Request For Proposal (RFP) 2018827 Locomotive Overhaul: Date Issued: July 25, 2018 Proposal Due: September 6, 2018

REQUEST FOR PROPOSAL (RFP) 2018827
LOCOMOTIVE OVERHAUL
Date Issued: July 25, 2018

Proposal Due: September 6, 2018
FACILITATOR:
Kim Hereford
RFP No. 2018827 - Rolling Stock Page 1 of 176
Procurement & Project
RTA– Locomotive Administrator
Overhaul
Due: August 15, 2018
REQUEST FOR PROPOSAL PROPOSALS MUST BE RECEIVED PRIOR
INSTRUCTIONS:
1. SUBMIT (1) ORIGINAL, (6) ADDITIONAL, AND (1)
ELECTRONIC COPY OF YOUR PROPOSAL.
TO 10:00 A.M. CST. 2. RETURN THIS PAGE SIGNED TO RECEIVE ANY
RTA Main Office ADDENDA.
_______________
430 Myatt Drive 3. ALL PROPOSALS ARE TO BE IDENTIFIED WITH
RFP#, RFP NAME, AND RETURNED IN A SEALED
Nashville, TN 37115 PROPOSAL NUMBER 4.
ENVELOPE OR PACKAGE.
DURING THE RFP PROCESS All COMMUNICATION
2018827 MUST BE DIRECTED TO PROCUREMENT
DEPARTMENT.
Regional Transportation Authority of Middle Tennessee (RTA), (hereafter may be referred to as the
“Agency”) is soliciting proposals from firms qualified to provide locomotive overhaul services.
SECTION I Introduction
SECTION II Instructions to Proposer
SECTION III Scope of Work, Proposal Format & General Terms and Conditions
SECTION IV FTA Model Clauses and Forms
SECTION V Contract Terms and Conditions (Proposed)
PROPOSAL DEADLINE
Proposals will be accepted, at the Agency’s office located at 430 Myatt Drive, Nashville, TN 37115, until
10:00 a.m., Central Standard Time (CST), September 6, 2018. Proposals received after this date and time
will not be accepted. Proposals are not opened with regular mail.
QUESTIONS/CLARIFICATION DEADLINE
All questions, requests for clarification, and other inquiries related to this RFP must be received by Kim
Hereford, Procurement and Project Administrator, no later than 1:00 p.m. Central Standard Time (CST),
August 16, 2018 at the address above; or via e-mail at kim.herford@nashville.gov .
ADDENDA REQUEST
Proposers are not to contact other Agency personnel with any questions or clarification concerns in
reference to this RFP. The Procurement Department will provide all official communication concerning this
RFP. Addenda request MUST be submitted prior to due date in order to receive copies or notices of
addenda.
I HAVE READ AND UNDERSTOOD THIS REQUEST FOR PROPOSAL (RFP) and do herein request copies or notices of
addenda. (The information requested below must be received not later than, 1:00 p.m. (CST), August 16, 2018 at the
address above; or via e-mail at kim.hereford@nashville.gov.
Company Name Phone Number Fax Number
Address
Point of Contact Title
E-mail Address
RTA– Locomotive Overhaul
Addenda Request 2
Notice to Proposers 2
Procuring Agency and Procurement Project Administrator 2
TABLE OF CONTENTS
I. INTRODUCTION 4-7
II. INSTRUCTIONS TO PROPOSERS 8 - 10
III. SCOPE, PROPOSAL FORMAT & GENERAL TERMS/CONDITIONS 11 -126
IV. FTA MODEL CLAUSES AND FORMS 127 - 161
V. CONTRACT TERMS AND CONDITIONS (PROPOSED) 162 - 173

I. INTRODUCTION
The mission of the Regional Transportation Authority of Middle Tennessee is:

To provide public transportation services to our community and its visitors so they can achieve greater
mobility and experience a cleaner, healthier environment with less traffic congestion.
1.1 GENERAL
As of July 12, 2018 Nashville MTA is known as Wego Public Transit. WeGo Public Transit is a component
unit of the Metropolitan Government of Nashville and Davidson County, and is responsible for operating
local transit services within Metro Nashville. These services consist of 45 bus routes, including a free
downtown shuttle – Music City Circuit, and a network of smaller ADA accessible vans for its AccessRide
program for people with disabilities. The WeGo Public Transit uses Federal, State and local subsidies funds,
as well as farebox revenue.
The WeGo Public Transit is contracted to manage the Regional Transportation Authority (RTA) services
under a fee for service agreement. RTA provides commuter service on the Music City Star and a network of
express bus routes. The system includes a number of park & ride lots and other supports for commuters,
such as Emergency Ride Home Program. The two authorities share headquarters, staff and a chief executive
officer. However, RTA maintains a separate legal counsel.
Davidson Transit Organization (DTO) is a private, not-for-profit employer unit for the employees of the
WeGo Public Transit and RTA. DTO provides advisory and management services and trained personnel for
the operation of the WeGo Public Transit and RTA.
For additional information please visit www.Nashvillemta.org and www.musiccitystar.org.
1.2 OVERVIEW
Regional Transportation Authority of Middle Tennessee (RTA) intends to award a Contract to the successful
Proposers who shall provide locomotive overhaul service. Refer to Section III of this Proposal for an
expanded description of the Scope.
RTA shall enter into an Indefinite-Delivery-Indefinite Quantity (IDIQ) contract. The contract shall be for a
term of four (4) years with three (3) one (1) year options following the Notice to Proceed.
Proposers shall submit cost information as detailed in Form 1, Cost Form. Non-profit and government
discounts should be noted.
These instructions provide detailed legal and technical requirements for the acquisition of these services.
Section V, Proposed Contract, provides a more detailed description of the legal requirements.
1.3 SOLICITATION SCHEDULE

The following estimated time line should be used as a working guide for planning purposes. RTA reserves
the right to adjust this time table as required during the course of the Proposal process. RTA will make good
faith efforts to notify potential Proposers of adjustments to the schedule; however, ultimate responsibility
for obtaining notice of changes lies with the Proposers. Any changes to the proposed schedule will be listed
on our Web site, www.nashvillemta.org.
Site Visit August 11, 2018 at 9:00 a.m. CST
Addenda Request Submittal Deadline August 16, 2018 by 1:00 p.m. CST
Question/Clarification Submittal Deadline August 16, 2018 by 1:00 p.m. CST
Proposal Submittal Deadline September 6, 2018 by 10:00 a.m. CST
Presentation/Interviews (if applicable) TBD
All questions must be submitted in writing, via email is recommended, to Kim Hereford,
kim.hereford@nashville.gov. The answers to the questions will be posted on the RTA website,
www.nashvillemta.org. Proposers are solely responsible for checking the website to insure that they have
the most current information regarding the Proposal. Any oral communication, explanation or instruction
provided will not be binding on RTA.
1.4 COST INCURRED BY PROPOSERS
The RTA is not liable for any costs incurred by prospective Proposers in the preparation of submitting a
Proposal in response to this Proposal, in presentation of the Proposal or any other activities related to
responding to this Proposal.
1.5 EVALUATION OF PROPOSALS
An Evaluation Committee and/or the Procurement Department will examine Proposals to eliminate those
which are determined non-responsive to the stated requirements. The Evaluation Committee will then
evaluate Proposals and make recommendations of the top-ranked company for the award.
The Evaluation Committee will apply the evaluation criteria set forth in the RFP or in any addenda issued. A
detailed evaluation that follows the initial examination may result in more than one finalist. At this point,
the Evaluation Committee may request additional information, request an interview, request a
presentation, request revised or best and final offers.
Should interviews or presentations become necessary, RTA will contact the top-scoring firm(s) from the
evaluation to schedule a date and time.
1.6 EVALUATION SCORING MEASURES

The Evaluation Committee will evaluate Proposals received on the following factors.
Evaluation Criteria and Weights

EVALUATION CRITERIA POINTS
Part 1 Company Information, Minimum Qualifications, Experience, and References
A. Cover Letter, Executive Summary, Contact Info
B. Company Description
20
C. Minimum Qualifications
D. Direct Experience
E. References
Part 2 Project Team/ Technical Assistance
F. Project Team Organization Chart
G. Key Individuals Experience referencing specific areas of experience 25
H. Management Plan
Part 3 Understanding of the RFP/ Work Methodology

A. Understanding of Scope
B. Expectation of RTA Support Staff and Resources
C. Contract Deliverables Requirement List
20
D. Quality Assurance Plan
E. Test Procedures
F. Master Test Plan
G. Compatibility & Road Test Plan
Part 4 Master Program Schedule
H. Transportation Plan
I. Schedule for each locomotive 10
J. All Milestones
Part 5 Training & Acceptance Plan/ Warranty
K. Training Material and Plan 10

L. Acceptance Plan
M. Warranty
Part 6 Cost
The firm with the lowest cost will receive the maximum 20 points
The remaining firms scores will be based on the Lowest Cost divided by
15
Proposed Cost) X 15 Points Possible = Points awarded
A. **Example: ( $100(LC) / $102(PC))X15 (PP) = 14.7 (PA)**

TOTAL MAX SCORE 100
1.7 PROPOSAL ACCEPTED

Each Proposer submits their Proposal with the understanding that the acceptance in writing by the
Agencies of the offer to furnish the services requested shall constitute a contract between the Proposers
and the Agencies, which shall bind the Proposers to furnish the services at the rates quoted, and in
accordance with conditions and requirements of the Agencies. A formal contract and/or purchase order will
be signed between the Agencies and the successful Proposers.
Each proposer submits their responses with the understanding that nothing in this solicitation shall be
construed to require RTA to award a contract.
Waiver: Proposer must indicate that the company is prepared to enter into a contract with RTA in
accordance with the terms and conditions set forth in this solicitation, any addenda, and proposed
contract. Proposal shall be valid for a minimum period of one hundred and twenty days (120) from the date
of the opening of proposals
1.8 DISADVANTAGED BUSINESS ENTERPRISE (DBE)
In connection with this project, the RTA has established a specific goal for Disadvantaged Business
Enterprise (DBE) participation of 0%. Proposers are required to make good faith effort to cooperate with
RTA in meeting its commitments and goal of 2.00% percent for goods and services for the fiscal year 2018-
2020. DBE participation is encouraged either in the capacity of the prime contractor or subcontractor.
Proposers are required to document their activities in the proposal and selection of any subcontractor(s) to
ensure that the process is nondiscriminatory. To be considered a certified DBE the organization must be
registered with the Tennessee Uniform Certification Program (TNUCP). Utilize the following website for a
comprehensive list of the certified DBE’s:
https://www.tdot.tn.gov/APPLICATIONS/DBEDIRECT/Search
END SECTION I

II. INSTRUCTIONS TO PROPOSERS
2.1 REQUESTS FOR CLARIFICATION
If any person submitting a Proposal is in doubt as to the true meaning of any part of the Scope of Work,
other Proposal documents, finds discrepancies in or omissions from the specifications; may submit to the
Procurement Department, a written request for an interpretation or correction, no later than, 1:00 p.m.
Central Standard Time (CST), August 16, 2018. Only written requests will be accepted. E-mailed questions
to the Procurement Department are acceptable. The person submitting the request will be responsible for
its prompt delivery and verification of delivery.
The request must be fully supported with detailed information and reference to a section of the Proposal, if
applicable, to assist RTA in determining whether the request is or is not valid. Any corrections or changes to
this Proposal will be distributed to recipients who submitted the “Addenda Request” at the address
provided. Verbal questions will not be answered, thus preventing an unfair advantage to any Proposers.
2.2 DELIVERY OF PROPOSALS
The Proposers must submit (1) Original, (7) Additional Copies, and (1) Electronic Copy (USB, Disk or Email)
of your Proposal including ALL required forms by 10:00 a.m., Central Standard Time (CST), September 6,
2018 to the following address:
Kim Hereford, Project and Procurement Administrator

RTA
430 Myatt Drive
Nashville, TN 37115
The sealed envelope, box, or appropriate package must be clearly marked with “PROPOSAL 2018827-
Locomotive Overhaul” on the lower left side and “DO NOT OPEN WITH REGULAR MAIL.” RTA will not
consider Proposals received after the deadline. All Proposals will be logged, by a Procurement Staff
member, with the date and time of receipt.
Proposers are solely responsible for delivery of their Proposal on time. Proposers who rely on overnight
delivery services, local couriers, or other delivery services remain solely responsible for timely delivery of
the Proposal and assume all risk of late delivery or no delivery.
**NOTE: RESPONSES WILL NOT BE OPENED PUBLICLY**
2.3 Site Visit (NON-MANDATORY)
RTA Procurement Department will host a site visit meeting on August 11, 2018 starting at 9:00 a.m. CST.
Meeting location is at the Transit Solution Group (TSG), 620 Knoxville Avenue Lebanon, TN 37087. While
attendance is not mandatory, responder is encouraged to attend and participate. The purpose of the
meeting is to address the solicitation requirements. All questions must be submitted in writing and the
agency will post all answers and questions via an addendum.
Assistance for disabled, blind or hearing-impaired persons who wish to attend is available with prior
arrangement by contacting RTA Procurement and Project Administrator identified on the cover page.
If interpretations, specifications, or other change to the solicitation is required as a result of the meeting,
RTA will post an addendum to RTA Procurement webpage at http://www.nashvillemta.org/Nashville-MTA-
procurement-list.asp.
2.4 PROPOSAL WITHDRAWAL
Proposers will be given permission to withdraw their Proposal after it has been delivered to RTA provided
Proposers makes their request by e-mail, on organizations letterhead, twenty four (24) hours prior to the
Proposal due date and time. Requests pertaining to withdrawal by telephone or e-mail must be confirmed
in writing by the Proposers and must reach the office of Kim Hereford, not later than one (1) hour prior to
the time fixed for submission of Proposals. Proposals which are timely withdrawn shall be returned to the
Proposers unopened, at Proposers expense.
2.5 UNACCEPTABLE PROPOSAL
RTA will not accept Proposals or award any contract to any person, firm or corporation that is in arrears or
is in default to RTA upon any debt or contract, has defaulted on surety or other obligation or has failed to
perform faithfully any previous contract for RTA. RTA reserves the right to request sub-contractor changes
to any contract.
2.6 REJECTION OR ACCEPTANCE OF PROPOSAL
The Chief Executive Officer or designee reserves the right to accept or reject any or all or any part of any
Proposals. Any Proposal which is incomplete, conditional, obscure, or which contains additions not called for,
or irregularities of any kind, may be cause for rejection of the Proposal. If there is, a discrepancy between the
price written and the price listed in figures RTA acknowledge that the price written is the correct price.
It is the intent of RTA, if he accepts any alternates, to accept them in the order in which they are listed in the
Proposal Form. Determination of the Lower Proposers shall be on the basis of the sum of the Base Proposal
on the alternates accepted. However, RTA shall reserve the right to accept alternates in any order which does
not affect determination of the Lower Proposers.
RTA reserves the right to cancel this Proposal in writing or postpone, or extend the date and time for
submitting Proposals at any time. RTA reserves the right to reject any or all Proposals, to waive any or all
informalities or irregularities in the Proposals received, to investigate the qualifications and experience of
any Proposers, to reject any provisions in any Proposal, to modify Proposal contents, to obtain new
Proposals, to negotiate the requested services and contract terms with any Proposers. RTA reserves the

right to award the Proposal requested goods & services in full, in part and/or a single item to one or more
Proposers. RTA will determine the most responsive Proposers whose Proposal is most advantageous.
The submission of a Proposal shall constitute an acknowledgement that the Proposers has thoroughly
examined and is familiar with the Proposal, including the Scope of Work, the addenda if any, and has
reviewed and inspected all applicable statutes, regulations, ordinances and resolutions dealing with or
related to the services requested.
Proposals must indicate that the firm is prepared to enter into a contract and/or purchase order with
RTA in accordance with the terms and conditions set forth in this Proposal, any addenda, and proposed
contract. Proposals shall be valid for a minimum period of one hundred and twenty days (120) from the
proposed closing date for acceptance by RTA.
2.7 PUBLIC RECORDS/CONFIDENTIALITY
The Proposals received become the exclusive property of RTA. When a contract award is approved by RTA,
all Proposals submitted in response to this Proposal shall become a matter of public record and shall be
regarded as public records, with the exception of those elements of each Proposal that are marked as
“TRADE SECRET,” “CONFIDENTIAL” or “PROPRIETARY.” If required by law or by an order of a court, RTA may
be required to disclose such records or portions thereof, including without limitation those so marked.
Proposals that indiscriminately identify all or most of the Proposal as exempt from disclosure without
justification may be found to be technically unacceptable.
2.8 FORMS PROVIDED
Proposers must submit their Proposals on the forms provided or copies thereof. The Proposer or an
authorized representative of the firm must sign the Proposal. Any erasures, corrections or other changes
appearing on the Proposal form must be initialed and dated by the person signing the form.
END SECTION II

III. SCOPE OF WORK, PROPOSAL FORMAT & GENERAL TERMS AND CONDITIONS
A. SCOPE OF WORK
The RTA is soliciting proposals from professional firms to provide locomotive overhaul services. The RTA will
award the Proposer whose final offer is the most advantageous and outstanding while providing the best
value for service(s) as determined by ranking of the evaluation criteria.
1 SCOPE AND RESPONSIBILITIES
1.1 SCOPE AND PURPOSE

A. This Specification outlines the specific areas of the Locomotive in which Work is required for
renewal, reconditioning, upgrading and/or qualification of parts or apparatus.
There shall be no provision of Conditional Work or Extra Work during the overhaul of the locomotives. All
necessary Work required by these Technical Specifications and other Contract Documents shall be
performed by the Contractor as Base Work as part of the Contractor’s Total Base Contract Price. No
other costs or monies shall be paid to the Contractor to complete any Work related to the carbody
repair, truck repair, wiring, piping, electrical equipment, pneumatic equipment or any other
requirement of the Technical Specifications and other Contract Documents based on hidden conditions
or similar situations, except as specifically authorized by the AUTHORITY in accordance with the Contract
Documents.
The Regional Transportation Authority of Middle Tennessee (RTA or the AUTHORITY) wishes to contract
for the overhaul, delivery, testing and warranty of three (3) F40PH locomotives, with an option for one
(1) additional F40PH, including but not limited to:
1. Furnishing integrated schematics for modified or updated circuitry, mechanical and
layout drawings, and complete replacement parts catalogs.
2. Deliverables referred to throughout the Specification.
3. All Work defined in this Specification.
B. The locomotives to be overhauled in accordance with the Specification were originally built
by Electro-Motive Division (EMD). The locomotives are F40PH with the following road numbers:
121, 122 and 381, with option for 120.
C. The locomotives shall be overhauled at a rate of one (1) per four (4) months.
D. Contractor’s Scope of Work is presented as a Base Locomotive Overhaul as described in the
following outline, and the below is applicable to each locomotive, except as clarified:
1. Base Locomotive – Overhaul F40PH in compliance with the requirements specified in this
Specification with Tier 0 + EMD 645E3B UTEX Engines. Currently, the engines are at Tier 0
level with the exception of Unit 120 (the option unit) which is already at Tier 0 +. The
engine upgrade shall ensure that the locomotive has a minimum of 3,000hp power.
2. Install new roof-mounted 74VDC A/C units on the locomotive.
3. Recondition, renew, repair and/or replace, shaft driven HEP package including gear box
and alternator.
4. Remove the Quantum Fan sequencer from units 121, 122 and 381 and replace with OEM
Machine Control Systems Sequential Fan Controllers or equivalent as approved by the
AUTHORITY.
5. Recondition all high voltage cabinet equipment.
6. Remove and replace the auxiliary generators in units 120 (the option unit) and 381 with
brushless generators. Rebuild in kind the generators from units 121 and 122.
7. Remove and terminate all existing cab toilet systems (units 121 and 381).
8. Remove and terminate all existing cab refrigerators.
9. Remove 3rd observer’s seat from unit 381 and cap floor mounts.
10. Relocate dash mounted speedometers of units 381 and 120 (the option unit) to provide for
improved line of sight.
11. Install new Wabtec FRA Event Recorders in units 121, 122 and 381.
E. The Contractor shall furnish all Work, management, labor, materials, tools, equipment, data,
design, services, personnel and incidentals necessary to overhaul the locomotives and deliver
each locomotive in strict conformance with the Contract requirements and Technical
Specifications, in a proper, thorough, skillful, and workmanlike manner, complete and ready for
service.
The Contractor shall utilize the OEM standards in the performance of the Work defined in this
Specification unless otherwise stated.
F. The Contractor shall ensure that all systems and sub-systems designed into each locomotive
shall incorporate all available features available with the installed equipment.
G. Renewal parts for major components, including rotating electrical, cooling, fuel, lubrication,
and air systems shall be OEM approved. Main engine parts shall be OEM approved or as
specified in Section 10.
1. The AUTHORITY requires that all parts supplied or reconditioned meet the requirements
of the OEM of the locomotives in terms of durability, tolerances, and fitness of purpose.
2. The AUTHORITY requires all purchased parts to be, at a minimum, OEM quality (to be
determined by the AUTHORITY) or be OEM purchased replacement parts.
3. The burden of proof of quality of the parts supplied is the responsibility of the
Contractor.
4. All parts must be available for the 15 year life extension of the locomotive.
H. All small hardware and fasteners affected by the overhaul process shall be renewed.
I. The AUTHORITY shall supply two (2) spare locomotive trucks to be inspected and
overhauled (as per both the relevant requirements of this Specification and OEM practices). The
spare trucks are complete with suspension, brake equipment, wheels, gear units and traction
motors. One wheel/motor combo has been already been removed from the truck assembly.
These trucks shall be shipped to the AUTHORITY with the first locomotive.
J. The Contractor is responsible for making any and all modifications and/or upgrades that may
be required by various regulatory agencies due to the extent of the overhaul during
completion of locomotive construction, testing and delivery.
K. Trade names and/or manufacturer’s names and part numbers shown through this
Specification are not “sole source items”, unless specifically identified for use.
L. The Contractor may, at his own option, recommend alternate materials, components and parts
for the AUTHORITY’s review and potential acceptance. Consideration of alternate materials
shall be justified by the Contractor as beneficial to the AUTHORITY. Recommendations for
alternate materials, components or parts must be submitted in writing to the AUTHORITY,
and may only be used upon written approval from the AUTHORITY. The requirements of
item P. below apply in this case.
M. The Contractor is responsible for developing procedures for all repairs to be made and
component and system testing performed on the locomotives. Each procedure shall be
approved by the AUTHORITY prior to commencement of the test detailed in the procedure.
Where Specification provisions require inspection of parts to determine suitability for
continuing in service, it is assumed that the Contractor will determine what repairs, if any, are
required and carry them out with the concurrence of the AUTHORITY’s representatives. The
requirements of item Q. below apply in this case.
N. Where components or assemblies are specified to be overhauled or remanufactured, the
Contractor may, with the AUTHORITY’s approval, supply new material. Consideration of new
material assumes a beneficial justification for the AUTHORITY.
O. Where replacement of consumables is specified, they shall be replaced with new. All
consumables must meet OEM standards.
P. All small hardware and body parts which are missing from components specified to be
overhauled shall be replaced with new material by the Contractor at its Work.
Q. It should be noted that changes to the scope of work for each locomotive may be required to
accommodate conditions uncovered during the overhaul process unique to each unit.
1. Changes which are determined to be hidden damage shall be addressed in accordance with
the Change Order procedure.
a. The Contractor shall submit to the AUTHORITY, their fully burdened, all inclusive, labor
rates and material mark-up for changes pursuant to this Section as provided for under
the Contract terms and conditions.
b. The Contractor shall bring to the immediate attention of the AUTHORITY any
conditions encountered during the overhaul process which involves hidden damage or
missing material, for review and disposition by the AUTHORITY.
1) Notification shall be made to the AUTHORITY in writing via email within twenty-
four (24) hours of discovery. If applicable, a copy of same provided to the
AUTHORITY resident inspector.
2) Notification shall be followed by a written statement containing the following
information.
i. A description of the deficiency and details of work to correct same.
ii. Detailed cost data including materials, labor, overhead, and profit.
iii. A statement of additional time, if any, required for completion of the
Contract delivery requirements by reason of this change.
2. The Contractor shall not proceed with any work required by the change until written
authorization is given by the AUTHORITY. The work change request and the authorization
will address any delivery schedule changes that are involved.
R. The Contractor shall provide work scopes for all major components required to be
reconditioned, overhauled, renewed, repaired, replaced, upgraded or as otherwise required in
this Specification for AUTHORITY approval. The Work shall not begin until the relevant work
scopes are approved.
1.2 ABBREVIATIONS
The abbreviations provided in this Section supplement and complement those included in the
General Provisions. The following is a list of abbreviations used in the Specification. The list is provided as
information and is neither intended to be all inclusive nor are all abbreviations necessarily used
herein.
Table 1-1 – Abbreviations
Abbreviation Description
A Amperes (Amps)
AAR Association of American Railroads
AC (or ac) Alternating Current
A/C Air Conditioning
AEI Automatic Equipment Identification
AMP Amperes
ANSI American National Standards Institute
APTA American Public Transportation Association
ASM American Society for Metals
ASME American Society of Mechanical Engineers
ASTM American Society for Testing and Materials
AWS American Welding Society
°C Degree Celsius
CD Compact Disc
CAD Computer Aided Design
CDRL Contract Deliverable Requirements List
CFR Code of Federal Regulations
dBA Decibel, A-Weighted Scale
DC (or dc) Direct Current
DDS Database and Directive Server
ECU Engine Control Unit
EFCO Emergency Fuel Cut-Off
EMD Electro-Motive Diesel, Inc.
EPA United States Environmental Protection Agency
°F Degrees Fahrenheit
FTA Federal Transit Administration
FRA Federal Railroad Administration
Abbreviation Description
GFCI Ground Fault Circuit Interruption (device)
HEP Head End Power
HP(or hp) /
Horsepower / Brake-Horsepower
bhp
HVAC Heating, Ventilation, and Air Conditioning
I/O Input/Output
IEEE Institute of Electrical and Electronic Engineers
lb Pounds
MI Maintenance Instruction
MIL Military Specification
mph Miles Per Hour
MR Main Reservoir
MU Multiple Unit (as it pertains to multiple unit car train operation)
NEMA National Electrical Manufacturers Association
NTP Notice to Proceed
OEM Original Equipment Manufacturer
pf Power Factor
psi Pounds Per Square Inch
QA Quality Assurance
rpm Revolutions Per Minute
TBD To be Determined
US United States
UTEX Unit Exchanged
V Volts
W / kW /
Watt / Kilo-Watt / Electrical Kilo-Watts
ekW
1.3 DEFINITIONS
Alternate Material – A proposed substitute to a material, or component which is deemed equal or
improved in quality and composition.
Approval – Review and acceptance, in writing, by the AUTHORITY.
Approved Equal – A proposed substitute to a specification requirement, component and/or
supplier/manufacturer which is approved by the AUTHORITY in writing. The substitution request shall be
submitted in writing to the AUTHORITY detailing full interchangeability in terms of form, fit, function,
quality and properties to the specific requirement and must be proven to the satisfaction of the
AUTHORITY.
As Built – The design and materials configured by the OEM (original equipment manufacturer), EMD, at
initial manufacture.
As Delivered Condition – This describes the condition, weight, appearance, performance, etc. of the
locomotive at the time the AUTHORITY provides the locomotive to the Contractor for overhaul.
AUTHORITY – Regional Transportation Authority of Middle Tennessee (RTA)
Certificate of Compliance – Written Certification that the Locomotive complies with all applicable laws,
rules and regulations of the United States, the State of Tennessee, any other agency of the government,
the FRA, AAR, EPA and also including, but not limited to, local Air Pollution Control entities, Federal
and State laws, rules and regulations relative to emissions and air pollution.
Change Order – A written document issued to the Contractor by the AUTHORITY that alters the scope of
work to be performed under the Contract.
Change Request – A written document which thoroughly details rationale for request and ultimate effect
to the Contract Specifications and/or terms and conditions, if any, issued to the AUTHORITY by
Contractor which may result in a Change Order.
Commissioning – Post Delivery Contractor activities required to begin on-site acceptance testing
demonstrating Specification compliance.
Conditional Acceptance – Occurs when locomotive is suitable for service, as determined by the
AUTHORITY, and commences the warranty period. Remaining deficiencies, if any, shall be corrected
promptly.
Contract – All documents associated with the procurement including the written agreement,
Contractor’s proposal, the RFP and related documents, and the performance and payment bonds.
Damaged – An equipment, part or component that is not in conformance with original OEM
requirement, and/or is impaired from its value and usefulness.
Days – Unless otherwise noted, refers to calendar days.
Defect – A patent or latent malfunction or failure in manufacture, design or installation of any
deliverable, including without limitation any vehicle or any vehicle component, subcomponent, part or
material of whatever type, or any failure of any of the foregoing deliverables to conform with the
requirements in the Contract.
Delivery – The transfer of the completed vehicle with all in-plant testing completed and results
accepted by the AUTHORITY to the AUTHORITY designated delivery location, ready for
commissioning and acceptance testing.
Failure – The inability of a component, system or subsystem to function or perform in accordance with
Specifications and requiring a corrective action to restore the specified function or performance.
Final Acceptance – Occurs when Contractor has fulfilled all of its initial obligations under the Contract,
as determined by the AUTHORITY.

