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Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Safety and Security Management Plan

SAFETY AND SECURITY MANAGEMENT PLAN (SSMP)


for the

Central Florida Commuter Rail Transit

ORIGINATOR RECOMMENDED APPROVAL

Name/Title : Y. Arkin, System Safety and Security Consultant, Earth Tech Name/Title Name/Title

Signature/Date Y. Arkin Signature/Date Signature/Date 4/18/07

The preparation of this report was financed in part by the U.S. Department of Transportation, Federal Transit Administration. The opinions, findings and conclusions expressed in this report are not necessarily those of the Federal Transit Administration.

Revision Number Control Number Date

Draft Rev. 0 D00001 4/18/07

Florida Department of Transportation District 5


April 18, 2007

Safety and Security Management Plan

Revision: Draft 0 April 18, 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Safety and Security Management Plan

TABLE OF CONTENTS

1.0 1.1 1.2 1.3 1.4 2.0 2.1 2.2 2.3 3.0 3.1 4.0 4.1 4.2 5.0 5.1 5.2 5.3 6.0 6.1 6.2 6.3 6.4 6.5 7.0 7.1

MANAGEMENT COMMITMENT AND PHILOSOPHY..................................... 1 SAFETY AND SECURITY POLICY STATEMENT............................................ 1 PURPOSE OF SSMP ....................................................................................... 2 APPLICABILITY AND SCOPE OF SSMP......................................................... 2 SSMP GOAL..................................................................................................... 2 INTEGRATION OF SAFETY AND SECURITY INTO PROJECT DEVELOPMENT PROCESS.......................................................................... 4 SAFETY AND SECURITY ACTIVITIES ............................................................ 4 PROCEDURES AND RESOURCES .............................................................. 14 INTERFACE WITH MANAGEMENT ............................................................... 15 ASSIGNMENT OF SAFETY AND SECURITY RESPONSIBILITIES............. 17 RESPONSIBILITY AND AUTHORITY ............................................................ 17 SAFETY AND SECURITY ANALYSIS .......................................................... 31 APPROACH TO SAFETY AND SECURITY ANALYSIS ................................. 31 REQUIREMENTS FOR SAFETY AND SECURITY ANALYSIS...................... 36 DEVELOPMENT OF SAFETY AND SECURITY DESIGN CRITERIA........... 37 APPROACH TO DEVELOPMENT OF SAFETY AND SECURITY DESIGN CRITERIA....................................................................................................... 37 DESIGN REVIEWS......................................................................................... 38 DEVIATIONS AND CHANGES ....................................................................... 38 PROCESS FOR ENSURING QUALIFIED OPERATIONS AND MAINTENANCE PERSONNEL...................................................................... 39 OPERATIONS AND MAINTENANCE PERSONNEL REQUIREMENTS ........ 39 PLANS, RULES, AND PROCEDURES........................................................... 39 TRAINING PROGRAM ................................................................................... 39 EMERGENCY PREPAREDNESS .................................................................. 40 PUBLIC AWARENESS ................................................................................... 40 SAFETY AND SECURITY VERIFICATION PROCESS ................................. 42 DESIGN CRITERIA VERIFICATION PROCESS ............................................ 42
i Revision: Draft 0 April 18, 2007

Safety and Security Management Plan

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Safety and Security Management Plan

7.2 7.3 7.4 7.5 7.6 8.0 8.1 8.2 8.3 9.0 9.1 9.2 10.0 11.0

CONSTRUCTION SPECIFICATION CONFORMANCE PROCESS ............... 42 TESTING/INSPECTION VERIFICATION........................................................ 42 HAZARD AND VULNERABILITY RESOLUTION VERIFICATION.................. 43 OPERATIONAL READINESS VERIFICATION............................................... 44 SAFETY AND SECURITY CERTIFICATION REQUIREMENTS .................... 45 CONSTRUCTION SAFETY & SECURITY..................................................... 47 CONSTRUCTION SAFETY AND SECURITY PROGRAM ELEMENTS ......... 47 CONSTRUCTION PHASE HAZARD AND VULNERABILITY ANALYSIS....... 49 SAFETY AND SECURITY INCENTIVES ........................................................ 49 REQUIREMENTS FOR 49 CFR PART 659, RAIL FIXED GUIDEWAY SYSTEMS; STATE SAFETY OVERSIGHT (SSO) ........................................ 51 PURPOSE ...................................................................................................... 51 COORDINATION ............................................................................................ 51 FRA COORDINATION ................................................................................... 52 DHS COORDINATION ................................................................................... 53

EXHIBIT A EXCERPTS FROM THE CFCRT PROJECT MANAGEMENT PLAN IN SUPPORT OF THE SAFETY AND SECURITY MANAGEMENT PLAN...... A-1 A.1 A.1.1 A.1.2 A.1.3 A.1.4 INTRODUCTION .......................................................................................... A-1

CFCRT DESCRIPTION .................................................................................A-4 FDOT HISTORY AND OVERVIEW ...............................................................A-4 LEGAL AUTHORITY AND REQUIREMENTS ...............................................A-7 REQUIREMENTS FOR INTERAGENCY AND MASTER AGREEMENTS, APPROVALS & PERMITS.............................................................................A-7 A.1.5 OPERATING AND CAPITAL FINANCING.....................................................A-8 A.1.6 PURPOSE AND SCOPE OF THE PROJECT MANAGEMENT PLAN (PMP)..A10 A.2 A.2.1 A.2.2 A.2.3 A.2.4 A.2.5 A.2.6 CFCRT PROJECT ORGANIZATION and STAFFING............................... A-13 SPECIFIC FDOT RESPONSIBILITIES ........................................................A-14 DELEGATED DUTIES .................................................................................A-16 FDOT ORGANIZATION ...............................................................................A-19 INTERFACES ..............................................................................................A-23 OWNERSHIP...............................................................................................A-25 MANAGEMENT OF CFCRT. .......................................................................A-26
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Safety and Security Management Plan

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Safety and Security Management Plan

A.3 A.3.1 A.3.2 A.3.6 A.3.8 A.3.9 A.3.10 A.3.11 A.3.12 A.3.13 A.6 A.6.1 A.6.2 A.6.3 A.6.4 A.6.5 A.6.6 A.7 A.7.1 A.7.2 A.7.3 A.7.4 A.7.5 A.7.6 A.7.7 A.7.8 A.7.9 A.7.10 A.7.11 A.8 A.8.1 A.8.2 A.8.3 A.8.4

CFCRT PROJECT MANAGEMENT CONTROL........................................ A-44 SCHEDULE CONTROL ...............................................................................A-44 COST MANAGEMENT ................................................................................A-48 CHANGE MANAGEMENT ...........................................................................A-48 DOCUMENT CONTROL..............................................................................A-49 QUALITY MANAGEMENT ...........................................................................A-50 CONSTRUCTION/INSTALLATION QUALITY CONTROL ...........................A-52 SYSTEMS/EQUIPMENT MANUFACTURE QUALITY CONTROL .............A-53 QUALITY ASSURANCE AUDITS ...............................................................A-53 CONFIGURATION MANAGEMENT ...........................................................A-53 DESIGN PROGRAM ................................................................................. A-54 CONSULTANT SOLICITATION AND SELECTION .....................................A-54 DESIGN REVIEWS......................................................................................A-55 VALUE ENGINEERING (VE) .......................................................................A-55 DESIGN CRITERIA AND STANDARDS ......................................................A-55 FACILITIES DESIGN AND ENGINEERING.................................................A-57 D/B CONTRACTORS ..................................................................................A-59 CONSTRUCTION MANAGEMENT............................................................ A-61 RESPONSIBILITY .......................................................................................A-61 CONSTRUCTION SAFETY .........................................................................A-61 CONSTRUCTION/INSTALLATION SITE SECURITY..................................A-62 CONSTRUCTION MANAGEMENT PRACTICE ..........................................A-62 ROLE OF PMC IN CONSTRUCTION ..........................................................A-62 CHANGE ORDERS .....................................................................................A-63 MATERIALS AND EQUIPMENT PROCUREMENT .....................................A-64 TESTING DURING CONSTRUCTION.........................................................A-66 LABOR RELATIONS AND POLICY .............................................................A-66 CONTRACT COMPLETION .......................................................................A-67 START-UP AND TESTING .........................................................................A-67 SAFETY and SECURITY........................................................................... A-69 CRITERIA ....................................................................................................A-69 PRELIMINARY HAZARD ANALYSIS ..........................................................A-70 STANDARDS AND CODES.........................................................................A-70 SYSTEM SAFETY AND EMERGENCY RESPONSE PLAN........................A-71 LIST OF ACRONYMS FOR SSMP/PMP .......................................... B-1

EXHIBIT B

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Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Safety and Security Management Plan

LIST OF FIGURES

Figure 2-1: Safety and Security Activities Matrix ............................................................. 5 Figure 2-2 Configuration Control and Safety Committee Membership .......................... 16 Figure 3-1 Safety and Security Responsibility and Authority......................................... 18 Figure 4-1 Hazard Severity Levels ................................................................................ 33 Figure 4-2 Hazard Probability Levels ............................................................................ 34 Figure 4-3 Hazard Rating Table .................................................................................... 34

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Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Safety and Security Management Plan

1.0 1.1

MANAGEMENT COMMITMENT AND PHILOSOPHY SAFETY AND SECURITY POLICY STATEMENT

The Florida Department of Transportation District 5 (FDOT District 5) has recently commenced the Preliminary Engineering Phase for the Central Florida Commuter Rail Transit Project (Project). The Project is described extensively in Exhibit A herein, containing excerpts from the CFCRT Project Management Plan in support of the Safety and Security Management Plan. The information, policies, and activities discussed in this Safety and Security Management Plan (SSMP) are applicable to this Project. It shall be the policy of the CFCRT to perform work on this Project in a manner that protects the safety and security of employees and the public. Safety and security shall be priority considerations in the planning and execution of all work activities on this Project. Decisions made during the all phases of project development shall be based on the following priorities: Safety and Security Service Schedule

The design, construction, testing, and Start-up of the Project will comply with applicable safety and security laws, regulations, and requirements. CFCRT will maintain or improve upon the public transit industry standards for safety and security at other railroads. All trains, facilities and systems must be designed and constructed in a manner that promotes the safety and security of persons and property. This SSMP, as part of the Project Management Plan (PMP), is the prime document describing CFCRT s management of safety and security for the Project. It establishes safety and security activities for each phase of the Project, and responsibility for their performance and oversight. It also describes the safety and security organizational interfaces, policies, procedures, goals, and objectives. CFCRT is committed to providing a safe and secure travel and work environment. Therefore, safety, accident prevention, and security breach prevention must be incorporated into the performance of every employee task. Each employee is responsible for accident/security breach prevention and for maintaining safety and security standards consistent with their position and organizational function. Through a cooperative team effort and the systematic application of safety and security principles, the CFCRT Project will be designed and constructed to run safely, securely, dependably, and efficiently. ____________________________________ FDOT District 5 Secretary
Safety and Security Management Plan 1

Date
Revision: Draft 0 April 18, 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Safety and Security Management Plan

1.2

PURPOSE OF SSMP

The Project SSMP describes the integration of safety and security activities into every phase of the Project, identifies who will perform these activities, and who will be responsible for their oversight. The Transportation Development Department (during Design) and The Transportation Operations Department (During Construction) have the respective responsibility to ensure that the design, construction, installation, and testing of all critical system elements of the project have been evaluated for conformance with the safety and security requirements and to verify operational readiness before completing each phase of the project. This effort will be coordinated with other FDOT District Five departments and project participants of the CFCRT project such as FDOT s Commuter Rail Transit (CRT) Project Manager, FDOT s CRT Design Manager, Project Management Consultants (PMCs), Design Consultant, Operations Consultant, CFCRT Chief Executive Officer (CEO), CFCRT Chief Operations Officer (COO), CFCRT Contract Rail Service Operator, Contract Maintenance, Central Florida Rail Corridor Office, as well as outside agencies (FTA, FRA, DHS, FBI, FDOT Central Office, Counties and local municipalities having jurisdiction), to ensure conformity and coordination in the safety and security approach to the Project with existing standards and practices. This SSMP identifies, by title, the individuals within the Transportation Development Department (during Design) and The Transportation Operations Department (During Construction) and other FDOT DISTRICT 5 / CFCRT departments with specific responsibilities for safety and security activities. It also identifies committees and plans that will define and manage safety and security, as well as the activities that will be performed by contractors, consultants, and other parties and overseen by FDOT DISTRICT 5 / CFCRT. 1.3 APPLICABILITY AND SCOPE OF SSMP

This SSMP applies to all project phases, from preliminary engineering, into final design, and through application for FFGA, construction, integration testing, and pre-revenue operations and start-up. Once fully safety and security certified for revenue operations, FDOT DISTRICT 5 / CFCRT s System Security Plan (SSP) and System Safety Program Plan (SSPP) will govern safety and security of the operating system. This SSMP provides for the revision and submission of the FDOT DISTRICT 5 / CFCRT SSP and SSPP to the Florida State Safety Oversight Agency (FDOT Central Office), and receipt of approval prior to the start of revenue operations on the Project. It also provides for establishment of the mechanism, through the Safety and Security Certification Plan (SSCP), to track any restrictions to full safety and security certification into revenue operations and until full resolution. 1.4 SSMP GOAL

FDOT DISTRICT 5 / CFCRT s overarching goal in developing and using this SSMP is to describe a program that ensures the Project is safe and secure for passengers,

Safety and Security Management Plan

Revision: Draft 0 April 18, 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Safety and Security Management Plan

employees, public safety personnel, and the general public during construction and upon entering revenue service. Sub-goals that further define the overarching goal are to provide: Clear determination regarding acceptable safety and security risks Verification that an acceptable level of safety and security is designed into the Project Consistent evaluation of safety and security risk throughout the project development process Consistent application of safety and security certification to support initiation of the Project into revenue service

Safety and Security Management Plan

Revision: Draft 0 April 18, 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Safety and Security Management Plan

2.0 INTEGRATION OF SAFETY AND SECURITY INTO PROJECT DEVELOPMENT PROCESS 2.1 SAFETY AND SECURITY ACTIVITIES This section of the SSMP describes the process through which FDOT DISTRICT 5 / CFCRT integrates safety and security activities into the overall project management process for this Project. The basis is the development of design criteria and the lessons learned from the design, construction and operation of a similar commuter rail line under FDOT jurisdiction at the South Florida Regional Transit Authority (SFRTA). This section documents FDOT DISTRICT 5 / CFCRT s approach: To identify all safety and security tasks that will be performed throughout the Project To assign resources for their performance. To develop policies and procedures for management review and evaluation of safety and security activities.

The safety and security activities that have been and will be performed during the various phases of the Project are listed in Figure 2-1. Detailed Tasks and Responsibilities for project participants are described extensively in Exhibit A herein, containing excerpts from the CFCRT Project Management Plan in support of the Safety and Security Management Plan. A formal Preliminary Hazard Analysis (PHA) and Threat and Vulnerability Assessment (TVA) will be required to be performed by the Design-Build Contractor early in the Final design phase and requirements for the conduct of these safety and security analysis will be incorporated by the Design Consultant into the technical specifications during Preliminary Engineering. Additional activities to be performed to ensure safety and security, which are integrated into the Project activities by various project participants, are described in Figure 2-1.

Safety and Security Management Plan

Revision: Draft 0 April 18, 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Safety and Security Management Plan

Figure 2-1: Safety and Security Activities Matrix


Safety & Security Activities Preliminary Engineering
Preliminary design review to ensure civil safety and security requirements are included in design. Design Consultant to Place requirements for PHA and TVA to be performed by DB Contractor. Preliminary design review to ensure park and ride safety and security requirements are included in design. Place requirements for PHA and TVA to be performed by DB Contractor.

Life-Cycle Phases Final Design


Perform final design review (including Preliminary Hazard Analysis, PHA, and Threat and Vulnerability Assessment, TVA) to ensure civil safety and security requirements are included. Design Consultant to develop civil items on Certifiable Items Lists (CILs) for Safety and Security Certification.

Construction
Review Contractor civil RFIs for safety and security considerations. Contractor provides Quality Control for the project and Quality Assurance. FDOT DISTRICT 5 / CFCRT provides oversight of the Contractor's Quality Assurance process and some independent Quality Assurance. Complete CILs for civil elements. Finalize Integrated Test requirements.

Integration Testing
Contractor redlines as-built changes to plans and submits to designers. Contractor documents completion of the construction in compliance with the specification. FDOT DISTRICT 5 / CFCRT documents acceptance of the project. Conduct Integration Tests.

Commissioning
Designers complete final asbuilt drawings. FDOT DISTRICT 5 / CFCRT certifies civil elements identified in the SSCP.

Civil Work

Park and Ride lots

Perform final design review (including PHA and TVA) to ensure park and ride safety and security requirements are included. PMC to Review plans with local jurisdictions (including police and fire departments.) Design Consultant to Develop park and ride items on Certifiable Items Lists (CILs).

Review Contractor park and ride RFIs for safety and security considerations. Receive building permit from city for construction. City inspection during construction. Review Contractor park and ride RFIs for safety and security considerations. Contractor provides Quality Control for the project and Quality Assurance. FDOT DISTRICT 5 / CFCRT provides oversight of the Contractor's Quality Assurance process and some independent Quality Assurance to verify safety and security requirements. Contractor completes CILs for park and ride elements. Finalize Integrated Test requirements.

Contractor redlines as-built changes to plans and submits to designers. Contractor documents completion of the construction in compliance with the specification. FDOT DISTRICT 5 / CFCRT documents acceptance of the project. Conduct Integration Tests.

Receive city final approval and occupancy permit FDOT DISTRICT 5 / CFCRT certifies park and ride elements identified in the SSCP.

Safety and Security Management Plan

Revision: Draft 0 April 18, 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Safety and Security Management Plan

Figure 2-1: Safety and Security Activities Matrix


Safety & Security Activities Preliminary Engineering
Preliminary design review to ensure grade crossing safety and security requirements are included in design. Place requirements for PHA and TVA to be performed by DB Contractor. Surveillance team field reviews with FDOT, CSXT, AMTRAK and local jurisdictions.

Life-Cycle Phases Final Design


DB Contractor to Perform final design review (including PHA and TVA) with FDOT DISTRICT 5 / CFCRT, CM staff to ensure grade crossing safety and security requirements are included based on FRA standards. DB Contractor to Develop construction phasing plan for work at each crossing. FDOT and CM staff document acceptance of DB Contractor s design. Develop grade crossing items on Certifiable Items Lists (CILs).

Construction
Contact local jurisdictions to coordinate crossing construction schedule. Obtain Form B for railroad work zone and flagging. Review Contractor grade crossing RFIs for safety and security considerations. Submit traffic control plans to City or FDOT for approval. DB Contractor completes at-grade crossing improvements. Contractor, and CM staff Perform safety/security briefings for site construction. Contractor maintains traffic control, and provides railroad flagging protection. Contractor provides Quality Control for the project and Quality Assurance. FDOT DISTRICT 5 / CFCRT provides oversight of the Contractor's Quality Assurance process and some independent Quality Assurance. Complete CILs for grade crossing elements. Finalize Integrated Test requirements.

Integration Testing
CM Staff, CFCRT and Contractor provide testing for communication interface of signal crossing equipment. Contractor redlines as-built changes to plans and submits to CM staff/ FDOT. Contractor documents completion of the construction in compliance with the specification. FDOT DISTRICT 5 / CFCRT documents acceptance of the project. Conduct Integration Tests.

Commissioning
FDOT/ CM staff inspects and accepts at-grade crossing improvements. FDOT documents acceptance of at-grade system. Designers complete final asbuilt drawings. FDOT DISTRICT 5 / CFCRT certifies grade crossing elements identified in the SSCP.

At-Grade crossings

Safety and Security Management Plan

Revision: Draft 0 April 18, 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Safety and Security Management Plan

Figure 2-1: Safety and Security Activities Matrix


Safety & Security Activities Preliminary Engineering
Preliminary design and automotive collision hazard analysis review, Surveillance team field reviews with FDOT, CSXT, Amtrak and local jurisdictions Design team to identify relevant response agencies, make preliminary contact, and deliver project concept for their consideration. Draft and review Contractor public information program requirements.

Life-Cycle Phases Final Design


Final design and hazard analysis reviews with FDOT DISTRICT 5 / CFCRT and CSXT. Complete Grade Crossing Automotive collision Risk Analysis using FRA calculator.

Construction
Conduct review and response to contractor RFIs. FDOT DISTRICT 5 / CFCRT assists cities and counties in developing quiet zone application for corridor. Cities and counties submit quiet zone application to FRA.

Integration Testing
FRA reviews and approves application. FDOT DISTRICT 5 / CFCRT assists FDOT, cities and counties in public information safety campaign

Commissioning
If approved by FRA, quiet zone is implemented in the project corridor.

Creation of quiet zones, if desired by communities.

Construction Emergency Management and Response Plan

The project corridor is documented with mileposts within each city or county and the emergency response contact information for each jurisdiction. Draft Emergency Response Plan with responsible agencies. Finalize Contractor public information program requirements. Develop CFCRT Line Public Involvement Plan. FDOT DISTRICT 5 / CFCRT staff coordinates with the Contractor to anticipate impacts to the public during construction which may impact travel or create safety hazards.

The Contractor and FDOT DISTRICT 5 / CFCRT finalize an emergency management and response plan. The document will be reviewed and updated during construction.

FDOT DISTRICT 5 / CFCRT issues press releases notifying the public about safety issues during construction and traffic detours caused by construction. FDOT DISTRICT 5 / CFCRT establishes commuter rail hotline to receive safety and other concerns from the public and respond accordingly.

Construction public information program

FDOT DISTRICT 5 / CFCRT issues press releases notifying the public about safety issues during testing, initial prerevenue operations, and traffic detours caused by testing. FDOT DISTRICT 5 / CFCRT staff monitors the hotline and responds to public complaints and comments.

FDOT DISTRICT 5 / CFCRT issues press releases notifying the public about safety issues during commissioning. FDOT DISTRICT 5 / CFCRT staff monitors the hotline and responds to public complaints and comments.

Safety and Security Management Plan

Revision: Draft 0 April 18, 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Safety and Security Management Plan

Figure 2-1: Safety and Security Activities Matrix


Safety & Security Activities Preliminary Engineering
Project Personnel who require RWP Training are trained by FRAqualified personnel.

Life-Cycle Phases Final Design


Contractor's safety trainers are trained by FRA-qualified personnel. Employee training program and documentation is developed.

Construction
Safety walks are conducted at least weekly by FDOT DISTRICT 5 / CFCRT and Contractor to document that training is being is followed. Weekly meetings are held with CSXT and the Contractor to plan the Form B and Form C work zones for the next week. FRA RWP training is provided for new employees and for annual updates of existing employees. All employees are required to have FRA RWP training on an annual basis. Documentation of attendance is maintained and stickers are placed on hardhats. Revise Plan as required by events/changes or if requested by FTA

Integration Testing
Safety training is conducted at least weekly by FDOT DISTRICT 5 / CFCRT to ensure training is being conducted and followed.

Commissioning
Safety training is conducted at least weekly by FDOT DISTRICT 5 / CFCRT to ensure training is being conducted and followed.

Rail Safety Training and Railroad Worker Protection training

Safety and Security Management Plan (SSMP)

Design Consultant to prepare Safety and Security Management Plan (SSMP) and submit to FDOT and FTA/PMOC

PMC to revise SSMP for submission with application for FFGA.

Revise Plan as required by events/changes or if requested by FTA

Revise Plan as required by events/changes or if requested by FTA

Safety and Security Management Plan

Revision: Draft 0 April 18, 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Safety and Security Management Plan

Figure 2-1: Safety and Security Activities Matrix


Safety & Security Activities Preliminary Engineering
Develop preliminary construction safety and security requirements.

Life-Cycle Phases Final Design


Contractor construction safety and security performance requirements are included in the construction contract. Safety performance is included as a part of the Contractor's incentive plan.

Construction
Contractor develops construction safety plan, FDOT DISTRICT 5 / CFCRT reviews, comments and approves plan. FDOT DISTRICT 5 / CFCRT and Contractor develop contacts with CSXT Police, Florida Highway Patrol and local police departments. FDOT DISTRICT 5 / CFCRT Police patrol and FDOT DISTRICT 5 / CFCRT Service Center. Contractor holds weekly safety toolbox meetings. Contractor holds safety/security briefings for all new activities. FDOT DISTRICT 5 / CFCRT, insurance company representatives, and Contractor safety and security personnel perform safety/security walks to ensure conformance to plans. Contractor will develop a corridor emergency evacuation plan.

Integration Testing
Contractor holds weekly safety toolbox meetings as appropriate. Contractor holds safety/security briefings for all new activities. Contractor assists in testing and evaluation. FDOT DISTRICT 5 / CFCRT, insurance company representatives, and Contractor safety and security personnel perform safety/security walks as appropriate to ensure conformance to plans. Contractor continues to provide appropriate safety and security while completing punch list work and then management of safety and security is transitioned to FDOT DISTRICT 5 / CFCRT

Commissioning
Transition to FDOT DISTRICT 5 / CFCRT Public Safety and local police departments providing security patrols.

Construction Safety and Security Plan(s)

Rail Activation Plan (RAP) 1. Safety and Security Certification Plan (SSCP) Design Consultant to develop preliminary SSCP. Submit to FDOT and FTA/PMOC. Design Consultant to Develop elements on CIL. PMC to Implement hazard and vulnerability resolution and tracking program. PMC to Finalize SSCP (update as needed throughout project). PMC to Complete CILs. PMC to Implement hazard and vulnerability resolution and tracking program. PMC to Certify construction and training elements. Certify integration testing, drills, and training elements. Implement hazard and vulnerability resolution and tracking program. FDOT DISTRICT 5 / CFCRT certifies remaining elements identified in the SSCP. Submit final safety and security verification report and obtain approval by the FDOT District 5 Secretary.

Safety and Security Management Plan

Revision: Draft 0 April 18, 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Safety and Security Management Plan

Figure 2-1: Safety and Security Activities Matrix


Safety & Security Activities Preliminary Engineering
2. System Integration Test Plan (SITP)

Life-Cycle Phases Final Design


Develop preliminary SITP. Develop Contractor integration testing requirements for final design documents.

Construction
Contractor to develop and submit to FDOT DISTRICT 5 / CFCRT for approval a SITP for all items within their scope of work; including emergency drills. FDOT DISTRICT 5 / CFCRT finalizes SITP. Finalize RSP with FDOT DISTRICT 5 / CFCRT and CSXT. Develop training modules for FDOT DISTRICT 5 / CFCRT O&M personnel. Begin Contractor required O&M training of FDOT DISTRICT 5 / CFCRT personnel.

Integration Testing
Conduct Integration Tests per SITP, including emergency drills. Training implemented for supervision, maintenance, and operating crews. Complete Contractor required O&M training of FDOT DISTRICT 5 / CFCRT personnel. Finalize O&M Plans and Procedures. Complete FDOT DISTRICT 5 / CFCRT O&M Training. Complete Operational Readiness Review (including work-arounds). FDOT DISTRICT 5 / CFCRT performs required pre-revenue service testing identified in SITP. FRA provides written approval of certification. FDOT DISTRICT 5 / CFCRT provides written approval of certification via the SSCP.

Commissioning
FDOT DISTRICT 5 / CFCRT continues to work on resolving any restrictions which placed on specific elements. Pre-Revenue Operations conducted; additional drills may be conducted Performance testing undertaken of crews by FDOT DISTRICT 5 / CFCRT.

3. Rail Services Plan (RSP)

Develop preliminary operating and maintenance (O&M) requirements.

Develop Contractor O&M requirements for final design documents, including training. Develop preliminary RSP with FDOT DISTRICT 5 / CFCRT and CSXT.

Train Control System

Safety performance requirements are included in the signal designbuild documents.

Signal design-build contractor and FDOT DISTRICT 5 / CFCRT prepares safety critical items list (i.e., PHA) for the final design and implementation of the system. Signal design-build contractor and FDOT DISTRICT 5 / CFCRT begin implementing safety critical items list for the system.

Signal design-build contractor provides FDOT DISTRICT 5 / CFCRT with certifications of conformance. FDOT DISTRICT 5 / CFCRT participates in equipment inspections at the manufacturing facility and at installation.

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Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Safety and Security Management Plan

Figure 2-1: Safety and Security Activities Matrix


Safety & Security Activities Preliminary Engineering
CFR safety requirements are included in the specifications. Requirements for Car Builder to Perform PHA and safety certification included in the Specifications.

Life-Cycle Phases Final Design


CFR safety requirements are included in the specifications. Car builder required to implement safety and security program plan and safety certification plan.

Construction
Contractor RFIs and waivers are reviewed for safety considerations by FDOT DISTRICT 5 / CFCRT. FDOT DISTRICT 5 / CFCRT inspectors review safety and security submittals and safety certifications from the car builder.

Integration Testing
FDOT DISTRICT 5 / CFCRT performs required pre-revenue service testing and written approval of certification.

