PORT AUTHORITY OF ALLEGHENY COUNTY
REQUEST FOR PROPOSAL NO. 17-10
PROCUREMENT/REPLACEMENT OF AUTOMATIC
TRIP STOP SYSTEM FOR LIGHT RAIL VEHICLES
Vendor Sourcing Categories
ENGSC
LRVCOMM
LRVET
CONSEL
CONSSP
CONSTE
Engineering – Systems/Communications
LRV Communication Parts
LRV Electrical Parts
Construction – Electrical
Construction – Specialties
Construction – Telecommunications
May 2017
FTA PROJECT NO. PA-05-0079
The preparation of this document has been financed in part through a grant from the Federal Transit
Administration, U.S. Department of Transportation, under the Urban Mass Transportation Act of 1964, as
amended, for the Port Authority of Allegheny County, Pennsylvania.
Port Authority of Allegheny County
345 Sixth Avenue, Third Floor
Pittsburgh, Pennsylvania 15222-2527
Main Phone Number: (412) 566-5500
PORT AUTHORITY OF ALLEGHENY COUNTY
REQUEST FOR PROPOSAL NO. 17-10
PROCUREMENT/REPLACEMENT OF AUTOMATIC
TRIP STOP SYSTEM FOR LIGHT RAIL VEHICLES
Vendor Sourcing Categories
ENGSC
LRVCOMM
LRVET
CONSEL
CONSSP
CONSTE
Engineering – Systems/Communications
LRV Communication Parts
LRV Electrical Parts
Construction – Electrical
Construction – Specialties
Construction – Telecommunications
May 2017
FTA PROJECT NO. PA-05-0079
The preparation of this document has been financed in part through a grant from the Federal Transit
Administration, U.S. Department of Transportation, under the Urban Mass Transportation Act of 1964, as
amended, for the Port Authority of Allegheny County, Pennsylvania.
Port Authority of Allegheny County
345 Sixth Avenue, Third Floor
Pittsburgh, Pennsylvania 15222-2527
Main Phone Number: (412) 566-5500
LEGAL ADVERTISEMENT
Port Authority of Allegheny County
REQUEST FOR PROPOSAL NO. 17-10
Port Authority of Allegheny County is requesting proposals for the Procurement/Replacement of the
Automatic Trip Stop (ATS) System for the Light Rail Vehicles, including project management/
administration, testing, spare parts, options, and the delivery of software, data, manuals and drawings. The
work under the proposed Agreement consists of replacing the existing carborne and wayside inductive loop
based ATS equipment with a new and modern radio frequency identification (RFID) tag based ATS. This will
require modifications to the light rail vehicle fleet as well as all associated wayside signal locations for the
ATS. All light rail vehicles and wayside signal locations will require modification or replacement. All
modifications are required to take place while Port Authority continues to provide Revenue Service. The
replacement of the ATS shall accommodate maintaining the existing ATS system for Revenue Service while
the new ATS is being installed, and for dual mode operation where both systems are in service for a period of
time while the new ATS is being placed into service.
A copy of the RFP will be available on or after May 3, 2017, and can be obtained by registering at
the Port Authority ebusiness website: http://ebusiness.portauthority.org and following the directions listed
on the website. Please note that Proposers must register under the ebusiness category of ENGSC –
Engineering - Systems/Communications for this RFP. Proposers may also register in other categories for
any future RFPs issued by Port Authority. If you have specific questions regarding this RFP, please contact
Robert Sechler at (412) 566-5148.
A Pre-Proposal Conference and Site Visit for interested parties will be held at 9:30 AM prevailing
time, May 16, 2017 in the Port Authority of Allegheny County’s South Hills Village Rail Center Conference
Room, 1000 Village Drive, Pittsburgh, PA 1524.
Hard copy proposals must be both delivered to, and time stamped by a representative of the Purchasing
and Materials Management Department at or before 2:00 p.m., prevailing time June 21, 2017 at the Purchasing
and Materials Management Department, Port Authority of Allegheny County, 345 Sixth Avenue, Third Floor,
Pittsburgh, Pennsylvania, 15222-2527. Proposals received or time stamped in the Purchasing and Materials
Management Department after the advertised time for the submission of proposals shall be non-responsive and
therefore ineligible for award. Each Proposer shall be solely responsible for assuring that its proposal is timely
received and time stamped in accordance with the requirements herein.
This Project may be financed jointly by the County of Allegheny, the Commonwealth of Pennsylvania,
and the Federal Transit Administration (FTA) of the U.S. Department of Transportation (DOT). The proposal
process and the performance of the requested services will be in accordance with the guidelines and regulations
of the FTA "Third Party Contracting Guidelines", FTA Circular 4220.1F, as amended, and all other applicable
federal, state and local laws and regulations.
Port Authority of Allegheny County, in compliance with 49 C.F.R., Part 26, as amended, implements
positive affirmative action procedures to ensure that all Disadvantaged Business Enterprises have the maximum
opportunity to participate in the performance of contracts and subcontracts financed, in whole or in part, with
federal funds provided under the proposed Agreement. In this regard, all recipients or contractors shall take all
necessary and reasonable steps in accordance with 49 C.F.R., Part 26, to ensure that DBEs have the maximum
opportunity to compete for and perform contracts. Recipients and their contractors shall not discriminate on
the basis of race, color, creed, age, disability, national origin or sex in the award and performance of DOT
assisted contracts.
Port Authority of Allegheny County reserves the right to reject any or all proposals.
i
PROCUREMENT/REPLACEMENT OF AUTOMATIC TRIP STOP SYSTEM
FOR LIGHT RAIL VEHICLES
RFP NO. 17-10
TABLE OF CONTENTS
1
REQUEST FOR PROPOSALS ............................................................................................................ 1
1.1
INTRODUCTION ........................................................................................................................ 1
1.2
ABBREVIATIONS AND DEFINITIONS ................................................................................... 2
ACRONYMS AND ABBREVIATIONS ............................................................................. 2
DEFINITIONS ...................................................................................................................... 6
1.3
PROPOSAL SUBMISSION SCHEDULE ................................................................................. 12
1.4
RFP AS EXCLUSIVE BASIS FOR PROPOSAL ...................................................................... 13
PROPOSER COMMUNICATIONS AND REQUESTS.................................................... 13
ADDENDUM TO RFP ....................................................................................................... 13
2
3
1.5
PROPOSERS AND IRREGULARITIES IN PROPOSALS ...................................................... 14
1.6
CONDITIONS, EXCEPTIONS, RESERVATIONS OR UNDERSTANDINGS ...................... 14
1.7
MODIFICATION OR WITHDRAWAL OF PROPOSALS ...................................................... 14
1.8
FORM OF AGREEMENT.......................................................................................................... 14
1.9
ADVERSE INTEREST LAW .................................................................................................... 14
PROPOSAL REQUIREMENTS ........................................................................................................ 15
2.1
GENERAL REQUIREMENTS .................................................................................................. 15
2.2
DBE REQUIREMENTS ............................................................................................................. 16
2.3
BUY AMERICA REQUIREMENTS ......................................................................................... 16
2.4
PROPOSAL BOOKLET............................................................................................................. 16
PROPOSAL SELECTION PROCESS ............................................................................................... 25
3.1
GENERAL .................................................................................................................................. 25
3.2
EVALUATION COMMITTEE .................................................................................................. 25
3.3
PROPOSAL EVALUATION CRITERIA .................................................................................. 25
3.4
EVALUATION PROCEDURES ................................................................................................ 26
3.5
FINALIZATION OF CONTRACT ............................................................................................ 28
3.6
CONTRACT AWARD ............................................................................................................... 28
3.7
FAILURE TO EXECUTE CONTRACT .................................................................................... 28
3.8
ACCEPTANCE/REJECTION OF PROPOSERS....................................................................... 28
ii
3.9
CANCELLATION OF PROCUREMENT ................................................................................. 28
3.10
AVAILABILITY OF FUNDS .................................................................................................... 29
3.11
PORT AUTHORITY PROTEST PROCEDURES ..................................................................... 29
3.12
SCOPE OF WORK ..................................................................................................................... 29
3.13
EXHIBITS/CONTRACT FORMS ............................................................................................. 29
EXHIBIT 1 .................................................................................................................................... 30
EXHIBIT 2 .................................................................................................................................... 42
EXHIBIT 3 .................................................................................................................................... 43
EXHIBIT 4 .................................................................................................................................... 45
EXHIBIT 5 .................................................................................................................................... 48
EXHIBIT 6 .................................................................................................................................... 49
EXHIBIT 7 .................................................................................................................................... 53
EXHIBIT 8 .................................................................................................................................... 54
EXHIBIT 9 .................................................................................................................................... 55
EXHIBIT 10 .................................................................................................................................. 56
EXHIBIT 11 ................................................................................................................................ 100
EXHIBIT 12 ................................................................................................................................ 102
EXHIBIT 13 ................................................................................................................................ 104
4
CONTRACT CONDITIONS AND INSTRUCTIONS .................................................................... 105
4.1
INTRODUCTION .................................................................................................................... 105
4.2
ABBREVIATIONS AND DEFINITIONS ............................................................................... 105
ACRONYMS AND ABBREVIATIONS ......................................................................... 105
DEFINITIONS .................................................................................................................. 109
4.3
AWARD OF AGREEMENT .................................................................................................... 115
4.4
EXECUTION OF CONTRACT ............................................................................................... 116
4.5
PERFORMANCE GUARANTEE/BOND ............................................................................... 116
4.6
CONTRACT DOCUMENTS ................................................................................................... 116
4.7
TAXES ...................................................................................................................................... 116
4.8
CONTRACT SERVICES ......................................................................................................... 116
4.9
SCHEDULE .............................................................................................................................. 117
4.10
TIME OF COMPLETION/LIQUIDATED DAMAGES .......................................................... 117
4.11
PAYMENT/CONTRACT SUM ............................................................................................... 118
4.12
CHANGES ................................................................................................................................ 118
4.13
PROPOSER’S RESPONSIBILITY .......................................................................................... 119
4.14
REPRESENTATIONS OF PROPOSER/CONTRACTOR ...................................................... 119
4.15
BUY AMERICA PROVISION ................................................................................................ 120
iii
4.16
CERTIFICATION/FORMS REQUIREMENTS ...................................................................... 121
4.17
COMMUNICATIONS.............................................................................................................. 121
4.18
"APPROVED EQUALS".......................................................................................................... 121
4.19
SUBLETTING OR ASSIGNMENT ......................................................................................... 121
4.20
BONDS AND WARRANTIES ................................................................................................ 121
4.21
INSPECTION ........................................................................................................................... 122
4.22
DAMAGE BY CONTRACTOR/DEFECTIVE WORK .......................................................... 123
4.23
ACCEPTANCE OF TITLE ...................................................................................................... 123
4.24
INTEREST OF MEMBERS OF, OR DELEGATES TO, CONGRESS .................................. 124
4.25
CIVIL RIGHTS REQUIREMENTS ......................................................................................... 124
4.26
AMERICANS WITH DISABILITIES ACT ............................................................................ 125
4.27 DISADVANTAGED BUSINESS ENTERPRISE/DIVERSE BUSINESS UTILIZATION
REQUIREMENTS ................................................................................................................................ 126
4.28 CONTRACT WORK HOURS AND SAFETY STANDARDS ACT/SAFETY AND
SECURITY ........................................................................................................................................... 127
4.29
SAMPLES................................................................................................................................. 140
4.30
INSURANCE ............................................................................................................................ 140
4.31
INDEMNIFICATION ............................................................................................................... 143
4.32
SUSPENSION OF WORK ....................................................................................................... 144
4.33
TERMINATION FOR DEFAULT ........................................................................................... 145
4.34
TERMINATION FOR CONVENIENCE OF PORT AUTHORITY ....................................... 146
4.35
RECORD RETENTION AND ACCESS ................................................................................. 148
4.36
STEEL PRODUCTS PROCUREMENT ACT ......................................................................... 149
4.37
ENVIRONMENTAL REQUIREMENTS ................................................................................ 149
CLEAN AIR ..................................................................................................................... 149
CLEAN WATER. ............................................................................................................. 149
4.38
PREFERENCE FOR RECYCLED PRODUCTS ..................................................................... 149
4.39
ENERGY CONSERVATION .................................................................................................. 149
4.40
CARGO PREFERENCE........................................................................................................... 150
4.41
FLY AMERICA........................................................................................................................ 150
4.42
FINANCIAL ASSISTANCE .................................................................................................... 150
4.43
GOVERNMENT OBLIGATIONS TO THIRD PARTIES ...................................................... 150
4.44
CHANGES IN LAW ................................................................................................................ 151
4.45
INCORPORATION OF TERMS.............................................................................................. 151
4.46
DEBARMENT AND SUSPENSION CERTIFICATION REQUIREMENTS. ....................... 151
4.47
DISPUTES ................................................................................................................................ 151
iv
5
4.48
CHOICE OF LAW.................................................................................................................... 152
4.49
PENNSYLVANIA RIGHT TO KNOW LAW ......................................................................... 152
4.50
PATENTS ................................................................................................................................. 152
4.51
DOCUMENTS, DATA AND COPYRIGHTED MATERIALS .............................................. 152
4.52
INDEPENDENT CONTRACTOR ........................................................................................... 153
4.53
VERIFICATION OF EMPLOYEES ........................................................................................ 154
4.54
FLOW DOWN .......................................................................................................................... 154
GENERAL REQUIREMENTS ........................................................................................................ 155
5.1
PROJECT SCHEDULE AND PAYMENT MILESTONES .................................................... 155
5.2
MILESTONE DESCRIPTIONS AND CRITERIA FOR COMPLETION /APPROVAL ...... 157
MILESTONE # 1 – 90 DAY SCHEDULE....................................................................... 157
MILESTONE # 2 - PROJECT SCHEDULE .................................................................... 157
MILESTONE # 3 - CONCEPTUAL DESIGN REVIEW ................................................ 157
MILESTONE # 4 - PRELIMINARY DESIGN REVIEW ............................................... 157
MILESTONE #5 – FINAL DESIGN REVIEW ............................................................... 157
MILESTONE #6 – BEGIN WAYSIDE INSTALLATION ............................................. 157
MILESTONE #7 – WAYSIDE INSTALLATION ONE THIRD (1/3) COMPLETE; .... 158
MILESTONE #8 – WAYSIDE INSTALLATION TWO THIRDS (2/3) COMPLETE; . 158
MILESTONE # 9 - CARBORNE FACTORY ACCEPTANCE TESTING COMPLETE
AND SAFETY CASE APPROVED................................................................................................. 158
MILESTONE # 10 - WAYSIDE INSTALLATION 100% COMPLETE ........................ 158
MILESTONE # 11 – FIRST SIEMENS 4200 SERIES LRV COMMISSIONED INTO
REVENUE SERVICE ...................................................................................................................... 158
MILESTONE # 12 – FIRST CAF 4300 SERIES LRV COMMISSIONED INTO
REVENUE SERVICE ...................................................................................................................... 159
MILESTONE # 13 – 1ST ADDITIONAL TEN (10) LRVS COMMISSIONED INTO
REVENUE SERVICE ...................................................................................................................... 159
MILESTONE # 14 – 2ND ADDITIONAL TEN (10) LRVS COMMISSIONED INTO
REVENUE SERVICE ...................................................................................................................... 159
MILESTONE # 15 – 3RD ADDITIONAL TEN (10) LRVS COMMISSIONED INTO
REVENUE SERVICE ...................................................................................................................... 159
MILESTONE # 16 – 4TH ADDITIONAL TEN (10) LRVS COMMISSIONED INTO
REVENUE SERVICE ...................................................................................................................... 160
MILESTONE # 17 – 5TH ADDITIONAL TEN (10) LRVS COMMISSIONED INTO
REVENUE SERVICE ...................................................................................................................... 160
MILESTONE # 18 – 6TH ADDITIONAL TEN (10) LRVS COMMISSIONED INTO
REVENUE SERVICE ...................................................................................................................... 160
MILESTONE # 19 – 7TH ADDITIONAL TEN (10) LRVS COMMISSIONED INTO
REVENUE SERVICE ...................................................................................................................... 160
v
MILESTONE # 20 - FINAL ELEVEN (11) LRVS COMMISSIONED INTO REVENUE
SERVICE .......................................................................................................................................... 160
MILESTONE # 21 – FINAL SAFETY CERTIFICATION OF NEW AUTOMATIC TRIP
STOP SYSTEM ................................................................................................................................ 161
MILESTONE # 22 REMOVAL OF EXISTING ATS WAYSIDE EQUIPMENT
BEGINS ........................................................................................................................................... 161
MILESTONE # 23 REMOVAL OF EXISTING ATS WAYSIDE EQUIPMENT
COMPLETE ..................................................................................................................................... 161
MILESTONE # 24 RELIABILITY DEMONSTRATION TEST AND FINAL
ACCEPTANCE ................................................................................................................................ 161
5.3
PROJECT CLOSEOUT ............................................................................................................ 162
GENERAL ........................................................................................................................ 162
SUBSTANTIAL COMPLETION..................................................................................... 162
FINAL ACCEPTANCE .................................................................................................... 163
5.4
PROJECT CONTROL .............................................................................................................. 163
5.5
WRITTEN COMMUNICATION REQUIREMENTS ............................................................. 163
TRANSMITTALS ............................................................................................................ 163
E-MAIL COMMUNICATIONS....................................................................................... 164
RECORD KEEPING ........................................................................................................ 164
5.6
MEETINGS .............................................................................................................................. 164
KICK-OFF MEETING ..................................................................................................... 164
TECHNICAL MEETINGS ............................................................................................... 164
PROGRESS MEETINGS ................................................................................................. 165
5.7
PROGRESS REPORTS ............................................................................................................ 165
5.8
DESIGN REVIEWS ................................................................................................................. 166
GENERAL ........................................................................................................................ 166
CONCEPTUAL DESIGN REVIEW (CDR) .................................................................... 167
PRELIMINARY DESIGN REVIEW (PDR) .................................................................... 167
FINAL DESIGN REVIEW (FDR) ................................................................................... 169
POST-FDR CHANGE CONTROL .................................................................................. 170
PRODUCTION, ASSEMBLY AND INSTALLATION PHASE .................................... 170
5.9
SCHEDULING REQUIREMENTS ......................................................................................... 170
GENERAL ........................................................................................................................ 170
90 DAY SCHEDULE ....................................................................................................... 171
PROJECT SCHEDULE .................................................................................................... 171
5.10
RECOVERY SCHEDULE ....................................................................................................... 173
5.11
QUALITY ASSURANCE ........................................................................................................ 173
vi
GENERAL ........................................................................................................................ 173
DEFECTIVE MATERIALS ............................................................................................. 175
PLANTS AND EQUIPMENT .......................................................................................... 175
CONFIGURATION MANAGEMENT ............................................................................ 176
ENGINEERING CHANGE PROPOSAL (ECP) PROCEDURE ..................................... 177
CLASSIFICATIONS OF ENGINEERING CHANGES .................................................. 177
5.12
TRAINING REQUIREMENTS ............................................................................................... 178
GENERAL ........................................................................................................................ 178
TRAINING OBJECTIVES ............................................................................................... 179
TRAINING AUDIENCE .................................................................................................. 179
TRAINING PROGRAM PLAN AND SCHEDULE ........................................................ 179
TRAINING COURSES .................................................................................................... 180
TRAINING GUIDES ........................................................................................................ 181
TRAINING FACILITIES AND EQUIPMENT: .............................................................. 182
SUBMITTALS ................................................................................................................. 182
5.13
MANUALS ............................................................................................................................... 182
GENERAL ........................................................................................................................ 182
MANUAL FORMAT ....................................................................................................... 182
CONTENTS OF MANUALS ........................................................................................... 183
MANUAL ORGANIZATION .......................................................................................... 184
SUBMITTALS ................................................................................................................. 185
5.14
TOOLS ...................................................................................................................................... 186
GENERAL ........................................................................................................................ 186
SCOPE .............................................................................................................................. 186
DIAGNOSTIC EQUIPMENT .......................................................................................... 186
BENCH TEST EQUIPMENT .......................................................................................... 186
SPECIAL TOOLS............................................................................................................. 187
SUBMITTALS ................................................................................................................. 187
5.15
PARTS AVAILABILITY & SPARES ..................................................................................... 187
SPARE PARTS LIST ....................................................................................................... 188
SPARE PARTS PROVISION .......................................................................................... 188
SPARE PART PRICING .................................................................................................. 189
SUBMITTALS ................................................................................................................. 189
5.16
WARRANTY REQUIREMENTS ............................................................................................ 189
5.17
PROJECT RECORD DOCUMENTS ....................................................................................... 190
vii
5.18
SUBMITTALS ......................................................................................................................... 191
GENERAL ........................................................................................................................ 191
SUBMITTAL REQUIREMENTS .................................................................................... 192
DOCUMENT SUBMITTALS .......................................................................................... 193
DRAWING SUBMITTALS ............................................................................................. 194
PRODUCT DATA AND SAMPLES ............................................................................... 195
SUBMITTAL REVIEW PROCESS ................................................................................. 195
5.19
6
PERSONNEL REQUIREMENTS ............................................................................................ 196
TECHNICAL REQUIREMENTS .................................................................................................... 198
6.1
BRIEF DESCRIPTION OF THE WORK ................................................................................ 198
6.2
CONDITIONS AFFECTING THE WORK ............................................................................. 198
6.3
WORK TO BE PERFORMED BY CONTRACTOR .............................................................. 199
6.4
WORK TO BE PERFORMED BY PORT AUTHORITY ....................................................... 202
6.5
EXISTING SYSTEM ............................................................................................................... 202
GENERAL ........................................................................................................................ 202
EXISTING ATS DESCRIPTION ..................................................................................... 202
MODES OF OPERATION FOR EXISTING LRT SYSTEM.......................................... 203
EXISTING TRAIN CONTROL AND SIGNAL SYSTEM ............................................. 203
6.6
CONCEPTUAL DESCRIPTION OF RFID-BASED ATS ...................................................... 209
6.7
SYSTEM REQUIREMENTS ................................................................................................... 209
SYSTEM REQUIREMENTS ........................................................................................... 209
PERFORMANCE REQUIREMENTS ............................................................................. 211
OPERATING REQUIREMENTS .................................................................................... 212
FUNCTIONAL REQUIREMENTS ................................................................................. 216
DRIVER’S PANEL DISPLAY ........................................................................................ 218
EVENT LOGGING AND DIAGNOSTICS ..................................................................... 219
REFERENCE STANDARDS ........................................................................................... 220
SUBMITTALS ................................................................................................................. 223
6.8
WAYSIDE SUBSYSTEM REQUIREMENTS ........................................................................ 224
GENERAL ........................................................................................................................ 224
WORK SCOPE ................................................................................................................. 224
RFID TAG REQUIREMENTS ........................................................................................ 225
INSTALLATION REQUIREMENTS .............................................................................. 227
SUBMITTALS ................................................................................................................. 227
6.9
CARBORNE EQUIPMENT/ SUBSYSTEM REQUIREMENTS ........................................... 227
GENERAL ........................................................................................................................ 227
viii
WORK SCOPE ................................................................................................................. 228
EXISTING FLEET ........................................................................................................... 229
CARBORNE ATS EQUIPMENT REQUIREMENTS .................................................... 229
REPLACEMENT ATS RELAYS .................................................................................... 230
CARBORNE CABLE AND WIRING REQUIREMENTS.............................................. 231
WIRE AND TERMINAL MARKING ............................................................................. 232
INSTALLATION REQUIREMENTS .............................................................................. 233
SUBMITTALS ................................................................................................................. 233
6.10
SOFTWARE REQUIREMENTS ............................................................................................. 233
GENERAL ........................................................................................................................ 233
SOFTWARE DEVELOPMENT METHODOLOGY AND DOCUMENTATION
REQUIREMENTS ............................................................................................................................ 234
SOFTWARE DESIGN REQUIREMENTS ...................................................................... 234
SOFTWARE QUALITY ASSURANCE .......................................................................... 235
SOFTWARE SAFETY ..................................................................................................... 236
SOFTWARE PLANNING AND MANAGEMENT ........................................................ 236
SOFTWARE DEVELOPMENT LIFE CYCLE ............................................................... 236
6.11
HARDWARE REQUIREMENTS ............................................................................................ 240
GENERAL HARDWARE REQUIREMENTS ................................................................ 240
ACCESSIBILITY ............................................................................................................. 240
MODULAR DESIGN FOR CARBORNE EQUIPMENT ............................................... 241
SYSTEM PRODUCT IDENTIFICATION ...................................................................... 241
WAYSIDE JUNCTION BOXES...................................................................................... 242
ISOLATION AND REGULATION ................................................................................. 243
ELECTRICAL AND ELECTRONIC PRODUCTS ......................................................... 243
WAYSIDE CABLE REQUIREMENTS .......................................................................... 244
LOCKS AND KEYS ........................................................................................................ 249
CONDUITS .................................................................................................................. 249
RIGID STEEL CONDUIT............................................................................................ 250
CONDUIT EXPANSION FITTINGS .......................................................................... 250
PVC CONDUIT ............................................................................................................ 250
EXCAVATION AND BACKFiLL............................................................................... 251
CONNECTION TO EXISTING CONDUIT ................................................................ 252
DEPTH OF COVER ..................................................................................................... 252
ix
EMBEDDED CONDUIT ............................................................................................. 252
SUBMITTALS.............................................................................................................. 252
6.12
ENVIRONMENTAL REQUIREMENTS ................................................................................ 252
GENERAL ........................................................................................................................ 252
CLASSES OF ENVIRONMENT ..................................................................................... 253
WAYSIDE ENVIRONMENTAL REQUIREMENTS ..................................................... 253
CARBORNE ENVIRONMENTAL REQUIREMENTS.................................................. 254
ENVIRONMENTAL CONTROL .................................................................................... 254
PLANNING ...................................................................................................................... 254
TESTING .......................................................................................................................... 255
SUBMITTALS ................................................................................................................. 255
6.13
SYSTEMS ENGINEERING..................................................................................................... 255
SYSTEMS ENGINEERING LIFECYCLE ...................................................................... 255
LEAD SYSTEMS ENGINEER ........................................................................................ 255
SUBMITTALS ................................................................................................................. 256
6.14
SYSTEM DEMONSTRATION ............................................................................................... 257
GENERAL ........................................................................................................................ 257
SYSTEM DEMONSTRATION AREA ............................................................................ 258
SUBMITTALS ................................................................................................................. 259
6.15
TESTING AND COMMISSIONING ....................................................................................... 259
TESTING AND COMMISSIONING LIFECYCLE ........................................................ 259
ADMINISTRATION ........................................................................................................ 259
LEAD SYSTEM VERIFICATION AND VALIDATION ENGINEER .......................... 260
QUALITY ASSURANCE ................................................................................................ 260
INSPECTION ................................................................................................................... 261
TEST PLANNING AND REPORTING ........................................................................... 261
REPORTING AND RESOLUTION OF TEST FAILURES ............................................ 262
RETESTS .......................................................................................................................... 263
REGRESSION TESTING ............................................................................................ 263
CONTRACTOR SUPPORT FOR ATS FIELD TESTING .......................................... 263
TEST PROCEDURES .................................................................................................. 264
TEST REPORTS........................................................................................................... 265
TEST NOTIFICATION AND REQUIREMENTS ...................................................... 265
ATS INTEGRATION TESTING ................................................................................. 265
ATS FACTORY TESTING .......................................................................................... 266
FACTORY ACCEPTANCE TESTS ............................................................................ 267
x
SIMULATED OPERATIONAL TESTS ...................................................................... 268
WIRING VERIFICATION ........................................................................................... 268
CIRCUIT BREAKDOWN TEST ................................................................................. 268
ATS FIELD TESTING ................................................................................................. 268
FIELD INSTALLATION AND POST-INSTALLATION TESTS .............................. 268
CABLE INSULATION RESISTANCE ....................................................................... 269
VERIFICATION OF FIELD WIRING ........................................................................ 269
VEHICLE POST INSTALLATION TESTS ................................................................ 270
INTEGRATED SYSTEMS TESTS .............................................................................. 270
ELECTROMAGNETIC COMPATIBILITY TESTS ................................................... 270
PROCEDURE VERIFICATION TESTS ..................................................................... 271
COMMISSIONING TESTS ......................................................................................... 271
CUTOVER PLAN ........................................................................................................ 272
INSTALLATION MANAGER .................................................................................... 273
ON-SITE SUPPORT..................................................................................................... 273
SUBMITTALS.............................................................................................................. 274
6.16
SYSTEMS ASSURANCE ........................................................................................................ 275
REQUIREMENTS ............................................................................................................ 275
LEAD SYSTEMS ASSURANCE ENGINEER ............................................................... 276
RISK MATRIX ................................................................................................................. 276
SYSTEMS ASSURANCE PLAN (SAP).......................................................................... 276
SAFETY PROGRAM PLAN (SPP) ................................................................................. 277
SAFETY ANALYSIS ....................................................................................................... 278
PRELIMINARY HAZARD ANALYSIS ......................................................................... 279
SYSTEM HAZARD ANALYSIS .................................................................................... 279
SUBSYSTEM HAZARD ANALYSIS ............................................................................. 279
OPERATING AND SUPPORT HAZARD ANALYSIS.............................................. 279
FAILURE MODES, EFFECTS AND CRITICALITY ANALYSIS ............................ 280
FAULT TREE ANALYSIS .......................................................................................... 281
HAZARD LOG ............................................................................................................. 281
SAFETY CASE ............................................................................................................ 281
CERTIFIABLE ITEMS LIST ....................................................................................... 281
SAFETY CERTIFICATION ........................................................................................ 282
SOFTWARE ASSURANCE PLAN ............................................................................. 282
SAFETY REQUIREMENTS SPECIFICATION ......................................................... 283
RELIABILITY PROGRAM ......................................................................................... 283
xi
RELIABILITY ANALYSIS ......................................................................................... 283
RELIABILITY DEMONSTRATION TEST PLAN..................................................... 284
RELIABILITY DEMONSTRATION TEST ................................................................ 284
MAINTAINABILITY PROGRAM .............................................................................. 284
MAINTAINABILITY ANALYSIS .............................................................................. 285
AVAILABILITY ANALYSIS ..................................................................................... 285
FAILURE REPORTS ................................................................................................... 285
RELIABILITY AND AVAILABILITY MONITORING ............................................ 285
SUBMITTALS.............................................................................................................. 286
6.17
EXISTING ATS REMOVAL ................................................................................................... 287
SITE CONDITIONS ......................................................................................................... 287
EXECUTION .................................................................................................................... 287
PROTECTION .................................................................................................................. 287
PREPARATION ............................................................................................................... 288
REMOVAL OF BURIED CABLES ................................................................................. 288
DISPOSAL OF MATERIAL OUTSIDE THE SITE........................................................ 288
SUBMITTALS ................................................................................................................. 288
7
OPTIONAL SERVICES ................................................................................................................... 290
7.1
OPTION 1 – SPEED SUPERVISION ...................................................................................... 290
7.2
OPTION 2 – ENHANCED DRIVER’S PANEL ...................................................................... 293
xii
PROCUREMENT/ REPLACEMENT OF AUTOMATIC TRIP STOP SYSTEM
FOR LIGHT RAIL VEHICLES
RFP NO. 17-10
TABLE OF CONTENTS - APPENDICES
Appendix A – Preliminary Document Requirements List
Appendix B – ATS Vehicle Interface Control Document (ICD)*
Appendix C – Reference Drawings (provided for informational purposes only)*
1. Wayside Reference Drawings
2. Carborne Reference Drawings
Appendix D – Technical References*
Reference 1 – Operator’s Manual Light Rail Vehicle
Reference 2 – Operator’s Training Course – Student Guide – New Light Rail Vehicles
Reference 3 – Operator’s Training Course – Instructor Guide – New Light Rail Vehicles
Reference 4 – Lock Out/Tag Out Information
Reference 5 – CAD and Drawing Standards Manual
Reference 6 – Signage and Information Design Standards Manual
Reference 7 – Chapter 2, Vehicle Clearances – North Shore Connector Manual of Design Criteria
Reference 8 – Existing ATS System Manual
Reference 9 – Existing ATS System Manual Drawings, Part 1
Reference 10 – Existing ATS System Manual Drawings, Part 2
Reference 11 – Standard Operating Procedures – 600.2, 600.3, 600.11, 600.12
Reference 12 – Track Entry Training Program Manual
*These documents are safety and security sensitive. Accordingly, the documents shall only be made
available in an encrypted format to authorized users through LockLizard.
xiii
1
REQUEST FOR PROPOSALS
1.1
INTRODUCTION
Port Authority of Allegheny County (Port Authority) intends to enter into an Agreement for the Procurement/
Replacement of Automatic Trip Stop System (herein referred to as ATS) for its light rail vehicles, which consists of
replacing the existing rolling stock / carborne and wayside inductive loop based ATS equipment with a new and
modern radio frequency identification (RFID) tag based ATS.
The existing ATS is over 30 years old. The technology is outdated and support in terms of replacement parts is
becoming increasingly difficult to obtain. Port Authority has been experiencing numerous false trips due to
interference with the ATS caused by EMI introduced by the new light rail vehicles provided by Construcciones y
Auxiliar de Ferrocarriles (CAF). While this is not unsafe, this condition causes unnecessary disruptions to Port
Authority’s operations.
Port Authority wishes to replace the existing ATS with a new, more modern technology. This will require
modifications to the light rail vehicle fleet as well as all associated wayside signal locations for the ATS. All light
rail vehicles and wayside signal locations will require modification or replacement. All modifications are required
to take place while Port Authority continues to provide Revenue Service. The replacement of the ATS shall
accommodate maintaining the existing system for Revenue Service while the new ATS is being installed and for
dual mode operation where both are in service for a period of time while the new ATS is being placed into service.
Port Authority is requesting Proposals for a RFID tag based ATS, which includes, but is not limited to, rolling
stock, carborne and wayside equipment and optional services.
The rolling stock / carborne equipment includes, but is not limited to, supply and installation of hardware including,
antenna, tag interrogator, on-board microprocessor based unit, Driver’s Panel and all associated hardware
(connectors, cable and wiring) and software. The wayside equipment includes, but is not limited to, supply and
installation of hardware (connectors, RFID tags, junction boxes, cable and wiring, mounting hardware, etc.)
required for installing and interconnecting the RFID tags with the control circuitry.
The Agreement includes project management and control, quality assurance, training, warranty and spare parts.
This RFP contains all of the information necessary to prepare and submit a Proposal. Proposers are advised to
completely review the RFP and explicitly follow the instructions herein regarding the submission of a Proposal.
Each Proposal shall comply with the requirements of the RFP as stated herein and all applicable Federal, state and
local laws and shall be executed by an individual legally authorized to bind the Proposer to an agreement.
Available for this RFP are encrypted documents containing drawings and other information pertaining to the
existing LRT signal system. These documents, which include the documents listed in the “Table of Contents –
Appendices,” except Appendix A, are in a ZIP file at https://www.portauthority.org/files/Procurement/RFP 17-10attachments.zip, which is protected with LockLizard Safeguard PDF Security. To obtain a license file to decrypt
and view the contents, please contact Catherine Terrill of Port Authority at the following email address:
cterrill@portauthority.org, or by phone at (412) 566-5188. The email request must contain the name and address of
the requesting entity, the preferred contact’s email address, and the entity’s principal making the request. An email
will be sent from Port Authority to the requesting entity with instructions on how to download the free LockLizard
Secure PDF File Viewer, as well as, a link to download the requestor’s personal security license. The drawings and
other information are solely for the purpose of providing Proposers with relevant information pertaining to the RFP.
Proposers shall, and agree to, treat all such documents as confidential, shall limit their use of said documents solely
to responding to the RFP and performing the Contract Services, and shall not use for any other purpose or
distribute, copy, or post said documents to any other website or information repository absent the prior written
consent and approval of Port Authority. All Proposers, except the Contractor (if any), shall promptly return all
such information to Port Authority on the conclusion of the RFP process and shall not maintain any copies.
1
1.2
ABBREVIATIONS AND DEFINITIONS
As used in this RFP and the Contract Documents, the following acronyms, abbreviations and terms shall have the
meaning assigned to them below unless otherwise expressly stated.
ACRONYMS AND ABBREVIATIONS
AAR
Association of American Railroads
AASHTO
American Association of State Highway and Transportation Officials
ABS
Automatic Block Signaling
AC
Alternating Current
ADA
Americans with Disabilities Act
AF
Audio Frequency
ANSI
American National Standards Institute
APTA
American Public Transportation Association
AREMA
American Railway Engineering and Maintenance-of-Way Association
ASTM
American Society for Testing and Materials
ATP
Automatic Train Protection
ATS
Automatic Trip Stop System
AWG
American Wire Gauge
BAFO
Best and Final Offer
BOPs
Book of Plans
BTE
Bench Test Equipment
CAD
Computer Aided Design
CD
Compact Disc
CDL
Commercial Driver’s License
CDR
Conceptual Design Review
CENELEC
European Committee for Electrotechnical Standardization
CFR
Code of Federal Regulations
CI
Configuration Item
CIL
Certifiable Items List
CMP
Configuration Management Plan
COTS
Commercial Off the Shelf
CPM
Critical Path Method
2
CRC
Cyclic Redundancy Check
C&S
Communications and Signals
DBE
Disadvantaged Business Enterprise
DC
Direct Current
DVD
Digital Video Disc
ECP
Engineering Change Proposal
EMC
Electromagnetic Compatibility
EMI
Electromagnetic Interference
EPR
Ethylene-Propylene Rubber
FAT
Factory Acceptance Testing
FDR
Final Design Review
FMECA
Failure Modes Effects and Criticality Analysis
FRA
Federal Railroad Administration
FTA
Federal Transit Administration, United States Department of
Transportation
FTP
File Transfer Protocol
GT
Grade Time or Grade Timing
HTML
Hyper Text Markup Language
ICEA
Insulated Cable Engineers Association
ICD
Interface Control Document
ID
Identification
IEC
International Electro-technical Commission
IEEE
Institute of Electrical & Electronic Engineers
I/O
Input / Output
IRJ
Insulated Rail Joint
ISO
International Standards Organization
kHz
Kilohertz
LRT
Light Rail Transit
LLRU
Lowest Line Replaceable Unit
LRV
Light Rail Vehicle
LSZH
Low Smoke Zero Halogen
3
MIL
US Military
MIS
Management Information System
MPT
Maintenance and Protection of Traffic Plan
MTBF
Mean Time Between Failures
MTTHE
Mean Time To Hazardous Event
MTBSF
Mean Time Between Service Failures
MTTRS
Mean Time to Restore to Service
MUTCD
Manual on Uniform Traffic Control Devices
NEMA
National Electrical Manufacturers Association
NEC
National Electrical Code
NESC
National Electrical Safety Code
NFPA
National Fire Protection Association
NTP
Notice to Proceed
O&SHA
Operating & Support Hazard Analysis
OCC
Operations Control Center
OCS
Overhead Contact System
OSHA
Occupational Safety and Health Administration
PA
Pennsylvania
PAAC
Port Authority of Allegheny County
PAUCP
Pennsylvania Unified Certification Program
PDF
Portable Document Format
PDR
Preliminary Design Review
PENNDOT
Pennsylvania Department of Transportation
PF
Power Frequency
PDRL
Preliminary Data Requirements List
PHA
Preliminary Hazard Analysis
PICO
Post Installation Check-Out
PE
Professional Engineer
PM
Project Manager
PTE
Portable Test Equipment
PVC
Poly Vinyl Chloride
4
QA
Quality Assurance
QC
Quality Control
RAM
Random Access Memory
RAMS
Reliability, Availability, Maintainability, Safety
RFI
Request for Information
RFID
Radio Frequency Identification
RFP
Request for Proposal
ROW
Right-of-Way
SAP
Systems Assurance Plan
SEMP
Systems Engineering Management Plan
SHA
System Hazard Analysis
SSHA
Subsystem Hazard Analysis
SDP
Software Development Plan
SOP
Standard Operating Procedure
SPMP
Software Project Management Plan
SVVP
Software Verification and Validation Plan
SQA
Software Quality Assurance
SRS
Software Requirements Descriptions
SDD
Software Design Descriptions
SCIL
Software Configuration Item List
SPP
Safety Program Plan
SQA
Software Quality Assurance
SQAP
Software Quality Assurance Plan
SCMP
Software Configuration Management Plan
SSHA
Subsystem Hazard Analysis
SSWP
Site Specific Work Plan
SVVP
Software Verification and Validation Plan
TCP
Traffic Control Plan
UML
Unified Modeling Language
V&V
Verification and Validation
VS
Trip Stick Relay
5
DEFINITIONS
“Addenda/Addendum” – An amendment made by Port Authority, in writing, to the RFP.
“Advertisement” - The public announcement requesting Proposals for the Contract.
“Agreement” - The written executed contract between Port Authority and the Contractor for the acquisition and
installation, if any.
“Approval” - The written approval, endorsement or authorization by Port Authority of a plan, procedure, action,
document, design or any parts thereof, undertaken, promulgated or developed by the Contractor in accordance with
the requirements of the Contract Documents.
“Automatic Trip Stop System” - The brake and train control system for the Vehicles to be procured and replaced
under the Agreement.
“Availability” - In respect of the ATS, the ratio of useful operating time to the total time, and is calculated using
the formula: Availability = MTBSF / (MTBSF + MTTRS).
“Baseline, Baselined, Baselining” - The act of freezing the schedule dates, using the baseline functionality in
Primavera or similar scheduling software.
“Baselined Schedule” – The approved Schedule against which progress will be measured.
“Best Industry Practice” - Using standards, practices, methods and procedures to the highest commercial
international standard, conforming to applicable laws and exercising that degree of skill and care, diligence,
prudence and foresight which would be expected from a highly skilled and knowledgeable person performing
similar work in the transit industry, including work related to design and installation of ATS.
“Business Day” - Any day other than: (a) a Saturday or Sunday and (b) a day on which Port Authority is not open
for business. Each Business Day will end at 3:00 p.m. on that day.
“Calendar Day” - Each and every day shown on a calendar.
“Certificate or Certification” - A written report or document asserting that Products, Subsystems and the System
meet the requirements of the Contract Documents. Except as allowed by the Contract Documents, each
Certification shall be executed by an officer of the Contractor.
“Change Order” - A written order issued by Port Authority to the Contractor, delineating changes in the
Agreement and establishing the basis of payment and time adjustments.
“Chargeable Failure” - A failure of the ATS to perform as specified, which results in a one-time or permanent
loss of function.
“Commissioning or Commission” - The execution of final tests necessary to confirm that the System (or part
thereof) is safe, fit-for-purpose, and compliant with the Contract Documents.
“Commissioning Plan” - The high-level document that defines the process and all applied controls that will be
implemented to commission the System.
“Compliance or Compliant” - The proper fulfillment of a requirement, including those listed in the Contract
Documents or any referenced standard, exactly as specified.
“Configuration Management Plan (CMP)” - Configuration management is a management process that includes
identifying, documenting, and auditing the functional and physical characteristics of an item, recording the
configuration and controlling the changes to the item and its documentation. The purpose is to provide a complete
audit trail of design decisions and modifications. CMP is the formal plan that defines the process for management
6
and control of the configuration of the ATS throughout its entire lifecycle to ensure the integrity of the design and
traceability of modifications, in terms of hardware, software and documentation.
“Contract” - See Agreement
“Contract Closeout” - The date on which all of the Work has been completed in full to the satisfaction of Port
Authority.
“Contract Documents” - The Advertisement, the RFP, the Agreement, bonds, all contract forms and exhibits,
Contract Conditions and Instructions to Proposers, General Requirements, Technical Requirements, Reference
Drawings, any attachments and appendices, the Notice to Proceed, change orders, and the Proposal, if any, upon
which the Contract is awarded to the extent that it is not inconsistent with the other Contract Documents.
“Contract Services” - All designs, engineering, manufacturing, deliveries, operations, systems, software,
materials, equipment and labor necessary to properly, timely and to the satisfaction of Port Authority design,
provide, supply and install the System and all required equipment, training, documents and all other items of work
indicated or referenced in, or required by, the Contract Documents, including all alterations, amendments or
extensions thereto made by change order, and all required tests and the completion of all necessary repairs and
modifications resulting from such tests and any warranties as required by the Contract Documents.
“Contract Sum” - The total fixed amount which Port Authority agrees to pay the Contractor, and the Contractor
agrees to accept from Port Authority as a complete discharge of Port Authority’s liability to make payments to the
Contractor for the Contractor’s proper, timely and satisfactory completion and performance of the Work, which
sum is set forth in the Agreement, subject to additions and deductions as provided in the Contract Documents.
“Contractor” - The Proposer selected by Port Authority, if any, for the award of the Agreement.
“Defect” - All or any part of the Work or any Product that: (a) is defective, deficient, inoperative, or fails to
perform any of its intended functions or provide any of its intended functionality; and/or (b) does not comply, in
whole or in part, with the requirements of the Contract Documents (including any submittal, standard, inspection,
test or approval required for the Work or otherwise referred to in the Contract Documents); regardless of the cause
of any of the foregoing and/or whether or not any of the foregoing are directly attributable to the acts or omissions
of the Contractor, or its Subcontractors or Suppliers.
“Deficiency List” - The formal record of identification and closeout of each Defect and Snag identified, by any
party, during the course of the Work.
“Design Management Plan” - The written document defining the process of executing the design of the System by
the Contractor.
“Design Review” - The review meeting convened at the end of each phase of the design to confirm completion of
that phase, provided that completion requires approval by Port Authority.
“Disadvantaged Business Enterprise (DBE)” - Disadvantaged Business Enterprise as defined in 49 C.F.R., Part
26, as amended.
“Diverse Business (DB)” - A business as defined in 74 Pa. C.S. § 303.
“Driver’s Panel” – The Vehicle operator’s interface within the cab to the ATS.
“Factory Acceptance Testing” - The process of testing the integrated Subsystems in a factory environment,
emulating or simulating the necessary field inputs and outputs, to fully demonstrate the successful implementation
of all required functionality prior to field installation, as described in, and in accordance with the Contract
Documents.
7
“Failure” - Any detected inability of material or equipment, or any portion thereof, to function or perform in
accordance with the Contract Documents.
“Final Acceptance” - The final acceptance of the Work, in writing, by Port Authority.
“Government” - The Government of the United States of America
“Handover Certificate” - A certificate compiled and signed by the Contractor, that signifies that the Contractor
has completed all stages successfully and sufficiently to permit the approval of:
- One (1) LRV into Revenue Service with carborne ATS Subsystem; or
- Wayside ATS Subsystem into Revenue Service.
The Handover Certificate is not considered to be executed until signed by an authorized representative of Port
Authority.
“Joint Venture” - A legal association of entities formed for the purpose of proposing on the RFP as a single
business entity.
“Mean Time to Hazardous Event” - means the average or expected time that a subsystem or component will
operate prior to the occurrence of an unsafe failure.
“Mean Time Between Failures” - A statistical calculation of the mean time that elapses between failures of a
Product, Subsystem or System. MTBF = 1/λ (Lambda) where λ = the failure rate of the Product, Subsystem or
System. This calculation applies to non-redundant portion of the ATS.
“Mean Time Between Service Failures” - A statistical calculation of the mean time that elapses between Service
Failures of a Product, Subsystem or System.
“Milestone Completion Dates” – The date at which payment milestones are scheduled to be satisfactorily
completed, in accordance with the Baselined Schedule, by the Contractor.
“Nonconformance” - Collectively, any non-conformities, inadequacies, errors, defects or failures relating to the
Work or any part thereof.
“Notice to Proceed” - The written notice issued by Port Authority to the Contractor directing the Contractor to
proceed with the Work.
“Off-Peak Periods” - The hours that are not Peak Periods, which include Saturday, Sunday, and Port Authority
holidays.
“Operations Control Center (OCC)” - Port Authority’s center of system operations for the rail and bus systems
located in the South Hills Village Rail Center.
“Peak Periods” - (a) The hours between 0600 and 0900, and (b) the hours between 1500 and 1800, in each case
from Monday to Friday excluding Port Authority holidays.
“Performance Bond” – The approved form of security furnished by the Contractor and its Surety as a guaranty to
execute the Work in accordance with the Contract Documents (Exhibit 11).
“Port Authority” - Port Authority of Allegheny County, 345 Sixth Avenue, Third Floor, Pittsburgh, Pennsylvania
15222-2527, acting by and through its authorized representatives.
“Product” - Any good, machinery, equipment, fixture or software (including any components of any of the
foregoing) forming part of the System or the Work, but does not include machinery and equipment used to prepare,
fabricate, convey or install the Work or to perform testing and commissioning.
8
“Product Data” - Illustrations, standard schedules, performance charts, instructions, brochures, diagrams and other
information furnished by the Contractor to illustrate a material, product , subsystem or system for some portion of
the Work.
“Professional Engineer” - An engineer having a current Professional Engineer’s license to practice engineering in
the Commonwealth of Pennsylvania.
“Project” - See Contract Services.
“Project Record Documents” – A copy of all documents and drawings approved, in writing, by Port Authority
that form the System description and design and allow the System to be purchased, installed, tested, commissioned,
operated and maintained. This includes all approved shop drawings, working drawings, data, samples, as-built
drawings and other documents required or necessary to be prepared and maintained by the Contractor during the
Work.
“Proposal” - A written submission, in response to the RFP, by a Proposer properly signed, dated and completed.
“Proposer” - An individual, firm, partnership, corporation, limited liability company (LLC), joint venture or
combination thereof which submits a Proposal to Port Authority, in response to the RFP, seeking to be selected as
the Contractor.
“Punch List” – A document outlining all Work that does not conform to the Contract Documents, allocating a
status to each item with inclusion of required closure action, and making allowance for queries and reports to
investigate trends and patterns.
“Quality Assurance” - All planned and systematic activities implemented within the Quality Assurance Program
and demonstrated as needed, to provide adequate confidence that the Work, and the processes by which it will be
performed or provided, will fulfill the contractual requirements for quality.
“Quality Plan” - The document setting forth the specific quality practices relevant to the Work, including the
sequence of Quality Assurance Program activities and the resources required with respect thereto.
“Quality Assurance Program” - The coordinated execution of applicable quality assurance and quality control
plans (including the Quality Plan) and activities for the Work.
“Quality Control” - A procedure or set of procedures intended to ensure that the Work adheres to a set of quality
criteria and fully meets the requirements of the Contract Documents.
“Record Documents” - The documents approved by Port Authority that form the System description and allow the
System to be installed, tested, commissioned, operated and maintained, and includes all documents described in the
Contract Documents.
“Reference Drawing/Document” - Reference drawings and documents provided for informational purposes only,
which indicate conditions that may be applicable to the Work, but must be verified by the Contractor.
“Revenue Service” – The operation or movement of vehicles for, or in anticipation of, the transportation of
passengers.
“Revise and Resubmit” - The status assigned to a Submittal when it is considered by Port Authority to not be
acceptable, requiring major, material updates such that dependent Work shall not commence and full resubmission
of the Submittal is required for approval.
“RFP” - The Request for Proposal Number 17-10.
“Safety Briefing” - A briefing provided prior to entering the Site, providing direction on the safety processes and
procedures to be applied, the emergency procedures and contacts, and the methods of communication.
9
“Safety Case” - The document, required prior to any commissioning, which summarizes all of the safety
engineering and management activities, resultant documented output and analysis findings, into a singular, cohesive
justification for the safety of the System appropriate to the identified safety criticality and in compliance with all
required safety targets.
“Safety Certification” - The process of formalizing the completion of the safety engineering and management
process, or a phase thereof, following approval of the Safety Case, either at or before the related commissioning,
confirming that all final safety tests are complete and successful, as evidenced by the Contractor’s System
Assurance Engineer and Port Authority signing a safety certificate.
“Schedule” - A detailed CPM schedule for the Work, prepared and maintained by the Contractor, that represents a
practical plan to complete the Work within a timeframe that meets the requirements of the Contract Documents.
“Scope of Services” - Sections 4, 5 and 6 of the RFP and as finalized, through negotiations, and incorporated into
the Agreement.
“Service Failure” - Any Chargeable Failure which causes or contributes to a delay of five (5) or more minutes to
one (1) or more Vehicle.
“Site” - The area where the installation, implementation, testing and commissioning, and maintenance for the Work
will take place.
“Slow Order” - A track section where the speed is restricted because of track defects or work activities. This
protection includes speed limit signs and may include flagmen.
“Snag” - Any issue requiring remedy that, in the sole opinion of Port Authority, does not materially affect the
functionality or performance of the Work or the System and as such, does not preclude approval.
“Software Requirements Specification” – A structured collection of the requirements (functions, performance,
design constraints and attributes) of the software and its external interfaces.
“Standards” - At a given time, those standards, specifications, manuals, codes, practices, methods and procedures
applicable to Best Industry Practice.
“State” - The Commonwealth of Pennsylvania.
“Subcontractor” - An individual, firm, partnership, corporation, joint venture or any combination thereof having a
direct contract with the Contractor or another Subcontractor to perform a part or parts of the Work including the
supply of design services or installation services.
“Submittal” - Any document, design, calculation, drawing (including Record Documents), diagram, sketch,
illustration, schedule, performance chart, brochure, specification, plan, progress photograph, report, manual
(including operating and maintenance manuals), model, sample, information, data, or other deliverable (whether in
a written, graphic, physical, electronic, magnetic, optical or other format) prepared by or for the Contractor which
illustrates details of a portion of the Work which is required by the Agreement, or is otherwise requested by Port
Authority.
“Substantial Completion”/“Substantially Complete” - Work is sufficiently complete in accordance with the
Contract Documents, and as determined by Port Authority in its sole discretion, so that it can be fully and properly
used for its intended purpose by Port Authority.
“Subsystem” - The portions of the ATS comprised of the hardware, software or Products (or combination thereof)
that work together to perform both the wayside and/or carborne functions of the System.
“Supplier” - Any individual, firm, partnership, corporation, joint venture or any combination thereof, having a
direct contract with the Contractor or a Subcontractor to supply Products or material, but not labor or services.
10
“Surety” - A corporate body which is bound with and to the Contractor for the satisfactory and timely performance
of the Work by the Contractor.
“System” - The new Automatic Trip Stop System as required by the Contract Documents.
“Systems Assurance” - The process of demonstrating and certifying compliance of a system with defined RAMS
criteria.
“Systems Assurance Plan” - The formal document that defines the process of demonstrating and certifying
compliance of the System with defined RAMS criteria, including the structure and independence of the
organization.
“System Demonstration” – A complete prototype of the carborne and wayside Subsystems, encompassing all
essential features of the System, installed and operated, to provide assurance that the System shall fulfill all the
functional and performance requirements set forth in, or required by, the Contract Documents.
“Systems Engineering” – A structured engineering methodology for evolving an operational need into a working
system which satisfies the operational need, by applying at least some of, but not limited to, the following: (1) topdown approach; (2) life-cycle orientation; (3) functional analysis; (4) requirements definition and allocation; (5)
interdisciplinary design; (6) verification; and (7) validation, so as to ensure the inter-operability and integration of
all operational, functional, physical and environmental interfaces.
“Systems Engineering Management Plan (SEMP)” - The formal document that defines the executing
organization and process of structured engineering that will be applied to the System, to rigorously define, specify,
implement, verify and validate the ATS in a controlled manner.
“Systems Integration” - The process of systematically combining components and equipment and products
(including Products and third party products) into subsystems, and subsystems (including Subsystems) into a fully
functioning system.
“Systems Integration Plan” - The formal document that defines the process of systematically combining the
Products into Subsystems, Subsystems into the fully functioning System, including the controls applied to manage
the interfaces with all adjacent systems.
“Testing and Commissioning” - The end-to-end process of verifying and validating operation of the Products, the
Subsystems and the System, as applicable, through a structured approach consistent with the System hierarchy,
such that the System can be used during Revenue Service.
“Time of Completion” - The number of Calendar Days set forth in the Contract Documents for full and
satisfactory completion of the Work.
“Training Program Plan” - The document that defines the training required to enable Port Authority to operate
and maintain the System, the breakdown of the training into modules, the intended methods of delivery, structure
and testing, and the required supporting infrastructure.
“Utility” - A basic service such as electricity, gas, water, fiber optic cable, telephone, or the company that provides
such a service.
“Validation or Validate or Validated” - The range of checks and tests carried out to determine if Products,
Subsystems, the System, and the interfaces between them, operate in a manner consistent with the objectives set
forth in the Contract Documents, either explicitly or implicitly.
“Vehicle” - A Port Authority rail passenger-carrying light rail vehicle specifically designed for operation on both
private right-of-way and on streets with mixed traffic.
11
“Verification or Verify or Verified” - The range of checks and tests carried out to determine if the System,
Subsystems, and interfaces between them, operate in accordance with the requirements of the Contract Documents.
“Verification and Validation Plan” - The formal document that defines the structure and independence of the
executing organization and the process of undertaking the verification and validation activities carried out to
determine if the Products, Subsystems, the System, and the interfaces between them, operate in accordance with the
requirements of the Contract Documents.
“Warranty Bond” - the approved form of security furnished by the Contractor and its Surety as a guaranty to
remedy, without cost to Port Authority, any defects in the Work which may arise or develop during the Warranty
Period (Exhibit 12).
“Warranty Period” - The period of two (2 years) after Final Acceptance in which the Contractor shall correct,
without delay or any charge to Port Authority, any failure or defect.
“Work” - See Contract Services.
“Work Zone” - A track section where activities for the Work takes place. Port Authority’s operating rules require
restricted operation in work zones to protect workers, LRVs, equipment and the public. This protection includes
slow orders, flagmen, and speed limit signs.
1.3
PROPOSAL SUBMISSION SCHEDULE
A.
A pre-proposal conference for interested parties will be held on the date and time as set forth in the
Advertisement. Questions generated at the pre-proposal conference will be answered, if necessary, in
writing by Port Authority. Prospective Proposers are reminded that any changes to the RFP shall be by
addendum only and nothing stated at the pre-proposal conference shall change or qualify, in any way, any
of the provisions of the RFP and shall not be binding on Port Authority.
B.
Immediately following the pre-proposal conference, a physical tour of pertinent examples of Port
Authority’s facilities will be conducted. Transportation for the tour will be provided by Port Authority.
Potential Proposers for this RFP who wish to attend the tour, must contact Robert Sechler at
rsechler@portauthority.org and indicate the number of attendees.
C.
Please note that the following will be required in order for participants to participate in the tour: safety
vests and appropriate rubber soled walking shoes. These items must be supplied by the participants.
D.
The tour will start at the South Hills Village Rail Center Maintenance Building located at 1000 Village
Drive, Pittsburgh, PA 15421. Upon entering the complex, stop at the Guardhouse (on the left), introduce
yourself and company, then drive to the right and around the large rail car storage building to the
employee parking lot. A Port Authority employee will meet you at the employee entrance to the building
and will escort you to the conference room where the pre-proposal conference will occur.
E.
Please note that Port Authority’s facilities are not open to the Proposers, except in the immediate public
area of passenger stations, and the facilities are not available to public vehicular traffic.
F.
Attendance at the pre-proposal conference and tour is recommended but not required. However, the preproposal conference and tour will not occur at any time other than the above designated time.
G.
Proposals shall be submitted on the date set forth in the Advertisement and must be received by the time
stipulated for receipt of Proposals. Proposals not received by that time and date shall not be considered by
Port Authority and will be returned to the Proposer.
12
1.4
RFP AS EXCLUSIVE BASIS FOR PROPOSAL
A.
The RFP represents the most comprehensive and definitive statement that Port Authority is able to make at
this time as to the requirements, terms and conditions for the proposed procurement. The RFP and any
subsequent written addendum shall serve as the sole basis upon which Proposers may submit a Proposal.
B.
Proposers are advised to completely review the RFP and explicitly follow the instructions herein regarding
the submission of a Proposal.
C.
Each Proposal shall comply with the requirements of the RFP as stated herein and all applicable Federal,
state and local laws and shall be executed by an individual legally authorized to bind the Proposer to a
contract.
D.
Any information or understanding, verbal or written, which is not contained either in the RFP, or in
subsequent written addendum to the RFP, shall not be considered by a Proposer in submitting its Proposal.
E.
If assistance is required to involve Disadvantaged Business Enterprises (DBEs), Proposers should contact
Port Authority's DBE Administrator, Ms. Cameil Williams, at (412) 566-5257 or by e-mail at
cwilliams@portauthority.org.
F.
Proposers should contact Port Authority's Professional Services Contract Specialist, Mr. Robert Sechler, at
(412) 566-5148 for any procedural questions concerning the RFP.
PROPOSER COMMUNICATIONS AND REQUESTS
A.
Other than procedural questions, only written questions or communications for the RFP will be considered
for possible response. No telephone inquiries will be honored. If any questions or communications
submitted necessitate a response, an addendum will be posted on ebusiness and mailed to all persons who
have received the RFP. Only written responses provided as addendum shall be official and all other forms
of communications with any director, officer, employee or agent of Port Authority shall not be binding
upon Port Authority. All questions relating to the RFP must be submitted as follows:
Via mail or fax:
Director of Purchasing and Materials Management
Port Authority of Allegheny County
345 Sixth Avenue, Third Floor
Pittsburgh, PA 15222-2527
Attention: Robert Sechler, Contract Specialist
Fax No.: (412) 566-5359
E-mail: rsechler@portauthority.org
B.
All such questions or communications and requests must be submitted by Proposers and received by Port
Authority no later than fourteen (14) Calendar Days before the due date for Proposals. Questions received
after that time may not receive any response from Port Authority.
C.
If it should appear to a prospective Proposer that the requirements of the RFP, or any matter relating to the
RFP, is vague, ambiguous or not sufficiently described or explained in the RFP or the Contract
Documents, or that any conflict or discrepancy exists between any portions thereof or with any Federal,
state, or local law, ordinance, rule, regulation, or other standard or requirement, then the Proposer shall
submit a written request for clarification to Port Authority within the time period specified above.
ADDENDUM TO RFP
A.
Port Authority reserves the right to amend the RFP at any time. Any amendments to, or interpretations of,
the RFP, shall be described in written addendum. The addendum will be available for this RFP through
Port Authority’s ebusiness system for all parties. All Proposers shall be responsible for checking Port
Authority’s ebusiness system for any addendums or notifications.
13
B.
Failure of any prospective Proposer to receive the notification or addendum shall not relieve a Proposer
from any obligation under its Proposal as submitted or under any requirement of the RFP, as amended by
the addendum. All addendum issued shall become part of the RFP.
C.
Each Proposer shall acknowledge the receipt of each addendum in its Proposal. Failure to acknowledge
receipt of an addendum in a Proposal may, at Port Authority’s sole option, disqualify the Proposal.
1.5
PROPOSERS AND IRREGULARITIES IN PROPOSALS
A.
Any individual, firm, partnership, corporation, LLC, joint venture or other entity able to meet the
requirements of the RFP is invited to submit a Proposal. Proposers shall be bound by the provisions
contained in the RFP, unless a waiver or deviation is formally issued via written addendum by Port
Authority.
B.
As part of the process leading to the selection, if any, of the Contractor, Port Authority may request
additions, modifications or clarifications to a Proposal. Port Authority will rely upon the information
submitted in a Proposal if the Agreement is awarded.
C.
Port Authority reserves the right to waive any minor irregularities in any Proposal submitted in response to
the RFP and to reject all Proposals at its sole discretion.
1.6
CONDITIONS, EXCEPTIONS, RESERVATIONS OR UNDERSTANDINGS
Proposals stating conditions, exceptions, reservations or understandings (hereinafter in this paragraph
“deviations”) relating to the RFP may be rejected by Port Authority in its sole discretion. Any and all
deviations must be explicitly, fully and separately stated in a Proposal, setting forth, at a minimum, the
specific reasons for each deviation so that it can be considered and, if appropriate, evaluated by Port
Authority. Any deviation found by Port Authority to be acceptable will be evaluated in accordance with
the appropriate evaluation criteria and procedures. The submission of deviations may result in the
Proposer receiving a less favorable evaluation than without the deviation.
1.7
MODIFICATION OR WITHDRAWAL OF PROPOSALS
A.
A modification of a Proposal already received by Port Authority will be accepted by Port Authority only if
the modification is executed by an individual legally authorized to bind the Proposer and received by Port
Authority prior to the due date for Proposals set forth in the Advertisement or is made with a BAFO. All
modifications shall be made in writing and submitted in the same form and manner as the original
Proposal.
B.
Prior to the due date for Proposals as set forth in the Advertisement, a Proposer may withdraw a Proposal
already received by Port Authority by submitting, in the same manner as the original Proposal, to Port
Authority a written request for withdrawal executed by an individual legally authorized to bind the
Proposer. By submitting a Proposal, and not properly withdrawing it prior to the due date for Proposals, a
Proposer agrees that it shall keep its Proposal open and shall not withdraw its Proposal for 180 days.
C.
This provision may not be utilized by a Proposer as a means to submit a late Proposal and, as such, does
not alter Port Authority’s right to reject a Proposal.
1.8
FORM OF AGREEMENT
The sample Agreement, which will be used if the Agreement is awarded, is attached as EXHIBIT 1.
1.9
ADVERSE INTEREST LAW
This RFP is subject to the Commonwealth of Pennsylvania Adverse Interest Law, 71 P.S. §776.1 et. seq.
14
2
PROPOSAL REQUIREMENTS
2.1
GENERAL REQUIREMENTS
A.
No later than the due date and time for Proposals set forth in the Advertisement, each Proposer shall
submit a letter of transmittal, and a separately sealed Proposal Booklet. Each Proposal shall be typed or
completed in ink and if erasures or other changes appear on the Proposal, each erasure or change must be
initiated by the person executing the Proposal. The Proposal shall be written in English and shall contain
all of the documents required to be submitted by the RFP and no other documents. The same
requirements shall apply to any BAFOs which may be requested and submitted.
B.
Proposals will only be accepted from a Proposer and not directly from any proposed subcontractor or
supplier. Therefore, a Proposer shall work in close cooperation with its proposed subcontractors and
suppliers.
C.
Each Proposal shall consist of three (3) separate parts:
Letter of Transmittal: One original and a copy bound in the Proposal Booklet. The letter of
transmittal shall be no greater than two (2) pages in length and shall contain the following:
The address and legal form of the Proposer. If the Proposer is a corporation, the Proposer shall
identify its state or country of incorporation. If the Proposer is an LLC, joint venture or
partnership, the Proposer shall identify the state or country under which laws it was formed;
The name, title, address, telephone and fax numbers and email address of an individual who is
authorized to execute the Proposal and bind the Proposer and to receive communications
regarding the RFP on behalf of the Proposer;
The signature of the individual authorized to act on behalf of and bind the Proposer;
A statement that the Proposal, and any BAFO, shall remain in effect and shall not be
withdrawn for 180 days after the due date for the Proposal or the BAFO;
A statement acknowledging receipt of each and every addendum (each of which shall be
separately listed) that Port Authority issued for the RFP; and
A statement that rescinds any confidential, proprietary or other restrictive language that may
impose any limitations on any material contained in the Proposal or on any other material
which may be provided to Port Authority pursuant to the RFP process. The Proposer shall
include the following statement in its letter of transmittal:
Proposer acknowledges the requirements set forth in Pennsylvania’s “Right-to-Know
Law,” 65 P.S. §§ 67.101, et seq. Accordingly, if the attached Proposal or any other
material provided to Port Authority pursuant to this RFP process contains any reference to
material being confidential, proprietary or restricted, in any manner, this letter of
transmittal officially advises Port Authority and acknowledges that the stated limitations
on such identified material are hereby rescinded and are null and void, to the extent that
Port Authority determines that it is required to disclose such materials pursuant to a valid
request for such information.
Proposal Booklet: The Proposal Booklet shall be a comprehensive, accurate and effective
presentation of the information required by Section 2.4 below. The Proposal Booklet shall
only contain the information required by Section 2.4.
Summary of Prices: The Summary of Prices shall include all information and address all
issues required by Section 2.4 below.
15
2.2
DBE REQUIREMENTS
A.
In connection with the performance of the Agreement, the Contractor shall cooperate with Port Authority
in meeting its commitments and goals with regard to the utilization of DBEs and DBs and the Contractor
shall use maximum efforts to ensure that DBEs and DBs have the maximum opportunity to participate in
the performance of the subcontracts for the Agreement.
B.
Port Authority’s intent is to maximize the utilization of all DBEs and DBs through Port Authority’s
Disadvantaged Business Enterprise Program.
C.
The goal for DBE/DB subcontractor participation in connection with the performance of the Agreement
shall be as set forth in the Certification of DBE Compliance (EXHIBIT 2) submitted with the Proposal
which is selected, if any, for award of the Agreement.
D.
The identified goal for DBE/DB subcontract participation in the Work is not the limit for DBE/DB
participation. Port Authority’s intention is to encourage maximum DBE/DB participation in all contracts.
DBEs and DBs are particularly invited to submit Proposals for the RFP, either as the Proposer or as part of
a joint venture.
E.
In its Proposal, the Proposer must not only identify DBEs/DBs, but also explain how they will be
integrated into the proposed plan for the Work. Inclusion of DBE/DB participation will be accounted for
in the evaluation process.
F.
DBEs identified by the Proposer in its Proposal must be certified as a DBE under the Pennsylvania
Unified Certification Program (“PA UCP Program”) to be eligible towards the DBE goal. Proposers are
encouraged to consider the utilization of DBE firms that are currently certified with the PA UCP Program,
which firms are identified in the directory maintained by the PA UCP. If the DBE being proposed for
participation is not currently certified with the PA UCP, or its certification has expired, the Proposer shall
direct the DBE to the Disadvantaged Business Enterprise—Uniform Certification Application to initiate
the certification review process.
2.3
BUY AMERICA REQUIREMENTS
A.
This procurement is subject to the Buy America requirements, including the rolling stock requirements, set
forth in 49 U.S.C. § 5323(j) and 49 C.F.R. Part 661, as amended, which provide that federal funds may not
be obligated unless steel, iron and manufactured products used in FTA-funded projects are produced in the
United States, except if an appropriate waiver has been granted by FTA or the product is subject to a
general waiver. General waivers are listed in 49 C.F.R. Part 661.7. These requirements extend to
Subcontractors and Suppliers at all tiers and should be included in all subcontracts.
B.
A Buy America Certificate (EXHIBIT 4, first page) must be properly completed and submitted with each
Proposal. Proposals that are not accompanied by properly completed Buy America certifications shall be
rejected as non-responsive.
2.4
PROPOSAL BOOKLET
A.
Each Proposer shall submit a Proposal Booklet, enclosed in a sealed container(s). The outside of the
container(s) shall have clearly indicated thereon the RFP title, the RFP number, Proposer’s name and
“Proposal Booklet.”
B.
Each Proposal Booklet must be complete, must specifically address all the requirements of subparagraph
A above and must demonstrate compliance with all of the requirements of the Contract Documents. The
Proposal Booklet shall also include an Appendix, which should be at the end of the Proposal Booklet and
include any information required by the RFP to be included in the Appendix.
C.
The Proposal Booklet shall be bound in three (3) ring binders without unnecessary frills, fancy bindings or
other decorative or extraneous materials. Pages should be numbered consecutively (beginning with Page
16
001) throughout the entire Proposal Booklet and organized in the following fashion using tabbed,
numbered separators for each section:
D.
Cover: containing RFP title, the Proposer’s name and “Proposal Booklet”;
Letter of Transmittal: A copy of the letter previously described;
Table of Contents;
Section 1 – Overview of Proposer;
Section 2 – Experience Record and Qualifications;
Section 3 – Organization, Project Work and Management Plan;
Section 4 – Technical Proposal(s)/Concept;
Section 5 – Summary of Prices; and
Appendix – The Appendix which shall only contain the materials that are required by the RFP to be
included in the Appendix.
All measurements shall be submitted in English units. Metric dimensions may be provided in parenthesis.
E.
The Proposal Booklet shall enable Port Authority to evaluate the Proposer and the Subcontractor and
Suppliers that the Proposer proposes to use for the Work.
F.
The requested information for the Proposal Booklet shall be set forth on 8.5 x 11 inch paper. A limited
number of 11 x 17 inch fold-out drawings are permitted. Promotional brochures are not to be included,
unless pertinent technical information is provided therein.
G.
The font size for all material submitted with the Proposal shall not be less than 10 pt.
H.
One original of the Proposal Booklet (hand signed) and fifteen (15) copies, bound in three (3) ring binders,
one (1) unbound copy (suitable for reproduction) and an electronic version in an Adobe PDF format shall
be provided by each Proposer.
I.
The Overview of Proposer section of the Proposal Booklet shall contain or comply with the following:
A concise description of the Proposer including organizational structure, subsidiary companies,
identification of principals or parent companies, length of time in business, office and
manufacturing locations and size and overall number of personnel by discipline. If the
Proposer is a joint venture, the Proposer shall furnish this information for each entity forming
the joint venture and clearly indicate the reason for the joint venture as it directly applies to the
Work. Proposer shall also provide a general description of its proposed Subcontractors.
The Proposer shall provide a statement as to the percentage of the Work that will be performed
by the Proposer and by any proposed Subcontractor. For purposes hereof, the Proposer shall
not include the Section 7 - OPTIONAL SERVICES, in its calculation of the percentages.
A requirement of the Contract Documents is that the Contractor shall maintain, during the
duration of the Contract, an agent in Allegheny County, Pennsylvania authorized to accept
notice and service of process on behalf of the Contractor and the Proposer shall so
acknowledge and agree.
Financial information of the Proposer (separate statements for each entity forming a joint
venture) which shall include: (i) audited financial statements that include balance sheets,
statements of income and retained earnings and statements of expenses and cash flow for the
last two (2) fiscal years, including notes to the financial statements; and (ii) if not
independently audited, then internally prepared financial statements, certified as true and
correct by the president and chief financial officer of the Proposer, together with credit
references or other financial documentation as may be required in order to portray the financial
soundness of the Proposer to Port Authority’s satisfaction. All such financial information shall
17
be prepared in accordance with United States Generally Accepted Accounting Principles. The
Proposer shall include the financial information requested in this section in the Appendix to the
Proposal Booklet.
The “Certification of Proposer Regarding Debarment Suspension and Other Responsibility
Matters” (EXHIBIT 5). The Proposer shall include the Certification in the Appendix to the
Proposal Booklet. A Proposal which does not include the Certification may be considered nonresponsive and ineligible for award of the Contract.
The “Certification Regarding Lobbying” (EXHIBIT 6) and a Disclosure form (if required).
The Proposer shall include the required Certification and Disclosure form in the Appendix to
the Proposal Booklet. A Proposal which does not include the Certification and any required
Disclosure may be considered non-responsive and ineligible for award of the Contract.
The Proposer’s Corporate Affirmative Action and Equal Opportunity Policy Statement. The
Proposer shall state the date of adoption of this Policy. The Proposer shall include the
requested Policy Statement in the Appendix to the Proposal Booklet.
The “Certification of DBE Compliance” (EXHIBIT 2). The Proposer shall include the
Certification in the Appendix to the Proposal Booklet. A Proposal which does not include the
Certification may be considered non-responsive and ineligible for award of the Contract.
The “Proposer/Subcontractor Data Form” (EXHIBIT 3). The Proposer shall complete the form
for itself and all its proposed Subcontractors.
The Buy America Certification (EXHIBIT 4, first page). The Proposer shall include the
Certificate in the Appendix to the Proposal Booklet. A Proposal which does not include the
Certification shall be considered non-responsive and ineligible for award of the Agreement.
A statement that the Proposer shall comply with the Drug and Alcohol Program requirements
set forth in the Contract Documents and submit the Drug and Alcohol Program, upon Port
Authority’s request, should Proposer be awarded the Agreement. An example USDOT/FTA
compliant drug and alcohol program is included for reference (EXHIBIT 10).
A statement that the bond(s) required by the Contract Documents can be obtained and evidence
thereof through a letter of commitment from an underwriter confirming that the Proposer can
be bonded for the requirements of the Contract Documents. See form of Performance Bond
(EXHIBIT 11) and form of Warranty Bond (EXHIBIT 12) to be utilized for the Agreement.
A letter commitment, signed by an officer of any parent company of the Proposer, having
authority to execute on behalf of said parent company, that the parent company will provide, as
requested by Port Authority, a financial guaranty evidenced by a letter of commitment.
If the Proposer is a joint venture, the Proposer shall include a copy of any written contract,
agreement or understanding which exists between the entities forming the joint venture in the
Appendix to the Proposal Booklet. If no written contract, agreement or understanding exists,
then the Proposer shall include, in the Appendix, a written statement explaining when the joint
venture was formed and how the joint venture will fulfill the requirements of the Contract
Documents which explanation shall fully discuss and identify the responsibility of each entity
forming the joint venture for performing the Work.
Each Proposer may also be required to submit additional financial information and other
information as may be requested by Port Authority.
Each of the certificates and other exhibits which are completed and submitted by a Proposer
shall be binding upon the Proposer, if any, accepted for award of the Agreement.
18
J.
The Experience Record and Qualifications section of the Proposal Booklet shall contain and comply with
the following:
A complete, concise and accurate description of the Proposer’s and its proposed
Subcontractors’ and Suppliers’ experience in providing design, engineering, installation and
other services similar to those required by, and described in, the Contract Documents,
especially those services involving rail or railway transit signal and/or trip stop systems, RFID
based technology and systems development and shall include, but not be limited to, a list of all
contracts, within the past five (5) years, for which such services were provided and/or work
was performed. This description shall be adequate to enable Port Authority to determine that
the Proposer and its proposed Subcontractors and Suppliers have sufficient design,
engineering, management and service personnel with requisite disciplines, licenses, skills,
experience and equipment to complete the requirements of the Contract Documents and can
satisfy any engineering, repair or service problems that may arise during the warranty periods.
The Proposer shall also identify for each proposed Subcontractor, the tasks they will perform,
the percentage of the Work to be performed by each, their qualifications to perform such
portion of the Work and the reason the tasks are to be subcontracted.
Particular emphasis should be placed on those projects performed by the Proposer’s and its
proposed Subcontractors’ and Suppliers’ personnel, offices and staff to be assigned to the
Work. The Proposer’s and its proposed Subcontractors’ and Suppliers’ qualifications and
ability to perform the Work should be clearly described.
The Experience Record and Qualifications section should only include work directly applicable
or similar to the Agreement, should be contract specific and must include the following
information for all such relevant work:
a. Name, address and telephone number of customer’s project manager or contracting officer;
b. The status of the contract and of the Proposer’s or its proposed Subcontractor’s or
Supplier’s work on the contract;
c. The Proposer’s or its proposed Subcontractor’s or Supplier’s specific involvement in the
contract;
d. The Proposer’s or its proposed Subcontractor’s or Supplier’s project manager and staff on
the identified projects who will be used by Proposer or its proposed Subcontractor or
Supplier to supervise, perform or support the Work;
e. The contract value of the identified projects and the Proposer’s or its proposed
Subcontractor’s or Supplier’s percentage of the work for the projects;
f.
Evidence of satisfactory performance and integrity on prior contracts and making
deliveries on time, meeting the specification and warranty provisions; and
g. A specific identification of any and all judgments, liens, defects history and warranty and
other claims which arose from such work and the steps which the Proposer took for
resolution, including client references.
If the Proposer is a joint venture, it shall furnish the above information for each entity forming
the joint venture. The above required information for proposed Subcontractors and Suppliers is
limited to subcontract or agreements for the Work which the Proposer anticipates will have a
value in excess of $100,000.
Authority may contact any or all firms listed by the Proposer regarding the quality of work,
timeliness of work and general overall services provided by the Proposer.
19
Each Proposer shall submit evidence that it:
a.
K.
Is an entity with a minimum of five (5) years continuous experience current to the
present date in designing, engineering and installing ATS systems and equipment and
providing services similar to those required by, and described in, the Contract
Documents. If the Proposer is a joint venture, it shall submit evidence that each entity
forming the joint venture has such experience;
b.
Has qualified and experienced supervisory-level personnel whom the Proposer shall
assign to the Work; and
c.
Has a record of bonding ability in the United States, continuous for five (5) years prior to
the submission of the Proposal. If a joint venture, all entities forming the joint venture
must comply.
The Proposer shall submit a detailed proposed Organization, Project Work and Management Plan to be
followed in the execution of the Work. The Proposer must therein demonstrate sufficient understanding of
the techniques required for Proposer's proper and timely implementation, completion and control of the
Work. At a minimum, the following items shall be discussed and/or included in the Organization, Project
Work and Management Plan section:
An organization chart showing key individuals and their departments. The chart shall include
all proposed Subcontractors and Suppliers and their key individuals.
The Organization, Project Work and Management Plan shall clearly identify the Project
Manager and key personnel associated with each task and for the entire period covered by the
Agreement. The Plan shall also describe the proposed involvement of DBE/DB Subcontractors
in performing the Work.
If the Proposer is a joint venture, the company or firm affiliation of each staff member must be
identified.
Project Work Plan
a.
b.
The Project Work Plan shall identify the Proposer’s plan and methodology for the
performance of the Work. The Project Work Plan shall include a detailed description of
the methodology for accomplishing required work tasks and their interrelationships plus
the Proposer’s approach to management and coordination with its Subcontractors.
Especially important is the Proposer’s methodology for allowing, during installation, full
LRT Revenue Service and concurrent operation of the existing ATS and the System.
Any substantive and/or procedural innovations used by the Proposer on similar projects
that are applicable or can be tailored to the Work should also be identified.
This Project Work Plan shall include a flow chart, which explains the sequencing and
interrelationships of the tasks graphically for all tasks for the Work. The Project Work
Plan flow chart shall be keyed to time and the necessary tasks.
A proposed Schedule for the Work, with key milestones and events emphasized. The proposed
Schedule shall reflect all of the base Work being completed by 1460 Days from the Notice to
Proceed. A Proposer offering earlier completion will be scored higher in regard thereto. The
proposed Schedule shall also include, at a minimum, design review(s) meetings, approval
cycle, first installation on the Vehicles, installation at wayside, testing, training and document
delivery periods. The Proposer shall identify the critical path.
A description of how the Proposer recommends avoiding or minimizing any schedule delays.
A description of the process and documentation to manage the Work and multi-party
communications between proposed Subcontractors and Suppliers. The Proposer shall clearly
20
describe the proposed role and detail interactions with all proposed Subcontractors and
Suppliers.
Evidence that the proposed System, Subsystems, Products, equipment and parts shall meet all
of the requirements in the Contract Documents.
Evidence sufficient to establish that the Proposer and proposed Subcontractors have adequate
personnel and facility resources available to perform the Work and all required warranties.
Using the format of Exhibit 13, resumes for members of the proposed management team and
senior technical/design people. Resumes shall be complete, concise and accurate, containing
information on education, background, related experience, accomplishments and other
pertinent information. All relevant job experience over the past ten (10) years including
position held, primary responsibilities and length of employment for each position. The
Proposer shall include the resumes in the Appendix.
A letter signed by the Proposer's President or Chief Executive Officer guaranteeing that the
identified members of the management team and key technical personnel identified shall be
assigned to the Work, unless their employment is terminated, through completion. Proposer
shall include the required letter in the Appendix.
A description of how the training program will be performed for the Work, which shall include
a description of the tasks to be accomplished, how scheduled to accomplish the tasks,
organizational responsibility and a list of specific deliverables. The Proposer shall also provide
a list of training programs that have been provided on similar projects.
L.
The Technical Proposal sections of the Proposal Booklet shall contain or comply with the following:
1. The Technical Proposal shall be clear and concise and fully and easily enable Port Authority to
evaluate compliance with the requirements of the Contract Documents and the design and the
appropriateness and reliability of the System, Subsystems, Products and equipment identified in the
Technical Proposal. Review and evaluation by Port Authority of a Technical Proposal shall not
relieve the Contractor, in any way, from its obligations to comply with the Contract Documents.
2. The Technical Proposal shall be organized and numbered as indicated below. Tabs shall be included
in each copy to separate each section.
a. Table of Contents;
b. Title Page;
c. Technical Narrative (items (a) through (n) as indicated in Subsection 4 below);
d. Past Experience (items (a) through (c) as indicated in Subsection 5 below);
e. Subcontractor and Supplier Data (items (a) and (b) as indicated in Subsection 6 below);
f. Service and Warranty Information (items (a) and (b) as indicated in Subsection 7 below);
and
g. Other information required to be included in the Technical Proposal by this subsection, but
which is not encompassed within (c) through (f) above.
3. The sections and subsections of the Technical Proposal shall be arranged so that they reflect the
format of the relevant Technical Specifications sections. Each section shall address each of the
requirements in order, and explain how each requirement is met by the proposed design. General
statements or overall descriptions may be used to supplement the material presented. The format,
style and integrated nature of each submittal shall reflect the fact that it is being submitted by the
Proposer rather than by a proposed Subcontractor or Supplier.
4. Technical Narrative - The Technical Proposal shall contain sufficient functional descriptions, data,
drawings and material properties to describe the System and all Subsystems and to demonstrate the
21
System and all proposed Subsystems, Products, equipment, services, support, management, testing
and system assurance requirements, as set forth in the Contract Documents, shall be met. The
Technical Proposal shall also establish that:
a.
The Proposer has a comprehensive understanding of the Contract Documents and of Port
Authority's physical, operating and maintenance environments as they pertain to the
System.
b.
The proposed System and all proposed Subsystems, Products and equipment are physically
compatible with the specifics of the Proposer's design.
c.
For each proposed major Product, which shall include, but not be limited to, RFID tags,
antennas, tag interrogators, on board microprocessor units, and Driver’s Panels, the
Proposer shall identify the source of such Product, including the Subcontractor or Supplier,
and their histories in producing the Product or similar equipment, including where used,
number of units used, years of use and client references.
d.
The proposed System and all proposed Subsystems, Products and equipment are
compatible with Port Authority’s LRT systems and maintenance facilities, equipment,
operating environment and practices, which will be a basis to review and approve the
System and Subsystems proposed in the Technical Proposal. All mechanical interfaces,
such as mounting, maintenance access, ventilation, etc. of all proposed Products, parts and
equipment are mutually compatible.
e.
If the Proposer proposes to use any Subsystems, Products or equipment, other than those
specifically identified in the Contract Documents and to seek approval as an “Approved
Equal,” then the Proposer shall specifically identify all such Subsystems, Products and
equipment.
f.
The Proposer has a spare parts procurement and distribution system sufficient to support
equipment maintenance without delays, and a service organization with skills, experience
and equipment sufficient to perform all warranty and service work.
g.
The proposed System and all proposed Subsystems, Products and equipment meet all
requirements of the Contract Documents, including, but not limited to, the maintenance
and warranty requirements.
h.
The Proposer has the ability to complete the System Demonstration, cutover and testing
required by the Contract Documents.
i.
The requirements of the Contract Documents shall be met using the proposed designs.
j.
The Proposer shall comply with Federal, state and local laws and regulations, including,
but not limited to, ADA requirements.
k.
The Proposer shall fully demonstrate the ability to meet or exceed reliability and
maintenance requirements, suitability of test equipment, quality of documents and the
effectiveness of any proposed training program.
l.
The Proposer has the capability to fully and properly handle the technical, financial and
other risks of the Project.
m.
The quality of the proposed training and operating manuals, and the effectiveness of its
proposed training program.
n.
The Proposer has the ability to meet or exceed all testing requirements in support of which
the following shall be provided in the Proposal:
i.
An outline of any baseline tests recommended in addition to those specified in the
Contract Documents.
22
ii.
A proposed master test plan describing the Proposer’s proposed approach for testing
the proposed number of persons to be dedicated to monitoring and enforcing the
proposed test plan.
iii.
A list of proposed tests for the Subsystems, Products and equipment that support the
scheduling requirements for the Agreement.
iv.
A proposed master inspection plan describing the Proposer’s proposed approach to
inspecting the Work and the proposed number of persons to be dedicated to monitoring
and enforcing the proposed plan.
v.
A proposed test and inspection procedure submittal plan to support the anticipated
testing and inspection dates, which complies with the scheduling requirements for the
Agreement.
5. Past Experience - The Technical Proposal shall describe and address:
a.
The experience of previous users of, and the test results of the proposed System and
Subsystems in transit service, which will be considered in reviewing the System and
Subsystems proposed in the Technical Proposal;
b.
Whether the Products and equipment are service-proven, or if non-service proven, whether
sufficient information is submitted to otherwise establish the capabilities to meet the
requirements of the Contract Documents, which will be a basis to review and approve the
Products and equipment proposed in the Technical Proposal.
c.
For each Subsystem or Product, the experience history of the Proposer and the proposed
Subcontractor or Supplier with similar Products and equipment shall be provided,
including the following:
i.
where used;
ii.
years of use; and
iii.
a reference, including individual’s name, address and telephone number at each
location where used.
6. Subcontractor and Supplier Data - The Technical Proposal shall include:
a.
Specific identification of all proposed Subcontractors and Suppliers of all Subsystems,
Products and equipment. A listing of the proposed Subcontractor’s and Supplier’s names,
addresses and telephone numbers shall be included, as well as a listing of other users of the
identical or similar equipment, in the Appendix to the Proposal Booklet. The listing shall
also include, for each proposed Subcontractor, the tasks each will perform, the percentage
of the Work to be performed by each, their qualifications to perform the tasks, and the
reason the tasks are proposed to be subcontracted;
b.
In addition to the other data required by the RFP to be provided for a proposed
Subcontractor or Supplier, the Proposer shall submit the name, address and location of the
manufacturing facility of each proposed Subcontractor and Supplier of a Subsystem or
Product.
7. Service and Warranty Information - The Technical Proposal shall include:
a.
The identification of a representative from the Proposer who will be responsible for
assisting Port Authority in regard to warranties, service and spare parts as well as the
identification of the location of the nearest distribution center which shall furnish a
complete supply of spare parts and components for the repair and maintenance of the
System.
b.
All warranty information over and above that required by the Contract Documents which
shall describe, in detail, the Proposer’s policy on warranties, service, workmanship and
material. The Proposer shall submit evidence of satisfactory performance and integrity on
23
M.
1.
2.
3.
4.
contracts including meeting warranty provisions. Any and all judgments, liens, defect
history and warranty and other claims shall be listed with the steps the Proposer took for
resolution and what was the ultimate resolution.
The Summary of Prices shall be furnished utilizing the form which follows as Exhibit 7, which form
must be completed in its entirety and a price must be provided for each line item.
The costs set forth in the Summary of Prices shall be fixed and the Contractor shall not receive any
increase to such prices, except as the result of a change as permitted by the Contract Documents.
The Proposer shall be solely liable for the payment of all sales, international, Federal, state, local
and other taxes and duties applicable to complete the Work.
With the Summary of Prices, the Proposer shall list items for consideration by Port Authority that
will result in a cost reduction for the items of Work covered by the Contract Documents. Such
items should be of the type that would result in a reduced cost while maintaining the required level
of quality without reducing the functionality or reliability of the System being proposed. The items
proposed may include, but not be limited to, risk mitigation, alternative payment plans, variations to
warranty clauses or other items. Items for consideration shall be individually listed on the “Form
for Cost Reduction Opportunities” (EXHIBIT 8) and should be included with the Summary of
Prices.
24
3
PROPOSAL SELECTION PROCESS
3.1
GENERAL
Proposals will be evaluated, negotiated, selected and any award made in accordance with the criteria and
procedures described below. The approach and procedures are those which are applicable to a
competitively negotiated procurement whereby Proposals are evaluated to determine which Proposal, if
any, is most advantageous to Port Authority. Discussions and negotiations may then be carried out with
Proposers determined to be reasonably susceptible of being selected for award of the Agreement after
which BAFOs may be requested. Port Authority, however, may select a Proposal for award without any
discussions or negotiations or request for any BAFOs. Subject to Port Authority's right to reject any or all
Proposals, the Proposer, if any, will be selected whose Proposal is found to be most advantageous to Port
Authority, based upon consideration of the criteria discussed below.
3.2
EVALUATION COMMITTEE
Port Authority will establish an Evaluation Committee for the RFP. The Evaluation Committee, which
may be composed of various subcommittees, will initially determine the responsiveness of each Proposal,
evaluate all Proposals, determine the responsibility of each Proposer, score the Proposals, conduct
meetings and assist in selecting the Proposer, if any, that may be awarded the Agreement.
3.3
PROPOSAL EVALUATION CRITERIA
A.
The following are the criteria by which Proposals from responsible Proposers will be reviewed and
evaluated for purposes of determining which is most advantageous for Port Authority and to make any
selection of a Proposal for potential award of the Agreement. Any exceptions, conditions, reservations or
understandings explicitly, fully and separately stated as a Proposal deviation and which does not cause
Port Authority to reject a Proposal will be evaluated according to the respective evaluation criteria and/or
sub-criteria which they affect.
B.
The criteria to be used in reviewing and evaluating the Proposals and used to establish a score for the
Proposals is as follows:
1.
2.
DBE Utilization: Each Proposal will be evaluated based upon the proposed use of DBEs by the
Proposer.
Experience Record and Qualifications: The following, as well as the other information identified
in Subsections 2.4 I-J above to be supplied by the Proposer, will be used to evaluate each
Proposer’s experience and qualifications to perform the Work:
a.
Sufficient financial strength and resources to finance the Work and complete the
Agreement in a satisfactory and timely manner as measured by:
i.
The Proposer’s supplied financial statements; and
ii.
Ability to secure required bond(s).
b.
Evidence that the Proposer has human and physical resources sufficient to perform the
Agreement and assure completion of the Work within the time specified in the Contract
Documents including: engineering, design, management and service organizations and
personnel with sufficient and requisite disciplines, licenses, skills, experience and
equipment to complete the Agreement as required and satisfy any engineering or service
problems that may arise during the warranty periods.
c.
Evidence of satisfactory experience, performance and integrity on similar contracts and
completing work and services on time, meeting specifications and warranty provisions,
parts availability and the steps the Proposer took to resolve any judgments, liens, reliability
defects and warranty and other claims.
25
d.
3.
4.
5.
6.
3.4
Evidence of sufficient capabilities to perform the Work which will include the Proposer’s
size and presence in the transportation industry, the Proposer’ commitment to further work
of this nature, and the Proposer’s ability to bring adequate people to staff the Work.
Organization, Project Work and Management Plan: The Proposal will be evaluated based on the
Proposer’s proposed approach to performing the Work, proposed Schedule and proposed quality
assurance and training plans and project team, as well as the other information identified in
Subsection 2.4 K above to be supplied by the Proposer.
Technical Proposal(s): The Technical Proposal will be evaluated, to determine the degree to which
performance requirements of the applicable Technical Specifications have been satisfied. The
evaluation will be based upon the required information for each of the Subsystems and other
information identified in Subsection 2.4 L above to be supplied by the Proposer.
Summary of Prices: The Proposal will be evaluated based on the information submitted as part of
the Summary of Prices as identified in Section 2.4 M above.
The information submitted for each criterion will be scored on a scale of zero to ten. The scores
for the various criteria will then be multiplied by the weighted factors set forth for the criteria on
the Proposal Evaluation Rating Sheet (EXHIBIT 9).
EVALUATION PROCEDURES
A.
Proposals will be reviewed for conformance with the instructions and requirements of the RFP. Proposals
that do not comply with the referenced instructions and requirements and do not include the required
information may be rejected as insufficient and will not be further considered. Port Authority reserves the
right to request a Proposer to provide any missing information and make corrections. Submittal of a
Proposal shall signify that the Proposer has accepted the whole of the Contract Documents, except such
conditions, exceptions, reservations or understanding explicitly, fully and separately stated in the Proposal.
Such conditions, exceptions, reservations or understanding which do not result in the rejection of a
Proposal are subject to evaluation under the criteria set forth in Section 3.3 above.
B.
Port Authority will select for award, if any, the highest ranked Proposal from a responsible Proposer,
qualified pursuant to the RFP, which does not render the procurement financially infeasible and is
determined to be the most advantageous to Port Authority based upon consideration of the Proposal and
the evaluation criteria set forth in Section 3.3 above.
C.
The following will be the steps for reviewing and evaluating the Proposals:
1.
2.
3.
Proposals will not be publicly opened. All Proposals and evaluations will be kept confidential
throughout the evaluation, negotiation and selection process, until award, if any, of the Agreement.
Proposals will be reviewed and evaluated by Port Authority’s Evaluation Committee to determine
the responsiveness of a Proposal to the requirements of the RFP s and the responsibility of a
Proposer. Any Proposals found not to be responsive, or Proposers whom Port Authority finds not
to be responsible, will not be further considered for award of the Agreement. Final determination
of the responsiveness of a Proposal will be made upon the basis of the Proposal. Final
determination of a Proposer’s responsibility will be made on the basis of the Proposal, any
information submitted upon Port Authority’s request, information submitted in a BAFO,
information resulting from Port Authority’s inquiry of Proposer’s references and Port Authority’s
knowledge and investigation of the Proposer. Port Authority’s determination in regard to the
responsiveness of a Proposal and the responsibility of a Proposer shall be final and binding on the
Proposers.
Each Proposal from a responsible Proposer found to be in compliance with the RFP requirements
will be evaluated in accordance with the criteria set forth in Section 3.3 above. The following are
the minimum requirements that must be met for a Proposal to be considered for award of the
Agreement:
26
a.
4.
5.
6.
7.
Evidence that the human and physical resources are sufficient to perform the Agreement
and assure completion of the Work within the time specified in the Contract Documents, to
include: design, engineering, management and service organizations and personnel with
sufficient and requisite disciplines, licenses, skills, experience, and equipment to complete
the Agreement as required and satisfy any design, engineering or service problems that
may arise during the warranty period.
b.
Evidence that Proposer is qualified.
c.
Initial review of Technical Proposal deviations to identify any items which would cause the
entire Proposal to be rejected.
d.
Required certifications.
e.
Sufficient financial strength, resources and capability to finance the Work and complete the
Agreement in a satisfactory and timely manner as measured by:
i.
Ability to secure required bond(s) as evidenced by a letter of commitment from an
underwriter confirming that the Proposer is capable of providing a bond(s) for the
required amount; and
ii.
Willingness of any parent company to provide the required financial guaranty
evidenced by a letter of commitment signed by an officer of any parent company
having the authority to execute the parent company guaranty.
f.
The Summary of Prices will be assessed for affordability and appropriateness.
g.
Evidence of satisfactory performance and integrity on contracts in performing work on
time, and meeting specifications and warranty provisions. Any and all judgments, liens,
defects history, and warranty and other claims shall be listed together with the steps
Proposer took for resolution. Information must include client references.
The evaluation will be undertaken (Preliminary Rating) utilizing the Proposal Evaluation Rating
Sheet (EXHIBIT 9).
After the Preliminary Rating, the responsible Proposers whose Proposals are determined by Port
Authority to still be reasonably susceptible of being selected for award of the Agreement may be
requested by Port Authority to respond, in writing, to certain questions. Each such Proposer may
also be invited for a private interview and discussion with Port Authority to discuss answers to
written or oral questions, to assure responsiveness of its Proposal and to discuss its Proposal. The
proposed Project Manager shall lead the interview presentation for the Proposer and other key
personnel shall attend.
In the event that any such Proposal contains conditions, exceptions, reservations or understandings
to any requirements of the Contract Documents, said conditions, exceptions, reservations or
understandings may be discussed during these meetings. Port Authority, however, shall have the
right to reject any and all conditions, exceptions, reservations and/or understandings and instruct
the Proposer to amend its Proposal and to remove said conditions, exceptions, reservations and/or
understandings. Any Proposer failing to do so may cause Port Authority to reject such Proposal.
Port Authority reserves the right to conduct visits to inspect Proposer’s and/or its proposed
Subcontractor’s and/or Supplier’s facilities and/or transit systems for which the Proposer has
supplied the same or similar systems and equipment.
After any interviews have been completed, each responsible Proposer whose Proposal is
determined to still be reasonably susceptible of being selected for award of the Agreement may be
afforded the opportunity to amend its Proposal and make a BAFO. The request for BAFOs, if any,
will include:
a.
Notice that all prior discussions and negotiations are to be included in the BAFO;
b.
Notice of any changes to the RFP or other Contract Documents;
27
c.
d.
e.
Notice that this is the opportunity for submission of a BAFO;
A common date and time for submission of written BAFOs;
Notice that if any modification to a BAFO is submitted, it must be received by the date and
time specified for the receipt of BAFOs and is subject to the late submissions,
modifications and withdrawals of Proposals provisions of the RFP; and
f.
Notice that if a Proposer does not submit a BAFO, Port Authority may consider its
Proposal non-responsive and ineligible for award of the Agreement.
Any modifications to the initial Proposal made by a Proposer in its BAFO shall be expressly
identified in its BAFO. BAFOs will be evaluated by Port Authority according to the procedures,
requirements and criteria set forth in Section 3.3 (Final Rating).
Port Authority will make the appropriate adjustments to the initial scores for each criteria which
has been affected by any Proposal modifications made by the BAFOs. Port Authority will then
choose for potential award of the Agreement, the Proposer, if any, whose Proposal Port Authority
finds to be most advantageous to Port Authority based upon the evaluation criteria.
3.5
FINALIZATION OF CONTRACT
Port Authority will meet, as necessary, to finalize the proposed Agreement with the responsible Proposer
which submits the Proposal which is determined to be most advantageous to Port Authority based upon
the evaluation criteria. In the event that Port Authority cannot finalize a satisfactory Agreement with the
highest rated responsible Proposer, discussions will be terminated with that Proposer and Port Authority
may then proceed with meetings to finalize the proposed Agreement with the next highest rated Proposer.
The above process may continue until satisfactory contractual arrangements with a Proposer has been
reached. Port Authority shall retain the right to reject any and all Proposals.
3.6
CONTRACT AWARD
The proposed Agreement resulting from discussions described in Section 3.5 above will be ultimately
presented to the Chief Executive Officer of Port Authority for review and recommendation to Port
Authority’s Board for approval. Port Authority’s staff is not empowered to enter into a contract without
the formal authorization of Port Authority’s Board.
3.7
FAILURE TO EXECUTE CONTRACT
Failure of the Proposer to whom the Agreement is awarded to promptly execute the Agreement or to
submit the required bonds, shall be cause for cancellation of the award. The Proposer, by submitting a
Proposal, agrees to, and shall, reimburse Port Authority for all damages arising from said default.
3.8
ACCEPTANCE/REJECTION OF PROPOSERS
Port Authority reserves the right to reject any or all Proposals. Port Authority also reserves the right to
make an award to a Proposer whose Proposal it judges to be most advantageous to Port Authority, without
conducting any written or oral discussions with any Proposer or the solicitation of any BAFOs. Port
Authority reserves the right to consider any specific Proposal which is conditional or not prepared in
accordance with the instructions or requirements of this RFP to be non-responsive. Port Authority
reserves the right to waive any defects, or minor informalities or irregularities in any Proposal which, in
Port Authority’s sole discretion, has not materially affected the Proposal.
3.9
CANCELLATION OF PROCUREMENT
Port Authority reserves the right to cancel the procurement and not award the Agreement for any reason
whatsoever, at any time, before the Agreement is fully executed and approved on behalf of Port Authority.
28
3.10
AVAILABILITY OF FUNDS
The procurement is subject to the availability of funds. Port Authority’s obligations under the Agreement,
if awarded, is contingent upon the availability of appropriate funds from which payment for the
Agreement can be made. No obligation on the part of Port Authority for any payment shall arise until
funds are made available to Port Authority for the Agreement and until the Contractor receives written
notice of such availability from Port Authority. Any award of the Agreement hereunder will be
conditioned upon said availability of funds for the Agreement.
3.11
PORT AUTHORITY PROTEST PROCEDURES
Any actual or prospective Proposer who believes it is aggrieved in connection with the solicitation or
award of the Agreement may file a protest with Port Authority. The procedures for submitting such
protests are available at Port Authority’s website at www.portauthority.org by following the links
“Company Info. & Projects,” “Doing Business,” “Procurement,” “Purchasing Information,” and “Bid
Protest Procedures.”
3.12
SCOPE OF WORK
See the Contract Documents
3.13
EXHIBITS/CONTRACT FORMS
The Exhibits referenced in this RFP and the various contract forms follow hereafter.
29
RFP NO. 17-10
EXHIBIT 1
SAMPLE AGREEMENT
THIS AGREEMENT is made and entered into this ___________________[Date], by and
between PORT AUTHORITY OF ALLEGHENY COUNTY, a body corporate and politic
organized and existing under the laws of the Commonwealth of Pennsylvania, as amended, and
having its principal office at 345 Sixth Avenue, 3rd Floor, Pittsburgh, Pennsylvania 15222-2527
(hereinafter referred to as “Port Authority”) and _______________ [Name of Contractor], a
___________
[Identify
nature
of
entity]
having
its
principal
office
at
_________________________ [List Address] (hereinafter referred to as the “Contractor”).
WITNESSETH:
WHEREAS, Port Authority requires the Contractor to timely and properly design,
provide, supply and install a new automatic trip stop system (“ATS”) for Port Authority’s LRT
vehicles, which includes replacing the existing rolling stock/carborne wayside inductive loop
based ATS equipment with a new and modern radio frequency identification tag based ATS, as
well as the delivery of software, data, manuals, drawings, training, support services, spare parts,
documents and equipment and the other required services and items of the nature, quantity and
quality set forth in, or required by, the Contract Documents (the “Work”); and
WHEREAS, to obtain a qualified contractor, Port Authority requested the submission of
proposals to provide the Work as described in the “Request for Proposal No. 17-10.
Procurement/Replacement of Automatic Trip Stop System for LRT Vehicles” dated
_______________, 2017 [Note: Add date], as amended, (the “RFP”); and
WHEREAS, in response to the RFP, the Contractor submitted a Proposal and Port
Authority has selected the Contractor to perform the Work; and
WHEREAS, Port Authority and the Contractor desire to set forth their mutual
understanding and agreement concerning, among other things, the scope of the Work and the basis
upon which the Contractor will be compensated for the Work.
NOW, THEREFORE, the parties hereto, intending to be legally bound hereby, do
mutually covenant and agree as follows:
30
1.
The recitals and references aforesaid are incorporated herein and made a part
2.
Whenever terms or abbreviations are used in this Agreement, they shall have the
hereof.
same meaning expressly set forth herein. Otherwise, they shall have the meaning set forth in the
Contract Documents.
3.
The Contract Documents are made part of this Agreement and are incorporated
herein by reference. The Contract Documents are comprised of the following:
(a)
the RFP;
(b)
the Advertisement;
(c)
this Agreement;
(d)
the contract forms and exhibits;
(e)
all bonds;
(f)
the Contract Conditions and Instructions;
(g)
the General Requirements;
(h)
the Technical Requirements;
(i)
the optional services, but only if exercised by Port Authority in its sole
discretion;
(j)
the Notice to Proceed;
(k)
any change orders; and
(l)
the Proposal upon which the Agreement is awarded, but only to the extent
not inconsistent with the above documents.
4.
The Contractor shall furnish all services, equipment, software, transportation, labor
and supervision and perform all project management/administration, designing, engineering,
deliveries, installation, testing, furnishing, training and other services necessary and/or incidental
for the proper, timely and satisfactory completion of the Work as set forth in the Contract
Documents which are incorporated herein, and to do all acts and tasks required by the Contract
Documents.
5.
In consideration of the Contractor’s proper, timely and satisfactory completion of
the Work, and the performance of all acts and tasks required by the Contract Documents, or
otherwise necessary, Port Authority agrees to pay the Contractor and the Contractor agrees to
accept from Port Authority, as full payment for the Work and as a complete discharge of Port
31
Authority’s liability to make payment to the Contractor for Contractor’s performance of the Work,
the total fixed sum of ______________________ ($____________) (hereinafter referred to as the
“Contract Sum”), subject only to additions and deductions as expressly provided in the Contract
Documents and pursuant to the terms and payment schedule set forth in the Contract Documents.
The specific units and costs making up the Contract Sum are set forth in Attachment “A” hereto
which is made a part hereof and which costs shall not increase except as a result of a change as
expressly permitted by the Contract Documents.
6.
The acceptance by the Contractor of final payment of the Contract Sum shall be,
and shall operate as, a full and complete release of and to Port Authority of all claims of, and
liability to, the Contractor for the Work or arising under this Agreement and for every act, omission
and neglect of Port Authority. No payment, however, final or otherwise, shall operate to release
the Contractor or its insurers or sureties from any obligation under this Agreement, shall be
evidence of the proper performance of the Agreement or the Work, in whole or in part, by the
Contractor or shall be construed to be acceptance by Port Authority of defective or improper Work,
materials or equipment or the failure by the Contractor to fully comply with the requirements of
the Contract Documents.
7.
Port Authority reserves the right, at its sole option, to require the Contractor to
provide the Optional Services identified in Section 7, Optional Services, at any time during the
term of the Agreement. The cost of such Optional Services shall be the price for each Optional
Service set forth in Attachment “A” hereto. Such Optional Services shall be provided to Port
Authority in accordance with the requirements of the Contract Documents. All provisions of the
Contract Documents shall apply to any exercised option.
8.
This Agreement may be subject to the prior written approval and concurrence of
the Federal Transit Administration and others.
9.
The Contractor shall provide to Port Authority an executed Certification of
Proposed Subcontractor (Attachments “B” and “B-1”) for each proposed Subcontractor to this
Agreement. The eligibility of a proposed Subcontractor to participate in the Agreement will be
determined, in part, in accordance with the applicable FTA regulations. The Contractor shall also
require that the “Certification Regarding Lobbying” (Attachment “C”) be included in the award of
documents for all subcontracts exceeding $100,000 at any tier, and shall ensure that such
Subcontractor shall execute the Certification Regarding Lobbying and, if applicable, the
32
Disclosure of Lobbying Activities form. All disclosure forms, but not the Certifications Regarding
Lobbying, shall be forwarded to Port Authority, whereupon Port Authority will forward the same
to FTA.
10.
This Agreement and all covenants hereof shall inure to the benefit of and be binding
upon Port Authority and the Contractor respectively and their successors, assigns and legal
representatives.
11.
No provision of this Agreement or the other Contract Documents shall in any way
inure to the benefit of any third party, including the public at large, so as to constitute such person
as a third-party beneficiary or otherwise give rise to any cause of action in a person not a party to
this Agreement except as expressly provided elsewhere in the Contract Documents.
12.
This Agreement and the other Contract Document shall be interpreted, endorsed
and governed in accordance with the substantive laws of the Commonwealth of Pennsylvania,
regardless of its conflict of law or choice of law provisions.
13.
This Agreement and the other Contract Documents set forth the entire agreement
between the parties with respect to the subject matter thereof, and they supersede all prior or
contemporaneous discussions, agreements, and understandings, both written and oral, among the
parties with respect thereto.
14.
All notices or other communications to either party by the other shall be deemed
given when made in writing and deposited in the United States mail, postage prepaid, addressed
as follows:
To Port Authority:
Port Authority of Allegheny County
345 Sixth Avenue, 3rd Floor
Pittsburgh, PA 15222-2527
Attention:
To Contractor:
Attention:
33
IN WITNESS WHEREOF, the parties hereto, by their duly authorized officers, have
executed this Agreement as of the day and year first above written.
PORT AUTHORITY OF ALLEGHENY COUNTY
ATTEST:
______________________________
By:
Title:
(SEAL)
ATTEST:
CONTRACTOR
__________________________________
(Company Name)
By:
(SEAL)
Title:
34
Agreement No. 17-10
Attachment A
Summary of Prices
-- TO BE FINALIZED DURING THE NEGOTIATION PROCESS --
35
Agreement No. 17-10
Attachment B
CERTIFICATION OF PROPOSED SUBCONTRACTOR REGARDING DEBARMENT,
SUSPENSION AND OTHER RESPONSIBILITY MATTERS
(FOR SUBCONTRACTS TOTALING OVER $25,000)
(Subcontractor) _____________________________ certifies, to the best of its knowledge and
belief, that it and its principals:
1. Are not presently debarred, suspended, proposed for debarment, declared ineligible or
voluntarily excluded from covered transactions by any Federal or state department or
agency;
2. Have not within a three year period preceding its bid or proposal been convicted of or
had a civil judgment rendered against them for: the commission or performance of
fraud or a civil or criminal offense in connection with obtaining, attempting to obtain
or performing a public (Federal, state or local) transaction or contract under a public
transaction; violation of Federal or state antitrust statutes; or the commission or conduct
of embezzlement, theft, forgery, bribery, misrepresentation, falsification or destruction
of records, making false statements or receiving stolen property;
3. Are not presently indicted, criminally or civilly charged, nor have a pending criminal
or civil claim or action brought, by a governmental entity (Federal, state or local) for
the commission or performance of any of the offenses, violations or claims enumerated
in paragraph (2) of this Certification; and
4. Have not within a three year period preceding this bid had one or more public
transactions (Federal, state or local) terminated for cause or default.
If the proposed subcontractor is unable to certify to any of the statements in this Certification, it
shall attach an explanation to this Certification.
(Subcontractor) _________________________________ CERTIFIES OR AFFIRMS THE
TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS
SUBMITTED ON OR WITH THIS CERTIFICATION AND UNDERSTANDS THAT THE
PROVISIONS OF 31 U.S.C. SECTIONS 3801 ET SEQ. ARE APPLICABLE THERETO.
____________________________________
Signature of Authorized Individual
____________________________________
Title
36
Agreement No. 17-10
Attachment B-1
CERTIFICATION OF PROPOSED SUBCONTRACTOR REGARDING DEBARMENT,
SUSPENSION AND OTHER RESPONSIBILITY MATTERS
(FOR SUBCONTRACTS TOTALING $25,000 OR LESS)
(Subcontractor) _____________________________ certifies, by submission of its bid or
proposal, that, to the best of its knowledge and belief, neither it nor its principals are presently
debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from
participation in this transaction by any Federal or state department or agency.
If the proposed subcontractor is unable to certify to any of the statements in this Certification, the
proposed subcontractor shall attach an explanation to this Certification.
(Subcontractor) ________________________________ CERTIFIES OR AFFIRMS THE
TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS
SUBMITTED ON OR WITH THIS CERTIFICATION AND UNDERSTANDS THAT THE
PROVISIONS OF 31 U.S.C. SECTIONS 3801 ET SEQ. ARE APPLICABLE THERETO.
____________________________________
Signature of Authorized Individual
____________________________________
Title
37
Agreement No. 17-10
Attachment C
CERTIFICATION REGARDING LOBBYING
(FOR SUBCONTRACTS TOTALING OVER $100,000)
I, _____________________________________ (Title: __________________), Hereby Certify
(Name of Authorized Individual)
On Behalf Of _______________________________________ that:
(Subcontractor)
1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or
employee of an agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any Federal loan, the entering
into of any cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any Federal contract, grant, loan, or cooperative
agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to
any person for influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an employee of
a Member of Congress in connection with this Federal contract, grant, loan, or
cooperative agreement, the undersigned shall complete and submit Standard FormLLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.
3. The undersigned shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants, and
contracts under grants, loans, and cooperative agreements) and that all subrecipients
shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by 31 U.S.C., Section 1352. Any person who fails to file
the required certification shall be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
____________________________________
Signature of Authorized Individual
____________________________________
Title
Date:
38
Agreement No. 17-10
Attachment C
DISCLOSURE OF LOBBYING ACTIVITIES
1. Type of Federal Action:
Approved by OMB
0348-0046
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352
(See reverse for public burden disclosure.)
2. Status of Federal Action:
3. Report Type:


a.
b.
c.
d.
e.
f.
a. bid/offer/application
b. initial award
c. post-award
contract
grant
cooperative agreement
loan
loan guarantee
loan insurance
Prime
a. initial filing
b. material change
For Material Change Only:
year ________ quarter ________
date of last report ____________
4. Name and Address of Reporting Entity:



Subawardee
Tier ____, if known:
Congressional District, if known:
5. If Reporting Entity in No. 4 is Subawardee, Enter
Name and Address of Prime:
6. Federal Department/Agency:
Congressional District, if known:
7. Federal Program Name/Description:
8. Federal Action Number, if known:
CFDA Number, if applicable: ____________
9. Award Amount, if known:
$
b. Individuals Performing Services (including address if
different from No. 10a)
(last name, first name, MI):
10. a. Name and Address of Lobbying Entity
(if individual, last name, first name, MI):
(attach Continuation Sheet(s) SF-LLL-A, if necessary)
13. Type of Payment (check all that apply):
11. Amount of Payment (check all that apply):
$ _______________________
 actual
 planned






a. retainer
b. one-time fee
c. commission
d. contingent fee
e. deferred
f. other; specify: ________________________
12. Form of Payment (check all that apply):
 a. cash

b. in-kind; specify: nature ________________________
value ________________________
14. Brief Description of Services Performed or to be Performed and Date(s) of Service, including officer(s),
employee(s), or Member(s) contacted, for Payment Indicated in Item 11:
(attach Continuation Sheet(s) SF-LLL-A, if necessary)
15. Continuation Sheet(s) SF-LLL-A attached:
 Yes  No
16. Information requested through this form is authorized by title 31 U.S.C. section 1352. This
disclosure of lobbying activities is a material representation of fact upon which
reliance was placed by the tier above when this transaction was made or entered into.
This disclosure is required pursuant to 31 U.S.C. 1352. This information will be
reported to the Congress semi-annually and will be available for public inspection.
Any person who fails to file the required disclosure shall be subject to a civil penalty
of not less than $10,000 and not more than $100,000 for each failure.
Signature: ___________________________________________
Print Name: __________________________________________
Title: ________________________________________________
Telephone No.: __________________ Date: _____________
Federal Use Only:
Authorized for Local Reproduction
Standard Form - LLL
39
Agreement No. 17-10
Attachment C
INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the initiation or receipt of a covered Federal action,
or a material change to a previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each payment or agreement to make payment to
any lobbying entity for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with a covered Federal action. Use the SF-LLL-A Continuation Sheet for additional information if the space on
the form is inadequate. Complete all items that apply for both the initial filing and material change report. Refer to the implementing guidance published by the
Office of Management and Budget for additional information.
1.
Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal
action.
2.
Identify the status of the covered Federal action.
3.
Identify the appropriate classification of this report. If this is a follow-up report caused by a material change to the information previously reported,
enter the year and quarter in which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this covered
Federal action.
4.
Enter the full name, address, city, state and zip code of the reporting entity. Include Congressional District, if known. Check the appropriate
classification of the reporting entity that designates if it is, or expects to be, a prime or a subaward recipient. Identify the tier of the subawardee, e.g.,
the first subawardee of the prime is the 1st tier. Subawards include but are not limited to subcontracts, subgrants and contract awards under grants.
5.
If the organization filing the report in item 4 checks "Subawardee", then enter the full name, address, city, state and zip code of the prime Federal
recipient. Include Congressional District, if known.
6.
Enter the name of the Federal agency making the award or loan commitment. Include at least one organizational level below agency name, if known.
For example, Department of Transportation, United States Coast Guard.
7.
Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of Federal Domestic
Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments.
8.
Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g., Request for Proposal (RFP) number;
Invitation for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number; the application/proposal control number
assigned by the Federal agency). Include prefixes, e.g., "RFP-DE-90-001."
9.
For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan
commitment for the prime entity identified in item 4 or 5.
10. (a)
(b)
Enter the full name, address, city, state and zip code of the lobbying entity engaged by the reporting entity identified in item 4 to influence the
covered Federal action.
Enter the full names of the individual(s) performing services, and include full address if different from 10 (a). Enter Last Name, First Name,
and Middle Initial (MI).
11.
Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (item 4) to the lobbying entity (item 10). Indicate
whether the payment has been made (actual) or will be made (planned). Check all boxes that apply. If this is a material change report, enter the
cumulative amount of payment made or planned to be made.
12.
Check the appropriate box(es). Check all boxes that apply. If payment is made through an in-kind contribution, specify the nature and value of the
in-kind payment.
13.
Check the appropriate box(es). Check all boxes that apply. If other, specify nature.
14.
Provide a specific and detailed description of the services that the lobbyist has performed, or will be expected to perform, and the date(s) of any
services rendered. Include all preparatory and related activity, not just time spent in actual contact with Federal officials. Identify the Federal
official(s) or employee(s) contacted or the officer(s), employee(s), or Member(s) of Congress that were contacted.
15.
Check whether or not a SF-LLL-A Continuation Sheet(s) is attached.
16.
The certifying individual shall sign and date the form, print his/her name, title, and telephone number.
Defined. Public reporting burden for this collection of information is estimated to average 30 minutes per response, including time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of
information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for
reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0046), Washington, D.C. 20503.
40
Agreement No. 17-10
Attachment C
DISCLOSURE OF LOBBYING ACTIVITIES
APPROVED BY OMB
0348-0046
CONTINUATION SHEET
Reporting Entity: __________________________________________________________Page _________ Of _________
Authorized For Local Reproduction
Standard Form - Lll-A
41
RFP NO. 17-10
EXHIBIT 2
CERTIFICATE OF DBE COMPLIANCE
In connection with the award, if any, by Port Authority of Allegheny County as a result of the
issuance of the RFP:
I hereby certify that the ___________________________________ (name of company) has
complied with the requirements of 49 CFR 26, participation by Disadvantage Business
Enterprises in DOT Financial Programs, as amended, and that our goals have not been
disapproved by the Federal Transit Administration.
The goal for this Agreement for DBE/DB subcontractor participation is ______ Percent.
__________________________________ Name of Company
__________________________________ Signature of Authorized Official
__________________________________ Name and Title of Authorized Official
__________________________________ Date
42
RFP NO. 17-10
EXHIBIT 3
PROPOSER/SUBCONTRACTOR DATA FORM
Pursuant to 49 C.F.R. § 26.11(c), the following information is being provided by the Proposer for
itself and all Subcontractors it proposes to use to perform the Work:
Proposer Name:
Address:
Phone Number:
DBE Status: PAUCP Certified Yes (____)
No (_____)
Year Business Entity was established: _____________
Annual Gross Receipts of Business Entity: ___________
Subcontractor Name:
Address:
Phone Number:
DBE Status: PAUCP Certified Yes (____)
No (_____)
Year Business Entity was established: _____________
Annual Gross Receipts of Business Entity: ___________
Subcontractor Name:
Address:
Phone Number:
DBE Status: PAUCP Certified Yes (____)
No (_____)
Year Business Entity was established: _____________
Annual Gross Receipts of Business Entity: ___________
43
RFP No. 17-10
EXHIBIT 3
PROPOSER/SUBCONTRACTOR DATA FORM (continued)
(Add additional pages as necessary)
Subcontractor Name:
Address:
Phone Number:
DBE Status: PAUCP Certified Yes (____)
No (_____)
Year Business Entity was established: _____________
Annual Gross Receipts of Business Entity: ___________
Subcontractor Name:
Address:
Phone Number:
DBE Status: PAUCP Certified Yes (____)
No (_____)
Year Business Entity was established: _____________
Annual Gross Receipts of Business Entity: ___________
Subcontractor Name:
Address:
Phone Number:
DBE Status: PAUCP Certified Yes (____)
No (_____)
Year Business Entity was established: _____________
Annual Gross Receipts of Business Entity: ___________
44
RFP NO. 17-10
EXHIBIT 4
BUY AMERICA CERTIFICATE OF COMPLIANCE WITH FTA REQUIREMENTS FOR
BUSES, OTHER ROLLING STOCK, OR ASSOCIATED EQUIPMENT
Certificate of Compliance
The Proposer hereby certifies that it WILL COMPLY with the requirements of 49 U.S.C.
Section 5323(j)(2)(C), as amended, and the applicable regulations of 49 CFR Part 661.11:
Company Name: _______________________________________________________________
Name:________________________________________________________________________
Signature:_____________________________________________________________________
Title: _________________________________________________________________________
Date:_________________________________________________________________________
Certificate of Non-Compliance
The Proposer hereby certifies that IT CANNOT COMPLY with the requirements of 49 U.S.C.
Section 5323(j), as amended, but may qualify for an exemption to the requirements consistent
with 49 U.S.C. Sections 5323(j)(2)(A), 5323(j)(2)(B) or 5323(j)(2)(D) and the applicable
regulations in 49 CFR Part 661.7.
Company Name: _______________________________________________________________
Name:________________________________________________________________________
Signature:_____________________________________________________________________
Title: _________________________________________________________________________
Date:_________________________________________________________________________
45
RFP NO. 17-10
EXHIBIT 4
BUY AMERICA AUDIT WORKSHEET - ROLLING STOCK
A.
Law Regarding Compliance with Buy America Regulations (49 CFR §661.11(a)), as
amended.
1.
The cost of components produced in U.S. is more than 65% the cost of all
components:
a.
component is of domestic origin if more than 65% of the subcomponents
of that component, by cost, are of domestic origin and component is manufactured in
U.S. (49 CFR §661.11(g)).
b.
subcomponent is of domestic origin if manufactured in U.S. (49 CFR
§§661.11(h-i)).
2.
Final assembly occurs in U.S. (defined as creation of the end product from
individual elements brought together for that purpose through application of manufacturing
processes (49 CFR §661.11(r)).
B.
Procedure for Showing Buy America Compliance
1.
Step 1 - Show information for components, listing as many components needed
to reach a cost percentage greater than 65% of the cost of all of the components. Example
(assuming the bid price is $200, the fully allocated cost of all components if $100 and the cost of
final assembly is $100):
Component
Manufacture
Location
Seating
Car Shells
XYZ
ABC
must be U.S.
must be U.S.
Percentage of Cost of All
Cost or Components of
The Rolling Stock
$30
30%
$31
31%
The cost information can be shown as a dollar amount or as the percentage of the cost of a
specific component in relation to the cost of all components for the rolling stock.
2.
Step 2 - Show information for subcomponents for each component, listing as
many subcomponents needed to reach a cost percentage greater than 65% of the cost of all
subcomponents of that component. Example (assuming that the fully allocated cost of all
subcomponents for the component, which excludes the manufacturing cost, is $25):
46
RFP NO. 17-10
Seating Component
Subcomponents
Manufacture
Location
Percentage of Cost
Cost or of all
Subcomponents
Cushions
Metal Frame
LMT
ARE
must be U.S.
must be U.S.
$12
$10
3.
48%
40%
Step 3—final assembly occurs in U.S.
a.
state location of final assembly;
b.
briefly describe activities to occur during final assembly; and
c.
state proposed total cost of final assembly
47
RFP NO. 17-10
EXHIBIT 5
CERTIFICATION OF PROPOSER REGARDING DEBARMENT, SUSPENSION AND
OTHER RESPONSIBILITY MATTERS
(Proposer) _____________________________ certifies, to the best of its knowledge and belief,
that it and its principals:
1. Are not presently debarred, suspended, proposed for debarment, declared ineligible or
voluntarily excluded from covered transactions by any Federal or state department or
agency;
2. Have not within a three year period preceding this proposal been convicted of or had a
civil judgment rendered against them for: the commission or performance of fraud or
a civil or criminal offense in connection with obtaining, attempting to obtain or
performing a public (Federal, state or local) transaction or contract under a public
transaction; violation of Federal or state antitrust statutes; or the commission or conduct
of embezzlement, theft, forgery, bribery, misrepresentation, falsification or destruction
of records, making false statements or receiving stolen property;
3. Are not presently indicted, criminally or civilly charged, nor have a pending criminal
or civil claim or action brought, by a governmental entity (Federal, state or local) for
the commission or performance of any of the offenses, violations or claims enumerated
in paragraph (2) of this Certification; and
4. Have not within a three year period preceding this bid had one or more public
transactions (Federal, state or local) terminated for cause or default.
If the Proposer is unable to certify to any of the statements in this Certification, the Proposer shall
attach an explanation to this Certification.
(Proposer) ______________________________ CERTIFIES OR AFFIRMS
THE
TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS
SUBMITTED ON OR WITH THIS CERTIFICATION AND UNDERSTANDS THAT THE
PROVISIONS OF 31 U.S.C. SECTIONS 3801 ET SEQ. ARE APPLICABLE THERETO.
____________________________________
Signature of Authorized Individual
____________________________________
Title
48
RFP NO. 17-10
EXHIBIT 6
CERTIFICATION REGARDING LOBBYING
I, _____________________________________ (Title: __________________), Hereby Certify
(Name Of Authorized Individual)
On Behalf Of _______________________________________ that:
(Proposer)
1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or
employee of an agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any Federal loan, the entering
into of any cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any Federal contract, grant, loan, or cooperative
agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to
any person for influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an employee of
a Member of Congress in connection with this Federal contract, grant, loan, or
cooperative agreement, the undersigned shall complete and submit Standard FormLLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.
3. The undersigned shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants, and
contracts under grants, loans, and cooperative agreements) and that all subrecipients
shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by 31 U.S.C., Section 1352. Any person who fails to file
the required certification shall be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
____________________________________
Signature of Authorized Individual
____________________________________
Title
Date: _______________________________
49
RFP NO. 17-10
DISCLOSURE OF LOBBYING ACTIVITIES
Approved by OMB
0348-0046
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352
(See reverse for public burden disclosure.)
2. Status of Federal Action:
3. Report Type:
1. Type of Federal Action:


a.
b.
c.
d.
e.
f.
a. bid/offer/application
b. initial award
c. post-award
contract
grant
cooperative agreement
loan
loan guarantee
loan insurance
Prime
a. initial filing
b. material change
For Material Change Only:
year ________ quarter ________
date of last report ____________
4. Name and Address of Reporting Entity:



5. If Reporting Entity in No. 4 is Subawardee, Enter
Name and Address of Prime:
Subawardee
Tier ____, if known:
Congressional District, if known:
6. Federal Department/Agency:
Congressional District, if known:
7. Federal Program Name/Description:
8. Federal Action Number, if known:
CFDA Number, if applicable: ____________
9. Award Amount, if known:
$
b. Individuals Performing Services (including address if
different from No. 10a)
(last name, first name, MI):
10. a. Name and Address of Lobbying Entity
(if individual, last name, first name, MI):
(attach Continuation Sheet(s) SF-LLL-A, if necessary)
13. Type of Payment (check all that apply):
11. Amount of Payment (check all that apply):
$ _______________________
 actual
 planned






a. retainer
b. one-time fee
c. commission
d. contingent fee
e. deferred
f. other; specify: ________________________
12. Form of Payment (check all that apply):

a. cash

b. in-kind; specify: nature ________________________
value ________________________
14. Brief Description of Services Performed or to be Performed and Date(s) of Service, including officer(s),
employee(s), or Member(s) contacted, for Payment Indicated in Item 11:
(attach Continuation Sheet(s) SF-LLL-A, if necessary)
15. Continuation Sheet(s) SF-LLL-A attached:
16.
 Yes
 No
Information requested through this form is authorized by title 31 U.S.C. section 1352. This
disclosure of lobbying activities is a material representation of fact upon which
reliance was placed by the tier above when this transaction was made or entered into.
This disclosure is required pursuant to 31 U.S.C. 1352. This information will be
reported to the Congress semi-annually and will be available for public inspection.
Any person who fails to file the required disclosure shall be subject to a civil penalty
of not less than $10,000 and not more than $100,000 for each failure.
Signature: ___________________________________________
Print Name: __________________________________________
Title: ________________________________________________
Telephone No.: __________________ Date: _____________
Federal Use Only:
Authorized for Local Reproduction
Standard Form - LLL
50
RFP NO. 17-10
INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the initiation or receipt of a covered Federal action,
or a material change to a previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each payment or agreement to make payment to
any lobbying entity for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with a covered Federal action. Use the SF-LLL-A Continuation Sheet for additional information if the space on
the form is inadequate. Complete all items that apply for both the initial filing and material change report. Refer to the implementing guidance published by the
Office of Management and Budget for additional information.
1.
Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal
action.
2.
Identify the status of the covered Federal action.
3.
Identify the appropriate classification of this report. If this is a follow-up report caused by a material change to the information previously reported,
enter the year and quarter in which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this covered
Federal action.
4.
Enter the full name, address, city, state and zip code of the reporting entity. Include Congressional District, if known. Check the appropriate
classification of the reporting entity that designates if it is, or expects to be, a prime or a subaward recipient. Identify the tier of the subawardee, e.g.,
the first subawardee of the prime is the 1st tier. Subawards include but are not limited to subcontracts, subgrants and contract awards under grants.
5.
If the organization filing the report in item 4 checks "Subawardee", then enter the full name, address, city, state and zip code of the prime Federal
recipient. Include Congressional District, if known.
6.
Enter the name of the Federal agency making the award or loan commitment. Include at least one organizational level below agency name, if known.
For example, Department of Transportation, United States Coast Guard.
7.
Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of Federal Domestic
Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments.
8.
Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g., Request for Proposal (RFP) number;
Invitation for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number; the application/proposal control number
assigned by the Federal agency). Include prefixes, e.g., "RFP-DE-90-001."
9.
For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan
commitment for the prime entity identified in item 4 or 5.
10. (a)
(b)
Enter the full name, address, city, state and zip code of the lobbying entity engaged by the reporting entity identified in item 4 to influence the
covered Federal action.
Enter the full names of the individual(s) performing services, and include full address if different from 10 (a). Enter Last Name, First Name,
and Middle Initial (MI).
11.
Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (item 4) to the lobbying entity (item 10). Indicate
whether the payment has been made (actual) or will be made (planned). Check all boxes that apply. If this is a material change report, enter the
cumulative amount of payment made or planned to be made.
12.
Check the appropriate box(es). Check all boxes that apply. If payment is made through an in-kind contribution, specify the nature and value of the
in-kind payment.
13.
Check the appropriate box(es). Check all boxes that apply. If other, specify nature.
14.
Provide a specific and detailed description of the services that the lobbyist has performed, or will be expected to perform, and the date(s) of any
services rendered. Include all preparatory and related activity, not just time spent in actual contact with Federal officials. Identify the Federal
official(s) or employee(s) contacted or the officer(s), employee(s), or Member(s) of Congress that were contacted.
15.
Check whether or not a SF-LLL-A Continuation Sheet(s) is attached.
16.
The certifying individual shall sign and date the form, print his/her name, title, and telephone number.
Defined. Public reporting burden for this collection of information is estimated to average 30 minutes per response, including time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of
information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for
reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0046), Washington, D.C. 20503.
51
RFP NO. 17-10
DISCLOSURE OF LOBBYING ACTIVITIES
APPROVED BY OMB
0348-0046
CONTINUATION SHEET
Reporting Entity: __________________________________________________________Page _________ Of _________
Authorized For Local Reproduction
Standard Form - Lll-A
52
RFP NO. 17-10
EXHIBIT 7
SUMMARY OF PRICES
Each Proposer shall completely set forth the following, including providing a price for each line item.
ITEM
Quantity
Unit of
Measure
1
Conceptual Design Review Approved by Port Authority
1
Lump Sum
2
Preliminary Design Review Approved by Port Authority
1
Lump Sum
3
Final Design Review Approved by Port Authority
1
Lump Sum
4
Wayside Installation One Third (1/3) Successfully Complete
1
Lump Sum
5
Wayside Installation Two Thirds (2/3) Successfully Complete
1
Lump Sum
6
Carborne Factory Successfully Acceptance Testing Complete and Safety Case Approved
1
Lump Sum
7
Wayside Installation 100% Successfully Complete
1
Lump Sum
Unit Price
Total Dollar
Amount
LRVs Commissioned into Revenue Service *
8
First Siemens 4200 Series LRV Successfully Commissioned into Revenue Service
1
Each
9
First CAF 4300 Series LRV Successfully Commissioned into Revenue Service
1
Each
10
Additional Eighty One (81) LRVs Successfully Commissioned into Revenue Service
81
Each
11
Final Safety Certification of New Automatic Trip Stop System
1
Lump Sum
12
Removal of Existing ATS Wayside Equipment Successfully Complete
Reliability Demonstration Test and Final Acceptance and All Required Diagnostic and Test
Equipment and Special Tools
1
Lump Sum
1
Lump Sum
13
CONTRACT SUM (Sum of Items 1‐13):
Optional Services
Option 1 – Speed Supervision
1
Lump Sum
Option 2 – Enhanced Driver’s Panel
1
Lump Sum
* Payment will be made for each LRV commissioned into Revenue Service
53
RFP NO. 17-10
EXHIBIT 8
FORM FOR COST REDUCTION OPPORTUNITIES
The following form shall be completed for each item for consideration that will result in a cost reduction for the
equipment or items covered within the Contract Documents. Items should be of the type that would result in a
reduced cost while maintaining the required level of quality without reducing the functionality or reliability of
the coaches being proposed. Care should be taken to include the effect on ancillary items such as warranty and
special tools.
RFP#
Opportunity #
Proposer:
Brief Description
Complete Description of
Opportunity
Proposer may reproduce this form as needed.
54
RFP NO. 17-10
EXHIBIT 9
PROPOSAL EVALUATION RATING SHEET
PROCUREMENT/ REPLACEMENT OF AUTOMATIC TRIP STOP
SYSTEM FOR THE LRT VEHICLES
Proposer’s Name:
Weighted
Multiplier
5
15
Rating Criteria
DBE Utilization
Experience Record and
Qualifications
Technical Proposal
Organization, Project Work and
Management Plan
Summary of Prices
Preliminary
Rating
Weighted
Score
Score
Rating
Score
Final
Weighted
Score
45
10
25
Total Weighted Score
Un-Weighted Scoring Range: 0 through 10: 10 as the highest score, 0 as the lowest score.
Rating Performed By
Print Name
Title
Signature
Date
Signature
Date
Preliminary Rating
Final Rating
55
RFP NO. 17-10
EXHIBIT 10
Company
Street
City, State, Zip
ZERO TOLERANCE
CONTROLLED SUBSTANCES USE
AND ALCOHOL MISUSE
POLICY
49 CFR (DOT/FTA)
Part 40 and Part 655
56
TABLE OF CONTENTS
SCOPE
1
APPLICABILITY
2
DEFINITIONS
2
DRUGS AND ALCOHOL TESTED
8
TYPES OF TESTING
8
PRE-EMPLOYMENT
8
POST-ACCIDENT
9
RANDOM
9
REASONABLE SUSPICION
10
RETURN-TO-DUTY
11
FOLLOW-UP
11
TESTING/COLLECTION PROCEDURE INTEGRITY
11
CONTROLLED SUBSTANCES
11
ALCOHOL
14
DIRECT OBSERVATION COLLECTIONS
18
RELEASE OF CONFIDENTIAL INFORMATION
19
PROHIBITED CONDUCT
20
REFUSAL TO SUBMIT
21
CONTROLLED SUBSTANCES TESTING
21
ALCOHOL TESTING
22
SHY BLADDER AND SHY LUNG
23
ADULTERATED, DILUTE, INVALID AND SUBSTITUTE SPECIMENS
23
EDUCATION AND TRAINING
24
DOT/FTA CONSEQUENCES
24
EMPLOYER DISCIPLINARY ACTION
25
57
EMPLOYER/EMPLOYEE FINANCIAL RESPONSIBILITY
25
SELF DECLARATION OF ALCOHOL MISUSE OR DRUG USE
26
APPENDIX A
27
DRUG & ALCOHOL PROGRAM PERSONNEL
APPENDIX B
28
29
EFFECTS OF DRUGS AND ALCOHOL ON THE BODY
PRESCRIBED MEDICATIONS
30
MARIJUANA
30
COCAINE
31
AMPHETAMINES & METHAMPHETAMINES
33
OPIATES
34
PHENCYCLIDINE (PCP)
35
MDMA - Ecstasy
36
ALCOHOL
38
AUTHORIZED SIGNATURE / IMPLEMENTATION
41
58
1. SCOPE
It is the intent of Company to implement a zero tolerance drug and alcohol-testing program
in compliance with the United States Department of Transportation and Federal Transit
Administration Regulations. This program is designed to help prevent accidents, injuries,
and fatalities resulting from the misuse of alcohol and the use of prohibited drugs by covered
employees who perform safety-sensitive functions. Participation in this drug and alcoholtesting program is a required condition of employment.
The Omnibus Transportation Employee Testing Act of 1991 (Omnibus Act) mandated
testing protocols for each operating administration of the United States Department of
Transportation (USDOT). The USDOT implemented those testing procedures by developing
regulations under 49 CFR, Part 40, “Procedures for Transportation Workplace Drug and
Alcohol Testing Programs.” In addition, the Federal Transit Administration (FTA) created its
own additional regulations under 49 CFR, Part 655, “Prevention of Alcohol Misuse and
Prohibited Drug Use in Transit Operations.” Part 655 requires subject companies,
employers, recipients, and contractors “who stand in the shoes of” any recipient, receiving
financial assistance from the FTA, to implement a drug and alcohol-testing program.
As used in this policy, any further reference to “employer,” “company” or “contractor” shall
mean Company. Each reference to an “employee” shall mean an applicant, full time or parttime employee of Company.
This drug and alcohol policy is intended to summarize the regulations published at 49 CFR,
Parts 40 and 655 and other applicable regulations. It is not intended to replace or supersede
the adopted rules, but to inform covered employees of the basic requirements and support
the company drug and alcohol program. All questions or issues concerning the actual
meaning of the drug and alcohol rules should be directed to the actual published
regulations.
From time to time, the USDOT and its respective operating administrations revise the rules
and regulations on drug and alcohol testing. These final rules and revisions are published in
the Federal Register and shall have the same effect as those published in the actual
regulations.
The most recent revision involved changes to the testing procedures/protocols and drugs for
which DOT mandates testing. These revisions were required by the Omnibus Act to coincide
with recent revisions to the HHS Mandatory Guidelines for Federal Workplace Drug Testing
Programs and adopted by the US Department of Transportation for federally-regulated
transportation employees, effective October 1, 2010.
59
2.
APPLICABILITY
The FTA Regulations, Part 655 applies to all covered employees performing safety-sensitive
functions. Any covered employee who performs or will perform a safety-sensitive function,
as defined under of the Federal Transit Administration Regulations, §655.4 and this policy
will be subject to the drug and alcohol testing rules. Safety-sensitive functions include:
 Operating a revenue service vehicle, including when not in revenue service;
 Operating a non-revenue service vehicle, when required to operated by a holder of a
Commercial Driver’s License;
 Controlling dispatch or movement of a revenue service vehicle;
 Maintaining (including repairs, overhaul and rebuilding) a revenue service vehicle or
equipment used in revenue service; or
 Carrying a firearm for security purposes.
This program applies to contract employees, contractors and vendors when they are on Port
Authority property and performing any Port Authority related safety-sensitive business.
3.
DEFINITIONS
The following definitions used in this policy are derived from 49 CFR, Part 40 unless
otherwise noted after the specific definitions. Specific noted definitions are derived from
other related regulations published at 49 CFR, Parts 382, 383 and 655:
Accident - (49 CFR §655.4) means an occurrence associated with the operation of a
vehicle, if as a result:
(1) An individual dies; or
(2) An individual suffers bodily injury and immediately receives medical treatment away
from the scene of the accident; or
(3) With respect to an occurrence in which the mass transit vehicle involved is a bus,
electric bus, van, or automobile, one or more vehicles (including non-FTA funded
vehicles) incurs disabling damage as the result of the occurrence and such vehicle or
vehicles are transported away from the scene by a tow truck or other vehicle; or
(4) With respect to an occurrence in which the mass transit vehicle involved is a rail car,
trolley car, trolley bus, or vessel, the mass transit vehicle is removed from operation.
Adulterated specimen - A specimen that has been altered, as evidenced by test results
showing either a substance that is not a normal constituent for that type of specimen or
showing an abnormal concentration of an endogenous substance.
Air blank - In evidential breath testing devices (EBTs) using gas chromatography
technology, a reading of the device’s internal standard. In all other EBTs, a reading of
ambient air containing no alcohol.
Alcohol - The intoxicating agent in beverage alcohol, ethyl alcohol or other low molecular
weight alcohols, including methyl or isopropyl alcohol.
60
Alcohol concentration (AC) - The alcohol in a volume of breath expressed in terms of
grams of alcohol per 210 liters of breath as indicated by a breath test under Part 40.
Alcohol confirmation test - A subsequent test using an EBT, following a screening test
with a result of 0.02 or greater, that provides quantitative data about the alcohol
concentration.
Alcohol screening device (ASD) - A breath or saliva device, other than an EBT, that is
approved by the National Highway Traffic Safety Administration (NHTSA) and placed on a
conforming products list (CPL) for such devices.
Alcohol screening test - An analytic procedure to determine whether an employee may
have a prohibited concentration of alcohol in a breath or saliva specimen.
Alcohol testing site - A place selected by the employer where employees present
themselves for the purpose of providing breath or saliva for an alcohol test.
Alcohol use - The drinking or swallowing of any beverage, liquid mixture or preparation
(including any medication), containing alcohol.
Aliquot - A fractional part of a specimen used for testing. It is taken as a sample
representing the whole specimen.
Blind specimen or blind performance test specimen - A specimen submitted to a
laboratory for quality control testing purposes, with a fictitious identifier, so that the
laboratory cannot distinguish it from an employee specimen.
Breath Alcohol Technician (BAT) - A person who instructs and assists employees in the
alcohol testing process and operates an evidential breath testing device.
Cancelled test - A drug or alcohol test that has a problem identified that cannot be or has
not been corrected, or which this part otherwise requires to be cancelled. A cancelled test is
neither a positive nor a negative test.
Chain of custody - The procedure used to document the handling of the urine specimen
from the time the employee gives the specimen to the collector until the specimen is
destroyed. This procedure uses the Federal Drug Testing Custody and Control Form (CCF).
Confirmatory drug test - A second analytical procedure performed on a different aliquot of
the original specimen to identify and quantify the presence of a specific drug or drug
metabolite.
Confirmatory validity test - A second test performed on a different aliquot of the original
urine specimen to further support a validity test result.
Confirmed drug test - A confirmation test result received by an MRO from a laboratory.
Collector - A person who instructs and assists employees at a collection site, who receives
and makes an initial inspection of the specimen provided by those employees, and who
initiates and completes the CCF.
61
Collection container - A container into which the employee urinates to provide the
specimen for a drug test.
Collection site - A place selected by the employer where employees present themselves
for the purpose of providing a urine specimen for a drug test.
Commercial driver’s license (CDL) - (49 CFR, §383.5) means a license issued by a State
or other jurisdiction, in accordance with the standards contained in 49 CFR Part 383, to an
individual which authorizes the individual to operate a class of a commercial motor vehicle.
Commercial motor vehicle - means a motor vehicle or combination of motor vehicles used
in commerce to transport passengers or property if the vehicle: (49 CFR §382.107)
(1) Has a gross combination weight rating of 26,001 or more pounds inclusive of a towed
unit with a gross vehicle weight rating of more than 10,000 pounds; or
(2) Has a gross vehicle weight rating of 26,001 or more pounds; or
(3) Is designed to transport 16 or more passengers, including the driver; or
(4) Is of any size and is used in the transportation of materials found to be hazardous
and which require the motor vehicle to be placarded under the Hazardous Materials
Regulations.
Consortium/Third-party administrator (C/TPA) - A service agent that provides or
coordinates the provision of a variety of drug and alcohol testing services to employers.
C/TPAs typically perform administrative tasks concerning the operation of the employers’
drug and alcohol testing programs. This term includes, but is not limited to, groups of
employers who join together to administer, as a single entity, the DOT drug and alcohol
testing programs of its members. C/TPAs are not ‘‘employers’’ for purposes of Part 40.
Contractor - (49 CFR §655.4) means a person or organization that provides a safetysensitive service for a recipient, sub-recipient, employer, or operator consistent with a
specific understanding or arrangement. The understanding can be a written contract or an
informal arrangement that reflects an ongoing relationship between the parties.
Covered employee - (49 CFR §655.4) means a person, including an applicant or
transferee, who performs or will perform a safety-sensitive function for an entity subject to
Part 655. A volunteer is a covered employee if:
(1) The volunteer is required to hold a commercial driver’s license to operate the vehicle;
or
(2) The volunteer performs a safety-sensitive function for an entity subject to this part
and receives remuneration in excess of his or her actual expenses incurred while
engaged in the volunteer activity.
Designated employer representative (DER) - An employee authorized by the employer to
take immediate action(s) to remove employees from safety-sensitive duties, or cause
employees to be removed from these covered duties, and to make required decisions in the
testing and evaluation processes. The DER also receives test results and other
communications for the employer, consistent with the requirements of this part. Service
agents cannot act as DERs.
Dilute specimen - A urine specimen with creatinine and specific gravity values that are
lower than expected for human urine.
62
Disabling damage - (49 CFR §655.4) means damage that precludes departure of a motor
vehicle from the scene of the accident in its usual manner in daylight after simple repairs.
(1) Inclusion - Damage to a motor vehicle, where the vehicle could have been driven,
but would have been further damaged if so driven.
(2) Exclusions - (i) Damage that can be remedied temporarily at the scene of the
accident without special tools or parts.
(ii) Tire disablement without other damage even if no spare tire is available.
(iii) Headlamp or tail light damage.
(iv) Damage to turn signals, horn, or windshield wipers, which makes the vehicle
inoperable.
Drugs - The drugs for which tests are required under Part 40 and DOT agency regulations
are marijuana, cocaine, amphetamines, phencyclidine (PCP), and opiates.
Employee - Any person who is designated in a DOT agency regulation as subject to drug
testing and/or alcohol testing. The term includes individuals currently performing safetysensitive functions designated in DOT agency regulations and applicants for employment
subject to pre-employment testing. For purposes of drug testing under Part 40, the term
employee has the same meaning as the term ‘‘donor’’ as found on CCF and related
guidance materials produced by the Department of Health and Human Services.
Employer - (49 CFR, §40.3 and §655.4 combined) A person or entity employing one or
more employees (including an individual who is self-employed), a recipient or other entity
that provides mass transportation service or which performs a safety-sensitive function for
such recipient or other entity, and is subject to DOT agency regulations requiring
compliance with Parts 40 and 655. The term includes an employer’s officers,
representatives, management personnel, sub-recipients, operators, and contractors. Service
agents are not employers for the purposes of Parts 40 and 655.
Evidential Breath Testing Device (EBT) - A device approved by NHTSA for the evidential
testing of breath at the .02 and .04 alcohol concentrations, placed on NHTSA’s Conforming
Products List (CPL) for ‘‘Evidential Breath Measurement Devices’’ and identified on the CPL
as conforming with the model specifications available from NHTSA’s Traffic Safety Program.
HHS - The Department of Health and Human Services or any designee of the Secretary,
Department of Health and Human Services.
Initial drug test (also known as a ‘‘Screening drug test’’) -The test used to differentiate a
negative specimen from one that requires further testing for drugs or drug metabolites.
Initial specimen validity test -The first test used to determine if a urine specimen is
adulterated, diluted, substituted, or invalid.
Invalid drug test - The result reported by an HHS-certified laboratory in accordance with
the criteria established by HHS Mandatory Guidelines when a positive, negative,
adulterated, or substituted result cannot be established for a specific drug or specimen
validity test.
63
Laboratory - Any U.S. laboratory certified by HHS under the National Laboratory
Certification Program as meeting the minimum standards of Subpart C of the HHS
Mandatory Guidelines for Federal Workplace Drug Testing Programs; or, in the case of
foreign laboratories, a laboratory approved for participation by DOT under this part.
Limit of Detection (LOD) - The lowest concentration at which a measurand can be
identified, but (for quantitative assays) the concentration cannot be accurately calculated.
Limit of Quantitation - For quantitative assays, the lowest concentration at which the
identity and concentration of the measurand can be accurately established.
Medical Review Officer (MRO) - A person who is a licensed physician and who is
responsible for receiving and reviewing laboratory results generated by an employer’s drug
testing program and evaluating medical explanations for certain drug test results.
Negative result - The result reported by an HHS-certified laboratory to an MRO when a
specimen contains no drug or the concentration of the drug is less than the cutoff
concentration for the drug or drug class and the specimen is a valid specimen.
Non-negative specimen - A urine specimen that is reported as adulterated, substituted,
positive (for drug(s) or drug metabolite(s)), and/or invalid.
Oxidizing adulterant - A substance that acts alone or in combination with other substances
to oxidize drugs or drug metabolites to prevent the detection of the drug or drug metabolites,
or affects the reagents in either the initial or confirmatory drug test.
Performing (a safety-sensitive function) - (49 CFR §655.4) means a covered employee is
considered to be performing a safety-sensitive function and includes any period in which he
or she is actually performing, ready to perform, or immediately available to perform such
functions.
Positive result - The result reported by an HHS-certified laboratory when a specimen
contains a drug or drug metabolite equal to or greater than the cutoff concentrations.
Primary specimen - In drug testing, the urine specimen bottle that is opened and tested by
a first laboratory to determine whether the employee has a drug or drug metabolite in his or
her system; and for the purpose of validity testing. The primary specimen is distinguished
from the split specimen.
Recipient - (49 CFR §655.4) means an entity receiving Federal financial assistance under
49 U.S.C. 5307, 5309, or 5311; or under 23 U.S.C.
Reconfirmed - The result reported for a split specimen when the second laboratory is able
to corroborate the original result reported for the primary specimen.
Rejected for testing - The result reported by an HHS-certified laboratory when no tests are
performed for a specimen because of a fatal flaw or a correctable flaw that is not corrected.
64
Safety-sensitive function - (49 CFR §655.4) means any of the following duties, when
performed by employees of recipients, sub-recipients, operators, or contractors:
(1) Operating a revenue service vehicle, including when not in revenue service;
(2) Operating a non-revenue service vehicle, when required to be operated by a holder
of a Commercial Driver’s License;
(3) Controlling dispatch or movement of a revenue service vehicle;
(4) Maintaining (including repairs, overhaul and rebuilding) a revenue service vehicle or
equipment used in revenue service.
(5) Carrying a firearm for security purposes.
Screening drug test - See Initial drug test above.
Screening Test Technician (STT) - A person who instructs and assists employees in the
alcohol testing process and operates an ASD.
Service agent - Any person or entity, other than an employee of the employer, who
provides services specified under this part to employers and/or employees in connection
with DOT drug and alcohol testing requirements. This includes, but is not limited to,
collectors, BATs and STTs, laboratories, MROs, substance abuse professionals, and
C/TPAs.
Shipping container - A container that is used for transporting and protecting urine
specimen bottles and associated documents from the collection site to the laboratory.
Specimen bottle - The bottle that, after being sealed and labeled according to the
procedures in Part 40, is used to hold the urine specimen during transportation to the
laboratory.
Split specimen - In drug testing, a part of the urine specimen that is sent to a first laboratory
and retained unopened, and which is transported to a second laboratory in the event that
the employee requests that it be tested following a verified positive test of the primary
specimen or a verified adulterated or substituted test result.
Split specimen collection - A collection in which the urine collected is divided into two
separate specimen bottles, the primary specimen (Bottle A) and the split specimen (Bottle
B).
Stand-down - The practice of temporarily removing an employee from the performance of
safety-sensitive functions based only on a report from a laboratory to the MRO of a
confirmed positive test for a drug or drug metabolite, an adulterated test, or a substituted
test, before the MRO has completed verification of the test result.
Substance Abuse Professional (SAP) - A person who evaluates employees who have
violated a DOT drug and alcohol regulation and makes recommendations concerning
education, treatment, follow-up testing, and aftercare.
Substituted specimen - A urine specimen with creatinine and specific gravity values that
are so diminished or so divergent that they are not consistent with normal human urine.
65
Vehicle - (49 CFR §655.4) means a bus, electric bus, van, automobile, rail car, trolley car,
trolley bus, or vessel. A mass transit vehicle is a vehicle used for mass transportation or for
ancillary services.
Verified test - A drug test result or validity testing result from an HHS-certified laboratory
that has undergone review and final determination by the MRO.
4.
DRUGS/ALCOHOL TESTED
49 CFR, Part 40 and DOT agency regulations authorizes the testing for the following drugs
and their metabolites:





Amphetamines, methamphetamines
Including MDMA (“Ecstasy”), MDA & MDEA (Effective 10-1-2010)
Cocaine
Marijuana
Opiates
Including 6 – Acetylmorphine (6 AM) (Effective 10-1-2010)
Phencyclidine (PCP)
AND

5.
Alcohol
TYPES OF TESTING
A. Pre-employment Testing
Prior to the first time a covered employee performs safety-sensitive functions for the
company, the applicant or employee shall submit to a pre-employment test for controlled
substances. Any offer of a safety-sensitive position is contingent upon the applicant or
employee successfully completing the test with a MRO-verified negative result.
An employee transferring into a safety-sensitive position for the first time must also
submit to a pre-employment drug test and successfully complete the test with a MROverified negative result. The employee will not be able to perform safety-sensitive
functions for the company until the test results are received.
When a covered employee or applicant has not performed a safety-sensitive function for
90 consecutive calendar days regardless of the reason, and the employee has not been
in the company’s random selection pool during that time, the company shall ensure that
the employee takes a pre-employment drug test with a verified negative result.
66
B. Post-Accident Testing
Fatal Accidents –
Any surviving covered employee operating a mass transit vehicle at the time of the
accident will be drug and alcohol tested. If the operator were tested under the fatal
accident testing requirements of the Federal Motor Carrier Safety Administration
(FMCSA), 49 CFR, §382.303, testing under Part 655 would not be required. If it is
determined any other covered employee’s performance could have contributed to the
accident that covered employee may be drug and alcohol tested also.
Nonfatal Accidents –
Any covered employee operating a mass transit vehicle at the time of the accident will
be drug and alcohol tested unless the employer determines the employee’s performance
can be discounted as a contributing factor to the accident. If it is determined any other
covered employee’s performance could have contributed to the accident that covered
employee may be drug and alcohol tested also.
Every reasonable attempt will be made to conduct testing as soon as practicable
following an accident. If an alcohol test is not administered within the first 2 (two) hours
following the accident the company will prepare and maintain a record stating the
reasons the alcohol test was not promptly administered. If alcohol testing is not
administered within 8 (eight) hours and drug testing is not administered within 32 (thirtytwo) hours following the accident, all attempts at testing will be curtailed.
If a covered employee fails to remain readily available or leaves the scene of the
accident, prior to required testing without notifying the employer or the employer
representative of his or her location, the employee may be deemed to have refused to
submit to testing. Required testing shall not delay the administration of necessary
medical attention, or seeking of necessary medical attention for injuries following an
accident.
Alcohol testing will only be performed while the covered employee is performing safetysensitive functions; just before the employee is to perform safety-sensitive functions; or
just after the employee has ceased performing such functions. Drug testing is typically
performed during normal duty hours but may be performed at anytime. However, the
maximum time limitations set forth above (8 hours for alcohol testing and 32 hours for
drug testing) shall prevail.
C.
Random Testing
Random testing will be conducted on an unannounced and unpredictable basis
throughout the year. The random sampling will be conducted using an approved random
number system based upon a unique identification number (social security number or
employee ID number) assigned to each safety-sensitive employee. The random testing
rates for controlled substance and alcohol will be conducted in compliance with FTA
annual minimum random rates as set forth in the Federal Register as per 49 CFR, Part
655, §655.45(b) and are subject to change on an annual basis.
67
The minimum number of random tests for controlled substances and alcohol, per
selection period, will be calculated as follows: Multiply the number of safety-sensitive
employees per selection period by the annual random percentage rates, and divide by
the number of selection periods. All fractions of numbers shall be rounded up. Only
completed tests with verified results can be used to meet annual random rates.
Each randomly selected employee shall proceed to the test site immediately upon
notification. Failure to appear at the collection/testing site within a reasonable period of
time given the distance traveled may be deemed as failure to cooperate with the testing
process and the collection/test being declared as a “refusal to test.” If the randomly
selected donor is delayed while reporting to the collection/testing site for any reason,
he/she shall immediately advise his/her supervisor or the company designated DER.
Random alcohol testing will only be performed while the covered employee is performing
safety-sensitive functions; just before the employee is to perform safety-sensitive
functions; or just after the employee has ceased performing such functions. Random
drug testing is typically performed during normal duty hours but may be performed at
anytime.
D. Reasonable Suspicion Testing
The company shall require an employee to submit to a controlled substance and/or
alcohol test when the employer has reasonable suspicion to believe the employee has
violated the prohibitions of 49 CFR, Part 655, Subparts C & D, and/or the prohibited
conduct identified in Section 8 of this policy. The company’s determination that
reasonable suspicion exists to require an employee to undergo testing must be based
upon specific, contemporaneous, articulable observations concerning the appearance,
behavior, and speech or body odors of the employee. The observations may include
indications of the chronic and withdrawal effects of controlled substances.
The observations, required for reasonable suspicion testing, shall be made by a
supervisor or company official who is trained as described in Section 10 of this policy.
The person who makes the determination that reasonable suspicion exists for alcohol
testing shall not conduct the test. Alcohol testing is authorized only if the observations
are made during, just proceeding, or just after the period the driver is performing safetysensitive functions. The alcohol test should be administered within 2 (two) hours
following the reasonable suspicion determination and in no event later than 8 (eight)
hours.
The company shall prepare a written record of the observations leading to a controlled
substance and/or alcohol reasonable suspicion test. The record shall be signed by the
supervisor or company official who made the observations, within 24 hours of the
observed behavior or before the results of the controlled substance test are released,
whichever is earlier.
68
E. Return-to-Duty Testing
Before the company can consider accepting an application from any person who has
previously tested positive for drug (s) or alcohol, that person must first provide written
proof he/she has completed the referral, evaluation and treatment process of 49 CFR,
Part 40, Subpart O and has satisfactorily completed return-to-duty testing. The results of
the return-to-duty testing must be an MRO-verified negative drug test and a confirmed
alcohol test with an alcohol concentration of less than 0.02% AC. All return-to-duty tests
must be conducted under direct observation collection procedures. (See section 6-C of
this policy).
F. Follow-up Testing
Before the company can consider accepting an application from any person who has
tested positive for drug (s) or alcohol, that person must first provide written proof he/she
has completed the referral, evaluation and treatment process of 49 CFR, Part 40,
Subpart O and has completed the return-to-duty testing process as noted in Section 5-E
of this policy.
In addition, the person must provide written proof that he/she has successfully
completed all follow-up testing required by the SAP. The number and frequency of
follow-up tests will be at the direction of the SAP, but will consist of at least 6 (six) tests
in the first 12 (twelve) months following the person’s return-to-duty testing. Follow-up
testing shall not exceed 60 (sixty) months from the date of the person’s return-to-duty
testing. All follow-up tests must be conducted under direct observation collection
procedures. (See section 6-C of this policy).
Follow-up alcohol testing will only be performed while the covered employee is
performing safety-sensitive functions; just before the employee is to perform safetysensitive functions; or just after the employee has ceased performing such functions.
Follow-up drug testing is typically performed during normal duty hours but may be
performed at anytime.
6.
TESTING/COLLECTION PROCEDURE INTEGRITY
A. Controlled Substance
The employer, and any service agents utilized in connection with controlled substances
testing, will comply with all DOT regulations intended to ensure the privacy, as well as
the fair and respectful treatment, of the individuals being tested, the security of the
specimens, and the accuracy and confidentiality of the test results. The following DOT
collection guidelines will be used for all DOT drug testing:
1. The collector prepares the collection site to collect urine specimens. All collection
supplies must be available, the area properly secured, water sources secured,
and bluing (coloring) agent placed in all toilets
2. The collector begins the collection without delay after the employee arrives at the
collection site. Do not wait because the employee is not ready or states he or she
69
is unable to urinate. (If an alcohol breath test is also scheduled, the alcohol test
should be conducted first, if practicable.)
3. The collector requests the employee to present an acceptable form of
identification. If the employee cannot produce positive identification, the collector
must contact the DER to verify the identity of the employee. If the employee asks
the collector to provide identification, the collector must show the employee some
form of identification. It must include the collector’s name and the employer’s (or
collection site) name. It does not have to be a picture identification or include the
collector’s home address or telephone number.
4. The collector explains the basic collection procedures to the employee and
reviews the instructions on the back of the CCF with the employee.
5. The collector ensures that the required information is provided at the top of the
CCF (the laboratory name and address and a pre-printed specimen ID number
which matches the ID number on the specimen bottle seals). If the information is
not already preprinted, the collector begins entering the required information in
Step 1 of the CCF (employer's name, address, telephone and fax number, and
I.D. number (if applicable); MRO name, address, telephone and fax number;
employee SSN or employee ID number (refusal by the employee to provide a
SSN is not a refusal to test, but requires the collector to annotate this in the
remarks); reason for test; drug test to be performed; and collection site
information).
6. The collector asks the employee to remove any unnecessary outer clothing (e.g.,
coat, jacket, hat, etc.) and to leave any briefcase, purse, or other personal
belongings he or she is carrying with the outer clothing. The employee may retain
his or her wallet. If the employee asks for a receipt for any belongings left with
the collector, the collector must provide one.
7. The collector directs the employee to empty his or her pockets and display the
items to ensure that no items are present that could be used to adulterate the
specimen. If nothing is there that can be used to adulterate a specimen, the
employee places the items back into the pockets and the collection procedure
continues. If the employee refuses to empty his or her pockets, this is considered
a refusal to cooperate in the testing process.
8. The collector instructs the employee to wash and dry his or her hands, under the
collector's observation, and informs the employee not to wash his or her hands
again until after the employee provides the specimen to the collector. The
employee must not be allowed any further access to water or other materials that
could be used to put into the specimen. If the employee refuses to wash his or
her hands – after being directed to do so – this is a refusal to test.
9. The collector either gives the employee or allows the employee to select the
collection kit or collection container (if it is separate from the kit) from the
available supply. Either the collector or the employee, with both present, then
unwraps or breaks the seal of the kit or collection container.
10. The collector directs the employee to go into the room used for urination, provide
a specimen of at least 45 mL, not to flush the toilet, and return with the specimen
as soon as possible after completing the void. The collector may set a
reasonable time limit for the employee to be inside the bathroom and this time
frame should be explained to the employee.
11. After the employee gives the specimen to the collector, the collector must check
the temperature of the specimen, check the specimen volume, and inspect the
specimen for adulteration or substitution. The collector should check the
temperature of the specimen as soon as the employee hands over the specimen,
70
but no later than four minutes after the employee comes out of the restroom. The
acceptable temperature range is 32°-38°C/ 90°-100°F. Temperature is
determined by reading the temperature strip originally affixed to or placed on the
outside of the collection container. If the temperature is out of range, the collector
marks the “No” box in Step 2 and initiates an observed collection. The collector
then checks to make sure that the specimen contains a sufficient amount of urine
(a minimum of 45 mL for all DOT collections). If the volume is sufficient, the
collector checks the box on the CCF (Step 2) indicating that this was a split
specimen collection. The collector must inspect the specimen for unusual color,
presence of foreign objects or material, or other signs of tampering or
adulteration. If it is apparent from this inspection that the employee has
adulterated or substituted the specimen (e.g., the specimen is blue, exhibits
excessive foaming when shaken, has smell of bleach), a second collection using
direct observation procedures must be conducted immediately. (See Section 6-C
of this policy).
12. After the employee hands the collection container to the collector, the collector
unwraps or opens the specimen bottles. (The employee may be permitted to do
this, however, the recommended “best practice” is for the collector to perform this
procedure.) Bottles may be shrink-wrapped or secured by other easily
discernable tamper-evident methodology and may be wrapped separately or
together.
13. The collector, not the employee, then pours at least 30 mL of urine from the
collection container into a specimen bottle and places the lid/cap on the bottle.
This will be the primary specimen or "A" bottle. The collector, not the employee,
then pours at least 15 mL into a second bottle and places the lid/cap on the
bottle. This will be the "B" bottle used for the split specimen. (The collector may
first pour the requisite amount of specimen into each bottle and then secure the
lids/caps on each bottle.)
14. The collector, not the employee, must then remove the tamper-evident seals
from the CCF and place them on each bottle, ensuring that the seal labeled as
“A” is placed on the primary bottle with at least 30 mL of urine and that the seal
labeled as “B” is placed on the bottle with 15 mL of urine. The seal must be
centered over the lid/cap and down the sides of the bottle to ensure that the
lid/cap cannot be removed without destroying the seal. The collector, not the
employee, writes the date on the seals. The employee is then requested to initial
the seals. The employee must be present to observe the sealing of the specimen
bottles. If the employee fails or refuses to initial the seals, the collector must note
this in the “Remarks” line of the CCF and complete the collection process; this is
not considered a refusal to test.
 If the seal is broken while being removed from the chain of custody form
or during the application of the first seal on the primary bottle, the
collector should transfer the information to a new CCF and use the seals
from the second form.
 If one seal is already in place on a bottle and the second seal is broken
while being removed from the CCF or is broken during application on the
second bottle or while the employee is initialing either seal, the collector
should initiate a new CCF and provide an appropriate comment on the
“Remarks” line in Step 5. The seals from the second CCF should be
placed perpendicular to the original seals to avoid obscuring information
on the original seals and must be initialed by the employee (both sets of
employee initials should match).
71

