POSITIVE TRAIN CONTROL

Transcription

1 POSITIVE TRAIN CONTROL Quarterly Report Quarter Ending June 30, 2014

2 CONTENTS 1. EXECUTIVE SUMMARY Project Overview PTC Inter-Agency Coordination PTC Operations and Maintenance Scope of Work Overview Key Issues Network Federal Communications Commission (FCC) Wayside Interface Units (WIUs) WRE s Individual Composite CRC (Cyclic Redundancy Check) Calculator (IC3) Non-compliant Components Back Office Federated Link PROGRAM MANAGEMENT Integration Management Program Governance Program Control Change Management Program/Project Management Information Systems Scope Management Configuration Control Management Quality Management Quality Plans Deficiency Notices (DN), Nonconformance Reports (NCR), Corrective Action Reports (CAR) PTC Quality Audits and Surveillances Corrective Action Reports (CAR) Quality Tasks Risk Management Stakeholder and Communications Management PROGRAM SAFETY PROGRAM PROGRESS Schedule Development Critical Path NCTD PTC Monthly Report Page i

3 5. POSITIVE TRAIN CONTROL CONTRACTS AND STATUS EXPENDITURES / FUNDING SOURCES Expenditures Funding Sources PROJECT PHOTOS NCTD Purchase Order 11046: PTC for the LOSSAN Corridor NCTD Purchase Order 13020: South COASTER Fiber NCTD Purchase Order 13035: San Diego Fiber NCTD Purchase Order 30073: PTC Signal Maintainer & WIU Installation NCTD Purchase Order 13007: CP Friar Signal Project APPENDIX A: ABBREVIATIONS NCTD PTC Monthly Report Page ii

4 1. EXECUTIVE SUMMARY 1.1. Project Overview North County Transit District (NCTD) is implementing an interoperable Positive Train Control (PTC) System on the San Diego Subdivision where passenger and freight operations are conducted (as set forth in the Rail Safety Improvement Act of 2008 (RSIA08) and 49 CFR 236 Subpart I). The purpose of a PTC System is to prevent the following: Train-to-train collisions Over speed accidents Incursion into work zones Movements through a misaligned switch by requiring automatic control systems to override mistakes by human operators This PTC System will be designed and implemented to follow the standard and guidelines established by the Interoperable Train Control (ITC) Committee. The ITC Committee is comprised of the four largest US freight railroads BNSF Railway, CSX, Norfolk Southern Railway (NS), and Union Pacific Railroad (UPRR). The NCTD goal for PTC implementation is the required December 31, 2015 completion date as stipulated in the Federal Rail Safety Act of In August 2011, NCTD procured a Vendor/Integrator contractor, Herzog Technologies Inc. (HTI), to design, install, commission, and maintain the PTC System. In addition to and in advance of the implementation of the PTC System, NCTD has assumed the management control of the San Diego Subdivision by installing a new computer-aided dispatch system, Train Management and Dispatching System (TMDS), and assumes responsibility for railroad dispatching. Previously, NCTD s dispatching was managed by Southern California Regional Rail Authority (SCRRA) using the DIGICON CTC system. NCTD awarded a contract to HTSI for CTC installation and dispatch services. The San Diego Subdivision dispatch cutover was April 2012, and the Escondido Subdivision dispatch cutover was December The new PTC system will be located at the Rail Operations Center (ROC) within the Sprinter Operations Facility (SOF) in Escondido CA. NCTD s General Administration Office (GAO) has been identified as a second location to provide geographic redundancy for both the command and control functions as well as the PTC back office functions. Once the Operations Control Center at GAO has been fully built out, GAO will be transitioned to the primary location with the ROC becoming the backup center PTC Inter-Agency Coordination Inter-Agency Coordination is one of the keys for successful implementation of the project. The PTC system must be fully and mutually compatible with host and tenant railroads. Interoperability will enable safe operation of mixed freight and passenger services to allow seamless uninterrupted movement among different host railroads. Interoperability shall be based on the ITC Committee standard and guidelines, and member governance currently in development by the UPRR, BNSF Railway, CSX, and NS. Host and tenant railroads may also execute Interoperability Agreements, which are envisioned as being similar to Shared Use Agreements. NCTD has executed Interoperability Agreements with BNSF Railway (April 2010), SCRRA (April 2010), Amtrak (March 2010) and Pacific Sun Railroad (August 2010). The San Diego Subdivision rail corridor is 60.3 miles in length from the Orange County/San Diego County line (MP 207.4) to 200 feet south of Broadway Street in San Diego (MP 267.7). NCTD PTC Monthly Report Page 1 of 44

5 The entire line is signaled CTC territory with 50% of the territory having segments of multiple main track and passing sidings. Passenger train operations on the corridor are COASTER (22 trains/weekday), Amtrak Pacific Surfliner intercity service (22-24 trains/day), and SCRRA Metrolink commuter rail services (up to 14 trains/day). Freight service on the Subdivision is BNSF Railway (4-6 trains/day) and Pacific Sun Railroad (5-10 trains/week). NCTD's COASTER service operates between the Oceanside Transit Center in Oceanside (MP 226.4) and Santa Fe Depot in San Diego (MP 267.5). NCTD s Maintenance facility is located at Stuart Mesa (MP 221.9), north of Oceanside on Camp Pendleton. This yard is also used by SCRRA Metrolink. A layover facility is located at the San Diego Trolley Yard (MP 268.4) at 12th and Imperial in Centre City San Diego where COASTER train sets are stored during midday. In addition to the NCTD COASTER service area, the tenant railroads use the corridor as follows: Amtrak's Pacific Surfliner Service - Entire subdivision, BNSF Railway - Entire subdivision, SCRRA's Metrolink Orange County Line - From Oceanside to the Orange County Line, BNSF Railway s contracted operator Pacific Sun Railroad, a Watco Company - Local freight service operating between Stuart Mesa Maintenance Facility and Miramar freight spur, and Escondido Subdivision with occasional trips to San Onofre near the Orange County Line. NCTD has organized monthly interoperability calls that include the Federal Railroad Administration (FRA), Caltrans Division of Rail, Pacific Sun, Southern California Regional Rail Authority (SCRRA), BNSF Railway, and Amtrak. NCTD also attends the LA Regional PTC Conference quarterly meeting hosted by SCRRA and attended by BNSF Railway, UPRR and Amtrak PTC Operations and Maintenance HTI was selected as NCTD s Vendor/Integrator, and included in their proposal was an option for PTC System Maintenance Services for a base period of five years with an additional five year option. Should this option be exercised, HTI would be responsible for maintenance of back-office PTC systems, on-board equipment on locomotives and cab cars, communications equipment at other base station locations, and Roadway Worker Protection (portable) equipment. At the time of award, the total original contracted amount was $32,819,671. The estimated cost for the base period of five years maintenance would be an additional $5,629,042, with a second five year maintenance period at a cost of an additional $6,624,426. The maintenance scope and fee will need to be revisited as the project progresses. For the purpose of the Office Maintenance Services, the office includes back office and network management equipment. For the office maintenance, HTI would provide a technology refresh of the hardware and technology as part of the scheduled maintenance during year four of both the five year contract and the optional five year contract. The technology refresh would consist of replacing the back office hardware, software, and firmware with the latest proven operating platform, subject to NCTD approval. NCTD PTC Monthly Report Page 2 of 44