Commissioning
FDOT DISTRICT 5 / CFCRT provides written approval of certification via the SSCP. FDOT DISTRICT 5 / CFCRT continues to work on resolving any restrictions placed on specific vehicle elements. FRA provides written approval of certification.

Vehicle Procurement (Cab Car & Locomotive)

Public Safety and Security Program(s)

FDOT DISTRICT 5 / CFCRT develops Public Safety and Security Program(s) and submits to FDOT and affected cities for their review and comments. FDOT DISTRICT 5 / CFCRT develops a schedule for public safety and security information in and around construction areas. Coordinate with Construction Public Information Program. Provide emergency responders with design for their review and comment. Solicit Emergency Responders for their assistance in response training.

Coordinate with Construction Public Information Program. FDOT DISTRICT 5 / CFCRT, CSXT and FDOT, with Operation Lifesaver, will develop a public safety and security program(s) to provide education about rail crossing safety and safety/ security for passengers. Expand the public security program, Transit Watch for the CF commuter rail line as needed along the alignment.

FDOT DISTRICT 5 / CFCRT implements public safety and security program(s).

FDOT DISTRICT 5 / CFCRT continues implementation of public safety and security program(s) through commissioning and early revenue operations. Implement the public safety/security program(s) through media and information at the stations and on the vehicles.

Emergency Responder Training

Meet with the Local Emergency Planning Committees to provide updates and determine emergency response training needs. Develop emergency response plan on a segment by segment basis for the length of the project.

Provide training to emergency service providers and conduct

emergency response drills required for certification.

Conduct additional emergency response drills for operations and responder training, if necessary.

Safety and Security Management Plan

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Revision: Draft 0 April 18, 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Safety and Security Management Plan

Figure 2-1: Safety and Security Activities Matrix


Safety & Security Activities Preliminary Engineering
Design Consultant to Prepare Draft Preliminary FDOT DISTRICT 5 / CFCRT System Safety and Security Program Plan (SSSPP) Identifying Policies and Procedures to be developed during FD and Construction, and provide to FDOT and FTA. Incorporate Security Provisions into a Joint Draft Preliminary System Safety and Security Program Plan (SSSPP)

Life-Cycle Phases Final Design


PMC to Provide a separate update to FDOT DISTRICT 5 / CFCRT System Safety Program Plan (SSPP), updated since PE as needed to incorporate the latest FD activities and provide to FDOT and FTA. DB Contractor to submit a system safety program plan.

Construction
PMC to revise the existing FDOT DISTRICT 5 / CFCRT System Safety Program Plan (SSPP) as needed to reflect Construction activities on the Project and provide to FDOT.

Integration Testing
PMC to follow-up with FDOT on SSPP and coordinate with Safety Contractor of the CFCRT Contract Rail Services Operator.

Commissioning
PMC to revise SSPP if necessary and provide to FDOT.

System Safety Program Plan

System Security Plan

PMC to Provide a separate update to FDOT DISTRICT 5 / CFCRT System Security Plan (SSP), updated during FD as needed to incorporate the latest FD activities and provide to FDOT and FTA. DB Contractor(s) to submit a system security plan.

PMC to revise and expand a stand-alone FDOT DISTRICT 5 / CFCRT System Security Plan (SSP) as needed to incorporate the latest Construction conditions of the Project and provide to FDOT and FTA/PMOC..

PMC to follow-up with FDOT on SSP and with Security Contractor for CFCRT.

PMC to Revise SSP if necessary and provide to FDOT.

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Figure 2-1: Safety and Security Activities Matrix


Safety & Security Activities Preliminary Engineering Final Design
PMC to Provide emergency responders with design for their review and comment.

Life-Cycle Phases Construction


PMC to Provide emergency responders with schedule of construction activities and start of revenue service. Request assistance with Crisis Action plan. PMC to develop Draft FDOT DISTRICT 5 / CFCRT Crisis Action Plan to include information specific to the Project.

Integration Testing
PMC to Complete the Crisis Action Plan in preparation for revenue service.

Commissioning
PMC to Revise SSP as needed.

Crisis Action Plan (Security only)

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2.2 PROCEDURES AND RESOURCES The PMC will finalize during PE the FDOT DISTRICT 5 / CFCRT Project Procedures Manual and design criteria for the Project. The SSMP developed by the Design Consultant during PE will be integrated by the PMC as part of the Project Procedures Manual and will be revised to reflect the specific safety and security activities as documented in Figure 2-1. FDOT s District Five Transportation Development Department (during Design) and the Transportation Operations Department (During Construction) have the respective responsibility for coordinating all aspects of project development from planning through commissioning. The CFCRT Project Organization Chart is shown in Figure 01-1 in Exhibit A herein, which contains among others extensive excerpts from the CFCRT Project Management Plan in support of the Safety and Security Management Plan. Exhibit A also describes throughout its chapters in detail the roles and responsibilities of project participants throughout the various phases of this Project. The design, construction, installation, and testing of all critical system elements of the project will have been evaluated for conformance with the safety and security requirements and to verify operational readiness before completing each phase of the project. This effort will be coordinated with other FDOT District Five departments and project participants of the CFCRT project such as FDOT s Commuter Rail Transit (CRT) Project Manager, FDOT s CRT Design Manager, Project Management Consultants (PMCs), Design Consultant, Operations Consultant, CFCRT Chief Executive Officer (CEO), CFCRT Chief Operations Officer (COO), CFCRT Contract Rail Service Operator, Contract Maintenance, Central Florida Rail Corridor Office, as well as outside agencies (FTA, FRA, DHS, FBI, FDOT Central Office, Counties and local municipalities having jurisdiction), to ensure conformity and coordination in the safety and security approach to the Project with existing standards and practices. Figure 01-1, titled CFCRT Functional Organization Chart on page A-16 of Exhibit A shows that FDOT s District Five Transportation Development Department (during Design) and the Transportation Operations Department (During Construction) supplement their own resources with expertise from other departments to address many of the safety and security activities. FDOT s District Five s Transportation Development Department is supported by FDOT s CRT Project Manager and the entire design team and project management team headed by the Design Manager and PMCs, one of whom has a Safety and Security Manager, and the Design Consultant who has its own Safety and Security Manager for design. FDOT s District Five s Transportation Operations Department has a Safety and Health Manager and the Construction Management organization supporting this department, headed by the Rail Project Construction Manager, is also supported by a Construction QC and Safety Manager. For the Operational phase the CFCRT contract organization will have a contract safety and security organization for the operational life cycle of the rail system. FDOT s District Five s Transportation Operations Department Safety and Health Manager has
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the function of the Rail Safety Administrator who participates in the design reviews and development and execution of the safety aspects of the Rail Activation Plan (RAP) for the Project. In addition, FDOT DISTRICT 5 / CFCRT will create during the Construction phase a project specific Rail Activation Committee (RAC) to develop the Rail Activation Plan and its three subordinate plans, the SSCP, the System Integration Test Plan (SITP), and the Rail Services Plan (RSP), that will be used to test and safety and security certify the Project for revenue operations. The RAC shall have the authority to draw resources from both the Project staff and FDOT DISTRICT 5 / CFCRT staff, as needed, to perform the committee s tasks. Where needed, the internal staff resources are supplemented with consultants to provide added expertise on specific issues. In all cases where consultants perform safety or security related functions, the consultant work is overseen by an identified FDOT DISTRICT 5 / CFCRT manager. During the Operational life of the CFCRT system, the Public Safety/security functions on the operating railroad will be performed by a Security Contractor, security guards, and a contract Safety Manager who is also part of the CFCRT Operational organization reporting to the Chief Operating Officer (COO) as shown in Figure 01-1 in Exhibit A (page A-16). The CFCRT operational organization will have a specific expertise in security issues and the Contract Security Officer will take an active role in the security activities for the project, including implementing and assuring adherence to procedures for managing the System Security Plan (SSP). Oversight will be performed by the PMC Consultant s Safety and Security Manager. The Safety and Security Manager for the Design Consultant will be actively involved in Safety, Security risk assessment and safety certification during the design phase and will support safety and security activities during construction, installation, testing and commissioning leading to commencement of revenue operations. 2.3 INTERFACE WITH MANAGEMENT

The results of the safety and security activities during design, construction, testing, and start-up for the Project are integrated as part of the overall project management plan for the Project (see Exhibit A document herein). Safety and Security issues are documented as part of design reviews and addressed as part of the design development process in conformance with the Project design criteria. 2.3.1 Configuration Control and Safety Committees If changes or variances are needed to the design criteria, those changes or variances will be brought before the Configuration Control Committee, made up of management representatives from all departments of the agency. During construction, the Transportation Operations Safety & Health Manager, as the Chair of FDOT s District Five s Safety Committee, makes monthly reports to the committee on safety and security issues regarding the project. Membership for both committees is summarized in Figure 2-2.

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Figure 2-2 Configuration Control and Safety Committee Membership Committee Chair
Director of Transportation Development

Members
FDOT District 5 Secretary Director of Transportation Operations Director of Transportation Support FDOT CRT Project Manager FDOT CRT Design Manager PMC Review Consultant Design Consultant Other Department heads, Company Auditors, FDOT Manager of Safety & Health FDOT District 5 Secretary Director of Transportation Development Director of Transportation Operations Director of Transportation Support Rail Projects Construction Manager Special Projects Manager Construction Safety Manager PMC Safety Manager Design Consultant Safety Manager CFCRT Safety Contractor

Configuration Control

FDOT Manager of Safety & Health

Safety

The Rail Activation Plan (RAP) for the CFCRT Line will be developed by the Director of Transportation Operations during Final Design. Committee(s) to oversee the rail activation effort and subcommittees to oversee specific elements of the rail activation effort such as safety and security certification, system integration testing, and prerevenue operations will be described in the CFCRT Line RAP. Information will include: Functions of the specific committees and subcommittees Membership and expected attendees of each committee Chair of each committee

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3.0

ASSIGNMENT OF SAFETY AND SECURITY RESPONSIBILITIES

This section outlines FDOT DISTRICT 5 / CFCRT s approach to designating personnel to manage the safety and security activities. 3.1 RESPONSIBILITY AND AUTHORITY

The Secretary of FDOT DISTRICT 5 is ultimately responsible for safety and security for all aspects of the CFCRT Project. The Secretary has delegated authority to individual FDOT DISTRICT 5 / CFCRT directors and managers to act for him in performing or overseeing performance of the tasks for which he is ultimately responsible. The Director of Transportation Development (during Design) and the Director of Transportation Operations (During Construction) have the respective responsibility to ensure that the design, construction, installation, and testing of all critical system elements of the project have been evaluated for conformance with the safety and security requirements and to verify operational readiness before completing each phase of the project. Thus these Directors have the authority for the implementation of the SSMP for this Project.
3.1.1 Approach to Safety and Security Responsibilities

As the owner and eventual operator of the Project, FDOT DISTRICT 5 / CFCRT has overall responsibility to ensure that safety and security activities have been incorporated into the design and construction of the project. To meet these responsibilities, FDOT DISTRICT 5 / CFCRT is responsible for: Establishing safety and security criteria and priorities for the Project through policies and procedures. Ensuring all contracts released for the design and construction of the project contain the appropriate safety and security requirements. Updating Project design criteria to include safety and security provisions Participating in design reviews to ensure safety and security aspects of the Project are considered in the design of the Project. Auditing the construction of the project through the safety and security certification program. Assuming responsibility for operating the commuter rail system once the construction is complete.

Safety and security responsibilities and authorities for the Project change through the project development life cycle phases of design, construction, integration testing, and commissioning. Figure 3-1, below, shows safety and security authority and responsibility for key personnel for each phase of the project:

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Figure 3-1 Safety and Security Responsibility and Authority


Integration Testing, Pre-Revenue Operation, Commissioning and Start-up Phases
Overall Responsibility for Safety & Security Approves the Safety and Security Certification Verification Report (SSCVR) and provides certification to FDOT and FRA that the system is ready for revenue operations

Design Phase PE and FD


District 5 Secretary Overall Responsibility for Safety & Security Member of the Configuration Control Committee Member of the Safety Committee

Construction Phase
Overall Responsibility for Safety & Security Member of the Configuration Control Committee Member of the Safety Committee

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Figure 3-1 Safety and Security Responsibility and Authority


Integration Testing, Pre-Revenue Operation, Commissioning and Start-up Phases
District Secretary s Authority for all Transportation development activities Guiding the Project through Preliminary Engineering, Participating in the D/B, and Start-up and Testing phases;

Design Phase PE and FD


District Secretary s Authority for all Transportation development activities Chair of the Configuration Control Committee, committee reviews and approves design criteria and project change orders Member of the Safety Committee Executing all capital projects. Project planning, engineering, management and control; environmental compliance; value engineering; real estate actions, intergovernmental coordination and quality assurance/quality control. Performing all Project related planning activities; Review and approval of engineering studies, reports, drawings and other design documents produced for the Project; Preliminary Engineering, Final Design Overall Project success and completion; Maintain project management and control; Guiding the Project through Preliminary Engineering, Participating in the D/B, and Start-up and Testing phases; Conduct Value Engineering Studies; Prepare, review and approval of logistical modeling of railroad operations through the phased construction of the Project;

Construction Phase
District Secretary s Authority for all Transportation development activities Chair of the Configuration Control Committee, committee reviews and approves design criteria and project change orders Member of the Safety Committee Participation in the solicitation process for the D/B, GC and CM@Risk Contractors; Participation in the partnering workshops; Review and approval of the D/B, GC and CM@Risk Contractors' schedules; Participation in weekly construction progress meetings; Review of construction progress estimates; Review of change orders and claims; Monitoring safety and environmental compliance; Monitoring the Assurance; and implementation of Quality

Director of Transportation Development

Upholding applicable FTA guidelines

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Figure 3-1 Safety and Security Responsibility and Authority


Integration Testing, Pre-Revenue Operation, Commissioning and Start-up Phases
Guiding the Project through, construction, and Start-up and Testing phases;

Design Phase PE and FD


Executing all capital projects. Project management and control Monitoring safety compliance; environmental compliance; value engineering; and quality assurance/quality control. Overall Project success and completion; Maintain project management and control; Participation in Value Engineering Studies; Participation in the solicitation process for the Construction Contractors; Participation in the partnering workshops; Monitoring safety and environmental compliance; Monitoring the implementation of Quality Assurance; and Upholding applicable FTA guidelines. Member of the Configuration Control Committee, committee reviews and approves design criteria and project change orders Member of the Safety Committee Participant in project design reviews

Construction Phase
Guiding the Project through, construction, and Start-up and Testing phases; Member of the Configuration Control Committee Executing all capital projects. Project management and control Monitoring safety compliance; environmental compliance; value engineering; and quality assurance/quality control. Overall Project success and completion; Maintain project management and control; Participation in Value Engineering Studies; Participation, review and approval of logistical modeling of railroad operations through the phased construction of the Project; Participation in the solicitation process for the Construction Contractors; Participation in the partnering workshops; Review and approval of the Construction Contractors' schedules; Participation in weekly construction progress meetings; Review and approval of construction progress estimates; Review and approval of supplemental agreements; Review and approval of change

Director Transportation Operations

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Figure 3-1 Safety and Security Responsibility and Authority


Integration Testing, Pre-Revenue Operation, Commissioning and Start-up Phases
Provide CRT Operations Assistance

Design Phase PE and FD


Review a unified set of Design Criteria for FDOT; Review and finalize the Preliminary Engineering Documents to assure agreement with Design Criteria; Review design and contracting packages Recommend Project Delivery Strategy for all elements of the project Review scope of work and selection criteria for the Construction contracts; Review Construction Contractor prequalifications package; acquire permits; Develop specification for rolling stock; Prepare performance specifications

Construction Phase
Participate in the Construction Contractor preproposal conferences; Participate in the Construction Contractor qualifications evaluations; Review commercial terms and conditions of the Construction Contractor contracts; Review addenda to terms and conditions; Evaluate proposals/bids; Participate in negotiations with Construction Contractors; Provide quality assurance and quality control oversight; Provide construction management and oversight; Provide value engineering; Provide technical assistance for FDOT to Provide on-site review of vehicles during fabrication; Review and log shop drawings and change orders; Monitor and control schedule and budget; Monitor construction adherence to Project requirements; Witness testing of the Project work;

Project Management Consultant (PMC)

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Figure 3-1 Safety and Security Responsibility and Authority


Integration Testing, Pre-Revenue Operation, Commissioning and Start-up Phases
District Secretary Authority for the implementation of the Safety and Security Management Plan

Design Phase PE and FD


Prepare unified set of Design Criteria for FDOT; Prepare and finalize the Preliminary Engineering Documents to assure agreement with Design Criteria; Prepare design and contracting packages Prepare scope of work and selection criteria for the Construction contracts; Member of the Configuration Control Committee, committee reviews and approves design criteria and project change orders Member of the Safety Committee Participant in project design reviews District Secretary Authority for the implementation of the Safety and Security Management Plan

Construction Phase
Prepare Construction Contractor pre-qualifications package; Participate in the Construction Contractor pre-proposal conferences; Participate in the Construction Contractor qualifications evaluations; Prepare commercial terms and conditions of Construction contracts; Prepare addenda to terms and conditions; Evaluate proposals/bids; Participate in negotiations with Construction Contractors; Provide quality assurance and quality control oversight; Provide construction management and oversight; Provide value engineering; Provide technical assistance for FDOT to acquire permits; Assist with the specification for rolling stock; Provide on-site review of vehicles during fabrication; Maintain and log shop drawings and change orders; Prepare Change Order recommendations Monitor and control schedule and budget; Monitor construction adherence to Project requirements; Witness testing of the Project work Prepare performance specifications

Design Consultant

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Figure 3-1 Safety and Security Responsibility and Authority


Integration Testing, Pre-Revenue Operation, Commissioning and Start-up Phases
District Secretary Authority for the implementation of the Safety and Security Management Plan Direct CRT Project Manager who oversees the testing, evaluation and commissioning activities Provides support for SIT District Secretary Authority for prerevenue operations and O&M training approval District Secretary Authority for providing security training to Rail Services O&M staff Provides oversight of the testing, evaluation and commissioning activities

Design Phase PE and FD


Senior Staff reporting to FDOT s Directors of Transportation Development and Transportation Operations District Secretary Authority for the implementation of the Safety and Security Management Plan Direct CRT Project Manager (FDOT) who oversees the design process Participates in project design reviews Member of the Configuration Control Committee

Construction Phase
District Secretary Authority for the implementation of the Safety and Security Management Plan Direct CRT Project Manager who oversees the construction activities Member of the Configuration Control Committee Leader for the development of the Rail Activation Plan

Participates in project design reviews

Reviews training program and maintenance manual submissions

CFCRT Rail Services CEO

CRT Project Manager (FDOT)

Provides oversight of the design process Participates in project design reviews Member of the Configuration Control Committee

Provides oversight of the construction activities Member of the Configuration Control Committee

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Figure 3-1 Safety and Security Responsibility and Authority


Integration Testing, Pre-Revenue Operation, Commissioning and Start-up Phases
Provides quality assurance for owner procured materials (other than systems and vehicles) Reviews and approves As-built drawings Provides technical assistance during SIT

Design Phase PE and FD


Project Engineer Participates in project design reviews

Construction Phase
Provides quality assurance for owner procured materials (other than systems and vehicles)

FDOT CRT Design Manager Systems Engineer/ Manager

Provides management of the design process Leads the project design reviews Manages conformance to design criteria Leads design quality control process Provides detailed oversight of the train control and signal system design development, vehicle specifications Member of the Configuration Control Committee Special emphasis on disaster response management Participates in design reviews Participates in design reviews Member of FDOT s Safety Committee

Provides management of the design process Responds to Contractor requests for information

Provides detailed oversight of the train control and signal system equipment manufacturing and installation, vehicle construction Provides management of vehicle inspectors Member of the Configuration Control Committee Member of FDOT s Safety Committee

Leads the certification of the vehicles, signaling system and train control system

Special Project Manager

Member of FDOT s Safety Committee Member of FDOT s Safety Committee Responsible for patrolling field sites Provides coordination with local law enforcement agencies

Member of FDOT s Safety Committee Responsible for patrolling Field sites Provides coordination with local law enforcement agencies

Public Safety Department/ Contract Security Staff

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Figure 3-1 Safety and Security Responsibility and Authority


Integration Testing, Pre-Revenue Operation, Commissioning and Start-up Phases
Reviews testing and commissioning quality control documentation

Design Phase PE and FD


Quality Assurance Leader Reviews design quality control documentation Participates in design reviews Participates in development of design criteria Participate in the Configuration Control Committee activities Review and approve changes or variances to design criteria

Construction Phase
Reviews construction quality control documentation

Members of Configuration Control Committee (Dept Heads, FDOT DISTRICT 5 / CFCRT, Auditor, Transportation Development Managers, Rail Safety Administrator, Risk Management Staff)

Participate in the Configuration Control Committee activities Review and approve changes or variances to design criteria and final design.

Participate in the Configuration Control Committee activities Review and approve changes or variances to design criteria and final design.

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Figure 3-1 Safety and Security Responsibility and Authority


Integration Testing, Pre-Revenue Operation, Commissioning and Start-up Phases
Personally responsible for their own safety, including receiving rail safety training before entering the Project ROW, wearing appropriate personal protective equipment, and following all procedures including checking in with the Railroad Engineer in Charge before entering Form B work areas. Responsible to report suspicious activity and rail corridor trespassing

Design Phase PE and FD


Personally responsible for their own safety, including receiving rail safety training before entering the Project ROW, wearing appropriate personal protective equipment, and following all procedures including checking in with the Railroad Engineer in Charge before entering Form B work areas

Construction Phase
Personally responsible for their own safety, including receiving rail safety training before entering the Project ROW, wearing appropriate personal protective equipment, and following all procedures including checking in with the Railroad Engineer in Charge before entering Form B work areas. Responsible to report suspicious activity and rail corridor trespassing

All personnel authorized to enter the Project ROW

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Figure 3-1 Safety and Security Responsibility and Authority


Integration Testing, Pre-Revenue Operation, Commissioning and Start-up Phases
Coordinates the development and implementation of the public safety program for revenue service. Coordinates the development and implementation of the public security Transit Watch program for revenue service. Provides safety management during this phase Performs construction safety and security audits Member of FDOT s Safety Committee Provides incentive fee evaluation of Contractor s safety program Reviews accident and safety related claims Member of the FDOT s Safety Committee

Design Phase PE and FD

Construction Phase
Provides updates on construction related street closures and other safety related issues

Public Information Specialist

Reviews contract specifications for construction safety adequacy

Provides oversight of Contractor s safety program Performs construction safety and security audits Member of FDOT s Safety Committee Provides incentive fee evaluation of Contractor s safety program

Construction Safety Administrator

Risk Management Claims Administrator

Member of the FDOT Safety Committee Reviews contract specifications for adequate safety and insurance provisions to minimize injury and property loss

Reviews accident and safety related claims Participates in construction safety audits Member of the FDOT s Safety Committee

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Figure 3-1 Safety and Security Responsibility and Authority


Integration Testing, Pre-Revenue Operation, Commissioning and Start-up Phases
Continues work on resolving claims

Design Phase PE and FD


Owner Controlled Insurance Program (OCIP) representative Provides advice on construction safety provisions to be included in contract documents

Construction Phase
Reviews accident and safety related claims Participates in construction safety audits

Construction Project Manager

Assures safety and security requirements are included in contract documents.

Ultimate authority for oversight of construction safety and security and construction quality control.

Ultimate authority for oversight of construction safety and security and construction quality control. Manages the Contractor s safety and security program Participates in safety and security audits Provides reporting on safety and security performance Provides security at construction office site.

Construction Management/ General Contractor (CM/GC) Safety Manager

Manages the Contractor s safety and security program Participates in safety and security audits Provides reporting on safety and security performance Provides security at construction office site.

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Figure 3-1 Safety and Security Responsibility and Authority


Integration Testing, Pre-Revenue Operation, Commissioning and Start-up Phases
Provides roadway worker protection training to all personnel who need to enter the project ROW Coordination operation and safety issues with Other Railways (CSXT, Amtrak). Coordination of security issues with Other Railroads Police and local police agencies. Leads the certification of the track and grade

Design Phase PE and FD


CM/GC Safety Coordinator

Construction Phase
Provides roadway worker protection training to all personnel who need to enter the project ROW Coordination operation and safety issues with Other Railways (CSXT, Amtrak).

CM/GC Railroad Coordinator CFCRT Rail Services Maintenance of Way Manager CFCRT Rail Services Operations Manager

Coordination of security issues with Other Railroads Police and local police agencies.

Leads the certification of the track and grade

Reviews SOPs and training program for operation and dispatch

Responsible for certification of the operations and dispatch Responsible for prerevenue service operations

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Figure 3-1 Safety and Security Responsibility and Authority


Integration Testing, Pre-Revenue Operation, Commissioning and Start-up Phases
Responsible for prerevenue service equipment maintenance Certifies to the FDOT District Secretary that the system is ready for revenue operations Coordinates emergency response training drills Chair of the Safety Committee Administer the Safety and Security Certification Program

Design Phase PE and FD


CFCRT Rail Services Equipment Maintenance Manager Participates in design reviews for safety and security requirements in contract documents. Member of the Configuration Control Committee, committee reviews and approves design criteria and project change orders Chair of the Safety Committee Administer the Safety and Security Certification Program

Construction Phase
Reviews contractor O&M manuals and training programs.

Participates in construction management reviews of Contractors for safety and security requirements in contract documents. Member of the Configuration Control Committee, committee reviews and approves design criteria and project change orders Chair of the Safety Committee Administer the Safety and Security Certification Program

FDOT Safety and Health Manager (Rail Safety Administrator)

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4.0

SAFETY AND SECURITY ANALYSIS

This section of the SSMP describes the processes FDOT DISTRICT 5 / CFCRT will use to recognize, evaluate, and resolve potential hazards (unintentional events) or vulnerabilities (intentional acts) associated with the design, construction, testing and commissioning of the project for patrons, employees, emergency responders and the public. 4.1 APPROACH TO SAFETY AND SECURITY ANALYSIS

FDOT DISTRICT 5 / CFCRT will require the Design-Build Contractors and other Construction Contractors as applicable to perform as a part of their scope of services on this Project, a Preliminary Hazard Analysis (PHA) and security Threat and Vulnerability Assessment (TVA) for Key commuter rail components (track, signal, grade crossings, stations, central control facility, rolling stock). While formal safety hazard analysis and security threat and vulnerability assessments for all aspects of the Project design will not be performed by FDOT staff or design consultants during PE, the requirements for conducting these analyses for key system elements and components will be incorporated in the Construction and Design-Build (DB) contract specifications during PE. The requirements for conducting a PHA by the Contractor will be in accordance with the FTA s requirements and methodology specified in Hazard Analysis Guidelines for Transit Projects document dated 2000. The Security Threat and Vulnerability Assessment to be specified in DB Contracts shall follow FTA requirements in Public Transportation System Security and Emergency Preparedness Planning Guide document dated 2003. 4.1.1 Hazard Identification Hazards will be identified by the following methods: Formal hazard analyses using the inductive process. They analyze system components to identify failure modes and effects on the total system or a part thereof, and of personnel actions. Failure modes include conditions such as: fails to open; fails to close; opens or closes when not required; fails to act; acts improperly or inadequately or at the wrong time; or any combination. Examples of formal hazard analyses include Preliminary Hazard Analysis, Failure Modes and Effects Analysis. This process is being used for the train control and signalling system and will be used for the vehicle analysis. Hazards that are recognized through experience: Designers, safety managers, and other project personnel use their knowledge and experience to recognize designs or constructed elements as having potential to result in accidents/incidents. This

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method will be used for system elements and subsystems that are similar to our CFCRT rail system, such as track, grade crossing, platform, and park and ride lots. Facility inspections that identify unsafe conditions. This method will be used to identify hazards during actual construction, testing and commissioning. Employee observations of unsafe conditions or behaviours. This method will be used during pre-revenue testing.

Identified hazards will be documented in the Preliminary Hazards List (PHL). 4.1.2 Threat and Vulnerability Identification Understanding a system s existing security exposure is a two-step process. A threat analysis is performed, followed by a vulnerability analysis. This proactive management approach encourages the implementation of a threat and vulnerability analysis process that will identify threats and vulnerabilities to the system so that controls and mitigation efforts can be designed into the project, to harden system elements against criminal activity. The threat analysis includes examining the design of the system infrastructure and actually determining threats to which a particular component or element is vulnerable. The emphasis of the analysis is on correlating and linking threats to specific system elements to ensure proper use of security resources, including budgets, time, people, and equipment. The vulnerability analysis consists of a series of activities intended to identify securityrelated shortcomings or weaknesses in the proposed system. The process for determining vulnerabilities in the proposed system begins with the identification and grouping of transit agency assets to enable management to rank system components based on their criticality to transit operations, their attractiveness as targets for security breaches or terrorist attack, and their vulnerability to the impacts of a successful breach or attack. Critical assets are defined as the specific assets most critical to its mission to protect people and the agency s ability to provide service. In considering analysis of threats and vulnerabilities, three definitions should be clearly stated: Threat: Any real or potential condition that can cause injury or death to passengers or employees, or damage to or loss of Florida Department of Transportation District 5 (FDOT District 5) CFCRT equipment, property, and/or facilities Characteristics of passengers, employees, vehicles, and/or facilities that increase the probability of a security breach.

