subject: request for proposal no. 65164 positive train control … · request for proposal positive...

Date: September 16, 2020

Subject: Request for Proposal No. 65164 Positive Train Control Data Distillation Tool Addendum No. 1

Dear Prospective Proposer:

Addendum No. 1 shall replace the Request for Proposal (RFP) Cover Page and Ad Page issued September 11, 2020 with the enclosed revised RFP Cover Page and Ad Page both marked Addendum No. 1 and dated September 16, 2020.

Addendum No. 1 shall replace Exhibit 1-A Scope of Services issued September 11, 2020 with the enclosed revised Exhibit 1-A Scope of Services. The new Exhibit 1-A Scope of Services is marked Addendum No. 1 and is dated September 16, 2020.

All addenda must be acknowledged on page 24 of the Professional Services Agreement. Failure to acknowledge an addendum may be cause for the proposal to be considered non-responsive.

The question and answer period date remains the same. The proposal due date remains the same.

Sincerely,

Alexis Karas Department Head Professional Services Procurement

AK/nj

REQUEST FOR PROPOSAL

POSITIVE TRAIN CONTROL DATA DISTILLATION TOOL

RFP No. 65164 PRE-PROPOSAL MEETING: September 17, 2020 at 10:00 A.M. CST RFP QUESTION DUE DATE: September 24, 2020 at 4:00 P.M. CST RFP PROPOSAL DUE DATE: October 12, 2020 at 4:00 P.M. CST SR. CONTRACTING AGENT: Nichole Jackson NORTHEAST ILLINOIS REGIONAL COMMUTER RAILROAD CORPORATION D/B/A METRA PROFESSIONAL SERVICES/CONTRACTS 547 WEST JACKSON BOULEVARD CHICAGO, IL 60661

Addendum No. 1 September 16, 2020

NORTHEAST ILLINOIS REGIONAL COMMUTER RAILROAD CORPORATION D/B/A METRA

METRA REQUEST FOR PROPOSALS (RFP) NO. 65164 Metra will not be accepting sealed hard copy proposals at its office located at 547W. Jackson Blvd., Chicago, IL 60661. In lieu of hardcopy sealed proposals, an electronic version of all proposal packages (signed agreement and exhibits, technical proposal, etc.) shall be received via email only by Nichole Jackson, Senior Contracting Agent, at [email protected] at or before 4:00 p.m. local prevailing time by the date listed below. DESCRIPTION OPENING DATE RFP No. 65164 10/12/2020 Positive Train Control Data Distillation Tool All proposals must be only in the form prescribed by Metra and must be made in accordance with this Request for Proposal and other Contract Documents, all of which are on file and available for examination at the office of Metra at the above address and are made a part of this notice as fully set forth herein. Copies of these documents can be obtained by downloading them from Metra’s website, www.metrarail.com, ABOUT METRA, METRA AND BUSINESS or from such office on written request to Metra, Materials Management Department. Vendors may request bids Monday-Friday between the hours of 8:00 A.M. to 4:00 P.M. (CST). If you have questions concerning the availability of Proposals, please contact our Plan room at (312)322-6673. Metra reserves the right to reject any proposal or any part or parts thereof or to reject any and all proposals. Metra in accordance with Title VI of the Civil Rights act of 1964, 78 Stat. 252, 43 U.S.C. 2000d to 2000d-4 and Title 49, Code of Federal Regulations, Subtitle A, Part 21 (Non-discrimination in Federally-Assisted Programs of the Department of Transportation) issued pursuant to said Act, hereby notifies all Bidders, that it will affirmatively insure that in regard to any contract entered into pursuant to this Invitation, minority business enterprises will be afforded full opportunity to submit Bids in response to this Invitation and will not be discriminated against on the grounds of race, religion, color, sex, national origin, age, or disability, in consideration for an award. NOTES:

1. The DBE goal for this requirement is 15%. 2. A Pre-Proposal Meeting will be held on Thursday, September 17, 2020 at 10:00 A.M. CST via

WebEx Video Conferencing. Attendance is encouraged, but not mandatory. All participants are required to submit an email to the Sr. Contract Agent confirming their intent to participate in the virtual pre-proposal conference prior to the start of the meeting. Attendees shall notify Nichole Jackson, Sr. Contract Agent at [email protected]. The Pre-Proposal Conference access information is located in Exhibit 1-A, Scope of Work.

3. Questions regarding this RFP shall be submitted in writing to Nichole Jackson, Senior Contract Agent via E-mail at [email protected] by 4:00 P.M. CST on September 24, 2020.

All proposals must be received at the above email NO LATER THAN 4:00 P.M. (LPT) ON OCTOBER 12, 2020. Proposals received after this date and time will not be accepted. Sr. Contracting Agent: Nichole Jackson Phone: 312.322.7816


mailto:[email protected]


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REQUEST FOR PROPOSAL NO. 65164

POSITIVE TRAIN CONTROL DATA DISTILLATION TOOL SCOPE OF SERVICES

I. INTRODUCTION Northeast Illinois Regional Commuter Railroad Corporation (NIRCRC) D/B/A Metra is the public corporation (unit of local government) that is responsible for commuter rail transportation in Cook, DuPage, Kane, Lake, McHenry, and Will Counties of Northeastern Illinois. Metra's existence resulted from legislation enacted by the Illinois General Assembly in November 1983, which reorganized the Regional Transportation Authority (RTA). The RTA, formerly responsible for all levels of public transportation policy in the region, was reorganized as a planning and oversight agency. Legislation then established the Commuter Rail Division (Metra), along with the Suburban Bus Division (Pace) and the Chicago Transit Authority (CTA) as the direct operating subsidiaries of the RTA. Under this arrangement, each of the service boards is entrusted with responsibility for policy-making with respect to actual day-to-day operations, capital investments, fare levels, and the planning service and facilities for their respective systems. Metra is one of the largest and most complex commuter rail systems in North America. The agency provides service to and from downtown Chicago with 242 stations over 11 routes totaling nearly 500 route miles and approximately 1,200 miles of track. Metra operates more than 700 weekday trains, providing about 290,000 passenger trips each weekday. Metra is responsible for 24 railyards, 565 grade crossings, 12 fuel facilities and 847 bridges.

II. POSITIVE TRAIN CONTROL (PTC) SYSTEM OVERVIEW/OBJECTIVE Metra received Revenue Service Demonstration (RSD) authorization from the Federal Railroad Administration (FRA) for all Metra territory and is currently operating all lines in PTC RSD.

Metra’s normal operation (pre-COVID-19) is 79 trains daily on the Rock Island District (RID), 159 trains daily on the Metra Electric District (MED), 30 trains daily on the SouthWest Service (SWS), 163 trains daily on the Milwaukee West District (MWD), for total of 431 trains throughout the Metra implemented Positive Train Control (PTC) territories. These numbers account for Metra operated trains only and do not account for interoperable freight traffic on these Metra territories. Furthermore, Metra currently operates yard moves that do enter what will be PTC Active territory and will also be counted as PTC trains.

Metra’s PTC Helpdesk, Metra Technical Assistance Center (MTAC), is comprised of Tier I, Tier II, and Tier III analysts. There are four (4) MTAC machines used to troubleshoot live PTC related issues on the entire Metra PTC territory.

The Metra PTC network, the network on which all PTC applications and operations occur, is comprised of many network modalities including but not limited to; traditional local area network transports, fiber optic backbones, and leased carrier circuits. This is a private network managed by network administrators from Metra, Metra Consultants, and the leased carriers. For security reasons, this network does not have public internet access.