6 1.2. Scope of Work Overview HTI and its subcontractors are solely responsible for designing and implementing a PTC system that meets FRA and other applicable requirements and is FRA approved for NCTD rail operations. HTI is required to follow the Positive Train Control Development Plan (PTCDP) submitted by the NS, CSX, and UPRR railroads and utilize it as the basis for the NCTD PTC system. This PTCDP, revised on June 1, 2011 and subsequently approved by the FRA on August 26, 2011, is known as Interoperable Electronic Train Management System (I-ETMS). HTI and its subcontractors are scoped to be following the I-ETMS Rung 1 model, which fully adheres to AAR/ITC standards and specifications, while designing the NCTD PTC system. This is in an effort to ensure FRA required "type approval" as well as streamlining the final FRA acceptance process. Any deviations from I-ETMS functionalities will require Request(s) for Amendment (RFA) to the FRA and may extend the timeline for FRA acceptance. The Contract has been awarded as a single Contract to be executed in two phases (based on available funding). Phase I includes the initial surveys, studies, and all design work necessary to amend the PTCDP submitted by NS, CSX, and UP to the FRA. Phase 2 includes all other work necessary for the design, installation and implementation of the PTC system. The PTC System is scoped to be completed by the mandated date of December 31, 2015 in accordance with the schedule defined in the Positive Train Control Implementation Plan (PTCIP), and must be compliant with standards and specifications developed by the ITC Committee for forthcoming publication by the Association of American Railroads (AAR). Safety is paramount. Consideration must also be given during the PTC System design to the NCTD level of service. The throughput (capacity) of the commuter railroad system must be maintained after PTC deployment, and the PTC System needs to support future capacity improvements and ridership growth. a. Phase 1 HTI is scoped to: i. Perform the necessary studies and surveys; attend meetings; and perform the engineering analysis, design and systems engineering necessary to amend the PTCDP per the RFA procedural requirements of 49 CFR HTI is scoped to provide all documentation, research, validation and verification services to ensure a "Type- Approved" system is provided to NCTD prior to commissioning. ii. Provide for the development and submittal of a project schedule and planning for each task of the overall PTC program. HTI is scoped to develop a design, procurement and installation milestone schedule and plan construction, testing, and certification of the specified NCTD PTC System for full deployment in accordance with the milestones and deadlines established by NCTD. As part of HTI's coordination with tenant railroads, HTI shall prepare and submit an Interoperability Coordination Plan (ICP). iii. Provide services necessary to perform detailed onboard surveys: a. Perform data collection subtasks for onboard systems. These data shall be used in designing the removal, relocation, and installation of on board systems (both existing and new systems). b. Develop and submit a Locomotive Survey Report and a Cab Car Survey Report. The survey report is intended to identify probable equipment mounting locations NCTD PTC Monthly Report Page 3 of 44

7 b. Phase 2 for all Interoperable-Electronic Train Management System (IETMS) system components, create the preliminary BOM, measure probable cable lengths required, and identify probable relocations of existing equipment. c. Develop and submit a preliminary Bill of Materials (BOM) and a baseline Installation and Relocation manual and schematics for each locomotive, cab car, and Hy-Rail vehicle type. Upon issuance of the second NTP for Phase 2 by NCTD, HTI is scoped to: i. Continue with the development, procurement, and installation of the PTC System for NCTD's PTC program. ii. Prepare all required documents for submittal to and approval by the FRA, including the PTC Safety Plan (PTCSP). iii. Provide a complete functional PTC System in accordance with the Contract Documents in compliance with the NCTD approved milestone schedule. The system is scoped to include wayside, onboard, radio communications network, and back office server segments. iv. Develop an installation milestone schedule. v. Plan construction, testing, and certification of the specified NCTD PTC System including full deployment. vi. Complete an initial design incorporating all PTC System components, including pre-ptc equipment. The PTC System proposed shall be based on NCTD's PTCIP deferred track area of the San Diego Subdivision. vii. Be responsible for ensuring proper systems engineering processes, systems integration, system function, and correct sub-systems interaction for all aspects of the NCTD PTC System and its inter-relationships, inter-dependencies, and interfaces with other equipment and systems. The furnished PTC System shall be interoperable with the PTC Systems that are being deployed in Southern California by SCRRA and BNSF. Interoperability refers to the ability of trains to cross property boundaries under PTC at territory speed without stopping to acquire authorities. The PTC System shall also require direct or throughput communications among the PTC offices of NCTD, SCRRA, and BNSF. viii. Coordinate all PTC activities with the FRA and the California Public Utilities Commission (CPUC) as necessary. ix. Establish a safety program that conforms with the requirements of 49 CFR 236 Parts 214, 218, 219, CPUC General Orders, and NCTD Operating Rules; and obtain roadway worker safety training certification for all HTI and supplier, subcontractor and subconsultant personnel who may enter the NCTD San Diego Subdivision and project right-of way. Figure 1.1 provides an overview of the NCTD PTC System Architecture. NCTD PTC Monthly Report Page 4 of 44

8 Figure 1.1: NCTD PTC System Architecture 1.3. Key Issues This section describes the key issues that are contributing to, or have the potential to contribute to, schedule slippage Network The fiber backbone was anticipated to be completed by NCTD in 2013; completion is now anticipated in the beginning of the third quarter of The Program Management Team is working to mitigate impacts to the PTC project. Final design for the network component of the PTC system was transferred into the PTC project (PO #11046) from the original contract for the PTC Network Design (PO #30066) effective in November Material has been received on-site. North segment installations are complete; south segment installations are 50% complete; San Diego installations will begin in July Federal Communications Commission (FCC) As a Federal licensing agency, the Federal Communications Commission (FCC) fulfills its responsibilities under National Environmental Policy Act (NEPA) by requiring licensees to review their proposed actions for environmental consequences (47 CFR to ). HTI is responsible for implementing NEPA through submitting a NEPA Environmental Assessment (EA) Checklist and supporting documentation to the FCC. Of the 19 base stations, nine base stations fall outside the Nationwide Programmatic Agreement or the Collocation of Wireless Antennas, Section III Collocation of Antennas on Towers Constructed NCTD PTC Monthly Report Page 5 of 44

9 on or Before March 16, HTI is required to submit an EA Checklist and supporting documentation for the remaining nine base stations prior to construction. The FCC required documentation includes: public notification, Native American consultation and Tower Construction Notification System, Survey and Viewshed Analysis, FCC 620 and 621 Application, and an EA Checklist submission. The FCC process is anticipated to complete in August Wayside Interface Units (WIUs) NCTD negotiated a change order for full validation tests at select locations, as opposed to the currently contracted reduced validation tests. A dark red bulb condition was discovered by SCRRA. PRE was informed as to what change was required, and PRE incorporated a dark red bulb fix into the first revision of NCTD s vital application programs. The modifications at EL1A and EC4 signal locations required a larger percentage of program step re-arrangement than VHLC locations. This larger percentage of re-arrangement required a full validation test instead of the reduced validation test currently contracted with TASI. This work completed in June WRE s Individual Composite CRC (Cyclic Redundancy Check) Calculator (IC3) The IC3 proposal is anticipated in the third quarter of IC3 is in development, originating as a requirement from ITC Hazard Mitigation functionality. IC3 will be required to receive Safety Certification from the FRA. I-ETMS requires IC3, which is a new subsystem and will be a component of I-ETMS release 6.3.9, to reach full Phase 1 Independent Validation Server (IVS) functionality Non-compliant Components Some PTC components installed in the locomotives and the Bombardier Cab Car (BCC) were non-compliant with 49 CFR Passenger Fire Safety requirements. Components were removed, and HTI and their subcontractor have provided new kits with compliant materials for reinstallation into the locomotives and BCC. The Fire Safety Analysis was accepted in June Back Office Integration between the Back Office Server (BOS), Interoperable Train Control Messaging (ITCM), and Computer Aided Dispatch (CAD) is a challenge, with ITCM being the most challenging. HTI is working with Meteorcomm, who is producing the design. The ITCM lab installation has been completed and test cases were successfully run. A fully functional BOS/CAD system is expected to be delivered in July Federated Link Each railroad has its own communications network. When networks are connected together so that communications can take place between nodes of one network and the nodes or central server of another network, the networks are termed federated. The connection from a railroad office to the federated network is the federated link. The NCTD federated link needs to be worked through, including connections, security protocols, and business plans. HTI is currently working to link the NCTD test lab with the BNSF test lab. The Class 1 railroads are working to develop contracts and business documents to establish the link. This is an issue the industry is working through. NCTD PTC Monthly Report Page 6 of 44

