POSITIVE TRAIN CONTROL

Transcription

1 POSITIVE TRAIN CONTROL Monthly Report

2 CONTENTS 1. EXECUTIVE SUMMARY Project Overview PTC Inter-Agency Coordination PTC Operations and Maintenance Scope of Work Overview Key Issues Network Federal Communications Commission (FCC) Wayside Interface Units (WIUs) WRE s Individual Composite CRC (Cyclic Redundancy Check) Calculator (IC3) Non-compliant Components Back office Federated link PROGRAM MANAGEMENT Integration Management Program Governance Program Control Change Management Program/Project Management Information Systems Scope Management Configuration Control Management Quality Management Quality Plan Review Deficiency Notices (DN), Nonconformance Reports (NCR), Corrective Action Reports (CAR) PTC Quality Audits and Surveillances Surveillance 001 (Final PTC Equipment Installation) Surveillance 002 (Delays Associated with Wabtec Materials Removal) Corrective Action Reports (CAR) Quality Tasks Risk Management Stakeholder and Communications Management PROGRAM SAFETY PROGRAM PROGRESS NCTD PTC Monthly Report Page i

3 4.1. Schedule Development Critical Path POSITIVE TRAIN CONTROL CONTRACTS AND STATUS EXPENDITURES / FUNDING SOURCES Expenditures Funding Sources PROJECT PHOTOS NCTD PTC Monthly Report Page ii

4 1. EXECUTIVE SUMMARY 1.1. Project Overview North County Transit District (NCTD) is implementing an interoperable Positive Train Control (PTC) System on the San Diego Subdivision where passenger and freight operations are conducted (as set forth in the Rail Safety Improvement Act of 2008 (RSIA08) and 49 CFR 236 Subpart I). The purpose of a PTC System is to prevent the following: Train-to-train collisions Over speed accidents Incursion into work zones Movements through a misaligned switch by requiring automatic control systems to override mistakes by human operators This PTC System will be designed and implemented to follow the standard and guidelines established by the Interoperable Train Control (ITC) Committee. The ITC Committee is comprised of the four largest US freight railroads BNSF Railway, CSX, Norfolk Southern Railway (NS), and Union Pacific Railroad (UPRR). The NCTD goal for PTC implementation is the required December 31, 2015 completion date as stipulated in the Federal Rail Safety Act of In August 2011, NCTD procured a Vendor/Integrator contractor, Herzog Technologies Inc. (HTI), to design, install, commission, and maintain the PTC System. In addition to and in advance of the implementation of the PTC System, NCTD has assumed the management control of the San Diego Subdivision by installing a new computer-aided dispatch system for the control of the centralized traffic control (CTC) system, TMDS. Previously, NCTD s dispatching was managed by Southern California Regional Rail Authority (SCRRA) using the DIGICON CTC system. NCTD awarded a contract to HTSI for CTC installation and dispatch services. The San Diego Subdivision dispatch cutover was April 2012, and the Escondido Subdivision dispatch cutover was December The new PTC system will be located at the Rail Operations Center (ROC) within the Sprinter Operations Facility (SOF) in Escondido CA. NCTD s General Administration Office (GAO) has been identified as a second office location to provide geographic redundancy for both the command and control functions as well as the PTC back office functions. Once the Operations Control Center at GAO has been fully built out, GAO will be transitioned to the primary location with the ROC becoming the backup center PTC Inter-Agency Coordination Inter-Agency Coordination is one of the keys for the project success. The PTC system must be fully and mutually compatible with host and tenant railroads. Interoperability will enable safe operation of mixed freight and passenger services to allow seamless uninterrupted movement among different host railroads. Interoperability shall be based on the ITC Committee standard and guidelines, and member governance currently in development by the UPRR, BNSF Railway, CSX, and NS. Host and tenant railroads may also execute Interoperability Agreements, which are envisioned as being similar to Shared Use Agreements. NCTD has executed Interoperability Agreements with BNSF Railway (April 2010), SCRRA (April 2010), Amtrak (March 2010) and Pacific Sun Railroad (August 2010). NCTD PTC Monthly Report Page 1 of 37

5 The San Diego Subdivision rail corridor is 60.3 miles in length from the Orange County/San Diego County line (MP 207.4) to 200 feet south of Broadway Street in San Diego (MP 267.7). The entire line is signaled CTC territory with 50% of the territory having segments of multiple main track and passing sidings. Passenger train operations on the corridor are COASTER (22 trains/weekday), Amtrak Pacific Surfliner intercity service (22-24 trains/day), and SCRRA Metrolink commuter rail services (up to 14 trains/day). Freight service on the Subdivision is BNSF Railway (4-6 trains/day) and Pacific Sun Railroad (5-10 trains/week). NCTD's COASTER service operates between the Oceanside Transit Center in Oceanside (MP 226.4) and Santa Fe Depot in San Diego (MP 267.5). NCTD s Maintenance facility is located at Stuart Mesa (MP 221.9), north of Oceanside on Camp Pendleton. This yard is also used by SCRRA Metrolink. A layover facility is located at the San Diego Trolley Yard (MP 268.4) at 12th and Imperial in Centre City San Diego where COASTER train sets are stored during midday. In addition to the NCTD COASTER service area, the tenant railroads use the corridor as follows: Amtrak's Pacific Surfliner Service - Entire subdivision, BNSF Railway - Entire subdivision, SCRRA's Metrolink Orange County Line - From Oceanside to the Orange County Line, BNSF Railway s contracted operator Pacific Sun Railroad, a Watco Company - Local freight service operating between Stuart Mesa Maintenance Facility and Miramar freight spur, and Escondido Subdivision with occasional trips to San Onofre near the Orange County Line. NCTD has organized monthly interoperability calls and include the Federal Railroad Administration (FRA), Caltrans Division of Rail, Pacific Sun, Southern California Regional Rail Authority (SCRRA), BNSF Railway, and Amtrak. NCTD also attends the LA Regional PTC Conference quarterly meeting hosted by SCRRA and attended by BNSF Railway, UPRR and Amtrak PTC Operations and Maintenance HTI was selected as NCTD s Vendor/Integrator, and included in their proposal was an option for PTC System Maintenance Services for a base period of five years with an additional five year option. Should this option be exercised, HTI would be responsible for maintenance of back-office PTC systems, on-board equipment on locomotives and cab cars, communications equipment at other base station locations, and Roadway Worker Protection (portable) equipment. At the time of award, the total original contracted amount was $32,819,671. The estimated cost for the base period of five years maintenance would be an additional $5,629,042, with a second five year maintenance period at a cost of an additional $6,624,426. The maintenance scope and fee will need to be revisited as the project progresses. For the purpose of the Office Maintenance Services, the office includes back office and network management equipment. For the office maintenance, HTI would provide a technology refresh of the hardware and technology as part of the scheduled maintenance during year four of both the five year contract and the optional five year contract. The technology refresh would consist of replacing the back office hardware, software, and firmware with the latest proven operating platform, subject to NCTD approval. NCTD PTC Monthly Report Page 2 of 37

