EXHIBIT D
APPENDIX 01: CONFORMED STATEMENT OF WORK
COMBINED RAIL OPERATIONS AND MAINTENANCE
RFP NO. 24617
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COMBINED RAIL OPERATIONS AND MAINTENANCE
Table of Contents
DEFINITIONS AND ACRONYMS ............................................................................................................... 10
Other Key Definitions and Acronyms: ..................................................................................................... 15
background ............................................................................................ Error! Bookmark not defined.
1.1
NCTD Overview ......................................................................................................................... 16
1.2
Current Operations ..................................................................................................................... 18
1.2.1
COASTER Commuter Rail Service ........................................................................................ 18
1.2.2
SPRINTER Hybrid Rail Service ............................................................................................. 19
1.3
Future Plans ............................................................................................................................... 19
NCTD RESPONSIBILITIES ................................................................................................................. 21
2.1
Operations, Safety, and Regulatory Oversight ........................................................................... 21
2.2
NCTD Programs, Plans, Procedures and Policies ...................................................................... 21
2.3
NCTD-Provided Rolling Stock .................................................................................................... 21
2.4
NCTD-Provided Dispatch Systems ............................................................................................ 22
2.5
NCTD-Provided Facilities, Support Vehicles and Support Equipment ....................................... 22
2.6
Fuel ............................................................................................................................................ 22
2.7
Utilities ........................................................................................................................................ 22
2.8
Security ...................................................................................................................................... 22
2.9
Property and Liability Insurance ................................................................................................. 23
2.10
Business Systems, Information Systems and Databases .......................................................... 23
THE CONTRACTOR RESPONSIBILITIES ......................................................................................... 26
3.1
General....................................................................................................................................... 26
3.2
Administration............................................................................................................................. 26
3.3
Office space/furniture ................................................................................................................. 26
3.4
Productivity Improvements ......................................................................................................... 26
3.5
Warranties .................................................................................................................................. 26
3.5.1
Warranty Administration .......................................................................................................... 26
3.5.2
Warranty Protection ............................................................................................................... 27
3.5.3
Warranty Assignment ............................................................................................................. 27
3.6
Configuration Management ........................................................................................................ 27
3.6.1
General ................................................................................................................................... 27
3.6.2
Modernizations, Additions and Improvements ........................................................................ 27
3.6.3
Retrofits and Changes ........................................................................................................... 28
3.7
Civil Rights Program .................................................................................................................. 28
3.8
Coordination ............................................................................................................................... 29
3.9
Information Technology (IT) Help Desk ...................................................................................... 29
3.10
The Contractor Document Management and Retention Plan ..................................................... 29
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3.11
The Contractor Compliance and Internal Audit ........................................................................... 29
3.12
Support for Capital Construction and Maintenance Projects ...................................................... 30
3.13
Asset Management ..................................................................................................................... 30
3.14
Confidential Close Call Reporting System (C3RS) ..................................................................... 30
TRAIN OPERATIONS, CREWS, AND PERFORMANCE ................................................................... 31
4.1
Schedule Requirements ............................................................................................................. 31
4.1.1
Base Service Plan .................................................................................................................. 31
4.1.2
Routine Schedule Changes ................................................................................................... 32
4.1.3
Modified Consist Size ............................................................................................................. 32
4.1.4
Modified Schedules ................................................................................................................ 32
4.1.5
Construction Schedules ......................................................................................................... 32
4.1.6
Special Trains and Test Trains .............................................................................................. 33
4.1.7
Additions and Reductions to the Base Service Plan ............................................................... 33
4.2
Train Crew Uniform Requirements............................................................................................. 34
4.3
COASTER Operations Requirements ........................................................................................ 34
4.3.1
General ................................................................................................................................... 34
4.3.2
Daily Pre-Revenue Service .................................................................................................... 35
4.3.3
Daily Revenue Service ........................................................................................................... 35
4.3.4
Daily Post-Revenue Service .................................................................................................. 36
4.3.5
Passenger Announcements ................................................................................................... 36
4.3.6
Emergencies/Incidents and Troubleshooting ......................................................................... 36
4.3.7
Fare Verification ..................................................................................................................... 36
4.4
SPRINTER Operations Requirements ....................................................................................... 37
4.4.1
General ................................................................................................................................... 37
4.4.2
Daily Pre-Revenue Service .................................................................................................... 37
4.4.3
Daily Revenue Service ........................................................................................................... 37
4.4.4
Daily Post-Revenue Service .................................................................................................. 38
4.4.5
Passenger Announcements ................................................................................................... 38
4.4.6
Emergencies/Incidents and Troubleshooting ......................................................................... 38
4.4.7
Fare Verification ..................................................................................................................... 39
TRAIN DISPATCHING......................................................................................................................... 40
5.1
Background ................................................................................................................................ 40
5.2
HTSI’s Current Dispatching Services Scope .............................................................................. 40
5.2.1
Performance Requirements ................................................................................................... 40
5.2.2
Responsibilities ...................................................................................................................... 40
5.2.3
Dispatching Services .............................................................................................................. 40
5.3
Coordination with Incumbent Train Dispatcher ........................................................................... 42
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MAINTENANCE OF EQUIPMENT ...................................................................................................... 43
6.1
General....................................................................................................................................... 43
6.2
Inclusion in Rates ....................................................................................................................... 43
6.3
NCTD Inspections ...................................................................................................................... 43
6.4
Annual Fleet Optimization Plan .................................................................................................. 43
6.5
Revenue Vehicle Maintenance .................................................................................................. 44
6.5.1
Maintenance Standards ......................................................................................................... 44
6.5.2
Safety ..................................................................................................................................... 44
6.5.3
Appearance ............................................................................................................................ 44
6.5.3.1 Passenger Cars and Diesel Multiple Units (DMUs) ................................................................ 44
6.5.3.2 Locomotives ............................................................................................................................ 45
6.5.3.3 Exterior Train Washing ............................................................................................................ 46
6.5.3.4 Seat Covers and Seat Foam ................................................................................................... 46
6.5.4
Wheel Truing ........................................................................................................................... 46
6.5.5
Regular Inspections and Preventive Maintenance .................................................................. 46
6.5.5.1 Timing and Scope ................................................................................................................... 46
6.5.5.2 Defects .................................................................................................................................... 47
6.5.5.3 Records ................................................................................................................................... 47
6.5.5.4 Parts and Supplies .................................................................................................................. 47
6.5.5.5 Fluid Analysis .......................................................................................................................... 48
6.5.5.6 Applicable Codes and Regulations ......................................................................................... 48
6.5.5.7 Response Times and Actions ................................................................................................. 48
6.5.5.8 Reporting Marks ..................................................................................................................... 48
6.5.6
Vehicle Warranty Repairs, OEM Bulletins and Other Repair Work ........................................ 48
6.5.6.2 Notice of Defects ..................................................................................................................... 48
6.5.6.3 Training ................................................................................................................................... 49
6.5.6.4 NCTD Role ............................................................................................................................. 49
6.5.6.5 Repair Standards .................................................................................................................... 49
6.5.6.6 Overhauls ................................................................................................................................ 49
6.5.6.7 Fleet Defects ........................................................................................................................... 51
6.5.6.8 Heating and Air Conditioning .................................................................................................. 51
6.5.7
Painting and Signage .............................................................................................................. 52
6.5.7.1 Rolling Stock Painting ............................................................................................................. 52
6.5.7.2 Decals and Signage ................................................................................................................ 52
6.5.8
Corrosion ................................................................................................................................. 52
6.5.9
Long-term Holds ...................................................................................................................... 52
6.5.10 Stripping of Parts ..................................................................................................................... 52
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6.5.11 Maintenance of On-Board Technology Systems .................................................................... 53
6.6
Support Vehicle Maintenance .................................................................................................... 54
6.6.1
Maintenance Standards .......................................................................................................... 54
6.6.2
Safety ...................................................................................................................................... 54
6.6.3
Appearance ............................................................................................................................. 54
6.6.4
Regular Inspections and Preventive Maintenance .................................................................. 54
6.6.5
Replacement of Support Vehicles ........................................................................................... 55
6.7
Fueling ........................................................................................................................................ 55
6.8
Cleaning and Servicing for Metrolink Equipment ........................................................................ 56
6.8.1
SCCRA Statement of Work ..................................................................................................... 56
6.9 Advertising Installation and Removal ................................................................................................ 57
MAINTENANCE-OF-WAY AND SIGNAL ............................................................................................ 59
7.1
NCTD Right-of-Way ................................................................................................................... 59
7.2
Base Maintenance of Way Services Plan and Signal Services Plan .......................................... 60
7.3
Maintenance Crew Uniform Requirements ................................................................................. 60
7.4
Response Time ........................................................................................................................... 61
7.5
Track and Structures ................................................................................................................... 61
7.5.1
Operating Conditions .............................................................................................................. 61
7.5.2
Maintenance Performance ...................................................................................................... 61
7.5.3
The Contractor Obligations ..................................................................................................... 61
7.5.4
Capital Maintenance of Way Service Plan .............................................................................. 63
7.5.5
Track and Structure Standards ............................................................................................... 63
7.5.5.1 Performance Standards .......................................................................................................... 63
7.5.5.2 Standard Control Documents .................................................................................................. 64
7.5.6
Track and Structures Maintenance Responsibilities ............................................................... 64
7.5.6.1 General .................................................................................................................................... 64
7.5.6.2 Track ....................................................................................................................................... 65
7.5.6.3 Inspection ................................................................................................................................ 65
7.5.6.4 Rail .......................................................................................................................................... 65
7.5.6.5 Ties (Concrete and/or Wood) .................................................................................................. 67
7.5.6.6 Track Structure ........................................................................................................................ 67
7.5.6.7 Right-Of-Way........................................................................................................................... 68
7.5.6.8 Grade Crossing Repair and Rehabilitation ............................................................................. 70
7.5.6.9 Other Maintenance and Repair ............................................................................................... 70
7.5.6.10
7.6
7.6.1
Maintenance of Bridges, Culverts and Drainage Systems ............................................. 71
Signal, Communications and Systems ....................................................................................... 74
Standard Control Documents .................................................................................................. 74
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COMBINED RAIL OPERATIONS AND MAINTENANCE
Signal Maintenance ................................................................................................................. 74
7.6.2.1 Tests and Inspections ............................................................................................................. 76
7.6.2.2 Grade Crossing Maintenance ................................................................................................. 77
7.6.2.3 Hazard Detector Maintenance ................................................................................................ 78
7.6.2.4 Sprinter Platform Gangways ................................................................................................... 78
7.6.2.5 Signals and Interlockings ........................................................................................................ 78
7.6.2.6 Signal & Highway Grade Crossing Warning System Modifications or Changes .................... 79
7.6.3
Maintenance of Dispatch Systems .......................................................................................... 80
7.6.4
Maintenance of Communications and Systems ...................................................................... 82
7.6.5
Signal and Communication Locks ........................................................................................... 83
7.6.6
Capital Signal Services Annual Plan ....................................................................................... 83
7.7
Third Party Projects ..................................................................................................................... 84
7.7.1
Inspection and Compliance of Third Party Work ..................................................................... 84
7.7.2
Inspection, Minor Repairs and Testing of Third Parties and Other The Contractor’s Work.... 84
7.7.3
Support of Communication Equipment and Signal Construction ............................................ 84
7.7.4
Locating and Marking Underground Railroad Utilities............................................................. 85
7.8
Other MOW and Signal Services ................................................................................................ 85
7.9
PTC Maintenance ....................................................................................................................... 86
7.10
Material Storage Areas ............................................................................................................... 89
7.11
Working in or Near Environmentally-Sensitive Areas or Habitats ............................................... 89
7.12
Flagging....................................................................................................................................... 90
Contract Close-OUT Audit ................................................................................................................... 91
8.1
Contract Close-Out Audit ............................................................................................................ 91
FACILITY AND SUPPORT EQUIPMENT............................................................................................ 92
9.1
NCTD Facilities ........................................................................................................................... 92
9.1.1
Stuart Mesa Maintenance Facility ........................................................................................... 92
9.1.2
SPRINTER Operations Facility ............................................................................................... 92
9.1.3
San Diego Trolley Yard ........................................................................................................... 92
9.1.4
Maintenance-of-Way Facility ................................................................................................... 92
9.2
The Contractor Responsibilities for Facility Maintenance ........................................................... 92
9.3
NCTD Responsibilities for Facility Maintenance and Utilities ..................................................... 93
9.4
Access to and Use of Maintenance Facilities ............................................................................. 93
9.4.1
Parking .................................................................................................................................... 93
9.4.2
Facility Use and Office Space ................................................................................................. 93
9.5
Support Equipment ..................................................................................................................... 94
9.5.1
The Contractor Responsibilities .............................................................................................. 94
9.5.2
Support Equipment Maintenance Plan ................................................................................... 94
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MATERIAL MANAGEMENT ........................................................................................................... 95
10.1
Material Storage .......................................................................................................................... 95
10.2
Inventory...................................................................................................................................... 95
10.3
Disposal of Material ..................................................................................................................... 96
10.4
Contract Closeout Inventory ........................................................................................................ 96
11.
SAFETY AND SECURITY .............................................................................................................. 97
11.1
The Contractor Safety Management ........................................................................................... 97
11.2
Safety Action Plan ....................................................................................................................... 98
11.3
NCTD System Safety Program Plan ........................................................................................... 98
11.4
Safety Committees ...................................................................................................................... 98
11.5
Facility and Station Inspections ................................................................................................... 98
11.6
Hazards Involving Projects .......................................................................................................... 99
11.7
Injury Statistics ............................................................................................................................ 99
11.8
Regulatory Agency Reporting ..................................................................................................... 99
11.9
Accident and Incident Investigation and Reporting ..................................................................... 99
11.10
Data and Video Recorders .................................................................................................... 100
11.11
Revision of Safety Practices ................................................................................................. 100
11.12
Worker Health and Safety and Hazardous Material Safety .................................................. 100
11.13
The Contractor Security Management .................................................................................. 100
11.14
Security Action Plan .............................................................................................................. 102
11.15
NCTD’s System Security and Emergency Preparedness Plan: ........................................... 103
11.16
Security Data Collection and Reporting: ............................................................................... 103
11.17
Security Committees ............................................................................................................. 103
ENVIRONMENTAL AND HAZMAT SERVICES ........................................................................... 104
12.1
Permits and Certifications ......................................................................................................... 104
12.1.1 Stuart Mesa Facility ............................................................................................................... 104
12.1.2 Escondido Facility ................................................................................................................. 104
12.1.3 Other Requirements .............................................................................................................. 104
12.2
Air Emissions............................................................................................................................. 105
12.3
Regulated and Hazardous Waste and Material ........................................................................ 105
12.4
Emergency Response ............................................................................................................... 106
12.4.1
Cleaning Methods in Case of Biohazard Incidents ............................................................... 106
12.5
Health and Safety Planning and Work Area Security ............................................................... 107
12.6
Training and Qualifications ........................................................................................................ 108
TRAINING AND QUALITY MANAGEMENT PROGRAM ............................................................. 109
13.1
Training Plan ............................................................................................................................. 110
13.2
Training Program Components ................................................................................................. 110
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13.3
Training for Designated NCTD Employees ............................................................................... 110
13.4
Quality Control Program Plan ................................................................................................... 111
13.5
Roadway Worker Protection ..................................................................................................... 111
13.6
Training and Qualification of NCTD Employees and NCTD and Third Party Personnel .......... 112
CUSTOMER SERVICE AND EMPLOYEE BEHAVIOR EXPECTATIONS .................................. 113
14.1
Customer Service ...................................................................................................................... 113
14.2
Conduct Unbecoming an Employee ......................................................................................... 113
DELIVERABLES, REPORTS, AND NOTIFICATIONS ................................................................. 115
15.1
Deliverables............................................................................................................................... 115
15.1.1 Annual Reports...................................................................................................................... 115
15.1.2 Monthly Reports .................................................................................................................... 116
15.1.3 Daily Reports ......................................................................................................................... 116
15.1.4 Immediate Reports ................................................................................................................ 117
15.1.5 On-Line Reports .................................................................................................................... 117
HOURLY RATES .......................................................................................................................... 118
KEY MANAGEMENT PERSONNEL AND STAFFING LEVELS ................................................... 119
17.1
Key Management Personnel ..................................................................................................... 119
17.2
General Manager ..................................................................................................................... 120
17.3
Requirements ........................................................................................................................... 120
17.4
Staffing Levels ....................................................................................................................... 121
17.5
Key Personnel – The Contractor Proposed Alternative Structure ........................................... 121
17.6
Labor Agreements .................................................................................................................... 121
IT REQUIREMENTS ..................................................................................................................... 122
18.1
IT Equipment Utilization Policy.................................................................................................. 122
18.2
Data Security and Ownership ................................................................................................... 122
18.3
Asset Accounting, Inventory and Disposition ............................................................................ 123
18.4
Business Continuity and Disaster Recovery ............................................................................. 123
COORDINATION AND COMPLIANCE WITH REGULATORY AGENCIES ................................. 124
OPTIONAL TASK – TRAIN MOVEMENT CONTROL AND DISPATCHING ................................ 125
20.1
Train Movement, Control, and Dispatching ............................................................................... 125
20.2
Performance Requirements ...................................................................................................... 125
20.3
Dispatching Services ................................................................................................................. 125
20.4
Dispatch Services Organization and Staffing ............................................................................ 126
20.5
Transitioning Between Primary Dispatch and Backup Dispatch ............................................... 127
20.6
Train Dispatching ...................................................................................................................... 128
20.7
Service Schedules .................................................................................................................... 128
20.8
Maintenance Schedules ............................................................................................................ 129
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20.9
Rail Traffic Control & Management ........................................................................................... 129
20.10
Service Disruption ................................................................................................................. 131
20.11
Follow-Up Reporting ............................................................................................................. 131
20.12
Maintaining Records/Reports ................................................................................................ 132
20.13
Maintaining Electronic Records/Logs .................................................................................... 132
20.14
System Safety and Security .................................................................................................. 133
20.15
Training Requirements .......................................................................................................... 133
MOBILIZATION ............................................................................................................................. 134
21.1
Mobilization Services ................................................................................................................ 134
21.2
Mobilization Services Master Plan ............................................................................................ 135
APPENDICES ............................................................................................................................... 136
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DEFINITIONS AND ACRONYMS
Definitions
Additional Service –additional passenger train service as described in the Agreement Services.
Agreement Services –services provided by The Contractor under the terms of the Contract.
Amtrak –the National Railroad Passenger Corporation, doing business as Amtrak, is a publicly funded
railroad service operated and managed as a for-profit corporation which began operations on May 1, 1971,
to provide intercity passenger train service in the United States.
Base Services –any work covered in the Agreement Services, not specified as Additional Service or
Mobilization Services or Optional Services or Tasks.
BFT - bypass freight track.
BNSF –BNSF Railway, which is one of seven North American Class I railroads. BNSF has a permanent
easement to operate on the San Diego and Escondido subdivisions. PACSUN provides freight service on
the Escondido subdivision pursuant to an agreement with BNSF.
COASTER –NCTD’s commuter rail transit service that currently operates on the San Diego Subdivision.
Commencement Date – see “Service Date”.
Commuter Rail –a passenger rail transport service that primarily operates between a city center, and the
middle to outer suburbs beyond 15 km (10 miles) and commuter towns or other locations that draw large
numbers of commuters — people who travel on a daily basis. Trains operate following a schedule, at speeds
varying from 50 to 200 km/h (30 to 125 mph). Distance charges or zone pricing may be used.
The Contractor –a person, firm, or corporation whose proposal was deemed to be in the overall best
interest of NCTD and is approved for award of a Contract and subsequently enters into an Agreement
with NCTD for the provision of services.
Deferred Maintenance –the practice or outcome of either postponing or failing to properly plan and
complete scheduled and or normal/reasonably expected unscheduled maintenance activities such as
repairs on either real property (i.e. infrastructure) and/or other property/equipment (i.e. machinery)
consistent with NCTD and or regulatory requirements.
Escondido Subdivision –the NCTD-owned railroad right-of-way between Oceanside and Escondido.
Force Majeure – means performance failures caused by natural disasters (Acts of God: earthquakes,
hurricanes, floods), wars, riots or other major upheavals or by performance failures of parties outside the
control of the contracting party (e.g. disruptions in utility service attributable to the utility company or labor
actions by employees of a common carrier.
Fraud – means an intentional misrepresentation, deceit, or concealment of a material fact with the
intention of thereby depriving a person of property or legal rights or otherwise causing injury.
Hours of Service –the Hours of Service laws (HSL), first enacted in 1907 and most recently amended in
2008, which control how many hours train employees, dispatching service employees, and signal
employees may work.
Malice –any conduct intended to cause injury to others or despicable conduct which is carried on with a
willful conscious disregard of the rights or safety of others.
Metrolink –the commuter rail service centered in Los Angeles which connects Los Angeles, San
Bernardino, Riverside, Orange, and Ventura Counties to the central Los Angeles area. Metrolink trains
currently operate from Oceanside serving the Orange County, Los Angeles and Riverside areas, and are
serviced at the NCTD’s Commuter Rail (COASTER) Maintenance of Equipment facility.
Mobilization –the services necessary to successfully commence the Agreement Services on the Service
Date; these services are performed prior to the Service Date and after the Notice to Proceed.
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MOE –Maintenance of Equipment - the cleaning, servicing, and upkeep of NCTD’s revenue and support
vehicles and equipment.
MOW –Maintenance-of-Way - the upkeep and maintenance of track, signals, communications and rail
structures of the NCTD owned and controlled Right-of-Way.
MOS –Maintenance of Signals.
MTS –the San Diego Metropolitan Transit System (MTS) (or sometimes abbreviated SDMTS) is the public
transit service provider for Central, South, Northeast and Southeast San Diego County, in the United States.
MTS operating subsidiaries include the San Diego Trolley, Incorporated (SDTI), and San Diego Transit
Corporation (SDTC).
Non-Peak Period –the period of service before, between, or after the peak period of each service day.
Oppression –despicable conduct that subjects a person to cruel and unjust hardship in conscious
disregard of that person’s rights.
Pac-Sun –the local provider of freight service on the Escondido and San Diego subdivisions, under contract
with BNSF to provide such service.
Peak Period –the period of service with the highest ridership during the entire service day, generally
referring to either the peak hour or peak several hours.
Recklessness – means conduct which is of unreasonable character that was 1) performed in disregard
of a known risk or that was 2) performed in disregard to a risk so obvious that he/she shall have been
aware of the risk.
Revenue vehicles, Rolling stock –all locomotives, diesel multiple units (DMUs), and rail passenger or
other cars owned by the NCTD that are used in providing rail service.
Right-of-Way (ROW) –land or rights to land used or held for railroad operations or for a public way.
Right-of-Way Assets –without limitation, rail lines, signal and communication systems, and related
facilities (including signals, crossing warning devices, communication systems, and poles), railroad tracks
and related components (including rails, ballast, ties, tie pads, and fasteners), turnouts (including switch
points, frogs, switch ties, switch stands, and other switch components), bridges, trestles and culverts,
structures, and facilities within the Right-of-Way, yards, designated passenger tracks, and designated
freight tracks, which may be added or deleted by NCTD during the term of the Agreement, owned or
controlled by the NCTD.
San Diego Subdivision –railroad right-of-way line extending from the Orange County/San Diego County
line to the downtown San Diego Santa Fe Depot Station and connecting with the BNSF’s yard.
SANDAG or MPO –the San Diego Association of Governments (abbreviated SANDAG) is an association
of local San Diego County governments. It is the metropolitan planning organization (MPO) for the County,
with policy makers consisting of mayors, councilmembers, and County Supervisors, and also has capital
planning and fare-setting powers for the County's transit systems, the San Diego Metropolitan Transit
System and North County Transit District, some of which was assumed by the Metropolitan Transit
Development Board.
SCRRA –the Southern California Regional Rail Authority, the joint powers authority created to develop,
operate and maintain the METROLINK commuter rail service.
Service Date –the date that day-to-day operating responsibilities and provision of NCTD rail service
transition to The Contractor following its mobilization period. This is also the date when The Contractor
begins performing the Base Services, as defined in the Statement of Work of the Contract.
Shared Use Agreement (SUA) –the formal agreement executed between two or more entities setting forth
the terms and conditions for shared use of public property or facilities such as a railroad and associated
facilities.
SPRINTER –NCTD’s diesel multiple unit hybrid rail transit service that currently operates on the Escondido
Subdivision.
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Subthe Contractor –a party or parties who is contracted to perform a specific statement of the work on
behalf of the Contractor, pursuant to an agreement with The Contractor, and who, by the terms of the
agreement agrees to comply in all respects with the terms of the Contract between the Contractor and
NCTD.
Support Equipment –the equipment, tools, machines, and other equipment and materials (including
inventory) needed to maintain the right-of-way and rolling stock.
Support Vehicles –the non-revenue vehicles needed to maintain the right-of-way, rolling stock, and
perform Agreement Services.
Temporal Separation –operating conventional freight/commuter and transit rail equipment at distinct
periods of the day and establishing procedures to ensure strict observation of the defined operating
windows.
Train Crew –the Contractor personnel responsible for operating COASTER and SPRINTER trains in
revenue and non-revenue service. For COASTER, this includes an Engineer and Conductor. For
SPRINTER, this includes a DMU Operator.
Vendor or Supplier –the manufacturer, vendor or supplier of one or more components, parts or vehicles
of NCTD Commuter Rail rolling stock and/or components and parts required for maintenance-of-way
activities.
Written Order –a written order signed by the Executive Director, or his/her designee and/or a properly
authorized representative or agent of NCTD, mailed to The Contractor at the address designated in the
RFP, or to such other address as may be designated in writing as The Contractor’s official place of business.
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Acronyms
ADA – Americans with Disabilities Act
APTA – American Public Transit Association
AREMA – American Railway Engineering Maintenance of Way Association
BMP – Bridge Management Plan
CALTRANS - California Department of Transportation
CALOSHA – California Division of Occupational Safety and Health Administration
CARB – California Air Resources Board
CFR – Code of Federal Regulations
CPUC - California Public Utilities Commission.
CTC – Centralized Traffic Control
CWR – Continuously Welded Rail
DMU – Diesel Multiple Units
EPA – Environmental Protection Agency
ETC – Escondido Transit Center
FRA - Federal Railroad Administration of the U.S. Department of Transportation.
FTA - Federal Transit Administration of the U.S. Department of Transportation.
GCOR – General Code of Operating Rules
JDE – JD Edwards
LOSSAN – Los Angeles – San Diego- San Louis Obispo Rail Corridor
HRT – Hybrid Rail Transit
MOU – Memorandum of Understanding
MPO – Metropolitan Planning Organization
MTS – San Diego Metropolitan Transit System
MUTCD – California Manual on Uniform Traffic Control Devices
NCTD – North County Transit District
NTSB – National Transportation Security Board
OEM – Original Equipment Manufacturer
OTC – Oceanside Transit Center
OTP – On Time Performance
PCA – NCTD’s Procurement and Contract Administration Division.
PRESS – APTA Passenger Equipment Safety Standards
PTC – Positive Train Control
RCP – Regional Coordinated Plan
RTP – Regional Transit Plan
RWP – Roadway Worker Protection
SANDAG – San Diego Association of Governments
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SUA – Shared Use Agreement
SCOR – SPRINTER Code of Operating Rules
SCRRA – Southern California Regional Rail Authority
SMMF – Stuart Mesa Maintenance Facility
SOF – Sprinter Operations Facility
SOP – Standard Operating Procedures
TMDS – Train Management and Dispatch System
TMEI – Track Maintenance Engineering Instructions
TSA – Transportation Security Administration
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Other Key Definitions and Acronyms:
FTA, FRA, and other regulatory agencies promulgate definitions and acronyms that are controlling
definitions for reporting. The FTA’s National Transit Database glossary (NTD Glossary) provides industryaccepted definitions and establishes how certain operating, financial, and performance matters must be
reported. The current NTD Glossary can be found at:
http://www.ntdprogram.gov/ntdprogram/Glossary.htm. The FRA also promulgates definitions and
acronyms governing its regulatory requirements. The definitions and acronyms promulgated and
updated by these agencies will be the controlling method for any interpretation or calculation for
reporting or accounting purposes for the extent of services pursuant to this Request for Proposal (RFP)
and any subsequent contract issued pursuant to this RFP with the controlling oversight agency’s
definitions and acronyms having the highest precedence.
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BACKGROUND
1.1
NCTD Overview
The North San Diego County Transit Development Board was created by California Senate Bill No. 802 on
September 20, 1975, and was renamed the North County Transit District in 2005. NCTD was created to
plan, construct, and operate, directly, or through a Contractor, public transit systems in its area of
jurisdiction. NCTD provides bus, van, and train service for people in the northern half of San Diego County
– from the rural areas of Fallbrook and Ramona and the Camp Pendleton Marine Corps Base, to the cities
of Oceanside, Vista, Carlsbad, Encinitas, San Marcos, Del Mar, Solana Beach, and Escondido, plus the
unincorporated areas of North San Diego County. The total population of NCTD’s 1,020 square mile
geographic area is approximately 897,000. The FY 2015 operating budget is $97 million with a capital
budget of $20.9 million with projected system-wide ridership of 12.8 million. NCTD operates a number of
transportation services in the North County region through its Contractors. These services include the
BREEZE (fixed route bus service), the COASTER (commuter rail service), the SPRINTER (hybrid rail
service), the LIFT (paratransit service), and the FLEX (on-demand service).
NCTD is seeking a The Contractor to have an integral role in the delivery of safe, convenient, reliable, and
user-friendly transportation service on COASTER and SPRINTER. The Contractor will be required to
implement and maintain a strong and positive safety and customer service culture for rail operations that is
incorporated and integrated within the overall NCTD service network. The detailed statement of work and
requirements are provided in the RFP and the final contract documents. In summary, the Contractor will
have responsibility for:



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

SPRINTER and COASTER Train Operations (Engineers, Conductors, Train Operators),
SPRINTER and COASTER Vehicle Maintenance (non-revenue and revenue)
Dispatch Services (included as an optional requirement, solely at NCTD’s discretion)
o Train dispatching is currently provided by Herzog Transit Services Inc. (HTSI)
under a separate agreement, due to expire in 2021. Train Dispatching is
procured as an optional task and further details are provided in Section 20.
Maintenance of Way and Signal including but not limited to:
o Track and Structures
o Signal
o Communication Systems
o Electronic Signage Maintenance
o Camera Maintenance throughout NCTD’s service area including all SPRINTER
and COASTER stations, SMMF, SOF, and MOW buildings
o Wireless Mesh Maintenance
o PTC Maintenance
Positive Train Control implementation is currently being advanced by
Herzog Technologies Inc. (HTI) and it is anticipated that this contract
will not be fully closed out until June 30, 2017.
The Contractor should assume that it will be responsible for PTC
Maintenance from the Service Date.
Facility and Support Equipment maintenance as defined in this project
o NCTD, through a separate contract, will maintain the facilities including station
maintenance and general housekeeping at facilities
Environmental and HAZMAT Services
The Contractor shall ensure that its operations and maintenance plans specifically address the goals and
requirements associated with NCTD operations and that such plans and the execution of such plans in
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operations are overseen with a documented and robust oversight program, quality assurance program and
training program provided and administered by the Contractor. The Contractor shall be proactive in
capturing opportunities for improvement, as well as maintaining compliance with regulatory requirements
and implementation of best practices. The Contractors must be cognizant and mindful of the role of NCTD
in the operation of the services and the expectations of key stakeholders that The Contractor perform its
contractual duties and responsibilities in a manner that supports the goals of NCTD to provide safe,
convenient, reliable, and user-friendly transportation. NCTD will maintain policy control of all aspects of
COASTER and SPRINTER services and operation, and have an active oversight role in order to ensure
contractual and regulatory compliance, and customer satisfaction. Nevertheless, it is the Contractor’s
responsibility to perform in accordance with contractual and regulatory requirements. It is also essential
that the Contractor understand and share NCTD’s high performance expectations.
SIGNIFICANT REGIONAL RELATIONSHIPS:
NCTD COORDINATION WITH METROPOLITAN PLANNING ORGANIZATION (MPO)
With the passage of Senate Bill (SB) 1703 in 2003, SANDAG assumed responsibility for the consolidated
agency functions for San Diego County while NCTD and Metropolitan Transit System (MTS) assumed the
transit agency functions. SANDAG Board Policy No. 18 (see Appendix I) allows the transit systems to
quickly and efficiently respond to changes in travel demand and operating/fiscal environment, while
ensuring that the system is developed and modified consistent with longer range regional transportation
and land use goals. As the regional planning organization, SANDAG works in coordination with NCTD and
MTS for transit service planning and project development planning that:



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Serve regional travel demand corridors that cross transit agency jurisdictional boundaries;
Significantly affect passenger trip making;
Require additional regional operating funds above the overall transit agency-adopted budget and
projected budget capacity; and
Affect the policies, projects, services, and facilities included in the Regional Comprehensive Plan
(RCP), the Regional Transportation Plan (RTP), and TransNet Ordinance.
Specifically, SANDAG responsibilities for planning and project development include:
 Preparing the RCP, the RTP, and the Regional Short Range Transit Plan (RSRTP), also referred
to as the Coordinated Plan. SANDAG will conduct the long-range transit plans and corridor studies
as part of the RTP, and regional and subarea planning studies as prioritized in the RSRTP, RTP,
and RCP;
 Planning, locating, and designing transit infrastructure and facilities for regionally significant transit
projects and services, identified in the RTP, RCP, RSRTP, and the TransNet Ordinance;
 Preparing Environmental Justice and Title VI compliance reports for fare changes;
 Managing the competitive process for granting FTA funds; and
 Developing the regional fare policy.
As a transit agency, NCTD planning responsibilities include the following:
 Development of service adjustments, evaluation and approval of changes, implementation and
monitoring of BREEZE, SPRINTER, COASTER, LIFT and FLEX service;
 Development of a service implementation plan;
 Participation in the development of service plans for service adjustments with regional significance,
in response to changes in regional travel demand, to address regional service gaps and
deficiencies and to implement plans and programs identified in RTP, RCP, RSRTP, and the
TransNet Ordinance.
NCTD COORDINATION WITH OTHER REGIONAL TRANSPORTATION OPERATORS:
Located in North San Diego County, NCTD operates transit service in proximity to other transit providers.
Orange County Transportation Authority (OCTA), Metrolink commuter rail, Amtrak, Riverside Transit
Agency (RTA), MTS, and Greyhound all operate adjacent to NCTD. Therefore, coordination between the
respective agencies is required.
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San Diego Metropolitan Transit System (MTS):
NCTD, SDMTS, and BNSF are signatories to a Shared Use Agreement (SUA) that supports the operations
of passenger and freight service in San Diego County. Significant revisions to the SUA are pending final
approval over the next few months. The Revised and Restated SUA will include requirements between
NCTD and MTS for capital activities.
NCTD owns 63 miles of rail right-of-way used for COASTER and SPRINTER operations. This includes 41
miles of COASTER track along the main north-south line between the Orange County border and the
northern border of the City of San Diego. MTS owns the remaining 21 miles of track between Del Mar and
downtown San Diego. NCTD also owns the 22-mile east-west line between Escondido and Oceanside.
NCTD is responsible for maintaining these rights-of-way, including the portion of the San Diego subdivision
owned by MTS, including track, signal systems, bridges, sidings, grade crossings, turnouts, road bed,
culverts, drainage, and the land alongside the track.
Local Bus:
MTS, OCTA, and RTA operate local bus services comparable to the NCTD system. MTS and OCTA’s
paratransit service is integrated with that of NCTD, allowing paratransit passengers to transfer between
NCTD and MTS or OCTA. The transfer point between NCTD and OCTA fixed-route local bus service is in
San Clemente, at the northern terminus of BREEZE Route 395. MTS and NCTD transfer points between
local bus routes are located at Del Lago Park and Ride in Escondido, Escondido Transit Center, and the
VA Hospital and UTC in La Jolla. MTS local bus and Trolley service connects to three COASTER stations
in the MTS service area: Sorrento Valley, Old Town, and Santa Fe Depot. As the only feeder system at
these locations, MTS local bus and Trolley service play a critical role in the COASTER’s service.
Intercity Bus:
Greyhound operates long-haul bus service through NCTD’s service area, stopping at the OTC and ETC,
and also operates routes elsewhere throughout California, the United States, and Mexico.
Commuter Rail:
Metrolink is the regional commuter rail network operating in 6 counties of southern California, with 55
stations and 7 rail lines. Metrolink provides 16 daily trips to OTC, which is also utilized by the COASTER,
SPRINTER, and BREEZE. Metrolink service within San Diego County is provided pursuant to an agreement
between NCTD and Orange County Transportation Authority with Metrolink serving as the operator.
Intercity Rail:
Amtrak intercity rail operates on NCTD’s rail corridor, making stops at Santa Fe Depot, Solana Beach, and
OTC. Amtrak service extends north of San Diego County throughout California and east across the United
States. Amtrak and NCTD have agreements in place to support operations and maintenance (see
Appendix R-1). In addition, Amtrak and NCTD also jointly operate the Rail2Rail program between San
Diego and Oceanside. This program allows any ticketed Amtrak passenger to ride any COASTER train
between San Diego and Oceanside, and allows any ticketed COASTER passenger to ride any one of six
designated Amtrak trains between the two locations (see Appendix R-2).
1.2
1.2.1
Current Operations
COASTER Commuter Rail Service
a. NCTD operates commuter rail service, which runs north and south between Oceanside and downtown
San Diego on the San Diego Subdivision line with a total of eight (8) station stops. A total of 126 trains
run every week, with expanded service offered in spring and summer and additional trains scheduled
for special events as needed. The annual ridership for COASTER is approximately 1.7 million. A
complete current COASTER schedule is provided in Appendix A-1.
b. NCTD owns approximately 38 directional miles of the right-of-way (milepost 207.4 to 245.6) on the San
Diego Subdivision from San Diego/Del Mar boundary north to the Orange County Line. The San Diego
Metropolitan Transit Development Board owns approximately 22 directional miles of the right-of-way
on the San Diego Subdivision from the San Diego/Del Mar boundary to downtown San Diego (milepost
245.6 to 267.61). Regardless of the ownership, NCTD, through its Contractor, is responsible for
maintaining from milepost 207.4 to 267.61 (excludes MTS facilities, tracks, signals). The San Diego
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subdivision line runs generally parallel to the State’s most congested highway and road systems,
including Interstate 5, and traverses environmentally-sensitive coastal areas. NCTD’s COASTER
commuter rail, Metrolink commuter rail, Amtrak’s intercity rail, and BNSF/Pac-Sun freight service
currently operate on the San Diego Subdivision. Current methods of operation are reflected in the most
recent Timetable and Special Instructions, and most recently issued General Order No. 7. See
Appendix B-1.
c.
All trains are diesel-electric trains, which includes seven (7) locomotives and twenty-eight (28) bi-level
coaches, out of which ten (10) are cab-cars. The trains operate on push-pull mode with the locomotive
on one end and a cab car on the other end. On average, each train set operates with one (1) locomotive
and five (5) coaches, which includes a cab-car. See Appendix C for a complete asset inventory.
d. The majority of the maintenance for this equipment is conducted at the SMMF, located on Camp
Pendleton in Oceanside. Both Metrolink and BNSF/Pac-Sun also use the SMMF yard for vehicle
storage. The San Diego Trolley layover yard in downtown San Diego is used to store the trains during
the mid-day and to perform cleaning and minor maintenance work. NCTD owns the 8 stations
associated with COASTER operations. All trains are currently dispatched from a dispatch center at the
SOF in Escondido.
1.2.2
SPRINTER Hybrid Rail Service
a. NCTD operates hybrid rail service (SPRINTER), which runs east-west on the Escondido Subdivision
line, which is approximately 22 directional miles of right-of-way from OTC to ETC (milepost 99.0 to
milepost 121.7) with a total of 15 station stops. A total of 455 trains operate every week. The annual
ridership on SPRINTER is approximately 2.4 million. A complete current SPRINTER schedule is
provided in Appendix A-2.
b. The Escondido Subdivision runs generally parallel to California State Highway 78 between Oceanside
and Escondido and connects the cities of Oceanside, Vista, San Marcos, and Escondido, and
unincorporated areas of San Diego County. The Right-of-Way includes about 1.7 miles of aerial track
on the alignment that supports service to the California State University - San Marcos campus and a
vehicle maintenance facility located near the east end of the corridor in Escondido. The Escondido
Subdivision is predominantly a single-track railroad with three sections of second main track, each
approximately 3.5 miles in length to permit opposing SPRINTER trains to meet and pass enroute.
Current method of operation is reflected in the most recent Timetable and Special Instructions and most
recently issued General Order No. 7. See Appendix B-2.
c.
The Escondido Subdivision is a joint-use line that provides Hybrid Rail Transit (HRT) service and local
freight service operated by BNSF and Pac-Sun. The line is subject to a FRA’s Shared Use waiver (see
Appendix J) governing the temporal separation of LRT operations and conventional (freight)
operations, which restricts freight train operations to hours when SPRINTER is not in operation.
SPRINTER trains operate in an eighteen (18) hour window between approximately 3:45am and
approximately 9:45pm. The local BNSF freight train service, plus Pac-Sun switching service, operates
in a six (6) hour window from approximately 9:45pm to approximately 3:45am up to five (5) nights per
week, with the other two (2) nights available for SPRINTER service or MOW projects. Currently PacSun operates freight trains three (3) nights per week on the line.
d. All SPRINTER trains are diesel multiple-unit passenger trains. Each train set operates with one (1) or
two (2) cars with operational controls on either end. See Appendix C for a complete asset inventory.
e. The majority of the maintenance for this equipment is conducted at SOF, located at the east end of the
corridor at Escondido. NCTD owns 15 stations, associated with SPRINTER operations. All trains are
dispatched from a dispatch center at the SOF.
1.3
Future Plans
a. NCTD and SANDAG are collaborating to provide the funding and capital infrastructure to support
expanded operations of both the SPRINTER and COASTER services. In summary, future plans
assume that both the COASTER and SPRINTER services will have increased frequencies and travel
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time improvements based on infrastructure improvements. Future plans also contemplate the potential
of new rail stations at Camp Pendleton and at the downtown San Diego Convention Center.
b. Proposers are required to review the following critical documents to gain a comprehensive
understanding of the region’s plan for increased and improved rail operations, including expansion
plans for the MTS Trolley operations (Mid-Coast Project).
1) San Diego 2050 Regional Transportation Plan, adopted in October 2011 by the SANDAG Board of
Directors.
2) Monthly LOSSAN Projects Status Report, December 2014 Report.
3) North County Transit District Strategic Operating and Capital Plan (FY2014-2023).
c.
NCTD, subject to availability of funding, contemplates that new facilities may be constructed during this
agreement, new equipment purchased and that systems such as PTC may be expanded to the
Escondido Subdivision. The provisions for the Contractor to maintain or provide service for such
additions will be accounted for in accordance with the compensation and pricing data obtained as part
of this procurement and subsequently negotiated and incorporated via a supplemental agreement.
d. NCTD is also funding state of good repair bridge replacement projects. The Contractor shall be
expected to work collaboratively and proactively to support the management of impacts of capital
project construction.
e. NCTD will also be conducting a rail vehicle study to support a future procurement and long term
operating strategy. A critical goal for NCTD will be to support interoperable operations on both the
Escondido and San Diego Subdivisions, reduce energy costs, and improve the efficiency and costeffectiveness of maintenance/parts.
f.
All projects listed in the 2050 RTP, LOSSAN Project reports, and NCTD Strategic Operating and Capital
Plan are contingent upon funding availability and subject to change at the discretion of the NCTD and/or
SANDAG.
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NCTD RESPONSIBILITIES
2.1 Operations, Safety, and Regulatory Oversight
a. The Contractor shall ensure that its responsibilities are completed in a safe, efficient, and effective
manner consistent with NCTD, regulatory, and best practices within the industry. The Contractor,
through its on-site leadership and corporate oversight, compliance, and administrative support
resources, shall support and foster the success of its employees. NCTD will provide oversight for all
aspects of The Contractor’s performance and requirements associated with this procurement, including
but not limited to:
1. Monitoring: Monitoring the records, facilities, personnel, equipment, and timetable adherence of
The Contractor in the performance of train operations. The Contractor shall supply competent and
capable personnel at all times. NCTD may require the removal of personnel from the Contract that
NCTD deems to be careless, incompetent, insubordinate, unsafe or otherwise objectionable and
whose continued employment on NCTD property is not in the best interest of NCTD, at no cost to
NCTD.
2. Materials Specification: Specifying supplies and uniforms to be used by The Contractor in the
performance of train operation, Maintenance of Way, Maintenance of Signal, and Maintenance of
Equipment.
3. Inspection and Removal: Inspecting any equipment at any time, and request repair or removal from
service any equipment which in NCTD’s sole discretion is in an unacceptable condition.
4. Asset Management and Key Business Systems: NCTD will provide key systems to support asset
management and other key business system requirements associated with this contract.
b. NCTD may employ persons or the Contractors/consultants other than The Contractor’s employees to
perform functions including fare verification, passenger assistance, passenger counts, marketing, and
customer information. NCTD’s use of these persons for such duties does not relieve The Contractor
from performing its contractual requirements.
2.2 NCTD Programs, Plans, Procedures and Policies
a. A complete list of current NCTD Programs, Plans, Policies, and SOPs is provided in Appendix E, Rail
SOP list. Proposers must carefully review these documents and advise NCTD of any requested
significant modifications or objections during the Question and Answer phase of the
solicitation. The Contractor shall provide NCTD with a listing of its documents that will be developed
or modified to specifically support NCTD operations. The Contractor will be responsible for creating
NCTD-specific documents that are required to support NCTD operations. The Contractor will have a
collaborative approach in development of documents and final approval consistent with industry best
practices and regulatory requirements.
b. NCTD has commissioned a consultant to develop SOPs for operations, safety and security. The SOPs
are based on the APTA Standards Program, and will conform to all applicable regulatory requirements.
The SOPs will be included in Rulebooks that will define training requirements. The Contractor will be
responsible for adhering to all SOPs and complying with training requirements. Upon execution of the
Agreement, the Contractor will have an opportunity to review and comment on the SOPs.
2.3
NCTD-Provided Rolling Stock
a. NCTD currently has 12 Siemens Desiro Classic DMUs for use in SPRINTER service and 28 Bombardier
commuter rail cars (10 cab cars, 18 coaches) and 7 locomotives for use in COASTER service.
b. The Contractor will be responsible for major overhauls for SPRINTER and COASTER vehicles
according to the Statement of work as provided in the respective fleet management plans (Statement
of Work Appendix F-1 and F-2). While the fleet management plans state that NCTD will be responsible
for major overhauls, as part of this RFP that responsibility will shift to the Contractor.
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NCTD-Provided Dispatch Systems
a. Under NCTD’s existing dispatch services contract with HTSI, HTSI provided the existing dispatch
equipment in use in the existing dispatch center in Escondido at the Sprinter Operations Facility. The
Contractor selected by this solicitation will be responsible for a hardware refresh of the TMDS and Avtec
equipment in this facility during FY17 and FY22.
b. The equipment in the new dispatch center at 810 Mission Ave, Oceanside CA will be provided by NCTD.
The Contractor selected by this solicitation will be responsible for a hardware refresh of the TMDS and
Avtec equipment in the 810 Mission Ave dispatch center in FY21 or 5 years after the 810 Mission Ave
dispatch center comes on line, whichever is later. If the hardware refresh occurs in FY21, the Contractor
will also be responsible for a hardware refresh in FY26.
c.
The hardware specifications for the current dispatch system (TMDS and Avtec) is provided in Section
7.6.3 Maintenance of Dispatch Systems.
2.5 NCTD-Provided Facilities, Support Vehicles and Support
Equipment
a. NCTD currently has three (3) facilities for use by the rail operations the Contractor: SMMF located on
Marine Corps Base Camp Pendleton in Oceanside, the Maintenance-of-Way (MOW) building located
in Oceanside, and the SOF located in Escondido.
b. A current listing of non-revenue support vehicles is provided in Appendix C-3. In addition, NCTD will
provide the following support equipment listed in Appendix C-4. The Contractors shall ensure that the
use of NCTD vehicles is consistent with NCTD’s policy related to vehicle usage. (Provided as Appendix
W, NCTD Administrative Policy and Procedure No. OPS-3000 Vehicle Usage).
c.
If the Contractor requires additional non-revenue vehicles or support equipment to support the
requirements in this Statement of Work, the Contractor will be responsible for providing NCTD written
justification to support its request for additional equipment. NCTD shall have the option of providing the
equipment, declining the request in writing with explanation, or providing alternative solutions, including
short-term leases.
2.6
Fuel
NCTD will issue the Contractor fuel cards for the sole use of fueling NCTD’s non-revenue vehicles and
support equipment. NCTD will be responsible for the cost of the fuel. A daily fuel log will to be maintained
in each vehicle outlining the monthly accumulated miles, fuel dispensed, miles and date of fueling. The
Contractor will be required to submit a monthly, non-revenue fuel report indicating; total miles per vehicle,
fueling dates and quantities by vehicle. NCTD will perform a monthly audit of the fuel usage. The Contractor
will be responsible for the cost of any unaccounted or unauthorized fueling. The Contractor is also
responsible for the security of the fuel cards. Any lost cards or unauthorized fueling as a result of a lost card
is the Contractors responsibility.
2.7
Utilities
NCTD will provide electrical, water, sewer, and garbage service for all buildings and facilities to support
NCTD operations. The Contractor is precluded from use of NCTD utilities to support non-NCTD related
business activities. Garbage removal service is only for normal business related weekly service. This does
not cover trees, hazardous material, construction material, or electronics disposal.
2.8
Security
NCTD’s Transit Enforcement Program consists of Code Enforcement Officers directly hired by NCTD and
contracted Law Enforcement services through the County of San Diego Sheriff’s Department. The Transit
Enforcement Division provides code compliance and transit system security services for NCTD. While the
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Transit Enforcement Division is responsible for overall transit system security, the successful the Contractor
will have security related responsibilities associated with NCTD’s Rail Operations in the physical security
of facilities, equipment, and staff under its immediate control. Please see Section 11 for more detail
regarding the Contractor’s security responsibilities.
2.9
Property and Liability Insurance
Property and Liability insurance requirements are attached to the RFP as Appendix 04A and 04B.
2.10 Business Systems, Information Systems and Databases
a. NCTD as the owner will strive to own/control all of these critical business systems, information systems
and databases to the degree that it is practical and operationally and financially efficient. The Contractor
will utilize these systems in compliance with NCTD requirements, policies, and procedures as amended
from time to time. Following is a summary of the key systems and how the Contractor will interface with
such systems. The Contractor is responsible for providing workstations and network access to allow
connection to these NCTD systems.
b. NCTD reserves the right to provide additional software or information system requirements throughout
the term of the Agreement.
c.
NCTD is responsible for providing training related to these systems. The cost of contract staff time
associated with receiving this training is the Contractor’s responsibility.
d. NCTD IT Major Systems Inventory
1) Citrix
Citrix XenApp will be used to deliver required desktop applications located behind NCTD’s firewall
to the Contractor remotely via web interface and Citrix Receiver. Servers, back end infrastructure
and their configurations will be managed by NCTD IT.
Installation, configuration and
troubleshooting of client software and functionality will be the responsibility of the Contractor IT
support.
2) Enterprise One
NCTD currently owns Oracle’s JD Edwards Enterprise One (JDE) enterprise resource planning
software. NCTD currently uses this software system for documenting a comprehensive inventory
of all NCTD owned rail system assets. The Contractor will be required to use this software system
for maintaining and monitoring the asset inventory for all NCTD owned rail system assets. NCTD
reserves the right to change this system at any time. The Contractor will be required to utilize any
new or updated system provided by the NCTD. Client access will be provided to The Contractor
via Citrix Xenapp.
NCTD intends to use JDE system to record maintenance work order activities.
3) ONSSI Ocularis
Ocularis is used as NCTD’s main video surveillance platform. This system will be used to deliver
COASTER platform video and other needed camera views to dispatchers. Back end servers and
storage will be managed by NCTD IT. Troubleshooting of client workstations and software will be
the responsibility of the Contractor IT support.
4) Syn-Apps SA Announce
SA-Announce serves as part of NCTD’s VoIP paging system. It is used to deliver voice
announcements at COASTER platforms. Back end servers and configuration will be managed by
NCTD IT. NCTD will provide necessary devices to The Contractor to allow dispatcher paging at
COASTER platforms.
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5) VoicePrint Recording System
The VPI System consists of multi-location, fully redundant servers that record and catalog both
analog and digital radio traffic during NCTD operations. Back end servers and configuration will
be managed by NCTD IT. The Contractor access to the interface will be provided via Citrix Xenapp.
Troubleshooting of client workstations and Citrix client install software will be the responsibility of
the Contractor IT support. Retrieving all necessary recordings will be the responsibility of the
Contractor, and will need to follow any NCTD policies regarding voice recording records.
6) RailDOCS
NCTD utilizes RailDOCS for tracking inspections related to signals, track, and bridges. The
Contractor will be required to use RailDOCS to track all inspection activities related to these assets.
NCTD reserves the right to change the system used to record and monitor inspections at any time.
The Contractor will be required to use any new or updated systems provided by the NCTD.
RailDOCS requires a computer with a Core i5 processor at 2.0ghz or higher, 4gb of ram, 1024x768
display, 20gb of storage, mouse and keyboard (or touchscreen), network connectivity (cellular, WiFi, or wired LAN), Windows 7 SP1 or Windows 8.1, .net framework 4.5 with all MS updates, Adobe
Reader 10 or higher, and GPS (for limits compliance Geo-fence features). In addition, The
Contractor will also provide the following items:
Track
• Provide hardware compatible with RailDOCS software. Ensure hardware is able to have
mobile internet access. Provide mobile internet access to hardware accessing RailDOCS
• Update track layout for new projects and changes to SD and ESC subdivisions.
• Input track inspections
• Input Hand switch inspections
 If FRA at any time during the performance of the Contract decides that track crews shall
adhere to the stated Hours of Service. RailDOCS shall be the system used to track the
HOS. The Contractor shall pay for licenses for any crew that fall under the rule.
 NCTD will furnish The Contractor with 2 track inspector licenses for Track personnel, any
other licenses needed to perform duties will be at the Contractor cost.
Signal
• Provide hardware compatible with RailDOCS software. Ensure hardware is able to have
mobile internet access.
• Provide mobile internet access to hardware accessing RailDOCS
• Update new signal equipment within configuration management system
• Conduct all related signal test in accordance with CFR 49 pt. 234 & 236 within RailDOCS
system
• All permanent employees covered under FRA/CPUC Hours of Service required to input
into RailDOCS.
• Supervisors and Managers conduct random location audits quarterly, semi-annually, and
annually on configuration management and inspections to ensure work is being
completed. Provide audit findings to NCTD
• Ensure new personnel and outgoing personnel are updated with NCTD to ensure accurate
access to RailDOCS system.
• NCTD will furnish The Contractor with 10 licenses for signal personnel, any other licenses
needed to perform duties will be at the Contractor cost.
Dispatchers/Train Crews
• Provide hardware compatible with RailDOCS software. Ensure hardware is able to have
mobile internet access.
• Provide mobile internet access to hardware accessing RailDOCS.
• All regularly assigned employees covered under FRA/CPUC Hours of Service are required
to input into RailDOCS
• NCTD will furnish 41 train crew licenses and 6 dispatcher licenses, any other licenses
needed to perform duties will be at The Contractor cost.
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COMBINED RAIL OPERATIONS AND MAINTENANCE
7) IndustrySafe
NCTD utilizes a proprietary software system (IndustrySafe) for tracking, monitoring, and managing
accident, incident and hazardous condition information. The Contractor will be provided with user
access to this system for purposes of entering similar NCTD rail system data. The Contractor is
expected to work cooperatively with NCTD in implementing IndustrySafe for the NCTD rail system.
IndustrySafe is a web based system, available via public Internet.
8) Guest Assist
Guest Assist is currently used by the Dispatch Contractor (HTSI) to provide emergency page-outs
to NCTD and NCTD Contract staff regarding emergency situations on the Rail and Bus systems.
NCTD is currently in the process to replace this system due to expired contract with Guest Assist.
As part of optional Dispatching task (see Section 20 for more details), The Contractor will be
responsible to use system, including updating distribution lists and working with vendor to obtain
support. This system is available over the Internet, no software is required to download.
9) Laserfiche
Laserfiche is a Document Management System (DMS) used by NCTD. As part of document
management to be mentioned in section 3.10, The Contractor will be required to use Laserfiche to
store specific documents not stored in other NCTD owned systems. NCTD at its sole discretion
will specify which documents that are required to be maintained in NCTD systems with electronic
access to NCTD at all times as part of the oversight of this Statement of Work. The Contractor will
access Laserfiche by use of Citrix. NCTD will maintain this system, and the Contractor should
contact NCTD for support.
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COMBINED RAIL OPERATIONS AND MAINTENANCE
THE CONTRACTOR RESPONSIBILITIES
3.1
General
The Contractor’s responsibilities described in this Section may be duplicative and/or in addition to those
requirements described in the remainder of this Statement of work.
3.2
Administration
The Contractor’s General Manager and Assistant General Managers shall be available for scheduled or
unscheduled meetings within one (1) hour as required by NCTD, whether at the Stuart Mesa, SPRINTER
Operating Facility, or at NCTD headquarters. The Contractor Assistant General Managers of MOW, Signal,
and PTC or their designee shall be available twenty-four (24) hours a day, seven (7) days a week.
3.3
Office space/furniture
a. The Contractor shall be responsible for providing all office furnishings for The Contractor employees to
perform the Agreement Services.
b. The Contractor shall be responsible for all costs related to tenant improvements and modifications to
existing facilities. Tenant improvements and modifications may only be made with NCTD approval
required for The Contractor’s proposed statement of work to be performed, and NCTD approval on the
completed work/project.
3.4
Productivity Improvements
The Contractor shall work with NCTD to identify areas and/or instances in which improvements can be
made or efficiencies can be gained in order to benefit NCTD rail operations.
3.5
Warranties
As specifically addressed below, The Contractor shall: (i) comply fully with the terms of every
manufacturer’s warranty on NCTD assets and property used in provision of the Agreement Services; (ii)
cooperate with NCTD regarding the fulfillment of any warranty obligations; (iii) administer such warranties
on behalf of NCTD; and (iv) provide NCTD with any information necessary for the administration of any
such warranties at termination of the Agreement.
3.5.1
Warranty Administration
a. The Contractor shall take all necessary measures to determine the status of relevant warranties,
effectively administer warranties in effect during the term of the Contract and pursue warranty claims
on behalf of NCTD. The Contractor shall conduct inspections, troubleshooting, and repair work in a
manner to identify circumstances where NCTD’s warranties may apply. The Contractor shall complete
all required warranty document submission and provide a monthly warranty submission report to NCTD.
b. The Contractor shall use NCTD’s JD Edwards asset management system or other NCTD approved
software to document and track warranty data and claims. The Contractor shall prepare and maintain
all vendor required forms as necessary to pursue claims (inclusive of individual fleet repairs, fleet
defects, fleet modification programs), and meet locally with vendors or other the Contractors at NCTD’s
request, which shall not be considered Extra Work as defined herein.
c.
The Contractor is required under the warranty administration to provide NCTD a full credit and
reimbursement for any labor or materials cost credits under the warranty terms that were performed by
the current budgeted contracted labor force or with the NCTD materials inventory. The Contractor shall
provide this information as part of its monthly report for NCTD review. In the event the Contractor has
diligently pursued warranty claims on behalf of NCTD, but cannot (for various reasons out of its control)
obtain full credit and reimbursement from vendors for the labor/material costs, the “full credit” to be
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COMBINED RAIL OPERATIONS AND MAINTENANCE
provided to NCTD will be limited to the actual amount the Contractor successfully obtained as a result
of pursuing the warranty claim.
3.5.2
Warranty Protection
a. The Contractor shall not jeopardize any warranty covering any portion of NCTD assets and property.
The Contractor shall comply with the terms and conditions of any manufacturer’s maintenance and
service schedules, except as otherwise modified by regulatory requirements or otherwise explicitly
directed in writing by NCTD. For NCTD Rolling Stock, repairs made by The Contractor shall, at a
minimum, follow the standards and practices described in workmanship and Materials for Maintenance
of Equipment in Appendix D.
b. In the event that The Contractor is found to be in violation of the procedures and practices specified as
a condition for maintaining a warranty, The Contractor shall notify NCTD immediately and take all
actions necessary to be advance compliance with the conditions of the warranty work at no additional
cost to NCTD. If The Contractor fails to adequately protect NCTD’s warranty interests, as solely
determined by NCTD, all costs arising from such failure shall be the responsibility of The Contractor.
3.5.3
Warranty Assignment
The Contractor shall assign to NCTD any and all manufacturers’ or other sellers’ warranties that come with
any products, materials or supplies which are incorporated into or are consumed pursuant to the Contract
in any way. To the extent that any such warranties do not extend to subsequent purchasers or owners or
such warranties contain a limitation on assignment, The Contractor agrees that The Contractor purchased
the products, materials and supplies on behalf of NCTD with the intent that NCTD be the intended
recipient/beneficiary of any warranties. All documents associated with or describing any such warranties
shall be delivered to NCTD during the course of the Contract when received by The Contractor and at the
termination of the Agreement. The Contractor shall not take any action or fail to act in any way which voids
any such warranties. All subcontracts shall contain a similar provision which requires Sub-Contractors to
assign any such warranties to NCTD.
3.6
3.6.1
Configuration Management
General
a. The configuration of the NCTD assets and property shall be maintained consistent with regulatory
requirements, NCTD requirements, and best practices. The Contractor shall employ a continuous
business improvement process to ensure that configuration management program is improved in terms
of accuracy and enhanced in terms of information. The Contractor shall use the asset information and
material management systems to implement systematic improvements to the configuration
management of NCTD assets and property. The Contractor’s configuration management practices and
program shall be in compliance with the requirements of NCTD’s System Safety Program Plan.
b. The Contractor shall be responsible for complying with the requirements set forth in the Configuration
Control Management Plan (CCMP), Fleet Maintenance Plan (FMP) and Field Control Management
Plan (FCMP).
c.
Notwithstanding anything written to the contrary elsewhere in this Contract, the Request for Proposal
and/or all addenda thereto, but without limiting the rights that NCTD may have under another contract,
The Contractor shall not assume any obligation/liability resulting from design issues with the Revenue
Vehicles, except where/if The Contractor is responsible for any design modifications and/or where
operating Revenue Vehicles that are not in compliance with FRA and CPUC requirements
3.6.2
Modernizations, Additions and Improvements
a. All costs resulting from modernization, additions, and improvements to equipment that can be
achieved during the normal maintenance cycle shall be included in the Base Price of Service.
b. The Contractor shall provide detailed justification and analysis if it determines that a proposed/potential
modernization, addition, and or improvement cannot be achieved during the normal maintenance cycle
and budget. If NCTD concurs with the analysis and justification provided by The Contractor, such work
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COMBINED RAIL OPERATIONS AND MAINTENANCE
will then be considered Extra work. Modernizations, additions, and improvements may be carried out
by The Contractor for The Contractor’s own benefit. Such work shall be subject to written approval by
the NCTD and shall comply with Appendix D (Workmanship and Materials) of this Statement of work.
Such improvements shall become the property of NCTD as they are undertaken and shall be
documented as required by the configuration management process.
3.6.3
Retrofits and Changes
a. Changes to NCTD equipment and property configuration shall result in documented, controlled,
uniform, and traceable systems on the work equipment and property. Express written consent
b. All changes shall be documented by an Engineering Change Notice (ECN) process. The ECN shall
be approved by NCTD. The ECN shall at a minimum include:
 Rolling stock affected (if any);
 Purpose of ECN;
 Schedule;
o Changes to original or current;
 Parts books;
o Drawings, prints, and schematics;
o Inventory;
o Inspection and repair forms;
 Detailed description of the work, including:
o Material,
o Tools,
o Disposal of removed items,
o Industrial safety and environmental precautions;
 Updating of vehicle configuration files;
 Procedures for functional testing and inspection of the finished work;
 Instruction for crews;
 Benefits anticipated from the ECN;
 Approval required by NCTD’s System Safety Program Plan (SSPP).
c.
ECNs may be issued for tests of changes. Such tests shall be clearly identified on the equipment being
tested. Any and all ECNs shall include modifying pool spares and new material, including small renewal
parts. All Engineering Change Orders (with the exception of modifications, additions, and improvements
that can be included during the normal maintenance cycle) required by NCTD shall be independently
evaluated and analyzed to determine if such work is Extra Work.
3.7
Civil Rights Program
a. The Contractor is required to develop and maintain a Civil Rights Program covering all activities related
to Equal Employment Opportunity (EEO), Disadvantaged Business Enterprise (DBE), and Title
VI/Unruh compliance. The person(s) responsible for maintaining and compliance with the Civil Rights
Program shall not report to the local manager/supervisor, but shall report to The Contractor’s corporate
office to ensure accountability of the managers/supervisors working on the contract.
b. Examples of activities that will be specified in the Civil Rights Program include but are not limited to:
 DBE Program Administration and Outreach to include worksite monitoring, sub-Contractor payment
monitoring, collaboration with NCTD’s Civil Rights Officer;
 Regular EEO Administration to include complaint investigation, evaluating reasonable
accommodation requests, and ensuring the creation, and submission to NCTD for approval, an EEO
Program, as required by FTA Circular 4704.1
 Title VI/Unruh Administration to include but not limited to leading and or assisting NCTD’s Civil Rights
Officer with investigation of complaints of discrimination by The Contractor personnel from
passengers and/or members of the public.
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3.8
COMBINED RAIL OPERATIONS AND MAINTENANCE
Coordination
a. NCTD may enter into expanded or new agreements for additional rail service. Throughout the duration
of the Contract, The Contractor shall not enter into an agreement that places any limitations on NCTD
entering into expanded or new agreements. The The Contractor shall make good faith efforts to
coordinate with other the Contractors providing services to NCTD with the goal of maximizing rail
service performance.
b. The Contractor shall maintain communications with all other NCTD-designated third party the
Contractors and shall initiate attempts to resolve all issues. The Contractor shall, whenever appropriate,
recommend solutions and resolve operating problems in all areas which affect the provision or
maintenance of rail service.
3.9 Information Technology (IT) Help Desk
a. The Contractor is responsible for providing IT help desk support for all The Contractor IT systems
necessary in the statement of work assumed as part of this contract and for its employees. The IT help
desk support shall be available 24/7 for The Contractor support. This includes troubleshooting of all
network and/or telephone system issues, workstations, server, and software used by the Contractor
not excluded in Section 2.10.
b. The Contractor’s help desk will also be responsible for providing IT support for dispatch equipment to
include receiving and maintaining trouble calls/emails from HTSI Dispatching Contract employees in
the event that the option for the Contractor to provide Dispatch Services is not executed as part of initial
notice to proceed or thereafter for the remaining term of NCTD’s contract with HTSI which expires in
2021.
3.10 The Contractor Document Management and Retention
Plan
1.
Responsibility:
The Contractor shall be responsible for following approved NCTD Records Management/Retention policies.
The policies contain detailed procedures to ensure that key documents, policies, plans, correspondence,
and any other related items (whether paper or electronic) are maintained in a manner that is compliant with
all applicable legal and regulatory requirements and are electronically accessible by NCTD and its the
Contractors.
2.
Inspection Forms:
The Contractor will ensure that all manual inspection forms that are utilized include features to prevent reduplication. Examples of features to prevent reduplication include sequential numbering of forms.
3.11 The Contractor Compliance and Internal Audit
a. The Corporate Office of the Contractor shall also be responsible for:
1)
2)
3)
4)
5)
6)
7)
Performing risk assessments and determining the level of risk related to activities required under
this Agreement,
Understanding laws and regulations,
Obtaining and/or establishing policies, procedures, and plans for specific issues and areas
Educating staff including subcontracted staff on the policies, procedures, plans, regulatory and
NCTD requirements,
Monitoring compliance with laws, regulations, and policies,
Auditing the highest risk areas
Re-educating staff on matters identified in audits
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COMBINED RAIL OPERATIONS AND MAINTENANCE
b. The Contractor’s Corporate Office shall be required to develop and maintain a Compliance and Internal
Audit Program throughout the duration of this Agreement and to conduct audits after the end of each
Contract year with the final report(s) submitted not later than 120 calendar days after June 30 th of the
Contract year.
3.12 Support for Capital Construction and Maintenance
Projects
NCTD projects significant construction activity to included third-party projects that will impact rail operations
during this agreement. The Contractor shall provide a Qualified Rail Engineer position as part of the base
statement of work. This position will assist NCTD in supporting project planning, development and
implementation. This position will provide input and reviews of all project documents as required by NCTD,
will provide input on permitting reviews (looking at flagging needs, constructability, signal and PTC impacts,
and railroad operations) and will serve as a liaison between NCTD and the Contractor in providing
comments on project plans, documents, and permits. The Rail Engineer will be provided office space at the
NCTD General Administration Office at 810 Mission Ave, and is expected to complete most of their work at
this location.
3.13 Asset Management
The Contractor shall provide input and assist in the planning, implementation, and operations related to
asset management to include providing input and support in the configuration of systems and making The
Contractor staff available to receive initial training at NCTD expense. The Contractor can purchase
additional training beyond initial training provided by NCTD.
3.14 Confidential Close Call Reporting System (C3RS)
NCTD is strongly considering entering into an agreement under the FRA sponsored voluntary confidential
program allowing railroad carriers and their employees to report close calls. The program provides a safe
environment for employees to report unsafe events and conditions. Employees receive protection from
discipline and FRA enforcement. Railroads also receive protection from FRA enforcement for events
reported within C3RS. In the event that NCTD finalizes an agreement to participate in the C3RS program,
the Contractor shall be required to fully support and actively participate in the success of the program.
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COMBINED RAIL OPERATIONS AND MAINTENANCE
TRAIN OPERATIONS, CREWS, AND PERFORMANCE
4.1
Schedule Requirements
The Contractor shall be responsible for operation of the COASTER and SPRINTER rail services, including
the Base Service Plan, Routine Schedule Changes, Modified Consist Size, Modified Schedules,
Construction Schedules, Special Trains, and Additions, Changes, and Reductions to Base Service Plan as
described below:
4.1.1
Base Service Plan
a. The Base Service Plan shall be that level and type of train service initially in operation as of the
Service Date, as shown in the NCTD COASTER and SPRINTER public timetables as of the
Service Date, unless otherwise modified by agreement between the parties. The Base Service
Plan includes COASTER late night Friday and Saturday service operated for six months during the
year, SPRINTER late night Friday and Saturday service operated year round, COASTER service to
the Del Mar Fairgrounds for the horse racing season, and COASTER service for all San Diego
Padres home games. The Base Service Plan is summarized as follows:
COASTER
COASTER
Oct-Mar
Apr-Sep
Mon-Thurs
22
22
68
Friday
22
26
75
Saturday
8
12
55
Sunday
8
8
50
Weekly Total
126
134
452
Number of weeks this
schedule is run
26
26
52
Average Number of trains
per year
Annual
trips in
addition to
regular
service
6,760
SPRINTER
23,504
COASTER
Padres
COASTER
Holiday
Train
COASTER
New Year’s
Eve
COASTER
Del Mar
Racing
COASTER
Rock N’ Roll
Marathon
COASTER
4th of July
SPRINTER
New Year’s
Eve
SPRINTER
4th of July
80
4
2
2
2
2
6
4
b. The peak period (expected highest ridership period) for the COASTER and SPRINTER modes is as
follows:
c.

COASTER is from is from 5:45 am to 7:45 am and between 3:30 pm and 5:45 pm.

SPRINTER is from 5:15 am to 6:00 pm.
Neither revenue nor non-revenue train service shall be used to pick up or drop off passengers or
The Contractor employees at unscheduled locations without prior written authorization by NCTD,
except in the case of emergency, equipment failure, or at the specific direction of civil authorities.
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COMBINED RAIL OPERATIONS AND MAINTENANCE
d. NCTD may modify the areas served by COASTER and SPRINTER (including, but not limited to:
serving the new Camp Pendleton platform north of Oceanside, the Convention Center platform
south of Santa Fe Depot, or continuing SPRINTER service north or south of Oceanside ). Any
modifications to serve these areas will not constitute an adjustment of the Base Service Plan.
Possible expanded service scenarios include the following (all assume current base schedule shown
in 4.1.1 (a)): Oceanside to Convention Center, Camp Pendleton to Santa Fe Depot, and Camp
Pendleton to Convention Center.
4.1.2
Routine Schedule Changes
a. NCTD reserves the right to make routine schedule changes. NCTD will consult The Contractor
prior to implementing these schedule changes. These changes are not meant to unduly harm The
Contractor and significantly impact commuter railroad services. The Contractor will provide written
analysis for any increased costs for which reimbursement will be sought if the cost for implementing
these changes exceed the cost included in the price of Base Service Plan. Examples of schedule
railroad include, but are not limited to:

Modifications to train departure and arrival times on the passenger schedule , including
adjustments due to increases or decreases in running time (modifications of +/ - 5 minutes in
the running time); and/or +/- 30 minutes in departure and arrival times of base service trains.
b. NCTD anticipates making up to two (2) schedule changes per year, for both COASTER and
SPRINTER. The Contractor shall provide to NCTD, on a regular basis, any recommendations for
running time revisions or other scheduling matters which improve operating performance. The final
decision on a schedule change rests with NCTD.
4.1.3
Modified Consist Size
a. NCTD reserves the right to make changes to the train consist size. NCTD will consult the Contractor
prior to implementing these consist size changes. These changes are not meant to unduly harm
The Contractor or significantly impact railroad services. The final decision on consist changes rests
with NCTD. The cost of implementing these changes will be included in the p rice of Base Service
Plan. Examples of consist size changes include, but are not limited to:

Adding or removing coach or cab cars in a COASTER train consist to create four - or six-car
trains as required. Adding or removing DMUs in a SPRINTER train consist to create one- or
two-car trains as required. These train size changes will be required to be made with advance
notice of at least 48 hours.
b. The Contractor shall provide to NCTD, on a regular basis and when identified, any
recommendations for consist size changes which improve operating performance.
4.1.4
Modified Schedules
For up to ten (10) weekdays per year, NCTD may authorize use of a modified weekday schedule to
adjust service for holidays or other occasions with reduced ridership. These weekdays include, but
are not limited to, New Year's Day, Memorial Day, Independence Day, Labor Day, Thanksgiving Day,
and Christmas Day.
4.1.5
Construction Schedules
The Contractor shall cooperate with NCTD and involved third parties in the event of construction that
impacts rail service by developing alternate schedules for rail services, including making on-board
announcements, and posting applicable notices on trains, without any limit per year. These construction
schedules shall be considered within the Base Service Plan. Special schedules may result in service
reductions or rearrangements, and the Contractor shall have labor arrangements containing flexibility in
rescheduling the operating/station workforces.
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COMBINED RAIL OPERATIONS AND MAINTENANCE
4.1.6
Special Trains and Test Trains
a. The Contractor shall provide Special Train service for designated special events. Proposers shall
provide a fixed price per round trip as part of this procurement for Special Trains which are outside
of the Base services provided. Note that Special Train service is separate from any scheduled
Commuter service such as COASTER late night Friday and Saturday service operated for six months
during the year, and COASTER service to all San Diego Padre home games. NCTD will be responsible
for identifying Special Trains to be operated.
b.
The Contractor shall provide Test Train service for designated work projects. Proposers shall provide
a fixed price per Test Train per day. Test Trains shall be used for a minimum of 8 hours and a maximum
of 12 hours (thus requiring one crew).
4.1.7
a.
Additions and Reductions to the Base Service Plan
Minor Additions
If NCTD requests additional scheduled service options that can be accomplished within the existing
workforce required to support the Base Service Plan, NCTD will provide at least thirty (30) days written
notice to The Contractor prior to initiation of these additional scheduled service options. If , after
initiating the additional scheduled service option, NCTD desires to cease providing the additional
scheduled service option, NCTD will provide The Contractor with at least thirty (30) days written notice
prior to the cessation of the additional scheduled service option . NCTD will pay for these additional
trips at the per/round trip basis in accordance with the compensation and pricing data obtained as part
of this agreement and subsequently negotiated and incorporated via a supplemental agreement .
b.
Major Additions
If NCTD requests additional scheduled service options that cannot be accomplished within the existing
workforce required to support the Base Service Plan, NCTD will provide at least sixty (60) days written
notice to the Contractor prior to initiation of these additional scheduled service options. If , after initiating
the additional scheduled service option, NCTD desires to cease providing this option, NCTD will
provide the Contractor with at least sixty (60) days written notice prior to the cessation of the additional
scheduled service option. NCTD will pay for these additional trips at the per/round trip basis in
accordance with the compensation and pricing data obtained as part of this agreement and
subsequently negotiated and incorporated via a supplemental agreement.
c.
Additions Outside Current Operating Rights and Territory
If NCTD requests additional scheduled service options outside NCTD’s current operating rights and
territory, NCTD will provide at least sixty (60) days written notice to the Contractor prior to the initiation
of these additional service options. If after initiating the additional scheduled service option, NCTD
desires to cease providing this option, NCTD will provide the Contractor with at least sixty (60) days
written notice prior to the cessation of the additional scheduled service option. NCTD will pay for these
additional trips at the per/hour Engineer/Conductor/Mechanical Maintenance basis in accordance with
the compensation and pricing data obtained as part of this agreement and subsequently negotiated
and incorporated via a supplemental agreement. Possible additions include the base schedule shown
in 4.1.1 (a) above, and would reflect service between Fullerton to Convention Ce nter (or Santa Fe
Depot) OR Anaheim to Convention Center (or Santa Fe Depot).
d.
Additional Service with Non-NCTD Equipment
If NCTD requests additional scheduled service options that cannot be accomplished within the existing
workforce required to support Base Service Plan and will require the use of other than NCTD-owned
equipment, NCTD will provide at least ninety (90) days written notice to the Contractor prior to initiation
of these additional scheduled service options. If, after initiating the additional scheduled service option,
NCTD desires to cease providing this option, NCTD will provide The Contractor with at least ninety
(90) days written notice prior to the cessation of the additional scheduled service option. NCTD will
pay for these additional trips at the per/hour Engineer/Conductor basis in accordance with the
compensation and pricing data obtained as part of this agreeme nt and subsequently negotiated and
incorporated via a supplemental agreement.
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e.
COMBINED RAIL OPERATIONS AND MAINTENANCE
Reductions to Base Service Plan
If NCTD requests reductions to Base Service Plan, NCTD will provide at least thirty (30) days written
notice to the Contractor prior to making reductions to the scheduled service options. The basis for
reductions to the Base Service Plan will be in accordance with the compensation and pricing data
obtained as part of this agreement and subsequently negotiated and incorporated via a supplemental
agreement.
4.2
Train Crew Uniform Requirements
a. All uniforms shall be coordinated to NCTD “brand” colors and logo standards as specified in Appendix
P, NCTD Brand Guidelines. Proposers shall include details of proposed uniform for NCTD approval as
part of mobilization. Hats, caps, shirts, vests, coats and jackets shall display the NCTD logo. Shoes
shall be black, consistent with GCOR regulations, and kept in good repair. Employees who leave their
job with The Contractor shall be required to return all uniforms to The Contractor.
b. The Contractor shall ensure that crew members report for duty as scheduled, neatly groomed, and in
the proper clean and neatly pressed uniform. Appearance shall at all times be neat and professional.
c.
All crew members shall wear name badges on their outer layer of clothing that clearly identify them as
a crew member. All uniform shirts, coats and jackets shall have an identification number permanently
affixed to them on the upper right shoulder that can be used to identify each employee.
d. The Contractor will be responsible for the purchase and care of uniforms.
4.3
4.3.1
COASTER Operations Requirements
General
a. The Contractor, under the direction of NCTD, shall manage the day-to-day safety, operation and
maintenance of the COASTER rail service in accordance with all regulatory and NCTD requirements,
including but not limited to the following as revised and amended over time as required:
1) The current GCOR;
2) Current COASTER Timetables/Special Instructions;
3) Applicable federal, state, and local laws and regulations including FRA and CPUC regulations;
4) Necessary crew qualifications, including FRA certification of Engineers and Conductors;
5) NCTD’s SSPP, as approved under FRA regulations;
6) Operating rules and equipment operating instructions issued or approved by NCTD;
7) NCTD public train schedules or timetables;
8) FRA Drug and Alcohol testing requirements for Class 1 railroads; 49 CFR Part 219;
9) NCTD Engineering Instructions and Specifications;
10) NCTD System Security Plan, as approved under FRA and TSA regulations.
b. The Contractor shall ensure that train crews are properly trained and qualified in the above and
periodically retrained and/or re-qualified as required by regulation, law, and/or accepted railroad
industry practice and the Contract with NCTD as revised and amended over time. The Contractor is
responsible for drafting, establishing, providing and documenting the necessary and required training
programs for all The Contractor employees working on COASTER.
c.
Each COASTER train shall be crewed by at least one certified Engineer and one certified Conductor.
d. There will be no yard or road crew distinctions. Any crew may perform and shall be competent to
perform any task and any mixture of tasks such as revenue service, non-revenue movements,
switching, or work train service. However, consistent with FRA requirements, properly certified MOE
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COMBINED RAIL OPERATIONS AND MAINTENANCE
employees may move equipment and perform switching within the designated limits of an equipment
maintenance facility.
4.3.2
Daily Pre-Revenue Service
a. The Contractor shall inspect and prepare trains for revenue service according to applicable regulatory
requirements using the pre-trip inspection form (Appendix N) as amended from time to time consistent
with NCTD and or regulatory requirements. These requirements include, but are not limited to
inspecting the following components for operability and/or cleanliness: exterior, train control system,
brake system, cables or connections, lights, doors, camera systems, public address system, and
restrooms. The Contractor shall ensure that the necessary supplies are on board and perform brake or
other required tests. Any problems and defects shall be reported on appropriate forms. The Contractor
shall provide NCTD with the forms for reporting defects and problems and these forms shall be subject
to NCTD written approval.
b. All Contractor Engineers and Conductors shall check-in with The Contractor Supervisory personnel
when reporting for duty. The Contractor Supervisory personnel shall be responsible for conducting
“fitness-for-duty” assessments of reporting employees, and a safety briefing shall be performed when
reporting for duty.
c.
The Contractor shall also switch cars in or out of trains as necessary and make all connections. The
Contractor Engineers will secure the train, change controlling cabs and perform brake tests as required.
4.3.3
Daily Revenue Service
a. Trains shall be operated in a safe, customer-friendly, and on-time manner, in compliance with operating
rules, timetable special instructions, and in accordance with the current public timetable. Trains shall
not depart any station prior to the departure time shown in the current public timetable for that station
unless noted in the public timetable. As appropriate, The Contractor Engineer or Conductor will open
train doors once the train is safely stopped at the appropriate station location and will close the doors
for departure. The Contractor’s Conductor shall step onto the platform and not close doors until all
passengers have safely disembarked and/or boarded.
b. COASTER vehicles are equipped with Automatic Passenger Counters (APCs). NCTD and SANDAG
are advancing FTA certification on the APC system for National Transit Database (NTD) reporting
requirements. In the event that APCs are not certified as of July 1, 2016, NCTD will assume
responsibility for the counting of passengers. If the APC system is certified as of July 1, 2016, The
Contractor will be responsible for performing passenger counting if there is an intermittent failure or
malfunction of the APC system during a revenue trip. Such counts, at a minimum, satisfy federal, state
or local funding or reporting requirements and comply with NCTD procedures. In the event The
Contractor has to perform passenger counts, The Contractor Conductors will perform passenger counts
on each car of every revenue trip, unless unusual circumstances or the ability to safely perform
operational duties otherwise prevent the performance of a passenger count. For systematic failures,
not due to the Contractors failure to maintain the APC system, anticipated beyond one day of revenue
service, NCTD will be responsible for providing additional resources to conduct passenger counts.
c.
Only Contractor train crew personnel, authorized The Contractor staff or authorized NCTD personnel
shall be permitted in the head end of the cab car or locomotive. The cab car door shall remain closed
and secured at all times during revenue operations. All seating areas in the passenger compartments
of the train shall be made available to customers, with the exception of one quad-seating area in the
operating cab car which may be cordoned off for The Contractor Conductor use.
d. The Contractor Conductors shall walk through the complete consist (all levels and areas) at least once
per trip. This walk-through should be accomplished during the entire trip, making sure that all cars are
visited by the Contractor Conductors at different times during the trip. The Contractor Conductors are
encouraged to use different doors to exit the train at platforms unless other responsibilities or the ability
to safely perform operational duties otherwise prevent them from doing so.
e. At the conclusion of every one way trip, the Contractor will pick up all visible litter to ensure the train is
clean consistent with a train that is pulled from the yard. The Contractor shall walk through and inspect
the train to determine that all passengers have detrained, mechanical and toilet problems have been
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COMBINED RAIL OPERATIONS AND MAINTENANCE
identified and noted in the car books, and lost customer items/property are collected. The Contractor
shall notify dispatch and provide documentation in the car book of any spills, graffiti, vandalism, toilet,
or mechanical issues requiring attention at the end of every one way trip. Spills are required to be
cleaned no later than one 1-way trip from the time they are identified. Train crews shall complete
required reports including reports addressing mechanical problems.
f.
The Contractor is required to comply with NCTD’s train idling policy at major stations to avoid air
pollution, excessive noise from idling, and fuel conservation.
4.3.4
Daily Post-Revenue Service
The Contractor will reposition the train at the terminal as required or take the train to the appropriate location
for servicing. The Contractor, will perform switching, work train or other services as required. The Contractor
will position and secure trains in train yards and prepare trains for departure from train yards.
4.3.5
Passenger Announcements
a. All passenger announcements shall be made according to all regulatory requirements and in
accordance with the NCTD passenger announcement SOP. Using the train’s public address system,
the Contractor’s Conductors shall announce each station stop sufficiently in advance to permit
passengers to safely prepare to disembark. The Contractor’s Conductors shall make other
announcements, as required, regarding passenger safety and conduct, train delays, unusual conditions
and other NCTD customer service-related issues as designated by NCTD. When explaining delays, the
Contractor’s Conductors shall briefly explain the cause whenever a delay exceeds five (5) minutes with
regular updates every five (5) minutes. The Contractor Conductors shall consider making proper
passenger announcements among their highest priorities. However, should other more pressing duties
such as the safety of crew, passengers or the train, prevent the Contractor’s Conductor from making
the necessary announcements, the Contractor Engineer shall make the necessary announcements at
the Contractor Conductor’s request. In all cases, the Contractor shall use courteous language and
demeanor when making announcements.
b. The Contractor will operate communications, public information, or other equipment which NCTD may
install from time-to-time, consistent with other duties.
c.
The Contractor’s employees shall not engage in conduct unbecoming an employee, as defined in
Section 14 - Customer Service and Employee Behavior Expectations.
4.3.6
Emergencies/Incidents and Troubleshooting
a. Consistent with and supplemental to NCTD’s Passenger Train Emergency Response Plan (see
Appendix O-1), the Contractor shall draft specific procedures for each crew position and management
for responding to emergencies. The Contractor shall ensure that the Contractor’s crew members are
fully trained in all emergency procedures and communications. The Contractor’s personnel shall assist
in all transportation emergencies/incidents, in accordance with NCTD’s Passenger Train Emergency
Response Plan. Crew members shall report mechanical or electrical problems in a manner specified
by radio, telephone, or orally to expedite repair arrangements, as well as completing the specified
report or form.
b. The Contractor’s supervisory transportation staff shall be on-call during all hours of service operations
and be available to respond to emergencies. Pre-approved responder shall be available after hours.
The Contractor will provide a schedule and contact information of the pre-approved responders to
NCTD, with immediate updates when schedule changes are made.
4.3.7
Fare Verification
The Contractor will not be responsible for fare enforcement. NCTD’s Transit Enforcement Division is
responsible for fare verification and enforcement.
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4.4
COMBINED RAIL OPERATIONS AND MAINTENANCE
SPRINTER Operations Requirements
4.4.1
General
a. The Contractor, under the direction of NCTD, shall manage the day-to-day safety, operation and
maintenance of the SPRINTER rail service in accordance with all regulatory and NCTD requirements,
including but not limited to the following as revised and amended over time as required:
1) The current GCOR (Currently SPRINTER operates using the Sprinter Code of Operating Rules
(SCOR), but proposer may propose transitioning to GCOR if possible);
2) Current SPRINTER Timetables/Special Instructions;
3) Applicable federal, state, and local laws and regulations including FRA and CPUC regulations;
4) Necessary crew qualifications, including FRA/CPUC certification;
5) NCTD’s SSPP as approved under FRA regulations and other designated agencies;
6) Operating rules and equipment operating instructions issued or approved by NCTD;
7) NCTD public train schedules or timetables;
8) FRA and FTA Drug and Alcohol testing requirements;
9) NCTD Engineering Instructions and Specifications;
10) NCTD System Security Plan, as approved under FRA and TSA regulations.
b. The Contractor shall ensure that train crews are properly trained and qualified in the above and
periodically retrained and/or re-qualified as required by regulation, law, and/or accepted railroad
industry practice and the Contract with NCTD as revised and amended over time. The Contractor is
responsible for drafting, establishing, providing and documenting the necessary and required training
programs for all The Contractor employees working on SPRINTER.
c.
There will be no yard or road crew distinctions. Any crew may perform and shall be competent to
perform any task and any mixture of tasks such as revenue service, non-revenue movements,
switching, or work train service. However, consistent with CPUC requirements, properly certified MOE
employees may move equipment and perform switching within the designated limits of an equipment
maintenance facility.
4.4.2
Daily Pre-Revenue Service
a. The Contractor shall inspect and prepare trains following applicable regulatory and NCTD requirements
using the pre-trip inspection form (see Appendix N) that may be revised from time to time to meet NCTD
and/or regulatory requirements. These requirements include, but are not limited to, inspecting the
following components for operability and/or cleanliness: exterior, train control system, brake system,
cables or connections, lights, doors, camera system, door thresholds, and public address system. The
Contractor shall ensure that the necessary supplies are on board and perform brake or other required
tests. Any problems and defects shall be reported on appropriate forms. The Contractor shall provide
NCTD with the forms for reporting defects and problems and these forms shall be subject to NCTD
written approval.
b. Operators/The Contractors shall check-in with Supervisory personnel when reporting for duty. The
Supervisory personnel shall be responsible for conducting “fitness-for-duty” assessments of reporting
employees, and a safety briefing shall be performed at this time.
c.
Crew members shall also switch cars in or out of trains as necessary and make all connections.
Operators/The Contractors will secure the train, change controlling cabs and perform brake tests as
required.
4.4.3
Daily Revenue Service
a. Trains shall be operated in a safe, customer-friendly, and on-time manner, in compliance with operating
rules, timetable special instructions and in accordance with the current public timetable. Trains shall
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COMBINED RAIL OPERATIONS AND MAINTENANCE
not depart any station prior to the departure time shown in the current public timetable for that station
unless noted in the public timetable. As appropriate, the Contractor will open train doors once the train
is safely stopped at the appropriate station location and will close the doors for departure.
b. SPRINTER vehicles are equipped with APCs that have received FTA certification for NTD reporting
requirements. In the case that APC’s during service malfunction, NCTD will arrange for passenger
counts as necessary.
c.
Only the Contractor train crew personnel, appropriate management or authorized NCTD personnel
shall be permitted in the head end of the DMU. The cab door shall remain closed and secured at all
times during revenue operations. All seating areas in the passenger compartments of the train shall be
made available to customers.
d. At the conclusion of every one way trip, the Contractor will pick up all visible litter to ensure the train is
clean consistent with a train that is pulled from the yard. The Contractor shall walk through and inspect
the train to determine that all passengers have detrained, mechanical problems have been identified
and noted in the car books, and lost personal items are collected. The Contractor shall notify dispatch
and provide documentation in the car books of any spills, graffiti, vandalism or mechanical issues
requiring attention at the end of every one way trip. Spills are required to be cleaned no later than one
1-way trip from the time they are identified. Train crews shall complete required reports including reports
addressing mechanical problems.
e. The Contractor is required to comply with NCTD’s train idling policy at major stations to avoid air
pollution, excessive noise from idling, and fuel conservation.
4.4.4
Daily Post-Revenue Service
The Contractor will reposition the train at the terminal as required or take the train to the appropriate location
for servicing. The Contractor, will perform switching, work train or other services as required. The Contractor
will position and secure trains in train yards and train crews will prepare trains for departure from train yards.
4.4.5
Passenger Announcements
a. All passenger announcements shall be made according to all regulatory requirements and in
accordance with the NCTD passenger announcement Standard Operating Procedure. The Contractors
are required to manage and monitor the automated messaging system on the SPRINTER vehicle. The
Contractor shall make other announcements, as required, regarding passenger safety and conduct,
train delays, unusual conditions and other NCTD customer service-related issues as designated by
NCTD. When explaining delays, The Contractor shall briefly explain the cause whenever a delay
exceeds five (5) minutes, with regular updates every five (5) minutes. The Contractor shall consider
making proper passenger announcements among their highest priorities. However, should other more
pressing duties prevent the Contractor from making the necessary announcements at the designated
time, the Contractor shall resume making the necessary announcements as soon as possible. In all
cases, The Contractor shall use courteous language and demeanor when making announcements.
b. The Contractor will operate communications, public information, or other equipment which the NCTD
may install over time, consistent with other duties.
c.
The Contractor shall not engage in conduct unbecoming an employee, as defined in Chapter 14
Customer Service and Employee Behavior Expectations.
4.4.6
Emergencies/Incidents and Troubleshooting
a. Consistent with and supplemental to NCTD’s Passenger Train Emergency Response Plan (see
Appendix O-2), The Contractor shall draft specific procedures for each crew position and management
for responding to emergencies. The Contractor shall ensure that Crew members are fully trained in all
emergency procedures and communications. The Contractor’s personnel shall assist in all
transportation emergencies/incidents, in accordance with NCTD’s Passenger Train Emergency
Response Plan. Crew members shall report mechanical or electrical problems in a manner specified
by radio, telephone, or orally to expedite repair arrangements, as well as completing the specified
report or form.
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COMBINED RAIL OPERATIONS AND MAINTENANCE
b. The Contractor supervisory transportation staff shall be on-call during all hours of service operations
and be available to respond to emergencies. Pre-approved responder shall be available after hours.
The Contractor will provide a schedule and contact information of the pre-approved responders to
NCTD, with immediate updates when schedule changes are made.
4.4.7
Fare Verification
The Contractor will not be responsible for fare enforcement. NCTD’s Transit Enforcement Division is
responsible for fare verification and enforcement on SPRINTER.
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COMBINED RAIL OPERATIONS AND MAINTENANCE
TRAIN DISPATCHING
5.1
Background
a. NCTD utilizes a fully-functional, FRA-compliant CTC system for train dispatching and maintenance
access control services across NCTD’s entire rail network. The SPRINTER Operations Facility,
located in Escondido, California, houses the existing CTC system and workstations. NCTD plans to
create a new dispatching center in the basement of its existing General Administration building at 810
Mission Avenue in Oceanside in the near future.
b. Train dispatching is currently provided by HTSI under a separate agreement with NCTD, due to expire
in 2021. HTSI currently provides all line staff, supervision, management, training, standard operating
procedures, incident and emergency response procedures, and back-up systems and support
necessary to safely and efficiently operate an FRA-compliant CTC Dispatching Center for NCTD’s
San Diego (COASTER) and Escondido (SPRINTER) Subdivisions. Dispatching is performed in
accordance with the safety, operational and priority protocols established by NCTD.
c.
NCTD may decide to continue to utilize the services of HTSI for train dispatching. As part of this
solicitation, NCTD may procure train dispatching services as an Optional Task, as described in Section
20- Optional Task Train Movement Control and Dispatching of this statement of work, to be exercised
at NCTD’s discretion. The Contractor’s optional responsibilities for Train Dispatching are explained in
Section 20.
5.2 HTSI’s Current Dispatching Services Scope
5.2.1
Performance Requirements
a. HTSI is responsible for providing staff, management and supervision of NCTD’s Dispatch Center and
providing train dispatching and maintenance access control services for both rail corridors.
b. All services provided are subject to and governed by all applicable NCTD policies and procedures and
regulatory requirements to include, but not limited to: operating and safety protocols, rules, orders,
procedures, and regulatory requirements of the GCOR, FRA, APTA, CPUC, and AAR as agreed with
NCTD.
5.2.2
Responsibilities
a. HTSI is responsible for:
1) Dispatch operations of both corridors in accordance with all applicable requirements.
2) Following the requirements of NCTD Emergency Response Plans and SSPPs for both COASTER
and SPRINTER.
b. Service evaluation and planning functions are shared by NCTD and HTSI, with NCTD assuming the
lead role.
5.2.3
Dispatching Services
a. HTSI provides train dispatching, internal and external paging, maintenance access control and overall
rail corridor traffic management services in accordance with the protocols, schedules and priorities
established by NCTD including, but not limited to:
1) Staffing, operation and management of NCTD’s Dispatch Center in Escondido or Oceanside, and
any related backup location.
2) Dispatching of all rail traffic and control of all maintenance access on both the San Diego and
Escondido Subdivisions.
3) Providing services predicated upon equipment schedules.
4) Providing services in support of Service Adjustments.
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COMBINED RAIL OPERATIONS AND MAINTENANCE
5) Interfacing with MOW for all track and signal work. Train Dispatchers or Supervisors interface with
any or all maintenance crews to assure the coordinated provision of passenger rail and freight
services over NCTD controlled corridors.
6) Cooperating with all other necessary Third Parties to assure the coordinated provision of passenger
rail and freight services over NCTD controlled corridors and authorized Right-of-Way access.
7) Controlling train movements to and from yards or other dispatch points
8) Dispatching trains such that delays to passenger rail schedules and delays in freight services over
NCTD Subdivisions are minimized.
9) Dispatch additional trains not originally within the Service and Maintenance Schedules.
10) Implementing service adjustments to minimize service delays, in cooperation with NCTD and
NCTD’s COASTER and SPRINTER O&M the Contractors, by rerouting trains and providing
additional service as required to meet NCTD’s service delivery objectives. Receiving, monitoring,
managing and processing requests for Right-of-Way maintenance access, temporary restrictions
and/or conditions, and issuing daily Track Warrants, Track Bulletins, General Orders, and other
Bulletins and Notices as required.
11) HTSI shall continuously monitor service performance and implement an on-going service quality
and safety assurance process to maximize system safety, train on-time performance and
maintenance access efficiency.
12) HTSI shall cooperate, develop and maintain current emergency responder contact information for
each of the jurisdictions served by NCTD’s rail lines. HTSI shall develop and implement emergency
and incident response and management procedures consistent with, and in support of, NCTD’s
Part 239 Passenger Train Emergency Response Plan.
13) HTSI shall develop and implement procedures to collect all required data and prepare and submit
all reports required by FRA, CPUC, EPA, APTA, FTA and other applicable laws, rules and
regulations.
14) Dispatching training.
15) Emergency Response training in accordance with NCTD procedures for dispatchers.
16) Coordination with NCTD and Operations Contractor’s personnel and outside agencies in
Emergency Situations.
17) Handshake with SCRRA Dispatch at San Diego/Orange County Line.
18) HTSI shall, at NCTD’s discretion, make available GCOR-qualified professionals to participate in
and provide input into the local and regional operating rule/special instruction development and
implementation process.
19) Make all required notifications to applicable NCTD staff and the Contractors.
20) Update platform message boards on COASTER and SPRINTER during normal operations and for
delays or service interruptions.
21) Make station and transit center announcements as necessary to keep customers informed.
22) Manage rail replacement bus service by coordinating with bus dispatch.
23) Track and log all incidents and accidents in computerized log or database.
24) Track and maintain NCTD Twitter and Facebook, and any additional media outlets to provide train
and bus status updates to customers.
25) Coordinate with bus dispatch to maintain rail to bus connections.
26) Maintain and update paging groups on a regular basis.
b. HTSI also receives Maintenance-of-Way requests for track time for general maintenance work from
NCTD’s Maintenance-of-Way the Contractor prior to commencement of work, except in emergencies
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COMBINED RAIL OPERATIONS AND MAINTENANCE
or unforeseen occurrences.
c.
HTSI interfaces with any or all other maintenance departments and construction the Contractors to
obtain requests for track time for maintenance work within or near the San Diego and Escondido
Subdivisions.
5.3 Coordination with Incumbent Train Dispatcher
a. The Contractor is responsible for communicating and coordinating activities with HTSI, NCTD’s Train
Dispatcher with the goal of expediting train movements on NCTD Right-of-Way.
b. Throughout the duration of the Contract, The Contractor shall make good faith efforts to coordinate with
the incumbent Train Dispatcher concerning delays, schedules, problems, construction scheduling and
similar matters, and shall initiate attempts to reasonably resolve all such issues. The Contractor shall,
whenever appropriate, recommend solutions and resolve operating problems in all areas which impact
rail service. The dispatching office shall have the final determination about the method to resolve
operational or mechanical problems to maintain the schedule or to return the schedule to normal
operations. Issues related to safety shall be governed by the safe course of action by qualified and
authorized individuals authorized to make such determinations.
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COMBINED RAIL OPERATIONS AND MAINTENANCE
MAINTENANCE OF EQUIPMENT
6.1
General
a. The Contractor is responsible for maintaining NCTD Revenue Vehicles deployed on COASTER and
SPRINTER service in accordance with OEM, NCTD, FRA, CPUC, APTA PRESS, and other applicable
standards and regulations. The Contractor shall maintain the NCTD Revenue Vehicles and not degrade
the value of these assets to reduce The Contractor costs.
b. The Contractor is also responsible for maintaining NCTD Support Vehicles and Equipment.
c.
The Contractor, when conducting maintenance of equipment activities, shall follow the Workmanship
and Materials standards as outlined in Appendix D.
d. The Contractor will be responsible for developing a Shop Health and Safety Plan that ensures,
promotes and maintains a healthy shop environment that clearly indicates a heightened focus on
organization efficiency and a positive “Safety Culture”. At a minimum the Contractor’s Plan will require
“Safety and Information Boards” that highlight; safety topics, PPE requirements, service bulletins, new
procedures, training updates, goals, performance, trends and incident reports.
e. The Contractor’s Plan will ensure a high level of organization through the efficient use of assigned
storage locations, the development and enforcement of procedures outlining the required condition of
the facility, and post shift cleaning and housekeeping requirements throughout the shop. The Plan will
outline that it is the Contractors responsibility to keep the shop and work area in a well-organized, safe
and clean condition.
6.2
Inclusion in Rates
The Contractor shall operate and maintain the different types of Revenue Vehicles, Support Vehicles, and
support equipment provided by NCTD by the Service Date or purchased by NCTD during the term of the
Contract. The Contractor acknowledges that the full cost, including parts and labor, of such operation and
maintenance of Revenue Vehicles and Support Vehicles is fully included in its Base Service cost. See 6.5.4
6.3
NCTD Inspections
NCTD reserves the right in its sole discretion to review maintenance records, and to inspect and reject
temporarily or permanently, by notice to The Contractor, any vehicle The Contractor utilizes which the
NCTD deems unacceptable due to uncleanliness, appearance, mechanical failure, or safety concerns. In
the event any vehicle is rejected by NCTD as a result of deficient vehicle condition or appearance, The
Contractor shall take immediate action to address that condition or appearance. If necessary, the vehicle
may be removed from service and The Contractor shall replace such vehicle and may be subject to
applicable Liquidated Damages, until such vehicle is replaced by The Contractor with one that is satisfactory
to NCTD.
6.4
Annual Fleet Optimization Plan
The Contractor shall develop and submit the Annual Fleet Optimization Plan to NCTD by October 1st on an
annual basis for review and incorporation into NCTD’s upcoming fiscal year budget which begins on July
1st. The Annual Fleet Optimization Plan that is designed to assure the serviceability of each vehicle for its
projected remaining useful life. The Fleet Optimization Plan shall provide a five-year forecast of all required
capital purchases and vehicle subsystem and component overhauls and identify all items that may not meet
Buy America requirements. The Annual Fleet Optimization Plan shall be developed by evaluating The
Contractor’s Preventative Maintenance Plan, OEM vehicle maintenance and overhaul recommendations,
actual fleet maintenance history, SPRINTER and COASTER service factors, the SRINTER and COASTER
operating environment and effective maintenance practices of other Siemens, “Desiro Classic”, Diesel
multiple units, Bombardier Bi-Level Passenger Cars and EMD locomotives, as applicable.
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6.5
6.5.1
COMBINED RAIL OPERATIONS AND MAINTENANCE
Revenue Vehicle Maintenance
Maintenance Standards
a. The Contractor is responsible for maintaining NCTD Revenue Vehicles deployed on COASTER and
SPRINTER service in accordance with NCTD, FRA, CPUC, APTA PRESS, NCTD fleet management
plans, OEM standards and instructions, and all other applicable standards and regulations. The
Contractor, when conducting maintenance of equipment activities, shall follow the Workmanship and
Materials standards as outlined in Appendix D. The Contractor shall maintain the Revenue Vehicles of
NCTD and not defer maintenance or cleanliness. The Contractor shall be responsible for maintaining
all Revenue Vehicles in proper working condition, and free of damage or malfunction.
b. The Contractor is responsible for replacing the components and systems identified in Section 6.5.6.6 –
Overhauls with prior written approval from NCTD. The Contractor shall be responsible for replacing all
other components and systems not identified in Section 6.5.6.6 – Overhauls as part of base services.
c.
The Contractor, at its sole expense, shall repair any rail revenue vehicle damaged by vandalism, or
otherwise in need of repair from normal wear and tear (including parts and labor, seat covers) as part
of the base scope. Normal wear and tear is deterioration that occurs without negligence, carelessness
or abuse of equipment.
6.5.2
Safety
The Contractor will maintain all Revenue Vehicles in accordance with all OEM, NCTD, local, state, federal
requirements for safety and all other applicable standards and regulations.
6.5.3
6.5.3.1
Appearance
Passenger Cars and Diesel Multiple Units (DMUs)
Daily Cleaning
The Daily Cleaning provisions set forth herein shall be applied to both passenger cars and DMUs. This
cleaning will take place no less than once every day for each passenger car or DMU. See appendix F-5 for
daily cleaning checklist. The Daily Cleaning shall include, but not be limited to, the following work:
Interior:











Remove all trash
Wipe down all seating surfaces
Clean all spills on all floors
Sanitize all handles and passenger grab handles, stanchions, and hand-holds
Toilet Room
- wash all surfaces with an approved anti-bacterial cleaner
- dumping the waste from the toilets each night after revenue service
- filling water tanks
Sanitize water fountain
Remove all graffiti, etching, vandalism, and unauthorized materials (stickers, gum, etc., from interior
surfaces)
Clean all tabletops
Re-stock all supplies (paper towels, toilet paper, schedules, etc.)
Wash and squeegee interior cab windows
Vacuum, sweep and mop floors
Exterior:

Remove all graffiti, etching, vandalism, and unauthorized materials (stickers, gum, etc., from exterior
surfaces)
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92-Day Cleaning
The 92-day cleaning shall be applied to both passenger cars and DMUs and will take place no less than
once every 92-days for each coach and DMU. See appendix F-5 for 92-day cleaning checklist. The 92-day
Cleaning shall include, but not be limited to, the following work:
Interior:




















Remove all trash
Hand wash all interior panels (walls, bulkheads, ceilings, etc.)
Hand wash seat backs and bottoms, arm rests, cup-holders, crevices, and headrests
Replace any dirty, worn or torn seat covers.
Clean and sanitize table tops and clean table legs
Hand wash seat frames
Clean all vents and air-conditioning grills
Clean door tracks
Vacuum and shampoo all carpeted areas
Sweep tile floors, then strip and mop tile floors
Wash and squeegee windows
Wash floor and heater guards
Clean all light covers and fixtures
Toilet Room – wash all surfaces with an approved anti-bacterial cleaner
Sanitize water fountain
Hand wash all stanchions and partitions
Hand wash all cab surfaces (console, switches, etc.)
Hand wash all trash receptacles
Inspect all decals and repair/replace as required
Remove all graffiti, etching, vandalism and unauthorized materials (stickers, gum, etc. from interior
surfaces).
Exterior:
 Wash coach exterior with an approved cleaner
 Hand wash and squeegee windshields and all windows
 Hand wash doors and frames
 Remove all debris from the exterior of the vehicle;
 Inspect all decals and reflective materials and repair/replace as required; and
 Remove all graffiti, etching, and unauthorized materials (stickers, gum, etc. from exterior surfaces).
6.5.3.2
Locomotives
Daily Cleaning
The Daily Cleaning will take place no less than once every day for each locomotive. The Daily Cleaning
shall include, but not limited to, the following work:
Interior



Remove all trash;
Wipe down all seating surfaces; and
Wash and squeegee windows.
Exterior:

Remove all graffiti, etching, vandalism, and unauthorized materials (stickers, gum, etc., from exterior
surfaces)
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COMBINED RAIL OPERATIONS AND MAINTENANCE
92-Day Cleaning
The 92-day Cleaning shall include, but not limited to, the following work:
Interior







Remove all trash;
Hand wash seat backs and bottoms;
Wash and squeegee windows;
Wash floor and heater guards;
Hand wash all cab surfaces;
Remove all graffiti and unauthorized materials (stickers, gums, etc. from interior surface)
Pressure wash floor of engine room
Exterior




Wash locomotive exterior with an approved cleaner
Power wash trucks, fuel tank;
Hand wash and squeegee windows;
Remove all graffiti and unauthorized materials
6.5.3.3
Exterior Train Washing
All revenue equipment will be run thru exterior automatic train washing systems every other day. In addition,
SPRINTER DMU equipment will be hand washed annually, one DMU per month. SPRINTER DMU
equipment will be waxed annually, one DMU per month in the same month it receives the hand washing.
6.5.3.4
Seat Covers and Seat Foam
The Contractor shall machine wash the seat existing covers and maintain a sufficient supply of new seat
covers to ensure that all seat covers shall be replaced during the 92-day cleaning or on an as-needed basis
due to spills or stains. Seat covers with obvious rips, tears, or worn areas shall be replaced with new or
washed seat covers during the daily cleaning. Seats with degraded seat foam shall be replaced with new
or washed seat covers along with new seat foam during the 92 day cleaning.
6.5.4
Wheel Truing
There are no drop tables or wheel truing machines at SMMF or SOF. Wheel truing is currently outsourced
for both SPRINTER and COASTER. The Contractor shall arrange for wheel truing to be accomplished offsite by a third party or by other means. The cost of wheel truing shall be included in the base statement of
work.
6.5.5
Regular Inspections and Preventive Maintenance
a. In performing regular inspections and preventive maintenance, The Contractor shall comply with:



COASTER Fleet Management Plan, FRA regulations and CPUC regulations, and any other
regulatory requirements for frequency and scope of COASTER inspections and preventive
maintenance;
SPRINTER Fleet Management Plan and CPUC regulations, and any other regulatory requirements
for frequency and scope of SPRINTER inspections and preventive maintenance; and
Workmanship and Materials standards as outlined in Appendix D
b. Regular Inspections and Preventive maintenance should, to the maximum extent feasible, be
conducted during off-peak periods, and should be conducted in a timely manner to minimize the amount
of time vehicles are out of revenue service. Any material changes to the approved maintenance
program shall require the prior written approval of NCTD.
6.5.5.1
Timing and Scope
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The Contractor shall refer to COASTER and SPRINTER OEM requirements, regulatory requirements, and
NCTD’s fleet management plans for the timing of inspections and preventive maintenance. All regular
inspections and preventive maintenance shall be performed on schedule.
6.5.5.2
Defects
Any defects noted by The Contractor during any inspection or during routine or preventive maintenance
shall be noted on a Defect Report. Appropriate action shall be taken by The Contractor to correct defective
items noted in a Defect Report prior to the operation of the Revenue Vehicle. Revenue Vehicles shall not
be operated with defects or other required repairs that make them unsafe to operate. NCTD requires that
there be no deferred work or repairs without NCTD’s prior written approval.
6.5.5.3
Records
a. The Contractor shall use JDE or another NCTD-approved software to record, monitor, and report on all
Revenue and Support Vehicle maintenance, inspections, parts utilization, fueling, and repair activities.
In addition, The Contractor shall use the same software to record and report on warranty repair
information in accordance with Section 3.5 - Warranties. The Contractor shall enter all of the required
data into the system on a daily basis. The Contractor shall generate reports for NCTD to review on a
monthly basis, and should provide data extracts for import and interface to the NCTD internal systems.
b. A written record of all inspections shall be kept by The Contractor. The Contractor shall utilize inspection
forms that encompass all items listed on the sample inspection forms from the COASTER and
SPRINTER Fleet Management Plans, and meet all applicable regulatory and OEM requirements. The
Contractor shall maintain such records for NCTD inspection at any time. The Contractor shall utilize
JDE (or another NCTD-approved software) in submitting reports and maintenance records. Records
shall be maintained as permanent NCTD property.
c.
Records shall contain at a minimum:
1) Vehicle #
2) Vehicle mileage/hours at time of inspection/repair
3) Date of inspection/repair
4) Description/Coding of work being performed
o
Complaint (why vehicle is in the shop)
o
Cause (problem found)
o
Correction (repairs performed)
5) Labor used for inspection/repair
6) Parts used for inspection/repair
o
Part OEM#
o
Parts Cost
7) Name/Signature of employee releasing vehicle to service
8) Name/Signature of supervisory personnel granting/reviewing vehicle for release to service.
6.5.5.4
Parts and Supplies
In carrying out all scheduled and unscheduled vehicle maintenance and repairs, The Contractor shall use
parts and supplies from the OEM or parts and supplies that are better or equal in quality and service. The
Contractor shall provide documentation to substantiate request. NCTD reserves the right to reject the use
of any after-market product or supply that NCTD finds is not equal or better in quality or service to the OEM
product. For the items that are identified as the responsibility of NCTD, The Contractor will need prior
approval before or if such product or supply jeopardizes existing warranty.
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6.5.5.5
Fluid Analysis
As part of its maintenance program, The Contractor shall implement an NCTD-approved fluid analysis
program. At appropriate intervals, as proposed by The Contractor and approved by NCTD, The Contractor
shall retrieve samples of the required fluids and have the samples analyzed at a facility approved by NCTD,
at The Contractor’s sole expense. The fluids covered by this program and the applicable requirements are
as follows:





Engine oil shall be analyzed in advance of each preventive maintenance inspection, as directed by
NCTD, and each unscheduled oil change.
Transmission fluid shall be analyzed each time it is drained and replaced, in accordance with the
applicable schedule, and at a minimum shall be analyzed annually.
Coolant and differential fluid shall be analyzed at least annually.
HEP oil shall be analyzed in advance of each preventive maintenance inspection, as directed by
NCTD, and each unscheduled oil change.
Gearbox oil shall be analyzed in advance of each preventive maintenance inspection, as directed
by NCTD, and each unscheduled oil change.
6.5.5.6
Applicable Codes and Regulations
The Contractor shall be responsible for ensuring that all vehicles utilized in service under the Contract are
safe for operation on right-of-way and meet all requirements of the FRA, CPUC, FTA, and any other
applicable regulatory requirements. All vehicles (including all parts and all equipment mounted on or in the
Vehicles) shall conform to Title 13, the Americans with Disabilities Act, and all applicable regulations of the
California Air Resources Board and the U.S. Environmental Protection Agency.
6.5.5.7
Response Times and Actions
a. Required Response - In the event of a trouble call, The Contractor shall promptly dispatch a
technician(s) (if appropriate). The maximum response time (i.e., the time between the receipt of a
trouble call until the arrival of a technician) shall be sixty (60) minutes. NCTD reserves the right to
establish additional criteria regarding the reliability of The Contractor’s response in the event of
mechanical failures and accidents.
b. The Contractor shall take all necessary steps to minimize delays due to mechanical failures and restore
revenue service.
6.5.5.8
Reporting Marks
NCTD will pay for reporting mark registration. The Contractor is responsible for maintaining the legibility of
the reporting marks applied to the exterior of the equipment.
6.5.6
Vehicle Warranty Repairs, OEM Bulletins and Other
Repair Work
The Contractor shall be responsible for the exercise and enforcement of all warranties relating to all
Revenue Vehicles and all systems, components, and subcomponents thereof, and shall also be responsible
for taking all available and reasonable actions to ensure that all warranty covered repairs or service bulletin
repairs are performed in a timely fashion. All repair work shall be performed in a manner that will preserve
all applicable warranties. Failure to exercise warranties or perform service bulletin repairs or updates will
not relieve The Contractor of current or future responsibilities for repair.
6.5.6.2
Notice of Defects
If The Contractor detects a defect or malfunction within the applicable warranty period, The Contractor shall
promptly notify NCTD of the actions it is taking to enforce the warranty. Following commencement of the
warranty repair process, The Contractor shall promptly notify NCTD of any disagreements or disputes with
the equipment manufacturer or supplier regarding warranty coverage. Such notice shall include a
description of the disagreement or dispute and a suggested plan for resolution. The Contractor shall also
record all warranty repairs in JDE or other NCTD-approved software.
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6.5.6.3
COMBINED RAIL OPERATIONS AND MAINTENANCE
Training
The Contractor shall ensure that all appropriate maintenance personnel receive training from qualified
individual(s) on OEM warranty procedures for all Revenue Vehicles and all systems, components, and
subcomponents thereof.
6.5.6.4
NCTD Role
NCTD agrees that it will take whatever actions may be appropriate to assist The Contractor in ensuring
timely warranty repairs and resolving any warranty disputes. NCTD may directly contact the equipment
manufacturer or supplier to pursue the prompt resolution of warranty issues. Such actions by NCTD do not
relieve The Contractor of its obligations as described in this Section.
6.5.6.5
Repair Standards
a. All repairs made by The Contractor shall comply with OEM requirements and, at a minimum, follow the
Workmanship and Materials standards and practices in Appendix D.
b. The Contractor’s maintenance personnel shall have the necessary equipment and tools to perform any
authorized work. All repairs must be in accordance with the following:
1. Upon removal of a vehicle from service for repairs, a schedule shall be established within twentyfour (24) hours setting forth a timetable for repairs and an estimated date for returning the vehicle
to service.
2. Inspection and/or repair work shall be commenced promptly in accordance with the established
schedule.
3. The Contractor shall provide daily updates to reflect the progress of work and the estimated return
of the vehicle to service.
4. To the maximum extent feasible, The Contractor shall not remove vehicles from Revenue Service
during peak periods except to conduct emergency repairs.
6.5.6.6
Overhauls
Vehicle and Component Overhauls
a. The Contractor shall be responsible for all aspects of completing overhaul projects based on the unit
pricing provided as part of this procurement. Overhauls are to be completed based on Maintenance
plan and Optimization plan schedules. OEM recommendations, operating conditions and condition
based assessments are the basis of the final determination to complete the overhaul. Below are tables
of the major overhaul projects. The list is not all inclusive, but serves as high level view of the major
projects. More detail of the requirements is contained in the OEM recommendations, Optimization plan
and the corresponding NCTD Fleet Maintenance Plans. The requirements of the projects are to comply
with all regulatory requirements, OEM recommendations, ensure continued serviceability and to restore
the vehicles and components to a “Like New’ Condition on a proactive basis.
The Contractor will be responsible for cost of rebuilding the respective vehicles/components, including
cost of shipping to third-party the Contractor’s location. The Contractor will provide monthly reports and
invoices that provided detail of any completed capital projects and the cost associated to each overhaul
project. These overhaul projects will be priced on unit cost basis as provided for in the cost forms.
The Contractor will be responsible for the labor costs for removal of old replacement components and
sub-systems and installation costs of new or rebuilt components and sub-systems. These labor
activities and associated costs should be included as part of the base services.
COASTER Locomotives
Component
Frequency
Last Overhaul
Complete Overhaul “Summary”
10 years
2001-2005 for F-40
(Includes but not limited to body
corrosion, complete exterior and
interior paint, truck reconditioning,
Not done for F-59
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cab interior reconditioning, glass
replacement, replacement/rebuild of
coolant package, brake system,
hydraulic system, auxiliary alternator,
batteries, voltage regulator, fuel
system, air compressor, shock and
spring assemblies, control systems
and evaluation of electrical and
pneumatic systems and piping for
replacement or rebuild if necessary)
this is in addition to the items listed
below.
Traction Motor
8 years
Head End Power
30,000 hours
Main Engines/Generator
10 years
2001-2005 for F-40
2012 for F-59
COASTER Passenger/Cab Cars
Component
Frequency
Last Overhaul
Interior/Exterior Refresh “Summary”
12 years
Cars 2201-2208, 2301-2308,
2401-2406 were overhauled
in 2005-2010. Cars 23092310 and 2501-2504 have
not yet received an overhaul.
(Includes but not limited to body
corrosion and complete exterior
paint,
truck
reconditioning,
operators
cab
interior
reconditioning
and
control
replacement for cab cars only,
interior
reconditioning
and
replacement to include; seat foam,
seating material, flooring tiles,
carpet replacement, interior lighting
replacement to LED, graphics and
signage replacement, complete
restroom refurbishment, evaluation
of electrical systems and pneumatic
systems and piping for replacement
or rebuild if necessary)
HVAC System Refrigerant Upgrade
When Required
SPRINTER DMUs
Component
Frequency
Last Overhauled
Power Pack overhaul
18,000 – 19,000 Hours
None
Truck overhauls
5 years
None
Gearbox
10 to 12 years
None
Exterior corrosion and paint
10 years
None
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COMBINED RAIL OPERATIONS AND MAINTENANCE
System
Refrigerant
When Required
None
The Contractor shall be responsible for the cost (other than work covered by warranty), and proper
performance of any major items on Revenue Vehicles that are required sooner than the standards for
replacement set forth in the tables or plans. Any sub-component or major component failure after the
rebuild interval is complete is the responsibility of the Contractor with the exclusion of any warranty
provisions.
b. Major Overhauls
NCTD’s ability to reimburse the Contractor for capital overhaul projects for Revenue Vehicles is
contingent on Federal, State and Local funding sources. During the contract term there may be the
need to extend or modify the overhaul schedules. This modification will only be permitted with NCTD
approval. Modifications will take into consideration; priorities, safety, OEM recommendations,
regulatory requirements and condition based assessments.
In the event of a complete major system failure where it is determined a complete overhaul is necessary
and NCTD requested to modify or extend the schedule, NCTD will be responsible for the cost.
In the event NCTD decides to delay/postpone the performance of certain Major Overhauls listed in the
price forms, Bombardier will only assume the costs relating to the failure of “Minor Subcomponents”
during three (3) additional years past the OEM recommendations.
Past the above mentioned period, or if NCTD’s decision to delay/postpone the performance of certain
Major Overhauls is inconsistent with Bombardier’s recommendations further provided in Bombardier’s
annual capital/optimization plans, then Bombardier will not assume the costs relating to the failure of
“Minor Subcomponents”.
“Minor Subcomponents” is defined as material with a value of $1,000 or less and that can be replaced
on the maintenance premises internally by Bombardier within four (4) labor hours or less in the context
of a regular corrective maintenance. “Minor Components” include, for example, starting motor, fuel
injector, hoses and pipes. It however excludes, for example, traction motors, HVAC
compressor/condenser.
It is understood that for complete major system failures, and anything not included in what constitute
“Minor Subcomponents”, Bombardier will not assume the costs arising because of NCTD’s decision to
delay/postpone of the Major Overhauls. Also, in any event, Bombardier will not be held liable for any
damages (including liquidated damages) arising because of such modification/extension of the Major
Overhauls. Finally, it is understood that NCTD will not delay/postpone Major Overhauls governed by
FRA or any other safety regulations.
A sample of the prior Statement of Work for the overhauls performed on the F-40 locomotives and the
Bombardier coaches is attached as Statement of Work Appendix F-6 and F-7
6.5.6.7
Fleet Defects
a. NCTD shall be responsible for declaring Fleet Defects, in consultation with and input from The
Contractor, and for seeking resolution of Fleet Defect issues with the vehicle manufacturer.
b. The Contractor shall promptly notify NCTD of any situation which it reasonably believes may give rise
to a Fleet Defect.
6.5.6.8
Heating and Air Conditioning
a. All Revenue Vehicles shall enter revenue service with fully-functional heating and air conditioning
services.
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b. If the heating or air conditioning on a SPRINTER Revenue Vehicle fails to function properly while in
service, The Contractor shall replace such Revenue Vehicle within ninety (90) minutes after the failure
was reported.
c.
If the heating or air conditioning on a COASTER Revenue Vehicle fails to function properly while in
service, The Contractor shall lock out that car to prevent passengers from accessing the car while the
train is in revenue service.
d. The Contractor shall perform yearly preventative maintenance actions on HVAC systems to ensure
systems are 100% operational throughout the year. Preventative maintenance will include all
components, lubricants, mechanical and electrical connections, and ducting. Preventative maintenance
will also include cleanings, as well as repairs, checks and adjustments. The Contractor shall develop
and submit for NCTD approval, HVAC maintenance plans and check sheets.
6.5.7
Painting and Signage
6.5.7.1
Rolling Stock Painting
The Contractor shall conduct restorative painting on rolling stock with damaged and/or cracked paint for all
damaged or deteriorated areas. All restorative painting shall utilize NCTD-approved brand colors and logos
as specified in Appendix P, NCTD Brand Guidelines and comply with California environmental regulations.
Failure to do so may result in applicable Liquidated Damages (see Section 5.5 of RFP). NCTD has a paint
booth on site. NCTD is responsible for maintaining the booth, PM, filters and repairs. However, the
Contractor is responsible for securing insurance, operating and environmental permits and tracking paint
usage. NCTD may, at its sole discretion, choose to use the paint booth and its facilities for the purpose of
repairing and/or repainting non-NCTD rolling stock. This work may be contracted out to a third party. If this
work is planned, it shall not interfere with, or adversely affect, The Contractors performance in meeting the
requirements of this Statement of Work. These other the Contractors would most likely be doing work of a
non-recurring nature, such as a coach refurbishment program.
6.5.7.2
Decals and Signage
The Contractor shall supply, maintain and apply or remove, as required, all decals and signage specified
by NCTD, ADA, APTA, and FRA and any other applicable standards and/or regulations, including those
which may be added/removed or required after the Service Date. See SOW Appendix C-8 for complete list
of current COASTER and SPRINTER decals. If new regulations require additional decals or replacement
of current decals, The Contractor shall supply and install new decals. If NCTD requests new non-regulatory
decals to be installed (ads, service advisories, etc.), NCTD shall supply the decals and The Contractor shall
install decals.
6.5.8
Corrosion
The COASTER and SPRINTER operate in an environment that is highly susceptible to metal corrosion.
The Contractor is responsible for maintaining the equipment and preventing and repairing corrosion
damage.
6.5.9
Long-term Holds
a. The Contractor shall not permit vehicles to go unrepaired or remain otherwise unavailable for use
by NCTD for extended periods, without prior written approval from NCTD. Such vehicles shall be
termed a “The Contractor’s Long Term Hold.” Any vehicle or vehicle item out of service for greater
than seven (7) days during a fifteen (15) continuous calendar day period shall be considered a Long
Term Hold. Liquidated Damages may apply where a vehicle is left unrepaired or otherwise remains
unavailable due to The Contractor Long Term Hold.
b. A vehicle or vehicle item shall not be deemed a The Contractor’s Long Term Hold if it has suffered
major damage, not caused by The Contractor’s actions.
6.5.10
Stripping of Parts
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a. Rolling stock, spares, and capital assets belonging to NCTD, shall not be stripped of parts to use
on other equipment, unless prior written approval from NCTD is received.
b. Parts shall not be cannibalized or removed from any vehicle to repair another vehicle without written
approval from NCTD. If such action is deemed necessary, The Contractor shall request approval from
NCTD in writing and request shall contain the following information:
1)
2)
3)
4)
5)
6)
7)
8)
9)
c.
Date, mileage/hours, and equipment # of vehicle requiring part
Date, mileage/hours, and equipment # of donor vehicle
OEM Part number
Proof part is on order
Estimated time of arrival of new part
Part usage history
Part minimum and maximum stock levels
A separate work order will be opened for each instance and each vehicle
The Contractor shall note each vehicle and each part on daily equipment status report
Equipment shall not be in an out-of-service status for more than seven (7) consecutive days
awaiting parts. This requirement will not be waived should NCTD deny The Contractors
cannibalization request. The intent of this section is to ensure stocking levels are in line with part
usage and fleet needs.
6.5.11
Maintenance of On-Board Technology Systems
a. The Contractor is responsible for maintaining all NCTD provided on-board systems including but not
limited to the following. NCTD approved maintenance plan shall be developed to ensure state of good
repair for all systems. All maintenance and inspection activities shall be documented similar to other
work performed on revenue vehicles in JDE or another NCTD approved software.
1) Automatic Vehicle Location (AVL) devices: NCTD currently uses cellular GPS transponders to send
location information to NextBus servers.
2) Automatic Passenger Counters: NCTD currently uses Dilax (COASTER) and Init (SPRINTER) APC
systems. These systems consist of a GPS antenna, a processor, and sensors above each door.
3) On-board camera Systems: COASTER Locomotives and Cab cars are using Axis fixed mount
cameras connected to an Axis Q8108-R DVR that records forward facing and engineer facing
video. COASTER passenger areas are covered by Mobotix Q24 hemispherical cameras. All coach
cars and cab cars have 2 Q24 cameras on the upper level and 2 Q24 cameras on the lower level,
all recording to local SD memory cards. The OEM to the SPRINTER camera system is Apollo.
Each Sprinter LRV has a self-contained camera system which records all actions on the interior of
the vehicle and forward and rear facing camera located in the cab area. There are 16 cameras in
the Sprinter LRV: 1 in each cab facing forward, 1 in each cab facing the operator, 1 camera facing
each door opening and the rest are covering the interior passenger area. All video is captured on
a DVR which is located in one of the electric lockers. The DVR captures video for approximately 2
weeks before it is recorded over. The Contractor will be responsible for retrieving video clips.
4) Customer Wireless Internet Network (Wi-Fi): COASTER and SPRINTER cars are equipped with
Cradlepoint MBR1400 broadband routers to provide customer internet access. NCTD will pay for
cellular service that provides these routers with an Internet connection. The Contractor will be
responsible for maintaining the Wi-Fi router and cellular modems.
5) Passenger Announcement (PA) systems: COASTER vehicles contain a custom built wireless
paging solution consisting of Cisco Call Manager Servers and wireless Cisco 7925 Wireless
Phones using the legacy amplifiers and speakers installed on each car. SPRINTER PA system is
made by GSP SPRACHTECHNOLOGIE GMBH. This system is utilized for the Passenger
Announcements, Passenger Intercom System and Destination Sign Information System. The
equipment includes interior speakers, intercom units, microphones, interior and exterior destination
signs, and central communication logic unit.
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6) Passenger Emergency Call box Systems: COASTER cars contain 2 Cyberdata VoIP emergency
call box stations that communicate directly with the Cisco Call Manager servers used by COASTER
PA System and connect the caller to the Cisco 7925 phones carried by the conductors. SPRINTER
passenger call box system is included as part of the communication system provided by GSP
SPRACHTECHNOLOGIE GMBH. The only equipment is the passenger intercom unit and an
operator communication device
7) Wireless Mesh On-Board Components: COASTER cars use a complex wireless system that is
centered on Strix OWS-2400 units that join daily consists together into a standalone wireless
network. This network allows all on-board IT systems to communicate. This systems also contains
a Strix MWS-100 that connects the entire consist to the trackside wireless mesh network.
b. The Contractor shall safeguard all recorded content on-board the COASTER and SPRINTER
technology systems. Such content is the sole property of NCTD, and the Contractor shall upon request
release the contents to NCTD in accordance with the chain of custody procedure.
6.6
Support Vehicle Maintenance
6.6.1
Maintenance Standards
a. The Contractor is responsible for maintaining NCTD Support Vehicles deployed to perform the
Agreement Services described in the SOW Appendix C-3. The Contractor, when conducting
maintenance of equipment activities shall follow OEM standards, as well as the workmanship and
Materials standards as outlined in Appendix D. The Contractor shall maintain the Support Vehicles of
NCTD and not degrade the value of these assets to reduce The Contractor costs or for any other
purpose. The Contractor shall be responsible for maintaining all Support Vehicles in proper working
condition, and free of damage or malfunction.
b. The Contractor shall, at its sole expense, repair or replace damage to any vehicle caused by an
accident or collision with foreign objects. If a third party is responsible for the damage to the vehicle,
the Contractor should seek reimbursement from the negligent third party and/or the carrier. In the case
of damage impairing the safe mechanical operation or proper appearance of the vehicle, such repairs
shall be made immediately.
c.
Any The Contractor supplied Support Vehicles shall, at a minimum, be maintained using the same
preventive maintenance, graphic, and cleanliness standards as the NCTD-provided vehicles in
accordance with OEM regulatory and NCTD requirements.
6.6.2
Safety
The Contractor will maintain all Support Vehicles in accordance with all local, State, and Federal
requirements for safety.
6.6.3
Appearance
Support Vehicles used in the provision of the Agreement Services shall be washed, and cleaned inside and
outside at least every other week.
6.6.4
Regular Inspections and Preventive Maintenance
a. Each Support Vehicle shall receive a daily pre-trip inspection by The Contractor prior to being placed
in service and at each change in operators. Daily pre-trip inspections shall be supplemented by regular
time and mileage maintenance inspections to ensure safe and proper operating condition of vehicles.
A record of all such inspections shall be kept by The Contractor in the Drivers’ Daily Reports and shall
be available to the NCTD upon request.
b. The Contractor shall follow an NCTD-approved Preventive Maintenance Program for Support Vehicles,
which should include the manufacturer’s recommended maintenance schedule. Any material changes
to the approved Preventive Maintenance Program shall require prior written approval of NCTD.
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COMBINED RAIL OPERATIONS AND MAINTENANCE
The Contractor shall perform routine Preventive Maintenance Inspections and Servicing at intervals of
5000 miles or the recommended OEM standards and specifications, whichever is lower. All Preventive
Maintenance Inspections shall be performed “On Schedule”, defined as within +/- 10% of the schedule
mileage mark each month.
d. The Contractor shall have proof of insurance and the current vehicle registration in the vehicle at all
times. The Contractor shall provide a monthly report of beginning and ending mileage/hours for each
support vehicle. Beginning mileage/hours will be taken at 00:00:00 of the first day of the month and the
ending mileage/hours will be taken at 23:59:59 of the last day of the month.
6.6.5
Replacement of Support Vehicles
a. NCTD intends (but is not obligated to) to replace Support Vehicles during the Contract Term at the
following intervals:
Type
Interval
Light Duty Vehicles with Gross Vehicle Weight
Rating (GVWR) 10,000 pounds or less
150,000 miles (or 10 years)
Heavy Duty Vehicles with GVWR more than
10,000 pounds
250,000 miles (or 15 years)
b. If Contractor identifies other support vehicle or equipment needs above and beyond NCTD supplied
vehicles and equipment, The Contractor should prepare a written request to NCTD stating:
1) Exact vehicle or equipment needed
2) Date needed
3) How extra equipment will benefit NCTD or provide cost savings to NCTD
c.
NCTD will consider such requests, but will not be obligated to provide equipment if NCTD does not
concur with The Contractor’s assessment of cost savings or proposed benefits.
6.7
Fueling
a. NCTD, or its authorized agent, is responsible for purchasing and paying for locomotive fuel to be
utilized at the Stuart Mesa Facility and Escondido Maintenance Facility. The Contractor is not
responsible for purchasing or paying for locomotive fuel.
b. The Contractor is responsible for coordinating the need to purchase, receive, and document delivery
of fuel with NCTD or its authorized agent. The responsibility includes notifying NCTD, or its authorized
agent, of inventory levels.
c.
The Contractor is responsible for fueling locomotives at SMMF and in emergency situations at the San
Diego Trolley yard. The Contractor is responsible for properly fueling SPRINTER vehicles at
SOF.NCTD’s fuel supplier normally delivers during daytime, weekday hours. If deliveries are required
at other hours due to the requirements of The Contractor, NCTD may require The Contractor to pay
extra costs associated with altered delivery hours.
d. The Contractor will be responsible for using NCTD provided fuel cards for all other vehicles and
equipment. NCTD will be responsible for the cost of the fuel. A daily fuel log will to be maintained in
each vehicle outlining the monthly accumulated miles, fuel dispensed, miles and date of fueling. The
Contractor will be required to submit a monthly, non-revenue fuel report indicating; total miles per
vehicle, fueling dates and quantities by vehicle. NCTD will perform a monthly audit of the fuel usage.
The Contractor will be responsible for the cost of any unaccounted or unauthorized fueling. The
Contractor is also responsible for the security of the fuel cards. Any lost cards or unauthorized fueling
as a result of a lost card is the Contractors responsibility. The Contractor is responsible for the creation
and enforcement of a fuel card use plan to eliminate waste and abuse of the fuel cards.
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6.8 Cleaning and Servicing for Metrolink Equipment
SCRRA, under a March 1994 Agreement with NCTD, can store up to thirty-four (34) coaches and nine (9)
locomotives at NCTD’s permanent layover facility (currently the Stuart Mesa Maintenance facility). At the
request of SCRRA, The Contractor shall make this storage space available to SCRRA. At SCRRA’s
expense and direction, The Contractor is also responsible for the lay-over maintenance that may be
required on the train sets that are stored at the Stuart Mesa Maintenance facility. The Contractor shall have
different staff for Metrolink cleaning and servicing (see Appendix T-3). The Contractor shall separately
allocate costs for Metrolink and COASTER maintenance, and shall ensure Metrolink costs are not
attributed to COASTER. The Contractor shall directly invoice SCRRA for the services rendered on
SCRRA equipment based on the Statement of Work agreed upon by The Contractor and SCRRA, and at
the unit cost quotes provided by The Contractor in appropriate price forms separately (refer to price forms
for more instructions). These unit costs shall apply for all work performed pursuant to the Statement of Work
regardless of consist size or number of consists maintained. Any work performed in addition to tasks
described in the SCRRA Statement of Work shall be considered Extra Work and shall be compensated by
SCRRA at the rates negotiated between The Contractor and NCTD for NCTD’s equipment. All of these
costs, terms, and conditions shall be the subject of a separate agreement between SCRRA and The
Contractor (see Appendix T-1).
6.8.1
SCCRA Statement of Work
Currently SCRRA stores five (5) train sets at the Stuart Mesa facility overnight. The train sets stored
overnight currently include one locomotive and six cars each. SCRRA may add additional train sets for
overnight storage during the course of the contract period up to the 34 car and/or 9 locomotive
limit. Current maintenance activities on these train sets include light cleaning of the vehicles and
conducting any inspections necessary to prepare the train set for revenue service.
These activities are detailed in the following SCRRA statement of work:
Daily:
1) Shut down the equipment, apply ground power and air if available.
2) Start equipment in preparation for departure of train from yard for service.
3) Perform Class 1A Brake Test as described in, and in compliance with, 49 CFR 238.315.
4) Inspect and test cab radio(s) for proper operation – adjust or repair as necessary.
5) Inspect and test windshield wipers for proper operation – adjust or repair as necessary.
6) Test toilets and faucets for proper operation, adjust or repair as necessary.
7) Cleaning of passenger cars and locomotives including:
* Emptying all trash receptacles
* Removal of all litter and debris from equipment
* Cleaning of toilets, vanities and mirrors
* Restocking of paper goods in bathrooms and cups at drinking fountains
* Sweeping and mopping of all bathroom floors
* Vacuuming of floors and steps in cars
8) Cleaning of windshields
9) Class 1 Air Brake Test and a Daily Inspection according to 49 CFR 229.21, 238.303, 238.305 and
238.313.
Weekly:
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COMBINED RAIL OPERATIONS AND MAINTENANCE
1) All train sets stored overnight at Stuart Mesa shall receive a Class 1 Air Brake Test and a Daily
Inspection according to 49 CFR 229.21, 238.303, 238.305 and 238.313 prior to Monday morning
revenue service.
As Required:
1) Cleaning of windows (spray and wipe). Assume approximately 100 windows per month.
2) Miscellaneous repairs such as: Replacement of light bulbs and lamps, replace blown fuses, replace
brake shoes/pads, resetting breakers and devices. Assume approximately 16 car brake shoes per
month, 8 locomotive brake shoes per month, 8 disk pads per month, 1 case of bulbs/lamps per month,
and 6 fuses per month. Other repairs deemed necessary to prepare the equipment for service shall
be performed at the rates established in the Proposal for such tasks. SCRRA reserves the right to
review such charges for reasonableness and negotiate a settlement for disputed charges. Should
SCRRA and the Contractor fail to agree upon the charges appropriate for the work, the matter shall be
subject to the dispute resolution clause in the Agreement.
Offerors shall provide the total annual cost of the SCRRA equipment layover maintenance as described
in this section as a separately identified component of the NCTD Base Services costs, using
appropriate pr ic e forms.
This form requires an annual firm quote per consist for the currently scheduled equipment sets. This
SCRRA maintenance cost shall be included in the evaluation of total cost of NCTD Base Services, for
evaluation purposes only. However, all personnel and material provided by the Contractor for the
SCRRA maintenance shall be identified separately from the personnel and material to be provided for
NCTD’s rolling stock maintenance.
Unless otherwise negotiated between the Contractor and SCRRA, the terms conditions negotiated between
The Contractor and NCTD for NCTD’s equipment shall apply to maintenance services performed on
SCRRA’s equipment. The Contractor shall directly invoice SCRRA for the services rendered on SCRRA
equipment based on the Statement of Work in this section, and at the unit cost quotes provided by the
Contractor in appropriate price forms separately (refer to price forms for more instructions). These unit
costs shall apply for all work performed pursuant to the Statement of Work regardless of consist size
or number of consists maintained. Any work requested and performed in addition to tasks described in
the SCRRA Statement of Work will be compensated at the h o u r l y rates negotiated between the
Contractor and NCTD for NCTD’s equipment. All of these costs, terms, and conditions shall be the
subject of a separate agreement between SCRRA and the Contractor. No Extra Work shall be performed
on SCRRA equipment by the Contractor without the express authorization of SCRRA or SCRRA’s
equipment maintenance the Contractor.
6.9 Advertising Installation and Removal
The NCTD Marketing department manages an advertising sales program in which Coaster and Sprinter
exterior rail car wraps and interior signs are sold to generate revenue. Advertising installations and
removals shall be completed by NCTD’s advertising sales consultant and sub consultants and take place
at either the Stuart Mesa maintenance facility or the Sprinter maintenance facility. The Contractor’s
responsibility shall be to make best efforts to accommodate requests related to this program in order for
NCTD to maximize revenue opportunities using the following as guidelines:
a. COASTER exterior advertisements
1) Upon notification of an exterior wrap sale, the Contractor shall provide NCTD with a
general car assignment (coach or cab) to be used for the wrap within four business days.
2) The Contractor shall provide NCTD with a preferred installation date and time that allows
a minimum of ten business days’ notice for the advertising installer.
3) The Contractor shall provide NCTD with a preferred removal date and time that allows a
minimum of ten business days’ notice for the advertising remover.
b. COASTER interior advertisements
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1) NCTD shall provide the Contractor a minimum of ten business days’ notice of the
requested date to install interior advertisements. Best efforts will be made to complete
interior advertisement installations after 9:00 p.m.
2) NCTD shall provide the Contractor a minimum of ten business days’ notice of the
requested date to remove interior advertisements. Best efforts will be made to complete
interior advertisements removals after 9:00 p.m.
a. SPRINTER exterior advertisements
1) Upon notification of an exterior wrap sale, the Contractor shall provide NCTD with a
general car assignment to be used for the wrap within four business days.
2) The Contractor shall provide NCTD with a preferred installation date and time that allows
a minimum of ten business days’ notice for the advertising installer.
3) The Contractor shall provide NCTD with a preferred removal date and time that allows a
minimum of ten business days’ notice for the advertising remover.
a. SPRINTER interior advertisements
1) NCTD shall provide the Contractor a minimum of ten business days’ notice of the
requested date to install interior advertisements. Best efforts will be made to complete
interior advertisement installations after 12:00 a.m.
2) NCTD shall provide the Contractor a minimum of ten business days’ notice of the
requested date to remove interior advertisements. Best efforts will be made to complete
interior advertisements removals after 12:00 a.m.
All involved parties shall make best efforts to accommodate advertisements sold on short notice or that
require special circumstances.
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MAINTENANCE-OF-WAY AND SIGNAL
7.1
NCTD Right-of-Way
a. The Contractor’s maintenance responsibility will be on the NCTD controlled Right-of-Way along the
following rail lines some of which may extend some distance from the tracks themselves.