10 2. PROGRAM MANAGEMENT 2.1. Integration Management This section describes the status of integration management, program governance, program controls, and change management process and program/project management information systems Program Governance The governance for the PTC program is organized as follows: NCTD Organization Chief Development Officer: Peykan Abbassi Deputy Chief Operating Officer Rail Systems: Eric Roe Chief Technology Officer: Ryan Cashin Chief Financial Officer: Ryan Bailey Chief of Safety: Don Filippi Deputy Chief Operating Officer Rail Operations: Damon Blythe Senior Network Engineer: Roy Gilbert Rail Systems Engineer: Robert Paladino Right of Way Officer: Tim Morehead Public Outreach: Jill Gibson HNTB Organization PTC Program Manager: Mary Holland PTC Deputy Program Manager: Anna Borrell PTC Construction Manager and Program Scheduler: Essie Rahbari Document Control Coordinator: Cara Smith Business Manager: Robert Hartley Project Analyst: Matt Daniels PTC Quality Manager: Mike Phillips Program Control The PTC program has 21 active vendor-implemented projects within the PTC program. The status of each of the 21 projects is described in section 5 of this report. The following projects are in the process of closing out: Centralized Traffic Control (PO # OS) Centralized Traffic Control System Design (PO # 29314) Wayside Interface Unit (WIU) Design & Installation (PO # 29485) Centralized Traffic Control & Operations Control Center Support Services (PO # 11032) The total dollar value of the 21 vendor-implemented (active and closed) projects is $59,998, Change Management The changes that are currently in process for the 21 active vendor-implemented projects are: NCTD PTC Monthly Report Page 7 of 44

11 PTC for the LOSSAN Corridor (PO # OS) Herzog Technologies, Inc. Change Order 4 includes the deletion of existing scope associated with the Wayside Segment and peer to peer radio communications network, and the addition of installation and testing of the fiber network. Change Order 4 was executed in June. The total value of this change order is $1,089, and includes 364 calendar days of concurrent, noncompensable delay. The time extension is due to scope additions that affected the contract including: FCC process to install PTC towers Interoperable Train Control Messaging hardware and software development requiring additional integration testing, and Network design, installation, and testing. South COASTER Fiber (PO # OS) - MP Nexlevel of California, Inc. Field Work Directive 5/ Change Order 9 includes the Solana Beach conduit repairs from CP Craven to Solana Beach station and also at Lomas Santa Fe Drive. Change Order 9 was executed in May. The total value of this change order is $297,256 and extends the contract 46 calendar days. Field Work Directive 6/ Change Order 4 includes added and changed Contract work due to changed conditions. Change Order 4 was executed in June. The total value of this change order is $1,085,700. Field Work Directive 7/ Change Order 10 includes the adjustment of the contract completion date by 39 days. Included in this time extension is the requirement that impacts to traffic will end on or before July 16. San Diego Fiber Project (PO#13035 OS) The Fishel Company Field Work Directive 7 is the repair of an existing damaged two inch duct located south of Juniper Street and includes a contract extension of 7 calendar days. The field work directive was executed in May for an amount of $3, Field Work Directive 8 is the installation of a patch panel wall mount at CP Ash Communications House. The field work directive was executed in May for an amount of $2, Signal Upgrade CP Friar/Taylor Street (PO#13007 OS) Herzog Technologies, Inc. Field Work Directive 1 Includes added and changed contract work. HTI and NCTD have been negotiating this change order during the month of June. Change order approval is anticipated in July Program/Project Management Information Systems The current document control software was assessed for adequacy and will be maintained at this time. NCTD PTC Monthly Report Page 8 of 44

12 2.2. Scope Management The Contract Document Requirements List (CDRL) for the PTC project is being cross-checked against the schedule to ensure contract requirements. This task will be repeated several times throughout the duration of the program so that adjustments can be made where applicable Configuration Control Management The Configuration Control Management Plan (CCMP) and the Field Control Management Plan (FCMP) went through additional internal reviews in May and June. The FCMP was issued to the FRA for informal review; the FCMP and CCMP are planned for formal submittal to the FRA third quarter HTI continues to develop the Interface Management Plan (IMP) with submittal to NCTD anticipated in July. The next Configuration Control Board (CCB) meeting is scheduled for July; action items include establishing logistics of the CCB workflow Quality Management Quality Plans The quality plans being used for the PTC program include: NCTD Quality Plan, Rev A, January 2012 HTI PTC Project FTA Quality Management System Guidelines, FTA-PA , December 2012 HTI System Quality Plan, Rev 1, April 2012 Wabtec Quality Plan Onboard Installation, Rev 2, August 2013 Wabtec I-ETMS Onboard Software Quality Assurance Plan, Rev 1, August 2013 CCI Quality Documents, Rev 0, May 2013 HTI Quality Assurance Manual, Rev G, July 2013 NCTD Program Support and Design HNTB Quality Assurance/Quality Control Manual, Rev 1, October 2004 PRE Design Quality Process, 10/2/ Deficiency Notices (DN), Nonconformance Reports (NCR), Corrective Action Reports (CAR) The HNTB Quality Manager and the HTI System Quality Manager meet on a weekly basis to review the current status of the project DNs, NCRs, and CARs. These items are defined as follows: DNs are items that have been identified as being deficient but not in nonconformance. These items can remain installed and in operation until they are either repaired or otherwise brought out of deficient standing. NCRs are items that have been identified where there is a discrepancy in characteristic, documentation or procedure which affects form, fit, or function and renders the quality of an item unacceptable or indeterminate in regard to meeting relevant project requirements. CARs are measures taken to rectify conditions adverse to quality and to avoid repetition. NCTD PTC Monthly Report Page 9 of 44

13 Table 2.1 summarizes the total number of DNs, NCRs, and CARs that the HNTB Quality Manager is tracking for the PTC project: Table 2.1: Quality Tracking Item Quantity Open items Closed items Deficiency Notices Nonconformance Reports Corrective and Preventative Actions The work needed to resolve deficiency notices will be scheduled to coincide with other work taking place at the same locations in order to be as efficient and productive as possible PTC Quality Audits and Surveillances The HNTB Quality Manager is working with the HTI System Quality Manager on the following: Quality Records - HTI uses a project management software program called Fogbugz to conduct quality checks and to maintain quality records. Although this program is proprietary and only accessible by HTI employees, the HTI System Quality Manager will be coordinating efforts with the HNTB Quality Manager to provide quality documents in a timely fashion when requested. HTI is developing a plan to transfer all quality records over to NCTD per the contract requirements for the project. Once developed, the plan will be submitted for review. Audits - The HTI System Manager conducted an audit of Convergent Communications, Inc. (CCI) in October 2013 and submitted the Audit to NCTD in June This Audit and the procedures added to the CCI Quality Plan are under review. HTI conducted an internal audit on Process Control Corrective Action Reports (CAR) The HNTB Quality Manager is monitoring the progress of the following Corrective Action Reports for the PTC project: CAR 001 (220 MHz Antenna) Issue Date of 11/22/13 NCTD inspected and documented that the HTI subcontractor did not follow the installation guide with regard to the 220 MHz Antenna installation on top of the roof of the locomotive. This issue has been addressed by HTI directing their subcontractor to comply with the NCTD approved installation guide. Update: Corrective and Preventative Actions have been incorporated into the Installation Guides. The preventative action will be inserted into the CAR by the HTI System Quality Manager. The antennas will be reinstalled in their new location during the BCC pilot installation which began on June 25, Estimated Closure Date: 7/31/14 DN Log No CAR 002 (F59 Conduit Clamp Welding Protocol) Issue Date of 12/05/13 The HNTB Quality Manager attended a final PTC equipment installation construction inspection (surveillance) for the F59 Locomotive. It was during this surveillance when it was discovered that there was a possible welding issue that is resulting in additional monitoring by TASI staff. A conduit clamp on the wheel truck was welded by HTI s subcontractor who NCTD PTC Monthly Report Page 10 of 44