In both cases, the collector should ensure that all copies of the original
(first) chain of custody form are destroyed or disposed of properly (e.g.,
shredded, torn into pieces).
 If the collector inadvertently reverses the seals (i.e., places the “A” bottle
seal on the split bottle and vise-versa) and the collector subsequently
notices this, the collector should note this in the “Remarks” line and
continue the collection process. Laboratories have procedures that permit
them to “re-designate” the bottles.
15. The collector directs the employee to read, sign, and date the certification
statement, and provide date of birth, printed name, and day and evening contact
telephone numbers in Step 5 of Copy 2 of the CCF.
16. The collector completes the collector’s portion of the chain of custody on the CCF
(Copy 1, Step 4) by printing his or her name (the name may be pre-printed),
recording the date and time of the collection, signing where indicated, and
entering the specific name of the delivery or courier service transferring the
specimens to the laboratory.
17. The collector then ensures that all copies of the CCF are legible and complete.
The collector removes Copy 5 from the CCF and gives it to the employee.
18. The collector places the specimen bottles and Copy 1 of the CCF inside the
appropriate pouches of the leak-resistant plastic bag, and seals both pouches. If
the employee has not had the opportunity to wash his or her hands, they may do
so now. The collector then informs the employee that he or she may leave the
collection site.
B. Alcohol
As the BAT or STT you will take the following steps to begin all alcohol screening tests,
regardless of the type of testing device you are using. As the STT or BAT, you must
take the following steps when using the EBT:
1. When a specific time for an employee's test has been scheduled, or the
collection site is at the employee's worksite, and the employee does not appear
at the collection site at the scheduled time, the BAT or STT will contact the DER
to determine the appropriate interval within which the DER has determined the
employee is authorized to arrive. If the employee's arrival is delayed beyond that
time, the BAT or STT must notify the DER that the employee has not reported for
testing. If the employee does not appear, the BAT or SST must notify the
employee that he or she has refused to test.
2. When the employee enters the alcohol testing site, the BAT or STT will begin the
alcohol testing process without undue delay. The BAT or STT must not wait
because the employee says he or she is not ready or because an authorized
employer or employee representative is delayed in arriving. If the employee is
also going to take a DOT drug test, the BAT or STT must, to the greatest extent
practicable, ensure that the alcohol test is completed before the urine collection
process begins.
3. If the employee needs medical attention (e.g., an injured employee in an
emergency medical facility who is required to have a post-accident test), the BAT
or STT does not delay this treatment to conduct a test.
4. The BAT or STT will require the employee to provide positive identification such
as a photo ID issued by the employer or a Federal, state, or local government
(e.g., a driver's license). The BAT or STT may not accept faxes or photocopies of
72
identification. Positive identification by an employer representative (not a coworker or another employee being tested) is also acceptable. If the employee
cannot produce positive identification, the BAT or STT must contact a DER to
verify the identity of the employee.
5. The BAT or STT must provide identification to the employee if asked. The
identification must include the BAT’s or STT’s name and employer's name but is
not required to include the BAT’s or STT’s picture, address, or telephone
number.
6. The BAT or STT will explain the testing procedure to the employee, including
showing the employee the instructions on the back of the ATF.
 Complete Step 1 of the ATF.
 Direct the employee to complete Step 2 on the ATF and sign the
certification. If the employee refuses to sign this certification, the BAT or
STT must document this refusal on the “Remarks” line of the ATF and
immediately notify the DER. This is a refusal to test.
7. The BAT or STT will select, or allow the employee to select, an individually
wrapped or sealed mouthpiece from the testing materials.
8. The BAT or STT will open the individually wrapped or sealed mouthpiece in view
of the employee and insert it into the device in accordance with the
manufacturer's instructions.
9. The BAT or STT will instruct the employee to blow steadily and forcefully into the
mouthpiece for at least six seconds or until the device indicates that an adequate
amount of breath has been obtained. Show the employee the displayed test
result.
10. If the device is one that prints the test number, testing device name and serial
number, time, and result directly onto the ATF, the BAT or STT must check to
ensure that the information has been printed correctly onto the ATF.
11. If the device is one that prints the test number, testing device name and serial
number, time and result, but on a separate printout rather than directly onto the
ATF, the BAT or STT must affix the printout of the information to the designated
space on the ATF with tamper-evident tape or use a self-adhesive label that is
tamper-evident.
12. If the device is one that does not print the test number, testing device name and
serial number, time, and result, or it is a device not being used with a printer, the
BAT or STT must record this information in Step 3 of the ATF.
As the STT or BAT, you must take the following steps when using the saliva ASD:
1. Check the expiration date on the device or on the package containing the device
and show it to the employee. You may not use the device after its expiration
date.
2. Open an individually wrapped or sealed package containing the device in the
presence of the employee.
3. Offer the employee the opportunity to use the device. If the employee uses it, you
must instruct the employee to insert it into his or her mouth and use it in a
manner described by the device's manufacturer.
4. If the employee chooses not to use the device, or in all cases in which a new test
is necessary because the device did not activate, you must insert the device into
the employee's mouth and gather saliva in the manner described by the device's
manufacturer. You must wear single-use examination or similar gloves while
doing so and change them following each test.
73
5. When the device is removed from the employee's mouth, you must follow the
manufacturer's instructions regarding necessary next steps in ensuring that the
device has activated.
 If you were unable to successfully follow the procedures of paragraphs 3
through 5 above (e.g., the device breaks, you drop the device on the
floor), you must discard the device and conduct a new test using a new
device.
 The new device you use must be one that has been under your control or
that of the employee before the test.
 You must note on the “Remarks” line of the ATF the reason for the new
test. (Note: You may continue using the same ATF with which you began
the test.)
 You must offer the employee the choice of using the device or having you
use it unless the employee, in the opinion of the STT or BAT, was
responsible (e.g., the employee dropped the device) for the new test
needing to be conducted.
 If you are unable to successfully follow the procedures of paragraphs 3
through 5 above on the new test, you must end the collection and put an
explanation on the “Remarks” line of the ATF.
 You must then direct the employee to take a new test immediately, using
an EBT for the screening test.
6. If you are able to successfully follow the procedures of paragraphs (a)(3)—(a)(5)
of this section, but the device does not activate, you must discard the device and
conduct a new test, in the same manner as provided in paragraph (a)(6) of this
section. In this case, you must place the device into the employee's mouth to
collect saliva for the new test.
7. You must read the result displayed on the device no sooner than the device's
manufacturer instructs. In all cases the result displayed must be read within 15
minutes of the test. You must then show the device and it's reading to the
employee and enter the result on the ATF.
8. You must never re-use devices, swabs, gloves or other materials used in saliva
testing.
9. You must note the fact that you used a saliva ASD in Step 3 of the ATF.
If the test result is an alcohol concentration of less than 0.02, as the BAT or STT, you
must do the following:
1. Sign and date Step 3 of the ATF; and transmit the result to the DER in a
confidential manner.
If the test result is an alcohol concentration of 0.02 or higher, as the BAT or STT, you
must direct the employee to take a confirmation test.
1. If you are the BAT who will conduct the confirmation test, you must then conduct
the test using the procedures beginning at §40.251. If you are not the BAT who
will conduct the confirmation test, direct the employee to take a confirmation test,
sign and date Step 3 of the ATF, and give the employee Copy 2 of the ATF.
2. If the confirmation test will be performed at a different site from the screening
test, you must take the following additional steps:
74

Advise the employee not to eat, drink, put anything (e.g., cigarette,
chewing gum) into his or her mouth, or belch;
 Tell the employee the reason for the waiting period required by
§40.251(a) (i.e., to prevent an accumulation of mouth alcohol from
leading to an artificially high reading);
 Explain that following your instructions concerning the waiting period is to
the employee's benefit;
 Explain that the confirmation test will be conducted at the end of the
waiting period, even if the instructions have not been followed;
 Note on the “Remarks” line of the ATF that the waiting period instructions
were provided;
 Instruct the person accompanying the employee to carry a copy of the
ATF to the BAT who will perform the confirmation test; and
 Ensure that you or another BAT, STT, or employer representative
observes the employee as he or she is transported to the confirmation
testing site. You must direct the employee not to attempt to drive a motor
vehicle to the confirmation testing site.
3. If the screening test is invalid, you must, as the BAT or STT, tell the employee
the test is cancelled and note the problem on the “Remarks” line of the ATF.
4. You must ensure that the waiting period lasts at least 15 minutes, starting with
the completion of the screening test. After the waiting period has elapsed, you
should begin the confirmation test as soon as possible, but not more than 30
minutes after the completion of the screening test.
5. Concerning the waiting period, you must tell the employee not to eat, drink, put
anything (e.g., cigarette, chewing gum) into his or her mouth, or belch.
6. If you become aware that the employee has not followed the instructions, you
must note this on the “Remarks” line of the ATF.
7. If you did not conduct the screening test for the employee, you must require
positive identification of the employee, explain the confirmation procedures, and
use a new ATF. You must note on the “Remarks” line of the ATF that a different
BAT or STT conducted the screening test.
 Complete Step 1 of the ATF.
 Direct the employee to complete Step 2 on the ATF and sign the
certification. If the employee refuses to sign this certification, you must
document this refusal on the “Remarks” line of the ATF and immediately
notify the DER. This is a refusal to test.
8. In the presence of the employee, you must conduct an air blank on the EBT you
are using before beginning the confirmation test and show the reading to the
employee.
9. If the reading is 0.00, the test may proceed. If the reading is greater than 0.00,
you must conduct another air blank. If the reading on the second air blank is
0.00, the test may proceed. If the reading is greater than 0.00, you must take the
EBT out of service.
10. You must open a new individually wrapped or sealed mouthpiece in view of the
employee and insert it into the device in accordance with the manufacturer's
instructions.
11. You must ensure that you and the employee read the unique test number
displayed on the EBT.
75
12. You must instruct the employee to blow steadily and forcefully into the
mouthpiece for at least six seconds or until the device indicates that an adequate
amount of breath has been obtained.
13. You must show the employee the result displayed on the EBT. You must show
the employee the result and unique test number that the EBT prints out either
directly onto the ATF or onto a separate printout.
14. If the EBT provides a separate printout of the result, you must attach the printout
to the designated space on the ATF with tamper-evident tape, or use a selfadhesive label that is tamper-evident.
After the EBT has printed the result of an alcohol confirmation test, you must, as the
BAT, take the following additional steps:
1. Sign and date Step 3 of the ATF.
2. If the alcohol confirmation test result is lower than 0.02, nothing further is
required of the employee. As the BAT, you must sign and date Step 3 of the ATF.
3. If the alcohol confirmation test result is 0.02 or higher, direct the employee to sign
and date Step 4 of the ATF. If the employee does not do so, you must note this
on the “Remarks” line of the ATF. However, this is not considered a refusal to
test.
4. If the test is invalid, tell the employee the test is cancelled and note the problem
on the “Remarks” line of the ATF. If practicable, conduct a re-test.
5. Immediately transmit the result directly to the DER in a confidential manner.
C. Direct Observation Collections
The Department of Transportation has revised the circumstances under which a urine
recollection is conducted according to the direct observed collection procedures. There
has been ample evidence suggesting that more and more devices are available in the
market place designed to tamper with specimens (for example, devices expressly
designed to bring “clean” urine into collection sites so specimens would test
negative). Many of these were designed to be undetected even if specimens were
observed using the old procedures.
The following conditions had already required the MRO to direct the employer to conduct
an immediate recollection under direct observation procedures:
1. The laboratory reported to the MRO that a specimen is invalid, and the MRO
reported to the DER that there was not an adequate medical explanation for the
result;
2. The MRO reported to the DER that the original positive, adulterated, or
substituted result had to be cancelled because the test of the split specimen
could not be performed; or
3. The laboratory reported to the MRO that the specimen was negative-dilute with a
creatinine concentration greater than or equal to 2 mg/dL but less than or equal
to 5 mg/dL, and the MRO reported the specimen to the DER as negative-dilute
and that a second collection must take place under direct observation.
In addition, effective August 25, 2008 the following circumstances now require:
1. As an employer, the DER must direct a collection under direct observation of an
employee if the drug test is a return-to-duty test or a follow-up test.
76
The collector, when directed by the DER, will continue to immediately conduct a
collection under direct observation if:
1. The collector observed materials brought to the collection site or the employee's
conduct clearly indicates an attempt to tamper with a specimen, or
2. The temperature on the original specimen was out of range, or
3. The original specimen appeared to have been tampered with.
The new direct observation procedures require the collector or observer to check for
prosthetic devices that would permit an employee to bring “foreign” or “clean” urine to
the collection site when an employee is subject to a directly observed collection. The
new guidelines state that employees must be instructed to raise clothing, just above the
navel; lower clothing, to mid-thigh; then turn around to show the same gender collectors
or observers they do not have prosthetic devices for beating the tests. If no device is
detected, the employee is permitted to return clothing to its proper observed-collection
position. Then the observed collection will take place.
7.
RELEASE OF CONFIDENTIAL INFORMATION
All controlled substances and alcohol testing results as well as related medical records and
information must be kept confidential. Each employee has a right to have a copy of his/her
test results and associated reports upon written request. Employers, upon signed release by
the donor, shall release drug and alcohol testing information to prospective employers.
Employers shall release information pertaining to an employee’s drug and alcohol test
results without the employee’s consent to local, state, federal authorities conducting official
investigations or in certain legal proceedings. These proceedings include a criminal or civil
action resulting from an employee’s performance of safety-sensitive duties, in which a court
of competent jurisdiction determines that the drug or alcohol test information sought is
relevant to the case.
When an employee speaks to the MRO during the verification process, it is important to
know he/she must cooperate with the MRO during the confidential interview. The employee
is to provide any information helpful to the MRO in the verification process when he/she
discusses a confirmed positive, adulterated, substituted or invalid test.
The MRO is required to release any confidential drug test information as well as medical
information affecting the employee’s performance of safety-sensitive functions to third
parties, including the employer. This information can be released without the consent of the
employee.
Before any employee or applicant can perform safety-sensitive functions, the employer, after
obtaining the employee/applicant’s written consent, will first check and verify the
employee/applicant’s participation in any DOT-regulated drug and alcohol program during
the preceding 2 (two) years. The employer will verify the information identified in 49 CFR,
§40.25(b). Failure of any employee/applicant to provide written consent to release the
identified information will prohibit that person from performing safety-sensitive work.
Newly adopted Part 40 provisions authorize employers, effective June 13, 2008, to disclose
to State commercial driver licensing (CDL) authorities the drug and alcohol violations of
employees who hold CDLs and operate commercial motor vehicles (CMVs), when a State
77
law requires such reporting. This rule also permits third-party administrators (TPAs) to
provide the same information to State CDL licensing authorities where State law requires
the TPAs to do so for owner-operator CMV drivers with CDLs. (See 73 FR, June 13, 2008).
8.
PROHIBITED CONDUCT
No employer having actual knowledge that an employee has violated these prohibitions
shall permit the employee to perform or continue to perform safety-sensitive functions.
A. On Duty Use
No employee shall use alcohol while performing safety-sensitive functions. If an
employer has actual knowledge that an employee is using alcohol while performing
safety-sensitive functions, the employee shall be removed from safety-sensitive
functions immediately.
B. Pre-Duty Use
No employee shall perform safety-sensitive functions within four hours after using
alcohol. If an employer has actual knowledge that an employee has used alcohol within
4 hours of performing safety-sensitive functions, the employee shall be removed from
safety-sensitive functions immediately.
On-call employees are prohibited from consuming alcohol during that time they are oncall. If the on-call employee is called to report for duty, he/she will be given the
opportunity to acknowledge the use of alcohol and is unable to perform safety-sensitive
functions.
If the on-call employee acknowledges the use of alcohol but claims ability to safely
perform safety-sensitive functions, he/she will be alcohol tested and must have a
confirmed test result of less than 0.02% AC.
C. Use Following an Accident
No employee required to take a post-accident alcohol test shall use alcohol for 8 (eight)
hours following the accident, or until he/she undergoes a post-accident alcohol test,
whichever occurs first.
D. Refusal to Submit to Required Testing
No employee shall refuse to submit to alcohol or controlled substances testing required
under program and described under sections 9-A and 9-B of this policy. If an employer
has actual knowledge that an employee has refused to submit to required testing, the
employee shall be removed from safety-sensitive functions immediately.
E. Controlled Substances Use
No employee shall report for duty or remain on duty requiring the performance of safetysensitive functions when the employee uses any controlled substance, except when the
use is pursuant to the instructions of a licensed medical practitioner who has advised the
employee that the prescribed substance or drug will not adversely affect the employee’s
ability to perform safety-sensitive functions. If an employer has actual knowledge that an
employee has used illegal drugs, the employee shall be removed from safety-sensitive
functions immediately.
78
An employer may require an employee to inform the employer of any therapeutic drug
use.
F. Other Alcohol Related Conduct
An employee having an alcohol concentration of equal to or greater than 0.02% AC, but
less than 0.04% AC, will be removed immediately from safety-sensitive functions until
the start of the employee’s next scheduled shift, which will be no less than 8 (eight)
hours following the test.
No further action will be taken under Part 655 against any employee based solely on
DOT test results showing an alcohol concentration less than 0.04% AC.
9.
REFUSAL-TO-SUBMIT TO TESTING
It is important that an employee knows and understands what constitutes a refusal-to-submit
to testing since he/she could inadvertently put himself/herself in a position that would
warrant appropriate disciplinary action.
An individual who refuses-to-submit to required testing is subject to the same consequences
as an individual who tests positive for drugs. The individual cannot perform safety-sensitive
functions for the employer or any other employer until the requirements of the return to duty
process have been met.
The definition of a refusal-to-submit means a specific action taken by an employee with
respect to the controlled substances and/or alcohol testing process required under Parts
655 and 40. The following criteria constitute a refusal-to-submit to testing under this policy
and applicable regulations:
A. Controlled Substances Testing
When the employee:
(1) Fail to appear for any test (except a pre-employment test) within a reasonable
time, as determined by the employer, consistent with applicable DOT agency
regulations, after being directed to do so by the employer. This includes the
failure of an employee to appear for a test when called by a C/TPA,
(2) Fail to remain at the testing site until the testing process is complete. An
employee who leaves the testing site before the testing process commences for
a pre-employment test is not deemed to have refused to test,
(3) Fail to provide a urine specimen for any drug test required by this part or DOT
agency regulations. An employee who does not provide a urine specimen
because he or she has left the testing site before the testing process commences
for a pre-employment test is not deemed to have refused to test,
(4) In the case of a directly observed or monitored collection in a drug test, fail to
permit the observation or monitoring of your provision of a specimen,
(5) Fail to provide a sufficient amount of urine when directed, and it has been
determined, through a required medical evaluation, that there was no adequate
medical explanation for the failure,
79
(6) Fail or decline to take an additional drug test the employer or collector has
directed you to take,
(7) Fail to undergo a medical examination or evaluation, as directed by the MRO
as part of the verification process, or as directed by the DER under § 40.193(d).
In the case of a pre-employment drug test, the employee is deemed to have
refused to test on this basis only if the pre-employment test is conducted
following a contingent offer of employment. If there was no contingent offer of
employment, the MRO will cancel the test,
(8) Fail to cooperate with any part of the testing process (e.g., refuse to empty
pockets when directed by the collector, behave in a confrontational way that
disrupts the collection process, fail to wash hands after being directed to do so by
the collector),
(9) For an observed collection, fail to follow the observer’s instructions to raise
your clothing above the waist, lower clothing and underpants, and to turn around
to permit the observer to determine if you have any type of prosthetic or other
device that could be used to interfere with the collection process,
(10) Possess or wear a prosthetic or other device that could be used to interfere
with the collection process, or
(11) Admit to the collector or MRO that you adulterated or substituted the
specimen.
B. Alcohol Testing
When the employee:
(1) Fail to appear for any test (except a pre-employment test) within a reasonable
time, as determined by the employer, consistent with applicable DOT agency
regulations, after being directed to do so by the employer. This includes the
failure of an employee (including an owner-operator) to appear for a test when
called by a C/TPA,
(2) Fail to remain at the testing site until the testing process is complete;
Provided, That an employee who leaves the testing site before the testing
process commences for a pre-employment test is not deemed to have refused to
test,
(3) Fail to provide an adequate amount of saliva or breath for any alcohol test
required by this part or DOT agency regulations; Provided, That an employee
who does not provide an adequate amount of breath or saliva because he or she
has left the testing site before the testing process commences for a preemployment test is not deemed to have refused to test,
(4) Fail to provide a sufficient breath specimen, and the physician has
determined, through a required medical evaluation, that there was no adequate
medical explanation for the failure,
(5) Fail to undergo a medical examination or evaluation, as directed by the
employer as part of the insufficient breath procedures outlined at,
(6) Fail to sign the certification at Step 2 of the ATF, or
(7) Fail to cooperate with any part of the testing process.
80
C. Shy Bladder and/or Shy Lung
The drug testing rules require a minimum of amount of urine (45 mL) to perform a valid
DOT drug test. If the employee is unable to provide a sufficient quantity of urine within 3
(three) hours of the first unsuccessful attempt to provide the specimen, also known as
“shy bladder,” the collector shall immediately inform the DER. The DER shall, after
consulting with the MRO, direct the employee to obtain, within 5 days, a medical
evaluation and explanation from a licensed physician acceptable to the MRO. If the
referral physician and the MRO determined there is no valid medical explanation for the
“shy bladder” condition, it shall be declared a refusal to test.
If the employee is unable to provide a sufficient amount of breath, also known as “shy
lung” to permit a valid breath test, the BAT shall immediately inform the DER. The DER
shall, after consulting with the BAT or STT, direct the employee to obtain, within 5 days,
a medical evaluation and explanation from a licensed physician acceptable to the DER.
If the referral physician determined there is no valid medical explanation for the “shy
lung” condition, it shall be declared a refusal to test.
If the employee is unable to provide a sufficient amount of saliva to activate the testing
device and refuses to make additional attempts, it shall be declared a refusal to test.
D. Adulterated, Dilute, Invalid and Substitute specimens
Laboratories are required to conduct validity testing on all incoming specimens to
determine if the urine specimen is adulterated, diluted, invalid or substituted. The lab will
use established HHS Mandatory Guidelines on two separate aliquots (one for the initial,
the other for the confirmation test). If the results are outside the published guidelines the
lab will report the specimen result accordingly.
Once the lab report is received by the MRO, the MRO, after completing the verification
process (generally within 72 hours) will determine the appropriate verified test result
such as negative, positive or invalid.
If the test result and the MRO verification process warrant another test, e.g. (creatinine
concentration is equal to or greater than 2 mg/dL, but less than or equal to 5 mg/dL), the
MRO will direct the DER to arrange an immediate recollection under the guidelines for
direct observation collections. (See section 6-C of this policy).
A urine specimen may be considered dilute when the testing lab reports, and is verified
by the MRO, the creatinine concentration is equal to or greater than 2 mg/dL, but less
than 20 mg/dL.
If the MRO reports that a negative test was dilute with a creatinine concentration greater
than 5 mg/dL the employer may direct the employee to take another test immediately.
Such collection will not be under direct observation, unless warranted by 49 CFR,
§40.67(c).
If the MRO reports that a positive drug test was also dilute, the test results will be
declared a verified positive test.
81
10.
EDUCATION AND TRAINING
All employers subject to Part 655 shall establish an employee education and training
program for all covered employees, including:
1. Education - The education component shall include display and distribution to every
covered employee of informational material and a community service hot-line
telephone number for employee assistance, if available.
2. Training - Covered employees. Covered employees must receive at least 60 minutes
of training on the effects and consequences of prohibited drug use on personal
health, safety, and the work environment, and on the signs and symptoms that may
indicate prohibited drug use.
3. Supervisors - Supervisors and/or other company officers authorized by the employer
to make reasonable suspicion determinations shall receive at least 60 minutes of
training on the physical, behavioral, and performance indicators of probable drug use
and at least 60 minutes of training on the physical, behavioral, speech, and
performance indicators of probable alcohol misuse.
11.
DOT/FTA CONSEQUENCES
There are specific consequences for violating the prohibitions of 49 CFR, Parts 40 and 655
or the alcohol or controlled substances rules of another DOT agency. The following includes
required components of the return-to-duty process as required under 49 CFR, Part 40,
Subpart O.
Once an individual has a verified positive controlled substance test, a confirmed alcohol test
of 0.04% AC or greater, or violated any drug and alcohol testing prohibition the safetysensitive employee will be immediately removed from safety-sensitive duties. The employee
will be referred to the company designated Substance Abuse Professional, or in the case of
an applicant, the names, addresses and telephone numbers of counseling and treatment
programs will be provided to the applicant.
Before the employee/applicant can perform safety-sensitive again, he/she must complete
the evaluation, treatment and return-to-duty process of 49 CFR, Part 40, Subpart O.
12.
EMPLOYER DISCIPLINARY ACTION
A. First Violation
An employee who tests positive for drugs and/or positive (0.04% AC or greater) for
alcohol, or otherwise violates a drug and alcohol prohibition will be subject to disciplinary
action up to and including termination.
82
B. Other Company Requirements
An employee required to take a reasonable suspicion controlled substances test, or any
alcohol test with a result of 0.02% AC or greater, will be required to accept companyarranged transportation, or arrange for independent transportation home, whichever is
acceptable to the company. Refusal to accept independent transportation followed by
any attempt by the employee to drive a motor vehicle will result in the notification of
enforcement authorities.
An employee is required to fully cooperate with the MRO. Failure to cooperate fully will
result in disciplinary actions up to and including termination.
An employee who has been convicted of a felony involving the possession of, or a
transaction in, illegal controlled substances (regardless of where the unlawful activities
took place) is subject to disciplinary action, up to and including, termination.
The company requires any employee who has had an occurrence of any felony
conviction for possession of, or a transaction in, illegal controlled substances to notify
employer of such occurrence within 24 hours.
All employees using any legally prescribed drug, pursuant to the instructions of a
licensed medical practitioner, or over-the-counter medication (OTC) shall disclose the
identity of any such drug or OTC medication and the nature of its use prior to performing
safety-sensitive functions for the first time following initial use. The company shall
reserve the right to prohibit any employee using such drug(s) from performing safetysensitive functions until treatment is complete.
13.
EMPLOYER/EMPLOYEE FINANCIAL RESPONSIBILITIES
Listed are services that if availed by the employee, he/she may be responsible for the
associated fees incurred. The employee would also be financially affected if he/she were on
an unpaid leave of absence.
A. Cost of Medical Examination for “Shy Bladder” or Shy Lung”
Employee responsible for cost – If an employee is required to have a medical
examination for a shy bladder or shy lung situation, this is at his/her expense. The
employee is to pay the licensed medical practitioner directly, if it is not otherwise covered
by employee’s health care coverage.
If the medical examination provides a valid medical explanation for the shy bladder or
shy lung, the employee will not be charged for this test fee and/or will be reimbursed
back pay if he/she was on an unpaid leave of absence.
B. Cost of Split Specimen Test
Employer responsible for cost – The employer is responsible for bearing the cost of all
drug and alcohol testing. If an employee, reported to have a verified positive controlled
substances test result, or a refusal-to-test due to adulteration or substitution of a
specimen, requests the split specimen to be conducted, the company will bear the initial
83
expense of the split specimen testing. The company may also, at its discretion require
the employee to reimburse the company for any fees associated with this test (s).
If the split specimen test does not reconfirm the original positive test result, the
adulterant was not found within the criteria, or the specimen was not consistent with the
substitution criteria, the employee will not be charged for this test fee and/or will be
reimbursed back pay if he/she was on an unpaid leave of absence.
14.
SELF DECLARATION OF ALCOHOL MISUSE OR DRUG USE
Employees who admit to alcohol misuse or controlled substance use will not be subject to
the referral, evaluation and treatment requirements of Part 40, provided that the admission
is self-identified and made voluntarily under the following conditions:
1. The employee cannot self-declare in order to avoid required testing,
2. The employee must make the admission prior to performing any safety-sensitive
function, and
3. The employee cannot perform safety-sensitive functions again until the employer is
satisfied he/she has successfully completed education or treatment requirements set
forth by an approved substance abuse professional.
If the employee self-identifies in accordance with the above provisions the employer must:
1. Not take any adverse action against the employee within the parameters of the
DOT/FTA testing program or this policy,
2. Provide the employee sufficient opportunity to seek evaluation, education or
treatment for the drug and/or alcohol problem,
3. Permit the employee to return to a safety-sensitive function upon the successful
completion of education or treatment requirements set forth by the designated
Substance Abuse Professional,
4. Require the employee to undergo a return to duty alcohol test indicating a result of
less than 0.02% AC,
5. Require the employee to undergo a return to duty drug test indicating a verified
negative result, and
6. May incorporate employee monitoring and include non-DOT follow-up testing.
84
APPENDIX A
85
DRUG AND ALCOHOL PROGRAM PERSONNEL
A. Drug and Alcohol Program Manager (DAPM)
Name:
Address
Telephone No.
B. Designated Employer Representative (DER)
Name:
Address
Telephone No.
C. Drug Testing Laboratory
Name:
Address
Telephone No.
D. Collection Site
Name:
Address
Telephone No.
E. Medical Review Officer (MRO)
Name:
Address
Telephone No.
F. Substance Abuse Professional
Name:
Address
Telephone number
86
APPENDIX B
87
EFFECTS OF DRUGS AND ALCOHOL
ON THE BODY
PRESCRIBED AND OTC MEDICATIONS
Drivers may not be on-duty within 4 (four) hours of the use of any prescribed or nonprescription, medication containing alcohol. Drivers also may not be on-duty while
taking any prescribed narcotic medication unless the prescribing physician has advised
the driver that the substance will not affect the driver's ability to safely operate a
commercial motor vehicle.
MARIJUANA
Also known as grass, pot, weed, gold, joint, hemp, reefer. Active chemical – THC
Marijuana is one of the most misunderstood and underestimated drugs of abuse. It is
used for its mildly tranquilizing, mood and perception altering effects. It alters the brain’s
interpretation of incoming messages but does not depress the reactions of the central
nervous system. It alters a person’s sense of time and reduces the ability to perform
tasks requiring concentration, swift reflexes, and coordination. The drug has a significant
effect on a user’s judgement, caution, and sensory/motor abilities.
Signs and Symptoms of Use:







Reddened eyes
Slowed speech
Distinctive, pungent odor on clothing (aroma of alfalfa combined with incense)
Lackadaisical “I don’t care” attitude
Chronic fatigue and lack of motivation
Irritating cough
Chronic sore throat
Other Effects:













Restlessness
Inability to concentrate
Increase pulse rate and blood pressure
Rapidly changing emotions and erratic behavior
Impaired memory and attention
Hallucinations, fantasies and paranoia
Decrease in/temporary loss of fertility
Distorted perception of time
Apathy
Delayed decision making
Aggressive urges
Anxiety
Confusion
88
Health Effects:







Emphysema-like conditions
Cancer
Heart conditions
Respiratory tract and sinus infections caused by the fungus Aspergillis
Lowered immune system response
Aggravation of ulcers
Brain damage
How Marijuana Impairs Functions Needed for Driving:
Marijuana impairs driving ability for at least 4-6 hours after smoking one “joint”
(cigarette); it impairs signal detection (ability to detect a brief flash of light); it
impairs tracking (ability to follow moving objects with the eyes); it impairs visual
distance measurements; and it chemically alters the brain and gross motor
functioning of the body, having a direct impact on the complex system of critical
thinking skills and reflexes that allow people to drive safely and conscientiously.
Facts:
 Marijuana remains in the body for 28 days. This is in contrast to alcohol,
which dissipates in a matter of hours.
 A 500% to 800% increase in THC potency in the past several years makes
smoking three to five joints (cigarettes) per week today the equivalent of 1540 joints per week in 1978.
 Combining marijuana with alcohol or other depressant drugs can produce a
multiplied effect, increasing the impairment caused by all substances.
COCAINE
A stimulant drug also know as coke or blow when it is inhaled (snorted), ingested or injected.
Freebase cocaine, known as crack or rock, is smoked.
Cocaine is used medically as a local anesthetic. It is abused for its powerful physical and
mental stimulant properties. The entire central nervous system is energized by cocaine.
Heart rate and blood pressure are elevated. Muscles become more tense and the body
burns more energy. The brain experiences and exhilaration caused by a large release of
neurohormones associated with mood elevation.
Crack or rock cocaine gets its name from the popping sound heard when it is heated.
The most dangerous effects of crack are that it can cause vomiting, rapid heartbeat,
tremors, and convulsive movements. All of this muscle activity increases the demand for
oxygen, which can result in a cocaine-induced heart attack. Since the heat-regulating
center in the brain is also disrupted, dangerously high body temperatures can occur.
With high doses, brain functioning, breathing and heartbeat are depressed – leading to
death.
89
Signs and Symptoms of Use:










Fatigue
Anxiety
Agitation
Runny or irritated nose
Difficulty in concentration
Dilated pupils and visual impairment
High blood pressure
Heart palpitations and irregular heart rhythm
Insomnia
Profuse sweating and dry mouth
Other Effects:









Impaired driving ability
Hallucinations
Talkativeness
Restless, aggressive behavior
Wide mood swings
Increased physical activity
Heightened, but momentary, feeling of confidence, strength and endurance
Paranoia (can trigger mental disorders in users prone to mental instability)
Repeated sniffing and snorting causes nasal membrane irritation &
nosebleeds
 Compulsive behavior such as teeth grinding or repeated hand washing
 Craving for more cocaine
Health Effects:
 Accelerated pulse, blood pressure and respiration. May cause spasms of
blood vessels in the brain and heart, leading to ruptured vessels that lead to
heart attack and stroke.
 Regular use may upset the chemical balance of the brain, which may speed
up the aging process by causing irreparable damage to critical nerve cells.
 Mental dependency on crack cocaine occurs within days (within several
months when coke is snorted).
 Cocaine is extremely dangerous when taken with depressant drugs. Death
due to overdose is rapid and the fatal effects of an overdose are usually not
reversible by medical intervention.
How Cocaine Impairs Functions Needed for Driving:
Cocaine chemically alters the brain and gross motor functioning of the body,
having a direct impact on the complex system of critical thinking skills and
reflexes that allow people to drive safely and conscientiously.
90
Facts:
 The number of cocaine overdose deaths has tripled in the last four years.
 Treatment success rates are lower for cocaine than any other chemical
dependencies.
 Cocaine causes the strongest mental dependency of any known drug. Strong
psychological dependency can occur with one “hit” of crack.
 Many people think that because crack is smoked, it is safer that other forms
of cocaine use. It is not. Crack cocaine is one of the most addictive
substances known today. The crack “high” is reached in 4-6 seconds and
lasts about 15 minutes.
AMPHETAMINES AND METHAMPHETAMINES
Stimulant drugs. Some common street names for amphetamines are speed, uppers, black
beauties, bennies, wake-ups, and dexies.
Some common street names for methamphetamines are ice, crank, crystal, meth, 64 glass,
cristy, go fast, zip, and in smokeable form “LA” (as in the city of Los Angeles).
Amphetamines and methamphetamines are drugs that stimulate the central nervous
system and promote a feeling of alertness and an increase in speech and general
physical activity. While amphetamines are usually sold in tablet form,
methamphetamines are available as powder, and may be swallowed, snorted or
injected.
Although they were widely prescribed at one time for weight reduction and mood
elevation, the legal use of amphetamines is now limited to a very narrow range of
medical conditions. In action, methamphetamines are nearly identical to amphetamines.
It is abused for the physical sense of energy at lower does and the mental exhilaration of
higher doses. Even small, infrequent doses can produce toxic effects in some people.
Signs and Symptoms of Use:






Hyper-excitability, restlessness, anxiety
Dilated pupils
Profuse sweating
Rapid respiration
Difficulty in focusing eyes
Exaggerated reflexes, body tremors
Other Effects:






Impaired driving ability
Hallucinations
Talkativeness
Headaches/dizziness
Confusion
Panic
91
 Inability to concentrate
 Short-term insomnia
 Paranoid thoughts
Health Effects:
 Heartbeat disturbances or heart damage caused by severe constriction of
capillary blood vessels
 Increased blood pressure
 Convulsions, coma
 Brain damage resulting in speech disturbances
 High doses may cause toxic psychosis resembling schizophrenia
 Long-term users often have acne-resembling measles, trouble with teeth,
gums and nails, and dry dull hair.
How Amphetamines and Methamphetamines Impair Functions Needed for Driving:
They chemically alter the brain and gross motor functioning of the body, having a
direct impact on the complex system of critical thinking skills and reflexes that
allow people to drive safely and conscientiously.
Facts:
 People with a history of sustained low-dose use quite often become
dependent and believe they need to take the drug to “get by.” These users
frequently taking amphetamines to avoid the “down” mood they experience
when the “high” wears off.
OPIATES
Narcotics, including heroin, morphine, codeine, 6-acetylmorphine (6-AM) and many
synthetic drugs used to alleviate pain, depress body functions and reactions. In large doses,
opiates cause a strong euphoric feeling.
Some common street names are: horse, morpho, China, M, brown sugar, Harry and dope.
Sometimes narcotics found in medicines are abused. This includes pain relievers
containing opium and cough syrups containing codeine. Heroin is illegal and cannot
even be obtained with a physician’s prescription. Most medical problems associated with
the use of opiates are caused by uncertain dosages, use of unsterile needles,
contamination of the drug, or from combining a narcotic with other drugs.
Signs and Symptoms of Use:





Mood changes
Impaired mental function and alertness
Impaired vision
Constricted pupils
Impaired coordination
92
Other Effects:







Impaired driving ability
Drowsiness followed by sleep
Decreased physical activity
Sleeplessness and drug craving
Depression and apathy
Constipation
Nausea and vomiting
Health Effects:
 IV needle users have a high risk for contracting hepatitis and HIV due to the
sharing of needles.
 Narcotics increase pain tolerance. As a result, people could more severely
injure themselves and fail to seek medical attention due to a lack of pain
sensitivity.
 The effects of narcotics are multiplied when used in combination with alcohol
and other depressant drugs, causing an increased risk for overdose.
How Opiates Impair Functions Needed for Driving:
They chemically alter the brain and gross motor functioning of the body, having a
direct impact on the complex system of critical thinking skills and reflexes that
allow people to drive safely and conscientiously.
Facts:
 Heroin, also called “junk” or “smack,” accounts for 90% of the narcotic abuse
in the United States.
PHENCYCLIDINE (PCP)
PCP acts as both a depressant and a hallucinogen and sometimes as a stimulant.
Also called angel dust, rocket fuel, embalming fluid and killer weed.
PCP was developed as a surgical anesthetic in the late 1950s. Later, due to its unusual
side effects in humans, it was restricted to use as a veterinary anesthetic and
tranquilizer. Today it has no lawful use and is no longer legally manufactured. It is
abused largely for its variety of mood-altering effects.
PCP scrambles the brain’s internal stimuli and alters how users see and deal with their
environment. Routine activities like driving and walking become very difficult.
A low dose produces sedation and euphoric mood changes. The mood can change
rapidly from sedation to excitation and agitation. Increased doses produced an excited,
confused state including any one of the following: muscle rigidity, loss of concentration
and memory, visual disturbances, delirium, feelings of isolation, and convulsions.
93
Signs and Symptoms of Use:






Impaired driving ability
Impaired coordination
Thick, slurred speech
Severe confusion and agitation
Muscle rigidity
Profuse sweating
Other Effects:







Loss of concentration and memory
Extreme mood shift
Nystagmus (jerky, involuntary eye movement)
Rapid heart beat
Dizziness
Convulsions
Memory loss
Health Effects:
 The potential for accidents and overdose emergencies is high due to the
extreme mental effects combined with the anesthetic effect on the body.
 PCP becomes more potent in combination with other depressant drugs,
including alcohol, increasing the likelihood of an overdose reaction.
How PCP Impairs Functions Needed for Driving:
PCP chemically alters the brain and gross motor functioning of the body, having
a direct impact on the complex system of critical thinking skills and reflexes that
allow people to drive safely and conscientiously. PCP also causes severe
disorientation.
Facts:
 PCP abuse is less common today than in the past.
 There are four phases to PCP use: toxicity (which may be accompanied by
convulsions, combativeness, catatonia and even coma), toxic psychosis
(including visual delusions and paranoia), schizophrenia and depression.
MDMA, MDA, MDEA
MDMA, commonly known as ecstasy, often abbreviated "E" or "X"). MDMA has a
tendency to induce euphoria, a sense of intimacy with others, and diminished anxiety
and depression. Many, particularly in the fields of psychology and cognitive therapy,
have suggested MDMA might have therapeutic benefits and facilitate therapy sessions
in certain individuals. MDMA is one of the most widely used recreational drugs in the
world and is commonly associated with dance parties (or "raves") and electronic dance
music.
94
MDMA reaches maximal concentrations in the blood stream between 1.5 and 3 hours
after ingestion. It is then slowly metabolized and excreted, with levels decreasing to half
their peak concentration over approximately 8 hours. Thus, there are still high MDMA
levels in the body when the experiential effects have mostly ended, indicating that acute
tolerance has developed to the actions of MDMA. Taking additional supplements of
MDMA at this point therefore produces higher concentrations of MDMA in the blood and
brain than might be expected based on the perceived effects.
Subjective effects
Ecstasy tablets, containing MDMA.
Short-term experiential effects, which tend to last less than 4 hours, include:











Mental and physical euphoria
A sense of general well-being and contentedness
Decreased negative emotion and behavior such as stress, anxiety, fear, and
paranoia
Increased sociability and feelings of communication being easy or simple
Increased urge to communicate with others.
Increased empathy and feelings of closeness or connection with others
Reduced insecurity, defensiveness, and fear of emotional injury
Decreased irritability, aggression, anger, and jealousy
A sense of increased insightfulness and introspection
Mild psychedelia (colors and sounds are enhanced, mild closed-eye visuals,
improved pattern recognition, etc.)
Enhanced tactile sensations (touching, hugging, and sex for example all feel
better)
Effects beginning after the main effects of MDMA have ended, which can last several
days, include:



Lowered mood or even depression (comedown) after the effects have worn off
Increased anxiety, stress, and other negative emotions
Residual feelings of empathy, emotional sensitivity, and a sense of closeness to
others (afterglow)
Other short-term effects
Acute physiological effects include:







Increased heart rate and blood pressure
Increased body temperature
Increased perspiration and sweating
Pupil dialition
Blurred vision
Nystagmus (rapid involuntary eye movements and jittering)
Trisma (jaw-clenching) and bruxia (grinding of the teeth)
95





Difficulty sleeping
Loss of appetite
Nausea and emesis
Urinary retention
In males, difficulty getting an erection
ALCOHOL
A central nervous system depressant found in beer, wine, and hard liquor and in some over-thecounter medications (for example: some allergy and cold medications).
Alcohol is widely abused primarily due to its social acceptance and availability. It is
considered a recreational beverage when consumed in moderation for enjoyment and
relaxation during social gatherings. "Abuse" occurs when it is used primarily for its
physical and mood-altering effects. About half of all auto accident fatalities in the United
States are related to alcohol abuse.
Signs and Symptoms of Use:







Dulled mental processes
Lack of coordination
Slurred speech
Odor of alcohol on breath
Pupils may be constricted
Sleepy or stuporous condition
Slowed reactions
Other Effects:






Greatly impaired driving ability
Reduced coordination and reflex actions
Impaired vision and judgement
Inability to divide attention
Lowering of inhibitions
Headaches, nausea, dehydration, unclear thinking, unsettled digestion and
aching muscles are associated with overindulgence (hangover)
How does it work on the Body?
Alcohol first acts on the parts of the brain that affect self-control and other learned
behaviors. Diminishing self-control often leads to aggressive behavior. In large doses,
alcohol dulls sensations and impairs muscular coordination, memory, and judgement.
Taken in large quantities over a long period of time, alcohol can damage the liver and
heart, and may cause permanent brain damage. On average, heavy drinkers shorten
their life span by about ten years.
After ingestion, alcohol is absorbed through the stomach and intestine into the
bloodstream. Here it passes through the liver, where it is metabolized in several steps.
Metabolism helps prevent alcohol from accumulating in the body and destroying cells
96
and organs. The liver cannot metabolize alcohol as quickly as the body can absorb it.
This is the point of intoxication. Any concentration of alcohol that remains unmetabolized
can be detected and measured during a blood alcohol concentration test.
Many factors contribute to levels of alcohol absorption, rates of metabolism, and
intoxication. Among them are: body size and weight, food ingested, gender, physical
condition, and other drugs or medications in the body. Impairment begins with one drink.
Health Effects:
Over time, chronic consumption (average of three servings per day of 12 ounces of beer,
1 ounce of whiskey or 6 ounces of wines) of alcohol may result in the following health
hazards:











Liver damage
Inflammation of esophagus
Aggravation of peptic ulcers
Acute and chronic pancreatitis
Malabsorption of food nutrients that may lead to malnutrition
Heart attack
Hypertension
Stroke
Immune system depression (makes body more susceptible to infection)
Cancers of the liver, esophagus, nasopharynx or larynx
Brain damage (dementia, blackouts, seizures, hallucinations, and peripheral
neuropathy).
How Alcohol Impairs Functions Needed for Driving:
The subtlety and complexity of the skills required to operate a motor vehicle
safely make people susceptible to impairment from even low doses of alcohol.
The evidence linking alcohol and transportation accidents is supported by
experimental studies conducted by the National Institute on Alcohol Abuse and
Alcoholism, relating the effect of alcohol on specific driving–related skills.
Impairment is related to alcohol in terms of its concentration in the bloodstream.
For example, a blood alcohol concentration (BAC) of 0.04% might be achieved
by a 150-pound man consuming two drinks in one hour.
In driving, the eyes must focus briefly on important objects in the visual field and
track them as they move (along with the vehicle). Low to moderate BACs (0.03%
to 0.05%) interferes with voluntary eye movements, impairing the eye’s ability to
rapidly track a moving target.
Steering is a complex psychomotor task. A delay in the body’s eye-to-hand
reaction time is compounded by the visual effects described above, causing
significant impairment in steering ability at about 0.035% BAC.
Alcohol impairs nearly every aspect of the brain’s information processing. Alcohol
impaired drivers require more time to read street signs or respond to traffic
signals than unimpaired drivers. As a result, impaired drivers tend to look at
97
fewer sources of information. A narrowing field of attention begins as about
0.04% BAC.
Drivers must divide their attention among many skills in order to keep a vehicle in
the proper lane while monitoring the environment for vital safety information,
such as other vehicles, traffic signals, and pedestrians. Results of numerous
studies show that a deficit in the ability to divide attention may occur at 0.02%
BAC.
Facts:
 About two in every five Americans will be involved in an alcohol-related
vehicle accident in their lifetime.
 The risk of a traffic fatality per mile driven is at least eight times higher for a
drunk driver than a sober one.
 A 12-ounce can of beer, a 6-ounce glass of wine and a 1 ½-ounce shot of
hard liquor all contain the same amount of alcohol.
 Each 1 ½-ounce of alcohol takes the average body about one hour to
process and eliminate.
98
IMPLEMENT POLICY
AUTHORIZED SIGNATURE
It is the intent of Company to implement a zero tolerance drug and alcohol-testing program in
compliance with the United States Department of Transportation, Federal Transit Administration
Regulations. This program is designed to help prevent accidents, injuries, and fatalities resulting
from the misuse of alcohol and the use of prohibited drugs by employees who perform safetysensitive functions. Participation in this drug and alcohol-testing program is a required condition
of employment.
This program also requires an employee to release, and the company to obtain, all mandatory
information regarding prior employment information, and drug and alcohol program participation
and testing results. All employees shall cooperate with all phases of the program, including but
not limited to, the collection and testing processes, MRO verification process and SAP
recommendations.
Failure to comply with the provisions of this policy and/or applicable Department of
Transportation regulations will result in disciplinary action up to and including termination.
The effective date of this policy is:
Signature
Name
Title
Company
Street Address
City, State, Zip
99
RFP NO. 17-10
EXHIBIT 11
PERFORMANCE BOND
KNOW ALL MEN BY THESE PRESENTS, THAT _______________________
(Contractor) as PRINCIPAL, AND____________________________, as SURETY, are held and
firmly bound unto Port Authority of Allegheny County (hereinafter called “PORT AUTHORITY”),
in the sum of
DOLLARS ($_______________), said sum being fifty percent (50%) of the
Contract Sum, as it may change from time to time in accordance with the Contract Documents, for
the payment of which sum well and truly to be made, we bind ourselves, our heirs, executors,
administrators, successors and assigns, jointly and severally, firmly by these presents.
THE CONDITION OF THIS OBLIGATION IS SUCH, that whereas the Principal entered
into a certain Contract, hereto attached, with Port Authority, dated _________ for
__________________________, Agreement No. _______ (“Contract”).
NOW, THEREFORE, if the Principal shall well and truly perform and fulfill all the
undertakings, covenants, terms, conditions and agreements of said Contract during the original term
of said Contract and any extensions thereof that may be granted by Port Authority, with or without
notice to the Surety, and during the life of any guaranty or warranty required under the Contract, and
shall also well and truly perform and fulfill all the undertakings, covenants, terms, conditions and
agreements of any and all duly authorized modifications of said Contract that may hereafter be made,
including changes which result in increases or decreases in the original Contract Sum, with or without
notice to Surety, then, this obligation to be void, otherwise to remain in full force and effect.
IN WITNESS WHEREOF, and intending to be legally bound hereby, the above bound parties
have
executed
this
instrument
under
several
seals
this
____________
day
of
100
_______________, 20_____, the name and corporate seal of each corporate party being hereto
affixed and duly signed by its authorized representatives, pursuant to authority of its governing body.
IN PRESENCE OF:
(IF SOLE PROPRIETOR):
PRINCIPAL
_________________________________________
Witness
_________________________________________
Signature of Proprietor
_________________________________________
Business Name and Address
(IF A PARTNERSHIP):
_________________________________________
Witness
__________________________________________
Signature of General Partner
_________________________________________
Business Name and Address
(IF A CORPORATION OR JOINT VENTURE):
ATTEST:
_________________________________________ ___________________________________________
Seal
Signature of Authorized Representative
(Affix Corporate Seal)
_________________________________________
Name and Title
_____________________________________
Business Name and Address
SURETY
ATTEST:
_________________________________________
Seal
___________________________________________
Signature of Authorized Representative
(Affix Corporate Seal)
___________________________________________
Name and Title
101
RFP NO. 17-10
EXHIBIT 12
WARRANTY BOND
KNOW ALL MEN BY THESE PRESENTS, that ____________________________
(Contractor) as PRINCIPAL, and ______________________ as SURETY, are held firmly bound
unto Port Authority of Allegheny County (hereinafter called “Port Authority”) in the sum of:
______________________________________ DOLLARS ($______________), ten percent (10%)
of the Contract Sum, as it may have been changed from time to time in accordance with the
Contract Documents, for the payment of which sum well and truly to be made, we bind ourselves,
our heirs, executors, administrators and successors, jointly and severally, firmly by these presents.
THE CONDITION OF THIS OBLIGATION IS SUCH, that whereas the Principal entered
into a certain Agreement with Port Authority dated the _______ day of _________________, 20__,
for (---------CONTRACT TITLE----------), Agreement No. (---ID---).
NOW, THEREFORE, if the Principal shall remedy, without cost to Port Authority or delay,
any defects which, in the sole judgment of Port Authority, are caused by failure, defective or
inferior materials or workmanship, and provided such defects develop during a period of two (2)
years after Final Acceptance, then this obligation shall be void, otherwise to remain in full force and
virtue.
IN WITNESS WHEREOF, and intending to be legally bound hereby, the above bounden
parties have executed this instrument under their several seals this ___________________ day of
___________________, 20__, the name and corporate seal of each corporate party being hereto
affixed and duly signed by its authorized representatives, pursuant to authority of its governing
body.
102
IN PRESENCE OF:
(IF SOLE PROPRIETOR):
PRINCIPAL
_______________________________
Witness
_________________________________
Signature of Proprietor
_________________________________
Business Name and Address
(IF A PARTNERSHIP):
_______________________________
Witness
_________________________________
Signature of General Partner
_________________________________
Business Name and Address
(IF A CORPORATION OR JOINT
VENTURE):
ATTEST:
(Seal)
Signature of Authorized Representative
(Affix Corporate Seal, if a Corporation)
Name and Title
Business Name and Address
SURETY
ATTEST:
(Seal)
Signature of Authorized Representative
(Affix Corporate Seal)
Name and Title
103
RFP NO. 17-10
EXHIBIT 13
RESUME
-- SAMPLE FORMAT - MINIMUM INFORMATION REQUIRED -NAME OF INDIVIDUAL:
COMPANY NAME:
CURRENT POSITION/TITLE WITHIN COMPANY / YEARS EXPERIENCE IN CURRENT
POSITION:
YEARS EMPLOYED BY PROPOSER:
PREVIOUS POSITION(S)/TITLE(S) WITH PROPOSER AND/OR OTHER COMPANY(IES) /
COMPANY NAME / YEARS EXPERIENCE IN EACH POSITION:
TOTAL PROFESSIONAL EXPERIENCE (IN YEARS):
PROPOSED POSITION FOR THIS PROJECT:
PERCENTAGE OF TIME AVAILABLE FOR THIS PROJECT:
RELEVANT WORK EXPERIENCE IN THE PAST 10 YEARS - DETAILED INFORMATION
SHALL BE PROVIDED AND SHALL INCLUDE AT LEAST THE FOLLOWING:





