Appendix C: Asset Inventory

Appendix C-1: COASTER Revenue Vehicle Inventory

Appendix C-2: SPRINTER Revenue Vehicle Inventory

Appendix C-3: NCTD Provided Non-Revenue Vehicles

Appendix C-4: NCTD Provided Support Equipment

Appendix C-5: Example of Support Equipment Maintenance Plan

Appendix C-6: List of SPRINTER Capital Spare Parts

Appendix C-7: List of COASTER Capital Spare Parts

Appendix C-8: Decal list for COASTER and SPRINTER

Appendix D: Workmanship and Materials for Maintenance of Equipment

Appendix D-1: COASTER Workmanship and Materials for Maintenance of Equipment

Appendix D-2: SPRINTER Workmanship and Materials for Maintenance of Equipment

Appendix E: NCTD’s Standard Operating Procedures List

Appendix F: Fleet Management Plans

Appendix F-1: COASTER Fleet Management Plan

Appendix F-2: SPRINTER Fleet Management Plan

Appendix F-3: NCTD Bus Fleet Maintenance Plan: BREEZE, FLEX, LIFT and Non-Revenue Fleet

Appendix F-4: Daily Mechanical-Crew Report

Appendix F-5: 92 day & Daily Clean Work Order

Appendix F-6: Sample SOW for F-40 Locomotives

Appendix F-7: Sample SOW for Bombardier Coaches

Appendix G: Del Mar Bluff Maintenance Memorandum of Understanding

Appendix H: NCTD Storm water Management Plan

Appendix I: SANDAG Board policy 018

Appendix J: FRA Shared Use Waiver on the SPRINTER line

Appendix K: NCTD Configuration Control Management Plan

Appendix K-1: PTC Configuration Control Management Plan

Appendix L: Fleet Control Management Plan

Appendix L-1: PTC Field Configuration Management Plan

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Appendix M: NOT USED

Appendix N: Pre-Trip Inspection Form

Appendix N-1: COASTER Pre-Trip Inspection Form

Appendix N-2: SPRINTER Pre-Trip Inspection Form

Appendix O: NCTD Emergency Response Plan

Appendix O-1: COASTER Emergency Response Plan

Appendix O-2: SPRINTER Emergency Response Plan

Appendix P: NCTD Brand Guidelines

Appendix Q: NCTD System Safety Program Plan

Appendix Q-1: COASTER System Safety Program Plan

Appendix Q-2: SPRINTER System Safety Program Plan

Appendix R: NCTD and Amtrak Rail 2 Rail Program

Appendix R-1: Amtrak Shared Use Agreement

Appendix R-2: MOU-Amtrak-NCTD-Rail 2 Rail Program

Appendix S: NCTD Right-of-Way Plans

Appendix S-1: NCTD Right-of-Way Maintenance Plan

Appendix S-2: NCTD Right-of-Way Capital Program Plan

Appendix S-3: NCTD Track Information Spreadsheet

Appendix S-4: NCTD Signal Maintenance Manual

Appendix S-5: COASTER Track Charts

Appendix S-6: SPRINTER Track Charts

Appendix T: SCCRA Agreements

Appendix T-1: SCCRA Shared Use Agreement

Appendix T-2: Executed MOU - SCRRA Mutual Aid-Fueling

Appendix T-3: Metrolink Agreement Maintenance of Equipment Services at NCTD SMMF

Appendix T-4: SCRRA Monthly Invoice

Appendix U: Deliverables List

Appendix U-1: Key Management Personnel Organizational Chart

Appendix V: NCTD Facility Management Plan

Appendix V-1: SOF Facility Equipment List

Appendix V-2: COF Facility Equipment List

Appendix W: OPS-3000 Vehicle Usage

Appendix X: MOU County of San Diego Probation Department

Appendix Y: DEV-4001 Flagging Services Administrative Procedure

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