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The current PTC system consists of, by segment and component (if a design document is available it is referenced below and provided as an appendix to this Exhibit 1-A):

• Office Segment o Train Management and Dispatch System (TMDS®) Computer Aided Dispatch

(CAD) o TMDS Back Office Server (BOS) o TMDS Mobile Device Manager (MDM) o Wabtec Wayside Status Relay Service (WSRS) o Meteorcomm Interoperable Train Control Messaging (ITCM)

Clustered environment Redundant application subsystems

o Office segment components are backed up with Active/Passive or Active/Active applications across a bifurcated, geographically diverse network with two (2) ten (10) gigabyte connections.

• Onboard Segment o Parsons Onboard Slot10 (LMS) image o 220 MHz PTC Radio

Metra radio script o Sierra Raven RV50 4G LTE cell modems

ATT & VZW o Wabtec Interoperable Electronic Train Management System (I-ETMS®)

software o Princeton Continuous Onboard Systems Management Agent (COSMA)

• Wayside Segment o Wayside Interface Units (WIUs)

Alstom Electroblox, Electrologixs, VHLC, EC4, EC5 Ansaldo Microlock

o Lilee Wayside Messaging Server (WMS) 2000 Plan to replace as these are at the end of useful life Parsons WMS image

o Ruggedcomm RS-900 o Cell modems Digi WR 21

Plan to replace as these are at the end of useful life o 220MHz PTC Radio

• Communications Segment o SolarWinds Network Management Software (NMS)

• Ticketing Systems o ServiceMax

Used by MTAC Helpdesk for ticket management Used by Signal Engineering for FRA testing and inspection, Document

Control, Hours of Service, and Inventory management o Maximo

Used by Metra to manage various work orders and inventory Metra is seeking to identify a qualified firm to provide all other work as indicated and required in this Scope of Services and attachments to this Exhibit 1-A of the RFP. Objective #1: Deploy a real-time notification and warning solution for PTC events and trends as well as collection of historical data for all previous PTC events and trends.


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Objective #2: Implement an automated reports generator that will: automate the completion of the FRA required reports of an RSD railroad in accordance with the example provided as Appendix 1; automate the production of daily reports, by district, of PTC runs that will include all of the data contained in the daily reports provided as Appendix 2; allow for ad-hoc report creation that will allow Metra to generate one-time custom reports using the historical data collected.

Objective #3: Create a user-friendly, customizable, user interface allowing the real-time viewing of collected data points of PTC events, component statuses, and system readiness.

III. SOLICITATION SCHEDULE The anticipated schedule for this procurement is outlined below for guidance. Metra reserves the right to modify the procurement schedule as circumstances may warrant.

IV. COMMUNICATIONS Questions regarding this RFP shall be submitted via email to Nichole Jackson, Sr. Contracting

Agent, at [email protected], at the time and date indicated in III. Solicitation Schedule above. Questions submitted after this date and time will not be accepted.

Prospective Proposers and their representatives shall not make any contact with or communicate

with any members of Metra, or its employees and consultants, other than the Contracting Agent regarding any aspect of this solicitation or offer.

If it should appear to a prospective Proposer that the performance of the Work under the Contract, or

any of the matters relating thereto, is not sufficiently described or explained in the solicitation or Contract documents, or that any conflict or discrepancy exists between different parts thereof or with any federal, state, or local law and any Metra ordinance, rule, regulation, or other standard or requirement, then the Proposer shall submit a written request for clarification to Metra within the time period specified above.

V. PRE-PROPOSAL MEETING

A virtual pre-proposal conference will be held at the above stated date and time. Attendance is encouraged, but not mandatory. All participants are required to submit an email to the Sr. Contract Agent confirming their intent to participate in the virtual pre-proposal conference prior to the start of the meeting. Attendees shall notify Nichole Jackson, Sr. Contract Agent at [email protected]. The Pre-Proposal Conference may be accessed through the following link:

https://metrarr.my.webex.com or by phone at 312-535-8110 Meeting number (access code): 126 683 6311 Meeting password: 3YKprZBmk53 (39577926 from phones and video systems)

To attend by video conference, WebEx will be required to be installed. Proposers shall attempt to provide as many questions as possible to the Sr. Contract Agent before the pre-proposal conference.

Date Time Activity September 11, 2020 Request for Proposal issued September 17, 2020 10:00 a.m. Pre-Proposal Meeting September 24, 2020 4:00 p.m. Questions due October 12, 2020 4:00 p.m. Proposals due *All times are LPT (Local Prevailing Time)



https://metrarr.my.webex.com/

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Metra will not respond to oral questions except those made at any pre-proposal conference. Responses made on behalf of Metra at the pre-proposal conference shall be unofficial responses. Any oral response which is not confirmed by an addendum shall not be official or binding on Metra. Any responses to written requests shall be provided by Metra in the form of addenda only.

VI. ADDENDA

Metra reserves the right to amend the RFP at any time. Any amendments to or interpretations of the RFP will be described in written addenda. Failure of any prospective proposer to receive the notification of addenda shall not relieve the proposer from any obligation under the RFP as clarified, interpreted, or modified. All addenda issued shall become part of the RFP. Failure to acknowledge in their proposals receipt of addenda may at Metra’s sole option disqualify the Proposal. All clarifications and RFP revisions will be documented in an addendum and published on Metra’s website at www.metrarail.com.

VII. PROPOSAL CONTENT AND RFP SUBMISSION REQUIREMENTS All Exhibits should be completed, dated, signed, and/or notarized (when applicable). The contract

and exhibits submitted shall be the originals provided with the solicitation package and shall not be altered or modified. Proposal submittals shall be packaged into separate files and submitted electronically in a single email as outlined below.

If the proposal does not include all executed and required documents for the Contract Proposal,

include a determinable price, or if a Proposer has failed to acknowledge an addendum, Metra may deem the proposal as non-responsive.

A. Submittal Instructions

Complete proposal submittals are due no later than October 12, 2020 at 4:00 P.M. CST. Metra does not accept late proposals. Submit proposals via email to Nichole Jackson, Sr. Contracting Agent at [email protected].

Metra will not be accepting sealed hardcopy proposals at its office located at 547 W. Jackson

Blvd., Chicago, IL 60661. In lieu of hardcopy sealed proposals, an electronic version of all proposal packages (signed agreement and exhibits, technical proposal, etc.) shall be received via email only by Nichole Jackson, Senior Contracting Agent, at [email protected] at or before 4:00 p.m. local prevailing time by the date listed above. Emails time stamped after this time will be rejected. Other electronic means of proposal submission are not acceptable (e.g. file sharing sites). Modifications to the proposal submittal will not be accepted after the proposal due date and time has passed. All references in the solicitation to receipt of “sealed” proposals shall mean that Metra will not view/open proposals submitted electronically until after the due date and time, and proposals are not subject to public opening requirements. It is highly recommended that you submit your proposals in advance of the due date and time to ensure email receipt. Metra will not accept late proposals due to technical difficulties, including firewall issues with large file sizes. Metra is not aware of any limitations on its receipt of emails with large files.

B. Proposal Format Proposals are expected to be formatted in a logical manner, as outlined here and include the specific information detail in this section. Elaborate formatting is not necessary. Do not provide promotional or advertising information, unless this information is requested and/or is necessary to support the technical submittal.


http://www.metrarail.com/

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Proposals shall be comprised of three (3) separate packages (.pdf files) and submitted as outlined below in a single email:

1. Eligibility and Certification Requirements Package

a. Completed and signed Page 24 of 24 of the Agreement for Professional Services and acknowledgement of addenda

b. Completed, notarized and signed Exhibit 1-B – Affidavits/Certifications c. Completed and signed Exhibit 1-L – DBE Compliance Requirements (if applicable) d. Submit any exceptions to Metra’s contract terms and conditions marked “Exceptions to

Metra’s Terms & Conditions” and shall reference each exception by document name and corresponding line, section, number, etc.