NAME OF PROJECT/NAME OF CLIENT
DATE(S) INDIVIDUAL ASSIGNED TO PROJECT/CLIENT
ROLE/POSITION OF INDIVIDUAL
PRIMARY RESPONSIBILITIES OF INDIVIDUAL
LENGTH ON EACH PROJECT/POSITION
EDUCATION/DEGREE:
PROFESSIONAL REGISTRATIONS OR CERTIFICATIONS:
PROFESSIONAL AFFILIATIONS:
104
4
CONTRACT CONDITIONS AND INSTRUCTIONS
4.1
INTRODUCTION
A.
The RFP, the Agreement, each Proposer and the Contractor are subject to the following
conditions and instructions, all interpretations of which shall be at the sole discretion of Port
Authority.
B.
The enumeration in these conditions and instructions of certain rights and remedies of Port
Authority shall not be construed to preclude the exercise by Port Authority of other and
additional rights and remedies which are available generally at law or which may be implied
from the foregoing.
4.2
ABBREVIATIONS AND DEFINITIONS
As used in this RFP and the Contract Documents, the following acronyms, abbreviations and terms shall
have the meaning assigned to them below unless otherwise expressly stated.
ACRONYMS AND ABBREVIATIONS
AAR
Association of American Railroads
AASHTO
American Association of State Highway and Transportation Officials
ABS
Automatic Block Signaling
AC
Alternating Current
ADA
Americans with Disabilities Act
AF
Audio Frequency
ANSI
American National Standards Institute
APTA
American Public Transportation Association
AREMA
American Railway Engineering and Maintenance-of-Way Association
ASTM
American Society for Testing and Materials
ATP
Automatic Train Protection
ATS
Automatic Trip Stop System
AWG
American Wire Gauge
BAFO
Best and Final Offer
BOPs
Book of Plans
BTE
Bench Test Equipment
CAD
Computer Aided Design
CD
Compact Disc
CDL
Commercial Driver’s License
CDR
Conceptual Design Review
CENELEC
European Committee for Electrotechnical Standardization
105
CFR
Code of Federal Regulations
CI
Configuration Item
CIL
Certifiable Items List
CMP
Configuration Management Plan
COTS
Commercial Off the Shelf
CPM
Critical Path Method
CRC
Cyclic Redundancy Check
C&S
Communications and Signals
DBE
Disadvantaged Business Enterprise
DC
Direct Current
DVD
Digital Video Disc
ECP
Engineering Change Proposal
EMC
Electromagnetic Compatibility
EMI
Electromagnetic Interference
EPR
Ethylene-Propylene Rubber
FAT
Factory Acceptance Testing
FDR
Final Design Review
FMECA
Failure Modes Effects and Criticality Analysis
FRA
Federal Railroad Administration
FTA
Federal Transit Administration, United States Department of
Transportation
FTP
File Transfer Protocol
GT
Grade Time or Grade Timing
HTML
Hyper Text Markup Language
ICEA
Insulated Cable Engineers Association
ICD
Interface Control Document
ID
Identification
IEC
International Electro-technical Commission
IEEE
Institute of Electrical & Electronic Engineers
I/O
Input / Output
IRJ
Insulated Rail Joint
ISO
International Standards Organization
106
kHz
Kilohertz
LRT
Light Rail Transit
LLRU
Lowest Line Replaceable Unit
LRV
Light Rail Vehicle
LSZH
Low Smoke Zero Halogen
MIL
US Military
MIS
Management Information System
MPT
Maintenance and Protection of Traffic Plan
MTBF
Mean Time Between Failures
MTTHE
Mean Time To Hazardous Event
MTBSF
Mean Time Between Service Failures
MTTRS
Mean Time to Restore to Service
MUTCD
Manual on Uniform Traffic Control Devices
NEMA
National Electrical Manufacturers Association
NEC
National Electrical Code
NESC
National Electrical Safety Code
NFPA
National Fire Protection Association
NTP
Notice to Proceed
O&SHA
Operating & Support Hazard Analysis
OCC
Operations Control Center
OCS
Overhead Contact System
OSHA
Occupational Safety and Health Administration
PA
Pennsylvania
PAAC
Port Authority of Allegheny County
PAUCP
Pennsylvania Unified Certification Program
PDF
Portable Document Format
PDR
Preliminary Design Review
PENNDOT
Pennsylvania Department of Transportation
PF
Power Frequency
PDRL
Preliminary Data Requirements List
PHA
Preliminary Hazard Analysis
107
PICO
Post Installation Check-Out
PE
Professional Engineer
PM
Project Manager
PTE
Portable Test Equipment
PVC
Poly Vinyl Chloride
QA
Quality Assurance
QC
Quality Control
RAM
Random Access Memory
RAMS
Reliability, Availability, Maintainability, Safety
RFI
Request for Information
RFID
Radio Frequency Identification
RFP
Request for Proposal
ROW
Right-of-Way
SAP
Systems Assurance Plan
SEMP
Systems Engineering Management Plan
SHA
System Hazard Analysis
SSHA
Subsystem Hazard Analysis
SDP
Software Development Plan
SOP
Standard Operating Procedure
SPMP
Software Project Management Plan
SVVP
Software Verification and Validation Plan
SQA
Software Quality Assurance
SRS
Software Requirements Descriptions
SDD
Software Design Descriptions
SCIL
Software Configuration Item List
SPP
Safety Program Plan
SQA
Software Quality Assurance
SQAP
Software Quality Assurance Plan
SCMP
Software Configuration Management Plan
SSHA
Subsystem Hazard Analysis
SSWP
Site Specific Work Plan
108
SVVP
Software Verification and Validation Plan
TCP
Traffic Control Plan
UML
Unified Modeling Language
V&V
Verification and Validation
VS
Trip Stick Relay
DEFINITIONS
“Addenda/Addendum” – An amendment made by Port Authority, in writing, to the RFP.
“Advertisement” - The public announcement requesting Proposals for the Contract.
“Agreement” - The written executed contract between Port Authority and the Contractor for the
acquisition and installation, if any.
“Approval” - The written approval, endorsement or authorization by Port Authority of a plan, procedure,
action, document, design or any parts thereof, undertaken, promulgated or developed by the Contractor in
accordance with the requirements of the Contract Documents.
“Automatic Trip Stop System” - The brake and train control system for the Vehicles to be procured and
replaced under the Agreement.
“Availability” - In respect of the ATS, the ratio of useful operating time to the total time, and is
calculated using the formula: Availability = MTBSF / (MTBSF + MTTRS).
“Baseline, Baselined, Baselining” - The act of freezing the schedule dates, using the baseline
functionality in Primavera or similar scheduling software.
“Baselined Schedule” – The approved Schedule against which progress will be measured.
“Best Industry Practice” - Using standards, practices, methods and procedures to the highest
commercial international standard, conforming to applicable laws and exercising that degree of skill and
care, diligence, prudence and foresight which would be expected from a highly skilled and knowledgeable
person performing similar work in the transit industry, including work related to design and installation of
ATS.
“Business Day” - Any day other than: (a) a Saturday or Sunday and (b) a day on which Port Authority is
not open for business. Each Business Day will end at 3:00 p.m. on that day.
“Calendar Day” - Each and every day shown on a calendar.
“Certificate or Certification” - A written report or document asserting that Products, Subsystems and
the System meet the requirements of the Contract Documents. Except as allowed by the Contract
Documents, each Certification shall be executed by an officer of the Contractor.
“Change Order” - A written order issued by Port Authority to the Contractor, delineating changes in the
Agreement and establishing the basis of payment and time adjustments.
“Chargeable Failure” - A failure of the ATS to perform as specified, which results in a one-time or
permanent loss of function.
“Commissioning or Commission” - The execution of final tests necessary to confirm that the System (or
part thereof) is safe, fit-for-purpose, and compliant with the Contract Documents.
109
“Commissioning Plan” - The high-level document that defines the process and all applied controls that
will be implemented to commission the System.
“Compliance or Compliant” - The proper fulfillment of a requirement, including those listed in the
Contract Documents or any referenced standard, exactly as specified.
“Configuration Management Plan (CMP)” - Configuration management is a management process that
includes identifying, documenting, and auditing the functional and physical characteristics of an item,
recording the configuration and controlling the changes to the item and its documentation. The purpose is
to provide a complete audit trail of design decisions and modifications. CMP is the formal plan that
defines the process for management and control of the configuration of the ATS throughout its entire
lifecycle to ensure the integrity of the design and traceability of modifications, in terms of hardware,
software and documentation.
“Contract” - See Agreement
“Contract Closeout” - The date on which all of the Work has been completed in full to the satisfaction
of Port Authority.
“Contract Documents” - The Advertisement, the RFP, the Agreement, bonds, all contract forms and
exhibits, Contract Conditions and Instructions to Proposers, General Requirements, Technical
Requirements, Reference Drawings, any attachments and appendices, the Notice to Proceed, change
orders, and the Proposal, if any, upon which the Contract is awarded to the extent that it is not
inconsistent with the other Contract Documents.
“Contract Services” - All designs, engineering, manufacturing, deliveries, operations, systems, software,
materials, equipment and labor necessary to properly, timely and to the satisfaction of Port Authority
design, provide, supply and install the System and all required equipment, training, documents and all
other items of work indicated or referenced in, or required by, the Contract Documents, including all
alterations, amendments or extensions thereto made by change order, and all required tests and the
completion of all necessary repairs and modifications resulting from such tests and any warranties as
required by the Contract Documents.
“Contract Sum” - The total fixed amount which Port Authority agrees to pay the Contractor, and the
Contractor agrees to accept from Port Authority as a complete discharge of Port Authority’s liability to
make payments to the Contractor for the Contractor’s proper, timely and satisfactory completion and
performance of the Work, which sum is set forth in the Agreement, subject to additions and deductions as
provided in the Contract Documents.
“Contractor” - The Proposer selected by Port Authority, if any, for the award of the Agreement.
“Defect” - All or any part of the Work or any Product that: (a) is defective, deficient, inoperative, or fails
to perform any of its intended functions or provide any of its intended functionality; and/or (b) does not
comply, in whole or in part, with the requirements of the Contract Documents (including any submittal,
standard, inspection, test or approval required for the Work or otherwise referred to in the Contract
Documents); regardless of the cause of any of the foregoing and/or whether or not any of the foregoing
are directly attributable to the acts or omissions of the Contractor, or its Subcontractors or Suppliers.
“Deficiency List” - The formal record of identification and closeout of each Defect and Snag identified,
by any party, during the course of the Work.
“Design Management Plan” - The written document defining the process of executing the design of the
System by the Contractor.
“Design Review” - The review meeting convened at the end of each phase of the design to confirm
completion of that phase, provided that completion requires approval by Port Authority.
110
“Disadvantaged Business Enterprise (DBE)” - Disadvantaged Business Enterprise as defined in 49
C.F.R., Part 26, as amended.
“Diverse Business (DB)” - A business as defined in 74 Pa. C.S. § 303.
“Driver’s Panel” – The Vehicle operator’s interface within the cab to the ATS.
“Factory Acceptance Testing” - The process of testing the integrated Subsystems in a factory
environment, emulating or simulating the necessary field inputs and outputs, to fully demonstrate the
successful implementation of all required functionality prior to field installation, as described in, and in
accordance with the Contract Documents.
“Failure” - Any detected inability of material or equipment, or any portion thereof, to function or
perform in accordance with the Contract Documents.
“Final Acceptance” - The final acceptance of the Work, in writing, by Port Authority.
“Government” - The Government of the United States of America
“Handover Certificate” - A certificate compiled and signed by the Contractor, that signifies that the
Contractor has completed all stages successfully and sufficiently to permit the approval of:
- One (1) LRV into Revenue Service with carborne ATS Subsystem; or
- Wayside ATS Subsystem into Revenue Service.
The Handover Certificate is not considered to be executed until signed by an authorized representative of
Port Authority.
“Joint Venture” - A legal association of entities formed for the purpose of proposing on the RFP as a
single business entity.
“Mean Time to Hazardous Event” - means the average or expected time that a subsystem or component
will operate prior to the occurrence of an unsafe failure.
“Mean Time Between Failures” - A statistical calculation of the mean time that elapses between failures
of a Product, Subsystem or System. MTBF = 1/λ (Lambda) where λ = the failure rate of the Product,
Subsystem or System. This calculation applies to non-redundant portion of the ATS.
“Mean Time Between Service Failures” - A statistical calculation of the mean time that elapses
between Service Failures of a Product, Subsystem or System.
“Milestone Completion Dates” – The date at which payment milestones are scheduled to be
satisfactorily completed, in accordance with the Baselined Schedule, by the Contractor.
“Nonconformance” - Collectively, any non-conformities, inadequacies, errors, defects or failures
relating to the Work or any part thereof.
“Notice to Proceed” - The written notice issued by Port Authority to the Contractor directing the
Contractor to proceed with the Work.
“Off-Peak Periods” - The hours that are not Peak Periods, which include Saturday, Sunday, and Port
Authority holidays.
“Operations Control Center (OCC)” - Port Authority’s center of system operations for the rail and bus
systems located in the South Hills Village Rail Center.
“Peak Periods” - (a) The hours between 0600 and 0900, and (b) the hours between 1500 and 1800, in
each case from Monday to Friday excluding Port Authority holidays.
111
“Performance Bond” – The approved form of security furnished by the Contractor and its Surety as a
guaranty to execute the Work in accordance with the Contract Documents (Exhibit 11).
“Port Authority” - Port Authority of Allegheny County, 345 Sixth Avenue, Third Floor, Pittsburgh,
Pennsylvania 15222-2527, acting by and through its authorized representatives.
“Product” - Any good, machinery, equipment, fixture or software (including any components of any of
the foregoing) forming part of the System or the Work, but does not include machinery and equipment
used to prepare, fabricate, convey or install the Work or to perform testing and commissioning.
“Product Data” - Illustrations, standard schedules, performance charts, instructions, brochures, diagrams
and other information furnished by the Contractor to illustrate a material, product , subsystem or system
for some portion of the Work.
“Professional Engineer” - An engineer having a current Professional Engineer’s license to practice
engineering in the Commonwealth of Pennsylvania.
“Project” - See Contract Services.
“Project Record Documents” – A copy of all documents and drawings approved, in writing, by Port
Authority that form the System description and design and allow the System to be purchased, installed,
tested, commissioned, operated and maintained. This includes all approved shop drawings, working
drawings, data, samples, as-built drawings and other documents required or necessary to be prepared and
maintained by the Contractor during the Work.
“Proposal” - A written submission, in response to the RFP, by a Proposer properly signed, dated and
completed.
“Proposer” - An individual, firm, partnership, corporation, limited liability company (LLC), joint
venture or combination thereof which submits a Proposal to Port Authority, in response to the RFP,
seeking to be selected as the Contractor.
“Punch List” – A document outlining all Work that does not conform to the Contract Documents,
allocating a status to each item with inclusion of required closure action, and making allowance for
queries and reports to investigate trends and patterns.
“Quality Assurance” - All planned and systematic activities implemented within the Quality Assurance
Program and demonstrated as needed, to provide adequate confidence that the Work, and the processes by
which it will be performed or provided, will fulfill the contractual requirements for quality.
“Quality Plan” - The document setting forth the specific quality practices relevant to the Work, including
the sequence of Quality Assurance Program activities and the resources required with respect thereto.
“Quality Assurance Program” - The coordinated execution of applicable quality assurance and quality
control plans (including the Quality Plan) and activities for the Work.
“Quality Control” - A procedure or set of procedures intended to ensure that the Work adheres to a set
of quality criteria and fully meets the requirements of the Contract Documents.
“Record Documents” - The documents approved by Port Authority that form the System description and
allow the System to be installed, tested, commissioned, operated and maintained, and includes all
documents described in the Contract Documents.
“Reference Drawing/Document” - Reference drawings and documents provided for informational
purposes only, which indicate conditions that may be applicable to the Work, but must be verified by the
Contractor.
112
“Revenue Service” – The operation or movement of vehicles for, or in anticipation of, the transportation
of passengers.
“Revise and Resubmit” - The status assigned to a Submittal when it is considered by Port Authority to
not be acceptable, requiring major, material updates such that dependent Work shall not commence and
full resubmission of the Submittal is required for approval.
“RFP” - The Request for Proposal Number 17-10.
“Safety Briefing” - A briefing provided prior to entering the Site, providing direction on the safety
processes and procedures to be applied, the emergency procedures and contacts, and the methods of
communication.
“Safety Case” - The document, required prior to any commissioning, which summarizes all of the safety
engineering and management activities, resultant documented output and analysis findings, into a
singular, cohesive justification for the safety of the System appropriate to the identified safety criticality
and in compliance with all required safety targets.
“Safety Certification” - The process of formalizing the completion of the safety engineering and
management process, or a phase thereof, following approval of the Safety Case, either at or before the
related commissioning, confirming that all final safety tests are complete and successful, as evidenced by
the Contractor’s System Assurance Engineer and Port Authority signing a safety certificate.
“Schedule” - A detailed CPM schedule for the Work, prepared and maintained by the Contractor, that
represents a practical plan to complete the Work within a timeframe that meets the requirements of the
Contract Documents.
“Scope of Services” - Sections 4, 5 and 6 of the RFP and as finalized, through negotiations, and
incorporated into the Agreement.
“Service Failure” - Any Chargeable Failure which causes or contributes to a delay of five (5) or more
minutes to one (1) or more Vehicle.
“Site” - The area where the installation, implementation, testing and commissioning, and maintenance for
the Work will take place.
“Slow Order” - A track section where the speed is restricted because of track defects or work activities.
This protection includes speed limit signs and may include flagmen.
“Snag” - Any issue requiring remedy that, in the sole opinion of Port Authority, does not materially
affect the functionality or performance of the Work or the System and as such, does not preclude
approval.
“Software Requirements Specification” – A structured collection of the requirements (functions,
performance, design constraints and attributes) of the software and its external interfaces.
“Standards” - At a given time, those standards, specifications, manuals, codes, practices, methods and
procedures applicable to Best Industry Practice.
“State” - The Commonwealth of Pennsylvania.
“Subcontractor” - An individual, firm, partnership, corporation, joint venture or any combination thereof
having a direct contract with the Contractor or another Subcontractor to perform a part or parts of the
Work including the supply of design services or installation services.
“Submittal” - Any document, design, calculation, drawing (including Record Documents), diagram,
sketch, illustration, schedule, performance chart, brochure, specification, plan, progress photograph,
113
report, manual (including operating and maintenance manuals), model, sample, information, data, or other
deliverable (whether in a written, graphic, physical, electronic, magnetic, optical or other format)
prepared by or for the Contractor which illustrates details of a portion of the Work which is required by
the Agreement, or is otherwise requested by Port Authority.
“Substantial Completion”/“Substantially Complete” - Work is sufficiently complete in accordance
with the Contract Documents, and as determined by Port Authority in its sole discretion, so that it can be
fully and properly used for its intended purpose by Port Authority.
“Subsystem” - The portions of the ATS comprised of the hardware, software or Products (or
combination thereof) that work together to perform both the wayside and/or carborne functions of the
System.
“Supplier” - Any individual, firm, partnership, corporation, joint venture or any combination thereof,
having a direct contract with the Contractor or a Subcontractor to supply Products or material, but not
labor or services.
“Surety” - A corporate body which is bound with and to the Contractor for the satisfactory and timely
performance of the Work by the Contractor.
“System” - The new Automatic Trip Stop System as required by the Contract Documents.
“Systems Assurance” - The process of demonstrating and certifying compliance of a system with
defined RAMS criteria.
“Systems Assurance Plan” - The formal document that defines the process of demonstrating and
certifying compliance of the System with defined RAMS criteria, including the structure and
independence of the organization.
“System Demonstration” – A complete prototype of the carborne and wayside Subsystems,
encompassing all essential features of the System, installed and operated, to provide assurance that the
System shall fulfill all the functional and performance requirements set forth in, or required by, the
Contract Documents.
“Systems Engineering” – A structured engineering methodology for evolving an operational need into a
working system which satisfies the operational need, by applying at least some of, but not limited to, the
following: (1) top-down approach; (2) life-cycle orientation; (3) functional analysis; (4) requirements
definition and allocation; (5) interdisciplinary design; (6) verification; and (7) validation, so as to ensure
the inter-operability and integration of all operational, functional, physical and environmental interfaces.
“Systems Engineering Management Plan (SEMP)” - The formal document that defines the executing
organization and process of structured engineering that will be applied to the System, to rigorously define,
specify, implement, verify and validate the ATS in a controlled manner.
“Systems Integration” - The process of systematically combining components and equipment and
products (including Products and third party products) into subsystems, and subsystems (including
Subsystems) into a fully functioning system.
“Systems Integration Plan” - The formal document that defines the process of systematically combining
the Products into Subsystems, Subsystems into the fully functioning System, including the controls
applied to manage the interfaces with all adjacent systems.
“Testing and Commissioning” - The end-to-end process of verifying and validating operation of the
Products, the Subsystems and the System, as applicable, through a structured approach consistent with the
System hierarchy, such that the System can be used during Revenue Service.
114
“Time of Completion” - The number of Calendar Days set forth in the Contract Documents for full and
satisfactory completion of the Work.
“Training Program Plan” - The document that defines the training required to enable Port Authority to
operate and maintain the System, the breakdown of the training into modules, the intended methods of
delivery, structure and testing, and the required supporting infrastructure.
“Utility” - A basic service such as electricity, gas, water, fiber optic cable, telephone, or the company that
provides such a service.
“Validation or Validate or Validated” - The range of checks and tests carried out to determine if
Products, Subsystems, the System, and the interfaces between them, operate in a manner consistent with
the objectives set forth in the Contract Documents, either explicitly or implicitly.
“Vehicle” - A Port Authority rail passenger-carrying light rail vehicle specifically designed for operation
on both private right-of-way and on streets with mixed traffic.
“Verification or Verify or Verified” - The range of checks and tests carried out to determine if the
System, Subsystems, and interfaces between them, operate in accordance with the requirements of the
Contract Documents.
“Verification and Validation Plan” - The formal document that defines the structure and independence
of the executing organization and the process of undertaking the verification and validation activities
carried out to determine if the Products, Subsystems, the System, and the interfaces between them,
operate in accordance with the requirements of the Contract Documents.
“Warranty Bond” - the approved form of security furnished by the Contractor and its Surety as a
guaranty to remedy, without cost to Port Authority, any defects in the Work which may arise or develop
during the Warranty Period.
“Warranty Period” - The period of two (2 years) after Final Acceptance in which the Contractor shall
correct, without delay or any charge to Port Authority, any failure or defect (Exhibit 12).
“Work” - See Contract Services.
“Work Zone” - A track section where activities for the Work takes place. Port Authority’s operating
rules require restricted operation in work zones to protect workers, LRVs, equipment and the public. This
protection includes slow orders, flagmen, and speed limit signs.
4.3
AWARD OF AGREEMENT
A.
Port Authority, in its sole discretion, reserves the right to reject, for any reason whatsoever, any
and all Proposals and/or to waive informalities and minor irregularities in any Proposal, other
provisions in the Contract Document notwithstanding.
B.
The Agreement shall not be in effect until approved by Port Authority’s Board and fully
executed.
C.
Port Authority reserves the right to cancel the Award of the Agreement, for any reason
whatsoever, before the issuance of the Notice to Proceed when Port Authority deems such
cancellation to be in its best interest. In no event shall Port Authority be liable, in any way, for
cancellation of the Award or any expenses, costs or damages resulting therefrom. The
Contractor assumes the sole risk, responsibility and liability for any expenses, costs and/or
damages it incurs prior to the issuance of the Notice to Proceed and shall not commence the
Work, or any portion thereof, until receipt of the Notice to Proceed.
115
4.4
EXECUTION OF CONTRACT
Within ten (10) days after the Agreement has been awarded, the successful Proposer shall
deliver to Port Authority a properly executed Agreement, in duplicate.
4.5
PERFORMANCE GUARANTEE/BOND
A.
Within ten (10) days after the Agreement has been awarded, the Contractor shall deliver to Port
Authority a properly executed Performance Bond (Exhibit 11G143) in the amount of at least
fifty percent (50%) of the Contract Sum, as it may change from time to time in accordance with
the Contract Documents, as security for faithful performance of the Agreement and the Work.
B.
The Performance Bond shall be on the form provided by Port Authority and shall be executed by
such Surety or Sureties acceptable to Port Authority, licensed to transact business in the
Commonwealth of Pennsylvania and named in the current list of "Companies Holding
Certificates of Authority as Acceptable Sureties on Federal Bonds and as Acceptable Reinsuring
Companies" as currently authorized under 31 CFR, Part 223 as possessing a Certificate of
Authority as described thereunder.
4.6
CONTRACT DOCUMENTS
In case of any conflict among the Contract Documents, where the parties' intended resolution is
not clear, the order of precedence shall be:
1.
2.
3.
4.
5.
4.7
First – Change Order issued by Port Authority
Second - Technical Requirements (Section 6) and General Requirements (Section 5)
Third – Contract Conditions and Instructions (Section 4)
Fourth – Other Contract Documents
Fifth – the Contractor's Best and Final Offer, but only to the extent not inconsistent with
the other Contract Documents
TAXES
A.
The Contract Sum shall include all applicable Federal, state, local and other taxes, fees and
duties and the Contractor shall be solely responsible for payment thereof.
B.
Port Authority is exempt from certain sales and excise taxes and, as appropriate, will furnish to
the Contractor appropriate evidence to establish exemption from taxes, fees or duties which may
be applicable to the Agreement. Except as otherwise provided in the Contract Documents,
appropriate evidence to establish exemption from taxes, fees or duties will be furnished only at
the sole discretion of Port Authority.
4.8
A.
CONTRACT SERVICES
The Contractor agrees to and shall provide, sell, install and deliver to Port Authority the
following:
1.
B.
The complete System including, but not limited to, all Subsystems, Products and
equipment required by the Contract Documents;
2.
All other items identified or specified in the Contract Documents or necessary to fully
perform the Work.
In addition to the other requirements of the Contract Documents, the following items shall be
furnished to Port Authority by the Contractor:
1.
2.
3.
All warranties;
Drawings;
Complete maintenance and parts manuals;
116
4.
5.
4.9
Any maintenance and inspection schedules for the System and its Subsystems; and
All other required documents, completely executed by the Contractor.
SCHEDULE
Pursuant to Section 5.9, the Contractor shall provide Port Authority with a proposed Schedule(s)
for the Work, as set forth in Section 5.18, which Schedule(s) shall be subject to the review and
approval of Port Authority. The Schedule(s) shall include, at a minimum, dates for design
review(s), approval cycle, first installation of Vehicles, installation at wayside, testing, training
and manual delivery and warranty periods. The Contractor shall identify the proposed critical
path on the Schedule(s).
4.10
TIME OF COMPLETION/LIQUIDATED DAMAGES
A.
The Work, except for any warranty work, shall be completed as soon as possible, but by no later
than 1460 days after NTP.
B.
In the event the Work or portion thereof is not completed, within the time frame set forth in the
Contract and/or the approved Schedule, damages will be sustained by Port Authority.
C.
For certain of said damages, including increased inspection costs, increased costs for Port
Authority’s administration, submittal review costs, impacts to Port Authority’s operations, and
lost revenues, the ability to ascertain the actual amount for said damages is and will be
impracticable or extremely difficult.
D.
In light of the impracticability or difficulty of estimating the specific categories of damages
identified above, the Contractor, solely as compensation for such damages, shall pay to Port
Authority the amount or amounts set forth herein as liquidated damages per day for every day, or
fraction of a day, of delay in finishing the Work or any portion thereof, which amount(s) the
Contractor agrees and acknowledges is a proper measure of liquidated damages. The liquidated
damages are not to be construed, in any sense, as a penalty.
E.
The Contractor shall pay to Port Authority, as liquidated damages and not as a penalty, the sum
of Three Thousand Dollars ($3000) for each day, or fraction of a day, beyond the date agreed
upon until the Work is completed in its entirety and to the satisfaction of Port Authority.
F.
Because of the significant costs and damages that are or may be incurred by Port Authority when
there is any disruption in transit service and because of the significant inconvenience to the
public with resulting cost impacts caused by any transit service disruption, the Contractor shall
also pay to Port Authority, as liquidated damages and not as a penalty, the sum of Five Thousand
Dollars ($5,000) for each day, or fraction of a day, per line, for any unauthorized delay to
Revenue Service, starting from the beginning of the delay, as solely determined by Port
Authority, until the time Revenue Service to each line is resumed. This shall apply to all forms
of transit service, including LRT, bus and other operations.
G.
The preceding paragraphs shall not be construed to mean that any delay in Port Authority’s
transit service, other than as permitted by the Contract Documents, outside the times indicated
will be acceptable. Any necessary delays or service disruptions must be approved in writing by
Port Authority at least 14 days prior to proceeding with the disruption. If Port Authority
determines that delays are being caused as a result of on omission, negligence or lack of
management or supervision of the Work by the Contractor, Port Authority can direct the
stoppage of personnel from the area, and direct the Contractor to implement any other actions
that Port Authority may deem necessary to eliminate such delays to transit service, until a
117
corrective plan of action is established by the Contractor, approved by the Engineer, an
implemented by the Contractor, all at no additional expense to Port Authority.
H.
The Contractor shall pay the referenced sum(s) as fixed, agreed to, and liquidated damages and
not by way of a penalty, to Port Authority and Port Authority may deduct the sum of the
liquidated damages from any monies due or that become due the Contractor under the Contract
or any other contract with Port Authority, or if the monies are insufficient, the Contractor or its
Surety shall pay to Port Authority any deficiencies in such money within thirty (30) days of
written notice by Port Authority.
I.
Liquidated Damages are not a change to the Agreement, but are an agreed upon reduction from
the amount to be paid to the Contractor under the Agreement.
J.
The remedies provided herein are not exclusive and are in addition to any other rights and
remedies provided by law or under the Contract Documents to Port Authority.
4.11
PAYMENT/CONTRACT SUM
A.
In full and complete payment for the Work, Port Authority will pay the Contractor, and the
Contractor shall accept, the Contract Sum, which is fixed and shall be a not-to-exceed amount,
as set forth in the Agreement and in accordance with the payment schedule set forth below:
B.
The payment milestones set forth in Section 5.1.1 shall apply to this Agreement.
C.
Payment for all items of Work will be made by Port Authority within thirty (30) days after
delivery or performance by the Contractor, acceptance by Port Authority and receipt by Port
Authority of an invoice of performance for said items.
4.12
A.
B.
CHANGES
Port Authority may, at any time, without invalidating the Agreement, and without notice to any
Surety, by written order designated or indicated to be a Change Order, unilaterally or by
agreement, make changes, modifications, additions or deletions to the Work and/or the
requirements of the Contract Documents, including, but not limited to:
1.
Changes to the terms and requirements of the Contract Documents;
2.
Changes to the method or manner of performance of the Work;
3.
Changes in the Port Authority furnished equipment, materials or services;
4.
Directing acceleration in the performance of the Work;
5.
Changes to the Schedule;
6.
Eliminating any portion of the Work no longer required by Port Authority; and
7.
Increasing or decreasing the quantities of the Work.
Except as herein provided, no order, statement or conduct of Port Authority shall be treated as a
change under this Section or entitle the Contractor to any adjustment hereunder. No course of
conduct or dealing, nor express or implied acceptance of modifications or additions to the Work,
shall be the basis of any claim to increase the Contract Sum, or any change to the Schedule.
This provision cannot be waived, and no oral amendment of the Agreement shall be effective.
C.
If Port Authority determines that any change, set forth in a Change Order, causes a compensable
increase or decrease in the Contractor’s costs of, or the time required for performance of, the
Work, an adjustment, through a Change Order, will be made to the Agreement.
D.
No allowance shall be made, or recovery be allowed, to the Contractor, and Port Authority shall
have no obligation to pay, for the loss by the Contractor of anticipated profit, incidental, special
or consequential damages, or overhead recovery on any portion of the Work not performed by
reason of a change in the Work.
118
4.13
PROPOSER’S RESPONSIBILITY
A.
Each Proposer shall become familiar with the forms, Advertisement, instructions, specifications,
drawings, bonds, Agreement and other documents making up the RFP (the "Proposal
Documents,") as each Proposer shall be held responsible to fully comply therewith. By
submitting a Proposal, the Proposer acknowledges that it has carefully examined the Proposal
Documents and satisfied itself to all elements of the Work.
B.
The Proposal and all forms shall be completely filled in for the item(s) on which the Proposer is
submitting a Proposal.
C.
Execution of Proposal:
1.
2.
3.
4.
4.14
SOLE PROPRIETOR: If the Proposer is an individual or sole proprietor, the Proposal
must be executed with a handwritten signature by the owner. In the event that the
Proposal is signed by a person other than the owner, then the Proposal must contain
supporting documentation, satisfactory as to form and substance to Port Authority,
authorizing said person to bind the Proposer in contractual matters (such as a properly
executed Power of Attorney).
PARTNERSHIP: If the Proposer is a general, limited or other partnership, the Proposal
must be executed with a handwritten signature by a general partner of that partnership. In
the event that the Proposal is signed by a person other than a general partner, then the
Proposal must contain supporting documentation, satisfactory as to form and
substance to Port Authority, authorizing said person to bind the partnership in contractual
matters.
JOINT VENTURE: If the Proposer is a joint venture, the Proposal must be executed
with a handwritten signature by each member or, in lieu thereof, by a member of the joint
venture expressly designated as the authorized signatory on behalf of all the joint
ventures as evidenced by supporting documentation which must be submitted with
the Proposal and satisfactory as to form and substance to Port Authority.
CORPORATION: If the Proposer is a corporation, LLC, or business trust, the Proposal
must be executed with a handwritten signature by either the president, vice president,
secretary, assistant secretary, treasurer or assistant treasurer of the corporation or business
trust. In the event that the Proposal is signed by a person other than the aforementioned
officers, then the Proposal must contain supporting documentation, satisfactory as to
form and substance to Port Authority, authorizing said person to bind the corporation or
business trust in contractual matters (such as a copy of the resolution adopted by the
Board of Directors and certified to by the secretary or assistant secretary of the
corporation or business trust).
REPRESENTATIONS OF PROPOSER/CONTRACTOR
Each Proposer, and the Contractor, agree and represent that:
1.
2.
They have not, either directly or indirectly, entered into any agreement, participated in
any collusion, or otherwise taken any action in restraint of free competition in connection
with the Proposal or the Agreement.
No member or delegate to the Congress of the United States, member, officer or
employee of Port Authority engaged in or responsible for the development of the
specification or the award or administration of the Agreement for which the Proposal is
made, nor any member of the immediate family of any Port Authority Board member,
officer or employee has any interest, direct or indirect, in the Agreement or the benefits
arising therefrom.
119
3.
4.
5.
6.
7.
8.
9.
4.15
No member, officer, or employee of Port Authority or of a local public body, during his
or her tenure or for one year thereafter, shall have any interest, direct or indirect, in the
Agreement or the proceeds thereof.
The members, officers, employees and agents of Port Authority have neither solicited nor
accepted gratuities, favors or anything of monetary value from the Proposer, potential
Proposers, the Contractor or parties to such contracts.
They shall comply with any and all applicable Federal, state and local laws, regulations,
policies and related administrative practices presently in effect, as well as any changes
and amendments to these laws, regulations, policies and practices which may become
effective during the period of the Agreement .
They acknowledge and agree that notwithstanding any concurrence by the Federal
government, the Commonwealth of Pennsylvania and/or the County of Allegheny, in or
approval of the solicitation or the award, if any, of the Agreement, absent the express
written consent of the Federal government, the Commonwealth of Pennsylvania and the
County of Allegheny, respectively, the Federal government, the Commonwealth of
Pennsylvania and the County of Allegheny, respectively, is not a party to the Agreement
and shall not be subject to any obligations or liabilities to, or claim by, the Proposer or
the Contractor or any other party pertaining to any matter resulting from the Agreement.
They acknowledge that the provisions of the applicable Program Fraud Civil Remedies
Act of 1986, as amended, 31 U.S.C. §§ 3801 et seq. and U.S. DOT regulations, "Program
Fraud Civil remedies," 49 C.F.R. Part 31, shall apply to the Agreement and the Work.
By executing the Agreement, the Contractor certifies and affirms the truthfulness and
accuracy of each statement it has made, it makes, it may make or causes to be made
pertaining to, or in connection with, the Agreement and/or the Work. In addition to other
penalties that may be applicable, the Contractor further acknowledges that if it makes, or
causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or
certification, the Federal government reserves the right to impose the penalties of the
Program Fraud Civil Remedies Act of 1986, as amended, on the Contractor to the extent
the Federal government deems appropriate.
The Contractor also acknowledges that if it makes, or causes to be made, a false,
fictitious, or fraudulent claim, statement, submission, or certification under or for the
Agreement and/or in connection to the Work, the Federal government reserves the right
to impose the penalties of 18 U.S.C. § 1001 and 49 U.S.C. § 5307(n)(l) on the Contractor,
to the extent the Federal government deems appropriate.
The Contractor shall include the above clauses in each subcontract at any tier.
BUY AMERICA PROVISION
A.
The Contractor shall comply with 49 U.S.C. § 5323(j) and 49 C.F.R. Part 661, as may be
amended, which provide that Federal funds may not be obligated unless steel, iron, and
manufactured products used in FTA-funded projects are produced in the United States, unless an
appropriate waiver has been granted by FTA or the product is subject to a general waiver.
General waivers are listed in 49 C.F.R. 661.7.
B.
The Contractor shall further comply with the separate requirements for rolling stock which are
set forth in 49 U.S.C. § 5323(j)(2)(C) and 49 C.F.R. 661.11. Rolling stock must be assembled in
the United States and have the then applicable percentage of domestic content.
C.
The Contractor shall submit the Buy America Certificate (Exhibit 4).
D.
If the Proposer fails to satisfy the requirements of Buy America, the Proposer will not be
awarded the Agreement.
120
4.16
CERTIFICATION/FORMS REQUIREMENTS
Each Proposer and the Contractor shall provide all required certifications as described in the
Contract Documents and the RFP.
4.17
COMMUNICATIONS
Communications in connection with this Agreement shall be in writing and shall be delivered
personally; or by email; or by regular, registered, or certified mail, or courier addressed to the
officer(s) or employee(s) of the Port Authority and of the Contractor designated to receive such
communications. Telephone calls may be used to expedite communications but shall not be
official communication unless confirmed in writing. Communications shall be considered
received at the time actually received by the addressee or designated agent.
4.18
"APPROVED EQUALS"
Wherever a material, product, equipment or service is defined in the Contract Documents by
using salient characteristics and a trade name and/or the brand name and catalog number of a
manufacturer or vendor, the term "APPROVED EQUAL," if not inserted therewith, shall be
implied. The Contractor understands and agreed that any reference to a particular
manufacturer's product, either by trade/brand name, catalog number or description, has been
made solely for the purpose of more clearly indicating the standard required. The term
"APPROVED EQUAL" is used as a means of defining the performance or other salient
requirements of the material, product, equipment or service. Port Authority, at its sole
discretion, shall determine, in writing, if the proposed material, product, equipment or service,
which the Contractor represents to be of at least equal quality and to have the required
characteristics for the purpose intended, meets the standard required. Further, any costs incurred
by Port Authority associated with the review of any request for an “APPROVED EQUAL” shall
be borne by the Contractor and acceptance of any “APPROVED EQUAL” shall be at no
additional cost whatsoever to Port Authority.
4.19
SUBLETTING OR ASSIGNMENT
The Contract may not be assigned, sublet or transferred by the Contractor without the prior
written consent of Port Authority which consent may be withheld for any reason whatsoever.
4.20
A.
BONDS AND WARRANTIES
The Contractor shall furnish and maintain the following bonds (“Bonds”) at its own expense:
1.
B.
Performance Bond - In an amount not less than fifty (50) percent of the Contract Sum;
and
2.
Warranty Bond - in the amount of ten (10) percent of the Contract Sum. The Warranty
Bond shall continue in full force and effect, beginning on Final Acceptance and
continuing for a period of twenty four (24) months after the date of Final Acceptance.
The Bonds shall be on forms provided by Port Authority and shall be executed by a surety or
sureties acceptable to Port Authority, licensed to transact business in the Commonwealth of
Pennsylvania and named in the current list of “Companies Holding Certificates of Authority as
Acceptable Sureties on Federal Bonds and as Acceptable Reinsuring Companies” as currently
authorized under 31 CFR, Part 223 as possessing a Certificate of Authority as described
thereunder.
C.
Provisions of the Bonds shall not limit, in any manner, any liability of the Contractor to
Authority.
D.
All alterations, extensions of time, extra and additional work, and other changes to the
Agreement may be made without securing the consent of the Surety or Sureties for the Bonds.
121
Such changes shall not, however, alter the Surety's or Sureties' responsibility relating to the
Bonds.
E.
The Bonds shall not be modified, altered, amended or canceled by the Contractor or the Surety
or Sureties without prior written consent of Port Authority.
F.
If any Surety upon any Bond becomes unacceptable to Port Authority, the Contractor shall
promptly furnish such additional security as may be required from time to time to protect the
interests of Port Authority.
G.
In addition to the other warranties set forth in the Contract Documents, the Contractor warrants,
affirmatively represents and covenants as follows:
1.
2.
3.
4.
5.
6.
7.
8.
4.21
The Contractor shall use its best efforts in performing the Work.
The System, Subsystems, Products, components, parts, equipment, spare parts,
documents, services and other items furnished pursuant to the Contract Documents shall
be, and shall perform, in accordance with the requirements of the Contract Documents.
Title conveyed under the provisions of the Contract Documents shall be good and
marketable and rightful and the System, Subsystems, Products, components, parts,
equipment, spare parts, documents and other items delivered or returned to Port Authority
shall be free of all security interests or other liens or encumbrances whatsoever.
The System, Subsystems, Products, components, parts, equipment, spare parts,
documents and other items furnished pursuant to the Contract Documents shall be free
from defective and inferior materials, equipment and workmanship and shall be suitable
for their intended purpose.
All software and other software functions, including any required customization, shall
meet the requirements of the Contract Documents, shall be free from defect, and shall be
consistent with any written or oral representations or warranties of the Contractor.
The Contractor shall deliver to Port Authority all of the software and perpetual and
irrevocable licenses required to operate, use, test, maintain and repair the System,
Subsystems, Products, equipment, software and other portions of the Work and none of
the software or Port Authority’s use thereof shall infringe any intellectual property rights
or other rights of any third party.
The Contractor shall escrow all source codes and other required materials as set forth in
the Contract Documents.
Any and all necessary repairs or replacements shall be timely and properly made, without
additional expense to Port Authority.
INSPECTION
A.
Port Authority and the Federal government shall at all times have access to the Work and shall
be entitled to inspect the System and all Subsystems, Products, parts and other items to be
provided by the Contractor. State and local officials shall have the right to inspect the portions
of the Work that are subject to their jurisdiction. The Contractor shall cooperate with these
Federal, state and local representatives in the same manner as any Port Authority representative.
B.
Port Authority, and its authorized representatives, may inspect, at the Contractor’s facility, any
Subsystems, Products, equipment or materials procured or manufactured at said plant or facility
as well as, may inspect, at the source of supply or manufacture, any Subsystems, Products,
equipment or materials procured and/or manufactured by a Subcontractor, Supplier or any other
person or entity other than the Contractor. Port Authority and its authorized representatives shall
have free entry at all times, during normal business hours, to such parts of the plant or facility
that pertain to the manufacture or production of the Subsystems, Products, equipment or
122
materials. Port Authority assumes no obligation to inspect Subsystems, Products, equipment or
materials at the source of supply, manufacture or production. The responsibility for providing
satisfactory Subsystems, Products, equipment and materials for incorporation into the Work
shall rest entirely with the Contractor, notwithstanding any prior inspections or tests by Port
Authority.
C.
4.22
If, upon inspection, any Subsystem, Product, equipment, material or other portion of the Work or
other item is determined by Port Authority to be defective or fails to otherwise meet the
requirements of the Contract Document, it may be rejected by Port Authority. The decision of
Port Authority shall be final and rejected items shall be promptly replaced by, and at the expense
of, the Contractor.
DAMAGE BY CONTRACTOR/DEFECTIVE WORK
A.
All loss, damage and expenses arising from any unforeseen obstruction or difficulties, either
natural or artificial, which may be encountered in the prosecution of the Work, or the furnishing
of the items required by the Contract Documents prior to the delivery to, and final acceptance
thereof by, Port Authority, or from any act or omission not authorized by the Contract
Documents or any agent or person employed on the part of the Contractor or any agent or person
employed by that person(s), shall be solely the responsibility of the Contractor.
B.
If the Contractor furnishes items not meeting the requirements of the Contract Documents, and
does not replace such items, or if there is a failure to deliver any item within the specified time,
Port Authority reserves the right to purchase the same in the open market and deduct the
expense, including any excess in price over the price set forth in the Contract, from the amount
due the Contractor. If the amount due the Contractor is not sufficient to meet such expenses and
excess price, Port Authority may proceed against the Contractor and/or the Surety.
C.
The Contractor shall provide full and competent design and engineering services to handle any,
and correct all, problems associated with the performance of the System. At least one qualified
service engineer shall be available in the vicinity of the Pittsburgh area to render this service
through the applicable warranty period(s). The Contractor shall also provide Port Authority with
the location of a parts warehouse which will serve the Pittsburgh area and give the best estimate
of time required for delivery of parts.
4.23
ACCEPTANCE OF TITLE
A.
Notwithstanding any provision of the Uniform Commercial Code or other applicable law, title to
and risk of loss for the System and any Subsystem, Product, component, part, equipment or other
item of the Work shall not vest in Port Authority until Port Authority has fully accepted all the
Work. The acceptance by Port Authority of the Work shall only be after it is completed, as
required, fully and satisfactorily tested and inspected (Final Acceptance).
B.
The title transferred to Port Authority shall be good and free and clear of any and all security
interest, liens or other encumbrances. The Contractor shall not pledge, hypothecate or otherwise
encumber the System or any Subsystem, Product, component, part, equipment or other item of
the Work in any manner that would result in any lien, security interest, change or claim upon or
against any such item under the Uniform Commercial Code or any other law that may be
applicable.
C.
Notwithstanding any other provision in the Contract Documents, acceptance of the Work shall
not be construed as acceptance by Port Authority of, nor release the Contractor from, liability for
defective or faulty work, improper materials or work not otherwise in conformance with the
Contract Documents, even if appearing or discovered after final payment has been made. Port
Authority reserves the right, and shall be at liberty, to inspect all materials and workmanship;
however, Port Authority is under no duty to make such inspection, and if no such inspection is
123
made, the Contractor shall not be relieved of any obligation to furnish materials and
workmanship strictly in accordance with the Contract Documents.
4.24
INTEREST OF MEMBERS OF, OR DELEGATES TO, CONGRESS
No member of, or delegate to, the Congress of the United States shall be admitted to a share or
part of this Agreement or to any benefit arising therefrom.
4.25
A.
CIVIL RIGHTS REQUIREMENTS
The following requirements apply to the Agreement:
1.
B.
Nondiscrimination - The Contractor shall not discriminate against any employee or
applicant for employment, independent contractor or any other person because of race,
color, religious creed, disability, age, sexual orientation, gender identity, status as a
parent, national origin or otherwise. The Contractor shall take affirmative action to
ensure that applicants are employed, and that employees or agents are treated during
employment without regard to their race, color, religious creed, disability, age, sexual
orientation, gender identity, status as a parent, or national origin. Such action shall
include, but not be limited to, the following: employment upgrading, demotion or
transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or
other forms of compensation; and selection for training, including apprenticeship. The
Contractor agrees to post in conspicuous places, available to employees and applicants
for employment, notices setting forth the provisions of this non-discrimination clause.
2.
Equal Employment Opportunity - The following equal employment opportunity
requirements apply to the Agreement:
a. Race, Color, Creed, National Origin, Sex – The Contractor shall comply with all
applicable provisions of Title VII of the Civil Rights Act, as amended, 42 U.S.C. §
2000e, et seq., Executive Order No. 11246 of September 24, 1965, as amended by
Executive Order No. 11375, Amending Executive Order No. 11246 “Relating to Equal
Employment Opportunity,” 42 U.S.C. §§ 2000e, et seq., as further amended by Executive
Order No. 13672, Further Amendments to Executive Order No. 11478, “Equal
Employment Opportunity in Federal Government,” and with any applicable Federal
statutes, executive orders, regulations and Federal policies that may in the future affect
activities undertaken in the course of or for the Work.
b. Age - In accordance with the Age Discrimination in Employment Act, as amended, 29
U.S.C. § § 623, et seq. and Federal transit law at 49 U.S.C. § 5332, the Contractor shall
refrain from discrimination against present and prospective employees for reason of age.
In addition, the Contractor agrees to comply with any implementing requirements FTA
may issue.
c. Disabilities - In accordance with section 102 of the Americans with Disabilities Act, as
amended, 42 U.S.C. § 12112, and any implementing regulations issued by FTA, the
Contractor shall comply with the requirements of U.S. Equal Employment Opportunity
Commission, “Regulations to Implement the Equal Employment Provisions of the
Americans with Disabilities Act,” 29 C.F.R. Part 1630, pertaining to employment of
persons with disabilities. In addition, the Contractor agrees to comply with any
implementing requirements FTA may issue.
d. Sex – In accordance with Title IX, as amended, 20 U.S.C. §§ 1681, et seq., and any
implementing regulations issued by FTA or DOT, the Contractor shall not discriminate
based on sex.
In connection with the performance of this Agreement, the Contractor shall also comply with the
Commonwealth of Pennsylvania Nondiscrimination Clause set forth below:
124
1.
C.
4.26
The Contractor shall not discriminate against any employee, applicant for employment,
independent contractor or any other person because of race, color, religious creed,
disability, age, sexual orientation, gender identity, status as a parent, ancestry, national
origin or otherwise. The Contractor shall take affirmative action to insure that applicants
are employed, and that employees or agents are treated during employment, without
regard to their race, color, religious creed, disability, age, sexual orientation, gender
identity, status as a parent, ancestry or national origin.
2.
The Contractor shall in advertisements or requests for employment placed by it or on its
behalf, state that all qualified applicants will receive consideration for employment
without regard to race, color, religious creed, disability, age, sexual orientation, gender
identity, status as a parent, ancestry, national origin or otherwise.
3.
The Contractor shall send each labor union or worker’s representative with which it has a
collective bargaining agreement or other contract or understanding, a notice advising said
labor union or workers’ representative of its commitment to this nondiscrimination
clause. Similar notice shall be sent to every other source of recruitment regularly utilized
by the Contractor.
4.
It shall be no defense to a finding of noncompliance with this nondiscrimination clause
that the Contractor had delegated some of its employment practices to any union, training
program or other source of recruitment which prevents it from meeting its obligations.
However, if the evidence indicates that the Contractor was not on notice of the third party
discrimination or made a good faith effort to correct it, such factor shall be considered in
mitigation in determining appropriate sanctions.
5.
Where the practices of a union or of any training program or other source of recruitment
will result in the exclusion of minority group persons, so that the Contractor will be
unable to meet its obligations under this nondiscrimination clause, the Contractor shall
then employ and fill vacancies through other nondiscriminatory employment procedures.
6.
The Contractor shall comply with all applicable state and Federal laws prohibiting
discrimination in hiring or employment opportunities. In the event of the Contractor’s
noncompliance with the nondiscrimination clause of this Agreement or with any such
laws, this Agreement may be terminated or suspended, in whole or in part, and the
Contractor may be declared temporarily ineligible for further Commonwealth contracts,
and other sanctions may be imposed and remedies invoked.
7.
The Contractor shall furnish all necessary employment documents and records to, and
permit access to its books, records and accounts by, Port Authority and the
Commonwealth Office of Administration, Bureau of Affirmative Action, for purposes of
investigation to ascertain compliance with the provisions of this clause. If the Contractor
does not possess documents or records reflecting the necessary information requested, it
shall furnish such information on reporting forms supplied by the Port Authority.
8.
The Contractor shall actively recruit minority contractors or contractors with substantial
minority representation among their employees.
9.
The Contractor shall include, or cause to be included, the provisions of this
nondiscrimination clause in every subcontract at any tier, so that such provisions will be
binding upon each subcontractor.
The Contractor also agrees to include these requirements in each subcontract, modified only if
necessary to identify the affected parties.
AMERICANS WITH DISABILITIES ACT
The Contractor shall comply with, and assure that the Work complies with, all applicable
requirements of the Americans with Disabilities Act of 1990 (ADA), 42 U.S.C. §§ 12101, et seq.
125
and 49 U.S.C. § 5301(d); Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C.
§ 794; 49 U.S.C. § 332; and the Architectural Barriers Act, as amended, 49 U.S.C. §§ 4151 et
seq.
4.27
DISADVANTAGED BUSINESS ENTERPRISE/DIVERSE BUSINESS
UTILIZATION REQUIREMENTS
A.
The Contractor and its Subcontractors shall make a good faith effort to comply with, and shall
carry out, the applicable requirements of 49 C.F.R., Part 26, and 74 Pa. C.S. § 303 in the
performance of the Agreement and in the award and administration of this Agreement, all
applicable subcontracts and all other DOT assisted contracts and ensure that eligible DBEs and
DBs have the maximum feasible opportunity to participate in this Agreement and to document
the results of all such activities. Failure by the Contractor or its Subcontractors to carry out
these requirements shall be a material breach of this Agreement, which may result in the
termination of this Agreement or such other remedy as Port Authority deems appropriate.
B.
It is the policy of Port Authority that DBEs shall have the maximum opportunity to participate in
the performance of contracts financed in whole or in part with Federal funds. Consequently, the
DBE requirements of 49 CFR Part 26 apply to this Agreement. In accordance with Executive
Order 11625, 49 CFR Part 26 and the provisions of the Grant Contract between FTA and Port
Authority, the Contractor agrees:
1.
C.
To ensure that DBEs have the maximum opportunity to participate in the performance of
the Agreement which is financed in whole or in part with Federal funds. In this regard,
the Contractor shall take all necessary and reasonable steps in accordance with 49 CFR
Part 26 to ensure that DBEs have the maximum opportunity to compete for and perform
work for the Agreement.
2.
To use good faith efforts to achieve the specific measurable Disadvantaged Business
Enterprise goals for the Agreement.
3.
Failure of the Contractor to carry out the above requirements shall be a breach of the
Agreement which may result in termination of the Agreement by Port Authority or such
other remedy as Port Authority deems appropriate or as otherwise provided by law and/or
in the Contract Documents.
The Contractor is required to document sufficient DBE participation to meet these goals or,
alternatively, document adequate good faith efforts to do so. Award of this Agreement is
conditioned on submission of the following, prior to award of the Agreement:
1.
2.
3.
4.
D.
The names and addresses of DBE firms that will participate in the Agreement;
A description of the work each DBE will perform;
The dollar amount of the participation of each DBE firm participating;
Written documentation of the Contractor’s commitment to use a DBE Subcontractor
whose participation it submits to meet the contract goal;
5.
Written confirmation from the DBE that it is participating in the Agreement as provided
in the Contractor’s commitment; and
6.
If the Agreement goal is not met, evidence of good faith efforts to do so.
The Contractor shall not terminate a DBE Subcontractor, which shall include, but not be limited
to, instances when the Contractor seeks to perform work originally designated for a DBE
Subcontractor with its own forces or those of an affiliate, a non-DBE Subcontractor or another
DBE Subcontractor and when the Contractor partially terminates a DBE Subcontractor through
any reduction in the scope of work of, or compensation paid to, the DBE Subcontractor, which it
had previously listed or identified to Port Authority, without Port Authority’s prior written
126
consent. Port Authority will provide such consent only if the Contractor establishes good cause
to terminate the DBE as set forth in 49 CFR § 26.53(f).
1.
E.
Before transmitting to Port Authority its request to terminate and/or substitute a DBE, the
Contractor must give notice in writing to the DBE, with a copy to Port Authority, of its
intent to request termination and/or substitution and the reason for the request.
2.
Except for matters of public necessity (e.g., safety), the Contractor must give the DBE
five (5) days to respond to the notice and to advise Port Authority and the Contractor of
the reasons, if any, why it objects to the proposed termination and why Port Authority
should not approve the Contractor’s actions.
The Contractor shall make a good faith effort to replace a DBE Subcontractor with another
DBE. The good faith effort shall be directed at finding another DBE to perform, at least, the
same amount of work for the Agreement as the DBE that was terminated, to the extent needed to
meet the DBE goal.
F.
The Contractor shall make a good faith effort to provide DBE Subcontractors with the
opportunity to perform work added to the Contract through a Change Order.
G.
The Contractor shall pay its Subcontractors performing work related to this Agreement for
satisfactory performance of that work no later than thirty (30) days after the Contractor’s receipt
of payment for that work from Port Authority. In addition, the Contractor shall return any
withheld retainage to each of its Subcontractors no later than thirty (30) days after a
Subcontractor’s work related to the Agreement has been satisfactorily completed.
H.
The Contractor shall include these requirements in all subcontracts of any tier.
4.28 CONTRACT WORK HOURS AND SAFETY STANDARDS ACT/SAFETY AND
SECURITY
A.
Contract Work Hours and Safety Act. The Contractor shall comply, as applicable, with Section
102 of the Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. § 3702 of 29
C.F.R., Part 5 and the Contractor shall incorporate these requirements into each subcontract
entered into pursuant to the Agreement.
B.
General Safety Standards
1.
The System shall be installed, tested and safety certified by the Contractor on Port
Authority’s operating light rail system which is in service approximately twenty-one (21)
hours a day, three hundred and sixty-five (365) days a year.
2.
Part of the Work is to be performed on Port Authority's operating LRT System. All work
shall be scheduled to minimize disruption to Vehicle traffic.
3.
The Contractor shall be permitted access to operating portions of the LRV system during
off-peak hours on a prearranged basis. Access request shall be submitted in writing, with
at least fourteen (14) Calendar Days’ notice, to Port Authority.
4.
Any installation or testing which affects existing operations shall be performed during the
hours specified by Port Authority and must be completed in sufficient time to allow for
return to normal service.
5.
Port Authority vehicle operations, patron flow, security and emergency maintenance shall
have precedence over performance of the Work.
6.
There will be no suspension, restriction or delay of scheduled LRT operations except as
set forth in the Contract Documents or otherwise approved, in writing, by Port Authority.
Service restrictions and suspensions shall be carefully coordinated in accordance with the
Contract Documents.
127
7.
Service suspensions and restrictions will not be permitted between November 15 and
January 1, of any calendar years during which Contractor performs the Work or during
scheduled public events that result in increased transit patronage, including but not
limited to all Steeler home games, major sporting events, St. Patrick's Day, First Night,
Light-up Night, Three-Rivers Arts Festival, Independence Day and Three Rivers Regatta.
Acceptance of service suspensions and restrictions will also be contingent on other Port
Authority service suspensions and requirements, as well as restrictions requested from
other Port Authority contactors.
8.
Field testing will require participation of Port Authority staff and equipment. Port
Authority personnel and equipment for field testing will be provided at no cost to the
Contractor at the time(s) scheduled. The Contractor shall coordinate with Port Authority
to perform the Work. The Contractor shall attend Port Authority's Monday morning
track allocation meeting fourteen (14) Calendar Days prior to the date of the Contractor's
work which Port Authority assistance is requested. The Contractor shall follow Port
Authority procedures described in the "Track Entry Training Program" manual and
Section 4.28.E . Should the Contractor fail to properly cancel, in a timely manner, any
Port Authority assistance previously requested, the Contractor shall reimburse Port
Authority for the cost of all Port Authority personnel and equipment that report, or are
scheduled to provide services.
9.
Testing involving Port Authority personnel and equipment will not occur during peak
periods and special events as prescribed in this Section.
10.
The Contractor shall promptly and fully comply with, execute and enforce, without
separate charge therefore to Port Authority, the safety and health requirements stated
herein and those that may be prescribed by law or by any official or representative
charged with the enforcement thereof, and shall take such other measures as may be
necessary to assure that the Work shall be done in a safe manner and the safety and health
of the employees and the general public are safe-guarded. The Contractor shall be
responsible for its Subcontractors’ compliance with these provisions.
11.
Copies of all reports submitted to OSHA by the Contractor or any Subcontractor, and
copies of OSHA citations and recommendations, shall be submitted to Port Authority
within five (5) Calendar Days of submission or receipt.
12.
The Contractor shall:
a.
b.
c.
d.
Submit five (5) copies of a “Safety Program” in writing to Port Authority, for review and
approval for conformance with the requirements of the Contract Documents, within ten
(10) Calendar Days after receipt of the NTP.
The Contractor’s Safety Program shall incorporate such programs and activities as may
be necessary to comply with OSHA and other applicable Federal, state, county and
municipal laws and regulations and Port Authority’s rules, policies and procedures in the
performance of the Work. As part of this item, the Contractor shall develop and institute,
for the duration of the Contract, procedures in the event of fire, injury, accident or other
emergency conditions.
Designate, at the Kick-Off Meeting, a Safety Supervisor whose duties shall be to
implement and enforce the Safety Program; and
Conduct weekly safety meetings. Included at these meetings will be instructions for each
employee on the recognition and avoidance of unsafe conditions and the regulations
applicable to his or her work environment to control or eliminate any hazards or other
exposures to illness or injury. Such meetings shall be administered by the Contractor's
Safety Supervisor. Notice of the time and place of such safety meetings shall be given to
128
13.
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.
k.
l.
m.
n.
o.
p.
q.
14.
Port Authority at least three (3) Business Days in advance of each such meeting. A copy
of the safety meeting minutes shall be provided to Port Authority within three (3)
Business Days after each safety meeting. Port Authority shall be invited to, and at their
discretion, may attend these meetings.
As an integral part of the Safety Program, the Contractor shall prepare and maintain a
directory, listing the company name and contact person, business telephone number and
emergency telephone number, including a mobile number (i.e. cellular, pager, etc.) as
available, for the following, which shall be maintained and updated as required for the
duration of the Agreement, and shall be provided to Port Authority and posted at a
prominent place at the Site:
Contractor's Main Office, including a 24-hour contact for non-business hours;
Contractor's Project Manager;
Contractor's Installation Manager and any other Contractor’s personnel as required by
Authority;
Each Subcontractor;
Each Port Authority Contractor working adjacent to or on the Site;
Contractor’s Field Office, including a twenty-four (24) hour contact for non-business
hours;
Contractor’s Main Office;
Testing laboratories;
Emergency telephone numbers including, but not limited to, physicians, emergency
hospitals, ambulance, police and fire department;
Emergency telephone numbers for utility owners who have facilities on or adjacent to the
Site;
Port Authority's 24 hour emergency numbers;
For bus incident - Bus Traffic at (412) 851-4900;
For rail incident - Operations Control Center at (412) 851-4700;
Authority Police at (412) 255-1385;
Railroads and other affected agencies and/or authorities;
Port Authority's Project Manager; and
Pennsylvania Department of Environmental Protection.
Failure of the Contractor to comply with any of the requirements of this Section may be
cause for Port Authority to disqualify the Contractor from proposing or bidding on any
other Port Authority contracts.
15.
Should Port Authority determine that the Contractor’s failure to comply with the Contract
Documents creates a hazard to life, limb or property, Port Authority may stop any
operation of the Contractor affected by the failure until such failure is remedied. Any
time lost due to any such stoppage of the Work shall not be made the subject of any claim
for money or time by the Contractor. The Contractor shall not make any claim for
extension of time or for additional compensation or for damages by reason of or in
connection with work stoppages directed by any responsible authority, by reason of or
involving operations which create an imminent danger (as defined by OSHA) to
employees, to the public or to property.
16.
The Contractor shall submit to Port Authority a copy of all accident occurrence reports
within 24 hours of occurrence.
129
17.
The Contractor shall submit one copy of the OSHA Form 300A including all injuries and
illnesses that occurred to the Contractor or appropriate Subcontractor employees to Port
Authority, no later than the third day of each month. The Contractor shall indicate, in the
upper left corner, the total man-hours worked by the Contractor and its Subcontractors
during the previous month.
18.
The Contractor shall be solely responsible for initiating, maintaining and supervising
safety precautions and programs in connection with the Work.
19.
The Contractor shall take reasonable precautions for the safety of, and provide reasonable
protection to prevent damage, injury or loss to:
a.
20.
C.
The materials and equipment for incorporation in the Work whether in storage on or
off the Site under the care, custody or control of the Contractor or others;
b.
Other property at the Site or adjacent to it, including trees, shrubs, lawns, walks,
pavements, roadways, structures and utilities not for removal, relocation or
replacement in the course of the Work; and
c.
Vehicle and pedestrian traffic traveling through, under, or around the Site area and
Site access areas.
The Contractor shall erect and maintain, as required by existing conditions and progress
of the Work, safeguards for safety and protection, including posting danger signs and
other warnings against hazards, promulgating safety regulations and notifying owners
and users of adjacent utilities.
21.
The Contractor shall ensure employees, visitors, Subcontractor’s employees, and
Suppliers' employees, while on the Site, comply with the approved Contractor’s Safety
Program and any changes thereto.
22.
In the event of a conflict and/or ambiguity between various safety statutes or
requirements, the interpretation by Port Authority as to which provision(s) applies or
what a given provision(s) implies will be final.
Safety Supervisor
1.
The Contractor shall designate an individual as Safety Supervisor whose responsibility
shall be job safety for the Work, and whose duties shall include assisting in the
supervision for the safety of persons on or about the Site and affected property. Should
the Contractor implement shift or off hour work for the installation, the Safety Supervisor
shall be present at the Site, at a minimum, at times during the performance of potentially
dangerous or hazardous work. The Installation Manager or other designated personnel
may serve as Safety Supervisor based upon review and approval by Port Authority.
2.
The Contractor’s Safety Supervisor shall:
a.
b.
c.
d.
e.
f.
Make daily safety inspections of the Site and take necessary immediate corrective
action to eliminate unsafe acts and conditions;
Assure that the OSHA 300A Form Accident Report is properly completed and
submitted to Port Authority;
Review accident and incident reports and initiate immediate corrective action;
Provide job foremen with appropriate material for use in conducting weekly safety
meetings;
Attend safety meetings and evaluate their effectiveness;
Assist in the preparation of the accident investigation and reporting procedures;
130
g.
3.
D.
Implement training programs for supervisors and employees as they apply to their
specific responsibilities and ensure compliance by them of all safety requirements in
performing their specific responsibilities. The Contractor shall provide Port
Authority with a description of the type of mobile equipment required to complete
the Work, a list of employees trained to operate equipment to be used for the Work,
and a description of the Work to be performed. Training records shall be
maintained by the Contractor and made available to Port Authority upon request;
h. Encourage programs for recognition of individual employee’s safety efforts and
their contribution toward improved work methods;
i.
Be responsible for the control and availability of all necessary, properly operating
and maintained safety equipment, including employee’s personal protective
equipment;
j.
Coordinate activities with those of the other contractors and Port Authority;
k. Submit a written weekly report summarizing:
i. Daily inspection results;
ii. Meetings;
iii. Accident investigations; and
iv. Planning activities for upcoming operation;
l.
Maintain a current copy of OSHA 29 CFR 1926/1910 Standards on Site; and
m. Maintain a record of the installation and maintenance of the traffic control and
highway closure signs, signals, barricades, and devices. The record shall include a
written log of daily maintenance and photographs of installations.
If Port Authority determines that the Safety Supervisor is not effective in executing his or
her duties, Port Authority may direct the Contractor, in writing, to replace the current
Safety Supervisor with a new Safety Supervisor.
4.
If or when it should be necessary to replace the Safety Supervisor, the Contractor shall
notify Port Authority, within 72 hours in writing, and submit to Port Authority the name,
experience and qualifications of the proposed replacement Safety Supervisor for
approval. The replacement Safety Supervisor shall be approved and on Site prior to
replacing the current Safety Supervisor.
5.
The Contractor shall not make any claim for extension of time or for additional
compensation, or for damages by reason of or in connection with stoppages of the Work
that Port Authority, any authority, or their authorized representative directs by reason of
or involving operations creating an imminent danger to employees, to the public or to
property. Imminent danger “is any condition where there is reasonable certainty that a
danger exists that can be expected to cause death or serious physical or other harm
immediately or before the danger can be eliminated through normal enforcement
procedures."
Safety Program
1.
The Safety Program shall provide guidelines to implement an accident prevention
program on for the Work, and fully describe the Contractor's commitments for meeting
its obligations to provide safe and healthful working conditions for its employees.
2.
The Safety Program shall contain the following, but not limited to:
a.
b.
c.
Accident Investigation Procedures;
Emergency Procedures;
First Aid;
131
3.
4.
d.
Occupational Health Programs;
e.
Personal Protective Equipment;
f.
Safe Work Practices;
g.
Safety Orientation for New Hires;
h.
Job Safety Meetings; and
i.
Site Security.
After NTP, and prior to the start of Work, Port Authority will schedule a meeting with the
Contractor to review the Safety Program. The Contractor shall conduct a similar meeting
with each Subcontractor at any tier prior to the start of the Subcontractor’s work, and
shall ensure that each Subcontractor complies with the Safety Program. Both meetings
will require the attendance of the Contractor’s Project Manager and Safety Supervisor.
Other attendees at the meeting may include representatives from Port Authority. The
intent of the review is to: clarify any issues regarding regulatory compliance or
Agreement requirements; enhance planning for both safety and productivity; and reduce
the potential for accidents. Port Authority will review the Safety Program to verify that it
complies with the Agreement. The Contractor shall not begin the Work until Port
Authority approves the Contractor's Safety Program as compliant with the requirements
of the Agreement.
Fall Protection
a.
The Contractor shall develop and submit to Port Authority a plan detailing specific
actions it shall take to ensure that no employees are exposed to an elevated fall
hazard in excess of six (6) feet. The Contractor shall utilize full body harnesses for
personal fall protection. At no time shall the Contractor and its Subcontractors use
body belts as part of a personal fall arrest system.
b. The Contractor shall train personnel in proper fall protection methods and
requirements, and give additional training concerning full body harnesses, lanyards,
and lifelines. Training shall cover proper use of such equipment, including wearing,
securing, and inspection procedures. The Contractor shall maintain documentation
of such training. The Contractor shall institute measures to verify the effectiveness
of the training.
Transit Corridor/Property Safety Conditions
E.
1.
The Site consists of an operating railway and/or busway route. The Contractor's attention
is directed to the fact that the Work may, of necessity, be performed at times near high
voltage feeder cables, signal cables and other trolley wires, which may be energized. The
Contractor shall always assume that such wires and cables are energized. The Contractor
shall take all precautions necessary to avoid contacting or damaging, in any way, any of
these wires, cables or their insulators and supporting structures; shall be responsible for
the protection of its and any Subcontractor’s workers and for the protection of the general
public from injury due to contact of any equipment or materials with such wires and
cables; and shall be responsible for the costs incurred in repairing facilities damaged as a
result of the performance of the Work.
2.
At any time that the Contractor may be working within Port Authority’s LRT System or
Busway Rights-of-Way, the Contractor shall complete Port Authority’s Right-of-Way
Allocation Request, which form shall be provided to the Contractor by Port Authority,
and shall submit this form for review and processing by Port Authority a minimum of
two (2) weeks prior to the commencement of any proposed activities within the Right-ofWay.
132
a.
F.
The Contractor shall attend the weekly scheduled Right-of-Way Allocation
meeting prior to the start of the related work. During the performance of the
related work, the Contractor shall attend the Right-of-Way Allocation meetings
weekly to provide an update of its progress and activities.
b.
The Contractor shall not begin any related work within Port Authority’s LRT
System or Busway Rights-of-Way prior to the Contractor and its Subcontractors
attending Port Authority’s Track Access Training Course (duration eight (8) hours)
or Port Authority’s Busway Certification Program (duration eight (8) hours).
Attendance by the Contractor’s and its Subcontractor’s personnel shall be
coordinated with Port Authority a minimum of two (2) weeks prior to the
commencement of related work.
c.
The Contractor must obtain a permit from Port Authority for access onto Port
Authority Rights-of-Way and placards which must be displayed on all vehicles
accessing the Busway. Access is limited to only those vehicles, areas, times and
days specified in the permit.
d.
The Contractor shall ensure that its personnel, and the personnel of its
Subcontractors and Suppliers, comply with all required procedures identified in the
noted training course, certification program, and permits.
Spotters and Flaggers
1.
Spotters:
2.
Whenever any portion of the Work is being performed within ten (10) feet of the
centerline of Port Authority’s track, the Contractor shall provide a “spotter” or “spotters”
equipped with a sufficiently audible alarm device, to alert all personnel of any
approaching Port Authority traffic. The spotter shall be stationed in a position to see any
approaching Port Authority vehicles in sufficient time to alert such personnel. As
vehicles approach, the spotter shall sound the alarm, and shout “hot rail” so all personnel
can hear and move out of the pathway of the oncoming vehicle. With oncoming traffic,
the Contractor shall remove any equipment as well. The personnel shall not resume their
activities until after the vehicle has passed. The spotter shall have no other duties other
than that described above whenever any portion of the Work is being performed within
ten (10) feet of the centerline of track.
Flaggers
a. Flaggers will ensure the protection of people and equipment against the movement of
motor vehicle traffic at the Site, in accordance with the Site Specific Work Plan
(“SSWP”), where required.
b. The Contractor shall provide a minimum of two properly attired flaggers to control traffic
flow, as directed by Port Authority, equipped with W21-10 “STOP AND SLOW”
paddles, or red flags, as appropriate.
c. The Contractor shall ensure that flaggers are clearly visible to oncoming traffic under
their control and provide communications between flaggers. The Contractor shall instruct
flaggers in the proper procedures for controlling traffic before allowing them to control
traffic in accordance with PENNDOT Publication 212, PENNDOT Publication 213,
PENNDOT Publication 234 and the MUTCD.
d. The Contractor shall provide flagger controlled access, during working hours, for
construction vehicle access and staging areas which conflict with pedestrian and vehicle
traffic.
133
G.
Drug and Alcohol Program Requirements
1.
2.
Safety Sensitive Requirements
a.
The Contractor shall establish and implement a drug and alcohol testing program that
complies with 49 CFR Parts 655 (hereinafter referred to as the “Regulations”). The
Contractor shall produce any documentation necessary to establish its compliance with
the Regulations, and permit any authorized representative of the United States
Department of Transportation or its operating administration, the State Oversight
Agency of Pennsylvania, or Port Authority, to inspect the facilities and records
associated with implementation of the drug and alcohol testing program as required
under the Regulations and review the testing process. The Contractor shall submit to
Port Authority, within three (3) Calendar Days of being requested to do so by Port
Authority, its drug and alcohol policy and program to demonstrate its compliance with
the Regulations. The Contractor shall further certify annually its compliance with the
Regulations before January 30 of each year and submit the Management Information
System (MIS) reports, as required by the Regulations, before March 1 of each year, or
within one month after the completion of all Safety-Sensitive functions by the
Contractor, whichever is earlier, to the Manager, Drug and Alcohol Compliance, Port
Authority of Allegheny County, 345 Sixth Avenue, Third Floor, Pittsburgh, PA 152222527. A copy of the transmittal only shall be given to Port Authority to document that
this submission has been made. To certify compliance, the Contractor shall use the
“Substance Abuse Certifications” in the “Annual List of Certifications and Assurances
for Federal Transit Administration Grants and Cooperative Agreements,” which is
published annually in the Federal Register.
b.
The Contractor shall require each Subcontractor, at any tier, performing Safety Sensitive
work, to comply with this Subsection.
c.
Only the personnel or supervisors who perform Safety-Sensitive functions shall be
included in the drug and alcohol testing program. Supervisors of such personnel who do
not themselves perform Safety-Sensitive functions are excluded.
d.
Safety-Sensitive functions, as defined by the Regulations, for this Agreement include,
but are not to be limited to, the following:
(i) Operation of a revenue vehicle, including when not in Revenue Services;
(ii) Operation of non-revenue vehicles within Port Authority property that require the
driver to hold a Commercial Driver’s License;
(iii) Directing and/or controlling movement of Revenue Service vehicles;
(iv) Security functions if such individual carries a firearm; and
(v) Maintaining a Revenue Service vehicle or equipment used in Revenue Service.
Drug and Alcohol Free Workplace Program
a. Port Authority is committed to maintaining a drug and alcohol-free workplace for the
Work and has a vital interest in maintaining safe, healthy, and efficient working
conditions for the Work. Alcohol and illegal drug use or possession of alcohol and such
drugs pose a serious threat to workplace safety and health and pose a danger.
b. The Contractor shall comply with, and shall establish and implement a Drug and Alcohol
Abuse Program in conformance with, The Drug-Free Workplace Act of 1988, as
amended, 41 U.S.C. §§ 5103, et seq., for the Work. If the Contractor does not have a
Drug and Alcohol Abuse Program, it is suggested that the Contractor visit:
http:/www.dol.gov/elaws/drugfree.htm and use the free Drug and Alcohol Policy Builder.
134
H.
c. The Contractor shall submit, within three (3) Calendar Days of being requested to do so
by Port Authority, three (3) copies of its proposed Drug and Alcohol Abuse Program to
Port Authority PM for review and approval.
d. The Contractor is responsible for all costs associated with the development,
implementation and maintenance of the Drug and Alcohol Abuse Program. Port
Authority shall have no liability to the Contractor or any of its employees or
Subcontractor(s) with respect to, or arising from, the Contractor’s Drug and Alcohol
Abuse Program.
e. The Contractor shall defend, at its costs, any and all suits, actions or claims brought
against Port Authority and all their respective directors, officers, employees and agents
for or on account of any claims, causes of action, injuries or damages alleged to have
been caused by, through or in connection with, the violation of any applicable law or
regulation in regard to the implementation or enforcement of the Drug and Alcohol
Abuse Program or in regard to breach of any confidence in implementing or enforcing the
Program and shall indemnify and hold harmless Port Authority, and all its directors,
officers, employees and agents, from and against all lawsuits, claims, costs, damage and
expense including, but not limited to attorneys’ fees, caused by, or in any manner arising
out of, the implementation or enforcement of the Drug and Alcohol Abuse Program
and/or the breach of any confidentiality in regard thereto.
f. The Contractor shall comply with all applicable federal, state and local laws and
regulations and with any applicable collective bargaining agreements.
g. Port Authority reserves the right to remove or have individuals removed from the Work
who are under suspicion of being, or who are, under the influence of alcohol or controlled
or other substances.
Overtime Requirements
Neither the Contractor nor any Subcontractor contracting for any part of the Work which may
require or involve the employment of laborers or mechanics shall require or permit any such
laborer or mechanic in any workweek in which he or she is employed on such Work to work in
excess of forty hours in such workweek unless such laborer or mechanic receives compensation
at a rate not less than one and one-half times the basic rate for all hours worked in excess of
forty hours in such workweek.
I.
Violation; Liability for Unpaid Wages; Liquidated Damages
In the event of any violation of the clause set forth in Subsection 4.28.H, the Contractor and any
Subcontractor responsible therefor shall be liable for the unpaid wages. In addition, the
Contractor and such Subcontractor shall be liable to the United States for liquidated damages.
Such liquidated damages shall be computed with respect to each individual laborer or mechanic,
including watchmen and guards, employed in violation of the clause set forth in Subsection
4.28.H in the sum of $10 for each calendar day on which such individual was required or
permitted to work in excess of the standard workweek of forty (40) hours without payment of
the overtime wages required by the clause set forth in Subsection 4.28.H.
J.
Withholding for Unpaid Wages and Liquidated Damages
Port Authority shall upon its own action or upon written request of an authorized representative
of the Department of Labor withhold or cause to be withheld, from any moneys payable on
account of work performed by the Contractor or any Subcontractor under this Agreement or any
other Federal contract with the Contractor, or any other federally-assisted contract subject to the
Contract Work Hours and Safety Standards Act, which is held by the Contractor, such sums as
may be determined to be necessary to satisfy any liabilities of the Contractor or such
135
subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in
Subsection 4.28.I.
K.
Payrolls
The Contractor and each Subcontractor shall maintain payrolls and basic payroll records during
the course of the Work and shall preserve them for a period of three (3) years from the
completion of the Agreement for all laborers and mechanics working on the Work. Such records
shall contain the name and address of each such employee, Social Security Number, correct
classifications, hourly rates of wages paid, daily and weekly number of hours worked and
deductions and actual wages paid. Further, these records shall be made available by the
Contractor and each subcontractor for inspection, copying or transcription by authorized
representatives of Port Authority or the Department of Labor. Further, the Contractor or
Subcontractor shall permit such representatives to interview employees during regular working
hours.
L.
Subcontracts
The Contractor or Subcontractor shall insert in any subcontracts the clauses set forth in this
Section and also a clause requiring the Subcontractors to include these clauses in any lower tier
subcontracts. The Contractor shall be responsible for compliance by any subcontractor or lower
tier Subcontractor with the clauses set forth in this section.
M.
Non-Revenue Periods
The performance of the Work which requires de-energizing the Overhead Contact System
(“OCS”), access to the operating LRT trackway, or disruption to in-service signal and
communication circuits must be performed in conjunction with the service suspensions and
restrictions described in the Contract Documents during non-revenue periods, defined as 1:30 am
to 4:30 am daily. Any requests to de-energize the OCS, to occupy the trackway during nonrevenue periods, or disrupt signal and communication circuits must be made fourteen (14)
Calendar Days in advance to Port Authority in accordance with the provisions of the Contract
Documents and approved and scheduled at Port Authority's weekly Track Allocation meeting.
N.
Security Requirements
For purposes of this Subsection, the term “Project Site” shall be the Site.
The Contractor shall be solely responsible for initiating, maintaining and supervising
security precautions and programs for and in connection with the Work and the
Project Site.
The Contractor shall take all necessary and reasonable precautions for security for the
Work and Project Site and to seek to avoid and/or minimize danger to life and
property, vandalism, theft, other criminal activities and terrorist threats; and
The Contractor shall comply with all applicable Federal, state and local laws,
ordinances, rules, regulations and orders regarding security and terrorist threats.
The Contractor shall perform background checks for all Contractor’s and
Subcontractors’ employees, agents and representatives proposed to perform any
portion of the Work at the Project Site and all Suppliers’ employees, agents and
representatives proposed to perform any portion of the Work at the Project Site other
than solely making deliveries to the Project Site and the Contractor shall otherwise
agree and perform as follows:
No individual, except as stated herein, may perform any portion of the Work at, or
otherwise visit, the Project Site until a complete background check has been
136
performed on said individual and the individual passes the specified requirements of
the background check. In performing background checks, the Contractor shall
familiarize itself with and fully comply with all applicable Federal, state and local
laws, ordinance, rules, regulations and orders pertaining to background checks.
The Contractor agrees that, in performing background checks, it shall identify all
personnel assigned to the Work by name and date of birth and the Contractor shall
provide such information (including for all employees, agents and representatives of
its Subcontractors and all employees, agents and representatives of its Suppliers
performing any portion of the Work at the Project Site) directly to Port Authority or
its representative as directed. The background checks performed by the Contractor
shall be at its cost and expense and shall include an Act 34-Request for Criminal
Record Checks for all such individuals.
Any individual who has been convicted of any of the below listed criminal charges
shall be barred from the Project Site:
a.
Arson;
b.
Criminal Homicide;
c.
Aggravated Assault;
d.
Treason;
e.
Espionage;
f.
Unlawful manufacture, sale or possession of explosives;
g.
Using, procuring or manufacturing False Documents;
h.
United States Patriot Act;
i.
Any attempt or conspiracy to commit any of the above-listed offenses; and
j.
Authority reserves the right to include additional charges as appropriate.
The Contractor shall assign to the Work a Security Representative(s) whose
responsibility shall be security for the Work and the Project Site. This responsibility
can be assigned by the Contractor to the superintendent or supervisor as agreed, in
writing, by Port Authority.
The Contractor shall submit, for review and approval, in writing, by Port Authority or
its representative, the name of its proposed Security Representative. The
qualifications shall include, but not be limited to: security experience; working with
and near a construction site; knowledge of laws, rules and regulations associated with
security; and/or other experiences acceptable to Port Authority. The Contractor shall
not begin any portion of the Work to be performed at the Project Site until Port
Authority approves the Contractor’s Security Representative(s), in writing.
The Contractor’s Security Representative shall:
a.
Be responsible for the control and implementation of the security for the
Project Site, including, but not limited to, regularly inspecting the Project Site
and the signage, fencing and access, barriers, screening, and other measures
deemed necessary to secure the Project Site;
b.
Make periodic security inspections of the Project Site and take necessary
actions to eliminate or mitigate security issues;
137
c.
Review security incident reports and initiate immediate corrective action as
necessary;
d.
Assist in the preparation of security investigation and reporting procedures,
including prosecution of offenders;
e.
Include security awareness messages as part of the toolbox talk program; and
Coordinate security activities with those of other Port Authority contractors and Port
Authority.
If Port Authority or its representative determines that a Security Representative is not
effective in executing his or her duties, Port Authority or its representative may
direct, in writing, the Contractor to replace the Security Representative with a new
Security Representative.
If a Security Representative is to be replaced, the Contractor, at least four (4)
Business Days prior thereto, shall so notify Port Authority or its representative in
writing and shall submit the name, experience and qualifications of the proposed
replacement Security Representative for approval. The replacement Security
Representative must be approved, in writing, by Port Authority or its representative
and be at the Project Site prior to replacing the then current Security Representative.
For any of the Contractor’s, Subcontractors’ and/or Suppliers’ employees, agents
and/or representatives performing any portion of the Work at the Project Site and/or
for any other person for which a background check is required to be performed, the
Contractor shall issue identification badges or other forms of visible identification to
such individuals. The identification badge and/or form of identification shall be worn
by such individuals at all times while at the Project Site and shall be subject to the
approval of Port Authority or its representative.
For any Supplier’s employees, agents or representatives or other individual solely
making deliveries to the Project Site, and other permitted short-term visitors to the
Project Site, the Contractor shall issue visitor badges, which shall be numbered, and
which shall be used by the Contractor for visits to the Project Site by such
individuals. The visitor badges shall be worn by such individuals at all times while at
the Project Site and shall be subject to approval of Port Authority or its
representatives. The Contractor shall be responsible for controlling, safeguarding
and maintaining such visitor badges and for escorting, as appropriate, such
individuals while at the Project Site.
O.
Lock Out/Tag Out
The Contractor shall provide all labor, materials, tools, equipment and incidentals,
necessary for lock out/tag out, in accordance with the Contract Documents and/or as
necessary to perform the Work.
All tools, materials and equipment used shall meet the requirements of Port
Authority’s Policy Statement and Guidelines for Lock Out/Tag Out and Port
Authority Lock Out/Tag Out Guidelines.
Contractor shall refer to Appendix D - Port Authority "Lock Out/Tag Out Statement,"
"Lock Out/Tag Out Guidelines," and "Register of Scheduled Power Outage on Port
Authority Property," which is incorporated herein by reference.
The requirements of this Subsection are in addition to the Right-of-Way Allocation
Request, procedures.
138
P.
Maintenance and Protection of Traffic
General
a.
The Contractor shall provide all labor, materials, tools, equipment, and incidentals
necessary for maintenance and protection of Port Authority traffic, in accordance
with the Contract Documents.
b.
The Contractor shall file a work plan (including a hazard analysis) for all track level
work.
c.
The Contractor shall execute the work per the Contractor’s detailed sequencing plan,
which shall be submitted to Port Authority for review and approval prior to the start
of the Work.
d.
The Contractor shall conduct its work so as not to obstruct or prevent operations and
maintenance of Port Authority facilities except as specifically permitted in the
Contract Documents. Port Authority shall, at all times, be able, and shall have the
right, to enter the Site to perform maintenance and operate within Port Authority
facilities. The Contractor shall provide Port Authority access during the execution of
the Work as required.
e.
The Contractor shall obtain, and/or complete all necessary approvals, permits,
training, and attend all required meetings in accordance with Port Authority
procedures described in the “Track Entry Training Program” manual (provided in
Appendix D) and the Contract Documents prior to commencing work within ten (10)
feet of active trackways. No Contractor personnel shall be permitted in trackway
areas without valid Track Access Training. The Contractor shall plan its work to
account for all requirements.
Submittals
The Contractor shall submit the following in accordance with Section 5.18 Submittals to Port Authority for its review and approval:
a.
Site Specific Work Plans for each task or activity to be performed on Site that
shall be submitted far enough in advance to receive approval thirty (30) Calendar
Days prior to commencing the task on Site.
b.
For work affecting public street rights-of-way, the Contractor shall be
responsible to submit a Traffic Control Plan (“TCP”) in accordance with
PENNDOT 408, 213 and the MUTCD.
Execution
a.
The Contractor shall provide a minimum of thirty (30) Calendar Days advance
written notice to Port Authority before changing traffic patterns as part of major
scheduled phases of installation and/or traffic control as identified in the Contract
Documents or otherwise required, which change shall be subject to Port
Authority’s written approval. The intent of this notice is to provide Port
Authority with adequate lead time to prepare for, advertise, and institute any
necessary changes in transit patterns needed for subsequent phases of installation.
The Contractor shall be responsible for acquiring all approvals and permits
needed for changing any traffic patterns.
b.
For recurrent daily changes in traffic patterns that cannot fulfill the thirty (30)
Calendar Day advance notice requirement, or for any unscheduled changes in
139
traffic patterns that occur for any other reason, the Contractor shall immediately
notify Port Authority.
4.29
c.
For issues affecting rail transit operations, the Contractor shall contact the
Operations Control Center at telephone number (412) 851-4700. Alternate
contact shall be with Rail Operations Management at (412) 851-4785.
d.
The Contractor shall coordinate with Port Authority, and receive Port Authority’s
written approval, to schedule any necessary Port Authority facility power outages
in accordance with Port Authority Right-of-Way allocation procedures, as
described in the “Track Entry Training Program.” The Contractor shall plan its
work to account for the required Port Authority approval time and coordination
meeting requirements.
SAMPLES
Samples, if required, must be furnished at the expense of the Contractor unless otherwise
specified.
4.30
INSURANCE
A.
The Contractor shall procure and cause its Subcontractors to procure, within 10 (ten) days of the
execution of the Agreement, and before any of the Work is performed, and maintain at its own
cost and expense, during the performance of the Work, the types and amounts of insurance listed