14 was not trained by TASI regarding the proper location of where to place the grounding clamps on the locomotive. As a result, the wheel bearing may have been damaged. HTI has noted the potential welding issue on their installation paperwork. The HNTB Quality Manager will be involved with the review of the CAR by HTI. Update: Information is to be added to the installation guides regarding grounding location approval prior to beginning the welding work. The preventative action will be inserted into the CAR as well as other relevant quality documents by the HTI System Quality Manager. Estimated Closure Date: 8/31/14 DN Log No CAR 003 (F40, F59, BCC Non-Compliant Materials) Issue Date of 12/18/13 NCTD received notification on December 17, 2013 that some components installed in the vehicles were non-compliant with 49 CFR Passenger Fire Safety requirements as evidenced by a Fire, Smoke, and Toxicity (FST) test. Update: Fire Safety Analysis has been completed and approved. The installation of compliant components began as part of the new Pilot installation which began on June 25, Estimated Closure Date: 7/31/14 DN Log No CAR 004 (F40 Tri-Mode Antenna) Issue Date of 3/18/14 (est.) During a survey of the F40 for the Fire Safety Analysis, Wabtec discovered that the installer had cut through some structural beams during the installation of the Tri-mode Antenna. Since this was discovered, Wabtec has developed a plan to repair the roof and the structural beams. Update: The F40 Roof and Beam Repair Procedure was approved and will be performed during the Pilot Installation. Estimated Closure Date: 8/31/14 DN Log No Quality Tasks The HNTB Quality Manager coordinated and participated in a Software Quality Assurance Plan webinar that took place on April 15 whereby HNTB, NCTD, and HTI staff were allowed to view and to ask questions pertaining to the quality procedures that Wabtec is following in the development of their software for the I-ETMS and the TMDS programs for PTC. Additional meetings have taken place to continue the review of these documents. Four documents remain to be reviewed by HNTB technical staff prior to approval of the Software Quality Assurance Plan. The Onboard installations began on June 25 and are anticipated to extend through August. The HNTB Quality Manager and the NCTD Quality Control staff are providing full-time Quality Assurance inspection services during the Pilot Installations. Network installations have also begun with continuous NCTD Quality Inspection oversight during construction. NCTD PTC Monthly Report Page 11 of 44

15 2.5. Risk Management Monitoring of project risk is ongoing by the NCTD and HTI project teams. A Risk Management Plan (RMP) has been developed and is reviewed on a monthly basis Stakeholder and Communications Management NCTD communicated to stakeholders about the broader PTC project, antenna installations, and fiber network. This included communications with City Staff, SANDAG, neighbors, written notices, communications, and website updates. Outreach prior to each tower installation and alongside the fiber work occurred in September and has been subsequently suspended while the team works through the FCC permit issues. NCTD PTC Monthly Report Page 12 of 44

16 3. PROGRAM SAFETY Per the National Transportation Safety Board (NTSB) s Safety Recommendations dated June 18, 2013, Tables 3.1 and 3.2 reflect the progress being made on the required components and training for the NCTD PTC program. The on-board installations began in June 2014 upon completion and acceptance of the fire safety analysis. The completion date for the on-board installations is May Nearly 75 percent of the wayside units have been installed. HTI s most recent estimated completion date is September Installation of the base station radios is just over 50 percent complete, with 10 of the 19 base station radios installed. The estimated completion date of the FCC process is August 2014, with the tower construction completing in September Table 3.1: Components Component Locomotives Wayside Units Switches Description F40 (x5) F59 (x2) BCC (x10) VHLC EC4 EL-1A Total Components Completed Remaining Percent Complete Estimated Completion Date % May % Sept-2014 Not Applicable Base Station Radios Meteorcomm % Sept-2014 Locomotive Radios Meteorcomm % May-2015 Wayside Radios New/novel technologies (if applicable) Not Applicable % TBD Training activities, shown in Table 3.2, are anticipated to begin in the first quarter of Table 3.2: Training Classification/ Craft Training Description Total Employees Employees Trained Employees Remaining Percent Trained Estimated Completion Date NCTD Mgmt/Ops Simulator TBD 0 TBD 0% Feb-2015 NCTD Mgmt/Ops Hy-Rail Test Vehicle TBD 0 TBD 0% Feb-2015 NCTD Operations General PTC TBD 0 TBD 0% Feb-2015 NCTD Mechanical General PTC TBD 0 TBD 0% Feb-2015 NCTD Dispatch General PTC TBD 0 TBD 0% Feb-2015 NCTD Mgmt/Ops GIS Mapping Tool TBD 0 TBD 0% Mar-2015 NCTD Mgmt/Ops Communications TBD 0 TBD 0% Feb-2015 NCTD Mgmt/Ops Back Office TBD 0 TBD 0% Mar-2015 NCTD PTC Monthly Report Page 13 of 44

17 4. PROGRAM PROGRESS 4.1. Schedule Development The PTC program schedule is being updated to incorporate Capital Improvement Projects (CIP) inputs affecting the PTC system Critical Path Figure 4.1 presents the critical path graphic for the HTI Contract No June 2014 Project Schedule Update, comparing the June 2014 critical path with the October 2013 schedule. NCTD and FRA coordination efforts have revealed that the estimated one year of FRA Review may be reduced by an estimated six months based on progressive PTCSP submittals rather than a fully complete PTCSP submittal at the conclusion of FRA testing. This has the potential to mitigate approximately six months of project delay, contingent upon the actual occurrence of events. HTI is reporting Safety Plan submittal in September Figure 4.2, Milestone Summary, shows the new PTC System Certification by the FRA completion date to be September 12, This date represents approximately nine months of total delay from the federally mandated date of December 31, The nine months of delay is partially mitigated by a six month FRA review as opposed to a 12 month FRA review. The June 2014 schedule addsadditional delay from the October 2013 update completion date. The project team continues to work to recover schedule. Figure 4.3, Schedule Summary, is a rollup of the major elements of work, with Certification and Acceptance concluding in January NCTD PTC Monthly Report Page 14 of 44

18 Figure 4.1: Monthly Progress Report - Critical Path for HTI Contract PO#11046: Oct 13 vs. June 14 NCTD PTC Monthly Report Page 15 of 44

19 Figure 4.2: Milestone Summary for HTI Contract PO#11046 Figure 4.3: Project Schedule Summary for HTI Contract PO#11046 NCTD PTC Monthly Report Page 16 of 44

20 5. POSITIVE TRAIN CONTROL CONTRACTS AND STATUS The PTC Program has 21 vendor-implemented projects from the Orange County Line to the Santa Fe Depot. The total dollar value of the 21 active vendor-implemented projects is $59,998,114, which has increased since the previous reporting due executed change orders. Table 5.1 provides at-a-glance information for the 21 projects. Additional detail on the progress and financial status is provided in Tables 5.2 through Table 5.1: PTC Program Projects Summary NCTD Tracking Number Project Name Contractor Contract Amount Status Table # on report PTC for the LOSSAN Corridor North COASTER Fiber PTC Vendor-Integrator Project Herzog Technologies, Inc. COASTER Fiber Cable & Conduit Installation Projects The Fishel Company $36,322,949 On-Going 5.2 $1,308,968 Closed South COASTER Fiber MP Nexlevel $5,685,478 On-Going San Diego Fiber The Fishel Company Other PTC Program Implemented Projects $187,037 On-Going Centralized Traffic Control HTSI $2,512,625 Close-Out Centralized Traffic Control System Design Wayside Interface Unit (WIU) Design & Installation Pacific Railway Enterprises, Inc. $323,633 Close-Out 5.7 $136,461 Close-Out Design Support During Construction $2,325,000 On-Going Centralized Traffic Control & Operations Control Center Support Services Macro Corp. $351,307 Close-Out Engineering Support Services HNTB $7,538,339 On-Going Configuration Management Software RailCar Management $688,119 On-Going Environmental Support Services BRG Consulting $661,297 On-Going CTC/PTC Network Design & Implementation $177,528 Closed PTC Network Design $81,908 Closed Test & Training Facility Equipment $170,799 Closed 5.16 Datel Systems PTC Lab Install (Task 2) $3,880 Closed Additional Requirements to PO $0 Closed Task Order: PTC Lab Cabling $12,000 Closed TMDS Network Extension $76,233 Closed PTC Signal Maintainer & WIU Installation TASI $600,306 On-Going Signal Upgrade CP Friar/Taylor Street Herzog Technologies, Inc. $834,246 On-Going 5.22 Miscellaneous* TASI Flagging and NCTD Personnel costs Pending * These miscellaneous items include potential purchase orders. When approved they will become part of the PTC Program active vendor-implemented projects NCTD PTC Monthly Report Page 17 of 44