Vulnerability:

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Risk:

The probability that a security incident will occur

When threats and vulnerabilities are combined, the risk increases and there is a higher potential that security problems will exist. FDOT DISTRICT 5 / CFCRT and its design consultants will incorporate the requirement to perform a formal Threat and Vulnerability Analysis (TVA) of the existing design to identify potential threats and vulnerabilities, on the DB and other Contractors, as applicable. The CM/GC Contractor will be contractually required to provide security and to adhere to security in design in accordance with the approved Contractor s Safety and Security Plan (CSSP) and the contract specifications. Compliance with said contractual requirements will be overseen by the FDOT s Project Manager and Construction Manager. The threat and vulnerability analysis for operations will take place as part of the Contractor s Final Design phase during the Design stage and before building the system element or subsystem. The security threat and vulnerability will be mitigated and the risk eliminated well in advance of development of the Rail Activation Plan, to take place prior to the start of testing and commissioning. 4.1.3 Categorization of Hazards Hazards are rated in terms of their effects (severity) on people or property and the likelihood (probability) of their occurrence. The combination of severity and probability ratings results in a risk rating for a hazard. The standard hazard severity, probability, and risk ratings used in the transit industry, and fully described in the FTA s Hazard Analysis Guidelines for Transit Systems (2000), will be used for the CFCRT Project. The Severity Categories and projected results of hazard activation are summarized in Figure 4-1. Figure 4-1 Hazard Severity Levels
Description Catastrophic Critical Marginal Negligible Category I II III IV Result of Hazard Activation May cause death or major system loss May cause severe injury or illness or major system damage May cause minor injury or illness or minor system damage May cause less than minor illness, injury or system damage

The probability that a hazard will occur can be described in potential occurrences per unit of time, events, population items or activity. A qualitative hazard probability will be derived from research, analysis, and evaluation of safety data from the operating experience of commuter rail systems in similar transit applications. A depiction of a hazard probability rating system is shown in Figure 4-2.
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Figure 4-2 Hazard Probability Levels


Description Frequent Probable Occasional Remote Improbable Level A B C D E Individual Item Frequency Likely to occur frequently Will occur several times in life of an item Likely to occur sometime in life of an item Unlikely, but possible to occur in life of an item So unlikely, assume no occurrence in life of an item Fleet Or Inventory Frequency Continuously experienced Will occur frequently Will occur several times Unlikely, but can be expected to occur Unlikely to occur, but possible

Risk assessment determines the acceptability of assuming a risk associated with a hazard, the necessity of implementing corrective measures to eliminate or reduce the hazard, or a combination of both. Hazard risk assessment coding involves categorization of hazard severity and probability of occurrence. The Risk Assessment Coding (RAC), or Hazard Rating Table, is shown in Figure 4-3 Figure 4-3 Hazard Rating Table
Risk Category 1 2 3 4 Hazard Risk Index 1A, 1B, 1C, 2A, 2B, 3A 1D, 2C, 2D, 3B, 3C 1E, 2E, 3D, 3E, 4A, 4B 4C, 4D, 4E Criteria by Index* Unacceptable Undesirable Acceptable with review Acceptable without review

The Project Team will use the Hazard Rating Table to prioritize hazardous conditions and focus available resources on the most serious hazards requiring resolution while effectively managing the available resources. The results will be documented and presented to FDOT s Safety Committee for review and comment. 4.1.4 Categorization of Threats and Vulnerabilities Similar to hazards, the magnitude of the impact (severity) should a threat successfully exploit the vulnerability are rated in terms of their effects on people or property and the ease (probability) of a given threat exploiting a given vulnerability. The combination of severity and probability ratings results in a risk rating for a hazard. The hazard severity categories, probability rating system, and Risk Assessment Coding (RAC), will be also

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used for threats and vulnerabilities are summarized in Figures 4-1, 4-2, and 4-3 respectively. 4.1.5 Hazard Resolution and Threat and Vulnerability Mitigation Based on a prioritization of the hazards and threats and vulnerabilities in the categorization phase of the analysis, the Project Team will work through resolution/mitigation of the hazards and vulnerabilities. Depending on the status of the design and construction and the risk category, the appropriate means will be employed to resolve identified hazards and vulnerabilities. The order of precedence for resolving hazards and vulnerabilities is as follows: Design for Minimum Risk: From the first, design to eliminate hazards and vulnerabilities through design selection. Safety Devices: Hazards or vulnerabilities that cannot be eliminated or controlled through design selection shall be controlled to an acceptable level using fixed, automatic or other protective design features or devices. Provisions shall be made for periodic functional checks of safety or security devices. Warning Devices: When neither design nor devices can effectively eliminate or control an identified hazard or vulnerability, devices shall be used to detect the condition and to generate an adequate warning signal to advise personnel or the public of the hazard or vulnerability and provide for personnel evacuation, if warranted. Warning signals and their application shall be designed to minimize the probability of incorrect personnel reaction to the signals and shall be standardized within like types of systems. Procedures and Instruction: Where it is impossible to eliminate or adequately control a hazard or vulnerability through design selection or use of warning devices, procedures and training shall be used to control the hazard or mitigate the vulnerability. Procedures may include the use of personal protective equipment. Safety or security critical tasks and activities may require certification of personnel authorization. Reduce, Replace, Remove, Or Do Not Operate: If there is no practical way to reduce the hazard or vulnerability, replacement, removal or non-operation is indicated. Accept: If a hazard or vulnerability will result in less than minor, illness, injury, or system damage, no further action is necessary.

FDOT s Safety Committee will review and approve the formal hazard analyses and vulnerability mitigation recommendations.

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4.2

REQUIREMENTS FOR SAFETY AND SECURITY ANALYSIS

FDOT DISTRICT 5 / CFCRT will require the Design-Build Contractors and other Construction Contractors as applicable to perform as a part of their scope of services on this Project, a Preliminary Hazard Analysis (PHA) and security Threat and Vulnerability Assessment (TVA) for Key commuter rail components (track, signal, grade crossings, stations, central control facility, rolling stock). While formal safety hazard analysis and security threat and vulnerability assessments for all aspects of the Project design will not be performed by FDOT staff or design consultants during PE, the requirements for conducting these analyses for key system elements and components will be incorporated in the Construction and Design-Build (DB) contract specifications during PE. The requirements for conducting a PHA by the Contractor will be in accordance with the FTA s requirements and methodology specified in Hazard Analysis Guidelines for Transit Projects document dated 2000. The Security Threat and Vulnerability Assessment to be specified in DB Contracts shall follow FTA requirements in Public Transportation System Security and Emergency Preparedness Planning Guide document dated 2003. Going forward, formal hazard analyses and threat and vulnerability assessments will be a requirement for each newly identified safety and security critical system element and subsystem during Final Design, construction, or during test and start-up. Members of the Project Team will use the Hazard/Threat and Vulnerability Rating Tables to prioritize hazardous conditions and focus available resources on the most serious hazards requiring resolution while effectively managing the available resources. The results will be documented and presented to FDOT s Manager of Safety and Health who chairs the Safety Committee. The Manager of Safety and Health will have the District Secretary s authority to manage the activities related to identification and resolution of hazards and vulnerabilities and will either make final decisions on hazard resolution and vulnerability mitigation (Risk Categories 3 and 4) or bring them before FDOT Safety Committee for final decision (Risk Categories 1 and 2). FDOT s Manager of Safety and Health and the FDOT s Safety Committee will review and approve (or endorse) the formal hazard analyses and vulnerability mitigation recommendations.

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5.0 5.1

DEVELOPMENT OF SAFETY AND SECURITY DESIGN CRITERIA APPROACH TO DEVELOPMENT OF SAFETY AND SECURITY DESIGN CRITERIA

The approach of the FDOT DISTRICT 5 / CFCRT is to integrate the safety and security requirements for each specific design element into the corresponding element design criteria. There are no separate sections in the Project design criteria specifically identified as safety and security design criteria. Design Criteria are addressed in Exhibit A herein, which provides excerpts from the CFCRT Project Management Plan in Support of the Safety and Security Management Plan. The development of the Project design criteria will be finalized during the PE phase by the Design Consultant and the PMC review for the CFCRT Project. The design criteria will then be formally adopted by the Configuration Control Committee (CCC). Records of the committee meeting minutes as well as the design criteria will be processed into FDOT District 5 CFCRT s document control system. Design criteria that differ from the approved baseline safety and security CFCRT design principles will be brought to the FDOT s Safety Committee for review and direction. Such direction will be based on hazard analyses, TVAs, and other analyses. Hazard analyses and TVAs may also proactively result in recommendations to change design criteria related to safety and security improvements on the Project. Any recommendation for a variance from the existing criteria will be brought before the CCC for approval. The design criteria for the Project are developed from several sources, mainly: FDOT commuter rail design criteria that were developed for the Tri-Rail Commuter Rail Project in South Florida which are applicable to the CFCRT Project. These include standards developed by APTA, NFPA, AREA, FRA, as well as other industry or technical standards; Examples of FRA and APTA Standards are contained in the Appendices to the APTA Manual for the Development of System Safety Program Plans for Commuter Railroads. (May 15, 2006). Additionally FTA, the Transportation Research Board, and National safety and security committees on critical infrastructure protection provide Safety and Security Publication with safety and security design guidelines. Engineering experience of the design team obtained from numerous other commuter rail projects The technical specifications for vehicles, signalling systems and train control reference the required FRA safety and security specifications.

FDOT DISTRICT 5 / CFCRT perceives the safety and security risks to be fundamentally similar to those on FDOT s existing South Florida commuter rail system. To that regard, the Project design criteria and specifications uses the safety and security elements from the SFRTA projects where applicable. Where there are differences from SFRTA,

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related to freight rail and Amtrak operations, the design criteria are revised to reflect those differences. The specifications for the Project are in early PE phase and most of the procurements packages are still in early design stages. As the project progresses, CFCRT design staff can review the design criteria and the specifications in the procurement documents for the Project and provide documentation of the codes and standards that have been referenced in those specifications. 5.2 DESIGN REVIEWS

Drawings and specifications for the Project will be reviewed informally during development and formally at discrete points in the process: (i.e. Preliminary and Final Design). The reviews will be to verify conformance with all of the Project design criteria. Reviews to assure all safety and security requirements are met will be completed by individual discipline design personnel, their design supervisors, the assigned FDOT DISTRICT 5/ CFCRT design oversight manager, representatives from operating departments, and the assigned safety and security personnel, as indicated in Section 3 of this SSMP. 5.3 DEVIATIONS AND CHANGES

Physical constraints in the Project corridor may produce conflicts with the baseline design requirements. The Contractor is required to explore all reasonable alternatives to provide a design in conformance with the requirements of the existing criteria. If a reasonable alternative cannot be developed, the Contractor may submit a request for an exception to the requirements to the CRT Design Manager (FDOT). Each exception submitted is reviewed by the required engineering disciplines, and by Project and FDOT DISTRICT 5 / CFCRT safety and security personnel. If accepted by the CRT Design Manager and Project safety and security, the deviation request will be sent to CCC by following the procedures developed for the Project and FDOT DISTRICT 5 / CFCRT s SOP for the handling of deviations and changes. If approved by the CCC, the Contractor will be given written approval for the exception to the specific requirement. If approved, the findings and recommendations will be incorporated into the final design engineering and construction plans. In addition, it is not uncommon during the Project for results from hazard analyses and/or TVAs to warrant consideration of a revision to the design requirements. Findings and recommendations from hazard analyses also require written approval for a change to a requirement from the CCC.

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6.0

PROCESS FOR ENSURING QUALIFIED OPERATIONS AND MAINTENANCE PERSONNEL OPERATIONS AND MAINTENANCE PERSONNEL REQUIREMENTS

6.1

Personnel staffing requirements for the Operation and Maintenance of the CFCRT LINE will be developed during 2007. Titles, qualifications, responsibilities of each title, and training requirements will be similar to those of existing Commuter Rail personnel in similar projects such as Tri-Rail at South Florida Regional Transportation Authority (SFRTA) with modifications specific to the CFCRT line. The number of personnel in each title needed for CFCRT line operation will be included in a revision of FDOT DISTRICT 5 / CFCRT s O & M Plan (OMP). The staffing of operators and supervisors will be consistent with the number of commuter rail trains that will be operating on the CFCRT line. Similarly, the maintenance personnel staffing will be consistent with the maintenance load based upon the number of commuter rail trains. Operations Supervisors will complete required training for a Commuter Rail Operations Supervisor and are projected to be initially staffed by December 2007, if required to take over dispatching from CSXT in early 2008. Train Operators will pass pre-test and complete operating certification and training, documentation will be created later in 2007 for commuter rail. 6.2 PLANS, RULES, AND PROCEDURES

Drafts of the following documents will be prioritized for early completion and changes or additions will be identified and made to the documents during the rail activation process: 6.3 FDOT DISTRICT 5 / CFCRT Rulebook Standard Operating Procedures CFCRT LINE System Safety Program Plan CFCRT LINE System Security Plan Rail Activation Plan TRAINING PROGRAM

The current FDOT DISTRICT 5 / CFCRT O & M training program for each title, with modifications specific to the commuter rail line, will be used to train employees hired to operate, maintain, and supervise on the CFCRT Line. Safety and security (system, personal, and public) are required elements of every training curriculum In addition to training required by title and position, all employees, consultants, and contractor personnel who are authorized to work within fouling distance of the track, must receive FRA Track Safety and RWP training and have evidence of this training on their person when they are within the CFCRT line ROW.
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Training curriculums are maintained by the manager of the department responsible for performing the training and are reviewed and updated as conditions warrant. Training, licensing, and certification requirements for each title are identified in the individual title descriptions. Employee files contain evidence that each employee has the appropriate qualifications, licenses, certifications, and training for his/her title and responsibilities. The CFCRT line curriculum will be described in: 6.4 CFCRT line Operations training program CFCRT line Rolling Stock training program CFCRT line MOW training program Rail Activation Plan Accredited RR Industry Courses EMERGENCY PREPAREDNESS

FDOT DISTRICT 5 / CFCRT will perform the following drills annually on the existing CSXT freight service along the alignment and will extend them to cover the CFCRT line commuter service when it is ready to enter revenue operation: Annual emergency preparedness drill (scenario and location will vary each year) Tabletop drill exercises Emergency field training procedure exercises

Formal reviews will follow each drill and lessons learned will be incorporated into improvements in incident response and resolution procedures. During the Project construction phase, specific drills will be identified to be incorporated into the System Integration Test Plan (SITP) and Rail Services Plan (RSP) and procedures for them developed. The procedures will identify all participants, including outside agency emergency response personnel. The SITP, RSP, and drill procedures will identify how each drill is assessed for acceptance as meeting requirements stated in the procedures. If a drill does not meet these expected results, it will be repeated. Familiarization for Local Fire Departments and Police Departments will be conducted with the beginning of Pre-Revenue operations. Drills exercising the training of these personnel will be conducted during the Pre-Revenue exercises. 6.5 PUBLIC AWARENESS

FDOT DISTRICT 5 / CFCRT will partner with local communities and lead or participate in the following public safety and awareness programs: 1. Train for Safety. This program will be developed to educate school children on proper safety around the CFCRT system. A detailed Train-for-Safety plan
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2.

3.

will be developed for the CFCRT line during construction, and will be implemented during the pre-revenue operation. Transit Watch. FDOT DISTRICT 5 / CFCRT s Transit Watch program will provide the public a conduit to report nefarious activities in and around the CFCRT system. Operation Lifesaver. FDOT DISTRICT 5 / CFCRT will establish partnership with Operation Lifesaver of Florida. FDOT DISTRICT 5 / CFCRT will participate in the national Operation Lifesaver program, both financially and by volunteering staff to speak at schools and other organization on rail safety. This public education program will be the vehicle for public awareness and training for the CFCRT line. This drive will be lead by FDOT DISTRICT 5 / CFCRT s Public Relations Department with additional participation from CR personnel.

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7.0

SAFETY AND SECURITY VERIFICATION PROCESS

This section describes how FDOT DISTRICT 5 / CFCRT plans to initiate activities to verify the compliance of the delivered project with the criteria and specifications developed and approved during the critical design review. 7.1 DESIGN CRITERIA VERIFICATION PROCESS

The design section of the Safety and Security Certification Plan (SSCP) will detail how the design safety and security requirements, including those in the design criteria and those resulting from hazard analyses and Threat and Vulnerability Assessments (TVAs), will be verified. The process includes development of the Certifiable Items List (CIL) and verification checklists and review of each design element for compliance prior to formal safety and security certification of the Project. The detailed procedure for design certification, including delineation of authority and responsibility is included in the SSCP. 7.2 CONSTRUCTION SPECIFICATION CONFORMANCE PROCESS

The construction section of the SSCP details how the construction of individual elements will be safety and security certified that they meet the final design and any added requirements due to targeted hazard analyses or TVAs. Formal documentation from contractors, such as inspection and testing reports will be used as witnessing of tests by contractors and manufacturers to verify requirements are met. It must be demonstrated that: All elements of the system provided under construction, procurement and installation contracts conform to the safety and security specification requirements. All required contractual testing has been satisfactorily performed and evidence submitted, if required. The as-built configuration contains the safety and security related requirements identified in the applicable specifications and other contract documents. Changes to the established design configuration meet code and regulatory compliance, have been approved by the Configuration Control Committee (CCC) and any identified safety and security issues are satisfactorily resolved.

The detailed procedure for construction certification, including delineation of authority and responsibility is included in the SSCP. 7.3 TESTING/INSPECTION VERIFICATION

Verification of testing and inspection requirements is done in two stages, both require that all safety and security elements be adequately inspected and tested before acceptance. All contractually required inspections and tests (factory, material, and field)
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are overseen by construction managers, QC, and by safety and security personnel when they deem it necessary. Tests that are required to assure proper integration of systems, or are safety or security intensive, are included in the SITP. During the construction, integration, and start-up phases, many contractual and integrated tests are conducted for the purpose of validating proper operation of equipment furnished and constructed for the Project. Those that are necessary prior to substantial completion of construction are identified in the contract documents and will be performed by contractors under Project oversight. The FDOT DISTRICT 5 / CFCRT testing and commissioning processes require that a detailed Rail Activation Plan (RAP) be prepared for the Project and its execution be overseen by a Rail Activation Committee (RAC). 7.3.1 Rail Activation Plan (RAP) The RAP is made up of three plans: the SSCP, which identifies requirements, processes, and responsibilities for the CIL, hazard and vulnerability resolution verification, and the certification of design, construction, integration testing, pre-revenue operations, training, development of needed operational plans and procedures, and all other required elements for safe and secure operation; the Rail Services Plan (RSP) which identifies all requirements for pre-revenue operations (PRO), operations and maintenance training, and the plans and procedures needed for operations; the SITP, described below, which includes all tests and drills required to verify the safety and security of the completed CFCRT line. 7.3.1.1 System Integration Testing Plan (SITP) The SITP identifies tests and drills required to be performed, and for each, prerequisites, required planning and materials, test success criteria, and responsibilities for performing and witnessing the test or drill. SIT is performed during the integration testing phase of the project, which begins after all contractual testing is done and substantial completion is given to the contractor. Each test or drill will have an RAC approved detailed procedure with appropriate data sheets, and a testing schedule will be published. Contractor personnel may perform tests, however, they must be overseen and witnessed by FDOT DISTRICT 5 / CFCRT project personnel to verify results and sign the test reports. After all SITs are satisfactorily completed and reports accepted and results verified by the RAC, SIT will be safety and security certified by the procedures in the SSCP. The SITP will contain the detailed SIT procedures and management roles and the SSCP will contain the details of SIT certification. 7.4 HAZARD AND VULNERABILITY RESOLUTION VERIFICATION

The hazard and vulnerability identification and resolution process was described earlier in the SSMP. Each identified and management approved hazard or vulnerability
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resolution or mitigation is added to design and construction requirements and recorded on a tracking list. The list is used by Project safety and security, designers, construction managers, and the RAC to follow each through the design, construction, and testing process. For each hazard or vulnerability resolution or mitigation, the means of verifying its adequacy is defined in the tracking documents and may vary from simple observation to comprehensive testing. The verification that all hazard and vulnerability resolutions have been appropriately included in the design is included in the verification of FD. The verification that all hazard and vulnerability resolutions have been appropriately constructed is included in the verification of construction. Those that require systems integration for resolution will be included in the appropriate tests within with SITP. The detailed procedures for hazard and vulnerability certification, within the design and construction certification requirements, are included in the SSCP. 7.5 OPERATIONAL READINESS VERIFICATION Verification is also required for the development of all needed plans, rules, and procedures, the preparation of and acceptance manuals showing how to operate and maintain systems equipment and facilities, and the proper training of operations and maintenance personnel, including simulation of revenue operation (PRO). 7.5.1 Rail Services Plan (RSP) The RSP describes the process for ensuring plans and procedures that are necessary to safely and securely operate the CFCRT line are developed. During the pre-revenue phase, the procedures and plans will be tested for effectiveness under simulated operating conditions on the CFCRT alignment with commuter trains. The RSP also identifies the training to be provided to newly hired, or transferred existing personnel, who will operate and maintain the CFCRT line and it identifies any safety and security elements that must be emphasized during training and verified during PRO. The RSP also identifies manuals, drawings, training syllabuses, and other documentation that must be received by FDOT DISTRICT 5 / CFCRT prior to start of revenue operations to assure continued safe operation and maintenance. These requirements and how they will be met, identification of the process for training operations and maintenance personnel in accordance with written rules and procedures, conduct of PRO, repeat of drills for operator and responder training, and other elements needed to safely and securely prepare for revenue service are detailed in the RSP. After the completion of all elements required for operational readiness, the Manager of Rail Operations, who also chairs the RAC s Rail Services Subcommittee, will verify and safety and security certify that all elements required from an operational readiness perspective have been satisfactorily completed. The detailed procedures for this certification are described in the SSCP.

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7.6

SAFETY AND SECURITY CERTIFICATION REQUIREMENTS

As has been stated earlier in the SSMP, the SSCP details the requirements for verification and certification of the safety and security of all elements. 7.6.1 Safety and Security Certification Plan (SSCP) The Project SSCP will be developed and implemented in compliance with FTA rules, 49 CFR part 659 and the requirements established by the RAC. The SSCP will be submitted and approved by the Federal Railroad Administration (FRA) and the FDOT. FRA has the Oversight Agency responsibility for all areas of the Project except at-grade rail crossings and non-FRA track areas as applicable, where it has delegated responsibility to the FDOT. The SSCP will be similar in scope and content to the FDOT SFRTA Line, except for added content in the security section and any changes necessitated by unique characteristics of the CFCRT line. The SSCP will certify and document that all practical steps have been taken to optimize the operational safety and security of the Project before it is placed into revenue service. The goal of the SSCP is to ensure that the Project begins revenue service on the corridor with: A level of safety and security equivalent to the existing system and other existing rail systems in the United States. The elimination or control of hazards, to the extent possible, as they affect passengers, employees, and users of shared right-of-way, facilities, property and equipment. A high level of public confidence in the safety and security of the service. Compliance with all safety and security requirements established for the CFCRT line.

Following completion of design, the Manager of Engineering and Construction will review documentation to ensure that all safety and security requirements have been satisfied and will sign a recommendation for certification of design. The Rail Safety Administrator also reviews this information and, if satisfied, countersigns recommendation for certification. These will be subsequently reviewed by the RAC and, if satisfied, the RAC Chair will countersign the certifications. The RAC is formed during the construction phase and assumes management of the process for verifying and certifying the remaining elements for rail activation, including safety and security requirements. The elements are completed during the Integration Testing, Pre-revenue Operation (PRO), and Start-Up phases of the Project. The processes to be used and signatories required for verification of each element is detailed in the RAP, SITP, RSP, and SSCP. The SSCP also describes the detailed requirements for safety and security certification of each of these elements.

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Throughout the verification effort, quality assurance audits are conducted on a periodic basis by the Quality Team Leader. Audits verify that all participants in the design conformance and testing/acceptance processes are reviewing for compliance with safety and security requirements and appropriately documenting this conformance. Other activities to be assessed include: The status of each safety/security task Compliance with program milestones and safety/security program milestones Schedule incompatibilities that require remedial corrective action Contractor action to track and implement positive corrective actions.

After all elements are certified in accordance with the requirements specified in the SSCP, and verified by the RAC, the Chair of the SSC Subcommittee of the RAC will prepare the final Safety and Security Certification Verification Report (SSCVR) for the CFCRT Project certifying that is safe and secure for revenue operation. After the SSCVR is approved and signed by the RAC as specified in the SSCP, it is presented to the GM s Safety Committee for approval and submission to the GM for final signature and transmission to oversight agencies.

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8.0

CONSTRUCTION SAFETY & SECURITY

The requirements for construction safety and security management will developed and included in the Construction Safety Program Manual. Although assessments to determine the need for other than routine safety and security requirements during construction were not formally completed prior to the start of construction, assessments are now part of the continuing construction safety and security effort. 8.1 CONSTRUCTION SAFETY AND SECURITY PROGRAM ELEMENTS

The Project will utilize the Construction Safety Program Manual to be developed by the FDOT DISTRICT 5 / CFCRT Safety Department as the basis for the construction safety and security requirements. The final design (FD) documents will include specific requirements for contractor-provided safety and security elements, including required reports to FDOT DISTRICT 5 / CFCRT and identification of Project oversight of contractor performance. The Construction Safety and Security Program, used on previous projects, will utilize: FDOT DISTRICT 5 / CFCRT Construction Safety and Security Staff guided by the Construction Safety Program Manual requirements; Contract documents, including technical provisions, compliance manuals, and General and Special Provisions that specify contractor requirements for safety and security during construction, and Contractor Professional Safety and Security Staff as a required part of the Contractor s Project Management Team.

Contractors and Subcontractors are contractually required to adopt the Construction Safety Program Manual and to submit, for review and approval, a project specific Contractor Safety and Security Plan (CSSP) that details how they will meet the Manual s and the Contract s requirements. Proper supervision and training at all tierlevels, with employee participation in the Construction Safety and Security Program Manual will be required. The FDOT DISTRICT 5 / CFCRT Construction Safety Administrator and Public Safety Department (safety and security responsibilities) have assigned staff safety and security professionals to oversee the Contractor s application of the approved CSSP. The contract documents and the approved safety CSSP give the FDOT DISTRICT 5 / CFCRT Construction Safety Administrator the authority to stop any unsafe construction activity and proscribe necessary conditions that must be met for work to resume. In addition, the FDOT DISTRICT 5 / CFCRT Construction Safety Administrator or his/her authorized representative report all observed unsafe working conditions or security breaches to the Contractor and the Project Director, notify the Contractor and the Project Director in writing of non-compliance with any of the safety and security requirements, maintain written documentation of communications with the Contractor
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concerning accident prevention and security breaches, and review Contractor s Daily Reports, Equipment Maintenance Logs, Accident Report Forms, and other applicable forms. The SSMP incorporates safety and security as a priority for every member of the management team, including FDOT DISTRICT 5 / CFCRT staff and design and quality assurance contracted professionals. Each member of the Project Team is responsible for exercising his or her part of the Safety & Security Management Program. This includes the reporting of unsafe and unsecure conditions or activities, as well as receiving safety and security awareness and other safety and security training appropriate to the individual s specific role. FDOT DISTRICT 5 / CFCRT will assign a Construction Safety Engineer to the project, who will be working in the construction phase to evaluate the contractor s adherence to the contract documents, construction phase safety and security requirements. Assistance in assessing the security requirements is provided by personnel from the Public Safety Department. The need for other full or part-time construction safety or security professionals during the construction phase is re-evaluated continually throughout the duration of construction. Construction Safety personnel assigned to the project (part or full time) will undertake compliance checking activities (including but not limited to submittal review and field observations) to insure the compliance and quality of the contractor s construction safety and security activities. 8.1.1 Construction Security The FDOT DISTRICT 5 / CFCRT approved CSSP for the Project will integrate the provision of security into all phases of construction. The contractor is required to maintain secure work sites, material storage sites, office facilities. Provisions of Security requirements are for the protection of both the FDOT DISTRICT 5 / CFCRT property and the property of the Contractor from theft, vandalism, pilfering, or other destructive activities, as well as for protection of personnel. The minimum requirements for the contractor s security program are identified in the contract documents. The approved contractor s security program may include both active and passive security measures such as the following. Security Guard Service On-site Security Guard Service may include both patrolling guards to randomly cover all work, office, and storage areas, and stationary guards (fixed post) to control key access points or observe significant vulnerabilities. Lighting/Illumination Lighting at worksites, offices, and storage areas may be used to reduce vulnerability. Access Control/Alarms/CCTV Office facilities, storage yards and buildings, and completed facilities will be secured to prevent unauthorized entry and may be provided with alarm systems or remote monitoring through CCTV systems.
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8.2

Physical Barriers Perimeter fencing with lockable gates will be used for storage areas and may be used for vulnerable work areas or office locations. Signage Warning signs may be used for both safety and security reasons. CONSTRUCTION PHASE HAZARD AND VULNERABILITY ANALYSIS

Although assessments to determine the need for other than routine safety and security requirements during construction were not formally completed prior to the start of construction, assessments are now part of the continuing construction safety and security effort. The Project Manager and FDOT District 5 Secretary insist that safety and security be a priority for every member of the management team, including FDOT DISTRICT 5 / CFCRT staff and design and quality assurance contracted professionals. Each member of the Project Team is responsible for exercising his or her part of safety and security. This includes the reporting of unsafe and unsecure conditions or activities, as well as receiving safety and security awareness and other safety and security training appropriate to the individual s specific role. The contractor conducts construction safety and security audits to verify that the CSSP activities are being implemented. These audits are performed to verify compliance against pre-selected requirements. The audit objectives are to: Verify implementation and compliance with all aspects of the CSSP and to determine the effectiveness of the system; Assure that the audits are performed in accordance with a written checklist by qualified personnel Assure that all audit results are documented and reviewed by management responsible for the area audited Assure that follow-up actions and actual verification, including re-audit of deficient areas, are performed.