6 1.2. Scope of Work Overview HTI and its subcontractors are solely responsible for designing and implementing a PTC system that meets FRA and other applicable requirements and is FRA approved for NCTD rail operations. HTI is required to follow the Positive Train Control Development Plan (PTCDP) submitted by the NS, CSX, and UPRR railroads and utilize it as the basis for the NCTD PTC system. This PTCDP, revised on June 1, 2011 and subsequently approved by the FRA on August 26, 2011, is known as Interoperable Electronic Train Management System (I-ETMS). HTI and its subcontractors are scoped to be following the I-ETMS Rung 1 model, which fully adheres to AAR/ITC standards and specifications, while designing the NCTD PTC system. This is in an effort to ensure FRA required "type approval" as well as streamlining the final FRA acceptance process. Any deviations from I-ETMS functionalities will require Request(s) for Amendment (RFA) to the FRA and may extend the timeline for FRA acceptance. The Contract has been awarded as a single Contract to be executed in two phases (based on available funding). Phase I includes the initial surveys, studies, and all design work necessary to amend the PTCDP submitted by NS, CSX, and UP to the FRA. Phase 2 includes all other work necessary for the design, installation and implementation of the PTC system. The PTC System is scoped to be completed by the mandated date of December 31, 2015 in accordance with the schedule defined in the Positive Train Control Implementation Plan (PTCIP), and must be compliant with standards and specifications developed by the ITC Committee for forthcoming publication by the Association of American Railroads (AAR). Safety is paramount. Consideration must also be given during the PTC System design to the NCTD level of service. The throughput (capacity) of the commuter railroad system must be maintained after PTC deployment, and the PTC System needs to support future capacity improvements and ridership growth. a. Phase 1 HTI is scoped to: i. Perform the necessary studies and surveys; attend meetings; and perform the engineering analysis, design and systems engineering necessary to amend the PTCDP per the RFA procedural requirements of 49 CFR HTI is scoped to provide all documentation, research, validation and verification services to ensure a "Type- Approved" system is provided to NCTD prior to commissioning. ii. Provide for the development and submittal of a project schedule and planning for each task of the overall PTC program. HTI is scoped to develop a design, procurement and installation milestone schedule and plan construction, testing, and certification of the specified NCTD PTC System for full deployment in accordance with the milestones and deadlines established by NCTD. As part of HTI's coordination with tenant railroads, HTI shall prepare and submit an Interoperability Coordination Plan (ICP). iii. Provide services necessary to perform detailed onboard surveys: a. Perform data collection subtasks for onboard systems. These data shall be used in designing the removal, relocation, and installation of on board systems (both existing and new systems). b. Develop and submit a Locomotive Survey Report and a Cab Car Survey Report. The survey report is intended to identify probable equipment mounting locations NCTD PTC Monthly Report Page 3 of 37

7 b. Phase 2 for all Interoperable-Electronic Train Management System (IETMS) system components, create the preliminary BOM, measure probable cable lengths required, and identify probable relocations of existing equipment. c. Develop and submit a preliminary Bill of Materials (BOM) and a baseline Installation and Relocation manual and schematics for each locomotive, cab car, and Hy-Rail vehicle type. Upon issuance of the second NTP for Phase 2 by NCTD, HTI is scoped to: i. Continue with the development, procurement, and installation of the PTC System for NCTD's PTC program. ii. Prepare all required documents for submittal to and approval by the FRA, including the PTC Safety Plan (PTCSP). iii. Provide a complete functional PTC System in accordance with the Contract Documents in compliance with the NCTD approved milestone schedule. The system is scoped to include wayside, onboard, radio communications network, and back office server segments. iv. Develop an installation milestone schedule. v. Plan construction, testing, and certification of the specified NCTD PTC System including full deployment. vi. Complete an initial design incorporating all PTC System components, including pre-ptc equipment. The PTC System proposed shall be based on NCTD's PTCIP deferred track area of the San Diego Subdivision. vii. Be responsible for ensuring proper systems engineering processes, systems integration, system function, and correct sub-systems interaction for all aspects of the NCTD PTC System and its inter-relationships, inter-dependencies, and interfaces with other equipment and systems. The furnished PTC System shall be interoperable with the PTC Systems that are being deployed in Southern California by SCRRA and BNSF. Interoperability refers to the ability of trains to cross property boundaries under PTC at territory speed without stopping to acquire authorities. The PTC System shall also require direct or throughput communications among the PTC offices of NCTD, SCRRA, and BNSF. viii. Coordinate all PTC activities with the FRA and the California Public Utilities Commission (CPUC) as necessary. ix. Establish a safety program that conforms with the requirements of 49 CFR 236 Parts 214, 218, 219, CPUC General Orders, and NCTD Operating Rules; and obtain roadway worker safety training certification for all HTI and supplier, subcontractor and subconsultant personnel who may enter the NCTD San Diego Subdivision and project right-of way Key Issues This section describes the key issues that are contributing to, or have the potential to contribute to, schedule slippage Network The fiber backbone was anticipated to be completed by NCTD in 2013; completion is now anticipated by the end of the second quarter of The Program Management Team is working to mitigate impacts to the PTC project. NCTD PTC Monthly Report Page 4 of 37

8 Final design for the network component of the PTC system was transferred into the PTC project (PO #11046) from the original contract for the PTC Network Design (PO #30066) effective in November. The 90% design and material procurement has begun and material is being received on-site Federal Communications Commission (FCC) As a Federal licensing agency, the Federal Communications Commission (FCC) fulfills its responsibilities under National Environmental Policy Act (NEPA) by requiring licensees to review their proposed actions for environmental consequences (47 CFR to ). HTI is responsible for implementing NEPA through submitting a NEPA Environmental Assessment (EA) Checklist and supporting documentation to the FCC. Of the 19 base stations, nine base stations fall outside the Nationwide Programmatic Agreement or the Collocation of Wireless Antennas, Section III Collocation of Antennas on Towers Constructed on or Before March 16, HTI is required to submit an EA Checklist and supporting documentation for the remaining nine base stations prior to construction. The FCC required documentation includes: public notification, Native American consultation and Tower Construction Notification System, Survey and Viewshed Analysis, FCC 620 and 621 Application, and an EA Checklist submission Wayside Interface Units (WIUs) NCTD negotiated a change order for full validation tests at select locations, as opposed to the currently contracted reduced validation tests. A dark red bulb condition was discovered by SCRRA. PRE was informed as to what change was required, and PRE incorporated a dark red bulb fix into the first revision of NCTD s vital application programs. The modifications at EL1A and EC4 signal locations required a larger percentage of program step re-arrangement than VHLC locations. This larger percentage of re-arrangement required a full validation test instead of the reduced validation test currently contracted with TASI WRE s Individual Composite CRC (Cyclic Redundancy Check) Calculator (IC3) The IC3 proposal is anticipated in the first quarter of IC3 is in development, originating as a requirement from ITC Hazard Mitigation functionality. IC3 will be required to get Safety Certification from the FRA. I-ETMS requires IC3, which is a new subsystem and will be a component of I-ETMS release 6.3.9, to reach full Phase 1 Independent Validation Server (IVS) functionality Non-compliant Components Some PTC components installed in the locomotives and the Bombardier Cab Car (BCC) were non-compliant with 49 CFR Passenger Fire Safety requirements. Components were removed, and HTI and their subcontractor are currently working to provide new kits with compliant materials for reinstallation into the locomotives and BCC Back office Integration between the Back Office Server (BOS), Interoperable Train Control Messaging (ITCM), and Computer Aided Dispatch (CAD) is a challenge, with ITCM being the most challenging. HTI is working with Meteorcomm, who is producing the design. The ITCM lab installation has been completed and test cases were successfully run Federated link The federated link still needs to be worked through, including connections, security protocols, and business plans. HTI is currently working to link the NCTD test lab with the BNSF test lab. NCTD PTC Monthly Report Page 5 of 37