21 Table 5.2: Positive Train Control System for the LOSSAN Corridor; NCTD PO#11046 PROJECT STATUS TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME PTC for the LOSSAN Corridor BRIEF PROJECT DESCRIPTION 6/30/2014 CONTRACTOR/CONSULTANT Herzog Technologies, Inc. The PTC System for the LOSSAN Corridor is the primary contract for implementation of the PTC system. PROJECT STATUS On-Going The Interoperability Coordination Plan continues to be under revision with coordination occurring between NCTD and their tenants. The Configuration Control Management Plan (CCMP), and Field Configuration Management Plan (FCMP) are under review; final submittals are anticipated in July. The Field Control Management Plan has been informally reviewed by the FRA and edits are underway. The Fire Safety Analysis for compliant materials was completed and approved in mid-june. The onboard pilot installations have resumed and the first vehicle (Bombardier Cab Car) is scheduled to be completed in mid-july. Change Order 4 has been executed. COMMUNICATIONS: ATCS Antenna Install Proposal is under review by HTI. Installations at 10 of 19 base station locations have been completed. Public and newspaper notifications are complete. HTI/URS and NCTD held an in-person review meeting with SHPO on June 17th. Construction is anticipated to begin once the FCC process completes in mid-august. Construction anticipated to complete in early September. ONBOARD: BCC roof repair: Items of work from the February installation remain open. Wabtec is working with Bombardier to order a replacement panel. Quality close-out documentation is being prepared. The roof repair procedure was approved for work; Wabtec plans to perform the work during the pilot retrofit. The Fire Safety Analysis was approved for work. The BCC Pilot retrofit installation started on June 25th and will be followed by the F40 and the F59 pilot. WAYSIDE: WIU installations are completed. Preliminary WIU testing is anticipated to be completed at the end of July. NETWORK: HTI is moving forward with a template approach for the site designs - 80% of site designs are complete; HTI, NCTD, and PRE meet weekly prior to installations. Network installations north of OTC have completed; installations are underway south of OTC. Fiber testing north of OTC is complete. Fiber terminations and testing south of PTC is pending completion of NCTD's fiber installation projects. Anticipated completion date for all testing is early September BACK OFFICE: ITCM 1.3 has been deployed and validated in the lab. The lab is being updated to ITCM 1.4. Production validation testing is anticipated to be complete by the end of July. Production to field pre-testing is anticipated to begin in early August. A full functional BOS/CAD system is anticipated in mid-july; sub-segment testing will begin upon arrival. IC3 documentation is under review by HTI. DOCUMENTATION: HTI received FRA's comments on the Test Waiver; HNTB has reviewed response to comments. HTI is incorporating responses. The Configuration Control Management Plan (CCMP) and Field Configuration Management Plan (FCMP) are under review; final submittals are anticipated in July. The Field Control Management Plan has been informally reviewed by the FRA and edits are underway. PTCIP and RFA NCTD has uploaded the PTCIP and RFA have been uploaded to the SIR site. PTCSP has been returned to HTI as furnish as noted; HTI is working on incorporating responses into the document. NCTD PTC Monthly Report Page 18 of 44

22 (Table 5.2 continuation from previous page) OTHER ISSUES: None. CONTRACT DATES NTP Phase 1: Development Completed Phase 2: Procurement/Installation/Testing System Safety Certification System Commissioning into Revenue Service 08/19/ /31/ /15/ /30/ /29/2016 Phase 1 includes the initial surveys, studies, and all design w ork necessary to amend the Positive Train Control Development Plan (PTCDP) submitted by NS, CSX, and UPRR to the FRA. This Phase has been completed. An amended PTCDP w as not needed at the time this phase w as completed. Once lab testing is underw ay, the PTCDP may be revisited. Phase 2 includes all other w ork necessary for the design, installation and implementation of the PTC system. 1 Date defined in the Professional Services Agreement subsection 20 Liquidated Damages. COMPLETION UPDATE Phase 1: Development Completed 100% Phase 2: Procurement/Installation/Testing 50% System Safety Certification Not Started System Commissioning into Revenue Service Not Started COST UPDATE Contract Amount $36,322,949 Spent to Date $23,196,242 Encumbered $13,126,707 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Original Contract Value $31,730,104 5-Aug-11 Change order 001 $237,000 5-Oct-12 Change order 002 $809, Jan-13 Change order 003 $2,456, Jun-13 Change order 004 $1,089, Jun-14 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD GPS Study Result for Downtown San Diego Area TMDS Back Office Server Requirements Specification PTC Production Schematic - F40 Locomotive PTC Production Schematic - F40 Locomotive Positive Train Control Safety Plan (PTCSP) Draft CCI Quality Documents Configuration Control Management Plan Configuration Control Management Plan Production I-ETMS Installation and Relocation Guide - F40 Locomotive Production I-ETMS Installation and Relocation Guide - F40 Locomotive Locomotive F40P2HM Onboard Equipment Production Bill of Materials Part Locomotive F40P2HM Onboard Equipment Production Bill of Materials Part Staging Plan PTC Production Schematic - Bi-Level Cab Car PTC Production Schematic - Bi-Level Cab Car % Network Design CP Songs PTC Equipment M.P EMI/EMC Assessment Bombardier Cab Car Production Bill of Materials Bombardier Cab Car Production Bill of Materials Bombardier Cab Car Production Bill of Materials % Network Design CP San Onofre PTC Equipment M.P NCTD PTC Monthly Report Page 19 of 44

23 (Table 5.2 continuation from previous page) % Network Design Intermediate Signal 2155 PTC Equipment M.P % Network Design CP Stuart PTC Equipment M.P % Network Design CP Farr PTC Equipment M.P Fiber Patch Cable F40 Roof and Beam Repair Procedure F40 Roof and Beam Repair Procedure Project Schedule Update February WIU Test Procedure CP Cardiff M.P NCTD Master Test Plan % Network Design CP Eastbrook PTC Equipment M.P % Network Design CP Eastbrook PTC Equipment M.P Project Schedule Update March Project Schedule Update March Project Schedule Update March I-ETMS Fire Safety Analysis Report I-ETMS Fire Safety Analysis Report I-ETMS Fire Safety Analysis Report I-ETMS Fire Safety Analysis Report % Network Design CP Escondido Jct PTC Equipment M.P % Network Design CP Escondido Jct PTC Equipment M.P % Network Design CP Longboard PTC Equipment M.P % Network Design CP Longboard PTC Equipment M.P % Network Design CP Carl PTC Equipment M.P % Network Design CP Carl PTC Equipment M.P Interim Track Chart CDU Placement and Acceptance Project Schedule Update April Project Schedule Update April Production I-ETMS Installation and Relocation Guide - Bombardier Cab Car Production I-ETMS Installation and Relocation Guide - Bombardier Cab Car Production I-ETMS Installation and Relocation Guide - Bombardier Cab Car Reassignment of Key Personnel GPS Coverage Analysis NCTD Coaster Subdivision Independent Review of Theoretical Train Braking Calculations Network Patching Spreadsheet Network Installation Templates System Network Architecture System Network Architecture PTC Production Schematic - F59 Locomotive Product Vendor List (PTCPVL) May 2014 Update % Design Test and Training Facility EL-1A Simulation Rack Locomotive F59PHI Onboard Equipment Production Bill of Materials Network Testing (NT) NCTD Radio Test Program Figure 5.1 shows the S-curve for the PTC project (PO 11046) dollars budgeted versus expended. The equation used to formulate the S-Curve is a logistic differential formula, which creates a graphic display of cumulative estimated costs plotted against time. S-Curve forecasting assumes slow initial growth, subsequent rapid growth, followed by declining growth as saturation levels are achieved. The essential NCTD PTC Monthly Report Page 20 of 44

24 concept of this function illustrates that the rate of growth is proportional to both the amount of growth already accomplished and the amount of growth remaining to be accomplished. The expended amount shows the total amount that NCTD has paid to HTI as of June 30, Figure 5.1: PTC Project (PO 11046) Budgeted versus Expended NCTD PTC Monthly Report Page 21 of 44

25 San Diego Subdivision Fiber Installation The San Diego Subdivision fiber installation is comprised of three geographically based contracts as listed below and shown in Figure 5.2: North COASTER Orange County Line to Oceanside Transit Center South COASTER Oceanside Transit Center to Old Town Transit Center San Diego Old Town Transit Center to Santa Fe Depot All three contracts include the installation of fiber conduit and cable along the San Diego Subdivision right-of-way to provide fiber for the PTC communication system. Status and financial information on the individual contracts is provided on Tables 5.3, 5.4 and 5.5. Figure 5.2: San Diego Subdivision Fiber Installation North COASTER Fiber (Orange County Line to Oceanside Transit Center) Status: Closed South COASTER Fiber (Oceanside Transit Center to Old Town Transit Center) Status: Construction underway San Diego Fiber (Old Town Transit Center to Santa Fe Depot) Status: In close-out NCTD PTC Monthly Report Page 22 of 44