2. Technical Proposal Package

Technical proposal submittal shall include: a. A cover letter summarizing the proposal (not to exceed 2 pages) and an INDEX of all

documents submitted. b. One (1) complete copy of the technical proposal.

3. Price Proposal Package

Completed original Exhibit 1-C, Price Proposal.

VIII. TECHNICAL PROPOSAL CONTENT

Each technical proposal shall provide complete information about any firm involved with this proposal, including any third party vendors, so that Metra can evaluate the Proposer’s stability and ability to support the commitments set forth in response to the Request for Proposal. Metra, at its discretion, may require a Proposer to provide additional supporting documentation or clarify requested information; however, failure to conform in all material aspects as instructed or failure to submit required documentation may cause a firm to be deemed (in Metra’s sole discretion) non-responsive or may adversely affect the proposal’s evaluation.

GENERAL OUTLINE The following documents are to be completed and submitted by the Proposer as part of the Technical Proposal Submittal: A. Cover Letter

The cover letter shall identify the RFP title, proposal number, name of proposing organization, name, title, address, telephone number, email and signature of the individual authorized to negotiate and contractually bid for the Consultant during the period of the proposal evaluation and contract finalization. The cover letter should summarize key points of the proposal and should not exceed two pages in length.

B. Project Understanding and Approach

1. Statement of understanding of what would constitute a successfully completed project. 2. Proposed project approach to ensure successful outcomes 3. The organizational structure proposed to undertake this type of project. 4. Proposed timeline including dates for key project milestones and deliverables.

C. Firm Experience

1. Brief narrative indicating knowledge of subject matter and successful performance on similar types of projects completed.


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2. Five (5) projects of similar size and scope with one contactable reference person for each project.

3. Brief narrative of corporate quality control and assurance measures applied to project tasks, with one contactable reference person.

4. Length of time in business performing work of similar size and scope. 5. A separate company profile shall be provided for each Consultant and Sub-Consultant

comprising the project team as indicated in the proposal.

D. Key Personnel Experience 1. Provide a list by name, position, discipline and project role, of employees of the prime

Consultant and of the sub-Consultants that will be assigned to this project. Exception: Names are optional, but the quantity of staff is required, for unskilled, semi-skilled, counter, data-entry, and clerical non-supervisory staff.

2. Include resumes of key personnel.

E. References 1. Proposers shall supply references that will agree to speak with Metra. Metra will not call

Proposers to tell them that their references will be contacted. Proposers shall assume that all provided references will be contacted. The names, phone numbers, and email addresses of the project manager or person with broad knowledge of the project for each reference should be listed. Metra reserves the right to request and contact additional references, if deemed necessary.

2. Provide references that can provide information on both proposed products and services included in your response to this RFP. Proposers shall provide a minimum of five (5) detailed references. Ideally, references shall be similar in size to Metra and have a similar project scope. References shall include total value of the project, the value of any change orders, the initial project schedule, the actual project completion schedule and any additional project detail that you would like considered.

F. Functional Requirements 1. Ability to meet Metra’s Functional Requirements as described above in General Scope

Requirements and Functional Scope Requirements.

G. Implementation Plan 1. Fully describe all aspects of the implementation services and training required by Metra

as part of this proposal. Identify any estimates and assumptions for Metra staff to assist or support the project implementation. Fully describe any training to be provided.

H. Technical Requirements 1. Proposer shall present, in detail, features and capabilities of the proposed application

software and technical environment. At a minimum, Proposer shall present a Hosted solution, On-premise or both. Both solutions will be considered by Metra and evaluated separately. Proposers shall suggest both benefits and challenges of the solution type proposed.

2. Proposed project approach to ensure successful outcomes for an “On-Premise” solution: a. All software required for an on-premise implementation must be included in the

Solution Components of your proposal and in Exhibit 1-C, Price Proposal (e.g. Operating System, database licenses, etc.).

b. All hardware required for an On-Premise implementation shall be purchased by the Consultant and included in Exhibit 1-C, Price Proposal.

c. Proposers shall submit architecture diagram(s) outlining recommended hardware


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configurations and capacity for the proposed solution. d. On-Premise solutions shall also include a service agreement for support and updates

to keep the tool operational into the changing PTC environment. The services covered by this agreement must be clearly defined. This service agreement would include yearly cost of the agreement separate from the cost of implementing the on-premise solution. The service agreement shall be for five (5) years from implementation.

3. Proposed project approach to ensure successful outcomes for a Hosted solution: a. All software included in the Hosted solution shall be included in the Solution

Components section of your proposal and in Exhibit 1-C, Price Proposal (e.g. Operating System, database, etc.).

b. Pricing for a Hosted solution shall include any and all costs for the Hosted environment.

c. An Architecture diagram of the hosted environment is required. d. Any required contracts or agreements Metra must agree to or enter must be included

with the technical proposal submittal as described further below. This agreement would include yearly cost of the agreement separate from the cost of implementing the hosted solution. The service agreement shall be for 5 years from implementation.

NOTE: If you are submitting both an “On-Premise” and a “Hosted” solution, you must submit two

CLEARLY MARKED separate versions of your technical proposal and Exhibit 1-C, Price Proposal.

I. User Interface

1. Provide slides, navigation panes, query utilization and any/all other relevant user interface information.

J. System Integration 1. Describe the proposed solution’s ability to integrate with the existing Metra PTC

implementation without detriment to current PTC operations.

K. Solution Components 1. List of all the software products to be delivered by the proposed solution and/or required

by the proposed solution but not to be delivered by the Proposer (e.g. Microsoft Office).

L. Other Contracts and Agreements 1. Proposer shall submit with their proposal any software license agreements, service

agreements, hosting agreements, maintenance agreements, etc. that Metra will be expected to review and sign. Metra will negotiate the final terms with the successful Proposer. Any agreements presented or proposed after RFP submittal may be rejected.

M. Additional Services/Exceptions

1. Describe any other facets of your organization and your firm’s experience that are relevant to this proposal that have not been previously described and you feel warrant consideration.

2. In the event you are unable to support or perform any of the requirements in this RFP and/or attachments, please note all exceptions where appropriate within the respective documents as well in one single document, referencing each exception by document name and corresponding line, section, number, etc.


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IX. REVIEW OF PROPOSALS FOR RESPONSIVENESS AND PROPOSER FOR

RESPONSIBILITY Each proposal will be reviewed to determine if the proposal is responsive to the submission requirements outlined in this RFP and if the proposer is responsible.

A responsive proposal is one that follows the material requirements of this RFP, includes all documentation, is submitted in the format outlined in this RFP, is of timely submission, and has the appropriate signatures as required on each document. Failure to comply with these requirements may result in the proposal being deemed nonresponsive. A responsible proposer is one that demonstrates the capability to satisfy the commercial and technical requirements set forth in this RFP. A proposer’s failure to demonstrate that it is responsible may result in the proposal being rejected.

Any proposal found to be nonresponsive or any proposer that is found to be not responsible will not be considered further for award. Proposals that do not comply with the RFP instructions and requirements or do not include the required information may be rejected as insufficient and may not be further considered. Metra will provide written notification to proposers if their proposal has been deemed non-responsive. Metra reserves the right to waive minor informalities or irregularities in the proposals received and reserves the right to request a proposer to provide additional information and/or to clarify information.

X. EVALUATION COMMITEE

An evaluation committee, which may include officers, employees, and agents of Metra, will be established. The evaluation committee will carry out the detailed evaluations, including establishing the competitive range (if applicable), carrying out negotiations, and making the selection of the proposer, if any, that may be awarded the Contract. The evaluation committee will make a recommendation based on the below evaluation criteria to the awarding authority – e.g., Board of Directors.