9 The Class 1 railroads are working to develop contracts and business documents to establish the link. This is an issue the industry is working through. NCTD PTC Monthly Report Page 6 of 37

10 2. PROGRAM MANAGEMENT 2.1. Integration Management This section describes the status of integration management, program governance, program controls, and change management process and program/project management information systems Program Governance The governance for the PTC program is organized as follows: NCTD Organization Chief Development Officer: Peykan Abbassi Deputy Chief Operating Officer Rail Systems: Eric Roe Chief Technology Officer: Ryan Cashin Chief Financial Officer: Ryan Bailey Interim Chief of Safety: Laynie Weaver Deputy Chief Operating Officer Rail Operations: Nick Freeman Senior Network Engineer: Roy Gilbert Rail Systems Engineer: Robert Paladino Right of Way Officer: Tim Morehead Public Outreach: Jill Gibson HNTB Organization PTC Program Manager: Mary Holland PTC Deputy Program Manager: Anna Borrell PTC Construction Manager and Program Scheduler: Essie Rahbari Document Control Coordinator: Cara Smith Business Manager: Robert Hartley Project Analyst: Matt Daniels PTC Quality Manager: Mike Phillips Program Control The PTC program has 21 active vendor-implemented projects within the PTC program. The status of each of the 21 projects is described in section 5 of this report. The following projects are in the process of closing out: Centralized Traffic Control (PO # OS) Centralized Traffic Control System Design (PO # 29314) Wayside Interface Unit (WIU) Design & Installation (PO # 29485) Centralized Traffic Control & Operations Control Center Support Services (PO # 11032) Test & Training Facility Equipment (PO# 13003) PTC Lab Install (Task 2) (PO# 30374) Additional Requirements to PO (PO# 30616) Task Order: PTC Lab Cabling (PO# 30265) TMDS Network Extension (PO # OP) The total dollar value of the 21 vendor-implemented (active and closed) projects is $59,717,309. NCTD PTC Monthly Report Page 7 of 37

11 Change Management The changes that are currently in process for the 21 active vendor-implemented projects are: PTC Signal Maintainer & WIU Installation (PO # OP) - TASI Provides for full validation at required locations, rather than reduced validation as currently scoped. Received board approval in February. South COASTER Fiber (PO # OS) - MP Nexlevel of California, Inc. Received board approval in February. Additional scope of work will be negotiated in March. San Diego Fiber Project (PO#13035 OS) The Fishel Company FWD 002 Abandoned Cable Removal was approved in February. The total value of this change order is $22,914 and it extends the project 6 calendar days. FWD 003 Pull Box Replacement was approved in February. The total value of this change order is $26,011. FWD 004 Credit and Pull Box Replacement was negotiated and processed in February. The total value of this change order is ($29,226) and it extends the project 39 calendar days. Environmental Support Services (PO # 30475) BRG Consulting Scope reduction of the original contract for a value of ($1,600,000). It is being negotiated and processed and it is anticipated to be executed in March Program/Project Management Information Systems The current document control software was assessed for adequacy and will be maintained at this time Scope Management The Contract Document Requirements List (CDRL) for the PTC project is being cross-checked against the schedule to ensure contract requirements. This task will be repeated several times throughout the duration of the program so that adjustments can be made where applicable Configuration Control Management Comments were returned to HTI on the Configuration Control Management Plan (CCMP), the Field Control Management Plan (FCMP), and the Interface Management Plan (IMP). A series of meetings is scheduled in March to resolve comments and coordinate the documents. The next Configuration Control Board (CCB) meeting will be scheduled after the CCB works though the action items coming out of the December meeting and after reviews of the CCMP and FCMP have been completed. Action items include finalizing the CCMP and establishing logistics of the CCB workflow Quality Management Quality Plan Review The quality plans being used for the PTC program include: FTA Quality Management System Guidelines, FTA-PA , December 2012 NCTD PTC Monthly Report Page 8 of 37

12 HTI System Quality Plan, Rev 1, April 2012 Wabtec Quality Plan Onboard Installation, Rev 2, August 2013 Wabtec I-ETMS Onboard Software Quality Assurance Plan, Rev 1, August 2013 NCTD Quality Plan, Rev A, January 2012 CCI Quality Documents, Rev 0, May 2013 HTI Quality Assurance Manual, Rev G, July Deficiency Notices (DN), Nonconformance Reports (NCR), Corrective Action Reports (CAR) The HNTB Quality Manager and the HTI Quality Manager have been meeting on a bi-weekly basis to review the current status of all Quality Reporting items for the project (DNs, NCRs, and CARs). These items are defined as follows: DNs are items that have been identified as being deficient but not in non-conformance. These items can remain installed and in operation until they are either repaired or otherwise brought out of deficient standing. NCRs are items that have been identified where there is a discrepancy in characteristic, documentation or procedure which affects form, fit, or function and renders the quality of an item unacceptable or indeterminate in regard to meeting all relevant project requirements. CARs are measures taken to rectify conditions adverse to quality and, when necessary to preclude repetition. Table 2.1 summarizes the total number of DNs, NCRs, and CARs that the HNTB Quality Manager is tracking for the PTC project: Table 2.1: Quality Tracking Item Quantity Open items Closed items Deficiency Notices Nonconformance Reports Corrective and Preventative Actions The work needed to resolve deficiency notices will be scheduled to coincide with other work taking place at the same locations in order to be as efficient and productive as possible PTC Quality Audits and Surveillances The HNTB Quality Manager is working with the HTI Quality Manager on the following: HTI uses a project management software program called Fogbugz to conduct quality checks and to maintain quality records. The HTI and HNTB Quality Managers are determining the most efficient method to access the necessary quality records in order to best perform quality reviews, verifications, audits, and surveillances. HTI is to develop a plan for transferring quality records to NCTD. In the meantime, the HNTB Quality Manager will be providing written requests to the HTI Quality Manager for the quality records. The HTI Quality Manager is planning to perform an audit of Wabtec at their Germantown location the week of March 10 th The HNTB Quality Manager will be attending the audit. NCTD PTC Monthly Report Page 9 of 37

13 Surveillance 001 (Final PTC Equipment Installation) This document has been finalized. The surveillance report was developed for the PTC equipment construction for the F59 Locomotive. During this surveillance it was discovered that there was a potential welding protocol issue for the conduit clamp on the wheel truck. This item has been identified in more detail below as CAR No Surveillance 002 (Delays Associated with Wabtec Materials Removal) This document has been finalized. The surveillance report was developed for the removal of non-compliant components as identified in Letter No. 034 from HTI to NCTD Delays Associated with Wabtec Materials. This letter describes various items that were in noncompliance per 49 CFR The HNTB Quality Manager was present during the removal of some of the non-compliant materials identified in the letter. A CAR is being developed due to the Passenger Fire Safety issues and is shown in more detail below as CAR No Corrective Action Reports (CAR) The HNTB Quality Manager is monitoring the progress of the following Corrective Action Reports for the PTC project: CAR 001 (220 MHz Antenna) Issue Date of 11/22/13 NCTD inspected and documented that the HTI subcontractor did not follow the installation guide with regard to the 220 MHz Antenna installation on top of the roof of the locomotive. This issue has been addressed by HTI directing their subcontractor to comply with the NCTD approved installation guide. Update: No update from previous month. HTI completed the repair drawing and is awaiting a stamp from a California PE. The HTI Quality Manager will be developing a preventative action for the HNTB Quality Manager to review and approve. Estimated Closure Date: DN Log No /1/14 (pending discussion with Wabtec to schedule the installation) CAR 002 (F59 Conduit Clamp Welding Protocol) Issue Date of 12/05/13 The HNTB Quality Manager attended a final PTC equipment installation construction inspection (surveillance) for the F59 Locomotive. It was during this surveillance when it was discovered that there was a possible welding issue that is resulting in additional monitoring by TASI staff. A conduit clamp on the wheel truck was welded by HTI s subcontractor who was not trained by TASI regarding the proper location of where to place the grounding clamps on the locomotive. As a result, the wheel bearing may have been damaged. HTI has noted the potential welding issue on their installation paperwork. The HNTB Quality Manager will be involved with the review of the CAR by HTI. Update: TASI has been performing tests on the F59 wheel bearings and to date no abnormal wear or damage to the system has been observed. HTI and TASI will be providing logs showing the results the heat tests and will be providing it to NCTD for review. The HNTB Quality Manager will be working with the HTI Quality Manager and NCTD technical staff to determine if additional tests are warranted and to develop a monitoring and close out procedure. Estimated Closure Date: 4/1/14 DN Log No. 009 NCTD PTC Monthly Report Page 10 of 37