in this Section with insurance companies authorized to operate in Pennsylvania, having a
minimum A- rating as stated by A. M. Best and otherwise acceptable to Port Authority.
B.
Limits may be satisfied by any combination of primary and excess or umbrella policies. In the
event that the required limits must be satisfied by a combination of primary and excess or
umbrella, the policies shall provide dropdown coverage and provide at least as broad of coverage
as the primary policy.
C.
Worker's Compensation and Employer's Liability.
1.
Workers' Compensation - in accordance with all applicable Statutory Limits.
2.
Employer's Liability in an amount not less than:
a. $1,000,000 Each Accident
b. $1,000,000 Disease - Policy Limit
c. $1,000,000 Disease - Each Employee.
Notes:
i.
ii.
Coverage shall be provided in accordance with the laws of the
Commonwealth of Pennsylvania and the laws of such other jurisdictions
as may apply.
The Contractor shall require, and hereby certifies, that each of its
Subcontractors maintains Workers’ Compensation insurance in
accordance herewith and if requested by Port Authority, shall provide
Port Authority with written evidence of such coverage, in a form
acceptable to Port Authority, then in effect for each Subcontractor.
140
D.
Commercial General Liability.
1.
In an amount not less than:
a.
$5,000,000 Each Occurrence
b.
$10,000,000 General Aggregate
c.
$10,000,000 Products – Completed Operations Aggregate.
Notes:
i.
ii.
iii.
iv.
E.
The Contractor shall maintain such Products and Completed Operations
liability coverage for at least four (4) years after the Agreement has
been completed, in its entirety, and all the Work has been accepted by
Port Authority, and on a yearly basis, provide Port Authority with
written evidence of such coverage.
Insurance shall be provided on a per contract basis.
The policy shall provide that “Port Authority of Allegheny County” be
named as an Additional Insured for the Contractor's full limits of
coverage on a primary and non-contributory basis, but in no case less
than the limits specified. The policy shall be endorsed with a waiver of
subrogation clause with respect to Port Authority; and neither the
Contractor nor its insurer shall have any claim against Port Authority to
the extent the claim is or should have been covered by insurance.
If claims made coverage is proposed and provided, the policy’s
retroactive date shall be the effective date of the Agreement and the
extended reporting period must provide that the policy shall respond to
claims made for at least twenty-four (24) months after the Agreement
has been completed, in its entirety, and all the Work has been accepted
by Port Authority.
Business Automobile Liability.
1.
With a Combined Single Limit not less than:
$2,000,000 Each Accident.
Notes:
i.
The policy shall cover the use of all owned, hired and non-owned
vehicles.
ii.
The policy shall provide that “Port Authority of Allegheny County” be
named as an Additional Insured for the Contractor’s full limits of
coverage on a primary and non-contributory basis, but in no case less
than the limits specified. The policy shall be endorsed with a waiver of
subrogation clause with respect to Port Authority; and neither the
Contractor nor its insurer shall have any claims against Port Authority to
the extent the claim is or should have been covered by insurance.
F.
Installation Floater.
1.
In an amount not less than 50% of the Contract Sum.
Notes:
i.
The policy shall provide coverage that protects against all risks of
physical loss to all Subsystems, Products, equipment and other items
141
destined to become part of the Work, including coverage for items in
transit to the Site, as well as items stored at the Site and/or at other
storage locations. Coverage under the policy shall include, but not be
limited to, testing, debris removal, pollution cleanup, soft costs, loss of
use and extra expenses.
ii.
G.
The policy shall provide that “Port Authority of Allegheny County” be
named as an Additional Insured for the Contractor’s full limits of
coverage on a primary and non-contributory basis, but in no case less
than the limits specified. The policy shall be endorsed with a waiver of
subrogation clause with respect to Port Authority; and neither the
Contractor nor its insurer shall have any claim against Port Authority to
the extent the claim is or should have been covered by insurance.
Professional Liability Insurance.
1.
In an amount not less than $5 million Each Claim.
Notes:
i.
The policy shall provide coverage for legal liability for damages caused
by an error, omission or negligent act, including but not limited to, loss
or disclosure of electronic data, media and content rights, infringement
and liability, network security failure, copyright or patent infringement
and bodily injury and property damage due to the failure of the System,
Subsystems, Products, equipment or services.
ii.
The policy’s retroactive date shall be effective to the date of the
Agreement and the extended reported period or policy renewal must
provide that the policy shall respond to claims made for at least twentyfour (24) months after the Agreement has been completed, in its
entirety, and all the Work has been accepted by Port Authority.
H.
The Contractor shall not commence performance of the Work until it has provided to Port
Authority, for review and approval, certificate(s) of the insurance required. Such certificate(s)
shall be in a form satisfactory to Port Authority and shall list the various required coverages and
limits. Policies shall be renewed upon expiration and unless otherwise provided herein,
continued in full force and effect until the Agreement has been completed, in its entirety, and all
the Work has been accepted by Port Authority.
I.
In addition to the other requirements of this Section, should any of the above described policies
be cancelled, for any reason, before the expiration date, notice shall be delivered to Port
Authority in accordance with the policy provisions. The Contractor shall provide replacement
insurance without a lapse in coverage which will be reviewed by Port Authority to determine
compliance with the insurance requirements. Additionally, thirty (30) days’ prior written notice
and request for approval shall be provided by the Contractor to Port Authority of any revisions
to existing insurance policies, where the revisions may result in a failure of any insurance policy
to meet the requirements for insurance set forth in the Contract Documents.
J.
The fact that the Contractor has obtained the insurance required in the Contract Documents shall
in no manner lessen nor affect the Contractor's various obligations and liabilities set forth in any
provision of the Contract Documents or under law.
142
K.
The policies of insurance referenced above are not to contain any deductible or self insured
retention, as applicable to Port Authority as an Additional Insured. In the event the insurance
policies purchased by the Contractor pursuant to this Section contain any deductible or self
insured retention provisions, the Contractor shall provide Port Authority with disclosure of said
deductible or self insurance retention prior to execution of the Agreement, which will be subject
to Port Authority’s sole written approval. If Port Authority, in its sole discretion, approves any
insurance policy that includes a deductible or self insured retention, the Contractor shall be
responsible for payment of any and all deductibles or self insured retentions, whether owing
from the named insured or Port Authority as an Additional Insured, applicable to the policies of
insurance referenced herein.
L.
All insurance provided hereunder and all limits shall be primary and non-contributory by Port
Authority. All policies shall be endorsed with a waiver of subrogation clause with respect to
Port Authority.
M.
The Contractor shall be responsible that all Subcontractors, Suppliers, vendors, material dealers
and visitors are insured in accordance with insurance referenced in this Section or covered
through the Contractor’s insurance.
4.31
A.
INDEMNIFICATION
The Contractor agrees, on behalf of itself and its officers, directors, employees, agents,
consultants, Subcontractors, Suppliers, insurers, successors and assigns, that it shall, at its sole
cost and expense, defend any and all suits, actions, causes of action and/or claims brought or
raised against Port Authority, Port Authority’s engineer(s) or consultant(s), FTA, the State,
and/or Allegheny County, and their respective officers, directors, employees, agents,
consultants, insurers, successors and assigns, for or on account of any injuries, including death,
damages, punitive damages, loss of property, costs, and/or expenses, including, but not limited
to, attorneys’ fees, alleged to have been caused, in whole or in part, by, through, or in connection
with, the performance of the Work or the Agreement, whether due to the use of defective
materials or defective workmanship, or on account of any act, omission, or negligence of the
Contractor and/or its employees, agents, consultants, Subcontractors or Suppliers and it shall
fully and finally release, indemnify and hold harmless Port Authority, Port Authority’s
engineer(s) and consultant(s), FTA, the State and Allegheny County, and their respective
officers, directors, employees, agents, consultants, insurers, successors and assigns, from and
against any and all actions, claims, losses, injuries, including death, damages, punitive damages,
loss of property, costs, and expenses, including, but not limited to attorneys’ fees, caused by, or
in any manner arising from, in whole or in part, any act, omission or negligence of the
Contractor, and/or its employees, agents, consultants, Subcontractors or Suppliers, in the
performance of the Work and/or the Agreement; and shall pay, liquidate and discharge any and
all claims, losses and demands for injuries to persons, including death, and damage to property
caused by, or in any manner arising from, in whole or in part, the performance of the Work or
the Agreement. The above provisions shall further apply to any injury, including death, suit,
action, cause of action, claim, loss, demand or damage brought by, or on behalf of, any
employee of the Contractor, or its Subcontractors or Suppliers, or anyone directly or indirectly
employed by them or anyone for whose acts any of them may be liable, or responsible, against
Port Authority, Port Authority’s engineer(s) or consultant(s), FTA, the State and/or Allegheny
County, and their respective officers, directors, employees, agents, consultants, insurers,
successors and assigns; the Contractor expressly waives for itself and its Subcontractors,
Suppliers and insurers any and all protections afforded under the Pennsylvania and any other
applicable workers’ compensation act, but only as is necessary to fully comply with their
responsibilities and obligations under these provisions; and the obligations hereunder shall not
be limited, in any way, by any limitation on the account or type of damages, compensation or
benefits payable by or for the Contractor or its subcontractors or suppliers under any applicable
143
workers’ compensation act, disability benefits act, any other employee benefits acts or any
insurance.
B.
4.32
The Contractor further agrees, on behalf of itself and its officers, directors, employees, agents,
consultants, Subcontractors, Suppliers, insurers, successors and assigns, that it shall, at its sole
cost and expense, defend any and all suits, actions, causes of action and/or claims brought or
raised against Port Authority, Port Authority’s engineer(s) or consultant(s), FTA, the State
and/or Allegheny County, and their respective officers, directors, employees, agents,
consultants, insurers, successors and assigns, claiming or alleging that an employee of the
Contractor or its Subcontractor(s) or Supplier(s) may recover damages, wages, benefits,
expenses, costs, fees or other amounts under any applicable workers’ compensation act or law
from Port Authority, Port Authority’s engineer(s) or consultant(s), FTA, the State and/or
Allegheny County, and shall, and does, fully and finally release, indemnify and hold harmless
Port Authority, Port Authority’s engineer(s) and consultant(s), FTA, the State, and Allegheny
County, and their respective officers, directors, employees, agents, consultants, insurers,
successors and assigns, from and against any and all actions, claims, losses, costs, damages and
expenses, including, but not limited to, attorneys’ fees, caused by, or in any manner arising from,
in whole or in part, any claim or action alleging that Port Authority, Port Authority’s engineer(s)
or consultant(s), FTA, the State, and/or Allegheny County is a “statutory employer” of any
employee or other individual retained by the Contractor, its Subcontractor(s), or its Supplier(s).
SUSPENSION OF WORK
A.
Port Authority may, at any time, without cause, order the Contractor in writing to suspend,
delay, or interrupt all or any part of the Work for such period of time as Port Authority may
determine to be appropriate.
B.
If the performance of all or any part of the Work is, for an unreasonable period of time,
suspended, delayed, or interrupted per the written request of Port Authority and such suspension,
delay or interruption impacts the Schedule, the Contractor’s sole and exclusive remedy shall be
an extension of time as determined in accordance with the Contract Documents and/or an
adjustment in the Contract Sum. Any increase or decrease in the Contract Sum shall not include
any additional profit and shall be limited to the Contractor’s actual increase or decrease in costs
of the performance of any part of the Work, which increase or decrease arises solely from the
suspension, delay or interruption of the Work.
C.
No adjustment in the time of completion or the Contract Sum shall be allowed for any such
suspension, delay or interruption if:
1.
D.
E.
The performance would have been so suspended, delayed or interrupted by any other
cause, including the fault or negligence of the Contractor; or
2.
An adjustment in the time of completion or the Contract Sum is provided for or excluded
under any other provision of the Contract Documents.
Furthermore, this Section applies only to written suspension, delay or interruption orders from
Port Authority and does not apply to any other suspensions, delays or interruptions under the
Contract Documents.
No claim under this Section shall be allowed:
1.
2.
For any cost incurred more than twenty (20) days before the Contractor's notification to
Port Authority, in writing, of the particular act or failure to act upon which the claim is
based; or
Unless the claim, in an amount stated, is asserted in writing as soon as practicable after
the termination of such suspension, delay, or interruption, but not later than the date of
final payment under the Agreement.
144
4.33
TERMINATION FOR DEFAULT
A.
Wherever in this Section the word "Contractor" appears, it shall also be construed to mean the
Surety in case of default and completion of the Contract by the Surety.
B.
The Contractor may be determined to be in default of this Agreement and the Agreement may be
terminated for default if the Contractor:
1.
2.
C.
Fails to begin the Work within the time specified in the Contract Documents;
Fails, solely in the opinion of Port Authority, to perform the Work in accordance with the
Contract Documents;
3.
Performs the Work unsatisfactory in the opinion of Port Authority;
4.
Neglects or refuses to perform anew any portion of the Work rejected by Port Authority
as defective or unsatisfactory;
5.
Discontinues or suspends the prosecution of the Work without written approval of Port
Authority;
6.
Fails to resume work which has been discontinued or suspended within ten (10) days
after notice to do so;
7.
Becomes insolvent, is declared bankrupt or commits any act of bankruptcy or insolvency;
8.
Allows any final judgment to stand against it unsatisfied for a period of forty-eight (48)
hours;
9.
Makes an assignment for the benefit of creditors;
10.
Fails or refuses, within ten (10) days after written notice by Port Authority, to make
payment or show cause why payment should not be made of any amounts due for
materials furnished, labor supplied or performed, equipment rentals and/or utility services
rendered;
11.
For any cause whatsoever, does not, solely in the opinion of Port Authority, carry on the
Work in an acceptable manner; or
12.
Fails to perform any other provision of the Contract Documents.
Port Authority, after having given seven (7) days written notice to the Contractor and its Surety
of any of the above identified delays, neglects or defaults on the part of the Contractor, except in
the case of an emergency or an item which cannot be cured, shall be entitled, without invaliding
the Agreement to: declare the Contractor in default; take the prosecution of the Work out of the
hands of the Contractor; take possession of any Product, equipment, materials or supplies
acquired for the Work or may use such other methods as in Port Authority’s sole opinion will be
expedient for the completion of the Work.
D.
If Port Authority elects to take the prosecution of the Work, or any portion of the Work, out of
the hands of the Contractor, Port Authority may, at its option, notify and require the Surety to
complete the Work in accordance with the Contract Documents or take all right, title and interest
in and to the Product, equipment, materials and supplies owned by the Contractor and assembled
for use in the performance of the Work, and may use them to complete the Work.
E.
If the completion of the Work by any of the methods specified above results in financial loss to
Port Authority, it may:
1.
Dispose of, in the manner it determines to be in its best interest, any of the Products,
equipment or materials it acquired under this Section, without further legal process.
Products, equipment or materials not required for completion of the Work or for the
recoupment of loss or legal charges or any balance remaining from the disposition of any
Products, materials or equipment after the deduction of losses, costs and any legal
145
F.
charges, including attorneys’ fees, by Port Authority shall be turned over to the party
legally or equitably entitled thereto.
2.
Deduct from monies due or to become due to the Contractor under the Agreement or any
other contract with Port Authority all costs and legal charges incurred by Port Authority,
and Port Authority will credit the Contractor with the balance remaining from any
disposal of the equipment or materials; and/or
3.
In the event the costs and legal charges incurred by Port Authority, less the credits
provided for, exceeds the sum which would have been payable under the Agreement for
the completed Work, hold the Contractor or its Surety liable to Port Authority for the
amount of said excess.
Port Authority, in addition to any other rights provided herein, may require the Contractor to
transfer title and deliver to Port Authority, in the manner and to the extent directed by Port
Authority:
1.
2.
G.
H.
4.34
Any completed portion of the System or other portion of the Work;
Such partially completed System, Subsystems, Products, supplies, materials, parts, plans,
drawings and documents which the Contractor specifically produced or specifically
acquired for the performance of such part of this Agreement as has been terminated; and
3.
The Contractor shall, upon direction of Port Authority, protect and preserve property in
the possession of the Contractor in which Port Authority has an interest.
In addition to the recovery of Port Authority’s costs pursuant to this Section, the Contractor shall
be liable for any other damages incurred by Port Authority. Furthermore, the rights and
remedies of Port Authority provided in this Section are in addition to any other rights and
remedies provided by law or under the Contract Documents.
If, after the Contractor is terminated under this Section, a determination is made that the
Contractor was not in default, the rights and obligations of the parties shall be the same as if the
termination had been issued pursuant to Section 4.34 - TERMINATION FOR CONVENIENCE
OF PORT AUTHORITY.
TERMINATION FOR CONVENIENCE OF PORT AUTHORITY
A.
This Agreement may be terminated by Port Authority in accordance with this Section, in whole,
or in part, whenever Port Authority determines that such termination is in its best interests. Any
such determination shall be effected by delivery to the Contractor of a Notice of Termination
specifying the extent to which the Agreement is terminated and the date upon which such
termination becomes effective.
B.
After receipt of a Notice of Termination and except as otherwise directed by Port Authority, the
Contractor shall:
1.
2.
3.
4.
Stop work under the Agreement on the date and to the extent specified in the Notice of
Termination;
Place no further orders or subcontracts for materials, service, or equipment, except as
may be necessary for completion of such portion of the Agreement not terminated;
Terminate all orders and subcontracts to the extent that they relate to the terminated
portion of the Agreement;
Assign to Port Authority, in the manner at the time, and to the extent directed by Port
Authority, all of the rights, title and interest of the Contractor under the orders and
subcontracts so terminated. Port Authority shall have the right, in its sole discretion, to
settle or pay any claims arising out of the termination of such orders and subcontracts;
146
5.
C.
Settle all outstanding liabilities and all claims arising out of such termination of orders
and subcontracts, with the approval of Port Authority, which approval shall be final for
all the purposes of this Section;
6.
Transfer title and deliver to Port Authority in the manner, at the times, and to the extent
directed by Port Authority:
a.
The fabricated or unfabricated parts, work in process, completed work, Products,
supplies and other material or equipment procured as a part of, or acquired in
connection with the performance of, the portion of the Agreement terminated;
and
b.
The completed or partially completed plans, drawings, information, and other
documents and property which, if the Agreement had been completed, would
have been required to be furnished to Port Authority.
7.
Use its best efforts to sell, in the manner, at the time, to the extent, and at the price or
prices directed or authorized by Port Authority, any property of the types referred to in
Subsection 4.33.F, provided, however, that:
a.
The Contractor will not be required to extend credit to any purchasers;
b.
The Contractor may acquire any such property under the conditions prescribed
by and at a price or prices approved by Port Authority; and
c.
The proceeds of any such transfer or disposition shall be applied in reduction of
any payments to be made by Port Authority to the Contractor under the
Agreement or shall otherwise be credited to the price or cost of the work or paid
in such manner as Port Authority may direct.
8.
Complete performance of such portion of the Agreement as was not terminated by the
Notice of Termination; and
9.
Take such action as may be necessary, or as Port Authority may direct, for the protection
and preservation of the property related to this Agreement, which is in the possession of
the Contractor and in which Port Authority has or may acquire an interest, until the
effective date of termination.
After receipt of a Notice of Termination, the Contractor may submit to Port Authority its
termination claim, if any, in the form and with the certification prescribed by Port Authority.
Such claim shall be submitted promptly but in no event later than sixty (60) days from the date
of termination. Upon failure of the Contractor to submit its termination claim within the time
allowed, Port Authority may determine, based on the information available, the amount, if any,
due to the Contractor by reason of the termination, which decision shall be final and binding
upon the Contractor, and will thereafter pay the Contractor the amount so determined.
D.
Subject to the provisions of Section 4.34.C, the Contractor and Port Authority may agree upon
the whole or any part of the amount or amounts to be paid to the Contractor by reason of the
total or partial termination of the Agreement pursuant to this Section which amount or amounts
may include a reasonable allowance for profit for the portion of the Agreement performed;
provided, that such agreed amount or amounts shall not exceed the Contract Sum as reduced by
the amount of payments otherwise made and as further reduced by the portion of the Agreement
not performed or terminated. No claims for loss of anticipated profits shall be allowed for the
terminated portion of the Agreement.
E.
If an agreement is reached by the Contractor and Port Authority on the amount to be paid to the
Contractor pursuant to this Section, the Agreement shall be amended accordingly by a Change
Order.
F.
In the event of the submission of a timely termination claim by the Contractor and the failure of
the Contractor and Port Authority to agree upon the whole amount to be paid to the Contractor
147
by reason of a termination pursuant to this Section, Port Authority will determine, based on the
information available to Port Authority, the amount, if any due to the Contractor by reason of
such termination and will pay to the Contractor the amounts determined as follows:
1.
G.
H.
For completed work or goods accepted by Port Authority, a sum equivalent to the
aggregate price for such work or goods computed in accordance with the price or prices
specified in the Agreement, appropriately adjusted for any saving of freight or other
charges; and
2.
The reasonable costs of settlement, including accounting, legal, clerical, and other
expenses reasonably necessary for the preparation of settlement claims and supporting
data with respect to the terminated portion of the Agreement and for the termination and
settlement of subcontract thereunder, together with reasonable storage, transportation,
and other costs incurred in connection with the protection or disposition of property
allocable to this Agreement.
The total sum to be paid to the Contractor under this Section shall not exceed the Contract Sum
as reduced by the amount of payments otherwise made to the Contractor and as further reduced
by the value of that portion of the Agreement not terminated. Except for normal spoilage, and
except to the extent that Port Authority shall have otherwise expressly assumed the risk of loss,
there shall be excluded from the amounts payable to the Contractor under this Section the fair
value, as determined by Port Authority, of property which is destroyed, lost, stolen, or damaged
so as to become undeliverable to Port Authority.
In arriving at the amount due, if any, the Contractor under this Section, there also shall be
deducted:
1.
2.
3.
4.
4.35
All previous payments made to the Contractor by Port Authority applicable to the
terminated portion of the Agreement;
The value of the portion of the Work under the Agreement which is not terminated;
Any claim which Port Authority may have against the Contractor in connection with the
Agreement; and
The agreed price for, or the proceeds of sale of, any materials, supplies, or other things
acquired by the Contractor or sold, pursuant to this Section and not otherwise recovered
by or credited to Port Authority.
RECORD RETENTION AND ACCESS
A.
The Contractor shall maintain all books, records, accounts and reports required under, or used
for, this Agreement during the performance of the Agreement and for a period of not less than
four (4) years after the date of termination or expiration of this Agreement or the Work, except
in the event of litigation or settlement of claims arising from the performance of this Agreement
or the Work, in which case the Contractor shall maintain all such documents until the Port
Authority, FTA, the Comptroller General of the United States, the Commonwealth of
Pennsylvania, the County of Allegheny or any of their duly authorized representatives, have
disposed of all such litigation, appeals, claims or exceptions related thereto. Furthermore, after
conclusion of the applicable period, the Contractor shall not destroy any such documents without
first offering them, free of charge, to Port Authority.
B.
Upon request, the Contractor shall permit FTA, the Comptroller General of the United States,
the Commonwealth of Pennsylvania, County of Allegheny, and Port Authority, or their
authorized representatives, access to: audit, inspect, examine, make excerpts and transcripts, and
copy any and all books, documents, papers, accounts, payrolls and other records and documents
of the Contractor or its Subcontractor(s) or Supplier(s), which are pertinent or relate to the
Agreement or the Work and to audit the books, documents, papers, accounts and records and
148
documents of the Contractor and its subcontractors and suppliers which are pertinent and/or
relate to the Agreement or the Work.
C.
The Contractor shall permit any of the foregoing parties to reproduce by any means whatsoever
or to copy excerpts and transcripts of all such documents as reasonably needed.
D.
The Contractor shall include these provisions, or require these provisions to be included, in each
subcontract, at any tier, for this Agreement.
4.36
STEEL PRODUCTS PROCUREMENT ACT
This Agreement is subject to, and the Contractor shall comply with, the applicable provisions of
the Pennsylvania "Steel Products Procurement Act," (73 P.S. §§1881, et seq.) and any
amendments thereto.
4.37
ENVIRONMENTAL REQUIREMENTS
CLEAN AIR
A.
The Contractor shall comply with all applicable standards, orders or regulations issued pursuant
to the Clean Air Act, as amended, 42 U.S.C. §§ 7401, et seq., and other applicable Federal, state,
county and local laws and regulations regarding emission of regulated air pollutants or any other
regulated activity concerning air pollution prevention, control or abatement.
B.
The Contractor shall report, in writing, each violation to Port Authority within 24 hours of its
occurrence and understands and agrees that Port Authority will, in turn, report each violation as
required to assure notification to FTA and the appropriate EPA Regional Office.
C.
The Contractor also agrees to, and shall, include these requirements in each subcontract
exceeding $100,000.
CLEAN WATER.
A.
The Contractor shall comply with all applicable standards, orders, or regulations issued pursuant
to the Water Pollution Control Act, as amended, 33 U.S.C. §§ 1251, et seq., and any other
applicable Federal, state, county and local laws and regulations regarding activities impacting or
affecting waters of the Commonwealth of Pennsylvania or the United States.
B.
The Contractor shall report, in writing, each violation to Port Authority within 24 hours of its
occurrence and understands and agrees that Port Authority will, in turn, report each violation as
required to assure notification to FTA and the appropriate EPA Regional Office.
C.
The Contractor also agrees to, and shall, include these requirements in each subcontract
exceeding $100,000.
4.38
PREFERENCE FOR RECYCLED PRODUCTS
The Contractor shall comply with all the requirements of Section 6002 of the Resource
Conservation and Recovery Act, as amended, 42 U.S.C. § 6962, including, but not limited to, the
regulatory provisions of 40 CFR Part 247, and Executive Order 12873, as they apply to the
procurement of the items designated in Subpart B of 40 CFR Part 247. The Contractor shall also
comply with the applicable provisions of Section 1505 of the Pennsylvania Municipal Waste
Planning Recycling and Waste Reduction Act.
4.39
ENERGY CONSERVATION
The Contractor shall comply with the mandatory standards and policies relating to energy
efficiency which are contained in the Commonwealth of Pennsylvania’s Energy Conservation
Plan issued in compliance with the Energy Policy and Conservation Act, 42 U.S.C. §§ 6321, et
seq.
149
4.40
CARGO PREFERENCE
Use of United States-Flag Vessels - The Contractor shall comply with, as amended, 46 U.S.C. §
55305 and 46 C.F.R. Part 381, and shall:
A.
B.
C.
4.41
Use privately owned United States-Flag commercial vessels to ship at least 50 percent of the gross
tonnage (computed separately for dry bulk carriers, dry cargo liners, and tankers) involved,
whenever shipping any equipment, materials, or commodities pursuant to the Agreement to the
extent such vessels are available at fair and reasonable rates for United States-Flag commercial
vessels;
Furnish within twenty (20) working days following the date of loading for shipments originating
within the United States or within thirty (30) working days following the date of loading for
shipments originating outside the United States, a legible copy of a rated, “on-board” commercial
bill-of-lading in English for each shipment of cargo described in the preceding paragraph to the
Division of National Cargo, Office of Market Development, Maritime Administration, Washington,
DC 20590 and to the FTA recipient (through the Contractor in the case of a subcontractor’s bill-oflading); and
To include these requirements in all subcontracts issued pursuant to the Agreement when the
subcontract may involve the transport of equipment, material, or commodities by ocean vessel.
FLY AMERICA
A.
The Contractor shall comply with 49 U.S.C. § 40118 (the “Fly America Act”) in accordance with
the General Services Administration’s regulations at 41 CFR Part 301-10, which provide that
recipients and subrecipients of Federal funds and their contractors are required to use U.S. Flag Air
Carriers for U.S. Government-financed international air travel and transportation of their personal
effects or property, to the extent such service is available, unless travel by foreign air carrier is a
matter of necessity, as defined by the Fly America Act. The Contractor shall submit, if a foreign air
carrier is used, an appropriate certification or memorandum adequately explaining why service by
U.S. flag air carrier was not available or why it was necessary to use a foreign air carrier and shall,
in any event, provide a certification of compliance with the Fly America Act requirements.
B.
The Contractor shall include the requirements of this Section in all subcontracts that may involve
international air transportation.
4.42
FINANCIAL ASSISTANCE
A.
The Contract may be financed, in part, through various Federal, state and local grants and is
subject to the requirements of various Federal, state and local authorities. Any action taken by
Port Authority in compliance with such requirements shall not be cause for any claim against
Port Authority, FTA, the Commonwealth of Pennsylvania, County of Allegheny or any other
Federal, state or local authorities by the Contractor.
B.
All reports, maps and other documents completed as part of this Agreement, other than
documents prepared exclusively for internal use by Port Authority or the Contractor, shall
contain an appropriate notice of financial assistance by the Federal government and the
Commonwealth of Pennsylvania.
4.43
A.
GOVERNMENT OBLIGATIONS TO THIRD PARTIES
The Contractor acknowledges and agrees that, absent FTA’s, the Commonwealth of
Pennsylvania’s and/or the County of Allegheny’s express written consent, FTA, the
Commonwealth of Pennsylvania and the County of Allegheny, respectively, are not parties to
this Agreement and shall not be subject to any obligations or liabilities to the Contractor or any
other person or entity pertaining to any matter resulting from this Agreement.
150
B.
4.44
The Contractor shall include the above clause, or require the clause to be included, in each
subcontract, at any tier, for this Agreement. Furthermore, the Contractor shall not modify such
clause, except to identify the subcontractor, who will be subject to its provisions.
CHANGES IN LAW
The Contractor shall comply, at all times, with all applicable FTA, Federal, state and local laws,
regulations, policies, procedures and related administrative practices as may be amended or
promulgated from time to time during the term of the Agreement. The Contractor’s failure to so
comply shall constitute a material breach of the Agreement.
4.45
INCORPORATION OF TERMS
This Agreement includes all applicable standard terms and conditions required by the
Department of Transportation (“DOT”) and/or by FTA, whether or not expressly set forth
herein. All contractual provisions required by DOT and/or FTA, as set forth in FTA Circular
4220.1F, as amended, are hereby incorporated by reference. Anything to the contrary herein
notwithstanding, all applicable DOT and/or FTA mandated terms shall be deemed to control in
the event of a conflict with other provisions contained in the Agreement. The Contractor shall
not perform any act, fail to perform any act, or refuse to comply with any Port Authority request
which would cause Port Authority to be in violation of DOT and/or FTA terms and conditions.
4.46
DEBARMENT AND SUSPENSION CERTIFICATION REQUIREMENTS.
A.
The Contractor shall comply with 2 CFR 1200, Subpart C of the U.S. Office of Management and
Budget Guidelines, 2 CFR Part 180 and Executive Orders Nos. 12549 and 12689, as amended,
and shall include the requirements to comply with this provisions in any lower tier covered
transaction it enters into for this Agreement.
B.
By executing the Agreement, the Contractor certifies as follows:
C.
4.47
The certification in this Section is a material representation of fact by the Contractor upon
which reliance will be placed by Port Authority. If it is later determined that the
Contractor knowingly rendered an erroneous certification, in addition to other remedies
available to the Federal government or the state, Port Authority may pursue available
remedies, including, but not limited to, suspension and/or debarment.
The Contractor shall provide immediate written notice to Port Authority if at any time, the
Contractor learns that its certification was erroneous when submitted or has become erroneous
by reason of changed circumstances.
DISPUTES
A.
Disputes arising in the performance of this Agreement which are not resolved by agreement of
the parties shall be decided in writing by the authorized representative of Port Authority’s
Contracting Officer for the Contract (“Contracting Officer”). This decision shall be final and
conclusive unless within ten (10) days from the date of receipt of its copy of such decision, the
Contractor mails or otherwise furnishes a written appeal to the Contracting Officer. In
connection with any such appeal, the Contractor will be afforded an opportunity to be heard and
to offer evidence in support of its position. The decision of the Contracting Officer shall be final
and binding upon the Contractor and the Contractor shall abide by the decision.
B.
Unless otherwise directed, in writing, by Port Authority, the Contractor shall continue
performance under this Agreement while matters in dispute are being resolved.
C.
The duties and obligations imposed by the Contract Documents and the rights and remedies
available thereunder shall be in addition to and not a limitation of any duties, obligations, rights
and remedies otherwise imposed or available by law, except that the Contractor shall first
151
exhaust all required dispute remedies prior to proceeding with any such other rights and
remedies. Any suit or proceeding arising out of, or relating to, this Agreement shall be
commenced only in a Commonwealth of Pennsylvania or Federal court located in Pittsburgh,
Allegheny County, Pennsylvania, and the Contractor, and all of its Subcontractors and Suppliers,
hereby expressly consent to the jurisdiction and venue of such courts.
D.
4.48
The Contractor shall maintain, during the duration of the Agreement, and for four (4) years after
the completion thereof, an agent in Allegheny County, Pennsylvania authorized to accept notice
and service of process on behalf of the Contractor. The Contractor shall advise Port Authority in
writing of the name of its agent and any changes made thereto.
CHOICE OF LAW
Except as otherwise expressly provided in the Contract Documents, the Agreement shall be
governed by the substantive laws of the Commonwealth of Pennsylvania, regardless of its
conflict of law or choice of law provisions.
4.49
PENNSYLVANIA RIGHT TO KNOW LAW
Upon formalization of an Agreement, if any, all Proposals submitted in response to the RFP may
become “public records,” as defined by the Pennsylvania “Right-to-Know Law,” 65 P.S.
§ 67.101 et. seq. Subject to the specific exceptions under the Right-to-Know Law, Port
Authority is required to make available, if requested in accordance with the Law, all “public
records.”
4.50
PATENTS
A.
The Contractor shall assume all costs arising from the use of patented Subsystems, Products,
materials, equipment, devices, software or processes, not furnished by Port Authority, used on or
for, or incorporated in, the System and/or the Work and shall indemnify and hold harmless Port
Authority, FTA, Commonwealth of Pennsylvania, County of Allegheny, and their respective
directors, officers, employees, agents, consultants, insurers, and representatives, from any and all
suits at law, actions, costs and expenses of every kind and nature, including, but not limited to,
attorneys’ fees, arising from, for, or on account of, the use, or alleged infringement, of any
patented Subsystems, Products, materials, equipment, devices, software or processes.
B.
If such Subsystems, Products, materials, equipment, devices, software or processes are held to
constitute an infringement and their use enjoined, the Contractor, at its sole expense, shall:
1.
2.
3.
4.51
Secure for Port Authority the right to continue using such Subsystems, Products,
materials, equipment, devices, software or processes by suspension of the injunction or
by procuring a license or licenses;
Replace such Subsystems, Products, materials, equipment, devices, software or
processes; or
Modify such Subsystems, Products, materials, equipment, devices, software or processes
so that they become non-infringing, without prejudice to any other rights of Port
Authority.
DOCUMENTS, DATA AND COPYRIGHTED MATERIALS
A.
Port Authority shall have the right to use, duplicate, or disclose any documents, specifications,
data, calculations, software, drawings or photographs, whether electronic or written, provided by
or for the Contractor, or prepared for, or specified in, the Work, in whole or in part, in any
manner and for any purpose whatsoever, and to have or permit others to do so.
B.
The Contractor agrees to and does hereby grant to Port Authority, and its directors, officers,
employees and agents, acting within the scope of their official duties, a royalty-free,
152
nonexclusive and irrevocable license for Port Authority to use, copy, publish, translate,
reproduce, deliver, provide, perform, and dispose of, all documents, specifications, data,
calculations, software, drawings and photographs, whether electronic or written, provided by or
for the Contractor, or prepared for, or specified in, the Work now or hereafter covered by
copyright, for purposes of operating, maintaining, repairing, or replacing the System or other
items of Work and/or training Port Authority personnel, contractors or consultants, or as may be
requested or required by, or to advise, FTA, the Commonwealth of Pennsylvania, County of
Allegheny, other government agencies with jurisdiction over Port Authority or its auditors.
C.
Copyrighted material shall not be used or provided by the Contractor without the written
permission of the copyright owner for Port Authority to use such copyrighted material in the
manner above described.
D.
The Contractor shall notify Port Authority in writing of each notice or claim of copyright
infringement or infringement of other intellectual property rights received by the Contractor with
respect to any such materials.
E.
The Contractor shall, on behalf of itself and its officers, directors, employees, agents,
consultants, Subcontractors, Suppliers, insurers, successors and assigns, at its sole cost and
expense, defend, indemnify and hold harmless Port Authority, FTA, Commonwealth of
Pennsylvania, County of Allegheny and other agencies and entities as identified in the Contract
Documents, and their respective officers, directors, employees, agents, consultants, insurers,
successors and assigns (hereinafter collectively referred to as “Indemnitees”), against any and all
claims, causes of action, loss, costs, damages and expenses, including attorneys’ fees, arising
from or pertaining to any actual or alleged infringement or other misappropriation of any
copyright or other intellectual property right or wrongful use of any trade secret or confidential
information, and the Contractor, on behalf of itself and its officers, directors, employees, agents,
consultants, Subcontractors, Suppliers, insurers, successors and assigns, shall hold Indemnitees
harmless from any and all resulting loss, liabilities, damages, costs and expenses, including,
without limitation, attorneys’ fees, arising from or relating to such claims. If any infringement,
misappropriation, misuse or other violation of law or equity covered by this indemnity is
established by a court or administrative agency in a final decision from which no appeal is or can
be taken, or if Port Authority is temporarily or permanently enjoined or otherwise legally
estopped from using all or any portion of the products, equipment, materials, documents,
specifications, data, calculations, software, drawings or services provided by or for the
Contractor pursuant to the Agreement, the Contractor shall be liable to Port Authority for any
and all damages and costs, including, but not limited to, attorneys’ fees, incurred by Port
Authority resulting from the infringement, misappropriation, misuse or other violation of all law
or equity and/or from Port Authority being so enjoined or estopped, including, but not limited to,
Port Authority’s costs to solicit and enter into a new contract with another contractor or supplier
to provide the subject or similar products, equipment, materials, documents, specifications, data,
calculations, software, drawings, or services to Port Authority in a legal and non-infringing
manner.
4.52
A.
INDEPENDENT CONTRACTOR
The Contractor shall be deemed at all times to be an independent contractor and shall be wholly
responsible for the manner in which it performs the Work required under the terms of the
Contract Documents. The Contractor shall be liable for its own acts and omissions as well as
those of its employees, agents, Subcontractors and Suppliers. Nothing contained herein shall be
construed as creating an employment or agency relationship between Port Authority and the
Contractor.
153
B.
4.53
Terms in the Contract Documents referring to direction from Port Authority shall be construed
as providing for direction as to policy and the result of the Work only, and not as to the means
and methods by which such result is obtained.
VERIFICATION OF EMPLOYEES
A.
The Contractor shall fully and timely comply with all the applicable requirements of the
Pennsylvania Public Works Employment Verification Act (S.B. 637, Session 2011) (hereinafter
in this Section, the “Act”), and any and all regulations promulgated in regard to the Act,
including, but not limited to, verifying the employment eligibility of each new employee
utilizing U.S. Department of Homeland Security’s E-Verify program. Furthermore, prior to a
subcontractor, at any tier, commencing performance of any portion of the Work, the Contractor
shall ensure and require that each Subcontractor has and does fully and timely comply with the
Act and all regulations promulgated thereunder.
B.
Upon Port Authority’s request, the Contractor shall, and shall require each of its Subcontractors
to, provide Port Authority with a written representation that their employees and employment
practices are compliant with all applicable Federal, state and local laws, including, but not
limited to, in compliance with the “I-9” requirements, 8 U.S.C. §§ 1324, et seq., and shall
provide Port Authority with all documents and information necessary to support any such
representation or information, including copies of I-9s for all employees assigned to, or
performing any portion of, the Work.
C.
The Contractor shall include these requirements, or require these requirements to be included, in
each subcontract at any tier.
4.54
FLOW DOWN
The Contractor shall include in all subcontracts the provisions or appropriate versions of
Sections 4.10, 4.14, 4.15, 4.19, 4.22, 4.23, 4.24, 4.25, 4.26, 4.27, 4.28, 4.29, 4.30, 4.31, 4.32,
4.33, 4.34, 4.35, 4.36, 4.37, 4.38, 4.39, 4.40, 4.41, 4.42, 4.43, 4.44, 4.45, 4.46, 4.47, 4.48, 4.49,
4.50, 4.51, 4.52 and 4.53 hereof. The Contractor shall provide to Port Authority evidence of
inclusion of said provisions in its Subcontractor agreements.
154
5
GENERAL REQUIREMENTS
5.1 PROJECT SCHEDULE AND PAYMENT MILESTONES
A.
The following shall establish the dates for successfully and fully completing various tasks for the
Work, and the incremental payment percentage, if any, associated with the completion of each
listed item.
No
Task
Schedule Milestone
Summary
of Prices
Payment
% of
Contract
Sum
Cumulative
% of
Contract
Sum
1.
90 Day Schedule Approved by Port Authority
Thirty (30) Calendar Days after NTP
N/A
N/A
N/A
Schedule Approved by Port Authority
Sixty (60) Calendar Days after NTP
N/A
N/A
N/A
Conceptual Design Review Approved by Port Authority
Three (3) months after NTP
1
8%
8%
Preliminary Design Review Approved by Port Authority
Six (6) months after NTP
2
5%
13%
Final Design Review Approved by Port Authority
Fourteen (14) months after NTP
3
10%
23%
Begin Wayside Installation
Sixteen (16) months after NTP
N/A
N/A
N/A
Wayside Installation One Third (1/3) Successfully Complete
Eighteen (18) months after NTP
4
3%
26%
Wayside Installation Two Thirds (2/3) Successfully Complete
Twenty (20) months after NTP
5
3%
29%
Factory Acceptance Testing Successfully Complete and
Safety Case Approved
Twenty (20) months after NTP
6
5%
34%
Wayside installation 100% Successfully Complete
Twenty-two (22) months after NTP
7
4%
38%
First Siemens 4200 Series LRV Successfully Commissioned
into Revenue Service
Twenty-two (22) months after NTP
8
1%
39%
First CAF 4300 Series LRV Successfully Commissioned into
Revenue Service
Twenty two (22) months after NTP
9
1%
40%
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
155
13.
1st Additional ten (10) LRVs Successfully Commissioned into
Revenue Service
Twenty-five (25) months after NTP
10
5%
45%
2nd Additional ten (10) LRVs Successfully Commissioned into
Revenue Service
Twenty-eight (28) months after NTP
10
5%
50%
3rd Additional ten (10) LRVs Successfully Commissioned into
Revenue Service
Thirty-one (31) months after NTP
10
5%
55%
4th Additional ten (10) LRVs Successfully Commissioned into
Revenue Service
Thirty-four (34) months after NTP
10
5%
60%
5th Additional ten (10) LRVs Successfully Commissioned into
Revenue Service
Thirty-seven (37) months after NTP
10
5%
65%
6th Additional ten (10) LRVs Successfully Commissioned into
Revenue Service
Forty (40) months after NTP
10
5%
70%
7th Additional ten (10) LRVs Successfully Commissioned into
Revenue Service
Forty-three (43) months after NTP
10
5%
75%
Final eleven (11) LRVs Successfully Commissioned into
Revenue Service
Forty-six (46) months after NTP
10
5%
80%
Final Safety Certification of New Automatic Trip Stop System
Forty-six (46) months after NTP
11
7%
87%
Removal of Existing ATS Wayside Equipment Begins
Forty-six (46) months after NTP
N/A
N/A
N/A
Removal of Existing ATS Wayside Equipment Successfully
Complete
Forty-seven (47) months after NTP
12
3%
90%
Reliability Demonstration Test and Final Acceptance
Forty-eight (48) months after NTP
13
10%
100%
14.
15.
16.
17.
18.
19.
20.
21.
22.
23.
24.
B.
A milestone shall only be deemed complete upon the full and satisfactory completion of all the
criteria as set forth in the Contract Documents. Full and satisfactory completion of the criteria
shall be determined at Port Authority’s sole discretion. Application for payment of a milestone
may only be submitted once Port Authority determines that the milestone is fully and
satisfactorily complete. For Milestone Items No. 11 - No. 20, Port Authority will pay the
Contractor upon successfully commissioning each LRV into Revenue Service, which may be
incrementally paid against the milestone.
156
5.2
MILESTONE DESCRIPTIONS AND CRITERIA FOR COMPLETION
/APPROVAL
MILESTONE # 1 – 90 DAY SCHEDULE
For this Milestone to be considered complete, the following criteria shall be met:
The Preliminary Schedule has been approved by Port Authority.
MILESTONE # 2 - PROJECT SCHEDULE
For this Milestone to be considered complete, the following criteria shall be met:
1.
2.
Milestone #1 shall be complete; and
The Schedule has been approved by Port Authority as the baseline.
MILESTONE # 3 - CONCEPTUAL DESIGN REVIEW
For this Milestone to be considered complete, the following criteria shall be met:
1.
Milestone #2 shall be complete;
2.
The Conceptual Design Review, as defined in Section 5.8- Design Reviews, has been
approved by Port Authority; and
3.
All submittals forming part of the Conceptual Design Review, as defined in Section 5.8Design Reviews and the PDRL, have been approved by Port Authority.
MILESTONE # 4 - PRELIMINARY DESIGN REVIEW
For this Milestone to be considered complete, the following criteria shall be met:
1.
2.
3.
Milestone #3 shall be complete;
The Preliminary Design Review, as defined in Section 5.8 - Design Reviews, has been
approved by Port Authority; and
All submittals forming part of the Preliminary Design Review, as defined in Section 5.8 Design Reviews, and the PDRL, have been approved by Port Authority.
MILESTONE #5 – FINAL DESIGN REVIEW
For this Milestone to be considered complete, the following criteria shall be met:
1.
2.
3.
4.
Milestone #4 shall be complete;
The Final Design Review, as defined in Section 5.8 - Design Reviews, has been approved
and closed by Port Authority;
All submittals forming part of the Final Design Review, as defined in Section 5.8 Design Reviews and the PDRL, have been approved by Port Authority; and
System Demonstration, as defined in Section 6.14 - System Demonstration, shall be
complete and approved by Port Authority.
MILESTONE #6 – BEGIN WAYSIDE INSTALLATION
For this Milestone to be considered complete, the following criteria shall be met:
1.
2.
Milestone #5 shall be complete; and
Installation of wayside equipment has commenced.
157
MILESTONE #7 – WAYSIDE INSTALLATION ONE THIRD (1/3) COMPLETE;
For this Milestone to be considered complete, the following criteria shall be met:
1.
2.
Milestone #6 shall be complete; and
One third of all wayside installation required to implement and place the System into
Revenue Service shall be successfully completed and approved by Port Authority.
MILESTONE #8 – WAYSIDE INSTALLATION TWO THIRDS (2/3) COMPLETE;
For this Milestone to be considered complete, the following criteria shall be met:
1.
2.
Milestone #7 shall be complete; and
Two thirds of all wayside installation required to implement and place the System into
Revenue Service shall be successfully completed and approved by Port Authority.
MILESTONE # 9 - CARBORNE FACTORY ACCEPTANCE TESTING COMPLETE
AND SAFETY CASE APPROVED
For this Milestone to be considered complete, the following criteria shall be met:
1.
2.
3.
Milestone #8 shall be complete in accordance with Section 6.15 - Testing and
Commissioning;
Factory Acceptance Testing successfully completed, in accordance with Section 6.15 –
Testing and Commissioning, and witnessed and approved by Port Authority; and
Safety Case successfully completed in accordance with Section 6.16.14 - Safety Case and
approved by Port Authority.
MILESTONE # 10 - WAYSIDE INSTALLATION 100% COMPLETE
For this Milestone to be considered successfully complete, the following criteria shall be met:
1.
2.
3.
4.
Milestone #8 shall be successfully completed;
All wayside installation required to implement and place the System into Revenue
Service shall be fully and successfully completed and approved by Port Authority;
The Record Documents, in accordance with Section 5.17 - Project Record Documents,
shall be complete and ready for distribution, to the satisfaction of Port Authority; and
All wayside testing, up to but excluding commissioning tests, in accordance with Section
6.15 - Testing and Commissioning, shall be successfully completed, passed and results
approved by Port Authority.
MILESTONE # 11 – FIRST SIEMENS 4200 SERIES LRV COMMISSIONED INTO
REVENUE SERVICE
For this Milestone to be considered complete, the following criteria shall be met:
1.
2.
3.
4.
Milestone #10 shall be complete;
All Commissioning Tests successfully completed in accordance with Section 6.15 Testing and Commissioning and witnessed and approved by Port Authority for one
Siemens (1) LRV;
All training of personnel shall be successfully completed as defined in Section 5.12 –
Training Requirements;
All deficiencies shall be addressed and Snags recorded and approved by Port Authority;
and
158
5.
Handover Certificates submitted, in accordance with Section 6.15 - Testing and
Commissioning, and approved by Port Authority for one Siemens (1) LRV.
MILESTONE # 12 – FIRST CAF 4300 SERIES LRV COMMISSIONED INTO
REVENUE SERVICE
For this Milestone to be considered complete, the following criteria shall be met:
1.
2.
3.
4.
5.
Milestone #11 shall be complete;
All Commissioning Tests successfully completed, in accordance with Section 6.15 –
Testing and Commissioning, and witnessed and approved by Port Authority for one (1)
CAF LRV;
All training of personnel shall be successfully completed as defined in Section 5.12 Training Requirements;
All deficiencies shall be addressed and Snags recorded and approved by Port Authority;
and
Handover Certificates submitted, in accordance with Section 6.15 - Testing and
Commissioning, and approved by Port Authority for one (1) CAF LRV.
MILESTONE # 13 – 1ST ADDITIONAL TEN (10) LRVS COMMISSIONED INTO
REVENUE SERVICE
For this Milestone to be considered complete, the following criteria shall be met:
1.
2.
3.
Milestone #12 shall be complete;
All Commissioning Tests successfully completed, in accordance with Section 6.15 Testing and Commissioning, and witnessed and approved by Port Authority for ten (10)
LRVs; and
Handover Certificates submitted, in accordance with Section 6.15- Testing and
Commissioning, and approved by Port Authority for ten (10) LRVs.
MILESTONE # 14 – 2ND ADDITIONAL TEN (10) LRVS COMMISSIONED INTO
REVENUE SERVICE
For this Milestone to be considered complete, the following criteria shall be met:
1.
2.
3.
Milestone #13 shall be complete;
All Commissioning Tests successfully completed, in accordance with Section 6.15 Testing and Commissioning, and witnessed and approved by Port Authority for ten (10)
LRVs; and
Handover Certificates submitted, in accordance with Section 6.15- Testing and
Commissioning, and approved by Port Authority for ten (10) LRVs.
MILESTONE # 15 – 3RD ADDITIONAL TEN (10) LRVS COMMISSIONED INTO
REVENUE SERVICE
For this Milestone to be considered complete, the following criteria shall be met:
1.
2.
3.
Milestone #14 shall be complete;
All Commissioning Tests successfully completed, in accordance with Section 6.15 Testing and Commissioning, and witnessed and approved by Port Authority for ten (10)
LRVs; and
Handover Certificates submitted, in accordance with Section 6.15 - Testing and
Commissioning, and approved by Port Authority for ten (10) LRVs.
159
MILESTONE # 16 – 4TH ADDITIONAL TEN (10) LRVS COMMISSIONED INTO
REVENUE SERVICE
For this Milestone to be considered complete, the following criteria shall be met:
1.
2.
3.
Milestone #15 shall be complete;
All Commissioning Tests successfully completed, in accordance with Section 6.15 Testing and Commissioning, and witnessed and approved by Port Authority for ten (10)
LRVs; and
Handover Certificates submitted, in accordance with Section 6.15 - Testing and
Commissioning, and approved by Port Authority for ten (10) LRVs.
MILESTONE # 17 – 5TH ADDITIONAL TEN (10) LRVS COMMISSIONED INTO
REVENUE SERVICE
For this Milestone to be considered complete, the following criteria shall be met:
1.
2.
3.
Milestone #16 shall be complete;
All Commissioning Tests successfully completed, in accordance with Section 6.15 Testing and Commissioning, and witnessed and approved by Port Authority for ten (10)
LRVs; and
Handover Certificates submitted, in accordance with Section 6.15 - Testing and
Commissioning, and approved by Port Authority for ten (10) LRVs.
MILESTONE # 18 – 6TH ADDITIONAL TEN (10) LRVS COMMISSIONED INTO
REVENUE SERVICE
For this Milestone to be considered complete, the following criteria shall be met:
1.
2.
3.
Milestone #17 shall be complete;
All Commissioning Tests successfully completed, in accordance with Section 6.15 Testing and Commissioning, and witnessed and approved by Port Authority for ten (10)
LRVs; and
Handover Certificates submitted, in accordance with Section 6.15- Testing and
Commissioning, and approved by Port Authority for ten (10) LRVs.
MILESTONE # 19 – 7TH ADDITIONAL TEN (10) LRVS COMMISSIONED INTO
REVENUE SERVICE
For this Milestone to be considered complete, the following criteria shall be met:
1.
2.
3.
Milestone #18 shall be complete;
All Commissioning Tests successfully completed, in accordance with Section 6.15 Testing and Commissioning, and witnessed and approved by Port Authority for ten (10)
LRVs; and
Handover Certificates submitted, in accordance with Section 6.15 - Testing and
Commissioning, and approved by Port Authority for ten (10) LRVs.
MILESTONE # 20 - FINAL ELEVEN (11) LRVS COMMISSIONED INTO REVENUE
SERVICE
For this Milestone to be considered complete, the following criteria shall be met:
1.
Milestone #19 shall be complete;
160
2.
3.
All Commissioning Tests successfully completed, in accordance with Section 6.15 Testing and Commissioning, and witnessed and approved by Port Authority for eleven
(11) LRVs; and
Handover Certificates submitted, in accordance with Section 6.15 - Testing and
Commissioning, and approved by Port Authority for eleven (11) LRVs.
MILESTONE # 21 – FINAL SAFETY CERTIFICATION OF NEW AUTOMATIC
TRIP STOP SYSTEM
For this Milestone to be considered complete, the following criteria shall be met:
1.
2.
Milestone #20 shall be complete; and
Safety Certificate submitted in accordance with Section 6.16.16 - Safety Certification and
approved by Port Authority .
MILESTONE # 22 REMOVAL OF EXISTING ATS WAYSIDE EQUIPMENT BEGINS
For this Milestone to be considered complete, the following criteria shall be met:
1.
2.
3.
Milestone #20 shall be complete;
The removal of the existing ATS wayside equipment shall have commenced; and
The Record Documents, shall be complete, in accordance with Section 5.17 - Project
Record Documents, and ready for distribution, to the satisfaction of Port Authority.
MILESTONE # 23 REMOVAL OF EXISTING ATS WAYSIDE EQUIPMENT
COMPLETE
For this Milestone to be considered complete, the following criteria shall be met:
1.
2.
3.
Milestone #22 shall be complete;
The removal of the existing ATS gwayside equipment fully and successfully completed
and approved by Port Authority; and
Successful completion of removal and submission of Handover Certificate, in accordance
with Section 0 – Existing ATS Removal, and approved by Port Authority .
MILESTONE # 24 RELIABILITY DEMONSTRATION TEST: TWO (2) SETS OF
ALL REQUIRED DIAGNOSTIC AND TEST EQUIPMENT AND SPECIAL TOOLS
FURNISHED; TWO (2) YEARS SUPPLY OF SPARE PARTS FURNISHED;
SOFTWARE, LICENSES AND ESCROW FURNISHED; AND FINAL ACCEPTANCE
For this Milestone to be considered complete, the following criteria shall be met:
Milestone #23 shall be complete;
Reliability Demonstration, in accordance with Section 6.16 - Systems Assurance, shall be
successfully completed and approved by Port Authority;
Two (2) sets of all required diagnostic and test equipment and special tools furnished to
Port Authority, in accordance with Section 5.14 – Tools;
Two (2) years’ supply of spare parts furnished to Port Authority, in accordance with
Section 5.15 – Parts Availability & Spares;
Provide all software and associated licenses and place source code into escrow, in
accordance with 6.10.9 Software Licenses and Escrow; and
All conditions for Final Acceptance, as identified in the Contract Documents, completed
to the satisfaction of Port Authority.
161
5.3
PROJECT CLOSEOUT
GENERAL
This Section sets forth the administrative and procedural requirements for the closeout of the Work.
SUBSTANTIAL COMPLETION
A.
Before requesting the Certification of Substantial Completion, the Contractor shall obtain,
complete or prepare, and provide to Port Authority, in a form and manner satisfactory to Port
Authority, the following:
1.
B.
A list of incomplete items or items requiring correction, the value of incomplete or
incorrect Work, and reasons the Work is not complete and corrected.
2.
All specific warranties, maintenance agreements, final certifications and similar
documents.
3.
Releases providing Port Authority unrestricted use of the Work and the System, operating
certificates and similar releases.
4.
All software, documentation for the software, and software licenses for the Products,
equipment, the Subsystems and the System.
5.
Escrow all source code and related materials for the Contractor and Subcontractor
developed software for the System, Subsystems, Products, equipment and other portions
of the Work, as required by the Contract Documents.
6.
Record Documents, operations and maintenance manuals, final project photographs,
models, and similar final record information.
7.
Two (2) sets of all required diagnostic and test equipment and special tools and a two (2)
year supply of spare parts to a location designated by Port Authority. Labeled with
manufacturer’s name and model number where applicable.
8.
A complete written record of all tests.
9.
Documentation of warranty coverage for all Products, equipment, the Subsystems and the
System.
10.
A copy of the Deficiency List showing the status of all Defects and Snags for Port
Authority’s review and approval. All Defects must be closed for approval to be given.
The Contractor shall notify Port Authority in writing at least seven Calendar Days before it
believes the Work will be Substantially Complete. Along with said written notification, the
Contractor shall provide Port Authority with the written list of incomplete and nonconforming
items/work and a schedule for the completion or correction of such items/work. Thereafter, Port
Authority will arrange for an inspection to determine if the Work, in fact, is Substantially
Complete.
C.
On receipt of a request for inspection, Port Authority will either proceed with inspection or
advise the Contractor of unfilled requirements. Port Authority will verify Substantial
Completion following inspection, or advise the Contractor of work that must be completed or
corrected before Substantial Completion will be verified. Port Authority will repeat inspection
when requested and assured that the Work is Substantially Complete.
D.
Once Port Authority determines that Substantial Completion has occurred, it will provide the
Contractor written notice of Substantial Completion, and a list of items, which must be
completed by the Contractor prior to Final Acceptance.
E.
The date of Substantial Completion shall be that date on which Port Authority provides the
contract with written notification (Certification) that Substantial Completion has occurred.
162
FINAL ACCEPTANCE
A.
Prior to Final Acceptance, the Contractor shall:
1.
B.
C.
Complete all the Work, including all items on all lists, to the satisfaction of Port
Authority.
2.
Provide the Warranty Bond, and all other required and remaining submittals.
3.
Address all non-conformance reports to Port Authority’s satisfaction.
The Contractor shall notify Port Authority in writing when the Work is ready to be inspected for
Final Acceptance. Thereafter, Port Authority will arrange for a Final Acceptance inspection.
The Contractor cannot request a Final Acceptance inspection before it has received notice of
Substantial Completion. Further, all Record Documents shall be submitted by the Contractor and
approved by Port Authority before the Final Acceptance inspection will take place.
Before requesting Certification of Final Acceptance, the Contractor shall complete the
following:
1.
2.
3.
D.
Submit releases and supporting documentation not previously submitted and approved;
Submit consent of Surety to final payment;
Submit Deficiency List showing that all Snags have been remedied and the applicable
Deficiency List entries can be closed;
4.
Clean-up of Site; and
5.
Removal of equipment and material not used.
Port Authority will re-inspect the Work upon receipt of notice that the Work, including
inspection list items from earlier inspections, has been completed.
E.
Upon completion of re-inspection, Port Authority will prepare a Certificate of Final Acceptance,
or advise the Contractor of work that is incomplete or of obligations that have not been fulfilled
but are required for that Final Acceptance. If necessary, re-inspection will be repeated.
F.
Neither Final Acceptance nor Port Authority's issuance of a Certificate of Final Acceptance shall
constitute a waiver by Port Authority of any rights it may have against the Contractor or others,
in law, equity or otherwise or be deemed the approval of any deficient work or work not
performed in compliance with the requirements of the Contract Documents.
G.
The date of Final Acceptance will be the date used to establish the Warranty Period, unless
otherwise provided for in the Agreement.
H.
The date of Final Acceptance will be the date on which risk of loss for, and title to, the System
and all Subsystems, Products, equipment and other portions of the Work will pass to Port
Authority.
5.4
PROJECT CONTROL
Project control shall be a continuous activity throughout all Project phases, encompassing, but
not necessarily limited to, cost management, cost control, change control, configuration
management, schedule management, schedule revision and schedule recovery.
5.5
WRITTEN COMMUNICATION REQUIREMENTS
TRANSMITTALS
A.
Every document, drawing, letter, progress report, change order and any other written or
computer-readable material (in written or electronic form) exchanged between the Contractor
and Port Authority shall be assigned a unique transmittal number.
163
B.
The Contractor, by means of transmittal, shall document discussions and phone calls where
important information is exchanged. Port Authority retains the right to revise such records for
correctness and to review and approve.
E-MAIL COMMUNICATIONS
A.
The Contractor shall support electronic mail (e-mail) correspondence for routine and informal
correspondence. The use of e-mail is intended to provide timely communication and distribution
of documents with and among Port Authority personnel. E-mail may be used as a Project record
and electronic signatures may be used to formalize such communications.
B.
E-mail shall not be a substitute for formal communications and submittals. All contractual
communications, correspondence, and submittals shall be provided in the media format as
required.
C.
The Contractor and Port Authority will jointly develop any additional procedures or restrictions
pertaining to the use of e-mail after NTP.
RECORD KEEPING
All transmittals and submittals shall be the property of Port Authority and shall be securely
retained by the Contractor and accessible for the length of the Work and beyond, in accordance
with time periods set forth in the Contract Documents or as required by law.
5.6
MEETINGS
KICK-OFF MEETING
A.
Within fourteen (14) days of NTP, the Contractor shall attend a Kick-Off Meeting in Pittsburgh,
arranged and conducted by Port Authority, at a location and time designated by Port Authority.
B.
The Contractor shall coordinate and organize the attendance by the Contractor’s Project
management team and representatives of the major Subcontractors.
C.
Port Authority will arrange the attendance of other interested parties not responsible to the
Contractor.
D.
Port Authority will distribute copies of the agenda prior to the meeting.
E.
The Contractor shall be prepared to provide specific information relative to all agenda items as
they are pertinent to the Work.
F.
Port Authority will record and distribute minutes after the meeting.
TECHNICAL MEETINGS
A.
Technical meetings will be arranged on an as-required basis by either the Contractor or Port
Authority to resolve technical matters pertinent to the Work. The Contractor shall attend, or
organize and attend, such meetings as may be required to complete the Work to the satisfaction
of Port Authority.
B.
Such meetings will be held at Port Authority designated locations unless otherwise agreed by
Port Authority.
C.
The Contractor shall ensure that the Contract’s personnel in attendance at a meeting have the
required technical expertise, familiarity with the requirements of the Work, and the authority to
commit the Contractor to the actions and solutions agreed upon.
D.
The Contractor shall inform Port Authority in advance of meetings of all items to be added to the
agenda and vice versa.
164
E.
The Contractor shall coordinate and organize attendance of Subcontractors and Suppliers when
requested by Port Authority or as otherwise necessary to resolve technical issues.
F.
The Contractor shall be prepared to provide specific information relative to all agenda items at
each meeting as they are pertinent to the Work.
G.
The Contractor shall record and distribute minutes to all participants within five (5) Business
Days of the meeting.
PROGRESS MEETINGS
A.
The Contractor shall attend Monthly Progress Meetings held in Pittsburgh, at a location and time
designated by Port Authority.
B.
The Contractor shall coordinate and organize the attendance of Subcontractors and Suppliers
when requested by Port Authority or as otherwise necessary to address aspects of the Work.
C.
The Contractor shall be prepared to discuss all aspects of the Work and to address all issues
raised in the Contractor’s monthly progress report, or added to the agenda by the Contractor or
Port Authority, and be prepared to provide specific information relative to all agenda items.
D.
The Contractor shall ensure that the Contract’s personnel in attendance at a meeting have the
required authority to commit the Contractor to actions agreed upon. The same person or persons
shall attend such meetings throughout the duration of the Work.
E.
The Contractor shall provide Port Authority the meeting agenda at least three (3) Business Days
in advance of all meetings.
F.
The agenda shall include the following topics as are pertinent to the Work:
1.
2.
G.
5.7
Safety;
Review and agreement of previous minutes, including update of status on open action
items;
3.
Status of designs;
4.
Status of procurement;
5.
Status of manufacture;
6.
Status of installation;
7.
Submittals;
8.
Systems Assurance and Quality Assurance/ Control;
9.
Coordination;
10.
Schedule; and
11.
Requests for information/ clarifications;
The Contractor shall record and distribute minutes to all participants within ten (10) Business
Days of the meeting.
PROGRESS REPORTS
A.
The Contractor shall submit to Port Authority written monthly progress reports ("Progress
Reports"), pertaining to the prior one month period, in a form acceptable to Port Authority on or
before the fifteenth (l5th) day of each calendar month . The Progress Report shall be current to
the last day of that month.
B.
The Progress Report shall contain the following:
165
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
5.8
An executive summary and outline of areas of concern and action proposed by the
Contractor or required by others;
The safety statistics, as defined in OHSA, in the period and to date, with appropriate
comments and steps to be taken, and by whom, to resolve any current or impending
problems;
An update of the Schedule;
The anticipated impact of any delays and plans for schedule recovery;
A summary of activities performed during the previous reporting period;
A list of submittals made by the Contractor during the reporting period, and a list of
submittals to be made during the next two (2) reporting periods, with required submittal
dates;
A summary of pending and upcoming Contractor and Port Authority activities planned
during the next two (2) reporting periods, with required completion dates;
A status of unresolved requests for information and change orders;
An updated correspondence log;
Financial status of the Contract Sum and payments made, including the value of change
orders issued to date;
A description of current and anticipated problem areas and steps to be taken, and by
whom, to resolve each problem;
An update to the organizational structure showing any changes in Contractor personnel;
An update on Quality Control issues and steps to be taken, and by whom, to resolve any
current or impending problems including an updated Deficiency List;
An updated Products list as described in Section 5.11 - Quality Assurance;
An updated Submittals Listing as described in Section 5.18 - Submittals;
An up to date action items list which shall include an updated list of outstanding actions
from the previous progress review meetings;
Items as identified in the Contract Documents;
Subcontractor Status Reports; and
On Port Authority issued form, DBE utilization status reports, including a detailed
explanation and recovery plan if DBE goals are not being met.
DESIGN REVIEWS
GENERAL
A.
B.
C.
There shall be three formal Design Review stages and meetings prior to Port Authority review
and approval of final design of the System. The Design Reviews are as follows:
1.
Conceptual Design Review (CDR);
2.
Preliminary Design Review (PDR); and
3.
Final Design Review (FDR).
For each Design Review, all issues shall be reviewed, resolved, and approved by Port Authority
before proceeding to the next Design Review.
The Contractor shall distribute to Port Authority, a minimum of twenty-one (21) Calendar Days
before each Design Review meeting, the following:
1.
2.
Date, time and location of meeting;
Invited Attendee list; and
166
3.
Meeting agenda, outlining the objectives to be achieved and all items to be discussed.
CONCEPTUAL DESIGN REVIEW (CDR)
A.
The purpose of the CDR is to ensure that the Contractor possesses a complete comprehension of
the requirements of the Contract Documents and a means by which to explain how the
Contractor’s proposed design achieves those requirements.
B.
The conceptual design shall commence at NTP and end at closeout of CDR. The Contractor
shall schedule submittals within this time period, consistent with Section 5.18 - Submittals,
including but not limited to:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
C.
Concept of Operations;
Configuration Management Plan;
Documentation Plan;
Preliminary Hazard Analysis;
Quality Assurance Plan;
Hardware Development Plan;
Software Assurance Plan;
Software Project Management Plan;
Software Quality Assurance Plan;
Software Verification and Validation Plans;
Submittals Listing;
System Design Description;
System Requirements Specification;
Systems Assurance Plan;
Systems Design Description;
Systems Engineering Management Plan;
Verification and Validation Plan;
Test Program Plan;
Training Program Plan; and
Report on CDR, which shall consist of a Closure List for the submittals provided. The
Closure List shall identify the submittal name, version, document number and date of
issue of the version provided for CDR.
The following items shall be discussed at the CDR meeting:
1.
2.
3.
4.
5.
6.
The Contractor’s understanding of the System requirements;
The Contractor’s proposed Safety Program;
The Contractor’s Quality Assurance Plan;
The Contractor’s process that shall be used for the development and implementation of
the design;
Any information required by the Contractor; and
All submittals distributed prior to the CDR.
PRELIMINARY DESIGN REVIEW (PDR)
A.
The purpose of the PDR is to assess the technical adequacy of the design to ensure it will fulfill
all of the operational, functional and performance requirements required by the Contract
167
Documents and/or necessary for the proper operation of the System. Additionally the PDR shall
verify compatibility of the interfacing between carborne and wayside Subsystems and
equipment, and between hardware and software.
B.
The preliminary design shall commence at closeout of CDR and end at the closeout of PDR.
The Contractor shall schedule submittals within this time period (unless the Submittal can be
provided earlier), consistent with Section 5.18 - Submittals, including but not limited to:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
C.
Updates to all CDR submittals as required by design and process refinement;
System Timing Analysis;
ATS-Vehicle Interface Control Document;
Narrative Description of Carborne ATS Subsystem;
Software Test Plans;
Hardware Obsolescence Plan;
Environmental Qualification Plan/Procedures;
Systems Integration Plan;
EMI/EMC Control Plan;
EMI/EMC Test Plan/Procedures;
Verification and Validation Plan;
System and Subsystem Requirements Specifications;
Safety Requirements Specification;
Model of the ATS Architecture;
System Demonstration Plan;
System Hazard Analysis;
Operating and Support Hazard Analysis;
Fault Tree Analysis;
Preliminary Equipment and Cabling Installation and Layout Drawings and Interface
Information;
20.
Layout Drawings for Carborne ATS Equipment;
21.
Heat Load Analysis for ATS Equipment;
22.
Electrical Load Analysis for Carborne ATS Equipment;
23.
ATS Wayside Subsystem Layout Drawings;
24.
Factory Acceptance Test Plan;
25.
Cut-over Plan; and
26.
Preliminary Design Report, which shall consist of a Closure List for the submittals,
provided. The Closure List shall identify the submittal name, version, document number
and date of issue of the version provided for PDR.
The following items shall be discussed at the PDR meeting:
1.
2.
3.
4.
5.
6.
System design and operation;
Hardware and software Products to be supplied under the Agreement;
System interfaces;
Justification that the required safety standards are met;
Justification of the System meeting the requirements of the Contract Documents;
Impacts of design decisions on the Schedule; and
168
7.
Information needs or decisions required.
FINAL DESIGN REVIEW (FDR)
A.
The purpose of the FDR is to verify prior to commencing installation of the System that the
detailed design meets all technical requirements of the Contract Documents and/or necessary for
the proper operation of the System.
B.
The final design shall commence at closeout of PDR and end at the closeout of FDR. The
Contractor shall schedule submittals within this time period (unless the Submittal can be
provided earlier), consistent with Section 5.18 - Submittals, including but not limited to:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
C.
Updates to all CDR and PDR submittals as required by design and process refinement;
Successful completion of System Demonstration;
System Demonstration Report;
Training Material, Instructor Guides and Student Workbooks;
Priced Recommended Spare Parts List;
Recommended Tools List;
Recommended Test Equipment List;
Standard Operating Procedures;
Subsystem Hazard Analysis;
Reliability Demonstration Test Plan;
Final Equipment and Cabling Installation and Layout Drawings and Interface
Information;
12.
Detailed Technical Description of ATS Carborne Subsystem Equipment;
13.
Control Schematics;
14.
Assembly Drawings of Carborne Subsystem Products;
15.
Electrical Drawings;
16.
Carborne equipment PICO Plan;
17.
Software Requirements Descriptions;
18.
Software Design Descriptions;
19.
Product Data, Shop Drawings and Specifications for printed circuit cards, integrated
circuits and printed circuit card connectors;
20.
Environmental Qualification Test Reports;
21.
EMI/EMC Test Reports;
22.
Failure Modes, Effects and Criticality Analysis;
23.
Reliability, Availability and Maintainability Analyses;
24.
Factory Acceptance Test Procedures;
25.
Integrated System Test Procedures;
26.
PICO Test Procedures;
27.
Testing and Commissioning Procedures; and
28.
Final Design Report which shall consist of a Closure List for the submittals provided.
The Closure List shall identify the submittal name, version, document number and date of
issue of the version provided for PDR.
The following items shall be discussed at the FDR meeting:
1.
Complete System satisfies the performance and design requirements;
169
2.
3.
4.
5.
6.
Interfaces to internal and external systems meet requirements;
System maintenance and its effect on hardware and software Products, and the role of
Port Authority maintenance personnel;
Plan for conducting System Integration test;
Plan for transitioning from the existing system to the System; and
Plan for providing System support.
POST-FDR CHANGE CONTROL
After completing the FDR, the design of the System shall be final and shall not be changed.
Engineering change control procedures are now in effect as described in Section 5.9 Scheduling Requirements.
PRODUCTION, ASSEMBLY AND INSTALLATION PHASE
The Production, Assembly and Installation Phase, which shall commence at completion of the
FDR. The Contractor shall schedule submittals within this time period (unless the submittal can
be provided earlier), consistent with Section 5.18 - Submittals, including, but not limited to:
1.
2.
3.
4.
5.
6.
7.
5.9
Updates to all CDR, PDR, and FDR submittals as necessitated by the Work;
Factory Acceptance Test Report;
Qualification Test Report;
Test Reports and Certificates for each stage;
Project Record Documents for all Products, Subsystems and the System necessary to
provide a complete documentary picture of the installed System;
Safety Case; and
RAM Demonstration Report.
SCHEDULING REQUIREMENTS
GENERAL
A.
Each Schedule, and any amendments, submitted by the Contractor shall be a CPM schedule and
shall utilize Primavera and the precedence diagramming method and shall provide graphic
schedule bar charts sorted by start date and remaining duration of all material activities.
B.
All Schedules submitted by the Contractor shall be submitted with one (1) complete electronic
backup of the Schedule including report specifications, in a native electronic readable format
capable of being read by Primavera Project Planner on compact disk, DVD, USB key or via
email as approved by Port Authority. The Contractor shall clearly label the media with the title
and name of the Agreement, the Primavera file name, the data date and the date submitted. Each
Schedule submitted must have a unique Primavera file name. Hard copies shall be submitted on
sheets not larger than twenty-two inches (22") by thirty-four inches (34").
C.
The Contractor shall at its own expense obtain and use the required computer equipment and
software for the required CPM network and generation of reports required by the Contract
Documents.
D.
The performance of the Work as required in the Contract Documents may require the use by the
Contractor, at its cost, of overtime labor, additional shifts or additional plant and equipment
and/or other measures. In any event, the Contractor shall at all times use best industry practice to
anticipate, avoid and mitigate the effects of all delays.
E.
Within five (5) Business Days of a written request by Port Authority, and at no additional cost to
Port Authority, the Contractor shall provide a report with respect to any part of the Schedule
170
with an explanation and demonstration of the sequence of the Work forecasted therein. In order
to complement the information provided in these reports, the Contractor may also be requested
to prepare and submit marked up drawings.
90 DAY SCHEDULE
A.
Within fifteen (15) Calendar Days from NTP, the Contractor shall submit for review and
approval by Port Authority a CPM schedule, which details the proposed activities with respect to
the portion of the Work to be performed in the first 90 days (the “90 Day Schedule”) and
conforms to the Milestone Completion Dates.
B.
The Contractor shall also include a narrative with the 90 Day Schedule that describes the basis
of schedule logic and the Contractor's approach to the Work.
PROJECT SCHEDULE
A.
Within sixty (60) Calendar Days from NTP, the Contractor shall submit for review and approval
by Port Authority a detailed Schedule which meets the requirements set forth in the Contract
Documents. The Schedule shall permit the orderly planning, organization, execution of the
Work, including the provision for completing the Work in order to meet the Milestone
Completion Dates and be sufficiently detailed to accurately depict the Work.
B.
The Schedule submitted, when approved by Port Authority, shall become the Schedule against
which progress will be measured. Once approved by Port Authority, the Schedule shall be the
baseline (and once baselined shall be referred to thereafter as the “Baselined Schedule”). The
Baselined Schedule shall not be changed except by change order.
C.
The Schedule and any updates thereto, shall show a logical and coordinated sequence of
submittals, design, procurement, manufacturing, production, assembly, delivery, installation, test
and commissioning activities. The Schedule shall incorporate and identify the following:
1.
2.
3.
4.
5.
6.
7.
Be prepared in accordance with best industry practice and shall be in sufficient detail to
enable Port Authority to monitor the progress and performance of the Work.
Provide meaningful activity descriptions and realistic durations for completing the work
for each activity.
Show the sequence and interdependencies of activities and specifically include, as a
minimum, start and completion dates of all items of Work, their major components,
milestone events and the related Milestone Completion Dates.
Contain all activities and the duration of such activities in Business Days and milestones,
which affect progress and interference with the Work.
The activities shall be suitably coded to allow for selectively focusing attention on
activities of particular importance and to allow for grouping them accordingly. This shall
be accomplished by using linked hierarchal levels:
a.
Level 1 shall show the overall Schedule in major activity phases in the order of a
maximum of 200 - 300 activities.
b.
Level 2 shall support the Level 1 Schedule in terms of logic and develop the
logical linked structure for the major phases.
c.
Level 3 detailed activities shall be broken down into sufficient detail so that the
duration of any one activity is kept to within 1 to 30 days, as far as possible.
The critical path(s) shall be determined and shall be clearly indicated as a continuous
series of activities (with zero total float).
Where possible, activity ID numbers shall be assigned in ascending order to activities, in
the order in which they are carried out so that preceding activities have smaller ID
171
D.
numbers numerically than activities following them. Activity ID numbers shall be
assigned by tens: i.e. 10, 20, 30, 40, etc.
8.
Detailed logic diagrams need not be time scaled, but shall be drafted to show a
continuous flow of work from left to right. The following information shall be shown on
the logic diagrams for each activity: preceding and succeeding event numbers,
description of the activity, percentage complete, early/late start and early/late completion
dates, trade involved (responsibility), work item designation, and activity duration in
Business Days.
9.
Logic diagrams shall show the order and interdependence of activities and the sequence
in which the Work is to be accomplished as planned by the Contractor. The logic
diagramming procedure that will be used will show how the start of a given activity is
dependent on the completion of preceding activities, and how its completion restricts the
start of following activities:
a.
Resources for each activity, including person hours estimated to design,
fabricate, install, test and commission Products; and major equipment needed to
support installation.
b.
Identify number of work days per week that the Contractor intends to perform the
Work.
c.
Identify timeframes for Port Authority’s review of Submittals pursuant to Section
5.8 - Design Reviews and Section 5.18 - Submittals.
d.
Show the NTP as the Project start date and calculate the Schedule using this date
as its data date.
The Baselined Schedule shall constitute representations that:
1.
E.
The Contractor has obtained each Subcontractor's written approval and/or concurrence
with the Schedule.
2.
All material elements of the Work are included in the Schedule. Failure to include any
element of work required for performance of the Work shall not excuse the Contractor
from completing the Work in accordance with the date(s) indicated in the Contract
Documents.
3.
Seasonal weather conditions have been considered and included in the planning and
scheduling of the Work and are reflected in the Schedule.
4.
The Contractor has incorporated into the Baselined Schedule any other special conditions
that pertain to the performance of the Work, including but not limited to specified nonwork periods.
The Contractor shall submit an update of the progress of the Work against the Baselined
Schedule, as an attachment to the monthly progress report, specifying:
1.
F.
Only those activities that have been started or completed in the previous period. The
Baselined Schedule shall not include any changes in logic or durations of unstarted
activities
2.
Progress during the period compared to planned work during the period; and
3.
Work scheduled during the next period, as forecast versus originally planned
The Contractor shall report the progress update in the following manner:
1.
2.
Each activity in the Schedule, shall be shown as a solid bar, and shall remain the same for
the duration of the Agreement;
Actual progress shall be shown in a different pattern directly above the Baselined
Schedule activity with the percentage complete indicated as of the data date;
172
3.
4.
5.
5.10
The data date shall coincide with the last calendar day of each month and shall be shown
for each update;
Actual start and finish dates shall be shown for activities in progress; and
There shall be a projection to completion shown for all outstanding and incomplete
activities.
RECOVERY SCHEDULE
A.
When Port Authority is of the opinion that the Work is being performed at a rate that is less than
the estimated rate required to complete the remaining activities for any portion of the Work in
the time indicated by the Baselined Schedule, and that this would cause any date(s) set forth in
the Contract Documents not being met, including but not limited to the Milestone Completion
Dates, the Contractor shall undertake appropriate action to achieve the date(s) set forth in the
Contract Documents, including but not limited to the Milestone Completion Dates.
B.
Where the Contractor fails to take appropriate action in this regard, Port Authority may direct
the Contractor to improve performance.
C.
Following the identification and notification by Port Authority to the Contractor of the
circumstances described that the Work is being performed at a rate that is less than the estimated
rate required, the Contractor shall, with the next monthly progress report, submit a Recovery
Schedule (as described herein), together with a written recovery statement describing the cause
for the slippage and the actions planned to recover the Baselined Schedule within the shortest
reasonable time.
D.
The "Recovery Schedule" shall set out the planned future work shown on the Baselined
Schedule and the proposed alternate methods of performing the Work in order to bring the
progress of the Work back in line with the Baselined Schedule. Such alternative methods may
include, at the Contractor’s sole cost, assignment of additional labor, Subcontractors, plant or
equipment, shift or overtime work or expediting of submittals or deliveries. The Contractor
must demonstrate in the Recovery Schedule that it has allocated the resources in project
management, independent quality assurance, design, verification and validation, testing and
installation (including tradespersons), plant, equipment, and supervision to overlap activities,
and that it is physically possible to employ such extra resources.
5.11
QUALITY ASSURANCE
GENERAL
A.
The Contractor shall establish and maintain a Quality Assurance Program. The Contractor and
its major Subcontractors (those having 5 percent or more of the total Contract Sum) shall be
compliant with ISO IEC-9001:2008 Standards at the time of the award of the Agreement and
shall remain compliant throughout the term of the Agreement. The Contractor shall provide to
Port Authority ISO 9001:2008 Quality Assurance Program Certification documentation as proof
of compliance.
B.
The Contractor shall prepare and submit a Quality Assurance Program, in accordance with
Section 5.18 - Submittals, to Port Authority for its review and approval no later than thirty (30)
Calendar Days after NTP.
C.
The Contractor shall provide, in the form of a “Products List,” the status of Products designated
for use in the Work. The list shall indicate the method of review for each item (e.g. samples,
shop drawings), in addition to the normal inspection and testing required for each item. The
Contractor shall also provide Port Authority with a copy of this Products List no later than sixty
173
(60) Calendar Days from NTP. The Contractor shall also update and reissue the Products List to
Port Authority on a monthly basis as part of the monthly progress report.
D.
The Contractor shall assign a Lead QA/QC Engineer reporting directly to the Project Manager
whose responsibility shall be Quality Assurance/Quality Control for the Work. No portion of
the Work shall commence until the Contractor has selected the proposed Lead QA/QC Engineer
and the selection has been approved by Port Authority.
E.
If the Contractor already has a Quality Assurance Program that meets the requirements of the
Contract Documents, a detailed description of the program shall be submitted to Port Authority
for its review and approval of its use for the Work. If the Contractor’s existing Quality
Assurance Program is not approved by Port Authority, the Contractor shall either modify the
existing program to be compliant with the Contract Documents or develop a new Quality
Assurance Program, which shall be subject to review and approval by Port Authority.
F.
The Quality Assurance Program shall include but not be limited to each of the following
elements of FTA’s Quality Management System Guidelines (FTA-PA-27-5194-12.1):
G.
1.
Management responsibility;
2.
Documented quality management system;
3.
Design control;
4.
Document control;
5.
Purchasing;
6.
Product identification and traceability;
7.
Process control;
8.
Inspection and testing;
9.
Inspection, measuring and test equipment;
10.
Inspection and test status;
11.
Nonconformance;
12.
Corrective action;
13.
Quality records;
14.
Quality audits; and
15.
Training.
The Quality Assurance Program shall also include the following:
1.
2.
3.
4.
5.
6.
Organization Chart - The Contractor shall identify the Lead QA/QC Engineer responsible
for Quality Assurance by name, showing that his/her position(s) is outside the production
staff with clear lines of authority for validation of quality control;
Source Quality Control – The Contractor shall represent that the Products used
throughout the Work are those of companies having established reputations in the
manufacture of the particular materials, equipment or apparatus specified;
Raw Material – List proposed source materials along with methods of documentation and
testing to assure their quality;
Production Control – List proposed lot size and samples; including sample selection,
labeling and test procedure;
Product Testing – List proposed type and frequency of tests and method of documenting
and reporting results. List procedure for retesting or rejecting items not passing the tests;
Packaging and Shipping – List method of identifying, storing, loading, transporting and
unloading;
174
7.
8.
9.
10.
H.
Receiving – identify the Contractor’s receiving facility and location;
Documentation – List the proposed procedures for documentation and certification;
Management of deficiencies; and
Field Quality Control – The Contractor shall provide a detailed field inspection plan and
test procedures, in accordance with the Contract Documents.
The Contractor shall maintain sufficient control over manufacturing and fabrication processes to
prevent defectiveness and variability of materials and to assure their conformance with the
requirements of the Contract Documents.
I.
All changes to design information or task definition shall be processed in a manner that will
ensure accomplishment of the Work. A record of all changes shall be maintained.
J.
Reports of sampling, inspection and test activities are quality records and shall be maintained by
the Contractor. The reports shall, at a minimum, contain the following:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
Project title and Agreement number;
Testing laboratory name, address and telephone number;
Name of inspected/tested/sampled products and Agreement section;
Quantity of items;
Inspection/testing procedure reference;
Date and time of work;
Name of inspector/tester;
Observations/comments;
Specified requirements;
Record of environmental conditions;
Deviations and non-conformances;
Corrective action;
Evaluation of results; and
Signature of authorized evaluator.
DEFECTIVE MATERIALS
A.
Products provided by the Contractor that are found to have a defect, as determined by Port
Authority in its sole discretion, may be rejected. The Contractor shall promptly repair or
replace, in a manner acceptable to Port Authority, such materials. No compensation shall be
allowed to the Contractor for such repair or replacement.
B.
In the event the Contractor fails to repair or replace a Product or other portion of the Work
deemed to have a defect after notice, in writing, from Port Authority, Port Authority may cause
the Product or other portion of the Work to be repaired or replaced by others. Any costs incurred
by Port Authority in having Products or other portion of the Work repaired or replaced shall be
borne by the Contractor and such costs may be deducted from any monies due, or which become
due, to the Contractor under the Agreement with Port Authority or otherwise.
C.
The determination as to whether a Product or other portion of the Work is determined to have a
defect is at the sole discretion of Port Authority.
PLANTS AND EQUIPMENT
A.
Only plants and equipment suitable to produce the quality of work, Products and materials
required by the Contract Documents shall be used or permitted to be used by the Contractor.
175
Such plants and equipment shall conform to industry standards and shall be of sufficient
capacity to ensure the production of Products and materials needed to complete the Work in
accordance with the Schedule and the Contract Documents. Design and formation of any plants
and equipment to implement the Work shall be in accordance with industry practice.
B.
If at any time during the progress of the Work, plants, tools or equipment used by the Contractor
are determined by Port Authority to be unable to achieve the quality of work required at the
proper rate of progress, Port Authority may order the Contractor to take steps Port Authority
deems necessary to achieve the quality of work required at the proper rate of progress. The lack
of Port Authority’s demand for such action however, shall not relieve the Contractor of its
obligation to achieve the quality of work and the proper rate of progress required to complete the
Work within the time set forth in the Contract Documents.
CONFIGURATION MANAGEMENT
A.
The Contractor shall prepare, in accordance Section 5.18 - Submittals, and submit a
Configuration Management Plan (CMP), to Port Authority for review and approval, no later
than thirty (30) Calendar Days after NTP. Through the CMP, the Contractor shall manage
changes to the System design during the performance of the Agreement.
B.
The Software portion of the CMP shall be prepared in accordance with IEEE 828 and IEEE Std.
1558, Procurement Type 5.
C.
Commercially applied documentation and control practices may be used up to the Final Design
Review, if the process provides an audit trail of all changes and these records have been
submitted to Port Authority.
D.
The Contractor shall maintain and make available accurate and current configuration records to
Port Authority throughout the performance of the Agreement and thereafter, as required by the
Contract Documents.
E.
All documentation shall reflect the configuration of all equipment supplied under the
Agreement. Any changes as a result of defects and design changes shall result in an update of all
associated documentation within thirty (30) Calendar Days of correction.
F.
The risk of procuring or producing any hardware or software shall solely belong to the
Contractor until Final Acceptance.
G.
The CMP shall contain detailed explanations of how the Contractor shall monitor, document and
control changes to the System configuration items, including removal of obsolete specifications
and drawings from use. Such configuration items shall encompass all hardware, software, and
system elements of the System.
H.
All items, beginning with the lowest level of repair or replacement, identified by the same part
and/or specification number, shall have the same physical and functional characteristics; shall be
equivalent in performance and durability; and shall be interchangeable without alteration to
themselves or associated items, other than normal field adjustments. An item shall not be
considered interchangeable if it requires modification for fit or function. Old and new
configuration items requiring segregation shall be identified either by a new drawing number or
a dash number added to the original item (if practical) and a dash number added to the
drawing(s).
I.
All potential changes to configuration items shall be evaluated with consideration to the
requirements of the Contract Documents.
176
ENGINEERING CHANGE PROPOSAL (ECP) PROCEDURE
A.
After the completion and approval by Port Authority of the FDR, the design of the System shall be
final. Any proposed changes to the System design set forth in the approved FDR shall be treated as
an engineering change and shall utilize the ECP Procedure. The ECP Procedure shall apply
immediately after the completion and approval of the FDR. Also, any such proposed changes to the
System design set forth in the approved FDR shall be subject to the structured design control
procedures that are defined within the Contract Documents.
B.
All ECPs shall be reviewed by the Contractor for total impact and evaluation prior to
recommendation and submittal to Port Authority for review and approval.
C.
The Contractor shall process each proposed Class I change (defined below) as an ECP (format to
be determined) and submit to Port Authority for review and approval prior to initiating any
implementation action. Any action or cost necessary to correct problems in the Product or
documentation arising from the Contractor's misclassification of ECP class (e.g. Class I change
incorrectly identified as Class II (defined below)) shall be borne by the Contractor.
D.
The Contractor shall also classify and control changes originating from its Subcontractors.
E.
The ECP shall be submitted to Port Authority within ten (10) Calendar Days after the proposed
need for a change is identified, accompanied by a cover transmittal identifying the areas impacted,
what is gained by ECP, recommended corrective measures, and technical documentation and the
cost information necessary to fully evaluate the change.
F.
The Contractor shall immediately report all Class I change requests immediately that affect safety
and/or would be categorized as material, by phone, or face-to-face. The change request shall be
identified by ECP number, if reported verbally, and confirmed in writing to Port Authority within
eight (8) hours.
G.
Class II ECPs shall be submitted to Port Authority for information prior to, but no later than, five
(5) Calendar Days after the change was initiated.
H.
The Contractor may recommend an alternative manner in which to process Class I and Class II
changes for software defects. The processing mechanism shall be clearly described in the CMP.
The CMP shall describe how each requirement of the ECP procedure shall be addressed by the
Contractor.
CLASSIFICATIONS OF ENGINEERING CHANGES
A.
The following classifications of changes apply to ECPs:
1.
A proposed engineering change to any part, Subsystem, Product or equipment shall be
designated as a Class I change when one or more of the following is affected:
a.
Form, fit and function interchangeability;
b.
Reliability, availability, and maintainability;
c.
Weight or balance (where it is a factor);
d.
Port Authority-furnished equipment;
e.
Safety;
f.
Electromagnetic-interference (EMI) and electromagnetic compatibility (EMC)
characteristics;
g.
Delivered product (retrofit);
h.
Delivered training, operation or maintenance manual (where additional
Agreement funds are required to revise manuals);
177
2.
3.
5.12
i.
Sources of repairable items (source control drawings); and
j.
Schedules or deliverables.
A proposed change to software shall be designated as a Class I change when one or more
of the following factors are affected.
a.
Function, performance, reliability, maintainability, correctness, efficiency,
flexibility, testability, usability, or outside stated tolerance;