26 Table 5.3: North COASTER Fiber; NCTD PO#13013 PROJECT STATUS TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME North COASTER Fiber BRIEF PROJECT DESCRIPTION 6/30/2014 CONTRACTOR/CONSULTANT The Fishel Company This contract is one of three contracts for fiber conduit and cable installation along the San Diego Subdivision right-of-way to provide fiber for the PTC communication system. Project limits are from the Orange County Line to Oceanside Transit Center. PROJECT STATUS Closed Fiber test results reviewed with no discrepancies noted. CONTRACT DATES NTP Contract Completion 11/29/ /10/2013 COMPLETION UPDATE Conduit Installation 100% COST UPDATE Contract Amount $1,308,968 Fiber Installation 100% Spent to Date $1,308,968 Encumbered $0 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Original Contract Value $1,068, Nov-12 Change order 001 $88, Jan-13 Change order 002 $56, Jan-13 Change order 003 $52, Feb-13 Change order 004 $43,078 2-Oct-13 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 23 of 44

27 Table 5.4: South COASTER Fiber; NCTD PO#13020 PROJECT STATUS TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME South COASTER Fiber 6/30/2014 CONTRACTOR/CONSULTANT MP Nexlevel BRIEF PROJECT DESCRIPTION This contract is one of three contracts for fiber conduit and cable installation along the San Diego Subdivision right-of-way to provide fiber for the PTC communication system. Project limits are from the Oceanside Transit Center to the Old Town Transit Station. PROJECT STATUS On-Going The project is currently 99% complete. NCTD and MP Nexlevel negotiated a final change order (Change Order 4) which was issued in mid-june; change order 4 incorporated all previous outstanding changes for this Contract. Change Order 9 was issued to incorporate the repair work at Solana Beach. This work started on June 16th and is anticipated to be completed in July The final fiber testing is anticipated to begin in July Change Order 10 was issued at the end of June, extending the contract completion date to August 8, CONTRACT DATES Original Contract NTP Contract Completion Amendment 1 NTP Amendment 1 Contract completion Change Order 10 Contract completion COMPLETION UPDATE Conduit Installation 100% Fiber Installation 97% 01/03/ /30/ /28/ /15/ /08/2014 COST UPDATE Contract Amount $5,685,478 Spent to Date $4,671,418 Encumbered $1,014,060 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Contract Value $4,959,010 3-Jan-13 Change order 001 $70,218 8-Apr-13 Change order 005 $7, Jan-14 Change order 006 $197,667 7-Mar-14 Field Work Directive 004 $50, Apr-14 Change order 007 $0 28-Apr-14 Change order 009 (FWD005) $297, Jun-14 Change order 004 (FWD006) $1,089, Jun-14 Change order 010 (FWD007) $0 24-Jun-14 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 24 of 44

28 Table 5.5: San Diego Fiber; NCTD PO#13035 PROJECT STATUS TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME San Diego Fiber 6/30/2014 CONTRACTOR/CONSULTANT The Fishel Company BRIEF PROJECT DESCRIPTION This contract is one of three contracts for fiber conduit and cable installation along the San Diego Subdivision right-of-way to provide fiber for the PTC communication system. Project limits are from the communication house at Old Town Transit Station to Santa Fe Depot. PROJECT STATUS On-Going All construction activity was completed on May 16,2014. The contract is not closed yet, awaiting resolution of as-built discrepancy. CONTRACT DATES NTP Contract Completion COMPLETION UPDATE Conduit Installation 98% Fiber Installation 98% 10/03/ /16/2014 COST UPDATE Contract Amount $187,037 Spent to Date $185,115 Encumbered $1,922 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Original Contract Value $161,569 3-Oct-13 Change Order 001 $ Dec-13 Change Order 002 $22, Feb-14 Change Order 003 $26, Feb-14 Change Order 004 -$29, Mar-14 Change Order 005 $5, Apr-14 Change Order 006 $3, Apr-14 Change Order 007 $3, May-14 Change Order 008 $2, May-14 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 25 of 44

29 Table 5.6: Centralized Traffic Control; NCTD PO#10054 PROJECT STATUS TABLE FOR PERIOD ENDED 6/30/2014 NCTD PURCHASE ORDER PROJECT NAME Centralized Traffic Control CONTRACTOR/CONSULTANT HTSI BRIEF PROJECT DESCRIPTION This contract is for design and support of centralized traffic control for the PTC project PROJECT STATUS Close-Out Final acceptance completed. Software license agreement is under continuing review. HTI is handling all future changes to TMDS, per HTSI maintenance agreement. This contract is complete and is in the process of being closed. CONTRACT DATES NTP Contract Completion 1 COMPLETION UPDATE - 1 Note: Date reflects PTC portion of purchase order 01/21/ /20/2012 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Contract Value $1,912, Jan-11 Change order 001 $497,684 8-Jul-11 Change order Jul-11 Change order 003 $46, Sep-11 Change order 004 $49,834 8-Dec-11 Change order 005 $2, Jan-12 Change order 006 $3, Apr-13 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD None COST UPDATE Contract Amount $2,512,625 Spent to Date $1,973,214 Encumbered $539,411 NCTD PTC Monthly Report Page 26 of 44

30 Table 5.7: Centralized Traffic Control System Design; NCTD PO#29314 PROJECT STATUS TABLE FOR PERIOD ENDED 6/30/2014 NCTD PURCHASE ORDER PROJECT NAME Centralized Traffic Control System Design CONTRACTOR/CONSULTANT Pacific Railway Enterprises, Inc. BRIEF PROJECT DESCRIPTION This contract provides design support for the centralized traffic control (CTC) system. PROJECT STATUS Close-Out This contract is complete and is in the process of being closed. CONTRACT DATES NTP Contract Completion 01/28/ /31/2015 COMPLETION UPDATE - COST UPDATE Contract Amount $323,633 Spent to Date $235,627 Encumbered $88,006 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Original Contract Value $323, May-12 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD None Table 5.8: Wayside Interface Unit (WIU) Design & Installation; NCTD PO#29485 PROJECT STATUS TABLE FOR PERIOD ENDED 6/30/2014 NCTD PURCHASE ORDER PROJECT NAME Wayside Interface Unit (WIU) Design & Installation CONTRACTOR/CONSULTANT Pacific Railway Enterprises, Inc. BRIEF PROJECT DESCRIPTION This contract provides design support and installation programming services for wayside interface units (WIU). PROJECT STATUS Close-Out This contract is complete and is in the process of being closed. CONTRACT DATES NTP Contract Completion 05/19/ /31/2015 COMPLETION UPDATE - COST UPDATE Contract Amount $136,461 Spent to Date $136,440 Encumbered $21 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Original Contract Value $136, Apr-12 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 27 of 44

31 Table 5.9: Design Support During Construction; NCTD PO#29895 PROJECT STATUS TABLE FOR PERIOD ENDED 6/30/2014 NCTD PURCHASE ORDER PROJECT NAME Design Support During Construction CONTRACTOR/CONSULTANT Pacific Railway Enterprises, Inc. BRIEF PROJECT DESCRIPTION This contract provides signal and communication systems support for the PTC project as well as inspection services. PROJECT STATUS On-Going The consultant is providing ongoing design reviews and inspection services for the PTC project. PRE is providing construction inspection services for the San Diego Fiber and the South Fiber Contracts, and monitoring contract performance, submittals, and schedule for the CP Friar project. CONTRACT DATES NTP Contract Completion COMPLETION UPDATE - 11/08/ /31/2015 COST UPDATE Contract Amount $2,325,000 Spent to Date $1,065,048 Encumbered $1,259,952 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Contract Value $2,325,000 8-Nov-11 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 28 of 44

32 Table 5.10: Centralized Traffic Control & Operations Control Center (OCC) Support Services; NCTD PO#11032 PROJECT STATUS TABLE FOR PERIOD ENDED 6/30/2014 NCTD PURCHASE ORDER PROJECT NAME Centralized Traffic Control & Operations Control Center CONTRACTOR/CONSULTANT Macro Corp. (OCC) Support Services BRIEF PROJECT DESCRIPTION This contract provides support for the centralized traffic control system and the operations control center. PROJECT STATUS Close-Out Task 1 CTC: Final acceptance is underway. Task 2: NCTD selected the 810 Mission building as the location for the Primary Operations Command Control Center. The OCC will support PTC, Code Enforcement, Call Center, Bus Dispatch, and Rail Dispatch. This project is being completed outside the PTC program; Macro s purchase order will be closing. CONTRACT DATES NTP Contract Completion COMPLETION UPDATE - 05/13/ /12/2016 COST UPDATE Contract Amount $351,307 Spent to Date $351,307 Encumbered $0 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Contract Value $351, May-11 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 29 of 44