Orange County Line to downtown San Diego extending from mile post 207.4 to 267.76
Oceanside Transit Center to Escondido Transit center extending from mile post 99.3 to 121.66
Stuart Mesa Maintenance Facility
Escondido Maintenance Facility
Following spurs and sidings
o
San Onofre House Track MP208.6
o
SoCal Edison Spur MP209.4
o
Lemon Grove Wye East Leg MP224.2
o
Lemon Grove Wye West Leg MP223.7
o
Fallbrook Wye West Leg MP224.5
o
Fallbrook Wye East Leg MP 225.2
o
SDG&E Spur MP231.3
o
Ponto House Track MP234.3
o
Pines Spur MP249.8 track
o
Miramar House Track MP253.0
o
Levitz Spur MP 263.4 (to be removed as part of Mid-Coast Project)
o
West leg Washington Street Wye MP 265.5

(Now called Kennebeck Spur, will need billing for this under separate invoice each
month to bill MTS for services)
o
East leg Washington Street Wye MP 265.55
o
Union Tribune MP 114.9
o
Robert Irrigation MP 117.3
o
Pine Tree Lumber MP 120.3
o
Vita Gold (Mission Pool) MP 121.66
b. Along the Right-of-Way, The Contractor shall maintain all Right-of-Way Assets, including but not limited
to, rail lines, signal and communication systems, and related facilities (including signals, crossing
warning devices, communication systems, and poles), railroad tracks and related components
(including rails, ballast, ties, tie pads, and fasteners), turnouts (including switch points, frogs, switch
ties, switch stands, and other switch components), bridges, trestles and culverts, structures, and
facilities within the Right-of-Way, yards, designated passenger tracks, and designated freight tracks.
c.
The Contractor will also be responsible for the maintenance of new Right-of-Way, track, and signal
systems built after the award of the Contract but during the Contract term. The Contractor is required
to review Section 1.3 - Future Plans for additional new projects that might add Right-of-Way, track, and
signal systems. See Statement of Work Appendix S-5 and S-6 for NCTD track charts and Statement of
Work Appendix S-3 for grade crossing equipment summary chart.
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7.2 Base Maintenance of Way Services Plan and Signal
Services Plan
The proposed Base Maintenance of Way Service Plan and Signal Service Plan shall be separate
documents and shall be developed by each individual Proposer based on the review of this RFP’s
requirements, NCTD key documents and plans associated with maintenance of way and signal services,
and other information as available and subsequently requested by Proposers and provided by NCTD.
The Base Maintenance-of-Way Service Plan shall identify all work, including the inspection and
maintenance activities to be undertaken by The Contractor, Maintenance-of-Way Standards, and
frequencies of tasks, staffing plan, and specific schedules for accomplishing such work, and proposed work
windows or Rail Service diversions.
The Base Maintenance-of-Way Service Plan shall include at least the following components:













Rail Maintenance Program (including Rail Grinding and Rail Replacement Program)
Preventative Maintenance and Inspection Schedule and Documentation Requirements
Tie Maintenance Program (including Tie Replacement Plan and Track Surfacing)
Special Track Work Maintenance Program
Ballast and Roadbed Maintenance Program
Right-of-Way Maintenance Program (including mowing and removal of graffiti, vegetation, trash)
Drainage Maintenance Program (including Drainage Ditch Reshaping Plan)
Fencing Maintenance Program (including Fencing Installation Plan)
Bridge, Culverts And Track Structures Inspection and Maintenance Program
Update MOW Standards Annually (including Track Maintenance and Engineering Instructions
(TMEI), Continuous Welded Rail Plan (CWR) Standard drawings and Specifications.
Material Management Plan
Inspection and Testing Plan - The Contractor shall submit an Inspection and Testing Plan that
contains inspection procedures and schedules to confirm all tests are performed.
Shunting Plan – The Contractor shall supply a shunt use and training plan. This plan shall clearly
state who can place a shunt and under what circumstances a shunt can be used. The plan shall
clearly state all persons using shunts have been trained to understand that it is their responsibility
to ensure the safety of the traveling public. The shunt training program will address the dangers
of placing a shunt that can interfere with the normal functioning of automatic grade crossing
warning systems, the wayside signal system, and a review of the work plan to decide if proper
flagging protection is needed.
7.3 Maintenance Crew Uniform Requirements
a. All uniforms shall be coordinated to NCTD brand colors and logos as specified in NCTD’s brand
guidelines document (Appendix P) or meet ANSI Class II (Orange only). The Contractor shall include
details of proposed uniform for NCTD approval as part of mobilization. Hats, caps, shirts, vests, coats
and jackets shall display the NCTD logo. Shoes shall be black, consistent with GCOR regulations, and
kept in good repair. The Contractor maintenance employees who leave their job with The Contractor
shall be required to return all uniforms to The Contractor.
b. The Contractor shall ensure that The Contractor maintenance employees report for duty as scheduled,
neatly groomed, and in the proper uniform. Appearance shall at all times be neat, clean and
professional.
c.
All Contractor maintenance employees shall wear name badges on their outer layer of clothing that
clearly identify them as a crew member. All uniform shirts, coats and jackets shall have an identification
number permanently affixed to their on the upper right shoulder that can be used to identify each
employee.
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7.4 Response Time
The Contractor shall immediately respond and arrive at any location on the NCTD Right-of-Way as
expeditiously and safely as possible upon the notification of a defective condition or emergency situation.
At no time should the elapsed time between notification and arrival time exceed sixty (60) minutes
7.5 Track and Structures
7.5.1
Operating Conditions
The Contractor shall understand the operating environment of the rail service. This operating environment
includes:








All weather conditions (including high surf)
Highway and transit interfaces,
The potential of derailments and accidents,
Vandalism, trespassing, and other crimes,
Shared operations with Amtrak, Metrolink, PAC SUN and BNSF
Shared corridor operations with MTS
Coastal areas (highly corrosive), and environmentally sensitive areas
Regulatory requirements and standards to include but not limited to the FRA, FTA, APTA, AREMA,
DHS, Caltrans, CPUC, NCTD, the U.S. Coast Guard, Department of Defense and state and local
authorities to the degree applicable.
7.5.2
Maintenance Performance
a. In the performance of the Agreement Services, The Contractor shall maintain the Right-of-Way and
Right-of-Way Assets, and shall not defer maintenance of either for any reason, without NCTD’s prior
written approval. The Contractor’s responsibility regarding the Right-of-Way and Right-of-Way Assets
includes control of the assets’ configuration and the information required for a safe, quality, and
economical rail service.
b. The Contractor shall fully remedy, remove or replace all work which has been rejected by NCTD and
or a regulatory entity as not being in accordance with the terms of the Contract, and no additional
compensation will be allowed for such removal, replacement or remedial work. Upon failure of The
Contractor to comply with any direction regarding such work, NCTD may cause the rejected work to be
remedied, removed, or replaced by other the Contractors. NCTD may deduct the costs of the work
performed by the other the Contractors from any payments due or to become due to The Contractor.
7.5.3
The Contractor Obligations
a. The Contractor shall inspect, service, repair, and maintain the trackage, Right-of-Way, Right-of-Way
Assets and associated infrastructure.
b. The Contractor shall perform all work in a manner that does not unnecessarily delay or cause disruption
to Rail Service. Track outages shall be requested by The Contractor in writing to NCTD at least ninety
(90) days in advance of the date needed. Track outages for maintenance will only be allowed under
the terms of NCTD Board Policy No. 23. The Contractor shall explore all available alternatives to
perform their work during established work windows, except in emergency situations. The Contractor
shall explore all available alternatives to the outages and, if none are available, The Contractor shall
provide NCTD with the reasons why such alternatives are not viable.
c.
All Equipment and appurtenances shall be maintained in accordance with OEM, NCTD, and applicable
regulatory requirements.
d. The Contractor shall be responsible for locating all underground utilities within the NCTD Right-of-Way.
e. The tamper, a ballast regulator and a dynamic track (the “Equipment”) will be purchased by The
Contractor during the mobilization period. The purchase price of the Equipment is included as part of
The Contractor’s mobilization price payable by NCTD, and the “residual value” of the Equipment at
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the end of the Contract has been already deducted/credited from The Contractor’s annual price
throughout the contract duration, as reflected within the price forms submitted with The Contractor’s
proposal. In consideration of the foregoing, The Contractor will retain ownership of the Equipment
during and after the Contract duration
f.
The Contractor shall make all repairs to Right-of-Way and Right-of-Way Assets using the standards
and practices described in the MOW Standards as the minimum standard. The Contractor shall
provide a tamper, a ballast regulator and a dynamic track stabilizer for the performance of
maintenance-of way activities as part of Base Services. The tamper shall be of a sixteen tool-type
multiple mainline tamper with curve equipment and table and laser line that will simultaneously tamp
ballast with a squeeze vibratory-type power tamper. The tamper shall have surfacing and lining lights
that operate simultaneously during the lifting cycle. This model shall be the level of a Jackson 6700
or approved equal. The ballast regulator shall be Kershaw 70 or approved equal. The dynamic track
stabilizer shall be used whenever the tamper is used to ensure no slow orders remain after ballast is
disturbed. The Contractor shall indicate all information for this required equipment in their proposals.
The Contractor shall indicate in the proposal if they intend to purchase this equipment for sole use on
NCTD property for this Contract. If the Contractor intends for NCTD to provide reimbursement for this
purchase over the life of the Contract, the equipment purchased becomes the property of NCTD at
the end of the Contract. If the Contractor already owns this equipment, and no costs are passed thru
to NCTD for this equipment, the Contractor retains ownership of the equipment at the end of the
Contract. If the Contractor leases this equipment, the Contractor must provide these costs as part of
the proposal to be eligible for reimbursement. The Contractor must provide proof of lease payments
with monthly invoices to be reimbursed by NCTD. NCTD reserves the right to deem any equipment
unacceptable for use if it does not meet the minimum prescribed standards.
g. The Contractor will perform other track related “spot” maintenance services, other than production
work, which will include, but not be limited to:
1) Defective rail replacement to include transposing of the rail for the entire length of curve is to be
considered “Routine Maintenance” and covered in the base services
2) Defective weld replacement
3) Defective tie or fastener replacement
4) Grade crossing panel/pavement approach repair
5) Ditch and drainage systems maintenance
6) Drainage system maintenance and filter replacements on the Del Mar Bluffs drainage
improvements
7) Right-of-way cleanup
8) Right-of-way mowing
9) Maintenance and grading of right-of-way roads
10) Switch adjustment and lubrication
11) Curve lubricator maintenance
12) Ballast maintenance of track crib and shoulder.
13) De-stressing of rail as necessary except in cases of capital projects outside of this contract
14) Ditching
15) Branch/Brush cutting
h. The Contractor is responsible for the monthly delivery to NCTD reports that capture the following
information:
1) Surfacing Report
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2) Scheduled Maintenance vs. Actual Maintenance for both Maintenance of Way and Maintenance
of support equipment
3) Tie installation report
4) Safety Incident Detail Report: A detail of all incidents, accidents, injuries, fatalities and
derailments occurring on NCTD property for the month, regardless of FRA report ability or
operator involved (Coaster, Amtrak, Metrolink, BNSF, other)
5) Completed FRA and CPUC accident/incident reporting forms (both paper and electronic
versions).
7.5.4
Capital Maintenance of Way Service Plan
a. The Contractor shall provide an annual Capital Maintenance of Way Service Plan to support work that
will be performed within the timeframe of NCTD’s fiscal year, which spans from July 1 through June
30. The Contractor shall submit to NCTD the Capital Maintenance of Way Service Plan by October
1st on an annual basis for NCTD’s review and incorporation into NCTD’s upcoming fiscal year budget
that begins on July 1. The Contractor, based on NCTD’s final approved budget for Capital
maintenance-of-way that results from the procurement process, will provide documentation to support
the full expenditure of the budget as part of the annual update to the Capital Maintenance of Way
Service Plan. The initial and subsequent updates to the Capital Maintenance of Way Service Plan shall
be approved by NCTD after every update. If The Contractor does not fully expend the approved budget
and or fails to provide sufficient justification of expenses, the amounts not expended shall be carried
forward to the following year’s Capital Maintenance-of-Way Service Plan to support additional project
activities beyond the base statement of work and or the amounts not expended being credited to NCTD,
at NCTD’s discretion.
c.
The Capital Maintenance-of-Way Service Plan shall include at least the following components:

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




Recommended Programmed Improvement Program
Rail Capital Replacement Program (in addition to Base Services Plan)
Tie Capital Replacement Program (in addition to Base Services Plan)
Special Track Work Capital Replacement Program
Ballast and Roadbed Capital Renewal Program
Grade Crossing Improvement Program
Drainage Capital Improvement Program
7.5.5
Track and Structure Standards
7.5.5.1
Performance Standards
a. All activities undertaken in the performance of the Maintenance-of-Way Agreement Services shall
comply with safety standards of FRA designated class of track for all mainline Track, and FRA
designated class of track for Maintenance Yards, Branch lines, Spurs. NCTD reserves the right to
establish Maximum Authorized Speeds and track class designation for specific track segments, based
on the maintenance class of track. The Contractor shall maintain the performance level of the Right-ofWay and Right-of-Way Assets to allow, at a minimum, Rail Services to be provided at speeds no less
than the Maximum Authorized Speeds in existence on the Service Date. The Contractor shall maintain
all mainline track to FRA Class V track maintenance standards.
b. As directed by NCTD, The Contractor shall create the Maintenance-of-Way Maintenance Standards
which shall serve as a complete set of standards for maintaining all aspects of the Service Property.
These Maintenance-of-Way Maintenance Standards will be submitted to NCTD for approval and The
Contractor shall comply with the approved Maintenance-of-Way Maintenance Standards. Revisions to
and additional Maintenance-of-Way Maintenance Standards shall be submitted to NCTD for review and
approval by The Contractor as directed by NCTD or as determined necessary by The Contractor.
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COMBINED RAIL OPERATIONS AND MAINTENANCE
At a minimum, all Right-of-Way, Right-of-Way Assets, and related inventory shall be maintained in
accordance with Maintenance-of-Way Maintenance Standards and FRA regulations. Additional
requirements include, but are not limited to:

Inspection and test cycles shall be tied to Maintenance-of-Way Maintenance Standards or other
applicable standards, whichever is more stringent. Inspection and test dates shall be scheduled
from the last inspection date. Additional testing may be required, as specified in this Paragraph or
by the Maintenance-of-Way Maintenance Standards, prior to the regulated test date.

The Contractor shall maintain the Right-of-Way in a condition equal to or greater than the minimum
maintenance standards for that class of track.
7.5.5.2
Standard Control Documents
Listed below are the standards to be applied for work performed in accordance with the Contract.
For Maintenance:
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AREMA Manual for Railway Engineering and Portfolio of Track Work Plans, current edition
FRA Track and Railroad Workplace Safety Standards (49 CFR 213 and 214), Bridge Safety
Standards (49 CFR 237)
CPUC General Orders
Continuous Welded Rail (CWR) Plan
NCTD Bridge Management plan (BMP)
NCTD Track Maintenance Standards (TMI)
NCTD MOW Operating Instructions (ORI)
NCTD Railroad and Non-railroad Roadway Worker Protection (RWP)
NCTD Design Standards for Maintenance
NCTD Design Standards for Construction
SCRRA Engineering Standard Drawings and Specifications
7.5.6
Track and Structures Maintenance Responsibilities
7.5.6.1
General
a. The Contractor will not eliminate, modify or remove from service any NCTD-owned or controlled track
structure, bridge, trestle, culvert or other structure and facility, unless required by emergency, without
the prior written approval of NCTD.
b. All Maintenance-of-Way reporting locations, tool houses, and shop Facilities, including Buildings,
Equipment, utilities, driveways, roadways and access ways shall be kept clean.
c.
Oil, engine coolant and any other waste or Hazardous Material shall be captured, labeled and disposed
of by The Contractor in accordance with applicable environmental laws and regulations and any
applicable NCTD requirements to include NCTD’s Storm Water Management Plan.
d. If a temporary unplanned speed restriction is imposed for any reason that will last more than eight (8)
hours, The Contractor shall submit to NCTD, within twenty-four (24) hours of such imposition, a written
schedule to be approved by NCTD prior to the performance of any work, for performing the work
necessary to remove each such temporary speed restriction. The Contractor shall perform the work in
accordance with the approved schedule.
e. If a temporary planned speed restriction is imposed for any reason that will last more than eight (8)
hours, The Contractor shall submit to NCTD, prior to the performance of any work, a written schedule
for NCTD approval for performing the work necessary to remove each such temporary speed restriction.
The Contractor shall perform the work in accordance with the approved schedule.
f.
Maintenance scheduling and requirements for the Right-of-Way and Right-of-Way Assets shall be
performed to the highest standard per OEM, regulatory, and NCTD requirements, In the absences of a
standard, the Contractor and NCTD will work collaboratively to establish a written standard for
maintenance scheduling and requirements.
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g. In performing the Agreement Services, The Contractor shall also be sensitive to the historical nature of
the Right-of-Way. The Contractor shall have the obligation to identify any sites which have been
designated historic on the NCTD Right-of-Way by applicable governmental agencies.
h. The Contractor will update NCTD’s Capital Asset Inventory (initially provided to NCTD by Parsons
Brinkerhoff) as assets are added or removed from the Right-of-Way.
i.
The Contractor will perform all work described in this Section 7.5.6 as provided in the approved annual
Maintenance of Way Service Plan. Any deviations from the Maintenance of Way Service Plan shall be
immediately brought to the attention of the NCTD.
7.5.6.2
Track
a. The Contractor shall maintain the trackage on the NCTD Right of Way.
b. The Contractor shall maintain and comply with all aspects of Maintenance-of-Way Maintenance
Standards and 49 CFR 213 as amended from time to time and other applicable regulatory
requirements. The Contractor shall also be required to maintain and comply with all aspects of the
NCTD’s Continuous Welded Rail Plan.
7.5.6.3
Inspection
a. The Contractor shall perform the following inspections including, but not limited to, in accordance with
the following schedules:
1. FRA mandated Track inspections conducted per FRA regulations.
2. The Contractor’s Deputy General Manager of Maintenance of Way shall complete at least one
Right-of-Way inspection every month of the entire ROW.
3. System-wide Right-of-Way inspections using regularly scheduled passenger trains once every
month by The Contractor management personnel.
4. Track geometry car inspection on all NCTD mainline tracks once every six (6) months.
5. Grade crossing inspections at all highway grade crossings within the NCTD Right-of-Way at
least annually.
6. Special inspection of track and Right-of-Way during and immediately after severe weather
conditions and accidents or incidents, when these events potentially pose a risk to the NCTD
Right-of-Way, as determined by NCTD.
7. Walking monthly turnout inspection and documentation for all NCTD turnouts and special track
work.
8. Switch inspections performed quarterly with representatives of both The Contractor’s Track and
Signal staff.
b. Qualified NCTD staff, without limitation, may make unannounced inspections with The Contractor’s
Track Inspector. With twelve (12) hours advance notice from NCTD, The Contractor may expect and
shall provide up to fifty two (52) hi-rail inspection trips per year. If possible NCTD will request hi-rail trips
during the Contractor’s routine inspections.
c.
The results of all inspections shall be recorded on an NCTD approved form including digital
photographs, as appropriate, and signed by The Contractor’s inspector(s) and a summary report of all
inspections shall be submitted monthly to NCTD. The RailDocs shall be updated to reflect the inspection
findings, detail any conditions found during the inspections and propose a plan for repairing or replacing
any discovered defects. Any conditions discovered that could affect the safe operation of trains shall
be immediately reported and repaired or replaced by The Contractor.
7.5.6.4
Rail
a. The Contractor shall ultrasonically test in-service rail for internal defects every three (3) months.
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b. The Contractor shall test all replacement rails for internal defects before installation. The Contractor
shall provide identification on the rail for ultrasonic testing.
c.
Additional tests shall be performed if, in either the opinion of NCTD, The Contractor or a regulatory
agency having competent jurisdiction, conditions warrant additional testing.
d. All internal defects shall be addressed in accordance with FRA and Maintenance-of-Way Maintenance
Standards, but in no case shall a temporary repair to an internal defect be allowed to remain longer
than ten (10) days.
e. The Contractor is expected to perform annual maintenance rail grinding of entire San Diego and
Escondido subdivisions under the base services, which will address rail maintenance activities
including Corrective Rail Profile Grinding, Preventative Rail Profile Grinding, Rail Transposition, Rail
Surface Welding Repair, Rail Joint Elimination and Rail Cascading. The Program shall consider
anticipated freight, intercity, and commuter Rail Service and shall indicate the approximate location and
schedule of the work. The Contractor will provide fire suppression support and EIC protection for the
rail grinding. The Contractor shall avoid performing rail grinding during times of high fire risk to adjacent
vegetation. The Contractor shall comply will all permitting processes and regulatory requirements
necessary to perform rail grinding on all NCTD property.
Rail Grinding:
The goals of NCTD’s Rail Grinding Program as follows:
· To improve and extend rail life across the Service Property.
· To maintain the rail in a good state of repair by implementing the designated rail head profiles and
removing surface defects from the rail including corrugations, shelling, spalling, hard checking, rail
imperfections and surface roughness and /or irregularities, where found.
An annual production grinding program consisting of approximately ten to fifteen days per year or
approximately 10 miles on the COASTER corridor and 5 miles on the SPRINTER corridor is anticipated
to meet the needs of this program. This production grinding effort may be scheduled at one or two,
different work windows depending on equipment availability, weather conditions, and other factors.
The Contractor shall require the performance of its employees to be consistent with the best railroad
industry practices that develop during the life of the Contract, in a manner to protect the safety of the
public and to preserve the economic life of the track structure throughout the Service Property. The
Contractor is solely responsible for directing the means of methods of their employees in the
performance of the Services.
f.
The Contractor shall be completely familiar with proper installation and maintenance of CWR as
outlined in the Maintenance-of-Way Maintenance Standards and shall ensure strict compliance with 49
CFR 213.119 and the CWR Plan. The Contractor shall provide approved annual training to its personnel
for the installation and maintenance of CWR.
g. The Contractor shall be responsible for the purchase, positioning, welding, and installation of up to 21,120
linear feet or (2) track miles of CWR annually and replacement and installation of 50% of the associated
rail fastening hardware. A Rail Replacement Plan indicating the approximate location of the new rail shall
be developed by The Contractor and submitted to NCTD for prior, written approval as part of the annual
Maintenance-of-Way Service Plan. Rail not installed in a year shall be programmed for installation in a
subsequent year in addition to the annual amount. Replacement rails shall be kept neatly stacked in
accordance with AREMA recommendations. Replacement rails shall only be stacked at NCTDapproved locations and secured on a continuous basis by The Contractor. In any given year, NCTD
may increase the amount of rail replaced. The Contractor shall provide in the price sheet the cost of
providing additional rail beyond the base amount specified.
h. The Contractor shall install all necessary thermite welds at locations determined by the Contractor and
by NCTD. The Contractor shall document all thermite welds and maintain those records in a spreadsheet
or electronic format, which should be available for NCTD review anytime. Records shall include, at a
minimum, the ambient temperature, the rail temperature; the length/weight of rail installed and removed,
the use of a rail heater, the length of pull if any, the name of the welder and any other conditions that may
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affect the proper de-stressing of rail. The Contractor is responsible for qualified testing of thermite welds
and rail end welding as required by the FRA and the MOW Standards. The individual performing testing
shall have current certification in non-destructive testing applications in a NCTD-approved course of
study, and the Contractor shall provide written proof that the individual is currently qualified when
requested by NCTD.
i.
The Contractor shall provide to NCTD complete and accurate reports of all rail failures, defects,
replacements, thermite welds, and weld failures and document them in the RailDocs. Rail installation
records shall include the applicable milepost, rail replaced-left or right, weight, date rolled,
manufacturer, heat number and methods taken to ensure proper installation and de-stressing.
j.
The Contractor shall provide inspection and maintenance services for all aspects of the rail in order to
maintain the Right-of-Way.
7.5.6.5
Ties (Concrete and/or Wood)
a. Perform automated tie testing on an annual basis at a minimum.
b. All tie types and replacements procedures will conform to LOSSAN design criteria and standard plans.
c.
All ties shall be renewed as required for the designated maintenance class. The Contractor shall be
responsible for the purchase and installation of a minimum of 400 ties for each Agreement Year. Ties not
installed in an Agreement Year shall be programmed for installation in a subsequent Agreement Year(s)
if approved by NCTD in addition to the annual amounts.
d. The Contractor shall submit a Tie Maintenance Program to NCTD for approval as part of the annual
Maintenance-of-Way Services Plan indicating the approximate location of the new ties.
e. In any given year, NCTD may increase the amount of ties replaced beyond the amount specified by
the Contractor in the Annual Maintenance of Way Service Plan. The Contractor will provide in price
sheet the cost of providing additional ties beyond the minimum amount specified.
f.
Spot replacement of ties due to track conditions shall be included in the Base Services.
g. Ties, wood or concrete, shall be replaced with ties made from the same type as was removed and
meeting current standards, unless otherwise directed by NCTD.
h. The Contractor shall perform all tie replacement in conformance with AREMA recommendations and
Track buckling procedures in the Maintenance-of-Way Standards.
i.
Turnout ties shall be changed as required.
j.
Bridge ties shall be changed as required to maintain the Right-of-Way.
k.
The Contractor shall be responsible to purchase, deliver, and install all ties.
l.
Within thirty (30) days of removal, the Contractor shall sort all removed ties, separating ties to be reused
along the Right-of-Way from ties for disposal.
m. Within thirty (30) days of removal, the Contractor shall stack and neatly stockpile ties to be reused.
Within ten (10) days of sorting, the Contractor shall dispose of all remaining ties in accordance with
all applicable environmental laws and regulations disposal cost to be covered in the base service cost,
Ties shall be disposed of off the Right-of-Way. Ties fit for reuse off the Right-of-Way may be sold by
a properly certified and licensed Hazardous Materials Disposal The Contractor, pursuant to all
applicable laws and regulations and NCTD disposal procedures, as coordinated by the Contractor.
The Contractor shall submit a record of disposal or sale of ties to NCTD, including disposal certification
documents. Proceeds shall be provided back to NCTD.
7.5.6.6
Track Structure
a. Gauge rods are prohibited. Any exception to the requirements in this Paragraph shall be submitted to
NCTD for prior written approval.
b. Discovery by the Contractor of an improperly anchored track shall require the implementation of a
temporary speed restriction and immediate notification of the condition to the dispatcher and the NCTD.
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The Contractor shall perform corrective measures to anchor the track in accordance with the
Maintenance-of-Way Standards.
c.
Discovery by the Contractor of any track not spiked or fastened pursuant to the Maintenance-of-Way
Maintenance Standards shall require the Contractor to bring the track up to all applicable standards
within thirty (30) days.
d. The Contractor shall be responsible for surfacing track as necessary to ensure that tracks are safe for
the passage of trains at the maximum authorized speeds as specified in the Maintenance-of-Way
Standards and in accordance with FRA regulations for the specified class of track. The Contractor’s
qualified personnel shall inspect all surfacing work before the passage of any train. Ballast levels
especially in areas prone to reduction, regardless of cause, are to be kept adequate at all times.
e. NCTD requires that the Contractor shall, unless otherwise directed in writing by NCTD, surface a
minimum of 25 miles and surface through two road crossings a year (including road closures and
permitting required to accomplish temporary grade crossing closure). In addition, spot tamping, without
limitation, shall be performed as needed to maintain all tracks at minimum to the class of track for trains
to operate at Class 5 timetable speeds. NCTD shall approve in writing track raises or track shifts in
excess of one (1) inch, and survey stakes will be provided by The Contractor if required. Uniform and
thorough runoff shall be executed at the end of all track raises.
f.
Any temporary speed restrictions in existence on the Service Date shall be removed as quickly as
practical.
g. Tracks and turnouts shall always be resurfaced and realigned as part of any re-timbering work and
included within the submitted work schedule.
h. No changes to track geometry or existing platform elevations are to be made without prior written
approval of NCTD.
i.
The Contractor shall be responsible for all costs involving unloading ballast, including any work train
Equipment, fuel, and crews. Under no circumstances will trains be allowed to operate on tracks with
insufficient ballast, except work trains while unloading ballast, or in the event of an emergency, and
only then with an appropriate slow order.
j.
Frogs, switch points and stock rails shall be kept ground in accordance with FRA standards, other
applicable standards, or rail industry standards, whichever is stricter, as part of the Agreement Services.
k.
All at-grade crossings shall be inspected and maintained. Crossings shall be maintained in a manner
that is safe, convenient and compliant with all applicable uses, current rules and regulations including
FRA, USDOT, CA MUTCD, Caltrans, and CPUC.
l.
Rail lubricators shall be maintained, repaired or replaced as necessary or deemed by the NCTD. The
Contractor shall replenish the lubricating materials on an as-needed basis.
m. All switch components and other track materials removed from track and deemed as reusable by mutual
agreement of NCTD and The Contractor shall be repaired for reuse by the Contractor and placed in
the inventory.
7.5.6.7
Right-Of-Way
a. The Contractor shall not permit and shall monitor and report to NCTD, any encroachment, construction,
or modification of any facility or structure of any kind which reduces existing clearance dimensions at
any location along the Right-of-Way.
b. The Contractor shall take immediate actions to comply with all applicable laws and regulations
concerning any storage, handling, or in the event of a release of a Hazardous Materials or contaminants
on or within the Right-of-Way.
c.
NCTD does not allow dumping or stockpiling of debris and spoils on the Right-of-Way. The Contractor
shall secure and use legal disposal locations to ensure the Right-of-Way is kept clean. The Contractor
shall remove all trash, debris, animal carcasses and otherwise undesirable or objectionable material
which may include, but not limited to, abandoned automobiles, tires, tire pieces, lumber, appliances,
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paper, metal, vegetation, dead animals and other materials not considered “normal” to the Right-ofWay (“waste”), from the NCTD Right-of-Way. Such waste shall be removed immediately, after
discovering same, or after receiving notice from NCTD of the existence of same within five (5) days.
d. The Contractor shall schedule and implement a semi-annual waste clean-up program, which shall
include inspection of problem sites and implementation of additional implementation measures (e.g.
implementation of higher security fencing) as required. The Contractor shall perform spot Waste cleanup activities as required by NCTD, including clean-up activities in response to community requests.
All Waste removed from the Right-of-Way shall be disposed of at locations provided by the Contractor
that are outside of the Right of the Way within five (5) days from NCTD request. In the event that the
Contractor fails to remove the waste following written notice by NCTD of the continued existence of
the condition, NCTD shall have the right to take corrective measures at the Contractor’s expense.
Disposal shall be in accordance with applicable federal, state, and local laws and regulations and the
Contractor shall be responsible for all disposal, and obtaining any required permits and licenses.
e. Stockpiling or storage of waste on the Right-of-Way is not permitted. Completed areas of work shall
be free of waste after cleaning has occurred. Areas that are deemed unacceptable by NCTD shall be
redone at no additional cost to NCTD. It is the intent that areas be cleaned in a manner that they are
left reasonably free of all Waste.
f.
Materials and Equipment removed from service shall be removed from the Right-of-Way within ten (10)
days. Final disposition of materials and Equipment removed from service shall occur within thirty (30)
days, except where otherwise specified by NCTD. Materials awaiting installation shall not be permitted
to lie along the Right-of-Way for more than thirty (30) days, unless otherwise permitted or agreed to by
NCTD, with the exception of any Material that is a safety hazard which shall be immediately removed
or repositioned by The Contractor upon discovery or notification by NCTD or Third Party. Continuous
welded rail strings longer than two hundred (200) feet awaiting installation shall be exempt if the
Contractor has prior written approval from NCTD.
g. Scrap rail and relay rail shall be removed from the Right-of-Way within thirty (30) days of removal from
the Track. The Contractor shall arrange for sale or disposal of scrap and relay rail at no cost to the
NCTD and following NCTD’s disposal procedures (refer Chapter 10).
h. The Contractor shall report to local law enforcement and NCTD Code Enforcement, and shall attempt
to control, illegal dumping activities, trespassing, and unauthorized use of the Right-of-Way. In addition,
the Contractor shall also participate with NCTD in programs to educate the public as to the dangers of
trespassing on the Right-of-Way including but not limited to, temporary/permanent signage installation,
rail stenciling, and other methods determined by NCTD. The Contractor shall comply with NCTD
requirements regarding signal lines (refer Paragraph 7.6 Third Party Projects), utility company
standards, and "Dig Alert" procedures in regard to any excavations within the Right-of-Way. When
excavating in proximity to underground fiber optics or communications lines, the work shall be
coordinated with the affected utility.
i.
The Contractor shall be responsible for any vegetation cutting and removal, which does or may
interfere with train movement, signal observation or signal system operation or the clear sighting of an
appurtenances as described below. Dry vegetation which may constitute a fire hazard shall be
removed by the Contractor or at NCTD’s request. The Contractor is responsible for vegetation removal
throughout the NCTD Right-of-Way. Vegetation removal may require the use of specialized
Equipment, hand labor, small machine mowing or chain saws in certain areas. Removal of vegetation
shall be made to maintain visibility of Signals, vehicle sight distance at grade crossings and clearance
of track, to keep vegetation clear of signal and communication lines and to remove any hazards
associated with same vegetation shall be kept back within twenty-five (25) feet of the centerline of the
nearest mainline track (“Clearance Width”), and the Contractor shall promptly chip and remove all
vegetation from the Clearance Width. The accumulation or piling of vegetation will not be permitted.
Any such accumulation or piling shall be removed within three (3) days of notification. Any vegetation
on the Right-of-Way, which is identified by NCTD as a nuisance or safety hazard shall be removed
with due diligence within twenty-four (24) hours. All work shall include removal of cut vegetation from
the Right-of-Way. The Contractor shall dispose of all refuse materials in accordance with applicable
laws and shall conduct cleanup activities in accordance with applicable rules regarding Roadway
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Worker Protection (RWP). The Contractor shall mow to appurtenances. Appurtenances include sign
posts, whistle posts, Signals, fences, guardrails, pipes, drainage structures, light and power poles,
guy wires, and landscape areas. NCTD shall be notified if treatment or removal of any mature tree is
recommended or proposed by the Contractor. NCTD shall authorize removal or treatment of the tree
and the proposed timeline to ensure that any necessary public outreach and coordination with other
agencies takes place as appropriate. Tree trimming and removal on NCTD Right-of-Way regardless of
size shall be performed by a licensed individual or the Contractor in the State of California as part of the
Base Services.
j.
The Contractor will also be responsible for providing a supervisor level employee, qualified to provide
flagging protection, to supervise a group of approximately 10 Community Service Assistants who are
hired by NCTD from the County of San Diego to pick-up trash along the Right-of-Way. The Community
Service assistants work Monday through Friday for approximately 4 to 5 hours a day. NCTD pays the
county for these Community Service assistants directly. In addition, the Contractor shall be required
to respond within five working days to specific trash clean-up and graffiti cleanup requests as required.
The Contractor will also supply a dumpster.
k.
Using hi-rail spray Equipment, the Contractor shall not less than semi-annually apply herbicides to prevent
vegetation growth from all track beds and other designated areas within the Right-of-Way, to the extent
that regulations allow. All work shall be performed in accordance with applicable local, state and federal
regulations. Repetitive applications may be required. Mechanical removal of vegetation will be as directed
by NCTD. Upon notification by NCTD, additional mechanical cutting of overhanging vegetation which
originates on or off the Right-of-Way will be performed by the Contractor without limitation, using
extendable boom equipment as needed.
l.
The Contractor shall not cut vegetation beyond the Right-of-Way without the knowledge and permission
of the affected property owner and prior written approval of NCTD.
m. The Contractor shall maintain and install Right-of-Way signage and rail stenciling pursuant to NCTD and
Regulatory Standards, and shall promptly repair or replace damaged or missing signs. Prior to changing
or replacing any critical feature signs identified with PTC, the Contractor is required to check with the
Change Control Board. The Contractor is responsible for maintenance of inter-track fences and Rightof-Way fences. Fencing shall include standard chain link fencing, other fencing material, or effective
barricade material necessary to prevent access to facilities and the Right-of-Way, as determined by
NCTD. The Contractor shall inspect the Right-of-Way and inter-track fencing at least once per
Agreement Year. Repairs shall be completed within ten (10) days of completion of inspection and if the
fence in need of repair is near a school, park or publicly accessible location, repairs or replacement shall
be undertaken immediately. Repair or replacement of any fencing shall be with the same materials,
including make, gauge and quality, as the original fencing unless otherwise specified by NCTD. The
Contractor is responsible to maintain and keep in good working order and appearance any inter-track
fencing and gates that are immediately between portions of double tracking. This includes the baggage
gates located at the Solana Beach and Oceanside Stations which shall require at a minimum, annual
preventive maintenance work. The Contractor shall include these elements as part of the Fencing
Maintenance Program.
n. The Contractor shall ensure that the Maintenance of Way Services Plan addressing the items herein.
o. Regardless of cause, the Contractor shall be responsible for Dust Control along the Right-of-Way.
p. The Contractor shall be responsible for maintaining and rebuilding Right-of-Way access roads at their
own expense.
7.5.6.8
Grade Crossing Repair and Rehabilitation
Repairs to at-grade vehicle or pedestrian crossings shall be completed within two (2) business days
of notification from NCTD. Repairs include asphalt grinding or patching, sliding concrete panels, and
end restraint replacement. Any condition considered hazardous to the public, as determined by
NCTD, shall be reported and repaired as soon as discovered but no later than eight (8) hours.
7.5.6.9
Other Maintenance and Repair
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Other responsibilities of the Contractor shall include, without limitation, the following:
a. Joint maintenance, documentation and replacement, including incidental installation of new joint bars
and bolt replacement/tightening and walking inspections of same.
b. Repair or replacement of hand-throw and power-operated switch components.
c.
Rail de-stressing and neutral temperature verification and adjustments.
d. Repair of damages to Right-of-Way and Right-of-Way Assets caused by derailments or other accidents
where such repairs are within the limits of the Right-of-Way or otherwise described elsewhere in the
Agreement. If the derailment is caused by the Contractor, the Contractor is responsible for the cost of
repairs. For any derailment caused by third parties, the Contractor is not responsible for the cost of
repairs but is responsible to provide NCTD with adequate documentation to pursue third parties for the
cost of those repairs.
e. Inspections of curve lubricators shall be scheduled as part of FRA mandated track inspections to keep
the curve lubricators in operating condition at all times. The Contractor shall be responsible for
repairing all broken or damaged components, whether caused by use, derailment, or vandalism, and
proper adjustment of wiping bars and lubrication flow. The Contractor shall provide lubricant. NCTD
may choose to relocate existing lubricators without limitation at The Contractor’s expense. The
Contractor shall provide the labor, parts, and Equipment necessary to relocate or upgrade any or all
of the existing lubricators. The Contractor shall have two (2) weeks to relocate or install new wayside
lubricators upon written notification from NCTD.
f.
Graffiti, which impacts safety (e.g. graffiti on railway operating signs and signals), that contains
obscene or offensive content, or that which is located on railway infrastructure (e.g. signal bungalows,
signal bridges, sound and crash walls, equipment buildings, etc.), shall be removed expeditiously but
not more than 24 hours. All other graffiti shall i be removed not later than five (5) days after the
Contractor’s receipt of a report of graffiti at any location along the Right-of-Way or on Right-of-Way
Assets or on NCTD property, including barrier walls. NCTD shall have the right to take corrective
measures at The Contractor’s expense if the Contractor fails to correct within the prescribed
timeframe. Graffiti removal shall be in accordance with applicable local and state laws and regulations
and shall include all removal costs, including, permits and licenses at the Contractor’s expense.
Completed areas of work shall be free of graffiti after cleaning has occurred. Areas that are deemed
unacceptable by NCTD shall be redone at no additional cost to NCTD. It is the intent that areas be
cleaned in a manner that they are left reasonably free of all graffiti. It is not the intent to penalize the
Contractor for graffiti that may be deposited between the time an area is worked and the time it is
inspected. The NCTD will use prudent and reasonable judgment when evaluating completed work and
his/her decision as to acceptance or rejection shall be final.
g. The Contractor will be responsible for placement and maintenance of ballast keepers along NCTD
Right-of-Way to ensure ballast complies with AREMA standards and NCTD Engineering Standards.
NCTD reserves the right to direct The Contractor to install additional ballast keepers at no additional
cost to NCTD.
h. The Contractor will be responsible for maintenance of all manholes located in NCTD Right-of-Way.
These manholes may require vacuuming or replacement of filters consistent with the preventative
maintenance schedule developed and needs/special requirements of the respective manholes.
7.5.6.10
Maintenance of Bridges, Culverts and Drainage Systems
7.5.6.10.1
General
a. The Contractor shall inspect and maintain all drainage systems, culverts, and those overhead and
undergrade railroad bridges that are part of the Right-of-Way for which NCTD has the maintenance
responsibility (referred as “Structures” in this section).
b. All inspections shall report visible minor and major damages to NCTD’s Right-of-Way Officer (ROW
Officer) and will be documented by The Contractor and recorded in an electronic format on an Excel
spreadsheet. The format of the spreadsheet shall be determined by the ROW Officer. Bridge
inspections shall include digital photographs. If NCTD observes unreported damage, The Contractor
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shall provide the necessary repair work within 24 hours. If The Contractor is unable to provide repair
work within 24 hours, NCTD may obtain the work from another source at The Contractor’s expense.
c.
The Contractor shall perform preventive, routine and corrective maintenance measures on all
structures on the NCTD Right-of-Way.
d. Undergrade track bridges, bridge seats, trestles and culverts shall be kept free of debris, vegetation,
trash, and other obstructions. The Contractor must remove all debris, vegetation, trash and other
obstructions so that that waterways are clear and there are no combustibles that could cause a fire.
Waste and all combustibles shall be removed. If NCTD observes unreported obstructions, The
Contractor shall provide the necessary cleaning and removal work within 24 hours of request. If The
Contractor is unable to provide cleaning and removal work within 24 hours of request, NCTD may
obtain the work from another source at the Contractor’s expense.
7.5.6.10.2
Maintenance of Drainage Systems
a. Track drainage systems shall be fully and consistently maintained to their design capacity.
b. Flooding on the Right-of-Way shall be controlled by the use of drainage systems. The use of pumping
to remove water from the Right-of-Way and track shall be performed as necessary and The Contractor
will be responsible to provide pump.
c.
Culverts used to pass water under tracks shall be maintained by The Contractor for their entire length.
d. Drainage ditches shall be kept open and at proper design profiles (depth, grade and alignment). The
Contractor shall rehabilitate all drainage ditches in accordance with all applicable as-built profiles or
other applicable regulatory requirements. The Contractor shall establish and provide an annual
Drainage Ditch Rehabilitation Program to NCTD for prior, written approval as part of the annual MOW
Service Plan.
e. Any structure or system used intentionally or otherwise to direct the flow of water shall be considered
a drainage system.
f.
The Contractor shall maintain all drainage manholes, catch basins, clean-outs and other drainage
structures and systems.
g. The Contractor shall keep all closed drainage systems clean and free of obstructions.
h. The Contractor shall maintain, and as necessary repair storm water systems.
i.
The Contractor’s Drainage Maintenance Program shall describe the Maintenance of all NCTD
drainage systems.
j.
The Contractor is responsible for maintaining the drainage at Del Mar Bluffs. See attached MOU in
Appendix G for exact location and details.
7.5.6.10.3
Third Party Inspections and Contractor Inspections for Railroad Bridges, Pedestrian
Structures and Culverts
a. Currently, NCTD contracts with a third party for detailed bridge structural inspections and assessments
per FRA’s Title 49 CFR 237.
The Contractor shall work cooperatively with NCTD’s bridge inspection the Contractor to support bridge
structural inspections (including providing flagging and any other necessary support). NCTD’s bridge
inspection the Contractor will be required to update the annual Bridge Management Plan (BMP).
b. The Contractor shall perform the following activities:
1) Scheduling bridge visual inspections per inspection intervals indicated in the Rail Asset Inventory
List.
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2) The Contractor will perform inspection activities for all structures, including drainage systems,
culverts, overhead and undergrade railroad bridges that are part of the Right-of-Way.
3) Maintaining inspection records on Excel spreadsheets and or in Maintenance Information
Systems, including digital photos after every inspection must reflect rail assets that need
maintenance work, repair work, and component replacement only. The format of the spreadsheet
will be determined by the NCTD ROW Officer.
4) Conducting special bridge inspections when the bridge is involved in an event which might have
compromised the integrity of the bridge, including but not limited to flood, tidal swells, fire,
derailment, vehicular or vessel impact and hurricane.
7.5.6.10.4
Overhead and Undergrade Railroad Bridge Maintenance
a. The Contractor shall perform maintenance activities and Minor Repairs (see definition below) on all
bridges on the Right-of-Way as part of the Agreement Services. Bridge maintenance will include the
following:
1) Track alignment, profile, ballast and ties, including CWR standards
2) Repair of walkway posts, handrails, mounting brackets, walkway surfaces, hardware and
fasteners
3) Replacement of loose rivets with the appropriate high strength bolts on steel bridges.
4) Repair of deteriorated concrete, spalling, scaling, cracking and exposed rebar
5) Tightening loose or replacing missing anchor bolts
6) Repair or replace bridge bearings and protective fencing
7) Repair of timber caps, stringers, bracing, curb timbers and piles
8) Point Repairs of steel beams, girder webs, flanges, floor beams, stringers, bracing, truss members,
connection plates or worn components
9) Point Repairs of structures damaged by flood, fire, derailment, vehicular or vessel impact and
hurricane
10) Clearing of vegetation and maintaining railroad clearance
b. Minor Repairs are defined as repairs performed on structures or components of such structures in
which the structural functionality and capacity will remain unchanged after the repair work is performed.
NCTD shall make the final determination as to whether the repair work shall be considered a Minor
Repair or a Major Repair.
c. The Contractor shall maintain all crash walls, retaining walls, back walls, wing walls, abutments,
bracing, and other structures.
d. The Contractor shall keep all bridge seats, bearings, and abutments clean and free of debris at all
times. Expansion deck joints shall be cleaned, resealed, and replaced.
e. The Contractor shall maintain and repair all stairs, walkways, sidewalks, catwalks, railings and other
bridge attachments and devices with similar materials as directed by NCTD.
f. The Contractor shall be responsible for painting services pertaining to MOW Service Plan and installing
temporary support measures
g. The Contractor shall safely attach and/or remove banners, posters and signage to/from bridges within
the Right-of-Way as requested by NCTD.
h. The Contractor shall clear debris and kelp from bridge pile bents.
i. The Contractor shall remove all unauthorized attachments immediately after such are reported or found
during inspection.
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Maintenance of Culverts
a. The Contractor shall be responsible for maintenance of all culverts located on the Right-of-Way. A culvert
is any drainage crossing within the Right-of-Way. The Contractor shall inspect, clean and perform
maintenance and repairs as needed on all culverts. Inspections shall include digital photographs of the
culvert condition.
b. The Contractor shall keep all culvert approaches free and clear of all debris and vegetation.
7.6 Signal, Communications and Systems
7.6.1
Standard Control Documents
Listed below are the standards to be applied for work performed in accordance with the Contract
(“Maintenance-of-Signal Standards”).