14 CAR 003 (F40, F59, BCC Non-Compliant Materials) Issue Date of 12/18/13 NCTD received notification on December 17 that some components installed in the F40, NCTC 2103, F59 NCTC 3001 and the Bombardier Cab Car (BCC) were non-compliant with 49 CFR Passenger Fire Safety requirements as evidenced by a Fire, Smoke, and Toxicity (FST) test. Due to the Passenger Fire Safety, and cost implications, there are two areas of concern: A Passenger Fire Safety concern as a result of the use of non-compliant materials. There was a two month delay in communication from HTI to NCTD concerning the non-compliant components. The root cause behind HTI s decision to delay communication is going to be discussed as part of the CAR. Update: No update from previous month. Compliance is under internal discussion at HTI to determine a solution and proper course of action. HTI and their subcontractor are currently working to provide new kits with compliant materials for reinstallation into the locomotives and BCC. The HTI Quality Manager will be developing a preventative action for the HNTB Quality Manager to review and approve. Estimated Closure Date: 4/1/14 DN Log No Quality Tasks The following quality related tasks were performed by the HNTB Quality Manager for the period reported: Attended a pre-construction site walk of the South COASTER Fiber construction project with PRE to get an understanding of the work that will take place and identify potential challenges along the route. Developed draft quality checklists for the fiber projects in coordination with PRE. Met with the Metrolink Quality Manager to better provide consistency between the Metrolink and NCTD PTC Quality programs and to exchange lessons learned. Finalized the Worker Clearance form to be provided to contractors performing work on NCTD property. The form is being reviewed by NCTD. Began to work on an update to the NCTD Quality Plan to incorporate PTC related quality information, procedures, and forms. Developed a draft version of the Quality Assurance Certification form for use on NCTD and HNTB related project submittal review. Developed a draft version of quality forms to be used on the PTC project Risk Management Monitoring of project risk is ongoing by the NCTD and HTI project teams. A Risk Management Plan (RMP) has been developed and is reviewed on a monthly basis Stakeholder and Communications Management NCTD communicated to stakeholders about the broader PTC project, antenna installations, and fiber network. This included communications with City Staff, SANDAG, neighbors, written notices, communications, and website updates. Outreach prior to each tower installation and alongside the fiber work occurred in September and has been subsequently suspended while the team works through the FCC permit issues. NCTD PTC Monthly Report Page 11 of 37

15 3. PROGRAM SAFETY Per the National Transportation Safety Board (NTSB) s Safety Recommendations dated June 18, 2013, Tables 3.1 and 3.2 reflect the progress being made on the required components and training for the NCTD PTC program. The on-board installations, which include the Locomotives and Locomotive Radios in Table 3.1, are on hold due to the fire safety analysis that is currently being performed on the vehicles. Upon completion of the fire safety analysis, on-board installations will begin. The completion date for the on-board installations has moved from March to May Installation of the base station radios is just over 50 percent complete, with 10 of the 19 base station radios completed, with the completion date dependent upon the FCC process. HTI is organizing to input documentation into the Tower Construction Notification System (TCNS) and issue public notifications. The estimated completion date is June Nearly 25 percent of the wayside units have been installed. The remainder of the installations is dependent upon TASI s contract to perform full validations tests resulting from the dark red bulb condition. Board approval for the full validation tests was received at the February board meeting. The estimated completion date has moved from April to July 2014 and is dependent upon the schedule to be received from TASI. Table 3.1: Components Component Locomotives Wayside Units Switches Description F40 (x5) F59 (x2) BCC (x10) VHLC EC4 EL-1A Total Components Completed Remaining Percent Complete Estimated Completion Date % May % Jul-2014 Not Applicable Base Station Radios Meteorcomm % Jun-2014 Locomotive Radios Meteorcomm % May-2015 Wayside Radios New/novel technologies (if applicable) Not Applicable % TBD Training activities, shown in Table 3.2, are anticipated to begin in the second quarter of 2014, with training on the Hy-Rail Test Vehicle starting May The Hy-Rail Test Vehicle training was revised from June 2014 to May 2014 to match the schedule as submitted. The Operations, Mechanical, Dispatch, and GIS Mapping Tool trainings have shifted from November 2014 to February 2015 due to the added network scope which affected the completion of the equipment manual and subsequent training program plans. This also affected and shifted the Communications and Back Office training from November and December 2014, respectively, to March NCTD PTC Monthly Report Page 12 of 37

16 Table 3.2: Training Classification/ Craft Training Description Total Employees Employees Trained Employees Remaining Percent Trained Estimated Completion Date NCTD Mgmt/Ops Simulator TBD 0 TBD 0% Jul-2014 NCTD Mgmt/Ops Hy-Rail Test Vehicle TBD 0 TBD 0% May-2014 NCTD Operations General PTC TBD 0 TBD 0% Feb-2015 NCTD Mechanical General PTC TBD 0 TBD 0% Feb-2015 NCTD Dispatch General PTC TBD 0 TBD 0% Feb-2015 NCTD Mgmt/Ops GIS Mapping Tool TBD 0 TBD 0% Feb-2015 NCTD Mgmt/Ops Communications TBD 0 TBD 0% Mar-2015 NCTD Mgmt/Ops Back Office TBD 0 TBD 0% Mar-2015 NCTD PTC Monthly Report Page 13 of 37