XI. RFP PROCESS/ BASIS OF AWARD This is a Firm Fixed Price Contract. Proposals will be evaluated based on the criteria described herein. Proposals determined to be in the competitive range may be further evaluated through an interview and negotiations (including the Best and Final Offer process).

Metra may elect to conduct interviews with those Proposers who are determined to be in the competitive range. Once interviews are conducted the Evaluation Committee may conduct a final scoring of those potential Proposers in order to determine the final ranking. Additional negotiations (included Best and Final Offer process) may be necessary. Award will be made to the Proposer who represents the best overall value to Metra.

Failure of a Proposer to report for an interview will be cause for removing the Proposer’s proposal from further consideration provided that Metra has given adequate notice for the Proposer to prepare for the interview. Such adequate notice shall be determined solely by Metra. Metra reserves the right to award contracts based on the initial proposal submitted and without providing any Proposer the opportunity for interview or negotiations.


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XII. PROPOSAL EVALUATIONS AND SELECTION PROCESS The following describes the general process by which proposals will be evaluated and a selection made for a potential award. Any such selection of a proposal shall be made by consideration of only the criteria set forth below in this section.

A. This section describes requirements that must be met for a proposal to be considered for the

competitive range. The requirements are not listed in any particular order of importance. Any proposal that Metra determines is unable to meet these requirements will be excluded from further consideration. The requirements are as follows:

1. Proposer is initially evaluated as responsible in accordance with the requirements stated in the RFP, or as Metra finds it is reasonable that said proposal can be modified to meet the requirements. Final determination of responsibility will be made with final evaluations.

2. Proposer has followed the instructions of the RFP and included sufficient detailed information, such that the proposal can be evaluated. Any deficiencies in this regard must be determined by Metra to be either a defect that Metra will waive in accordance with the RFP, or that the proposal can be sufficiently modified to meet these requirements.

3. Proposal price would not render this procurement financially infeasible, or it is reasonable that such proposal price might be reduced to render the procurement financially feasible. Metra will carry out and document its evaluations in accordance with the criteria and procedures of this RFP. Any extreme proposal deficiencies that may render a proposal unacceptable will be documented. Metra will make specific note of questions, issues, concerns, and areas requiring explanation by proposers and to be discussed in any meetings with proposers that Metra finds to be within the competitive range.

Proposals Not Within the Competitive Range Proposers submitting proposals that have been determined by Metra not to be in the competitive range and cannot reasonably be made to be within the competitive range, will be notified in writing in accordance with Metra procedures. Such proposals will receive no further consideration.

Discussions with Proposers in the Competitive Range The proposers whose proposals are found by the Metra to be within the competitive range or may be reasonably improved to be within the competitive range, will be notified of any questions or requests for additional information. Metra may elect to conduct interviews with those firms in the Competitive Range, which will be scored in accordance with the technical Evaluation Criteria stated herein. Failure of a Consultant to report for an interview will be cause for removing the Consultant’s proposal from further consideration provided that Metra has given adequate notice for the Consultant to prepare for the interview.

If a proposal that has been included in the competitive range contains conditions, exceptions, reservations or understandings to any Contract requirements as provided in this RFP then said conditions, exceptions, reservations or understandings may be negotiated during these meetings. However, Metra shall have the right to reject any and all such conditions and/or exceptions and instruct the proposer to amend its proposal and remove said conditions and/or exceptions; and any proposer failing to do so may cause Metra to find the proposal to subsequently be outside the competitive range.

No information, financial or otherwise, will be provided to any proposer about any of the proposals from other proposers. Proposers will not be given a specific price or specific financial requirements that they must meet to gain further consideration, except that proposed prices may


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be considered to be too high with respect to the marketplace or otherwise unacceptable. Proposers will not be told of their rankings among the other Proposers.

If the competitive range process is used, Metra will determine the competitive range after a careful analysis of the technical and price proposals. Such determination will be at Metra’s sole discretion. Discussions and negotiations may then be carried out with only and all proposers within the competitive range. Best & Final Offers (“BAFOs”) may be requested from all within the competitive range. Metra reserves the right to award without discussions, negotiations, or any request for BAFO. Therefore, initial proposals should be submitted on the most favorable terms the Proposer can submit to Metra. Metra will award to the responsible proposer whose proposal is most advantageous and provides the best value to Metra. Accordingly, Metra may not necessarily award to the proposer with the highest technical ranking, nor to the proposer with the lowest price proposal, if doing so would not be in the overall best interest of the agency.

XIII. EVALUATON CRITERIA The following are the complete criteria, listed in descending order of importance, by which proposals from responsible proposers will be evaluated and ranked for the purposes of determining any competitive range and to make any selection of a proposal for a potential award. A. Technical Criteria

1. Functional Requirements 2. Technical Requirements 3. Flexibility and Customizability by Metra 4. User Interface 5. System Integration 6. Project Understanding & Approach 7. Firm Experience & Key Personnel Experience 8. Solution Components 9. Implementation Plan

B. Price Criteria

Pricing will be evaluated and scored separately based on the Grand Total.

XIV. SCOPE OF WORK/DELIVERABLES/PROJECT MILESTONES Consultant shall provide qualified personnel to provide the following services as requested by Metra: Provide all labor, equipment, software, configuration, licensing, implementation, training and any other services required to develop a PTC tool for Metra that will meet the objectives listed above in Section III. The tool shall be either vendor hosted or on-premise and installed in the operational PTC environment. Metra’s training shall also include complete instructions and operating manuals for continued maintenance and modification of the tool to support Metra’s future use.

A. General Scope Requirements

1. The Consultant shall coordinate all work with the Metra PM and staff for this project. 2. The Consultant shall, in addition to staffing the Key Personnel positions identified, provide

properly qualified and dedicated staff to complete this project. 3. The Consultant shall perform all work in compliance with PTC systems/requirements and

FRA Title 49 Code of Regulations Parts 233, 234, 235 and 236.


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4. Work with Metra to determine if the current infrastructure is suitable for the deployment of the tool. If changes to the infrastructure are required, the Consultant will make recommendations for Metra to alter/modify the infrastructure to support the tools deployment.

5. Work with Metra to increase efficiency and effectiveness of the Consultant provided user interface.

6. Provide Metra with recommendations to enhance the performance of the tool. 7. Provide Training and electronic copies of training material so that Metra staff can modify the

tool to support future operational needs. 8. Review and tracking of the Project Schedule. 9. Follow Metra’s TPCQMP, in their submittals, transmittals, invoices and all other

correspondence. 10. Maintain all project logs and be under the guidelines of Metra’s Third Party Consultant

Quality Management Plan (TPCQMP).

B. Functional Scope Requirements

The project scope includes development of a tool that will support PTC operations. Metra will have the rights to edit/modify this tool as needed to support ongoing PTC Operations as well as potential to support operations outside of PTC. Currently Metra is utilizing Office-Locomotive Segment ICD 3.0, with plans to migrate to ICD 3.1. The tool shall be able to determine which ICD to use based on message version field in EMP header. The tool shall be able to decode messages from either ICD and create reports accordingly. Features must include but are not limited to: 1. Office-Loco ICD 3.0

a. Recording/logging of the following, at a minimum, with the ability to create reports using custom queries:

i. Initializations: Date, Time, Unit ID, Subdivision, Location, Train Symbol, Clearance Number, Engineer ID

ii. Disengagements: Date, Time, Unit ID, Symbol, Reason for sending, State, Clearance Number,

iii. Failed states: Date, Time, Unit ID, Symbol, Reason for sending, State, Clearance Number,

iv. Failed initializations: Date, Time, Unit ID, Symbol, Resolved Approx. MP and Track

v. Enforcements: Date, Time, Unit ID, Symbol, Enforcement Type, Emergency (T/F), Target Type, Target Description, Target Speed, Target Start MP, Target Start Track, Target Start Subdivision, Target Start SCAC, Warning Start Track, Warning Start MP, Warning Train Speed, Warning Direction, Enforcement Start Track, Enforcement Start MP, Enforcement Train Speed, Enforcement Direction, Emergency Start Track, Emergency Start MP, Emergency Train Speed, Emergency Direction, Engineer Name or ID

vi. Cut-outs: Date, Time, Unit ID, Symbol, Reason for sending, State, Clearance Number

vii. Faults: Date, Time Unit ID, Locomotive State, Component, Decoded Fault(s). a.) The tool shall keep historical data sorted by unit ID of each fault

occurrence and fault time active. b.) If fault code is not decodable, the tool shall provide raw fault code

and fault name text.