In addition, the contractor safety supervisors perform daily inspections of the worksite to ensure corrective action is taken by the construction organization for any health, safety, or security deficiencies identified. All inspections are recorded on safety logs and distributed to the Safety Manager and, as necessary, the appropriate construction personnel and the contractor project manager 8.3 SAFETY AND SECURITY INCENTIVES

The Contractor is eligible for an incentive fee based partially on their safety performance. The safety incentive fee portion can be based, for example, 48% on the evaluation of safety walks and the timely correction of deficiencies observed, and 52% based on the lost time history for the Project. A monetary sum (e.g. $50,000) can be made available each quarter for this incentive. The Project Safety Administrator will prepare a written evaluation of the Contractor s performance each quarter and the results are reviewed and the amount determined by a performance evaluation
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committee made up of senior management from FDOT District 5/ Contractor, and FDOT Central Office.

CFCRT, the

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9.0

REQUIREMENTS FOR 49 CFR PART 659, RAIL FIXED GUIDEWAY SYSTEMS; STATE SAFETY OVERSIGHT (SSO) PURPOSE

9.1

The Project is under the jurisdiction of the FRA. The FRA has delegated safety oversight of at-grade rail crossings to the Florida Department of Transportation. 9.2 COORDINATION

FDOT DISTRICT 5 / CFCRT in coordination with the Florida Department of Transportation central office shall work cooperatively throughout the design process to obtain approvals for all at-grade crossing improvements. Prior to the at-grade crossing improvements becoming operational, they will be certified by the Florida Department of Transportation central office.

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10.0

FRA COORDINATION

The liaison with the Federal Railroad Administration (FRA) will be conducted through the District 5 Secretary to the regional FRA office, and their oversight representative on the project. It is anticipated that when FDOT Contracts/hires an established FRAcompliant Commuter Rail Service Operator (CRSO) who has its own well established and proven Drug and Alcohol Policies and Procedures FDOT DISTRICT 5 / CFCRT may request a waiver from the FRA Drug and Alcohol procedure. The FDOT DISTRICT 5 / CFCRT would consider requesting that the CFCRT CRSO s existing proven procedure for its employees be used in lieu of the FRA procedure. No other waiver requests are contemplated at this time. The Project will be utilizing FRA compliant commuter rail vehicles. FDOT DISTRICT 5 / CFCRT will coordinate closely with the FRA during construction, start-up, and commissioning to continue to evaluate the need for waivers. FRA regional staff may require to receive any waiver requests at least nine months in advance of revenue operations. FDOT DISTRICT 5 / CFCRT will comply with this request. The Project is under the jurisdiction of the FRA. Any waivers that are required for system start-up, certification, and operation will be prepared by the Manager of Engineering and Construction, Commuter Rail and submitted by the District Secretary. While under FRA jurisdiction, FDOT has oversight of the CFCRT grade crossings. FDOT DISTRICT 5 / CFCRT shall perform in-field grade crossing diagnostics and design review meetings with FDOT, CSXT, CM, PMC GEC designers and engineers, applicable local municipalities, FRA, and counties to review and approve each grade crossing design and construction. The CFCRT SSPP will be developed and submitted for approval to the FRA and made available to FDOT. The SSPP will conform to the American Public Transportation Association (APTA) Guidelines for the Development of Commuter Rail System Safety Program Plans. In addition, FDOT DISTRICT 5 / CFCRT will submit for FRA review and approval plans for completion of a collision/derailment hazard analysis that conforms to the hazard management process in the approved CFCRT SSPP or the FRA Guide to Collision/Derailment Hazard Analysis.

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11.0

DHS COORDINATION

There are currently no programs managed by DHS relating to the Project. However, meetings with the FBI liaison, acting on behalf of the DHS, will be held on an as needed basis. These meetings will be generally held at least monthly but, given any particular state of readiness level, may occur more often as needed. The FDOT DISTRICT 5 / CFCRT will keep regular meetings with the DHS through its FBI liaison in the region. This liaison provides information on inspection recommendations, security alerts, and ongoing information as promulgated through the TSA. The CFCRT Contract Safety and Security staff provide the linkage and funnel through which such information and recommendations from the DHS are acted upon through the CFCRT processes as described in this document.

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Table of Contents
EXHIBIT A EXCERPTS FROM THE CFCRT PROJECT MANAGEMENT PLAN IN SUPPORT OF THE SAFETY AND SECURITY MANAGEMENT PLAN.......... 1 A.1 INTRODUCTION .......................................................................................... A-1

A.1.1 CFCRT DESCRIPTION .................................................................................A-4 A.1.2 FDOT HISTORY AND OVERVIEW ...............................................................A-4
A.1.2.1 A.1.2.2 History ...................................................................................................................................... A-5 Overview ................................................................................................................................... A-6

A.1.3 LEGAL AUTHORITY AND REQUIREMENTS .............................................. A-7 A.1.4 REQUIREMENTS FOR INTERAGENCY AND MASTER AGREEMENTS, APPROVALS & PERMITS.............................................................................A-7
A.1.4.1 A.1.4.2 A.1.4.3 A.1.5.1 A.1.5.2 A.1.5.3 A.1.5.4 A.1.5.5 A.1.5.6 A.1.5.7 A.1.5.8 A.1.5.9 A.1.6.1 Federal Transit Administration .................................................................................................. A-7 Florida Department of Transportation ....................................................................................... A-8 Volusia, Seminole, Orange and Osceola Counties....................................................................... A-8 Federal Funding ........................................................................................................................ A-8 State Funds................................................................................................................................ A-8 Local Funds............................................................................................................................... A-9 Operating Expenses ................................................................................................................... A-9 Fare Revenue............................................................................................................................. A-9 Ancillary Revenue...................................................................................................................... A-9 Section 5307 Preventive Maintenance ...................................................................................... A-10 State and Local Operating Assistance....................................................................................... A-10 Operating Expenses ................................................................................................................. A-10 Referenced Documents............................................................................................................. A-11

A.1.5 OPERATING AND CAPITAL FINANCING.....................................................A-8

A.1.6 PURPOSE AND SCOPE OF THE PROJECT MANAGEMENT PLAN (PMP). 10 A.2 CFCRT PROJECT ORGANIZATION and STAFFING............................... A-13

A.2.1 SPECIFIC FDOT RESPONSIBILITIES ........................................................A-14 A.2.2 DELEGATED DUTIES .................................................................................A-16 A.2.3 FDOT ORGANIZATION ...............................................................................A-19
A.2.3.1 A.2.3.2 A.2.4.1 A.2.4.2 A. 2.5.1 A.2.5.2 A.2.5.3 A.2.5.4 A.2.5.5 A.2.6.1 Departments ............................................................................................................................ A-19 Legal Counsel.......................................................................................................................... A-23 Internal Interfaces.................................................................................................................... A-23 External Interfaces................................................................................................................... A-24 Overview of Ownership........................................................................................................... A-25 Ownership of Real Property. .................................................................................................... A-25 Ownership of Personal Property. ............................................................................................. A-26 Stations.................................................................................................................................... A-26 Disposition of Property. ........................................................................................................... A-26 CFCRT Management and Operation. ....................................................................................... A-26

A.2.4 INTERFACES ..............................................................................................A-23 A.2.5 OWNERSHIP...............................................................................................A-25

A.2.6 MANAGEMENT OF CFCRT. .......................................................................A-26

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A.2.6.2 A.2.6.3 A.2.6.4 A.2.6.5 A.2.6.6

Station Management. ............................................................................................................... A-27 Initial Governing Structure. ..................................................................................................... A-28 Steering Committee.................................................................................................................. A-29 Technical Advisory Committee (TAC)....................................................................................... A-30 Ultimate Governing Structure. ................................................................................................. A-30

A.3

CFCRT PROJECT MANAGEMENT CONTROL........................................ A-44


Funded Projects Master Schedule (FPMS) ............................................................................... A-44 Project Master Schedule (PMS)................................................................................................ A-45 Master Project Integrated Schedule.......................................................................................... A-45 Baseline Schedule .................................................................................................................... A-45 Design/Construction Schedules ................................................................................................ A-46 Schedule Monitoring, Analysis, and Reporting.......................................................................... A-47 Recovery Plans/Revisions/Special Studies................................................................................. A-47

A.3.1 SCHEDULE CONTROL ...............................................................................A-44


A.3.1.1 A.3.1.2 A.3.1.3 A.3.1.4 A.3.1.5 A.3.1.6 A.3.1.7

A.3.2 COST MANAGEMENT ................................................................................A-48 A.3.6 CHANGE MANAGEMENT ...........................................................................A-48


A.3.6.1 A.3.6.2 A.3.6.3 Change Notices, Change Orders, and Negotiations .................................................................. A-48 Design Changes....................................................................................................................... A-49 Changes after Establishment of the Baseline............................................................................. A-49

A.3.8 DOCUMENT CONTROL..............................................................................A-49 A.3.9 QUALITY MANAGEMENT ...........................................................................A-50


A.3.9.1 A.3.9.2 Responsibilities........................................................................................................................ A-51 FDOT Quality Assurance System ............................................................................................. A-51

A.3.10 A.3.11 A.3.12 A.3.13 A.6 A.6.1 A.6.2 A.6.3 A.6.4

CONSTRUCTION/INSTALLATION QUALITY CONTROL ...........................A-52 SYSTEMS/EQUIPMENT MANUFACTURE QUALITY CONTROL .............A-53 QUALITY ASSURANCE AUDITS ...............................................................A-53 CONFIGURATION MANAGEMENT ...........................................................A-53 DESIGN PROGRAM ................................................................................. A-54 CONSULTANT SOLICITATION AND SELECTION .....................................A-54 DESIGN REVIEWS......................................................................................A-55 VALUE ENGINEERING (VE) .......................................................................A-55 DESIGN CRITERIA AND STANDARDS ......................................................A-55
Design Criteria........................................................................................................................ A-55 Design Standards..................................................................................................................... A-56 Introduction............................................................................................................................. A-57 Conceptual Design................................................................................................................... A-58 Preliminary Design and Engineering....................................................................................... A-58 In-Progress Design and Engineering........................................................................................ A-59 Final (100%) Design and Engineering ..................................................................................... A-60 Errors and Omissions .............................................................................................................. A-60

A.6.4.1 A.6.4.2 A.6.5.1 A.6.5.2 A.6.5.3 A.6.6.1 A.6.6.2 A.6.6.3

A.6.5 FACILITIES DESIGN AND ENGINEERING.................................................A-57

A.6.6 D/B CONTRACTORS ..................................................................................A-59

A.7

CONSTRUCTION MANAGEMENT............................................................ A-61

A.7.1 RESPONSIBILITY .......................................................................................A-61


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A.7.2 A.7.3 A.7.4 A.7.5 A.7.6 A.7.7

CONSTRUCTION SAFETY .........................................................................A-61 CONSTRUCTION/INSTALLATION SITE SECURITY..................................A-62 CONSTRUCTION MANAGEMENT PRACTICE ..........................................A-62 ROLE OF PMC IN CONSTRUCTION ..........................................................A-62 CHANGE ORDERS .....................................................................................A-63 MATERIALS AND EQUIPMENT PROCUREMENT .....................................A-64
Procurement Specifications...................................................................................................... A-65 Material and Equipment Configuration Control ....................................................................... A-65 Factory Inspection and Testing ................................................................................................ A-65 Receiving and Storage.............................................................................................................. A-66

A.7.7.1 A.7.7.2 A.7.7.3 A.7.7.4

A.7.8 TESTING DURING CONSTRUCTION.........................................................A-66 A.7.9 LABOR RELATIONS AND POLICY .............................................................A-66
A.7.9.1 A.7.9.2 A.7.9.3 A.7.9.4 A.7.10.1 A.7.10.2 Responsibility .......................................................................................................................... A-66 Wage Rates and Job Classification........................................................................................... A-66 EEO and Affirmative Action ..................................................................................................... A-66 Risk Management and Insurance.............................................................................................. A-66 Construction As-Built Drawings and Records......................................................................... A-67 Construction Punch Lists ....................................................................................................... A-67

A.7.10 CONTRACT COMPLETION .......................................................................A-67 A.7.11 START-UP AND TESTING .........................................................................A-67


A.7.11.1 Training and Qualifications ................................................................................................... A-68 A.7.11.2 Permits and Licenses.............................................................................................................. A-68 A.7.11.3 Safety Certification, System Start-up and Turnover................................................................. A-68 A.7.11.4 Calibration, Functional Check-out, and Alignment ................................................................. A-68 A.711.5 Acceptance ............................................................................................................................. A-68

A.8 A.8.1 A.8.2 A.8.3 A.8.4

SAFETY and SECURITY........................................................................... A-69 CRITERIA ....................................................................................................A-69 PRELIMINARY HAZARD ANALYSIS ..........................................................A-70 STANDARDS AND CODES.........................................................................A-70 SYSTEM SAFETY AND EMERGENCY RESPONSE PLAN........................A-71

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EXHIBIT A EXCERPTS FROM THE CFCRT PROJECT MANAGEMENT PLAN IN SUPPORT OF THE SAFETY AND SECURITY MANAGEMENT PLAN A.1 INTRODUCTION

Florida Department of Transportation (FDOT) is responsible for the design, construction, operation and maintenance of commuter rail service along a 61-mile corridor in Central Florida. The CFCRT project uses an existing and active Class IV freight CSXT A-Line railway right of way (ROW) for rail operations and property adjacent to the ROW for station site parking, park n ride and bus circulation. The new commuter rail service will be implemented in three phases. The first phase is the 31 mile long north corridor and the second phase is the south corridor that when combined are 54 miles long and referred to as the Locally Preferred Alternative (LPA). A seven mile extension of the LPA further north defines the 61 mile long Full Build Alternative. The first phase is also known as the initial operating segment (IOS) and is proposed to be operational by the end of 2009 and the second phase operational by 2013. The Full Build Alternative extends from the DeLand Amtrak station in DeLand in the north to Poinciana Industrial Park in the south (Figure 0-1). A total of sixteen (16) stations are in the Full Build Alternative and they are shown on Figure 0-2. The proposed service plan would provide 15-minute bi-directional service during morning and evening peak periods and 60-minute service in the midday, Monday through Friday using Diesel Multiple Unit (DMU) vehicles. The primary infrastructure improvements include a new railway operations signal system and 40 miles of new 2nd track bringing the total double track to approximately 58.3 miles in the 61 mile corridor. The Full Build was evaluated in the Environmental Assessment. The LPA north terminus would be the DeBary/Saxon Boulevard Extension station and the south terminus will be Poinciana Industrial Park. A total of fifteen (15) stations are in the LPA. The route length is 54 miles with approximately 33 new miles of 2nd track and a new railway operations signal system. The proposed service plan is a 15-minute bi-directional service during the morning and afternoon peak periods and 60-minute service during the midday, Monday through Friday. The IOS is 31 miles long with 10 stations between DeBary/Saxon Boulevard Extension station and Orlando Amtrak/ORMC station. The IOS has 16 miles of additional 2nd track being added to the existing 13 miles of double track. The south corridor would extend the IOS from Orlando Amtrak/ORMC station to Poinciana Industrial Park station. There are approximately 5 miles of existing double track in the south with 18 new miles proposed. This PMP is established for the CFCRT (Project). The purpose of the PMP is described in the Code of Federal Regulations (CFR 49), Chapter VI, Part 633. This PMP was prepared in accordance with the Federal Transit Administration (FTA) Project and Construction Management Guidelines - 2003 Update. The PMP defines the scope of Project implementation during planning, preliminary engineering, final design, construction, testing, start-up, and revenue service. The PMP establishes policies for Project control, quality assurance, quality control and safety, and provides an overview of the management requirements needed to ensure completion of the Project.

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Figure 0-1

Regional Location Map

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Figure 0-2

CFCRT Alignment

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The PMP is recognized as a living document, one that must evolve as progress is made by FDOT on its Program and on the Project in particular. The description of the Project, the phases of development, the tools for project management, control, and the bases of design and operation evolves. Preliminary judgment about these must be updated, as the Project develops. Updates to the PMP will be reviewed and approved in the same manner as the original version.

A.1.1 CFCRT DESCRIPTION


A Full Funding Grant Agreement (FFGA) between FDOT and the FTA establishes the development of the Project. Preliminary Engineering Design is scheduled to begin on the project in March, 2007 and Construction for the Project is scheduled to begin by January, 2008. The estimated revenue operation date for the IOS is December, 2009 and for the south segment of the LPA the estimated operation date is December 2013. This 54 mile LPA Project is expected to be designed and constructed using required procurement methods and contracts. Track, signal and station construction will be coordinated closely with the other users of the corridor (CSXT and Amtrak). The Construction scope of the 54 mile LPA Project entails: The installation of 33 miles of second mainline track positioned within the existing right-of-way (existing sidings will be incorporated into the track design). This includes 29 new #20 crossovers and 7 new #20 turnouts and 7 miles of existing track reconstruction; Replacement of the existing wayside signal system throughout the entire 54 miles, plus 18 new interlockings (control points) and radio controlled communications system; Design and construction of 15 new stations (ten with parking lots and five without parking lots). Each station includes two 300 x 14 two platforms with canopies and amenities, Bus bay parking and circulation, a kiss-and-ride drop off areas, entrance/egress, etc all vary by station site; Upgrades to the existing at-grade crossings at potentially 122 locations. Approximately 58 will be impacted by the addition of the 2nd track; Vehicle Storage and Maintenance Facility and Dispatch/Control Center in Rand Yard at Sanford as well as end of the line midday storage and layover facilities at DeBary Saxon Station, Poinciana Industrial Park Station and Kaley Yard (Orlando Amtrak/ORMC Station); Construct a total of 900 of new trestle bridge for 2nd track spread over 7 locations plus replace approximately 300 of the existing timber trestle. Procurement of rolling stock, which will be accomplished through separate procurement.

The Project estimated cost is $542,000,000 (2006).

A.1.2 FDOT HISTORY AND OVERVIEW


This section provides a brief history and overview of FDOT, describes the financing of operating costs and capital improvements, identifies capital improvement priorities, and addresses implementation of various segments of FTA funded capital improvement Projects.

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This section establishes the basis for the classification of the Project, based on the project cost and responsibilities identified and assigned to FDOT. Project classification is used throughout the PMP to reference the policies and procedures to be used in the management of the project.

A.1.2.1

History

The development of CFCRT service along this corridor has been the topic of several studies. The Project Feasibility Report (1992) by the Central Florida Commuter Rail Authority (CFCRA), and the Regional Systems Plan adopted by LYNX in 1994 examined the feasibility of providing transit service via various technologies in several corridors around the Central Florida area. Based on these and other studies, the Central Florida North-South Commuter Corridor Alternatives Analysis, completed in 2004, identified the commuter rail alternative and various end points for the project within the north-south corridor, and evaluated the potential impacts of such a project. Notable measures taken during more than a decade of planning in the corridor include: Project Feasibility Report, finalized in March of 1992 by the CFCRA, and the Regional Systems Plan, adopted by LYNX in 1994. The Regional Systems Plan included approximately 52 miles of Light Rail Transit, 105 miles of Commuter Rail Transit, an increase to a bus fleet of 600 vehicles, and implementation of seven activity center circulators. Commuter Rail project given Federal authorization in 1998 as a component of the Central Florida Rail System in the Transportation Equity Act for the 21st Century (TEA-21). Volusia County Preliminary Rail Feasibility Study in 1999 looked at the potential of CRT service between downtown Orlando and DeLand. Subsequently, LYNX staff prepared a technical assessment on the potential of extending the service south to the Kissimmee and Celebration areas. A proposed 14-mile segment of LRT was rejected by the Orange County Commission in January 2000. Work began on the CRT component of the Central Florida Rail Transit System as the CRT project. Central Florida North-South Commuter Corridor Alternatives Analysis completed in mid-2004, identified Full Build CRT between DeLand and Poinciana Boulevard and recommended LPA between DeBary in Volusia County and Poinciana Boulevard in Osceola County. The CRT project was included in the METROPLAN ORLANDO Year 2025 LRT Plan adopted in June 2005. Volusia County MPO 2025 Cost Feasible LRTP includes commuter rail from Saxon Boulevard Extension to Downtown Orlando November 2005.

These major planning studies have provided the basis to the development of the commuter rail system from DeLand to Poinciana Industrial Park. The CFCRT project, the region s top transit priority project, runs parallel to Interstate 4, which is Central Florida s Main Street and US 17-92, the region s primary north-south arterial, and contains the region s most intensely and densely developed land use. This project connects the region s primary residential communities of Volusia, Seminole and Osceola Counties, to the urban core in Orange County and the City of Orlando. This project is being sponsored by the

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Florida Department of Transportation, in association with the region s two MPOs, two transit agencies, and four counties. In December 2004, CSXT officials presented to FDOT executives a Strategic Plan, which voluntarily proposed designating the A-line as primarily for passenger service, and the S-line to the west of central Florida and in the middle of the state, for freight service. CSXT intends to complement this shift with the strategic location of intermodal rail villages in south Florida, central Florida (Lakeland/Auburndale), and north Florida (Jacksonville area). The CSXT proposal is to gradually shift a portion of the freight trains on the A-line over to the Sline, as capacity improvements are made to the S-line and as passenger use increases on the A-line from commuter rail and, in the future, intercity passenger rail. In support of the CSXT Strategic Plan and the Central Florida Commuter Rail Transit Project, FDOT and the project sponsors have had regular meetings with CSXT and have been sharing information in support of refining the Build Alternative for the proposed CFCRT Project. During 2005, CSXT allowed FDOT consultants access to their right-of-way to collect environmental field data, and conduct inspections. CSXT supplied existing freight operations data, track charts, railway signal drawings, right-of-way, utilities, bridge plans, etc. and fully participated in the development of an enhanced combined CFCRT and freight operating plan for the corridor. At the end of 2005 the two parties began negotiating freight traffic density and train operating patterns on the A-line. A fundamental component of these negotiations was a Memorandum of Understanding (MOU) that eliminates freight traffic during the proposed CFCRT service periods, consistent with the proposed CSXT Strategic Plan. FDOT is currently completing negotiations with CSXT for the purchase of 61 miles of the CSXT A-line in central Florida for passenger rail use, consistent with the CSXT Strategic Plan and the CFCRT Project. The foundation for this negotiation is a Term Sheet signed August 2, 2006, by Governor Bush and the President of CSXT which provides a framework to complete the transaction in which the FDOT will own, operate (commuter rail), maintain and dispatch (freight and passenger) over the 61 mile A-line CSXT right of way. The commuter rail peak period service will be conducted during exclusive commuter service windows.

A.1.2.2

Overview

The Central Florida Commuter Rail Transit (CFCRT) Locally Preferred Alternative (LPA) is a 54 mile, 15 station project which will utilize an existing Class IV freight CSXT A-line railway. The project will utilize Federal Railroad Administration (FRA) compliant Diesel Multiple Unit (DMU) cars to operate bi-directional 15 minute headway peak hour, 30 minute off-peak and 60 minute evening and weekend service. The weekday morning peak period is from 5:30 am to 8:30 am and the evening peak period is from 3:30 pm to 6:30 pm. There would be a maximum of 56 trips per weekday and a train would consist of 1, 2 or 3 DMU vehicles. The Vehicle Storage and Maintenance Facility will be at Rand Yard in Sanford. The 54 mile project will be constructed in two phases. The 31 mile IOS will be constructed first and will initially function as a maintenance-of-traffic measure during the reconstruction of I-4 in the Orlando metropolitan area. FDOT will operate and maintain the CFCRT for the foreseeable future (at least the first seven years of operation) through a third-party contract operator and will fund any shortfalls in the

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operating budget during this period. Negotiations are underway with the four county governments to take ownership of the CFCRT after this period.

A.1.3 LEGAL AUTHORITY AND REQUIREMENTS


Florida Statutes Chapter 343, Part 1, authorizes FDOT to "plan, develop, own, purchase, lease, or otherwise acquire, demolish, construct, remove, relocate, equip, repair, maintain, operate, and manage a commuter rail system and facilities; to establish and determine such policies as may be necessary for the best interest of the operation and promotion of a commuter rail system; and to adopt such rules as may be necessary to govern the operation of a commuter rail system and commuter rail facilities." The statutes further authorizes FDOT to, among other things, own and dispose of real and personal property, borrow money via revenue bonds, impose and enforce fees, enter into joint development agreements, develop feeder transit services, and cooperate and contract with Federal, State, and local government entities.

A.1.4 REQUIREMENTS FOR INTERAGENCY AND MASTER AGREEMENTS, APPROVALS & PERMITS
FDOT, Volusia, Seminole, Orange and Osceola County Governments have entered into an Interlocal Agreement for this project. The purpose of this Interlocal Agreement is to establish the ownership and management structure for the CFCRT on an interim basis and to set the foundation for a permanent ownership and management structure. Because the CFCRT will initially function as a maintenance-of-traffic measure during the reconstruction of I-4 in the Orlando metropolitan area, FDOT will operate and maintain the system for the foreseeable future (at least the first seven years of operation) through a third-party contract operator and will cover any shortfalls in the operating budget during this period. At the end of this initial period of seven years or more, the four counties to be served by the CFCRT will fund operating deficits forecasted in the cash flow projections from general County revenues. Further, this Interlocal Agreement sets forth the commitments of the Signatory Member Agencies in relation to financing, planning, designing, engineering, constructing, operating, maintaining and managing the CFCRT. The Signatory Member Agencies to this Interlocal Agreement hereby agree to plan, develop, finance with assistance from the federal government, and implement a commuter rail transit system that will serve the Central Florida area, including Volusia County, Seminole County, Orange County, and Osceola County FDOT as a railroad operator will also be subject to review by the Federal Railroad Administration.

A.1.4.1

Federal Transit Administration

As a recipient of Federal Transportation Grants, FDOT is subject to the oversight requirements of the FTA, particularly as they relate to budgeting, local share of funding or resources, contracting and procurement procedures, environmental protection, quality assurance and quality control, labor relations, Equal Employment Opportunity (EEO), Americans with

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Disabilities Act (ADA) requirements, ethics, documentation and record retention, accounting, and auditing. These requirements are articulated in the FTA Master Agreement, which is incorporated as part of FFGA.

A.1.4.2

Florida Department of Transportation

FDOT and CSX Transportation, Inc., 500 Water Street, Jacksonville, FL 32202 (hereinafter referred to as CSXT) Inc. have entered into a Non-Binding Consolidated Term Sheet between the Parties dated August 2, 2006, that contemplates FDOT acquiring from CSXT the railroad corridor known as CSXT's A-Line between Milepost A749.7 near DeLand, Florida and Milepost A814.1 near Poinciana, Florida, a distance of approximately 61.5 miles, (the property to be acquired is generally depicted in the map shown in Figure 0-1) for the use of the CFCRT. As an agency of the State of Florida, FDOT is required to follow the State laws, in addition to FTA guidelines, for procurement and contracting procedures.

A.1.4.3

Volusia, Seminole, Orange and Osceola Counties

In 2006, FDOT proposed to enter into a multi-year Inter-local Agreement with Volusia, Seminole, Orange and Osceola Counties for operating funds and other assistance. This Interlocal agreement is to be executed in March 2007 with the four counties.

A.1.5 OPERATING AND CAPITAL FINANCING


The CFCRT financial plan assumes a phased completion schedule, with the IOS (North Segment) entering revenue service by the end of 2009 and the south segment of the LPA entering revenue service in 2013. The year-of-expenditure (YOE) capital construction costs are $602.1 million. There are three primary revenue sources assumed in the financial plan to construct the LPA for the CFCRT FTA Section 5309 Federal Funds, State funds, and Local Fund sources.