33 Table 5.11: Engineering Support Services; NCTD PO#29935 PROJECT STATUS TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME Engineering Support Services 6/30/2014 CONTRACTOR/CONSULTANT HNTB BRIEF PROJECT DESCRIPTION This contract provides continuing support, guidance and monitoring of the PTC project. Scope includes design submittal review, as needed design work, scheduling services, and general project management. PROJECT STATUS On-Going HNTB Program Management efforts are ongoing. HNTB has assigned six full-time employees to the project. All are co-located at the NCTD offices in Oceanside (Tremont office); additional staff support is being identified to further support the PTC program and project management efforts identified as necessary by NCTD management. CONTRACT DATES NTP Contract Completion COMPLETION UPDATE - 12/07/ /31/2015 COST UPDATE Contract Amount $7,538,339 Spent to Date $3,437,697 Encumbered $4,100,642 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Contract Value $2,620,999 7-Dec-11 Amendment 1 $4,917,340 4-Mar-14 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD None Table 5.12: Configuration Management Software; NCTD PO#12024 PROJECT STATUS TABLE FOR PERIOD ENDED 6/30/2014 NCTD PURCHASE ORDER PROJECT NAME Configuration Management Software CONTRACTOR/CONSULTANT RailCar Management BRIEF PROJECT DESCRIPTION This contract scope provides track configuration management software, including implementation. PROJECT STATUS On-Going RailDOCS software is in use for all NCTD field work by TASI contractors and quality control and enforcement is underway by NCTD.Track and signal crews are using RailDOCS since January 8th, On-going expenditures are for licensing. CONTRACT DATES NTP Contract Completion 09/05/ /05/2017 COMPLETION UPDATE - COST UPDATE Contract Amount $688,119 Spent to Date $360,698 Encumbered $327,421 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Original Contract Value $688,119 5-Sep-12 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 30 of 44

34 Table 5.13: Environmental Support Services; NCTD PO#30475 PROJECT STATUS TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME Environmental Support Services 6/30/2014 CONTRACTOR/CONSULTANT BRG Consulting BRIEF PROJECT DESCRIPTION This contract provides as needed environmental support for PTC project. Initial task order was increased due to extent of environmental risks and other considerations identified in the PTC program, specifically the fiber project. PROJECT STATUS On-Going BRG is reviewing the San Diego COASTER Fiber Project, CP Friar Signal Project, and South Fiber completion. A biologist was present on the South Fiber construction site, monitoring while a boring was being drilled at Solana Beach. No other environmental issues or work window constraints are present. BRG and the construction teams will continue to monitor the development of the project plans during completion of the construction work. Efforts are provided on an as-needed basis for environmental and archeological monitoring support for the PTC Program. CONTRACT DATES NTP Contract Completion COMPLETION UPDATE - 09/18/ /31/2015 COST UPDATE Contract Amount $661,297 Spent to Date $166,976 Encumbered $494,321 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Original Contract Value $2,144, Sep-12 Contract Deduction ($1,482,800) 21-Feb-14 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD None Table 5.14: CTC/PTC Network Design & Implementation; NCTD PO#29504 PROJECT STATUS TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME CTC/PTC Network Design & Implementation BRIEF PROJECT DESCRIPTION 6/30/2014 CONTRACTOR/CONSULTANT Datel Systems This contract provides network design and implementation for the PTC project. PROJECT STATUS Closed This contract has been closed. CONTRACT DATES NTP Contract Completion 5/18/ /1/2013 COMPLETION UPDATE - COST UPDATE Contract Amount $177,528 Spent to Date $177,528 Encumbered $0 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Original Contract Value $177, May-11 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 31 of 44

35 Table 5.15: PTC Network Design; NCTD PO#30066 PROJECT STATUS TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME PTC Network Design BRIEF PROJECT DESCRIPTION 6/30/2014 CONTRACTOR/CONSULTANT Datel Systems This contract scope includes preliminary and final design for the network component of the PTC system. PROJECT STATUS Closed This contract has been closed and remaining work transferred to the Positive Train Control System for the LOSSAN Corridor, HTI purchase order CONTRACT DATES NTP Contract Completion COMPLETION UPDATE - 5/18/ /1/2013 COST UPDATE Contract Amount $81,908 Spent to Date $81,908 Encumbered $0 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Original Contract Value $81, May-11 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD None Table 5.16: Test & Training Facility Equipment; NCTD PO#13003 PROJECT STATUS TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME Test & Training Facility Equipment BRIEF PROJECT DESCRIPTION 6/30/2014 CONTRACTOR/CONSULTANT Datel Systems This contract provides as needed hardware, software, and licenses for the PTC Test & Training Facility (TTF). PROJECT STATUS Closed This contract has been closed. CONTRACT DATES NTP Contract Completion 9/21/2012 3/31/2013 COMPLETION UPDATE - COST UPDATE Contract Amount $170,799 Spent to Date $170,799 Encumbered $0 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Contract Value $170, Sep-12 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 32 of 44

36 Table 5.17: PTC Lab Install (Task 2); NCTD PO#30374 PROJECT STATUS TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME PTC Lab Install (Task 2) BRIEF PROJECT DESCRIPTION This contract provides PTC lab installation requirements under task 2. PROJECT STATUS Closed This contract has been closed. CONTRACT DATES NTP 9/21/2012 Contract Completion 3/31/2013 COMPLETION UPDATE - CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Original Contract Value $3, Sep-12 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD None 6/30/2014 CONTRACTOR/CONSULTANT Datel Systems COST UPDATE Contract Amount $3,880 Spent to Date $3,880 Encumbered $0 Table 5.18: Additional Requirements to PO 30374; NCTD PO#30616 PROJECT STATUS TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME Additional Requirements to PO BRIEF PROJECT DESCRIPTION 6/30/2014 CONTRACTOR/CONSULTANT Datel Systems This contract provides additional requirements to the PTC lab installation purchase order under task 2. PROJECT STATUS Closed This contract has been closed. CONTRACT DATES NTP Contract Completion 9/21/2012 3/31/2013 COMPLETION UPDATE The costs incurred for this purchase order were applied to COST UPDATE Contract Amount - PO # The status of this purchase order is closed. Spent to Date - Encumbered - CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Original Contract Value $8,665 5-Dec-12 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 33 of 44

37 Table 5.19: Task Order: PTC Lab Cabling; NCTD PO#30265 PROJECT STATUS TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME Task Order: PTC Lab Cabling BRIEF PROJECT DESCRIPTION This contract provides the required cabling to the PTC lab. PROJECT STATUS Closed This contract has been closed. CONTRACT DATES NTP Contract Completion COMPLETION UPDATE - 6/30/2014 CONTRACTOR/CONSULTANT Datel Systems 9/21/2012 3/31/2013 COST UPDATE Contract Amount $12,000 Spent to Date $12,000 Encumbered $0 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Original Contract Value $12, Jun-12 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD None Table 5.20: TMDS Network Extension; NCTD PO#30729 PROJECT STATUS TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME TMDS Network Extension BRIEF PROJECT DESCRIPTION 6/30/2014 CONTRACTOR/CONSULTANT Datel Systems This contract provides a temporary solution for NCTD to free up fiber for the PTC project. PROJECT STATUS Closed This contract has been closed. CONTRACT DATES NTP Contract Completion 3/6/2013 4/26/2013 COMPLETION UPDATE - COST UPDATE Contract Amount $76,233 Spent to Date $76,233 Encumbered $0 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Original Contract Value $76,233 6-Mar-13 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD None NCTD PTC Monthly Report Page 34 of 44