b.
Interface characteristics;
c.
Cost;
d.
Schedules;
e.
Port Authority-furnished equipment or software;
f.
Safety; or
g.
Skill levels, training, or human engineering design.
Any engineering change not affecting form, fit or function, or falling within the
preceding definition of a Class I change, shall be designated as a Class II change. Some
examples of Class II changes are correction and clarification of documents, substitution
of alternative material or hardware, or correcting a minor software "bug."
TRAINING REQUIREMENTS
GENERAL
A.
The Contractor shall provide training and support materials to enable Port Authority’s personnel
to properly and fully operate and maintain the System. The training program shall include
detailed instructions, demonstrations and supervised hands-on training.
B.
Training provided by the Contractor shall be comprehensive and cover all specified and
Contractor proposed features and functions of the System including hardware, software,
Subsystems, operations, integration, maintenance, troubleshooting, debugging, programming,
other necessary support functions and any other part thereof.
C.
The Contractor shall complete operation and maintenance training for the System no later than
thirty (30) days before the first LRV with the System is placed into Revenue Service.
D.
Each training course shall include detailed reviews of manuals and accompanying
documentation and shall cover materials in enough detail so that Port Authority personnel can
fully maintain the System, Subsystems and Products in all respects.
E.
The Contractor shall furnish training programs, which includes the following:
1.
2.
Operations training tailored specifically to Port Authority equipment, and designed to
teach the day-to-day operation of all System equipment. The training shall be sufficient to
bring personnel to a level of operating proficiency such that routine Contractor support is
not needed.
Maintenance training, tailored specifically to Port Authority equipment, and designed to
develop the knowledge and skills required to maintain and repair all item(s) delivered
under the Contract Documents. Maintenance training shall include the following:
a.
Theory of operation of the System, its Subsystems and major Products;
b.
System configuration;
c.
Corrective and preventative maintenance, consisting of written procedures and
schedules for the maintenance of all System equipment; and
178
d.
F.
Written and validated inspection procedures and a troubleshooting guide (to the
LLRU level).
Initial training shall be performed by the Contractor who shall then provide Port Authority with
all training materials. The training materials shall become the property of Port Authority.
G.
All training material shall be provided in both hard copy and editable electronic copies, to allow
Port Authority to conduct ongoing training after completion of the Work.
H.
All training material provided shall be assembled in three-ring view binders with elliptical rings;
stiff cover-with covering resistant to oil, water and weary reinforced hinges; label holder on
spine; mechanical device to open, close and lock rings; and sheet lifters, and the pages 8 -1/2" by
11”. The course title shall be on the front and the spine.
TRAINING OBJECTIVES
The Contractor shall design and implement a training program that provides Port Authority
personnel with sufficient skills and knowledge to ensure that the System:
1.
2.
3.
Operates continuously at optimum efficiency and effective levels;
Can be maintained and repaired by Port Authority personnel; and
Can be expanded by Port Authority personnel or contractors as required for the addition
of equipment, capabilities and features over the entire life of the System.
TRAINING AUDIENCE
The Contractor shall provide training that is designed for and specifically tailored to the
following groups of Port Authority personnel:
1.
2.
3.
4.
5.
6.
7.
System engineering staff;
Management and supervisory staffs;
LRV operators;
LRV maintenance and repair staff;
Wayside maintenance staff;
Operations Control Center (OCC) staff; and
Any other personnel deemed as requiring detailed knowledge of the System as designated
by Port Authority.
TRAINING PROGRAM PLAN AND SCHEDULE
A.
The Contractor shall provide a “Training Program Plan” to Port Authority for its review and
approval. The Plan shall include performance objectives, a training schedule, and a plan for
"training the trainers" (Port Authority instructors who will eventually teach Port Authority
personnel, after initial training is completed by the Contractor). Approval of the Training
Program Plan by Port Authority is required prior to the implementation of any training. The
Plan shall assist the Contractor in managing the training process.
B.
The Training Program Plan shall include a narrative description explaining the method for
training Port Authority personnel, including management, supervisors, operations, and
maintenance personnel.
C.
The proposed Training Program Plan shall be submitted to Port Authority no later than ninety
(90) Calendar Days after the NTP.
D.
A training schedule shall be included in the Training Program Plan.
179
E.
Final Training Material, Instructor Guides and Student Workbooks shall be provided to Port
Authority a minimum of sixty (60) Calendar Days prior to the first training session.
F.
The Training Program Plan shall describe each course and how the requirements of the course
will be met. The Training Program Plan shall identify and describe each course, the intended
audience, the size of class, Port Authority facilities required, the sequence of classroom and
hands-on instruction, the estimated hours required for both and the number of sessions in order
to satisfactorily complete the training.
G.
The Training Program Plan shall also include, but not be limited to, the following:
1.
2.
3.
H.
Sequence of learning activities;
Overview description of syllabi, instructor and student materials;
Description of the learning strategies to be used (such as classroom presentation, handson practice, computer-based training, simulation, paper and pencil exercises, etc.); and
4.
Methods and criteria for evaluating performance, including an objective grading system
to report progress during the training.
The Training Program Plan shall explain training sequence and the objective for each task for
which training is required.
I.
The Training Program Plan shall include the training organizational chart and the experience of
those responsible for preparation and presentation of the training programs.
J.
The Training Program Plan shall include the qualifications of the assigned instructors. Training
personnel shall be knowledgeable in their subject area and have proven training experience.
Such previous training experience shall be provided to Port Authority upon request. Port
Authority may request replacement of Contractor’s instructors that Port Authority deems to be
unqualified or Port Authority deems unsatisfactory for any reason.
K.
The Training Program Plan shall include formal and informal instruction materials, models,
manuals, diagrams, parts lists, etc. Products or spare parts shall be used as training aids in lieu
of mock-ups or simulations for demonstration and practical exercises where hands-on training is
preferable.
L.
The Training Program Plan shall describe the change-management plan that tracks all changes
and revisions to the installed System. This process shall manage all such changes in the training
materials as changes to the installed System are made. All training materials shall be current
before Final Acceptance.
TRAINING COURSES
A.
The Contractor shall design and provide distinct, separate training courses with minimum
duration indicated below, subject to review and approval by Port Authority, including:
1.
2.
3.
4.
System-familiarization training (at least eight (8) hours) for Port Authority's
management, supervisory, and operations personnel.
Wayside Maintenance training (at least eight (8) hours), including troubleshooting and
repair, for Port Authority's maintenance supervisors, technicians, and engineers.
Detailed operations instruction and training (at least eight (8) hours) to Port Authority's
personnel responsible for operations, which will be defined by Port Authority. Normal
and abnormal operating situations shall be included in this training.
Solid state and microprocessor equipment (for LRV systems maintenance and repair
staff): Two levels of training shall be provided for operating and maintenance personnel
in the use and maintenance of microprocessor based state equipment. Manuals and
180
B.
pamphlets as required shall be provided in addition to those required elsewhere in the
Contract Documents.
a.
The first level of training (at least eight (8) hours) shall be for all personnel in
troubleshooting at the board level. Training shall include use of diagnostics and
identification of failure for each type of board. This shall also include training for
maintenance of the System as a whole, repairs and replacement of equipment, use of
test equipment and fault diagnosis and remedy. A brief step-by-step pamphlet
describing such procedures shall be provided to each student.
b.
A second level of training (at least sixteen (16) hours) shall be for engineering
personnel. This training shall enable these participants to subsequently train other
personnel in troubleshooting and maintenance of microprocessor systems. Detailed
manuals shall be provided to each student.
The anticipated number of students in every one of the above courses will not exceed twentyfive.
C.
Port Authority operates with multiple shifts and training shall be provided on multiple shifts.
D.
Instructors shall be totally fluent and give instruction in English. Instructors shall be fluent in
technical terminology and commonly used expressions.
E.
The Contractor shall establish and utilize an objective grading system to report the progress of
instructors and each student during a course. Student evaluations shall be prepared by the
instructor. Grading shall be kept confidential and furnished only to personnel designated by Port
Authority, with each student furnished a copy of their individual test results and/or assessment.
F.
The Contractor shall establish and utilize course and instructor assessment forms. Assessment
forms shall be completed by each student at the completion of each course and shall be
forwarded to Port Authority. Course and instructor assessments shall be kept confidential and
shall be furnished only to personnel designated by Port Authority.
TRAINING GUIDES
A.
B.
Instructor Guides: Instructor Guides shall be provided for each training course. Each
Instructor Guide shall include the following:
1.
Course agenda and objectives;
2.
Resources and facilities required for the course;
3.
Detailed lesson plans;
4.
Outlined presentations and discussion guides;
5.
Pre- and post-training assignments; and
6.
Instructions for using any audio-visual support, mock-ups, spare parts, etc.
Student Workbooks: Student workbooks shall be provided for each student in every course.
The student workbook shall contain all materials necessary to help the student understand and
follow the lessons and shall also serve as an on the job reference. At a minimum, the workbook
shall include:
1.
2.
3.
4.
Lecture outlines;
Lesson summaries;
Paper copies of all electronically presented materials; and
References to formal documentation, including manuals.
181
TRAINING FACILITIES AND EQUIPMENT:
A.
Training shall be held in facilities provided by Port Authority at times to be agreed upon
between Port Authority and the Contractor. The Contractor shall utilize equipment provided as
part of the Agreement for the training. Equipment used in training shall not be returned to
inventory or installed on the wayside or carborne, but shall be provided to Port Authority at the
conclusion of training for Port Authority’s use.
B.
The training shall be delivered in a classroom setting, and when appropriate, in the field or shop
when Products are used.
C.
Port Authority reserves the right to determine the precise time and date of the class and class size
in order to maintain normal Revenue Service.
D.
Port Authority reserves the right to videotape training sessions provided by the Contractor.
E.
The Contractor, at no additional cost to Port Authority, shall prepare and include additional
information into the training program, as determined necessary by Port Authority.
SUBMITTALS
The Contractor shall submit the following for Port Authority review and approval in accordance
with Section 5.18 - Submittals:
1.
2.
3.
4.
5.13
Training Program Plan;
Draft Training Material, Instructor Guides and Student Workbooks;
Final Training Material, Instructor Guides and Student Workbooks; and
A set of training records indicating the courses taken for each individual, whether or not
the course was passed, and any required recertification period. This information shall be
provided to Port Authority prior to the first Vehicle with the ATS being placed into
Revenue Service. Handover of first Vehicle and a full consolidated record shall be
provided upon final completion of the Work.
MANUALS
GENERAL
A.
Contractor shall develop comprehensive manuals addressing all aspects of the System
configuration, operations, maintenance and repair.
B.
The Contractor shall provide manuals, which are comprehensive and cover all Port Authority
specified and Contractor proposed features and functions of the System including hardware,
software, Subsystems, operations, integration, maintenance and repair, troubleshooting,
debugging, programming, other necessary support functions and any other part thereof. These
manuals shall be suitable as instructional manuals for use by Port Authority's personnel and for
Port Authority contracted maintenance services.
C.
Data shall be prepared and written by the Contractor or manufacturer's personnel, who are:
1.
2.
3.
Trained and experienced in the configuration, maintenance and operation of the System
Products, equipment and software;
Skilled as technical writers to the extent required to communicate essential data; and
Skilled as draftsmen competent to prepare required drawings.
MANUAL FORMAT
A.
All manuals supplied as final documentation shall include all changes to the System through the
time of final completion of the Work. Revisions to manuals shall be recorded on a control list,
182
acceptable to Port Authority, at the front of each manual. Requirements for manual updates shall
continue through the Warranty Period for any changes or maintenance.
B.
Digital Format
1.
C.
The Contractor shall furnish two (2) copies of each manual in editable electronic format
of Microsoft Word Format 2010 and Adobe PDF or HTML complete with detailed index
and appropriate document linking.
2.
The Contractor shall furnish two (2) digital copies of all drawings using Microstation in
.dgn format (latest versions).
3.
Photographs and image files shall be supplied in any of the following formats: .bmp, .gif,
.jpg. or .tif.
Hard Copy Format
1.
D.
The Contractor shall supply twenty-five (25) copies of operating and maintenance
manuals for the System, including the Products and Subsystems. Port Authority may
copy all materials for its use in operations and maintenance.
2.
Size shall be 8 1/2 inches by 11 inches, with foldouts as necessary.
3.
Paper shall be twenty (20) pound minimum, white, for typed pages.
4.
Text shall be manufacturer's printed data in a font approved by Port Authority
5.
Text shall be written in English.
6.
Drawings and text shall use American units.
7.
Drawings shall be provided with reinforced punched binder tabs and shall be bound in
with text. Largest drawing size permitted shall be eleven (11) inches by seventeen (17)
inches, folded to the size of the text pages.
8.
Cover shall identify each volume with typed or printed title.
Binders
1.
2.
3.
Binders shall be commercial quality three-ring binders with durable and cleanable plastic
covers.
Maximum ring size shall be one inch.
When multiple binders are used, the content shall be correlated into related, consistent
groupings.
CONTENTS OF MANUALS
A.
The Contractor shall compile Product data and related information appropriate for Port
Authority's maintenance and operation of the Products and the System.
B.
Operating, maintenance and repair data shall be prepared as specified in this Section.
C.
Table of contents shall be arranged in a systematic order for each volume.
1.
D.
The manual shall list:
a.
Manufacturer;
b.
Name of responsible principal; and
c.
Address and telephone number of Supplier.
2.
A list of each Product provided, indexed to the content of the volume, shall be included.
3.
List, with each Product, the name, address, and telephone number of the local source of
supply for parts and replacement.
Product Data
183
1.
2.
E.
Only those sheets which are pertinent to the specific Product shall be included.
Each sheet shall be annotated to:
a.
Clearly identify the specific Product or part;
b.
Clearly identify the data applicable; and
c.
Delete references to inapplicable information.
3.
Drawings shall supplement Product data as necessary to clearly illustrate:
4.
Relations of parts of equipment that comprise the Product; and
5.
Control and flow diagrams.
Written text to supplement Product data for the particular installation shall:
1.
2.
3.
Be organized in a consistent format under separate headings for different procedures.
Provide a logical sequence of instructions for each procedure.
A copy of each warranty issued shall be included with an information sheet explaining:
a.
Proper procedures in the event of failure; and
b.
Instances which might affect the validity of warranties.
MANUAL ORGANIZATION
A.
The Contractor shall organize and index the material in the manuals, treating each item as a
whole and not as a grouping of disassociated parts. Manual sections shall be subdivided to the
extent required by the subject matter, including, but not necessarily limited to the following
topics (as applicable):
1.
2.
Maintenance and Repair Manuals:
a.
Complete table of contents;
b.
General System or Subsystem description and operation;
c.
Block diagrams;
d.
Functional schematics to Product level;
e.
Functional wiring and cabling diagrams to Products level, including all
interconnecting wire lists with source and destination descriptions for each wire;
f.
Preventive and periodic maintenance tasks and procedures including lubrication
and cleaning, recommended frequency, methods, and trade identifications of
recommended materials;
g.
Applicable repair procedures;
h.
Product location and description;
i.
Inspection and maintenance standards including wear limits, settings, and
tolerances;
j.
Installation and removal sequence;
k.
Spare parts lists and special tools;
l.
Procedures to perform bench-level troubleshooting and repair to the LLRU level
m.
Materials and finishes;
n.
Warnings and precautions to be observed during maintenance actions;
o.
Any other information necessary to ensure proper maintenance and repair;
p.
Warranty information; and
q.
Index.
Operation Manuals:
184
a.
b.
c.
d.
e.
f.
B.
C.
Detailed operating instructions;
Test and evaluation procedures;
Safety precautions;
Functional relationship with other equipment or systems;
Operational limits and restrictions;
Illustration depicting control layout and other pertinent features required to
supplement description of operational procedures;
g.
Recommended operating modes; and
h.
Other information necessary for proper and efficient operation.
The detailed contents of sealed assemblies need not be displayed, but their functions must be
explained and the appropriate operational specification characteristics listed with procedures for
test and replacement.
Wiring Diagram Manual and Maintenance and Renewal Catalog: This shall contain the
information needed to sustain optimum operations, as follows:
1.
D.
E.
Include general familiarization material; location, function, and operation of all controls,
gauges, indicators, and switches; emergency procedures; and troubleshooting diagnosis
methods.
2.
Organize the manual logically, with systems and elements considered in descending order
of importance.
3.
The manual and catalog shall provide, in convenient form, all the information needed for
servicing, including lubrication, inspection, running maintenance and adjustment, and
online troubleshooting diagnosis.
Repair and Maintenance sections shall include complete illustrated, exploded views of all
assemblies, and complete, illustrated, exploded views for identifying all System parts.
Materials and Finishes Section shall include manufacturer's data, and Product information:
1.
2.
F.
For reordering specifically manufactured Products.
For care and maintenance including:
a.
Manufacturer's recommendation for cleaning agents; and
b.
Identification of solvents and cleaning agents unsuitable or damaging to
Products.
Parts Section shall enumerate and describe each Product with its related parts, including the
Supplier's part number, the Contractor's number, and space for entry of Port Authority's part
numbers.
1.
2.
Use cutaway and exploded views to permit identification of parts not readily identified by
description.
Parts common to different Products, e.g., bolts and nuts, shall bear the same Contractor's
number and description. Identify the next higher assembly for each Product.
SUBMITTALS
The Contractor shall submit manuals (Carborne and Wayside) for Port Authority review and
approval in accordance with Section 5.18 - Submittals as per the following:
1.
2.
Preliminary Submission;
Proposed manuals and outlines of contents no later than the PDR;
185
3.
4.
5.14
Pre-final Submission at least sixty (60) Calendar Days prior to commissioning of first
LRV; and
Complete manuals in final format at least thirty (30) Calendar Days prior to
commissioning of first LRV;
TOOLS
GENERAL
This Section sets forth the requirements for technical support, diagnostic and test equipment, and
special tools.
SCOPE
A.
The Contractor shall provide two (2) sets of all diagnostic and test equipment for the System.
Diagnostic and test equipment shall include portable workstations and bench test equipment.
B.
The Contractor shall provide two (2) sets of any special tools required to maintain the System.
C.
Training and manuals shall be provided for all special tools, diagnostic and test equipment as per
Section 5.12 -Training Requirements and Section 5.13 - Manuals.
DIAGNOSTIC EQUIPMENT
Requirements for diagnostic equipment are set forth within Section 6.7.6 - Event Logging and
Diagnostics.
BENCH TEST EQUIPMENT
A.
The Contractor shall furnish Bench Test Equipment (BTE) to verify the correct functional
operation of Lowest Line Replaceable Unit (LLRUs). The test equipment shall be capable of
allowing Port Authority personnel to conduct functional testing of the LLRUs. The test
equipment will be used to confirm the status of LLRUs prior to placing them in the spares pool
and to confirm a failure diagnosis prior to sending an LLRU for repair.
B.
BTE shall be provided for the following Subsystems:
1.
C.
Carborne ATS – delivered/installed at South Hills Village Rail Center, 1000 Village
Drive, Pittsburgh, PA 15241.
2.
Wayside ATS – delivered/installed at South Hills Junction, Building #2, 611 West
Warrington Ave, Pittsburgh, PA 15226.
The Contractor may utilize commercially available test equipment acceptable to Port Authority
for LLRU level testing.
D.
Detailed test procedures shall be provided within the relevant operations and maintenance
manuals, which will allow Port Authority personnel to test and diagnose failures of the LLRUs.
The procedures shall have the required detail (e.g. signal levels, waveforms, etc.), with pass/fail
details clearly indicated.
E.
The BTE shall facilitate authority personnel to test the LLRUs so that the suspected
malfunctioning LLRU is detected and identified. In the instance where the LLRU cannot be
uniquely defined, all possible suspected failed Products, both active and passive, shall be
identified within the test procedure.
F.
Removal of conformal coating shall not be required from the LLRU for the detection of a
failure.
G.
The Contractor shall provide all tools (e.g. meters, oscilloscopes, etc.) to implement the BTE.
186
H.
The Contractor shall provide Port Authority personnel with the following in accordance with
Section 5.12 - Training Requirements:
1.
2.
All training required for operational use and maintenance of the BTE;
All training required for performing testing/diagnostics of LLRUs within the ATS
equipment.
SPECIAL TOOLS
The Contractor shall furnish special tools required to maintain the System and each Subsystem.
Special tools are those tools and test equipment required to install, maintain and/or test the
System. Special tools shall become property of Port Authority.
A.
Two sets of the special tools shall be furnished to Port Authority for its maintenance forces and
two sets shall also be supplied for training purposes.
B.
Special tools shall include a means of testing the successful operation of the Transponder
Interrogation Antenna and associated cabling installed on the Vehicles.
SUBMITTALS
The Contractor shall submit the following for Port Authority review and approval in accordance
with Section 5.18 - Submittals:
1.
2.
5.15
Recommended Tools List, including identification of any physical space
limitations/constraints; and
Recommended Test Equipment List.
PARTS AVAILABILITY & SPARES
GENERAL
A.
The portion of the Work set forth in this Section consists of furnishing spare parts, which shall
enable Port Authority to operate, maintain, and update the System and all Subsystems,
equipment, and materials supplied under or for the Contract Documents.
B.
In accordance with the Spare Parts List, the Contractor, at its cost, shall provide a sufficient
quantity of all spare parts necessary for Port Authority to properly operate and maintain the
System for two (2) years after Final Acceptance.
C.
All spare parts shall be identical to the originally installed items, unless otherwise approved by
Port Authority as a suitable substitute, and shall meet all requirements of the Contract
Documents.
D.
Parts availability for ATS equipment shall be for a period of twenty (20) years after Final
Acceptance, subject to the recommendations of the Accepted Hardware Obsolescence Plan (see
Section E.6).
E.
To ensure the continual availability of parts for future equipment maintenance and repair beyond
the twenty (20) year period, the Contractor shall make reasonable arrangements to assure
retention of patterns, molds, special tools and drawings used by it or its Subcontractors, and shall
not dispose of, destroy or modify, or permit the disposal, destruction or modification of such
patterns, molds, special tools and drawings, without giving at least three months prior notice
thereof to Port Authority and providing Port Authority with first right of refusal to purchase the
same.
F.
All items shall be complete, calibrated, and ready for installation except for wire or cable
necessary for connections.
187
G.
In the event that spare parts become unavailable from the original manufacturer, the Contractor
shall either offer Port Authority a ‘last buy option’ per the price set forth in the Spare Parts List
(Section 5.15.2) or identify a compatible replacement part. The replacement part shall represent
the most cost effective approach that retains the overall functionality of the affected item.
Therefore, the replacement solution may not be a form, fit and functional one-to-one
replacement of the originally delivered component.
SPARE PARTS LIST
At FDR, the Contractor shall submit a recommended Spare Parts List with prices, which shall
include tags. The lists shall include quantities necessary for Port Authority to operate and
maintain the System for two (2) years of service after Final Acceptance. The list shall be
categorized by Subsystem assemblies and subassemblies to the LLRU level, and shall include at
least the following information for each item:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
Name and description of part;
Type of assembly;
Drawing reference number;
Sub-assembly or larger assembly in which part is used;
Suggested spare part strategy - replace components or larger assembly;
Recommended quantity to be supplied as part of the Work;
Expected service life of each part;
Calculations in support of the recommended quantity, such as using the Poisson
Distribution method, which shall be based on:
a.
A criticality assessment to determine the immediate and long-term consequences
of Product failure to Port Authority operation, and the implied numerical
confidence required of having a sufficient inventory of that part;
b.
Expected frequency of Product failure, or replacement schedule of consumables;
c.
Availability of spare parts;
d.
Lead time for re-order; and
e.
Specific minimum quantity requirements;
Recommendation for the minimum number of spare parts, at which point Port Authority
should re-order.
Recommended re-order quantity;
Commercial supplier of spare part, including name and address, and appropriate contact
information. Identify if manufacturer, distributor, agent or other;
Contractor’s part number, if applicable;
Supplier’s and/or manufacturer’s part number(s); and
Unit price, price break quantities and prices.
SPARE PARTS PROVISION
A.
During installation, testing and commissioning stages, the Contractor shall maintain an inventory
of spare parts, tools, material, supplies, and equipment that supports testing and commissioning
and allows the Work to continue uninterrupted by shortages of these items.
B.
Prior to Final Acceptance, the Contractor, at its cost, shall provide Port Authority the sufficient
quantity of spare parts necessary for Port Authority to properly operate and maintain the System
for two (2) years after Final Acceptance. Such spare parts shall conform to the spare parts set
forth on the Spare Parts List.
188
SPARE PART PRICING
Port Authority shall have the right to conduct a cost/price analysis on specific spare parts if
pricing appears to be in excess of competitive pricing for similar parts.
SUBMITTALS
The Contractor shall submit the following for Port Authority’s review and approval in
accordance with Section 5.18 - Submittals:
Priced Recommended Spare Parts List.
5.16
WARRANTY REQUIREMENTS
A.
The Contractor shall correct, without delay or charge to Port Authority, any failure or deficiency
in the Work for a period of two (2) years after Final Acceptance. This two (2) year period shall
be known as the “Warranty Period”.
B.
If a Supplier or Subcontractor provides or offers a warranty greater than the basic warranties, the
warranty shall be provided and/or offered to Port Authority. Copies of all documents outlining
any warranties that are greater than the basic warranties are to be supplied to Port Authority
prior to Final Acceptance.
C.
If, during the Warranty Period, Port Authority determines that the Work is defective, not fit for
its intended purpose, or not in accordance with the requirements of the Contract Documents,
Port Authority will inform the Contractor in writing and the Contractor shall promptly repair or
replace such work to the satisfaction of Port Authority and any collateral or additional damage
resulting from the defective work within a time specified by Port Authority, without additional
expense to Port Authority.
D.
In the event of a termination for default, the Warranty Period shall commence on the date the
Work is completed by others and accepted by Port Authority.
E.
In the event of a termination for convenience of Port Authority, the Warranty Period shall
commence on the date of completion of the Work pursuant to the notice of termination.
F.
All repairs or replacements shall be guaranteed and warranted for a period of two years from the
date of the approval by Port Authority of the repairs or replacements.
G.
Should the Contractor fail to proceed within the time specified by Port Authority or in
accordance with the guarantee or warranty, Port Authority may have such work performed by
others and the costs of such work may be deducted from monies due, or to become due, the
Contractor under the Agreement or any other contract with Port Authority. In the event that
final payment under the Agreement has been made, the Contractor shall, within thirty (30) days
of notification from Port Authority, reimburse Port Authority for such costs.
H.
Any additional guarantee or warranty that may be required from the Contractor under the
Contract Documents shall be subject to this Section insofar as it does not conflict with the
provisions of such additional guarantee or warranty.
I.
The rights and remedies of Port Authority under this Section are not intended to be exclusive
and do not preclude the exercise of any other rights or remedies provided by the Contract
Documents or by law with respect to unsatisfactory work performed by the Contractor.
J.
Prior to the Contractor’s submittal of the final pay estimate, the Contractor shall have all
warranties and guarantees assigned to Port Authority including those from Subcontractors and
Suppliers. As deemed necessary by Port Authority, these warranties and guarantees shall be
promptly enforced by this Contractor for Port Authority's benefit.
189
K.
If the maker of any such warranties or guarantees fails to fulfill its obligation thereunder, the
Contractor shall promptly fulfill such obligation of the maker or reimburse Port Authority for
any costs incurred by Port Authority in replacing defective or inferior materials and correcting
defective, unsound or improper work covered by any such warranties or guarantees.
L.
Port Authority shall have the right to perform normal and routine maintenance and periodic
inspections of the Work without voiding any warranty or guaranty provided or required pursuant
to the Contract Documents or otherwise provided by the Contractor, Subcontractor or Supplier.
5.17
A.
PROJECT RECORD DOCUMENTS
The Contractor shall maintain, and update, “Project Record Documents” throughout the course
of the Work. The Contractor shall make timely updates on the appropriate document(s) to show
changes made during the performance of the Work, including:
1.
Any details not shown on the Project Record Documents but incorporated into the Work;
2.
B.
Existing features which differ from the information shown on the Project Record
Documents;
3.
Actual items installed, including manufacturer’s name and type of item installed;
4.
Measured distances to utilities and other underground appurtenances;
5.
Changes in dimensions and details; and
6.
Any other details not shown in the Project Record Documents but necessary to complete
the Work.
Each of the Project Record Documents shall be clearly marked "Project Record Copy", shall be
maintained in good condition, and shall be available at all times for inspection by Port Authority.
C.
The Contractor shall meet with Port Authority periodically, at times as designated by the Port
Authority, for the purpose of verifying the correctness of the record information and the manner
in which it is recorded.
D.
The Contractor’s QA/QC Engineer shall audit Project Record Documents a minimum of twice
per year and submit the audit report to Port Authority.
E.
The Contractor shall not permanently conceal any work until the required information on that
work has been collected by the Contractor for incorporation on the Project Record Documents.
F.
The Project Record Documents shall include one (1) full size set of black line prints of all the
drawings annotated in red ink to show the information and data required above.
G.
Should the Contractor use a Computer Aided Drafting and Design (CADD) system for the
layout and design of the Work, a copy of the final electronic files shall be provided to the Port
Authority. The computer program used by the Contractor shall be compatible with the version
of Microstation as directed by Port Authority, and all work shall be in accordance with
Authority’s “CAD and Drawing Standards Manual.”
H.
The Project Record Documents shall be submitted to Port Authority, in a satisfactory condition,
prior to Final Acceptance. Port Authority will notify the Contractor, in writing, of approval of
the Project Record Documents. If the documents furnished are not in a satisfactory condition, as
determined by Port Authority, the submittal will be rejected and returned to the Contractor for
any required corrective action. The Contractor shall resubmit properly prepared Project Record
Documents at the Contractor’s sole expense.
190
5.18
SUBMITTALS
GENERAL
A.
This Section includes the requirements for submittals and the process for review and
resubmission.
B.
Within thirty (30) Calendar Days from NTP, the Contractor shall provide a “Documentation
Plan” (inclusive of a Documentation Tree) for Port Authority’s review and approval. The
Documentation Plan shall:
1.
C.
D.
Identify all plans, specifications, design documentation and other submittals required by
the Contract Documents, including Appendix A, Preliminary Data Requirements Listing
(PDRL) (and as identified by the Contractor in the refined Submittals Listing based on
the PDRL in Appendix A) that provides a complete documentary record of the System,
consisting of all Products and Subsystems installed to provide the specified functionality
of the System;
2.
Identify a schedule of Design Reviews in accordance with the Milestone Completion
Dates;
3.
Include a Documentation Tree, fully populated, showing the structure, relationships and
hierarchy of all submittals to be produced during the course of the Work; and
4.
Identify the Contractor’s proposed review process for submittals, taking due account of
the safety criticality of the individual submittals.
Within thirty (30) Calendar Days from NTP, the Contractor shall provide a “Submittals Listing”
for Port Authority’s review and approval, detailing all of the submittals required in the Contract
Documents and any other submittals the Contractor deems necessary to fully define and/or
properly complete the requirements of the Work. The list shall include scheduled submission
dates, including each date of staged submission for any submittal requiring multiple issues,
consistent with the Schedule. Appendix A - Preliminary Data Requirement List (PDRL) has
been provided for the Contractor’s convenience and shall be used as a starting point for the
Contractor’s Submittals Listing. The Contractor shall maintain the Submittals Listing such that
all revisions of all documents are preserved on the Submittals Listing. The Contractor’s
Submittal Listing shall be updated to reflect design refinement and the updated version shall be
submitted at the same time as the monthly progress report.
Within thirty (30) Calendar Days from NTP, the Contractor shall provide a “Design
Management Plan” for Port Authority’s review and approval, which shall define the:
1.
E.
Design activities, their inputs and outputs and their relationship to the work breakdown
structure;
2.
Personnel requirements, roles and responsibilities with respect to design activities;
3.
Application of the design process;
4.
Verification process for all design elements, including the Design Reviews;
5.
Design artefacts and their chronology with the design lifecycle; and
6.
Design artefact management process.
Within sixty (60) Calendar Days from NTP, the Contractor shall provide a “Design Process” for
Port Authority’s review and approval, which shall define the:
1.
2.
Production and checking process to be followed for each category of submittal, as
defined in the Documentation Plan, including the checking levels and independence
applied;
Revision control and history, issuing process and subsequent modification;
191
3.
4.
5.
6.
7.
8.
Design process to be applied to design modifications necessitated by installation logs,
wherein the design team retain full control of the modifications to be made to the System;
Design process to be applied to design modifications necessitated by test logs, wherein
the design team retain full control of the modifications to be made to the System;
Process of design coverage at commissionings;
Process for control and issue of the design packages throughout the performance of the
Work;
Process of modification sheet control and issue, including index management and
subsequent incorporation into design packages; and
Design conventions to be applied to all design packages.
SUBMITTAL REQUIREMENTS
A.
Each submittal shall be appropriately stamped, dated and signed to confirm accuracy,
correctness and completeness, including submittals originated by Subcontractors and Suppliers,
prior to submission to Port Authority. Additional signatures shall be appended for the
production and checking teams in accordance with the checking process defined in the Design
Management Plan approved by Port Authority and further allocated to each submittal in the
Documentation Plan.
B.
When and as required by 63 P.S. §§148, et. seq., and 63 P.S. §§34 et. seq., and/or any other
statutes or regulations that may be applicable, submittals shall be issued and/or prepared by a
“Professional Engineer” or an “Architect,” as said terms are defined by the referenced statutes,
who is licensed and registered under the laws of the Commonwealth of Pennsylvania, and shall
be stamped with the engineer’s or architect’s seal.
C.
The Contractor shall co-ordinate each submittal with the Baselined Schedule and the
requirements of the Work.
D.
The Contractor shall provide two (2) hardcopies of submittals, plus one (1) electronic digital
copy in a format acceptable to Port Authority.
E.
All hardcopies shall be in color, when the source electronic file contains color, including
Microsoft track change markups or equivalent.
F.
Document submittals shall be provided to Port Authority using Microsoft Office 2010.
Engineering drawings shall be provided to Port Authority in Microstation. Copies of all
documents in final form shall be provided to Port Authority in Adobe PDF. The electronic copy
of the submittal shall consist of the native file, fully compatible and directly usable with
Microsoft Word, Excel, Access, Project, Visio or Microstation as determined by the nature of
the submittal; and an Adobe PDF copy, all working on a Microsoft windows platform.
G.
Submittals shall be clear, consistent, non-conflicting, unambiguous and to the extent practicable,
standalone. Illegible, incomplete, or damaged submittals will be rejected.
H.
In the event typical drawings are used, the Contractor shall accompany typical drawings with a
key plan defining the specific locations to which the drawing applies.
I.
Hand drawn sketches and duplicate reproductions of drawings shall not be accepted as a
submittal.
J.
All submittals shall be submitted in accordance with the Baselined Schedule, sufficiently in
advance of any scheduled, dependent portion of the Work, such that one full review-updatereview cycle can be completed no later than thirty (30) Calendar Days prior to the
commencement of such dependent work. Where more than one review cycle is required due to
192
rejection of the submittal for any reason whatsoever, the Contractor shall be solely responsible
for maintaining adherence to the Baselined Schedule while complying fully with the requirement
to achieve “Accepted” or “Accepted as Noted” status prior to commencing dependent work.
K.
If the submittal shows a variation from the requirements of the Contract Documents because of
standard shop practice or for other reasons, the Contractor shall describe such variations in its
letter of transmittal. Any such variations shall be subject to the written approval of Port
Authority. In the execution of any approved variation, the Contractor shall not be relieved of the
responsibility for completing the remainder of the Work in accordance with the Contract
Documents.
L.
The Contractor shall include with each submittal a sequentially numbered letter of transmittal
containing all pertinent information required for identifying, checking and tracking of the
submittal.
M.
Port Authority will attempt to respond to the Contractor with written comments within thirty
(30) Calendar Days of receipt of a submittal, except for specific cases where the Contract
Documents specify longer review periods. The Contractor shall resubmit submittals that require
corrections with responses to each of Port Authority’s comments. The same review process will
be repeated for each update to a submittal until Port Authority approves the submittal. All
changes made to resubmitted submittals shall be identified by either sidebars or redlining.
N.
All submittals shall be submitted sufficiently in advance of each Design Review so as to provide
a level workload for Port Authority to review. Where in the sole opinion of Port Authority the
review workload is not leveled or is submitted in batches that make standard review times
untenable, Port Authority shall have the right to extend the initial and subsequent review times
beyond thirty (30) Calendar Days to allow a leveled and consistent workload to be reestablished. In scheduling the delivery of submittals prior to each Design Review, the
Contractor shall take into account that more than one review cycle may be required due to the
submittal review process and resubmittal requirements.
O.
Submittals become and remain the property of Port Authority who may use and duplicate
submittals at Port Authority’s sole discretion.
DOCUMENT SUBMITTALS
A.
Document submittals such as reports, specifications, manuals, plans, policies, procedures, and
Site Specific Work Plans and shall be provided to Port Authority on 8 ½” x 11”, unless
specified otherwise, or when a larger size is necessary, 11” x 17” folded to 8 ½” x 11”, bond
paper in three-hole binders, printed one (1) side only. Include in each, a control page containing
Project name, Agreement name and number, title, original release date and original author,
revision and date, reviser’s name and reasons for revision as well as submittal status. Number
and date each page in the footer, include document title and Agreement name in the header and
revision number in the footer. Use identifier, such as letters or numbers, for paragraphs and
indented items within each section. Include a detailed table of contents that comprises all levels
of section and subsection numbering used within the body of the submittal.
B.
When a document submittal is a revision of an original submittal, i.e. the second edition and
upwards, a second Adobe PDF file shall be included with the electronic digital copy with all
changes from the previous revision shown (“Track Changes”). Drawing submittals shall use
revision clouding when requested by Port Authority.
193
DRAWING SUBMITTALS
A.
Drawing submittals shall comply with Appendix D - Reference 5, Port Authority’s CAD and
Drawing Standards Manual, including format and content of title blocks, index sheets and
attendant revision history.
B.
Drawing submittals (maximum size of sheet, 22 inches by 34 inches) shall have a blank area, 31/2 inches by 3-1/2 inches, located adjacent to the title block in the lower right hand corner. The
title block shall display the following:
C.
1.
Number and title of the drawing;
2.
Date of drawing or revision;
3.
Agreement name and number;
4.
Name of Contractor and Subcontractor or Supplier submitting the drawing;
5.
Clear identification of contents and location of the work; and
6.
Specification title and number.
Drawings intended for use in a single set shall be consistently sized. Where any drawing is
required to be substantially larger than the rest of the set, and such size increase is approved by
Port Authority, a consistent vertical size shall be maintained with the horizontal dimension
folded to the same size as the set.
D.
Drawing submittals shall be printed on one side only.
E.
In the event typical drawings are used, accompany typical drawings with a key plan defining the
specific locations to which the drawing applies.
F.
The Contractor shall mark each copy of manufacturer's standard or schematic drawings to
identify applicable products, models, options, and other data. The Contractor shall modify
manufacturer's standard diagrams, schedules, performance charts, illustrations, calculations, and
other descriptive data to delete information, which is not applicable to the Agreement and shall
indicate dimensions, clearances, performance characteristics, capacities, and any other diagrams,
as applicable. The Contractor shall modify erection, application, and placing instructions to
delete information that is not applicable to the Agreement.
1.Elementary Diagram Standards:
a.
The elementary (schematics) diagrams shall show all circuits and the device
elements of equipment with associated apparatus, or any clearly defined
functional portion thereof, on a single sheet or on consecutive sheets of the
diagram series. In particular, a specific associated power and control diagrams.
When power and control circuits are shown on the same sheet, the power lines
shall be discernible darker or heavier. Systems with similar circuit shall have
individual schematics for each circuit, not typical drawings. Such a diagram
shall emphasize the devices or device elements of a circuit system. The
elementary diagrams shall be the key drawing to the entire system, shall show
how the system works, and shall be the basis of all other diagrams.
b.
Device lists, device ratings, and panel locations shall be included on their
associated sheets of the schematics. Operating notes shall be in proximity to the
associated circuits or consolidated in final sheets of the elementary diagram. For
complex, complete-progress control, general notes and tune-up information shall
be the final sheets of the diagram. In addition, an explanation of the crossreference and wire numbering system and an alphabetical device and/or logic
symbol and application list shall be included on the final sheets. An index sheet
shall be provided and shall constitute the first sheet of the schematics.
194
c.
d.
e.
Each sheet of the elementary diagrams shall be provided with equally spaced line
identities for the entire sheet length even though the sheet is not initially fully
utilized for diagramming.
Input and output wires entering or leaving elementary sheets shall be crossreferenced by a bracketed number showing the remote sheet and line location of
the signal.
Individual device ratings and setting shall be included on the elementary
diagrams for all types of Products where such information shall be adjacent to the
symbol, listed in a separate tabulation on the same sheet.
PRODUCT DATA AND SAMPLES
A.
The Contractor shall submit manufacturer's product data for Products, Subsystems, materials,
and methods of installation proposed for use as required by the Contract Documents.
Manufacturer's product data shall include literature to identify Products and Subsystems, and
certify compliance of each component with applicable standards. The Contractor shall provide
manufacturer’s data showing specific compliance where requirements for reliability, availability,
maintainability, durability or environmental requirements for the Product, Subsystem and
System are specified in the Contract Documents. Identify product data sheets clearly and
completely with Agreement number, date, Contractor’s name, sheet number and description of
the Product. List information that confirms the Product complies with specified values and
parameters.
B.
The Contractor shall submit samples as required by the Contract Documents. Samples must
represent physical examples to illustrate materials, products or work quality and to establish
standards by which the completed work shall be judged. The Contractor shall identify samples
clearly and completely with Agreement number, date, Contractor’s name, sample number,
description of sample and applicable paragraph of the Agreement. The Contractor shall label
samples as to origin and intended use in the Work and in accordance with the requirements of
the Contract Documents. The Contractor shall provide two (2) identical samples as the standard
requirement, unless specified otherwise, but ensure samples are of sufficient size and quantity to
illustrate quality and functional characteristics with integrally related parts and attachment
devices as well as the full range of colors available. After Port Authority’s review, samples will
be retained by Port Authority as the benchmark for approval of same when the item is
incorporated into the Work.
C.
The Contractor shall submit manufacturer’s recommendations and instructions where the
Agreement requires installation in accordance with manufacturer’s recommendations or
instructions, prior to commencement of the applicable portion of the Work.
SUBMITTAL REVIEW PROCESS
A.
Port Authority will complete a comment review sheet for each submittal where comments shall
be sequentially numbered for each Port Authority reviewer.
B.
If a submittal is returned “Revise and Re-submit”, a full re-submission is required for further
review prior to commencement of the dependent work.
C.
If a submittal is returned “Approved as Noted”, dependent work can commence, but a full resubmission is required.
D.
If a submittal is returned “Approved”, no further submission is required and dependent work can
commence.
E.
Port Authority’s approval of a submittal shall not relieve the Contractor of the Contractor’s
responsibility for errors and omissions in submittals or the proper performance of the Work.
195
F.
The Contractor shall be solely responsible for and bear all cost or damages that may result from
ordering any material or proceeding with any portion of the Work related to a submittal prior to
approval of the submittal.
G.
Resubmittal of a submittal.
1.
2.
3.
4.
5.
5.19
A.
The Contractor shall include new revision number and date on the cover page and submit
under a new transmittal.
The Contractor shall provide an electronic version with track changes showing, in
addition to the electronic copy with track changes accepted and the two (2) hard copies
with track changes accepted, as defined herein.
The Contractor shall address Port Authority’s comments in the “Response to Comments”
column of Port Authority’s comment review sheets and attach the sheet to the back of the
submittal upon re-submission.
The Contractor shall provide each re-submittal within twenty-one (21) Calendar Days
from the date of Port Authority’s comments. Earlier re-submission may be required to
maintain the Schedule.
The Contractor shall provide complete packages, the same as furnished with the first
submittal, unless agreed otherwise in writing.
PERSONNEL REQUIREMENTS
Key Personnel shall include, but not be limited to the following:
1.
2.
3.
Contractor’s Project Manager (PM):
a.
The PM shall be dedicated to the Project full time and should have a minimum of
ten (10) years’ experience in the role of project manager for similar projects. The
PM shall be responsible for the management and administration of the Work,
communication, including correspondence, submittals and other exchanges
affecting cost, the Schedule, technical, and other associated matters.
b.
The PM shall have the authority to make commitments and decisions binding
on the Contractor.
c.
Port Authority will appoint a project manager to coordinate all Port Authority
activities.
d.
All communications between Port Authority and the Contractor shall be
coordinated through the respective Project Managers.
Lead Systems Engineer:
Lead Systems Engineer shall be the engineer responsible for the Systems
engineering and design team applying the principles and practices of Systems
engineering and integration processes for the Work. The Lead Systems Engineer
should have a minimum of ten (10) years' experience with at least five (5) as the
lead systems engineer for similar transit projects.
Lead Scheduler:
The Lead Scheduler shall be responsible for the preparation and update of all
schedules required by the Contract Documents. The Lead Scheduler shall also
attend the monthly progress meeting to present the Schedule. The Lead Scheduler
should have a minimum of ten (10) years' experience performing project
scheduling and CPM analysis, using Primavera scheduling software. The PM
may serve as the Lead Scheduler provided that he/she has the appropriate
experience, based upon review and approval by Port Authority.
196
4.
5.
6.
7.
Lead System Verification and Validation Engineer:
The Lead System Verification and Validation Engineer shall lead and direct a
dedicated team of engineers responsible for the verification and validation of
software, hardware and Subsystems required to implement the Work. The Lead
System Verification and Validation Engineer should have a minimum of ten (10)
years' experience the last five (5) as the verification and validation manager for
rail projects similar to the Work.
Lead QA/QC Engineer:
The Lead QA/QC Engineer shall lead a team of engineers responsible for the
implementation and enforcement of the Quality Assurance and Control System
for the Work. The Lead QA/QC Engineer should have a minimum of ten (10)
years' experience in quality assurance and quality control management of transit
projects of a similar complexity to the Work.
Installation Manager:
The Installation Manager shall lead and direct the installation team responsible
for the installation portion of the Work. The Installation Manager should have a
minimum of ten (10) years’ experience the last five (5) as an installation manager
for similar transit projects to the Work. The Installation Manager may serve as
the Safety Supervisor, provided that he/she has the proper experience, based
upon review and approval by Port Authority.
Safety Supervisor:
The Safety Supervisor shall be responsible for job safety of the Work, and whose
duties shall be assisting in the supervision for the safety of persons on or about
the Site and affected property. Should the Contractor implement shift or off hour
work, the Safety Supervisor shall be present at the Site, at a minimum, at times
during the performance of dangerous or hazardous work. The Installation
Manager may serve as the Safety Supervisor, provided that he/she has the proper
experience, based upon review and approval by Port Authority.
197
6
TECHNICAL REQUIREMENTS
6.1
BRIEF DESCRIPTION OF THE WORK
A.
The Contractor shall design, provide resources, install, test and commission a complete new
replacement state-of-the-art, fault tolerant, microprocessor based radio frequency identification
(RFID) tag based Automatic Train Stop (ATS) system, i.e., the System, to replace the existing
inductive loop ATS system on Port Authority’s Vehicles and LRT System. The purpose of the
System is to provide restrictive signal supervision and enforcement via an on-board full service
brake application to stop a Vehicle when the Vehicle passes a red signal, passes the lunar white
signal on the Allentown Flyover or passes blind grade timing trip stops on the Allegheny tail
track at a speed above five (5) mph.
B.
The scope for the Work encompasses the Red Line from Allegheny to South Hills Village. The
Work entails replacement of the ATS only at signal locations that are currently equipped with a
signal beacon from the existing ATS. No additional signal locations will be enforced by the
System.
C.
The proposed architecture shall constitute the entire System and shall include all carborne and
wayside Subsystems, vital and non-vital, Products and system interfaces comprising a fully
integrated and operational ATS meeting or exceeding the requirements of the Contract
Documents.
6.2
CONDITIONS AFFECTING THE WORK
A.
The Contractor shall implement the System while the existing ATS continues to operate during
revenue service.
B.
The System shall initially overlay and ultimately replace the existing ATS. The Contractor shall
ensure the integration of the System with the existing ATS such that the wayside portions of the
two ATSs can operate in parallel until all Vehicles are equipped and commissioned with the new
ATS, and the existing wayside ATS equipment is removed. Cutover and commissioning of the
System on the Vehicles shall not commence until installation of wayside equipment is complete.
C.
The System shall operate independently of, and not interfere with, the existing Audio Frequency
(AF) cab signaling system. The ATS and existing AF cab signaling system shall be mutually
exclusive.
D.
The Work will require the installation of replacement Subsystems and modification to eightythree (83) Vehicles and two hundred and thirty eight (238) wayside signal locations equipped
with ATS beacons.
E.
The Vehicles currently consists of twenty-eight (28) LRVs built by CAF between 2001 and
2005; and 55 SD-400 LRVs built by Siemens and rebuilt by CAF with delivery in 2005 through
2008.
F.
The maintenance of Port Authority’s Revenue Service during the Work shall be given the
highest priority. Any proposal to disrupt, in any way, Revenue Service to install the System
and/or to perform in-service testing of interim or final System modifications must be approved,
in writing, by Port Authority. The Contractor shall be responsible for the planning, design,
installation, staging and testing of the Work in a manner to avoid disruption, in any way, of
Revenue Service.
198
6.3
WORK TO BE PERFORMED BY CONTRACTOR
A.
The Contractor shall provide all design, development, materials, tools, Products, equipment,
software, manufacturing, installation, testing and commissioning activities and all other
necessary resources required to properly complete the Work.
B.
The Contractor shall design, provide and install all Products for the carborne Subsystem,
including but not limited to:
1.
2.
3.
4.
5.
C.
On-board microprocessor based system;
RFID tag antenna(s) and associated cabling/wiring;
RFID tag interrogator(s) and associated cabling/wiring;
ATS-carborne interface relays and associated cabling/wiring;
Driver’s Panels for Cab A and Cab B which replace the existing driver’s panels and
interface with the existing wiring;
6.
Equipment to interface with existing input from cab signaling equipment;
7.
Hardware and connections to interface with existing axle mounted speed sensors for
distance measurement;
8.
All inter-equipment wiring not provided on the Vehicles;
9.
All connectors and mounting hardware; and
10.
Any additional on-board equipment required to meet the operational and integrity
requirements of the System.
The Contractor shall provide all ATS Products for the wayside Subsystem, including but not
limited to:
1.
D.
RFID tags located between the running rails to communicate ‘distance to go’ and signal
aspect to the carborne ATS Subsystems; and
2.
All conduit, connectors, junction boxes, mounting hardware, interconnecting wires and
cabling for installing and interconnecting the RFID tags with the existing ATS control
circuits and control circuitry.
The Contractor shall provide all mounting hardware, interconnecting wires and cabling for
installing and interconnecting the ATS equipment.
E.
Prior to the Final Design Review (FDR), the Contractor shall perform a demonstration of the
System in accordance with Section 6.14 - System Demonstration.
F.
The Contractor shall provide all equipment and procedures which will allow Port Authority to
facilitate maintenance to the LLRU level, including but not limited to, Portable Test Equipment
(PTE) and Bench Test Equipment (BTE).
G.
The Contractor shall provide Port Authority with all test equipment and procedures, which shall
allow Port Authority to test the LLRUs and determine if the equipment is suitable for use. The
Contractor shall supply any software required for the transfer, decoding or analysis of test data.
H.
The Contractor shall provide all wayside RFID tag programming devices.
I.
The Contractor shall provide all software for the following equipment, designed, built, tested,
verified and validated to meet the requirements of the Contract Documents; and in accordance
with all applicable standards and codes, as applied to the provision of safety critical railway
signaling systems:
1.
2.
ATS Equipment;
Training Equipment;
199
J.
3.
Operating and Maintenance Equipment; and
4.
Test Equipment.
The Contractor shall decommission and remove from each Vehicle, the existing ATS on-board
equipment (on-board logic unit, antenna, and driver’s panel) upon successful commissioning of
the System. The Contractor shall return all decommissioned carborne equipment to Port
Authority at South Hills Village Rail Center, 1000 Village Drive, Pittsburgh, PA 15241 unless
otherwise specified.
K.
The Contractor shall decommission and remove the existing wayside ATS equipment including
beacons and wiring upon successful commissioning of new ATS carborne equipment on all
Vehicles. The Contractor shall return all decommissioned wayside equipment to Port Authority
at South Hills Junction, Building 4, 611 West Warrington Avenue, Pittsburgh, PA 15226 unless
otherwise specified.
L.
The Contractor shall be responsible for determining, by field inspection and analysis of Port
Authority supplied drawings, the exact location and conditions of existing equipment and
circuits that must be removed and replaced with new equipment, and equipment and circuits to
which changes are to be made.
M.
The Contractor shall provide double line drawings of the entire System that clearly identify all
tag locations and their associated signals. These drawings shall also include a listing of all tags
with their required programming information. See Section 6.8.2 Work Scope.
N.
The Contractor shall provide updated drawings for the carborne equipment to reflect all
modifications made to the existing equipment and circuits. See Section 6.9- Carborne
equipment/ Subsystem Requirements.
O.
The Contractor shall develop a maintenance plan and maintenance manuals for the System and
design and furnish special test equipment and special tools as set forth in the Contract
Documents.
P.
The Contractor shall develop a Training Program Plan, provide training materials and provide
training for the System, Subsystems and Products as set forth in the Contract Documents.
Q.
The Contractor shall develop and perform a comprehensive test and acceptance plan, and
develop and submit test procedures and test reports for the System and all Subsystems, Products
and equipment, including static, dynamic and system tests on all Vehicles as set forth in the
Contract Documents.
R.
In the performance of the Work, the Contractor shall provide and execute:
1.
2.
A robust Systems Engineering program encompassing the entire System’s lifecycle from
a comprehensive requirements management process through detailed design to a
thorough and complete verification and validation process, including ATS equipment
qualification/type testing, Factory Acceptance Testing (FAT), System Testing and
commissioning. The Systems Engineering program shall be coordinated by the
Contractor’s Lead Systems Engineer responsible for the total systems engineering and
systems integration effort. This individual shall lead the Contractor’s Conceptual,
Preliminary and Final Design Reviews with Port Authority.
A comprehensive System demonstration/prototyping and implementation program,
consistent with the Milestone Completion Dates identified in the Contract Documents or
the betterment thereof. The Contractor shall:
a.
Ensure no disruption to traffic or passengers throughout the Work except where
specifically authorized by Port Authority;
200
S.
b.
Facilitate efficient, but safe execution of the Work; and
c.
Encompass all design, installation, testing and commissioning requirements.
3.
A comprehensive Systems Assurance Plan encompassing the full RAMS spectrum for the
ATS’s lifecycle, in accordance with all applicable codes and standards. The program
shall ensure compliance with the specified RAMS targets for the total System and that the
reliability and availability compliance is demonstrated through the specified reliability
demonstration test. The program shall manage the software and hardware development
processes in accordance with the safety designation of each Product, Subsystem and the
System.
4.
All required submittals, with sequenced submission, for the entire ATS from Notice to
Proceed (NTP) including design, detailed requirements, planning and execution
documents, operating and maintenance manuals, updated location Book of Plans (BOPs)
reflecting the modifications to the wayside equipment, fully detailed as-built drawings to
reflect modifications to the Vehicles, and Project Record Documents.
5.
The decommissioning, recovery and safe disposal of all equipment made redundant by
the Work, as identified herein, excepting those instances of specific exclusion from the
Work.
The Work includes, and the Contractor shall provide, all spare parts, special tools (including
computers and software) and test products necessary to fully and properly operate and maintain
the System and the Work in accordance with the design and the Contractor’s recommended
Spares Parts List, subject to Port Authority’s acceptance. Computers used for access of any sort,
for the purposes of maintenance, configuration, or testing, are considered special tools.
T.
The Contractor shall be solely responsible for the configuration of equipment, parts,
interconnecting wiring, software, and other materials and services comprising the System.
Products and Subsystems provided by the Contractor that do not meet the requirements of the
Contract Documents shall be modified at the Contractor’s expense. Any modifications to the
accepted System design shall be subject to prior written approval by Port Authority.
U.
The Contractor shall bear total responsibility for all the Work and for specified additions and
changes to Port Authority’s systems. The Contractor shall be responsible to properly integrate
all elements of the Work to meet the requirements of the Contract Documents.
V.
The Contractor shall assume total responsibility for the correction of any damage or degradation
in the performance of any existing Port Authority systems or equipment, which results from any
equipment interface installed by the Contractor. The Contractor shall be responsible for all costs
associated with all damage and degradation. The Contractor shall repair or restore any damage to
such systems or equipment resulting from failure to comply with the requirements of the
Contract Documents or the failure to exercise reasonable care in the performance of the Work. If
the Contractor fails or refuses to repair any such damage promptly, Port Authority may have the
necessary work performed and charge the cost thereof to the Contractor. In the event that the
damage or degradation results in a disruption to Port Authority’s operations, then the Contractor
shall pay damages as per the Agreement.
W.
Although Port Authority will review the Contractor’s design and configuration and Products
selected, the Contractor shall retain sole responsibility to comply with all requirements of the
Contract Documents, good industry practice and applicable law.
201
6.4
WORK TO BE PERFORMED BY PORT AUTHORITY
Port Authority will provide the following:
A.
Reasonable right-of-way access to Port Authority’s property in order to permit the Contractor to
verify field measurements and install the System;
B.
Reviews, comment and rejection or approval of the installation plans, procedures, schedules,
drawings, modifications and other documentation and submittals submitted by the Contractor;
C.
Vehicles to the Contractor for verifying the location of wayside equipment and for System
demonstration/prototype testing of carborne equipment;
D.
A segment of track, in a location determined solely by Port Authority, to equip with RFID tags
for System demonstration/prototype testing;
E.
Vehicles for installation of the System on a prearranged schedule based upon Port Authority’s
Revenue Service needs and the Schedule; and
F.
Port Authority personnel at the South Hills Village Maintenance Shop to deliver Vehicles to the
installation location and to move Vehicles into and out of the location where the System
installation will take place. These personnel have other duties and will not be available for the
Contractor’s exclusive use.
6.5
EXISTING SYSTEM
GENERAL
A.
The information presented in this Section shall be used by the Contractor to familiarize itself
with the relevant features of Port Authority’s LRT network, also known as the “T”, and the
network’s current operations. The Contractor shall verify this information as needed to properly
complete the Work.
B.
The light rail portion of Port Authority’s transit system is a 26.2 mile system operating in and
around Pittsburgh, Pennsylvania. It operates through tunnels and at-grade and operates within
dedicated right of ways with a dedicated signal system. It also operates on the street with
automobile traffic with traffic signals directing movement.
C.
The Vehicles are propelled by electric traction motors. Electric traction power is supplied to the
Vehicles through the overhead contact system (OCS) at a nominal 650 V DC. A contact wire is
installed over each running track, under which a pantograph collector on each Vehicle maintains
contact. Both running rails of the track are used as negative return conductors, except at
crossovers or other locations as noted within this Section.
EXISTING ATS DESCRIPTION
A.
The existing ATS was developed in the 1970s by Ansaldo. The basic system consists of wayside
beacons located and controlled by logic at each wayside signal, and carborne detection
equipment aboard each Vehicle which interacts with each wayside beacon.
B.
Train/wayside information is transferred from the wayside to the Vehicle over an induction
coupling between the wayside beacon and the on-board detection equipment. The beacon is
connected to the wayside signal logic such that when the signal is displaying a permissive
aspect, the wayside beacon is inactive and the on-board system receives no information. When
the signal is displaying a red aspect, the beacon is tuned to an eighty-eight (88) kHz frequency
and the information is transferred on-board when the on-board detector is coupled to the wayside
beacon.
202
C.
When the carborne equipment detects an eighty-eight (88) kHz beacon, irrevocable braking is
directed by the on-board logic unit via brake relay contacts interfacing with the Vehicle full
service brake loop.
D.
The carborne equipment internally generates a frequency of one hundred eleven (111) kHz that
is continuously generated which holds off the brakes when a beacon is not detected. If the one
hundred eleven (111) kHz signal is lost, a brake application results.
E.
The existing ATS does not measure speed or calculate distance traveled.
MODES OF OPERATION FOR EXISTING LRT SYSTEM
A.
The existing ATS is always operational, but with two operating modes – ‘cut-in’ where it is
capable of supervising signal aspects and ‘cut-out’, where the ATS does not supervise signal
aspects.
B.
The system operates in cut-in mode in all areas of the network not equipped with the cab
signaling system. Areas of the network not equipped with cab signaling consist of dedicated line
and street running areas on the Red Line and the Library Extension on the Blue Line. During
normal operating conditions in cut-in mode, there are operations in two areas:
1.
C.
Dedicated right of-way with wayside signals and ATS – wayside beacons controlled by
the wayside signal aspects are installed at signal locations and are enforced by the
carborne ATS. In this area, the operator drives the Vehicle according to operating
procedures with no on-board speed supervision; and
2.
Street running in mixed automotive traffic with no wayside signals or ATS enforcement
where Vehicles follow highway/road traffic signals. ATS is cut-in and operational but
does not enforce wayside signals in these areas since there are no beacons and the
operator drives the Vehicle according to operating procedures.
If the operator passes a red signal without perform a Key-By procedure, the carborne ATS
Subsystem will apply the brakes and stop the Vehicle. The operator must then reset the ATS
unit to proceed.
D.
While in cut-in mode, the operator may perform a Key-By procedure for passing a red signal
aspect. The operator may also reset the ATS unit subsequent to it tripping.
E.
Cut-out mode of operations is utilized for approximately twenty-five percent (25%) of Port
Authority’s territory. In this area audio frequency (AF) track circuits are used for train detection
and AF cab signaling speed enforcement safely controls the speed of the train and prevents rearend and front-end collisions. No wayside beacons are employed throughout this portion of the
network. The cut-out of the ATS is implemented via the AF cab signaling ATP unit, which
generates a vital DC output voltage that is fed to the existing ATS carborne unit.
F.
The operator is capable of bypassing the ATS in the event of a complete ATS failure via an
external bypass switch on the Vehicle.
EXISTING TRAIN CONTROL AND SIGNAL SYSTEM
A.
The existing Port Authority LRT system shown on Figure 1 and Figure 2 identifies the ATS and
non-ATS segments.
B.
The existing train control system includes twenty-one (21) signal control relay rooms or houses,
each with a corresponding local control panel in Port Authority’s right-or-way. Panels are
located at: Penn Park, Gateway, Wood Street, Steel Plaza (Midtown), Fourth Avenue, Panhandle
Bridge, Station Square (Carson Street), South Hills Junction, Dawn, Dormont Junction
(McFarland), Mt. Lebanon, Castle Shannon, Overbrook Junction, Washington Junction, Bethel
Village, Dorchester, South Hill Village, Boggs, Denise, Glenbury, Pine and Allegheny.
203
C.
Reference drawings are provided as part of the Appendix to the Contract Documents. These
drawings consist of double line track plans for the areas with ATS and drawings that show the
existing ATS circuits. The ATS enforces wayside signals displaying a red aspect.
D.
The Red Line contains sections equipped with ATS. The Red Line has the following sections:
1.
2.
3.
4.
5.
The downtown section is from Allegheny Station to Station Square (Carson Street Station
on older drawings). A short spur to Penn Park interlocking connects at Steel Plaza. The
downtown section is used by both Red and Blue Line LRVs. It contains:
a.
Interlocking and Automatic Block Signals (ABS) with ATS for the normal direction;
b.
Interlocking signal without ATS for the reverse direction;
c.
Some of the signals with ATS are time delayed to enforce speed limits (Grade time or
GT signals);
d.
Power frequency (PF) track circuits. Single rail within interlockings and double rail
in the ABS areas;
e.
Allegheny Station contains some reverse direction signals with ATS;
f.
Allegheny Station also contains timing sections using ATS without signals to enforce
speed. These timing sections use Audio Frequency (AF) track circuits;
g.
The Arlington Line connects to this section at Panhandle Bridge Interlocking (North
of Station Square); and
h.
Vehicles can be stored at Allegheny Station, Fourth Ave Interlocking, and Penn Park.
The South Busway / Mt Washington Tunnel section is from Station Square Station to the
Dawn Stop. Vehicles share most of this section with bus traffic with movements
governed by traffic signals. No ATS is used in this Section. It is used by both Red and
Blue line Vehicles. It contains:
a.
Interlocking signals without ATS at South Hills Junction interlocking;
b.
Single rail PF track circuits at South Hills Junction Interlocking;
c.
The Arlington Line connects to this section at South Hills Junction interlocking.
It is street running with the Vehicles sharing the section with other road vehicles.
This line is not normally used for Revenue Service. It is only used in
emergencies and for maintenance of the Mt Washington tunnel;
d.
The Overbrook section of the Blue Line connects to this section at South Hills
Junction interlocking; and
e.
LRVs can be stored at South Hills Junction.
The section between the Dawn Stop and Fallowfield station contains the following:
a.
ABS with ATS for the normal direction;
b.
Double rail PF track circuits;
c.
Emergency crossovers with electric locks; and
d.
Highway crossing warning equipment.
The Broadway Ave section between Fallowfield Station and Neeld Ave (south of the
Shiras Stop) is street running with the Vehicles sharing the section with other road
vehicles. No ATS is used in this section.
The Neeld Ave to Overbrook Junction section contains the following:
a.
Interlocking and ABS with ATS for the normal direction;
b.
Interlocking signal without ATS for the reverse direction;
c.
GT signals at Castle Shannon interlocking;
204
d.
E.
PF track circuits. Single rail circuits within interlockings and double rail circuits
in the ABS areas;
e.
Some of the signals with ATS are time delayed to enforce speed limits (Grade
time or GT signals);
f.
Emergency crossovers with electric locks;
g.
Highway crossing warning equipment; and
h.
LRVs can be stored at Mt Lebanon interlocking and Castle Shannon.
6.
The section from Overbrook Junction to South Hills Village is used by both the Red and
Blue Lines. It contains:
a.
Interlocking and ABS with ATS for the normal direction;
b.
Interlocking signal without ATS for the reverse direction;
c.
PF track circuits. Single rail circuits within interlockings and double rail circuits
in the ABS areas;
d.
Some of the signals with ATS are time delayed to enforce speed limits (Grade
time or GT signals);
e.
Emergency crossovers with electric locks;
f.
Highway crossing warning equipment;
g.
The Overbrook section of the Blue Line connects to this section at Overbrook
Junction (Willow on the Blue line);
h.
The Library extension of the Blue Line connects to Washington Junction;
i.
The Drake Line connects at Dorchester Interlocking. It is not normally used
during Revenue Service. It has been used as a test track in the past. No ATS is
used on this line except as shown at Dorchester Interlocking;
j.
The connection to the South Hills Village Rail Center Yard is at the South Hills
Village Station; and
k.
Vehicles can be stored at Washington Junction Interlocking and Dorchester.
Blue Line sections not shared with the Red Line do not contain ATS. These sections are:
1.
F.
The Overbrook segment (Boggs to Willow) which is divided into blocks using audio
frequency track circuits with audio frequency cab signaling. Instead of wayside signals,
an electrical signal circulating through the rails and received by antennas on the Vehicle
provide allowable speed indications in the cab. If an operator exceeds the allowable
speed, a penalty stop is enforced. When a Vehicle is operating on the audio frequency
cab signaling portion of the network, the on-board portion of the existing ATS is ‘cutout’ as it is subject to interference from the audio frequency track circuits.
2.
The Library Extension on the Blue Line from Washington Junction to Library is
equipped with ABS without ATS. This system uses PF track circuits. However, no stop
(red) aspect enforcement is provided by the signal system. It contains:
a.
ABS for the normal direction with no ATS;
b.
Emergency crossovers;
c.
Highway crossing warning equipment; and
d.
Trains can be stored at Library.
Lines and track areas not shown on are:
1.
2.
Arlington Line (described above);
Drake Line (described above); and
205
3.
South Hills Village Rail Center Yard which is the main Vehicle storage and maintenance
facility on the system. It contains:
a.
Interlocking signals without ATS;
b.
Single rail PF track circuits;
c.
Storage tracks; and Shop tracks.
206
Figure 1 - Existing Authority LRT Network
207
Figure 2 - Line Drawing of ATS/Non-ATS Territory
208
6.6
CONCEPTUAL DESCRIPTION OF RFID-BASED ATS
A.
The Contractor shall develop an RFID ATS replacement system based on the concepts presented
in the Contract Documents.
B.
The System shall be comprised of a Wayside Subsystem and a Carborne Subsystem.
C.
The Wayside Subsystem shall be composed of RFID tags installed along the LRT network. Each
RFID tag shall be programmable, and shall be assigned a unique identification number contained
in an “ID” field. Tags shall be classified as “dynamic” or “static”.
D.
Dynamic tags shall interface vitally to the wayside logic or signal and are energized when the
signal displays a permissive aspect.
E.
Static tags shall be read by the Vehicle and provide a ‘distance-to-go’ and information on the
next expected tag for a Vehicle running in normal or reverse direction.
F.
If the next tag is an un-energized dynamic tag (at a red signal), when the Vehicle passes it, the
‘distance to go’ provided by the static tag would be exceeded. The carborne subsystem would
then apply the brakes and stop the Vehicle, enforcing the stop signal.
G.
Static tags may also perform other functions such as:
1.
H.
Work Zone/Slow Order Speed Supervision - tells the Vehicle to enforce the Work
Zone/Slow Order speed limit; and
2.
Wheel calibration.
The Carborne Subsystem is based on the following operational sequence:
1.
2.
3.
4.
5.
6.
7.
6.7
The antenna receives a RF signal from the tag as it passes over the tag. The signal is
passed to the tag reader where is it decoded. The decoded tag information is then sent to
the on-board logic unit.
The on-board logic unit updates its stored information, resetting the ‘distance to go’, the
ID of the next tag, and speed limit information if present.
The on-board logic unit continuously calculates the distance traveled from the last tag
and the present speed using the inputs from the speed sensors. The on-board logic unit
compares these values to the stored data to determine if a brake application is required
when the “distance to go” has been exceeded; and
If a brake application is required, the on-board logic unit drops the brake relay, opening
the full service brake train line.
After the Vehicle has stopped, the brake application can be reset using an input from the
Driver’s Panel. The speed is restricted until another tag is read.
When a Key-By request is input from the Driver’s Panel and the Vehicle has been
stopped (zero speed) for 5 seconds, the on-board logic unit will allow the Vehicle to
move at a restricted speed until a tag is read.
The Carborne Subsystem also supervises speed during start-up (until the Vehicle has
established position), after a trip reset and during Key-By operations. The on-board logic
unit drops the brake relay if the defined speed limit is exceeded.
SYSTEM REQUIREMENTS
SYSTEM REQUIREMENTS
A.
The baselined parts and system from which the System shall be developed shall have been in
continuous revenue operation on a railway or rail transit system similar in infrastructure
209
complexity, operational volumes, rolling stock and signaling technology under operating
conditions comparable to those of Port Authority for at least two (2) years.
B.
The following is a list of the primary functions of the System:
1.
C.
Request a brake application on the Vehicle if:
a.
The signal aspect is not permissive; and
b.
The Vehicle violates the red signal; or the Vehicle violates a signal displaying a
lunar white signal aspect on Port Authority’s Allentown Flyover.
2.
Cut-out the ATS when the Vehicle is in cab signaling territory (Overbrook segment of the
Blue Line);
3.
Allow the operator to Key-By to pass a stop (red) signal at stop;
4.
Allow the operator to reset brakes that have been applied due to passing of a red signal;
and
5.
Provide speed supervision for:
a.
Temporary Work Zones and Slow Order Zones;
b.
After system start-up until a dynamic tag is read;
c.
After a Key-By until the Vehicle regains positioning information and ability to
supervise signals; and
d.
After a trip reset until the Vehicle regains positioning information and ability to
supervise signals.
The System shall stop a Vehicle should it pass over the blind grade timing trip stops on the
Allegheny tail track before the grade time has expired.
D.
The System shall brake the Vehicle before the end of tail track or pocket tracks.
E.
The System shall operate as an overlay on a conventional fixed block track circuit signaling
system.
F.
The System shall utilize RFID tags to interface with existing signals or trip stop circuitry to
communicate the presence of a permissive signal aspect to the System’s carborne equipment.
G.
The System shall utilize RFID tags to indicate the presence of a Work Zone/Slow Order to the
System’s carborne equipment. The System’s carborne equipment shall supervise the speed limit
as indicated by the Work Zone/Slow Order tag and brake the train if an overspeed condition is
present for more than three (3) consecutive seconds.
H.
The System shall utilize standalone RFID tags, to provide positioning information, ‘distance-togo’ to next tag and perform wheel calibration.
I.
The System shall utilize ‘distance-to-go’ information provided by the RFID tags to supervise the
distance to the next RFID tag.
J.
The System shall determine Vehicle speed and ‘distance to go’ in a vital manner.
K.
The System shall have the ability to ensure proper supervision of wayside signal aspects for the
direction in which the Vehicle is travelling for all expected operating situations including, but
not limited to:
1.
2.
3.
4.
Moving over a crossover from reverse traffic to normal traffic;
Moving over a crossover from normal traffic to reverse traffic;
Changing direction on mainline track;
Moving into a siding or pocket track; and
210
L.
5.
Moving into or out of a non-ATS equipped area.
The Driver’s Panel, in each Vehicle cab, shall replace the existing driver’s panel and provide a
means to communicate ATS information to the operator.
M.
The System shall allow Vehicles to pass a red signal aspect without being tripped by means of a
Key-By push-button on the Driver’s Panel.
N.
The System’s carborne equipment shall ensure reliable and safe operation when the Vehicles are
in areas not equipped with signals requiring ATS supervision, such as the Library Line and street
running portions of the Red line.
O.
The System shall interface with two existing speed sensors on the Vehicles to determine distance
travelled and speed.
P.
The System shall enforce a speed limits upon system startup, when performing a Key-By
movement and after an ATS brake application.
Q.
If a speed limit is exceeded, the System shall deliver an audible warning and provide the Vehicle
operator with three (3) seconds to slow to the speed limit after which, if the speed limit is still
exceeded, the ATS shall direct a brake application.
R.
If the System should fail, the existing wayside signaling equipment shall not be affected.
S.
The System shall facilitate diagnostics and event logging via connection of an external
diagnostic terminal.
T.
The System shall allow for customization of trip reset and Key-By timer values and enforced
speed limit values via connection of the diagnostic terminal.
U.
The System shall maintain all appropriate clearance requirements described in Appendix D –
Attachment 7 - Chapter 2, Vehicle Clearances – North Shore Connector Manual of Design
Criteria.
V.
The System shall meet or improve on the system reaction and response times of the present
system.
W.
Achieving the functional requirements of the System shall not necessitate extensive
modifications to existing equipment or systems on Port Authority’s LRT System.
X.
The System shall interface to the Vehicle’s brake system via brake interface relays provided by
the Contractor.
Y.
The System shall not require the use of a tag location database installed on the carborne
microprocessor equipment to fulfill the requirements of the Contract Documents.
Z.
The System shall allow Port Authority to add and modify signal locations via programming of
RFID tags. No on-board software/system updates shall be required to add or modify signal
locations.
PERFORMANCE REQUIREMENTS
A.
The System shall meet the following performance and reaction time requirement: The System
shall have a maximum 0.75 seconds reaction time after passing over the signal tag for the
Vehicle to recognize it has passed a red signal. The timing value begins upon removal of the
permissive command from the wayside signal tag command circuitry to the time it takes for
carborne Subsystem to initiate braking. The value includes any relays on the ATS, but does not
include carborne Subsystem brake relay drop time.
211
B.
The Contractor shall provide a complete System Timing Analysis addressing all ATS delays and
response times for ATS wayside and carborne equipment. The System Timing Analysis shall
include transient and steady state peak operational loading conditions. This Analysis shall be
updated throughout the System design and implementation process. The Analyses shall, as a
minimum, be required for the following:
1.
C.
D.
Time for an outside agent (such as System user) to implement a restrictive condition.
Analyses shall be from the time the outside agent affects a System input or execute
function, until the outside agent receives feedback that the System implemented the
restrictive condition.
2.
Time to restart the carborne equipment. Analyses shall be from the time restart is
initiated until all critical functions affected by the processing unit have been restored to
full functionality.
Safety implications of System "worst case" timing responses shall be considered within the
safety considerations of the System. Also, safety implications of maximum allowable error in
measured distance and speed shall be considered within the safety tolerances of the System.
The existing signal location (spacing) is based on worst-case braking requirements for a Vehicle
passing a "red" signal. Worst-case braking requirements used in the existing ATS system are as
follows:
1.
2.
3.
4.
5.
6.
0.75 seconds reaction time after passing over the train stop for the Vehicle to determine it
has passed a train stop communicating a restrictive signal. During this time, the Vehicle
will be at constant speed.
0.25 seconds estimated to command braking. During this time, the Vehicle will be at
constant speed.
1.5 seconds estimated from command of braking to the Vehicle LRV achieving a
deceleration rate of 2.05 mph/s. The LRV is assumed to be in coast during this time.
A deceleration rate of 2.05 mph/s to zero speed.
Overhang of 39.2 feet from the front of the Vehicle to the ATS antenna and 9.5 feet from
the rear of the Vehicle to the rear axle.
A safety margin of 20% on the sum of the distances traveled as defined above.
OPERATING REQUIREMENTS
6.7.3.1
OPERATIONAL MODES
A.
The System shall have the modes of operation as described below.
B.
The System shall indicate when it is enforcing restrictive speed limits by flashing the blue light
on the Driver’s Panel in the cab. This includes Work Zone/Slow Order speed restriction, Key-By
speed restrictions, trip reset speed restrictions and startup speed restrictions.
C.
Cut-In Mode – The Vehicle operates with System supervision. If the System is operational then
it shall supervise Vehicle position, speed and signal aspects via wayside tags. The operator
drives the Vehicle according to wayside signal aspects. If the Vehicle operator passes a
restrictive signal aspect, the System shall apply the brakes.
1.
2.
While in “Cut-In Mode”, the Vehicle may be operated in areas without ATS equipped
signals or cab-signaling. These areas include the yard and street running areas of both the
Red Line and the Library Line.
While in Cut-In Mode, the operator shall be capable of performing a Key-By or brake
reset procedure, as described below.
212
3.
D.
The “Key-By” function allows the operator to pass a red signal. Authorization from the
OCC to pass a red signal with Key-By is required, unless a signal is equipped with a KeyBy sign, which allows the operator to Key-By a red signal without prior authorization
from the OCC. The Key-By procedure shall be performed as follows:
a.
Vehicle comes to a full stop facing the signal with brake applied. The “Zero
Speed” indication is illuminated on Driver’s Panel.
b.
A 5 second timer within the System must elapse with the Vehicle stopped and the
brake applied. Once the 5 seconds have expired, the “Key-By” indication on the
Driver’s Panel will begin flashing to indicate that the “Key-By” pushbutton can
be pressed.
c.
The operator pushes Key-By button and the yellow “Key-By “indication on
Driver’s Panel lights. While lamp is illuminated, the Vehicle may be moved past
the red signal without being tripped. The lamp will remain illuminated until a
RFID static tag is read giving a distance to go to the next signal or until 20
seconds has elapsed. The illuminated lamp will indicate that System is not
supervising signal aspects.
d.
The System shall enforce a 15 mph speed limit when moving past the red signal
and shall continue to enforce this speed until a RFID dynamic is read, indicating
the Vehicle has passed a signal with a permissive aspect. The System is then
reset and resumes normal supervision of signal aspects. The yellow Key-By
lamp on the Driver’s Panel goes out.
4.
Brake Reset: The Brake Reset function is used in a situation when the Vehicle has been
stopped by an ATS brake application. The Brake Reset procedure shall be performed as
follows once the Vehicle has been determined to be stopped:
a.
The System has dropped the brake relay. The “Zero Speed” indication is
illuminated on Driver’s Panel.
b.
A 5 second timer within the System must elapse with the Vehicle stopped with
the brake applied. Once the 5 seconds have expired, the red ”Trip” indication
will begin flashing to indicate the “Trip Reset” pushbutton can be pressed.
c.
Operator presses the “Trip Reset “pushbutton on Driver’s Panel.
d.
Operator turns ATS 3-position switch on Driver’s Panel to reset.
e.
ATS picks the brake relay. The Vehicle resets the brakes. If Vehicle does not
reset, the procedure can be performed again after 10 seconds have elapsed.
f.
The System shall enforce a 15 mph speed limit when the Vehicle moves and shall
continue to enforce this speed until a RFID dynamic tag is read, indicating the
Vehicle has passed a signal with a permissive aspect.
Cut-Out Mode – There are areas of the LRT System which are equipped with cab signaling.
The ATS does not supervise wayside signal aspects in this area. The cab signaling system
provides a signal to the ATS to indicate that it is in cab-signaled area upon receipt of a valid cab
frequency from the audio frequency track circuit via the rails. The System shall maintain the
ability to supervise and enforce Work Zone / Slow Order speed limits in Cut-Out mode.
6.7.3.2
SYSTEM START-UP
A.
The System shall apply the brakes when powered down and during start-up.
B.
Upon powering on, the System shall perform and successfully complete a self-test to confirm it
can safely and reliably operate. The self-test shall include confirmation of the System’s ability
to apply the brakes
213
C.
The System shall provide a visual indication to indicate if startup has completed successfully.
D.
The System shall supervise and enforce a 10 mph speed limit upon system startup. If it is in a
cab signal area, it shall enter Cut-Out Mode.
E.
When the System receives RFID tag information, it shall release the 10 mph speed limit.
1.
2.
If a static tag within the System territory is read, the System shall then enforce a 15 mph
speed limit until a RFID dynamic tag is read, indicating the Vehicle has passed a signal
with a permissive aspect.
If a static tag outside of System territory is read, the System shall resume normal
operation for that territory.
6.7.3.3
A.
B.
ENTRY AND EXIT TO ATS TERRITORY
Due to the configuration of the LRT System, the System is required to transition from areas
which are not equipped with wayside signal RFID tags and enter into areas which are equipped
with wayside signals requiring ATS supervision, and vice versa. These areas shall include, but
are not limited to:
1.
Street running areas on the Red Line (Broadway Ave. in Beechview);
2.
South Busway and Mt Washington Tunnel;
3.
South Hills Junction;
4.
Library Line;
5.
Overbrook Line;
6.
Allentown Line;
7.
South Hills Village Yard (CSMA);
8.
Penn Park Yard; and
9.
Drake Line (currently not in use).
The System shall not be required to supervise wayside signal aspects in the unequipped areas of
the LRT System.
C.
The System shall remain in Cut-In Mode and automatically transition into and out of unequipped
areas of the Port Authority LRT System without external operator intervention. The System shall
ensure that it maintains the ability to vitally supervise signals when it re-enters into equipped
areas of the LRT System from unequipped areas.
D.
All boundary entry points to the System’s territory shall be clearly delineated by an “ATS
TERRITORY START” sign, and all exit boundary points from the System’s territory clearly
delineated by an "ATS TERRITORY END" sign.
E.
Signage shall be provided in accordance with signage requirements provided in Port Authority’s
“Signage and Information Design Standards Manual”.
6.7.3.4
ENTRY AND EXIT FROM CAB SIGNALED AREAS
A.
In cab signaled areas, the cab signaling system provides a DC current to the ATS.
B.
The System shall not be required to supervise wayside signal aspects in the cab signaled areas of
the system.
C.
The System shall not supervise signals when this signal is received from the cab signaling
system.
D.
When the DC voltage provided by the cab signaling system is removed (at 0 V), the System
shall resume supervision of signals.
214
E.
The System shall supervise and enforce speed limits in cab signaled areas for Work Zone / Slow
Order speed limit tags.
F.
The System shall be designed and installed such that a Vehicle can move in to and out of cab
signaled areas safely and without routine or unnecessary stops or delays. Note that cab signaling
ends in street running at South Hills Junction and ends in ATS supervision at Overbrook
Junction.
G.
Additional details of the signal provided from the ATP are provided in Appendix B - Vehicle
Interface Control Document.
6.7.3.5
OPERATION DURING CARBORNE FAILURES
A.
In the event of a failure on the carborne ATS equipment, the System shall automatically apply
the brakes. Indication shall be provided to the operator via the Driver’s Panel. In the event of a
critical failure, the System shall no longer be able to provide signal aspect supervision. Operator
intervention shall be required in order to bypass the System, such that the Vehicle can resume
movement and the appropriate maintenance actions can be performed to diagnose and repair the
System.
B.
In the event of a complete System failure, an external “ATS Bypass Switch” shall be provided
within the “B” cab to allow the System to be bypassed such that the Vehicle can be moved.
C.
Details of the ATS Bypass Switch and interface with the System are contained within Appendix
B – ATS-Vehicle ICD.
D.
Standard Operating Procedure 600.3 provided in Appendix D - Technical References contains
details of the usage of the Bypass Switch.
6.7.3.6
ATS LRV CONFIGURATION
A.
Each Vehicle is equipped with one existing ATS unit and a Driver’s Panel in each cab.
B.
During rush hour and special events, two (2) Vehicles may be coupled together. During OffPeak Periods, a single Vehicle is employed.
C.
Work/maintenance vehicles will not be equipped with the ATS.
D.
The System shall meet the following configuration requirements:
1.
2.
3.
There shall be identical carborne ATS equipment in an identical configuration in each
Vehicle;
The System shall only allow the Vehicle to be operated from the front cab (as routed).
This includes coupled Vehicles; and
The operator shall use the controls in the front cab to input commands to the System. No
System controls shall be active in the rear cab.
6.7.3.7
VEHICLE EQUIPMENT ROUTINE TEST REQUIREMENTS
A.
The System shall include the capability to perform "fit for service" tests of the carborne ATS
equipment at least once each Calendar Day.
B.
The tests shall be capable of being performed in the yard.
6.7.3.8
A.
STANDARD OPERATING PROCEDURES REVISIONS
The Contractor shall recommend revisions to Port Authority’s Light Rail Standard Operating
Procedures (SOPs) for operating the System, with similar format and definition as the existing
SOPs.
215
B.
These recommended revisions shall incorporate applicable regulations, definitions, speeds, rules,
duties and responsibilities, illustrations, and other information as deemed necessary by Port
Authority.
C.
The SOPs will be revised by Port Authority based on the Contractor’s recommendations. The
Contractor shall review and comment on the updated documents.
D.
Existing SOPs relating to the current ATS are provided in Appendix D - Technical References
provided as part of this Agreement.
FUNCTIONAL REQUIREMENTS
6.7.4.1
‘DISTANCE-TO-GO’ DETERMINATION
A.
The System shall establish the ‘distance-to-go’ to the dynamic signal tag in a fail-safe manner
utilizing static tags installed on the track.
B.
The ‘distance-to-go’ function shall provide sufficient resolution and accuracy to support the
performance, capacity and safety requirements set forth in the Contract Documents.
C.
The ‘distance-to-go’ function shall be self-initializing and shall allow for the automatic detection
of entry into the System for each ATS-equipped Vehicle as it enters the System’s territory, and
on recovery from System equipment failures, without requiring manual input of either Vehicle
location or direction data.
6.7.4.2
DISTANCE DETERMINATION
A.
The distance determination function shall provide sufficient resolution and accuracy to support
all functional, performance and safety requirements set forth in the Contract Documents.
B.
The System shall compensate for the effects of variable measurement inaccuracies on distance
determination.
C.
The System shall account for errors induced by the slipping or sliding of wheels, and shall
automatically account for errors caused by variation in wheel size.
6.7.4.3
SIGNAL ASPECT DETERMINATION/SUPERVISION
The System shall perform the following:
1.
2.
3.
4.
5.
6.
7.
Determine the signal aspect based on the status of the associated dynamic RFID tags.
The signal aspect shall be considered to be permissive or restrictive. A restrictive aspect
is also referred to as ‘Red’.
Detect a signal violation if the System is in cut-in mode and the Vehicle passes the signal
while the associated signal is red by the defined maximum allowed safe distance.
Detect a signal violation, at the latest when the front of the Vehicle has passed the signal
by the defined maximum allowed safe distance.
Full service brake the Vehicle upon detecting a signal violation. After the brake
application due to a signal violation is reset, the operator will drive according to restricted
speed until the next permissive signal.
Log signal violation events, Key-By occurrences, brake resets and overspeed
occurrences.
Ensure that the front of the Vehicle does not pass the signal by more than a specified
distance before reacting to a signal violation.
Brake the Vehicle if a tag is not detected within the maximum allowable distance.
216
6.7.4.4
BRAKE ASSURANCE
A.
The System shall be designed to control the brakes via interface relays.
B.
The application of the brake shall be irrevocable. The brake cannot be reset until the Vehicle has
come to a stop.
C.
The System shall perform a test of the relays used to command the brakes at start up and
periodically within a defined period of time to confirm the ability to apply the brakes when
requested.
D.
The brake test shall be automatically initiated by the System and shall not require manual
intervention.
E.
The System shall establish a safe state upon the failure of the brake relay test.
6.7.4.5
OVERSPEED SUPERVISION
A.
The System shall supervise and enforce speed until the System has received sufficient RFID tag
information to begin or resume signal supervision.
B.
Speed enforcement shall be achieved by continuously comparing the actual Vehicle speed with
the Vehicles commanded speed.
6.7.4.6
WORK ZONES / SLOW ORDERS
A.
The System shall utilize temporary RFID tags implemented at the limits of Work Zones / Slow
Orders to supervise temporary speed limits.
B.
Two Work Zone / Slow Order RFID tags shall normally be placed on the approach to each Work
Zone/Slow Order locations. These tags shall be programmed with a speed limit and a maximum
distance for which the speed restriction is applicable.
C.
The Work Zone / Slow Order RFID tags shall be used to supervise a speed beginning from the
point where the tags were first detected.
D.
Work Zone / Slow Order RFID tags shall be capable of defining direction of traffic and
imposing distinct speed limits for normal and reverse moving traffic.
E.
The values for speed and distance shall be read from the Work Zone / Slow Order tags.
F.
Work Zone / Slow Order RFID tags shall have tags defining a resume normal speed / end of
Work Zone or end of Slow Order that overrides the maximum distance to be set at the end of the
Work Zone / Slow Order area. It shall be dependent on the direction of travel and linked to a
specific set of Work Zone / Slow Order tags to allow overlapping Slow Order / Work Zone to be
defined.
G.
The Carborne ATS equipment shall impose speed supervision while any part of the Vehicle is
inside the Work Zone / Slow Order area defined in the temporary RFID tag.
H.
The slowest speed, and the longest distance read from Slow Order RFID tags shall apply, in
cases where RFID tags have different data.
I.
All Work Zones/Slow Orders, as detected by RFID tags, shall be logged.
6.7.4.7
ACTIVE CAB DETERMINATION
A.
The cab selection relays are arranged such that in order to provide power to the ATS, one of the
two cabs for the Vehicle must be activated.
B.
Details of the active cab determination function are provided in Appendix B –ATS-Vehicle ICD.
217
C.
The Standard Operating Procedure used by the operator to set the active cab is contained within