A.1.5.1

Federal Funding

Federal discretionary grants under the Section 5309 New Starts Program are assumed to provide 50% of the funding required for the LPA. Based on the outlays required for the CFCRT alternatives, approximately $301 million (YOE) in Section 5309 New Starts assistance will be required for the LPA. The Florida SIB would advance any funds needed to match the construction draws with Section 5309 New Starts appropriations.

A.1.5.2

State Funds

State funding of 25% or approximately $150.5 million (YOE) is available from a variety of sources, including: Public Transportation Office (PTO), Intermodal, Surface Transportation Program (STP), Strategic Intermodal System (SIS), and Congestion Mitigation and Air Quality (CMAQ) transfers to public transit. In addition, a Growth Management Initiative has been established that will bring funds from Florida s General Revenues into the FDOT capital program, and an annual allocation of $75 million has been made to Florida s state new starts program (FDOT Project FM No. 4192651).

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A.1.5.3

Local Funds

In order to facilitate the local 25% financial participation ($150.5 million YOE) of the four counties served by the CFCRT (Volusia, Seminole, Orange, and Osceola) for the capital costs of the LPA, the Florida SIB is available to advance the funds for the non-federal, non-state share of capital costs. Repayment of these advances would commence upon the start of revenue operations of the LPA. Interest would be assessed at an annual rate of 1.50%. The SIB loan would be repaid over a 10-year period from the general revenues of the Counties who pursue this financing option. At this time, the Counties are in discussion with FDOT regarding an appropriate methodology to allocate capital, as well as future operating costs. The financial analysis assumes that capital costs will be allocated to the Counties based on each county s share of the total station construction costs and of the length of the CFCRT within each county s borders. Volusia, Seminole, Orange, and Osceola Counties have all passed resolutions to financially commit to the project.

A.1.5.4

Operating Expenses

The operating revenue and expense projections for the LPA are derived from the estimates provided from the patronage forecasting and operations and maintenance cost studies performed as part of the Alternatives Analysis. These studies follow the methodologies proscribed by FTA to derive the 2030 factors applied in the financial plan. In order to make the intervening year calculations, a set of interpolation factors was developed for each of the line items considered. The operating and maintenance costs associated with the feeder bus service for the commuter rail system is assumed to be absorbed by LYNX and VOTRAN and will not represent incremental costs to the transit agencies. Factors pertaining to specific CFCRT operating and revenue line items include:

A.1.5.5

Fare Revenue

For this initial stage of analysis, a $1.92 average fare per boarding (2006 dollars) is applied to forecasted LPA ridership projections to derive farebox revenue. This assumption generates annual farebox recovery ratios of approximately 32 percent over the forecast period. The operating budget reflects assumptions for 2030 of an average weekday ridership of 19,480 and an annual ridership of 5,649,000.

A.1.5.6

Ancillary Revenue

The financial plan assumes an estimated $400,000 (2006 dollars) in annual ancillary revenue throughout the analysis period. This estimate is derived from a separate analysis undertaken of strategies to maximize ancillary revenue in the CFCRT Corridor.

A-9

April 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

A.1.5.7

Section 5307 Preventive Maintenance

In accordance with FTA guidelines, CFCRT will establish a preventive maintenance program. The financial projections assume that preventive maintenance allocations increase over time, generally in proportion to inflation and the rate of growth in the federal formula apportionments. Section 5307 formula apportionments are calculated using the methodology described in Section 6 below. Soft match available through FDOT will be used to provide the non-federal share of the preventive maintenance program.

A.1.5.8

State and Local Operating Assistance

FDOT will operate and maintain the CFCRT for the foreseeable future (at least the first seven years of operation) through a third-party contract operator and will fund the operating expense during this period not covered by farebox and ancillary revenue, FTA Section 5307 Urbanized Area Formula Funds for Preventive Maintenance, interest earnings and other revenue. Thereafter, Volusia, Seminole, Orange, and Osceola Counties will make up the shortfall according to a formula to be determined. Because the counties will contribute only those funds required to close the operating deficit, no cash balances will accumulate. Arrangements will be made with the counties to ensure sufficient working capital is advanced.

A.1.5.9

Operating Expenses

The total operating and maintenance cost assumptions for commuter rail services are $33,201 (2006).

A.1.6 PURPOSE AND SCOPE OF THE PROJECT MANAGEMENT PLAN (PMP)


FTA considers the PMP to be the primary resource document to assist FDOT in developing management structures and work programs to effectively plan and implement the Project being developed through the FFGA. The FTA requires that FDOT develop a PMP, which will be reviewed by the Project Management Oversight Consultant (PMOC). The FDOT Director of Transportation Development has primary responsibility for maintaining and controlling the PMP. The work of updating and maintenance will be assigned to the Director of Transportation Development, who in turn will draw from other FDOT departments and the Project Management and Design Consultants for assistance. The PMP is developed in accordance with the requirements of Federal Transit Laws: Title 49 CFR, Chapter 53-Mass Transportation, Section 5327-Project Management Oversight. This reference requires that recipients of funding for major capital Projects must establish and maintain an approved PMP. Regulations for the implementation of Section 5327 and the PMP are contained in Title 49, Part 633 (49CFR633). The PMP has been developed to include the six phases of the Project as follows: (1) Planning, (2) Preliminary Engineering, (3) Final Design, (4) Construction, (5) Testing and Start-up, and (6) Revenue Service. The PMP will be reviewed and revised when major changes in policies and procedures including the FFGA will affect the successful completion of the Project. The responsibility, authority, and procedures for maintaining and updating the PMP are detailed in Section 11.0, PMP Control and Revisions.

A-10

April 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

A.1.6.1

Referenced Documents

The following documents have been referenced in the development of this PMP:

Federal Law and Policies


Federal Transit Laws: Title 49 Code of Federal Regulations Americans with Disabilities Act Brooks Act, 40 USC 541 Occupational Health and Safety Act OSHA Construction Industry Standards 29CFR I926\1910 Project and Construction Management Guidelines, FTA DTUM60-91-C-41027 Quality Assurance and Quality Control Guidelines, FTA-MA-06-0189-92-1 FTA Master Agreement (FTA/FDOT) - Pending Full Funding Grant Agreement (FTA/FDOT) - Pending

Florida Law and Policies


Florida Statutes, Chapter 343, Part 1 Florida Administrative Code Rule 12A-1.094 Florida Consultant Competitive Negotiations Act (CCNA) 287.055, Florida Statutes

FDOT Regulations and Policies


FDOT Design Criteria FDOT Standard Specifications for Road and Bridge Construction, 1999 as Amended Employee Handbook (FDOT) Quality Assurance Handbook (FDOT) - Pending

CFCRT Plans and Policies


Project Management Consultant (PMC) Project Quality Assurance Plan (Pending) Quality Assurance/Quality Control Plans - Pending FDOT CFRC Guidelines - Pending Construction Safety Plans Pending System Safety Program Plan, (FDOT) - Pending Operations & Maintenance Plan, (FDOT) Final Draft

A-11

April 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

Construction Management Manual, (FDOT) Project Public Involvement Plan FDOT Procurement Policies and Procedures Project Documentation Control Procedure Bus Fleet Management Plan Bus Feeder Plan Before and After Study

A-12

April 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

A.2

CFCRT PROJECT ORGANIZATION and STAFFING

This section describes the FDOT organizational structure, key management and staff positions, internal and external interfaces as they relate to capital projects and personnel policies. The overall responsibility of FDOT is to successfully, and safely complete the Project and to institute a planned revenue operation on schedule within budget and with quality . Among the more significant responsibilities of FDOT are: Complete an evaluation of background requirements for the Construction Contractors and develop a plan for procurement; Complete an evaluation of procurement strategies for the various capital improvements required by the projects, evaluate the availability of contractors and adopt a comprehensive procurement strategy implementing the project improvements Finalize the FFGA with the FTA and secure Federal and state funds by other agreements, contracts, resolutions and funding commitments; Establish the basis of design, operations and maintenance; Maintain the staff and assemble the consultant resources for project management, control, design, construction, procurements, quality assurance, safety and environmental compliance, related administration, start-up and testing; Reach agreement with each agency where their facilities or operations are impacted temporarily or permanently by the Program such that means of resolving such conflicts become formally agreed to in all respects; Execute the Project Management Consultant (PMC) and Design Consultant Work Orders for management, design, construction and procurements; Oversee the ongoing Project work of the PMC, the Design Consultant and Construction Contractors, other contractors, suppliers and other Project participants; Develop the plan of integrated transit service in the service area, including changes to the bus network caused by the advent of increased revenue service over the CFRC; Manage risks inherent in the Program along the CFRC and in its on-going operation; Provide the planned levels of public transit service, including the adopted levels of system assurance, safety and security; Maintain an effective program of public information pertaining to the Program; Conduct a public information program; Establish and maintain liaison with local, state and Federal agencies; Enter into agreements with developers and other private sector entities to effect their participation in Project implementation;

A-13

April 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

Acquire real estate property for the Project including station locations and parcels along the corridor for alignment purposes, including imposition of powers of eminent domain, and obtain temporary or permanent easements as required; Monitor annual cash flow requirements and manage fund commitments and expenditures on a day-by-day basis; Protect FDOT rights and interests and defending same for the public good; and Review, test, approve and accept work products, equipment and items furnished by all consultants, contractors and suppliers.

A.2.1 SPECIFIC FDOT RESPONSIBILITIES


Despite the allocation of certain Project tasks to consultants, contractors, third parties, or other agencies, FDOT remains responsible for the successful implementation of the Project. Figure 01-1 shows organizational structure for the Project. FDOT has organized and staffed to maintain control of the Project and to oversee any work formally allocated to others. FDOT has established various policies and procedures to ensure that prudent decisions are made in a timely manner. FDOT will establish an Executive Oversight Team consisting of the FDOT District Five Secretary, the three FDOT District Five Transportation Directors, and the FDOT Central Office Assistant Secretary for Intermodal Systems Development. The purpose of the Oversight Committee is to maintain good communications with the funding partners and to ensure that all participants remain informed of the current status of work, the bases of design and construction and to focus attention on evolving problems. Although FDOT will retain consultants to oversee the day-to-day management of the Project, there are Program requirements and responsibilities that cannot be delegated by contract or agreement to entities beyond FDOT itself. These include: Adopting the Long-Range System Plan for service and facilities; Adopting a specific Project Financial Plan; Submitting the environmental documentation to the FTA; Oversight of consultants; Approval and control of consultants work; Preparing various senior staff-level policies and procedures in furtherance of FDOT policies; Applying for, receiving, and administering state and Federal funds for Project implementation; Establishing and staffing an organizational structure supportive of the design and construction of the Project; Ensuring control over the Project;

A-14

April 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

Establishing the bases of design and construction including the goals and standards for operations, maintenance, reliability, safety, security, dependability and quality of the finished works;

A-15

April 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

Figure 01-1

CFCRT Functional Organization Chart

A-16

APRIL 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

Quality Assurance and Quality Control oversight; Entering into agreements with other agencies and third-parties which permit changes to their facilities and operations necessary for implementation of the Project; Entering into agreements with other carriers of the region by which coordinated transportation services will be effected; Establishing risk management programs and related insurance coverage; Preparing and adopting annual budgets for operations and capital expenditures; Ensuring quality of system development; Certifying safety and security of the system; Grantee responsibility for other Segments of the Program; Training of employees during start-up; and Setting of fares, fees, tariffs, and user rates.

A.2.2 DELEGATED DUTIES


Listed below are duties and tasks for which FDOT may engage consultants, contractors, and suppliers: The FDOT has established a Program Management Consultant organization engaged a number of firms to assist with the technical oversight and management of this project. The firms will provide Program Management Services with individual firms taking the lead in Stations; Systems Signals and Communications, Civil, Structural, Track work, Rolling Stock and the Vehicle Storage and Maintenance Facility.

Project Management Consultant Organization


Review a unified set of Design Criteria for FDOT; Review and finalize the Preliminary Engineering Documents to assure agreement with Design Criteria; Review design and contracting packages Recommend Project Delivery Strategy for all elements of the project Review scope of work and selection criteria for the Construction contracts; Review Construction Contractor pre-qualifications package; Participate in the Construction Contractor pre-proposal conferences; Participate in the Construction Contractor qualifications evaluations; Review commercial terms and conditions of the Construction Contractor contracts; Review addenda to terms and conditions; Evaluate proposals/bids;

A-16

APRIL 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

Participate in negotiations with Construction Contractors; Provide quality assurance and quality control oversight; Provide construction management and oversight; Provide CRT Operations Assistance Provide value engineering; Provide technical assistance for FDOT to acquire permits; Develop specification for rolling stock; Provide on-site review of vehicles during fabrication; Review and log shop drawings and change orders; Monitor and control schedule and budget; Monitor construction adherence to Project requirements; Witness testing of the Project work; and Prepare performance specifications

Design Consultant
Prepare unified set of Design Criteria for FDOT; Prepare and finalize the Preliminary Engineering Documents to assure agreement with Design Criteria; Prepare design and contracting packages Prepare scope of work and selection criteria for the Construction contracts; Prepare Construction Contractor pre-qualifications package; Participate in the Construction Contractor pre-proposal conferences; Participate in the Construction Contractor qualifications evaluations; Prepare commercial terms and conditions of Construction contracts; Prepare addenda to terms and conditions; Evaluate proposals/bids; Participate in negotiations with Construction Contractors; Provide quality assurance and quality control oversight; Provide construction management and oversight; Provide value engineering; Provide technical assistance for FDOT to acquire permits; Assist with the specification for rolling stock; Provide on-site review of vehicles during fabrication;
A-17 APRIL 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

Maintain and log shop drawings and change orders; Prepare Change Order recommendations Monitor and control schedule and budget; Monitor construction adherence to Project requirements; Witness testing of the Project work Prepare performance specifications

D/B Contractors
Prepare detailed design and construction plans; Prepare Project Work Plan that adheres to FTA approved schedule and budget; Implement design criteria; Conduct Partnering workshops; (as required) Prepare required environmental documentation; Establish detailed alignment and station arrangement; Prepare working drawings for construction; Prepare methods for handling hazardous waste, utilities and environmental impact management plan; Prepare final specifications; Provide all design support for FDOT to acquire all permits;

All Contractors
Provide quality assurance and quality control; Provide all construction surveys; Provide for relocation of all utilities; Construct fixed facilities/systems (excluding rolling stock); Supervise and inspect construction; Maintain record documents; Prepare as-built drawings in electronic format and hard copy; Provide for system safety, and integrity; Provide integrated functional testing and commissioning; Comply with FDOT operations and safety plan requirements to assure minimum constructionrelated disruption of service for all corridor users; and
A-18 APRIL 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

Provide O&M procedures and manuals for all fixed facilities/systems

A.2.3 FDOT ORGANIZATION


The FDOT District Five organization consists of a District Secretary, three Department Directors, a Public Information Office and Legal Counsel. The Project duties and responsibilities of each Department are clearly established and delineated as described below.

A.2.3.1

Departments

FDOT has three departments each headed by a Director; Director of Transportation Support; Director of Transportation Operations; and the Director of Transportation Development.

Director of Transportation Support


The Director of Transportation Support is responsible for providing administrative support for other departments. Areas of support include accounting and finance, facilities management, human resources, professional services, programming and work program development, and information systems support.

Accounting and Finance


Specific Project responsibilities include: Ongoing management and control of Project related revenue and expenses; Payment of Construction Contractors and PMC invoices; The administration of Project related government funds including all reports associated with their receipt.

Professional Services Office


The Professional Services Office is responsible for contract administration and procurement of materials, equipment, fabricated products, construction, and services in accordance with approved requisitions, and specifications. Specific Project responsibilities include: Contract administration for the PMC, other consultants and the Construction Contractors; Review and approval of Contractors Certified Wage Rate Reports; Overseeing the preparation of the Construction contract documents; Management of the formal solicitation and award of the contract for the Construction procurements; Administration and management of the solicitation and procurement and award documents for the acquisition of rolling stock and for the Construction Contractor s contract for the Maintenance and layover Facility; and
A-19 APRIL 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

Overseeing compliance with the FDOT Procurement Policies and Federal procurement requirements, including requirements of the Master Agreement between the FTA and FDOT.

Director of Transportation Operations


The Director of Transportation Operations position is responsible for executing all capital projects. Its duties include project management and control; monitoring safety compliance; environmental compliance; value engineering; and quality assurance/quality control.

Specific Project responsibilities include: Overall Project success and completion; Maintain project management and control; Guiding the Project through, construction, and Start-up and Testing phases; Participation in Value Engineering Studies; Participation, review and approval of logistical modeling of railroad operations through the phased construction of the Project; Participation in the solicitation process for the Construction Contractors; Participation in the partnering workshops; Review and approval of the Construction Contractors' schedules; Participation in weekly construction progress meetings; Review and approval of construction progress estimates; Review and approval of supplemental agreements; Review and approval of change orders and claims; Monitoring safety and environmental compliance; Monitoring the implementation of Quality Assurance; and Upholding applicable FTA guidelines.

Director of Transportation Development


The Director of Transportation Development position is responsible for executing all capital projects. Its duties include project planning, engineering, management and control; environmental compliance; value engineering; real estate actions, intergovernmental coordination and quality assurance/quality control. Specific Project responsibilities include: Performing all Project related planning activities; Facilitating all activities involving the acquisition of real estate and easements; Coordinating all Project related funding and grant applications;
A-20 APRIL 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

Preparation of reports on funding grants and progress; and Administering the FDOT Equal Opportunity Program and the Disadvantaged Business Enterprise Program. Review and approval of engineering studies, reports, drawings and other design documents produced for the Project; Preliminary Engineering Final Design Overall Project success and completion; Maintain project management and control; Guiding the Project through Preliminary Engineering, Participating in the D/B, and Start-up and Testing phases; Conduct Value Engineering Studies; Prepare, review and approval of logistical modeling of railroad operations through the phased construction of the Project; Participation in the solicitation process for the D/B, GC and CM@Risk Contractors; Participation in the partnering workshops; Review and approval of the D/B, GC and CM@Risk Contractors' schedules; Participation in weekly construction progress meetings; Review of construction progress estimates; Review and approval of supplemental agreements; Review of change orders and claims; Monitoring safety and environmental compliance; Monitoring the implementation of Quality Assurance; and Upholding applicable FTA guidelines

Public Information Office


The Public Information office is responsible for the development of marketing and customer information in order to encourage increased ridership. This office is also responsible for communications with public and private customers, development of customer information materials, media relations, and dissemination of schedule information. Specific Project responsibilities include: Assisting the public with routing and scheduling information, as impacted by construction; Maintaining all Project media relations;

A-21

APRIL 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

Promoting new services upon Project completion. Leading the Project Community Outreach Program

The General Counsel provides legal representation for FDOT. In any legal action taken by or against FDOT, the General Counsel appears and participates in the case and on behalf of the District Secretary. The FDOT may also hire in-house attorneys or retain special outside legal counsel to assist with legal matters. Legal staff reports to and serves at the direction of the District Secretary.

Rail Operations Department and Chief Executive Officer (future)


The Rail Operations Department Chief Executive Officer, CEO, is responsible for ensuring the safe, on-time and courteous delivery of commuter rail service. The CEO will be supported by a Chief Operations Office and a small staff. The Rail Operations Department is divided into seven divisions whose areas of responsibility are transportation operations, rail facilities maintenance services, safety, security, Central Florida Rail Corridor (CFRC) Coordination office, and marketing. The Department will draw upon the FDOT District Five Directors for support and technical assistance as needed. The COO Position will be recruited and filled during Q1 and Q2-2008. The CEO position will be recruited and filled in Q3 and Q4-2008. Specific Project responsibilities of the Rail Operations Department will include: Working with the contract operator and CSXT dispatch management to ensure coordination with freight train and inter-city passenger train service on the CFRC during construction; Overall responsibility for technical management of rolling stock procurement; Coordination of operations concerning any Project related construction involving the Rand Yard or the CFCRT Maintenance Layover Facility; Responsibility for coordinating the maintenance of track, fixed facilities, and systems with construction activities; Review and concurrence of engineering studies, reports, drawings, and other design documents produced for the Project; Participation in Value Engineering studies; Participation, review, and approval of logistical modeling of railroad operations through the phased construction of the Project; Attendance at pre-bid and pre-construction meetings; Participation in the Partnering Workshop; Review and concurrence with the Construction Contractors' schedules; Participation in weekly construction progress meetings; Weekly review of and input on the affect of construction on railroad operations; Participation in planning, review, and approval of plans for track outages and other service disruptions; Safety oversight during construction;
A-22 APRIL 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

Participation in the planning review and approval of plans for the operational start-up of segments of new track; and Coordination of train schedules or busing needed to facilitate construction.

FDOT Central Florida Rail Corridor (CFRC) Office, (future)


The state of Florida purchased the CFRC and will establish the CFRC office of the Department of Transportation oversees management of the corridor. FDOT must maintain close coordination with CFRC Office for the planning and execution of track and signal improvements and maintenance work. The Director of Transportation Development regularly coordinates with the CFRC Office in long and short range project planning, along with Director of Transportation Operations. The CFRC Office is also responsible for the track work and signal design and installation for the CFCRT Project. However, FDOT, as Grantee, is responsible for the overall work on the CFCRT Project. The Director of Transportation Operations integrates the schedules of station projects with the schedules of the required track and signal improvements, and will integrate this work with the Project.

A.2.3.2

Legal Counsel

The General Counsel provides legal representation for FDOT. In any legal action taken by or against FDOT, the General Counsel appears and participates in the case and on behalf of the District Secretary. The FDOT may also hire in-house attorneys or retain special outside legal counsel to assist with legal matters. Legal staff reports to and serves at the direction of the District Secretary.

A.2.4 INTERFACES
The successful implementation of FDOT projects requires both internal and external interfacing, between FDOT Executives and Departments, and with Federal, State, and local government agencies.

A.2.4.1

Internal Interfaces

In the course of the Program, every Department will be involved implementing various FDOT policies and procedures (e.g. Safety, Quality Assurance, EEO, DBE, ADA, PMP, Environmental, etc.). The Director of Transportation Development will be principally responsible for preparing an Environmental Assessment, obtaining a Finding Of No Significant Impacts, conceptual engineering, ridership forecasting and financial planning, preliminary engineering and final design. The Transportation Development Director will also have oversight responsibilities for the FFGA conditions and primary responsibility for the Project in the long-range planning, funding, budgeting, and real estate acquisition phases. The Director of Transportation Operations becomes the lead Department for the construction and start-up and test phases of the Project. The Director of Transportation Operations will work
A-23 APRIL 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

closely with the Planning and Director of Transportation Development, particularly in the areas of Project funding, land acquisition, environmental compliance, and permitting and scheduling. During the preliminary engineering phase of the Project, other departments will be invited to a design review meeting to assure that their concerns are incorporated into the design. The Director of Transportation Operations is also responsible for overseeing the CFCRT Project, which is under construction. Coordination during the design and construction of the Project will be responsibility of the Director of Transportation Operations. At Project closeout, after start-up and testing, the Director of Transportation Operations will turn over the completed and certified Project to the Director of Rail Operations (future), which will assume primary responsibility for operating and maintaining the system and system configuration management. The Director of Transportation Operations will interface closely with the Rail Operations Department (future) during the construction of the Project for quality assurance, efficiency, and maintenance reasons. The Contracts Administration and Procurement Department will procure the materials, equipment, construction, and services to support the Project upon receipt of approved purchase requisitions from other departments. The Public Information Office will be involved at all stages, providing information to both the public and public agencies during the design and construction phases. They will also provide ridership surveys to monitor work progress, informational campaigns to keep the riders abreast of any changes in schedule or station facilities due to construction under way, and promoting use of new services as they come on line.

A.2.4.2

External Interfaces

Federal Transit Administration


The FTA will enter into an FFGA with FDOT for the development of the Project. Accordingly, the FTA has assigned a Project Management Oversight Consultant (PMOC) to FDOT. Therefore, FDOT frequent interface with the FTA is through the PMOC. The PMOC meets at least monthly with FDOT to review the status of Project, and reports the results of the review to the FTA. A quarterly meeting is conducted with the FTA, FDOT, PMC and the PMOC to review the capital projects included in the Project.

The Florida Department of Transportation, Central Office


The FDOT Central Office participates in the technical review of the design documents for various projects. Work Orders issued on approved contracts are submitted to FDOT Central Office for information. FDOT Central Office will be kept informed of the Project progress at all times. FDOT Central Office is also invited to attend weekly construction update meetings and quarterly FTA Project meetings.

FDOT and Local Governments

Interlocal Agreements

A-24

APRIL 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

FDOT, Volusia, Seminole, Orange and Osceola County Governments have entered into an Interlocal Agreement for this project. The purpose of this Interlocal Agreement is to establish the ownership and management structure for the CFCRT on an interim basis and to set the foundation for a permanent ownership and management structure. Initially FDOT will implement, own, construct, operate, manage, and maintain the CFCRT, and at an agreed upon time will transfer the system to multi-jurisdictional agency that serves the geographical location of the CFCRT. Further, this Interlocal Agreement sets forth the commitments of the Signatory Member Agencies in relation to financing, planning, designing, engineering, constructing, operating, maintaining and managing the CFCRT. The Signatory Member Agencies to this Interlocal Agreement hereby agree to plan, develop, finance with assistance from the federal government, and implement a commuter rail transit system that will serve the Central Florida area, including Volusia County, Seminole County, Orange County, and Osceola County to be known as the Central Florida Commuter Rail Transit (CFCRT). The CFCRT will be utilizing the Corridor, and would consist of 61 miles of service to DeLand, Orlando, Sanford, and Kissimmee. Phase 1 is the first 31-mile segment (between DeBary and downtown Orlando) that is expected to be operational by late 2009. This segment includes stations at DeBary/Saxon Boulevard Extension, Sanford, Lake Mary, Longwood, Altamonte Springs, Winter Park/Park Avenue, Florida Hospital, LYNX Central, Church Street and Orlando Amtrak/ORMC. By 2013, in Phase 2 extended service is planned for stations at Sand Lake Road, Meadow Woods, Osceola Parkway, Kissimmee Amtrak and Poinciana Industrial Park. In Phase 3, the plans are to eventually build a station at DeLand Amtrak for the northern endpoint of the system. CFCRT will use diesel locomotive powered steel-wheeled technology with modern comfortable passenger vehicles with trains consisting of two or three cars and carry up to 300 passengers per vehicle. Maximum operating speed is generally between 65-79 mph with average speed about 45 mph. Passenger car amenities include rest room facilities, power outlets to all seats, reclining seat backs, luggage and bicycle racks, and wireless Internet connectivity.

A.2.5 OWNERSHIP A. 2.5.1 Overview of Ownership.

FDOT agrees to be the owner of Corridor and the CFCRT until ownership is transferred to a successor agency in accordance with this Agreement. FDOT has committed to participate in funding the acquisition, establishment, and ownership of the Corridor and CFCRT. For the first seven years from the Revenue Operation Date, FDOT has committed to the management and operations of the CFCRT.

A.2.5.2

Ownership of Real Property.

All right, title, and interest, whether in fee simple, easement, leasehold, or other, in the real estate in the Corridor, as defined herein, which includes the real estate of the stations and maintenance facility will be owned by FDOT. However, upon approval by the Signatory Member Agencies, in accordance with this Interlocal Agreement, when the CFCRT is transferred to a fully funded successor agency, FDOT agrees to convey to that successor agency sufficient rights in the Corridor to authorize the successor agency to manage, operate, and maintain the
A-25 APRIL 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

CFCRT. It is anticipated that at some point in the future, all right, title, and interest in such real estate as held by FDOT may be conveyed to a successor agency upon payment for FDOT's investment in such real estate and subject to such restrictions and limitations as necessary to maintain the security of any outstanding bonds or other financial interests, and to protect the state and federal government's interests, including the non-exclusive right to operate intercity passenger rail service in the Corridor.

A.2.5.3

Ownership of Personal Property.

Ownership of personal property, such as rolling stock and other equipment, that is acquired for the construction, operation, and maintenance of the CFCRT shall be with FDOT. FDOT will transfer the rolling stock and other equipment, subject to any security interest held by a third party or will grant such rights of usage of the personal property as necessary to the successor agency, so that the successor agency shall have full management control and authority over the use, operation, and maintenance of such property on the CFCRT.

A.2.5.4

Stations.

The rail stations associated with and serving the CFCRT shall be owned by FDOT. Parking and other ancillary facilities adjacent to or connected to a station may be owned by a Signatory Member Agency or other local governmental entity. The exercise of ownership rights and the management and control of stations and ancillary facilities shall be delineated in a joint use agreement between FDOT and the agency having jurisdiction over and management responsibility for the station, pursuant to Section 6.2. herein.

A.2.5.5

Disposition of Property.

Any property or funds that are purchased with Federal or state funds are subject to appropriate and applicable Federal and state laws, rules, and procedures regarding disposition of property and funds.