Hidden Damage – Damage uncovered during the course of the locomotive overhaul process. In-Kind – In
the same way, similar.
Inspect – Visual inspection and measurement to an approved procedure to ascertain suitability for further
use in compliance with Specification requirements.
Inspector – The AUTHORITY’s designated quality assurance representative.
Locomotive History Book – Documentation specific to an individual locomotive containing all records of
technical and parts data pertinent to that particular locomotive. Required content and format shall be
provided at the pre-proposal meeting.
Maintainability – A measure of a locomotive’s capability to be properly maintained based on the ease and
frequency of maintenance tasks, applied labor and accessibility of equipment.
Materials – All materials, equipment, systems, components and products incorporated into the
Contract required Work.
Modify – To change the design, placement or other aspect(s) of an application to provide an
improved functionality as approved by the AUTHORITY.
New – Never before used
Notice To Proceed (NTP) – Official written RTA notification authorizing the Contractor to proceed
with the Contract Work.
Optional Work – Defined tasks in the Contract that shall be considered on a case by case basis for inclusion
in the Work.
Overhaul – The complete disassembly, cleaning, inspection, qualification, reconditioning, repair or
replacement of parts that are found worn in excess of the OEM serviceable tolerances or
specifically required by the Specification. Overhaul includes testing the reassembled part or
component to assure that it functions to the OEM performance specification for an identical new part.
Project Manager – The AUTHORITY’s representative or designee responsible for all matters relating to
the performance of the Work, proposed changes to the Work and payment.
Project Engineer – The AUTHORITY’s representative or designee responsible for all matters relating to
the adherence to the technical requirements of the Specifications.
Proposal – The compliant response to the RFP.
Qualify – The classification, based on evaluation of inspection or test results, of a previously applied
part, component or system as fit for re-application and continued service until the next proven service
interval for that part, component or system.
Recondition – The restoration of an item to have the performance, service life and appearance of a new
item through the replacement of worn parts, adjustments, cleaning, refinishing (i.e. painting, polishing,
anodizing, etc.), repair of any damage and any other rehabilitation work required. When an item is beyond
reconditioning it shall be renewed. A scope of work procedure, for any item, is required and shall be
approved by the AUTHORITY prior to commencement of the work.
Reliability – The probability of a component, system, or locomotive of performing a specified function
without failure and within design parameters, for the period of time intended, under normal
operating conditions.
Remove/Removal – The elimination of an item from the final locomotive configuration. This removal
shall include all other work required to ensure that the final configuration does not reflect any of the
original item installation such as wiring, holes, brackets, etc.
Renew/Renewal – The installation of an identical but new item.
Repair – Correction of specific damage approved by the AUTHORITY.
Replace – The installation of a new but different model or design of an item upon removal of the one
currently used.
Service Limits – The dimensional tolerance that establishes the wear limit for a component or system
to remain in service.
Service Tolerances – The dimensional tolerance that qualifies a component or system for continued service
until the next overhaul.
Shipment – The physical departure of the locomotive to and from the Contractor’s facility and to and
from the AUTHORITY’s property.
Specifications – That portion of the Contract describing the technical requirements of the procurement
which contain written directions and requirements for completing the Work.
Strip – Work necessary prior to the refurbishment of the locomotive. This Work is completed after the pre-
work joint inspection.
Subcontractor – Any person, firm, partnership, corporation or other entity, other than employees of the
Contractor, who contracts with the Contractor to furnish labor under the Agreement, but usually
provides no Materials other than incidentals.
Supplier – Any person, firm, partnership, corporation or other entity that provides Materials,
including those fabricated to a special design, but usually provides no labor other than delivery.
Test – The means by which a part or system is proven to be functioning to its design parameters. Unit
Exchange (UTEX) – A process where components and sub-assemblies are removed and
exchanged with an identical component or sub-assembly that was previously overhauled and is ready
for immediate installation.
Upgrade – The replacement of a component, subsystem or system to improve quality, reliability, and/or
performance.
Work – All services and responsibilities to be performed by the Contractor as specified, stated,
indicated or implied in the Contract, including furnishing and supervision of all qualified personnel and the
supply of all equipment, materials and supplies necessary or required to perform this Contract.
1.4 RESPONSIBILITIES OF THE CONTRACTOR
1.4.1 General
A. The Contractor shall develop and submit a Master Program Schedule. The program schedule
shall identify all milestones, the earliest and latest possible dates for accomplishing each
milestone, the shortest and longest permissible time span between each dependent milestone,
and major and minor paths which are critical for accomplishment of program objectives. The
initial baseline schedule shall be maintained for the duration of the contract for review [CDRL
01-001].
B. The Master Program Schedule shall be monitored and controlled by the Contractor’s
management team responsible for all management functions and shall be updated and
submitted to the AUTHORITY for review and approval at least monthly during the design,
production, and acceptance phases of the Contract [CDRL 01-002].
C. Contractor shall submit to the AUTHORITY for review and approval a listing and submittal
schedule of all required documents described in this Specification [CDRL 01-003].
D. The Contractor shall perform all necessary design work required for the overhaul of the
locomotives, and shall prepare all necessary detail drawings, design calculations, other
specified technical documentation, and Contract-required submittals. The Contractor shall
submit such additional or revised drawings, diagrams, calculations, test results, and
demonstrative evidence as the AUTHORITY deems necessary to confirm the completeness and
accuracy of Contractor’s submittal.
E. The Contractor shall ensure that each manufacturer/supplier of major items of equipment has
a copy of the complete F40PH Locomotive Overhaul Specification, and they are also
contractually obligated to comply with the complete F40PH Locomotive Overhaul
Specification. Copies of Purchase Orders (which may have prices deleted) and revisions to
purchase orders for all major items of equipment, as determined by the General Provisions,
shall be submitted to the AUTHORITY on an ongoing basis, no less frequent than every 30 days
[CDRL 01-004].
F. The Contractor shall prepare, and submit for the AUTHORITY approval, a compliance matrix
and compliance document for all items and areas subject to 49 CFR 238.103. This document
shall cover all materials and components that the Contractor shall furnish or equip as part
of this overhaul program [CDRL 01-005]. The Contractor shall provide documentation and
data detailing independent laboratory test reports for all materials, demonstrating
conformance to specified flammability and smoke emissions requirements as well as specifying
their toxicity ratings. Compliance certificates for 49 CFR 238.103 are acceptable to
demonstrate conformance. Any materials, equipment, and products specified by brand-
name and model (in this document) shall not be exempt from this requirement. A separate
CDRL will address submittal of the Emissions Compliance Certification Documentation
(Please refer to Section 10.1.1 and CDRL 10-001).
1.4.2 Technical Assistance

A. The Contractor shall provide AUTHORITY approved Service Representative(s) at the
AUTHORITY’s Maintenance Facility to conduct receiving inspection and acceptance testing
from the Delivery of the first locomotive to the Conditional Acceptance of the last locomotive,
and subsequently for a period of 30 days, commencing with the start of revenue service,
as required by the Warranty.
B. Additionally, the Service Representative(s) shall:
1. Participate in Contractor-provided training of AUTHORITY’s operating and maintenance
personnel.

2. Conduct outbound inspections (jointly with the AUTHORITY) of each locomotive, at the
AUTHORITY’s facility, before each locomotive is shipped to the Contractor’s facility to
begin Work. These inspections will verify the state of each locomotive as well as the
operation of all on-board systems. The Contractor shall submit an outbound inspection form
that will be used for these inspections [CDRL 01-006].
3. Perform (with an AUTHORITY witness) on each locomotive direct ground insulation megger
test and a high-potential test on all electrical systems/components (as appropriate) and
load tests of the HEP and prime mover prior to shipment back to the AUTHORITY.
4. Conduct (jointly with the AUTHORITY) receiving inspections and testing of locomotives
upon delivery.
5. Participate in acceptance documentation.
6. Assist the AUTHORITY in processing and expediting warranty claims and ordering of parts and
materials.
7. Provide technical expertise and support to the AUTHORITY in commissioning,
troubleshooting, and liaison with the Contractor for a period of one year as stipulated in
the warranty agreement. Office space for the Contractor shall be provided by the
Contractor.
1.4.3 Subcontracts
The AUTHORITY’s single point of contact regarding warranty issues for any components/processes that
the Contractor obtains from subcontractors shall be the Contractor.
1.4.4 Submittal Form

A. All submissions shall be properly referenced to clearly indicate the location, service, and
function of each particular subject, and shall include the proper references to the appropriate
Specification section(s) including drawing numbers and details. Where the manufacturer’s
publications in the form of catalogs, pamphlets, or other data sheets are submitted in lieu of
prepared shop drawings, such submissions shall specifically indicate the item for which
approval is requested. Identification of items shall be made in ink. Submissions showing only
general information will not be acceptable.
B. Electronic files of all drawings, letters, attachments, CDRLs, and other documents shall be
provided by a mutual agreeable medium (e.g. SharePoint or Share site).
1.5 MANAGEMENT SYSTEMS
1.5.1 General
This section delineates the requirements for the management systems which shall be sufficiently
comprehensive to enable the AUTHORITY to ascertain, with a high degree of confidence, that the
Contractor will meet the requirements of these Specifications and to enable the AUTHORITY to monitor
the Contractor’s Work and efforts.
The Contractor shall arrange and facilitate a weekly project meeting with the AUTHORITY and its
representatives. This meeting shall start the week of NTP, and terminate at Final Acceptance of the last
locomotive. The AUTHORITY has the right to request that the meetings be reduced in frequency at its
discretion at any time. This meeting shall be via conference call utilizing a toll free conference call
service arranged by the Contractor. Periodically, as desired by the AUTHORITY and as agreed by
the Contractor, the weekly project meeting may take place face- to-face either at the Contractor’s facility
or other location desired by the AUTHORITY. One day prior to the meeting, the Contractor shall issue an
agenda. This agenda shall include the previous week’s meeting notes, an Action Item listing, and other
similar project management tools. The meeting notes shall be taken and managed by the Contractor, and
shall be subject to AUTHORITY review and approval before they become final.
1.5.2 Management Program

A. The Contractor shall establish an organization to properly manage this locomotive overhaul
program. The organization shall be highly responsive to the needs of the AUTHORITY. The
Contractor shall develop a Management Plan [CDRL 01-007]. The Management Plan shall be
updated at two month intervals, when necessary [CDRL 01-008]. The Management Plan
shall describe all design and configuration reviews and audits required by the Specification and
shall include, but shall not necessarily be limited to:
1. An Organization Chart defining the responsibilities and qualifications of all personnel,
including addresses and telephone numbers for Contractor, subcontractors, and major
equipment suppliers.
2. The internal methods and communications to be used to control the program schedule,
technical performance, program changes, subcontracts, purchase orders, material
procurement, and field service support.
3. A flowchart of all project tasks indicating task integration, including subsystems
integration.
4. Design reviews conducted on a periodic basis to assess the degree of completion of
technical effort related to major milestones.
5. A schedule identifying all elements of design and manufacture requiring approval or
otherwise deliverable under the terms of the Contract, indicating when and for which items
the AUTHORITY approval is required, to the level of the individual item submittal.
6. Resumes of the Contractor’s Project Manager, QA Lead, QC Lead, Technical Leads,
Technical Service Representative and Testing Lead.
1.5.3 Quality Assurance Plan

A. The Contractor shall have a planned, established, and documented Quality Assurance Plan (QAP_
authorized by its CEO, President or acceptable designee. The Contractor shall enforce the
elements of the QAP within all parts of its organization and with all manufacturers,
subcontractors and suppliers performing contract work. The Contractor shall submit the
Quality Assurance Plan to the AUTHORITY for review and approval [CDRL 01-009]. The Quality
Assurance Plan shall describe all the controls, resources and skills that contractor shall apply to
satisfy project quality system requirements.

1.6 CONTRACT DELIVERABLE REQUIREMENTS LIST
Table 1-2
CDRL Description Due
CDRL 1-001 Master Program Schedule w/Proposal
CDRL 1-002 Master Program Schedule Update Every 30

days
CDRL 1-003 Contract Deliverables Requirements List w/Proposal
CDRL 1-004 Copies of Purchase Orders Every 30

days
CDRL 1-005 Smoke and Flammability Compliance Documentation and 60 days
Matrix after NTP
CDRL 1-006 Contractor Supplied Outbound Inspection form for Joint RTA w/Proposal
and Contractor Inspection.
CDRL 1-007 Management Plan w/Proposal
CDRL 1-008 Management Plan Update Every 60

days
CDRL 1-009 Quality Assurance Plan w/Proposal
End of Section

2 LOCOMOTIVE CHARACTERISTICS
2.1 LOCOMOTIVE CHARACTERISTIC REQUIREMENTS
2.1.1 General Requirements

This Section establishes performance, environmental and general overhaul criteria for the
AUTHORITY’s F40PH locomotives. These requirements apply to all aspects of each locomotive.
2.1.2 Basic Design Considerations and Maintainability

A. The overhauled locomotive shall make every possible provision for safety of
employees, for maximum ease and safety of passage through the locomotive, and for
ease of cleaning and maintenance.
B. Apparatus requiring frequent inspection or attention shall be readily accessible and
replaceable.
C. The new installation or relocation of apparatus supports and housings shall be arranged
to provide interchangeability between like equipment among each of the locomotives.
D. As part of the general requirements for safe construction, the Contractor shall ensure
that there are no sharp edges or corners anyplace in the locomotive where
Operators or maintenance personnel may come in contact with such edges. This
requirement shall apply to equipment or components furnished by suppliers as well.
E. Components furnished by a manufacturer that are assembled, housed, and wired
into package units at the point of manufacture, shall be tested at the point of
manufacture and a certified test report concerning actual tests made on components
being furnished for this Contract shall be mutually agreed upon between the Contractor
and the AUTHORITY.
F. Maintainability of the locomotive and associated equipment shall be given prime
consideration by the Contractor in the overhaul of the locomotive, and by the
Contractor’s suppliers in the design and building of the components and subsystems. No
component of the locomotive shall require scheduled periodic maintenance more
frequently than once every ninety-two (92) days, normal inspection and servicing
excluded.
G. The locomotives, after overhaul, shall be capable of a minimum of 15 years of
reliable operation without need of major overhaul when following industry practices
and required Contractor maintenance manual requirements.
2.1.3 Regulatory Compliance

A. The locomotive shall comply in all respects with the requirements of the applicable
laws in the State of Tennessee.
B. They shall also comply with the most recent requirements, standards and
recommendations of the following agencies:
1. Federal Railroad Administration (FRA)
2. Association of American Railroads (AAR)
3. Environmental Protection Agency, Clean Air Act (EPA)
4. National Transportation Safety Board (NTSB)
5. American Public Transportation Association (APTA)
If a conflict is discovered among any of the above requirements the following order of priority
shall govern:
a. FRA - USDOT
b. AAR
c. EPA
d. Contract Documents
e. NTSB
f. APTA
C. Where apparent conflict exists, the Contractor shall notify the AUTHORITY immediately
for resolution.
2.1.4 Locomotive General Statistics

Locomotive is a diesel-electric type, with turbocharged prime mover capable of developing 3,000
nominal horsepower. The locomotive includes two (2), four-wheel trucks with traction motors on
all axles, and control compartments, complete with all necessary apparatus for multiple unit
push- pull passenger operations. The major general statistics include:
• Main Engine Type: 16-645E3B Tier 0 (Units 381, 121 and 122)
• Main Generator Model: AR10
• Companion Alternator: GM D-14
• Air Compressor: WBO-RDG – two stage/ 3cylinder
• Traction Motor: D77/D78
• Gear Ratio: 57:20
• Wheel Diameter: 42 inches
• Wheel Profile: 1:20
• Brake rigging: single shoe
• Brake shoe: Composition
• Air Brake Equipment 26L
• Hand Brake: Wheel Type
• Dynamic Braking equipped with blended braking
• Curve Negotiation: 174 ft. radius
• Sand Capacity: 24.5 Cu. Ft. – each end.
• Fuel Capacity: 1,800 US gallons
• Cooling System Capacity: 254 gallons
• Lubricating oil capacity: 243 gallons
• Auxiliary Generator: 55 VAC
• Auxiliary Generator Rating: 800 kW
• HEP voltage: 480 VAC/3 Phase/ 60Hz
• HEP Power: 800 kW continuous
2.1.5 Specific Design Requirements

The Contractor shall perform a comprehensive inbound inspection on each Locomotive. The
locomotives shall meet the following specific design requirements. The Contractor shall present
documentation that confirms that these design requirements have been met [CDRL 02-001].
A. Perform a direct current ground insulation megger test and a high potential ground
insulation test on all electrical systems/components as appropriate. The Contractor
will perform test prior to shipping, Contractor to provide results from outbound
megger and high potential test.
B. Perform a load test on both the prime mover and HEP systems. The Contractor will
perform self-load test prior to shipping. Contractor shall provide outbound load test
paper work for both prime mover and HEP systems.
C. The maximum dimensional characteristics of the locomotives shall remain at
Table 2-1
Height to Top of Air Conditioner 15’ – 10 5/ 16 ”
Width Over Handrails and Vents 10’ – 8 3/ 4 ”
Distance Over Coupler Pulling Faces 56’ – 2”
Through a shipping inspection, the Contractor shall confirm the overall dimensions of each of the
AUTHORITY’s locomotives while locomotive is empty of fluids and supplies.
D. The locomotives shall operate in multiple unit configurations with each other, with
AUTHORITY’s fleet of F40PH locomotives, and with any of the AUTHORITY’s cab
control cars and coaches.
2.1.5.1 Locomotive Noise Emission

A. The locomotives shall be overhauled to achieve the lowest possible external noise
levels while engine is under full self-load operation.
B. The Contractor shall detail all actions being taken to ensure that external noise levels
are minimized.
C. The locomotives shall not exceed the noise levels specified in this Specification and 49
CFR 210 and 40 CFR 201.
D. The locomotives shall meet the following external noise requirements when static and
in open field conditions.
1. All values are in A-weighted sound level (dBA) and shall be measured using properly
calibrated equipment at 100 ft. fore, aft, sides, 48 inches above ground:
a. Prime mover at idle (no HEP) 66 dBA max.
b. Prime mover in throttle 8 full load, with HEP at full load (86) dBA max.
2. Noise tests shall be conducted on all units.
E. Horns shall be tested to ensure that noise level from the installed location is in
compliance with requirements of 49 CFR 229.129.
2.1.5.2 Cab Interior Noise

A. Locomotive cab interior noise shall be not more than be 82dBA (+/-) 2dBA. Testing shall
be performed in compliance with the requirements of 49 CFR 229.121
B. The Contractor shall be responsible and provide any necessary data required to
continue the AUTHORITY’s compliance with 49 CFR 229.121.
2.1.5.3 Exhaust Emissions

The prime mover diesel engine of each locomotive (with the exception of unit 120) shall be
certified to meet the Tier 0 + exhaust emission requirements of 40 CFR 1033 as tested in the actual
locomotives delivered under this Contract. The Contractor shall provide identification of all
“emissions critical” spare parts per the certification.

2.1.5.3.1 Environment and Wayside Conditions
Each locomotive shall be designed to operate in the following ambient conditions:
2.1.5.3.1.1 Temperatures
Table 2-2
Normal (95% of Peak (5% of

Duty Cycle) Duty Cycle)
Maximum: 98°F 37°C 111°F 40°C
Minimum: 0°F -18°C -18°F -28°C

Each locomotive shall be capable of continuous full engine horsepower operation at
standard conditions. Engine lube oil, cooling and exhaust systems and locomotive electrical
equipment design shall ensure that the locomotive is capable of continuously delivering the full
horsepower of the diesel engine(s) to traction and HEP at ambient temperatures of up to 111°F.
2.1.5.3.1.2 Wind Velocity

Normal maximum 30 mph (64 km/h) with gusts to 87 mph (140 km/h).
2.1.5.3.1.3 Relative Humidity
2.1.5.3.1.4 Snow
Maximum of 24” (609.6 mm) per 24 hour period.
2.1.5.3.1.5 Rainfall
2.0” (51 mm) in any one hour, with a maximum of 6.0” (152.4 mm) per 24 hour period.
2.1.5.3.1.6 Freezing Rain

0.50” (12.7 mm) in any hour, with a maximum of 2.00” (51 mm) per day.
2.1.5.4 Equipment Temperature Considerations

A. All equipment shall be designed to operate effectively, with no decrease in reliability
or life-span, up to 140°F (60°C)
B. Equipment enclosures shall be ventilated if necessary to prevent the internal
temperature from exceeding 120°F (49°C)
C. All equipment shall be designed to withstand extended storage in extreme
temperature conditions (non-functioning), from -30°F (-35°C) up to 180°F (82°C)
2.1.5.5 Track Configuration

A. Nominal gauge: 4 feet 8½ inches
B. Minimum horizontal curve (coupled to train): 288 ft radius (20 degree curve)
C. Maximum track super-elevation: 6 inches
D. Operation may be on track maintained to all classes track per 49 CFR 213.9, for speeds
of up to 102 mph (166 km/h).
E. Each locomotive shall be able negotiate a No. 8 crossover on 12’ 2” track centers
when coupled to a AUTHORITY’s trailer car.
F. Capable of negotiating a vertical curve of 2,000 feet or greater.
2.1.5.6 Electromagnetic Interference
The locomotives and their components shall not be adversely affected by any electro-
magnetic frequency at field strengths found in the AUTHORITY’s service area and conversely,
shall not interfere with the transmission and the reception of established frequencies. The
following table is included for reference, and defines the frequencies which currently exist on the
AUTHORITY’s network:
Table 2-3
Hz: 86, 114, 156,
Audio frequencies for overlay
211, 285, 348, 430,
track circuits and highway
525, 645, 790 and
crossing approach circuits
970
Audio frequencies for highway
kHz: 10.0, 11.5,
crossing island circuits and
13.2, and 15.2
electrical lock circuits
2.1.5.6.1 Electromagnetic Compatibility

Emission Limits: The locomotives shall not exceed applicable portions of 47CFR15 (FCC part
15).
2.1.5.6.2 Operating Performance

The locomotives shall be overhauled to maintain optimum performance as initially delivered (as-
built).
2.2 CLEARANCE REQUIREMENTS

The overhauled locomotives shall comply with as-delivered clearance requirement shown in
Appendix C.
2.3 WEIGHT REQUIREMENTS

The maximum weight of each locomotive is 282,000 pounds, fully loaded with fuel and supplies.
The Contractor shall weigh the locomotive prior to overhaul for record purposes, and then again
after overhaul. The Contractor shall not exceed the weight prior to overhaul by more than ½%.