Standard Operating Procedure 600.2, provided in Appendix D - Technical References of this
Agreement.
D.
The System shall interface with the Vehicle in the identical manner as the existing equipment for
the active cab determination function. Standard Operating Procedures and Vehicle circuitry shall
not be affected.
6.7.4.8
ZERO SPEED DETECTION
A.
The System shall determine zero speed.
B.
Zero speed shall be used for the Key-By and trip-reset procedures.
C.
Zero speed shall be determined based on speed sensor inputs and the zero speed input provided
by the Vehicle.
D.
Zero speed shall be defined as any speed less than 0.5 mph.
E.
Details of the zero speed input are provided in Appendix B - ATS-Vehicle ICD.
DRIVER’S PANEL DISPLAY
A.
The Contractor shall utilize the existing wiring present between the existing ATS unit and
driver’s panel for the replacement Driver’s Panel display. Installation of additional wiring
between the microprocessor based ATS system and Driver’s Panel is not permitted.
B.
The Contractor may repurpose the existing wiring as required to perform the functions defined
in the Contract Documents, subject to review and approval by Port Authority.
C.
The Contractor is responsible for measuring the existing panel to ensure compatibility of the
replacement Driver’s Panel.
D.
Existing wiring is defined in Appendix B - ATS-Vehicle ICD.
E.
The new Driver’s Panel shall include an annunciation/speaker capability to warn the operator
when the overspeed limit during Key-By and cut-in operations has been exceeded.
F.
The actual detailed design of the Driver’s Panel shall be developed by the Contractor and
reviewed during the Design Review(s) and subject to approval by Port Authority.
G.
The Driver’s Panel shall provide the following three (3) inputs:
1.
H.
I.
Three position key switch with settings OFF, NORMAL and RESET. The key shall only
be able to be removed when the key is in the first position (OFF). When the key switch is
turned to the second position (NORMAL), it shall allow activation of the System. The
third position (RESET) shall be spring loaded such that once released the key will return
to the second position (NORMAL).
2.
A Key-By pushbutton for allowing operation in Key-By mode.
3.
A trip reset pushbutton for allowing the reset of the System after a trip.
The panel shall include a speaker to provide an audio warning.
The Driver’s Panel shall contain four (4) indication lamps providing the operator with indication
of the following operating conditions:
1.
2.
3.
4.
Green – Zero speed indication;
Blue – Normal operating indication;
Red – Trip indication; and
Yellow – Key-By indication.
218
J.
Additionally, the indication lamps on the Driver’s Panel shall operate as follows:
1.
2.
3.
4.
Green:
a.
Lit solid when LRV is at zero speed.
b.
Off when LRV is not at zero speed.
Blue:
a.
Lit solid when the System is cut-in and operating as normal.
b.
Flashing when the System is not cut-in or in speed restricted operation
c.
Off when the System is not activated
Yellow:
a.
Lit solid when Key-By button has been pressed and the Vehicle can proceed.
b.
Flashing once the Vehicle has been at zero speed for five (5) seconds, indicating
to the operator that the Key-By pushbutton can be pressed to initiate a Key-By
operation.
c.
Off once the timer for the twenty (20) second window to initiate a Key-By has
expired and at all other times while the Key-By operation is not available.
Red:
a.
Lit solid when the Vehicle has been tripped by the System.
b.
Flashing once the Vehicle has been tripped and has been at zero speed for five
(5) seconds, to indicate that the reset pushbutton can be pressed.
c.
Off when the Vehicle has not been tripped and/or the trip reset pushbutton is not
available.
EVENT LOGGING AND DIAGNOSTICS
A.
The System shall log all Driver’s Panel events, Key-By requests, brake resets, and requests for
braking. Information relating to wheel calibration, system cut-in/cut-out, active cab, speed
sensor data, testing, and relay output/input status shall also be logged.
B.
The System shall time stamp all logged events.
C.
The System shall send all stored event logger messages to the diagnostic laptop units when
connected and requested for download by the diagnostic software.
D.
At least 5 consecutive Calendar Days of data shall be stored in memory prior to old data being
overwritten by new data. Data shall be overwritten utilizing a “first in, first out” methodology.
E.
Diagnostic laptops shall be provided by the Contractor to Port Authority that will allow Port
Authority to:
1.
F.
Perform on-line real time monitoring of system operation via the carborne ATS
equipment, including the status of inputs, outputs, operating mode, distance travelled
since last RFID tag, and data received from last RFID tag;
2.
Download event log information;
3.
Allow for modification of speed limit and Key-By and timer values; and
4.
Verify the version, build date, and checksum of all software and firmware Products and
Subsystems of the System from the diagnostic laptop.
The carborne ATS equipment shall interface with the diagnostic laptops through a dedicated
Ethernet port.
219
G.
The ATS carborne equipment shall ensure secure transmission of diagnostic data to the
diagnostic laptops.
H.
The diagnostic software shall enable a technician to control outputs independent of inputs.
I.
The diagnostic laptop units shall be modern, high quality, commercial laptop computers, subject
to the approval of Port Authority.
J.
All software and cables functionally required shall be supplied for the laptops. The laptop
computers shall be supplied with Microsoft Windows operating system, Microsoft Word and
Excel programs and any and all logging and diagnostic software required, with licenses valid for
the life of the System.
K.
The Contractor shall supply three (3) portable workstations to support the diagnostics
functionality.
L.
The diagnostic software shall allow for the modification of the following parameters within the
carborne software:
1.
2.
3.
4.
5.
6.
Speed limit to be enforced by ATS upon System startup. This value shall be customizable
between 5-40 mph.
Speed limit enforced by ATS when proceeding past a signal in Key-By. This value shall
be customizable between 5-30 mph.
Speed limit enforced by ATS when resuming movement after brake reset. This value
shall be customizable between 5-30 mph.
Time to tolerate an overspeed condition before applying full service brakes. This value
shall be customizable between 0 and 10 seconds.
Key-By timer value – amount of time which must elapse with the Vehicle is stopped and
brakes applied before “Key-By” button can be pressed. This value shall be customizable
between 5-30 seconds.
Reset timer value – amount of time which must elapse with the Vehicle is stopped and
brakes applied before brakes can be reset. This value shall be customizable between 5-30
seconds.
REFERENCE STANDARDS
A.
All materials, equipment and workmanship, specified by the number, symbol, or title of a
referenced standard shall comply with the latest edition or revision thereof and all amendments
and supplements thereto. In case of a conflict between a referenced standards and the Contract
Documents, the Contract Documents shall govern.
B.
Unless the Contract Documents indicate otherwise, any reference within a referenced standard to
another part or section of the reference shall apply to the Work. Any reference to a standard
includes amendments to the standard appearing in the Contract Documents.
C.
Where any conflict between standards exists, the Contractor shall advise Port Authority, in
writing, citing the conflict, the standards involved and the impact of the conflict on the Work.
Port Authority will thereafter advise the Contractor of the precedent standard.
D.
The AREMA Communications and Signals Manual of Recommended Practice applies to all
signaling and communications portions of the Work and Products.
E.
The version of standards to be used shall be the revision in effect at time of signing the
Agreement unless otherwise indicated.
220
F.
The following design standards, at a minimum, are applicable to the System. This list is not
intended to be, in any way, an exhaustive list of all standards referenced within the Contract
Documents or otherwise applicable to, or necessary for, the Work.
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
21.
22.
23.
24.
25.
26.
27.
28.
29.
30.
31.
29 CFR Part 1926, Safety and Health Regulations for Construction;
49 CFR Part 236, Subpart H, Standards for Processor-Based Signal and Train Control
Systems;
AAR S-501, General Electrical Standards;
AASHTO;
ADA;
American National Standards Institute;
American Society for Testing & Materials, ASTM-B-117, Standard Practice for Operating
Salt Spray (Fog) Testing Apparatus;
American Society for Testing & Materials, ASTM-B-368, Standard Method for CopperAccelerated A;
American Society for Testing and Materials;
APTA Guidelines for Preparation of System Committee Safety Program Plans;
AREMA Communication and Signal Manual of Recommended Practices;
ASTM-B117, Standard Practice for Operating Salt Spray (Fog) Test Apparatus;
ASTM-B33, Standard Specification for Tin-Coated Soft or Annealed Copper Wire for
Electrical Purposes;
ASTM-B368, Standard Test Method for Copper-Accelerated Acetic Acid-Salt Spray (Fog)
Testing;
American Traffic Safety Services Association (ATSSA);
Port Authority “Track Entry Training Program” Manual;
EN50126: Railway Applications - The Specification and Demonstration of Reliability,
Availability, Maintainability and Safety (RAMS);
EN50128: Railway Applications -Communications, signaling and processing systems;
EN50129: Railway Applications - Communications, signaling and processing systems –
Safety related electronic systems for signaling;
Federal Highway Administration, "Manual of Uniform Traffic Control Devices" (MUTCD);
FTA-MA-90-5006-02-01, Handbook for Transit Safety and Security Certification;
FTA-PA-27-5194-12.1, FTA Quality Management System Guidelines;
IEC 15288, System and Software Engineering;
IEC 60529, Degrees of Protection Provided by Enclosures;
IEEE 1008, Software Unit Testing;
IEEE 1012, Standard for System and Software Verification and Validation;
IEEE 1012a, Supplement to IEEE Standard for Software Verification and Validation Plans:
Content Map to IEEE/EIA 12207.1;
IEEE 1016, Standard for Information Technology – Systems Design –Software Design
Descriptions;
IEEE 1028, Standard for Software Reviews and Audits;
IEEE 1058, Recommended for Software Project Management Plans;
IEEE 1100, Powering and Grounding Sensitive Electronic Equipment;
221
32.
33.
34.
35.
36.
37.
38.
39.
40.
41.
42.
43.
44.
45.
46.
47.
48.
49.
50.
51.
52.
53.
54.
55.
56.
57.
58.
59.
60.
61.
IEEE 1115, Recommended Practice for Sizing Nickel-Cadmium Batteries for Stationary
Applications;
IEEE 1188, Recommended Practice for Maintenance, Testing and Replacement of Valve
Regulated Lead-Acid (VRLA) Batteries for Stationary Applications;
IEEE 1189, Guide for selection of Valve-Regulated Lead-Acid (VRLA) Batteries for
Stationary Applications;
IEEE 1220, Standard for Application and Management of the Systems Engineering;
IEEE 1362, Guide for Information Technology – System Definition – Concept of Operations
Document;
IEEE 142, Recommended Practice for Grounding of Industrial and Commercial Power
Systems;
IEEE 14764, Standard for Software Engineering – Software Life Cycle Processes –
Maintenance;
IEEE 1478-2001, Standard for Environmental Conditions for Transit Rail Car Electronic
Equipment;
IEEE 1483, IEEE Standard for Verification of Vital Functions in Processor-Based Systems
Used in Rail Transit Control;
IEEE 1558 - IEEE Standard for Software Documentation for Rail Equipment and Systems
IEEE 26514 – Systems and Software Engineering – User Documentation1063, Standard for
Software User Documentation;
IEEE 29148 – Systems and Software Engineering Life Cycle – Requirements
Engineering830, Recommended Practice for Software Requirements Specifications;
IEEE 730, Standard for Software Quality Assurance Plans;
IEEE 80, Guide for Safety in AC Substation Grounding;
IEEE 828, Configuration Management in Systems and Software Engineering;
IEEE 829, Standard for Software and System Test Documentation;
IEEE 982.1, Standard Dictionary of Measures to Produce Reliable Software;
IEEE 982.2, Guide for the use of Standard Dictionary of Measures to Produce Reliable
Software;
IEEE/EIA 12207.1, Guide for Information Technology – Software Life Cycle Processes Life Cycle Data;
International Municipal Signal Association (IMSA);
Institute of Electrical and Electronic Engineers (IEEE) – IEEE 1478-2001 Environmental
Conditions for Transit Rail Car Electronic Equipment;
Insulated Cable Engineers Association;
International Electrotechnical Commission (IEC) - IEC 60529 Degree of Protection
provided by enclosures;
ISO 9001, Quality Management Systems – Requirements;
ISO/IEC 15288, Systems and Software Engineering – System Life Cycle Processes;
MIL-HDBK-217, Military Standard, Reliability Prediction of Electronic Equipment;
MIL-HDBK-454, General Guidelines for Electronic Equipment;
Military Standards MIL-STD-810E – Environmental Test Method Guidelines;
MIL-M-14, Molding Compounds, Thermosetting;
MIL-STD-10, Surface Roughness Waviness & Lay;
222
62.
63.
64.
65.
MIL-STD-105, Sampling Procedures and Tables for Inspection by Attributes;
MIL-STD-202, Test Method Standard for Electronic & Electrical Component Parts;
MIL-STD-454, Standard General Requirements for Electronic Equipment;
MIL-STD-461, Requirements for the Control of Electromagnetic Interference
Characteristics of Subsystems and Equipment;
MIL-STD-721, Definitions of Terms for Reliability and Maintainability;
MIL-STD-785B, Reliability Program for Systems and Equipment Development and
Production;
MIL-STD-810, Environmental Engineering Considerations and Laboratory Tests;
MIL-STD-882C, Military Standard, System Safety Program Requirements;
MIL-STD-883, Test Method Standard Microcircuits;
MIL-W-1687, Wire, Electrical Insulated, Copper;
MIL-W-81044;
MIL-W-81381;
National Electric Code;
National Electrical Safety Code;
NEMA 250, Enclosures for Electrical equipment (1000 Volts Maximum);
National Electrical Safety CNEMA type FR-4, Grade designation for printed circuit boards;
NEMA WC3, Rubber Insulated Wire & Cable;
NEMA WC5, Thermoplastic Insulated Wire & Cable;
NEMA WC7, Cross-Linked Thermosetting Polyethylene Insulated Wire and Cable;
NFPA 130, Chapter 4, Fixed Guideway Transit and Passenger Rail Systems;
NFPA 70, Ampacity Tables;
PENNDOT Publication 111M (TC-8600 and TC-8700 Series);
PENNDOT Publication 148 (TC-7800 Series);
PENNDOT Publication 149;
PENNDOT Publication 212, Official Traffic Control Devices;
PENNDOT Publication 213, Work Zone Traffic Control Guidelines;
PENNDOT Publication 234;
PENNDOT Publication 236M;
PENNDOT Publication 35 (Bulletin 15);
PENNDOT Publication 408;
PENNDOT Publication 72 (RC Series); and
Section 306, PA Worker’s Compensation Act
Underwriters' Laboratories, Inc.
66.
67.
68.
69.
70.
71.
72.
73.
74.
75.
76.
77.
78.
79.
80.
81.
82.
83.
84.
85.
86.
87.
88.
89.
90.
91.
92.
93.
94.
SUBMITTALS
A.
The Contractor shall submit for Port Authority’s review and approval in accordance with Section
5.18 - Submittals:
1.
2.
System Timing Analysis, addressing all ATS delays and Subsystem response times for
ATS wayside and carborne equipment; and
Recommended Standard Operating Procedures for operating the System.
223
6.8
WAYSIDE SUBSYSTEM REQUIREMENTS
GENERAL
A.
This Section defines the requirements for the wayside Subsystem for the System that shall be
designed, manufactured, installed and tested by the Contractor.
B.
The Contractor shall verify existing signal and ATS beacon locations prior to submitting the
wayside Subsystem layout designs. The Contractor shall utilize a Port Authority provided
Vehicle or propose the alternative means of verifying signal locations to minimize the duration
and disruption to Port Authority's operations. A construction-based survey shall not be an
acceptable method of verifying signal locations.
C.
All wayside installations shall be completed prior to commencing installation of the carborne
equipment.
D.
All ATS wayside equipment shall be at least 13 mm. below top of rail for all rail types.
WORK SCOPE
A.
The Contractor shall design the System to integrate and interface with existing wayside
equipment during installation and provide all equipment, cabling, connectors and functionality
as necessary on the ATS portion of the interface(s).
B.
The Contractor shall modify each signal location currently equipped with an ATS beacon such
that the existing and new ATS equipment can operate concurrently, until all Vehicles are cutover
with the new ATS carborne equipment.
C.
The Contractor shall submit the design of the ATS wayside Subsystem incrementally for review
and approval by Port Authority through a structured incremental process of reviews including
the key formal Design Reviews as defined in Section 5.8 - Design Reviews.
D.
For PDR, the Contractor shall provide complete equipment, cabling installation, layout drawings
and interface information for all wayside elements.
E.
For FDR, the Contractor shall provide final equipment, cabling installation, layout drawings and
interface information for all wayside elements.
F.
The ATS wayside Subsystem layout drawings shall present the details of the location of all ATS
wayside Products and equipment and relevant external equipment, including RFID tags, signals,
junction boxes, ATS entry/exit points, and insulated joints on the alignment. This layout
drawing shall be derived from the Appendix C - Reference Drawings provided with the
Agreement and Site verification conducted by the Contractor. This layout shall be maintained
under configuration control. These layout drawings shall comply with Section 5.18 - Submittals
and shall include:
G.
H.
1.
RFID tag locations with associated survey stationing similar to the other equipment; and
2.
Listings of all tags with their function and required programming information.
The Contractor shall equip a main line test section of Port Authority’s LRT System with wayside
Products and equipment for a demonstration of the System as described in Section 6.14 - System
Demonstration.
Upon successful cutover of all Vehicles, the existing ATS wayside equipment shall be removed
as described in Section 0 -
224
I.
Existing ATS Removal.
J.
The Contractor shall perform all dynamic testing, analysis and certification activities required to
prepare the wayside to function as specified in Revenue Service in all modes of operation.
K.
The Contractor shall perform/support any and all necessary inspections, studies, measurements,
analyses and tests required to support the design, installation, Testing and Commissioning of the
wayside ATS Subsystem.
L.
The wayside Subsystem shall fulfill the requirements specified in Section 6.11 - Hardware
Requirements.
RFID TAG REQUIREMENTS
A.
RFID tags shall be of a type used in a railroad or transit system with equivalent environment to Port
Authority’s LRT System.
B.
RFID tags shall be capable of transferring data, either fixed, or variable, to the carborne ATS
Subsystem, with sufficient integrity such that the ATS satisfies the functional, performance, and
safety requirements of the Contract Documents.
C.
The Contractor shall provide a minimum of six (6) sets of RFID tag programmers and six (6) RFID
tag hand held readers for usage by Port Authority maintenance personnel.
D.
The Contractor shall verify all distances between RFID tags and signal locations.
E.
RFID tags shall be rugged and durable. RFID tags with finite lives shall not be used.
F.
Fixed data shall be permanently encoded into the RFID tag such that the data cannot be changed or
altered by unauthorized persons or by environmental effects.
G.
RFID tags shall be programmable by technical personnel without requiring detailed ATS expertise.
H.
For tie and ballast track, RFID tags shall normally be mounted on ties. In situations where the surface
of the tie does not provide sufficiently level or stable surface for mounting, or directed otherwise by
Port Authority, the Contractor shall provide a set of non-metallic brackets, subject to Port Authority’s
approval to mount the RFID tags in between ties.
I.
Where mounting on wood ties, a non-metallic bracket shall be provided for affixing to the tie.
J.
Where mounting on concrete, the Contractor shall mount the RFID tag with a non-metallic bracket
and ensure the bracket can span the drainage ditches.
K.
All installation of wayside Products and equipment shall comply with the clearance requirements
provided by Port Authority. Installation of RFID tags in a road environment shall be below the road
surface, and shall be carried out in compliance with Port Authority guidelines for maintaining
integrity of the road surface (i.e. profile of cut, protrusion of recess of RFID tag, weight, water
ingress, etc.).
L.
The Contractor shall ensure the RFID tag can be replaced without removing the associated bracket.
M.
The installation procedure shall ensure a minimum distance between any two tags to allow reading
of the tags at the maximum system speed.
N.
The installation procedure shall ensure a minimum distance between any two tags to allow reading
of the tags at the maximum system speed.
O.
RFID tags shall not be placed over grate covered openings on the wayside
P.
The wayside submission shall include a complete listing of all RFID tag IDs, including the following
information:
225
Tag installation location;
Associated signal;
Tag ID;
Bit pattern programmed within the tag; and
Other relevant information as agreed upon with Port Authority.
Q.
RFID tag programming procedures shall be provided within the appropriate Operating and
Maintenance Manuals provided by the Contractor.
6.8.3.1
STATIC TAG REQUIREMENTS
A.
Static tags shall be installed in locations between signals and shall supply a message to passing
Vehicles detailing the next tag ID to expect and its associated distance from the current tag.
B.
Static tags shall be unpowered and shall not require an external power supply to communicate
with the carborne ATS equipment.
6.8.3.2
DYNAMIC TAG REQUIREMENTS
A.
Dynamic tags shall be installed at each signal location and shall only be readable when powered
and a permissive signal aspect is displayed.
B.
Dynamic tags shall require external power to indicate a permissive signal. The dynamic tag
shall be energized when the signal is displaying a permissive aspect and de-energized when a
Red aspect is displayed.
6.8.3.3
DYNAMIC TAG INSTALLATION REQUIREMENTS
A.
The dynamic tag which will interface with the signal shall be installed at the existing location of
the beacon.
B.
The existing beacon is installed eight (8) feet past signal location and 2 to 3 feet past the
insulated joint at a block boundary.
C.
The existing beacon interfaces with the existing wayside logic via relay contacts of the VS (Trip
Stick) relay as shown in Appendix C - Reference Drawings.
D.
In general, if a beacon is located between the rails with ballast the junction box is roughly four
(4) feet away; and if the rails are direct fixation (i.e. in tunnels or at a station), the junction box is
approximately forty (40) feet from the beacon.
E.
The Contractor shall design a solution that involves:
1.
2.
3.
4.
5.
Removal of the existing beacon for relocation. The cable attached to the beacon shall be
removed intact back to the junction box or other termination point, if possible.
A new non-metallic junction box containing the RFID tag mounted in place of the beacon
with the new cable terminated within the junction box and connected to the RFID tag.
A new cable installed and terminated in this junction box or termination point, replacing
the existing cable.
Existing conduit that may be used if it is intact and if the existing cable can be removed
from it without damage. If the existing conduit is not reusable, the Contractor shall
replace it. In this situation, the Contractor must attempt to recover enough of the cable
attached to the beacon to allow it to terminate in the new junction box.
Remounting beacon adjacent to original location. The cable attached to the beacon shall
terminate in parallel with the RFID tag in the new junction box.
226
F.
G.
6.
Testing of the new cable and the re-terminated existing cable.
The Contractor may propose alternative methods of interfacing with the signal and installation of
the associated dynamic tag. The proposed method shall require Port Authority approval.
If the existing beacon or any equipment associated with beacon operation is modified in any
manner, the Contractor shall test the beacon to ensure that the beacon is functioning correctly.
This testing shall be completed prior to allowing passenger carrying Vehicles through the area.
6.8.3.4
WORK ZONE / SLOW ORDER RFID TAGS
A.
The System shall accommodate the use of temporary RFID tags to indicate the Vehicle’s entry
to a Work Zone, which shall be under a restricted speed.
B.
Temporary RFID tags shall be unpowered and programmable to manipulate information on the
distance of the Work Zone / Slow Order and the reduced speed limit for the Vehicle while it is
within the Work Zone.
C.
The Contractor shall supply Port Authority with 30 programmable RFID tags for Work Zone /
Slow Order speed supervision.
D.
The Contractor shall propose a method of temporarily mounting the Work Zone / Slow Order
RFID tags in the wayside for the Work Zone / Slow Order function.
INSTALLATION REQUIREMENTS
The Contractor shall provide an Installation Plan to Port Authority for review and approval, no
later than 30 Calendar Days prior to the commencement of wayside installation, in accordance
with Section 5.18 - Submittals. All installations shall be carried out according to the outlined
procedures in the approved Installation Plan. The Plan shall address the resources, methodology,
permits, potential risks and associated mitigation strategies, and timing of each task.
SUBMITTALS
A.
Contractor shall submit for Port Authority’s review and approval in accordance with Section
5.18 - Submittals:
B.
Preliminary complete equipment and cabling installation and layout drawings and interface
information;
C.
Final equipment and cabling installation and layout drawings and interface information;
D.
ATS wayside Subsystem layout drawings;
E.
Installation Plan for wayside equipment; and
F.
Wayside As-Built Drawings.
6.9
CARBORNE EQUIPMENT/ SUBSYSTEM REQUIREMENTS
GENERAL
A.
This Section includes the requirements for the design, supply, installation, testing and
commissioning of carborne equipment as required for the installation and operation of the
System.
B.
The Vehicle carborne Subsystem shall consist of:
1.
2.
A tag reader antenna, mounted on the underside of the middle truck of the Vehicle;
A tag reader located on the Vehicle;
227
C.
D.
3.
An on-board logic unit located within the Vehicle;
4.
A Driver’s Panel at each end of the Vehicle; and
5.
Equipment to interface with other Vehicle subsystems.
The Vehicles shall be equipped with an ATS carborne equipment, including antennas, tag
readers, processors, Vehicle positioning Subsystem components and interfaces with other
Vehicle subsystems.
Port Authority will provide the Contractor with access to a Vehicle of both Vehicle types prior
to the completion of wayside installation such that the Contractor shall:
1.
2.
3.
4.
E.
Verify Vehicle drawings and interfaces;
Develop installation procedures to be used for retrofit of Vehicle fleet;
Perform retrofit of the initial Vehicle based on the proposed Installation Plan; and
Revise the Installation Plan where required, to resolve issues encountered during the
initial retrofit.
The Contractor shall provide all new equipment except where specifically noted in this Section
that the equipment is to be provided “by others” or is to be reused as specified by Port Authority.
F.
An ATS-Vehicle Interface Control Document (ICD) for the fleet is included in Appendix B. The
purpose of this document is to specify the interfaces and define the baseline configuration
between the Vehicle subsystem and the ATS carborne equipment. This document shall be
considered part of the ATS carborne equipment requirements.
G.
The Contractor shall prepare and maintain an updated version of the ATS-Vehicle Interface
Control Document (ICD) that defines the System and Vehicle interfaces.
WORK SCOPE
A.
The Contractor shall design the System to integrate and interface with the Vehicle equipment
and systems and shall provide all equipment, cabling, connectors and functionality as necessary
on the ATS portion of the interface (s).
B.
The Contractor shall submit the design of the System carborne equipment incrementally for
review and approval by Port Authority through a structured incremental process of reviews,
including the key formal Design Reviews.
C.
The Contractor shall provide a pre-production prototype set of a carborne equipment for a trial
fit for both Vehicle types as described in Section 6.14 -System Demonstration.
D.
The Contractor shall install a carborne ATS equipment on one of each Vehicle type which is
fully representative of the ATS hardware and software available to test and shall validate all
interfaces between the carborne equipment and the Vehicle .
E.
These carborne ATS equipment sets shall be used for:
F.
1.
Ensuring compliance with the requirements of the Contract Documents; and
2.
Formal verification and validation of the System.
Delivery and installation of additional carborne ATS equipment sets shall not occur until
successful completion of verification and validation and delivery of Safety Case for the first
Vehicles (one of each type of LRV).
G.
The Contractor shall develop and perform a comprehensive testing and commissioning plan, and
develop and submit test procedures and test reports for all equipment, including static, dynamic
and system tests on all Vehicles as specified in Section 6.15 - Testing and Commissioning.
228
H.
The Contractor shall perform all dynamic testing, analysis and certification activities required to
prepare the Vehicles to function as specified in Revenue Service.
I.
The Contractor shall perform all environmental qualification testing to fulfill the requirements of
6.12 - Environmental Requirements.
J.
The Contractor shall perform/support any and all necessary inspections, studies, measurements,
analyses and tests required to support the design, installation, testing and commissioning of the
System’s carborne ATS Subsystem.
EXISTING FLEET
A.
Port Authority’s current fleet consists of twenty-eight (28) CAF Vehicles and fifty-five (55)
Siemens SD-400 Vehicles which were rebuilt by CAF in 2005.
B.
One (1) Vehicle will be available for equipment modifications at any given time. Availability of
additional Vehicles shall be based upon Port Authority’s operational requirements.
C.
Space will be made available at Port Authority’s carborne facility for the Contractor to utilize to
perform equipment installation on the Vehicles.
D.
All LRVs are bidirectional and both ends of each Vehicle shall be equipped with Driver’s
Panels.
CARBORNE ATS EQUIPMENT REQUIREMENTS
A.
The System’s carborne ATS equipment shall include, at a minimum, the following:
1.
B.
Location sensors, antennas and/or other equipment required to vitally determine tag
information and to determine distance to go; connectors and cable pigtails to connect to
the carbody wiring; and ATS truck-mounted equipment to allow for detrucking while
maintaining electrical integrity;
2.
Plug/Pin compatible Driver’s Panels which interface with the existing wiring from the
cab to the new carborne ATS equipment;
3.
Brake, brake indication and cab A and cab B relays; and
4.
Diagnostic ports to facilitate troubleshooting of ATS equipment on the Vehicle.
The maximum available space for the various elements of the carborne ATS equipment is
provided in Appendix B – ATS-Vehicle Interface Control Document (ICD).
C.
Carborne ATS equipment shall comply with the allowable size, weight and power limits.
D.
Every effort shall be made by the Contractor to further minimize the size, weight and power
consumption of the ATS equipment.
E.
Equipment enclosures for the carborne ATS equipment shall be as specified in Appendix B –
ATS-Vehicle Interface Control Document.
F.
All underframe equipment including cables shall be designed to avoid low-hanging loops and
routing of cables, hoses, etc. that may lead to equipment and cable damage from objects along
the wayside and other related hazards. Such hazards shall be identified and recorded in the
Project hazard log.
G.
Equipment installed in boxes shall not be attached directly to the box by bolts or other fasteners
that pass through the enclosure walls, top or bottom sheets.
1.
In such cases, the equipment shall be attached to standoffs or subplates, which are in turn
welded to the box; and
229
2.
H.
Sufficient clearance (1/2-inch minimum) shall be provided between the exposed sides
and covers of the equipment enclosure and the internal equipment to protect the internal
equipment from damage due to minor impacts.
Welding directly to the carbody shall not be permitted.
I.
Bolts used to mount or support equipment shall be submitted to Port Authority for review and
approval prior to use.
J.
All underfloor (carbody) and truck mounted carborne ATS equipment shall be properly mounted
for safety (i.e. not supported by threaded fasteners in tension or shear). Hazards arising from
improperly secured and falling equipment shall be recorded in the Project hazard log.
K.
The Contractor shall adopt a hazard based design approach where design shall mitigate against
such hazards as equipment falling off, and be sufficiently robust to prevent being damaged or
erroneously activated by debris that can be found at track level. Hazards arising from improperly
secured and falling equipment shall be recorded in the Project hazard log.
L.
No carborne ATS equipment shall be supported by bolts or screws in tapped holes in the Vehicle
structure.
M.
All material used for the carborne ATS equipment shall satisfy the Vehicle flammability, smoke
emission and toxicity requirements, and the applicable codes, standards and specifications.
N.
The existing ATS equipment is mounted within a locker as per the dimensions identified in the
ICD. The Contractor shall field verify all dimensions required to ensure that the system provided
can be accommodated within the spatial constraints defined in the ICD and the Contract
Documents. The Contractor shall be responsible, at their own cost, for all rework necessitated
by any failure to verify such dimensions.
REPLACEMENT ATS RELAYS
A.
The following requirements shall apply to the interface relays which shall be supplied as part of
the System:
1.
2.
3.
B.
The new ATS Vehicle interface relays shall have a contact rating of 4A, 30V or better;
The relays shall be suitable for use in a safety critical application;
The relays shall fulfill the environmental requirements identified in the Contract
Documents;
4.
The relays shall be designed to operate safely and reliably in a typical railway vehicle
environment;
5.
The relays shall fit within the available space within the existing cabinet; and
6.
The relays shall interface with the existing Vehicle systems in an identical manner as to
the existing relays.
These relays shall be capable of operating continuously and successfully without resultant
damage with a minimum voltage range of 19 volts to 34 volts applied to their operating circuits.
C.
All relays used for the carborne ATS equipment shall be identical and interchangeable.
D.
Relays "make" or "break" highly inductive loads such as Vehicle brake circuitry shall be capable
of one (1) million operations minimum without undue wear and without necessity of cleaning or
adjusting contacts.
E.
Arc suppression for relay coil(s) shall be built into the relay or into its plugboard.
F.
Relay base shall have the ability to test relay operation provided either on relay base or as an
integral part of relay.
230
G.
The existing cab signaling system utilizes PN159B relays provided by Ansaldo STS to interface
with the Vehicles.
CARBORNE CABLE AND WIRING REQUIREMENTS
A.
This Subsection outlines the requirements for all wire and cable used in the Vehicles.
B.
The wire and cable properties shall, at a minimum, meet the requirements. The Contractor shall
submit, for Port Authority’s review and approval, the specifications of each size and type of wire
and cable proposed for use in the Vehicles, prior to any installation activity.
C.
The Contractor’s design shall minimize the number of wire types and sizes used in the Vehicles.
D.
Wire manufacturer shall have fifteen (15) years of documented experience in supplying
wire/cable to the railway or transit industry for use in installations similar to those required for
the Work (i.e. similar in vehicle type, and experience providing cable of similar type and
application).
E.
The following control tests shall be performed during manufacture:
1.
F.
Voltage and insulation resistance tests on cables in accordance with ICEA S-95-658,
modified as follows:
a. Test potentials for both AC and DC as specified herein.
b. All immersion tests after twenty-four (24) hours minimum immersion.
2.
Individual conductors of multiple conductor cables tested before assembly as specified
for single conductor cables.
a. Shield isolation test on all combinations of pairs and over-all shield. After one (1) minute
at five hundred (500) volts, minimum resistance shall be 0.1 megaohms per three hundred
five (305) millimeters (one (1) foot)
b. Conductor resistance test on all cables in accordance with ICEA S-95-658.
c. Physical characteristic tests on at least one sample from each type and size of cable in
accordance with ICEA S-95-658.
d. AC voltage withstand test on each shipping reel of finished cable at the test insulation
voltage for one (1) minute prior to shipment.
The Contractor shall ship, store and handle as specified in AREMA Signals and
Communications Manual, Part 10.4.1.
G.
Conductor current capacities shall conform to NFPA 70, Ampacity Tables.
H.
No. 12 AWG shall be used for wire pulled through conduits.
I.
No. 28 AWG, shall be used as a minimum size for wire in electronic units and card racks.
J.
When bundled, No. 16 AWG wire may be used in circuits where physical strength is not
required or when laid in wireways.
K.
All wiring shall be performed and directed by experienced personnel, using appropriate tools for
stripping insulation, cutting, soldering and attaching mechanical crimp-type terminals with
correct dies.
L.
All wiring connected to a given piece of electrical apparatus shall be insulated for the highest
voltage supplied to that apparatus. Wire operating with potential differences of 50 volts or more
shall not be cabled or routed together.
M.
All circuits shall be adequately protected and insulated from ground. All circuits and branches
must be separable to isolate their grounds when troubleshooting is required.
231
N.
As practicable, all wiring shall be fabricated into standard harnesses and installed in
prefabricated groupings and standardized locations in the Vehicles. An additional twenty (20)
percent of spares for each wire size and at least one spare of every wire size in any harness shall
be included.
O.
Electrical wire installation shall be designed with gap and creepage distance between voltage
potentials and carbody ground in accordance with the requirements of NFPA 130, Chapter 4.
P.
Conductors shall be of soft, annealed, tinned, copper-stranded wire, per ASTM B33 and shall
have a minimum stranding that complies with AAR S-501, Class I or equivalent for general
purpose carbody wire.
Q.
Each conductor shall be separately covered with insulation. Rubber, thermosetting, irradiatedcross-linked polyolefin and thermoplastic-insulated wire and cable shall comply with the
applicable requirements of AAR S-501, MIL specifications, NFPA 70, NEMA WC3, NEMA
WC5 and NEMA WC7 for voltage drop, mechanical strength, temperature, and flexibility.
R.
Wires within enclosed equipment or suitability protected locations shall comply with the
requirements of MIL-W-81381or MIL-W-81044.
S.
Ground cables and shunts shall be extra-flexible, tinned, uninsulated, stranded copper cable and
shall be terminated by crimped ring terminals on both ends. In no case shall the size of a ground
cable or shunt be less than 10 AWG.
T.
Terminations and connections throughout the Vehicle shall be with insulated, ring tongue
connectors of the crimp type.
U.
All wire and cable shall be low smoke, zero halogen.
V.
The Contractor shall submit the following to Port Authority:
1.
2.
3.
4.
Manufacturer’s Product Data, including characteristics, limitations, gauges and materials;
Results of control testing;
Justification that the product is suitable for use in this application and evidence that it has
been used in a similar application and environment; and
Samples of each type of cable to be supplied cut to 3 inch in length.
WIRE AND TERMINAL MARKING
A.
All wires and cables shall be marked with a wire number within 30 cm (12 in) of the end of the
wire and every 61 cm (24 in) along the entire length of each conductor. The wire identification
markings shall be permanent and shall be of a scheme approved by Port Authority. Port
Authority’s approval is also required for the marking method and final product for permanence,
legibility, and readability.
B.
All conductors on the Vehicle shall have permanent wire marker designations applied at the ends
of each conductor. All wire markers shall be of the heat-shrink tubing type and shall meet the
flame and smoke testing requirements of this section; wrap-around markers are not allowed.
C.
Wire terminal designations shall be assigned and applied to all electrical conductors. The
marker designations shall be similar to the existing scheme on the Vehicles and as approved by
Port Authority.
D.
The color scheme of the wire markers shall be permanent black printing on yellow background
for primary power circuits and permanent black printing on white background for control and
low-voltage circuits.
232
INSTALLATION REQUIREMENTS
A.
The Contractor shall provide an Installation Plan to Port Authority for review and approval, no
later than 30 Calendar Days prior to the commencement of carborne equipment installation, in
accordance with Section 5.18 - Submittals:
B.
All installations shall be carried out according to the outlined procedures in the approved
Installation Plan
C.
The Contractor shall deliver, handle and store all materials to be installed in accordance with
manufacturer’s instructions.
D.
Wires shall not be allowed to cross one another when pulled into a conduit. Kinking shall be
prevented in conduit fittings or boxes. All cables and wires to be installed in a conduit shall be
installed at the same time.
SUBMITTALS
The Contractor shall submit for Port Authority’s review and approval in accordance with Section
5.18 - Submittals:
A.
Updated ATS-Vehicle Interface Control Document (ICD);
B.
Narrative description of the carborne ATS equipment provided by the Contractor, including all
necessary catalogue cut sheets as well as Product Data and equipment specification sheets;
C.
Layout drawings of the carborne ATS equipment on the Vehicles, including Driver’s Panel,
equipment outline dimensions, cable layout, and wiring diagrams, etc.;
D.
Heat load analysis for the carborne ATS equipment demonstrating that the equipment shall be
fully functional, and shall not suffer degradation, operating within the Vehicle environment;
E.
Electrical load analysis for the carborne ATS equipment;
F.
Detailed Technical Description of ATS carborne equipment, including: functional specifications
and hardware design descriptions, allowing a thorough understanding of the implementation;
G.
Control schematics; circuit schematics with all Product details, and functional block diagrams
for the carborne ATS equipment;
H.
Assembly drawings of the carborne ATS equipment down to LLRU level. This Submittal shall
include an illustrated parts list identifying all LLRUs and the mounting and fastening hardware
required for the complete installation of the carborne ATS equipment;
I.
All electrical drawings down to the Printed Circuit Board Level, including all components,
wiring, connectors, switches, etc.;
J.
Production details and information of the first production carborne ATS equipment sets used for
initial installation and testing;
K.
Carborne As-Built Drawings; and
L.
Carborne Equipment Installation Plan.
6.10
SOFTWARE REQUIREMENTS
GENERAL
A.
The Contractor shall provide a comprehensive program for the development of software that
complies with all requirements of the Contract Documents.
233
B.
The Contractor shall document and provide the specific details of the process it proposes to use, for
approval within the Software Development Plan (SDP). The Contractor must not proceed with the
implementation of the SDP prior to approval by Port Authority. If the Contractor elects to do so, it
will be at the Contractor’s own risk and cost.
C.
The software requirements specified herein shall be applicable to all software and products provided
for the System. All required software documentation shall describe the processes that will be
followed by the Contractor and its Subcontractors and Suppliers.
SOFTWARE DEVELOPMENT METHODOLOGY AND DOCUMENTATION
REQUIREMENTS
A.
The Contactor shall follow a defined software development methodology that fully complies
with IEEE Standard 1558, Standard for Software Documentation for Rail Equipment and
Systems. The Contractor shall produce software documentation in accordance with Procurement
Type 5 as defined in IEEE Std. 1558. The format and content of the software documentation
defined herein shall be developed in accordance with IEEE Std. 1558 and shall include any
additional requirements specified within this Section. The Contractor shall submit software
documentation in accordance with the requirements defined in this Section.
B.
The Contractor shall produce and enforce a comprehensive software development process that
includes methodologies for the System utilizing the specified standards as applicable. The
software development processes, activities, documentation and software requirements as
specified within the Contract Documents shall apply to the Contractor and all Subcontractors
and Suppliers providing software for the System. The Contractor shall document the software
development methodology within the SDP.
SOFTWARE DESIGN REQUIREMENTS
A.
System software of two types shall be function dependent upon each other to perform all vital
and non-vital microprocessor logic.
1.
B.
Executive system software shall be provided by the Contractor that performs all functions
necessary to provide for the proper and safe operation of the microprocessor system as
specified, not to include site-specific logic processing and control.
2.
Application software shall be user-defined for site-specific application and interfacing
with all necessary subsystems.
Diagnostic checks and vital processing shall only utilize data in its nonrestrictive state which has
been stored in the machine for less than two machine cycles or one (1) second, whichever is less.
Memory locations used to determine the proper states of inputs and outputs shall be vitally
cleared or destroyed prior to being reused during each cycle to ensure the integrity of the data.
C.
Background diagnostics shall continuously monitor the execution of software. Synchronized
tasks shall execute properly, and asynchronous tasks shall execute in the proper order. Checks
shall be included to shut down the System in the event of a processor overload or a processor
stuck in a non-terminating program or task.
D.
The System software shall recognize a secure distinction between the executive firmware and
the application software such that it shall be impossible through the implementation of the
application software to subvert in any manner the vital safety functions of the executive
software.
E.
There shall be no data contained within executive firmware that will limit or prevent the
microprocessor system from being reconfigured for alternative site configurations by
modification of application software. Modifications or changes to application software shall not
require modification or recompilation of executive software.
234
F.
Application dependent firmware implementing non-vital functions shall be kept separate and
distinct from application dependent firmware implementing vital functions. Changes to non-vital
application dependent firmware shall be performed without requiring re-verification and
revalidation of the vital application dependent firmware.
G.
Executive firmware shall be maintained in non-volatile memory that cannot be altered by any
operation of any component of the microprocessor system during in-service operation. The
executive firmware data storage shall include a check sum or CRC to provide a method of
determining data validity. Diagnostic checks shall be incorporated which verify the integrity of
the executive firmware during operation.
H.
Application software shall be maintained in non-volatile memory that cannot be altered by any
operation of any component of the microprocessor system during in-service operation. The
application software data storage shall include a check sum or CRC to provide a method of
determining data validity and verification of the software in use. Diagnostic checks shall be
incorporated which verify the integrity of the application software during operation. The
application dependent firmware shall be safe in and of itself without reliance on features of the
executive software. If executed correctly, the logic shall not assume an unsafe state.
I.
Software shall allow interrogation and status check of memory locations.
SOFTWARE QUALITY ASSURANCE
A.
Overall quality requirements are described in Section 5.11 - Quality Assurance.
B.
A Software Quality Assurance Plan (SQAP) shall be submitted for review and approval prior to
beginning the development of the vital and non-vital firmware for the System. The Contractor
shall develop all system and application firmware in accordance with the approved SQAP and
shall furnish the necessary documentation for Port Authority to verify conformance.
C.
The SQAP or System Assurance Plan shall identify and categorize each software Product as
Safety Critical, Safety Related or Non-Safety Related. The Contractor shall use such
categorization throughout the software lifecycle to dictate the activities required to be
undertaken in the specification, design, implementation, integration and testing and maintenance
of the software. This shall be documented by the Contractor in the SQAP or System Assurance
Plan and applicable subordinate documents thereto.
D.
The SQAP shall address all Safety Critical, Safety Related and Non-Safety Related Software
including operating systems, executive software, application data, input/output programs,
utilities, and firmware.
E.
Software safety, whilst addressed within the SQAP, shall be addressed specifically as part of the
Systems Assurance program in accordance with Section 6.16 -Systems Assurance.
F.
The Quality Assurance Plans shall provide full details of the Contractor’s quality organization
for the Work, including the autonomy of those Contract’s personnel involved within the
Software Quality Assurance (SQA) function.
G.
Port Authority reserves the right to participate in all SQA activities. The Contractor shall
provide a detailed schedule of such activities within the SQAPs and update such schedules as
required.
H.
The Contractor shall not be required to demonstrate that software which was not developed
specifically for the Work and which software is utilized in an unmodified form in the Work was
developed in accordance with the approved SQAP. However, modifications to such software
shall not be exempt from this requirement.
235
I.
The Contractor shall provide details of software configuration management as part of the
Configuration Management Plan (CMP) in accordance with Section 5.11.4 - Configuration
Management.
SOFTWARE SAFETY
The Contractor shall manage software safety through the Systems Assurance program specified
in Section 6.16 - Systems Assurance. The Contractor shall identify and include specific
software safety requirements therein.
SOFTWARE PLANNING AND MANAGEMENT
A.
The Contractor shall develop and submit a Software Project Management Plan (SPMP) that
defines the technical and managerial processes or activities necessary to satisfy the software
requirements for the System. The SPMP shall be developed in accordance with IEEE Std. 1558,
Procurement Type 5 and IEEE 1058, Recommended for Software Project Management Plans.
B.
The SPMP shall be the controlling document for managing the software development for the
System.
C.
The SPMP shall include the SDP that defines the ATS software processes to be used to develop
and test the System. The Contractor may elect to submit the SDP separately from the SPMP.
D.
The SDP shall define the software review, audit, walkthrough and inspection types to be applied
during software development; the procedures associated with each review, audit, walkthrough,
and inspection; and the type to be applied for each software development life-cycle activity.
E.
The SDP shall define the process to be implemented to assure the correctness and completeness
of test systems, simulators, and other custom support tools. The SDP shall define the process to
validate support tools implemented as part of the System, including those tools provided in
support of development, test, or maintenance.
F.
Standards for documentation of source code shall be provided in the SDP. If the use of multiple
programming languages is approved by Port Authority, then the Contractor shall provide the
standard or the name of the standard for each programming language to be used. The SDP shall
define the language that shall be used in which to write software source code. The SDP shall
define the operating systems on which the ATS software shall run.
G.
The SDP shall define the procedures and guidelines for establishing, controlling, and
maintaining the software development environment. The SDP shall address the software
development environment (including working, control, and build), software test environment,
and software maintenance environment.
H.
The SDP shall define the software process details for unit, module, integration and acceptance,
testing, including the methodology and guidelines for preparing, for performing, revising,
retesting, and analysis and recording of test results.
I.
Changes to the approved SPMP and/or SDP shall require the Contractor to resubmit the SPMP
and/or SDP for approval to Port Authority.
SOFTWARE DEVELOPMENT LIFE CYCLE
A.
Software Lifecycle Phases
1.
The Contractor shall employ a six (6) phase, sequential approach to all software
development, consistent with the Systems Engineering Lifecycle defined in Section 6.13
- Systems Engineering. The six (6) phases shall be:
a.
Requirements Phase;
236
B.
b.
Specifications Phase;
c.
Design Phase;
d.
Implementation Phase;
e.
Integration/Testing Phase; and
f.
Maintenance Phase.
Requirements Phase
1.
C.
The Contractor shall submit Software Requirements Specifications in accordance with
IEEE 29148 – Systems and Software Engineering Life Cycle – Requirements
Engineering, for approval by Port Authority.
2.
The Software Requirements Specifications shall maintain full traceability of requirements
from the System and Subsystem Requirements Specifications as required by IEEE 1558,
Section 5.10.
3.
The Software Requirements Specification shall be produced by the Contractor in
accordance with Section 6.13 - Systems Engineering, maintaining consistency of the
database management tool, presentation, format, content and structure with the System
and Subsystem Requirements Specifications.
Specification Phase
D.
The Contractor shall submit Software Specification documents, with full traceability to
Software Requirements, for Port Authority’s review and approval, detailing, as a
minimum:
1.
The complete functionality of the software Products;
2.
Detailed diagrams of all windows, dialog boxes, and menus;
3.
The proposed architecture;
4.
A specification of the hardware platform(s);
5.
A list of all the COTS software and other Products that will be provided;
6.
A list of any open source Products or libraries that are used;
7.
Reporting procedures;
8.
Software development methods; and
9.
Acceptance procedures.
Design Phase
1.
2.
The Contractor shall submit Software Design Descriptions, in accordance with IEEE
1016, Standard for Information Technology – Systems Design –Software Design
Descriptions, with full traceability to Software Requirements, to Port Authority for
approval.
The Software Design Description document shall include:
a.
An architectural design description, providing a description of the software in
terms of its modules;
b.
A detailed design description, providing a description of each module;
c.
Architecture for the proposed application data;
d.
A Unified Modeling Language (UML) depiction, or alternate Port Authority
approved model, of the overall solution;
e.
A description of all classes, functions, tables, data structures, custom data types
and methods to be used in the software;
237
f.
g.
h.
E.
A list of all COTS software that will be used;
A list of any open source software that will be used;
Full documentation of all non-posix.1 or non-posix.4 system calls and a
justification thereof; and
i.
Full documentation of all error and exception messages.
3.
The Contractor shall submit Software Verification and Validation Plans in accordance
with IEEE 1012, Standard for System and Software Verification and Validation, and
IEEE 1012a, Supplement to IEEE Standard for Software Verification and Validation
Plans: Content Map to IEEE/EIA 12207.1, to Port Authority for approval.
4.
The Contractor shall verify and validate all vital and non-vital firmware, including
application firmware in accordance with the approved SVVP and shall provide the
necessary documentation to demonstrate to the satisfaction of Port Authority, the plan's
conformance. The SVVP shall provide a method to verify that changes made to the
application dependent firmware were confined to the intended logic. This would preclude
the need for a test of the entire content of the application software whenever a change is
made to the logic.
Implementation Phase
1.
F.
The Contractor shall submit, for Port Authority’s review and approval, Unit Test Plans in
accordance with IEEE 1008, Software Unit Testing.
2.
Software unit testing shall be undertaken by a test team independent of the production
team.
3.
The Contractor shall submit, for Port Authority’s review and approval, Unit Test Reports
in accordance with IEEE 829, Standard for Software and System Test Documentation.
4.
The Contractor shall submit, for Port Authority’s review and approval, a Software
Integration Test Plan in accordance with Section 6.15 - Testing and Commissioning.
5.
The Contractor shall ensure Software Integration testing requirements are fully addressed
and consistent in the following plans and procedures and produced in accordance with
Section 6.15 - Testing and Commissioning.
a. Hardware Test Plans and Procedures;
b. Factory Acceptance Test Plans and Procedures; and
c. Commissioning and Acceptance Test Plans and Procedures.
6.
The Contractor shall submit, for Port Authority’s review and approval, a Hardware
Obsolescence Plan identifying the proposed approach for dealing with obsolescence
issues within all hardware platform(s) hosting software or firmware, the impact of this
upon all firmware and software provided, whether COTS, open source, or proprietary,
and the proposed methodology for maintaining the System in service for a minimum of
twenty (20) years from Final Acceptance.
Integration/Testing Phase
The Contractor shall submit, for Port Authority’s review and approval, Integration Test
Reports in accordance with IEEE 829, Standard for Software and System Test
Documentation.
G.
Maintenance Phase
The Contractor shall warrant all software in accordance with the requirements set forth in
the Contract Documents.
238
SUBMITTALS
The Contractor shall submit, in accordance with Section 5.18 - Submittals:
A.
Software Quality Assurance Plan in accordance with IEEE 730, Standard for Software Quality
Assurance Plans;
B.
Software Project Management Plan, including Software Development Plan, in accordance with
IEEE 1058, Recommended for Software Project Management;
C.
Software Verification and Validation Plans in accordance with IEEE 1012, Standard for System
and Software Verification and Validation Plans, and IEEE 1012a, Supplement to IEEE Standard
for Software Verification and Validation Plans: Content Map to IEEE/EIA 12207.1;
D.
Software Requirements Descriptions in accordance with IEEE 29148 – Systems and Software
Engineering Life Cycle – Requirements Engineering;
E.
Software Design Descriptions in accordance with IEEE 1016, Standard for Information
Technology – Systems Design –Software Design Descriptions;
F.
Software Reviews in accordance with IEEE 1028, Standard for Software Reviews and Audits,
for the Final Design Review;
G.
Software Test Plans in accordance with IEEE 1008, Software Unit Testing;
H.
Software Test Documentation in accordance with IEEE 829, Standard for Software and System
Test Documentation;
I.
Software Configuration Management Plan (SCMP) (as part of the overall Configuration
Management Plan described in Section 5.11.4 - Configuration Management);
J.
Software certifiable items list (as part of the Certifiable Items List described in Section 6.16.15 Certifiable Items List);
K.
Hardware Obsolescence Plan; and
SOFTWARE LICENSES AND ESCROW
A.
Prior to Final Acceptance, the Contractor shall provide all software which shall be necessary to
operate, use, test, maintain and repair the System, Subsystems, Products, equipment and other
portions of the Work, including tools required to access such software and associated design
details, to Port Authority. Such submission shall exclude COTS software used under license for
the System. The Contractor shall, however, also provide all licenses for all the software, which
shall be transferred to Port Authority and shall be for Port Authority’s perpetual and irrevocable
use.
B.
The Contractor hereby grants to Port Authority a perpetual and irrevocable, non-exclusive
license to use and, except for COTS software, copy all such software. The Contractor hereby
acknowledges and agrees that the foregoing license grant shall include the right for Port
Authority to allow its consultants and independent contractors to use the software.
C.
Prior to Final Acceptance, the Contractor shall place the source code for all Contractor and
Subcontractor developed software for the System, Subsystems, Products, equipment and other
portions of the Work, together with any related compilers and other materials that would be
necessary for Port Authority to make use of such deposited source code (collectively the
“Escrowed Materials”), in escrow, at Contractor’s expense, with a nationally recognized escrow
agent, and suggest the terms and conditions which shall be provided to Port Authority and shall
be subject to Port Authority’s review and acceptance in its sole discretion (“Escrow
239
Agreement”). The Contractor shall certify, in writing, to Port Authority that such deposit has
been made, which certification shall contain a summary and description of the Escrowed
Materials. All fees associated with the escrow shall be paid by the Contractor until the end of
the Warranty Period. Should Port Authority wish to continue the escrow after the conclusion of
the Warranty Period, the escrow shall continue and all associated fees will be payable by Port
Authority.
D.
E.
6.11
Port Authority shall be entitled to receive the Escrowed Materials from the escrow agent if:
1.
The Contractor materially breaches the Agreement or the Escrow Agreement and the
breach remains uncured for fifteen (15) days following notice from Port Authority;
2.
At any time while the Agreement or the Escrow Agreement remains in effect, the
Contractor becomes a debtor in any case filed under bankruptcy or similar laws providing
relief to bankrupt or insolvent debtors;
3.
The Contractor fails to do business in the ordinary course; or
4.
The Contractor refuses to provide maintenance, support services, reports and/or software
upgrades for the System to Port Authority where such refusal continues for ten (10) days
following notice from Port Authority to the Contractor.
The Contractor shall promptly update the Escrowed Materials after any changes or modifications
to the System and/or the software used for the System.
HARDWARE REQUIREMENTS
GENERAL HARDWARE REQUIREMENTS
A.
The Contractor shall provide all new equipment except where specifically otherwise identified.
The System shall have a minimum design life of twenty (20) years. The ability of the System to
remain in operation to the end of its design life shall be driven mainly by long-term availability
of parts.
B.
The Contractor shall propose the latest model of Products available at the time or procurement,
without impacting the schedule. The Products shall meet the requirements defined herein at a
minimum.
C.
Solid-state equipment, including vital and non-vital microprocessor-based Products shall be
provided by the Contractor. Such Products shall be of the most modern design and meet all
applicable requirement of the AREMA C&S Manual.
D.
All electronic Products shall meet the Electromagnetic Interference and Compatibility
(EMI/EMC) requirements of Section 6.12 - Environmental Requirements.
E.
The Contractor shall generate and submit a Hardware Development Plan describing the
hardware development approach, methodologies, tools, and procedures that will be used for the
development of the ATS hardware.
F.
Hardware requirements within this Section apply to both carborne and wayside equipment and
Subsystems unless otherwise indicated.
ACCESSIBILITY
A.
Accessibility of items shall be designed for effective preventive and corrective maintenance.
Test points and indicators shall be provided, whenever required, for effective maintenance.
B.
Panels and other access points shall be located for ease of maintenance. Fasteners shall be
captive. Special tools shall not be required unless necessary to prevent vandalism.
240
MODULAR DESIGN FOR CARBORNE EQUIPMENT
A.
Electrical and mechanical Products shall be organized in rack-mounted plug-in assemblies.
B.
Products of subassemblies requiring removal for preventive maintenance or occasional
corrective maintenance shall be plug-in units. Units weighing more than 15 pounds shall have
effective handling devices. Items over 50 pounds shall be supplied with adequate lifting tools
and have provisions for one-person removal and replacement. Modular design of replaceable
assemblies shall augment fault isolation and post replacement.
C.
All printed circuit boards, relays, connectors, plug-in assemblies and similar items shall be
designed to incorporate mechanical and/or electrical keying to prevent improper insertion or
operation either accidental or deliberate.
D.
Built-in test points, indicating lamps, and LEDs, shall be provided on applicable hardware
equipment. Failure indicators shall also be provided, where applicable.
E.
A means shall be provided to verify the operability of redundant or parallel hardware Products,
and associated switching devices, during the maintenance, troubleshooting and testing periods.
F.
The placement of Products in cabinets, enclosures, or confined places shall give the most
accessible positions to those items requiring the most frequent maintenance or adjustment.
G.
All racks, cabinets, enclosures and units, after installation, shall have adequate work space in
front and rear quarters such that cabling, calibration, parts change-out and any other maintenance
and configuration work can occur without physical impairment or discomfort of the technical
personnel involved with the Work.
H.
Maintenance activities on the System shall not disturb any other equipment not directly involved
in the maintenance activity (i.e., to move one rack to access another).
I.
Standard, commercially available industrial Products and hardware shall be used wherever
possible.
J.
Removal or insertion of circuit boards under power shall not result in damage to any electrical
circuit.
K.
Forced air ventilation shall not be used.
L.
If an approved software change is necessary before Final Acceptance, all previously installed
software shall be updated by the Contractor.
M.
If a hardware change (card upgrade) is required before Final Acceptance, the Contractor shall
upgrade all previously installed equipment.
N.
All monitoring equipment shall be able to be connected or disconnected from the microprocessor
system while it is in operation.
SYSTEM PRODUCT IDENTIFICATION
A.
All Products shall be permanently identified with a Supplier's name, part number, and revision
level.
B.
The Contractor shall submit for Port Authority’s review and approval a system of asset
identification to identify all LLRUs and all other replaceable Products on the System equipment,
all PTE, gauges, special tools, and initial provisions.
C.
The data for each part shall be as approved, and shall include at least the manufacturer, model
number, part number, serial number, and date of manufacture.
241
D.
The nomenclature used for cables, conduit and equipment shall be logical, consistent, and agree
with any drawings that are provided and shall be in accordance with Port Authority’s standard
practices and as approved by Port Authority.
E.
All Products, equipment and conductors provided by the Contractor shall be clearly and
permanently labeled in English (U.S. standard).
F.
All parts shall be identified with the original manufacturer's name and part number in addition to
any part number assigned by the Contractor.
G.
All labels, number plates and warning notices shall be of permanent, durable and corrosion
resistant materials securely fitted by permanent fixings and clearly and indelibly worded.
H.
All labels, number plates and warning notices used outdoors shall remain legible and not suffer
degradation from weathering throughout the specified life of the equipment.
WAYSIDE JUNCTION BOXES
A.
Wayside junction boxes shall be mounted in such a manner that no part, including doors in the
open position, will project into the Vehicle clearance envelope.
B.
Boxes shall be mounted in such a manner that no part, including doors in the open position, will
project into the Vehicle clearance envelope.
C.
Cable supports shall be used inside cases to avoid straining terminations and to maintain an
orderly installation.
D.
Wayside junction boxes shall be:
1.
E.
Stainless steel, construction in accordance with NEMA, UL Standards, or as approved by
Port Authority. Enclosures shall be made from twelve (12) gauge, three hundred-sixteen
(316) stainless steel with a NEMA 4X rating at a minimum;
2.
Equipped for terminating or busing signal cables, with all wiring accessible from the
front;
3.
Interior painted white or gray;
4.
Locking device on cover to prevent locking unless door is completely closed;
5.
Covers and other openings gasketed to provide dustproof and weatherproof enclosure;
6.
Size as needed to provide sufficient terminals, with all terminals accessible from the
front, and to accommodate minimum bending radius of wires and cables;
7.
Door or cover hinged with stops to prevent opening into path of Vehicles. Hinges shall be
replaceable castings with bronze pins;
8.
Have the ability to accept a padlock. Padlocks keyed as specified by keying plan in
Section 6.11.8.4P - Tags, Locks and Keys; and
9.
Provide a minimum of twenty percent (20%) spare terminals in each wayside junction
box.
If non-metallic junction boxes are required, the Contractor shall propose alternate junction boxes
for Port Authority’s review and approval.
F.
Terminal blocks mounted in junction boxes shall conform to AREMA Communications and
Signals Manual of Recommended Practices, Part 14.1.5.
G.
Wayside junction boxes shall be grounded. A separate ground wire exothermically welded to the
grounding conductor shall be connected to the minimum 0.375 inch stud bolt furnished with the
box. Resistance between the wayside junction box and ground shall not exceed 15 ohms.
242
ISOLATION AND REGULATION
A.
The Products and equipment shall be provided complete with the necessary isolation and power
regulation devices to assure its safety, performance and reliability under service conditions.
B.
Inputs for the Products and equipment shall be electrically isolated from one another.
C.
Vital outputs for the Products and equipment shall be electrically and physically isolated from
one another.
D.
Use of any output contact for a load in excess of its design capability is not permitted.
ELECTRICAL AND ELECTRONIC PRODUCTS
A.
Semiconductors
B.
All semiconductors used in the wayside or carborne Subsystems shall comply with the
following requirements:
1.
The use of integrated circuits shall be such that manufacturer ratings are not exceeded
under normal operation. Integrated circuits shall be protected against over-voltage and
noise in the designed insulation; and
2.
Zener diodes used for voltage regulation or reference levels shall not be damaged if the
entire load is removed, and have a Zener voltage tolerance of plus or minus five percent
(5%) maximum. Zener diodes used for transient protection shall not be damaged in
performing their function under all actual operating conditions of the ATS.
Electronic Products
All electronic Products in the wayside and carborne Subsystems shall comply with the following
requirements:
1.
C.
Resistors shall have a maximum tolerance of plus or minus five percent (5%) and be
rated to dissipate a minimum of 1.5 times the maximum operating peak voltage;
2.
Capacitors of ten (10) microfarads or less shall have a maximum tolerance of plus or
minus ten percent (10%) and be rated for at least 1.5 times the maximum operating
peak voltage;
3.
Capacitors greater than ten (10) microfarads shall have a maximum tolerance of plus
seventy-five percent (75%) to minus fifty percent (50%) and be rated for at least 1.5
times the maximum peak operating voltage; and
4.
Inductors shall have impregnated windings and withstand twice the maximum peakto-peak voltage of their normal operation.
Transformers
All power transformers used in electronic modules shall have:
1.
2.
D.
Minimum interwinding breakdown voltage of 3000 V DC; and
Emitted audible noise not in excess of 40dB referenced to 0.0002 dynes/square
centimeter at a distance of 2 feet while operating at rated voltage and load.
Printed Circuit Boards (PCBs)
1.
Printed circuit boards shall meet the following requirements:
a.
Printed circuit cards a glass epoxy construction meeting the requirements of
NEMA Type FR-4;
b.
Printed circuit cards thickness sufficient to permit easy insertion and removal
without buckling or breaking;
243
c.
E.
Printed circuit cards shall be marked with the identification of each component
adjacent to the place where it is installed. The Contractor shall provide diagrams
illustrating the layout and identification of each component on the card for
approval by Port Authority;
d.
Circuits shall be formed by etching; and
e.
Conductor material shall be copper coated with an industry standard approved
proofing compound for protection from exposure to air, dust and moisture.
2.
Printed circuit card connectors and associated terminals shall meet the following
requirements:
a.
Etched on both sides of printed circuit card connections;
b.
Gold plated 0.000050-inch thick minimum, unless otherwise approved by Port
Authority;
c.
Insulation resistance greater than 1000 Megaohms at 500 VDC;
d.
Temperature rating of 32 to 220 degrees F;
e.
Connector shall withstand card removal/insertion for regular maintenance; and
f.
Keyed to accept only those cards intended for that particular position, unless an
electrical keying scheme is employed.
Plug Connectors
Plug connector assemblies shall consist of the following:
1.
F.
Two-part molded plastic connector block equipped to hold an appropriate number of
solder-less pin and socket contacts;
2.
Devices for the mechanical locking and keying of the connector block halves;
3.
Protective shells for both connector block halves;
4.
A strain relief device for the external wiring portion of the connector assembly;
5.
Solder-less, extractable pin and socket connectors; and
6.
Embedded wire wrap terminals for the integral wiring portion of the connector block.
Push Buttons and Indications
Push button switch and indicator requirements include:
1.
Switches shall be heavy-duty with electrical characteristics, ratings, and accessories as
required for circuit application;
2.
Push-button switches shall have silver-plated or silver-alloy terminals;
3.
Indicators and push button switches shall have insulation resistance of at least one (1)
mega-ohm to case at five hundred (500) VDC;
4.
Contacts shall have maximum resistance of 0.10 ohm at three (3) VDC and ten (10) mA
load. Minimum open contact resistance shall be fifty (50) mega-ohms; and
5.
Contacts shall be rated for inductive loads. The contacts shall normally operate at not
more than twenty (20) percent of the manufacturer’s inductive rating for twenty-five
thousand (25,000) cycles of operation at twenty-five (25) degrees Celsius.
WAYSIDE CABLE REQUIREMENTS
A.
The Contractor shall furnish, install, connect and test all wire and cable required for the System
wayside equipment.
B.
Cable with insulating and jacketing materials capable of a 40-year average service life shall be
provided.
244
C.
Cable shall be suitable for installation at 5 degrees F.
D.
Capacitance of cables shall be within the limits prescribed by the manufacturer of the Products and
equipment to which the cable is connected.
E.
All cable and/or wire that is deployed in the tunnel, and cut and-cover areas shall be provided with
low smoke zero halogen jackets, and meet all of the Fire, Smoke and Smoke Toxicity requirements
of AREMA C&S Manual section 10.3.
F.
Cables shall have a minimum voltage rating for 600 Volts.
G.
Conductors shall be sized to ensure operation of the Products and equipment based on the equipment
loads and operating parameters for the System in accordance with the NEC and AREMA
Communications and Signal Manual.
H.
Coated conductors of annealed copper wire shall be in accordance with ASTM B33. Class B and
Class C stranded conductors shall conform to ASTM B8, Table 2, and Class G stranded conductors
shall conform to ASTM B 173.
I.
Exterior cable shall be suitable for direct burial unless otherwise approved by Port Authority.
J.
Exterior cable shall be certified for continuous operation at 194 degrees F.
K.
Each length of wire shall be permanently identified at regular intervals, not to exceed 24 inches, with
its size, manufacturer’s name, month and year of manufacture, and wire number for multi-conductor
cable.
L.
The Contractor shall submit the following:
Manufacturer’s Product Data, including characteristics, limitations, gauges and
materials.
Results of control testing.
Justification that the product is suitable for use in this application and evidence that it
has been used in a similar application and environment.
Samples of each type of cable to be supplied cut to 3 inch in length.
6.11.8.1 CONTROL TESTING
A.
The following control tests shall be performed during manufacture.
Voltage and insulation resistance tests on cables in accordance with ICEA S-95-658,
modified as follows:
a.
Test potentials for both AC and DC as specified herein;
b.
All immersion tests after 24 hours minimum immersion;
c.
Individual conductors of multiple conductor cables tested before assembly as
specified for single conductor cables;
d.
Shield isolation test on all combinations of pairs and over-all shield. After one
minute at 500 volts, minimum resistance shall be 0.1 Megaohms per 1 foot;
e.
Conductor resistance test on all cables in accordance with ICEA S-95-658;
and
f.
Physical characteristic tests on at least one sample from each type and size of
cable in accordance with ICEA S-95-658.
245
AC voltage withstand test on each shipping reel of finished cable at the test insulation
voltage for 1 minute prior to shipment.
B.
The Contractor shall furnish the certified electrical and physical test reports for the finished wire and
multiple conductor cables no later than the time of shipment. Each test document shall, in addition
to the test results, indicate the date the tests were performed and shall bear the signature of the
manufacturer's authorized representative.
6.11.8.2 INSULATION FOR EXTERNAL CABLES
A.
The insulation material of cables shall be properly vulcanized black ethylene-propylene rubber
compound (EPR). The insulation shall have moisture, chemical, mechanical and heat resistance
characteristics, suitable for an installed temperature of –40C and maximum continuous
operating temperature of 90C.
B.
The insulation shall meet the dimensional, electrical and physical properties in AREMA
Communications and Signals Manual.
C.
The insulation shall be applied concentrically and adhere tightly to the conductor surface but be
free stripping and leave the conductor clean, unimpaired and ready to use.
D.
Each length of conductor, prior to cabling, shall be subjected to the tests of AREMA
Communications and Signals Manual and other necessary tests specified in the Agreement.
6.11.8.3 SHIPPING, STORAGE AND HANDLING
A.
Shipping, storage and handling shall be in accordance with AREMA Communications and
Signals Manual.
B.
The Contractor shall provide all reel handling equipment, for transporting, loading, unloading,
setup, and installation of the wire and cable.
C.
All wire and cable shall be shipped on reels, adequately protected from damage in shipment.
D.
Each length of cable shall be wound on a separate reel. Wire shall be shipped on non-metal,
non-ferrous, reels or spools. Reels or spools shall be substantial enough to withstand multiple
handling and shall be so designed that the inner end of the cable will be accessible but protected
from damage. The diameter of the drum shall be at the ratio to the cable diameter specified in
the AREMA Communications and Signal manual to prevent damage to the cable during reeling.
E.
Cable shall be closely and tightly wound in each layer and both ends shall be sealed to prevent
the entrance of moisture. The cable ends shall be securely fastened to the reel so as not to come
loose in transit.
F.
Cable shall be sealed against the entrance of the moisture during storage and handling prior to
final conductor termination. Both ends of each length of cable shall be protected by suitable
means. The use of friction tape, other than an external mechanical protection over an adequate
rubber and/or plastic tape, is not acceptable. The cable end protection shall be adequate to
protect the cable in shipment and prolonged external storage in the weather.
G.
The wire and cable shall not be abraded or damaged during shipping and handling. The
condition of the wire and cable shall be inspected upon delivery, and as the wire and cable is
being installed, to ensure that no damage has occurred. Any damages noted shall be reported to
Port Authority. Damaged wire and cable is not acceptable and shall be replaced at no additional
cost to Port Authority.
246
H.
I.
Each reel or spool shall be marked with weather resistant tags, identifying the amount of wire
per continuous length and the number of lengths. In addition, the following information shall be
included on the tags:
1.
Manufacturer's Part Number;
2.
Wire size and stranding;
3.
Date of manufacture;
4.
Name of manufacturer; and
5.
Cable description, if applicable.
The Contractor shall exercise care in the shipping, handling, laying or pulling in, splicing and
housing of all wire and cable. The Contractor shall ship, store and handle material as specified in
the AREMA C&S Manual, Part 10.4.1.
6.11.8.4 INSTALLATION
A.
During installation, the Contractor shall not bend the cable tighter than recommended by the
manufacturer.
B.
Exposed cable will not be permitted along the wayside.
C.
Wires shall not be allowed to cross one another when pulled into a conduit. Kinking shall be
prevented in conduit fittings or boxes. All cables and wires to be installed in a conduit shall be
installed at the same time.
D.
All exposed wires and cables entering or leaving signal equipment housings, junction boxes,
relay rooms and cable transition points shall be protected from abrasion. Chase nipples shall be
provided in drilled or punched openings in housings and junction boxes. Openings in equipment
enclosures and junction boxes shall have split ring plastic grommets.
E.
Cable installed in conduit, regardless of length, shall not exceed the maximum fill
recommendations of the manufacturer and the requirements of the NEC and local codes. Where
the aforementioned codes do not apply, the maximum fill shall not exceed 60 percent.
F.
Taps and in-line splices shall not be permitted in any cable. Cables and wires shall be brought
into the junction boxes or other housings/rooms and terminated.
G.
Sufficient slack in wires and cables at junction boxes shall be provided to allow for tidy
arrangement of wiring within the junction box.
H.
Whenever it becomes necessary to cut any cable, the cut ends shall immediately be capped and
sealed as per the manufacturer’s instructions.
I.
The Contractor shall exercise care while handling cables so as not to subject the jacket to undue
abuse. Cables shall not be pulled over rocks, fences or other sharp objects.
J.
The Contractor shall install cables in one continuous length. The Contractor shall measure each
run before pulling and cutting cable lengths from the reel.
K.
The Contractor shall furnish and place cable sealing compound to seal all cable openings in
walls and floors and cable entrances to equipment housings/rooms, junction boxes, all duct or
pipe openings, including spare openings, after cables have been installed.
L.
Once sealed, installations shall be water tight.
M.
Great care shall be exercised in handling the cable and, in pulling the cable in ducts and
conduits, and in laying the cable in trenches to prevent damage to the insulation.
247
N.
Cable splicing to repair damaged cable will not be permitted and any length of cable damaged
shall be replaced at the Contractor's expense with cable of the same size, make, type and quality.
O.
Testing
1.
P.
Q.
Ground Tests: Tests for ground on each energy bus furnishing power to circuits shall
be made when each such energy bus is placed in service.
2.
Insulation Resistance Tests:
a.
Insulation resistance of wires and cables shall be tested when wires, cables, and
insulation are dry, in accordance with AREMA C&S Manual Part 10.4.30.
b.
Insulation resistance tests shall be made between all conductors and ground, and
between conductors in each multiple conductor cable, and between conductors in
trunking, when wires or cables are installed.
c.
If insulation resistance of wire or cable is found to be less than five hundred
thousand (500,000) ohms the defective wire or cable shall be promptly repaired
or replaced.
d.
In no case shall a circuit be permitted to function on a conductor having an
insulation resistance to ground or between conductors of less than two hundred
thousand (200,000) ohms during the period required for repair or replacement.
Tags, Locks and Keys: The Contractor shall submit the following for Port Authority’s review
and approval:
1. Product Data, Shop Drawings and Specifications for all tags, locks and keys;
2. Samples of each type of tag, lock and key; and
3. A method of equipment identification coding.
Tags
1.
2.
3.
4.
Tags shall meet the following requirements:
a.
Stencils: Stencils shall have white enamel paint;
b.
Flat Tags: Flat tags shall consist of laminated phenolic or vinyl plastic, white
with black lettering. They shall have a minimum two holes for screw mounting
and minimum thickness 0.050 inch;
c.
Wire tags: Wire tags shall consist of white vinyl plastic with black lettering,
protected by a 0.005 inch clear over laminate. Lettering minimum shall be 0.125
inches in height with minimum 0.094 inch spacing between lines; and
d.
Cable Tags: Cable tags shall have the same requirements as wire tags, except
they shall be attached to the cable with pre-tied nylon cord loops.
A unique equipment identification code shall be provided and installed for each type of
fixed equipment and replaceable element. The identification code shall be up to 10 digits
in length and the method of coding shall be submitted for review and approval by Port
Authority prior to submittal of wiring diagrams/shop drawings.
Sleeve tags shall be installed on each end of all wires showing the origin and destination.
Tags shall not obscure connecting links used between terminal binding posts. Tags shall
be installed so that they can be read with a minimum of disturbance to the tags and
wiring.
Stencil tags shall be installed on:
a.
Field cases and junction boxes using 1.5 inch lettering to identify location; and
b.
Relay and equipment racks and cabinets, using 0.75 inch lettering to identify
racks and cabinets.
248
5.
6.
7.
Flat tags shall be installed on:
a.
Relay plugboards to show relay designation;
b.
Equipment to show equipment designation; and
c.
Main terminal board to identify cables.
Wire tags with circuit nomenclature, location, and destination shall be installed:
a.
On terminal ends of all wires and cable conductors installed;
b.
Adjacent to terminals or binding posts;
c.
Tags shall not slide off the wire when wire is disconnected from its termination
point; and
d.
Tag shall be applied to cable conductors as conductors are verified during testing.
Nomenclature shall be verified at both ends.
Cable tags shall be installed at the entrance of every case, junction box, hand hole, and
Relay Room. Cable tags showing cable identification, with pre-tied nylon cord loops on
the cable sheath near the pothead shall be provided.
LOCKS AND KEYS
A.
Locks and keys shall meet the following requirements:
1.
2.
3.
Padlocks shall be or include:
a.
Same as now in service on existing LRT System manufactured by American
Lock or an Approved Equal;
b.
All manufactured by the same manufacturer;
c.
Solid block of extruded brass;
d.
Shackle of heavy wrought brass or stainless steel;
e.
Six-pin cylinder type; and
f.
Suitable for outdoor use.
Keys shall be or include:
a.
Brass;
b.
Not commercially duplicable; and
c.
Coding unique to Port Authority’s LRT System:
i.
For all cases, cabinets and switch machines – American Lock key #54832 or
Approved Equal.
ii.
For all grade crossing cases – American Lock key #44368 or Approved Equal.
Keying arrangement shall be or include: The keying arrangement shall be the same as
that used on existing Port Authority’s LRT System.
CONDUITS
A.
The work of this Section includes, but is not limited to, the following activities:
1.
2.
3.
4.
5.
6.
Excavation;
Conduit installation;
Connection to existing conduits;
Bedding;
Concrete encasement;
Detectable warning tape; and
249
B.
7.
Backfill and compaction
Existing conduits at the Site shall be assumed to contain live circuits. The Contractor shall
disconnect such circuits from the electrical power sources, as required, and reconnect as noted
on the drawings.
C.
The Contractor shall provide manufacturer’s standard catalog data for all items described in the
Contract Documents indicating conformance and compliance with standards and criteria
indicated.
D.
The Contractor shall prepare and submit installation drawings to Port Authority for review and
approval showing conduit arrangement detail, grounding, and offset from running rail that meets
clearance requirements as specified.
RIGID STEEL CONDUIT
A.
Rigid steel conduit shall be in accordance with Federal Specification WW-C-581d, ANSI C80.1,
UL No.6, NEMA RNI-1980, and NEC.
B.
The conduit shall be hot-dipped galvanized, including threads and pipe interior (threads shall be
galvanized after cutting).
C.
Conduit Fittings and Accessories shall be galvanized steel and meet the requirements of FS, WF-408.
D.
Couplings, entrance elbows, sweeps and all other steel conduit fittings and hardware shall be
cast malleable iron, hot-dipped galvanized in accordance with the Contract Documents. All
exposed conduit ends shall be protected. Liquid tight connectors shall be used where a cable or
wire exits a conduit end.
E.
Conduit Hubs: Watertight, with neoprene gasket, nylon insulated throat and case-hardened
locknut.
F.
Grounding: Nylon insulated metal bushing.
G.
Conduit sealing bushings: O-Z/Gedney type KR, or Approved Equal.
H.
Conduit Straps, Clamps, Back and Spacers - Hot-dip galvanized malleable iron.
CONDUIT EXPANSION FITTINGS
A.
The end couplings shall be of the same material as those of the conduits to be coupled.
B.
Neoprene sleeves attached to the end couplings by stainless steel bands shall accommodate an
axial expansion or contraction from normal of three quarter (3/4) inch minimum in either
direction, parallel misalignment of the axis of coupled conduit runs, in any direction, parallel
misalignment of the axis of coupled conduit runs, in any direction, of three quarter (3/4) inch
minimum, and an angular misalignment of the axis of coupled conduit runs, in any direction, of
thirty (30) degrees minimum.
C.
A tinned flexible copper braided bonding jumper, integral with the expansion fitting, shall be
attached to the end couplings to provide electrical continuity for all metal conduits.
PVC CONDUIT
A.
Conduits shall be UL listed and rated for use with 194° Fahrenheit conductors.
B.
Schedule 40 and Schedule 80 PVC conduits shall comply with NEMA TC-2 and UL 651, and
have the following minimum properties:
1.
Tensile Strength: ASTM D638, 5,000-6,500 psi, at 73.40 F;
250
C.
2.
Flexural Strength: ASTM D790, 12,500 to 14,700 psi;
3.
Compressive Strength: ASTM D695, 9,000 psi;
4.
Dielectric Strength: ASTM D149, 1,100 Volts, per mil;
5.
Conduit Cement: As recommended by the manufacturer; and
6.
Fittings: In accordance with NEMA TC-3 and UL 514B.
7.
Duct Spacers: Plastic, interlocking type for use with PVC conduit.
8.
Liquid-tight flexible metallic conduit and fittings:
The Contractor shall furnish conduit consisting of a core of flexible galvanized steel with an
extruded liquid-tight neoprene jack overall. Use where applicable, such as switch machines to
junction boxes.
D.
The Contractor shall furnish conduits of 1.25 inches diameter and smaller with a continuous
copper bonding conductor spiral wound between the convolutions.
E.
The Contractor shall provide fittings that are cadmium or zinc-coated and meet the requirements
of UL Standard 514.
F.
All metal conduits installed on tunnel walls shall include an insulating non-conductive bushing
spaced apart as required to isolate sections of the conduit to a maximum length of five hundred
(500) feet between bushings.
G.
Detectable warning tape shall be installed within all PVC conduits.
H.
Conduits shall be installed in accordance with manufacturer’s recommendations, NECA
“Standard of Installation”, and PENNDOT 408, Sections 910.3 and 954.3.
I.
No more than three (3) ninety (90) degree bends throughout the length of a duct bank run shall
be installed.
EXCAVATION AND BACKFILL
A.
The Contractor shall use non-destructive excavation techniques, such as hand excavation or a
“hydrovac” type system, for all excavations to maintain full, uninterrupted, operational integrity
of all existing systems, services and facilities, including, but not limited to, signal and track
systems, gas, electricity and other utilities.
B.
The Contractor shall use a protective covering over track ballast to prevent contamination during
excavation and backfill operations. Any contaminated ballast shall be removed. The Contractor
shall restore the ballast to original condition.
C.
Prior to excavation, the Contractor shall stake or mark trench alignments which deviate from the
indicated locations for inspection and approval by Port Authority.
D.
Buried conduits shall be encased in sand. Backfill shall cover the sand and a geogrid fiber shall
be placed between the backfill and subballast.
E.
All conduits must be sealed with an approved sealant to prevent damage due to flooding.
F.
The Contractor shall use suitable caps to protect installed conduit against entrance of dirt and
moisture.
G.
The Contractor shall seal ends of partially installed conduit runs upon the temporary suspension
of work.
H.
The Contractor shall repair field damage to any galvanized finishes by painting with two coats of
dust-zinc oxide paint, in accordance with ASTM A 780, or with an acceptable equal.
251
I.
The Contractor shall comply with 73 P.S. §180 and all applicable regulations, prior to any
excavation, drilling, or demolition work. "BEFORE YOU DIG" Call Pennsylvania One Call 1800-242-1776.
CONNECTION TO EXISTING CONDUIT
A.
The Contractor shall clean existing conduit ends prior to applying solvent cement and follow
manufacturer's instructions.
B.
When required, conduit shall be square cut with all ends smooth and free of burrs and fins.
Conduit ends shall be accurately tapered or finished to properly mate with couplings and fittings.
A method for connecting to existing conduit shall be submitted for Port Authority’s for review
and approval. All conduit joints shall be sealed with waterproof solvent cement as per the
manufacturer's instructions.
DEPTH OF COVER
A.
A five (5) inch PVC conduit shall have a minimum cover of three (3) feet at all times.
B.
The Contractor shall notify Port Authority when it is not possible to adhere to the conduit
placement details and minimum cover requirements due to the underground obstructions and in
such cases, the Contractor shall complete the installation as approved by Port Authority at no
additional cost to Port Authority.
EMBEDDED CONDUIT
A.
Reinforcing steel may be shifted to accommodate conduits.
B.
The Contractor shall not cut or remove reinforcing steel.
C.
Conduits shall not be spaced closer than 3 diameters apart on center.
SUBMITTALS
The Contractor shall submit the following for Port Authority’s review and approval, in
accordance with Section 5.18 - Submittals:
A.
Hardware Development Plan;
B.
Hardware Obsolescence Plan, in accordance with Section 6.10.7;
C.
Manufacturer’s Product Data including characteristics, limitations, gauges and materials for all
cabling;
D.
Justification of cabling selection;
E.
Product Data, Shop Drawings and Specifications for all tags, locks and keys;
F.
Samples of each type of tag, lock and key;
G.
Equipment Identification Coding Method for tags, locks and keys; and
H.
Product Data, Shop Drawings and Specifications for printed circuit cards, integrated circuits and
printed circuit card connectors.
6.12
ENVIRONMENTAL REQUIREMENTS
GENERAL
A.
This Section details the range of environmental conditions for storage and operation of all
Products and equipment for use for the System. All Products and equipment provided must
meet all performance requirements of Port Authority’s environment.
252
B.
The System shall be designed to operate in the electromagnetic environment of Port Authority’s
LRT System and shall not cause any interference to other systems.
C.
All Products and equipment used shall be selected, designed and installed with considerations
given to the electromagnetic environment which includes, but is not limited to, traction power
supplies, AC power distribution systems, Vehicle propulsion systems, communications systems,
adjacent railroads and electrical lines
D.
The Contractor shall ensure each portion of the Products, Subsystems and System installed as
part of the Work, shall comply with:
1.
2.
3.
4.
The requirements of AREMA Communications and Signals Manual, Section 11.5.1 for
the Class of Environment in which it is located;
The requirements of IEEE 1478-2001 for the Class of Environment in which it is located;
The requirements of AREMA with respect to EMC and EMI; and
The requirements of MIL-STD-810G with respect to testing methods for environmental
requirements.
CLASSES OF ENVIRONMENT
A.
The Products, Subsystems and System will operate in multiple environments ranging from
environments which have no controls or conditionings applied to environments where conditions
are controlled to a predetermined level. In order to specify operating ranges for each Product or
equipment used, the environments are subdivided into the following eight categories.
1.
2.
3.
4.
5.
6.
7.
8.
Class A: Roadbed – All Products and equipment directly attached to track or mounted
between ties, within striking distance of debris falling from or attached to a Vehicle;
Class B: Wayside Outdoors – All Products and equipment located within twenty (20) feet
of track centerline, but not directly on the track bed;
Class C: Wayside Signal Enclosures – All Products and equipment installed in cases,
which provide basic shelter from rain and snow. No heating, air conditioning or humidity
control is provided;
Class D: Wayside Control Rooms – All Products and equipment installed in relay rooms
or large enclosures, which provide basic shelter from rain and snow. Heating, air
conditioning and humidity control is provided.
Class E: Computer Rooms – All Products and equipment located in Central Control and
Tower Rooms
Vehicle Interior – All Products and equipment mounted in the enclosed interior spaces of
the LRV. This category of environmental conditions is defined as E4 and E5 in IEEE
Standard 1478-2001;
Vehicle Exterior, Body Mounted – All Products and equipment mounted on space outside
the enclosed areas of the Vehicle, which is exclusive of direct contact with the rails. This
category of environmental conditions is defined as E3 in IEEE Standard 1478-2001; and
Vehicle Exterior, Truck Mounted – All Products and equipment mounted on unsprung
components of the Vehicle. This category of environmental conditions is defined as E1
and E2 in IEEE Standard 1478-2001.
WAYSIDE ENVIRONMENTAL REQUIREMENTS
A.
Wayside Products and equipment shall be categorized in accordance with the AREMA
Communications and Signals Manual, Section 11.5.1.
253
B.
All Products and equipment shall be designed to operate reliably and without damage over a
temperature range of minus 40 degrees F to plus 158 degrees F (minus 40 degrees C to minus 70
degrees C).
CARBORNE ENVIRONMENTAL REQUIREMENTS
A.
Carborne Products and equipment shall be categorized as Vehicle Interior, Vehicle Exterior Body Mounted or Vehicle Exterior - Truck Mounted.
B.
All carborne Products and equipment shall be able to operate without any degradation in
performance under the conditions identified in IEEE 1478-2001 for the respective category.
ENVIRONMENTAL CONTROL
A.
The environmental acceptance tests may be waived by Port Authority provided the following
conditions are met:
1.
B.
Products and equipment has been previously tested and certified compliant to the
environmental requirements specified in the Contract Documents.
2.
The Contractor submits to Port Authority, for Port Authority’s review and approval,
applicable certified test data and contract number under which tests have been performed
that demonstrate the above conditions.
3.
Products or equipment that has been previously tested and certified, but has undergone
hardware modifications, shall be required to undergo all environmental testing.
4.
All environmental testing shall be performed while Products or equipment are operational
and setup identical to the actual field installation and the operating environment.
All testing shall be performed either at the Contractor's facilities or by an independent testing
laboratory. The facilities or testing laboratory shall be accredited by either the National Institute
of Standards and Technology or the American Association for Laboratory Accreditation.
PLANNING
A.
The Contractor shall prepare an Environmental Qualification Plan in accordance with MIL-STD810G and IEEE 1478, encompassing all wayside and carborne Subsystems and the System,
providing a detailed description of the environmental engineering management program for the
Work.
B.
The Environmental Qualification Plan shall ensure coordination of activities with the Systems
Engineering Management Plan.
C.
The Contractor shall prepare an EMC / EMI Control plan, for review and approval by Port
Authority, documenting the approach to be taken to demonstrate and ensure that all supplied
Products and equipment will operate, without degradation or failure resulting from the installed
environment, nor cause any other products or equipment, existing or new, degradation or failure
due to emitted interference.
D.
The EMC / EMI Control plan may be incorporated into the Environmental Qualification Plan or
submitted as a standalone document.
E.
The Contractor shall prepare EMC / EMI Test Plan(s), for Port Authority’s review and approval,
to document the proposed environment testing necessary to ascertain the installed environment
characteristics.
F.
The Contractor shall prepare Environmental Qualification Test Plans and Procedures, for Port
Authority, to document the proposed environmental qualification testing for each Product,
equipment and Subsystem and for the System.
254
TESTING
A.
The Contractor shall execute all test plans and document results in EMC / EMI test report(s) and
environmental qualification test reports accordingly, for Port Authority’s review and approval.
B.
Where any EMC / EMI test to establish the installed environment generates results that differ
from those specified by standards, the most stringent of the measurements or standards shall be
used by the Contractor.
C.
Environmental qualification test reports shall clearly identify the pass/fail status of each test.
Where any test is failed, a clearly defined remedial action report shall be included in the test
report, identifying the reason for the failure and the proposed remedial action.
D.
No Product, Subsystem or the System shall be installed by the Contractor until it has
successfully passed qualification testing, except where approved in writing by Port Authority.
SUBMITTALS
The Contractor shall submit the following for Port Authority review and approval, in accordance
with Section 5.18 - Submittals:
A.
Environmental Qualification Plan;
B.
EMC/EMI Control Plan;
C.
EMC / EMI Test Plan;
D.
Environmental Qualification Test Plans and Procedures;
E.
EMC / EMI Test Report; and
F.
Environmental Qualification Test Reports.
6.13
SYSTEMS ENGINEERING
This Section defines the requirements to establish and implement a comprehensive Systems
Engineering process which focuses on the structured definition, design, implementation,
Verification and Validation of the entire System, as embodied by IEEE 1220, Standard for
Application and Management of the Systems Engineering Process, or IEC 15288, System and
Software Engineering – Systems Lifecycle Processes.
SYSTEMS ENGINEERING LIFECYCLE
A.
The Systems Engineering lifecycle shall be consistent with the V-Model.
B.
The Systems Engineering Submittals shall follow a strictly sequential, hierarchical submittal
model, as embodied by the V-Model, unless otherwise approved, in writing, by Port Authority.
C.
The Systems Engineering Submittals shall be modularly structured in accordance with the
architecture of the System.
D.
Where the Contractor can make a clear and robust case for the System, or part thereof, being
able to be treated as a COTS system, the Systems Engineering activities may be tailored to
support the specification for procurement rather than the specification for functional
development, subject to approval by Port Authority. The Contractor shall request such approval
through the Systems Engineering Management Plan.
LEAD SYSTEMS ENGINEER
A.
The Lead Systems Engineer shall be the single point contact, responsible for all Systems
Engineering and Systems Integration issues and coordination of all such issues with Port
Authority.
255
B.
The Lead Systems Engineer shall have the appropriate and necessary reporting authority within
the Contractor’s organization so as to be able to ensure coherence of multi-disciplinary
requirements, design, implementation, documentation, integration, verification and validation
throughout the System lifecycle.
C.
The responsibilities of the Lead Systems Engineer shall include, but not be limited to:
1.
2.
3.
4.
5.
6.
Providing Systems Engineering and Systems Integration Submittals listed herein;
Coordinating all Systems Engineering activities;
Coordinating all interdisciplinary and cross-functional interface design;
Coordinating with personnel to ensure mitigation of hazards;
Coordinating Systems Engineering activities to provide a coherent Systems Integration
process; and
Advising Port Authority of recommended actions that may affect areas which are outside
the scope of the Work.
SUBMITTALS
The Contractor shall submit the following in accordance with Section 5.18 - Submittals:
A.
Systems Engineering Management Plan (SEMP), detailing the planned execution of the Systems
Engineering process, in accordance with IEEE Std. 1220, Standard for Application and
Management of the Systems Engineering Process, IEC 15288, Systems and Software
Engineering – Systems Lifecycle Processes. The SEMP shall include the Requirements
Management Plan, detailing the planned processes and procedures to be used in the management
of requirements, the toolset to be used for requirements management and the proposed structure
of the recorded dataset including full details of traceability.
B.
Verification and Validation (V&V) Plan, detailing planned V&V activities of the System. The
plan shall include, at a minimum, the V&V organization, V&V activities for each Subsystem,
and methodology for maintaining traceability and acceptance criteria.