EXHIBIT 1-A

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2. Office-Loco ICD 3.1

a. Recording/logging of the following at a minimum, the ability to create reports using custom queries:

i. Initializations: Date, Time, Unit ID, Subdivision, Location, Train Symbol, Clearance Number, Engineer ID

ii. Disengagements: Date, Time, Unit ID, Symbol, Reason for sending, Previous State, Current State, Clearance Number, Fault Code, MP, Track, Track SCAC, Subdivision

iii. Failed states: Date, Time, Unit ID, Symbol, Reason for sending, Previous State, Current State, Clearance Number, Fault Code, MP, Track, Track SCAC, Subdivision

iv. Failed initializations: Date, Time, Unit ID, Symbol, Reason for sending, Previous State, Current State, Clearance Number, Fault Code, MP, Track, Track SCAC, Subdivision

v. If MP and track information are not available, use the subsequent 2080 message to resolve approximate MP and track.

vi. Enforcements: Date, Time, Unit ID, Symbol, Enforcement Type, Emergency (T/F), Target Type, Target Description, Target Speed, Target Start MP, Target Start Track, Target Start Subdivision, Target Start SCAC, Warning Start Track, Warning Start MP, Warning Train Speed, Warning Direction, Enforcement Start Track, Enforcement Start MP, Enforcement Train Speed, Enforcement Direction, Emergency Start Track, Emergency Start MP, Emergency Train Speed, Emergency Direction

vii. Cut-outs: Date, Time, Unit ID, Symbol, Reason for sending, Previous State, Current State, Clearance Number, Fault Code, MP, Track, Track SCAC, Subdivision

viii. Faults: Date, Time Unit ID, Locomotive State, Component, Decoded Fault(s). a.) The tool shall keep historical data sorted by unit ID of each fault

occurrence and fault time active. b.) If fault code is not decodable, the tool shall provide raw fault code

and fault name text.

3. Notification of key PTC operational events a. Disengagements, Failed states, Failed initializations, Enforcements, Cutouts of

the system that are not crew initiated at the end of the planned run. b. Notification possible via multiple methods, at a minimum include email, via an

API to Metra’s ticketing system, and display of the issue on a vendor supplied Graphical User Interface.

i. Web browser Graphical User Interface is preferred but not required. c. Notification recipients to be configurable by type of event, fleet, location d. Notification method to be configurable by type of event, fleet, location e. Notification shall include context-specific information such as unit, symbol, time,

date, failure state, error code, etc. f. Notifications shall include Metra-owned equipment running outside of the Metra

system and Foreign Railroad-owned equipment running on the Metra system

4. The tool shall be able to display metrics regarding PTC performance based on Train runs. The tool shall be able to retrieve train run information from the dispatching


EXHIBIT 1-A

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system. The tool shall create graphical representation of captured PTC data. Graphs shall have an adjustable/selectable time frame (year, month, day, etc.). The tool shall have the ability to generate a graph including but not limited to the following data: a. Events sorted by train symbol b. Overall system success rate per day (uneventful runs). c. A comparison of the following:

i. Total Train Runs ii. En Route Failures

iii. Braking Events iv. Annulled Trains v. No Initialization Attempted/Completed

vi. Uneventful d. The tool shall also be able to display metrics regarding PTC performance based

on Opportunity Miles vs PTC Operated Miles. i. Opportunity Miles is defined as operating of a train in PTC Active

territory for a train that is: equipped and PTC ready; and, is deemed required to operate PTC by regulation; and, is deemed required to operate PTC by railroad's current operating policy.

ii. PTC Operated Miles are defined as miles traveled in the PTC Active state in area defined as Opportunity Miles.

5. Generation of operational and FRA reports a. The tool shall generate reports as defined in, but not limited to, the attached FRA

RSD Monthly Progress report. All tables and numerical data shall be auto generated into the report.

i. Missed PTC Opportunities ii. Active to Cutout transitions

iii. Active to Disengagement transitions iv. Initialization failures v. Enforcements

vi. Active Trains vii. PTC successful runs

viii. Total Train Runs

6. Data to support the (1) Notification and (2) Reporting features shall be collected and analyzed by a back office agent from: a. The PTC BOS system b. The dispatching system c. A custom ITCM messaging queue d. An onboard systems management application

7. All metrics, notifications, reports, and outputs of the tool shall be customizable and

modifiable to allow for changes to the definitions of the metrics or events.

C. Deliverables

All project documentation will be submitted to Metra in electronic format. The following documents will be kept as records:

1. PTC Software Tool 2. Source Code if applicable


EXHIBIT 1-A

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3. Meeting minutes 4. RFI log 5. Change order modifications requests 6. TPCQMP documentation 7. All submittal packages 8. Consultant invoices 9. All quality documentation as required by the TPCQMP 10. Training Material

D. Project Milestones

The project progress payments will be handled through payment milestones. These payment milestones will be as follows: 1. Deployment of a Lab Test Version of the Tool (25%) 2. Deployment of a Production Release Version of the Tool (50%) 3. Training (25%)

E. Agency Coordination and Support

The Proposer shall provide Metra with all resources needed for the planning, execution and implementation of this project. At the very minimum, Metra will provide the following resources. The Proposer shall indicate what the approximate level of effort will be for the Metra resources listed below throughout the duration of the project, as well as any additional resources the Proposer believes will be required for implementation.

1. Project Manager – primary point of contact for the duration of the project 2. Functional Expert(s) – individual(s) from the PTC division, responsible for the current

method of event tracking and report generation 3. Technical Expert(s) – familiar with the programming and configuration of the current

tools for event track and report generation 4. Infrastructure Engineer – to coordinate all activities related to installing proposed

software in Metra’s data center, for an “on-premise” solution, if selected

XV. CONSULTANT REQUIREMENTS The Consultant shall have demonstrated capability in PTC tool design and development and shall provide key personnel who have experience with PTC systems of Metra’s size or type. At minimum, the Consultant shall provide Key Personnel with the following qualifications: A. Project Manager: The Project Manager (PM) shall have at least five (5) years of directly

applicable experience on at least three (3) comparable PTC system projects. Direct experience and familiarity with Metra’s PTC system or segments of Metra’s PTC system should be identified. The PM must be available on short notice throughout the project for virtual meetings with Metra’s Engineering office.


EXHIBIT 1-A

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B. Design Engineer(s): The primary Design Engineer shall have at least five (5) years of directly applicable experience in PTC Systems on at least three (3) comparable projects for major North American Railroads. Direct experience and familiarity with Metra PTC systems or segments, operations and maintenance should be identified. The Design Engineer must be available on short notice throughout the project for onsite meetings at various Metra facilities.

Submit resumes for the key personnel that the Consultant will commit to this project. The resumes shall describe each individual’s relevant experience and dates related to that experience. Personnel shall be considered based on their prior experience on similar PTC projects, prior experience for other transportation agencies, and quality of leadership and education. Unless noted otherwise, provide resumes for all Key Personnel identified.