Table 2-4
CDRL 02-001 Design Requirements Confirmation TBD by
Contractor

3 LOCOMOTIVE BODY AND STRUCTURE REQUIREMENTS
3.1 GENERAL SCOPE OF WORK

The following sections collectively, along with other applicable sections of this Specification,
define the scope of work to be performed by the Contractor on the locomotive body.
There shall be no provision of Conditional Work or Extra Work during the overhaul of the
locomotives. All necessary Work required by these Technical Specifications and other Contract
Documents shall be performed by the Contractor as Base Work as part of the Contractor’s Total
Base Contract Price. No other costs or monies shall be paid to the Contractor to complete any
Work related to the carbody repair, truck repair or any other requirement of the Technical
Specifications and other Contract Documents based on hidden conditions or similar situations,
except as specifically authorized by the AUTHORITY in accordance with the Contract
Documents.
The body and structural work to be performed shall be confirmed by the Contractor and presented
to the AUTHORITY for review and approval in a Locomotive Body and Structural Overhaul Plan
[CDRL 3-001].
3.2 GENERAL INSPECTION

The Contractor shall inspect the locomotive body for structural integrity, fatigue cracks, corrosion,
water leaks and general appearance. The sides, roof and ends of the locomotive body exterior
shall be inspected for cracks, dents, holes and damaged or defective welds. The Contractor shall
identify any material that is missing, bent, cracked, modified, or distorted in any way. The
Contractor shall prepare and provide the AUTHORITY with a report for each locomotive
identifying these defects.
3.3 WELDING INSPECTION

The Contractor’s AWS certified welding inspector shall visually inspect all structural welds that
are accessible for inspection. Dye penetrant or other non-destructive testing methods shall be used
to verify cracks or weld defects which visual inspection cannot conclusively confirm. Dye
penetrant testing shall be performed in accordance with the most current edition of ASTM
Standard Test Method for Liquid Penetrant Examination, ASTM E-165. The AWS certified
welding inspector shall prepare a report for each locomotive describing the findings. The report
shall include the inspector’s recommended disposition for any structural weld defects [CDRL 3-
002].
3.4 SAFETY APPLIANCE INSPECTION

The Contractor shall inspect all locomotives for full compliance with 49 CFR 238.229 in effect at
the time of NTP. It is the AUTHORITY’s desire to eliminate the need for welded safety appliance
inspections described in 49 CFR 238.229 (c)(2) and 238.229 (g) thru (k), if applicable to the current
units. The Contractor shall perform the necessary modifications to eliminate the need for these
inspections. The Contractor shall submit a report on the findings and any necessary modifications
per this section [CDRL 3-003]. This work shall take precedence over, but shall not eliminate other
safety appliance scope requirements, described in this Specification.
3.5 MAIN FRAME/UNDERFRAME STRUCTURE

A. The following shall be inspected for cracks and/or wear and repaired as indicated:
1. Center of bolster bearing shall be inspected and qualified. All materials shall be
returned to OEM dimensional specifications.
2. Air ducts shall be inspected and repaired if found defective.
a. All traction motor air ducting shall be cleaned and inspected for oil migration
from sump or any other source of contaminants. If ducting is found cracked, the
Contractor shall repair all affected ducting.
3. Fuel tanks shall be inspected, steam-cleaned, and qualified. Any fuel tank repairs shall
be approved by the AUTHORITY.
4. All air piping and associated clamps where piping passes through the frame and
carbody floor shall be inspected and certified to OEM standards. The Contractor shall
replace all element found to be defective.
5. Draft gear pockets shall be inspected and qualified.
6. The Contractor shall ensure that all new welds conform to ANSI/AWS D15.1-86
specifications.
7. Underframe shall be cleaned and inspected for alignment including the center of
bolsters. All defects shall be corrected.
B. All damaged or worn frame areas shall be repaired.
1. Use structural materials for replacement and repairs which are equivalent to, or better
than, those used for the original construction.
2. Repair or replace any structural or supporting member whose cross-sectional area has
been reduced by 10% or more.
C. The underframe and structural components of each finished locomotive for collision
strength purposes shall be no less than equivalent to the initially delivered condition or an
improvement for the overhauled locomotive.
D. Drain holes, weather-stripping, sealants, and other measures shall be used to prevent
premature carbody deterioration.
E. Front and rear end plates and supports shall be replaced only if damaged.
3.5.1 Locomotive End Arrangements

A. Clean, inspect and qualify plow for damage and recondition as required.
B. Sidesteps – Clean, inspect and qualify sidesteps and ladders for damage, broken welds and
recondition as required.
C. Clean and inspect pilot plates of locomotive for damage, and recondition to return to
original construction.
D. Clean and inspect buffer plates of locomotive and repair or replace as required.
E. Uncoupling lever assemblies shall be qualified and repaired/renewed as needed.
3.6 LOCOMOTIVE BODY EXTERIOR

A. All glazing material shall be removed, cleaned, inspected and reinstalled, as required, and
all weather proofing gasket material shall be renewed.
1. Glazing that is broken, cracked, crazed, clouded or damaged in any way, shall be
replaced or renewed.
2. All side window and door windows shall meet all applicable requirements of 49 CFR
223 Type II. If any non-compliant windows are discovered, they shall be replaced.
3. All front windshields shall meet all applicable requirements of 49 CFR 223 Type I. If
any non-compliant windshields are discovered, they shall be replaced.
4. Fixed and sliding sash windows including sash, track and rubbers shall be cleaned,
inspected, tested and repaired, renewed or replaced, as required. Rubber seals shall be
renewed. Drainage design shall be reviewed to ensure positive drainage is achieved.
Design of the drainage systems shall be detailed in Locomotive Body and Structural
Overhaul Plan.
B. All roof hatches and carbody panels shall be removed, washed, inspected for cracks and
metal fatigue and qualified. All gaskets and seals shall be renewed. Hatches shall be
installed with new mounting hardware.
C. Cab entry doors shall be cleaned, inspected and repaired.
1. New properly vented seals shall be applied to each door.
2. All door hinges shall be renewed.
3. Cab entry door locks shall be rebuilt with new dead bolts and strikers.
D. All cabinet doors and other access doors and panels including hardware shall be cleaned,
inspected, and repaired or renewed as required. All hardware shall be renewed.
E. All exterior damage, holes and carbody rust shall be repaired, particularly the rear corners
at the side sill area and the rain gutters on the cab end. Rust repairs shall include removing
all rust before repairs begin. Dents and scrapes in excess of ¼” deep and within a 3 foot
radius shall be repaired with the AUTHORITY’s approval.
F. Cab drip rails shall be cleaned inspected and repaired.
G. Any drain holes that have a raised lip shall be ground down flat so as not to prevent water
from draining out. Ensure that all drain pipes are adequately welded to deck plate (i.e. no
voids or cracks).
H. Battery box enclosures shall be inspected. All corrosion shall be removed and repaired.
Boxes shall be renewed if after inspection corrosion is discovered in any area which exceeds
30% of area of entire box, or any structural damage or cracks are discovered. Boxes shall be
repainted with an approved corrosion resistive paint, in accordance with the paint manufactures
instructions.
I. Sandboxes shall be renewed with new metal structure. The new sand box interior panels
shall be coated with an approved abrasive resistant epoxy. The sand boxes shall have
access ports provided of between 18” and 24” in diameter.
J. Rear outside sand trap doors, hinges and latches shall be qualified.
K. All safety appliances shall be inspected and repaired or replaced to ensure compliance with
Federal Regulations. See Section 3.4.
L. All doors, latches and hinges for the cab underfloor cabinets shall be inspected for rust,
damage and to ensure proper function and shall be qualified. All hinges and latches shall
be lubricated.
M. Both left and right side emergency fuel cut-off (EFCO) switches, seal-tite, and junction
box shall be tested and inspected for damage or defects. If defects are found, they shall be
renewed. Operational testing of switches shall be performed during both inbound and
outbound inspections.
N. The Contractor shall inspect all locomotive body mounts, structural supports and
attachment points for cracks, breaks, or structural damage. Dye penetrant or other non-
destructive testing methods shall be used to verify cracks that visual inspection cannot
conclusively confirm.
O. All exterior access panels and doors shall be removed, inspected and repaired. The carbody
openings, side jambs, sill and header pieces shall be thoroughly inspected for corrosion.
All rust shall be removed and carbody pieces restored to full dimension if necessary.
1. Renew any damaged interior side wall panel sheeting.
P. Existing side body engine room man doors shall be cleaned, inspected, and repaired to
correct wear and assure positive latching.
2. All damaged areas shall be repaired, primed and painted.
3. All hardware shall be renewed.
Q. Repair or replace any structural or supporting member whose cross-sectional area has been
reduced by 10% or more. Structural or supporting members with holes through any portion
of the cross-section shall be replaced.
R. Renew all exterior warning tags and decals in kind, unless otherwise approved by the
AUTHORITY.
S. All roof mounted antennae and associated hardware shall be removed and cleaned. All roof
penetrations shall be inspected for corrosion and water ingress. All penetrations shall be

cleaned and reconditioned. Antennae shall be re-applied with new gaskets and seals.
T. The complete carbody shall receive the application of an AUTHORITY approved acoustical
treatment to reduce noise emission.
3.6.1 Carbody Interior

A. The interior, sump area and pit aspirator of each locomotive shall be washed. Traction
motor air ducts shall be cleaned.
B. All conduit, seal-tite and wiring for engine room lights shall be inspected and replaced if
damaged. All light lenses and guards shall be removed and cleaned and re-applied. All
bulbs shall be replaced with new.
C. All wiring, seal-tite and cleats for main alternator within the fresh air compartment shall
be inspected for defects and qualified.
D. All fuel ball cocks and fuel lines between the manifold and the main engine shall be
replaced with new.
E. Cab short nose, carbody long hood end door, engine room doors shall be cleaned, inspected
and repaired.
1. New properly vented seals shall be applied to each door.
2. All door hinges shall be renewed with an approved hinge suitable for the gauge
application. All cab and engine room door hinges shall be seam welded.
3. Rubber stops on doors shall be renewed.
4. Locomotives No’s 121 and 381 are equipped with retention toilets. The toilets and all
associated piping shall be removed. Any holes in the floor shall be covered with welded
plates in a manner approved by the AUTHORITY.
F. Engine room hatch support top rails shall be thoroughly cleaned, inspected for corrosion
damage, and repaired if necessary.
G. Hatch support rail gaskets shall be replaced with new.
H. All head bump pads shall be replaced with new.
I. Inspect inertial filter intake hatch area and repair all corrosion.
J. Cab interior shall also comply with the requirements of Section 5.
3.6.2 Paint and Exterior Treatments

A. The Contractor shall use exterior colors and design schemes selected by the AUTHORITY.
Each locomotive shall be completely painted in accordance with the selected locomotive
exterior paint scheme, including logos, locomotive numbering and other exterior lettering.
The basis for the overhauled F40PH exterior paint scheme will be selected by the
AUTHORITY. [CDRL 3-004].
1. The interior and exterior of the locomotive shall be thoroughly cleaned and prepared for
repainting.
2. Painting materials shall be applied according to the recommendations of paint
manufacturer including cleaning and material preparation.
3. The Contractor shall ensure that all surfaces to be painted have been properly prepared so
as not to detract from the finished appearance.
4. Interior signs and equipment markings shall be rigid labels securely applied, or decals or
vinyl lettering. Materials (signs) and application methods are to be submitted to the
AUTHORITY for review and approval prior to application [CDRL 3-005].
5. Exterior Painting – The Contractor shall paint the exterior of the carbody, trucks, and all
exterior equipment using DuPont “IMRON” polyurethane paints or approved equivalent.
The painting scheme will include paints and manufacturers required for the entire locomotive.
Couplers and draft gear shall not be painted.
a. All painted exterior carbody surfaces shall have one coat of primer with finish coats
applied to a minimum thickness of six (6) mils. The finished exterior shall present
a high quality appearance free from sags, drips, scratches, variations in gloss, and
other imperfections. Orange peel shall be grade 6 or better when compared to the
ACT Laboratory – “Orange Peel Standard”.
b. Contractor shall select a complete paint system to ensure compatibility between the
primer, and finish coats. Contractor-specified touch-up paint procedures shall be
described in CDRL 3-003.
c. All striping shall be edge sealed per manufacturer’s instructions.
6. Underframe Painting – Underframe equipment and structure shall be cleaned of all scale,
flux, etc. and a coat of primer applied before application of finish paint. The Contractor
may use their standard gloss silver enamel paint for the underframe.
7. All air cut out handles shall be painted white (or original color).
8. All cut levers and grab handles and handrails (excluding stainless steel) shall be painted
white.
9. All rooftop areas, rear platform, and short hood nose shall have an AUTHORITY
approved black anti-skid material applied.
10. Interior Painting:
a. The interior of the cab shall be repainted an AUTHORITY approved beige.
b. The interior of the locomotive engine room and short hood shall be completely
repainted using and AUTHORITY approved suede grey.
11. Truck Painting – Before truck installation, the Contractor shall clean all accumulated
dust, dirt or other foreign matter off of the trucks. Contractor shall spray and air dry
one coat of metal primer on all exposed surfaces of the trucks and a final coat of DuPont
paint. Truck paint shall be of a type that will not conceal cracks that may develop in
service. Wheels, axles, exposed elastomers and brake shoes shall not be painted.
12. Lettering and Numbering – Lettering, numbering and logos shall be applied to the
exterior and interior as applicable, subject to review and acceptance by the
AUTHORITY.
B. Tags and Stenciling – All FRA required stenciling shall be provided, in conformance with
FRA requirements:
1. New identifying tags shall be applied at all external air and electrical receptacles, and
hoses.
2. All air cut out handles shall have a stainless steel identification tag attached adjacent
the valve with a stainless steel wire.
3. Interior of main compartment shall be completely repainted and re-lettered,
placarded and decaled
3.6.3 Identification Numbers

The locomotives will retain all of the same identification numbers that they have in place at the
time of shipment to the Contractor.
A. Side numbers
B. Rear end numbers
C. Cab interior locomotive numbers and letters
D. A five inch tall riveted, unpainted, metal “F” indicator shall be located on each side sill
near the front end and shall identify that end as the front. This indicator shall be renewed.
E. All letters and numbers shall be Helvetica medium face.
F. Retain existing AEI tags.

Table 3-1
CDRL 3-001 Locomotive Body and Structural Overhaul Plan TBD by Contractor
CDRL 3-002 Welding Inspector’s Report TBD by Contractor
CDRL 3-003 Safety Appliance Inspection and Modifications TBD by Contractor
CDRL 3-004 Paint Scheme TBD by Contractor
CDRL 3-005 Materials (signs) and Application Methods TBD by Contractor
End of Section

4 COUPLER, DRAFT GEAR AND TRAINLINE CONNECTION
OVERHAUL REQUIREMENTS

Each locomotive shall be capable of multi-unit operation in consist with all other AUTHORITY
locomotives and cab control trailer and coach cars.
The coupler, draft gear and trainline connection Work to be performed shall be confirmed by the
Contractor and presented to the AUTHORITY for review and approval in a Coupler, Draft Gear
and Trainline Connection Overhaul Plan [CDRL 04-001].
4.1.1 Coupler and Draft Gear

A. Inspect front and rear coupler carriers and coupler pockets, and replace only if necessary.
Refer to FRA 229.61 – Draft System.
B. Couplers shall be qualified and repositioned F-end to B-end and B-end to F-end.
C. Draft gears shall be qualified and repositioned F-end to B-end and B-end to F-end.
D. All cushion elements and draft gear shall be certified to OEM standards or replaced.
E. All wear plates shall be renewed.
F. All hardened bushings, pivot pins, and dual alignment control features shall be qualified.
G. Uncoupling lever assemblies and fixtures shall be qualified.
H. Coupler carrier and coupler shall be able to resist vertical forces of 200,000 lbs., at any
horizontal position of the coupler without exceeding the yield point of these devices or
their attachment.
4.1.2 Electric and Pneumatic Trainlines
4.1.2.1 480 Volt Trainline System

A. New 480 volt jumpers/receptacles on all four corners shall be installed on each locomotive.
All jumper cables extended length shall match the existing design. All 480 volt receptacles and
covers shall be painted an AUTHORITY approved red.
B. The 480 volt junction boxes shall be opened and inspected. All lugs and connections shall
be checked for tightness and continuity. Boxes shall be cleaned and repaired to like new
condition and lid gasketing shall be renewed.
C. 480 volt trainlines shall be checked for continuity and grounds from side to side and end
to end.

D. The trainline complete system shall be checked for continuity from side to side and end to
end. See Section 7 for additional requirements.
E. Jumper securement bungees/cables shall be replaced with new.
F. Simplified instructions for connecting, disconnecting, and storing of jumpers, including
safety precautions, shall be provided at the B-end left side end plate of each Locomotive.
4.1.2.2 27 Point Communication Trainline

A. The existing 27 point communication trainline shall be inspected, and each wire tested for
continuity and grounds from end to end and side to side. The trainline system shall be
qualified. See Section 7 for additional requirements.
B. Unless otherwise noted, all original functions within each locomotive shall be retained.
C. The mounting surfaces of receptacles shall be inspected for corrosion. The compartment
behind the mounting surface shall be cleaned, ensured to be free of burrs or sharp edges,
and painted an AUTHORITY approved color.
D. All 27 point communication receptacles be re-conditioned; all new wires shall be run from
the receptacles to their terminal board/junction box area and shall be labeled to match the
wiring of the original wires. These labels shall be of a service-proven design, and approved
by the AUTHORITY. This information shall be submitted as part of CDRL 04-0001. The
receptacles shall have new gaskets, plastic back-plates, and pins applied. All receptacles
and covers shall be painted an AUTHORITY approved blue; receptacle covers shall be
stenciled with “COMM” in white letters.
4.1.2.3 27 Point MU (Loco Control and Push-Pull) Trainlines

A. The existing 27 point MU trainlines shall be inspected, and each wire tested for continuity
and grounds from end to end and side to side. The trainline system shall be qualified. See
Section 7 for additional requirements.
B. The mounting surfaces of receptacles shall be inspected for corrosion. The compartment
behind the mounting surface shall be cleaned, ensured to be free of burrs or sharp edges,
and painted an AUTHORITY approved color.
C. All 27 point MU receptacles shall be re-conditioned; all new wires shall be run from the
receptacles to their terminal board/junction box area and shall be labeled to match the
wiring of the original wires. The labels shall be of a service-proven design, and approved
by the AUTHORITY. This information shall be submitted as part of CDRL 04-0001. The
receptacles shall have new gaskets, plastic back-plates, and pins applied. The push-pull
MU receptacles shall be painted an AUTHORITY approved yellow and the loco control
MU receptacles shall be painted and AUTHORITY approved black. The push-pull
receptacle covers shall be stenciled “PUSH PULL” with black letters. The loco control
receptacle covers shall be stenciled “LOCO” with white letters.

4.1.2.4 Air Hoses
A. Brake pipe, main reservoir, and MU hoses shall be renewed with AAR approved and dated
items. Hoses shall be less than one (1) year old from date of manufacture at time of
installation. These hoses when coupled to an AUTHORITY’s coach, cab car and/or
locomotive shall negotiate the applicable curves described in Section 2 (Track
Configuration) of this document without hoses parting or distorting.
B. New MU hoses shall be provided at both ends on both sides of the coupler. The MU lines
shall consist of:
a. Independent Brake application and release line.
b. Main Reservoir equalizing line.
c. Actuating line.
C. The Contractor shall provide standard dummy couplings for the front and rear MU hoses.
All dummy couplings shall be vented.

Table 4-1
CDRL 04-001 Coupler, Draft Gear and Trainline Connection Overhaul Plan TBD by
Contractor
End of Section

5 CAB AND LOCOMOTIVE CONTROLS

The cab and locomotive control Work to be performed shall be confirmed by the Contractor and
presented to the AUTHORITY for review and approval in a Cab and Locomotive Controls
Overhaul Plan [CDRL 5-001].
5.2 CAB
5.2.1 Cab Area – General

There are cab area components that shall be replaced, renewed and/or qualified as part of this
overhaul. These items include:
A. Inspect and qualify side mirrors. If broken, replace with new in-kind.
B. Inspect fuse and flare box and replace if damaged.
C. Replace both engineer and foreman’s windshield solar screens with new 49 CFR 238
compliant screens.
D. Remove the 3rd observer’s center seat from unit 381 and cap floor mounts.
E. Relocate speedometers from the observer’s side top dash to the mid-point dash section
on units 120 and 381 to eliminate the obstruction of view.
F. The existing refrigerators in units 121, 122 and 381 shall be removed with all mounting
holes blanked off.
5.2.2 Control Console

The Contractor shall completely remove and inspect all equipment as specified below:
A. Control Console shall be sanded and all scratches and nicks shall be repaired. The exterior
shall be painted an AUTHORITY approved matte black.
1. The Contractor shall cover the top (operating) surface of the console with an
AUTHORITY approved protective covering material, in order to better protect the
console from nicks, scratches, and wear that occurs from normal operation. The
intent is to provide an ergonomic, slip-resistant, yet durable working surface that a
train operator may make use of. The material shall also serve as a backing surface
for writing (assume one 20-lb laser printer sheet and standard medium ball-point
pen). The covering material may be cut into specific sections for ease of application
and conformity to the components on the console surface. The material shall be
fabricated/molded as necessary in order to conform around the front lip of the
console. The material shall not be reflective in any way (black color preferred).
The material and application shall conform to 49 CFR 238. The Contractor shall
submit a sample of the material, console surface mounting locations, a method for
fastening, as well as procedures for field replacement/repair for AUTHORITY
approval [CDRL 5-002].
B. All removable panels on the control console shall be removed, sanded and painted in an
AUTHORITY approved color. Sound insulation and all seals shall be replaced. Inspect all
mounting hardware, make any necessary repairs and re-qualify.
C. All terminal boards inside the console shall be inspected for signs of corrosion and replaced
as necessary.
D. Wiring shall be inspected for loose connections, physical wear, indications of overheat and
signs of chaffing; damaged wire shall be replaced.
E. All wiring within console stand shall be properly secured among existing looms and away
from any sharp edges.
F. All edges that wiring is in contact with shall have AUTHORITY approved protective,
plastic edge-guards applied.
G. All switch and indicator labels shall be renewed.
H. Inspect all switches and lights to ensure proper operation. Replace or renew all switches
and lights that do not operate properly.
5.2.3 Windshield Heaters and Wipers

A. Please refer to Section 3 for additional requirements regarding work required for the
windshields and frames.
B. Windshield wiper motors shall be renewed, piping shall be qualified.
C. The wiper blades shall be replaced with new and the windshield wipers shall be tested for
proper operation. Adjustments and/or part replacements shall be made until it is achieved.
D. Windshield heater circuits shall be tested to confirm rated current draw of each heater
element. Replace windshield/heater combination if current level is does not match rated
draw within +/- 5%.
5.2.4 Cab Radio

A. The current radio shall be re-used. The radio head and radio shall be removed as necessary
for cleaning and painting in adjacent areas.
B. All wiring and connectors shall be inspected. All damaged wire and connections shall be
replaced.
C. The Contractor is responsible for integration of the radio with the locomotive and any other
systems with which the radio interacts in normal revenue and non-revenue operation.
5.2.5 Seats
The engineer’s and fireman’s seats shall be replaced, in kind, with new. Seat materials shall meet
requirements of 49 CFR 238.
5.2.6 Cab Air Conditioner and Heaters

A. Roof-mount air conditioner units shall be replaced with new, and converted to 74VDC
operation for all units (units 121 and 122 currently operate on 480VAC). New units shall
match performance and power requirements of the existing unit, using a non-obsolete, and
currently readily available refrigerant. If the new units require modification to the roof
opening, approval from the AUTHORITY shall be obtained prior to the Work. Air conditioner
type and model shall be detailed in the Cab and Locomotive Controls Overhaul Plan.
B. Remove, clean, and test the side wall strip heaters and covers. Replace as necessary.
C. Remove, clean, and test the cab heaters. Replace as necessary.
D. Verify all heater wiring is free of corrosion or heat damage. Replace heater wiring as
necessary.
5.2.7 Cab Interior

A. The Cab ceiling and wall panels shall be removed and new insulation shall be applied.
B. Cab wall panels, ceiling panels, windows, side-sliding windows, and doors shall be
inspected, repaired or replaced and qualified. Please refer to Section 3 for additional
locomotive body and structure requirements. All new materials installed in the cab as part
of this overhaul shall be compliant with 49 CFR part 238. A list of these materials shall be
provided in the Cab and Locomotive Controls Overhaul Plan, along with their signed
certificates verifying compliance with the requirements of 49 CFR part 238. Simple copies
of marketing brochures will not be sufficient for proof of compliance to 49 CFR part 238.
C. Please refer to Section 2 for cab interior noise requirements.
D. The interior of the cab shall be re-painted in an AUTHORITY approved color, re-lettered,
placarded, and stenciled.
5.2.8 Cab Flooring and Under-Floor

A. Existing flooring shall be retained and repaired as necessary.
B. All floor trim shall be renewed with stainless steel trim and hardware.
C. Floor access panels shall be checked for proper fit and locking, and replaced if damaged.
All access panels latches and handles shall be replaced.
D. The under-floor area shall be cleaned and inspected for corrosion. All corrosion damage
shall be repaired.
E. Any drain holes that have a raised lip shall be ground down flat so as not to prevent water
from draining out. The Contractor shall ensure that all drain pipes are adequately welded
to deck plate (i.e. no voids or cracks).
F. All wiring under the floor shall be checked for signs of damage or stress. Any damaged or
stressed wiring shall be replaced.
G. All piping (including any small-diameter air hoses) and conduit under the floor shall be
checked for damage and proper securement. Any damaged piping shall be replaced, and
proper securement shall be added or repaired as necessary.
H. All magnet valves and pressure sensors shall be cleaned and tested (and replaced with new
if found defective – please refer to Section 7). All component name labels shall be
renewed.
I. The entire under-floor area shall be repainted with an AUTHORITY approved Suede Gray;
all components (magnet valves, pressure switches, etc.) shall be masked in order to prevent
paint from obscuring any label/nameplate information.
5.2.9 Cab Lighting and Switches

A. Inspect all cab light fixtures and replace with new only if damaged, defective, or lamp
luminescence is obscured.
B. Replace all instrumentation light bulbs.
C. Ensure all lighting and miscellaneous switches are fully and properly operational.
5.2.10 High Voltage Cabinet

The Contractor shall requalify and certify to OEM standards all High Voltage equipment.
5.2.11 Cab Safety Appliances

A. All grab irons shall be inspected for damage, repaired or replaced if necessary and
qualified.
B. All bumper pads shall be replaced, or applied if they are missing upon arrival at the
Contractor’s facility.
5.2.12 Doors, Windows and Glass

A. Please refer to Section 3 (Locomotive Body Exterior) for additional requirements regarding
Work required for doors, windows, and glazing.
5.2.13 Cab and Nose Roof

A. The cab and nose roofs shall be inspected for any damage. All corrosion damage shall be
repaired.
B. Any corrosion damage underneath or near the side cab drip edges shall be repaired.
C. The cab roof has several openings/penetrations: HVAC, radio antenna, and horn. All of
these openings shall be inspected for signs of corrosion and water ingress into the
locomotive interior. Appropriate repairs shall be made for each opening.
D. Each roof (regardless of repair need) shall be qualified by a leak test or other AUTHORITY
approved means. Any leak test shall be performed before the ceiling insulation and ceiling
panels are applied. Leak tests shall be witnessed by the AUTHORITY’s resident inspector.

E. The Contractor shall submit a proposed leak test plan as part of the Cab and Locomotive
Controls Overhaul Plan.
5.2.14 Nose and Toilet Area

A. Thoroughly clean the entire locomotive nose area.
B. Inspect the nose floor, walls, collision structure, and ceiling for corrosion damage. Repair
all damaged areas.
C. The entire nose area shall be repainted an AUTHORITY approved Suede Gray. All
components and fixtures inside the nose area shall be masked.
D. Remove and cap all existing toilet system components in units 121 and 381.