17 4. PROGRAM PROGRESS 4.1. Schedule Development The PTC program schedule is being updated to incorporate Capital Improvement Projects (CIP) inputs affecting the PTC system Critical Path Figure 4.1 presents the critical path graphic from the HTI Contract No January 2014 Project Schedule Update. Figure 4.2, Milestone Summary, shows the new PTC System Certification by the FRA completion date to be November 3, This date represents approximately ten months of total delay from the Contract date of December 31, The ten months of delay includes the seven months of delay that were shown on the October 2013 schedule. The January schedule shows a two month improvement over the December schedule. Figure 4.3, Schedule Summary, is a rollup of the major elements of work, with Certification and Acceptance concluding in March NCTD and FRA coordination efforts have revealed that the approximate one year of FRA Review of the NCTD PTC Project PTCSP may be reduced by an estimated six months based on progressive PTCSP submittals when available rather than a fully complete PTCSP submittal at the conclusion of FRA testing. This has the potential to mitigate approximately six months of contractor delay, contingent upon the actual occurrence of events. As reported in the December and January reports, HTI s schedule has some inconsistencies such as poor logic and inaccurate durations which would make the Critical Path Method (CPM) schedule unreliable. Consequently, NCTD has met with HTI and has developed a plan to correct all the unresolved scheduling issues. HTI has made progress in addressing most of the issues outlined in review comments. The corrections made to date have resulted in a reduction of the PTC Revenue completion activity by 49 workdays, from 357 to 308 workdays delays. The project team is working diligently to resolve all remaining issues. Due to the inconsistencies found within the HTI submitted schedule, the main critical path has yet to be identified. It appears that the WIU and the network installation are both critical or near critical. Once the logic is corrected the main critical activities can be defined more accurately. HTI submitted three time impact analyses (TIA) that NCTD continues to review. The review is anticipated to be completed in March. TIA1: Impacted activities include WIU installations and testing. TIA2: Impacted activities include testing and commissioning. TIA3: Impacted activities include activities associated with the network interface. NCTD PTC Monthly Report Page 14 of 37

18 Figure 4.1: Monthly Progress Report - Critical Path for HTI Contract PO#11046 (January 2014) NCTD PTC Monthly Report Page 15 of 37

19 Figure 4.2: Milestone Summary for HTI Contract PO#11046 Oct vs. Contract Jan vs. Contract Slippage/Gain Jan. vs Oct. Project Milestones Per Contract Neg.=Slippage Approved Baseline Negative=late January 14 update Negative=late (DD 1 October 13 Update Pos.= Gain : 8/31/2012) Positive=early (DD 1 : 1/1/2014) Positive=early (DD:11/1/2013) (month) Finish Dates (month) Finish Dates (month) NTP (Phase 1) 19 Aug Aug Aug 11 N/A N/A N/A N/A PTC Phase 1: Development Complete 31 Jul Aug 12 9 Aug 12 Completed Completed 0 0 PTC Phase 2: Procurement/Installation/Testing Complete 15 Aug 14 8 Aug 14 1 May Aug Completion of System Safety Certification and Safety Plan Submittals 15 May Oct Jul Nov PTC System Commissioned into Revenue Service with PTC System Certification by the FRA 31 Dec 15 2 Nov Jul Nov Final Acceptance 14 Mar 16 1 Dec Mar DD: Data Date Figure 4.3: Project Schedule Summary for HTI Contract PO#11046 NCTD PTC Monthly Report Page 16 of 37

20 5. POSITIVE TRAIN CONTROL CONTRACTS AND STATUS The PTC Program has 21 vendor-implemented projects from the Orange County Line in the north to the Santa Fe Depot in the south. The total dollar value of the 21 active vendor-implemented projects is $59,717,309. Table 5.1 provides at-a-glance information for the 21 projects. Additional detail on the progress and financial status is provided in Tables 5.2 through Table 5.1: PTC Program Projects Summary NCTD Tracking Number Project Name Contractor Contract Amount Status Table # on report PTC for the LOSSAN Corridor North COASTER Fiber PTC Vendor-Integrator Project Herzog Technologies, Inc. COASTER Fiber Cable & Conduit Installation Projects The Fishel Company $36,322,949 On-Going 5.2 $1,308,968 Closed South COASTER Fiber MP Nexlevel $5,234,395 On-Going San Diego Fiber The Fishel Company Other PTC Program implemented Projects $551,055 On-Going Centralized Traffic Control HTSI $2,512,625 Close-Out Centralized Traffic Control System Design Wayside Interface Unit (WIU) Design & Installation Pacific Railway Enterprises, Inc. $323,633 Close-Out 5.7 $136,461 Close-Out Design Support During Construction $2,325,000 On-Going Centralized Traffic Control & Operations Control Center Support Services Macro Corp. $390,000 Close-Out Engineering Support Services HNTB $7,538,339 On-Going Configuration Management Software RailCar Management $688,119 On-Going Environmental Support Services BRG Consulting $661,297 On-Going CTC/PTC Network Design & Implementation $177,528 Closed PTC Network Design $81,908 Closed Test & Training Facility Equipment $170,799 Close-Out PTC Lab Install (Task 2) Datel Systems $3,880 Close-Out Additional Requirements to PO $0 Close-Out Task Order: PTC Lab Cabling $12,000 Close-Out TMDS Network Extension $76,233 Close-Out PTC Signal Maintainer & WIU Installation TASI $367,875 On-Going Signal Upgrade CP Friar/Taylor Street Herzog Technologies, Inc. $834,246 On-Going 5.22 Miscellaneous* TASI Flagging and NCTD Personnel costs Pending * These miscellaneous items include potential purchase orders. When approved they will become part of the PTC Program active vendor-implemented projects NCTD PTC Monthly Report Page 17 of 37

21 Table 5.2: Positive Train Control System for the LOSSAN Corridor; NCTD PO#11046 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME PTC for the LOSSAN Corridor Herzog Technologies, Inc. The PTC System for the LOSSAN Corridor is the primary contract for implementation of the PTC system. On-Going The Implementation Plan and Request for Amendment were submitted to the FRA as a draft, informal submittal and comments were received from the FRA in February. Revisions will be made and the formal submittal will be made in March. The Interoperability Coordination Plan continues to be under revision with coordination occurring between NCTD and their tenants. The rebudgeting effort was completed and presented during the Caltrans Quarterly meeting on February 19th. The Configuration Control Management Plan (CCMP), Field Control Management Plan (FCMP), and Interface Management Plan was reviewed by NCTD and a series of meetings have been begun to discuss comments response, incorporation, and finalizing the documents. The final submittal is anticipate in March. The Fire Safety Analysis will begin in early March and will complete prior to continuing on-board installations. The Phase 2 percent complete will remain at 45% until the schedule issues are corrected and a reliable critical path is developed. Refer to Section 4 Program Progress. TEST AND TRAINING FACILITY: Testing of BOS is waiting on the installation of TMDS. Expected delivery for TMDS is May COMMUNICATIONS: ATCS Antenna Install Proposal under NCTD review. HTI will begin the TCNS process and public notifications in early March. SUB-DIV FILE: Navigation Validation is planned to start in the field in mid-march. ONBOARD: BCC roof repair: Wabtec to provide a PE stamp and schedule for when the repair will take place. Recorder resolution outstanding. WAYSIDE: WIU's need to be installed and tested by the time the network is in place (estimated for the end of March 2014). NETWORK: Site specific design is ongoing: Stamps for several Camp Pendleton sites are expected in early March. Construction could commence in mid-march. DOCUMENTATION: FRA Test Waiver is now under revision. The comments were received from the FRA on the informal submittal of the Draft PTCIP and RFA. Will be formally submitted to the FRA in March. Revised PTCSP is under review by NCTD. OTHER ISSUES: None. NCTD PTC Monthly Report Page 18 of 37