XVI. PLACE OF PERFORMANCE

Work will generally be performed at Consultant’s place(s) of business and at various locations within the six county Metra region. Status/coordination meetings may take place at Metra’s office at 547 W. Jackson Boulevard, Chicago, IL 60661. Work at other Metra locations/facilities may be performed during the duration of the Contract.

XVII. PERIOD OF PERFORMANCE The period of performance for implementation of this solution is one (1) year from date of Notice to Proceed issued by the Professional Services Procurement Department. The period of performance for the service agreement is five (5) years from date of Final Implementation & Deployment as accepted by Metra.

XVIII. DISADVANTAGED BUSINESS REQUIREMENT

The Disadvantaged Business Enterprise (DBE) goal for this project is fifteen (15%) percent.

XIX. STATEMENT OF OFFER By submitting your proposal, you are stating that the proposal is valid for 180 days after the proposal due date.

XX. MODIFICATION OR WITHDRAWAL OF PROPOSALS A modification of a proposal already received will be accepted by Metra only if the modification is received prior to the proposal due date, is specifically requested by Metra, or is made with a requested BAFO. All modifications shall be made in writing and executed and submitted in the same form and manner as the original proposal.

A Proposer may withdraw a proposal already received prior to the proposal due date by submitting to Metra, in the same manner as the original proposal, a written request for withdrawal executed by the proposer’s authorized representative. The withdrawal of a proposal does not prejudice the right of a proposer to submit another proposal within the time set for receipt of proposals.

XXI. NEGOTIATION DELAY

If a written Contract cannot be negotiated within thirty days of notification of the successful Proposer, Metra at its sole discretion at any time thereafter, terminate negotiations with that Proposer and either negotiate a Contract with the next qualified Proposer or choose to terminate the RFP process and not enter into a Contract with any of the Proposers.

XXII. RESERVATIONS

Proposers should read and understand the solicitation and tailor their proposal to ensure compliance. Metra reserves the right to: (i) amend the solicitation; and (ii) reject any or all proposals/options


EXHIBIT 1-A

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submitted. Metra is not responsible for and will not pay any costs associated with the preparation and submission of your proposal. By submitting a proposal, Proposer agrees it shall not have any rights against Metra arising at any state of the solicitation from any negotiations that take place, or from the fact that Metra does not select a Proposer for negotiation, or because Metra chooses another Proposer with whom to contract. If your firm is selected, you shall not commence, and will not be paid for any work performed prior to the date all parties execute the contract and Metra issues a Notice to Proceed letter.

XXIII. CONTRACT AWARD AND EXECUTION

A Proposer’s participation in this RFP is at its own risk. Whether or not Metra chooses to make an award, or take any other permitted action under this RFP, Proposer will have no cause of action for failure to receive award.

XXIV. COST OR PRICE ANALYSIS

Metra may make a cost or price analysis in conjunction with this RFP. If Metra cannot perform the needed analysis, Metra may obtain the services of a qualified firm to perform the analysis.

By submitting its proposal, the Proposer agrees to furnish, upon request from Metra, all information (including a list of subconsultants and suppliers and their prices) reasonably necessary for such analysis. Furthermore, Metra may request that the Proposer show, in detail, the kinds, quantities, and prices of direct material and direct labor used to develop prices/costs submitted in the proposal.

In addition, Metra reserves the right to request and receive information explaining any estimating process, including the factors, methods, and assumptions used to project from known data, and the contingencies used. Metra may require the Proposer to show how it computes and applies indirect costs and to show trend and budgetary data.

XXII. GOVERNING LAW AND FORUM This Request for Proposal and any resulting contract therefrom shall be governed by the laws of the State of Illinois, and venue for any disputes that may arise shall be either the Circuit Court of Cook County Illinois or the United States District Court for the Northern District of Illinois.

XXV. FOIA REQUIREMENTS

Metra is subject to the Illinois Freedom of Information Act (5 ILCS 140/1 et seq., “FOIA”), and pursuant to FOIA, your proposal and any subsequent agreement is subject to disclosure. In addition, from time to time, Metra may be required to produce certain “public records” as defined in Section 2 of the FOIA, that are in the possession of or under the control of proposer/operator. Upon Metra’s notification to proposer/operator of a request pursuant to the FOIA, proposer/operator will, within two (2) business days of Metra’s notice, either (i) produce the public records, (ii) notify Metra, in writing, that additional time is required to produce the public records, or (iii) notify Metra, in writing, that the public records do not exist or have been destroyed. In the event that proposer/operator requires additional time to produce the public records, the written notification under (ii), above, will provide an explanation for the delay and the date when the public records will be received from proposer/operator by Metra. Proposer/operator agrees that in no event shall a delay to produce records exceed five (5) business days.

XXVI. PROPOSAL PROTEST PROCEDURE

Metra will use, if necessary, the applicable provisions of its Bid Protest Procedures ("Procedures") for this RFP. References under the Procedures to bid, bidders, and lowest bidder will mean proposal, Proposers, and highest ranked proposal, respectively. The Proposers have the right to protest the RFP. There are important time limits set forth in the Procedures which are summarized here, but this


EXHIBIT 1-A

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paragraph is not meant to be a substitute for the Procedures. For a complete copy of Metra's Procedures or any related questions, contact the Contract Officer. In general, the Procedures will control in the case of a discrepancy between this RFP and the Procedures. Deadlines contained in this Section will control over those set-out in the Procedures, and the roles of Department Head, Materials Management, and Executive Director, as used in the Procedures, may be adjusted as necessary.

XXVII. CONFLICT OF INTEREST Consultant agrees that the Consultant is prohibited from performing any work or services for Metra which conflicts with the role of the Consultant in any other contract between the Consultant and Metra. This paragraph is also applicable to all sub-consultants which are proposed to be uses by the Consultant for the proposed services. The Consultant has sole responsibility for compliance with this provision. The Consultant is prohibited from performing any work or services for Metra which would result in an organizational conflict of interest (OCI). An OCI occurs when, because of other activities or relationships with other persons, (1) a person is unable or potentially unable to render impartial assistance or advice to Metra or the person’s objectivity in performing services to Metra is or might otherwise be impaired, or (2) a person has an unfair competitive advantage (the term “person” includes companies and other contracting entities). OCIs generally fall into three categories: (a) a person has access to non-public information a part of its performance of services to Metra that might provide that person with a competitive advantage in a future procurement; (b) a person, as a part of its performance of contract responsibilities to Metra, has set the ground rules for the performance of a future contract (e.g. defining the specifications); and (c) a person’s work under one contract with Metra could entail evaluating its own work or that of a competitor, either through an assessment of performance under another Consultant through an evaluation of proposals. In the event of an OCI, Consultant shall provide Metra with recommendations to avoid, neutralize, or mitigate the OCI. The Sr. Div. Director, General Administration in consultation with General Counsel shall make the final determination as to whether an OCI exists and whether the Consultant’s recommendations to avoid, naturalize, or mitigate the OCI are sufficient. If awarded a Contract, any violation of this provision will constitute a material breach of the Contract, which is cause for termination of the Contract.


FRA Docket No. 2010-042 - Metra Page 1 Month: APR 2018

Metra Revenue Service Demonstration (RSD) Monthly Report for the Federal Railroad Administration (FRA)

Following contains the required information for FRA Monthly reporting as outlined in Condition 17 of the Metra RSD approval letter dated September 25,2018 (Docket Number FRA-2010-0042). The information provided contains the same numbering sequence as contained Metra’s RSD Plan Appendix B-Metra Monthly Report for FRA.