Table 5-1
CDRL 5-001 Cab and Locomotive Controls Overhaul Plan TBD by Contractor
CDRL 5-002 Control Console Surface Material Sample and TBD by Contractor
Application Plan
End of Section

6 MAIN AND AUXILIARY GENERATOR, PROPULSION AND
DYNAMIC BRAKING SYSTEMS

The main and auxiliary generator, propulsion and dynamic braking system Work to be performed
shall be confirmed by the Contractor and presented to the AUTHORITY for review and approval
in a Main and Auxiliary Generator, Propulsion and Dynamic Braking Systems Overhaul Plan
[CDRL 6-001].
6.2 MAIN GENERATOR

A. The AR10 Main Generator shall be removed and remanufactured, including installation of
a new bearing.
B. The slip ring assembly shall be replaced with a reconditioned or UTEX assembly.
C. Slip ring brushes shall be renewed.
D. The bridge rectifier and heat sinks shall be removed and cleaned in accordance to OEM
specifications.
E. All fuses and diodes shall be renewed in the rectifier banks. Fuses and diodes shall be
installed according to EMD Maintenance Instructions, or other approved procedure. This
shall be detailed within CDRL 6-001.
F. Main generator shall be qualified to OEM specifications.
G. During installation of the main generator and coupling to the engine, the Contractor shall
record and provide the alignment reading to the AUTHORITY in the locomotive history
book.
6.3 COMPANION ALTERNATOR

The Companion Alternator shall be inspected and qualified in accordance with EMD M.I. 3308.
Inspect all field coils and field coil jumpers.
6.4 AUXILIARY GENERATOR

A. The Auxiliary Generator Traction Motor Blower assemblies in units 120 and 381 shall be
removed and replaced with new or UTEX brushless motor assemblies.
B. Remove Auxiliary Generator Traction Motor Blower assembly and inspect terminal
connections. Repair terminal connections as necessary.
C. Disassemble the Auxiliary Generator from the blower assembly.
D. Inspect and recondition the blower assembly.
E. Install UTEX Auxiliary Generator to blower assembly.
F. Renew flexible coupling for Auxiliary Drive shaft and record alignment measurements
during installation of Auxiliary Generator Blower assembly. The Alignment records shall
be provided in history book.
G. Renew flexible ducting for blower to generator and blower to traction motor air duct.
6.5 DYNAMIC BRAKING

All grids and insulators shall be renewed. Repair or replace lugs as required based on inspection.
6.5.1 Dynamic Brake Blower Motor

Dynamic brake grid blower motor shall be reconditioned, and this shall be performed according to
EMD Maintenance Instructions, or other approved procedure. This shall be detailed within CDRL
6-001.
6.6 PROPULSION ELECTRICAL COMPONENTS AND CABINETS

All components within propulsion control cabinets shall be inspected. Refer to Section 7 for
additional requirements. If defects are found, the defective components shall be replaced with
OEM components.
6.7 TRACTION MOTORS AND GEARBOX

A. All D77/78 traction motors shall be overhauled following EMD M.I.’s 3953 and 3912 or
approved equal. New 20 tooth pinions shall be installed on the motor shafts.
B. Traction motor gear cases shall be inspected, cleaned and reconditioned with new seals and
brought into OEM specifications.
C. Traction motors shall be assembled into complete wheel combo units with new wheels per
OEM specifications.
D. Traction motor gear cases shall be secured following EMD plate A3910F-1 with Huck
Fastener.
E. Renew all traction motor bellows to carbody.
F. Serial number records shall be updated for each locomotive, accounting for all serialized
TM/Gearbox components installed on the locomotive.
6.8 PROPULSION SYSTEM HIGH AND LOW VOLTAGE CABLING AND

CONNECTIONS
All propulsion high and low voltage cabling and connections shall be inspected and qualified. Any
defective cabling and/or connection shall be replaced with OEM standard cabling and/or
connection for the application being addressed. The wire size (AWG) of the replacement cable
shall match the original AWG.
Table 6-1
CDRL 6-001 Main and Auxiliary Generator, Propulsion and Dynamic TBD by
Braking Systems Overhaul Plan Contractor
End of Section

7 MISCELLANEOUS ELECTRICAL SYSTEMS

The electrical Work to be performed shall be confirmed by the Contractor and presented to the
AUTHORITY for review and approval in an Electrical System Overhaul Plan [CDRL 7-001].
7.2 ELECTRICAL SYSTEM
7.2.1 Batteries
Replace all main starting batteries with new Rolls deep cycle 5000 Series, or approved equal, lead-
acid batteries.
7.2.2 Electrical System Details

A. Locomotive Wiring
1. All Communication and MU/Control trainline wiring, HEP cabling, high voltage
traction motor cabling and cleats shall be inspected for physical damage, repaired or
replaced as necessary and qualified by the Contractor, via a procedure approved by the
AUTHORITY.
2. All locomotive wiring, trainline wiring, high voltage cabling, and HEP cabling shall be
cleared of all grounds. Insulation resistance to ground shall not be less than 5 Megohms
(MΩ). Cleats shall be inspected for physical damage, and replaced in-kind if found
damaged. The Contractor shall provide its test procedure as part of CDRL 7-001.
Refer to Section 15.3 for additional testing requirements.
3. All light switches, sockets, and low voltage receptacles shall be qualified.
B. Rotating equipment removal and installation serial numbers shall be recorded and provided
to the AUTHORITY on the following items:
1. Auxiliary Generator
2. Main Alternator
3. Inertial Blower
4. Grid Blower Motor
5. Traction Motors
C. Inspect, test and qualify the master controller. The controller shall be greased and light
bulb shall be replaced. If the master controller is found to be defective, it shall be replaced
with a reconditioned unit.
D. All conduits shall be qualified and repaired/replaced as necessary.
E. All magnet valves shall be tested and replaced with new if found defective.
F. All pressure switches shall be tested and replaced with new if found defective.
G. Existing lights and fixtures shall be repaired or replaced as necessary and qualified.
7.2.3 Dynamic Brake Hatch

A. The dynamic brake hatch cover shall be removed, cleaned, repaired, painted in an
AUTHORITY approved color, and re-installed. Grids shall be renewed. Insulators that
support grids shall be renewed. Wiring shall be inspected and meggered and all necessary
repairs shall be made prior to re-installation. Grids shall be re-installed per electrical
schematic. The dynamic brake grid fan motor shall be replaced with a rebuilt unit per OEM
specifications.
B. New foam and rubber seals shall be installed on the hatch. The foam and seal material
shall be equivalent or superior to the original materials, especially relative to thermal
properties.
C. The hatch shall be inspected for signs of corrosion or other damage. Damage shall be
repaired. The hatch area shall be completely repainted in an AUTHORITY approved color.
D. All mounting holes shall be inspected. Holes found to be oblong or cracking around the
hole shall be repaired.
E. The hatch shall be re-installed utilizing all new roof mounting hardware.
F. All hoses shall be replaced with new.
7.2.4 AC Electrical Cabinet

A. Clean and inspect all wiring, buss bars, fuses, terminal boards, insulators, and relays within
the AC cabinet. Wiring shall be inspected for loose connections, physical wear, indications
of overheat and signs of chaffing; all damaged wire, bus bars, fuses, boards, insulator and
relays shall be replaced.
B. All cooling fan contactors shall be qualified and replaced in-kind if found damaged.
C. Qualify all latches and hinges on all electrical doors. Any hinges and latches found
damaged shall be replaced in-kind.
D. Replace broken or damaged circuit breakers.
E. Renew cabinet rubber seals.
F. Renew all cabinet door insulation and sound deadener material.
7.2.5 Central Air Compartment

A. The Central air compartment hatch cover shall be removed, cleaned, repaired, painted in
an AUTHORITY approved color and reinstalled.

B. All wiring, seal-tite, and conduit shall be qualified and repaired/replaced as necessary.
C. All removable interior and exterior panels shall be removed, cleaned, repaired as necessary,
painted in an AUTHORITY approved color and reinstalled. Any panels damaged beyond
repair shall be replaced in-kind.
D. Hatches shall be inspected for cracked or broken welds and corrosion damage. Any
damage must be repaired and repainted in an AUTHORITY approved color.
E. New seals shall be installed on all hatches, covers and panels.
F. Foam seals on equipment blowers shall be renewed.
G. Inertial blower shall be reconditioned.
H. Auxiliary Generator Blower Assembly shall be reconditioned.
I. Traction Motor Blower Assembly shall be reconditioned
J. All mounting holes shall be inspected. Holes found to be oblong or cracking around the
K. All rubber and foam seals shall be renewed.
L. Refer to Section 10.1.2.2 for the Engine Air Intake Hatch requirements.
M. Inertial filters shall be removed, cleaned, qualified, and reinstalled. Damaged filter
assemblies shall be replaced in-kind.
N. The High Voltage Cabinet air filter assembly shall be qualified and filters shall be renewed.
O. All air and drain hoses shall be renewed. When installed, they shall be protected from
chafing and vibration. If necessary, new fastening hardware/brackets shall be provided.
P. All flexible ducting in the compartment shall be renewed. When installed, they shall be
protected from chafing and vibration. If necessary, new fastening hardware/brackets shall
be provided.
7.2.6 Interior and Exterior Lighting

All interior and exterior lighting fixtures shall be reconditioned to conform to OEM specifications:
A. All headlight, ditch light and marker light bulbs shall be renewed. All associated lamp
gaskets shall be renewed. All fixtures shall be reconditioned. All wiring and fastening
terminals shall be inspected to ensure a good connection, and repaired or replaced as
necessary.
B. All step/ground lights light lenses and guards shall be removed, cleaned and reinstalled.
All bulbs shall be replaced with new.
C. New light bulbs/lamps shall be used in all interior and exterior fixtures.
D. All interior lighting fixture lenses shall be cleaned and replaced with new if light bulb
luminescence is diminished due to glass damage. All missing fixture protective cages shall
be replaced.
E. Locomotive number board lenses shall be replaced with new. Number board cover rubber
seals shall be renewed. Number board interior will be cleaned and checked for corrosion.
Any corrosion damage shall be repaired and re-painted. Number board cover securement
hardware shall be replaced.
7.2.7 LED Lighting

To help reduce maintenance and increase employee safety, the application of LED lamps and
fixtures shall be used in specific locomotive areas. The plan for application of these fixtures and
lamps shall be detailed in the LED Fixture Application plan [CDRL 7-002] and shall be subject
to AUTHORITY approval.
A. The number board lighting shall be converted to LED. The LED lit number board lamps
shall match (or exceed, but shall not obscure the visibility of the numbers) the existing
incandescent lit lamps. The purpose of this conversion is to reduce maintenance:
1. The LED lamps selected shall be capable of functioning from the locomotive 74VDC
source, with no external power conversion devices. LED driver and power conversion
must be internal to the fixture/array/lamp chosen.
2. Lamps/arrays chosen shall have service proven use (as a complete assembly) in the
locomotive environment for number board applications.
B. Marker light incandescent bulbs shall be replaced with LED. Only FRA approved DC
voltage marker light bulbs shall be allowed.
7.2.8 KIM Hot Start System

The existing KIM Hot Start Systems and all associated piping, conduit, wiring and hardware shall
be removed. The latest generation of KIM Hot Start System shall be installed in a space common
to each locomotive. The KIM Hot Start System application plan shall be submitted by the
Contractor and presented to the AUTHORITY for review and approval [CDRL 7-003].

Table 7-1
CDRL 7-001 Electrical System Overhaul Plan TBD by Contractor
CDRL 7-002 LED Fixture Application Plan TBD by Contractor
CDRL 7-003 KIM Hot Start Application Plan TBD by Contractor
End of Section

8 TRUCK AND SUSPENSION

The trucks shall be reconditioned per OEM specifications using only EMD approved truck kit and
parts. The overhauled traction motors shall be provided as required in Section 6. New Timken
journal roller bearings, or approved equivalent, shall be used. All removal and installation serial
numbers for wheel sets, traction motors, trucks and position on the locomotive shall be recorded
and provided to the AUTHORITY.
The truck and suspension Work to be performed shall be confirmed by the Contractor and
presented to the AUTHORITY for review and approval in a Truck and Suspension Overhaul Plan
[CDRL 8-001].
8.1.1 Wheels, Axles and Journal Bearings
8.1.1.1 Wheels
Wheels shall be replaced with new AAR Type E-42, Class B wheels, in accordance with AAR
Standards. Wheels shall have an AAR 1B wide flange contour, with tread taper of 1:20. All
existing wheels with greater than 1-3/4 inch rim thickness shall be returned to the AUTHORITY.
8.1.1.2 Axles
A. All axles shall be inspected and qualified in accordance with the AAR Wheel & Axle
Manual, Section G, Part II of the AAR Manual of Standards and Recommended Practices.
B. Axles which cannot be qualified for reuse shall be replaced with new axles, which shall be
in accordance with AAR Specification M101, Class F (latest issue).
C. Bull gears shall be qualified and mounted per EMD specifications. If necessary, renew.
8.1.1.3 Journal Bearings

Journal roller bearings shall be mounted in accordance with the Roller Bearing Manual, Section
H, Part II of the AAR Manual, or alternative EMD instructions.
8.1.2 Suspension Elements

A. Renew all primary and secondary (coil and elliptical) truck springs with new OEM springs.
Renew coil spring seats.
B. Install new lateral, yaw and vertical shocks.
8.1.3 Truck Frame

A. All components shall be removed from the truck frames. Frames shall be completely
cleaned, stripped and repainted in an AUTHORITY approved color prior to the build-up
process.
B. Trucks shall be reconditioned in accordance with guidelines noted in EMD M.I.s 1504,
1511, 1512, 9672, and 9674 latest issues.
C. A full dimensional check shall be performed on each truck and bolster to an approved
procedure.
D. Magnetic particle inspection of trucks after thorough cleaning shall be performed. This
inspection shall pay particular attention to the welds and spring pockets.
E. Replace all nose supports, pins and rubber bushings and grommets in the trucks, and all
other elastomers subject to wear.
F. All tie rods, rubber bushings and pins shall be removed from the truck frame. New tie rods
and rubber bushings shall be installed.
G. Any damage to the truck discovered during examination which requires welding, shall be
done according to OEM specifications.
H. Renew speedometer axle drive and sensor cable.
I. Traction motor combo units shall be installed into each reconditioned truck.
J. Reassembly of trucks shall be accomplished will all new hardware, nuts, bolts and pins.
Only EMD approved hardware shall be used.
K. Replace center bearing dust guard.
8.1.3.1 Journal Boxes

Journal boxes shall be inspected for wear and cracking, and repaired or replaced and qualified.
8.1.4 Liners and Wear Surfaces

All pedestal liners and wear surfaces shall be replaced or renewed with OEM specified new
components.
8.1.4.1 Tread Brakes and Rigging

Tread brake heads shall be removed and reconditioned to OEM specifications:
A. Slack adjusters shall be reconditioned to a “like new” condition.
B. All brake shoes shall be renewed with Cobra composition shoes. Shoe part number, and
composition shall be submitted to the AUTHORITY as part of CDRL 8-001.
8.1.5 Truck Mounted Air Piping

A. Inspect and qualify all truck mounted air piping and pipe brackets.
B. Replace all air hoses running from all brake cylinder piping.

C. Brake cylinders shall be reconditioned.
Table 8-1
CDRL 8-001 Truck and Suspension Overhaul Plan TBD by Contractor
End of Section

9 AIR SUPPLY AND FRICTION BRAKE SYSTEM

The Contractor shall perform the four year FRA periodic inspection on all brake components of
each locomotive restoring each to a new condition in accordance with 49 CFR part 229. These
locomotives are equipped with a 26L system. The Work to be performed shall be confirmed by
the Contractor and presented to the AUTHORITY for review and approval in an Air Supply and
Friction Brake System Overhaul Plan [CDRL 9-001].
A. A signed FRA cab card shall be provided by the Contractor in the cab of each locomotive at
delivery of the overhauled locomotive.
B. Perform a complete pneumatic test to ensure proper operation of the system.
9.1.1 Valves
A. The current 26L air brake system shall have all valves removed and replaced with
reconditioned air valves.
B. All vented and non-vented ball cocks on the trainline shall be inspected and tested to ensure
a properly functioning seal against air leakage. If found to be defective, they shall be
renewed.
C. All external brake pipe gauges shall be inspected and tested. If found to be defective, they
shall be renewed.
D. Main reservoir automatic drain valves shall be replaced.
E. Emergency brake valves shall be painted an AUTHORITY approved red.
9.1.2 Brakes
A. All brake shoes shall be renewed.
B. The complete handbrake assembly shall be renewed.
9.1.3 Air Compressor and Filter/Dryer

A. Air Compressor shall be overhauled in accordance with OEM specifications.
B. Install a new air compressor control switch. Compressor control switch shall be set to 130
PSI to charge the system and stop charging at 140 PSI.
C. The air dryer shall be reconditioned according to OEM specifications.
D. All air system filters shall be replaced or cleaned.
9.1.4 Pressure Control Switches

A. Install a new PC switch.
B. Install a new emergency sand switch. The Contractor shall make the necessary revisions,
if needed, to provide a sixty (60) second timed application of sand during an emergency
brake application.
9.1.5 Air Tanks and Piping
9.1.5.1 Main Reservoir

Main reservoirs shall be blown out with compressed air to remove any moisture and debris. Main
reservoirs, mounting brackets, mounting hardware, and piping, shall be inspected for damage and
defects. Any main reservoirs or mounting hardware which are found to be damaged, defective,
cracked, or corroded, shall be replaced with new. Main reservoir tests shall be performed as
required in 49 CFR 229.31.
9.1.6 Warning Devices
9.1.6.1 Horn
The horns shall be replaced with a reconditioned unit. The horn shall be tested with a calibrated
sound level meter to ensure that it meets the requirements of 49 CFR part 229.129.
9.1.6.2 Bell
The bell shall be requalified and certified to OEM standards.
9.1.7 Sanding
Timed sanding for sixty (60) seconds during emergency brake applications shall be provided. The
Contractor shall present to the AUTHORITY the details of any other functions that result in sand
application. [CDRL 9-002]
9.1.7.1 Sand Traps and Hoses

Inspect and check operation of front and rear lead axle sand traps, including shut off valves. Install
new rubber sand hoses, clamps and nozzles to trucks. If any traps or valves are found to be
defective, they shall be renewed.
9.1.7.2 Sand Box

Replace all sand boxes with new metal structure. The new sand box interior shall be coated with
an abrasive resistant epoxy to prevent rust.
9.1.7.3 Sand Fill Covers

Inspect all fill box doors, hinges and latches. All filler pipes shall have spring loaded sealed covers
added by the Contractor, as necessary, to prevent moisture entry. All gaskets shall be replaced
with new.

Table 9-1
CDRL 9-001 Air Supply and Friction Brake System Overhaul Plan TBD by Contractor
CDRL 9-002 Sand Application- Application and Duration Strategies TBD by Contractor
End of Section

10 MAIN ENGINE, MAIN ENGINE COOLING AND FUEL SYSTEM

The main engine, main engine cooling system and fuel system Work to be performed shall be
confirmed by the Contractor and presented to the AUTHORITY for review and approval in a Main
Engine, Main Engine Cooling and Fuel System Overhaul Plan [CDRL 10-001].
10.1.1 Engine
Engine shall be an EMD UTEX 16-645E3B “Tier 0+” certified per 40 CFR 1033. Engine removal
and installation serial numbers shall be provided to the AUTHORITY. Certification of compliance
to EPA requirements shall be provided as part of CDRL 10-001.
All engine parts shall be new or UTEX from EMD unless otherwise stated. An EMD Tier 0+ kit
(part number 40169278) shall be used for the engine emissions upgrade. All parts provided must
comply with the “Emissions Critical Parts” requirements as identified in the emissions certification
documents. At a minimum, the following items shall be renewed:
A. Lube oil pumps.
B. Strainer housing.
C. Starter motors.
D. Governor.
E. Main bearings and rods.
F. Camshaft and bearing.
G. Aftercooler cores.
H. Turbocharger and screen adaptor.
I. Turbocharger lube pump.
J. Fuel Injectors.
K. Fuel Pump.
L. Power assemblies.
M. Valve bridges.
N. Expansion joints.
O. Crankcase pressure detector.
P. All spin-on filters.
Q. Water pumps.
R. All gaskets.
S. All hoses.
T. All filters and strainers.
At a minimum, the following items shall be qualified to OEM dimensions and specifications and
replaced if necessary:
A. Crankshaft.
B. Flywheel gear ring.
10.1.1.1 Engine Lube Oil

A. All lubricating oil filters shall be replaced with new.
B. All lubricating oil filter housings shall be thoroughly cleaned.
C. All pressure relief valves and hot oil detector thermostatic valve shall be replaced in kind.
D. Lube oil separator shall be cleaned and inspected.
10.1.2 Cooling System

A. The cooling system shall be inspected and all radiators shall be renewed.
B. Cooling fans and fan motors shall be replaced with OEM/UTEX or new.
C. All cooling system couplings, seals and gaskets shall be renewed.
D. Renew expansion tank cap and inspect all piping for damage. All damaged piping shall be
replaced.
E. Replace existing lube oil cooler with a reconditioned lube oil cooler.
F. Renew fuel preheater.
G. Inspect AMOT valve and replace if defective.
H. Remove the Quantum Fan sequencer from units 121, 122 and 381 and replace with OEM
Machine Control Systems Sequential Fan Controllers or equivalent as approved by the
AUTHORITY
10.1.2.1 Radiator Hatch

A. The radiator hatch shall be inspected. All signs of corrosion and broken welds shall be
repaired.
B. All radiator shutter cylinders shall be reconditioned and re-greased. Magnet valves shall
be qualified and replaced if found defective.
C. All radiator hatch screens shall be cleaned.
10.1.2.2 Engine Air Intake Hatch
A. All air intake filters shall be replaced with new.
B. Hatch shall be removed and interior and exterior shall be washed and if needed, painted
with an AUTHORITY approved color.
C. Hatches shall be inspected for cracked or broken welds, and corrosion damage. All damage
shall be repaired and repainted with an AUTHORITY approved color.
D. All mounting holes shall be inspected. Holes found to be oblong or cracking around the
E. All other hinges and filter door tie down devices shall be inspected for cracked or torn
rubber and repaired if defective.
F. All rubber and/or foam seals on the hatch shall be renewed.
G. New secondary baggie air intake filters shall be installed, and the hatch shall be re-installed
with new mounting hardware.
H. All drain hoses shall be replaced with new. These hoses shall be secured properly, using
new hardware and/or brackets if needed.
10.1.3 Fuel System

All fuel filters shall be renewed.
10.1.3.1 Fuel Tank

A. The fuel tank shall be drained of fuel during the inbound inspection and shall have the
clean outs removed and steam cleaned so as not to collect any debris. The fuel tank shall
be inspected for damage and leaks, and repaired as necessary to address all defects found.
B. All fuel sight glasses and gauges shall be renewed.
C. Remove fuel suction and return line assembly and inspect for cracks or other signs of
deterioration. All damaged elements shall be replaced.
D. All fuel line check-valves, for main engine shall be renewed.
10.1.3.2 Retention Tank

A. The retention tank shall be drained and flushed out.
B. The retention tank shall be inspected for damage and repaired or replaced and qualified.
10.1.3.3 Fuel Fill

A. Fuel fill equipment shall be inspected, repaired if damaged, and qualified.

Table 10-1
10-001 Main Engine, Main Engine Cooling and Fuel TBD by Contractor
System Overhaul Plan
End of Section

11 HEAD END POWER

The existing Head End Power (HEP) engine and alternator power plant unit is a shaft driven,
direct-mounted, engine-alternator combination located within a compartment at the rear of a
locomotive. The generated electrical power is fed through local power conditioning and control
components. The HEP shall be replaced, in kind, or renewed with an AUTHORITY approved
service proven equivalent.
The Contractor shall submit for review and approval all planned HEP work, engine/alternator data,
and any control system upgrades in a Head End Power & Controls System Plan [CDRL 11-001].
11.1.1 Control System

A. Clean and inspect the HEP Relay and Contactor Cabinets. Wiring shall be inspected for
loose connections, physical wear, indications of overheat and signs of chaffing; all
damaged wire shall be replaced.
B. Inspect all door cabinet hinges and cabinet seals, and replace as required.
C. All switch and indicator labels shall be renewed. All relay and component labels within
the cabinet shall be renewed.
D. All circuit breakers shall be inspected and replaced if damaged or broken.
E. All terminal boards shall be inspected for signs of corrosion or damage. Replace if
damaged.
F. All auxiliary relays and contactors shall be inspected and replaced if damaged.
G. System Function Descriptions and drawings for the new components shall be submitted
with the Head End Power & Controls System Plan [CDRL 11-001].

Table 11-1
CDRL 11-001 Head End Power & Controls System Plan TBD by
Contractor
End of Section

12 OPERATIONAL SAFETY SYSTEMS

The operational safety systems Work to be performed shall be confirmed by the Contractor and
presented to the AUTHORITY for review and approval in an Operational Safety Systems Overhaul
Plan [CDRL 12-001].
12.2 TTX-REC-M5 Integrated Event Recorder System

The Contractor shall remove the existing event recorder and alerter system and replace it with a
Wabtec TTX-RECM5 Integrated Recorder System.
The TTX-REC-M5 integrated event recorder system shall both discrete and pneumatic inputs from
the locomotive or cab car and transfer the recorded data to the LDRS-V where it shall be stored
within an FRA-approved crash hardened memory module. Data shall be downloaded directly from
the LDRS-V by using USB 3.0 Ethernet port. Downloads shall be analyzed using WRE Data
Analysis Software.
12.2.1 TTX-REC-M5 Event Recorder
The proposed location of the new TTX-REC-M5 Event Recorder shall be submitted to the
AUTHORITY for approval.
12.3 On-Board Digital Video Recording System

On-Board Digital Video Recording Systems shall be upgraded to a Wabtec LDRS-V system. The
system shall consist of a forward facing camera and under-carriage microphone, to be located near
the bell and horn. The new LDRS-V, cameras, microphone(s), enclosures, layout, protocols, and
interconnect shall be described in the Operational Safety Systems Overhaul Plan.
A. Location of the new LDRS-V System shall be submitted to the AUTHORITY for approval.
B. The mounting shall allow for easy removal of the data hard disk as well as the entire unit.
C. Any cabling between the cameras and the LDRS-V shall be shielded. Cabling shall comply
with the requirements of Section 13.
D. Any multi-conductor cabling between the microphones and the LDRS-V shall be shielded.
The shield shall not be used for carrying return current.
E. The existing forward-facing camera enclosure and mounting bracket shall be replaced.
Enclosures shall be vandal and tamper resistant.
F. Connectivity to the Event Recorder - the LDRS-V shall be equipped with an FRA crash
hardened memory module that shall be used to store all recorded video and locomotive
data. The Contractor shall provide all necessary connectivity to the vehicle’s event
recorder and a GPS receiver to maintain time synchronization.
G. All LDRS-V cabling and conduit layout shall be described in the Operation Safety
Systems Overhaul Plan.
H. A download shall be provided by the Contractor with both video and audio, that tests each
specific input, and shall fully test and verify the functionality of the DVR system
[CDRL 12-002]. This download shall be included in the locomotive history book.
I. The Contractor shall provide the AUTHORITY with a copy of WRE Data Analysis
Software. The Software package shall provide the AUTHORITY the ability to download
information from the LDRS-V on a routine basis. Software shall be loaded onto an
AUTHORITY approved, commercially available laptop computer, running an
AUTHORITY approved, commercially available operating system. Each downloaded file
shall contain appropriate information (for example; Road number, time and date, location
annotation, etc.) to permit the files to be analyzed, stored and used according to the
AUTHORITY’s needs. The Contractor shall provide documentation to support these
download procedures and capabilities.
12.4 Speed Sensing System

J. All speed sensors, probes and cabling shall be replaced with new OEM sensors, probes and
cabling.
K. Any protective hose or cover for truck-borne axle speed sensor shall be replaced.
L. Both cab speed indicator modules shall be tested for display brightness and functionality.
The test shall be performed with a calibrated axle simulator connected to the axle generator. The test
shall be performed at speeds of 0 mph through 85 mph in 5 mph increments. The overspeed
functionality of the speed sensing system shall also be tested through this means. Test results shall
be documented and provided for each locomotive prior to delivery [CDRL 12-003]. The test
results shall also be cross-verified against an event recorder download. The test results shall be
included in the locomotive history book.