FRA Signal System Reporting Requirements (49 CFR 233)

FRA Grade Crossing Signal System Safety and State Action plans (49 CFR 234)

Instruction Governing Applications for Approval of Discontinuance or Material Modification of a Signal
System or Relief from Requirements of Part 236 (49 CFR 235)

Rules, Standards, and Instructions Governing the Installation, Inspection, Maintenance, and Repair
of Signal and Train Control Devices, and Appliances (49 CFR 236)

AREMA Signal Manual, current edition

NCTD Communication and Signal Standards

NCTD Signal Maintenance Manual

CPUC Rules, Standards, and Regulations

Any other regulatory agency requirements
7.6.2
Signal Maintenance
a. The Contractor shall, at a minimum, maintain all existing, reconstructed, or newly accepted Signal
systems located within the Right-of-Way in accordance with FRA 49 CFR Parts 233, 234, 235, and 236
Regulations, the recommendations detailed in the latest version of the AREMA Signal Manual and the
Maintenance-of-Signal Standards.
b. The Contractor will manage safety sensitive software for all crossing and train control systems in
accordance with the Software Management Control Plan.
c.
Signal systems shall not be installed, modified, or permanently removed from service without prior
written approval from NCTD. When such an approval is requested by The Contractor, it shall fully detail
through drawings and/or text the request being made. The Contractor is responsible for providing to
NCTD all information necessary for NCTD to obtain any federal approvals required under Title 49 of
the U.S. CFR.
d. Emergency modifications shall be performed in the interest of safety. The Contractor shall promptly
notify NCTD by telephone of such modifications within one (1) hour after the event becomes known to
The Contractor. The Contractor shall provide a written request to NCTD for final modifications and
approval within twenty-four (24) hours of such notification and shall include a detailed explanation of
the required modifications and the reason emergency modification was initiated.
e. All permanent modifications made to the Signal system shall be recorded in CAD format and a PDF
format and a markup of signal circuit drawings shall be submitted to NCTD for approval no later than
thirty (30) days after the modification is placed in service. The Contractor shall obtain all applicable
warranty agreements for permanent modifications in the name of NCTD and provide any and all
associated documentation to NCTD. The Contractor shall administer those warranties.
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COMBINED RAIL OPERATIONS AND MAINTENANCE
The Contractor shall be responsible for coordination with other railroads on boundary or division of
territory circuits. The recognition of the Signaling system being a complete “end to end” system shall
be accepted by The Contractor. All testing, maintenance, and trouble resolution that may affect other
railroads shall be done only after a complete understanding has occurred between The Contractor and
the other railroad.
g. Signal cases and apparatus shall be kept sealed, locked, clean and free of all foreign material, such
as:

Vegetation

Rodents

Insects

Moisture

Rust

Graffiti
h. Signal cases and apparatus shall be painted in accordance with the following painting schedule and
comply with application regulations:

Signal cases and apparatus requiring painting shall be identified annually in the Maintenanceof-Way Service Planning Signal Service Plan section and painted in accordance with same
or as required by NCTD. Paint colors shall be determined by NCTD.

Aluminum Equipment will not require paint, unless necessary to improve visibility (such as in
the case of signal backgrounds and hoods), or to obscure graffiti that cannot be removed by
other means.

Switch Machines shall be painted and numbered for identification on the machine cover.

Acid resistant paint shall be used to protect signal cases and housings from battery acid
damage. This paint shall be applied as required to prevent corrosion.
i.
Only OEM replacement parts and procedures shall be used to repair broken Signal and Communication
Equipment, including PTC. Temporary repairs shall be permanently repaired commencing on the next
business day after the installation of the temporary repair. Material that can be much more economically
repaired, or has proprietary rights or patents established, or is covered by warranty, may be repaired
by an outside vendor at NCTD’s discretion and The Contractor’s own expense.
j.
The Contractor shall follow applicable FRA regulations regarding investigation and reporting of false
proceeds. The Contractor shall also submit the following reports to NCTD after every false proceed:
k.
l.

A preliminary report, within twenty-four (24) hours of the reported false proceed, in both
hardcopy and electronic formats.

A final report within fifteen (15) days of the false proceed, filed on form FRA F 6180-14, in
both hardcopy and electronic formats.
A monthly Train Delay Report due to Signal failures shall be forwarded to NCTD no later than the 10th
day of the following month.

The report shall include a breakdown of preventable and non-preventable Signal failures.

Adjustments to the report shall be made only after review and with concurrence of both The
Contractor and NCTD.

The Contractor shall develop Signal Failure Response Procedures for the NCTD.
The Contractor shall be responsible for the maintenance of the complete wayside communication and
dispatch system, including, but not limited to, maintenance and improvements of the Right-of-Way
Assets and support of related construction and Third Party projects on the Right-of-Way.
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m. The Contractor shall provide inspection and maintenance services for all aspects of the dispatch and
communications systems in order to maintain these systems in a condition equal to or greater than
minimum maintenance standards, as defined in the Maintenance-of-Signal Standards, in compliance
with 49 CFR regulations.
n. Maintenance to the dispatch and communications systems shall be performed per each manufacturer's
recommendations and instructions to the extent that they exist or as otherwise directed herein.
o. Dispatch or Communications Equipment shall not be installed, modified, or permanently removed from
service without prior written approval from NCTD. When such an approval is requested by The
Contractor, they shall fully detail the request through drawings and/or text. After receiving NCTD
approval, The Contractor will assist NCTD in obtaining any federal approvals required under Title 49 of
the CFR prior to installing, modifying, or permanently removing from service any such systems.
p. Any permanent modifications made to the dispatch or communication system shall be recorded in
CADD format (latest version compatible with NCTD) and the mark up of signal circuit drawings shall
be submitted to NCTD no later than thirty (30) days after the modification is placed in service.
q. The Contractor shall provide jumper control and application plan that details how jumpers will be
utilized, by whom, and plans to safeguard equipment taken out of service.
7.6.2.1
Tests and Inspections
a. All Signal systems in use in the Right-of-Way shall be tested and inspected by The Contractor in
accordance with the Maintenance-of-Signal Standards and the FRA 49 CFR.
b. Inspection and test cycles shall comply with Maintenance-of-Signal Standards or other applicable
standards, whichever is more stringent. Inspection and test dates shall be scheduled from the last
inspection date. Additional testing may be required, as defined in this Chapter or the Maintenance-ofSignal Standards, prior to the regulated test date.
c.
All corrections or repairs shall be made within time limits specified by FRA Parts 234 and 236 for
correction.
d. Test and inspection dates and results shall be recorded in the RailDOCS and summarized in the
monthly Report on FRA Test Compliance.
e. The Contractor shall provide a specific repair provider at its own expense, approved by NCTD, where
it shall repair relays, switch machines, switch circuit controllers, and other Signal apparatus.
f.
The Contractor shall maintain as-in-service, up-to-date, and legible circuit plans at all wayside Signal
locations as required by FRA Parts 234 and 236 regulations. The Contractor shall be responsible for
updating all circuit plans. Any changes to the existing circuit plans shall be revised to comply with FRA
requirements within 30 days.
g. The Contractor shall coordinate Signal and Communication Equipment updates and revisions with
other the Contractors responsible for new Signal construction to ensure compliance with the applicable
FRA regulations.
h. Updated field plans reflecting changes made by other the Contractors shall be supplied to The Contractor
within thirty (30) calendar days of the time such field change is placed in service.
i.
Annual review of current line plans, track charts, and interlocking layouts within the Right-of-Way shall
be provided to NCTD by anniversary date of each Agreement Year.
j.
All CAD and Communication Equipment in use on the Right-of-Way shall be tested and inspected by
The Contractor.
k.
Inspection and test cycles shall be tied to Maintenance-of-Signal Standards, the applicable standards,
or manufacturer’s recommendations, whichever is more stringent. Inspection and test dates shall be
scheduled from the last inspection date.
l.
The Contractor shall maintain a "Trouble Log" of each trouble incident that will include time of initial
notification, exact location, type of problem reported, type of problem found, corrective action taken,
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time trouble cleared and any other information deemed appropriate by NCTD. This log shall be kept in
the IndustrySafe, in such a format as to permit sorting of data using any of these fields. The Trouble
Log will be reviewed monthly by NCTD and The Contractor management. At the request of NCTD,
further investigation of signal and communications problems shall be required by The Contractor. The
Contractor shall submit a report when requested providing details of findings and any action taken.
m. The Contractor will review the tools, test equipment and meters provided by the NCTD (NCTD will
provide 10 Fluke and 10 TS-113 meters) and shall furnish as part of the Base Services all other tools,
equipment, and meters not provided by NCTD, test Equipment and meters as necessary to maintain
the Signals, CAD, and Communication Equipment systems. At The Contractor’s expense, all meters
and test instruments, including NCTD provided tools and instruments, shall be calibrated at a certified
test facility on an annual basis, or whenever dropped, jarred or otherwise damaged.
7.6.2.2
Grade Crossing Maintenance
a. All at-grade crossings shall be inspected and maintained in a manner that is safe and compliant with
all applicable uses, rules and regulations including FRA, CPUC, and CA MUTCD.
b. Within one (1) hour notice from NCTD, The Contractor shall provide, maintain, operate, and secure
back-up generators and fuel at each at-grade crossing along the Right-of-Way during a power loss,
except during Catastrophic Events (Earthquake, Major Flooding, Tsunami, Government Declared
Emergency, etc). Within twenty-four (24) hours’ notice from NCTD that Rail Service will be resuming
on the NCTD, following any Catastrophic Event, The Contractor shall provide, maintain, operate, and
secure back-up generators and fuel to operate any at-grade crossing in which electrical power is not
available.
c.
The Contractor shall ensure that all components of the Highway Grade Crossing Warning Systems
are in place and functioning.
d. The Contractor shall provide all resources and maintain inventory and parts required for the
maintenance of Warning Systems along the Right-of-Way to respond to the identified crossing within
sixty (60) minutes of NCTD or Dispatching Service or Third Party notification, protect the crossing as
required by FRA CFR 234, and promptly make repairs.
e. Grade crossing gates, lights, and wires shall be properly attached to apparatus following appropriate
AREMA Section 3 Standards and in accordance with FRA CFR Part 234 Regulations. Warning
Systems shall be maintained in accordance with the Maintenance-of-Signal Standards and in
conformance with the appropriate sections of the CA MUTCD Current Edition and CPUC
requirements Current Edition. Twelve inch (12”) Light Emitting Diode (LED) signal lamps are approved
for use on the Right-of-Way and shall be utilized after existing Inventory of incandescent bulbs are
depleted.
f.
The Contractor shall ensure all appropriate devices and appurtenances are in place and functioning.
g. The Contractor shall remove vegetation from the Right-of-Way so that the view of the Warning System
from an approaching train or motorist line of sight visibility is not obstructed. The Contractor shall
immediately report to NCTD any vegetation on roadways or beyond the Right-of-Way that obstructs
the view of the Warning System.
h. The Contractor shall immediately report to NCTD all gate and grade crossing malfunctions that result
in an Activation Failure. The Contractor shall submit a report within twenty-four (24) hours to the
Dispatch Contractor and NCTD that provides the failure cause and all planned corrective actions. The
Contractor shall be responsible for providing reporting information to NCTD Dispatch Center. NCTD
will submit reports to the FRA regarding the Activation Failure as described in FRA CFR Part 234
regulations. The Contractor shall document these elements as part of its Highway-Rail Grade
Crossing Failure Response Procedures.
i.
The Contractor shall maintain crossing approach distances of sufficient length to accommodate the
maximum authorized track speeds and adjust them as necessary in the event that changing track
conditions warrant track speed changes.
j.
The Contractor shall maintain all signs listing the DOT crossing number, milepost designation, and
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emergency contact phone number, including all Emergency Notification Signs (ENS) signs and
stenciling on wayside equipment.
k.
As new highway-crossing technology is installed by the Contractor or other Contractor, The
Contractor shall accept and maintain these Warning Systems. Technology included in The
Contractor’s responsibility shall include maintenance of the following components of Warning
Systems:
1. Warning gate systems
2. Quiet zone systems (if installed)
3. Vehicle detection systems, if installed.
4. Traffic light preemption systems coordinated with the highway crossings
5. Visual monitoring systems
6. Wayside horns
7. Remote Terminal Units (such as SCADANet) if installed
8. Other technologies associated with Warning Systems
9. Fiber communication equipment
l.
The Contractor shall immediately respond, and arrive at the location no later than one (1) hour after
NCTD notification to any grade crossing failures.
m. At Service Date, the Contractor will be responsible for all underground and aerial cable. This includes
aerial and underground AC meter services with responsibility up to and including the weather head.
NCTD will make available all cable test results on file for the Contractor review.
7.6.2.3
Hazard Detector Maintenance
Hazard detector systems need to be maintained according to FRA, NCTD (included in Signal Maintenance
Manual), and manufacturer maintenance instructions.
7.6.2.4
Sprinter Platform Gangways
a. Because of the width difference between Sprinter and freight trains, the Sprinter stations (with the
exception of the San Marcos Loop, Oceanside Transit Center and one platform at Escondido Transit
Center) shall incorporate gangways at each passenger platform that will be lowered before the first
Sprinter train in the morning and raised after the last Sprinter train at night. The lowering and raising
will be performed through a communication system activated by the dispatch office. However, should
a communication failure occur, the Contractor shall be responsible for manually raising and lowering
the gangways as required for Sprinter and freight operations. The Contractor shall maintain and
replace all necessary parts for each gangway’s mechanical and electrical systems, ensure that the
system meets clearance requirements for both Sprinter and freight operations, and that gangways
when lowered, meet ADA accessibility requirements.
b. Each Sprinter train will have level boarding at all platforms on the Escondido Subdivision with some
of the stations on super-elevated curves. The Contractor shall maintain the necessary line and surface
for all approach tracks and those adjacent to each platform for ADA/accessibility compliance.
7.6.2.5
Signals and Interlockings
a. The Contractor shall be responsible for procuring the existing inventory and shall provide and maintain
an adequate inventory of spare parts and consumables to assure proper and timely maintenance and
operation of NCTD’s signal, communication, and PTC system as part of the Base Services contract.
At the end of this contract NCTD reserves the right to buy all or part of this inventory back from the
Contractor. The Contractor shall store and maintain all capital improvement project spares as per
NCTD’s Capital Improvement Project Spares SOP, Appendix E. The capital improvement spares
cannot be used for normal maintenance, unless approved by NCTD.
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b. All Signals shall be maintained by the Contractor to provide the optimal sight distance at all times. This
shall include adequate vegetation removal as required.
c.
Under no circumstances shall any railroad material be stored in or around Signal cases or Signal masts
by the Contractor or other The Contractor. The Contractor shall remove any materials other than Signal
materials stored around Signal cases or masts.
d. Track wires and connectors shall be installed by The Contractor in accordance with generally accepted
rail industry practice as outlined in the AREMA Signal Manual.
e. The Contractor shall be responsible for verifying Signal number plates are properly displayed so that
Signal identification cannot be mistaken. Signal interlocking bungalows shall have the interlocking
identification name and milepost displayed on both sides of the bungalow at central instrument
locations, and at all entrances to the Interlocking.
f.
The Contractor shall support existing Signal systems.
g. The Contractor shall replace Switch Machines as required to maintain the Signal system. The
Contractor shall track failures associated with both the new and old Switch Machines and assist the
NCTD in prioritizing the replacement of switch machines that reflect the greatest failure rate.
h. The Contractor shall immediately respond, and arrive at the location no later than one (1) hour after
NCTD notification to any Signal and Switch Machine failures.
i.
Within twenty-four (24) hour notice from NCTD, the Contractor shall provide, maintain, operate, and
secure back-up generators and fuel at each at each radio base station, Signal, and interlocking
locations on the Right-of-Way during a power loss, except during Catastrophic Events. Within twentyfour (24) hours’ notice from NCTD that Rail Service will be resuming on the NCTD Right-of-Way,
following any Catastrophic Event, The Contractor shall provide, maintain, operate, and secure back-up
generators and fuel to operate any radio base station, Signal and interlocking in which electrical power
is not available.
j.
Upon NTP, the Contractor will be responsible for all underground and aerial cable. This includes aerial
and underground AC meter services with responsibility up to and including the weather head. NCTD
will make available all cable test results on file for The Contractor review. NCTD will provide 10 Fluke
and 10 TS-113 meters.
7.6.2.6
Signal & Highway Grade Crossing Warning System
Modifications or Changes
All modifications and/or changes to the existing signal or highway grade crossing warning system shall
conform to CFR Title 49, Parts 234, 235, and 236. Changes to the system, requiring approval of an
application by the FRA, as specified in CFR Title 49, Part 235, shall not be made without prior approval of
NCTD. Modifications and changes that do not require prior FRA approval shall only be made under the
following conditions:
NON-EMERGENCY

Proposed modifications or changes to any operating system shall be submitted to NCTD for approval.
The Contractor shall provide NCTD with a written description of the proposed change. The description
shall include the reason and benefits of the proposed change. In addition, drawings, calculations,
and other pertinent information, that support the proposal, should be included.

Upon completion of NCTD’s review of the proposal, The Contractor will receive direction from NCTD
to either perform the proposed change as submitted, to modify the proposed change, or to reject the
proposal.

At any time, NCTD may direct the Contractor to modify or change the existing system. The
Contractor’s costs associated with changes directed by NCTD shall be reimbursed as Extra Work
under the contract, as applicable.

“As-Builts” - When a modification or change to the existing or a newly constructed system has been
performed as required above, the Contractor shall red-line the “record drawings” showing all
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modifications or changes, sign and date said drawings, and submit them together with all supporting
documentation to NCTD for review within seven (7) days of completed work. After review, NCTD may
accept or reject the red-lined record drawings. Should NCTD reject the record drawings, the
Contractor shall correct said drawings at no expense to NCTD.
EMERGENCY

If the Contractor determines that a modification or change to the existing system is required to ensure
the safety of the public, the Contractor, or NCTD employees, the Contractor may make such
modification using good judgment in keeping with the standard of care, and in accordance with
federal, state, and local regulations. The Contractor shall notify NCTD of changes associated with
emergencies as soon as practical but in no instance more than 48 hours after making the change.
The Contractor shall provide a written description of the change, including drawings, calculations and
other pertinent data. The written notice shall include the reason and justification for the change.

Upon completion of NCTD’s review of the modification or change, the Contractor will receive direction
from NCTD in writing. NCTD may accept the changes, request further modifications, or reject the
modification. Should NCTD reject the Contractor’s modification or change that was performed during
the emergency, the Contractor shall return the system to its original configuration, prior to the
Contractor’s change, at no additional cost to NCTD.