General RSD Operational Summary: During the month of April 2019, Metra operated 527 trains with no critical anomalies while I-ETMS wasoperative, and completed 506 successful RSD runs with 1416 missed opportunities. Of these missed opportunities, 1398 were planned missedopportunities. During this period, Metra experienced 3 PTC system anomalies or failures in potential RSD runs that prevented successful start orcompletion of a run.

General RSD Operations SummaryApril 2019

Total Trains Operated 527Successful RSD Runs 506Missed Opportunities 1416Planned Missed Opportunities 1398System Anomalies or Failures 3Total completed RSD runs 506

a. Train Start Information(i) In the month of April 2019, there were a total of 1925 train starts on Metra Territory.

(ii) Of those total train starts, 1925 had an I-ETMS-equipped locomotive/cab car in the lead.(iii) Metra had 527 train starts with I-ETMS operative.(iv) Metra experienced 56 Penalty Brake Applications [refer to Section (c)] during RSD operations.(v) Of the 527 runs with I-ETMS operative, 0 runs had a mismatch between PTC electronic bulletins and paper-issued bulletins.

April 2019 Train Start Information(i) Train Starts 1925(ii) Train starts with I-ETMS equipped head-end 1925(iii) Train starts with I-ETMS Active 527(iv) Penalty brake applications [refer Section (c)] 56(v) Train starts with I-ETMS Active and bulletin mismatch 0


Exhibit 1-A Appendix 1


b. Missed OpportunitiesThe table lists Metra’s missed opportunities for a potential PTC Active RSD run. Metra defines a missed opportunity as a train start without PTCActive, or intent on transitioning to PTC Active upon entry into PTC Active territory where the following conditions are met; (1) on the approvedRSD territory, (2) where the head end of that train is fully equipped, (3) and formally commissioned for PTC duty.

In accordance with Metra’s RSD Plan, Metra will begin RSD with only a few selected trains running PTC Active each day. As progress is made andno critical issues are found, Metra will begin to increase the number of trains running PTC Active on the approved RSD territory. Because of thisplan, many trains will be defined as missed opportunities for RSD runs. Metra identifies these missed opportunities as “planned missed opportunities”and includes a count in the section titled “General RSD Operations Summary”. For this reason, an explanation of these planned missed opportunitieswill not be provided in the table.

The “Circumstance” column of this table details the explanation of the missed opportunity.

Date Train/unit Circumstance4/1/2019 403/424 Equipment not PTC commissioned; locomotive returned from rehabilitation.4/2/2109 515/407 Locomotive unable to initialize due to office commanded cutout.4/3/2019 6161/410 Locomotive unable to initialize due to office commanded cutout.4/3/2019 616/8555 Locomotive unable to initialize due to office commanded cutout.4/3/2019 506/8565 Locomotive unable to initialize due to office commanded cutout.4/4/2019 406/184 Train Management Computer (TMC) rebooted due to loss of sync between three Central Processing Units (CPUs).4/5/2019 610/8550 Locomotive unable to initialize due to office commanded cutout.4/6/2019 202/8563 Delayed due to late call for assignment; ran cutout to avoid further delay.4/6/2019 110/8563 Delayed due to turn of equipment; ran cutout to avoid further delay.4/8/2019 515/108 Ran cutout due to Back Office System (BOS) reboot.

4/11/2019 620/8565 Locomotive unable to initialize due to office commanded cutout4/12/2019 605/409 No trip report documentation.4/12/2019 615/409 No trip report documentation.4/12/2019 620/8565 No trip report documentation.4/14/2019 314/8563 Dispatcher authorized cutout due to switch out of correspondence, unable to issue Past Stop Signal (PSS).4/16/2019 515/420 Locomotive unable to initialize due to office commanded cutout.4/25/2019 511/412 No trip report documentation.4/27/2019 221/412 No trip report documentation.




c. Penalty Brake ApplicationThe following outlines each I-ETMS-initiated penalty brake application which occurred during this reporting period.

Date Train Circumstance Unintended, Predictive orReactive

4/2/2019 514 Predictive enforcement for Advance Warning Device Malfunction. (AWDM). Unintended, Predictive4/3/2019 605 Predictive enforcement for permanent speed restriction. Unintended, Predictive4/4/2019 6101 Predictive enforcement for signal authority. Unintended, Predictive4/4/2019 403 Reactive enforcement for signal authority. Unintended, Reactive4/4/2019 615 Predictive enforcement for temporary speed restriction. Unintended, Predictive4/5/2019 515 Predictive enforcement for temporary speed restriction. Unintended, Predictive4/8/2019 509 Predictive enforcement for signal authority. Unintended, Predictive4/8/2019 605 Predictive enforcement for signal authority. Unintended, Predictive4/9/2019 309 Predictive enforcement for AWDM. Unintended, Predictive4/9/2019 515 Predictive enforcement for signal authority. Unintended, Predictive4/9/2019 515 Predictive enforcement for temporary speed restriction. Unintended, Predictive

4/10/2019 403 Predictive enforcement for permanent speed restriction. Unintended, Predictive4/11/2019 605 Predictive enforcement for permanent speed restriction. Unintended, Predictive4/11/2019 515 Predictive enforcement for signal authority. Unintended, Predictive4/11/2019 515 Predictive enforcement for temporary speed restriction. Unintended, Predictive4/11/2019 506 Predictive enforcement for Work Zone. Unintended, Predictive4/12/2019 403 Predictive enforcement for signal authority. Unintended, Predictive4/12/2019 420 Predictive enforcement for permanent speed restriction. Unintended, Predictive4/12/2019 615 Predictive enforcement for signal authority. Unintended, Predictive4/16/2019 405 Predictive enforcement for signal authority. Unintended, Predictive4/16/2019 528 Reactive enforcement for signal authority. Unintended, Reactive4/17/2019 602 Reactive enforcement for signal authority. Unintended, Reactive4/17/2019 527 Predictive enforcement for signal authority. Unintended, Predictive4/17/2019 514 Predictive enforcement for temporary speed restriction. Unintended, Predictive4/17/2019 EX8565 Predictive enforcement for switch unknown. Unintended, Predictive4/20/2019 313 Predictive enforcement for permanent speed restriction. Unintended, Predictive4/22/2019 402 Predictive enforcement for permanent speed restriction. Unintended, Predictive4/22/2019 403 Predictive enforcement for signal authority. Unintended, Predictive4/22/2019 515 Predictive enforcement for permanent speed restriction. Unintended, Predictive4/22/2019 515 Predictive enforcement for signal authority. Unintended, Predictive4/22/2019 405 Predictive enforcement for signal authority. Unintended, Predictive




Date Train Circumstance Unintended, Predictive orReactive

4/22/2019 620 Reactive enforcement for signal authority. Unintended, Reactive4/23/2019 602 Reactive enforcement for signal authority. Unintended, Reactive4/23/2019 509 Predictive enforcement for signal authority. Unintended, Predictive4/23/2019 405 Predictive enforcement for signal authority. Unintended, Predictive4/23/2019 615 Predictive enforcement for Enter Main Track. Unintended, Predictive4/23/2019 527 Predictive enforcement for signal authority. Unintended, Predictive4/24/2019 515 Predictive enforcement for temporary speed restriction. Unintended, Predictive4/24/2019 420 Predictive enforcement for unknown signal. Unintended, Predictive4/24/2019 419 Predictive enforcement for signal authority. Unintended, Predictive4/25/2019 506 Predictive enforcement for temporary speed restriction. Unintended, Predictive4/25/2019 506 Predictive enforcement for temporary speed restriction. Unintended, Predictive4/25/2019 511 Predictive enforcement for signal authority. Unintended, Predictive4/25/2019 402 Predictive enforcement for unknown location. Unintended, Predictive4/26/2019 506 Predictive enforcement for permanent speed restriction. Unintended, Predictive4/26/2019 602 Reactive enforcement for signal authority. Unintended, Reactive4/26/2019 507 Predictive enforcement for signal authority. Unintended, Predictive4/26/2019 515 Predictive enforcement for permanent speed restriction. Unintended, Predictive4/26/2019 405 Predictive enforcement for signal authority. Unintended, Predictive4/27/2019 202 Reactive enforcement for stop/start within Work Zone. Unintended, Reactive4/29/2019 605 Predictive enforcement for signal authority. Unintended, Predictive4/30/2019 509 Predictive enforcement for signal authority. Unintended, Predictive4/30/2019 403 Predictive enforcement for permanent speed restriction. Unintended, Predictive4/30/2019 516 Reactive enforcement for incorrect governing signal Unintended, Reactive4/30/2019 528 Predictive enforcement for signal authority. Unintended, Predictive4/30/2019 EX8565 Predictive enforcement for permanent speed restriction. Unintended, Predictive

d. I-ETMS Locomotive Failure to InitializeMetra experienced 0 failures involving I-ETMS initialization during this reporting period.