Table 12-1
CDRL 12-001 Operational Safety Systems Overhaul Plan TBD by
Contractor
CDRL 12-002 Event Recorder LDRS-V Download Before delivery
of each
locomotive
CDRL 12-003 Speed Indicator Test and Event Recorder Download Before delivery
of each
locomotive

13 MATERIALS AND WORKMANSHIP
13.1 GENERAL
A. The requirements of this Section 13 are applicable to all parts of the locomotive.
B. Material, workmanship and processes shall be in accordance with the requirements of this
Section, unless otherwise approved.
C. Inclusion of a material or method in this Section does not indicate approval for application
or use in a specific situation. When a material or method is specified in this Section, this
Section shall be applicable; however, specific requirements detailed in appropriate
Specification take precedence over this Section.
D. Material Safety Data Sheets (MSDS) shall be submitted for all materials, including
lubricants used in the Work performed on these locomotives, except for non-hazardous
metallic materials. Information shall be in a form compliant with ANSI Z400.1-1993.
E. All materials and skillful workmanship shall be equal to or better than accepted industry
standards:
1. Substitution – Substitution of materials other than those designated, shall be submitted for
prior review and approval by the AUTHORITY.
2. Mating Surfaces – All mating surfaces shall be clear and free from dirt, grease, scale and
other contaminants prior to attachment or joining.
3. Operating Environment – All materials used in the overhaul of the locomotives shall be
chosen to economically and safely achieve their function for the design life of the
locomotives in the intended service environment.
4. Interior Cleaning – Fabrics and other non-metallic materials used for interior
appointments shall not be affected by industrial compounds used for cleaning such
materials.
5. Replacement Parts – All replacement parts shall be OEM standard, unless otherwise
approved by the AUTHORITY.
6. Replacement Hardware – Missing nuts, bolts, screws and similar hardware shall be
replaced by the Contractor. Additionally, all fasteners smaller than ½ inch diameter,
which are removed in the course of the overhaul work, shall be replaced with new.
F. The Electro-Motive Division of General Motors (EMD) Maintenance Instructions (M.I.s)
incorporated into the text throughout the Specification are not rebuilding specifications, but
are guidelines prepared by EMD for the maintenance of the equipment by the user.
G. The M.I.’s have been referenced to assist the Contractor in understanding the procedures for
disassembly, inspection, reassembly and testing of the subject equipment including a listing
of special tools, gauges and fixtures.
13.1.1 Standards
A. The following domestic standards and specifications define materials for this contract:
Federal or Military Specifications or Standards, the Specifications of the Aluminum
Association of America, AAR, ANSI, APTA, ASME, ASTM, FRA, IEEE, and additional
requirements, as specified herein.
B. Where other or foreign standards are proposed for AUTHORITY consideration by the
Contractor, the Contractor shall submit documentation for review and approval;
demonstrating the proposed standards are the equivalent of the foregoing standards and
specifications. Proposed substitute specifications shall be submitted in both English and
the language of the country of origin.
13.1.2 Marking
All materials intended for use on these locomotives shall be marked or stored so as to be readily
identifiable, and shall be adequately protected during handling and storage. Rejected material shall
be clearly marked and stored in a controlled area specifically designated for that purpose.
13.1.3 Prohibited Materials

The following materials are prohibited from use on the locomotives:
• PVC
• Asbestos
• Cadmium
• Lead (except for solder and battery)
• PCBs
• Carcinogenic materials as listed by current Publication of the American Conference of
Governmental Industrial Hygienists (ACGIH)
• CFC and HCFC compounds
• Materials listed in 29 CFR Sec. 1910.119, Appendix A
13.1.4 Cleaning
A. Cleaning During Locomotive Overhaul
1. During locomotive overhaul, adequate care shall be taken to prevent drill cuttings or other
material from entering in areas of tubing, piping or electrical wiring, or accumulating in
areas, which become inaccessible after subsequent assembly.
2. Where drilling or other work has to be performed after installation of air brake equipment,
piping or electrical equipment or wiring, adequate precautions shall be taken to prevent
metallic or other waste or debris from causing future problems.
3. A list of recommended cleaning agents shall be provided to the AUTHORITY for all
materials exposed to normal cleaning operations. This information shall also be
included in the maintenance documentation for the locomotive [CDRL 13-001].
B. Before delivery of a locomotive, a final clean up shall be made to assure all debris is removed.
Areas of particular concern include, but are not limited to:
1. All electrical junction boxes, lockers, panels, heaters, exposed terminal blocks where
retained metallic debris can cause future problems; and
2. Oil, water, fuel and air tanks and piping from which debris could be drawn into valves,
pumps, or other equipment.
13.1.5 Unit Exchange (UTEX)

A. Unless otherwise stated, UTEX is to be with EMD or the OEM. Alternate suppliers may
be proposed and are subject to approval by the AUTHORITY.
B. UTEX procedures shall be provided to the AUTHORITY for approval prior to UTEX of
equipment.
13.2 Standards of Workmanship

A. Workers:
1. Vehicle components shall be constructed by workers experienced in the appropriate
trades.
2. Comply with the Contractor’s worker training and supervision requirements.
B. Use of Drawings and Procedures:
1. Design and/or construction drawings and procedures shall be readily available where
overhaul work is occurring, and shall be used by workers to accomplish and verify their
tasks, unless otherwise approved.
2. Comply with requirements in Section 14, Quality Assurance Requirements, and the
Contractor’s internal Quality Control Plan, to ensure that workers are always using the
current revision.
3. Use tooling as defined by the design and/or construction drawings. Work not expressly
detailed on the Contractor's drawings, such as internal standards or documents, shall
conform to the minimum standards of workmanship in this Section, and are subject to
the same review and approval standards as the drawings.
13.3 LUBRICANTS
Lubricants shall be of high quality and comply with OEM recommendations found in EMD M.I
1756 and EMD M.I. 1752. As a minimum, the following lubricants shall be used on the locomotive
equipment:
A. Air Compressor – SAE 20 Texaco Regal 68 or approved equal
B. Engine – CHEVRON “DELO 6170 CFO SAE20W40”
C. Traction Motor Gearcases – Texaco No. 1963 TMGL premium or approved equal
D. Brake Cylinder – Brake Cylinder Grease conforming to AAR-M914-42
E. Truck Center Bearing – All-purpose lubricating oil
F. Battery Terminal – Petrolatum
G. Radiator Shutter Linkage – Light oil
H. Shutter Cylinder – Graphite or Silicon base grease
I. Blower Motors – Sealed grease bearing
13.4 ELASTOMERS
A. Elastomers shall be compounded and cured to perform as intended in the AUTHORITY’s
environment. Elastomers shall have high resistance to ultraviolet and other solar radiation,
weather, and to all AUTHORITY locomotive-washing and cleaning fluids. All elastomeric
parts shall be resistant to ozone, oxidation, heat, oil, grease and acid, and shall have the
longest possible life, consistent with the other characteristics specified.
B. The following elastomeric parts shall be of neoprene unless otherwise specified or
approved:
1. Glazing Rubber
2. Door Seals
3. Door Nosing
4. Isolation Tapes/Pads
5. Other parts exposed to the outdoor ambient environment, except where otherwise
specified
C. The following elastomeric parts shall be of natural rubber or approved equal:
1. All resilient mounts
2. Elastomeric truck components
D. Elastomers used within pneumatic or hydraulic equipment shall be replaced with new to
meet the performance requirements of this Specification for the pneumatic or hydraulic
device.
E. Window and Door Sealing – Rubber shall be compounded to preclude discoloration or
staining of neighboring areas, particularly from water drainage.
13.5 GLASS
A. Front windshield shall conform to FRA 49 CFR part 223, Type I requirements.
B. Side glazing shall conform to FRA 49 CFR part 223, Type II requirements.
13.6 WIRE AND CABLE
A. All conductors shall be new soft annealed copper tinned and stranded per AAR
Specification S502 (former No. 589), and jacketed with cross-linked polyethylene
(Flammanol SL) or radiation cross-linked polyolefin (Exane) or AUTHORITY approved
equivalent and shall have properties and characteristics as specified in AAR Specification
S501.
B. All wire and cable shall be in accordance with AAR RP-585 and the recommendations of
APTA RP-009-98.
C. For heater applications, 16AWG and larger, Abrasion resistant Teflon®
polytetrafluorethylene (PTFE) complying with SAE AS 22759/6 or Tetrafluorethylene
(TFE) complying with SAE AS 22759/10, as appropriate for the voltage level shall be used;
Silicone rubber complying with AAR RP‐587 and suitable for the application, may also be
used.
13.6.1 Wiring
A. Wires should be segregated according to APTA RP-E-002-98. Any deviation requires the
express permission of the AUTHORITY.
B. All wiring practice and terminals shall be in accordance with APTA-RP-E-002-98 and
IEEE-16-2004.
C. Grounding – All electrical circuits shall be completely insulated from locomotive structure,
unless specifically used for the purpose of ground detection.
D. Terminals – Terminals for wire and cable shall be of the crimp or soldered type. Terminals
shall be applied using methods and tools, recommended by the terminal manufacturer.
Terminations should be made according to APTA RP-E-002-98.
E. Service loops in wiring at terminal board connections shall be provided. Conductors shall
be protected by suitable means to minimize breakage of the conductor at or near the
terminal. All new wires will have adequate length to permit two re-terminations.
F. All wiring harness will be adequately secured and protected from chafing.
G. No more than four terminations per stud (or per tier of a stud if using an AAR termination
stacking configuration) shall be permitted.
H. All wire-ties used shall be tensioned and cut with an auto-tensioning device or “tie-wrap
gun” according to the manufacturer’s guidelines. Wire-ties cut with side-cutters shall not
be permitted.
I. New wires and cables must be at least as large as the wires they are replacing. If wire
routing results in wires being installed in a way that is more severe thermally, the wire or
cable size will be increased to offset that affect. For example, if cables that were cleated
individually in free air are rerouted so they are bundled together, the cables will be replaced
with larger size cables, if the size increase is needed to maintain the thermal stresses on the
new cables equal to the thermal stress that existed on the old cables.
J. When new wiring is installed for new functionality, such as the microprocessor control,
the Contractor shall provide at least 5% spare wires for any wire runs that go from one
enclosure to another. The Contractor will also provide a minimum of 5% spare termination
devices inside all cabinets that have had components newly installed or rearranged.
13.6.2 Conduits, Junction Boxes and Fittings

Conduits, junction boxes and fittings shall be assembled to the Contractor’s and OEM standards
and subject to the approval of the AUTHORITY. Replacement and newly installed conduit,
junction boxes and fittings on the locomotive shall meet, at a minimum, IP65 rating for
environmental construction.
A. Conduit, for any new conduits and cable runs, fill shall not exceed the maximum fill
permitted by NFPA 70, Chapter 9, Tables, Table 1, Percent of Cross Section of Conduit
and Tubing for Conductors and Cables.
B. All metallic conduit pipe shall be rigid-type. Any new conduit applications shall be cleaned
(to remove threading oil) and de-burred. Any threaded surfaces, not painted shall be
covered with a minum of two (2) coats of brushed-on cold galvanizing compound. Plastic
bushings shall be applied at all junction and pull-points.
C. All flexible conduit, either metallic or non-metallic shall be approved. UV resistance, IP
rating, support structure, gasketing, sealing, and tooling shall be submitted to the
AUTHORITY for approval prior to application.
13.7 WELDING AND BRAZING
13.7.1 General
A. The Contractor shall be responsible for the quality of its own welding and brazing and that
done by its Suppliers. All welders employed in the making of welds on structures or
products built under this Specification shall have been tested to determine their ability to
operate the welding equipment to be used to make the types of welds required, in a
Specification compliant manner.
B. Before welding of any sort is started, parts to be joined shall be properly cleaned of coatings
and films such as rust, oxide, mill scale, oil, grease, corrosion products and other foreign
materials.
C. Cleaning materials and processes shall be in accordance with applicable parts of Section 2,
MIL-HDBK-132, “Protective Finishes”. Finished welds shall present a clean appearance.
13.7.2 Structural
A. All structural welding practices not specifically covered in other sections of this
Specification shall be in accordance with requirements of the American Welding Society
(AWS) “Structural Welding Code, Steel”, AWS-D1.1, “Structural Welding Code,
Aluminum”, AWS-D1.2, “Structural Welding Code, Sheet Steel”, AWS-D1.3, “Structural
Welding Code, Stainless Steel”, AWS-D1.6, and the AWS Handbook. Resistance welding
shall be in accordance with MIL-W-6858. Requirements for dynamically loaded structures
shall have precedence over those for statically loaded structures.
B. Additional information on definitions, processes or other questions pertaining to welding
shall be referred to AWS Welding Handbooks, latest edition. Requirements in addition to
AWS Requirements are specified in following paragraph, Welder Qualifications.
13.7.3 Welder Qualification

Welders employed in the making of welds on structures or products built under this Specification
shall make only those welds for which they have been qualified in accordance with the
requirements of the AWS, ASME Section IX, or other approved qualifying procedures. Records of
welder qualification tests shall be made available for review upon the AUTHORITY’s request.
13.8 PIPING AND TUBING
13.8.1 General
A. All piping, valves, fittings, installation methods, and testing shall be in accordance with
the Code for Pressure Piping, ASME B 31.1. All joints shall be easily accessible.
B. Following installation, all piping systems shall be cleaned to remove dirt, metal chips, oily
contamination, and moisture. After cleaning, all piping systems shall be pressure tested in
accordance with the Code for Pressure Piping, ASME B 31.1. Following cleaning and
pressure testing, an approved means to temporarily prevent recontamination shall be
incorporated. All leaks shall be repaired and the system re-cleaned and retested until leak-
free.
C. Pipes must be supported throughout their length and at all connections to prevent vibration
or noise and to limit stresses in the pipe to less than 50% of the pipe’s fatigue endurance
limit. Pipes and their connections shall not interfere with the removal of other components.
Pipe routing and support shall be planned and accomplished in an efficient, organized
manner to keep the total length and number of fittings and bends to an absolute minimum.
All changes in direction shall be accomplished by bending the pipe to a radius of not less
than specified by AAR Specification No. 2518, Standard S-400, or to an approved radius.
Direction-change fittings are not permitted in the trainlined brake pipe or in the brake
cylinder pipe. Support and clearances provided between adjacent pipes and between pipes
and surrounding structure, equipment or other appurtenances shall be sufficient to prevent
chafing or contact due to any combination of locomotive loading and deflection,
locomotive dynamics, and thermally induced movement. The minimum clearance shall
be 1/ 8 inch (3 mm).
D. At all locations where pipe or tubing passes through holes in the floor, bulkheads, structure,
or any fixed member, it shall be rigidly clamped to protect against possible damage or noise
due to bearing, abrasion, or locomotive dynamics-induced rattling. Clamps shall not be
welded, brazed or otherwise permanently fastened to any pipe or tubing.
E. Pipe and tubing interfaces with clamps shall be insulated with an elastomeric or woven
non-asbestos mineral fabric tape material to protect and sound-insulate the pipe or tubing.
F. Wherever locomotive body piping interfaces with vibration-isolated rotating equipment
such as the air compressor and air conditioning compressor-condenser unit, approved
flexible vibration eliminators shall be used. The pipe connection at either end of the
flexible elements shall be rigidly clamped no farther than 2 inches (50.8 mm) from the
flexible elements.
G. All pipe clamps shall be inherently rigid and shall be firmly attached to locomotive
structure. Cantilevered clamps or clamp supports that are weaker than service-proven
designs will not be accepted. All clamps shall be of a suitable material for the application.
13.8.2 Air Piping, Tubing, and Fittings
A. The main reservoir pipe and brake pipe shall be Schedule 80 seamless steel tubing
conforming to ASTM A 53 or ASTM A 106.
B. Piping shall be installed no lower than 2 inches (50.8 mm) below the floor sheet or
structural member and shall be arranged for maximum damage protection from flying rail
debris, especially in the truck and outboard of the bolster areas. Where inherent locomotive
borne equipment protection is not possible in damage-prone areas, approved guards or
reinforced piping sections may be used, subject to approval. The sizing of the main
reservoir pipe and brake pipes shall meet the brake supplier’s requirements.
C. If copper tubing is used, it shall be a Type “K” annealed copper tube per ASTM B 88 latest
revision. All joints shall utilize fittings of wrought copper or non-porous cast brass in
accordance with ASME B 16.22 and B 16.18.
D. All air piping must comply in all respects with the OEM and air brake supplier’s original
design and installation requirements.
13.8.3 Air Conditioning System Piping, Tubing, and Fittings

A. Air conditioning refrigerant lines larger than 3/ 8 inch (9.5 mm) outside diameter shall be of
seamless copper tubing, “ACR” type, drawn to H58 temper as defined by ASTM B 280.
Air conditioning refrigerant lines smaller than 3/ 8 inch outside diameter may be annealed
to the O60 condition. Wrought copper sweat type fittings shall be used. Joints shall be
kept to a minimum; wherever possible formed or bent tubing, bent utilizing a bending tool
designed specifically for bending of the tubing used, shall be used in preference to fittings.
All inaccessible runs of tubing shall be without joints, and all joints shall be readily
accessible for inspection and repair.
B. Suction lines shall be designed and installed without traps. The suction line shall be sized
for 3 psi (20.7 kPa) maximum system pressure drop and the liquid line shall be sized
adequately to prevent flashing due to pressure drop.
C. Lines subject to condensation shall be insulated with an approved insulation, applied with
approved contact cement. The liquid line shall be insulated in all areas where required to
provide additional mechanical or thermal protection. Insulation at all joints and fittings
shall be mitered and sealed with an approved material. The insulation, adhesive, and
sealant shall meet the Specification requirements for thermal, smoke emission, toxicity,
and flammability performance.
D. All refrigerant piping and pipe subassemblies shall be deburred, cleaned, dried, and capped
with tight-fitting plastic caps, or approved equal on all openings after fabrication. Caps
shall remain in place until immediately prior to incorporation into the final assembly.
E. Vibration eliminators shall be used in piping at any location where there is relative motion
between sections. Tubing installations shall be designed to allow any single length of
tubing to be replaced without dismantling or removing surrounding equipment, piping,
wiring, or other appurtenances.
F. Condensate drain lines shall be seamless copper tubing, type “K”, in either the O60
annealed or H58 tempered condition, as defined by ASTM B 88, or seamless stainless steel
tubing.
13.8.4 Brazing and Soldering of Piping, Tubing, and Fittings

All brazing and soldering shall comply with the applicable parts of this Specification, and the
following requirements.
13.9 PRESSURE VESSELS

A. All pressure vessels shall conform to the latest revision of Section VIII of the ASME Boiler
and Pressure Vessel Code for Unfired Pressure Vessels and applicable sections of 49 CFR
229.
B. Test reports shall be furnished for each pressure vessel, and each pressure vessel shall be
stamped to document the test [CDRL 13-002].

Table 13-1
CDRL 13-001 List of recommended cleaning agents shall be provided to the TBD by
AUTHORITY for all materials exposed to normal cleaning Contractor
operations
CDRL 13-002 Test reports shall be furnished for each pressure vessel, and TBD by
each pressure vessel shall be stamped to document the test Contractor
End of Section

14 QUALITY ASSURANCE REQUIREMENTS
14.1 GENERAL
This Section defines the requirements for a Quality Assurance and Inspection Program to be
maintained by the Contractor. The Contractor’s Quality Assurance (QA) and Inspection Program
shall assure that all aspects of the Contract are in conformance with the design, materials and
workmanship requirements provided in this Specification. The Contractor shall submit a Quality
Assurance and Inspection Program for the AUTHORITY’s review and approval within 15 days
after notice to proceed [CDRL 14-001].
14.2 APPLICATION
A. The requirements of this Section shall apply to the extent necessary to demonstrate
conformance with Contract requirements.
B. The Contractor shall demonstrate a quality control program which provides for inspection,
testing, documentation of material dispositions, acceptance/rejection and status
identification of materials, components, processes, work in process and finished work to
assure conformance with Contractor’s standards and with the requirements of this
Specification.
14.3 REQUIREMENTS
14.3.1 General
A. The Contractor shall be responsible for the conduct of all the inspections required to
demonstrate full conformance of the Work required by the Technical Specification and the
Contract requirements.
B. The Contractor shall perform these inspections at its own facility subject to the approval of
the AUTHORITY.
C. The Contractor shall provide an inspection system capable of producing objective evidence
that finished Work meets the quality requirements of the Contract.
D. The system shall be considered acceptable when, at a minimum, it provides for the
detection and removal of non-conforming material, either prior to or at the latest stage of
fabrication, manufacture, or other processing where a characteristic can be tested, observed
or measured.
E. Inspection necessary to demonstrate conformance to Contract requirements, wherever
performed, shall hereinafter to be referred to as “last point” inspection.
14.3.2 Contractor Inspection Representative

The Contractor’s designated Quality Assurance representative shall have authority, on behalf of
the Contractor, to resolve inspection matters to the satisfaction of the AUTHORITY.
14.3.3 Quality Control and Inspection Log
The Contractor’s Quality Control and Inspection Log, with such exceptions as may be noted
below, shall be the controlling document for the overhaul of each locomotive. A copy shall be
supplied to the AUTHORITY for review and approval before such log is put into use [CDRL 14-
002]. This log will travel with each locomotive throughout the overhaul and testing processes and
shall be made available to the AUTHORITY upon request.
14.3.4 Documents for Inspection

The Contractor shall ensure that the latest approved versions of the applicable drawings,
specifications and instructions, and changes thereto, are used for inspection purposes. These
documents shall be made available to the AUTHORITY for its view at the Contractor’s location.
14.3.5 Test and Inspection Equipment

The Contractor shall be responsible for the provision and maintenance of inspection equipment
suitable to demonstrate conformance of the work to technical requirements. This inspection
equipment shall be maintained under a recognized gauge control system. Calibration shall be
traceable to applicable standards.
14.3.6 Purchasing
The Contractor shall be responsible to ensure that all purchased material and services conform to
Contract requirements.
14.3.7 Incoming Material Inspection

The Contractor shall provide for inspection, testing and identification of incoming material. The
Contractor shall include appropriate information from relevant suppliers when submitting
documentation for resolution and closure of Discrepant Material events.
14.3.8 Fabrication, Manufacturing and Assembly Inspection

A. The Contractor shall, at a minimum, perform all required last point inspections. The
Contractor may institute any additional inspection of material in process considered
necessary to determine the quality of work.
B. The Contractor shall ensure that the Work has been subjected to all last point inspections
indicated on the inspection plan and that the relevant inspection records are complete. The
Contractor shall subject all finished Work to final inspection to ensure that Contract
requirements are met. Only finished Work which fully conforms to requirements shall be
submitted for acceptance or be delivered.
C. The Contractor shall keep objective evidence of the inspection and use checklists to be sure
that no major functional characteristic has been overlooked.

14.3.9 Workmanship
The Contractor shall ensure that workmanship is maintained at a level of quality consistent with
the technical and functional requirements of the Work. Workmanship shall be defined to the
greatest practical extent by written standards or production samples inspected and accepted by the
Contractor as examples of satisfactory workmanship.
14.3.9.1 Welding
The Contractor’s facilities and welders shall be certified in accordance with AWS and/or
Contractor’s equivalent standards (if such equivalent standards are approved by the
AUTHORITY) and shall be verified as meeting these standards by random inspections of test
pieces and of process variables. The Contractor shall repair welding anomalies using industry-
approved practices. The Contractor shall make Welder Certifications available to the
AUTHORITY upon request.
All carbody structural repair or modification welds shall require an AWS approved weld procedure
(WPS). The AUTHORITY shall be notified of any structural repairs or modifications prior to the
Contractor commencing such work. The Contractor shall not perform the repair or modification
weld procedure without the AUTHORITY’s approval.
14.3.10Test and Inspection Records

The Contractor shall maintain records of all tests and inspections performed to substantiate
conformance to Contract requirements. Records shall include positive identification of material,
and finished work, the specified inspections performed, the results obtained and the identify of the
person performing the work. Records shall include disposition of all rejected materials.
14.3.11Material Control
The Contractor shall maintain a system which precisely indicates the up-to-date inspection status
of material and finished work.
14.3.12Accommodation, Facilities and Assistance

A. The Contractor shall provide the AUTHORITY with reasonable access at all times to plants
of the Contractor and sub-contractors in order to monitor compliance with contractual
quality requirements.
B. The Contractor shall provide adequate office facilities including space, furniture, Wifi,
access to a copy machine, access to bathroom facilities, automobile parking, and telephone
service for such monitoring during the entire span of time during which the work on this
Contract is performed. Anyone designated by the AUTHORITY shall also be provided
with reasonable access at all times.
14.4 EVALUATION AND INSPECTION
14.4.1 General

A. The Contractor’s Inspection System shall be subject to evaluation by the AUTHORITY to
ensure that it meets the requirements of this Specification and the requirements of the
Contract. The method of evaluation shall be at the direction of the AUTHORITY.
B. The Contractor’s operations required by this section shall be subject to:
1. Review at unscheduled intervals, of the effectiveness of the Contractor’s Inspection
System.
2. Inspection after receipt of the work, to determine compliance with Contract
requirements.
3. All the Authority to have a third party inspector on site from start to finish.
14.4.2 Final Inspection

The Contractor shall perform a Final Inspection before the shipment of each locomotive. The
AUTHORITY may monitor the inspection and require that any part, device or apparatus needing
adjustment, repair or replacement be corrected.
14.4.3 Receiving Inspection

Upon arrival at the designated point of delivery, each locomotive shall be jointly inspected by the
AUTHORITY and Contractor to ensure that the locomotive is in safe and operable condition, to
determine if any damage occurred in transportation, and to conduct an inventory to ensure that no
items have been removed. A checklist shall be prepared, listing all corrective actions that must be
performed. The AUTHORITY may withhold final acceptance until all corrective actions have
been performed.