22 (Table 5.2 continuation from previous page) NTP Phase 1: Development Completed Phase 2: Procurement/Installation/Testing System Safety Certification System Commissioning into Revenue Service Phase 1: Development Completed 100% Phase 2: Procurement/Installation/Testing 45% System Safety Certification Not Started System Commissioning into Revenue Service Not Started 08/19/ /31/ /15/ /15/ /31/2015 Phase 1 includes the initial surveys, studies, and all design w ork necessary to amend the Positive Train Control Development Plan (PTCDP) submitted by NS, CSX, and UPRR to the FRA. This Phase has been completed. An amended PTCDP w as not needed at the time this phase w as completed. Once lab testing is underw ay, the PTCDP may be revisited. Phase 2 includes all other w ork necessary for the design, installation and implementation of the PTC system. 1 Date defined at the Professional Services Agreement subsection 20 Liquidated Damages. Contract Amount $36,322,949 Spent to Date $19,107,402 Encumbered $17,215,547 Original Contract Value $32,819,671 5-Aug-11 Change order 001 $237,000 5-Oct-12 Change order 002 $809, Jan-13 Change order 003 $2,456, Jun-13 Change order 004 $1,089, Oct-13 SUBMITTALS DURING THIS PERIOD DIN Rail Breakers PTC Implementation Plan (PTCIP) Configuration Control Management Plan Microwave Radio Equipment PTC Interactive Train Engineer Training Simulator - Acceptance Test Books Product Vendor List Request for Amendment to PTC Implementation Plan RFA No Bombardier Cab Car Roof Repair Procedure % Network Design CP Songs PTC Equipment MP % Network Design CP San Onofre PTC Equipment MP Project Schedule Update November PTC Interactive Train Engineer Training Simulator - Training Program Field Configuration Management Plan Training Project Schedule Update December PTC Radio Field Commissioning Test Plan and Procedure % Network Design Intermediate Signal 2155 PTC Equipment MP % Network Design Intermediate Signal 2110 PTC Equipment MP Figure 5.1 shows the S-curve for the PTC project (PO 11046) dollars budgeted versus expended. The equation used to formulate the S-Curve is a logistic differential formula, which creates a graphic display of cumulative estimated costs plotted against time. S-Curve forecasting assumes slow initial growth, subsequent rapid growth, followed by declining growth as saturation levels are achieved. The essential concept of this function illustrates that the rate of growth is proportional to both the amount of growth already accomplished and the amount of growth remaining to be accomplished. The total contracted amount shown in Figure 5.1 includes pending change orders for the amount of $1,089,567 which have not been approved yet. The expended amount shows the total amount that HTI has NCTD PTC Monthly Report Page 19 of 37

23 billed to NCTD up until January 31, These numbers differ from those shown on Table 5.2 indicated as the contract amount and the spent to date amount, respectively. Figure 5.1: PTC Project (PO 11046) Budgeted versus Expended NCTD PTC Monthly Report Page 20 of 37

24 San Diego Subdivision Fiber Installation The San Diego Subdivision fiber installation is comprised of three geographically based contracts as listed below and shown in Figure 5.2: North COASTER Orange County Line to Oceanside Transit Center South COASTER Oceanside Transit Center to Old Town Transit Center San Diego Old Town Transit Center to Santa Fe Depot All three contracts include the installation of fiber conduit and cable along the San Diego Subdivision right-of-way to provide fiber for the PTC communication system. Status and financial information on the individual contracts is provided on Tables 5.3, 5.4 and 5.5. Figure 5.2: San Diego Subdivision Fiber Installation North COASTER Fiber (Orange County Line to Oceanside Transit Center) Status: Closed South COASTER Fiber (Oceanside Transit Center to Old Town Transit Center) Status: Restarting San Diego Fiber (Old Town Transit Center to Santa Fe Depot) Status: Construction Underway NCTD PTC Monthly Report Page 21 of 37

25 Table 5.3: North COASTER Fiber; NCTD PO#13013 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME North COASTER Fiber The Fishel Company This contract is one of three contracts for fiber conduit and cable installation along the San Diego Subdivision right-of-way to provide fiber for the PTC communication system. Project limits are from the Orange County Line to Oceanside Transit Center. Closed Fiber test results reviewed with no discrepancies noted. NTP Contract Completion 11/29/ /10/2013 Conduit Installation 100% Contract Amount $1,308,968 Fiber Installation 100% Spent to Date $1,308,968 Encumbered $0 Original Contract Value $1,068, Nov-12 Change order 001 $88, Jan-13 Change order 002 $56, Jan-13 Change order 003 $52, Feb-13 Change order 004 $43,078 2-Oct-13 SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 22 of 37

26 Table 5.4: South COASTER Fiber; NCTD PO#13020 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME South COASTER Fiber MP Nexlevel This contract is one of three contracts for fiber conduit and cable installation along the San Diego Subdivision right-of-way to provide fiber for the PTC communication system. Project limits are from the Oceanside Transit Center to the Old Town Transit Station. On-Going The project is currently 93% complete. MP Nexlevel s contract expired on September 30th, In February, the NCTD board approved the issuance of supplemental agreement 1, in order to re-start the South COASTER Fiber contract. The NTP for the restart was issued for January 28, NCTD staff negotiations with the contractor are anticipated to happen on March followed by the start of the Contractor's field work. RailPros is evaluating MP Nexlevel s change orders and working with NCTD staff to close out the open contract issues. MP Nexlevel to complete unfinished work from the original contract. Change orders will be processed to: 1. Investigate conduit blockage from CP Craven to CP Valley. 2. Investigate blockage at Soledad Creek Bridge and remove sand from pull boxes. 3. Perform work at CP Scripps and intermediate signal houses 250 and 251 to include relocating existing cables form signal house to pull boxes, install a patch panel, and terminate/splice/test cable. Original Contract NTP Contract Completion Amendment 1 NTP Amendment 1 Contract completion Conduit Installation 100% Fiber Installation 93% 01/03/ /30/ /28/ /30/2014 Contract Value $5,164,177 3-Jan-13 Change order 001 $70,218 8-Apr-13 Contract Amount $5,234,395 Spent to Date $4,671,418 Encumbered $562,977 SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 23 of 37

27 Table 5.5: San Diego Fiber; NCTD PO#13035 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME San Diego Fiber The Fishel Company This contract is one of three contracts for fiber conduit and cable installation along the San Diego Subdivision right-of-way to provide fiber for the PTC communication system. Project limits are from the communication house at Old Town Transit Station to Santa Fe Depot. On-Going No work during the month of February. Contractor waiting for pull boxes to continue the work. Change Order number 2 for the abandoned cable removal and change ordre number 3 for the pull boxes replacement was approved at the February board meeting. Change Order number 4 has been processed in February for one pull box replacement and the deletion of existing scope related to the installation of handholes and conduit repair. NTP Contract Completion Conduit Installation 0% Fiber Installation 0% 10/03/ /07/2014 Original Contract Value $551,055 3-Oct-13 Change Order 001 $ Dec-13 Change Order 002 $22, Feb-14 Change Order 003 $26, Feb-14 SUBMITTALS DURING THIS PERIOD None Contract Amount $551,055 Spent to Date $79,218 Encumbered $471,837 NCTD PTC Monthly Report Page 24 of 37

28 Table 5.6: Centralized Traffic Control; NCTD PO#10054 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME Centralized Traffic Control HTSI This contract is for design and support of centralized traffic control for the PTC project Close-Out Final acceptance completed. Software license agreement is under continuing review. HTI is handling all future changes to TMDS, per HTSI maintenance agreement. This contract is complete and is in the process of being closed. NTP Contract Completion 1 01/21/ /20/ Note: Date reflects PTC portion of purchase order - Contract Amount $2,512,625 Spent to Date $1,973,214 Encumbered $539,411 Contract Value $1,687, Jan-11 Change order 001 $497,684 8-Jul-11 Change order Jul-11 Change order 003 $46, Sep-11 Change order 004 $49,834 8-Dec-11 Change order 005 $2, Jan-12 Change order 006 $3, Apr-13 SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 25 of 37