A.2.6 MANAGEMENT OF CFCRT. A.2.6.1 CFCRT Management and Operation.

Until such time as the CFCRT is transferred to a successor agency FDOT will be solely responsible for the development, design, engineering, preconstruction activities, construction and installation of all fixed facilities, procurement of rolling stock and other personal property, operation (including train dispatching), and maintenance of the CFCRT. FDOT, as landowner, will manage, direct, and control the occupation, use, and access to the Corridor in a manner consistent with freight and passenger rail services in accordance with this Agreement and ALOA. For the first seven years after the Revenue Operation Date, FDOT commits to the management, maintenance, dispatch, and operation of the CFCRT. After the seven years, FDOT will have no obligation to continue, however, FDOT may be willing to continue to manage, operate, and maintain the CFCRT pursuant to a future written agreement with the Signatory Member Agencies.

A-26

APRIL 2007

Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

A.2.6.2

Station Management.

The rail stations associated with and serving the CFCRT are assets of the CFCRT and shall be under the supervision and control of the FDOT, or the successor agency. Management of Amtrak Stations shall be subject to prior agreements with CSXT and upon their expiration future agreement between FDOT and Amtrak.

Joint Use Agreement.


Prior to the Commissioning of the CFCRT, FDOT and the appropriate local governmental agency with jurisdiction over a station shall have entered into a joint use agreement for each station. This agreement shall delineate the responsibilities of each party, and as a minimum include the following: Maintenance and operation standards for the station. Control over the platform and any structure or device or system located on the platform. Provision of adequate pedestrian access to the platform and stations. Requirements for housekeeping and appearance of the platform, the stations, parking lots, and ancillary facilities. Security and law enforcement for the station and parking areas. Access for vehicular or pedestrian traffic to stations and parking areas. Provision of adequate lighting and parking. Disposition of station revenues in accordance with the Joint Use Agreement. FDOT's commitment to support local growth management and permitting decisions to encourage transit oriented land uses in the vicinity of the station. Local government's rights to development ancillary facilities located near or on the station site, consistent with this Agreement.

Station Improvements.
In the event it is determined that additional parking or other improvements need to be provided at any given station location, FDOT and the local government agree to work together to meet these needs.

Station Area Land Use & Development.


All the parties hereto agree that maintaining a transit friendly atmosphere in the vicinity of stations will encourage and foster use of the CFCRT and increase ridership. Therefore, the parties agree that each, within its jurisdiction, will enact land use policies and restriction, consistent with sound growth management principles and in accordance with applicable law that encourage transit oriented land uses and enhance utilization of the CFCRT by the general public. FDOT agrees that in respect to any right-of-way or other real estate owned by or under

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the control of FDOT contiguous with a station to cooperate with the applicable local government in determining appropriate uses for such property so as to promote the CFCRT and other public transit. Furthermore, the parties agree that a local government that has a financial interest in the CFCRT and that has jurisdiction over a station location shall have exclusive authority to establish ancillary facilities at the station location, and to grant development rights, or to enter into agreements with landowners in the vicinity of a station that could produce revenue for station or transit operations consistent with the Joint Use Agreement.

A.2.6.3

Initial Governing Structure.

Until such time as the CFCRT is transferred to a successor agency FDOT will be solely responsible for the governing structure of the CFCRT in accordance with this Agreement.

Powers and Responsibilities of FDOT.


(a) Maintenance and operations of the commuter rail system will be contracted out to the CRSO by FDOT. (b) FDOT will be required to hire basic staff to manage the third party contract operator, as well as hire or contract out for specific areas of expertise. All employees could be contract employees through the third party contract or via separate contract, but the CFCRT Chief Executive Officer (CEO) and Chief Operating Officer (COO) must be contracted separately from the third party Contract Rail Service Operator (CRSO). (c) Procurements and contracts for the CFCRT shall be processed and administered in accordance with the procurement policies and procedures of FDOT, until such time that a successor agency is established. Contracts shall be awarded under the name and authority of FDOT. The advice of the Steering Committee shall be considered by FDOT for the major procurement actions. (d) The main administrative office for FDOT's management of the CFCRT shall be located in Central Florida.

FDOT Staffing.
Chief Executive Officer (CEO). FDOT shall establish and fill the position of CEO. The CEO may be either an employee or contractor of FDOT, and shall report directly to the District Secretary of FDOT. The responsibilities of the CEO shall include, but not be limited to: Developing an annual operating budget for the CFCRT service and submit the budget to the TAC for its review, prior to submission to the Steering Committee; Preparing a five-year capital plan based upon the projected capital requirements for the succeeding five years and submit the five year capital plan to the TAC for its review prior to submission to the Steering Committee; Providing timely and comprehensive operational input to and coordination with individual Signatory Member Agency and the third party contractor in order to enable the FDOT to

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effectively respond to the needs and requirements of the individual Signatory Member Agencies and to enhance existing CFCRT service and future expansions; Submitting periodic written reports to the FDOT, TAC and the Steering Committee using data obtained from the third party CRSO as to operational performance on the CFCRT Corridor, and, as appropriate, financial or operational data obtained from each individual Signatory Member Agency; Performing such other duties and responsibilities pertaining to the CFCRT as may be assigned from time to time by the FDOT.

Chief Operating Officer (COO). FDOT shall establish and fill the position of COO. The COO may be either employee or a contractor of the FDOT. The COO shall report to the CEO. The responsibilities of the COO shall include, but not be limited to: Having daily oversight of CFCRT commuter rail operations and service to ensure compliance with service standards and budgets, including oversight of all contracted services; Providing timely coordination with the appropriate staff of the individual Signatory Member Agencies, LYNX, VOTRAN and CSXT in the event of an emergency (such as the need for bus bridges, public service announcements, security, or railroad property issues); Providing timely and comprehensive operational input to and coordination with the individual Signatory Member Agencies and the third party contractor in order to enable the FDOT to effectively respond to the needs and requirements of the individual Signatory Member Agencies and to enhance existing CFCRT service and future expansions; Developing a CFCRT Fleet Management Plan and a CFCRT Systems Safety Program Plan for review by the Steering Committee and approval by the FDOT, FTA and FRA, and implementing the approved plans; Ensuring the maintenance of a high standard of customer relations with all users of the CFCRT; and Performing such other duties and responsibilities pertaining to the CFCRT as may be assigned from time to time by the FDOT.

Emergencies.
During any emergency FDOT and the Contract Rail Service Operator (CRSO) shall take whatever action is necessary to protect the safety, health, and welfare of the CFCRT, its passengers and employees, and the general public. After the conclusion of an emergency, FDOT shall prepare a written report. FDOT shall provide a copy of the report to the Steering Committee and TAC for their advice, within their respective roles, on any improved activities, methods, or equipment that could prevent or mitigate future emergencies.

A.2.6.4

Steering Committee.

The Steering Committee shall be formed to assist FDOT in policy direction for the CFCRT. The Steering Committee, as a minimum, shall consist of County Chairpersons of the Signatory Member Agencies and the FDOT District Secretary, or their designees. The Signatory Member Agencies hereto, or as amended may, by unanimous consent, add other parties to the Steering
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Committee who have become a funding partner with a major financial stake in the CFCRT project.

Role of the Steering Committee.


The Steering Committee shall develop a transition plan and give advice to the FDOT on decisions in respect to the CFCRT including, but not limited to, service, fare policy, funding, procurement, operations, maintenance, and capital programs, reviewing the annual budget, and financing. FDOT shall give careful thought, consideration, and appropriate weight to the findings and recommendations of the Steering Committee. Disagreements between the Steering Committee and FDOT shall be subject to the dispute resolution procedures set forth in the PMP Section 12.4.

A.2.6.5

Technical Advisory Committee (TAC).

A TAC shall be established. The TAC shall consist of a single staff representative of each of the Signatory Member Agencies, as amended (Orange County, Osceola County, Seminole County, Volusia County, and FDOT), each City or Town that has or will have a commuter rail station within its City or Town limits (at the time of the agreement, this includes DeLand, DeBary, Sanford, Lake Mary, Longwood, Altamonte Springs, Winter Park, Orlando, and Kissimmee), VOTRAN, LYNX, Metroplan Orlando, and Volusia County Metropolitan Planning Organization. It is envisioned that the staff representatives will be from public works, planning, finance, operations or management disciplines, and serve without compensation from the FDOT or CFCRT.

Role of the Technical Advisory Committee.


Any major policy decision that will ultimately require the advice of the Steering Committee to FDOT shall be processed through the TAC for a recommendation of that action. The FDOT Secretary or designee, in consultation the Steering Committee Chair, shall determine the issues to be brought forward to the TAC. The TAC shall act in an advisory capacity only and shall have no power to commit the Steering Committee or FDOT to any decision regarding CFCRT service including, but not limited to, operating characteristics, capital facilities, and budgetary items. The TAC shall meet to review short-term and long-term operating plans, and the annual budget prior to the budget being submitted to the Steering Committee for review. The TAC has no advisory or recommendation authority over any FDOT CFCRT related procurement.

A.2.6.6

Ultimate Governing Structure.

The Signatory Member Agencies contemplate that seven years after the Revenue Operation Date that a successor agency will assume management of the CFCRT along with the rights of use of the Corridor and become responsible for its operation (including dispatch) and maintenance and for the completion and implementation of future phases. FDOT agrees to cooperate with the successor agency to ensure that transition to the new owner and operator

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will not have any adverse effects on commuter service, and may agree with the successor agency to continue to manage, operate, and maintain the CFCRT for a length of time as may be agreed up. Notwithstanding, the transfer of governance and management of the CFCRT to the successor agency, FDOT commits to the construction of Phase II of the project, provided adequate federal, state, and local funding is secured. FDOT will be responsible for: Overall Project direction; Negotiation and execution of the FFGA; financial planning commitment, budgeting; and drawdown of Federal and State funds allocated to the Project; Award and execution of contracts, change orders, and amendments related to the Project; Public and press relations; Execution of agreements with third parties (e.g. public agencies, property owners, utilities including fiber optics companies, and railroads); Policy oversight and coordination with affected utilities, railroads, transit operators, and other public agencies; Certification of the Project for revenue operation; Certification of compliance with environmental permitting, including station building permits; and Certification of compliance with FDOT criteria and policy for Plans/Specifications/Documents. Review of environmental permits by FDOT District Permit Engineer; Review the resolution of all written plans submittal comments; Review and written acceptance, by FDOT District Design Engineer, of the Construction Contractors final design plans, specifications and documents with FDOT Certification of Compliance; Review and written acceptance, of the Construction Contractors Quality Control Program; Construction Compliance reviews as necessary by FDOT CFRC Division Manager; Participation in the Final Construction Inspection by FDOT CFRC Division Manager; Reserves the right to participate in the selection, evaluation and negotiation committees for all third party contracts associated with the Project; and Right-of-Way Acquisition Quality Assurance Reviews;

The FDOT CFCRT CEO will be responsible for coordinating all Project related activities with FDOT Director of Transportation Development. The FDOT CFCRT CEO will participate in Value Engineering and Peer Reviews established by FDOT to review specific Project facilities, systems, operations and other aspects of the Project.

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FDOT will provide consolidated monthly progress reports and updates in a format established by FTA. Progress reports will be submitted to FTA fifteen working days after the close of the month. The progress reports shall demonstrate the order, sequence, and duration of Project activities. FDOT will use such information to ensure that the Project final design, procurement, construction, and start-up phase is not impacted. FDOT will participate in quarterly meetings between FTA and FDOT for the purpose of reviewing progress with FTA staff and the PMOC and allowing meaningful dialog to take place on Project issues. FDOT will ensure that all of its Project consultants provide written documentation of all quality assurance/quality control activities, in a manner, which can be reviewed by representatives of FDOT and the FTA and its representatives.

Project Management Consultants (PMC)


FDOT has entered into multiple Cost Plus Fixed Fee Contracts for PMC and Design Services for the conceptual engineering, environmental clearance documentation, design, construction, testing and start-up portions of the Project. The PMC will be responsible for establishing and maintaining communication links between FDOT, CSXT and the Construction Contractors. The PMC shall oversee the Construction contractors, from mobilization through revenue operation by confirming that work on the Project is being properly administered, documented and reported. The PMC will also monitor compliance with FRA, FTA, CSXT and FDOT requirements and others as appropriate. The PMC organization is shown in the FDOT established Project Functional Organizational Chart, which delineates their duties and responsibilities on the Project. The specific duties and responsibilities assigned to the PMC staff are listed below:

Project Manager
Establish and maintain communication links between FDOT, PMC and the Construction Contractors; Control and manage the Construction contractors. Ensure that work on the Project is properly being administered, documented and reported by the PMC staff; Monitor compliance with FRA, FTA and FDOT requirements and others as appropriate; Oversee the Construction Contractors mobilization, startup, schedule and progress for the Project duration; Overall cost/schedule/quality responsibility for the Construction Contractor contract; Resolution of technical problems to minimize impacts to Project from a cost and schedule standpoint; Lead or participate in Project meetings; Assist in Construction Contractors Change Order resolution; and

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Approve Construction Contractors monthly progress payment and assuring work is in conformance with the plans and specifications. Point of contact for all correspondence

Deputy Project/Construction Manager


Represent the Project Manager (PM) in his absence; Assist the Project Manager in performing the PM duties; Interface and coordinate the work between PMC staff in main office, field offices, and home offices; Manage oversight and inspection activities. Provide liaison between Construction Contractors and utility companies to ensure work complies with agreements between FDOT and utility owners; Coordinate with Construction Contractors FDOT and local public agencies for scheduling street closures, submittal of traffic maintenance plans, and various other requirements, including current highway projects within the corridor and Mobility 2000 Project; Assist Construction Contractors with permit applications; Coordinate property availability prior to start of construction; Review of beneficial occupancy and substantial completion and transfer of facilities; and Supervise Resident Managers and insure continuity and uniformity of Construction Management and Field Oversight.

Federal Grant Compliance Manager (FDOT)


DBE Program Implementation; DBE certification according to 49CFR Part 26; DBE Program Monitoring (Desk and Field Audits); EEO Compliance Monitoring including Davis-Bacon; Monthly Reports summarizing compliance status; and Coordination of Outreach Activities related to hiring and DBE participation.

Quality Assurance (QA) Manager


Reporting directly to the PMC Project Manager with a direct access to PMC Executive Officers and FDOT Manager of QA, the Project QA Manager is responsible for monitoring and enforcing QA.

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Review and comment on the Construction Contractors quality assurance program and the qualifications of the Construction Contractors Project QA Managers; Inspection of off-site suppliers as required and review of their QA/QC Plans; Provide expertise in the investigation and handling of unique quality problems; and Monitor Construction Contractors performance by field audits and inspections.

Community Outreach Coordinator


Coordinate with FDOT, Construction Contractors in the development and implementation the Community Awareness Program with time lines for each task and responsible person for each task, especially lane closures and traffic disruptions; Assist in the coordination of the Community Outreach Team meetings with the Construction Contractors; Prepare monthly reports on all community awareness/outreach activity for FDOT, PMC and Construction Contractors review and action; Attend public and association meetings held in connection with public outreach programs; Maintain contact with the public officials and staff in each affected cities to insure open lines of communication regarding the Project; Assist in the Construction Contractors communications plan for all affected groups (e.g., residents, businesses, riders, elected officials, community/civic organizations, institutions & public agencies, schools, churches, incident response agencies, etc.) and motoring public, and boaters; Assist in the development of fact sheets, flyers, posters, brochures, schedules, and newspaper inserts for the riders, community organizations, residents, and businesses to be made available at stations, job sites, stores, businesses, and public places. The materials and reproduction for the public documents are the responsibility of FDOT; Participate in community projects, events, and activities to distribute information about the Project to keep the community informed; Establish a relationship with the businesses in the affected areas; Attend homeowner/civic association meetings in the area to inform the residents about the progress of the Project and to address any concerns, monthly in all counties; Prepare flyers for FDOT distribution to riders to alert them about schedule changes and delays; Develop a Press kit and assist FDOT Marketing Department in scheduling a Kick-off Press Conference to inform the press about the Project before construction; and Assist FDOT in soliciting editors and news directors for feature articles and programs of the scope of the Project.

Safety Officer

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Review Construction Contractors Construction Safety Program to determine that applicable regulatory compliance criteria, job safety requirements, and accident/incident reporting procedures are contained within the plan; Audit Construction Contractors Certification Program including hazard analyses and Fire/Life/Safety procedures. The level of effort proposed for this activity assumes that Construction Contractors delivers a submittal that meets contractual requirements, applicable regulatory requirements and industry standards; and Perform periodic field safety reviews with the Construction Contractors Safety Officer and other Project personnel as necessary.

Administrative Assistant
Daily oral and in-person communication with client and engineering community; Daily use of WordPerfect or MS Word. Use of Excel software to develop tracking reports; Coordinate preparation and distribution of Project activity calendar, distribution lists, Projects tracking logs; Develop and update administrative procedures; word process procedure revisions and coordinate controlled copy distribution of Project procedures; Distribute/retrieve mail and documents; Word process memos, letters, forms, budget documents, reports and covers for documents in Project library of baseline and contract documents; Assist in quality check contract documents and print orders; Photocopy, distribute and file Project correspondence. Maintain files including but not limited to: incoming and outgoing correspondence, quality reports, progress reports, Project forms, waivers, procedures, and review comments; Assist in Recording and word processing minutes of PMC staff meetings; maintain files of staff meetings; Coordinate requests for supplies and equipment and repair services, as needed, and order printing services and approve invoices; and Assist in Preparation of PMC invoices.

Project Controls Manager


Responsible for the overall performance of the Project Controls Department; Interfaces with FDOT in producing reports, charts, tables, etc., necessary for physical and financial progress reporting; Coordinates with Contract Administration, Technical Services and Construction Management Managers regarding Project Controls information and issues; Responsible for issuing PMC monthly Progress Report, Invoice and executive Progress Report;

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Oversees Preparation of Project Progress Reports to FTA; Develops and Oversees Project Cash Flow; Responsible for review and acceptance of Construction Contractors schedule; Responsible for review and acceptance of Construction Contractors Pay Applications; Oversee and provide input to FDOT Procurement and Contract Administration Department for Cost and Schedule response to Construction Contractors request for Change Orders and/or Claims. Oversees Document Control operations; Oversees Configuration Management System operations; Oversees tracking of action items, design reviews, permits and other activities or issues related to the Project Schedule; Oversees status of Right-of-Way Acquisition relative to Cost/Schedule; Attend Management/FDOT meetings to report on Project Budget/Schedule status; Track reports on issues with potential Cost/Schedule impact; and Responsible for Quality Control on all Project Controls functions. Expedites assignment, distribution and monitoring of work of PMC Project Controls and Technical Service Departments to insure the efficient processing, review and timely turn-around of all time sensitive documents; Works with PMC Technical Services and Construction Management departments to prepare Monthly Project Progress Reports and updates with regard to schedule, in place quantities, work completed and approved; Assist the scheduler/cost estimator in expediting the various activities with the technical services staff and the field staff; Ensures that all Project files are maintained and current; Assist the Project controls manager in the day-to-day operations; Ensure compliance with Project procedures, policies and standards; and Responsible for document control and configuration management functions.

Property Acquisition Manager (FDOT)


Manage and administer Right-of-Way Acquisition staff; Interface and coordinate with PMC, FDOT, and Legal Counsel; Provide administrative support for appraisal services, demolition and abatement contracts; Maintain Right-of-Way production efforts and prepare reports; and Certify Right-of-Way clear.

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Senior Right-of-Way Agent (FDOT)


Prepare acquisition files, offer package, lawsuit packages, closing paperwork; Perform parcel negotiations; Interface with appraisers, legal counsel, and PMC design review team; Provide relocation advisory assistance; Obtain move cost estimates for business displacements; Coordinate business moves; Process relocation claims; Inspect properties and prepare property inventory; Prepare demolition and abatement contracts; and Administer demolition and abatement contracts, and oversee work.

Senior Estimating/Scheduling Engineer


Monitor Project budgets; Prepares projection and variance reports for scheduling and cost budgets; Review Construction Contractors Baseline Schedule; Develop and manage Project cash flow generated from the cost loaded schedule and update on a monthly basis; Develop Project tracking cost/schedule databases and other databases as necessary; Evaluate and verify Construction Contractors monthly pay application with regard to Project Schedule; Establish and prepare a variance report describing variance between the actual cash flow and budget cash flow. Update and issue as part of the monthly status report; Provide cost/schedule documentation as requested; Participate in preparation of Monthly Progress Report; Participate in preparation of FTA Progress Report; and Analyze schedule/cost impact of change orders and claims.

Estimator/Scheduler
Assist in the review of the Construction Contractors Baseline Schedule and monthly updates; Update and issue the Program Master Schedule on a monthly basis as part of the monthly status report;
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Establish and prepare a variance report describing variance between the current schedule and the baseline schedule. Update and issue as part of the monthly status report; Review change order requests for time extension and provide feedback to the Construction Manager and field staff; Provide schedule/cost impact analysis for change order and claims; Track issues with potential cost impact; Assist in Construction Contractors pay application approval; and Assist in preparation of Project reports.

Document Control Specialist


Maintain document control system in the PMC office; Ensure distribution of documents to FDOT and outside agencies, field offices, Construction Contractors and others as appropriate; Maintain and control CADD drawings; and Access Document Control System and provide files as requested.

Configuration Administrator
Establish and implement a methodology to control the various elements of the Configuration Management process. This will include, but not limited to, document management and tracking of submittals, design change requests, non-conformance reports, requests for information, meeting minutes, Contract Change Requests, etc. Submittal review tracking; Train users, both those that input information and those that read only in the use of the document, claims and other system modules; and Maintain the Project Information System.

Contract Administrator
Coordinate with FDOT s Contract Administration and Procurement Director on contractual and procurement issues; Manages the Construction Contractor s contract administration actions following award; Verifies that contract administration functions are implemented in the field offices; Review and provide official contractual position on all requests for additional time and money disputes and/or claims.

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Coordination with Construction Contractors personnel to adjust or clarify conflicting contact interpretations; Review Construction Contractors pay applications for compliance with the contract documents. Monitor Contract closeout requirements, and reviews and approves closeout documentation; and Monitor labor compliance, subcontracting and DBE compliance program. Processing of change requests, negotiations and claims with the Construction Contractors in accordance with applicable FDOT and FTA procedures; Assist in cost/price analysis on change order requests and provide feedback to the construction manager and field staff; Provide cost impact analysis for claims; Track issues with potential schedule impact; and Assist in Construction Contractors pay application approval.

Technical Services Manager


Direct, control and manage all technical functions of the Construction Contractor s effort; Develop work plan and implement it through Project completion; Coordinate with resident Managers on field changes Act as liaison between Project staff and outside agencies and Construction Contractors; and Develop and maintain proper communication with all parties on technical issues. Track and coordinate reviews of the Construction Contractors Design Submittals; Track and coordinate Permits; Track and Coordinate with various utilities as necessary to assist Construction Contractors in expediting identification of existing utilities; Review of utility work at various stages of design for compliance with utility owners requirements; and Review and coordinate utility design work at grade crossings and ensure minimal impacts to traffic.

Resident Managers
Reports to and is responsible to the PMC Deputy Project/Construction Manager; Coordinates daily with Construction Contractor to review daily work performed; assigns inspectors to document work;

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Reviews Contractors submittals; Co-ordinates with and reviews the Contractor s look-ahead schedule, obtains approved design and shop drawings/specifications prior to the Contractor s performance of the work; Interfaces with PMC Technical Services with field information for Contractor s Request for Information or Change Order Requests; Interfaces with PMC Contract Administrator and Project Controls with field information for the Contractor s Extra Work or Change Condition Claims. Manages the field staff to ensure that the Contractor meets contract obligations and assure quality; Conduct progress meetings; Prepares draft Contractor Non-Conformance Reports or memos for signature by PMC Project Manager and Project Manager; Review and verify the Contractor s monthly progress payment; Review and ensure that the work done (for signals and grade crossing) complies with agreements between FDOT and CSXT, Monitor CSXT provided services, force accounts and equipment; and Contract closeouts.

Field Oversight Personnel


Report to Resident Managers; Monitor progress of the work and reports actual performance by the Contractor on Daily Reports; Monitor Contractor compliance with plans and specification, applicable building codes and good workmanship; Confirm that Contractor quality assurance/quality control personnel are performing required inspections, tests and completing required documentation; Monitor work performed by Contractor Testing Laboratories. Document the results of this service and report any deficiencies to the Project QA Manager and Resident Managers; Perform quality assurance checks and audits; Spot check permanent materials entered into the work for compliance with plans and specifications; Perform material/equipment testing as required; Report Non-Conformance issues to the Resident Managers where inspection reveals substandard workmanship or materials; Coordinate with various discipline engineers to expedite reviews and dispositions; Monitor and documents CSXT provided services, force accounts and equipment.

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Site Office Manager / Document Control


Prepare reports, draft correspondence, assemble quantities for progress payments, maintain drawing and contract records, prepare field change notices and change orders etc; Receives and inputs tracking information on Contractor correspondence, submittals, requests for information (RFIs), change order requests (CORs), etc.; Handles and distributes all incoming and outgoing documentation from the field office in accordance with Document Control Procedures. Insures Field Oversight Personnel have correct/current drawings and specifications for Work; Initial input to document control program of all documents sent or submitted by the Contractor, prior to forwarding to the Project Office; and Perform all clerical duties at the field offices.

Track Engineer
Review phasing and staging plan for track related issues; Verify adequacy of proposed deviations from the track alignment contained in the Bid Documents; Review track schematic; Coordinate track standards issues with the FDOT/FRA/CSXT; and Review of relevant Contract Data Requirement List (CDRL) items.

Traffic/Grade Crossing Engineer


Act as liaison between the Construction Contractor and jurisdictional agencies regarding traffic closures for grade crossings work. Attend Construction Contractors meetings; Review design submissions for grade crossings design and maintenance and protection of traffic; Review impact of signaling system on grade crossing work; and Review of relevant CDRL items.

Stations Architect
Perform Architectural review of station design and buildings; Coordinate with PMC technical staff for electrical / mechanical / plumbing / systems / HVAC / structural / civil disciplines; Coordinate with Amtrak for station platform extension;

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Review of Construction Contractors design with respect to ADA compliance; Coordinate with local governments and provide public relations support; and Review of relevant CDRL items. Coordinate work with State Historical Preservation on stations registered as Historical Building.

Maintenance/Layover Facility Engineer


Architectural review of facility; Coordinate the review of track-work within the yard; Coordinate with PMC technical staff for electrical / mechanical / plumbing / systems / HVAC / structural / civil disciplines; Review of Design-Build Contractor s (DBC s) design regarding ADA compliance; Review and coordination of functional requirements with FDOT; Coordinate with FDOT regarding furnishings provided by FDOT and/or desired by FDOT for incorporation in the facility; Review and coordination of maintenance and operation aspects of the facility to ensure compliance with FDOT requirements; and Review of relevant CDRL items.

Bridges/Structures Engineer
Review and coordination with FDOT for canal crossings, retaining walls; Review of design of retrofit of crashwalls for overpass bridges; Interface with FDOT to resolve design issues; and Review of relevant CDRL items.

Systems Engineer
Review of design of Signal systems/communications; Review and coordination of the transfer of the existing dispatch system at Jacksonville to the new Maintenance and Layover Facility; Review of design of Passenger information system; Review of Central Control System at Maintenance/Layover Facility. (CSXT s review will be limited to signal interfaces only.); Provide electrical support for systems design elements review; and

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Review of relevant CDRL items.

Drainage Engineer
Review all drainage work associated with the Project, including permit requirements; Review of drainage and environmental permits; Coordinate as appropriate with agencies such as FDOT and county permitting agencies in resolving issues related to drainage; Work closely with other technical staff as needed; and Review of relevant CDRL items

CSXT Program Coordinator


A person designated by CSXT to coordinate all operation and construction activities along the CFRC. The Coordinator is responsible for the implementation of the required safety rules and procedures mandated by CSXT and the FRA. The Coordinator will also assure that the contractors and other organizations working on the CFRC have employed Flag person(s) certified and authorized by the railroad (CSXT), to supervise the workers and Watch Person(s), if any, during construction along the CFRC while working within 25 feet of the tracks or conditions that construction work may foul the tracks. The Coordinator has direct radio contact with the CSXT Dispatch Center and assigned Flag person(s) along the CFRC to monitor all operation and construction activities along the CFRC.

AMTRAK Coordinator
A person designated by AMTRAK to coordinate all operations during construction activity within the corridor, and to coordinate during CFCRT start-up, operations and maintenance activities.

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A.3

CFCRT PROJECT MANAGEMENT CONTROL

This section describes the means and methods by which FDOT manages schedule, cost, and quality of the Project, along with measurement and control. This section also describes how the work against the contract amount and schedule of the project is monitored. It addresses the philosophy on which budgets and schedules are based, progress reporting, including the schedule update process, recovery and mitigating steps to bring the progress back on schedule and the circumstances under which the loaded schedule will be revised and resolved.