Table 14-1
CDRL 14-001 Quality Assurance and Inspection Program for AUTHORITY w/Proposal
approval
CDRL 14-002 Contractor’s Quality Control and Inspection Log TBD by
Contractor
End of Section

15 INSPECTION AND TESTING
15.1 INSPECTIONS AND TESTS
15.1.1 General
A. Prior to final acceptance, tests shall be performed in accordance with submitted and
AUTHORITY approved test procedures. The results of these tests must demonstrate
compliance with all test and Specification requirements.
B. All certificates of inspection, testing, and approval required by the AUTHORITY or public
authorities shall be secured by the Contractor and promptly submitted to the AUTHORITY.
15.1.2 Test Procedures

A. Unless otherwise specified, the Contractor’s standard test procedures for this model of
locomotive shall apply. The test procedures to be used shall be with the submittal [CDRL
15-001]. No test shall be conducted without prior AUTHORITY approval of the procedure
for such test.
B. If the Contract Documents, laws, ordinances, rules, regulations, and orders of any public
authority having jurisdiction, require any portion of the procurement process or products
to be inspected, tested, and approved, the Contractor shall:
1. Notify the AUTHORITY of the testing location, and obtain the AUTHORITY’s written
approval prior to conducting tests [CDRL 15-002]; and
2. Notify the AUTHORITY of the date and time for such inspection and testing no less
than 30 days in advance so that the AUTHORITY may be present if desired by the
AUTHORITY[CDRL 15-003].
15.1.3 Test Requirements

The following tests shall be performed on each locomotive:
A. At the Contractor’s shop:
1. Full load engine test
2. Complete engine and main generator load test:
a. During engine and generator test in the locomotive, verify that radiator inlet shutters
operate properly
3. Functional blended brake test
4. Static continuity and insulation tests of MU Control and Communications trainlines

5. Cab air conditioning and heating functional tests
6. Headlight, ditch light, and marker light tests
7. Basic megger testing of low and high voltage systems
8. Functional air brake test verifying performance meets FRA regulations
9. Functional full load test
10. Movement test on track, including curve checks
11. Fuel fill test including checks to make sure suction and return line piping for each
compartment is correctly installed and that the shut off valves operate correctly
12. Dynamic Brake assembly full load test (via self-loading) prior to blended brake test
13. All EFCO switches operates properly
14. Oil and water shutdowns operate properly
15. Each locomotive shall be tested for water-tightness in accordance with Contractor’s test
procedures.
16. Static clearance shall be measured on each locomotive. The static outline of the
locomotives shall not exceed the maximum dimensions recorded by the Contractor in
Section 2, nor that shown in Appendix C.
17. The Contractor shall weigh each locomotive prior to shipment and furnish a printed
weight ticket to the AUTHORITY. Each end of each locomotive shall be weighed
individually to check for weight distribution. The scale used in weighing the locomotives
shall be maintained as per Part 1 of the AAR Scale Handbook, 1988, or other approved
standard:
a. The maximum allowable weight differential between trucks with full supplies is 2,700
pounds.
b. The pre-shipment weight ticket information shall be recorded in the Locomotive
History Book.
18. Functional test of the wheel slip/slide system to verify performance as designed.
19. A complete sequence test shall be made on each locomotive, including front-rear sequence
changes, relays and switches, sanding, auxiliary motor starting circuits, wheel slip control,
main propulsion and braking, main circuit breaker, calibration of safety relays, meter
calibration, excitation, and any other testing required to insure that all circuits are
performing properly.
20. Sound Level Tests:
a. Cab interior noise, to demonstrate compliance with the requirements of 49 CFR
229.121, Appendix H. The test shall conform to cab interior noise standards of 82
dBA (+/- 2dBA). This test shall be performed on one locomotive only.
b. An exterior sound test shall also be performed to verify compliance with 49
CFR210.31 and 40 CFR 201.11. This test shall be performed on all locomotives.
21. Event recorder test to verify all inputs are properly recorded.
B. At the AUTHORITY’s Facility:
1. Static functional “compatibility test” with an AUTHORITY selected cab car.
2. A shakedown non-revenue road test on the AUTHORITY’s territory with a maximum
size train of three (3) coaches.
15.1.4 Written Reports

A. Written reports of all tests performed on the locomotives and their components shall be
submitted to the AUTHORITY for acceptance within 10 days of completion of the subject
test [CDRL 15-004].
B. Tests required by the Specification which are performed on all locomotives, or all
components, shall be included in the Locomotive History Book, see Section 16.1.2.
15.1.5 General Test Requirements

A. All tests required in Section 15.1.3.A shall be performed at plants of the Contractor or of
Sub-contractors. Tests required in Section 15.1.3.B shall be performed at the
AUTHORITY’s facility. All test procedures and test facilities shall be reviewed by the
AUTHORITY prior to performance of the tests. All tests shall be performed at the sole
expense of the Contractor. Except as specifically noted, all costs for transportation to and
from the test tracks, shall be borne solely by the Contractor.
B. The Contractor shall identify track of proper length and alignment to permit
implementation of the qualification track tests required. All working and moving parts,
and all operating devices and controls of each locomotive and its apparatus, shall be tested
and put in proper operating condition before locomotives are proposed for acceptance. The
Contractor shall perform all of the adjustments specified herein.
C. Should the locomotive be disassembled in any way for shipment, it shall be given an
operational test upon reassembling at the delivery point on the track provided by the
AUTHORITY.
D. After receipt of the locomotive at the designated delivery point, and before being placed
into revenue service, each locomotive shall be carefully inspected and any part, device or
apparatus requiring adjustment, repair or replacement shall be called to the attention of the
Contractor, in writing, who shall make adjustment, repair or replacement.
E. The AUTHORITY reserves the right to make, at its own expense, additional operating tests
of any locomotive within the parameters set out in this Specification. The Contractor may
assign a competent representative to witness such operating tests. Any defects disclosed
by such tests, in apparatus, material or workmanship shall be corrected at the Contractor’s
expense. All expense and costs incurred in the removal of any locomotive from the
designated delivery point for correction of defects shall be borne by the Contractor.

F. Official final acceptance of the locomotive by the AUTHORITY shall be performed after
all tests are successfully completed, to the satisfaction of the AUTHORITY, in accordance
with the requirements stated herein.
15.1.6 Test Plans and Data

A. All test data, in accordance with the Contractor’s and/or manufacturer’s standard test
procedures, shall be subject to AUTHORITY review and comment, and shall become the
property of the AUTHORITY upon satisfactory completion of the tests. If the locomotive
or any related equipment or subsystems fail to satisfy the test requirements, or demonstrate
noncompliance with proposal performance, necessary corrective adjustment shall be made,
and the locomotive shall be retested until compliance is demonstrated.
B. The Contractor shall submit to the AUTHORITY a Master Test Plan covering all tests and
equipment adjustments required by the Specification [CDRL 15-005]. The Master Test
Plan shall include all tests, cover all supplier and subcontractor tests to be completed at the
supplier’s or subcontractor’s plant, and all Contractor tests to be completed at its plant,
required to be performed prior to the issuance by the AUTHORITY of a Release for
Shipment certificate. Should the Test Plan not be adequate and/or fail to meet the
requirements of the Specification, the Contractor shall submit additional plans, details,
and schedules to ensure that the program is adequate to meet Specification
requirements. The approval of the AUTHORITY does not in any way relieve the
Contractor of responsibility for the adequacy of the program.
C. The Contractor shall advise the AUTHORITY at least 5 working days in advance of the
time and place of all tests. If AUTHORITY representatives are not available at the
proposed time of any test, such tests shall be allowed to proceed to maintain construction
sequence and timing.
15.2 TESTS AT AUTHORITY FACILITIES

A. After delivery at the AUTHORITY’s Facility in Lebanon, TN, The Contractor shall
perform various tests. As part of this testing, each locomotive shall be coupled (using
AUTHORITY operating crews) to form a consist to include up to two (2) trailer cars and
one (1) cab car and then tested for trainline air and electrical compatibility. All trainline
air, control and electrical wiring shall be tested by functioning the consist first with the
locomotive as control, then the cab car as control.
B. Upon successful performance of the tests noted in Section 15.2A, the Contractor shall use
the same train and operate on the AUTHORITY’s main line, or other line desired by the
AUTHORITY, using AUTHORITY operating crews, at various speeds up to maximum to
demonstrate that the propulsion, braking and all other systems of the locomotive are
operating properly.
C. The Contractor shall provide a service representative to advise the AUTHORITY with
regard to the tests and to witness the tests.
D. The Contractor shall provide a detailed plan for this compatibility and road testing at the
AUTHORITY’s facility, including step-by-step procedures [CDRL 15-006].
Table 15-1
CDRL 15-001 Test Procedures w/Proposal
CDRL 15-002 Testing locations TBD by Contractor

CDRL 15-003 Test dates and times Within 30 days of
subject test
CDRL 15-004 Test report Within 10 days
after subject test
CDRL 15-005 Master Test Plan w/Proposal
CDRL 15-006 Compatibility and road test plan w/Proposal
End of Section

16 TECHNICAL DOCUMENTS AND TRAINING
16.1 DELIVERIES AND TECHNICAL ASSISTANCE
16.1.1 Drawings and Data

A. The Contractor shall furnish sufficient documents for maintaining, repairing and servicing
modified or replacement equipment or subsystems installed by the Contractor as part of
the Work, including suggested means of access and procedures.
1. Prior to proceeding with installation of any equipment or system, the Contractor shall
submit three (3) sets of preliminary drawings and electrical schematics for review and
approval by the AUTHORITY [CDRL 16-001].
2. Reproducible “as-built” revisions of these drawings and schematics, in CAD format,
shall be provided within fifteen (15) days after delivery of the first locomotive.
3. Within fifteen (15) days after delivery of the first locomotive, the Contractor shall also
provide:
a. Three (3) copies (each in digital, searchable .PDF format and also in bound
hardcopy paper format) of the Operator’s and Servicing/Maintenance manuals for
the equipment [CDRL 16-002].
b. Three (3) copies (each in digital, searchable .PDF format and also in bound
hardcopy paper format) of as-built part catalogs. They shall be detailed through
assembly drawings, diagrams, component breakdowns to include the lowest level
replaceable components, identified by the Contractor’s and the OEM part numbers.
The catalogs and supporting documentation shall be arranged and include sufficient
information to identify, describe and facilitate ordering all replacement parts that
may be required over the life of the locomotives. Information included on the
“Parts List” shall, as a minimum, include the reference number, part number,
quantity required and description [CDRL 16-003]. The Contractor shall clarify
how “emissions critical” components will be identified in this documentation.
B. The dimensions on all drawings shall be expressed in the English system; the wording on
all drawings shall be in the English language. All terminology used on drawings and in
correspondence shall be conventional to the North American railroad industry. Where
temperatures are expressed in both Fahrenheit and Celsius, the value in parentheses is for
reference only; compliance with the Specification shall be measured in terms of the value
first stated, whether Fahrenheit or Celsius.
C. Drawings shall be made to the third-angle projection system. All submitted drawings shall
be full size to the scale specified on the drawings. Reduced size copies will not be
permitted. Every drawing shall include a complete bill of material and parts list in the field
of the drawing or on a separate sheet of the same drawing. All parts or subassemblies,
including subcontractor-furnished items, which form a part of the assembly, subassembly,
or piece depicted, shall be described. Each assembly drawing shall include the weight and
center-of-gravity of the assembly. All drawings shall reference the number of the drawing
of the next higher subassembly or assembly on which it is used. This requirement does not
apply to standard hardware or electrical and electronic components. Final drawings shall
be of not more than four standard sizes, with “D” size as the largest drawing permissible
size. “E” size drawings shall be used only during design reviews. Electrical schematics
and wiring diagrams shall be “A” or “B” sized only.
D. When reference is made on a drawing to a material or process covered by the Contractor’s
unique specification or procedure number, it shall also state a commercial equivalent. If
there is no commercial equivalent, the AUTHORITY shall be provided with copies of the
Contractor specification for review and approval. Except as otherwise permitted, all
semiconductors shall be identified by JEDEC numbers.
E. Revisions to drawings and drawing change orders affecting previously submitted drawings
shall be re-submitted for approval as they are issued. No more than three revisions shall
remain unincorporated on any drawing at any time.
F. Drawings on which changes have been made, even though less than three, shall be revised
to incorporate those changes no less frequently than at 60 day intervals. The revision block
shall describe the details of the changes made by that revision, or, in lieu of detailed
descriptions, the numbers of the applicable drawing change orders may be used. In the
latter case, the drawing change orders shall have been submitted no later than the time of
submittal of the revised drawing. The details of all changes shall be highlighted on the
drawing(s) sent to the AUTHORITY for review and approval. Alternate methods shall be
subject to approval by the AUTHORITY.
G. Approval of a drawing does not relieve the Contractor of its obligation to meet all
requirements of the Contract. Approval of a drawing which contains a deviation from, or
breach of, the Specification does not constitute authority or approval for that deviation or
breech unless such deviation has been specifically requested in writing and approval
granted in writing according to Contract requirements separate from the drawing approval
process.
H. All requests for deviations from approved drawings shall be submitted, reviewed, and
approved by the AUTHORITY prior to release of the drawing for installation.
16.1.2 Locomotive History Books

Prior to, or upon delivery of each unit, the Contractor shall supply the following for each unit,
contained in loose-leaf bound “Locomotive History Book”.
A. Certificate of vehicle conformance. It shall be the responsibility of the Contractor to obtain
all certificates of conformance.
B. Scale tickets showing the weight at each end and the total weight of each locomotive.
C. All serialized components on the locomotive; additionally, note the following additional
requirements:
a. Engine serial number and clearance record shall include injector serial numbers.
b. Truck serial number record shall include wheels and traction motors.
c. Serial numbers of journal bearings and axles shall also be recorded.
D. Copies of all required test reports.
E. Two copies of FRA Form F-6180-49A, “Locomotive Inspection and Repair Record,”
completely filled out for display in the locomotive and for the files of the AUTHORITY.
16.1.3 Photographs
For each color photograph listed in the following subsections, the Contractor shall provide the
JPEG file. All JPEG files shall be consolidated and delivered on CD-ROM(s) or memory sticks,
which shall also include a searchable spreadsheet listing all JPEG filenames and corresponding
brief description of the photograph.
16.1.3.1 Construction
Photographs of any locomotive produced under this Contract during various stages of construction
shall be furnished by the Contractor. The photographs shall include:
A. Completed truck assemblies.
B. Underframe:
1. Prior to installation of equipment, showing engine bed, HEP and air compressor
mounts, pneumatic tubing and piping, and electrical wiring, cables, conduits and
raceways.
2. Subsequent to installation of main engine alternator, compressor, equipment rack, HEP
apparatus and electrical cabinet.
16.1.3.2 Finished Locomotive

A. Front View
B. Rear View
C. Left Side
D. Right Side
E. Engine Control Panels
F. Cab Interior Complete
G. Control Console
H. Roof
I. Carbody Interior Spaces and Equipment

16.2 TRAINING
The Contractor shall provide for training material development and delivery to be provided at a
training facility at a to-be-determined location at or near the AUTHORITY’s facility in Lebanon,
TN. This training shall be for the personnel who are involved in the operation, maintenance, and
management of the locomotive fleet. The training courses shall be approved in all aspects by the
AUTHORITY. The instructors chosen by the Contractor for each subject area shall have previous
industrial and technical teaching experience, shall be completely familiar with their respective
subject areas, and have experience in instruction, maintenance, and operations within the North
American passenger railroad industry. This includes the requirements of the new microprocessor
control system, and any other major sub-systems or assemblies that are supplied by the
Contractor’s vendors. Training personnel from those vendors are subject to the same approvals as
the Contractor’s training personnel. The Contractor shall submit all completed training materials,
proposed instructor resumes, and a training schedule for AUTHORITY review, collaboration, and
approval before delivery of the first locomotive to the AUTHORITY [CDRL 16-004].
16.2.1 Training Scope

The training shall concentrate exclusively on the differences between the locomotives prior to and
post overhaul. Where components, circuits, procedures, adjustment values, etc. are identical, the
training shall consist of solely noting that there is no change. Where components, etc. are almost
identical, the training shall consist of clearly instructing personnel in the specific differences and
the need to modify current practices to accommodate the different features and functions. Where
the components, etc. are of a new type, a complete training course shall be given. All training
classes will be video recorded for future use by the AUTHORITY.
Training shall be organized into two (2) categories:
A. Operations: This course material shall be appropriate for locomotive Operators.
B. Maintenance, Service, and Repair: This course material shall be appropriate for mechanics,
technicians, and their supervisors.
16.2.2 Skill Groupings

Courses shall be tailored for the skill level typical of US Class I Railroad employees and shall be
organized into skill groupings of such operations.
16.2.3 Class Size and Number of Attendees

A. Class size shall not exceed eight (8) AUTHORITY personnel per class.
B. The AUTHORITY will furnish the Contractor with a list of attendees for each class not
less than three (3) business days prior to the class.
C. All training shall be completed [CDRL 16-005] within the schedule agreed upon between
the Contractor and the AUTHORITY.
16.3 SUPPORT EQUIPMENT

The Contractor shall provide a list of all non-standard tools required to operate and maintain the
newly applied equipment of the locomotives. The list shall be provided at least 60 days in advance
of the delivery of the first locomotive [CDRL 16-006].
16.4 DOCUMENT SUBMITTALS

Contractor shall submit to the AUTHORITY for review and approval a listing and submittal
schedule of all required documents described in this Specification within 90 calendar days from
the Notice to Proceed; please refer to Section 1.
Table 16-1
CDRL 16-001 Three (3) sets of preliminary drawings and electrical Within 15
schematics for review and approval by the calendar days of
AUTHORITY of modified or replacement equipment receipt of the
or subsystems installed by the Contractor as part of first locomotive
the overhaul work
CDRL 16-002 Three (3) copies of servicing and maintenance Within 15
manuals for modified or replacement equipment or calendar days of
subsystems installed by the Contractor as part of the receipt of the
overhaul work first locomotive
CDRL 16-003 Three (3) as-built part catalogs for modified or Within 15
replacement equipment or subsystems installed by the calendar days of
Contractor as part of the overhaul work receipt of the
first locomotive
CDRL 16-004 Operation and Maintenance Training Course Material, Before delivery
Instructor Resumes, and training schedule of the first
locomotive.
CDRL 16-005 Operation and Maintenance Training Courses with On a schedule
Contractor’s Instructors to be mutually
agreed upon by
the Contractor
and
AUTHORITY
as per CDRL
16-004.
CDRL 16-006 List of all non-standard tooling required to operate Within 60
and maintain newly applied equipment. calendar days of
receipt of the
first locomotive
End of Section

RTA
F40PH-2C Mid-Life Overhaul Technical Specification
17 SHIPMENT AND ACCEPTANCE
17.1 CONSIGNMENT AND ROUTING

A. All expenses incurred in preparing and moving all locomotives and materials to and from
AUTHORITY facilities shall be the responsibility of the Contractor.
B. Locomotives shall, at the Contractor’s expense, be shipped from the Contractor’s plant c/o
the AUTHORITY.
C. All costs of transportation, including additional materials to be supplied by the Contractor,
shall be the responsibility of the Contractor.
D. Locomotives shall be shipped without sand, water, and fuel; however, the prime mover and
air compressor shall have a full complement of lube oil.
E. Spare parts and material shall be shipped at the Contractor’s expense to the AUTHORITY.
F. The Contractor shall develop and submit an outbound and inbound inspection form for the
AUTHORITY’s approval.
17.2 CERTIFICATE OF IN-PLANT INSPECTION & RELEASE FOR SHIPMENT

A. A certificate of in-plant inspection and release for shipment shall be prepared prior to shipment
of each locomotive from the Contractor’s facilities.
1. The certificate shall be signed and dated by both the Contractor’s and AUTHORITY’s
representatives.
B. Prior to shipment of the locomotive(s) and trucks to Lebanon, TN, a final in-plant inspection
of the locomotive and truck assemblies and a review of its documentation shall be performed
by the AUTHORITY or its representative(s).
C. At the final in-plant inspection, the Contractor shall have compiled for review by the
AUTHORITY or its representative(s) documentation of all tests, inspections, serial numbers,
weights, etc. to be entered into the individual Locomotive History Book.
D. The Contractor shall allocate at least one (1) full working day, which shall be a weekday
during daylight hours, for the AUTHORITY or its representative(s) to perform the review
inspection, over a pit, with station power and air applied, of each locomotive ready for
shipment to ensure that the locomotive meets the requirements of the Specification and is fully
operational.
E. The Contractor shall furnish to the AUTHORITY prior to completion of the Release For
Shipment certificate for each locomotive, two copies of the following original documents
completed, signed and dated:
1. The Contractor shall also place in the card holders in the cab of the locomotive the
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following original completed, signed and dated documents:
2. Locomotive inspection and repair record, form FRA F6180-49A (“Blue Form”),
including inspections and tests required by 49 CFR 229.23, 229.25, 229.27 and 229.31.
F. Upon successful completion of inspection and review, a Certificate of In-Plant Inspection
and Release for Shipment will be issued by the AUTHORITY to accompany the shipment
of the locomotive(s). A locomotive shall not be delivered to the AUTHORITY’s property
without the Certificate. The Contractor shall make any necessary repairs and perform other
necessary corrective action so that all Open Items are corrected.
17.3 RECEIVING INSPECTION

A. Upon delivery of the completed locomotive(s) to the AUTHORITY’s Facilities, the
Contractor and the AUTHORITY or its representatives shall visually inspect the
locomotive(s) for damage, loss, vandalism, or other discrepancies incurred during shipment.
B. Receiving Inspections shall be conducted on Mondays through Fridays only, excepting
holidays.
C. A Receiving Inspection Report listing all damage, loss, vandalism, or other discrepancies
found shall be prepared and signed by the Contractor’s representative(s).
1. Any discrepancies noted in the Receiving Inspection Report shall be adjusted, repaired,
or replaced by the Contractor, at the Contractor’s expense.
2. The Contractor shall be responsible for securing facilities and personnel separate from
those of the AUTHORITY to complete all additional work required for the duration of
the Contract.
3. Any defects in apparatus, material, or workmanship disclosed by inspections or tests, shall
be corrected at the Contractor’s expense prior to Final Acceptance.
4. All expenses and costs incurred in the removal of locomotive(s) from the designated
delivery point for correction of defects shall be borne by the Contractor.
17.4 CONDITIONAL ACCEPTANCE INSPECTION (ALL LOCOMOTIVES)
17.4.1 Preparation for Road Service

A. Following acceptance of the Receiving Inspection Report by the AUTHORITY, the
Contractor shall prepare the locomotive(s) for road service.
B. Supplies of sand, coolant, and fuel will be furnished and applied by the AUTHORITY.
C. The Contractor shall successfully perform a terminal train air brake test and departure test as
part of the preparation of the locomotive.
17.4.2 Conditional Acceptance Inspection

A. Upon completion of the preparation of each locomotive and acceptance by the
AUTHORITY for road service, a non-revenue road test shall be conducted by the
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AUTHORITY. The Contractor shall be responsible for the compensation of any on-site
test personnel employed by the Contractor.
1. Road tests shall be performed in accordance with Section 15.2.
B. Following successful completion of the non-revenue road tests, a Certificate of Conditional
Acceptance will be prepared and signed by the AUTHORITY. The Certificate shall note
any discrepancies remaining to be corrected by the Contractor, but of such a nature that they
would not preclude safe operation of the locomotive in road service.
C. Conditional Acceptance Testing shall be performed in a timely fashion. The AUTHORITY
shall have a minimum of three working days from the date of the completed Receiving
Inspection to begin conditional acceptance testing, and a maximum of five working days
from the date of the completed non-revenue road test to furnish Conditional Acceptance
provided the tested locomotive meets the Specification requirements and has passed all
testing.
17.5 FINAL ACCEPTANCE

A. Locomotive final acceptance shall be based on the following requirements having been met:
1. Contractual and workmanship deficiencies discovered during inspections of the
locomotive have all been corrected by the Contractor in a manner judged satisfactory
by the AUTHORITY.
2. The Contractor has provided the AUTHORITY with Contract and Specification test
reports showing that the required tests and inspections have been successfully
completed with results satisfactory to the AUTHORITY.
3. Documentation is complete, including historic record keeping of work performed in
compliance with the Contract. All documentation must have received AUTHORITY
approval.
4. The locomotive has performed in revenue service for five (5) complete round trips
without requiring any unscheduled maintenance.
5. All CDRLs identified within the Technical Specification have been approved by the
AUTHORITY.
6. All Training has been completed.
7. All Manuals have been received and approved by the AUTHORITY.
8. All spare parts have been received and accepted by the AUTHORITY.
9. All as-built record drawings have been received and approved by the AUTHORITY.
B. Certificate of Final Acceptance will be executed by AUTHORITY for each locomotive
[CDRL 17-001].
17.6 LIQUIDATED DAMAGES

RTA

A. Once timely commenced, Contractor shall diligently continue its performance to and until
final completion of each locomotive.
B. The term “Final Completion” as used herein shall mean that point at which, as certified in
writing by RTA, that the task is 100% complete and in conformance with the Contract.
C. Guarantees and equipment warranties required by the Contract shall commence on the date
of final completion.
D. RTA will suffer financial loss, in addition to any increased cost of completion of the
locomotives.
E. If a locomotive s not complete within the time period set forth according to the schedule,
Contractor and Contractor’s Surety shall be liable for and shall pay the RTA as liquidated
damages to compensate for the losses and damages suffered by any delay, and not as
penalty, the sum of nine hundred and fifty dollars ($950) for each calendar day of delay until
the locomotive is complete. Contractor agrees that the contract time and the amount
established for liquidated damages are reasonable.
F. All limitations of time set forth herein are material and are of the essence of the Contract.