29 Table 5.7: Centralized Traffic Control System Design; NCTD PO#29314 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME Centralized Traffic Control System Design Pacific Railway Enterprises, Inc. This contract provides design support for the centralized traffic control (CTC) system. Close-Out This contract is complete and is in the process of being closed. NTP 01/28/2011 Contract Completion 12/31/ Contract Amount $323,633 Spent to Date $235,627 Encumbered $88,006 Original Contract Value $323, May-12 SUBMITTALS DURING THIS PERIOD None Table 5.8: Wayside Interface Unit (WIU) Design & Installation; NCTD PO#29485 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME Wayside Interface Unit (WIU) Design & Installation Pacific Railway Enterprises, Inc. This contract provides design support and installation programming services for wayside interface units (WIU). Close-Out This contract is complete and is in the process of being closed. NTP Contract Completion 05/19/ /31/ Contract Amount $136,461 Spent to Date $136,440 Encumbered $21 Original Contract Value $136, Apr-12 SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 26 of 37

30 Table 5.9: Design Support During Construction; NCTD PO#29895 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME Design Support During Construction Pacific Railway Enterprises, Inc. This contract provides signal and communication systems support for the PTC project. On-Going The consultant provides ongoing signal oversight for the PTC project. PRE working with PTC team regarding configuration management processes. PRE is providing inspection services for the San Diego Fiber work and monitoring contract performance, submittals, and schedule for the CP Friar project. PRE will be providing inspection services for South Fiber project. PRE is providing updated plans for the communications bungalow at the Oceanside Transit Center, CP Ash, and Old Town. Also developing a design notice for the CP Friar project that is anticipated to be issued in March. NTP Contract Completion - 11/08/ /31/2015 Contract Amount $2,325,000 Spent to Date $686,773 Encumbered $1,638,227 Contract Value $2,325,000 8-Nov-11 SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 27 of 37

31 Table 5.10: Centralized Traffic Control & Operations Control Center (OCC) Support Services; NCTD PO#11032 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME Centralized Traffic Control & Operations Control Center (OCC) Support Services Macro Corp. This contract provides support for the centralized traffic control system and the operations control center. Close-Out Task 1 CTC: Final acceptance is underway. Task 2: NCTD selected the 810 Mission building as the location for the Primary Operations Command Control Center. The OCC will support PTC, Code Enforcement, Call Center, Bus Dispatch, and Rail Dispatch. This project is being completed outside the PTC program; Macro s purchase order will be closing. NTP Contract Completion - 05/13/ /12/2016 Contract Amount $390,000 Spent to Date $351,307 Encumbered $38,693 Contract Value $390, May-11 SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 28 of 37

32 Table 5.11: Engineering Support Services; NCTD PO#29935 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME Engineering Support Services 3/4/2014 HNTB This contract provides continuing support, guidance and monitoring of the PTC project. Scope includes design submittal review, as needed design work, scheduling services, and general project management. On-Going HNTB Program Management efforts are ongoing. HNTB has assigned six full-time employees to the project. All are co-located at the NCTD offices in Oceanside (Tremont office); additional staff support is being identified to further support the PTC program and project management efforts identified as necessary by NCTD management. The HNTB amendment to the current contract scope of work and fee was approved at the December board meeting. This Amendment # 1 covers scope additions to the original Task Order necessary to support the PTC program through completion. NTP Contract Completion - 12/07/ /31/2015 Contract Amount $7,538,339 Spent to Date $2,539,424 Encumbered $4,998,914 Contract Value $2,620, Dec-11 Amendment 1 $4,917,340 4-Mar-14 SUBMITTALS DURING THIS PERIOD None Table 5.12: Configuration Management Software; NCTD PO#12024 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME Configuration Management Software RailCar Management This contract scope provides track configuration management software, including implementation. On-Going RailDOCS software is in use for all NCTD field work by TASI contractors and quality control and enforcement is underway by NCTD.Track and signal crews are using RailDOCS since January 8th, On-going expenditures are for licensing. NTP Contract Completion 09/05/ /05/ Contract Amount $688,119 Spent to Date $351,835 Encumbered $336,284 Original Contract Value $688,119 5-Sep-12 SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 29 of 37

33 Table 5.13: Environmental Support Services; NCTD PO#30475 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME Environmental Support Services BRG Consulting This contract provides as needed environmental support for PTC project. Initial task order was increased due to extent of environmental risks and other considerations identified in the PTC program, specifically the fiber project. On-Going BRG is reviewing the San Diego COASTER Fiber Project, CP Friar Signal Project, and South Fiber completion. Initial review by BRG on the South Fiber project determined that no environmental issues or work window constraints are required. BRG and the construction teams will continue to monitor the development of the project plans for completion of the construction work. Efforts are provided on an as-needed basis for environmental and archeological monitoring support for the PTC Program. NTP Contract Completion - 09/18/ /31/2015 Contract Amount $661,297 Spent to Date $161,990 Encumbered $499,308 Original Contract Value $2,144, Sep-12 Contract Deduction ($1,482,800) 21-Feb-14 SUBMITTALS DURING THIS PERIOD None Table 5.14: CTC/PTC Network Design & Implementation; NCTD PO#29504 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME CTC/PTC Network Design & Implementation Datel Systems This contract provides network design and implementation for the PTC project. Closed This contract has been closed. NTP Contract Completion 5/18/ /1/ Contract Amount $177,528 Spent to Date $177,528 Encumbered $0 Original Contract Value $177, May-11 SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 30 of 37

34 Table 5.15: PTC Network Design; NCTD PO#30066 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME PTC Network Design Datel Systems This contract scope includes preliminary and final design for the network component of the PTC system. Closed This contract has been closed and remaining work transferred to the Positive Train Control System for the LOSSAN Corridor, HTI purchase order NTP Contract Completion - 5/18/ /1/2013 Contract Amount $81,908 Spent to Date $81,908 Encumbered $0 Original Contract Value $81, May-11 SUBMITTALS DURING THIS PERIOD None Table 5.16: Test & Training Facility Equipment; NCTD PO#13003 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME Test & Training Facility Equipment Datel Systems This contract provides as needed hardware, software, and licenses for the PTC Test & Training Facility (TTF). Close-Out This contract is complete. NCTD has begun the close out process for Datel scope of work. NCTD has received all invoices for work conducted by Datel. NCTD is waiting on final delivery of the Rack Mount kit before processing invoices. NTP Contract Completion - 9/21/2012 3/31/2013 Contract Amount $170,799 Spent to Date $170,799 Encumbered $0 Contract Value $170, Sep-12 SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 31 of 37

35 Table 5.17: PTC Lab Install (Task 2); NCTD PO#30374 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME PTC Lab Install (Task 2) This contract provides PTC lab installation requirements under task 2. Close-Out NTP Contract Completion - Datel Systems This contract is complete. NCTD has begun the close out process for Datel scope of work. NCTD has received all invoices for work conducted by DATEL. NCTD is waiting on final delivery of the Rack Mount kit before processing invoices. 9/21/2012 3/31/2013 Contract Amount $3,880 Spent to Date $3,880 Encumbered $0 Original Contract Value $3, Sep-12 SUBMITTALS DURING THIS PERIOD None Table 5.18: Additional Requirements to PO 30374; NCTD PO#30616 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME Additional Requirements to PO Datel Systems This contract provides additional requirements to the PTC lab installation purchase order under task 2. Close-Out This contract is complete. NCTD has begun the close out process for Datel scope of work. NCTD has received all invoices for work conducted by DATEL. NCTD is waiting on final delivery of the Rack Mount kit before processing invoices. NTP Contract Completion - 9/21/2012 3/31/2013 Contract Amount $8,665 Spent to Date - Encumbered - Original Contract Value $8,665 5-Dec-12 SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 32 of 37