Date Train Circumstance Root Cause Analysis Corrective Action TakenNo occurrences to report.




e. I-ETMS Locomotive Transitioning to DISENGAGEDMetra experienced 0 failures involving I-ETMS unintended/unexpected transition from ACTIVE to DISENGAGED operating state on PTC trackduring this reporting period.

Date Train Circumstance Root Cause Analysis Corrective Action TakenNo occurrences to report.

f. Instances of I-ETMS Locomotive being CutoutMetra experienced 4 events where it was required to cutout I-ETMS after successful initialization for an RSD run during this reporting period.

Date Train Circumstance Root Cause Analysis Corrective Action Taken4/11/2019 620/8565 Office commanded cutout after consist. BOS unable to retrieve consist

information.Wabtec still working on resolution.Mitigation is to modify consist andsave on TMDS CAD.

4/14/2019 314/8563 Cutout due to switch out ofcorrespondence, dispatcher unable toissue PSS.

Dispatcher did not have crewassigned.

Corrective on-the-job trainingprovided to dispatcher.

4/16/2019 515/420 Office commanded cutout duringbulletin retrieval post initialization.

BOS unable to retrieve bulletinvoid.

Wabtec still working on resolution.Mitigation is to read bulletin voidsad hoc.

4/27/2019 221/412 Dispatcher unable to issue PSS. Issue still under investigation. Resolution pending.

g. Failure to EnforceMetra experienced 0 failures to enforce where it would have been appropriate for I-ETMS to enforce during this reporting period.

Date Train Circumstance Root Cause Analysis Corrective Action TakenNo occurrences to report




h. System Anomaly or FailuresThe following table outlines each system anomaly or failure experienced and the required information as identified in the Metra RSD ApprovalConditions during this reporting period. Anomaly or failure types reported are those that disrupt PTC operations, defined as preventing initialization,causing significant delays in or cutout from PTC operation due to persistent failures, or represent any deviations in expected operation of the safetycritical functions of PTC. Note that minor delays due to communication drop-outs (for example, a non-reporting WIU due to a radio problem) arenot considered anomalies or failures if they do not prevent the successful completion of the RSD run under PTC.

Date System,Subsystem orComponent

Initial orRepeat

Anomalyor Failure

TotalOperating

Hours

TotalOperating

HoursbeforeLast

Failure orAnomaly

TotalOperating

Hourssince lastFailure orAnomaly

Failure orAnomaly

Mode

Root CauseAnalysis

Corrective ActionTaken

4/14/2019 I-ETMS Repeat 11857 9309 2548 PTC Failed The cab signalobjecterroneouslyraising Fault 732.

Wabtec ECR105873; targetedrelease 6.3.17.0

4/25/2019 I-ETMS Repeat 12523 9465 3058 PTC Failed WabtecEnhancement#21444.

Wabtec I-ETMSrelease version6.3.17.1.

4/29/2019 I-ETMS Initial 12835 0 N/A PTC Failed Wabtec Defect#11334.

Wabtec I-ETMSrelease version6.3.17.0.



5/22/2019

RID Daily PTC ReportDate:

Attempted PTC Runs 42

PTC Delays 529

Summary

Missed Opportunity 6

Successful PTC Runs 36

Failed PTC Runs 0

RID Totals RID 30 Day Running Totals833

614

62

765

6

7%

92%

1%

System Running Totals2694

694

285

2356

53

11%

87%

2%

Train Symbol Unit ID Emp ID Subdivision Start Time End Time Delay Run Status Events

Individual PTC Run DataNo

RI0616 8580 8264 8:13 8:59 5 Success Incident Code: A11 RIDRI0506 8565 7596 8:21 9:51 0 Success SAR 959, Predictive enforcement on bulletin ‐ work

zone2 RID

RI0507 416 6680 9:30 10:55 6 Success Incident Code: R3 RIDRI0509 406 8108 10:30 11:55 0 Success SAR 962, Predictive enforcement on bulletin ‐ grade

crossing4 RID

Ri0511 424 9382 11:30 12:55 215 MO SAR 961, Can not initialze since the loco was placed in out of service group which is requested by mechanical. Incident Code: K ‐ STRUCK PASSENGER AT 80TH AVENUE

5 RID

RI0514 8568 8108 12:21 13:50 70 Success Incident Code: K1 ‐ WAITING FOR PERMISSION BY ACCIDENT SCENE

6 RID

RI0515 410 8024 13:30 14:57 0 Success Incident Code: K1 ‐ WALKING SPEED THRU AREA7 RIDRI0516 8536 9366 13:31 14:50 0 MO Ran cut out due to accident incident for Symbol 511.

Incident Code: KP1 ‐ TRAIN ANNULLED DUE TO ACCIDENT

8 RID

RI0603 407 8264 14:25 15:11 7 Success Incident Code: I9 RIDRI0405 406 5427 14:55 16:05 24 Success Incident Code: K1 ‐ DEPARTED LSS 15M LATE ACCT

LATE TURN K1 0406Incident Code: K1 ‐ DEPARTED LSS 15M LATE ACCT LATE TURN FROM 514

10 RID

RI0420 8547 8024 15:21 16:29 21 Success Incident Code: K1 ‐ DELAYED BY 511 TRESPASSER FATALITY

11 RID

RI0422 8568 10778 16:20 17:25 28 Success Incident Code: K1 ‐ DEPARTED JOLIET 18M ACCT LATE TURN

12 RID

Exhibit 1-AAppendix 2

Page 1 of 2


Train Symbol Unit ID Emp ID Subdivision Start Time End Time Delay Run Status Events

Individual PTC Run DataNo

RI0419 406 10778 17:45 18:57 143 MO No trip Report / Incident Report KP ‐ 2 TRESPASSERS FATALLY STRUCK

13 RID

DH4232 8561 9366 18:05 18:50 0 Success SAR 963, Predictive Enforcement ‐ Signal Based Authority

14 RID

RI0423 407 9366 19:05 20:07 10 Success Incident Code: KP ‐ FATALITY AT JOLIET15 RIDRI0528 8568 10778 19:11 20:38 0 MO No Trip Report16 RIDRI0428 8561 9366 20:30 21:35 0 MO No Trip report / Incident Code: KP1 ‐ TRAIN

ANNULLED DUE TO ACCIDENT17 RID

RI0527 406 10778 21:30 23:00 0 MO TMDS showed Train Status as Annulled / Incident Code: KP1 ‐ TRAIN ANNULLED DUE TO ACCIDENT

18 RID

RI0529 407 9366 22:30 0:00 0 Success Incident Code: KP Due to Fatality Final Stop New Lenox19 RID

Exhibit 1-AAppendix 2

Page 2 of 2