“As-Builts.” - When a modification or change to the existing or a newly constructed system has been
performed as required above, the Contractor shall red-line the “record drawings” showing all
modifications or changes, sign and date said drawings, and submit them together with all supporting
documentation to NCTD for review within seven (7) days of completed work. After review, NCTD may
accept or reject the red-lined record drawings. Should NCTD reject the record drawings, the
Contractor shall correct said drawings at no expense to NCTD.
7.6.3
Maintenance of Dispatch Systems
a. The Signal System is controlled by a TMDS dispatch system at the Dispatch Center via a data radio,
fiber optic, and cellular transmission based dispatch system. The Contractor shall maintain and support
the office dispatch system and all communication modes. The TMDS system is currently maintained by
Wabtec thru an agreement with HTI. The Contractor selected as part of this RFP will be responsible for
maintaining the system or arranging for maintenance thru Wabtec.
b. The Contractor will manage software for the dispatch system in accordance with the Software
Management Control Plan. The Contractor is responsible for maintaining 99.99% up time for all
dispatch and support systems.
c.
The Contractor is responsible for all database changes to the TMDS dispatch system. The Contractor
is responsible for regular backups prior to making changes to systems connected to the database and
for verifying the integrity of the backups. All dispatcher GUIs shall be updated, as physical changes to
the track layouts occur on the field, prior to track reopening for service after such changes occur. All
backups shall be stored locally and off-site, and made accessible to NCTD upon request.
d. The Contractor is responsible for all OEM upgrades, patches, and security updates after testing and
verification of the update. Such upgrades shall be performed in accordance with standard network
security procedures. The Contractor may provide their own remote access to the dispatch environment.
The Contractor shall provide software release notes and list of regression testing, if it was performed.
e. Under NCTD’s existing dispatch services contract with HTSI, HTSI provided the existing dispatch
equipment in use in the existing dispatch center in Escondido at the Sprinter Operations Facility. The
Contractor selected by this solicitation will be responsible for a hardware refresh of the TMDS and Avtec
equipment in this facility during FY17 and FY22 of the contract. Proposer should provide a price for this
hardware refresh as a separate line item in the price sheets. Price for the refresh should be spread
across the five years following each refresh to ensure a consistent price coupled with CPI increase.
f.
The equipment in the new dispatch center at 810 Mission Ave, Oceanside CA will be provided by NCTD.
The Contractor selected by this solicitation will be responsible for a hardware refresh of the TMDS and
Avtec equipment in the 810 Mission Ave dispatch center in FY21 or 5 years after the 810 Mission Ave
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dispatch center comes on line, whichever is later. If the hardware refresh occurs in FY21, the Contractor
will also be responsible for a hardware refresh in FY26. Proposer should provide a price for this
hardware refresh as a separate line item in the price sheets (separate from the hardware refresh in the
Escondido dispatch center). Price for the refresh should be spread across the five years preceding
each refresh to ensure a consistent price coupled with CPI increase.
g. These hardware refreshes will provide all new equipment for all TMDS workstations, TMDS servers,
Avtec Radio workstations, and Avtec Radio servers. The Contractor will also be responsible for
providing new equipment necessary for upgrades/maintenance of these systems in both of the dispatch
centers. These refreshes are covered under the base statement of work, even if the current dispatch
contract with HTSI remains in place.
h. The hardware specifications for the current dispatch system (TMDS and Avtec) is provided below.
Item
1
2
Category
RACK
R710 SERVERS
RACK
VLA SQL SERVER STD 2008 R2 (A3748552)
3
VLA SQL USER CAL 2008 R2 (A3748108)
12
RACK
PDU, 20A, 120V, (24)5-20r, VERTICAL, WITH L5-20P 3M ATTACHED INPUT
CORD, CUSKIT (331-0034)
2
RACK
DELL 4220 42U RACK WITH DOOR AND SIDE PANELS, GROUND SHIP (2244934) 1U KMM CONSOLE WITH TOUCHPAD KEYBOARD AND 17 LCD, RAPID
RAILS (310-9961)
3
4
5
Description
Quantity
2
6
POWERCONNECT 6248, 48 GBE PORTMANAGED SWITCH, 10GBE AND
STACKING CAPABLE (222-6714)
2
7
8 PORT KEYBOARD/VIDEO/MOUSE ANALOG SWITCH 180AS(221-8096)
1
8
RACK
DELL EQUALLOGIC PS4000E, COST EFFICIENT, HIGH CAPACITY, 7.2KSATA
DRIVES (224-6084)
1
9
WRKSTN
DELL PRECISION T5500 WORKSTATION (224-4858)
5
10
WRKSTN
DELL U2410 24 INCH VIS ULTRASHARP WIDESCREEN, FLAT PANEL, OPTI,
FPWS, CUSTOMER INSTALL (320-8277)
20
11
WRKSTN
DELL MULTIFUNCTION COLOR LASER PRINTER 3115CN (222-6548)
2
12
WRKSTN
MOBILE PRECISION, M6500 CARBIDE SILVER (224-7095)
1
13
WRKSTN
600 VA STANDBY UPS COMPACT LOW PROFILE 8 OUT 5-15R W/ USB PORT
(A2013735)
5
Model
Number
Description
Item
1
CONSCOUT
2
ACC-HND6W
ACCNETFSW-SING
3
Quantity
Console (operator) position hardware/software
Scout Console package. Includes media workstation, single jackbox, dual
speakers, console and PM software, and serial cable. PC, Monitor and other
accessories not included
6
Handset, black, 10' cord, 6W PTT
1
Single PTT footswitch, Scout or DSPatchNET VoIP Console Media Workstation
4
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4
ACCNETMIC-DESK
Desk microphone for DSPatchNET/Scount consoles
6
5
ACC-TSC22WS-PC
22' LCD touch screen for PC console - 16x9 format
6
6
ACCNETJKB-SING
Headset/handset jack box (single jack), Scout or DSPatchNET VoIP Console Media
Workstation
5
7
ACC-CPUWIN7
PC minitower for PC Console Position, MS Windows 7 OS
6
RoIP Network and Endpoint Equipment
8
GW-8FXOSIP
Session Initiation Protocol (SIP) Telephony Gateway, supports eight each FXO
circuits
3
9
ACCNETWK48P
OUTPOST2R
OUTPOSTCBL-R
48-Port Managed Ethernet Switch
2
Radio Controller, VoIP, 2 Ports, 12V DC Input
16
Outpost Radio Cable, Custom, Minimum order of 10
16
10
11
RoIP Network and Endpoint Equipment
12
SFW-VPGL1V1
Redundant VPGate Software License for a maximum of 40 endpoints, up to 20 may
be "B" Licenses, Version 1.x. Includes CPS software license
Warranty and Support
First year
Warranty
Hardware/Software Warranty and Technical Support
13
On-going Technical Support Program (TSP)
14
7.6.4
Technical Support/Software Upgrades for Years 2 & 3
Maintenance of Communications and Systems
a. NCTD shall supply all rail related radios (voice and data) for the performance of the Agreement
Services. The Contractor shall provide programming information to enable radios to operate on the
assigned NCTD frequencies. The Contractor shall maintain, test, and certify that all system radios
operate on the NCTD assigned frequencies and are in compliance with all applicable FCC regulations.
b. The Contractor will be responsible for programming all radios. The Contractor will be responsible for
installing all radios (including but not limited to radios in NCTD owned vehicles, wayside radios, base
stations, rail-borne equipment, etc.).
c.
The Contractor will be responsible to maintain and repair wayside communication systems, including
PTC Communications Equipment including the back office server, the radio transceiver locations and
antenna, Control Point radio Equipment and antenna, Control Point cellular backup, grade crossing
communication devices, etc.
d. The Contractor will be responsible to maintain and repair the NCTD Wireless Mesh Network, including
all wayside nodes (47 nodes in total and 13 nodes with cameras attached), solar panels (total of 82
solar panels), battery units, antennas, mesh pole cameras and on-board devices that are part of the
system (Section 6.5.11). This includes possible Mesh expansion onto the Escondido Subdivision and
along the San Diego Subdivision. Expansion of the San Diego subdivision Mesh Network is in the
preliminary engineering phase, with construction estimated to begin 2018. The Escondido subdivision
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Mesh Network is not funded, nor designed yet. Preventative maintenance and antenna alignment
should be performed for all nodes on a regular basis to ensure good state of repair.
e. The Contractor will monitor, maintain, repair, and troubleshoot all NCTD owned fiber optic networks
and supporting equipment. The Contractor is responsible for fixing any issues related to fiber optic
networks within four (4) hours upon discovery of the problem, unless approved by NCTD otherwise.
The Contractor is responsible for maintaining 99.99% up time for all NCTD owned fiber optic networks
and supporting equipment. The Contractor shall be responsible for responding to Communication
Equipment failures, troubleshooting and repairing malfunctioning systems and shall document
Communication Equipment maintenance, testing and failure information in the IndustrySafe.
f.
The Contractor shall be responsible for troubleshooting and repair of any NCTD fiber optic cabling
located in NCTD right of way, up to and including any breakouts, terminations, patch panels and
connectors located in COASTER Communication Bunkers and SPRINTER Communication Interface
Cabinets (CIC). The fiber optic cable along the SPRINTER line is 48 strand fiber from OTC CIC to ETC
CIC. The fiber optic cable breaks out at each CIC on the SPRINTER line and at SOF. Fiber is either
fusion spliced or terminated at each CIC. The fiber optic cable along the COASTER line is 72 strand
fiber from Stuart Mesa to Santa Fe depot. Fiber breaks out at each communication bunker on the
COASTER line. Fiber either passes through or terminates at each bunker. All strands are terminated
at OTC, Old Town, and Santa Fe locations. COASTER – 24 strand fiber from Orange County line to
Broadway south of Santa Fe Depot. Fiber stops at every wayside signal location, as well as at OTC
Comm bunker, Old Town Comm bunker, and Santa Fe Comm Bunker.
g. The Contractor shall be responsible for identifying the location of and maintaining access to handholes/man-holes.
h. The Contractor shall monitor, maintain, repair, and troubleshoot NCTD owned fiber optic network and
supporting equipment that is part of the SPRINTER OTN Communications System. This includes all
individual systems inside of the SPRINTER CIC and Gangway Control Cabinets (GCC), including
HVAC, digital video recorders, PA systems, battery backup systems and the physical enclosures
themselves. Maintenance of workstations, servers, network hardware and software connected to the
OTN network located at the SPRINTER Operations Facility will be the responsibility of the Contractor.
The Contractor is responsible for fixing any issues related to OTN System within four (4) hours upon
discovery of the problem, unless approved by NCTD otherwise. The Contractor is responsible for
maintaining 99.99% up time for NCTD owned OTN System.
i. The Contractor shall be responsible for the maintenance and repair of COASTER Communication
Bunker components including, HVAC systems radio equipment, and battery backup systems/UPS.
j. The Contractor shall be responsible for the maintenance and repair of all rail platform and station
electronic devices, excluding ticket validation and vending machines.
k. The Contractor shall be responsible for maintenance and cleaning of all NCTD owned platform and
parking lot cameras, platform and parking lot call boxes, electronic/variable message signs, PA speaker
systems, including all cabling between CIC or Communications Bunkers and Cameras, Signs, PA
speaker systems, and Call boxes.
l. The Contractor shall be responsible for the maintenance and repair of the SPRINTER Civic Center
Vista Platform Rear Door Camera and Display. This is a single monitor and fixed camera used by
SPRINTER engineers to verify closing of the rear doors Civic Center Vista platform.
7.6.5
Signal and Communication Locks
The Contractor will replace all existing signal and communication locks with NCTD approved lock (Abloy
Protec2 PL 330 Padlock) or its equivalent and needs to be engraved “NCTD Signal”. All locks will become
the property of the NCTD at the conclusion of this agreement. The Contractor will maintain a key plan and
provide the plan to NCTD. If a key becomes lost or missing, the Contractor will be responsible for replacing
all locks using that key. The Contractor will provide to NCTD the keys to all locks, as directed by NCTD.
For the purpose of pricing, the Contractor should assume about 1700 signal and communication locks.
7.6.6
Capital Signal Services Annual Plan
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a. The Contractor shall provide an annual Capital Signal Services Plan to support capital work that will be
performed within the timeframe of NCTD’s fiscal year, which spans from July 1 through June 30. The
Contractor shall submit the Capital Signal Services Plan by October 1st on an annual basis for NCTD’s
review and incorporation into NCTD’s upcoming fiscal year budget that begins on July 1. The
Contractor, based on its final approved budget for capital signal work that results from the procurement
process, will provide documentation to support the full expenditure of the budget as part of the annual
update to the Capital Signal Services Plan. The initial and subsequent updates to the Capital Signal
Services Plan shall be approved by NCTD after every update. If the Contractor does not fully expend
the approved budget and or fails to provide sufficient justification of expenses, the amounts not
expended shall be carried forward to the following year’s Capital Signal Services Plan to support
additional project activities beyond the projected extent of capital work and or the amounts not
expended being credited to NCTD, at NCTD’s discretion.
b. The Signal Services Plan shall identify all work, including the inspection and maintenance activities to
be undertaken by The Contractor, Signal Maintenance Standards, and frequencies of tasks, staffing
plan, and specific schedules for accomplishing such work, and proposed work windows or Rail Services
diversions.
7.7 Third Party Projects
7.7.1
Inspection and Compliance of Third Party Work
The Contractor shall ensure the safety compliance of all work done on the Right-of-Way and Right-of-Way
Assets by Third Parties and other the Contractors.
7.7.2
Inspection, Minor Repairs and Testing of Third Parties
and Other Contractor’s Work
a. The Contractor shall inspect, make minor repairs and correct deficiencies, and test other the
Contractors' work performed by other the Contractors or third parties as a part of NCTD's construction
projects and third party projects. The purpose of inspection, repair and testing shall be to ensure that
the work of such other the Contractors or third parties satisfies all of the requirements for the safe
operation of trains, including, but not limited to, all applicable FRA and NCTD requirements, MOW, and
MOS Standards.
b. The Contractor shall notify NCTD and the other the Contractors or Third Parties, as applicable, of noncompliant or unsuitable work determined by such testing and/or inspections. The Contractor shall
continue to test and/or inspect until such time as the Other Contractor’s or Third Party’s work is deemed
acceptable.
c.
All The Contractor employees performing such testing, repair and inspection services shall complete
daily reports, in a format approved by NCTD. Each daily report shall be submitted at the end of each
workday to the NCTD.
d. The Contractor shall inspect, test and certify other the Contractors' and Third Party Equipment used as
a part of NCTD's construction and Third Party projects. The purpose shall be to determine whether the
Equipment is in a satisfactory condition to operate safely on the NCTD Right-of-Way, including, but not
limited to, compliance with all FRA requirements. The Contractor shall notify NCTD and the other the
Contractors or third parties, if applicable, of non-compliant or unsuitable Equipment determined by such
inspection. All equipment inspections shall be documented and submitted in a format approved by
NCTD.
7.7.3
Support of Communication Equipment and Signal
Construction
The Contractor shall support any Communication Equipment and Signal construction work performed by
other the Contractors or Third Parties as a part of NCTD's construction projects and third party projects.
The Contractor's support shall include, but not be limited to, providing access to all Communication
Equipment and Signals and identifying, assisting with, and performing the testing of such Communication
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Equipment and Signals. The Contractor shall provide signal support services for work performed by third
parties including SANDAG and shall be compensated by third parties for signal support services, based on
the Signal Support Services Hourly Rate submitted by the Contractor as part of this procurement and
approved by NCTD’s Board of Directors for inclusion in NCTD’s Cost Recovery Fee Schedule. Changes to
the Contractor’s rate for signal support services is subject to Board approval.
7.7.4
Locating and Marking Underground Railroad Utilities
a. Within 48 hours notification, the Contractor shall locate all underground railroad utilities that exist at or
near the area of other the Contractors' or Third Party work performed as a part of NCTD's construction
and Third Party projects. The Contractor shall perform such Services in advance of other the
Contractors' or third party work, and The Contractor shall clearly identify the location of all railroad
utilities by markings on the ground. The Contractor will help support NCTD in developing "As-Builts" for
underground railroad utilities at various locations. The Contractor also shall be required to provide minor
protection of underground Signal facilities and underground cable, devices, and enclosures, as
necessary.
b. the Contractor shall be responsible for locating fiber optic cables within other jurisdictions’ Right-ofWay. NCTD is a member of “Dig Alert” for cables outside the Railroad Right of Way, and the Contractor
will be responsible to respond to those notifications in accordance with “Dig Alert” membership
requirements.
7.8 Other MOW and Signal Services
a. For any new installation, modification or maintenance work performed on or within the Right-of-Way,
the Contractor shall provide NCTD with a complete set of updated plans and/or documents in
electronic and hard copy formats within thirty (30) days following completion of the work. The
Contractor shall provide plans as necessary to NCTD for control of encroachments.
b. The Contractor shall provide inspection and testing of Track and Signals before placing or restoring
these systems to service following an outage.
c.
The Contractor shall comply with all standard plans, material specifications, design criteria, work
practices and methods, and use only NCTD approved materials in performing the Agreement Services
and in designing modifications, improvements or additions to the Right-of-Way Assets.
d. The Contractor shall make available to NCTD sufficient The Contractor personnel that are qualified
and authorized by The Contractor to support NCTD, The Contractor, other the Contractors, and third
parties for Agreement Services and Extra Work.
e. Existing "as-built" plans shall be maintained in accordance with FRA regulations at all times. Once
plans are created in or converted to electronic CADD format, they shall be maintained without "mark
ups" in a one hundred percent (100%) correct and accurate state.
f.
All CADD work shall utilize the latest version of CADD Software approved by NCTD.
g. Electronic copies of any new or updated CADD files shall be forwarded to NCTD promptly so as to
keep NCTD’s set of plans current at all times.
h. The Contractor shall have its staff operate and maintain electronic files. Specific duties include,
without limitation, neat and orderly storage of plans, protecting plans from damage, controlling access
to other the Contractors and third parties, plan copying, safe and appropriate handling of plans, third
party billing, and cataloging of new and updated plans.
i.
The Contractor shall provide surveys, design, development of plans, layouts, sketches, pictures,
staging and phasing plans, and other engineering functions that are normally required for the
Agreement Services.
j.
The Contractor shall investigate, respond to, and attempt to resolve complaints and problems on and
along the Right-of-Way that result from the performance of the Agreement Services.
k.
The Contractor will provide their expertise and respond to NCTD’s request to review its project plans.
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7.9 PTC Maintenance
a. The Contractor shall ‘enter’ all communications regarding trouble calls, equipment failures, alarms, or
any unusual occurrence of the PTC System into the ‘NCTD Coaster Rail IT Environment’ to alert the
designated NCTD staff of service related incidents. The location/vehicle information shall be listed
in sufficient detail so as to be understandable to a person without Railroad expertise to interpret
without confusion.
b. The Contractor shall document all responses to trouble calls and calls for assistance in the
NCTD Coaster Rail IT Environment, and the Contractor shall conduct follow-up investigations to
determine the root cause for any equipment failures.
c.
The Contractor shall respond to emergencies and COASTER Rail service disruptions with sufficient
resources without regard for time, day or otherwise, to resolve all such related emergencies or
disruptions. Overtime, night, weekend and holiday work is expected and shall not be restricted for
economic reasons.
d. The Contractor shall maintain the performance level of the NCTD Coaster Rail to allow commuter
services to be provided at speeds no less than the Maximum Authorized Speeds in existence
on the Service Date, or higher as maximum authorized speeds are increased during the term of
this Agreement.
e. All corrections or repairs to the PTC System shall be made within the time limits specified by FRA Part
236 for correction.
f.
Emergency repair may be performed in the interest of safety. Oral notification of such repair will be
accepted if received by NCTD within one (1) hour of initiation of such repair. The Contractor shall
provide a written request (CR) for final modification, per the PTC Configuration Control Management
Plan (PTC CCMP) , within twenty-four (24) hours of such initiation, and shall include a detailed
explanation of the required repairs and the reason emergency repair was initiated.
g. Only Model Approved (PTCSP stated manufacturer-recommended or approved) replacement parts;
and PTCSP and delivered PTC maintenance document procedures shall be used to repair PTC
segments, equipment and subsystems. All PTC CCMP, NCTD RailDocs, and NCTD Engineering
Contractor configuration control procedures/policies shall be followed in the performance of the PTC
System maintenance.
h. The Contractor shall provide inspection and testing of PTC Systems before placing or restoring
these systems to service following an outage. The Contractor shall further ensure the safety
compliance of all work done on the Coaster Rail Service PTC System resulting from a third party
(SANDAG, Verizon, and ATT) work.
i.
The Contractor shall also ensure that the PTC System is safe to go back into service after corrections
or repairs to the PTC System have been verified, validated, audited and inspected.
j.
NCTD will provide limited storage facilities and the Contractor shall ensure that NCTD support
facilities and PTC System maintenance materials inventory are stored only in areas approved by
NCTD, and under security appropriate for the nature of the materials.
k.
The Contractor shall keep the PTC System material storage facilities neat and in an orderly fashion at
all times. All surplus PTC System materials or quantities above the minimum needed for routine
maintenance shall be stored at the material storage facilities unless otherwise approved by NCTD.
l.
The Contractor shall provide all resources and maintain PTC System Maintenance inventory and
parts required for the maintenance of the PTC System on the Coaster Rail Service in a timely fashion.
The Contractor shall record and monitor the Contractor procured inventory in the ‘NCTD Coaster Rail
IT Environment’.
m. The Contractor shall adhere to the following in the performance of PTC inspection, maintenance,
repair, replacement, and construction work pursuant to this Agreement.
n. All applicable laws and regulations, including those specific to the PTC and railroad industry.
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o. Standards specific to NCTD’s Coaster Rail system.
p. The Contractor shall not modify NCTD PTC and communication maintenance and construction
standards unless authorized in writing by NCTD.
q. The NCTD PTC System shall be verified, validated, audited and inspected by the Contractor to
assure that they are all in Good Working Condition. This shall be accomplished by periodic
validations, audits and inspection of the PTC System as required by this Agreement and FRA
requirements in its current form and as periodically amended and updated during the Term of this
Agreement.
r.
PTC System verification, validation, audit and inspection dates and results shall be recorded in
the ‘NCTD Coaster Rail IT Environment’ and summarized in the monthly Report on NCTD PTC System
Maintenance Compliance. The Contractor shall provide the monthly Report, in electronic format, to
NCTD.
s.
The Contractor shall maintain the NCTD-owned fiber optic systems used for PTC System
communications and CTC communications. This shall include all telecommunications interfaces, code
lines, radio lines and data lines that interface with the Train Control systems.
t.
Redundant communication links (fiber: 24 Train Control fibers, microwave, Wi-Fi, 220 MHz radio,
MPLS, cellular) shall be maintained in an operable condition at all times when available, and periodic
testing/usage by the Contractor shall be performed to ensure their integrity and that they are in
Good Working Condition.
The Contractor shall ensure survivability and continuity of PTC
communications network services in the case of any catastrophic event or incident and ensure
communications between NCTD GAO Control Center, SOF and the Coaster PTC System, and as
further required by NCTD’s IT Security policies.
u. The Contractor shall be responsible for the implementation of all communication links (fiber,
microwave, Wi-Fi, 220 MHz radio, MPLS, cellular) testing and maintenance activities, including but
not limited to scheduling, utility coordination, outage duration, and notification. The Contractor shall
notify NCTD at least 35 days prior to planned outages that affect the operation of trains and shall notify
NCTD immediately in the case of unplanned outages.
v.
The Contractor shall record all communication links (fiber, microwave, Wi-Fi, 220 MHz radio, MPLS,
cellular) testing and maintenance activities and results in the ‘NCTD Coaster Rail IT Environment’. The
Contractor shall provide a monthly Report, in electronic format, to NCTD containing a comprehensive
summary of all communication links maintenance and testing activities and results for the previous
month, as well as anticipated activities for the coming month.
w. The Contractor shall maintain all PTC Systems in non-revenue vehicles and work equipment in
good working condition in accordance with the standards for revenue vehicles. The Contractor shall
perform annual non-revenue vehicle and work equipment inspections. The inspections shall be
performed with an NCTD representative. The results of the inspection shall be entered into the ‘NCTD
Coaster Rail IT Environment’.
x.
The Manager, Positive Train Control position shall oversee the PTC System maintenance activities for
all PTC vehicles (including hybrid-rail) and at all NCTD Train Control facilities. The Manager, Positive
Train Control position shall investigate and be responsible for producing Reports on all trouble calls,
equipment failures, alarms, and any unusual occurrence of the PTC System.
y.
All The Contractor Personnel who perform installation, maintenance, repair, modification, inspection,
and testing of the PTC System shall be properly certified according to FRA regulations. Such personnel
certification documents shall be stored at NCTD and shall be provided on demand to NCTD and the
FRA. The Contractor shall maintain all PTC System maintenance personnel certifications in the NCTD
electronic database system utilized for tracking certifications. The PTC Maintenance Contractor shall
utilize the database system certification Report that supports timely recertification notifications and
schedule recertification courses for the Contractor Personnel, NCTD Personnel and NCTD designated
personnel. A copy of said Report shall be submitted to NCTD for its records.
z.
As part of the Maintenance Services, the Contractor shall provide qualified flagging and qualified hybridrail operators for all The Contractor work on and near the Right-of-Way as required by NCTD.
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aa. As part of the Maintenance Services, the Contractor shall implement the NCTD PTC Training Program
Plan and provide the NCTD approved comprehensive PTC training programs for all The Contractor
Personnel, NCTD Personnel and NCTD designated personnel involved in providing Coaster Rail
Service, including, without limitation, any training required by the FRA.
bb. The Contractor shall develop and implement calibration standards, processes, procedures and
documentation for all tools and equipment that are used to measure and verify PTC System
characteristics and processes. This calibration document shall be submitted to NCTD.
cc. The Contractor shall implement the NCTD PTC CCMP that governs the configuration of all NCTD Train
Control Systems. It shall encompass all processes, documents, and equipment used to provide the
Maintenance Services.
dd. The Contractor shall implement the NCTD PTC CCMP. The Contractor shall perform annual audits that
encompass all areas of the PTC CCMP. Copies of all audit reports shall be transmitted to NCTD within
thirty (30) days of conclusion of the audit.
ee. NCTD reserves the right to conduct its own Quality, Configuration, and Safety audits of the Contractor
or the Subthe Contractors and suppliers at any time. The Contractor shall fully cooperate and assist in
such audits, as requested by NCTD.
ff. The Contractor shall attend a monthly Change Control Board (CCB) that will have oversight authority
and provisional approval authority over all Train Control system level changes, material changes, and
new system procurement efforts, as per NCTD’s PTC CCMP and policies. The Contractor shall be
responsible to fill the following positions on the CCB: Secretary, Test Director, Architect, Chair, and
Quality Control.
gg. On an annual basis, the Contractor shall conduct a full inventory and audit of all software, hardware,
Office - Vehicle and Net CAD drawings and other equipment listed in the ‘eCIL’ comprising the NCTD
PTC System. The Contractor shall compile the Annual PTC inventory in an itemized list, with fields
designated by NCTD. The Contractor shall promptly update the inventory listing with incremental
changes in the Annual PTC Inventory. The Contractor shall update the PTC Product Vendor List
(PTCPVL) at the same time as the Annual PTC Inventory. Copies of all audit reports and the updated
PTCPVL shall be transmitted to NCTD within thirty (30) days of conclusion of the audit.
hh. The Contractor shall schedule and attend monthly meetings with NCTD and be prepared to provide
and discuss a summary of PTC System maintenance and testing activities and results for the
previous month, as well as anticipated activities for the coming month. The Contractor shall
publish and distribute a schedule for these meetings, prepare and distribute to all stakeholders a
meeting agenda prior to each meeting, as well as prepare and distribute to all stakeholders meeting
minutes within one (1) week after each meeting.
ii.
The Contractor shall provide information to NCTD regarding railroad operations involving specific
PTC System segments and subsystems upon request, including but not limited to, present and
projected radio traffic; present and projected communication link/ne traffic; present and projected
office processor performance; present and projected reliability, availability and maintainability
characteristics/; and other conditions which may affect the planning for, and prioritization of PTC
System/ Coaster Rail Service improvements.
jj.
A monthly Train Delay Report shall be forwarded to NCTD no later than the date of the submission by
the Contractor of its monthly invoice to NCTD. The Report shall include a breakdown of preventable
and non-preventable PTC System failures. Adjustments to the Report shall be made only after review
and with concurrence of both the PTC Maintenance Contractor and NCTD.
kk. The Contractor shall provide other engineering services as may be required for the performance of the
Agreement services. These engineering services may include surveys, design, development of
plans, layouts, sketches, pictures, reviewing staging and phasing plans, and other engineering
functions that are normally required in the operation, maintenance and construction support of a
PTC railroad. Unless otherwise stated, these services are to be included in the Base Services.
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COMBINED RAIL OPERATIONS AND MAINTENANCE
The Contractor shall be responsible for coordination with neighboring railroads and other abutters of
NCTD with regard to any failures of NCTD PTC devices or other electronic/configuration matters
that result in inhibiting the safety of the Coaster Rail service.
mm. The Contractor shall be responsible for coordination with partnering NCTD the Contractors with regard
to any maintenance of NCTD PTC devices or other electronic/configuration matters that result in
inhibiting the safety of the Coaster Rail service.
nn. The Contractor shall provide the necessary support and documentation for any regulatory
proceedings to comply with FRA regulations regarding PTC failures and unsafe conditions caused by
the PTC System. This will include all the I-ETMS Hazard Log and notification of all I-ETMS system
users of hazards discovered on NCTD’s PTC system as required by the FRA.
oo. The Contractor shall establish and update as necessary appropriate drug and alcohol testing programs
for all The Contractor personnel in full compliance with the stringent interpretation of applicable Federal
regulations governing control of drug use and alcohol abuse in railroad and/or transit operations.
pp. The Contractor shall make available to NCTD sufficient personnel that are qualified and authorized
by the Contractor to support NCTD and/or other the Contractors for Extra Work.
qq. The Contractor shall be prepared to support construction on the railroad. All of the work performed by
the Contractor as the result of construction support shall be performed as Extra Work.
rr. The Contractor, when requested by NCTD, shall furnish any Track Survey services as may be
necessary for the proper ‘subdiv file’ operations of the Coaster PTC System. The ‘subdiv file’ shall be
prepared, and brought before NCTD CCB, for potential changes to existing NCTD track, signal,
timetable, and operating rules as may be required. All of the work performed by the Contractor as the
result of Track Survey services shall be performed as Extra work.
ss. The Contractor shall provide engineering reviews of plans and specifications submitted by or on behalf
of third parties and shall arrange for reimbursement of expenses incurred in its services from such third
parties.
7.10 Material Storage Areas
The Contractor shall establish a material storage area(s) using existing Stuart Mesa and SOF maintenance
facilities. The Contractor shall not increase, decrease or otherwise modify the current level of utility of any
existing location(s) without prior, written approval from NCTD. Should NCTD build or acquire a new material
storage facility in the future, The Contractor will utilize both existing and/or new NCTD material storage
facility at its own expense or relocate from old to new at its own expense.
7.11 Working in or Near Environmentally-Sensitive Areas or
Habitats
a. Many of NCTD’s right-of-way structures traverse environmentally-sensitive areas. It is the policy of
North County Transit District to plan and carry out railroad maintenance activities in a manner that
provides appropriate safeguards for the environment, in accordance with applicable Federal and State
regulations. This policy is contained in NCTD’s Planning and Management Procedures for Railroad
Maintenance Activities within or Near Sensitive Environmental Resources Areas.
b. The Contractor will be required to comply with the project planning and implementation requirements
for maintenance projects as specified in the above Policy, including submission of Site Specific Work
Plans (SSWP), project management and oversight, and application of Best Management Practices.
Once the Site-Specific Work Plan has been approved by NCTD, The Contractor shall be responsible
to follow it. No deviation from the SSWP shall occur without the prior approval of NCTD and, if
necessary, biological monitors or resource agencies. The Contractor will be held liable for any
unauthorized failure to follow the SSWP that results in penalties or fines, service delays, or related
damages incurred to the NCTD for work performed, including the payment/reimbursement of such
penalties or fines.
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7.12 Flagging
a. The Contractor shall provide NCTD-approved flagging services within ten (10) business days of such
approval, except during emergencies, see Appendix Y. During emergencies, The Contractor shall
provide flagging services within one (1) hour of NCTD notification.
b. The Contractor shall provide flagging services for work performed by third parties including SANDAG
and shall be compensated by third parties for flagging services, based on the Flagging Hourly Rate
submitted by The Contractor as part of this procurement and approved by NCTD’s Board of Directors
for inclusion in NCTD’s Cost Recovery Fee Schedule. Changes to the Contractor’s rate for flagging is
subject to Board approval. In the provision of Flagging Services, the Contractor shall designate an
Employee-in-Charge (EIC) whose sole responsibility will be monitoring and shall not be redirected to
perform other ancillary duties such as inspections.
c.
The Contractor shall be solely responsible for obtaining reimbursement for the provision of flagging
services. All flagging provided by The Contractor shall be authorized by NCTD’s Right-of-Way
Coordinator.
d. The Contractor shall provide flagging at no additional cost to NCTD for activities related to the
Contractor oversight and project development.
e.
No Flagman, Lookout, or EIC shall perform multiple tasks/job functions while on the wayside.
f.
The EIC shall not perform any duties related to a Lookout or Flagman when there is more than one
workgroup. When there is more than one workgroup, there shall be a Lookout or Flagman with each
workgroup, with an EIC over all workgroups.
g. All job briefings will be documented and the form turned in to the Supervisor after every shift.
h. The Supervisor shall sign each job briefing form and upload them into Industry Safe after each shift.
i.
The job briefing form shall have at a minimum, the date & time, location, Form B number, limits of Form
B, any additional restrictions, the Contractors permit number, name of all the Contractors on site, and
the name of all individuals providing protection.
NCTD estimates the level of effort based on historic usage of flagging for the first five years of the
resultant Contract.
NCTD
SANDAG
Other 3rd Party
Total
FTE
FY17
2,800
62,754
5,460
71,014
39
FY18
2,800
55,642
5,733
64,175
35
FY19
2,800
33,570
6,020
42,390
23
90
FY20
2,800
26,578
6,321
35,699
20
FY21
2,800
11,592
6,637
21,029
12
Total
14,000
190,136
30,170
234,306
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COMBINED RAIL OPERATIONS AND MAINTENANCE
CONTRACT CLOSE OUT AUDIT
8.1 Contract Close-Out Audit
a. Upon termination of this Agreement (for whatever reason) and transition to a new The Contractor, the
incumbent The Contractor selected as part of this RFP process shall in collaboration and under the
direction of NCTD conduct a Close-Out audit to determine if all Revenue Vehicles, support vehicles
and equipment, the Right-of-Way, Right-of-Way Assets, bridges, culverts, ditches, signals,
communications equipment, dispatching equipment, and all other items The Contractor is responsible
for maintaining have been properly serviced and maintained, and are in good repair, in accordance with
this Agreement, and to support the return and transition of equipment, vehicles and other items to
NCTD in sound condition, normal wear and tear excluded.
b. The audit will be completed at least ninety (90) days prior to the termination date of the Contract that
results from this RFP. NCTD, the incumbent the Contractor, and the new the Contractor (if any) taking
over operations and maintenance responsibility for NCTD, shall participate in the turnover inspection
and audit process set forth in this subsection led by an independent auditor/consultant provided by
NCTD.
c. If the audit finds any Revenue Vehicles, support vehicles and equipment, the Right-of-Way, Right-ofWay Assets, bridges, culverts, ditches, signals, communications equipment, dispatching equipment, or
any other items The Contractor is responsible for maintaining have not been properly serviced and
maintained, or are in good repair in accordance with this Agreement, the Contractor selected as part of
this RFP process shall be responsible to bring those items into compliance with this agreement. If the
Contractor is unable to bring those items into compliance with this agreement, the Contractor shall be
held financially responsible for the cost of repair or, if repair is impossible, replacement, of all items not
in compliance with this agreement. The extent of repair or replacement shall be agreed upon by NCTD,
outgoing The Contractor, and incoming The Contractor.
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FACILITY AND SUPPORT EQUIPMENT
9.1 NCTD Facilities
9.1.1
Stuart Mesa Maintenance Facility
SMMF is a 15 acre facility located on Camp Pendleton and was opened in 1996. It is used to perform
routine maintenance of the COASTER fleet and store maintenance of equipment inventory for COASTER
locomotives and coaches. Offices for The Contractor personnel, vehicle records, and the Transportation
crew sign-in are also located at this facility. There are 2 pits, located in the enclosed area of the facility and
one pit in the unenclosed area of the facility, but there is no drop table or wheel truing machine at Stuart
Mesa. Wheel truing is currently outsourced and The Contractor shall arrange for wheel truing to be
accomplished off-site or by other means as part of the base services. There are 5 tracks available for the
storage of passenger trains. There is a fueling station and a train washer. There is a forklift at this facility.
This facility is also equipped with a California - approved paint booth which can accommodate both coaches
and locomotives. Southern California Regional Rail Authority (SCRRA) and Burlington Northern Santa Fe
(BNSF) also store trains at the Stuart Mesa Facility.
9.1.2
SPRINTER Operations Facility
SOF is a 6.3 acre facility located in Escondido, CA that was opened in 2007. It is used to perform routine
maintenance of the SPRINTER fleet and store maintenance of equipment inventory for SPRINTER DMU’s.
Offices for The Contractor personnel, vehicle records and the transportation crew sign-in are also located
at this facility. There are 2 pits, located in the enclosed area of the facility, but there is no drop table or
wheel truing machine at SOF. Wheel truing is currently outsourced and The Contractor shall arrange for
wheel truing to be accomplished off-site or by other means as part of the base services. There are 3 tracks
available for storage of passenger equipment. There is a fueling station and train washer. This is also the
current location of the Dispatching center, and if/when the Dispatching center is moved to Oceanside, this
will remain a backup location for train dispatching.
9.1.3
San Diego Trolley Yard
San Diego Trolley Yard is located in downtown San Diego. This is a layover facility, part of the San Diego
Trolley Yard, utilized by the NCTD to lay-over trains during the mid-day. There are 3 tracks available to
lay-over trains. There is a trailer for use by The Contractor at the San Diego Trolley Yard, but the trailer
does not comply with FRA standards for crew quarters. There is no operable ground power supply
available to The Contractor.
9.1.4
Maintenance-of-Way Facility
The Maintenance-of-Way and Signal facility is located in Oceanside near the Rancho Del Oro SPRINTER
Station. This facility is used for the storage of all Right-of-Way and Signal spares, as well as offices for the
Right-of-Way and Signal Supervisors and Managers. This facility also serves as the training classroom for
the RWP training that will be offered by The Contractor. All of the trucks and other equipment used to
provide Right-of-Way and Signal support for the contract are stored here over-night.
9.2 The Contractor Responsibilities for Facility Maintenance
a. The Contractor is not responsible for providing facility maintenance services. NCTD will be responsible
for performing facility maintenance services. The Contractor is not responsible for providing station
maintenance services. NCTD will be responsible for performing station maintenance services. The
Contractor is responsible for communicating and coordinating activities with NCTD or its station and
facility maintenance the Contractor.
b. The Contractor shall have general responsibility for opening and closing the facilities as needed and
general housekeeping to maintain these facilities at a safe and reasonably organized level. The
Contractor shall open the facilities for operations each day. Opening and closing the facilities includes
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unlocking and locking doors, turning on and off lights, HVAC, and other necessary systems, and
otherwise preparing the facilities to perform the work described in this Statement of Work.
c.
The Contractor shall be responsible for the maintenance and upkeep of the facility at the San Diego
Trolley Yard, including cleaning services, emptying and cleaning of the holding tank, and removal of
trash.
d. The Contractor is expected to provide furniture, land lines, internet access, cellular telephones, and
computers, printers, scanners and faxes at all facilities.
9.3 NCTD Responsibilities for Facility Maintenance and
Utilities
a. NCTD is responsible for maintaining interior and exterior of the facilities which includes maintenance
of all building systems and equipment, including train wash systems, fueling systems, solar panels, and
way-side power hookups, as well as custodial and landscaping services.
b. NCTD is responsible for security at the maintenance facilities. If the Contractor determines there is a
need for supplemental security at its facility, the Contractor will be responsible for providing such
security based on pricing data obtained as part of this procurement.
c.
NCTD shall furnish and pay for the utilities (electricity, water, sewer, trash) at the facilities.
9.4 Access to and Use of Maintenance Facilities
a. As of the commencement of service and throughout The Contractor’s tenure, NCTD will grant The
Contractor the right to enter and utilize the mechanical and Maintenance-of-Way facilities. NCTD shall
have access and control of access to the maintenance facilities at all times. State and federal inspectors
and law enforcement officers are permitted to enter the facilities without prior notice to NCTD.
b. The Contractor shall be responsible for NCTD pass codes, key(s) and/or identification / building access
cards loaned to The Contractor for entry and exit to NCTD’s premises while performing services under
the contract. The Contractor shall return all keys and/or access cards upon contract termination or when
requested by NCTD. Identification access cards shall not be used by any persons other than the person
to whom the card was issued. All lost, stolen or broken keys and access cards shall immediately be
reported to the Facilities Manager and NCTD Chief of Transit Enforcement. The Contractor shall be
charged for key and access card replacement(s) if keys / access cards are lost during the term of the
contract or not returned within twenty-four (24) hours of contract termination, at a rate of $10.00 per
key and $25.00 per access card. For security purposes, NCTD reserves the right to re-key any locks
as required due to The Contractor’s loss of control over keys issued to The Contractor at a rate of
$100.00 per lock.
c.
The Contractor shall promptly notify NCTD of any facility issue at any maintenance site that are
malfunctioning, broken or otherwise in need of repair or replacement. Additionally The Contractor shall
notify NCTD of any issues that could pose a hazard to the public or employees.
9.4.1
Parking
On-site parking is currently available for employees of NCTD and The Contractor. The Contractor will have
access to all parking at the facilities with the exception of parking spots reserved for NCTD.
9.4.2
Facility Use and Office Space
a. NCTD personnel shall at all times have access to NCTD maintenance of equipment and Maintenanceof-Way equipment and facilities. NCTD may provide space in its maintenance facilities to third parties,
but will consult The Contractor prior to such action to ensure that it does not conflict with The
Contractor’s ability to perform the Agreement Services.
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b. NCTD may authorize office space for its coach or locomotive refurbishment the Contractor at the
Stuart Mesa facility. NCTD will designate the office space at maintenance facilities that will be available
for use by The Contractor.
c.
NCTD may, at its sole discretion, choose to use the paint booth and its facilities for the purpose of
repairing and/or repainting non-NCTD rolling stock. This work may be contracted out to a third party. If
this work is planned, it shall not interfere with, or adversely affect, The Contractor’s performance in
meeting the requirements of this Statement of Work. NCTD is responsible for maintaining the booth,
PM, filters and repairs. However, the Contractor is responsible for securing operating and
environmental permits and tracking paint usage.
9.5 Support Equipment
9.5.1
The Contractor Responsibilities
a. The Contractor is responsible for the maintenance of Support Equipment, which includes equipment,
tools, machines, non-revenue vehicles, and other equipment and materials (including inventory)
needed to maintain the Right-of-Way and Rolling Stock.
b. The Support Equipment owned by NCTD includes, but is not limited to, the items listed in Appendix C4. The Contractor at its own expense shall make arrangements to acquire/lease any Support Equipment
not owned by NCTD required to perform the activities described in this Statement of work.
c.
The Contractor shall be responsible for:
9.5.2

Development of maintenance and inspection programs for Support Equipment in a Support
Equipment Maintenance Plan;

Proper maintenance and repair of all Support Equipment, complying with the programs
established in the Support Equipment Maintenance Plan, such that they are clean, in good
working order, fully functional, and meet all OEM levels of design performance;

Ensuring 100% availability of Support Equipment during scheduled maintenance operation
work hours;

Rental or purchase of any necessary additional equipment (including tools) not provided by the
NCTD, which The Contractor believes is necessary or appropriate to carry out its duties under
this Statement of Work;

Recommending the procurement new or replacement of Support Equipment consistent with
NCTD’s annual CIP with any request being submitted by October 1st on an annual bases.

Replacement of any Support Equipment (except automobiles and service trucks) that fails
due to normal wear and tear. It shall ultimately remain the property of NCTD.
Support Equipment Maintenance Plan
a. Per the requirements of Appendix U, which requires the development of a Support Equipment
Maintenance Plan, The Contractor shall submit to NCTD for review and comment a preliminary
support equipment maintenance plan, which describes The Contractor’s proposed plan of operating
and maintaining the NCTD’s MOE and MOW equipment.
b. This plan shall be updated on an annual basis.
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MATERIAL MANAGEMENT
a. The Contractor is responsible for the procurement of all materials, parts and services, unless
otherwise provided by NCTD as part of this procurement process. The Contractor shall develop and
maintain an Inventory Plan approved by NCTD to ensure a sufficient inventory f or the successful
operation and maintenance of NCTD assets as specified in this procurement process. The Contractor
shall acquire, store, secure, issue, account for, control and dispose of NCTD-provided materials and
other assets in accordance with applicable regulatory and NCTD policies. The Contractor shall
adhere to all applicable regulatory (including, FTA Third Party Contracting rules) and NCTD policies
and procedures when procuring materials and parts for services performed under this Contract. A list
of SPRINTER Capital Spare parts is provided in SOW Appendix C-6. The COASTER equipment
does not fall under Buy-America regulatory requirements, but a list of COASTER Capital Spare parts
in provided in SOW Appendix C-7.
b. The Contractor shall ensure that material and parts are entered into NCTD’s JDEdwards
asset/inventory system or other NCTD-approved inventory management software. When materials
and parts are entered into the system and inventory, they become NCTD property. All supplies and
materials for preventative maintenance inspections (PM) will be on hand to ensure that no scheduled
inspection is delayed due to the lack of parts or materials. All common parts for scheduled and reactive
repairs (consumed more than one or more item per six months) will be stocked to prevent any delays
of repairs or service delays. Any item that requires more than one (1) week of lead time shall be kept
on the shelf in sufficient quantity. The Contractor shall maintain an inventory of repair-and-return,
unit exchange, and other spares required to support the requirements of the Contract. When
requested by NCTD, The Contractor shall keep separate inventory records in the Material
Management system for those items that have been purchased using capital funds, “Capital
Inventory”. NCTD has the final authority on supplier selection for any material, part or service.
Before any substitution of a NCTD-approved supplier can occur, it shall be approved in writing by
NCTD. NCTD reserves the right to transfer management or procurement responsibility for some or
all of The Contractor-managed materials, parts and services to NCTD. NCTD will have the final
approval over the method, software, part numbers, forms, etc. used in maintaining inventory.
c. OEM equipment is required on all replacement parts. Unless a replacement part or component has
been certified in compliance with NCTD's SSPP. The cost of implementing a non-OEM specified part
or component is the Contractor’s sole responsibility.
10.1 Material Storage
a. All material shall be stored in an orderly manner, tagged or identified, such that it can be easily
found, inventoried and placed and is not damaged, warped, twisted or otherwise dis torted during
storage. NCTD may reject as non-compliant any inventory not stored in conformance with
manufacturer requirements and the requirements set forth in this RFP. Loss of value due to
improper handling or storage of support property or support material shall be the responsibility of
The Contractor.
10.2 Inventory
a. NCTD will provide the Contractor the existing inventory of materials and parts documented by part
number, quantity, location and current estimated inventory value. The Contractor shall be responsible
for providing, and maintaining an adequate inventory of spare parts to assure proper and timely
maintenance and operation of all Revenue Vehicles, support vehicles, MOW, MOS, and support
equipment as part of the Base Services. An annual “Fiscal Year” inventory shall be completed each
year. The inventory shall start on or after June 15th and be completed no later than June 30th each
year to ensure the content is at a level to meet the contractual obligations. The Annual Inventory
will be completed by the Contractor with oversight provided by NCTD. The Contractor shall provide
staff support for this function, as required.
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b. The Contractor will provide a consistent and accurate inventory report of the annual inventory to
NCTD for review and approval. This includes accurate exception reporting of quantity adjustments.
The Contractor shall reconcile any inconsistencies in reported data. Reconciliation may include
replenishing of quantities, adjustment to quantities or total value of the inventory, or payment to
NCTD for unaccounted shortages. The Annual report to NCTD will also outline the physical
locations of the inventories to include storerooms, warehouse locations and any "stockpile" locations
of all NCTD-provided property or assets.
c. To ensure consistent inventory control over the term of each contract year, the Contractor shall be
required to develop and maintain a security inventory plan, and will be required to complete
quarterly “cycle counts” or “mini inventories”. The quarterly inventory will be random in nature and
cover no less than 10% of the total inventory per quarter. Results of the quarterly inventory will be
provided to NCTD for review.
d. Upon reasonable notice, NCTD shall have the right to inspect all The Contractor-maintained
inventories. NCTD, at its own expense, may conduct inventories of any NCTD -furnished materials
or property.
e. All material stored in the warehouse shall be verified as to count and condition prior to recording
in the JDE or other NCTD-approved software. All material issued or received shall be recorded and
documented as to whom it was issued and which vehicle or asset it was issued to if applicable.
10.3 Disposal of Material
a. The Contractor shall dispose of any materials designated by NCTD as scrap, surplus or obsolete
with proceeds returned to NCTD. Such disposal shall only occur with the written approval of NCTD
in accordance with NCTD Board Policy 29.
b. On an annual basis NCTD may conduct a joint audit with The Contractor aimed at identifying obsolete
material. In accordance with NCTD policies and procedures, The Contractor shall dispose of any
obsolete material identified through this process, but may do so only with NCTD written approval. All
proceeds shall be returned to NCTD.
10.4 Contract Closeout Inventory
At the completion of the contract, the Contractor shall perform an annual inventory as outlined in section
(10.2) no less than 30 days but no more than 45 days prior to the contract completion. The closeout
inventory is required to ensure sufficient inventory by quantity for the next the Contractor to adequately
maintain the assets. As defined in Section 10.2 the Contractor will be required to replenish the inventory
to the established inventory quantities prior to the contract completion. NCTD may approve a payment
reconciliation for some or all unaccounted shortages.
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SAFETY AND SECURITY
The safety and security of the general public, and NCTD’s customers, staff, facilities, equipment,
brand, and the surrounding communities that NCTD serves shall be the primary concern of The
Contractor in the execution of the Agreement and performance of its duties. The Contractor will
conduct its operations with strict adherence to the NCTD SSPP, the NCTD System Security and
Emergency Preparedness Plan (SSEPP), all applicable safety, security and opera ting rules, all safety
and security provisions of the Statement of Work, and Federal, State, and local regulations. The
Contractor shall not permit its employees or subthe Contractors to perform any duty without proper
training in safety, security, and operating rules. The Contractor's Safety Management Group will audit
The Contractor's employees for compliance. Failure of The Contractor's employees to comply with
any part of these safety and security requirements shall be considered a breach of the Agreeme nt. As
such, the NCTD reserves the right to remove, insofar as NCTD service is concerned, The Contractor's
employees who perform in violation of the Agreement, and or other applicable regulatory requirement
related to the safety and security of operations.
11.1 The Contractor Safety Management
a. The Contractor shall employ a full-time Safety Management Group consisting of two or more Safety
Officers, dedicated solely to the NCTD system (“The Contractor Safety Management Group”). The
Contractor Safety Officer(s) must have previous rail safety experience in a FRA operating
environment with one person having expert experience in rail transportation/operation and the other
position having expert experience in vehicle maintenance. The Contractor Safety Management
Group has the responsibility to ensure all requirements of this Paragraph are complied with and will
report directly to The Contractor's General Manager. The Contractor will furnish NCTD as part of
this procurement process, a Safety Management Group Plan that outlines the organizational
structure of the group and duties and responsibilities of the employees therein. The Safety
Management Group plan will ensure that training responsibility is completed outside of the Safety
Management Group function and area of responsibility.
b. The Contractor's safety management duties will include, but are not limited to, auditing of rail
operations and maintenance activities for compliance with NCTD, Federal, and State requirements;
24/7 response to all accidents or safety-related incidents; reporting officer for Federal and State
reporting requirements; use of the NCTD Safety Reporting Program for the purpose of entering
safety-related information such as identified hazards, corrective actions, training rec ords,
accident/incident information, and audit reports (both internal and external); completion of an annual
internal audit to determine compliance with the NCTD SSPP; participation in the establishment and,
staffing of an NCTD Emergency Operations Center (EOC) during emergencies and accidents;
participation in the NCTD tri-annual SSPP third-party audit; coordination of required Emergency
Response Drills with local agencies and in compliance with NCTD's PTEP; EPREP, and ERP’s,
coordination of The Contractor Safety Committee and Safety Meeting requirements; participation in
the NCTD System Safety Review Committee; audit of The Contractor training requirements as
identified in the NCTD SSPP; handling of all environmental and employee health issues; and other
duties as required by Agreement or as assigned. The Contractor's General Manager and Senior
Safety Officer shall be signatories to the NCTD SSPP.
c. The Contractor Safety Management Group responsibilities shall also include comprehensive
oversight of The Contractor roadway worker safety in accordance with the NCTD On-track Safety
Protection Plan. Responsibilities include RWP training of all The Contractor maintenance
employees, other the Contractors, and subthe Contractors; review of work plans for safety
compliance; and field audits of maintenance and construction activities, during day time, night time,
and weekends when the work is performed.
d. The Contractor Safety Management Group will participate, where practicable, in all audits by outside
parties or agencies such as APTA, FRA, or CPUC. Following receipt of an audit report, The
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Contractor Safety Management Group will develop and submit a Corrective Action Plan to the NCTD
Safety Officer for approval for all deficiencies or recommendations that result f rom the audit. The
timeframe and scope for submission of the plan will be determined by NCTD Safety Officer. The
Contractor Safety Management Group will be responsible for completion of the Corrective Action
Plan.
11.2 Safety Action Plan
a. The Contractor shall provide a comprehensive Safety Action Plan to NCTD for review and approval
that describes how The Contractor will comply with the NCTD SSPP, and must include employee,
customer and operational safety, employee health and environmental safety. The Safety Action Plan
shall be finalized for NCTD approval at least 60 days prior to the Service Date of the Agreement. The
Safety Action Plan will be updated annually to be consistent with the most current version of the
NCTD SSPP and will be submitted to the NCTD Safety Officer for review and approval no later
than December 31 each year. The Safety Action Plan shall be created and published for NCTD ,
and be identified as an NCTD-specific document. Investigation reports, forms and files shall be
identified as belonging to NCTD. The Contractor's standard "corporate" safety program and forms
shall not be used.
b. The Contractor's Safety Action Plan elements shall include, but are not limited to, General Safety
Rules for Employees, an Accident/Incident Reporting program, a Hazard Identification and
Management program (including "close calls"), a Passenger Train Emergency Preparedness Plan,
a Safety Committee plan, a Substance Abuse program as specified by FRA regulations, a Fatigue
Management program, an Hours Of Service management plan, employee certification programs,
and an Operational Rules Testing program. All of these Safety Program elements will be in full
compliance with FRA and CPUC regulatory requirements.
c. The Contractor shall perform an annual internal audit as directed by the NCTD to determine
compliance with the NCTD SSPP. The Contractor shall prepare a written summary of findings, with
a remedial action plan, for NCTD review within 10 days of the completion of the internal audit. The
Contractor shall implement corrective actions recommended by the internal audit or by third -party
auditors, after review with and approval by NCTD designated personnel. The Contractor shall invite
and allow NCTD management to participate in all safety-related reviews, including, but not limited
to, efficiency tests, internal safety audits, and other reviews o f a related nature.
11.3 NCTD System Safety Program Plan
The Contractor shall comply with and support the most current NCTD SSPP. Updates and
modifications to the plan are made regularly, and The Contractor shall participate with the NCTD during
annual update and review of the SSPP and comply with any and all changes to the plan. The Contractor
shall also participate in the review and update of other safety related documents as required by the
NCTD.
11.4 Safety Committees
The Contractor shall maintain a safety committee program as described in The Contractor's Safety Action
Plan and in compliance with the NCTD SSPP. The NCTD Safety Division shall be responsible for auditing
the safety committee meetings and may attend and participate at his or her discretion. Minutes of these
meetings shall be forwarded each month to the NCTD Safety Officer. The Contractor also shall participate
in a monthly safety meeting with the NCTD Safety Officer.
11.5 Facility and Station Inspections
The Contractor shall conduct monthly safety and security inspections of facilities under the control or
responsibility of The Contractor and may include, but is not limited to, employee layover facilities and offices
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and maintenance facilities. Inspections shall be documented on NCTD-approved checklists as defined in
the current SSPP and will include corrective action plans and assignments of responsibility. Copies of
inspection reports shall be forwarded to the NCTD Safety Officer within three (3) days of inspection, and
findings of inspection shall be recorded by The Contractor in the NCTD NCTD’s Safety Reporting Program.
11.6 Hazards Involving Projects
Where NCTD or The Contractor determine an immediate and serious hazard exists, The Contractor
or NCTD representative has the authority to immediately contact the appropriate personnel to request
that the hazardous conditions be corrected or hazardous practices halted. Should contact prove to be
infeasible or unsuccessful, The Contractor or NCTD representative shall have the authority to stop
the project work. NCTD reserves the right to conduct unannounced inspections aimed at identifying
and eliminating unsafe practices, operations, and conditions.
11.7 Injury Statistics
The Contractor shall furnish to designated NCTD personnel a monthly report capturing injury statistics,
including the number of FRA reportable employee injuries, in a format approved by NCTD.
11.8 Regulatory Agency Reporting
a. An Internal Control Plan for Accident and Incident Reporting, as required by NCTD Standard
Operating Procedure, and all regulatory agency requirements shall be submitted for NCTD review
and approval at least sixty (60) days prior to the Service Date of the Contract. The Contractor shall
be the Operating Railroad of Record for all incident and injury reports to regulatory agencies,
including but not limited to FRA, CPUC and Cal-OSHA and in accordance with NCTD internal
policies, and all regulatory agency requirements. The Contractor shall also enter all incident and
injury information into NCTD’s Safety Reporting Program within 48 hours of the incident. The
Contractor shall designate a reporting officer as the primary contact for all reporting requirements,
and The Contractor's reporting officer and NCTD Safety Officer shall meet monthly to discuss the
previous month's incidents and on-going issues involving reporting compliance.
b. On behalf of NCTD, The Contractor shall complete and make timely submission of all reports required
by the FRA and the CPUC associated with the operation and maintenance of the NCTD railroad and
the COASTER commuter rail and SPRINTER hybrid rail service as required. FRA-required reporting
shall be in accordance with applicable regulations and the current edition of the FRA Guide for
Preparing Accident/Incident Reports. NCTD shall provide The Contractor access to the NCTD’s
IndustrySafe safety data and reporting management system to facilitate portions of this reporting
requirement.
11.9 Accident and Incident Investigation and Reporting
a. This NCTD Accident Investigation Procedure will establish investigatory compliance requirements for
NCTD. NCTD Managers, Employees and Modal Contract Managers responsible for NCTD operations,
maintenance and system safety tasked to respond to accidents within the NCTD System will follow this
procedure and other regulatory requirements. This accident investigation procedure is also a guide to
gathering and evaluating data in order to determine the root cause of an accident and identify corrective
measures to prevent reoccurrence. The objective of this SOP is to achieve the following:

Define the roles and responsibilities of specific NCTD and Modal Contract individuals and
departments which are required to respond to accidents or incidents which occur on the NCTD
system.

Improve system safety by effectively reporting, investigating, and analyzing all accidents, incidents
and develop complete, accurate, and comprehensive reports.
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
Implement corrective measures based on the results of the complete investigation to prevent or
mitigate reoccurrences.