Table 17-1
CDRL 17-001 Certificates of Final Acceptance TBD by Contractor
End of Section

RTA
1 SCOPE AND RESPONSIBILITIES (See BASE T/S Section 1)
1.1 SCOPE AND PURPOSE

This Specification outlines the scope of work for the top deck overhaul of the AUTHORITY’S
locomotive No. 120, if the option to perform this Work is formally selected and authorized in
writing by the AUTHORITY.
The requirements included in the Base Technical Specification Sections listed below shall also
apply to the top deck Work to be performed on locomotive No. 120:
1. Section 1 – Scope Responsibilities

2. Section 2 – Locomotive Characteristics
3. Section 13 – Materials and Workmanship
4. Section 14 – Quality Assurance Requirements
5. Section 15 – Inspection and Testing
6. Section 16 – Technical Documents and Training
7. Section 17 – Shipping and Acceptance
End of Section

RTA
2 LOCOMOTIVE BODY AND PAINT REQUIREMENTS
2.1 LOCOMOTIVE BODY EXTERIOR

A. All exterior damage, holes and carbody rust shall be repaired, particularly the front end
at the location of the horizontal “split” seam where a previous repair was made.
B. Dents and scrapes in excess of ¼” deep, and within a 3 foot radius, shall be repaired with
the AUTHORITY’s approval.
C. All roof mounted antennas and associated hardware shall be removed and cleaned. All
roof penetrations shall be inspected for corrosion and water ingress. All penetrations shall
be cleaned and reconditioned. Antennas shall be re-applied with new gaskets and seals.
2.1.1 Paint and Exterior Treatments

A. The Contractor shall use exterior colors and design schemes selected by the AUTHORITY.
The locomotive shall be completely painted in accordance with the selected locomotive
exterior paint scheme, including logos, locomotive numbering and other exterior lettering.
The basis for the overhauled F40PH exterior paint scheme shall be selected by the
AUTHORITY.
1. The exterior of the locomotive shall be thoroughly cleaned and prepared for repainting.
2. Painting materials shall be applied according to the recommendations of the paint
manufacturer including cleaning and material preparation.
3. The Contractor shall ensure that all surfaces to be painted have been properly prepared
prior to applying finish coats of paint.
4. Exterior Painting – The Contractor shall paint the exterior of the carbody using DuPont
“IMRON” polyurethane paints or approved equivalent.
The painting scheme shall include paints and manufacturer’s required materials for the entire
locomotive. Couplers and draft gear shall not be painted.
a. All painted exterior carbody surfaces shall have one coat of primer with finish
coats applied to a minimum thickness of six (6) mils. The finished exterior shall
present a high quality appearance free from sags, drips, scratches, variations in
gloss, and other imperfections. Orange peel shall be grade 6 or better when
compared to the ACT Laboratory – “Orange Peel Standard”.
b. The Contractor shall select a complete paint system to ensure compatibility
between the primer, and finish coats. Contractor-specified touch-up paint
procedures shall be described in CDRL 3-004 (included with CDRL of Base
Specification).
c. All striping shall be edge sealed per manufacturer’s instructions.
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5. All grab handles and handrails (excluding stainless steel) shall be painted white.
6. All rooftop areas, rear platform, and short hood nose shall have an AUTHORITY
approved black anti-skid material applied.
7. Lettering and Numbering – Lettering, numbering and logos shall be applied to the
exterior and interior as applicable, subject to review and acceptance by the
AUTHORITY.
FRA requirements:
2.1.2 Identification Numbers

The locomotive will retain all of the same identification number that is in place at the time of
shipment to the Contractor.
A. Side numbers
B. Rear end numbers
C. A five inch tall riveted, unpainted, metal “F” indicator shall be located on each side sill
near the front end and shall identify that end as the front. This indicator shall be
renewed.
D. All letters and numbers shall be Helvetica medium face.
E. Retain existing AEI tags.

N/A
End of Section

RTA
3 AIR SUPPLY AND FRICTION BRAKE SYSTEM

The Contractor shall perform the four year FRA periodic inspection on all brake components on
the locomotive restoring them to a new condition in accordance with 49 CFR part 229. This
locomotive is equipped with a 26L system. The Work to be performed shall be confirmed by
the Contractor and presented to the AUTHORITY for review and approval in an Air Supply and
Friction Brake System Overhaul Plan [CDRL 9-001] (included with CDRL of Base
Specification).
A. A signed FRA cab card shall be provided by the Contractor in the cab of the locomotive at
delivery of the overhauled locomotive.
B. Perform a complete pneumatic test to ensure proper operation of the system.
3.1.1 Valves
A. The current 26L air brake system shall have all valves removed and replaced with
reconditioned air valves.
B. All vented and non-vented ball cocks on the trainline shall be inspected and tested to
ensure a properly functioning seal against air leakage. If found to be defective, they shall
renewed.
C. All external brake pipe gauges shall be inspected and tested. If found to be defective, they
shall renewed.
D. Main reservoir automatic drain valves shall be replaced.
E. Emergency brake valves shall be painted an AUTHORITY approved red.
3.1.2 Brakes
A. All brake shoes shall be renewed.
B. The complete handbrake assembly shall be renewed.
3.1.3 Air Compressor and Filter/Dryer

A. Air Compressor shall be replaced.
B. Install a new air compressor control switch. Compressor control switch shall be set to
130 PSI to charge the system and stop charging at 140 PSI.
C. The air dryer shall be replaced.
D. All air system filters shall be replaced.

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3.1.4 Pressure Control Switches
A. Install a new PC switch.
B. Install a new emergency sand switch. The Contractor shall make the necessary revisions,
if any, to provide a sixty (60) second timed application of sand during an emergency
brake application.
3.1.5 Air Tanks and Piping
3.1.5.1 Main Reservoir

Main reservoirs shall be blown out with compressed air to remove any moisture and debris.
Main reservoirs, mounting brackets, mounting hardware, and piping, shall be inspected for
damage and defects. Any main reservoirs or mounting hardware, which are found to be damaged,
defective, cracked, or corroded, shall be replaced with new. Main reservoir tests shall be
performed as required in 49 CFR 229.31.
3.1.6 Warning Devices
3.1.6.1 Horn
The horns shall be replaced with a reconditioned unit. The horn shall be tested with a calibrated
sound level meter to ensure that it meets the requirements of 49 CFR part 229.129.
3.1.6.2 Bell
The bell shall be requalified and certified to OEM standards.
3.1.7 Sanding
Timed sanding for sixty (60) seconds during emergency brake applications shall be provided.
The Contractor shall present to the Authority the details of any other functions that result in sand
application. [CDRL 9-002] (included with CDRL of Base Specification)
3.1.7.1 Sand Traps and Hoses

Inspect and check operation of front and rear lead axle sand traps, including shut off valves.
Install new rubber sand hoses, clamps and nozzles to trucks. If any traps are found to be
defective, they shall be renewed.

Table 3-1
CDRL 9-001 Air Supply and Friction Brake System Overhaul Plan TBD by Contractor
CDRL 9-002 Sand Application- Application and Duration Strategies TBD by Contractor
End of Section

RTA
4 MAIN ENGINE, ENGINE COOLING, AND FUEL SYSTEM
4.1 GENERAL
A. The main engine, main engine cooling system and fuel system work to be performed
shall be confirmed by the Contractor and presented to the AUTHORITY for review and
approval in a Main Engine, Main Engine Cooling and Fuel System Overhaul Plan
[CDRL 10-001] (included with CDRL of Base Specification).
B. Engine disassembly and reassembly, overhauling/re-qualification of engine components,
all necessary repair work and testing must be in accordance with EMD published
procedures unless otherwise directed.
C. Unless otherwise specified, only genuine EMD parts, components and subassemblies
shall be used in reassembling the engine, including UTEX components and parts used in
rebuilding subassemblies.
D. Component cleanliness must be maintained throughout the overhaul and test cycle.
4.2 CRANKCASE AND OIL PAN

A. Perform a water pressure test of the cooling system before engine disassembly. Repair
points of leakage found prior to reassembly of the engine.
B. After disassembly of the engine, thoroughly clean crankcase, oil pan and air boxes.
C. Inspect the engine for structural cracks, especially in known suspect welds or other
locations, and for abnormal wear and other defects. Magnetic particle inspection, or
other AUTHORITY approved method, shall be utilized.
1. If any abnormal wear or defects are found that would significantly affect the
performance or life of the engine, agreement must be reached with the AUTHORITY
on a course of action before further work is performed.
D. Inspect all exposed studs and tapped holes.
1. Damaged studs shall be replaced.
2. Tapped holes shall be re-qualified by means of thread gauges, with special attention
given to exhaust deck holes.
3. Damaged holes shall be repaired through installation of keylocking thread repair
inserts with the exception of lifting shackle holes, which must be weld repaired.
4.3 POWER ASSEMBLIES AND RELATED COMPONENTS

A. The power assemblies shall be overhauled, unit exchanged with EMD, or renewed.
1. The complete power assemblies shall be built up using OEM standard parts defined in
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the EPA certificate of compliance to meet the requirements of the EPA’s tier 0+
exhaust emissions standards, defined in 40 CFR 1033.
2. Completed power assemblies shall be hydrostatically pressure tested.
3. Power assemblies shall be installed utilizing plate-type crabs and new liner seals,
head to liner gaskets, head seat rings and lower liner inserts.
B. Camshafts shall be thoroughly cleaned and inspected.
1. If needed, segments may be replaced only upon specific written approval of the
AUTHORITY.
2. Camshaft bearing shells shall be replaced with new.
C. The injectors shall be replaced with new injectors certified for Tier 0+ performance.
D. Injector control linkage shall be reconditioned, utilizing new bearings.
1. Spring-loaded adjusting links shall be installed at each injector.
E. All connecting rod bearings shall be replaced with new.
F. Valve bridges shall be reconditioned, with new lash adjusters.
G. Rocker arm assemblies shall be inspected and qualified for reuse.
4.4 HEAD FRAMES AND TOP DECK COVERS

A. Head frames shall be inspected for damage and distortion, and re-qualified.
B. Top deck covers shall be inspected and re-qualified.
1. Latches shall be replaced.
2. New seals shall be applied.
4.5 EXHAUST SYSTEM

A. Exhaust manifold chambers, heat shields and expansion joints shall be removed, cleaned,
inspected, repaired and reinstalled with new gaskets.
1. Non-repairable exhaust chambers and heat shields may be replaced only upon
specific written approval of the AUTHORITY.
2. Cracked expansion joints shall be replaced with new.
B. If foreign material is found in the exhaust manifold or screen trap box, the turbo screen
shall be replaced with a UTEX component.
1. If cracks are found, it shall be replaced with a “Starburst” design screen.
4.6 ACCESSORY DRIVE END OF ENGINE

A. External lube oil and water elbows shall be cleaned, inspected, and reused.

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B. All fuel oil manifolds and piping shall be thoroughly cleaned and inspected.
1. Crushed or damaged piping shall be replaced.
C. The fuel filtration system shall be reconditioned.
1. On the accessory rack:
a. Clean the fuel suction strainer and housing.
b. Clean the primary filter canister and install a new filter element.
2. On the engine, apply new spin-on filter elements.
D. Remove and rebuild, or replace, the Dual Delta P engine protector and reapply using new
fittings and hoses.
E. UTEX water pumps.
F. UTEX governor.
G. Visually inspect accessory end drive train gearing for defects and excessive wear once
water pumps are removed and measure gear backlash where possible.
1. Advise the AUTHORITY of conditions found before proceeding to reassemble the
engine.
H. Remove and rebuild the following pumps to OEM standards and specifications:
1. Main lube oil and piston cooling pump.
2. Scavenging oil pump.
3. Fuel pump and motor.
4.7 CAMSHAFT DRIVE END OF ENGINE

A. Inspect all gears in the camshaft drive train visually, with a tooth profile gage, and by
magnafluxing for evidence of overheating, galling, cracks or teeth worn beyond profile
limits.
1. Replace defective gears with new upon AUTHORITY written approval.
B. Replace after cooler cores with new ones meeting Tier 0+ requirements.
C. Inspect after cooler ducts and repair minor damage. Replace cracked ducts only with the
specific written approval of the AUTHORITY.
D. Clean and inspect the lube oil separator, screen and eductor tube assembly.
1. Examine flanges at elbow and cover assembly for bolt head seat wear and renew if
indented or worn.
2. Install new high-pressure flexible hose between eductor tube and air box.
E. Remove, inspect and recondition auxiliary generator drive assembly.

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F. Inspect and qualify cam drive housing.
G. Remove and rebuild, or replace, the turbocharger lube oil (soak back) pump and motor
assembly.
4.8 LUBE OIL SYSTEM

A. Rebuild all lube oil pumps according to EMD specifications, or renew if necessary.
B. Clean, qualify and, if necessary, repair the lube oil strainer assembly.
C. On the accessory rack, thoroughly clean the Michiana tank and install new filters.
D. The lube oil strainer and housing shall be cleaned.
E. All fuel and lube oil filters shall be new, including turbocharger filter.
F. Rebuild the turbo lube oil pump and motor according to EMD specifications, or renew if
necessary.
G. Rebuild all pressure relief valves, check valves, pressure switches, temperature sensors
and gauges, or renew if necessary.
4.9 TURBOCHARGER
A. Thoroughly clean and inspect the turbocharger, including the turbine and compressor
blades and any other components that may cause a rotor imbalance.
B. Reassembly of the engine shall be in accordance with OEM recommended bolt torques,
clearances and tolerances.
1. The Contractor shall provide all ancillary components commonly replaced in a top
deck overhaul, such as threaded fasteners, pins, bushings, gaskets, etc.
a. All new gaskets, seals, O-rings, bushings, and miscellaneous hardware shall be
used.
b. RTV silicone sealant shall not be used to substitute for properly fitted seals or
gaskets, or used randomly in the engine without specific written approval from
the AUTHORITY. Any unauthorized use of RTV silicone may be cause for the
Contractor to re-perform the portion of the Work that used the RTV silicone at the
Contractor’s sole expense.
C. Electrical and electronic components and wiring that have been
disconnected/reconnected, handled, or moved during overhaul shall be inspected and
qualified.
1. Necessary replacement material shall be new.
2. Butt splices shall not be utilized without specific written approval of the
AUTHORITY.
a. Prior to the proposed use of any butt splice, the Contractor shall submit a sample
butt splice and workmanship standard for review and approval by the
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AUTHORITY.
D. The integrity of the reconnected locomotive fuel, lube oil and coolant systems shall be
verified prior to startup.
E. Perform pressure tests of fuel, lube oil and cooling systems of the engine and correct all
leaks and deficiencies prior to startup.
F. Take and record lead readings in each cylinder.
G. Contractor shall submit a sample of its proposed documentation of the engine build-up
process with his proposal.
1. Documentation shall include removed and installed serial numbers of the following
components as applicable, as a minimum:
a. Governor
b. Main oil pump
c. Scavenging oil pump
d. Water pumps
e. Camshafts
f. Accessory and camshaft drive end gears.
g. Injectors
2. A UTEX or new power assembly need not be dismantled in order to verify the serial
numbers.
4.10 FUEL SYSTEM

A. Fuel Tank
1. The fuel tank shall be inspected for damage and leaks and repaired where defects are
found. As information, there is a known pinhole leak in the fuel tank, lower end
engineer’s side, and this shall be repaired by the Contractor. The tank shall be re-
qualified to meet OEM performance standards by the Contractor. The fuel tank shall
be drained of fuel during the inbound inspection and will have the clean outs removed
and cleaned so as not to collect any debris.
2. All fuel sight glasses shall be removed and replaced.
3. Remove fuel suction and return line assembly and inspect for cracks or other signs of
deterioration. Ensure that low fuel level shut off valve is in place and functioning
properly. Replace or renew any fuel lines or valves that are found damaged or
defective.
B. Ecology Tank
1. The ecology tank shall be drained and flushed out.
2. The ecology tank shall be inspected for damage and repaired or replaced and re-
qualified to meet OEM performance standards.
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C. Fuel Fill
1. The existing fuel fill equipment shall be inspected, repaired if damaged and re-
qualified in a manner approved by the AUTHORITY.
H. All fuel and lube oil filters shall be new, including the turbocharger filter.
4.11 COOLING SYSTEM

A. Radiator Cores
1. Remove all radiator cores from the locomotive and remove all header tanks in order
to inspect the cores.
2. Inspect the header inlet screens for damage and repair as necessary. Renew all header
gaskets.
3. All test methods and repair procedures shall be submitted in advance for review and
approval by the AUTHORITY.
4. Check mechanically-bonded cores for the presence of corrosion, scaling and plugged
tubes. Cores without plugged tubes shall be flushed and pressure tested in accordance
with OEM instructions. Report all finding, pressure test results and recommendations
to the AUTHORITY for disposition, then rebuild or renew the cores as instructed.
Any new cores installed shall be of the mechanically-bonded type.
B. Radiator Fans
1. Unless the cooling fans and motors are being replaced, all fans and motors shall be
rebuilt according to EMD Maintenance Instructions.
C. Radiator Hatches
1. Replace any damaged hatches and replace all gaskets and mounting hardware.
D. Radiator Screens and Shutter Assemblies
1. All screens and shutter assemblies shall be cleaned, inspected and reconditioned
according to EMD Maintenance Instructions.
2. All shutter air cylinders shall be rebuilt to OEM instructions, magnet valves and cut
out cocks shall be renewed.
E. System Piping and Hardware
1. All water piping shall be cleaned, inspected and renewed as required.
2. All seals, gaskets and related hardware shall be replaced with new.
F. Water Pumps
1. Both water pumps shall be rebuilt in accordance with OEM specifications, or
renewed if necessary.
G. Water Expansion Tank
1. Clean and test the water tank for leaks and other defects. Make repairs as necessary
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and renew all valves.
2. Renew the water tank pressure cap, water level sight glass and all of the seals, gaskets
and all valves associated with the water tank.
H. Gauges and Sensors
1. Renew and calibrate the air pressure gauge, temperature sensor, water temperature
gauge, and all temperature switches. Engine protective devices such as the low water
detector and water pressure sensor, shall be rebuilt or renewed as necessary during the
engine rebuild.

Table 4-1
CDRL 10-001 Main Engine, Main Engine Cooling and Fuel System Overhaul Plan TBD by Contractor
End of Section

RTA
5 OPERATIONAL SAFETY SYSTEMS

The operational safety systems Work to be performed shall be confirmed by the Contractor and
presented to the AUTHORITY for review and approval in an Operational Safety Systems
Overhaul Plan [CDRL 12-001] (included with CDRL of Base Specification).
5.2 TTX-REC-M5 Integrated Event Recorder System

The Contractor shall determine if the existing event recorder and alerter system can be interfaced
with the new Wabtec LDRS-V system (refer to Section 12.3). If it cannot be linked to the
LDRS-V, the Contractor shall replace it with a Wabtec TTX-RECM5 Integrated Recorder System.
5.2.1 TTX-REC-M5 Event Recorder

The location of the new TTX-REC-M5 Event Recorder shall be submitted to the AUTHORITY
for approval.
5.3 On-Board Digital Video Recording System

On-Board Digital Video Recording Systems shall be upgraded to Wabtec LDRS-V system. The
system consists of a forward facing camera and under-carriage microphone, near the bell and
horn. The new LDRS-V, cameras, microphone(s), enclosures, layout, protocols, and interconnect
shall be described in the Operational Safety Systems Overhaul Plan.
A. Location of the new LDRS-V System shall be submitted to the AUTHORITY for
approval.
B. The mounting shall allow for easy removal of the data hard disk as well as the entire unit.
C. Any cabling between the cameras and the LDRS-V shall be shielded. Cabling shall match
the requirements of Section 13.
D. Any multi-conductor cabling between the microphones and the LDRS-V shall be
shielded. The shield shall not be used for carrying return current.
E. The existing forward-facing camera enclosure and mounting bracket shall be replaced.
Enclosures shall be vandal and tamper resistant.
F. Connectivity to the Event Recorder - the LDRS-V is equipped with a FRA crash
hardened memory module that will be used to store all recorded video and locomotive
data. It does require connectivity to the vehicles event recorder and a GPS receiver to
maintain time synchronization.
G. All LDRS-V cabling and conduit layout will need to be described in the Operation Safety
Systems Overhaul Plan.
RTA
H. A video download shall be provided with video and audio (testing each specific input)
verifying functionality of the DVR system [CDRL 12-002] (included with CDRL of
Base Specification). This download shall be included in the locomotive history book.
I. The Contractor shall provide the AUTHORITY with a copy of WRE Data Analysis
Software. The Software package will provide the AUTHORITY to download
information from the LDRS-V on a routine basis. Ideally, software can be loaded into a
commercially available laptop computer, running a commercially available operating
system. Each downloaded file would contain appropriate information (for example Road
number, time and date, location annotation, etc.) to permit the files to be analyzed, stored
and used according to the AUTHORITY’s needs. The Contractor will provide
documentation to support these download procedures.

Table 5-1
CDRL 12-001 Operational Safety Systems Overhaul Plan TBD by Contractor
CDRL 12-002 Event Recorder LDRS-V Download Before delivery of
locomotive
End of Section

RTA
1. TRUCK, TRACTION MOTOR AND SUSPENSION

This section covers the truck, traction motor and suspension work to be performed on locomotive
Unit 120 if such Work is formally selected and authorized in writing by the AUTHORITY.
The requirements included in the Base Technical Specification Sections listed below shall also
apply to the truck, traction motor and suspension work to be performed on locomotive No. 120:
1. Section 1 – Scope Responsibilities
2. Section 2 – Locomotive Characteristics
3. Section 13 – Materials and Workmanship
4. Section 14 – Quality Assurance Requirements
5. Section 15 – Inspection and Testing
6. Section 16 – Technical Documents and Training
7. Section 17 – Shipping and Acceptance
The trucks shall be reconditioned per OEM specifications using only EMD approved truck kit and
parts. New Timken journal roller bearings, or approved equivalent, shall be used. All removal
and installation serial numbers for wheel sets, traction motors, trucks and position on the
locomotive shall be recorded and provided to the AUTHORITY.
The truck and suspension Work to be performed shall be confirmed by the Contractor and
presented to the AUTHORITY for review and approval in a Truck and Suspension Overhaul Plan
[CDRL APPB1-001].
1.1.1 Wheels, Axles and Journal Bearings
1.1.1.1 Wheels
Wheels shall be replaced with new AAR Type E-42, Class B wheels, in accordance with AAR
Standards. Wheels shall have an AAR 1B wide flange contour, with tread taper of 1:20. All
existing wheels with greater than 1-3/4 inch rim thickness shall be returned to the AUTHORITY.
1.1.1.2 Axles
A. All axles shall be inspected and qualified in accordance with the AAR Wheel & Axle
Manual, Section G, Part II of the AAR Manual of Standards and Recommended Practices.
B. Axles which cannot be qualified for reuse shall be replaced with new axles, which shall be
in accordance with AAR Specification M101, Class F (latest issue).
C. Bull gears shall be qualified and mounted per EMD specifications. If necessary, renew.
1.1.1.3 Journal Bearings

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Journal roller bearings shall be mounted in accordance with the Roller Bearing Manual, Section
H, Part II of the AAR Manual, or alternative EMD instructions.
1.1.2 Suspension Elements
A. Renew all primary and secondary (coil and elliptical) truck springs with new OEM springs.
Renew coil spring seats.
B. Install new lateral, yaw and vertical shocks.
1.1.3 Truck Frame

A. All components shall be removed from the truck frames. Frames shall be completely
cleaned, stripped and repainted in an AUTHORITY approved color prior to the build-up
process.
B. Trucks shall be reconditioned in accordance with guidelines noted in EMD M.I.s 1504,
1511, 1512, 9672, and 9674, latest issues.
C. A full dimensional check shall be performed on each truck and bolster to an AUTHORITY
approved procedure.
D. Magnetic particle inspection of trucks after thorough cleaning shall be performed. This
inspection shall pay particular attention to the welds and spring pockets.
E. Replace all nose supports, pins and rubber bushings and grommets in the trucks, and all
other elastomers subject to wear.
F. All tie rods, rubber bushings and pins shall be removed from the truck frame. New tie rods
and rubber bushings shall be installed.
G. Any damage to the truck discovered during examination which requires welding, all weld
repair and work shall be performed in accordance to OEM specifications.
H. Renew speedometer axle drive and sensor cable.
I. Traction motor combo units shall be installed into each reconditioned truck.
J. Reassembly of trucks shall be accomplished will all new hardware, nuts, bolts and pins.
Only EMD approved hardware shall be used.
K. Replace center bearing dust guard.
1.1.3.1 Journal Boxes

Journal boxes shall be inspected for wear and cracking, and repaired or replaced and qualified.
1.1.4 Liners and Wear Surfaces

All pedestal liners and wear surfaces shall be replaced or renewed with OEM specified new
components.
1.1.4.1 Tread Brakes and Rigging

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Tread brake heads shall be removed and reconditioned to OEM specifications:
A. Slack adjusters shall be reconditioned to a “like new” condition.
B. All brake shoes shall be renewed with Cobra composition shoes. Shoe part number, and
composition shall be submitted to the AUTHORITY as part of CDRL APPB1-001.
1.1.5 Traction Motors and Grar Boxes
A. All D77/78 traction motors shall be overhauled following EMD M.I.’s 3953 and 3912, or
approved equal. New 20 tooth pinions shall be installed on the motor shafts.
B. Traction motor gear cases shall be inspected, cleaned and reconditioned with new seals and
repaired or renewed as necessary to fully comply with OEM specifications.
C. Traction motors shall be assembled into complete wheel combo units with new wheels per
OEM specifications.
D. Traction motor gear cases shall be secured following EMD plate A3910F-1 with Huck
Fastener.
E. Renew all traction motor bellows to carbody.
F. Serial number records shall be updated for each locomotive, accounting for all serialized
TM/Gearbox components installed on the locomotive.
1.1.6 Truck Mounted Air Piping

A. Inspect and qualify all truck mounted air piping and pipe brackets. Repair or renew as
required.
B. Replace all air hoses running from all brake cylinder piping.
C. Brake cylinders shall be reconditioned.
1.1.7 Truck Painting

A. Before truck installation, the Contractor shall clean all accumulated dust, dirt or other
foreign matter off of the trucks. Contractor shall spray and air dry one coat of metal primer on
all exposed surfaces of the trucks and a final coat of an AUTHORITY approved DuPont paint,
or approved equal. Truck paint shall be of a type that will not conceal cracks that may develop
in service. Wheels, axles, exposed elastomers and brake shoes shall not be painted.
FRA requirements:
1. New identifying tags shall be applied as necessary.
2. All air cut out handles shall have a stainless steel identification tag attached adjacent
the valve with a stainless steel wire.