C.
Concept of Operations, in accordance with IEEE Standard, IEEE P1362, IEEE Guide for
Concept of Operations Documents or equivalent. The plan shall fully describe the characteristics
of the System from the users’ viewpoint and shall be used as a focus for subsequent Systems
Engineering activities.
D.
System Design Description providing a plain English description of the System Requirements
Specification, fully traceable to the System Requirements Specification.
E.
System and Subsystem Requirements Specifications, in accordance with the Requirements
Management Plan, for the System and the Subsystems. Such Specifications shall include, but not
be limited to:
1.
2.
3.
4.
5.
6.
7.
8.
Unique ID;
Requirement text;
Safety Criticality;
V&V methodology (analysis, observation, test, etc.);
Process control;
Traceability;
Revision history; and
Model of the System architecture, detailing the Products, their interaction and
interconnection. The model of the System architecture shall employ the National ITS
256
Architecture, or other suitable standard subject to approval by Port Authority as a
framework. The model shall include, but not be limited to:
a. Devices, Products and Subsystems;
b. Production and development of hardware/operating systems;
c. Major software objects or Products, both process and data, and their interactions; and
d. The System architecture; and
e. All other Systems Integration and Systems Engineering documentation produced by
the Contractor throughout the duration of the Agreement.
6.14
SYSTEM DEMONSTRATION
The System Demonstration shall comprise all essential features of the System, and provide
assurance that that the System shall fulfill the functional and performance requirements set forth
in the Contract Documents.
GENERAL
A.
The Contractor shall supply and install a complete prototype of the carborne ATS on one
Siemens Vehicle and one CAF Vehicle. The Contractor shall also install the wayside ATS
Subsystem on a portion of the LRT network to facilitate System Demonstration.
B.
The prototype carborne ATS Subsystem when installed on each of the Vehicles shall allow the
operation of the carborne ATS equipment from each end of the Vehicle and when Vehicles are
coupled together.
C.
The Contractor shall disconnect or bypass the existing ATS equipment during the System
Demonstration and shall reconnect upon the completion of the System Demonstration.
Thereafter the Contractor shall remove the prototype from the Vehicles.
D.
The Contractor shall return all existing equipped carborne and wayside equipment to a safe
working state to operate under the existing signal system after the System Demonstration is
successfully completed.
E.
The prototype shall be a pre-production set of ATS carborne equipment for the FDR to
demonstrate proof of design. The purpose of installing prototype carborne ATS Subsystem in
advance of the FDR is to ensure proper interfaces and compliance with the requirements of the
Contract Documents prior to commencement of manufacturing and approval of final design.
F.
The Contractor shall be responsible for installation of the ATS carborne equipment on the
Vehicles in accordance with the Installation Plan, drawings, equipment, manuals and tools to
verify proof-of-design and proof-of-production instructions. The Contractor shall perform a test
program which demonstrates the Vehicle/ATS interfaces and ensures that the System is in
compliance with the Contract Documents. The prototypes shall also establish the process,
procedures and designs that shall be used for retrofit of the Vehicles and wayside as per the
Contract Documents requirements.
G.
The Contractor shall provide technical support in the form of drawings, SSWPs and the full-time
attendance of the Contractor's field engineering staff for the installation of the carborne and
wayside ATS equipment and for the prototype testing.
H.
This production equipment shall be fully representative of production ATS hardware, with
sufficient ATS software available to test and validate all internal and external System interfaces.
I.
During the prototype System Demonstration, the Contractor shall verify at a minimum, the
following interfaces and functionality:
257
1.
2.
J.
System mode selection and transitions;
Dynamic System Vehicle operation (i.e. interfaces to speed sensors, signals and braking
systems);
3.
Operations of the System and Driver’s Panel from either end of the Vehicle and when
Vehicles are coupled together;
4.
Ability of carborne ATS equipment to reliably receive and process wayside information
from RFID tags;
5.
Normal operating scenarios, including Key-By and brake reset; and
6.
Failure scenarios.
Test equipment shall be provided that is capable of recording items such as messages sent,
received, lost and corrupted.
K.
The Contractor shall create a range of known conditions and failure modes to demonstrate the
performance under degraded operation and the expected EMI environment. These conditions
shall be submitted for review and approval by Port Authority.
L.
The Contractor shall submit a System Demonstration Plan which shall provide the details of how
the Contractor plans to execute the System Demonstration. The Plan shall contain proposed tests
and criteria for determining the System Demonstration is successful. The System Demonstration
Report shall provide a summary of all issues found during the System Demonstration, all testing
performed and test results.
SYSTEM DEMONSTRATION AREA
A.
A System Demonstration area shall be equipped to support the testing and commissioning of the
System.
B.
The System Demonstration area shall include a yard test track and on at least a one mile length
of the main line in an area to be identified by Port Authority. The main line test section shall
include a divergent route and a direction reversal.
C.
The main line test section shall be equipped with temporary RFID tags if permanent RFID tags
are not installed.
D.
Tests shall be conducted to ascertain the robustness of the design. Tests to be performed shall be
as approved by Port Authority.
E.
The System Demonstration Area wayside Subsystem shall either be removed upon completion
of testing and the area restored to its original configuration, or upgraded to meet the
requirements of the Contract Documents while the section is being commissioned, at the
discretion of Port Authority.
F.
The System Demonstration area is subject to approval by Port Authority, and Port Authority
shall advise the Contractor of the specific location once determined.
G.
The Contractor shall equip the System Demonstration area to be fully functional including full
working interface to the wayside signals.
H.
The System Demonstration area shall consist of the following configuration, at the minimum:
I.
1.
At least two (2) home signals;
2.
At least two (2) automatic signals
3.
ATS RFID tags; and
4.
Any equipment required for system initialization on entry to System’s territory.
The Contractor is responsible for installing equipment in the System Demonstration area.
258
J.
All equipment to be installed shall be approved by Port Authority prior to installation.
SUBMITTALS
The Contractor shall submit the following in accordance with Section 5.18 - Submittals:
A.
System Demonstration Plan;
B.
System Demonstration Installation Procedures, and
C.
System Demonstration Report.
6.15
TESTING AND COMMISSIONING
This section provides an outline of testing and commissioning requirements necessary to
establish compliance with the requirements of the contract documents. this section includes
inspections, factory acceptance testing (fat), post installation check-out (pico) testing,
integrated systems testing and commissioning testing.
TESTING AND COMMISSIONING LIFECYCLE
A.
The testing and commissioning activities defined herein shall be an essential portion of the
Contractor’s Systems Engineering, Systems Integration and Systems Assurance processes.
B.
The Contractor’s testing and commissioning lifecycle shall, at a minimum, include the
following:
1.
2.
3.
4.
5.
6.
7.
8.
9.
Factory Acceptance Testing;
Software Module Testing;
Software Integration Testing;
Hardware Qualification Testing;
Subsystem Integration Testing;
Factory Acceptance Testing;
Post Installation Check-out Testing;
Integrated System Testing; and
Commissioning Testing.
ADMINISTRATION
A.
The Contractor shall perform inspection and testing to demonstrate that all Products, Subsystems
and the System are suitable, properly operating and are in compliance with the requirements of
the Contract Documents. All such inspections and tests shall be identified in the Contractor’s
testing documentation, which shall be submitted to Port Authority for review and approval.
B.
The Contractor shall conduct initial Vehicle testing in the System Demonstration area and/or
during Non-Revenue periods throughout Port Authority’s network. Only upon completion of a
level of testing approved by Port Authority shall subsequent testing take place on Port
Authority’s network during Off-Peak Periods.
C.
The Contractor shall employ experienced, competent testing personnel well versed in the testing
of an ATS system in a similar environment, who are also independent of the design and
installation portion of the Work being tested.
D.
The Contractor shall provide all necessary personnel, tools and equipment required to perform
all tests and inspections. Test equipment shall have the capacity, range and accuracy to perform
the required tests and inspections. The Contractor shall ensure that equipment is in good working
order and is properly calibrated prior to initiating testing procedures. Valid calibration
259
certificates shall be provided to Port Authority for all test instruments, certified by an authorized
laboratory.
E.
The Contractor shall undertake any additional testing, over and above that defined in the
approved test plans and procedures, as identified by Port Authority as being required to provide
complete test coverage or functional verification, at no additional cost to Port Authority.
F.
The Contractor shall not ship any Product, equipment or Subsystem to the Site until the related
Factory Acceptance Testing has been successfully completed and approved by Port Authority.
G.
The Contractor shall provide Port Authority with written notification thirty (30) Calendar Days
prior to the start of Factory Acceptance Testing and twenty-one (21) Calendar Days prior to the
start of on-site inspections/tests and indicate the duration for which the tests shall be conducted.
H.
During Factory Acceptance Testing, the Contractor shall provide Port Authority access to all
manufacturing areas and quality records relating to the Work and copies of Subcontractor and
Supplier drawings and manufacturing schedules.
I.
The Contractor shall carry out all inspections and tests in the presence of Port Authority
personnel or representatives, unless otherwise agreed, and shall record all test and inspection
results in accordance with the methodology defined in the approved test plans and procedures.
J.
Port Authority reserves the right to conduct itself, or by its duly authorized representative, those
tests it so elects to further satisfy itself that the Product, Subsystems and the System are
manufactured, installed and configured in accordance with the requirements of the Contract
Documents.
K.
The objective of the Contractor's test program shall be to "test for failure" as well as to "test for
success". It is not sufficient that the Contractor adequately complete "test for success"
procedures. Rather, it is equally important that the Contractor examine functionality and
operations which should not occur, and verify that these do not occur through testing.
L.
The Contractor shall fully co-operate with Port Authority in support of all tests.
LEAD SYSTEM VERIFICATION AND VALIDATION ENGINEER
A.
The Contractor shall appoint a Lead System Verification and Validation Engineer.
B.
The Lead System Verification and Validation Engineer shall be responsible for overall planning,
scheduling, coordination with Port Authority, and administration of testing activities, including
the following:
1.
2.
3.
4.
5.
6.
Oversight of the complete testing program;
Preparation of test procedures;
Preparation of all test reports;
Preparation of the test schedule to track all the testing activities;
Logistic concerns associated with the tests; and
Verification that all test equipment is properly calibrated at the manufacturer’s
recommended interval to known and traceable standards, and certificates provided for
Port Authority.
QUALITY ASSURANCE
A.
Quality Assurance requirements are described in Section 5.11 - Quality Assurance.
260
B.
In the event the System does not meet the requirements of the Contract Documents, the
Contractor shall document and track on a Deficiency List, each Defect and Snag found during
testing and re-test following corrective action.
INSPECTION
The Contractor shall conduct regular inspections of the procurement, manufacturing, and testing
processes in accordance with guidelines defined by the Quality Assurance Program.
TEST PLANNING AND REPORTING
A.
The Contractor shall develop and submit a complete Test Program Plan for review and approval
by Port Authority to ensure compliance with this Section, and to manage the testing and report
process.
B.
The Test Program Plan shall provide details, for each major Products and Subsystem (the
specific list of which shall be developed by the Contractor) on how the testing requirements shall
be achieved, including, at a minimum, the following:
1.
C.
D.
Test schedule indicating where and when each test shall take place, and its expected
duration;
2.
List of individual tests to be performed and the purpose of each test;
3.
Responsibilities of the Contractor’s and Port Authority's personnel;
4.
Record-keeping assignments, procedures, and forms;
5.
List of all documentation to be used during the test, indicating the status of each
document;
6.
A description of test equipment or data to be supplied by the Contractor or Port
Authority;
7.
Block diagram of the hardware test configuration and circuit diagrams, if appropriate,
including communications channels, and any test or simulation hardware;
8.
Techniques and scenarios used to simulate loading during performance tests;
9.
Time allotted for informal testing, as required by the Contractor; and
10.
Time allotted for Port Authority-directed testing.
The following levels of testing shall be provided by the Contractor and described in the Test
Program Plan:
1.
Type and routine testing or analysis;
2.
Software testing;
3.
Integrated systems testing at the factory and field;
4.
Installation and post-installation testing within Port Authority infrastructure;
5.
Safety verification and validation testing;
6.
Vehicle testing;
7.
Wayside testing;
8.
Acceptance/Commissioning Tests;
9.
Pre-Revenue Service Testing; and
10.
Availability and Reliability Demonstration.
Where expediency, complexity, and technology allow, a combinatorial approach may be taken to
reduce the overhead of repetitive testing at factory and Site through the justifiable use of those
Factory Acceptance Test results demonstrated as appropriate, as categorical proof of System
function and safety.
261
E.
Safety verification and validation testing shall form part of the System verification process.
Testing shall demonstrate to Port Authority that the System can safely operate Vehicles through
the Port Authority LRT System, under all modes as required in the Contract Documents.
F.
The Contractor shall outline the extent of the safety verification and validation testing in the Test
Program Plan.
G.
The Contractor shall work with Port Authority to finalize requirements for safety verification
and validation of the System.
H.
Based upon these requirements, the Contractor shall complete safety verification and validation
testing, and shall provide certified test results to Port Authority for review and approval.
REPORTING AND RESOLUTION OF TEST FAILURES
A.
Upon the identification of an event requiring a problem report, each problem shall be recorded in
a Punch List database.
B.
The Punch List database shall allow the status of each item to be assigned and closure action to
be included and allow for queries and reports to investigate trends and patterns.
C.
If a problem is identified during the factory testing, no equipment can be shipped to the field.
D.
If a problem is identified during field testing, no equipment may be installed or placed into
service without a resolution.
E.
Depending on the severity of the problem, testing shall immediately stop and the Contractor
shall evaluate and correct the problem before testing is resumed. The problem shall be evaluated
and corrected at a mutually agreed upon time.
F.
The Contractor shall prepare and submit punch list reports to Port Authority each time a
deviation from the requirements of the Contract Document is detected.
G.
The report shall include a complete description of the problem, including:
1.
2.
3.
4.
H.
I.
A sequential identifying number assigned to the problem;
The date and time the problem was detected;
Appropriate references to the test procedures and this Agreement;
A description of the test conditions at the time the problem was detected and a
methodology for reproducing the problem;
5.
Categorization of the problem as impacting safety, non-safety and operations. If the
problem is either safety or operations related, corresponding mitigation plan must be
provided to Port Authority for review and approval;
6.
Identification of Contractor's and Port Authority's representatives;
7.
A description of the cause of the problem, the affected system elements and corrective
actions taken (or to be completed as part of the problem resolution process); and
8.
A dated signature line for Port Authority's and Contractor's testing representatives to
signify correction of the problem.
The Contractor shall maintain and submit monthly a problem summary in the form of an updated
Punch List that lists for each problem the report number, a brief description of the problem, and
its current status (open or resolved). The Contractor shall periodically review the Punch List
with Port Authority.
All actions taken to correct problems shall be documented on the Punch List by the Contractor.
262
J.
Sufficient information shall be provided to enable Port Authority to determine the need and
extent of re-testing,the need for testing interactions of the correction with any previously tested
hardware or software, the need for new additional testing not previously included and the need
for updating appropriate documentation.
K.
A problem shall be deemed resolved only when all re-testing has been performed to the
satisfaction of Port Authority and after Port Authority acknowledges correction of the problem
on the Punch List.
RETESTS
A.
Failure of a material item shall be cause for the replacement of that item. When a defect or
failure occurs during a test, the test shall be halted and no further steps in the test shall proceed
until the defect or failure is corrected. Port Authority shall make all final determinations as to
whether only a part or the whole test shall be rerun.
B.
Retest shall also occur if there are changes, either hardware or software, to the System design.
C.
Additional testing due to defects in design or materials, or the Contractor's workmanship, shall
be performed at no additional cost to Port Authority.
REGRESSION TESTING
A suite of regression tests shall be performed in the factory and the field as appropriate on each
modified software release or hardware item to ensure that no degradation of baseline
functionality has occurred. Regression tests shall be systematically selected such that they
adequately cover the specific changes without having to retest the entire system.
CONTRACTOR SUPPORT FOR ATS FIELD TESTING
A.
The Contractor shall ensure that its test and commissioning personnel has the appropriate
qualification, competence and experience and is in sufficient numbers for the workload required
to fulfill the Contractor's test and commissioning responsibilities.
B.
The Contractor's System Lead Systems Engineer, including any hardware or software support
personnel, shall be on Site for the duration of the field and Revenue Service testing.
C.
The Contractor shall make available all staging equipment and material during pre-cutover
testing to facilitate installation and testing activities, and replacement of defective equipment as
required.
D.
The Contractor's Installation Manager shall be in attendance at the cutover control point
conducting the cutover. The Contractor's Installation Manager shall work closely with the Lead
System Verification and Validation Engineer.
E.
The Contractor shall:
1.
2.
3.
Provide manpower support to each location involved in the cutover as required to
adequately support all required testing, and to make adjustments, changes or corrections
to the installation to successfully complete the testing;
Provide sufficient support personnel to provide replacement personnel for the entire
cutover, including weekends, for the duration of the cutover. This also applies to the
Installation Manager, Lead System Verification and Validation Engineer, and Hardware
and Software Engineer(s), as required;
Have Contractor's support personnel mobilized at the assembly point not less than one
hour prior to the scheduled start of the cutover;
263
4.
5.
6.
Brief Port Authority's personnel supporting test activities before every test shift. The
briefing shall include objective of the test, limits of the test, precautions to be taken, etc.;
Be prepared to make any changes or adjustments to equipment, apparatus or wiring as
deemed necessary; and
Equip personnel with means of two-way communication at each location.
TEST PROCEDURES
A.
For each test described in this Section, the Contractor shall submit a “Test Procedure” for Port
Authority review and approval. The Test Procedures shall contain, at a minimum, the following:
1.
2.
3.
B.
Test objective with the name of the feature and/or function to be tested;
Revision level and reference number of the Test Procedure;
References to the functional, design, user, and any other documents describing the
function;
4.
Test location;
5.
A list of test segments to be performed;
6.
Estimated time;
7.
Expected results for each segment with success/failure criteria in quantitative terms;
8.
Safety issues and concerns to be addressed/mitigated;
9.
Clearly identify required outages, schedule impacts, and recovery methods;
10.
Sequence of testing including prerequisite tests;
11.
Equipment and instrumentation required;
12.
Test setup and initial conditions;
13.
Descriptions of the techniques and scenarios to be used to simulate system field inputs
and controlled equipment;
14.
Port Authority support requirements, including personnel, equipment and Vehicles;
15.
Step-by-step descriptions of each test segment, including Vehicle movements and the
inputs and user actions for each test step;
16.
Data to be recorded and evaluation procedure;
17.
Software to be used, with revision numbers identified;
18.
Reference to Failure Report generated as necessary; and
19.
Type of report or data to be issued.
Test Procedures shall consist of pre-printed data or inspection sheets for each test. When
completed by the test personnel and checked for accuracy and completeness, the sheet shall be
submitted as the test report.
C.
The test data sheets shall contain a check-off system for each test, and a blank space adjacent to
the expected range of values in which to record the test readings.
D.
When tests require specific meter or test instrument readings, the pre-printed datasheet shall
show the allowable range of values for each step of the test.
E.
When tests include observations of pertinent responses that do not require instrument readings,
each response shall have its own check mark. No single check mark shall be used for groups of
tests.
F.
Data sheets shall include test equipment information, including manufacturer’s model number,
serial number and calibration information.
264
G.
During field testing, if any jumpers or special wiring are temporarily added for any reason, it
shall be made of red wire.
H.
A record on a log sheet shall be maintained indicating the circuit involved, the placement of the
jumper or special wiring, the purpose for the change, and when jumpers or special wiring are
added and removed.
I.
The Contractor shall sign log sheet entries and a copy furnished to Port Authority.
J.
All jumpers and temporary wiring shall be numbered, recorded and removed after the
completion of the test, and the removal noted on the log sheet.
TEST REPORTS
A.
Upon completion of each type of test described in this Section, the Contractor shall submit to
Port Authority for review and approval a “Test Report”. Each Test Report shall include, at a
minimum, the following:
1.
2.
3.
4.
5.
6.
B.
Reference to the appropriate section of the Test Procedures;
Description of the test performed;
Time and date of the test;
Description of all problems encountered;
Test results;
Identification by signature of the Contractor's Lead System Verification and Validation
Engineer, and of Port Authority's personnel or representatives present (if any);
7.
Provision for comments by Port Authority's representatives;
8.
Names of any log files used to verify results;
9.
Any deviations to the Test Procedure;
10.
Retest procedures, if required; and
11.
Hardware and software revision numbers, including simulators.
Test Reports shall be provided for Port Authority within fifteen (15) Calendar Days after
completion of each test.
TEST NOTIFICATION AND REQUIREMENTS
A.
At a minimum of thirty (30) Calendar Days prior to the performance of the test, the Contractor
shall notify Port Authority in advance of all tests that are to be conducted both on and off Site
and must receive Port Authority's approval for all tests (both on and off the Site) to be
performed.
B.
All Test Procedures, drawings, schematics, standards, or other materials required for the test
shall be submitted by the Contractor to Port Authority for review and approval a minimum of
thirty (30) Calendar Days prior to the performance of the test.
C.
Any changes required to the procedures, drawings, schematics, etc. required by Port Authority
shall be addressed and resubmitted to Port Authority for approval prior to the commencement of
the test.
ATS INTEGRATION TESTING
A.
The Contractor shall successively integrate each Product of the System to sequentially build and
prove the System in a structured and controlled manner. The structure shall be documented in
the Systems Integration Plan and shall be conceptually similar to:
1.
Software Module Testing;
265
2.
3.
B.
Hardware Platform Testing and Qualification;
Software Integration Testing, successively adding modules to the software as each
preceding stage successfully completes;
4.
Subsystem Integration Testing where the successfully integrated software is tested on the
successfully tested hardware platform; and
5.
System Integration Testing, successively adding Subsystems to the System as each
preceding stage successfully completes.
The Contractor shall complete each phase of modular integration completely and successfully
before proceeding with successive integration.
C.
Completion of the System Integration Testing shall follow Factory Acceptance Testing.
D.
Where COTS Products are utilized in an unmodified or unconfigured manner, the sequence may
be tailored, in a coordinated manner with the tailored requirement management process defined
in Section 6.13 - Systems Engineering. Where any modification or configuration takes place, the
sequence shall revert to the appropriate lower level of integration testing.
E.
Under no circumstances shall the sequence be shortened to exclude Integration Testing.
F.
The testing shall provide 100% coverage of all software and hardware tests required to
demonstrate satisfactory integration of the System ready for Factory Acceptance Testing.
G.
Proof of completion of integration testing shall be required in the form of approved integration
test reports for the entire System prior to declaring integration testing complete and readiness for
Factory Acceptance Testing.
ATS FACTORY TESTING
A.
Type Tests
1.
2.
3.
4.
5.
6.
7.
The Contractor shall complete “Type Tests” on all System hardware Products to confirm
that the Product is fit for its intended purpose in the environmental conditions required in
Section 6.12 - Environmental Requirements and meets all other requirements of the
Contract Documents.
The Type Tests shall be completed at the Contractor's facility or other location approved
by Port Authority.
The Type Tests shall be successfully completed only once for each hardware Product and
shall be one of the first production units produced by the Contractor.
The Type Tests shall test, at a minimum, the following:
a. Mechanical construction;
b. Shock and vibration and impact resistance;
c. Temperature and humidity (environmental);
d. Performance and timing;
e. Electromagnetic compatibility; and
f. Electromagnetic immunity.
Type Tests shall be performed prior to full production, and before Factory Acceptance
Tests (FATs).
Type Tests shall be performed for all Products that have a direct application to the
System.
Type Tests shall be limited to whole assemblies that can function independently, but are
utilized as subassemblies of the entire System.
266
8.
B.
All assemblies that contain electronic Products shall successfully pass a minimum
seventy-two (72) hours temperature cycle burn-in test. The detailed procedure for the
burn-in test shall be provided in the Test Program Plan.
9.
The Contractor shall develop a functional block diagram that illustrates the individual
Products and their relationship. The functional block diagram shall be utilized to develop
a list of Products, assemblies, and subassemblies, which require Type Tests.
10.
Examples of the Products, assemblies, and subassemblies requiring Type Tests are as
follows:
a. Processor based equipment;
b. Relays and switches;
c. Vital electronic components; and
d. Software
11.
Utilizing the Type Test list derived from the functional block diagram layout, the
Contractor shall develop Type Test submittals based upon the test procedure
requirements of this section.
12.
The Contractor shall submit manufacturer's descriptive literature, product specifications,
published details, parts list, description, operations and maintenance manuals,
performance/capacity rating schedules or charts, installation, programming manuals and
instructions, for all Products.
13.
All Type Test submittals shall include estimated MTBF rates, failure recovery estimates,
recommended maintenance practices, and spare inventory requirements.
14.
Recovery rates and recommended maintenance practices shall detail estimated manhours, required number of personnel, and equipment requirements.
Waiver for Proven Equipment
1.
2.
3.
If the Product, assembly, or subassembly in question is considered by Port Authority to be
substantially identical in design to the equipment previously deployed in other transit
applications, Type Tests, in part or as a whole, may not be required. To seek a waiver of this
requirement, the Contractor shall submit a request for waiver and provide the following data
to Port Authority:
a. A list of locations of current installations, including duration of Revenue Service;
b. A description of all relevant differences among the other installations and the
requirements of the Contract Documents; and
c. Test results of any relevant Type Tests that have been conducted previously.
Based upon the submitted data, Port Authority will determine, in its sole discretion, if the
requirements for Type Tests may be waived. Specific requirements for each Product and
piece of equipment shall be considered individually, and certain tests may be waived while
others may still be required.
Port Authority’s approval of waivers for Products and equipment shall be required to
achieve Port Authority’s approval of the PDR.
FACTORY ACCEPTANCE TESTS
A.
The FAT shall demonstrate that the Subsystems and the System meet the requirements of the
Contract Documents. Only deliverable hardware and software shall be tested. The FAT shall
demonstrate the correct operation of the System working together with all other systems with
which it interfaces. Where necessary, and with the approval of Port Authority, the actual
interfaces may be represented by simulation. No final hardware or software shall be delivered to
267
the Site until the Contractor has demonstrated that the hardware or software conforms to the
requirements of the Contract Documents by successfully carrying out the FAT.
B.
C.
D.
The FAT shall include simulations of failures and disruption to service, operation in degraded
modes and operation with equipment failures to fully demonstrate correct operation of the
System under these circumstances. FATs shall be completed for the following System elements:
1.
Carborne equipment and Subsystem; and
2.
Wayside Subsystem.
The FAT shall be performed with assemblies powered and connected to devices that duplicate
the input and output conditions seen during normal Revenue Service conditions. For processors,
the testing shall be performed with a configuration of software that has been approved by Port
Authority. All outputs of the Products, and assemblies shall be monitored continuously for
anomalous operation.
All Products and assemblies at the FAT site shall be inspected in accordance with the approved
production drawings provided by the Contractor.
SIMULATED OPERATIONAL TESTS
A.
Functions external to the System shall be simulated to assure proper interface to internal circuits,
the proper function of external apparatus, and the proper indication response from the external
apparatus.
B.
Simulated conditions of both normal operations and anticipated failures shall be imposed on the
System to insure that the System complies with all fail-safe requirements.
WIRING VERIFICATION
A wiring verification test shall be made in accordance with the approved circuit plans. The
wiring verification test shall include a count of wires at each termination, the assurance of
continuity of each wire between terminations and the installation of the proper tags with correct
circuit information. Both ends of each wire shall be checked during these tests to be certain that
the terminations are solidly applied and that they are properly held in the correct place.
CIRCUIT BREAKDOWN TEST
A circuit breakdown test shall be made in accordance with the approved circuit plans. Each
circuit in each subrack or rack shall be tested from origination to termination. The continuity of
each circuit shall be metered while each contact in the circuit under test is opened to verify its
position in the circuit under test. Where parallel paths exist, the tests shall validate each path.
Where parallel paths exist in a relay circuit, the circuit shall be checked to prove that all paths
are energized from the same fuse.
ATS FIELD TESTING
The Contractor shall perform System field tests on Port Authority’s property. The Contractor
shall ensure that all of the System’s functionality is tested, and that all test forms are properly
completed in full, certified by the Contractor, witnessed and approved by Port Authority on the
day that the tests are performed.
FIELD INSTALLATION AND POST-INSTALLATION TESTS
A.
The Field Installation and Post-Installation Tests shall demonstrate that all the System hardware
and software function properly in the field environment. Prior to beginning the field installation
test, all System hardware and software shall be installed and interconnected in the System
configuration. All cables shall be tested for opens, shorts, grounds, and high resistance. A list of
the minimum Field Installation and Post-Installation Tests to be performed by the Contractor are
268
outlined herein. The Contractor shall assume responsibility for installing the interface with
existing Port Authority signal equipment. Prior to being placed in Revenue Service, all hardware
and software shall be tested by the Contractor.
B.
The Field Installation and Post-Installation Tests, at a minimum, shall include a complete
inspection of the following:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Proper installation;
Grounding;
Cabling;
Conformance to plans and drawings;
Equipment identification;
Neatness and workmanship;
Equipment access for maintenance personnel;
Verification of correct current where resistors are used to reduce current;
Verification of voltage levels; and
Installed versions of hardware and software.
CABLE INSULATION RESISTANCE
A.
All wire and cable installed along the right-of-way and the wire and cable entering or leaving
bungalows, housings, cases, signals, and junction boxes shall be tested after installation to
ensure that the insulation of wires and cables meet the specified resistance value. Both non-vital
and vital wires and cables installed along the right-of-way shall meet the requirements of the
Contract Documents.
B.
Insulation resistance between conductors and ground shall be performed for the wayside (for
cable provided by the Contractor) against the Contract Documents and manufacturer
requirements. The insulation resistance of each conductor to ground, and between each
conductor and all other conductors in each multi-conductor signal cable shall be tested. Power
sources, made grounds, and connections to the rails shall be disconnected from the circuits
during testing.
C.
Insulation resistance tests shall also be performed on the Vehicle (for cable provided by the
Contractor) and compared to the Contract Documents and manufacturer requirements.
D.
Insulation resistance test values shall be recorded on approved insulation resistance record cards
and forwarded to Port Authority after completion of the tests. Any wires or cables failing the
tests shall be replaced at no cost to Port Authority.
VERIFICATION OF FIELD WIRING
The Contractor shall perform field wiring verification in accordance with the following:
A.
Check continuity of each wire to ensure that it is terminated in accordance with the approved
drawings;
B.
Count wires on each terminal to ensure that the proper number of wires are present;
C.
Verify all tags and nomenclature; and
D.
Verify that all components, relays, resistors, etc. are the same as called for on the approved
circuit drawings, and are located in their proper positions.
269
VEHICLE POST INSTALLATION TESTS
A.
The Contractor shall complete a static installation test after the installation of the carborne
System equipment on the Vehicles. The Vehicle Post-Installation Tests, at a minimum, shall
include a complete inspection of the following:
1.
2.
3.
B.
Proper installation according to specified technical requirements including mounting
specifications and layout;
Conformance of equipment wiring, cabling and grounding to cable plans, manufacturer’s
specifications, electrical codes and standards of workmanship; and
Verification that completed assemblies have been correctly interconnected.
When the static tests have been successfully completed, the Contractor shall complete dynamic
tests on the Vehicles. These tests shall verify that the carborne System hardware and software
function properly as an integrated Subsystem with other Vehicle systems such as propulsion,
brakes, car controls, and maintenance and diagnostic system, and verify communications between
the wayside and carborne ATS Subsystem.
C.
All Vehicle installation tests shall be witnessed and require approved by Port Authority.
D.
Upon completion of testing, the Contractor shall verify and document that the Vehicle systems and
carborne ATS equipment and Subsystem is functioning properly as designed.
INTEGRATED SYSTEMS TESTS
A.
The Integrated System Tests shall verify the stability of the System hardware and software, and
verify the interfaces between the ATS Subsystems and the existing Port Authority LRT System.
The tests shall prove to Port Authority's satisfaction that the System is free of improper and
unsafe interactions between System software and hardware while the System is operating as an
integrated whole with the existing LRT System. During these tests, the System shall run
concurrently and operate for a continuous three hundred (300) hours period without failures,
without the occurrence of an uncommanded functional restart and without failure of wayside and
carborne equipment.
B.
The tests shall demonstrate the following at minimum:
1.
2.
3.
4.
5.
6.
Correct interface between wayside and track equipment;
Ability of the System to stop the Vehicles within allowed safety distances;
Correct operation of the System in all modes;
Failure scenarios;
Electromagnetic Compatibility; and
Procedure Verification
ELECTROMAGNETIC COMPATIBILITY TESTS
A.
The Contractor shall perform the following tests, either separately or as part of other tests
specified in this Section, to ensure that its EMI reduction and minimization techniques are
effective upon the installed System and that the System is not interfered with from sources of
emission.
B.
The Contractor shall develop test procedures to ensure compliance with the EMI/EMC
requirements. At a minimum, the following shall be included in these test procedures:
1.
2.
Susceptibility of equipment to electrical energy appearing on AC and DC power leads;
Susceptibility of equipment to spike interference on AC and DC power leads;
270
3.
4.
5.
6.
7.
8.
9.
Susceptibility of equipment to inter-modulation of unwanted or rejected signals at the
input terminals;
Radiated magnetic field emissions from equipment, power cables, and interconnecting
wiring;
Radiated electric field emissions from equipment, power cables, and interconnecting
wiring;
Radiated susceptibility of equipment to short duration magnetic fields or spike
interference on the input/output cabling;
Radiated susceptibility of equipment to magnetic and electric fields;
Susceptibility of equipment to keyed hand held radios or other common RF emitting
devices in close proximity the supplied wayside/on-board hardware or its interconnecting
cabling; and
Grounding and bonding, including the determination of personnel and system safety,
search for floating grounds, ground loops, impedance coupling, and determination of
resistance to a single ground point at each wayside device location and relay room
location.
PROCEDURE VERIFICATION TESTS
A.
B.
C.
The Contractor shall verify the validity and completeness of all System operating procedures, in
normal and failure modes of operation. Procedure verification tests shall be performed for the
following procedures, at a minimum:
1.
Verification of operational procedures;
2.
System recovery procedure;
3.
Testing of special moves;
4.
System shutdown, startup, and operating sequences;
5.
Failure recovery procedures;
6.
Emergency procedures; and
7.
Repair procedures (i.e., mean time to repair per this Agreement).
The Contractor shall provide detailed descriptions of each procedure verification test in the Test
Program Plan, and shall provide the test procedures for the above tests with input from Port
Authority.
The tests shall also demonstrate the ability of the System (and the Vehicle service) to recover
following the repair of the failures.
COMMISSIONING TESTS
A.
Commissioning Tests shall be performed on each section of installation/cutover and each
Vehicle retrofitted with the ATS equipment to verify that the System has been properly installed
and to demonstrate that it satisfies all performance, safety, reliability, and functions required by
the Contract Documents while communicating with a full complement of devices under actual
service conditions.
B.
All Commissioning Tests shall be coordinated with and approved by Port Authority. All testing
involving the control of field devices shall be performed during Off-Peak Periods or nonrevenue hours depending on the type of testing to be performed. The Contractor shall provide
all information requested by Port Authority to obtain the necessary authorizations.
C.
The Contractor's maintenance records shall be reviewed by the Contractor's Lead V&V Engineer
prior to Commissioning Tests to identify all hardware and software modified, repaired, or
271
replaced between the completion of Factory Tests and the start of Commissioning Tests. The
Contractor shall establish interfaces to all Port Authority communications circuits and verify the
proper operation of these circuits.
D.
Prior to the start of any Commissioning Tests, the Contractor shall demonstrate to Port
Authority’s satisfaction that all the operations and maintenance activities necessary to support
the System have been completed. These include availability of parts, completion of training,
availability of all maintenance manuals and updated software.
E.
Prior to the start of any Commissioning Tests, the Contractor shall also:
1.
F.
Ensure the Safety Case is complete and approved and the Safety Certificate is completed,
signed and approved by Port Authority; and
2.
Ensure that all defects have been remedied and approved and that the Deficiency List has
been updated to reflect the latest status and has been approved by Port Authority.
The Contractor shall perform the commissioning tests and associated activities at the cut-over
which, at a minimum, shall include:
1.
2.
G.
H.
Cut-over activities to bring the System into live operation;
Disconnecting any existing ATS carborne equipment, that will be made redundant by the
System;
3.
Final Site Acceptance Tests (commissioning tests) required to verify correct function of
the cutover ATS; and
4.
Final safety tests required by the Lead Systems Assurance Engineer to complete the
safety verification and validation.
Upon successful completion of all commissioning tests, the Contractor shall sign a Handover
Certificate and provide it to Port Authority for review and approval to place the Vehicle with the
System into Revenue Service as per the Safety Certification Process in Section 6.16.16 - Safety
Certification. The Handover Certificate shall provide Port Authority with the evidence that all
required tests and inspections have been properly performed and the results are satisfactory.
The commissioning tests shall include, at a minimum, the following:
1.
2.
3.
4.
5.
6.
Movement through the entire System territory(s);
Ability of the System to stop the Vehicle within the allowed safety distances;
Correct operation of the System in all modes of operation;
Additional scenarios as identified by Port Authority;
Failure scenarios; and
Entry/exit into and from System territory test.
CUTOVER PLAN
A.
The Contractor shall develop a Cutover Plan, in which the Contractor shall describe how it
proposes to stage the implementation of its ATS onto Port Authority’s LRT System, including
the retrofitting of carborne equipment on the Vehicles, installation and cut-over of wayside ATS
Subsystem and signal power and installation and cut-over of equipment while maintaining
Revenue Service.
B.
Development of the report shall be an iterative process taking into account analysis of system
safety, passenger service, Site specific issues, and system design together with the application of
measures to mitigate and control risks.
C.
The Cutover Plan shall describe the cutover stages to reduce risk to Revenue Service.
272
D.
The Cutover Plan shall include, at a minimum, the following:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
Time frame and installation sequence;
Infrastructure, utility, and resource requirements;
New and existing control limits, and required notifications including impact of cutover on
Vehicle crews and OCC operators;
Preparatory work;
Material and logistic arrangements;
Removal and disposal of any redundant, unused or retired signal equipment;
Identification of known hazards and procedures for handling and disposal;
Fall back arrangements, including consideration of cancellation of equipment and
response to test-related failures. The fall back arrangements shall define how Revenue
Service would be controlled, or brought to a safe state in a controlled manner, and shall
identify any required training/rehearsal to ensure that all staff involved are properly
prepared to act together upon failure and implementation of the fall back arrangement.
Narrative descriptions and schematics to maintain Revenue Service;
Narrative descriptions and schematics for temporary or interim circuits and materials;
Narrative descriptions and schematics for final circuits and materials;
Narrative of the safeguards and procedures used to ensure safety during installation, and
safe system operation during the entire installation and testing process;
Description of personnel and equipment utilization;
A detailed description of the Installation, testing and commissioning organization,
identifying the individuals responsible for the management of the installation, cutover,
field tests and their qualifications for this role;
Criteria against which a decision to proceed with critical cutover activities can be made;
and
Descriptions for the implementation and sequencing of all required tests.
INSTALLATION MANAGER
The Installation Manager shall be responsible for overall planning, scheduling, coordination with
Port Authority, and administration of installation and cutover activities, including the following:
1.
2.
3.
4.
5.
Oversight of the complete installation and cutover program;
Request for test time, track access, Vehicles, etc.;
Manage and coordinate any Subcontractor activity at the Site;
Provide direction during the installation of equipment at Site; and
Logistic concerns associated with the cutover.
ON-SITE SUPPORT
A.
For the first sixty (60) Calendar Days after all of the Vehicles have been commissioned and
handover has been completed, the Contractor shall provide on-Site technical personnel to assist
in troubleshooting, repair and maintenance. The Contractor shall observe Port Authority's
maintenance personnel and provide advice and assistance so as to achieve a high quality
maintenance program.
B.
The duties of the Contractor’s on-site technical personnel shall include, but not be limited to:
1.
Monitoring the System performance;
273
2.
3.
C.
Documenting any residual errors or Defects; and
Providing continuing instruction to Port Authority, as required, in all aspects of operation
and maintenance.
Site technical personnel shall be located at such locations, as requested by Port Authority, necessary
to provide adequate maintenance and operation support.
SUBMITTALS
The Contractor shall submit the following for review and approval by Port Authority in
accordance with Section 5.18 - Submittals:
A.
A Test Program Plan defining the approach to be taken to testing, including simulation, Factory
and Field Testing, the commissioning tests, such that the sum of the whole activity set provides
one hundred percent (100%) coverage of all testing required;
B.
Systems Integration Plan, detailing the planned processes, procedures and interfaces to facilitate
integration of wayside and carborne Subsystems into a single coherent System
C.
Factory Acceptance Test Plan, providing full coverage of the entire System;
D.
Factory Acceptance Test procedures such that one full review-update-review cycle can be
completed no later than thirty (30) Calendar Days prior to the start of the Factory Acceptance
Testing. It shall be the Contractor’s responsibility to ensure that the procedures are approved
before Factory Acceptance Testing begins;
E.
Cut-Over Plan;
F.
Post Installation Check-Out Procedures such that one full review-update-review cycle can be
completed no later than thirty (30) Calendar Days prior to the start of the associated Post
Installation Check-Out. It shall be the Contractor’s responsibility to ensure that the procedures
are approved by Port Authority before the Post Installation Check-Out begins;
G.
Post Installation Check-Out Reports within fourteen (14) Calendar Days of completion of each
check-out, identifying the pass/fail results, the remedial action required, and Snag and Defect
tracking to the Deficiency List;
H.
Integrated System Test Procedures such that one full review update-review cycle can be
completed no later than thirty (30) Calendar Days prior to earliest test described by the
document; Test Readiness Declaration upon completion of all installation work associated with a
Vehicle. The declaration shall demonstrate completion of all installation and Post Installation
Check-Out activities, remediation of all Defects and recording of all Snags, and shall be subject
to approval by Port Authority;
I.
System Integration Test Reports within fourteen (14) Calendar Days of completion of each test
identifying the tests conducted, the pass/fail criteria, the pass/fail results, the remedial action
required, and Snag and Defect tracking to the Deficiency List;
J.
Commissioning Test Procedures such that one full review update-review cycle can be completed
no later than thirty (30) Calendar Days prior to earliest test described by the document;
K.
Commissioning Test Reports within fourteen (14) Calendar Days of completion of each
commissioning identifying the tests conducted, the pass/fail criteria, the pass/fail results, the
remedial action required, and Snag tracking to the Deficiency List;
L.
Handover Certificate at the end of commissioning for wayside Subsystem and each Vehicle to
signify that it is ready to enter Revenue Service, signed by the Contractor’s Lead System
Verification and Validation Engineer and Lead Systems Assurance; and
274
M.
6.16
Reliability Demonstration Test Submittals as described in Section 6.16 - Systems Assurance.
SYSTEMS ASSURANCE
REQUIREMENTS
A.
Numerical Requirements - The numerical safety, reliability and maintainability requirements for
the System are based on all of the hardware and software items included in the Contract
Documents and/or necessary to properly design and operate the System:
1.
B.
C.
The numerical requirement is that each on-board equipment set, including vital
microprocessor-based controller, tachometers, antenna, and Driver’s Panel shall
individually meet or exceed an MTBF of forty thousand (40,000) hours. The Products
and equipment associated with each wayside signal, including associated equipment
between signals, shall meet or exceed an MTBF of one hundred thousand (100,000)
hours.
2.
The numerical requirement is that the complete System shall meet or exceed an MTBSF
of two thousand (2000) hours.
3.
MTTRS: Removal and replacement of LLRUs except antennas and axle mounted
equipment shall be achievable within 5 minutes, including time for fault isolation,
troubleshooting and repair. Time for maintainer to travel and locate spare parts is not part
of this time.
4.
The availability requirement for the total System is 99.99% over the duration of the
Warranty Period. The Contractor shall utilize the MIL-HDBK-217 Component Failure
figures for all calculations of MTBF & MTBSF.
5.
The System shall have a MTTHE of 107 hours. The Systems Assurance program shall
incorporate the methods, tools and techniques identified in the EN Standards to provide
an appropriate level of confidence in the realization of a system to the required hazard
rate and associated integrity level. Relevant EN Standards are listed in Section 6.7.24.
The ATS shall employ AREMA Class I and/or Class II hardware to perform safety critical
functions.
ATS functions defined as safety critical shall be performed vitally. A vital function is one that is
implemented in a fail-safe or fail-safe equivalent manner:
1.
D.
Fail-safe design shall ensure that the result of a hardware failure or software error shall
either prohibit the System from assuming or maintaining an unsafe state or shall cause the
System to revert to a state known to be safe.
2.
Fail-safe equivalency is an equipment/system configuration, such as checked redundant,
whereby the probability of the equipment/system of assuming or maintaining an unsafe
state, or failing to cause the System to revert a state known to be safe - shall be shown to
be sufficiently small that it can be considered improbable.
The System shall ensure safe operation by utilizing fail-safe principles and shall provide
protection against the hazards, including:
1.
2.
E.
Rear-end collisions;
Head-on or side-swipe collisions caused by admitting Vehicles onto conflicting,
converging, or opposing routes; and
3.
Derailments caused by switch movement directly ahead of or beneath a Vehicle.
Hazard protection shall be performed the high integrity implementation of all necessary safetycritical ATS functions associated with but not limited to:
275
1.
2.
3.
4.
5.
6.
7.
8.
‘Distance-to go’ determination;
Distance determination;
Signal aspect determination/supervision;
Overspeed supervision during System start-up, Key-By or brake reset operations;
Brake assurance;
Active cab determination;
Zero speed detection; and
Transitions into and out of the System territory.
LEAD SYSTEMS ASSURANCE ENGINEER
A.
The Contractor’s Lead Systems Assurance Engineer shall have the responsibility for all Systems
Assurance items and shall co-ordinate all Systems Assurance items with Port Authority.
B.
Responsibilities of the Lead Systems Assurance Engineer shall include, but not be limited to:
1.
2.
3.
4.
5.
6.
Providing the Systems Assurance Plan;
Sealing and providing all Systems Assurance submittals;
Comprehending and approving all Systems Assurance submittals prepared by the
Contactor prior to submitting to Port Authority and coordinating all such submittals and
activities to provide a coherent Systems Assurance process;
Enforcing adherence within the Contractor’s organization, including any Subcontractors
and Suppliers, to the approved Systems Assurance Program;
Resolving recommended actions to mitigate hazards; and
Documenting all Systems Assurance issues and resolution of follow-up actions.
RISK MATRIX
The Hazard Severity and Hazard Probability Categories shall be as described in AREMA
Communication and Signal Manual.
SYSTEMS ASSURANCE PLAN (SAP)
A.
The Contractor shall produce and implement a SAP, which integrates the System Assurance
elements in all phases of the Work. A disciplined approach shall be incorporated to evaluate
System design with regard to System safety, reliability and maintainability, with the objective of
prescribing corrective action in a timely and cost effective manner.
B.
The SAP shall be in accordance with the latest revision of the following documents:
1.
2.
3.
C.
D.
AREMA Communication and Signal Manual of Recommended Practices;
MIL-STD-882C System Safety Program Requirements;
MIL-STD-721 Definitions of Effectiveness Terms for Reliability, Maintainability,
Human Factors and Safety; and
4.
49 CFR Part 236 Subpart H – “Standard for Processor Based Signal and Train Control
Systems”.
The SAP shall be organized to include specific sections for the disciplines of system safety,
reliability, and maintainability.
Procedures shall be described to perform all specific tasks necessary to meet system safety,
reliability, and maintainability requirements.
276
E.
The responsibilities and functions of personnel directly associated with Systems Assurance
policies and implementation of the program shall be clearly defined. The Systems Assurance
organization shall be described. The Contractor shall define the responsibilities of the personnel
within the Contractor's organization, who have authority to control the Systems Assurance
portion of the Work.
F.
The Contractor shall identify Systems Assurance interface requirements between the System and
other systems. These requirements include man/machine interfaces, maintenance, training, rules,
and procedures.
G.
The Contractor shall revise the SAP as necessary throughout the Work. As the Work proceeds,
the Contractor shall report progress achieved in areas of safety and Systems Assurance based on
the milestones in the SAP.
H.
Subcontractors and Suppliers shall also comply with the SAP approved by Port Authority.
Requirements for human factors (human engineering) and Quality Assurance, although not
addressed directly herein, are integral parts of Systems Assurance and are to be considered in
development of the SAP.
SAFETY PROGRAM PLAN (SPP)
A.
B.
A detailed safety program plan (SPP) shall be included as part of the SAP, and shall contain, at
minimum:
1.
Task listing and time phasing of each task; and
2.
Organization and responsibility of key personnel.
The SPP shall describe:
1.
2.
C.
D.
The safety assurance concepts used to guarantee safe operation per IEEE 1483:2000;
The verification methodology of safety assurance concepts to be employed as described
within the document as per IEEE 1483:2000;
3.
The failure modes to be considered in the analyses for each of the generic types of
Products;
4.
The organization and responsibilities for individual activities;
5.
The anticipated effects of Systems Assurance activities on design, training, spare parts
and procedures;
6.
The support required from Port Authority in contribution to the analyses; and
7.
The timeline schedule of the submittals and updates, including updates to the SAP.
The SPP shall identify any limitations or restrictions in the scope of each of these analyses, and
shall clarify how the various Products will be integrated into the analyses.
The SPP shall include procedures to accomplish the System safety tasks, including provisions to:
1.
2.
3.
4.
5.
Correct System safety deficiencies noted during the design phase as soon as possible, but
not later than Final Design Review;
Evaluate System design and design changes;
Conduct System safety analyses of each Subsystem and its interface areas;
Take immediate corrective actions to prevent personal injury or System damage when a
Category I or II hazard is identified;
All hazards shall be controlled to an acceptable level as defined by AREMA; and
277
6.
E.
Implement safety changes which are initiated by the Contractor and approved by Port
Authority, and those initiated by Port Authority which fall within the Contractor's area of
responsibility.
System safety criteria shall be implemented by the Contractor throughout all aspects of design
development, test, delivery, installation, and maintenance, and shall address the following:
1.
2.
3.
4.
5.
Design safety;
Employment of System safety techniques to minimize or control hazards identified by
Failure analyses;
Coordination with reliability, maintainability, and design engineers to avoid potential
hazards resulting from complexity of design;
Standardization of design by utilization of proven standards of the transit industry and
applicable regulatory codes; and
Potential Failures:
a. Assurance that a single-point failure in a dynamic system will not result in a
critical or catastrophic hazard;
b. Elimination or minimization of the hazards by design, except in specific cases
where high reliability, failsafe items may be used, based upon a properly
documented past history of low failure rate, if approved by Port Authority after
submission of the history of these items;
c. Control of potential failures of less than a critical classification through use of
safety devices and approved operating or maintenance procedures;
d. Human factors; and
e. Prevent/minimize human error(s) when responding to field and operational
conditions by eliminating conflicting or ambiguous alarms and status indications;
i. Conflicting or ambiguous instructions;
ii. Lengthy or complicated instructions;
iii. Inherent design errors/problems; and
iv. Unclear or incomplete supporting hardware and software documentation.
SAFETY ANALYSIS
A.
The Contractor shall perform safety analyses to identify potentially hazardous conditions.
System safety analyses shall be applied to:
1.
2.
3.
4.
5.
Evaluate alternatives;
Evaluate and verify safety requirements of each Subsystem;
Evaluate operation/emergency procedures and training requirements;
Provide visibility of relative safety and risk within Products;
Perform analyses of Subsystems and potential hazard areas of the System including the
following:
a.
Vital failsafe circuits and Subsystems;
b.
Interface between each Subsystem and operating and maintenance personnel;
c.
Interface between the Subsystem and other systems that directly interface with it;
d.
Miscellaneous subsystems including safety test facilities and procedures; and
e.
Operations and maintenance manuals.
278
B.
C.
In performing the required analyses, the depth of detail shall be dictated by hardware Products
identified in the final design, identified critical items, and unresolved potential failures of critical
or greater hazard severity. The Contractor shall submit the following analyses for the review
and approval of Port Authority:
1.
Preliminary Hazard Analysis (PHA);
2.
System Hazard Analysis (SHA);
3.
Subsystem Hazard Analysis (SSHA);
4.
Operating & Support Hazard Analysis (O&SHA);
5.
Quantitative analyses such as fault tree or logic network;
6.
FMECA;
7.
Safety Case; and
8.
Hazard Log.
The formats of the analyses will be described in the SPP.
D.
A compilation of safety-critical items identified during the System safety analyses shall be
maintained. The format shall be approved by Port Authority. The Contractor shall document for
approval any rationale in lieu of corrective action. A special review of unresolved critical items
shall be conducted with Port Authority.
E.
Existing analyses and data properly documented and verifiable and which present material in a
neat, concise and logical manner may be submitted for equipment and applications which are
identical or manifestly similar.
F.
All identified Category I (catastrophic) hazards and Category II (critical) hazards shall be
eliminated by redesign or other corrective action, or controlled to an acceptable level, as defined
by MIL-STD 882C. Documentation of methods used shall be submitted.
PRELIMINARY HAZARD ANALYSIS
The Contractor shall prepare a Preliminary Hazard Analysis (PHA) for the System, in
accordance with MIL-STD-882C, Tasks 201 and 202, and the AREMA Communications and
Signals Manual Part 17.3.1, and IEEE Std. 1483, Section 5.2.7. Referring to the definitions in
the AREMA Communications and Signals Manual, Part 17.1.1, include an assessment of the
appropriateness of how vital and non-vital responsibilities have been assigned in the System.
SYSTEM HAZARD ANALYSIS
The Contractor shall prepare a System Hazard Analysis (SHA), including full interface analysis,
for the System, in accordance with MIL-STD-882C, Task 205. The Contractor shall include the
results of the Preliminary Hazard Analysis and the Subsystem Hazard Analysis.
SUBSYSTEM HAZARD ANALYSIS
The Contractor shall prepare a Subsystem Hazard Analysis (SSHA) for the System, in
accordance with MIL-STD-882C, Task 204, and IEEE Std. 1483, Subsection 5.2.8, and include
the results of the FMECA.
OPERATING AND SUPPORT HAZARD ANALYSIS
A.
The Contractor shall prepare an Operating and Support Hazard Analysis (OSHA) for all of the
Products supplied as part of the System, in accordance with MIL-STD-882C, Task 206.
B.
The OSHA shall provide an analysis of all processes, procedures, and external systems that are
relied upon to mitigate certain potential System hazards, including procedures, which could
cause a hazard if not properly followed. Operations performed by the operator, maintenance
279
staff, or other Port Authority personnel shall be considered, as well as system support and
maintenance activities which have an impact on the System safety assurance. The purpose of
the OSHA is to identify those specific procedural requirements that protect passengers and/or
personnel from hazards and to confirm that all manuals incorporate the appropriate hazard
mitigations.
FAILURE MODES, EFFECTS AND CRITICALITY ANALYSIS
A.
The Contractor shall submit a Failure Modes, Effects and Criticality Analysis (FMECA) report
which analyses each unit of fail-safe hardware to the level of the electronic Products. The
Contractor shall provide FMECAs for all vital hardware. The FMECA is a traditional qualitative
analysis used to identify and analyze single-point failure modes, and their combinations, in
hardware circuits to the level of the electronic Product. The purpose is to verify safe operation
under conditions of hardware failure, power supply anomalies, and also, to the extent possible,
under conditions of abnormal inputs.
B.
Any failures identified as the cause of a hazard in the functional hazard analyses shall be
analyzed in the FMECA, and, if determined to be fail-safe, close the hazard.
C.
Each FMECA shall, at a minimum, address the following:
1.
2.
3.
4.
5.
Single point hardware failures as induced or simulated for all circuit Products, their effects on
the hardware circuit, their effects on the overall System, and the means by which the failure is
detected. The FMECA shall address all modes of failure relevant to the Product, including
changes in Product values outside normal tolerances. No single point failure shall be shown
to cause an unsafe condition;
The effects of all failure modes shall be classified as self-revealing or non-self-revealing. All
combinations of failures shall be shown to not result in unsafe conditions, except for
combinations of simultaneous independent self-revealing failures. Failures that are not selfrevealing shall be analyzed in all combinations with all other failures (excluding
combinations with two self-revealing failures). In the instance of a non-self-revealing failure,
a subsequent failure cannot be considered as independent;
If the Contractor determines that analysis of a non-self-revealing failure in combination with
all other failures (excluding combinations with two self-revealing failures) is not required, the
Contractor shall document the reasons justifying this decision in the FMECA;
Show that if any unsafe condition results from a combination of two or more failures, then
those failures are independent and self-revealing; and
The FMECA deliverable shall, as a minimum, present text to describe the FMECA approach
taken and justifications where needed. It shall present results in a tabular format containing
the following elements:
a. Description of the circuit or module under analysis;
b. Item identifier and Product description and designation;
c. Failure mode examined;
d. Effect on circuit performance and/or other components and/or Products;
e. Means of failure manifestation and determination if failure is self-evident;
f. System reaction to failure or other evidence; and
g. Determination of the fail-safe acceptability of System reaction, or requirement for
design modifications (to be transferred to the Hazard Log for tracking).
280
FAULT TREE ANALYSIS
A.
The Contractor shall prepare a Fault Tree Analysis for the System which identifies safety
hazards and the combination of hardware failures, software failures, human errors, and normal
or abnormal operating conditions which contribute to each safety hazard.
B.
The Fault Tree Analysis shall identify all hazards which the System is designed to protect
against and hazards which may result from failure of the System.
C.
The Fault Tree Analysis shall analyze all service interruptions and hazards assessed as Category
I or II in each of the other analyses.
D.
The symbols to be used shall be based on the standard identified in the approved Safety Program
Plan.
HAZARD LOG
A.
The Contractor shall prepare a Hazard Log for the System, in accordance with MIL STD-882C,
Task 106, which tracks all hazards identified in the analyses.
B.
The Hazard Log shall be submitted at each major design milestone and monthly after FDR.
SAFETY CASE
A.
The Contractor shall prepare a Safety Case document prior to the commencement of
commissioning of the first Vehicle that demonstrates that the safety analysis and engineering has
been completed for the System and its interfaces completely and comprehensively and that the
resultant residual risk is sufficiently tolerable as to enable service operation.
B.
The Contractor shall update the Safety Case upon successful completion of the commissioning
for the initial Vehicles to reflect the changes in the System, its interfaces and operation.
C.
The Contractor shall update the Safety Case after commissioning to reflect any restrictions on
operation that arise from the commissioning process.
D.
The Contractor shall update the Safety Case after commissioning of all the Vehicles.
CERTIFIABLE ITEMS LIST
A.
The Contractor shall submit a Certifiable Items List (CIL) identifying all equipment and/or
functions used in the System.
B.
The CIL shall identify items that will affect the safety or security of the System.
C.
The CIL shall identify Subsystems, software, hardware, firmware and module level items
considered to be vital and non-vital.
D.
The CIL shall identify for each item:
E.
1.
Configuration Item identifier, version identifier, release identifier, and manufacturer;
2.
Identification of all subcomponents and, other relevant items to the LLRU level;
3.
Functional description and purpose within the System; and
4.
Cross-reference to pertinent Contractor documents.
For Software Items, the CIL shall also include:
1.
2.
Identification of whether the certifiable item is application software; meaning part of a
functional implementation or executive software; meaning it is related to an operating
system function;
Software classification (for COTS software, provide the name of the product); and
281
3.
F.
G.
Development history of the item, including description of all versions, changes, and
status including:
4.
Origination of standard software;
5.
Current development status, specific to each software lifecycle phase; and
6.
Guidelines for use, restrictions and specific procedures or modifications.
The Contractor shall submit a CIL defining all products residing at all wayside and carborne
locations as a pre-requisite the first Vehicle being commissioned into revenue service.
The Contractor shall submit a final CIL which defines all products residing at all wayside and
carborne locations prior to Final Acceptance.
SAFETY CERTIFICATION
A.
Prior to the first Vehicle entering into Revenue Service, the Contractor shall provide a completed
safety requirements checklist to certify (Safety Certification) it has performed all safety
requirement tests for each item on the checklist. The Safety Certification shall indicate that the
System has been designed, furnished, installed and tested in accordance with the requirements of
the Contract Documents, and that the System is safe for Revenue Service.
B.
The Contractor’s completed safety requirements checklist shall include all items identified as
safety critical in the Certifiable Items List. The checklist shall also include items related to
verification of installation, Subsystem and System integration and commissioning tests.
C.
Each of the items on the list shall be signed and dated by the Contractor to certify that tests have
been successfully completed and the item is safe to enter into Revenue Service.
D.
The Safety Certification shall be updated as subsequent Vehicles are cutover and commissioned
into Revenue Service.
E.
A final Safety Certification shall be provided once all Vehicles have been cutover and
commissioned.
SOFTWARE ASSURANCE PLAN
A.
The software for the System to be provided by the Contractor shall be developed, document and
tested to ensure safe operation under all circumstances.
B.
The Contractor shall provide a Software Assurance Plan to Port Authority prior to
commencement of design. The Software Assurance Plan shall describe the software activities
identified in accordance with the requirements of IEEE 1228:1994.Where appropriate the
CENELEC Standards listed in Section 6.7.7 - Reference Standards shall be used.
C.
The Software Assurance Plan shall identify all tests appropriate to individual software modules
and the integration of such modules. Tests must be performed as part of the software
development and qualification program. The Contractor shall fully document and review all test
failures with particular emphasis on corrective actions, re-testing provisions, and identifying any
systemic problems.
D.
Software test stages shall include: unit testing; module testing; integration testing; system testing
in the simulation and field environment. The software shall, in addition, be subjected to stress
testing where the System shall be repeatedly exercised under loading conditions which are
proven to be more demanding than those experienced in operation. Stress testing shall also
introduce failure scenarios, and establish that the System recovers and reconfigures itself in a
safe manner
E.
The Contractor shall provide a statement which describes the methods used to protect against
critical failure modes. The Contractor shall support this statement by an analysis or rationale.
282
SAFETY REQUIREMENTS SPECIFICATION
A.
The Contractor shall prepare a Safety Requirements Specification for the System, in accordance
with the Contractor’s approved Requirements Management Plan.
B.
The Safety Requirements Specification shall specify all of the requirements of the safety
functions that are to be performed by the System.
RELIABILITY PROGRAM
A.
A reliability program established in general accordance with the applicable portions of MILSTD 785B shall be included as part of the SAP, and shall contain, at minimum:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
Organization and responsibilities of key personnel;
Interfaces between reliability, maintainability, system safety, and other closely related
programs, and support to efforts such as:
Logistic support and maintenance planning;
Design;
Quality Assurance and quality control;
Standardization;
Systems Engineering;
Description of personnel required to support the reliability program (training,
maintenance and operations);
Provision for source selection, first article inspection, and surveillance of Subcontractors’
and Suppliers' reliability activities;
Procedures and controls, including piece part selection and screening, manufacturing
process controls, procurement controls, and test procedures, to be utilized during
production to achieve reliability requirements;
Provisions to evaluate operational and design changes for possible effects upon System
reliability;
Description of methods which the Contractor will use to predict compliance with
reliability goals;
Definition of Chargeable Failures; and
Description of reliability testing that the Contractor will conduct to demonstrate
achievement of reliability goals.
RELIABILITY ANALYSIS
A.
The Contractor shall prepare a Reliability Analysis for the System that shall document how the
System meets the numerical requirements identified in the Contract Documents. The analysis
shall consist of reliability modeling and reliability predictions covering all of the Products
supplied by the Contractor.
B.
Reliability predictions shall be based on one of the methods below, which are noted in order of
preference:
1.
2.
3.
A reliability prediction, performed in accordance with MIL-HDBK-217, parts stress
method, supplemented by Non-Electronic Parts Reliability Data;
The Reliability Program Plan shall identify which reliability prediction method the
Contractor will supply; and
The reliability of the System shall be modeled by a block diagram, illustrating how
failure of individual models may contribute to service interruptions or to safety critical or
283
safety related failure modes. Each block shall be assigned a numerical failure rate based
on the Reliability Predictions.
RELIABILITY DEMONSTRATION TEST PLAN
A.
The Contractor shall develop a Reliability Demonstration Test Plan, which defines:
1.
B.
The criteria for starting and stopping the test of each wayside tag and each carborne
Product;
2.
The duration of each test;
3.
The criteria for assessing that each test has passed or failed;
4.
The procedures for recording and tracking failures and for determining the relevance of
all incidents;
5.
The procedures for analyzing and correcting any failures that occur during the test and
Warranty Period; and
6.
Any anticipated maintenance actions during non-revenue hours;
7.
The reporting methods and frequency of reports to be submitted during and at the end of
each test; and
8.
The staffing commitments of the Contractor and any staffing and other requirements
requested from Port Authority.
If necessary to meet the specified reliability requirements, the Contractor shall modify or revise
the System at no additional cost to Port Authority.
RELIABILITY DEMONSTRATION TEST
A.
A Reliability Demonstration Test shall be conducted to verify that the Products and equipment
supplied or installed by the Contractor meets the required numerical MTBF, MTBSF, and
availability requirements, within a test period of six uninterrupted months.
B.
The Reliability Demonstration Test shall be administered in accordance with the Reliability
Demonstration Test Plan.
C.
The test shall be considered to be passed successfully, if all of the following performance criteria
are satisfied:
D.
E.
1.
The number of Chargeable Failures shall be eighty-two (82) or less; and
2.
The number of Service Failures shall be two (2) or less.
In the event that there are eighty-three (83) or more Chargeable Failures or three (3) or more
Service Failures, the Reliability Demonstration Test shall be stopped. Failure modes shall be
identified and corrected promptly. Each failure and corrective action shall be documented and
submitted to Port Authority within three (3) Calendar Days of its occurrence, following which,
the test shall be restarted from the beginning.
The Certificate of Final Completion shall not be issued until after proof that the Reliability
Demonstration Test has been passed successfully.
MAINTAINABILITY PROGRAM
A maintainability program shall be included as part of the SAP, and shall contain, at minimum:
A.
Provisions for early fault detection and rapid fault isolation to the proper service level for
minimization of costs and Mean Time to Restore to Service (MTTRS);
284
B.
Provisions for simplification of fault detection, isolation, and repair so as to minimize the skill
levels and training requirements for maintenance personnel by use of maintenance aids or test
equipment;
C.
Provisions for accessibility for maintenance tasks;
D.
Provisions for reduction of the following: complexity of the maintenance, design dictated
maintenance activities and related costs, maintenance down-time and effects on System
operation, maintenance costs, potential for maintenance error, and man/machine interface
problems; and
E.
Provisions to evaluate operational and design changes for possible effects upon maintainability
requirements.
MAINTAINABILITY ANALYSIS
The Contractor shall prepare a Maintainability Analysis for the System, which identifies all
relevant maintainability considerations and includes an analysis of how the numerical
maintainability required shall be achieved.
AVAILABILITY ANALYSIS
A.
The Contractor shall prepare an Availability Analysis for the System, which documents how the
numerical requirements of the Contract Documents shall be achieved.
B.
The Availability Analysis shall be based on the results of the Reliability and Maintainability
Analyses.
C.
The Systems Assurance Plan shall provide definitions, assumptions and equations to be used in
the Availability Analysis.
FAILURE REPORTS
A.
The Contractor shall provide failure reports in accordance with Section 5.18 - Submittals.
B.
The Contractor shall provide reports for all incidents which may be considered Chargeable
Failures during the Reliability Demonstration Test and the Warranty Period, using the Failure
Report form in the approved Systems Assurance Plan.
C.
The individual within the Contractor who is most qualified shall provide an explanation of the
Incident/Failure and recommend corrective action with a view to preventing repetition of similar
incidents.
D.
Each Failure Report shall contain the following information:
1.
2.
3.
4.
5.
Date, description and physical location of incident;
Part number of the failed part;
Impact on Revenue Service of the Vehicles, or preventing Vehicles from entering
Revenue Service;
Description of failure being a Non-Chargeable Failure, Chargeable Failure, or Service
Failure; and
Recommended corrective actions.
RELIABILITY AND AVAILABILITY MONITORING
A.
The reliability of the System shall be monitored during the Warranty Period. In the event that
the System fails to meet the specified reliability requirements at any time during the Warranty
Period, the Contractor shall make repairs, adjustments, replacements and design changes
necessary to enable the System to meet these requirements. The Contractor shall perform such
285
corrective work promptly and at no additional cost to Port Authority. The Contractor shall
document each failure and corrective action taken and submit to Port Authority within fourteen
(14) Calendar Days of notification of its occurrence.
B.
Based on the reliability data gathered during the Warranty Period, the Contractor shall prepare
and submit System Availability Reports. These Reports shall include the terms as defined in the
Contract Documents and shall identify any additional criteria for determining whether an
incident is a Chargeable or Non-Chargeable Failure. MTBF, MTBSF and availability shall be
calculated for the period of each report, and for the period-to-date, beginning at the end of the
Reliability Demonstration Test.
C.
Further to the definition of Availability, defects which are not detected by earlier tests but
become apparent during the Reliability Demonstration Test or Warranty Period count as failures.
Multiple failures attributed to a common cause or pattern count each time they occur. Each
Chargeable Failure remains on record indefinitely; i.e. will not be deleted following corrective
action.
SUBMITTALS
The Contractor shall provide Port Authority with the following documents in accordance with
Section 5.18 - Submittals:
A.
Systems Assurance Plan;
B.
Preliminary Hazard Analysis;
C.
System Hazard Analysis;
D.
Subsystem Hazard Analysis;
E.
Operating and Support Hazard Analysis;
F.
Failure Modes, Effects and Criticality Analysis;
G.
Fault Tree Analysis;
H.
Safety Case;
I.
Certifiable Items List;
J.
Safety Requirements Specification;
K.
Reliability Analysis;
L.
Reliability Demonstration Test Plan;
M.
Reliability Demonstration Test;
N.
Maintainability Analysis;
O.
Availability Analysis;
P.
Failure Reports;
Q.
Hazard Log;
R.
Safety Certification; and
S.
Software Assurance Plan
286
6.17
EXISTING ATS REMOVAL
This Section contains the requirements for the removal of the existing ATS in accordance with
the Contract Documents.
SITE CONDITIONS
A.
During the course of all removal of the existing ATS, interruptions to Revenue Service shall not
be permitted unless authorized, in writing, by Port Authority.
B.
The Contractor shall perform the removal only at times that will permit uninterrupted operations
of Revenue Service.
EXECUTION
A.
The Contractor shall salvage identified wayside items, including the existing wayside beacons,
and transport said items to a designated storage site at South Hills Junction, 611 West
Warrington Ave, Pittsburgh, PA 15226 and store as directed by Port Authority.
B.
Existing carborne ATS equipment identified for salvage shall be provided to Port Authority.
The Contractor shall remove existing equipment/ items without causing damage to the item,
transport to a designated storage site at South Hills Village Rail Center, 1000 Village Drive,
Pittsburgh, PA 15241 and store as directed by Port Authority.
C.
The Contractor shall remove, handle and transport items indicated to be removed and stored for
future use, with the degree of care expected when handling sensitive signaling equipment.
D.
Items removed which are not required to be provided to Port Authority shall become the
Contractor's property and shall be properly disposed.
E.
The Contractor shall remove all work equipment from Site daily. Storage facilities for the
Contractor’s equipment will not be provided.
F.
The Contractor shall proceed with caution in areas of existing facilities. Damage to existing inservice facilities or to newly constructed facilities (whether they have been placed into service
yet or not) by removal work shall be repaired to the satisfaction of Port Authority at no
additional cost to Port Authority.
G.
The Contractor shall promptly clean up all debris resulting from the removal work and properly
dispose of it at the end of each day. If debris poses a safety hazard, they shall be cleaned up and
disposed of immediately, not left until the end of the day.
H.
The Contractor shall not stockpile debris or surplus items on the Site.
I.
Upon completion of the removal work and all required testing, the Contractor shall sign a
Handover Certificate and provide it to Port Authority for countersigning by Port Authority and
approval to place the wayside Subsystem into Revenue Service as per the Safety Certification
Process in Section 6.16.16 - Safety Certification.
PROTECTION
The Contractor shall:
A.
Prevent movement of, or damage to, adjacent structures, equipment, landscaping, and grades;
B.
Repair damages caused or replace damaged items. Such repair or replacement will be subject to
the approval of Port Authority;
C.
Prevent debris from blocking surface drainage, mechanical and electrical systems;
D.
Pay particular attention to the prevention of fire and the elimination of fire hazards; and
287
E.
Provide safeguards, including but not limited to, warning signs, barricades, temporary fences,
warning lights and other similar items that are required for protection of all personnel and
facility users during decommissioning and removal operations.
PREPARATION
The Contractor shall:
A.
Comply with Workplace Electrical Safety Standard procedures when de-energizing and working
on existing installations; and
B.
Not disrupt active or energized utilities designated to remain undisturbed.
REMOVAL OF BURIED CABLES
A.
Where a buried cable or cable located in an underground is unable to be removed, the Contractor
shall cut back the cable to no less than two (2) feet below ground level, and backfill.
B.
Cables shall be declared “unable to be removed” where a pulling force of greater than two
thousand pounds (2000 lbs.) is required.
C.
The Contractor shall develop and implement a tagging system to identify all abandoned cables.
DISPOSAL OF MATERIAL OUTSIDE THE SITE
A.
Unless otherwise expressly specified in the Contract Documents, the Contractor shall be
responsible for selecting an appropriate location for the proper and lawful disposal of, and
properly and lawfully disposing of, outside of the Site, all waste, hazardous substances,
hazardous waste and excess materials.
B.
When any material is to be disposed outside the Site, the Contractor shall notify the appropriate
Regional Office of the U.S. Environmental Protection Agency and the Pennsylvania Department
of Environmental Protection (PaDEP), or other appropriate local agencies, and request approval
of the proposed disposal site. The Contractor shall also obtain a written release from the
property owner on whose property the disposal is to be made, which shall release both Port
Authority and the Contractor. Disposal operations shall not begin until the approvals and
releases have been obtained by the Contractor and written evidence of same has been furnished
to Port Authority.
C.
The Contractor, in disposing of waste, hazardous substances, hazardous waste and excess
material, shall comply with all Federal, state and local governmental laws and regulations
concerning such disposal of waste and excess materials.
SUBMITTALS
No later than ninety (90) Calendar Days prior to the start of removal work, the Contractor shall
submit the following, in accordance with Section 5.18 - Submittals for Port Authority
Acceptance:
A.
Wayside Beacon Elimination Plan, detailing the process and schedule for removing existing
wayside beacons. The plan shall include the detailed sequence of decommissioning and
removals. The plan shall also detail which equipment will be salvaged and provided to Port
Authority.
B.
Carborne ATS Equipment Elimination plan, detailing the process and schedule for removing
existing ATS equipment from the Vehicles. The plan shall include the detailed sequence of
decommissioning and removals from the Vehicles. The plan shall also detail which equipment
will be salvaged and provided to Port Authority; and
C.
Handover Certificate upon completion of the removal work and all required testing.
288
289
7
OPTIONAL SERVICES
A.
Port Authority reserves the right, at its option and sole discretion, to order and/or require the
Contractor to perform the following Optional Services as part of the Agreement and the Contractor
agrees to and shall provide the Optional Services, or any part thereof, if requested by Port Authority.
Port Authority may exercise its option for the Optional Services at any time during the term of the
Agreement.
B.
The cost of the Optional Services shall be the price for each Optional Service as set forth in the
Summary of Prices.
C.
The Optional Services include the following Products, services and activities.
7.1
OPTION 1 – SPEED SUPERVISION
A.
Option 1 includes and requires the Contractor to provide detailed design, supply, installation,
testing and commissioning of additional speed supervision functionality.
B.
See the Speed Restriction list below for the areas requiring speed supervision, if the option is
exercised.
C.
The Speed Restriction functionality shall include the following:
1. The System shall enforce a maximum system speed limit of 30 mph;
2. The System shall have the capability of handling distinct speed limits for normal and reverse
traffic flow;
3. Track Speed Supervision – the System shall enforce the track speed limits for the sections
listed in the Table below;
4. Street Running Speed Supervision – the System shall enforce the street running speed limits
for the sections listed in the Table below. Note that RFID tags shall not be mounted in the
pavement;
5. Amber Aspect and Mainline Diverging Route Speed Supervision – the System shall enforce
the speed limits as listed in the Table below:
a. The Contractor shall provide the design, detailing, wiring and cable to implement the
circuit changes required to communicate the signal aspect and/or switch position to
the System.
b. The existing signal circuit drawings affected shall be updated to show the changes
using O & X’s during the design phase. These drawings shall be submitted for
approval as per Section 5.18 - Submittals. These drawings shall also be updated to
“As Installed” during the Project close out phase.
c. The Amber Aspect Speeds are only enforced when the associated signal aspect is not
Green (Amber or Red).
d. The Mainline Diverging Route Speeds are only enforced when the associated signal
displays a diverging route (flashing aspect over a reverse switch);
6. Curve Speed Supervision – the System shall enforce the curve speed limits at the
corresponding wayside speed limit signs. The curve speed locations will be coordinated with
Port Authority during the design. A quantity of 16 curve speed restrictions shall be included;
7. Switch Speed Supervision – the System shall enforce the restricted speeds over switches per
the list below. Also see the Double Line Plans in the Reference Drawings;
8. Station Speed Supervision – the System shall enforce restricted speeds through stations as per
the Table below. Also see the Double Line Plans in the Reference Drawings;
290
D.
9. Grade Crossing Speed Supervision – the System shall enforce the restricted speeds through
Grade Crossings as per the Table below. Also see the Double Line Plans in the Reference
Drawings;
10. Yard Speed Supervision – The System shall enforce a speed limit of 10 mph within the
CSMA Yard. See Reference Drawing TS-26 for the track layout; and
11. Maintenance Building Speed Supervision – The System shall enforce a speed limit of 3 mph
beginning at the entrance to the maintenance building at the CSMA Yard. See Reference
Drawing TS-26 for the track layout.
The System shall supervise these speed limits and apply full service brake on the Vehicle if the
speed is exceeded for more than 3 seconds.
E.
The exact number of tag required and locations to be equipped may change at the time the
Optional Services are exercised. The cost for the tags will be adjusted, if necessary, on a price
per location basis based on the cost set forth in the Spare Parts List.
F.
The speed supervision limits and the additional tags for this option shall be added to the set of
double line tracks plans and tag listings as detailed in Section 6.8 - Wayside Subsystem
Requirements.
G.
The Contractor shall be responsible for the supply and integration of all equipment.
H.
Speed limits imposed by Work Zone/ Slow Order RFID tags shall overrule any speed limits
specified above.
I.
Note that speeds restrictions on the Overbrook Line are enforced by the existing ATP system.
J.
As a part of this Optional Service, the Contractor shall propose an arrangement of speed
restrictions and the distance to go functions to safely eliminate the blind train stop grade timing
circuits on the tail tracks shown on sheets 6083-06, 6083-07, 6083-12, and 6083-13. The
Contractor shall remove the eliminated equipment after the Optional Service is commissioned.
Speed Restriction List:
Track Speeds:
Washington Junction, Inbound, 202N to 16N – 20 mph
Washington Junction, Inbound, 16N & 2N to 14N, – 15 mph
Washington Junction, Outbound, 269S to 10S – 15 mph
Mt. Lebanon Tunnel – 25 mph (Mt Lebanon station to Dormont Station)
Central Business District & North Shore Tunnel – 25 mph. (between Fourth Ave Interlocking to
Allegheny Station)
Allegheny Station Tail tracks – 5 mph (from entering signal to end of track)
Library Line between Hillcrest Stop and Washington Junction, inbound only - 20 mph
Library Station Tail tracks – 5 mph
Street Running Speeds:
Broadway Ave –20 mph
South Busway –25 mph
291
Mt. Washington Tunnel Inbound – 20 mph (SH Junction to Station Square)
Mt. Washington Tunnel Inbound, turn into Station Square – 5 mph (added per survey)
Mt. Washington Tunnel Outbound – 25 mph (SH Junction to Station Square)
Warrington & Arlington Avenue –15 mph (Arlington Line)
High Platform Stations:
Stations unless listed below – 20 mph
Dormont Station - 10 mph
Note that speed restrictions are not enforced for low platform stops.
Grade Crossings:
Road Crossing unless listed below – 15 mph
Cook Lane - 10 mph.
Highland – 10 mph.
Logan - 10 mph.
Mt. Lebanon Blvd. - 10 mph.
Park Blvd. (inbound only) -10 mph.
Pleasant Street (inbound only) - 10 mph.
South Park - 10 mph.
Williams Way (outbound only) - 10 mph.
Amber Aspect Speeds
Washington Junction, 219N – 10 mph
Washington Junction, 16N – 10 mph
Washington Junction, 232N – 10 mph (for move into WJ Pocket Track)
Washington Junction, 250S – 10 mph
Washington Junction, 32S – 15 mph
Washington Junction, 20S – 15 mph
Mainline Diverging Routes:
Washington Junction, 10S to 8N – 15 mph
Overbrook Junction, 2N to 10S, - 15 mph
Allegheny Station, Inbound, 2N to 6S – 15 mph
292
Allegheny Station, Outbound, 8S to 4N – 15 mph
Curve Speeds:
Include 16 curve speed restrictions in proposal.
Switch Speeds:
Straight move on main track unless listed below – 25 mph
Straight move at Overbrook junction – 15 mph
Straight move at Panhandle Bridge – 15 mph
Dorchester, Inbound, 6N to 10S – 15 mph (diverging move on main track)
Dorchester, Outbound, 12S to 8N – 15 mph (diverging move on main track)
Overbrook Junction, Outbound, 12S to 4N – 15 mph (diverging move on main track)
Fourth Ave, Inbound, 2N to 10S – 15 mph (diverging move on main track)
Steel Plaza, Outbound, 6S to 4N – 15 mph (diverging move on main track)
Steel Plaza, Inbound, 2N to 8S, - 15 mph (diverging move on main track)
Crossover move – 5 mph (delete, not a normal move, into / out of reverse running.
7.2
OPTION 2 – ENHANCED DRIVER’S PANEL
A.
This Option includes the provision and installation of an Enhanced Driver’s Panel for the
Vehicles with the capability of displaying the maximum allowable speed to the operator when
there is any type of speed enforcement present (e.g. work‐zones, system start‐up, key‐by or
speed supervisions if Option 1 is exercised).
B.
The Enhanced Driver’s Panel shall replace the existing ATS Driver’s Panel currently installed in
each cab end of a Vehicle.
C.
The Enhanced Driver’s Panel shall be readable in dark lighting (low light level) and in direct
sunlight.
D.
The Enhanced Driver’s Panel shall provide the same functionality as described in Section 6.7.5
of the Contract Documents, with the following additions:
E.
F.
Visual indication of:
1. Authorized train speed (in mph); and
2. Overspeed indication.
The Contractor shall include all additional wiring required from the System to the Enhanced
Driver’s Panel.
The Contractor shall confirm that there is sufficient space available within the Vehicle for any
additional wiring or cable required for the Enhanced Driver’s Panel.
293
G.
The actual detailed design of the Enhanced Driver’s Panel shall be developed by the Contractor
and reviewed during the Design Review(s) and subject to the review and approval by Port
Authority.
294
APPENDIX A - Preliminary Document Requirements List
Item
No.
Agrmt
Doc.
Ref.
Contra.
Submittal
No.
Contractor
Document
No.
Rev.
No.
CDRL Title
Section
No.
Design Phase
Due Date (Calendar
days)
1.
Progress Reports
5.7
2.
90 Day Schedule
5.9.2
15 days after NTP
3.
Project Schedule
5.9.3
30 days after NTP
4.
Submittal List
5.18.1
30 days after NTP
5.
Conceptual Design Review Report
5.8.2
CDR
6.
Preliminary Design Review Report
5.8.3
PDR
7.
Final Design Review Report
5.8.4
FDR
8.
Quality Assurance Program
5.11.1
30 days after NTP
9.
Configuration Management Plan
5.11.4
30 days after NTP
10.
Training Program Plan
5.12.4
90 days after NTP
11.
Draft Training Material, Instructor Guides
and Student Workbooks
5.12
12.
Final Training Material, Instructor Guides
and Student Workbooks
5.12
13.
Operations and Maintenance Manuals Preliminary
5.13
14.
Operations and Maintenance Manuals – PreFinal
5.13
60 days prior to
installation
15.
Operations and Maintenance Manuals - Final
5.13
30 days prior to
installation
Final Design Phase
FDR
60 days prior to first
training session
Preliminary Design Phase
PDR
A-1
Item
No.
Agrmt
Doc.
Ref.
Contra.
Submittal
No.
Contractor
Document
No.
Rev.
No.
CDRL Title
Section
No.
Design Phase
Due Date (Calendar
days)
16.
Recommended Spare Parts List
5.15
Final Design Phase
FDR
17.
Recommended Tools List
5.14
Final Design Phase
FDR
18.
Recommended Test Equipment List
5.14
Final Design Phase
FDR
19.
Documentation Plan
5.18.1
30 days after NTP
20.
Design Management Plan
5.18
30 days after NTP
21.
Site Specific Work Plan
2
45 days prior to
commencing the task on
Site
22.
System Timing Analysis
6.7.8
Preliminary Design Phase
PDR
23.
Standard Operating Procedures
6.7.8
Final Design Phase
FDR
24.
Preliminary Equipment and Cabling
Installation and Layout Drawings and
Interface Information
6.8.5
Preliminary Design Phase
PDR
25.
Final Equipment and Cabling Installation and
Layout Drawings and Interface Information
6.8.5
Final Design Phase
FDR
26.
ATS Wayside Subsystem Layout Drawings
6.8.5
PDR
27.
Wayside Equipment Installation Plan
6.8.5
30 days prior to
commencing installation
28.
ATS Wayside Subsystem Layout Drawings
6.8.5
PDR
29.
ATS-Vehicle Interface Control Document
6.9.9
Preliminary Design Phase
PDR
30.
Narrative Description of Carborne ATS
Subsystem
6.9.9
Preliminary Design Phase
PDR
A-2
Item
No.
Agrmt
Doc.
Ref.
Contra.
Submittal
No.
Contractor
Document
No.
Rev.
No.
CDRL Title
Section
No.
Design Phase
Due Date (Calendar
days)
31.
Layout Drawings for Carborne ATS
Equipment
6.9.9
Preliminary Design Phase
PDR
32.
Heat Load Analysis for ATS Equipment
6.9.9
Preliminary Design Phase
PDR
33.
Electrical Load Analysis for Carborne ATS
Equipment
6.9.9
Preliminary Design Phase
PDR
34.
Detailed Technical Description of ATS
Carborne Subsystem Equipment
6.9.9
Final Design Phase
FDR
35.
Control Schematics
6.9.9
Final Design Phase
FDR
36.
Assembly Drawings of Carborne ATS
Equipment
6.9.9
Final Design Phase
FDR
37.
Electrical Drawings
6.9.9
Final Design Phase
FDR
38.
Production Details and Information
6.9.9
Post Design
30 days prior to
commencing installation
39.
Carborne equipment PICO Plan
6.9.9
Final Design Phase
FDR
40.
Carborne As-Built Drawings
6.9.9
Post Design
To be determined
41.
Carborne Equipment Installation Plan
6.9.9
Post Design
30 days prior to
commencing installation
42.
Software Project Management Plan
6.10.8
Conceptual Design Phase
CDR
43.
Software Quality Assurance Plan
6.10.8
Conceptual Design Phase
CDR
44.
Software Verification and Validation Plans
6.10.8
Conceptual Design Phase
CDR
45.
Software Requirements Descriptions
6.10.8
Final Design Phase
FDR
46.
Software Design Descriptions
6.10.8
Final Design Phase
FDR
A-3
Item
No.
Agrmt
Doc.
Ref.
Contra.
Submittal
No.
Contractor
Document
No.
Rev.
No.
CDRL Title
Section
No.
Design Phase
Due Date (Calendar
days)
47.
Software Reviews
6.10.8
Final Design Phase and
Post Design
To be determined
48.
Software Test Plans
6.10.8
Preliminary Design Phase
PDR
49.
Software Test Documentation
6.10.8
Final Design Phase and
Post Design
To be determined
50.
Hardware Obsolescence Plan
6.10.8
Preliminary Design Phase
PDR
51.
Hardware Development Plan
6.11.1
Conceptual Design Phase
CDR
52.
Manufacturer’s Product Data for Cabling
6.11.18
Preliminary Design Phase
PDR
53.
Justification for Cabling Selection
6.11.18
Preliminary Design Phase
PDR
54.
Product Data, Shop Drawings and
Specifications for tags, locks and keys
6.11.18
Preliminary Design Phase
PDR
55.
Samples of each type of tag, lock and key
6.11.18
Preliminary Design Phase
PDR
56.
Equipment Identification Coding Method
6.11.18
Preliminary Design Phase
PDR
57.
Product Data, Shop Drawings and
Specifications for printed circuit cards,
integrated circuits and printed circuit card
connectors
6.11.18
Final Design Phase
FDR
58.
Environmental Qualification Plan
6.12.8
Preliminary Design Phase
PDR
59.
EMC/EMI Control Plan
6.12.8
Preliminary Design Phase
PDR
60.
EMC/EMI Test Plan and Procedures
6.12.8
Preliminary Design Phase
PDR
61.
Environmental Qualification Test Plans and
Procedures
6.12.8
Preliminary Design Phase
PDR
62.
Environmental Qualification Test Reports
6.12.7
Final Design Phase
FDR
A-4
Item
No.
Agrmt
Doc.
Ref.
Contra.
Submittal
No.
Contractor
Document
No.
Rev.
No.
CDRL Title
Section
No.
Design Phase
Due Date (Calendar
days)
63.
EMI/EMC Test Reports
6.12.7
Final Design Phase
FDR
64.
Systems Engineering Management Plan
6.13.3
Conceptual Design Phase
CDR
65.
Verification and Validation Plan
6.13.3
Conceptual Design Phase
CDR
66.
Concept of Operations
6.13.3
Conceptual Design Phase
CDR
67.
System Design Description
6.13.3
Conceptual Design Phase
CDR
68.
System and Subsystem Requirements
Specifications
6.13.3
Preliminary Design Phase
PDR
69.
System Demonstration Plan
6.14.3
Preliminary Design Phase
PDR
70.
System Demonstration Report
6.14.3
71.
Test Program Plan
6.15.7
Conceptual Design Phase
CDR
72.
Systems Integration Plan
6.15.33
Preliminary Design Phase
PDR
73.
Factory Acceptance Test Procedures
6.15.33
Post Design
At least 30 days prior to
the start of Testing
74.
Factory Acceptance Test Plan
6.15.33
Preliminary Design Phase
PDR
75.
Cut-Over Plan
6.15.33
Preliminary Design Phase
PDR
76.
PICO Static and Dynamic Test Procedures
6.15.33
Final Design Review
FDR
77.
PICO Reports
6.15.33
Post Design
Within 14 days of
completion of each
check-out
78.
Integrated System Test Procedures
6.15.33
Final Design Review
FDR
No later than 30 days
after System
Demonstration
A-5
Item
No.
Agrmt
Doc.
Ref.
Contra.
Submittal
No.
Contractor
Document
No.
Rev.
No.
CDRL Title
Section
No.
Design Phase
Due Date (Calendar
days)
79.
Integrated System Test Reports
6.15.33
Post Design
Within 14 days of
completion of each
check-out
80.
Commissioning Test Procedures
6.15.33
Final Design Review
FDR
81.
Commissioning Test Reports
6.15.33
Post Design
Within 14 days of
completion of each
commissioning
82.
Handover Certificate
6.15.33
Post Design
At the end of
Commissioning each
carborne and wayside
Subsystem
83.
Systems Assurance Plan
6.16.4
Conceptual Design Phase
CDR
84.
Preliminary Hazard Analysis
6.16.7
Conceptual Design Phase
CDR
85.
System Hazard Analysis
6.16.8
Preliminary Design Phase
PDR
86.
Subsystem Hazard Analysis
6.16.9
Final Design Phase
FDR
87.
Operating and Support Hazard Analysis
6.16.10
Preliminary Design Phase
PDR
88.
Failure Modes, Effects and Criticality
Analysis
6.16.11
Final Design Phase
FDR
89.
Fault Tree Analysis
6.16.12
Preliminary Design Phase
PDR
90.
Software Assurance Plan
6.16.17
Conceptual Design Phase
CDR
91.
Safety Requirements Specification
6.16.18
Preliminary Design phase
PDR
92.
Hazard Log
6.16.13
All Design Phases
All milestones
93.
Safety Case
6.16.14
Post Design Phase
Prior to first LRV
commissioning
A-6
Item
No.
Agrmt
Doc.
Ref.
Contra.
Submittal
No.
Contractor
Document
No.
Rev.
No.
CDRL Title
Section
No.
Design Phase
Due Date (Calendar
days)
94.
Safety Certification
6.16.15
Post Design Phase
Prior to first LRV
commissioning
95.
Certifiable Items List
6.16.15
All Design Phases/Post
Design Phase
All milestones
96.
Reliability Analysis
6.16.20
Final Design Phase
FDR
97.
Reliability Demonstration Test Plan
6.16.21
Final Design Phase
FDR
98.
Reliability Demonstration Test Report
6.16.22
Post Design Phase
99.
Maintainability Analysis
6.16.24
Final Design Phase
FDR
100.
Availability Analysis
6.16.25
Final Design Phase
FDR
101.
Failure Reports
6.16.26
Post Design Phase
102.
Wayside Beacon Elimination Plan
6.17.7
No later than 90
Calendar days prior to
start of removal work
103.
Carborne ATS Equipment Elimination Plan
6.17.7
No later than 90
Calendar days prior to
start of removal work
A-7
APPENDIX B – ATS-Vehicle Interface Control Document