A.3.1 SCHEDULE CONTROL


The schedule control of the Project will be maintained through the use of the following schedules and are updated on a monthly basis: Funded Project Master Schedule (FPMS): Created and maintained by FDOT to schedule and coordinate the completion and funding of all capital projects. Project Master Schedule (PMS): This schedule is developed and maintained by the PMC to control the phases of the Project from Preliminary Engineering to Testing and Start-Up. Master Project Integrated Schedule. This schedule will integrate design, construction, testing, and startup activities for all parties (PMC, CM, FDOT, CSXT, and CFCRT) into a single master schedule. Baseline Schedule: This schedule is the original schedule of design, build and testing activities completed by the Construction Contractors upon contract award. Monthly Schedule Updates: Monthly schedule updates submitted by the Construction Contractors to FDOT and the PMC for review and comparison to the Baseline Schedule.

The following sections detail each level of scheduling, schedule interfaces, and the process for schedule updating.

A.3.1.1

Funded Projects Master Schedule (FPMS)

The FDOT Project Manager will be responsible for updating FPMS. This schedule covers all capital projects for both the medium-range and short-term planning horizons and is the basis for FDOT project budgeting and cost control, and for allocation of in-house and consultant (PMC, GEC, FDOT, etc.) resources. The FPMS was initially developed in order to determine necessary project funding. By examining the period in which work would be performed, costs are escalated in accordance with the schedules associated with the individual projects. The FPMS is an essential management tool for scheduling and control of capital projects. The FPMS will be revised after the completion of the Preliminary Engineering (PE) Phase, and regularly monitored and maintained.

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The FPMS update is made quarterly and is based on the status of the Project Master Schedules of the active FDOT projects. Activities in the FPMS not specifically identified in the Project Master Schedules are updated with information obtained from FDOT staff responsible for those activities. The FPMS is recomputed in order to monitor the actual progress relative to the planned progress. The results of this comparative analysis are reported to the senior staff and appropriate organizations.

A.3.1.2

Project Master Schedule (PMS)

The PMS is developed to track the current progress and forecast future construction activities, including budgeted cost in accordance with the FFGA. The PMC will be responsible for updating the FDOT approved PMS on a quarterly basis. The current PMS is included as Appendix A to the PMP.

A.3.1.3

Master Project Integrated Schedule.

This schedule will integrate design, construction, testing, and startup activities for all parties (PMC, CM, FDOT, CSXT, and CFCRT) into a single master schedule. This tool is inval uable as the project nears its Revenue Operations Date since resources must be closely coordinated with many other competing activities. The PMC will be responsible for updating this schedule on a quarterly basis.

A.3.1.4

Baseline Schedule

The Baseline Schedule is developed by the Construction Contractors and is reviewed and approved by the FDOT and the PMC. It presents the scope, logic, and duration proposed to accomplish the Project, and includes: (1) all activities necessary to complete the Project are established; (2) the duration for each activity is established. Activities will be depicted in their logical relationship by means of a diagram or network; and (3) the sequence of activities controlling its completion within the network can be determined, which thereby defines the Project's "critical path".

Baseline Schedule Development


This section specifies the parameters associated with the development of the original Baseline Schedule, as provided in the contract documents, excluding any known or pending changes to the original Scope of Work. The Baseline Schedule is used as the "target schedule" which is used to monitor the physical progress of the work, to verify the Construction Contractors' progress payments, and to provide a basis for change notice and claims support. The Construction Contractors will develop the Baseline Schedule in accordance with the contract requirement. The PMC will suggest areas in which the Project can be organized, provided duration and logic for work performed by government agencies, utilities, and any organization other than those affiliated with the Construction Contractors. In addition, the PMC will provide requirements on the detail of the activities required for the Baseline Schedule to assure that the process can be properly monitored. These requirements, as well as the conditions necessary for approval of the Baseline Schedule, are stated in the Contract Documents.

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The Construction Contractors will develop their Baseline Schedule with a coding structure and calendar as defined by the contract. The Construction Contractors determine the logic of the activity network, assigns resources such as labor and cost, and assigns activity duration. Scheduling software provided by the Construction Contractors must be compatible with that used by the PMC and other consultants, so that data may be exchanged electronically. The Construction Contractors should add additional interface activity codes and durations for work performed by government agencies, utilities, and any organizations necessary to develop the construction schedule, to the extent possible. The Baseline Schedule provides activity logic, start and finish dates, duration, resources and Project budget cash flow. Project Milestones: The Baseline Schedule provides a network delineating those activities required to achieve the contractual milestones. Each activity network will consist of the following applicable events: Notice To Proceed, Permits, Design submittal and review, and approval of shop drawings and material samples, Procurement, fabrication, and delivery of materials and equipment; Installation of materials and equipment, Testing, inspection, punch list work, and final acceptance of material and equipment, Private and public utility work specified in the contract documents to be performed by others; and/or FDOT furnished materials.

Project Costs: Each schedule activity shall have an associated resource cost. These costs shall total to the contract value and can be used as the Contract Schedule of Values.

A.3.1.5

Design/Construction Schedules

The Design/Construction Schedules serve as the monthly updates of the original Baseline Schedule. For the Project, the Construction Contractors will be required by their contract to prepare and submit detailed Design/Construction Schedules to PMC and FDOT. The monthly update shows each activity completed or in progress during the period. In addition the Construction Contractors are required to submit a report identifying any variance from the Baseline Schedule, with proposed corrective action. The report must be accurate and correspond with the time period covered in the attached pay application. The Construction Contractor is responsible for updating the activities in the Design/Construction Schedule using the percentage complete of activities as required by the contract. Any logic or duration changes to the schedule must be identified in the Construction Contractors' Monthly
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Progress Report. Updates are verified by personal observation of the activities in the field and reviewed with the PMC. The update is analyzed by the PMC for potential problems and for actions needed to mitigate potential problems, as well as implementation of the necessary actions.

A.3.1.6

Schedule Monitoring, Analysis, and Reporting

The PMC will monitor the progress of the Construction Contractor s work and prepares the Monthly Status Report designed to evaluate the status of the Project. This report includes the following: Project Status: Construction Contractors' Schedule Submittals: The scheduled or actual receipt dates of the Preliminary, Construction, and Cost-Loaded Schedules, as well as any required Recovery Schedules. Notice to Proceed (NTP) Dates: A comparison between the contractual NTP dates and the Baseline Schedule or actual NTP dates. Release Dates: The Construction Contractors may be required, in accordance with their agreements, to release portions of their sites to CSXT, utility companies, joint developer contractors, or others. For each of these releases, the following data must be provided: (1) release date, (2) release description, (3) contractual release date, (4) scheduled or actual release date, (5) current variance between contract and scheduled or actual release dates, and (6) previous week's variance. Permits and Agreements: A list of the outstanding permits and governmental, railroad, or utility agreements necessary for the Project. Real Estate: A list of the outstanding parcels (if relevant) and an indication of any parcel that is critical. QA/QC activities. Safety issues.

Critical Activities: For each of the milestone release dates identified above, an evaluation of the critical activities associated with the Construction Contractors' ability to release the area in accordance with the contractual release date. Current/Potential Problems and Proposed Solutions: The PMC analyzes the updated information to determine if any delays and/or negative float is having an impact on any milestone dates in the schedule. If the analysis indicates that there is a current or potential problem, the source of the problem and potential solutions are described in detail.

A.3.1.7

Recovery Plans/Revisions/Special Studies

As potential delays to activities in the Baseline Schedule become apparent, the first action of the PMC is to inform FDOT and to initiate a special schedule study to determine if the critical path is affected and if the lost time can be made up. In many cases, FDOT will enlist the aid of the
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Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

responsible program participant to research the delay, and recommend strategies to recover the time. Once a delay has been identified and analyzed by the PMC, FDOT will make a decision to either absorb the delay, or attempt to accelerate a work element to recover the lost time. The Construction Contractors must submit a recovery plan whenever they fall behind their approved schedule, taking into account all granted time extensions.

A.3.2 COST MANAGEMENT


The Project estimated cost is $542,000,000 (2006). This estimate includes all costs which apply to the Project, including the costs of Right-of-Way; rolling stock; adjustment or relocation of conflicting third-party facilities; start-up costs; allocated share of FDOT staff costs; costs of Project Management and control, design, appraisals, construction and procurement management; insurance costs; and training costs. The FDOT Director of Transportation Operations has overall responsibility for the cost management and control of capital improvement Projects. The Planning and Director of Transportation Development will provide oversight and technical assistance in budgeting, cost management and forecasting. The PMP provides extensive details pertaining to numerous cost management topics such as Cost Control, Completion of the Preliminary Engineering (PE) Cost Estimate, Cost Control for the Construction Contract, Estimate Format, Estimate Preparation, Cost Management System, Work Breakdown Structure (WBS), Organization Breakdown Structure (OBS), Account Codes, Project Charges, Cost Reports, Updating the Cost Report, Changes Report, Updating the Changes Report, Contingency Management, Payments and Value Engineering (VE).

A.3.6 CHANGE MANAGEMENT


This section outlines the basic requirements for identifying, approving and processing scope changes related to the Project. Change management is the collective effort by FDOT, which will effect necessary, accurate, and timely contract modifications to fulfill the Project's overall objectives. This section identifies the Project management approach necessary to properly administer changes or modifications. Changes affecting the Project are the responsibility of FDOT.

A.3.6.1

Change Notices, Change Orders, and Negotiations

The Construction Contractors will need to initiate the change order process in the event that an aspect of the design deviates from the following: The Project description attached to the contract agreement; The existing right-of-way; The approved schedule; The bid price; Local codes and ordinances;
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FDOT design criteria; and Site conditions.

Change Orders will be controlled in accordance FDOT Procurement Policies and Procedures and Procurement Code, and the PMC Procedural Manual Section CA 4.02. A Change Notice must accompany all changes, alterations, deletions, or additions, and cost impacts to the contract. FDOT and the PMC shall evaluate the cost impact of the change. In the event of relative agreement between the Construction Contractors' contract or cost proposal and the FDOT estimate, and upon successful completion of the review and authorization process, FDOT issues a Change Order to the contract. In case of significant difference between the cost proposal and the estimate, the difference is examined in detail during a negotiating session in order to reach an equitable agreement. If this effort is unsuccessful, other measures such as unilateral change order, scope reduction, and arbitration may be employed.

A.3.6.2

Design Changes

During detailed design phase, the PMC will document all changes for possible future negotiations with the Construction Contractors. Only changes directed or caused by FDOT will be the basis for possible extra compensation. FDOT will be kept informed of these potential changes as to schedule and budget implications.

A.3.6.3

Changes after Establishment of the Baseline

After the baseline for the Project's design has been set, changes to the contract requirements must follow a formalized process as described in Section 3.6.1 of this PMP. Briefly, the purpose of the process is to obtain input from affected disciplines prior to authorizing a change, document all changes, insure configuration/document control, and safeguard the original contract documents. The FDOT Executive Oversight Team will approve all changes before revising the original documents. All changes, which affect the Project quality, budget or schedule, require approval of the FDOT Executive Oversight Team.

A.3.8 DOCUMENT CONTROL


Document Control for the Project will be performed in accordance with the Project Document Control Procedures developed by the PMC. Because of the size of the Project, each document received by the PMC will be reviewed by document control and appropriate data are entered into the document control database, where the user can execute various on-line queries or generate hardcopy reports. These queries and reports are used to find documents for claims and/or searches for information, which minimize the time taken to compile the available data. Since the availability of electronic information is the key to reliable operation of the system, all database files will be backed-up daily. The PMC, in conjunction with FDOT, will maintain the Document Control Procedures for the Project including:

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Standardize procedures for document control; Assure that documents are safely secured and maintained, and are readily available for use by persons with access approval; Index documents received or collected for systematic filing; Preserve records of quality including financial records, personnel records, contracts, agreements, and bases of design, construction and procurement and end operations and maintenance records; Support the processes of configuration management, change control and interface control; and Assure that all Project participants are properly informed of the current policies, procedures and bases of design, construction and procurement, including facility and systems configurations and interfaces,

The PMC Document Control Staff is responsible for the management and administration of Project documents, including technical and engineering design documents, contract and procurement documents, management approved procedures, manuals, plans, etc. Many documents are subject to controlled distribution, to ensure that changes and updates to essential documents are made in a controlled and systematic manner and that all parties are working with the latest version of the documents. The control system requires that all documents be properly identified with the name of the Project, location, Project number, sheet or page number, revision level, and date of the issue. Generally, Project-specific documents which are controlled include the milestone submittals of design documents (i.e. design packages at PE, and Final Design 30, 70, and 100 percent), procurement and contract documents, records, safety documents, operating plans and QA records, procedures and other documents prepared in compliance with laws or regulations. Individual FDOT Managers, with assistance from the PMC, are responsible for identifying Project-specific documents, which require formal document control. All Project-related documents will be maintained and controlled by the PMC until completion and closeout of the Project. Upon Project completion and closeout, the controlled documents shall then be transferred to FDOT. Management documents, approved by FDOT for use on the Project, are also subject to formal document control. These include the Procurement Code, JPA with FDOT, the Quality Assurance Handbook, PMC Procedures, System Safety Program Plan, Operation and Maintenance Plan, design criteria manuals, change control procedures and Construction Management Manual. Controlled distribution of these documents is necessary to ensure that essential Project participants and organizations receive and work from the latest version of each document. Essential management documents are identified for formal document control when they are first prepared and approved as baseline documents.

A.3.9 QUALITY MANAGEMENT


Quality Management is one of the most important aspects of any Project Management Program. Quality Management is composed of two basic components: Quality Assurance (QA) and Quality Control (QC). The Project QA/QC Program is founded upon accepted concepts and processes, which are recognized by the FTA and which have been applied successfully on

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other public transit Projects. The following is a brief summary of the principal quality related concepts and processes as defined and as specifically applied to the Project: The objective of the Quality Management Program is to assure that track-work, signals, communications systems, structures, and facilities are designed, procured, and constructed in accordance with established design, engineering, and quality requirements. These requirements provide the controls for design, procurement, construction, and inspection, which will enable FDOT to be assured that the quality necessary for safe and reliable operation of FDOT commuter rail service is achieved. The FDOT Quality Assurance System and Quality Control program is established and documented in the Quality Assurance Handbook (QAH). The QAH is intended to meet the requirements of ISO 9000-1994 guidelines and the FTA Quality Assurance and Quality Control Guidelines, FTA-IT-90-5001-02.1. The QAH incorporates the elements of a QA/QC system, which are stated therein. For each of these elements, the QAH includes statements of purpose, responsibilities, policy, and implementation. The PMC has established a Project QA/QC Plan for the Project, which meets the requirements of the QAH. The Project QA/QC Plan includes the process and control to be used for assuring the quality of design and construction. The established Project QA/QC Plan was reviewed and approved by FDOT. The Construction Contract articulated that the Construction Contractors shall establish Project QA/QC Plan for the Project, which will be approved by the PMC and FDOT prior to use.

A.3.9.1

Responsibilities

FDOT performs the function of contracting and obtaining design, engineering, construction, materials, equipment, and services for which FDOT accepts overall responsibility. Based on the approved Project QA/QC Plan, the Construction Contractors will be responsible for quality assurance and quality control of all efforts for design, construction, testing and startup, including training. The PMC and FDOT shall perform the oversight function for quality assurance including QA audits. The PMC Project Manager and Project QA Manager shall be responsible for assuring that all phases of implementation of the Project QA/QC Plans are used for continued compliance with all quality requirements.

A.3.9.2

FDOT Quality Assurance System

The Manager of QA reports directly to the PMC Project Manager and is responsible for administering and controlling the QA system, which is documented in the QAH. The QAH describes the following QA requirements: Statement of Authority and Policy Organization
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Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

Quality Assurance System Design Control Procurement Control Instructions, Procedures and Drawings Document and Data Control Control of Purchased Materials, Equipment and Services Identification and Control of Materials, Parts, and Components Control of Special Processes Inspection Test Control Control of Measuring and Test Equipment Handling, Storage, Shipping and Preservation Inspection, Test and Operating Status Nonconforming Materials, Parts and Components Corrective Action Quality Assurance Records Audits

A.3.10

CONSTRUCTION/INSTALLATION QUALITY CONTROL

The Construction Contractor is required to submit a Project QA/QC Plan in order to verify compliance with contract documents and specifications. Subcontractor must also meet the quality requirements of the Construction Contractor Project QA/QC Plan. QA/QC Plans, manuals, and procedures must be submitted and approved by the PMC and FDOT. Inspection and test plans, procedures, and checklists must also be submitted by the Construction Contractor and approved by the PMC and FDOT. FDOT and the PMC will monitor the construction and other fieldwork to assure the Project QA/QC Plan is being followed. The PMC QA roles also include: Reviewing results of the sampling and testing of materials; The spot check of field work in place (e.g., placing of concrete to embed rebar or duct banks and conduit), as required by the PMC Phase II Contract; The reporting of deficient quality in workmanship, materials and equipment; The witnessing of prescribed tests related to quality; and Performing Quality Assurance Audits.
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Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

A.3.11

SYSTEMS/EQUIPMENT MANUFACTURE QUALITY CONTROL

The Construction Contractor will obtain and install material, equipment, and services with sufficient specification detail to meet design and contract requirements. Critical suppliers of long lead time equipment will be required to submit quality control procedures for review and acceptance by the PMC and FDOT. For items procured by FDOT, quality assurance provisions will be included in all procurement solicitations. Potential suppliers will be evaluated before awarding of the contract to verify their capability to meet procurement requirements. Quality program requirements applicable to lower-tier suppliers will be specified. When source surveillance or inspection is necessary, requirements will be established and reviewed with the supplier. Names, locations, and inspection requirements for lower-tier suppliers are identified at this time. Initial surveillance/inspection includes a review of fabrication drawings to verify compliance with codes, specifications, and requirements included in the purchase order. Material certificates and procedures for fabrication, welding and testing, as well as personnel qualifications, are reviewed and verified as required. Documented evidence of all surveillance and inspection will be maintained in quality assurance files. To provide a higher degree of assurance that quality requirements are met, resident inspections are performed and documented on a daily basis, or as the process occurs at the suppliers location. Personnel performing these inspections are assigned by the PMC. However, such surveillance/inspection will not absolve the Construction Contractors or suppliers of the responsibility to provide acceptable work or products, nor will it preclude subsequent rejection of unacceptable work or products.

A.3.12

QUALITY ASSURANCE AUDITS

Comprehensive QA Audits are conducted to verify, by examination and evaluation of objective evidence that applicable elements of the QAH are suitable and are effectively implemented in accordance with specified requirements by FDOT, PMC, GEC, Construction Contractor, and suppliers. FDOT shall schedule the audits to be performed and shall assign the auditor or Audit Team to perform the audit. Audit results are documented and reviewed by management personnel having responsibility in the area being audited. If needed, follow-up audits are conducted to assure that effective correction is taken. The persons performing the audits must be trained to perform QA audits.

A.3.13

CONFIGURATION MANAGEMENT

Configuration management reflects the fact that the new facilities must operate within the existing FDOT system. In all phases of the Project, including planning, design, engineering, and construction, consistency is necessary in the manner in which various administrative, managerial and technical aspects are recorded and defined. The Director of Transportation Development is responsible for the development of the Project Configuration Baseline. The Project physical configuration provides specific details and defines the Project. The configuration baseline includes the drawings, specifications and reference documents, which completely describe the Project.
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Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

All stations on this Project must be designed and engineered in accordance with the FDOT Design Criteria. The Design Criteria set the parameters for station appearance, site furnishings, pedestrian and automobile traffic control, parking, buildings, platforms, canopies, signage, landscaping, and hardscaping. The Design Criteria may be supplemented to specify changes and additions to the existing criteria, standards, and configuration baseline requirements. The Supplemental Criteria shall manifest the latest approved configuration. The FDOT Design Criteria, including Supplements are maintained and controlled by the Director of Transportation Operations. If cost-effective tradeoffs are identified in Value Engineering or design reviews, the Project Design Criteria and performance characteristics may be augmented as the design progresses, but are not otherwise changed. The performance characteristics provide the measure for evaluation of the Project actual performance.

A.6

DESIGN PROGRAM

FDOT management of design and engineering for the Projects is based on the concept of continuous supervision of consultants and the Construction Contractors, reinforced by in-depth reviews at pre-determined progress milestones. The primary objective of the design and engineering management task is to ensure that the detailed contract documents and Work Orders for the capital projects are complete, accurate, and in accordance with end user needs and FDOT Central Florida Rail Corridor (CFRC) guidelines. This objective furthers the goals of receiving construction bids, which are within the budget and of keeping consultant and Construction Contractors' claims to a minimum.

A.6.1 CONSULTANT SOLICITATION AND SELECTION


The Director of Transportation Development shall be responsible for the development of the Scope of work and services referenced for the Project and discusses the solicitation and selection process of consultants in detail. The Contracts Administration and Procurement Department provides the process for obtaining consultants services, as contained in the Procurement Code and the Procurement Policies and Procedures Manual. The Code and Manual define contract documents and their development services, identify responsibilities of various staff, state the policy of the FDOT Board, provide selection methods, provide negotiation and agreement approval procedures, and describe the required contract administration procedures. Throughout the process of selection, negotiation, agreement approval, and administration, the Contract Administrator is the common contact. The Director of Transportation Development or his designee(s) will supervise the performance of the PMC and the Construction Contractors. The deliverables required from the consultants are described in detail in work orders issued on the contract.

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A.6.2 DESIGN REVIEWS


The Director of Transportation Development defines the policies and responsibilities of various organization and agencies in the review of designs for the Project. Design reviews are performed in accordance with the approved PMC and Construction Contractor Project QA/QC Plans respectively. The Director of Transportation Development, or his designee, is responsible for the technical direction and coordination of the design and engineering of the Project. The PMC is responsible for reviewing the responses to design comments. When further design clarification or direction is required, the PMC is responsible for recommending a resolution of the differences to the Director of Transportation Development, who will resolve the differences.

A.6.3 VALUE ENGINEERING (VE)


VE is a formal, systematic, investigative technique with potential for reducing capital, operating, and maintenance costs of the Project. VE reviews the Project to identify and analyze the functions that it has been designed to perform. The Project's total life cycle costs are calculated, and alternative designs are considered to determine the most cost-effective method of performing the identified functions, consistent with the requirements for quality, reliability, maintainability, and safety. Subsection 3.5 of the CFCRT PMP describes VE analysis on Projects in design with anticipated budgets. The Director of Transportation Operations is responsible to ensure that the VE process is properly scheduled, staffed, and appropriately evaluated.

A.6.4 DESIGN CRITERIA AND STANDARDS


The Director of Transportation Development establishes the criteria and standards for the preparation, revision, review, approval, and issue of design basis specification, criteria, quality standards, and directive drawings. The Design Criteria ensure that designs are developed in accordance with established requirements, that the functional requirements of the FDOT system are provided for, and confirm a proper understanding of the design direction and adherence to appropriate standards of professional practice. The PMC will establish a unified set of design criteria to be used by the Construction Contractors for the Project. These criteria, along with the Project scope, will become the main documents that establish the quality and requirements of the final product delivered by the Construction Contractors.

A.6.4.1

Design Criteria

FDOT basic design criteria are summarized below: Environmental commitments made for the CFRC are to be considered a primary design guidance; The design must be safe and efficient;

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Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

The design must be aesthetically pleasing and avoid disruption of the visual or physical integrity of the Project vicinity; Station concepts must be tailored to the concepts in the FDOT Design Criteria and must be integrated with surrounding neighborhoods; Stations are typically of the side platform type. However, stations may utilize center platforms where it is feasible and economically justified; Passenger access to platforms cannot be across railroad tracks, except at established crossstreets. Stations must have an overpass and at least one elevator on each side of the track, and the station design must include the necessary equipment rooms and ancillary facilities; Track and signal designs must conform to AAR, AREMA, or CSXT standards, whichever is most strict; No new grade crossings will be introduced to the CFRC; Existing grade crossings will be improved, detection systems; and will be provided with gate monitoring and

Station designs must maximize parking per city code requirements; Stations will typically have bus drop-off locations, kiss-and-ride locations, taxi stands, and handicapped parking; Station design must comply with the ADA. Handicapped parking shall be located closest to the station platform; Signage must clearly indicate the location of the station; Trailblazer signs, station signage and pavement marking must clearly indicate circulation through the station site; Stations are to be similar in design and layout, to promote patron familiarity; Stations must have adequate lighting and separate standards will be provided for stations, platforms, and parking areas; Stations must have adequate protection from lightning; Landscaping and hardscaping must follow the Design Criteria and must result in an aesthetically pleasing effect while performing the requirements of noise abatement and visual buffering; Landscaping and hardscaping elements must be compatible with the overall environment, and must comply with local practices and ordinances and with primary regard to maintenance requirements; and Coordination with State, County and City jurisdictions is required.

A.6.4.2

Design Standards

Design documents must be prepared in full compliance with Design Criteria and all applicable standards and codes, including, but not limited to: American Association of Railroads (AAR);
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Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

American Railroad Engineering and Maintenance-of-Way Association (AREMA); State of Florida Building Code (SFBC), Standard Building Code, with County Amendments; National Electrical Code (NEC); National Fire Codes (NFC); American National Standards Institute (ANSI); Occupational Safety and Health Act (OSHA); National Board of Fire Underwriters (NBFU); Underwriters Laboratory, Inc. (UL); American Association of State Highway and Transportation Officials (AASHTO); and Federal, State and Local Accessibility Codes and Standards; Florida Landscape Guide.

A.6.5 FACILITIES DESIGN AND ENGINEERING A.6.5.1 Introduction

Consultants are conducting engineering design for the Project. These plans will be provided to the Construction Contractors to perform detailed design and complete construction documents. Final Design Documents will be used to bid/price Construction Contractor packages. Milestone design submittals are required for review by FDOT, PMC and other agencies. All submittals are subject to FDOT acceptance. The submittals are used by FDOT to monitor conformance to design criteria and adherence to the scope of work and schedule constraints. Submittals are also used to measure design progress. Submittals are sequenced as follows: Preliminary Review forms the basis for defining the scope and design for the Construction contracts and provides a probable cost estimate of construction. This is also the end of PE and start of Final Design. In-Progress Reviews provide clear indication of design requirements outlined in the PE. These reviews examine working drawings and catalogue samples of products and materials to be used by the Construction Contractor. Submittals will be subject to PMC peer review and review by FDOT. Final Review provides an opportunity for all agencies, FDOT, utilities, and railroads to review and concur with the proposed construction. This status is substantially complete except for finalizing and incorporating latest comments. This step will be the final submission of working drawings for the Construction Contractors and is subject to a detailed PMC peer review and constructability review.

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A.6.5.2

Conceptual Design

The Director of Transportation Development establishes a basis for the Project design and outlines the steps involved in the design development of the expansion of the rail system. The Director of Transportation Development is responsible for conceptual Project definition and design. The conceptual design is accomplished by the PE consultants, reviewed by all FDOT departments, and coordinated with FDOT and other appropriate governmental agencies and developers. The design review looks at track alignments, site layouts and plans, sections, elevations, and/or perspective drawings indicating the proposed Project design. A written description in technical terms of the concepts of design considered and the recommended design concept to be detailed in the ongoing design effort shall be submitted and reviewed. This review assesses the refinements of the design, including the evaluation of possible alternatives and is intended to ensure that the designer is proceeding in accordance with FDOT and CSXT requirements. A.6.5.3 Preliminary Design and Engineering

This control point includes the review of the PE drawings and other documents. This point of the design and engineering process is the stage at which drawings are completed and submitted for review and approval of the Project scope and definition. The PE construction cost estimate is also prepared. Before the submittal, the consultant will provide FDOT with three complete sets of PE drawings, sketches, etc., for familiarizing the Value Engineering Team with the proposed design. Drawings and other material shall be sufficiently refined and complete to enable FDOT technical staff to ascertain the details of the proposed facilities and all appurtenances. A preliminary cost estimate, with pertinent back-up and adequate contingency as necessary for this level of design, shall be part of the submittal. The preliminary cost estimate will establish, upon acceptance by FDOT, a firm budget for the Construction contracts. Any apparent major budgetary overruns or discrepancies shall be resolved before issuing the solicitations for the Construction contracts. Resolution may come from design modifications, adjusting the scope of design to reconcile the cost estimate with the funds, which are available and budgeted. Budget adjustments may be made to effect this reconciliation. This submittal will consist of, but is not limited to, preliminary plans, sections, and elevations, indicating to appropriate scale, the design of the facilities. Drawings for this submittal shall be coordinated among the following disciplines, and shall specifically include the following as appropriate: Architectural Documents: site plans, with access and circulation; station and all other facilities plans, sections and elevations, with dimensions of major elements showing vertical circulation elements, and preliminary configuration of all equipment rooms.; Civil and Utility Documents: site plans indicating paving, grading, and drainage; right-of-way limits; existing utility information, and preliminary plan and profile plans; Structural Documents: preliminary foundation plans and framing plans in sufficient level to describe the structural systems being employed, and preliminary sections and details sufficient to detail to describe the structural systems being employed;

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Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

Mechanical Documents: preliminary site and floor plans or design criteria and sections for all facilities, and preliminary HVAC, fire protection, vertical movement (escalator and elevator), and plumbing design criteria for all facilities; Electrical Documents: preliminary site plans (including electrical service) and one-line diagrams or design criteria, and preliminary electrical equipment/facilities space requirements; Landscape Documents: conceptual landscape plans; Geotechnical/Materials Documents: soil borings, materials sampling and testing, foundation recommendations, and geotechnical report; Surveying Documents: boundary surveys, and topographical surveys. Environmental Documents: analysis and approach reports for environmental problems and issues; Transportation Documents: traffic analysis, and traffic flow diagrams; Railroad Engineering Documents: track diagrams with existing signal locations; Outline Specifications incorporating appropriate codes and standards and highlighting specific requirements during design and construction phase; Calculations: all pertinent calculations for all disciplines used to advance the design to the PE level; and Design Criteria and Standards.