Provide opportunities for NCTD System Safety, Claims, Risk Management and Legal
departments to effectively analyze all accident reports with regard to exposure to liability and
potential internal or external claims and/or litigation.
11.10
Data and Video Recorders
a. The NCTD reserves the right to install additional video recorder camera systems in NCTD rolling stock
and fixed facilities.
b. The NCTD shall have full and complete access to and control of the following, without prior notification
to The Contractor:





c.
Rolling stock event recorders and event recorder data;
Rolling stock video recorder camera systems and video recorder data;
Control system and signal system event recorders and recorder data; and
Closed-circuit television (CCTV) systems at fixed facilities.
Signal Equipment downloads
The Contractor shall follow the NCTD Chain of Custody plan at all times.
11.11
Revision of Safety Practices
The Contractor shall, with prior NCTD written approval, revise its SOPs, emergency response practices,
training techniques, or reporting practices if it is revealed to The Contractor through regulatory agency
communications, industry communiqué, employee communications, or NCTD communication that such
revisions will assist in the reduction or prevention of injury or loss of life to its employees, NCTD passengers,
NCTD employees, the surrounding community, or NCTD equipment or property or foster improvement to
operations..
11.12
Worker Health and Safety and Hazardous Material
Safety
The Contractor shall comply with all applicable Federal and California Occupational Safety and Health
Administration (OSHA) safety requirements as they apply to The Contractor’s work environment. The
Contractor shall develop required employee health and safety programs, hazardous materials handling and
disposal procedures and emergency evacuation procedures for the facilities occupied by The Contractor’s
personnel.
11.13
The Contractor Security Management
a. As referenced in section 11.1, The Contractor shall employ a full-time Safety Management
Group. Matters of security are inclusive in the responsibilities of the Safety Management Group.
The Contractor Safety Management Group has the responsibility to ensure all security
requirements of Sections 11.13 through 11.17 are complied with. The Contractor will furnish
NCTD as part of this procurement process, a Security Management Plan that outlines the duties
and responsibilities of the Contractor’s employees therein.
b. The Contractor's security management duties will include, but are not limited to, development,
submittal, and implementation of a Security Action Plan; auditing of rail operations and
maintenance activities for compliance with NCTD, Federal, and State requirements; use of the
NCTD safety reporting software system (currently, IndustrySafe) for the purpose of entering
security-related information such as threats, crimes, identified hazards, corrective actions,
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training records, crime/incident information, and audit reports (both internal and external);
completion of an annual internal audit to determine compliance with the NCTD SSEPP;
participation in the NCTD SSEPP third-party audit; employee security awareness training.
c. The Contractor Safety Management Group will participate, where practicable, in all security
audits by outside parties or agencies such as APTA, FRA, FTA, or CPUC. Following receipt of a
security audit report, The Contractor Safety Management Group will develop and submit a
Corrective Action Plan to the NCTD Chief of Transit Enforcement for approval for all deficiencies
or recommendations that result from the audit. The timeframe and scope for submission of the
plan will be determined by the NCTD Chief of Transit Enforcement. The Contractor Safety
Management Group will be responsible for completion of the Corrective Action Plan.]
d. While NCTD provides overall general system security services on the NCTD rail system via
uniformed personnel, contract law enforcement services, and off -site monitoring of a CCTV
system of various locations throughout the NCTD service area, The Contractor is responsible for
the physical security of facilities, equipment, and staff under its immediate control.
e. The Contractor, at its sole cost, shall be solely responsible for the necessary physical security of
its personnel, agents, suppliers, facilities, materials, and equipment, at and of the work site. The
Contractor understands and accepts that NCTD is not be responsible for such security
measures, and The Contractor shall take necessary and prudent measures to ensure the security
of his personnel, agents, suppliers, facilities, materials, and equipment, and the work site by the
provision of, including but, not limited to: security fencing/gates, locked storage facili ties and
containers, secured equipment areas, posted professional, bonded or insured, State of California
BSIS certified and licensed security personnel, security cameras and media recording devices
(DVR’s), and other measures deemed necessary by The Contractor for the security needs
thereof. The Contractor understands that the cost for any damaged, vandalized, or stolen items
shall be borne solely by The Contractor.
f.
NCTD may elect to investigate criminal or security related incidents affecting the NCTD rail
system such as incidents or events, including, but not limited to: crimes against persons, crimes
against property, motor vehicle related crimes, breaches, threats, thefts, burglaries, work place
violence, fatalities, injuries, accidents, and passenger complaints.
g. The Contractor shall be responsible for:
1. Maintaining general security awareness and protection of NCTD property and assets
under its charge;
2. Providing security awareness training for all new employees and to all employees
every two years; this training will be based on the National Transit Institute (NTI) or
Transportation Safety Institute (TSI) Transit Employee Security Awareness course
curriculum;
3. Developing, implementing, and updating employee security policies in accordance
with the approved Security Action Plan;
4. Conducting internal security inspections of facilities and assets;
5. Developing corrective actions and making improvements to security deficiencies;
6. Managing and resolving non-security and non-criminal related passenger disputes in
accordance to NCTD approved Standard Operating Procedures;
7. Notifying dispatch center/control center to request assistance from NCTD’s Transit
Enforcement Division or law enforcement, in case of incidents that lead to impairment
of safety and security of NCTD operations and traveling public;
8. In case of incidents or accidents, The Contractor is responsible for informing the
Incident Commander that they are representing NCTD, until relieved;
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9. Providing full cooperation, support, and required coordination with Federal, State, and
local law enforcement officials conducting security operations and/or engaged in
active criminal investigations;
10. Cooperate and assist NCTD and law enforcement officials in any incidents or
accidents;
11. In the case of security-related or criminal incidents (thefts, break-ins, etc.) identified
by The Contractor’s employees, The Contractor will provide a written report
documenting the details of the incident within twenty-four (24) hours of the incident;
The Contractor shall provide a copy of the Law Enforcement criminal activity report to
NCTD within 15 calendar days of the report being filed.
12. To notify the NCTD Transit Enforcement Division Control Center (“Station O”) of any
criminal activity within 2 hours of being aware of the crime and contact local Law
Enforcement to file a criminal activity report for any losses estimated to exceed $100.
13. The Contractor shall report any unlawful entry or trespassing incident upon the
facilities they are in control of or any unusual or criminal activity adjacent to the
facility (i.e. facility open parking lots) immediately to the NCTD Transit Enforcement
Division Control Center (“Station O”).
14. The Contractor shall be in full compliance with Cal OSHA Guidelines for Workplac e
Security for the duration of the agreement. Cal OSHA Website:
http://www.dir.ca.gov/dosh/dosh_publications/worksecurity.html
11.14
Security Action Plan
a. The Contractor shall provide a comprehensive Security Action Plan to NCTD for review and
approval that describes how The Contractor will comply with the NCTD SSEPP, and shall include
employee, customer and operational security. The Security Action Plan and all attachments and
appendices will be considered Sensitive Security Information, pursuant to 49 CFR Parts 15 and
1520, and will be marked “SSI”. The final Security Action Plan shall be implemented at least sixty
(60) days prior to the Service Date of the Contract. NCTD will review the proposed Security Action
Plan and provide corrections and comments for The Contractor action. A plan will be considered
reviewed and approved once conditions are met and the NCTD reviewer signs the plan as
“Approved”. The Security Action Plan will be updated annually to be consistent wi th the most
current version of the NCTD SSEPP and will be submitted to the NCTD Chief of Transit
Enforcement for review and approval no later than April 1st each year. A copy of the most current
version of the SSEPP will be provided to the Contractor for reference. The failure to submit a
Security Action Plan or to fail to implement and continue the conditions placed in the approved
plan can result in the imposition of liquidated damages until remedied per approved schedule. The
Security Action Plan shall be created and published for NCTD as a NCTD-specific document.
Investigation and Incident reports, forms and files shall be identified as NCTD. The Contractor's
standard or template "corporate" security program and forms shall not be used.
b. The Contractor's Security Action Plan elements shall include, but are not limited to, Security Rules
for Employees, a Crime/Security Incident Reporting program, a Security Threat or Hazard
Identification and Management program; Employee Security Awareness Training Program,
Security Committee; Internal Inspection and review of facility security conditions. All of these
Security Program elements will be in full compliance with any and all FTA, FRA and CPUC
regulatory requirements.
c. The Contractor shall perform an annual internal audit as directed by the NCTD to determine
compliance with the NCTD SSEPP. The Contractor shall prepare a written summary of findings,
with a remedial action plan, for NCTD review within 10 days of the completion of the internal audit.
The Contractor shall implement corrective actions recommended by the internal audit or by third party auditors, after review with and approval by NCTD designated personnel. The Contractor shall
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invite and allow NCTD management to participate in all security-related reviews, including, but not
limited to, site inspections, internal security audits, and other reviews of a related nature.
11.15
NCTD’s System Security and Emergency
Preparedness Plan:
The Contractor shall comply with and support the most current NCTD SSEPP. Updates and
modifications to the plan are made regularly, and The Contractor shall participate with the NCTD during
annual update and review of the SSEPP and comply with any and all changes to the plan. The
Contractor shall also participate in the review and update of other security related documents as
required by the NCTD. The Contractor shall be a signatory participant in the NCTD SSEPP, and The
Contractor signatures shall indicate agreement and compliance with the SSEPP. A copy of the most
current and approved SSEPP will be provided to the Contractor.
11.16
Security Data Collection and Reporting:
The Contractor shall furnish designated NCTD Transit Enforcement Division personnel with a monthly
report, including the number and summary description of security or criminal incidents on the Contractor
controlled facilities and equipment, in a format approved by the NCTD, no later than the 10th of the following
month.
11.17
Security Committees
a. The Contractor shall maintain a Security Committee Program as described in The Contractor's Security
Action Plan and in compliance with the NCTD SSEPP. The Contractor Safety Management Group shall
be responsible for auditing the security committee meetings and may attend and participate at their
discretion. Minutes of these meetings shall be forwarded each month to the NCTD Chief of Transit
Enforcement or designee. The Contractor also shall participate in a monthly security meeting with the
NCTD Chief of Transit Enforcement or designee.
b. Behavior Pattern Recognition (BPR) and general Transit System Security Awareness as developed
by National Transit Institute/Department of Transportation shall be included in the Training Program
for the appropriate The Contractor personnel as directed by the NCTD.
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ENVIRONMENTAL AND HAZMAT SERVICES
a. The Contractor shall properly dispose of any waste or hazardous material generated while performing
Agreement Services throughout the NCTD property. Disposal and storage of waste and hazardous
material shall be in accordance with all applicable Federal, State, and local regulations. The Contractor
shall keep storage of waste and hazardous waste material on the premises to a minimum. The
Contractor shall return the work area to its original conditions after conducting work efforts included in
this Paragraph.
b. The Contractor shall monitor and notify the designated NCTD personnel immediately by phone of
any incident with possible environmental impacts, regardless of who the responsible party is, such
as diesel fuel spills, illegal disposal of hazardous material on NCTD property, and spills from rail
cars. This notification will not relieve The Contractor from its obligation to initiate and supervise
cleanup and disposal of spilled material.
12.1 Permits and Certifications
12.1.1
Stuart Mesa Facility
The Contractor shall be responsible for complying with the Stuart Mesa Storm Water Pollution Prevention
Plan. The Contractor shall be responsible for obtaining and complying with all applicable environmental
permits listed below, at its expense as part of the Base Services cost. The Contractor shall be responsible
for complying with all applicable environmental permits and requirements at the facilities. The following is
a list of permits that The Contractor may have to obtain. This list may not include all permits required by
The Contractor and The Contractor may not be required to obtain all items on the list.




Spray Paint Operations - Permit to Operate through Air Pollution Control District
Hazardous Waste Generator Permit through Department of Environmental Health
Hazardous Waste Disposal Permit for waste generated as part of vehicle maintenance
Fire Extinguishers (for revenue vehicles) certification required by OSHA and local Fire Department
12.1.2
Escondido Facility
a. The Contractor shall be responsible for complying with the SOF Water Pollution Prevention Plan. The
Contractor shall be responsible for obtaining and complying with all applicable environmental permits
listed below, at its expense as part of the Base Services cost. The Contractor shall be responsible for
complying with all applicable environmental permits and requirements at the facilities. The following is
a list of permits that The Contractor may have to obtain. This list may not include all permits required
by The Contractor and The Contractor may not be required to obtain all items on the list.




Spray Paint Operations - Permit to Operate through Air Pollution Control District
Hazardous Waste Generator Permit through Department of Environmental Health
Hazardous Waste Disposal Permit for waste generated as part of vehicle maintenance
Fire Extinguishers (for revenue vehicles) certification required by OSHA and local fire department
12.1.3
Other Requirements
a. No later than sixty (60) days prior to the Service Date of the Contract, The Contractor shall submit
for NCTD review and approval an Environmental Compliance Program for Operations to manage
the transfer, updating, implementing, and record keeping for all plans, permits, l icenses, and
certificates. The Environmental Compliance Program for Operations shall include a listing of all
required permits and a schedule for transferring those permits into the Contactor's name.
Applicable permits will be transferred to The Contractor prior to the Service Date. The program
shall be submitted in an electronic format and shall include, but not be limited to, compliance with
all Federal, State and local environmental laws and regulations.
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b. The Environmental Compliance Program for Operations shall also specify the procedures to be
followed during fuel handling activities within the NCTD property, for locomotives, DMUs and on track equipment. NCTD shall contract for the purchase of locomotive fuel, and The Contractor shall
coordinate delivery requirements and supervise deliveries. The Contractor shall monitor all fuel
deliveries at each fueling location, document observations on an NCTD -approved checklist and
maintain them for not less than 36 months. More details on fueling can be found in Section 6.
c. No later than ninety (90) days prior to the Service Date of the Contract, The Contractor shall
submit for NCTD review and approval a draft Emergency-Spill Response/SPCC plan, including a
chain of command for spills throughout the NCTD property, regardless of source. A final Emergency
Spill Response/SPCC plan for each facility shall be adopted within thirty (30) days of the Service
Date. The plan shall be updated on an annual basis and provided to the NCTD by the start of each
Fiscal Year.
d. The Contractor shall complete periodic inspections, sampling, and reporting requirements
necessary to maintain all environmental permits, certificates, licenses. Applications for permits,
certificates, and licenses relating to the NCTD property, Support Property and sys tems will be
prepared and forwarded to the NCTD 90 days prior to expiration. The Contractor shall maintain the
tracking of permits, certificates and licenses.
12.2 Air Emissions
a. The Contractor shall be responsible for all testing, monitoring, permitting and reporting related to
requirements of the California Air Resources Board (CARB), the San Diego Air Pollution Control
District and other regulatory agencies.
b. To help meet evolving air emission regulations, particularly in connection with fuel consump tion
and potential greenhouse gas or particulate emission issues, The Contractor shall maintain fuel
usage logs, which are to include total monthly fuel usage for all combustion units. A monthly report
shall be submitted to NCTD that includes a copy of all fuel usage logs and calculates fuel usage
for the past 12 months. Receipts and logs shall be maintained on-site and available for inspection
by any regulatory agency upon request. The log also shall include the name and signatu re of the
responsible foreperson. This data will help the NCTD and The Contractor ensure compliance with
regulations.
12.3 Regulated and Hazardous Waste and Material
a. NCTD shall be the generator for all waste related to routine maintenance or operations, and The
Contractor shall be generator for waste related to spills or other occurrences related to The Contractor’s
errors or negligence. Any regulated waste or spent hazardous materials located on NCTD property
shall be disposed of in accordance with all applicable environmental regulations. The Contractor shall
submit for NCTD review and approval 60 days prior to the Service Date of the Agreement an
Environmental Hazard Procedures Manual that addresses all uses of hazardous waste and
materials on NCTD property. These procedures shall include, but not be limited to spill prevention
and control (including a formalized description of The Contractor's emergency/spill response team
and chain of command for all applicable NCTD property locations), hazardous materials and
medical waste handling, hazardous materials or waste generators (not limited in size), an
emergency/spill response team and chain of command for all applicable NCTD property locations.
The procedures shall be developed in compliance with NCTD policy and all applicable local, State
and Federal environmental laws and regulations. All policies shall be developed and updated, and
all Services provided by The Contractor shall be in compliance with applicable Federal, State and
local environmental laws and regulations, applicable permits, and NCTD policy.
b. The Contractor shall take immediate actions to comply with all applicable laws and regulations and
permit conditions concerning the release of any contaminant on or along NCTD property without
regard to source. The Contractor and subthe Contractors shall comply with all written policies
maintained by NCTD or applicable regulatory agencies pertaining to environmental compliance and
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response policies and procedures, including coordination with NCTD and its designated subthe
Contractors or representatives. Extreme care shall be used when fueling or changing fluids. The
Contractor shall immediately inform NCTD of any hazardous material spills. The Contractor shall be
fully responsible for the containment and cleanup of any contaminants spilled onto NCTD or others'
property. Any and all hazardous material spills on NCTD property, including, without limitation, diesel
fuel, effluent from The Contractor or NCTD facilities, solvents or cleaning solutions, etc., shall be
reported immediately to the NCTD Safety Officer.
c.
Storage of hazardous materials shall be limited to areas as indicated by NCTD and in compliance
with codes and regulations. Where facilities for storage may not exist, The Contractor shall provide
the needed facilities or store off site. The Contractor shall minimize storage of waste, regulated and
hazardous materials on NCTD property.
d. Disposal of any regulated materials such as petroleum based products, antifreeze, oils, lubrica nts,
paint, fluorescent light bulbs, railroad ties, drip pans, and batteries shall be through the services of
a properly-certified and licensed hazardous materials disposal the Contractor. Disposal of defective
or obsolete batteries shall begin within one week of removal from service and completed within 60
days. Battery disposal and storage sites shall be in accordance with OSHA regulations. All The
Contractor-designated/utilized hazardous material disposal sites or disposal sub the Contractors
shall be subject to the approval of NCTD. Oil and engine coolant and any other waste or hazardous
material draining shall be captured and disposed of in accordance with environmental regulations.
The Contractor shall also provide for recovery of HVAC refrigerant.
e. The Contractor shall ensure that containers used for storage and transportations of waste materials
meet applicable Federal, State, and local requirements for labeling, storage, disposal, and
transportation of waste materials. The Contractor shall conduct any and all testing of waste materials
to be transported and disposed off-site, if required, to determine proper and legal methods for
transport and disposal. The Contractor shall only utilize appropriately licensed subthe Contractors
to transport regulated or hazardous waste. Waste shall be appropriately containerized for
shipment. The Contractor shall produce hazardous waste manifest forms as required for the
transportation and disposal of hazardous wastes under these specifications. The Contractor shall
provide the appropriate copies of the completed hazardous waste manifest to the facility supervisor
and to NCTD. Copies of all waste management documentation, including material handling,
manifests, bills-of-lading, weight slips, and receiving facility receipts shall be, kept on site and copy
provided to NCTD.
f.
Should the Contractor encounter previously unknown materials which the Contractor reasonably
believes to be hazardous, The Contractor shall cease work the in the affected areas and report
conditions to NCTD.
12.4 Emergency Response
The Contractor shall be prepared to respond to spills and environmental emergencies at all times
regardless of cause. The Contractor shall retain an Environmental Subthe Contractor that shall
respond immediately in the event of uncontained releases of hazardous materials or incidents
involving biohazards, including fatal incidents or major injuries on NCTD property. The Environmental
Subthe Contractor also shall respond to emergency environmental services requests by NCTD or
The Contractor. Services provided by the Environmental Subthe Contractor shall include all labor,
tools, equipment, materials, testing, and reporting associated with providing services and shall be
included in the Base Services.
12.4.1
Cleaning Methods in Case of Biohazard Incidents
a. Trains on NCTD right-of-way may, from time-to-time, be involved in collisions with persons. Response
procedures for such incidents are detailed in NCTD’s Passenger Train Emergency Response Plan.
In such cases, The Contractor personnel shall not touch or disturb any remains, tissue or personal
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effects except as necessary for the immediate safety of passengers, crew or the general public.
Following an event, The Contractor shall:
1. Upon release of the equipment by authorities, promptly clean rolling stock at the incident scene
(including any rail carrier, not just COASTER or SPRINTER), to the extent possible and
according to appropriate NCTD biohazard procedures, so that evidence of the collision shall
not be readily visible to passengers or the general public.
2. Upon release of the incident scene by authorities, promptly clean and decontaminate the rightof-way, track and other structures as necessary to remove visible indications of the incident
and remove or neutralize any biohazard exposure to persons on or near the right-of-way.
3. Upon COASTER or SPRINTER equipment’s return to a maintenance facility, thoroughly clean
and decontaminate all rolling stock involved in an incident and dispose of any remaining
human tissue according to approved biohazard handling and disposal procedures.
b. Any personal effects or substantial human tissue discovered after the fact shall be turned over to the
investigating authorities or to the Medical Examiner. The Contractor may retain the services of a
specialized biohazard cleaning subthe Contractor to perform the above tasks, as required and such
costs shall be included in the Base Service plan.
12.5 Health and Safety Planning and Work Area Security
a. The Contractor shall adhere to all applicable health and safety laws and comply with appropriate work
practices when performing maintenance activities or other Services and shall ensure that work areas
are secured when work is not being performed and otherwise secured during the work to prevent
inadvertent access to work areas by unauthorized or unqualified persons. The Contractor shall develop
and implement a Hazardous Materials Site Specific Health and Safety Plan (HMSSHASP) for all The
Contractor personnel or subthe Contractor personnel working with or exposed to hazardous materials
or other contaminated materials as part of their work. The plan shall be submitted for NCTD review and
approval within thirty (30) days of the Service Date (see Appendix U) and shall include provisions
related to the following:

NCTD property is situated in an urban area proximate to many current and historic sources of
hazardous material impacts to soil and groundwater. Metals (primarily lead and arsenic),
petroleum hydrocarbons, and polynuclear aromatic hydrocarbons are known to be present in the
ballast and sub-ballast within portions of NCTD property.

Timber cross ties on the property contain creosote. New and used cross/switch ties may only be
stored at locations approved by the NCTD ROW Officer, who also shall approve all The
Contractor subcontracts for disposal of used ties.

Some bridges and structures requiring maintenance and or painting by The Contractor under
provisions of the Agreement may have previously been painted with paint containing lead.The
Contractor shall strictly adhere to all environmental, health and safety laws and regulations with
regard to lead paint.
b. The plan also shall require compliance with the following general work practices:

Do not smoke, chew gum, apply cosmetics or consume food and beverages in areas where
hazardous materials are being handled.

Wash hands thoroughly before eating, smoking, or drinking.

Do not store food in areas where it may come in contact with hazardous materials, including soil
and dusts.

To the extent practical, stay upwind from operations that emit vapors, gases or particulates.
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
Clean clothing and footwear upon leaving jobsite and prior to entering any vehicle, mobile
equipment, or office.

Clean vehicle interiors and hand held tools as needed to prevent accumulation of particulates.

Don gloves when handling soil or hand tools in contact with soil.
The HMSSHASP shall be prepared following the guidelines of the United States Department of Labor,
OSHA 29 CFR 1910.
12.6 Training and Qualifications
The Contractor shall ensure that personnel executing Environmental Services are qualified to perform
the services. The Contractor and Environmental Subthe Contractor personnel who work on NCTD
property providing Environmental Services shall be trained in compliance with applicable regulations
as required by OSHA, Cal-OSHA and the EPA.
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TRAINING AND QUALITY MANAGEMENT PROGRAM
a. The Contractor, in accordance with NCTD standards and Federal and State regulations and
standards, shall develop and implement an ongoing comprehensive training and certification
program (Training Program) for employees who are providing Services including, but not limi ted
to, all craft and management employees. The Contractor’s organizational chart shall establish a
Training and Quality Management Program and ensure that the sole purpose of the training
function is to support the responsibilities as specified in this section and ensure that the
responsibilities are clearly defined as to not to interfere with the functions and independence of the
Safety Management Group. The Training Program shall be developed for NCTD review and
approval 90 days prior to the Service Date of the Agreement. Training shall include those elements
required for the performance of duties in addition to specific areas of training for NCTD operations,
including disabled passengers and passengers needing assistance and system safety and security
training for new hires consistent with current NCTD programs. Training courses shall include
provisions for refresher training.
b. As part of the Training Program, the Contractor, in accordance with applicable collective bargaining
agreements and in consultation with the NCTD, shall develop, implement and administer an
ongoing proficiency testing program for all crafts that ensures that the Contractor employees have
the knowledge and skills required to safely and competently administer their duties. Testing s hall
include equipment and procedures unique to NCTD operations.
c. All employees shall be trained to the extent necessary to be fully qualified and competent to
perform their duties. Those who are identified as being deficient in knowledge or skills shall be
required to promptly attend and pass courses of instruction spec ific to their craft or service area.
Employees who refuse or decline training and fail to successfully pass certification tests shall not
be allowed to hold a position where such certification is required. NCTD reserves the right as
deemed necessary to qualify each employee proposed by the Contractor to perform work. The
Contractor shall be required to remove from NCTD service any the Contractor personnel who fails
to successfully complete training required in the approved Training Program.
d. The Contractor may reinstate the removed The Contractor personnel to NCTD service once the
employee successfully completes the required training. NCTD reserves the right to request evidence
that The Contractor's employees and subthe Contractors who are providing Services are appropriately
trained and certified and have completed appropriate efficiency and competency tests.
e. The Contractor shall accept previous training and certification of mechanical employees who have
been issued training certification indicating that they are a "Qualified Maintenance Person" as
required by 49 CFR 238.109. The Contractor shall comply with NCTD Training Program standards
and shall require that all employees who perform safety-related inspections and tests of passenger
equipment are trained, tested and certified in accordance with programs which comply with both
49 CFR 238.109 and current APTA requirements and guidelines.
f.
The Contractor shall meet quarterly with NCTD to review the effectiveness of the approved Training
Program. The Contractor shall also provide the NCTD with a quarterly training report furnished to
the NCTD at least two weeks prior to the quarterly training review. The Contractor also shall provide
monthly reports to the NCTD on performance of efficiency testing as required by 49 CFR 217.
g. The Contractor is responsible for formulating and coordinating all training activities. The Contractor
shall provide training within NCTD's service area, unless prior written approval to hold training
elsewhere is provided by NCTD. The Contractor shall schedule training activities so as to not
interfere with its provision of services under the Contract. The Contractor shall provide a schedule
of all planned training and upon request shall make available to NCTD employees and to thirdparty the Contractor personnel any training offered to or by its own personnel who are assigned to
work on the Contract. The Contractor shall provide at least fourteen (14) day notice to NCTD of all
training offered to or by the Contractor for its own personnel prior to the beginning of such training.
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h. All training plans developed by the Contractor shall be specific to NCTD operations and shall be
compliant with NCTD requirements and with all regulatory requirements and shall be submitted to
NCTD for review and approval. Position titles described in this paragraph and its exhibit may not
exactly match the union craft and categories and positions required under the Contract.
i.
All training records will be maintained in a NCTD provided or a pproved alternative system. The
system for maintaining training records shall be able to provide real time report generation,
notifications, and be remotely accessible.
j.
All employees of current The Contractors retained by the successful Proposer of this RFP must be
retrained to new SOP’s and regulatory standards prior to Service Start Date.
13.1 Training Plan
The Contractor shall develop a training and proficiency plan consistent with job requirements for the
following functions and associated personnel. Examples include, but are not limited to:

Transportation functions including engineer, conductor, and operator;

Maintenance of equipment functions including carman, electrician, machinist, coach cleaner, and
supervisor;

Maintenance-of-Way functions including equipment operator, welder, laborer, and foreman;

Track and signal and communication functions including supervisor, technician, inspector, foreman,
maintainer, and signalman;

Management positions associated with all of the functions listed above, including Incident
Command System (ICS) and performance of efficiency testing;

Training, testing, and rules qualification for NCTD staff, outside NCTD the Contractors and NCTD
third-party the Contractors including all applicable FRA, GCOR, RWP, Test and Maintenance
Manual for Railroad Signals, Test and Maintenance Manual for Railroad Communications
Systems, and other specialized classes.
13.2 Training Program Components
The Training Program shall include a requirement that all training is provided by qualified individual to
provide such training and documented in a manner that is available for NCTD inspection at any time.
Training should encompass management, frontline and non-frontline employees, refresher training,
new hire training, system safety training and ADA training. Information developed for each course
should include a course description, category of personnel r equired to attend, objectives, curriculum,
frequency of training, proficiency required to obtain certification or qualification, and methods for
addressing failures or retraining.
13.3 Training for Designated NCTD Employees
The Contractor shall provide training to designated NCTD employees to provide training above and
beyond The Contractor RWP access. This training will enable these designated NCTD employees to
enter signal houses, perform lone-worker inspections, and obtain track and time protection similar to
MOW/MOS/EIC employees.
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13.4 Quality Control Program Plan
a. The Contractor within the Training Program function shall develop and maintain a Quality Control
Program Plan to ensure that all aspects of The Contractor’s work is conducted and completed in the
highest quality standards and consistent with regulatory and NCTD requirements.
b. The Quality Control Program Plan shall include, but is not limited to: maintenance activities, training
activities/requirements, operating activities, customer service, and adherence to contract
requirements. The Quality Control Program Plan will support a high quality of workmanship through
independent monitoring and validation that provides assurance of the completeness and correctness
of repairs. The Quality Control Program Plan will ensure that vehicles, DMUs, locomotives, and
coaches exhibit workmanship that is consistent with the procedures and workmanship outlined in the
Workmanship and Minimum Procedures section in Appendix D of the SOW.
c.
The Quality Control Program Plan will specify requirements for on-site staff and also provide/identify
oversight staff and or resources that are independent of the on-site staff and representatives
responsible for activities specified in the Contract. The independent reviews shall be conducted on a
quarterly basis, at a minimum based on a work plan mutually agreed upon with NCTD. The Contractor
must submit completed quality control guidelines for NCTD approval 60 days prior to the Service
Date. The Contractor’s quality control guidelines are subject to the written approval of NCTD.
d. NCTD reserves the right to conduct quality assurance reviews of The Contractors maintenance
practices. The Contractor shall remedy any NCTD quality assurance findings resulting from these
reviews expeditiously and in accordance with NCTD’s written corrective action correspondence
13.5 Roadway Worker Protection
a. All roadway workers, the Contractors and subthe Contractors of the Contractor or NCTD shall be
trained, qualified in, and work in compliance with the NCTD On-track Safety Protection Plan and all
applicable regulations contained in 49 CFR 214. All required RWP training shall be conducted by
The Contractor and documented in the NCTD’s Safety Reporting Program provided by the NCTD.
Auditing of the NCTD's and the Contractor's roadway workers, the Contractors, and subthe
Contractors for compliance with the NCTD On-track Safety Protection Plan and all applicable
regulations contained in 49 CFR 214 shall be performed by the Contractor and NCTD both jointly
and independently. The Contractor shall participate in an annual review and update of the NCTD
On-track Safety Protection Plan and shall comply with all updates.
b. The Contractor will provide FRA roadway worker protection training services for third-party
access to NCTD owned property in accordance with FRA 49 CFR 214 and all other regulatory
requirements.
1) The FRA requires railroads and/or their the Contractors to provide RWP training to any worker
whose job duties include inspection, construction, maintenance or repair of track, bridges,
roadway, signal and communication systems, roadway facilities or maintenance machinery on
or near the track.
2) The Contractor will provide all educational resources and materials needed to ensure Third
Parties are properly trained in on-track safety procedures.
3) The Contractor shall perform field inspections or audits for compliance with flag protection and
RWP training requirements.
a) Reporting Requirements
 Provide NCTD a monthly report of all training provided including individual name, date
training completed and company name.
 Update NCTD provided database NCTD’s Safety Reporting Program of all individuals
that have completed the required training and the expiration date.
 Notify NCTD within 24 hours of all violations or incidents discovered while conducting
field inspections or audits for compliance of flag protection and the Contractor training
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
requirements.
Notify NCTD immediately of all safety violations.
b) Training & Field Safety Compliance Officer
 Provide 4 hour classroom annual instruction (bilingual) including testing and
certifications at least once but not more than three times weekly at the Oceanside
MOW facility classroom.
 Provide training at offsite locations provided by the Third Parties within San Diego
County not exceeding 50 miles of Oceanside, if required.
 Issue ID Photo Badges and Stickers for Hardhats.
 Issue Railroad The Contractor Safety Training Manuals.
 Maintain NCTD database for all Third Parties trained and perform routine audits.
 Conduct Field inspections and audits for compliance of flag protection and the
Contractor training.
c) Support Service and Materials Provided by The Contractor
 Field support vehicle
 ID badges and stickers
 Database input and maintenance
 Computer, software, copy, printers, and other office supplies
 FRA regulations updates and training for instructors
13.6 Training and Qualification of NCTD Third Party Personnel
The Contractor and NCTD shall jointly develop training, testing and employee qualification programs for
other the Contractors and Third Party personnel. Such training shall include, but not be limited to, all
applicable FRA, RWP, MOS, and MOW Standards.
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CUSTOMER SERVICE AND EMPLOYEE BEHAVIOR
EXPECTATIONS
14.1 Customer Service
a. High quality customer service is critical to the overall success of NCTD rail service. The Contractor shall
develop training programs, procedures, and initiatives which will guide employees in dealing with
customers, and will ensure that customer concerns and complaints will be addressed in an expeditious
manner. The Contractor is required to investigate and respond to all passenger complaints (referred to
them by authorized NCTD staff) within three (3) days. If The Contractor receives a complaint directly,
The Contractor shall promptly notify NCTD staff and the same standards for response apply. The
Contractor shall, at all times, treat all customers and persons interacted with in the performance of its
duties with respect and courtesy and shall undertake all reasonable means to provide required and/or
requested assistance. The Contractor shall develop training programs and be highly sensitive to
persons needing assistance. Any such programs and procedures shall also incorporate (as applicable)
NCTD regulations and programs for handling passengers with special needs, special groups, youths,
etc.
b. The Contractor personnel shall be familiar with NCTD’s and regional sources of transit information
to the public, and direct inquiries to these channels as needed.
c.
The Contractor’s Conductors shall perform their duties at all times in a courteous and informative
manner, and answer customer questions to the best of their ability without compromising safety. Crew
members shall enforce the COASTER and SPRINTER Rules of Riding posted in each car. Handling of
disorderly passengers will be in accordance with NCTD policies. Conductors/The Contractors will report
security issues immediately to the dispatching center.
d. The Conductors/ Contractors Critical Skill Position are to be visible on platform (unless duties require
presence elsewhere) and Conductors/The Contractors shall assist disabled passengers as required by
the Americans with Disabilities Act (ADA).
e. NCTD Customer Service personnel have the primary responsibility for responding to formal customer
complaints. The Contractor’s General Manager and crew members shall assist in responding as
requested by NCTD. Court appearances regarding claims, accidents, incidents and citations may be
required at The Contractor’s expense.
14.2 Conduct Unbecoming an Employee
a. The Contractor is required to develop a Code of Conduct and train all of its employees on an annual
basis of its requirements which shall include EEO and ethics.
b. All of the Contractor’s employees and agents including subcontracted employees and agents shall
avoid conduct unbecoming an employee, as defined below. NCTD may, at its sole discretion, require
the removal or requalification of any The Contractor employee or agent from service or performance of
work on this Contract or NCTD property for behavior or actions as outlined below, and/or for engaging
in conduct unbecoming an employee as defined below. This removal shall be at no cost to NCTD.
c.
Examples of conduct unbecoming an employee include, but are not limited to:
1) Any instance of use of language that is obscene, risqué or religiously, ethnically or sexually
demeaning, or making light of physical or mental disability, regardless of whether it is directed
at a customer.
2) Any instance of belligerent or malicious behavior.
3) Instance(s) of willful failure to assist customers.
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4) Any instance of violation of applicable safety rules that causes injury to a person, damage to
property, or release of a hazardous substance.
5) Instance(s) of littering in rolling stock or station areas.
6) Instance(s) of snacking, smoking, reading, listening to radio or other audio devices or
watching or listening to TV while on duty.
7) Conduct demeaning to NCTD or The Contractor, including demeaning oral or written
remarks made to the public and/or customers.
8) Conduct that constitutes oppression, fraud, malice, negligence or recklessness, as defined
herein.
9) Any violation of NCTD and The Contractor Personal Electronic Device policies.
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DELIVERABLES, REPORTS, AND NOTIFICATIONS
15.1 Deliverables
a. The Contractor shall be required to create and implement the deliverables specified as part of this RFP
and outlined in this Section 15. The deliverables are all subject to NCTD’s review and written approval
prior to implementation by The Contractor. (See Appendix U, Deliverables list.)
b. The Contractor shall maintain complete and accurate records to support validation of work performed
and other activities carried out during the contract period. This requirement includes documentation
that establishes the basis and frequency of work to be performed.
c.
The Contractor shall maintain complete and accurate accounting records, including source
documentation, of all expenses and revenues in connection with Agreement services. All such records
shall be prepared in accordance with Generally Accepted Accounting Principles. The Contractor shall
retain such records for at least three (3) years following the end of the accounting period to which the
records apply. These records shall be subject to NCTD review at any time.
d. The format of the reports identified below shall be developed by the Contractor and subject to the review
and written approval of NCTD.
15.1.1
Annual Reports
Unless otherwise specified, Annual Reports are due to NCTD Project Managers by October 1st of each
year:
Annual Report of previous fiscal year (from July 1 to June 30) including:
a) Record of accomplishments as compared by on-time performance; financial and operations statistics;
and ridership including passenger miles.
b) Issues requiring action and recommendations.
c) Assessment of the condition of all capital property including rolling stock (including locomotive and
car maintenance and utilization report).
d) Assessment of condition of right-of-way including condition of track, signals, and grade crossings and
an assessment of bridges and structures (See Section 7. Maintenance-of-Way for more detail
regarding the annual report on bridges and structures).
e) Mean Distance Between Failures (MDBF) for DMUs, coaches, cab cars, and locomotives for each
type
f)
Actual versus budgeted expenditures
g) Bridge Inspection and Repair Recommendation Report
h) Annual Drug and Alcohol program compliance reporting, in accordance with 49 CFR Part 219.
i)
Training Report Summary
j)
Fleet Maintenance Management and Maintenance Plan (to be updated annually) as described in
Section 6: Maintenance of Equipment.
k) Support Equipment Maintenance Plan (to be updated annually) as described in Section 9:
Maintenance of Facilities and Support Equipment
l)
Fixed Asset Inventory (to be updated annually)
m) Update to the MoW and Signal Services Plan comparing the previous fiscal year Plan with actual
work accomplished.
n) Summary of all incidents, accidents, injuries, fatalities and derailments occurring on NCTD’s Rightof-Way and property, regardless of FRA reportability or operator involved (COASTER, SPRINTER,
Amtrak, Metrolink, BNSF, other).
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15.1.2
Monthly Reports
Unless otherwise specified, Monthly Reports are due to NCTD Project Managers within ten (10) days of the
end of the month, unless otherwise specified by NCTD:
a) Statement of actual ridership, maximum load points and average passenger counts by train
b) Late train report (greater than 5 minutes), including detail data on root cause of delay and whether or
not the delay could have been avoided through action or inaction on the part of The Contractor
(chargeable).
c) Scheduled Maintenance vs. Actual Maintenance for both Maintenance-of-Way and Maintenance of
Equipment
d) Description of planned major maintenance work that will require slow orders during the next month
e) Train and car mile report (including COASTER and SPRINTER revenue and deadhead miles, and
including train and car-miles for freight rail operations on the NCTD owned Right-of-Way)
f) Support vehicle and equipment mile/hour report
g) Safety Incident Detail Report: A detail of all incidents, accidents, injuries, fatalities and derailments
occurring on NCTD property for the month, regardless of FRA/CPUC reportability or operator involved
(COASTER, SPRINTER, Amtrak, Metrolink, BNSF, other), including:
• Nature of accident and any recommended corrective action;
• Lost employee productivity (person-hours);
• Damage to equipment (repair/replacement cost);
• Management responsibility;
h) Report detailing FELA claims or Worker’s Compensation claims if applicable.
i) MDBF for coaches, DMUs and locomotives for each coach, DMU and locomotive type.
j) Detailed documentation of the disposal of hazardous materials.
k) Completed FRA and CPUC accident/incident reporting forms (both paper and electronic versions).
l) Accounting of inventory value changes for the month.
m) Accounting of warranty work and claims for the month.
15.1.3
Daily Reports
Unless otherwise specified, Daily Reports are due each day by 12:00pm (noon) to the NCTD Project
Managers:
a) Report on previous day’s operations, including on-time performance, equipment availability, causes
of mechanical delays, train consist information, unusual occurrences, unforeseen emergency brake
applications, unusual conditions such as holidays, etc., and personal injury report summary year to
date.
b) Comments or complaints
c) Diagnosis of rolling stock failures (if any) which occurred in the prior service day.
d) Crew assignment and equipment consist report that details crews and equipment used (to be submitted
to NCTD by 8:00 a.m. every day).
e) Status report of equipment modification and repair, to include projected return to service date.
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COMBINED RAIL OPERATIONS AND MAINTENANCE
Immediate Reports
Unless otherwise specified, Immediate Reports shall be made to NCTD the NCTD Project Manager
immediately upon the Contractor having knowledge of the incident or issue:
a) By phone or radio, report all incidents, accidents, injuries, fatalities, derailments, stoppage or major
disruption of service, and major damage occurring on NCTD property regardless of FRA/CPUC
reportability or operator involved (COASTER, SPRINTER, Amtrak, Metrolink, BNSF, other).
b) Operating rule violations resulting in discipline or an employee being removed from service.
c) Major vandalism or other illegal activity that substantially disrupts NCTD railroad services. The report
shall be made concurrently to appropriate law enforcement agency.
d) NCTD Unusual Occurrence report or equivalent, including employee statements to be submitted to
NCTD within 24 hours of a collision, derailment, fire, explosion, force majeure, passenger injury, or
other extraordinary event involving operation of NCTD rail equipment.
e) The Contractor shall report all visits of FRA or CPUC Inspectors within twenty-four (24) hours of
such a visit. The Contractor shall report the findings of FRA or CPUC Inspectors on such visits as
soon as the findings become available and furnish a copy to the NCTD representative.
f) Any order imposed by a competent regulatory authority.
15.1.5
On-Line Reports
a. Access to and training on using these data management applications will be provided to key The
Contractor personnel.
b. The Contractor shall maintain all fleet maintenance information and spare parts and inventory data in
JD Edwards or another NCTD-approved software as referenced in section 6 - Maintenance of
Equipment.
c.
The Contractor shall maintain all Maintenance-of-Way and signal activities in RailDOCS or
EnterpriseOne or other NCTD-approved software as referenced in section 7 - Maintenance-of-Way and
Signals. The Contractor shall maintain all Maintenance-of-Way and signal, spare parts and inventory
in JD Edwards or another NCTD-approved software as referenced in section 10 - Material
Management.
d. The Contractor shall maintain accident, incident, employee training and other relevant data in NCTD’s
on-line IndustrySafe database as referenced in section 11 - Safety and Security.
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HOURLY RATES
a. Any work not included in the base services or additional services shall be under the authority of exigent
or emergency work and will not be a part of the subsequent contract. See Appendix 08 of the
Conformed RFP for the Emergency/Public Exigency process.
b. When and/or if such Extra Work items are requested by NCTD, the Contractor will be provided the
relevant, additional information by NCTD, which will include scope, plans, specifications, or estimates
of quantities of work to be performed or materials to be furnished by either NCTD or The Contractor,
and a list of deliverables required. The Extra Work request will outline the desired timeline for the
work to be completed, if known, or request a schedule and estimated milestones for the period of
performance from the Contractor. The NCTD may require the Contractor to prepare submittals or
work plans, which shall indicate the Contractor's planned method for fulfilling the terms of the Extra
Work request. Said submittals or work plans shall be subject to the NCTD's approval prior to the
Contractor's commencement of work.
c.
Extra Work pricing proposals should be included as part of the price sheets to this RFP.
Additional notes:
The Contractor shall provide titles of hourly employees and labor rates to include straight time and overtime
for each employee. The Contractor is required to provide NCTD with cost and mark up of material and is
required to meet the FTA requirements during any purchase of material by competitively bidding out
material with three bids per part.
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KEY MANAGEMENT PERSONNEL AND STAFFING
LEVELS
17.1 Key Management Personnel
The General Manager will have seven (7) direct reports, including the Deputy General Manager –
Operations, Deputy General Manager – Maintenance of Equipment, Deputy General Manager –
Maintenance-of-Way, Deputy General Manager – PTC, Signal, and Systems, Rail Capital Projects
Engineer, Deputy General Manager – Dispatch, and Deputy General Manager – Safety and Training. All
other personnel identified below report to the seven Deputy General Managers. See suggested
Organization Chart Appendix U-1. The General Manager and the following positions appointed by the
Contractor will be considered the Key Management Personnel.
 General Manager
 Deputy General Manager – Operations
 Manager Operations - COASTER
 Manager Operations - SPRINTER
 Deputy General Manager – Maintenance of Equipment
 Manager Equipment – COASTER
 Manager Equipment – SPRINTER
 Vehicle Maintenance Engineer
 Deputy General Manager – Maintenance-of-Way
 Manager, Maintenance-of-Way (Track and Structures)
 Deputy General Manager – PTC, Signal, and Systems
 Manager, Signals
 Manager, Positive Train Control
 Manager, Systems and Communications
 Deputy General Manager for Safety and Training
 Safety Officers (at least 2 required minimum)
 Training Officers (at least 2 required minimum)
 Quality Assurance/Quality Control Officer
 Rules Officer
 Rail Capital Projects Engineer
 Deputy General Manager – Dispatch (Required if NCTD executes the option to include
Dispatch services within this Agreement)
a. With the exception of the General Manager, the Key Management Personnel shall possess at least 7
years of recent experience (i.e., within the past 15 years) in freight, commuter, DMU, or intercity
passenger rail services operated under Title 49 Chapter II, Parts 200-268 (FRA) of the U.S. Code of
Federal Regulations and American Public Transit Association (APTA) safety standards and regulations
or equivalent international railroad standards. In addition, the Contractor’s team members shall
demonstrate relevant experience with the key railroad functions required in this Statement of Work.
b. The Rail Capital Projects Engineer shall support project planning, development, and implementation.
The Contractor Rail Capital Projects Engineer shall provide input and assist in the reviews of projects
and or plans to include routine activities such as permitting reviews in support of this Agreement. The
Contractor Rail Engineer will work out of the NCTD General Administration Office at 810 Mission
Avenue, Oceanside, California.
c.
Rail Mechanical Engineer. The Rail Mechanical Engineer will be responsible for providing detailed
plans and specifications for equipment and vehicle needs to ensure the continued operations of rail
services. Examples of duties include, but are not limited to, obtaining detailed equipment component
specifications, detailed work plans, assessments and evaluations of component replacement and
rebuild options, rebuild and replacement status reports, reports on the performance and efficiency of
components rebuilt and replaced and preparing the Annual Fleet Optimization Plan.
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General Manager
a. The Contractor shall provide an on-site General Manager empowered to make immediate decisions as
necessary to maintain the safe and efficient operation of the NCTD rail system.
b. This individual shall have at least 15 years of relevant prior experience in management of commuter,
freight, hybrid rail or intercity passenger rail services in the United States.
c.
The General Manager shall be readily available for daily routine meetings and within an hour for
emergency situations that may arise at any time during a 24 hour period.
d. The Contractor shall notify NCTD as soon as it becomes aware the General Manager is no longer
employed with The Contractor or is otherwise no longer associated with the provision of NCTD Railroad
Services. The Contractor shall fill vacant positions on an interim basis within three (3) business days
and on a permanent basis within sixty (60) calendar days.
e. NCTD shall have the right to reject the General Manager without cause. Should NCTD reject the
General Manager, the Contractor shall provide an interim General Manager within three (3) business
days of notice by NCTD and shall provide a new permanent General Manager within sixty (60) calendar
days.
17.3
Requirements
a. The NCTD, at its discretion, reserves the right at any time to reasonably reject the incumbent
General Manager or any Key Management Personnel, and the Contractor agrees to replace said
person within sixty (60) days of written notice of rejection. The NCTD shall have the right to approve
the hiring of all individuals who report directly to the General Manager, provided that such approval
shall not be unreasonably withheld. The Contractor shall consult with the NCTD concerning the
hiring of all management employees who report directly to individuals who report directly to the
General Manager. The Contractor will not remove or reassign a General Manager approved by
the NCTD without the prior approval of NCTD, which will not be unreasonably withheld. The
General Manager will have the authority to discharge and replace the employees of The Contractor
engaged in NCTD, and The Contractor will make best efforts to fill all vacancies within sixty (60)
days of a position becoming vacant. If not initiated at the request of the NCTD, The Contractor
shall bear the relocation and other costs associated with replacement of personnel during the term
of the Agreement.
b. The Contractor shall provide appropriate management coverage at all times. There shall be no
periods when managers are all assigned to non-NCTD work (e.g., for corporate level meetings,
responding to other non-NCTD problems, etc.). This includes corporate management led meetings
on NCTD property. Appropriate management representation shall be designated, with NCTD
approval, for all NCTD-required meetings.
c.
The Key Management Personnel shall be solely dedicated to NCTD and not responsible for any other
activity of The Contractor. The Key Management Personnel will be on-call and available to report to
NCTD within sixty (60) minutes.
The Contractor’s proposal shall include a resume with the following information for each of the Key
Management Personnel:




Name
Number and years of experience in function
Expertise/qualifications
References
d. The following requirements apply to all employees working under the direction of the Deputy General
Manager of Safety and Training:
1. All staff shall at a minimum meet the Training, Qualifications, and Oversight requirements outlined
in MAP 21.
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2. All staff shall at a minimum meet the requirements outlined in The Federal Register, Volume 79,
Number 216 and Volume 77, Number 25. No The Contractor or Sub-the Contractor shall provide
Safety Training, Qualifications, or Oversight until the parties have met all of the requirements set
forth in the Federal Register.
3. Safety positions shall be filled with personnel that have experience in multiple disciplines. The
Safety personnel will be required to provide a level of oversight for multiple crafts and the individuals
experience shall be consistent with those responsibilities, experience levels subject to NCTD
approval.
4. The Training positions shall be filled with personnel that have experience in the discipline they are
providing training for, experience levels subject to NCTD approval.
17.4
Staffing Levels
The Contractor in its proposal will submit a staffing plan that defines the staffing levels to perform the
Agreement Services. NCTD will review and approve the minimum staffing levels. The Contractor is required
to provide a monthly report of vacancies including forecast of positions being filled. Additional resources
may be required to perform the Agreement Services to meet the established performance standards.
17.5
Key Personnel – The Contractor Proposed
Alternative Structure
Proposers are required to provide the Key Management Personnel consistent with Section 17 - Key
Management Personnel.
NCTD will consider Alternative Structure for Key Management Personnel in the event that a Proposer
desires to provide an Alternative Structure that is believed to provide a superior approach to Section 17
requirements for Key Management Personnel. Proposer(s) desiring to submit an Alternative Structure must
provide written justification and quantification of how its proposal provides comparable and or superior
benefits in terms of safety and operational outcomes and cost. If NCTD accepts the Proposer’s alternative
approach and the Proposer is awarded the Contract, the Proposer will be at risk to add the specified
resources identified by NCTD at no additional cost to NCTD, if NCTD in its sole reasonable discretion,
determines that the approach implemented by the Contractor does not support achievement NCTD’s
expectation in terms of NCTD’s safety and operational outcomes.
17.6
Labor Agreements
The Successful proposer of this RFP will be required to provide NCTD with any and all labor agreements
and collective bargaining agreements for employees performing work under this RFP no later than 48 hours
after they are fully executed. These additional resources shall be provided by the Contractor at no additional
cost to NCTD.
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IT REQUIREMENTS
a. The Contractor shall provide all equipment and network services including servers, workstations,
laptops, routers, switches, telephones, cell phones wireless LAN (Local Area Network), Internet WAN
(Wide Area Network) and telephone connections to support the Contractor's Systems used to provide
services in the Agreement, except for the hardware and software provided by NCTD for specified
applications listed in SOW Section 2.10 Business Systems, Information Systems, and Databases. All
hardware should have a minimum of four years warranty. After warranties expire, equipment should
be replaced and upgraded with most current available model and meet the software vendor's
recommended configuration
b. The Contractor shall be responsible for the cost of all computer hardware, software and
communications upgrades not specifically required by NCTD. NCTD shall approve all computer
equipment set up and installed by The Contractor, which shall comply with and adhere to NCTD
standards. Such standards may change from time to time. Implemented hardware and softwar e
without prior approval by NCTD may be removed by NCTD. NCTD requires that the Contractor
provide detailed design configurations and diagrams for all network infrastructure implemented by
the Contractor.
c.
The Contractor shall provide any internet services, analog and digital/data lines and phone equipment
required by the Contractor to provide services in this Agreement.
d. The Contractor is responsible for protecting all servers and network equipment that they are
responsible for under this agreement by Uninterruptible Power Supply (UPS), adequate cooling,
ventilation and airflow; and power surge suppressor on all desktops and copier/printers.
e. The Contractor shall maintain and support all of the technology infrastructure including
telecommunications, data center operations, power, cooling and UPS; network operations,
backup/recovery services, data storage management services, system administration services;
end user support of desktop computers, laptops and handheld devices to maintain a reliable end
user computing and networking environment.
18.1 IT Equipment Utilization Policy
a. The Contractor shall operate and maintain all NCTD-owned IT Equipment (hardware and
software) in accordance with NCTD Administrative Policy No. IT-8000 Employee Information
Technology Usage. Current NCTD policies prohibit removing updates and upgrades without expressed
approval and prohibit removal of equipment from other than approved locations. The Contractor is
required to upgrade hardware, update software security patches and upgrade to a version that is
supported by the hardware and software manufacturer.
b. Additionally, NCTD policies prohibit the use of NCTD-owned computer equipment for activities that are
illegal, for personal profit, or for purposes other than in direct support of NCTD business requirements.
18.2 Data Security and Ownership
a. The Contractor shall take all reasonable precautions including, management of firewalls and
prevention of unauthorized access to sensitive systems and data to ensure the safety, security
and integrity, of any The Contractor/NCTD data produced, collected or maintained relative to the
Agreement. This shall include, but is not limited to, safeguards and protections against
unauthorized access, tampering, theft and damage from malicious computer code commonly
referred as viruses, Trojan horses and worms; and also, prevent and remove, adware, spyware
and other forms of malware.
b. The Contractor shall provide a combination of network and application security, vulnerability, and risk
and compliance management services, delivered on a common and standards-based infrastructure.
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The Contractor shall follow "Best Practice Methods" regarding network security including, connection
to a third-party Internet Service Provider or wide-area-network connection to another location. A "Best
Practice Method" is defined as one that follows general information systems recommendations for
server hardware security, manufacturer and network operating system vendor recommendations, in
areas including but not limited to routers, firewalls, network security, user permissions, virus scanning,
e-mail content filtering and protection of key network passwords.
c. NCTD will own all operational data and reserves the right to request any operational data related
to safety, security, or the operations and management of the trains not stored in the NCTD
network. At the end of the Agreement, The Contractor will be required to provide all operational
data to the NCTD in an agreed-upon electronic format.
d. Authorized NCTD staff shall be provided real-time, access to management information systems, data
and reports for all available NCTD information. This data shall be able to be accessed from an NCTD
network location, using common software over a secure connection.
18.3 Asset Accounting, Inventory and Disposition
a. All current NCTD-owned assets, including computer hardware and software, paid for by NCTD and
future procurements shall be clearly marked with asset labels identifying NCTD as the equipment
owner and identifying each asset with a unique identification number. RFID asset labels can be
obtained from NCTD IT to aid in tracking of IT assets.
b. A NCTD master list of all supplied equipment shall be signed by The Contractor upon delivery. A
copy of the signed inventory list shall be kept by both parties. Periodic inventories, but not less than
one per year shall be performed on a regular basis by The Contractor who will certify that all
equipment is accounted for and in working condition, or has been decl ared surplus and is available
for NCTD-directed disposition.
c.
All IT equipment, provided or owned by NCTD shall be returned to NCTD upon Contract termination in
useable condition, normal wear and tear excepted. All equipment purchased using NCTD funds shall
become the property of NCTD, and all surplus equipment shall be returned to NCTD for disposition.
18.4 Business Continuity and Disaster Recovery
a. The Contractor shall perform all data backup at server level on the Contractor's Systems used to
provide Services in the Agreement on daily, weekly and monthly frequencies. Backup involves
integrated recovery capabilities for operating systems, databases, applications and telephone
recordings. NCTD reserves the right to review and monitor these backups to ensure they are completed
as scheduled. Daily backup will remain in-house for quick data recovery. Weekly and monthly data will
be sent offsite for storage and data retention. All data will be stored and retained throughout the term
of the Contract.
b. The Contractor shall be able to provide a temporary workplace environment or alternate work sites
during a disaster if the Stuart Mesa and SOF facilities are unavailable for any reason whatsoever.
The Contractor is required to perform quarterly disaster recovery failover testing and will provide
detailed information regarding testing methodology and estimated amount of time needed to
complete the testing on the Contractor’s systems used to provide services in the Agreement, including
network recovery as part of its IT Plan. NCTD reserves the right to participate in the disaster
recovery failover testing.
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COORDINATION
AND
REGULATORY AGENCIES
COMPLIANCE
WITH
a. The Contractor is responsible for maintaining compliance with all applicable parts of 49 CFR Section
200 to 299.
b. The Contractor is responsible for maintaining compliance with all applicable CPUC General Orders.
c.
The Contractor is responsible for maintaining compliance with all applicable Federal, State, and local
laws and regulatory requirements.
d. The Contractor shall consult, closely coordinate with, and receive approval from NCTD, prior to initiating
contact with any regulatory agencies, including the FRA or the FTA or CPUC and the Transportation
Security Administration (TSA). The Contractor shall keep NCTD fully apprised, both by immediate oral
notification and in writing, of any such discussions with FRA, FTA, CPUC, TSA or other regulatory
personnel.
e. The Contractor shall immediately notify NCTD when regulatory inspectors are on NCTD property and
shall immediately provide all inspection reports issued by regulators to NCTD. When the FRA or CPUC
recommends a violation or cites a defect, the Contractor shall provide NCTD Safety Division Chief with
a written remedial action plan, which addresses how it intends to resolve (or has already resolved) all
FRA and other regulatory violations, and any mitigating circumstances that led to violation. The
Contractor will provide the NCTD Safety Division Chief with any inspection reports recommending
violation. Any and all penalties and fines imposed regarding the violation of State and Federal codes,
regulations, and laws shall be paid by the Contractor inasmuch as the violation occurs as a result of
the Contractor's failure to perform as required by the Contract.
f. The Contractor shall maintain a current understanding of all applicable and pending regulations that
may have an impact upon rail operations. This would also include any form of Emergency Order, Safety
Advisory, Recommendation, etc. issued by a government agency. The Contractor shall maintain these
documents and provide adequate training to their staff for new regulatory requirements, safety program
enhancements, and retraining regarding current regulations to ensure that all employees affected by
such changes are properly informed and trained in a timely manner.
g. The Contractor will also be required to provide NCTD’s Safety Division, for approval, a draft written
response to all regulatory Advisories, Emergency Orders, Government Recommendations, etc.
detailing the steps that the Contractor will take to meet the requirements outlined in each document.
h. NCTD will require a pro-active approach by all The Contractors when addressing regulatory and or
safety concerns and the Contractor shall demonstrate to NCTD that every effort has been made to
achieve the level of safety outlined by such notifications, advisories, and other communications.
i.
NCTD will have the authority to mandate that any of the rail related items listed in said documents
issued by regulatory or safety agencies are complied with as NCTD deems applicable.
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OPTIONAL TASK – TRAIN MOVEMENT CONTROL
AND DISPATCHING
20.1 Train Movement, Control, and Dispatching
a. NCTD utilizes a fully-functional, FRA-compliant Centralized Traffic Control System (hereinafter
referred to as “CTC”) for train dispatching and maintenance access control services across NCTD’s
entire rail network. The Sprinter Operations Facility, located in Escondido, California, houses the
existing CTC system and workstations.
b. The Contractor shall provide all line staff, supervision, management, training, standard operating
procedures, incident and emergency response procedures, and back-up systems and support
necessary to safely and efficiently operate an FRA-compliant CTC for NCTD’s San Diego
(COASTER) and Escondido (SPRINTER) Subdivisions. Dispatching will be done in accordance with
the safety, operational and priority protocols established by NCTD.
c. NCTD plans to create a new dispatching center in the basement of its existing building at 810 Mission
Avenue in Oceanside. Currently, NCTD does not have a date certain for the opening of this new
dispatching center. Once the new center is open, the existing center will become a disaster recovery
site (still able to fully dispatch and control train movement).
d. For pricing purposes, the Contractor shall provide pricing for the Contractor to start Dispatching
effective on the Service Date with the rest of the contract. At the facility opening, the equipment in the
new dispatch center at 810 Mission Ave, Oceanside CA will be provided by NCTD.
e. The cost of moving all necessary equipment, furniture, files and paperwork, from the existing
dispatching center to the new dispatching center shall be the responsibility of the Contractor as part
of the optional task.
20.2 Performance Requirements
a. The Contractor shall staff, manage, supervise NCTD’s Dispatch Center and provide train dispatching
and maintenance access control services for both rail corridors, solely using The Contractor’s own or
authorized personnel.
b. All services provided shall be subject to and governed by all applicable operating and safety protocols,
rules, orders, procedures, and regulatory requirements of the GCOR, FRA, APTA, California Public
Utilities Commission (CPUC), and AAR as agreed to with NCTD.
20.3 Dispatching Services
The Contractor shall provide train dispatching, internal and external paging, maintenance access control
and overall rail corridor traffic management services (“Dispatching Services”) in accordance with the
protocols, schedules and priorities established by NCTD including, but not limited to:
a) Staffing, operation and management of NCTD’s Dispatch Center in Escondido or Oceanside, and
any related backup location.
b) Dispatching of all rail traffic and control of all maintenance access on both the San Diego and
Escondido Subdivisions.
c) Providing Dispatching Services predicated upon equipment schedules.
d) Providing Dispatching Services in support of Service Adjustments.
e) Interfacing with MOW for all track and signal work. Train Dispatchers or Supervisors shall interface
with any or all maintenance crews to assure the coordinated provision of passenger rail and freight
services over NCTD controlled corridors.
f)
Cooperating with all other necessary Third Parties to assure the coordinated provision of passenger
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rail and freight services over NCTD controlled corridors and authorized Right-of-Way access.
g) Controlling train movements to and from yards or other dispatch points.
h) Dispatching trains such that delays to passenger rail schedules and delays in freight services over
NCTD Subdivisions are minimized.
i)
Dispatch additional trains not originally within the Dispatching Service and Maintenance Schedules.
j)
Implementing service adjustments to minimize service delays, in cooperation with NCTD and
NCTD’s COASTER and SPRINTER O&M the Contractors, by rerouting trains and providing
additional service as required to meet NCTD’s service delivery objectives. Receiving, monitoring,
managing and processing requests for Right-of-Way maintenance access, temporary restrictions
and/or conditions, and issuing daily Track Warrants, Track Bulletins, General Orders, and other
Bulletins and Notices as required.
k) The Contractor shall continuously monitor service performance and implement an on-going service
quality and safety assurance process to maximize system safety, train on-time performance and
maintenance access efficiency.
l)
The Contractor shall cooperate develop and maintain as current emergency responder contact
information for each of the jurisdictions served by NCTD’s rail lines. The Contractor shall develop
and implement emergency and incident response and management procedures consistent with,
and in support of, NCTD’s Part 239 Passenger Train Emergency Response Plan.
m) The Contractor shall develop and implement procedures to collect all required data and prepare
and submit all reports required by FRA, CPUC, EPA, APTA, FTA and other applicable laws, rules
and regulations.
n) Dispatching training.
o) Emergency Response training in accordance with NCTD procedures for dispatchers.
p) Coordination with NCTD and Operations Contractor’s personnel and outside agencies in
Emergency Situations.
q) Handshake with SCRRA Dispatch at San Diego/Orange County Line.
r)
The Contractor shall, at NCTD’s discretion, make available GCOR-qualified professionals to
participate in and provide input into the local and regional operating rule/special instruction
development and implementation process.
s) Make all required notifications to applicable regulatory agencies, NCTD staff and the Contractors.
t)
Update platform message boards on COASTER and SPRINTER for delays or service interruptions.
u) Make station and transit center announcements as necessary to keep customers informed.
v) Manage rail replacement bus service by coordinating with bus dispatch.
w) Track and log all incidents and accidents in computerized log or database.
x) Track and maintain NCTD Twitter and Facebook, and any additional media outlets to provide train
and bus status updates to customers.
y) Coordinate with bus dispatch to maintain rail to bus connections.
z) Maintain and update paging groups on a regular basis.
20.4 Dispatch Services Organization and Staffing
a. The Contractor Personnel shall be responsible for direction, supervision and control over the safe and
efficient movement of all trains or on-track vehicles and protection of all other on-track activity in the
Service Area under the dispatch control of NCTD.
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b. The Contractor shall provide an on-site Manager for Dispatching Services empowered to make
immediate decisions as necessary to maintain the safe and efficient dispatching of the San Diego and
Escondido Subdivisions. In addition, an on-site designee, similarly empowered shall be provided in
his/her absence:
1) The On-site manager shall be solely dedicated to NCTD, as detailed herein, and not responsible
for any other project of The Contractor.
2) The assigned Manager shall also be a qualified train dispatcher and shall be exclusively
assigned the task of management of NCTD Dispatching, Train Traffic Control and Yard
Services, unless and to the extent that prior written approval to the contrary is secured from
NCTD.
3) The Contractor shall notify NCTD immediately if the Manager discontinues employment with The
Contractor or is removed from the project. The Contractor shall fill vacant positions on an interim
basis within three (3) business days and on a permanent basis within sixty (60) calendar days.
NCTD retains approval over any proposed candidate for this function.
4) NCTD shall have the right to reject the on-site contract manager at any time if it is deemed in the
best interest of NCTD. Should NCTD reject the on-site manager, The Contractor shall provide an
interim on-site manager within three (3) business days of notice by NCTD and shall provide a new
permanent on-site general manager within sixty (60) calendar days
c.
Only trained and qualified Train Dispatchers shall dispatch trains.
d. The Contractor shall, at all times during the Term of this Agreement, provide qualified personnel, in
numbers not less than that agreed-upon by NCTD and so indicated in the Agreement, to perform all
services specified in the Agreement.
e. The Contractor shall provide adequate personnel and management to operate all functions of the
dispatch center 24 hours per day, seven days per week, 365 days per year without exception.
f.
The Contractor shall have qualified reserve Train Dispatchers and other critical staff on call if an
employee does not report to work. An on-call reserve Train Dispatcher shall be required to report for
duty within two (2) hours of notification.
g. NCTD reserves the right to request that the Contractor temporarily provide staffing at other locations in
case of emergency scenarios requiring a transition between operations at the dispatch center to or from
a potential backup dispatch center.
h. The Contractor’s proposal shall include a detailed schedule and staffing plan describing the proposed
distribution of shifts, duties and the number of dispatching, support, supervisory and management staff
proposed to meet the requirements of this RFP. Staffing plan shall also include a transition and training
plan and schedule addressing the specific requirements of mobilization and assumption of dispatch
center management and control.
i.
The Contractor may propose both full and part time personnel, but shall specify to NCTD as such and
identify each employee’s hours per week. These will be categorized as such on the Contractor’s cost
forms.
j.
The Contractor shall be required to maintain the headcount levels in the Contract at all times. At no
time during the transition or the Contract period shall the Contractor alter the accepted and agreed
upon Staffing Plan without prior written consent of NCTD.
20.5 Transitioning Between Primary Dispatch and Backup
Dispatch
a. The Contractor’s proposal shall address establishing a Disaster Recovery dispatch site outside of the
primary dispatch location. NCTD desires to have mobile capabilities for disaster recovery using remote
laptop hardware utilizing a web–based architecture with hierarchical control and operations functions.
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b. NCTD shall work with The Contractor in the event of an emergency situation occurring that requires
implementation of backup procedures or transfer of control to a back-up dispatch site.
c.
The Contractor shall immediately notify the appropriate personnel, as specified in the procedures, upon
determining that an emergency situation has occurred that requires an implementation of the backup
procedures or transfer of control to a back-up dispatch site.
d. The Contractor shall be responsible for the coordination of data and control transfer between the
primary dispatch site and the back-up dispatch site in the event of an emergency situation requiring
such a transfer.
e. The Contractor shall be responsible for coordination with other the Contractors in the event of a transfer
between the primary dispatch site and the back-up dispatch site occurs.
20.6 Train Dispatching
a. Only authorized personnel shall be provided access to the dispatch center. Authorized personnel
include the Train Dispatchers, designated rail operations staff, administration staff and maintenance
personnel.
b. Authorized dispatching personnel shall be required to log-on to the Rail CTC Dispatch System.
c.
Train Dispatchers shall be responsible for correctly performing and documenting turnover procedure(s)
to or from other Train Dispatchers.
d. Both Subdivisions shall at all times be under the control of a qualified Train Dispatcher.
e. Train Dispatchers shall be responsible for correctly performing dispatch system alarm management
procedure(s) (e.g., alarm acknowledgement).
f.
Train Dispatchers shall be responsible for configuration of the system such that no dispatch alarms
may be unseen or unnoticed by a Train Dispatcher.
g. Train Dispatchers shall be subject to all pertinent regulatory requirements, including the FRA Hours of
Service rules.
20.7 Service Schedules
a. The Contractor shall be required to install, in a format required by the CAD system, the overall Service
Schedule for NCTD. The overall Service Schedule is a combination of schedules from NCTD
(COASTER & SPRINTER), the various other organizations with trains on the San Diego and Escondido
Subdivisions and maintenance and The Contractor work schedules.
b. Dispatching staff shall receive information and generate the required operating bulletins and/or
documents associated with the safe operation of the rail lines.
c.
NCTD reserves the right, at any time during the Term of this Agreement, to make changes to the Service
Schedules and will provide advance notice to the Contractor of at least fourteen (14) calendar days.
d. Advance notice to the Contractor may be less than fourteen (14) calendar days if both Parties mutually
agree, or in case of an Emergency or Force Majeure event. In this case, The Contractor shall work with
NCTD in the best interest of the rail traffic.
e. In making schedule changes, NCTD shall consult with The Contractor and shall consider the following:
(i) schedules shall promote a high degree of on-time train performance reliability; (ii) schedules shall
contain sufficient time to accommodate the operation of all other scheduled trains.
f.
The Contractor shall provide constructive input to the service schedules, provided that final approval of
all Service Schedules shall be within the sole discretion of NCTD.
g. The Contractor shall accommodate temporary schedule adjustments for emergency moves, as
directed by NCTD.
h. The Contractor shall comply with train priorities as directed by NCTD.
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20.8 Maintenance Schedules
a. Dispatching staff shall receive from the Contractor’s Maintenance-of-Way staff requests for track time
for general maintenance work by in a timely fashion prior to commencement of work, except in
emergencies or unforeseen occurrences.
b. Train Dispatcher shall interface with any or all other maintenance departments and construction the
Contractors to obtain requests for track time for maintenance work within or near the San Diego and
Escondido Subdivisions.
20.9 Rail Traffic Control & Management
a. Train Dispatchers shall comply with the General Code of Operating Rules, the SPRINTER Code of
Operating Rules, the current edition of the applicable Timetable/System Special Instructions, and all
applicable state and federal regulations governing their functions.
Train Dispatchers shall operate the CAD system at the dispatch center to perform the following
functions:
1) Manage traffic and Right-of-Way access to optimize on-time train performance and provide for the
necessary maintenance access.
2) Line routes for trains and MOW.
3) Block switches, tracks and signals.
4) Operate electric switch locks;
5) Provide Track & Time protection.
6) Provide Blue Signal protection.
7) Provide other protection for unforeseen restrictions and/or conditions that occur from time-to-time
on the railroad.
8) Periodically test and validate CAD system operation as directed by authorized system
maintenance personnel.
b. Train Dispatchers shall plan their work in such a manner as to maximize safety and to prevent
unnecessary delays to trains.
1)
Priority Order
Passenger trains are superior to and shall have priority rights over freight trains. Except in extenuating
circumstances, regular scheduled passenger trains shall not be delayed in order to accommodate the
movement of a freight train.
Scheduled passenger trains shall have priority over non-emergency MOW right-of-way access. Except
for emergencies, extenuating circumstances, or pre-approved MOW projects, regular scheduled
passenger trains shall not be delayed in order to accommodate MOW right-of-way access.
The Contractor shall comply with train priorities as dictated by NCTD.
In the event of a failure of the CAD system or any equipment that prevents sending CTC commands,
Train Dispatchers shall direct rail traffic in accordance with applicable operating rules and/or special
instructions utilizing voice communications over two-way radios or other approved communications
devices.
Train Dispatchers shall not establish unintended conflicting train movements and non-clearing meets.
2)
Vehicle Coupling and Uncoupling
Train Dispatchers shall be required to maintain identification of trains when vehicles are coupled to
form a new train or a train is decoupled into multiple vehicles.
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Train Movement Authorizations
Train Dispatchers shall issue or establish all required train movement authorities in accordance with
applicable operating rules.
a) Managing Crew Information
1. Train Dispatchers shall record and track train crew assignments and their hours-ofservice information. Train dispatching staff shall create an operations plan if any train
crew is within two hours of their hours of service limitations.
b) Managing Unusual Occurrences & Situations
1. In response to unusual occurrences or situations that disrupt normal operations, Train
Dispatchers and dispatching staff shall use their best judgment in determining a
reasonable and prudent course of action to avoid and/or minimize delays and to restore
normal operations in a safe and expeditious manner.
2. Dispatching staff shall notify the NCTD Security Control Center and appropriate
personnel when an unusual situation occurs.
c) Managing Emergency Situations
1. The Contractor shall develop and submit for NCTD approval an Emergency
Management and Response Plan and Procedures. Train Dispatchers shall be trained
and knowledgeable in the applicable elements of the BNSF rules and instructions for
managing and responding to hazardous materials and environmental emergencies. A
description of the proposed Emergency Management procedures, including field and
table top training, exercises, mock accident drills, yard evacuation procedures, and a
service recovery plan that shall address conditions resulting from major storms,
earthquakes and other occurrences that could disrupt Rail service.
2. The Contractor shall maintain accurate, up-to-date “quick-reference” emergency
response agency contact information for each jurisdiction through with the rail lines
operate. In the event of an incident, accident or emergency, Train Dispatchers or
dispatching staff shall immediately notify the appropriate law enforcement and
emergency or incident responders.
3. Dispatching staff shall cooperate fully and coordinate with NCTD’s Security Control
Center in the management and response to all incidents, accidents and emergency
situations.
4. Dispatching staff shall document all incident, accident and/or emergency response
activities and submit timely reports of such to NCTD when requested.
5. The Contractor personnel shall not discuss or divulge incident information with news
media or other non-emergency or non-regulatory personnel, except as directed by
NCTD.
6. Dispatching personnel, while concurrently taking action to restore normal service
schedule, shall comply with and support the implementation of NCTD emergency
response policies and procedures.
7. Dispatching personnel shall make, as applicable and/or required, all initial and followup incident, accident and/or emergency notifications to the National Response Center,
the FRA, the California Public Utilities Commission, US Coast Guard, local, state and
federal environmental protection agencies, and document and provide required
information to the party responsible to prepare and submit all monthly FRA reports.
d) Non-Emergency Incident Management
1. The Contractor shall promptly report to NCTD any service delay of greater than five (5)
minutes, all service disruptions or other occurrences that impact rail services. When
requested by NCTD, The Contractor shall promptly investigate and report on the
causes of service delays and disruptions.
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2. The Contractor shall be responsible for the development, documentation, maintenance
and training on all incident notification procedures, based upon existing NCTD
Emergency Response Plans.
20.10
Service Disruption
a. Service Disruptions are events or occurrences on or off the Service Area including, without limitation,
collisions, derailments, fires, fatalities or injuries, or other emergencies whose potential delay of service
requires close coordination of multiple activities.
b. The Contractor shall have primary responsibility to manage the response to and recovery from a
Service Disruption.
c. In responding to a service disruption, THE Contractor shall coordinate and fully cooperate with NCTD
and its other operating the Contractors to affect a safe and prompt service recovery.
d. The Contractor shall follow the incident management, notification and reporting protocols established
by NCTD.
20.11
Follow-Up Reporting
a. Following the occurrence of an incident, accident or emergency situation, the Contractor shall adhere
to the following sequence for follow-up reporting:
1) Within two (2) hours of restoration of all or part of the service, the Contractor shall produce a
Preliminary Report including:
a) Type of Service Disruption/Emergency
b) Impacts on and/or delays to service
c) Chronology of relevant events
2) Within twenty-four (24) hours of partial or complete restoration of service, the Contractor shall
produce a detailed Interim Report containing the following information:
a) Type of Service Disruption.
b) Effect of such disruption on trains.
c) Train number(s) and equipment number(s) directly involved.
d) Employee information for those involved in the disruption.
e) Preliminary cause of service disruption
3) Within two (2) weeks, the Contractor shall submit to NCTD, written Final Incident/Accident Report
and Analysis, as related to dispatching, that shall include, as applicable:
a) A chronology of events.
b) Relevant personnel statements
c) Subsequent findings and lessons learned.
d) Results of Drug and Alcohol Screening for Dispatchers, if applicable.
e) Dispatcher tapes.
f)
Remedial training actions.
g) Incident responses taken and effectiveness of such responses.
h) Primary and secondary findings.
i)
Corrective Action Plans
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b. If an investigation of the Service Disruption is ongoing at the time of submission of the Final
Incident/Accident Analysis Report and Analysis, the report shall be further updated and provide NCTD
the status of the investigation.
c.
If the investigation is ongoing, the Final Incident/Accident Analysis Report and Analysis shall include a
timeline for completion of the investigation and the final issuance of the report.
d. Updates to the Final Incident/Accident Analysis Report and Analysis are required every thirty (30) days
after, until the resolution is completed.
e. The Contractor shall submit a final version of the Final Incident/Accident Analysis Report and Analysis
report to NCTD that includes the data and information listed above as well as a qualitative analysis that
encompasses information obtained from the investigation.
f.
The Contractor shall meet with NCTD or other officials to discuss any Service Disruption or incident at
any time following a Service Disruption.
20.12
Maintaining Records/Reports
a. For each NCTD train (COASTER & SPRINTER) operated on each day, the Contractor shall complete
a full computer record as soon as practicable but no later than 4:00 am of the next day, including:
departure time from initial terminal; arrival time at final terminal, duration, and location of any delays
or unusual circumstances occurring enroute; identification of all crew members and identification of
all equipment used.
b. The final format of these records/reports shall be determined jointly by NCTD and The Contractor.
c.
The Contractor shall be required to maintain a record of all on-track equipment movements and that all
records and reports are prepared and transmitted as required by policy and procedure.
d. The Contractor shall be required to maintain a Train Dispatching Log and that all records and reports
are prepared and transmitted as required by policy and procedure.
e. The Contractor shall maintain all FRA-required logs and records including but not limited to: logs of
train movements, Form D movement permits, grade-crossing failures, and notes of extraordinary and
unusual events.
f.
The Contractor personnel shall produce all reports required by FRA, CPUC, EPA, APTA, FTA and other
applicable laws, rules and regulations.
g. The Contractor shall provide promptly copies of any records relating to train dispatching and CTC
operations and/or functions.
h. The Contractor shall maintain all training and qualification records for current and previous Train
Dispatchers.
i.
The Contractor shall provide promptly copies of any records relating to training and qualification of
current and previous Train Dispatchers.
20.13
Maintaining Electronic Records/Logs
a. All communications to and from the dispatch center are currently and shall be recorded including all
telephone lines, radio transmissions and other communications. The Contractor’s system shall be
required to integrate with the current recording system.
b. NCTD may task the Contractor with logging, temporary storage and sending to permanent archival any
recording media used for recorded telephone conversations, radio transmissions and other
communications.
c.
NCTD shall provide to the Contractor the consumables required to maintain temporary storage and any
agreements for permanent archival of the recording media.
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d. The Contractor shall develop and perform NCTD approved computer back-up procedures on NCTD
approved media for all electronic data related to the Contract. NCTD may at any time request and, the
Contractor shall provide, a copy of any or all back-up media to ensure compliance with procedures.
e. The Contractor shall provide all electronic records/logs requested by NCTD within an agreed upon
timeframe with NCTD.
20.14
System Safety and Security
The Contractor shall at all times conduct its operations in a safe and secure manner. The Contractor shall,
at its own expense, promptly take all precautions which are reasonable or necessary to safeguard against
risks.
Safety Audits
1) Upon request by NCTD, the Contractor shall cooperate with any audit of The Contractor’s System
Safety Program conducted by NCTD or a Third Party acting on behalf of NCTD.
2) In the event that the Contractor becomes aware of an unsafe, non-secure, or potentially unsafe or
non-secure condition on the property or with the equipment, or otherwise related to the Dispatching
and Train Traffic Control, the Contractor shall immediately take all actions required to cure such
condition, notwithstanding any other provision of this Agreement that requires or permits notice or
any other interim measure.
3) NCTD shall compensate the Contractor for reasonable costs related to the actions required to cure
unsafe, non-secure, or potentially unsafe or non-secure conditions, provided that these costs are
approved by NCTD.
20.15
Training Requirements
a. The Contractor personnel who will be Train Dispatchers shall be fully qualified for train dispatching prior
to the commencement of the Train Dispatching.
b. All Train Dispatchers shall be required to have successfully complete and pass the previously agreed
upon training courses (either previously or during the Transition Services portion of this Agreement) for
train dispatching.
c.
The Contractor shall be required to develop a Training Plan, for NCTD approval, prior to starting the
development of Train Dispatcher Courses. All training shall be fully compliant with GCOR, FRA, CPUC
and all other applicable regulatory requirements.
d. The Training Plan shall be due to NCTD sixty (60) days after NTP and be updated by the Contractor
as required.
e. The Training Plan shall include the list of proposed courses and for each proposed course: the outline,
course description, course pre-requisites, course duration, passing grade and the method(s) used for
training as well as the proposed location of the training and instructor.
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MOBILIZATION
21.1 Mobilization Services
a. the Contractor is scheduled to have a minimum of six (6) months between the Notice to Proceed and
the Commencement Date to mobilize. During the mobilization period, the Contractor shall undertake
all steps necessary to successfully commence Contract Services on the Commencement Date.
b. No later than forty-five (45) days after the Notice to Proceed, NCTD via an independent NCTD
provided auditor/consultant and the Contractor shall complete a contract assumption and joint audit
and inspection of the maintenance of equipment, transportation, and Maintenance-of-Way facilities;
the rail vehicles; railroad right-of-way infrastructure; support vehicles; and the support equipment. The
purpose of contract assumption audit and inspection shall be to identify and establish the condition of
the maintenance of equipment, transportation, and Maintenance-of-Way facilities; the rolling stock;
right-of-way infrastructure; support vehicles; and the support equipment. This initial audit and
inspection will establish the benchmark used to assess the condition and normal wear and tear on
the maintenance of equipment, transportation, and Maintenance-of-Way facilities; the rolling stock
and the support equipment at the termination of the Contract.
Except for the overhauls/capital work that The Contractor will have agreed to perform as part of this
Contract, all deficiencies to NCTD assets (including Right-of-Way assets, Signal system, Support
Vehicles, Revenue Vehicles, etc.) will be corrected before and/or during the mobilization phase of this
Contract, and the related costs of the necessary corrections will not be allocated/borne by The
Contractor. In accordance with the foregoing, NCTD’s fleet is, and/or will be, at the effective date of
the Contract in a “state of good repair”, subject to the overhauls/capital work that The Contractor will
have agreed to perform as part of this Contract
c.
As part of the Mobilization Services, the Contractor shall prepare and submit to NCTD all specific
plans identified herein. Each plan shall be in a format to be agreed upon with NCTD before its
submission.
d. Each plan shall be submitted within the time periods specified on the mobilization and procurement
schedule. The Contractor shall report on the development of each plan at weekly review meetings
with NCTD.
e. Each plan shall be approved by NCTD before it is implemented. If NCTD requires changes to a plan
to reflect The Contractor’s obligations under the Contract, the Contractor shall review the plan and resubmit it for NCTD’s review and written approval.
f.
The hiring deadlines for the following positions must be completed by January 15, 2016
(documentation required to NCTD Program Manager by close of business on January 18, 2016):








General Manager
Deputy General Manager – Operations;
Deputy General Manager – Maintenance of Equipment;
Deputy General Manager – Maintenance of Way;
Deputy General Manager – PTC, Signal, and Systems;
Deputy General Manager for Safety and Training;
Rail Capital Projects Engineer
Deputy General Manager – Dispatching (Required if NCTD executes the option to include
Dispatch services within this Agreement)
The above staff must be on site in Oceanside no later than February 1, 2016.
All other Key Management Personnel must be hired and on site (in place) no later than March 1, 2016.
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g. Rail Grinding Production Work Plan: During the Contractors’ mobilization period, it is expected that
the Contractor perform an initial rail grinding analysis to identify immediate needs based on the
Contractor’s expert analysis of the rail profile data and a pre grind field investigation by the
Contractor’s forces, the Contractor shall develop a Rail Grinding Production Work Plan for approval
by NCTD’s Project Manager. The Plan shall describe the program of rail grinding services to be
performed and that will apply NCTD’s target profiles at locations across the service property as
appropriate to further the aforementioned goals of NCTD’s program. The Plan shall include grinding
locations, number of grinding passes and speed during grinding, and proposed grinding schedule
(locations, dates, time, and duration of workdays) coordinated with NCTD’s stakeholders, train
operations and public outreach. The Plan will identify NCTD’s resource requirements for flag
protection and / or grinding support. The Plan shall provide a methodology for measurement of actual
rail ground based on production rail grinding schedule and post-grind services as described below.
21.2 Mobilization Services Master Plan
a. Proposers are required to submit a draft Mobilization Service Master Plan to support its costs and
activities during the Mobilization Period. After the contract has been awarded and NTP issued, the
successful The Contractor will have 30 calendar days to submit a final Mobilization Services Master
Plan.
b. The Mobilization Services Master Plan shall identify all Mobilization Services to be performed by The
Contractor prior to the Commencement Date. The Master Plan will include preparation of all
specifically required plans including the designated elements of the System Safety Program Plan,
Quality Control Guidelines, a staffing plan, a training plan, an equipment maintenance plan, and a
drug and alcohol testing program. The Mobilization Master Plan will include the timeline for
implementing training for understanding and use of JD Edwards or RailDOCS, or the NCTD approved
equal, the fleet maintenance information system; the Maintenance-of-Way information system for
track, signals, and grade crossings; IndustrySafe, and the material management information system.
c.
The Mobilization Services Master Plan shall include a narrative description of all tasks, objectives,
and deliverables required to successfully execute the Mobilization Services and prepare each plan.
d. The Mobilization Services Master Plan shall include a detailed schedule identifying the progress and
sequence for completing all tasks within the Mobilization Services. The schedule shall identify all
contractual milestone dates, specified dates for submission of plans and critical paths of activities.
e. The Mobilization Services Master Plan shall include an organizational chart identifying The
Contractor’s and any subthe Contractor's key management personnel, their responsibilities, and
relationships.
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APPENDICES
Appendix A: Train Schedules
Appendix A-1: COASTER Train Schedule
Appendix A-2: SPRINTER Train Schedule
Appendix B: System Timetables and Special Instructions, and General Orders
Appendix B-1: General Order No. 7 COASTER
Appendix B-2: General Order No. 7 SPRINTER
Appendix C: Asset Inventory
Appendix C-1: COASTER Revenue Vehicle Inventory
Appendix C-2: SPRINTER Revenue Vehicle Inventory
Appendix C-3: NCTD Provided Non-Revenue Vehicles
Appendix C-4: NCTD Provided Support Equipment
Appendix C-5: Example of Support Equipment Maintenance Plan
Appendix C-6: List of SPRINTER Capital Spare Parts
Appendix C-7: List of COASTER Capital Spare Parts
Appendix C-8: Decal list for COASTER and SPRINTER
Appendix D: Workmanship and Materials for Maintenance of Equipment
Appendix D-1: COASTER Workmanship and Materials for Maintenance of Equipment
Appendix D-2: SPRINTER Workmanship and Materials for Maintenance of Equipment
Appendix E: NCTD’s Standard Operating Procedures List
Appendix F: Fleet Management Plans
Appendix F-1: COASTER Fleet Management Plan
Appendix F-2: SPRINTER Fleet Management Plan
Appendix F-3: NCTD Bus Fleet Maintenance Plan: BREEZE, FLEX, LIFT and Non-Revenue
Fleet
Appendix F-4: Daily Mechanical-Crew Report
Appendix F-5: 92 day & Daily Clean Work Order
Appendix F-6: Sample SOW for F-40 Locomotives
Appendix F-7: Sample SOW for Bombardier Coaches
Appendix G: Del Mar Bluff Maintenance Memorandum of Understanding
Appendix H: NCTD Storm water Management Plan
Appendix I: SANDAG Board policy 018
Appendix J: FRA Shared Use Waiver on the SPRINTER line
Appendix K: NCTD Configuration Control Management Plan
Appendix K-1: PTC Configuration Control Management Plan
Appendix L: Fleet Control Management Plan
Appendix L-1: PTC Field Configuration Management Plan
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Appendix M: NOT USED
Appendix N: Pre-Trip Inspection Form
Appendix N-1: COASTER Pre-Trip Inspection Form
Appendix N-2: SPRINTER Pre-Trip Inspection Form
Appendix O: NCTD Emergency Response Plan
Appendix O-1: COASTER Emergency Response Plan
Appendix O-2: SPRINTER Emergency Response Plan
Appendix P: NCTD Brand Guidelines
Appendix Q: NCTD System Safety Program Plan
Appendix Q-1: COASTER System Safety Program Plan
Appendix Q-2: SPRINTER System Safety Program Plan
Appendix R: NCTD and Amtrak Rail 2 Rail Program
Appendix R-1: Amtrak Shared Use Agreement
Appendix R-2: MOU-Amtrak-NCTD-Rail 2 Rail Program
Appendix S: NCTD Right-of-Way Plans
Appendix S-1: NCTD Right-of-Way Maintenance Plan
Appendix S-2: NCTD Right-of-Way Capital Program Plan
Appendix S-3: NCTD Track Information Spreadsheet
Appendix S-4: NCTD Signal Maintenance Manual
Appendix S-5: COASTER Track Charts
Appendix S-6: SPRINTER Track Charts
Appendix T: SCCRA Agreements
Appendix T-1: SCCRA Shared Use Agreement
Appendix T-2: Executed MOU - SCRRA Mutual Aid-Fueling
Appendix T-3: Metrolink Agreement Maintenance of Equipment Services at NCTD SMMF
Appendix T-4: SCRRA Monthly Invoice
Appendix U: Deliverables List
Appendix U-1: Key Management Personnel Organizational Chart
Appendix V: NCTD Facility Management Plan
Appendix V-1: SOF Facility Equipment List
Appendix V-2: COF Facility Equipment List
Appendix W: OPS-3000 Vehicle Usage
Appendix X: MOU County of San Diego Probation Department
Appendix Y: DEV-4001 Flagging Services Administrative Procedure
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