36 Table 5.19: Task Order: PTC Lab Cabling; NCTD PO#30265 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME Task Order: PTC Lab Cabling This contract provides the required cabling to the PTC lab. Close-Out NTP Contract Completion - Datel Systems This contract is complete. NCTD has begun the close out process for Datel scope of work. NCTD has received all invoices for work conducted by DATEL. NCTD is waiting on final delivery of the Rack Mount kit before processing invoices. 9/21/2012 3/31/2013 Contract Amount $12,000 Spent to Date $12,000 Encumbered $0 Original Contract Value $12, Jun-12 SUBMITTALS DURING THIS PERIOD None Table 5.20: TMDS Network Extension; NCTD PO#30729 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME TMDS Network Extension Datel Systems This contract provides a temporary solution for NCTD to free up fiber for the PTC project. Close-Out This contract is closing out. NTP Contract Completion 3/6/2013 4/26/ Contract Amount $76,233 Spent to Date $76,233 Encumbered $0 Original Contract Value $76,233 6-Mar-13 SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 33 of 37

37 Table 5.21: PTC Signal Maintainer & WIU Installation; NCTD PO#30073 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME PTC Signal Maintainer & WIU Installation TASI This contract provides for the installation and testing of the Wayside Interface Units (WIU) and the training, special tools, equipment and vehicle lease for the signal maintainer. On-Going A change order to provide full validation testing at required locations was approved at the February board meeting. NTP Contract Completion 3/2/2012 6/30/ Contract Amount $367,875 Spent to Date $223,797 Encumbered $144,078 Contract Value $367,875 2-Mar-12 SUBMITTALS DURING THIS PERIOD None Table 5.22: Signal Upgrade CP Friar/Taylor Street; NCTD PO#13007 TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME Signal Upgrade - CP Friar/Taylor Street Herzog Technologies, Inc. Contractor will provide modernization upgrade to the civil, signaling, and communication equipment within the signaling houses at CP Friar and Taylor Street. On-Going Project submittals continue to be submitted by HTI, with PRE and HNTB review. A meeting took place on 1/27/2014 with the Project team; as result of this meeting, HTI revised and resubmitted the schedule, which has been approved. HTI has stated the intent is to finish the project in late June, NTP Contract Completion - 10/17/ /12/2014 Contract Amount $834,246 Spent to Date $0 Encumbered $834,246 Original Contract Value $834, Oct-13 SUBMITTALS DURING THIS PERIOD Signal House Drawings Signal Construction Sequencing Plan Grounding Materials (Rev1) Batteries and Charging Equipment (Rev1) Construction Schedule (Rev1) Coded Track Circuits Cut Sheets Line Diagram of Tests NCTD PTC Monthly Report Page 34 of 37

38 6. EXPENDITURES / FUNDING SOURCES 6.1. Expenditures Through, expenditures to date on the project total $37,150,822, or 43 percent of the project budget. The period expenditures total $1,196,598 and were primarily composed of contractor charges, followed by NCTD staff, engineering, and consultant charges. Overall, expenditures are in line with the current $87,292,969 estimate at completion. Nevertheless, NCTD is closely monitoring the budget and the impact of pending contractor change orders and schedule changes. Figure 6.1 represents the budgeted funding versus the expenditures to-date for the overall PTC Program. Figure 6.1: PTC Program Budgeted versus Expended NCTD PTC Monthly Report Page 35 of 37

39 Table 6.1 summarizes the PTC Program expenditures. Table 6.1: PTC Program Expenditures Alternative Cost Code Original FRA Budget Projected Costs Current Budget Proposed Budget Difference (increase) decrease Incurred Costs to Date Open Encumbrances Total Incurred & Encumbered Available Budget Pre Award $ 4,009,524 $ 987,917 $ 4,608,367 $ 5,063,042 $ (454,675) $ 4,075,125 $ 987,917 $ 5,063,042 $ Post Award $ 83,283,445 $ 49,154,230 $ 82,684,602 $ 82,229,927 $ 454,675 $ 33,075,697 $ 28,565,204 $ 61,640,901 $ 20,589,026 Phase 1: System Development $ 7,949,248 $ $ 7,949,248 $ 7,949,248 $ $ 7,949,248 $ $ 7,949,248 $ Phase $ 30,270,426 $ 21,915,197 $ 25,879,840 $ 33,089,554 $ (7,209,714) $ 11,174,357 $ 18,305,113 $ 29,479,470 $ 3,610,084 Non Prime Post Award Costs $ 28,821,212 $ 21,882,130 $ 37,790,418 $ 35,746,958 $ 2,043,460 $ 13,864,828 $ 10,237,494 $ 24,102,322 $ 11,644,636 OCC: Procurement, Installation, Testing, and Implementation $ 16,242,559 $ 5,356,903 $ 11,065,096 $ 5,444,167 $ 5,620,929 $ 87,264 $ 22,596 $ 109,860 $ 5,334,307 GRAND TOTAL $ 87,292,969 $ 50,142,147 $ 87,292,969 $ 87,292,969 $ $ 37,150,822 $ 29,553,121 $ 66,703,943 $ 20,589, Funding Sources The FRA and Prop 1A Discretionary funds comprise just over 55 percent of the overall PTC budget. Prop 1A Formula funds total 20 percent of the PTC program budget and Federal Section 5307 Formula Funds total comprise roughly 9 percent. A variety of sources make up the remaining 16 percent, with the largest component being Proposition 1B TSGP funds. Table 6.2 summarizes the PTC Program Funding. Table 6.2: PTC Program Funding Description Total Funding Federal Section 5307 Formula Funds $7,658, FRA $24,900, Prop 1A Discretionary $24,010, Prop 1A Formula $17,833, Prop 1B - PTMISEA $1,302, Prop 1B TSGP $5,757, Other State / Local Funding $3,641, TDA Article 4.0 $1,190, TransNet Major Corridor $1,000, Total $87,292, The FRA will be conducting a monitoring visit for the PTC Program on site on March 11 th. In preparation for the meeting, the FRA has transmitted seven checklists to be completed by the PTC Management Team in advance of the visit. NCTD PTC Monthly Report Page 36 of 37

40 7. PROJECT PHOTOS NCTD Purchase Order 13020: South COASTER Fiber On February 2 nd 2014, the following photos were taken during a pre-construction site walk of the South COASTER Fiber construction project to get an understanding of the work that will take place and identify potential challenges along the route: South COASTER Fiber Project pre-construction site walk; 24 strand fiber access to the signal house at CP Craven February 02, 2014 South COASTER Fiber Project pre-construction site walk; 24 strand and 72 strand fiber in pull box at CP Cardiff February 02, 2014 South COASTER Fiber Project pre-construction site walk; 24 strand fiber access to the signal building at CP Valley February 02, 2014 South COASTER Fiber Project pre-construction site walk; pull box with existing fiber without the new fiber for the PTC program Solana Beach February 02, 2014 NCTD PTC Monthly Report Page 37 of 37