Upon submittal of the described documents, the consultant will conduct an oral presentation for describing, in technical terms, the proposed design to the VE Team. Representatives from all disciplines, including the estimator and specification writer, will attend this meeting. This presentation signals the beginning of the VE workshop for PE. Decisions from the VE process will be included in the bid documents for the Construction Contractors.

A.6.6 D/B CONTRACTORS


The D/B Contractors will prepare final design and plans for facilities, systems, and track with the information provided from the PE documents. The D/B Contractors will initially prepare a Project Work Plan that will layout how the Project will be sequenced for construction. Based on that plan the D/B Contractors will prepare working drawings required by the plan. The D/B will submit Final Design 30, 70, and 100 percent working drawings respectively, so that FDOT, assisted by the PMC and others as applicable, can assure that the construction will meet all the contractual mandatory requirements and design criteria. The D/B Contractors will prepare specifications, as such, for his construction, materials and methods specifications and provide full product cut-sheets to assure that products and materials meet the appropriate codes, standards and design criteria required for this Project.

A.6.6.1

In-Progress Design and Engineering

Submittals will be made for review at approximately the Final Design, 30, and 70 percent completion level. FDOT staff, CSXT, the PE Design and the PMC, shall review all plans, drawings, specifications, and other material developed in the detailed design. All drawings from all disciplines must be submitted for review to demonstrate a coordinated effort. These shall
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Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

include further developed architectural, structural and civil drawings, and also the following as a minimum: Mechanical Documents: floor plans for all facilities in sufficient detail to indicate routing and location of all mechanical and HVAC systems and equipment, fire protection, vertical movement (escalators and elevators), plumbing, and roof and floor drain layouts; Electrical Documents: site plans (including electrical service details), one-line diagrams, riser diagrams, lighting layouts, electrical equipment/facilities space requirements, lighting, power, and distribution panels; Specifications: Specifications identifying all anticipated materials, methods, and finishes to be used in the construction of the facilities; and Calculations: all pertinent calculations for all disciplines used to advance the design to the 30 and 70 percent completion level.

A.6.6.2

Final (100%) Design and Engineering

The Final submittal is submitted at this stage to demonstrate completeness and to ensure that all previous review comments have been properly addressed and that appropriate codes and standards have been met. Final Design submittals shall be revised and resubmitted by the D/B Contractors to incorporate all comments from reviewers. All Final Design drawings submitted by the D/B Contractors must be certified by an appropriate (by discipline) Professional Engineers licensed and registered in the State of Florida.

A.6.6.3

Errors and Omissions

The PMC is responsible for researching and verifying findings of deficient performance for recovering the cost of damages to FDOT. The cost recovery process is initiated if it can be demonstrated that there was (1) a breach of professional standards of care by reason of error, omission, or negligent act; and (2) a loss or expense. Recommendations to pursue recovery will be made by the PMC. The PMC shall notify the D/B Contractors by letter, identifying the design deficiency and stating FDOT intent to recover the damages.

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A.7

CONSTRUCTION MANAGEMENT

FDOT construction management involves those actions and plans necessary to ensure the successful completion of the Project and the delivery of fully functional facilities safely, on time and budget, and with quality.

A.7.1 RESPONSIBILITY
The Director of Transportation Operations has overall responsibility for construction of the Project. The Director of Transportation Operations or his designee (s) will plan, manage, and control the Project. The Manager of QA will provide QA oversight of the PMC and Construction Contractors. The Director of Transportation Operations has a core staff of experienced professional engineering, construction managers and will be supported by FDOT and the PMC during design and construction phases of the Project. Construction will be performed in accordance with the Construction Contractors Work Plan and Construction Procedures, Construction Safety Plan, and Project QA/QC Plan approved by FDOT and the PMC. FDOT will be responsible for the oversight of all work performed by the Construction Contractors, FDOT, the PMC and any other work associated with the Project. The PMC will be responsible for the construction management, administration, safety and quality assurance oversight of the Project. The PMC will perform their duties in accordance with the contract requirements issued for the Project and FDOT approved PMC Project QA Plan and this PMP.

A.7.2 CONSTRUCTION SAFETY


Safety is FDOT s number one priority. Construction Contractors are responsible for safety during construction along the CFRC. The PMC and FDOT will monitor the Construction Contractors' compliance with their approved Construction Safety Plan (CSP). FDOT has arranged with a risk management services provider (CCIP Administrator) for the Project to be insured under an Contractor Controlled Insurance Program (CCIP), which program shall provide Workers Compensation and Employers Liability insurance, General Liability insurance, Railroad Protective Liability (ISO-RIMA), and Excess Liability insurance, in connection with the performance of the Work. The Construction Contractors CSP shall designate a number of safety officers, as required for the number of tasks under way, who will hold job briefings before each work day or new task, hold regular "tool-box" safety meetings, submit an Accident Prevention Program for approval, and conform to the requirements of OSHA Construction Industry Standards 29CFRI926\1910. A CSXT certified flag person would assure FRA safety requirements are followed, and shall accompany construction work performed along the tracks.

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Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

Under the direction of FDOT Operations Director or Safety/Security Administrator, the PMC will be responsible for assuring that the Construction Contractors adhere to all safety requirements. FDOT Safety/Security Administrator, or PMC Safety Officer shall promptly notify the Construction Contractors of any apparent safety violations. Violations may result in suspension of work until the violations are corrected, or termination of the contract. Repeated violations by an individual may result in FDOT ordering of the Construction Contractors or subcontractor to remove the individual (temporarily or permanently) from the construction site.

A.7.3 CONSTRUCTION/INSTALLATION SITE SECURITY


To ensure there is a safe and secure method of coordinating construction and testing activities, the CSP will be presented to all new employees of the Construction Contractors. This program will provide the processes and procedures governing the activities of Construction Contractors and FDOT staff working on or about the right-of-way. It will identify the individual responsible for managing track access and it will include the procedure, track warrant provisions, and specific reporting and scheduling requirements on or along the alignment. This program will also follow the FDOT Standard Specifications for Road and Bridge Construction (2007) as it pertains to construction safety and FRA/CSXT Regulations as it relates to installation and site security. It will also address accident prevention, employee protective devices, medical treatment, as well as OSHA and other regulatory requirements.

A.7.4 CONSTRUCTION MANAGEMENT PRACTICE


The Director of Transportation Operations is responsible for the construction of the Project. The Director of Transportation Operations will employ the PMC to provide construction management, supervision, and quality assurance and safety oversight of the Project. The duties and responsibilities of the PMC are described below.

A.7.5 ROLE OF PMC IN CONSTRUCTION


The PMC will serve as the FDOT Representatives in the field. The primary function is to supplement FDOT staff. The major construction tasks of the PMC include, but are not limited to, the following: Perform Quality Assurance monitoring, and surveillances of the Construction Contractors activities to assure compliance with the design criteria and appropriate codes and requirements and the Construction Contractors Project QA/QC Plan; Perform Quality Assurance Audits; Review construction document transmittals, i.e. shop drawings, Requests for Information, Requests for Change Orders, etc., submitted by the Construction Contractors prior to incorporation into the work; Attend regular progress review meetings with the Construction Contractors to ascertain job progress and identify and resolve problems; Review the Construction Contractors' cost-loaded schedule initially and monthly prior to recommending payment of monthly invoices; Review monthly Construction Contractors' invoices and recommend payment;
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Respond to all of the Construction Contractors' Requests for Information; Negotiate all changes with the Construction Contractors and perform cost control estimates prior to such negotiations; Maintain an accurate and current record of daily construction progress. Such record shall include daily reports, Resident Engineer's diary, use of photographs, minutes of all meetings and correspondence files; Maintain shop drawings logs, tracking the date submitted by the Construction Contractors, date returned to the Construction Contractors, and disposition code; Maintain Request for Information Logs and Request for Change Order Logs, tracking the data submitted by the Construction Contractors and date returned to the Construction Contractors; Respond to every notice of potential claim received from the Construction Contractors and take all steps necessary to mitigate delays and damages; Analyze all of the Construction Contractors' claims and make recommendations to FDOT as to possible resolutions; Review remedial or additional designs as may be necessary to resolve conflicts or problems arising out of the work; and Collect all Quality Assurance records including As-Built drawings, test reports, deviation reports, operation and maintenance manual. As-Built drawings (final revisions) shall be supplied by the Construction Contractors based on the as built conditions.

A.7.6 CHANGE ORDERS


Book II: Contract Terms and Conditions, of the D/B, GC and CM @ Risk Procurement Documents provides for conditional adjustments in costs and/or time between FDOT and the Construction Contractors. Conditional adjustments may be requested for, but not limited to the following: FDOT delays, permitting agency changes, utility changes and impacts, changes in law and regulation and other matters. These changes may or may not require a change in design documents; and The Construction Contractors must submit his request for a change order meeting Contract notice, support and documentation requirements. As stated in Book II, the request must contain Relief sought, and Grounds for entitlement under the Contract.

The PMC will review the initial request and determine if merit has been established. If the PMC is of the opinion that there is no entitlement to a Contract change as requested from the Construction Contractors, the PMC will inform the Construction Contractors by letter that no action will be taken, and inform the Construction Contractors of his Contractual rights to submit a claim. If the PMC determines that merit does exist, then a request for supporting documentation will be requested from both the Construction Contractors and the PMC. Cost adjustments (design and construction) are supported by quantity breakdowns, unit prices and quotations of subs and suppliers.
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The PMC will perform an independent cost or price analysis. The independent analysis is a requirement of the FFGA. Noted disagreements between the independent cost proposals of both parties regarding either time or dollars, will be resolved by direct negotiations. The negotiating team will include FDOT and PMC Staff, as required depending on the subject and size of the change. The PMC develops the Memorandum of Negotiations to summarize the negotiation session which describes the change, details the necessity for the change order and lists the cost, schedule impacts and drawings/specifications to be revised. If a time extension is negotiated, the time agreed upon will be shown on the Contract modification. If an agreement cannot be negotiated, FDOT may issue a Contract Change Directive and track the change on a Time and Materials (Force Account) basis. The FDOT change order approval committee must approve all change orders.

A.7.7 MATERIALS AND EQUIPMENT PROCUREMENT


While FDOT is exempt from State sales and all excise taxes, the exemption cannot be passed to the Construction Contractors for it s use in purchasing materials and supplies for the Project. In an effort to control and reduce the final cost to FDOT, a process has been established for FDOT to be able to take advantage of its tax-exempt status. The process is compliant with Rule 12A-1.094, Florida Administrative Code. The Contractor shall include all State sales and all excise taxes in the bid Price. Following execution of the Contract, FDOT will provide the Contractor with FDOT blank purchase requisition forms. For all purchases from any supplier in excess of $5,000, the Contractor will fill out a purchase requisition form indicating the supplier, quantity, item, price, and any other pertinent information necessary to process a purchase order, and submit this to FDOT. FDOT will issue a purchase order directly to the supplier, within 5 days from receipt of a completed purchase requisition. FDOT will not bid shop since the Construction Contractor s Price was predicated on the stated source and price. The Construction Contractors retain the full responsibility for the procurement, including scheduling, delivery, quality assurance, verification, storage, installation, warranties, etc., as if it issued the purchase order itself. All delivery tickets are required to be verified by a FDOT and or PMC representative. The purchase order will be provided to the Contractor for issuance to the supplier. As deliveries are made, the supplier will submit its invoices, through the Contractor, to FDOT, excluding any amounts for State sales taxes and any excise taxes. The Construction Contractors are responsible for approving the invoice before forwarding to FDOT, who will issue a check, within 30 days from receipt of an approved invoice, in the name of the supplier. The payment will be given to the Construction Contractors, who will then forward to the supplier in return for lien releases. FDOT will deduct from the Contract amount, the amount of payments made and the applicable sales and excise taxes for any direct pay purchases. In the event FDOT decides not to issue

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a direct pay purchase order for any item, the Construction Contractors acknowledge it will not be harmed financially, since the taxes were included in the Construction Contractor s Price. Procurement of signals, facilities, and communication systems is also the responsibility of the Construction Contractors. The Construction Contractors' procurements must meet all applicable regulatory requirements specified in the FDOT Procurement Code and meets all contract requirements. Suppliers will produce materials and equipment in accordance with the Construction Contractors Project QA/QC Plan approved by FDOT and the PMC. Suppliers or Vendors holding a QA Certification form ISO and/or AAR M-1003 QA Standards are automatically qualified to supply critical services and materials. Procurement of equipment and rolling stock is the responsibility of FDOT Operations Department. Procurement will be based upon specifications prepared by the PMC. The PMC will provide design review and on-site inspection of the vehicles being manufactured.

A.7.7.1

Procurement Specifications

Procurement specifications for materials, components, systems, equipment, and revisions to these specifications are prepared by the Construction Contractors and will be reviewed by the PMC to ensure that all design criteria and requirements are met. Appropriate requirements include: FDOT Design and Quality Criteria; Applicable codes and standards; Process and inspection procedures to be submitted for review; Inspection and test reports to be furnished; Owner access to vendor, Construction Contractors and subcontractor facilities for performance or witnessing of inspections or test; and Compatibility with existing materials, components, systems, or equipment.

A.7.7.2

Material and Equipment Configuration Control

As required by applicable procurement specifications, material and equipment vendors will submit and obtain approval of changes in material and equipment configuration. As required by applicable procurement specifications, material and equipment vendors and contractors will provide drawings, reports and manuals, showing the as-built configuration of materials and equipment, results of factory tests and alignments, and O&M manuals.

A.7.7.3

Factory Inspection and Testing

Material and equipment vendors will submit the procedures for and reports of factory tests to the Construction Contractors for approval. The Construction Contractors will plan and complete factory inspections for designated equipment, components, using qualified inspection personnel. These inspections will be reported to and reviewed by the PMC and FDOT. In addition, FDOT may instruct the PMC to witness or conduct factory inspection and testing on selected long leadtime items.
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Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

A.7.7.4

Receiving and Storage

The Construction Contractors are responsible for receiving and storing procured materials and equipment in accordance with the contract provisions and Project QA/QC Plan. These will provide for the inspection, identification, protection, and storage, both before and after installation. These provisions will also provide for identification, segregation, reporting, and disposition of equipment that does not meet Project requirements. The Construction Contractors are responsible for all materials management and Control.

A.7.8 TESTING DURING CONSTRUCTION


The PMC will use testing laboratories on an as-needed basis throughout the Project. The testing laboratories will submit all test results to the PMC for review and records. Therefore, all such testing will be paid by FDOT through the PMC. The Construction Contractors, if required, must pay for re-testing. The Construction Contractors will be required to give ample notice to the PMC of upcoming events requiring testing, such as concrete pours, soil compaction tests, etc. The testing requirements, batch sizes, and other criteria are specified in the technical specifications. FDOT will not pay for multiple testing due to the Construction Contractors' non-conformance of the work to the contract documents.

A.7.9 LABOR RELATIONS AND POLICY A.7.9.1 Responsibility

The Construction Contractors are responsible for compliance, verification, and record keeping as required by all Federal, state, and local labor regulations. The Contracts Administration and Procurement Department is responsible for ensuring that the Construction Contractors provide all required documentation to FDOT and the appropriate agencies.

A.7.9.2

Wage Rates and Job Classification

The Construction Contractors and all subcontractors must comply with all applicable Federal regulations pertaining to wage and hour requirements. Wage rates, job classifications and payroll record keeping as defined in the Davis-Bacon Act, as amended, apply to the Project. FDOT standard construction agreement details the regulations with which the Construction Contractors are required to comply.

A.7.9.3

EEO and Affirmative Action

The Construction Contractors and subcontractors are also required to file Monthly Employee Utilization Reports with each application for payment.

A.7.9.4

Risk Management and Insurance

Risk management in design, engineering, and construction of the Project is accomplished through indemnification, insurance, and performance bond requirements, which are part of FDOT standard contract agreement. The Contracts Administration and Procurement

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Department is responsible for ensuring that documentation is received from the Design Consultant, PMC, or Construction Contractors, which verifies compliance with these requirements. The level of indemnification and insurance to be required is determined by a multi-disciplinary review, including legal, procurement, and FDOT insurance. This review includes the identification of potential risk and a determination of the sufficiency of the insurance and indemnification provisions in the proposed agreement. Risk is also mitigated through a reference check of the Design Consultant, PMC, or Construction Contractors background and qualifications to effectively perform the Project requirements. The Contracts Administration and Procurement Department performs the reference check before award of contract. Before the start of construction and any intrusive work, a survey of the site shall be performed, including photographic recording of the existing conditions of the site. The limits of the site survey will be expanded to include adjacent property, to ensure optimum preparedness in the event of a damage claim. The PMC will perform photographic recordings involved in the site survey. In addition, the Construction Contractors may also perform site surveys prior to construction.

A.7.10

CONTRACT COMPLETION

A.7.10.1 Construction As-Built Drawings and Records


The Construction Contractors prepare and/or provide construction as-built drawings, test results, safety certificates, contractor-procured equipment manuals, contractor-prepared operating and maintenance manuals, and construction records for FDOT review, as required in the contract documents. This shall include all documents in electronic format. All Project Quality Assurance Record Documents are prepared and submitted in accordance with applicable sections of the Construction Contractor s approved Project QA/QC Plan.

A.7.10.2 Construction Punch Lists


The PMC will review and maintain closeout construction punch lists to expedite and resolve contract completion.

A.7.11

START-UP AND TESTING

The Director of Transportation Operations is responsible for start-up, test criteria, test, acceptance, and turnover of the track, facilities, and systems to the end-users. If the Construction Contractors construct usable contract segments, then each of these segments must be tested upon completion and before revenue operation is initiated. The PMC, CSXT, and/or FDOT as applicable, shall witness and confirm the testing of the signal and any other system installed by the Construction Contractors. All testing shall be performed in accordance with applicable Start-Up Test Procedures prepared by the suppliers or Construction Contractors and accepted by FDOT and the PMC. Testing of track will be performed according to FRA standards and test procedures. Start-up testing shall be performed by qualified and certified
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persons or organizations approved by the FDOT and the PMC. The Director of Transportation Operations in coordination with the Operations Department is responsible for the transition from the construction phase into operations. Before system operation, plans for personnel staffing and training will be implemented, and maintenance tooling and spares will be procured to support safe and reliable system operation.

A.7.11.1 Training and Qualifications


When new equipment is installed, personnel responsible for operating this new equipment must complete an orientation to familiarize themselves with the new installations. This orientation, conducted by the Construction Contractors includes instruction, on-the-job training, and testing. The respective Human Resources Department shall maintain records of personnel training, certification, and re-certification.

A.7.11.2 Permits and Licenses


Tests, inspections, certifications and all required permits and licenses issued by local, State, and Federal agencies, must be included in the closeout documentation provided by the Construction Contractors. Generally, environmental permits are obtained by FDOT with the assistance of the PMC. Construction permits and code inspections including Certificate of Occupancy are obtained by the Construction Contractor.

A.7.11.3 Safety Certification, System Start-up and Turnover


The Construction Contractors shall apply controls to assure the safety, completeness, and operability of equipment and systems transferred from construction to operations, including, provisions for turnover of portions of systems, equipment check-out, start-up, testing, warranties, and personnel training.

A.7.11.4 Calibration, Functional Check-out, and Alignment


The Engineering and Construction, and Operations Departments must complete review of calibration, functional checks, and alignment of operating systems, such as power distribution, signal, and communications equipment, before formal acceptance.

A.711.5

Acceptance

Acceptance tests of operating systems and facilities are performed and documented by the Construction Contractors to verify operational readiness, and witnessed by the PMC, CSXT, and FDOT as applicable. Test results are reviewed by the PMC and FDOT responsible design, construction, and operations personnel. Appropriate equipment shakedown, including actual operating procedures and personnel, must be included in acceptance testing plans. All safety-related elements are strictly verified under the Safety Certification Program administered by the PMC and Director of Transportation Operations. Acceptance of test results, of procedures, and equipment is the responsibility of the FDOT through the PMC and is based on the acceptance criteria established by FDOT Director of Transportation Operations.

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Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

A.8

SAFETY and SECURITY

FDOT has developed a System Safety Program Plan (SSPP) including Emergency Response Plan (ERP) that provides the overall management and direction of all safety activities undertaken by FDOT. It provides guidelines for response to various types of emergencies that may occur and provides guidelines for restoration of service after an emergency has occurred. It is the primary tool for assuring that no safety measures are overlooked. It lays out the following roles and responsibilities: FDOT is responsible for the publication and implementation of the plan; The Safety/Security Administrator has the responsibility for maintenance of the plan; The Safety/Security Administrator is responsible for the development of safety rules and procedures system-wide; All employees must participate in and pass safety training; and FDOT is responsible for obtaining a Safety Certification for the System.

The Safety and Security requirements of the Project will be planned and built-in, starting with the development of the basis of design standards and systems performance requirements. System safety and security must be concerned with patrons, the operating and maintenance staff, and the safety of the public and the protection of facilities and equipment. FDOT trains in revenue service offer all who interface with the system, a degree of safety and security that meets the U.S. Public Transit Industry Standards, while striving to provide Policies and Procedures a higher degree of safety. The SSPP including ERP for revenue operation will be implemented through the phases of design, specification, equipment selection, construction, installation and testing and operation. These safety and security requirements are intended to provide acceptable standards to ensure safety and security are incorporated into the CFCRT system throughout the design, construction, and activation of the new construction. These principles follow acceptable safety practices and guidelines used by other rail systems that have recently been designed, constructed and are currently operating throughout North America.

A.8.1 CRITERIA
The PE Consultant will consolidate the existing design criteria into a single set of criteria to be used during design of the Project. These criteria will include all of the safety and security requirements for each facility and system design. FDOT staff and the PMC will review the criteria and will revise them as applicable and include them as a part of the contract documents. The safety and security elements of the criteria will become part of requirements that must be addressed by the Construction Contractors through the development of specifications, drawings, design reviews, and final acceptance.

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Central Florida Commuter Rail Transit Exhibit A to Safety and Security Management Plan

A.8.2 PRELIMINARY HAZARD ANALYSIS


Following PE, a Preliminary Hazard Analysis (PHA) will be conducted by the Construction Contractors to identify any major safety and security issues and physical conditions that should be addressed and resolved throughout final design.

A.8.3 STANDARDS AND CODES


Design, construction, and testing standards and codes will be identified and incorporated into all facility and system designs. These standards and codes are designed to incorporate safety as well as sound construction and manufacturing techniques. The Construction Contractors will be responsible for compliance with: All Standards; Testing Procedures; Building Codes; Ordinances; ADA Regulations; Other Applicable Safety Regulations; and Industry Practices, if appropriate.

Examples of the codes and regulations include the following: Association of American Railroads (AAR); American Railway Engineering and Maintenance-of-Way Association (AREMA); American National Standards Institute (ANSI); American Society for Testing and Materials (ASTM); Occupational Safety and Health Administration (OSHA); National Fire Protection Association (NFPA); Underwriter's Laboratories (UL); Building Officials and Code Administrators (BOCA); Institute of Electrical and Electronic Engineers (IEEE); Applicable Military Standards, Specifications, and Handbooks; and Local Codes and Ordinances.

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A.8.4 SYSTEM SAFETY AND EMERGENCY RESPONSE PLAN


FDOT has developed an SSPP including the ERP, which was developed in accordance with the FRA requirements and with APTA guidelines. The update of this plan will continue to address the safety and security issues of operating commuter rail transit. The SSPP will detail operating procedures to deal with incidents such as the following: Injuries and Fatalities; Grade Crossing Accidents; Stalled Trains; Derailment; Hazardous Material Bridge Accident; Adverse environmental and weather conditions; System Failure; and Security Situations

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Central Florida Commuter Rail Transit Exhibit B to Safety and Security Management Plan

EXHIBIT B

LIST OF ACRONYMS FOR SSMP/PMP

AAR.......................................................................................American Association of Railroads AASHTO ......................... American Association of State Highway and Transportation Officials ADA ............................................................................................Americans with Disabilities Act ANSI................................................................................ American National Standards Institute APTA.................................................................................. American Public Transit Association AREMA ........................ American Railroad Engineering and Maintenance-of-Way Association ASTM ..................................................................... American Society for Testing and Materials BOCA ...................................................................... Building Officials and Code Administrators CADD .......................................................................................Computer Aided Drafting Design CCIP ..........................................................................Contractor Controlled Insurance Program CCNA ......................................................................... Consultant Competitive Negotiations Act CDRL .............................................................................Contract Deliverable Requirement List CEO .......................................................................................................Chief Executive Officer CFCRA ........................................................................Central Florida Commuter Rail Authority CFCRT ........................................................................... Central Florida Commuter Rail Transit CFR ...............................................................................................Code of Federal Regulations CFRC .............................................................................................Central Florida Rail Corridor CM@RISK.................................................................................... Construction Manager at Risk CMAQ ............................................................................. Congestion Mitigation and Air Quality COO ...................................................................................................... Chief Operating Officer COR ................................................................................................... Change Order Requests CPM ............................................................................................................ Critical Path Method

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Central Florida Commuter Rail Transit Exhibit B to Safety and Security Management Plan

CRSO...................................................................................... Commuter Rail Service Operator CSP .....................................................................................................Construction Safety Plan CSXT............................................................................................................CSX Transportation DBC....................................................................................................... Design Build Contractor DBE.....................................................................................Disadvantage Business Enterprises DMU ............................................................................................................ Diesel Multiple Unit EEO ...........................................................................................Equal Employment Opportunity ERP .................................................................................................Emergency Response Plan FDOT .............................................................................. Florida Department of Transportation FFGA .......................................................................................... Full Funding Grant Agreement FM ........................................................................................................... Financial Management FPMS ..................................................................................... Funded Project Master Schedule FRA .......................................................................................... Federal Railroad Administration FTA ............................................................................................ Federal Transit Administration GEC ......................................................................................... General Engineering Consultant IEEE ................................................................... Institute of Electrical and Electronic Engineers IOS .....................................................................................................Initial Operating Segment ISO-RIMA.................................. Insurance Services Office-Railroad Protective Insurance Form JPA...................................................................................................... Joint Powers Agreement LPA ............................................................................................... Locally Preferred Alternative LRT .................................................................................................................. Light Rail Transit LRTP .................................................................................................... Light Rail Transit Project MOU ......................................................................................... Memorandum of Understanding
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Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit B to Safety and Security Management Plan

MPO ................................................................................... Metropolitan Planning Organization NBFU ................................................................................. National Board of Fire Underwriters NEC ......................................................................................................National Electrical Code NFC ............................................................................................................ National Fire Codes NFPA ................................................................................. National Fire Protection Association NTP ................................................................................................................Notice to Proceed O&M ............................................................................................. Operations and Maintenance ORMC ................................................................................... Orlando Regional Medical Center OSHA ............................................................... Occupational Safety and Health Administration PHA ............................................................................................... Preliminary Hazard Analysis PMOC .....................................................................Project Management Oversight Consultant PMP .................................................................................................. Project Management Plan PMS .................................................................................................... Project Master Schedule QA ................................................................................................................. Quality Assurance QAH .............................................................................................. Quality Assurance Handbook QC....................................................................................................................... Quality Control RFI ........................................................................................................Request for Information ROW ..................................................................................................................... Right-of-Way SFBC ...........................................................................................State of Florida Building Code SIS ................................................................................................ Strategic Intermodal System SPP ........................................................................................................ Security Program Plan SSCP .............................................................................. Safety and Security Certification Plan
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Florida Department of Transportation Financial identification number 412994-2-22-01

Central Florida Commuter Rail Transit Exhibit B to Safety and Security Management Plan

SSMP ............................................................................ Safety and Security Management Plan SSPP ............................................................................................ System Safety Program Plan SSSPP .................................................................... System Safety and Security Program Plan STP ......................................................................................... Surface Transportation Program UL ..................................................................................................... Underwriter's Laboratories USC...............................................................................................................................US Code VE ................................................................................................................. Value Engineering VOTRAN .................................................................................... Volusia County Transit System WBS ................................................................................................ Work Breakdown Structure YOE ............................................................................................................ Year-of-Expenditure

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