38 Table 5.21: PTC Signal Maintainer & WIU Installation; NCTD PO#30073 PROJECT STATUS TABLE FOR PERIOD ENDED 6/30/2014 NCTD PURCHASE ORDER PROJECT NAME PTC Signal Maintainer & WIU Installation CONTRACTOR/CONSULTANT TASI BRIEF PROJECT DESCRIPTION This contract provides for the installation and testing of the Wayside Interface Units (WIU) and the training, special tools, equipment and vehicle lease for the signal maintainer. PROJECT STATUS On-Going This work was completed in June. CONTRACT DATES NTP Contract Completion COMPLETION UPDATE - 3/2/2012 6/30/2013 COST UPDATE Contract Amount $600,306 Spent to Date $464,751 Encumbered $135,555 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Contract Value $367,875 2-Mar-12 Change order 001 $232,431 4-Mar-14 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD Intermediate CP Crosby Intermediate CP Del Mar CP Ponto Intermediate Intermediate Intermediate CP Craven Intermediate CP Valley Intermediate NCTD PTC Monthly Report Page 35 of 44

39 Table 5.22: Signal Upgrade CP Friar/Taylor Street; NCTD PO#13007 PROJECT STATUS TABLE FOR PERIOD ENDED NCTD PURCHASE ORDER PROJECT NAME Signal Upgrade - CP Friar/Taylor Street 6/30/2014 CONTRACTOR/CONSULTANT Herzog Technologies, Inc. BRIEF PROJECT DESCRIPTION Contractor will provide modernization upgrade to the civil, signaling, and communication equipment within the signaling houses at CP Friar and Taylor Street. PROJECT STATUS On-Going Project submittals continue to be submitted by HTI, with PRE and HNTB review. HTI has already installed the new house and the switch machine. HTI has stated the intent is to finish the project in late July, Change Order number 1 has been negotiated to incorporate some design changes requested by NCTD. There are few small changes under negotiation for various minor work. It is anticipated that a final change order will be negotiated and completed by mid-july CONTRACT DATES NTP Contract Completion COMPLETION UPDATE - 10/17/ /12/2014 COST UPDATE Contract Amount $834,246 Spent to Date $0 Encumbered $834,246 CONTRACT & BUDGET INFORMATION Description Contract Amount Date Executed Original Contract Value $834, Oct-13 CONTRACTOR/CONSULTANT SUBMITTALS DURING THIS PERIOD Weekly Work Plan Weekly Work Plan 6/12/2014 House lift plan HOS Records House lift plan rev.1 Fiber Distribution Panel Wayside Signals Fiber Splice Trays Results of Testing Closet Connector Housing Interlocking Controller Work Plan MTS under-track conduit crossing Taylor Street Weekly Work Plan Schedule update Signaling Work Plan Weekly Work Plan Cut-over Plans Hour by Hour San Slurry Backfill Weekly Work Plan Weekly Work Plan Weekly Work Plan Switch Machine replacement NCTD PTC Monthly Report Page 36 of 44

40 6. EXPENDITURES / FUNDING SOURCES 6.1. Expenditures Through June 2014, expenditures to date on the project total $43,343,138, or 50 percent of the project budget. The period expenditures total $3,292,493 and were primarily composed of contractor charges, followed by NCTD staff, engineering, and consultant charges. Overall, expenditures are in line with the current $87,292,969 estimate at completion. Without contingency, the project value is currently $80,007,587. NCTD is closely monitoring the budget and the impact of pending contractor change orders and schedule changes. Figure 6.1 represents the budgeted funding versus the expenditures to-date for the overall PTC Program. Figure 6.1: PTC Program Budgeted versus Expended NCTD PTC Monthly Report Page 37 of 44

41 Table 6.1 summarizes the PTC Program expenditures. Table 6.1: PTC Program Expenditures Alternative Cost Code Original FRA Budget Projected Costs Current Budget Proposed Budget Difference (increase) decrease Incurred Costs to Date 6/30/2014 Open Encumbrances Total Incurred & Encumbered Available Budget Pre-Award $ 4,009,524 $ 911,246 $ 4,608,367 $ 5,027,085 $ (418,719) $ 4,115,840 $ 911,246 $ 5,027,085 $ - Post-Award $ 83,283,445 $ 43,038,585 $ 82,684,602 $ 82,265,883 $ 418,719 $ 39,227,299 $ 22,542,495 $ 61,769,793 $ 20,496,090 Phase 1: System Development $ 7,949,248 $ - $ 7,949,248 $ 7,949,248 $ - $ 7,949,248 $ (0) $ 7,949,248 $ - Phase $ 30,270,426 $ 17,471,848 $ 25,879,840 $ 33,089,554 $ (7,209,714) $ 15,617,706 $ 13,861,765 $ 29,479,471 $ 3,610,084 Non Prime Post Award Costs $ 28,821,212 $ 20,219,190 $ 37,790,418 $ 35,785,650 $ 2,004,768 $ 15,566,460 $ 8,667,490 $ 24,233,950 $ 11,551,700 OCC: Procurement, Installation, Testing, and Implementation $ 16,242,559 $ 5,347,546 $ 11,065,096 $ 5,441,431 $ 5,623,665 $ 93,885 $ 13,239 $ 107,124 $ 5,334,307 GRAND TOTAL $ 87,292,969 $ 43,949,831 $ 87,292,969 $ 87,292,969 $ - $ 43,343,138 $ 23,453,740 $ 66,796,879 $ 20,496, Funding Sources The FRA and Prop 1A Discretionary funds comprise just over 55 percent of the overall PTC budget. Prop 1A Formula funds total 20 percent of the PTC program budget and Federal Section 5307 Formula Funds total comprise roughly 9 percent. A variety of sources make up the remaining 16 percent, with the largest component being Proposition 1B TSGP funds. Table 6.2 summarizes the PTC Program Funding. Table 6.2: PTC Program Funding Description Total Funding Federal Section 5307 Formula Funds $7,658, FRA $24,900, Prop 1A Discretionary $24,010, Prop 1A Formula $17,833, Prop 1B - PTMISEA $1,302, Prop 1B TSGP $5,757, Other State / Local Funding $3,641, TDA Article 4.0 $1,190, TransNet Major Corridor $1,000, Total $87,292, NCTD PTC Monthly Report Page 38 of 44

42 7. PROJECT PHOTOS NCTD Purchase Order 11046: PTC for the LOSSAN Corridor During the months of May and June 2014, the following photos were taken during construction: PTC for the LOSSAN corridor Switches and radio install at CP Songs May 14, 2014 PTC for the LOSSAN corridor Switch CISCO at CP Songs May 15, 2014 PTC for the LOSSAN corridor PTC installs at CP Escondido Jct. June 13, 2014 PTC for the LOSSAN corridor Wye Communication Tower June 18, 2014 NCTD PTC Monthly Report Page 39 of 44

43 NCTD Purchase Order 13020: South COASTER Fiber During the month of June 2014, the following photos were taken during construction: South COASTER Fiber Project setting up traffic and pedestrian control at Lomas Santa Fe Drive June 16, 2014 South COASTER Fiber Project Located splice in conduits and shoring in place at Lomas Santa Fe Drive June 17, 2014 South COASTER Fiber Project handhole set and final compaction test at Lomas Santa Fe Drive June 18, 2014 South COASTER Fiber Project potholing for water main at Lomas Santa Fe Drive June 20, 2014 NCTD PTC Monthly Report Page 40 of 44

44 NCTD Purchase Order 13035: San Diego Fiber During the month of May 2014, the following photos were taken during construction: San Diego Fiber Project splice tray placed into the termination box at CP Convair and CP Ash May 5, 2014 San Diego Fiber Project testing between CP Ash and CP Convair May 8, 2014 NCTD Purchase Order 30073: PTC Signal Maintainer & WIU Installation During the month of May 2014, the following photos were taken during construction: PTC Signal Maintainer & WIU Installation Application validation testing at CP Songs May 20, 2014 PTC Signal Maintainer & WIU Installation setting up for WIU testing at CP Songs May 29, 2014 NCTD PTC Monthly Report Page 41 of 44

45 NCTD Purchase Order 13007: CP Friar Signal Project During the month of May 2014, the following photos were taken during construction: CP Friar Signal Project TIS boxes setup for pretesting at CP Friar FAT Test in Texas May 8, 2014 CP Friar Signal Project straw waddles installed along drainage area at MP May 21, 2014 CP Friar Signal Project digging trench at MP June 13, 2014 CP Friar Signal Project Cables coiled & going into pull box to cross tracks at MP June 17, 2014 NCTD PTC Monthly Report Page 42 of 44