Table 8-1
RTA

CDRL APPB Truck and Suspension Overhaul Plan TBD by Contractor
-001
End of Section

RTA
C. F40PH Clearance Diagram
This Space Left Intentionally Blank

RTA
B. PROPOSAL FORMAT
Proposers shall include all of the items listed below in the order shown, in their Proposals. Each section
should be clearly labeled, with pages numbered and separated by tabs. This format is necessary for
evaluation purposes. A more detailed explanation of the requested services is found in Section III, the
Scope of Work. Proposers shall utilize Cost Form, Form 1, located in Section IV, to provide compensation
in response to the suggested requirements, to indicate cost of services.
Proposals shall be prepared simply and economically, providing a straightforward, concise description of
capabilities to satisfy the requirements of this Proposal. Emphasis should be on completeness and clarity
of content with sufficient detail to allow for accurate evaluation and comparative analysis.
Please be advised each Part referenced below is the minimum requirements requested by RTA.
Proposals shall include seven tabbed sections (Part 1, Part 2, Part 3, Part 4, Part 5, Part 6 and Part 7)
shall be indexed in the order outlined below. List questions and your responses and/or attachments
as numbered and listed within each section.
PART 1:
Cover Page and Cover Letter
All Proposals shall be accompanied by a cover letter of introduction and executive summary of the
Proposal.
• Qualifications, Experience, References and Samples

1. Briefly introduce your firm, providing a summary of administration, organization and
staffing of your firm, including multiple offices, if applicable.
2. In this section it should clearly state the contact person title and contact information.
3. Describe the experience of the firm in the last thirty six (36) months in performing
services of similar size and scope.
4. Provide references for similarly successful projects from three governmental agencies
(or regional districts), including the name of the agency, contact name, telephone, fax
and email address.
PART 2:
Project Team
1. Proposers must provide a Project Team Organizational Chart and identify key
individuals.
2. Provide a detailed availability for Project Team and key individuals.
3. A detailed Management Plan according to the scope.
4. Provide all key individual specific areas of experience.

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5. Provide information regarding customer service support including hours of availability.
PART 3:
Understanding of the RFP/ Work Methodology
• Quality of Proposal as it addresses the needs presented in the Scope.

1. Provide a summary of your understanding of the requirements of this Request for
Proposal.
2. Provide your expectations of RTA including Support Staff and resources.
3. Provide a clear; Contract Deliverables Requirement List, Quality Assurance Plan, Test
Procedures, Master Test Plan, and Compatibility & Road Plan.
4. Your Test Program Plan and Procedures should address the following:
a. Test Program Plan and Procedures:
b. Are critical specified performance criteria demonstrated by tests, by acceptable

analysis, or prior agency certified tests?
c. Are acceptance tests sufficient to demonstrate that each vehicle is compliant

through testing of representative criteria?
d. Is the test program valid for the vehicle and the intended infrastructure? For
instance are new vehicle designs on new infrastructure treated to a different
approach (a full system test for example) than existing vehicle designs? Existing
vehicle designs previously tested on the existing infrastructure might only
require vehicle testing to ensure satisfactory interfacing with the existing
infrastructure?
e. Do the qualification and acceptance test criteria ensure the vehicles “as
delivered” will meet the Grantee’s needs within acceptable boundaries without
having to repeat qualification tests?
f. Do test procedures refer to applicable sections of the specification?
g. Are test procedures up-to-date and do they reflect the latest design
configurations? Will the test plan validate all analyses?
h. Will the test plan validate performance that has not been analyzed?
i. Will the acceptance testing proposed validate production results and fleet
performance?
j. Does the test plan and CDRL ensure the vehicle will perform on the actual
infrastructure?

RTA

5. Your Contract Deliverable Requirement List should include:
a. Does the CDRL ensure that all critical performance issues are adequately
analyzed, including:
b. Structural strength and fatigue resistance of rail vehicle body and truck or bus
vehicle frame and chassis
c. Brake performance and compliance with industry practice and safety
regulations
d. Propulsion performance
e. Dynamic performance
f. HVAC performance
g. Dynamic envelope, loading gauge, and clearance requirements
h. Controls and interlocks
i. Weight management
j. Safety management
k. Reliability management
l. Availability management
m. Maintainability and Mean Time To Repair
n. Hardware and Software safety program
o. Locomotive Electronics Safety Analysis (if applicable)
p. Does the CDRL schedule assure that performance is proved by analysis before
start of sub-assembly production?
PART 4:
Master Program Schedule
1. Describe your overall project approach and implementation plan (including milestones)
for this project.
2. Master Program Schedule must include a projected timeline, outlining the major steps
of each component of the locomotives and a schedule demonstrating estimated length
of time required to complete each.
PART 5:
Training & Acceptance Plan / Warranty
1. Provide detail information regarding your training material and plans according to the
scope.
2. Provide a copy of the pre-delivery inspection form.
3. Your Acceptance Plan should address the follow:
a. Are the qualification and acceptance tests a full validation of the vehicle
performance?
b. Does vehicle acceptance validate the fleet performance within acceptable
tolerances?
c. Have Vehicle History Books been completed and do they represent the
configuration of the as-built vehicles supplied?

RTA

d. Have systems integration tests been completed satisfactorily with a validated
vehicle configuration?
e. Have spare parts, manuals, and training been supplied to support revenue service?
f. Are all open items and warranty or fleet deficiencies being addressed?
g. Are safety and security Certification Items List (CIL) completed or satisfactorily
disposed to allow for safe and secure operation?
h. Have reliability, maintainability and other proof of design been addressed or
completed
PART 6:
Cost
RTA requests that the firms interested in responding complete Form I, located in Section IV. If a discount
off retail pricing for items not specifically listed on Form I is available, please provide that information.
Also include any other pricing discounts or offers that will assist RTA in obtaining the best possible
pricing for the services provided.
• Rates and Expenses

1. Provide detailed information and pricing for each locomotive.
2. In this section, you may provide us with your proposed rates and expenses. Proposers
are encouraged to offer more options in addition to what is listed in the Scope.
3. Provide any discount for non-standard services, volume discounts or any other special
price offered.
PART 7:
FTA REQUIRED FORMS
RTA requests the Proposers interested in responding complete the following forms located in Section IV
FTA Model Clauses and Required Forms.
• Forms
1. Please review, sign and submit forms. If a form is not applicable to your organization
please indicate not applicable and SUBMIT.
*Proposal Forms, Licensing and Permits

DBE Compliance
Cost Form References Buy America
Statement
Acknowledgment of Affidavits of
Notice to Proposers Insurance Certificate
Addenda Compliance DBE
Affidavit & Information Certification Debarment,

Certificate of Authority DBE Certificate
Required for Proposers Suspension Lower-Tier

RTA

Certification of Certification of
Proposers Certification of
Restrictions on Debarment, Suspension License
Eligibility
Lobbying Primary
Compliance Specifications Affidavits Subcontractors Permits
*All forms may not apply but must be submitted and indicate not applicable*
PART 7:
ACCEPTANCE OF THE PROPOSED CONTRACT TERMS AND CONDITIONS
Indicate any exceptions to the Scope of Work, general terms and conditions or other requirements listed
in the Proposed Contract.
• Overall quality of response and compliance to requirements and acceptance.
1. Signature is not required on the Proposed Contract included in the Proposal; however,
any exceptions or proposed changes to the terms and conditions must be proposed on a
separate attachment. RTA reserves the right to make changes to the Proposed Contract.

RTA

C. GENERAL TERMS AND CONDITIONS
1. GENERAL REQUIREMENTS
The Parties shall fully cooperate with one another, and shall take any additional acts that may be
necessary, appropriate or convenient to attain the purposes of this Proposal and any contract entered
into.
2. PROPOSERS AFFIDAVITS NON-COLLUSION
The Proposers guarantees that the Proposal submitted is not a product of collusion with any other
Proposers and no effort made to fix the Proposal price of any Proposers, or to fix any overhead, profit or
cost elements of any Proposal price. An affidavit of non-collusion form is included and must be signed
and submitted with Proposal.
3. INSURANCE REQUIREMENTS
During the term of this Contract, Proposer shall, at its sole expense, obtain and maintain in full force and
effect for the duration of the Contract and any extension hereof the types and amounts of insurance
identified below by a check mark.
a) ☒Products Liability Insurance in the amount of one million ($1,000,000) dollars (If the
Contractor will be shipping to a receiving department at RTA)
b) ☒
General Liability Insurance in the amount not less than one million dollars ($1,000,000)
combined single limits each occurrence for bodily injury and property damage.
c) ☐Professional liability insurance, errors & omissions insurance, or malpractice insurance,

whichever may be customary in the professional field, in the minimum amount of one million dollars
($1,000,000.00) per claim/annual aggregate. Such coverage must be maintained for a period of three
(3) years following termination of this Contract or final acceptance by RTA of the Services, whichever is
later. This provision shall expressly survive the termination of the Services or the Contract.
d) ☒Automobile Liability Insurance in the amount not less than a combined single limit of one
million dollars ($1,000,000) covering Contractor’s owned, non-owned, leased or rented vehicles.
☒
e) Worker's Compensation Insurance with statutory limits required by the State of Tennessee
or other applicable laws and employer’s liability insurance with limits of no less than one hundred
thousand ($100,000) dollars, as required by the laws of Tennessee. (Not required for companies with
fewer than five (5) employees).
f)☐ Other insurance

g) ☐ Such insurance shall:

RTA

1. Contain or be endorsed to contain a provision that includes Covered Entities as additional
insureds and loss payees with respect to liability arising out of work or operations
performed by or on behalf of Contractor including materials, parts, or equipment furnished
in connection with such work or operations. The coverage shall contain no special
limitations on the scope of its protection afforded to the Covered Entities.
2. For any Claims related to this Contract, Contractor’s insurance coverage shall be primary
insurance as respect to the Covered Entities. Any insurance or self-insurance programs
covering the Covered Entities shall be excess of Contractor’s insurance and shall not
contribute with it.
3. Regarding Automotive Liability Insurance including vehicles owned, hired, and non-
owned, said insurance shall include coverage for loading and unloading hazards. Insurance
shall contain or be endorsed to contain a provision that includes the Covered Entities as
additional insureds with respect to Claims and liability arising out of automobiles owned,
leased, hired or borrowed by or on behalf of Contractor.
4. Contractor shall maintain workers’ compensation insurance, if applicable, with statutory

limits as required by the State of Tennessee or other applicable laws and liability insurance.
Contractor shall require each of its subcontractors to provide workers’ compensation
insurance for all of the latter’s employees to be engaged in such work unless employees are
covered by Contractor’s workers’ compensation insurance coverage.
5. Other Insurance Requirements. Contractor shall:
a) Prior to commencement of the Services, furnish RTA with original certificates and
amendatory endorsements effecting coverage required by this Section 16 of the
proposed contract and provide that such insurance shall not be cancelled, allowed to
expire, or be materially reduced in coverage except on thirty (30) days’ prior written
notice to RTA.
b) Provide certified copies of endorsements and policies if requested by RTA in lieu of or

in addition to certificates of insurance.
c) Replace certificates, policies, and/or endorsements for any such insurance expiring
prior to completion of services.
d) Maintain such insurance from the time the Services commence until completed.
Failure to maintain, renew coverage or provide evidence of renewal as required by RTA
may be treated by RTA as a material breach and Default under this Contract.
e) Place such insurance with insurer licensed to do business in Tennessee and having
A.M. Best Company ratings of no less than A-. Modification of this standard may be
considered upon written appeal to the RTA Director of Risk Management Services.

RTA

f) Require all subcontractors to maintain during the Term of this Contract Commercial
General Liability insurance, Business Automobile Liability insurance, and Worker’s
Compensation/Employers Liability insurance (unless subcontractor’s employees are
covered by Contractor’s insurance) in the same manner as specified for Contractor.
Contractor shall file subcontractor’s certificates of insurance as required by RTA.
g) Disclose any deductibles and/or self-insured retentions greater than ten thousand
dollars ($10,000) and obtain RTA’s written approval of such deductibles and/or self-
insured retentions prior to the commencement of the Services.
h) Not have, if Contractor has or obtains primary and excess policies, any gap between
the limits of the primary policy and the deductible features of the excess policies.
Upon request, the Proposers will provide a Certificate of Coverage with the Regional Transportation
Authority of Middle Tennessee named as Certificate Holder.
The Proposers shall indemnify and hold harmless RTA from any and all damages, loss or injury, lawsuits,
claims, demands or liens resulting from any performance of Proposer’s employees or subcontractors.
4. INTEREST OF MEMBERS OF RTA
No member of the governing body of RTA, other officer, employee or agent of RTA who exercises any
functions or responsibilities in connection with the carrying out of the activities, to which this Contract
pertains, shall have any personal interest, direct or indirect, in this Contract.
5. INTEREST OF OTHER LOCAL PUBLIC OFFICIALS AND STATE OFFICIALS
No member of the governing body of Metro, and no other public official of such locality, who exercises
any functions or responsibilities in the review or approval of the carrying out of activities to which this
Contract pertains, shall have any personal interest, direct or indirect, in this Contract. No part of the
proceeds shall be paid directly or indirectly to any officer or employee of the State of Tennessee as
wages, compensation or gifts in exchange for acting as officer, agent, employee, subcontractor, or
Proposers to RTA in connection with any work contemplated or performed relative to this Contract.
6. INTEREST OF MEMBERS, OR DELEGATES TO CONGRESS
In accordance with 18 U.S.C. Section 431, no member of, or delegate to, the Congress of the United
States shall be admitted to any share or part of this Contract, or to any benefit arising there from.
7. INTEREST OF THE PROPOSERS
The Proposers covenants that it presently has no interest and shall not acquire any interest, direct or
indirect, which would conflict in any manner or degree with the performance of services required to be
performed under this Contract. The Proposers further covenants that no person having such interest
shall be employed in the performance of this Contract.

RTA

8. WORKERS COMPENSATION ACT
The Proposers shall comply with the State Law known as the Workers’ Compensation Act and shall pay
into the State insurance fund the necessary premiums required by the Act to cover all employees
furnishing said services to RTA, and under the control of the Proposers, and shall relieve RTA from any
costs due to accidents and other liabilities mentioned in said Act.
9. SOCIAL SECURITIES ACT
The Proposers shall be and remain an independent Proposers with respect to all services performed and
agrees to and does accept full and exclusive liability for payment of any and all contributions or taxes for
social security, unemployment insurance, and retirement benefits or annuities imposed under any State
and Federal law which are measured by the wages, salaries, or other remunerations paid to persons by
the Proposers for work performed under the terms of this contract. The Proposers agrees to obey all
lawful rules and regulations and to meet all lawful requirements which are now or may be issued or
promulgated under laws authorized by State or Federal officials; and Proposers also agrees to indemnify
and save harmless the RTA from any contributions or liability therefore.
10. EQUAL EMPLOYMENT OPPORTUNITY
In implementing the Project/Contract, the Proposers may not discriminate against any employee or
applicant for employment because of race, color, creed, sex, disability, age or national origin. The
Proposers agrees to take affirmative action to ensure that applicants are employed, and that employees
are treated during employment, without regard to their race, color, creed, sex, disability, age or national
origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion
or transfer, recruitment or recruitment advertising, layoff or termination; rates of pay or other forms of
compensation; and selection for training, including apprenticeship. The Proposers shall insert the
foregoing provisions (modified only to show the particular contractual relationship) in all subcontracts,
except subcontracts for standard commercial supplies or raw materials.
11. AUTHORITY TO ENTER CONTRACT
The Proposers has all requisite power and authority to conduct its business and to execute, deliver, and
perform services specified in the Proposal and any Contract that may be issued. The Proposers warrants
that the individuals who have signed the Proposal have the legal right and authority to bind the
Proposers.
12. AUTHORIZATION OF PROPOSAL
If the Proposal is made by an individual doing business under an assumed name, the Proposal shall so
state. If the Proposal is made by a partnership, the full name and addresses of each member and the
address of the partnership shall be given and the Proposal shall be signed by one member thereof. If
the Proposal is made by a corporation, it shall be signed in the corporate name by an authorized officer.
If the Proposal is made by a joint venture, the full name and address of each member of the joint

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venture shall be given and the Proposal shall be signed by each venture. Form(s) is included to be filled
out and submitted with Proposal.
13. SUBCONTRACT APPROVAL
Proposers shall contain a provision making the subcontractor(s) subject to all provisions stipulated in the
Contract. The Proposers shall be fully responsible for all services performed by any subcontractor.
14. COST/PRICE ANALYSIS
RTA reserves the right to conduct a cost or price analysis for any purchase or service. RTA may be
required to perform a cost/price analysis when competition is lacking for any purchase. Sole source
procurements or procurements which result in a single Proposal received, will be subject to a cost/price
analysis, which will include the appropriate verification of cost date, the evaluation of specific elements
of costs and the projection of the data to determine the effect on Proposal prices. RTA may require a
pre-award audit, and potential Proposers shall be prepared to submit data relevant to the proposed
work which will allow RTA to sufficiently determine that the proposed price is fair, reasonable, and in
accordance with Federal, State, and local regulations. Procurements resulting in a single Proposal will
be treated as a negotiated procurement and RTA reserves the right to negotiate with the single
Proposers to achieve a fair and reasonable price. If both parties cannot agree upon a negotiated price,
RTA reserves the right to reject the single Proposal.
All contract change orders or modifications will be subject to a cost analysis.
15. PRICING
The price quoted in any Proposal submitted shall include all necessary cost to complete the services in
accordance with the specifications. Anything omitted from such specifications, which are clearly
necessary, shall be considered a portion of such cost although not directly specified or called for in the
specifications. Proposers should note discounts.
16. PROMPT PAYMENT
The Proposers agrees to pay each subcontractor for satisfactory performance of its contract no later
than 30 days from receipt of each payment the Proposers receives from RTA. The Proposers agrees
further to return retainage payments to each subcontractor within 30 days after the subcontractor work
is satisfactorily completed. Any delay or postponement of payment from the above reference may
occur only for good cause following written approval of RTA. This clause applies to both DBE and non
DBE subcontractors. If the Proposers determine the work to be unsatisfactory, it must notify RTA
immediately, in writing, and state the reasons. Failure to comply with this requirement would be
construed to be a breach of contract and subject to contract termination.
17. PROTEST
A. Definitions for Purposes of the section

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The term “days” refers to working days of the Authority.
The term “interested party” means any person (a) who is an actual Proposer or prospective Proposers in
the procurement involved, and (b) whose direct economic interest would be affected by the award of
the contract or by a failure to award the contract.
Note – The Federal Transit Administration (FTA) will be notified by the Authority of all formal, written
protests, when FTA funds are involved.
B. Regional Transportation Authority of Middle Tennessee (RTA) will hear and consider a bona fide
protest regarding its procurement actions. It is anticipated that the majority of protests will be
evaluated and finally decided by the Authority. Accordingly, the Authority intends to provide a thorough
review of all bona fide Proposal protests. The Authority’s primary concern, however, is the timely
procurement of needed capital equipment, supplies or services. It does not intend to allow the filing of
protests to unnecessarily delay the procurement process, especially if the protest involved is vexatious
or frivolous in nature.
Notwithstanding the availability of these protest procedures, any interested party is encouraged to
exhaust all methods described in this section of resolving an issue before filing a formal protest with the
Authority. In its consideration of a protest, the Authority reserves the right to give due consideration to
the good faith efforts of the protestor to resolve the issue involved through informal methods.
C. Submission of Protest
Any interested party may file a protest with the Authority on the basis that the Authority has failed to
comply with applicable Federal or State Regulations or with the Authority’s Procurement Process. The
protest must be filed in accordance with the timing requirements set forth in subsection D. “Types of
Protests and Timing” of this section, and must include: The name, phone number, e-mail and address of
the protestor.
The Proposal and proposed contract number of the Proposal.
A statement of grounds for the protest, a statement as to what relief is requested, and in particular the
Federal or State law or Authority Process alleged to have been violated. This statement should be
accompanied by any supporting documentation the protesting party desires the Authority to consider in
making its decision. Protest should be submitted to:
Procurement Manager
430 Myatt Drive
Nashville, TN 37115
D. Types of Protests and Timing
The requirement for timely filing of protest with the Authority will depend upon the type of protests
involved. The Authority will consider the following three types of protest by interested parties:

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1. Protest regarding Proposal
Any protest regarding the Proposal must be filed no later than five (5) business days before Proposal due
date. Any protest filed after that date regarding the Proposal will not be considered by the Authority.
This type of protest would include any claim that the Proposal contained exclusionary or discriminatory
specification, any challenge to the basis of award, or any claim that the Proposal documents or the
Proposal process violated applicable Federal or State law, or that the Authority failed to follow its
Procurement Process in the Proposal.
2. Protests regarding Requirements and Responsiveness
Any protest regarding the requirements and responsiveness of Proposal by the Authority must be filed
with Authority no later than five (5) business days after receipt of letter of notification of non-
responsiveness. Any protest filed after such date regarding the requirements and responsiveness will
not be considered by the Authority.
This type of protest would include any challenge to determinations by the Authority of the
responsiveness of or the responsibility of a Proposer, or any claim that the requirements and
responsiveness of Proposal violated Federal or State law or the Authority’s Procurement Process.
3. Protest Regarding Receipt of Non-Award Notification
Any protest regarding the award of the contract must be filed no later than five (5) business days after
receipt of Non- Award Notification. Any protest regarding the award of the contract filed after that date
will not be considered by the Authority.
This type of protest will only be entertained by the Authority if the protestor is able to demonstrate that
the party awarded the contract fraudulently represented itself as a responsible Proposers or that the
Authority violated Federal or State regulations or its Procurement Process in the award of the contract.
E. Authority Response
The Authority will notify the protestor upon timely receipt of a protest and may, where appropriate,
request additional information from the protestor. The Authority may, at its discretion, meet with
protestor to review the matters raised by the protest. The Authority’s consideration of the particular
types of protests will, except as otherwise stated in subsection 2. “Decisions by Authority” of this section
E. “Authority Response” in accordance with the following provisions:
1. Types of Protests
a. Protest regarding Proposal
Upon receipt of a timely filed protest regarding the Proposal, the Authority will
postpone the opening until resolution of the protest. No additional Proposals will be
accepted during the period of postponement.

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If the protest regarding the Proposal involves a claim of unduly restrictive or
exclusionary specifications, the Authority will, in evaluation of the protest, consider both
the specific need of the Authority for the feature or item challenged and any effects on
competition of including the specifications regarding that feature or item. If the
Authority determines that such feature or item was included in the specification in
order to meet justified and valid transit needs of the Authority, and was not unduly
restrictive of competition or designed to exclude a particular competitor, then the
Authority will have grounds to deny the protest.
b. Protest regarding requirement and responsiveness
Upon receipt of a timely filed protest regarding the requirements responsiveness, the
Authority will suspend its evaluation of all Proposals submitted until resolution of the
protest, if the Authority determines that the protestor has established that there are
reasonable doubts regarding the responsiveness of a Proposal or the responsibility of a
Proposers or regarding the Authority’s compliance with Federal or State Regulations or
its Procurement Process.
c. Protests after non-award notification
Upon receipt of a timely filed protest regarding the non-award notification the Authority
will not proceed with contract, if necessary, until the resolution of the protest if the
Authority determines that the protestor has established a prima facie case that the
contract was awarded fraudulently or in violation of that Federal or State Regulations or
the Authority’s Procurement Process.
2. Decisions by Authority
As indicated above, in most instances the Authority will suspend the procurement process upon receipt
of a bona fide protest. However, the Authority reserves the right, notwithstanding the pendency of a
protest, to proceed with the appropriate action in the procurement process or under the contract in the
following cases:
A. where the item to be procured is urgently required;

B. where the Authority determines that the protest was vexatious or frivolous; and
C. where delivery or performance will be unduly delayed or other undue harm will
occur, by failure to make the award promptly.
After reviewing the protest submitted under this section, the Authority will issue a written decision of
the basis of the information provided by the protestor, the results of any meetings with protestor, and
the Authority’s own investigation. If the protest is upheld, the Authority will take appropriate action to
correct the procurement process and protect the rights of the protestor, revised evaluation of Proposal
or Authority determinations, or termination of the contract. If the protest is denied, the Authority will
lift any suspension imposed and proceed with the procurement process.

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F. FTA Protest Procedure
Reviews of protests by FTA will be limited to claims that the Authority failed to have or follow protest
procedures, or claims the Authority failed to review a complaint or protest. A protestor must exhaust all
administrative remedies with the Authority before pursuing a protest with FTA. An appeal to FTA must
be received by the cognizant FTA regional or Headquarters Office within five (5) working days of the
date the protester knew or should have known of the violation.
Under certain circumstances, protest may be made to the FTA in accordance with FTA circular 4220.1F.
Violations of Federal law or regulation will be handled by the complaint process stated within that law
or regulation. Violations of State or local law or regulations will be under the jurisdiction of State or local
authorities.
18. ADDITIONAL SERVICES REQUEST
RTA reserves the right to request Additional Services under this Proposal that may not be specifically
identified within. Proposers are encouraged to identify and provide supporting statements for any other
area(s) of services not listed in the Scope that may be related to Additional Services and the work of
RTA.
19. PROPOSED CONTRACT ALTERATIONS
No alterations or variables in the terms of the Proposal and /or of the Proposed Contract shall be valid
or binding upon RTA unless authorized in writing by RTA.
20. ASSIGNABILITY
Any public agency (i.e., city, district, public agency, municipality, and other political subdivision or any
FTA-funded entity) shall have the option of participating in any award made as a result of a Proposal
and/or contract at the same prices, terms and conditions. RTA reserves the right to assign any or all
portions of Services awarded under this Proposal and/or contract. This assignment, should it occur, shall
be agreed to by RTA and Proposers. Once assigned, each agency will enter into its own contract and be
solely responsible to the Proposers for obligations to the service assigned. RTA’s right of assignment will
remain in force over the contract period or until completion of the contract including options, whichever
occurs first. RTA shall incur no financial responsibility in connection with contracts issued by another
public agency. The public agency shall accept sole responsibility for placing service and payments to the
Proposers.
21. PUBLICATION AND MEDIA RESTRICTIONS
The Contractor shall not publish or reproduce subject data in whole or in part, or in any manner or form,
without the advance written consent of RTA, unless the RTA has released or approved the release of
that data to the public.
22. GRATUITIES AND KICKBACKS

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It shall be a breach of ethical standards for any person to offer, give or agree to give any employee or
former employee, or for any employee or former employee to solicit, demand, accept or agree to accept
from another person, a gratuity or an offer of employment in connection with any decision, approval,
disapproval, recommendation, preparation of any part of a program requirement or a purchase request,
influencing the content of any specification or procurement standard, rendering of advice, investigation,
auditing or in any other advisory capacity in any proceeding or application, request for ruling,
determination, claim or controversy or other particular matter, pertaining to any program requirement
of a contract or subcontract or to any Proposal or Proposal therefore. It shall be a breach of ethical
standards for any payment, gratuity or offer of employment to be made by or on behalf of a
subcontractor under a contract to the prime contractor or higher tier subcontractor or a person
associated therewith, as an inducement for the award of a subcontract or order. Breach of the
provisions of this paragraph is, in addition to a breach of this contract, a breach of ethical standards
which may result in civil or criminal sanction and/or debarment or suspension from being a contractor
or subcontractor under RTA contracts.
END SECTION III

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IV. FEDERAL TRANSIT ADMINISTRATION CLAUSES AND FORMS
1. CONTRACT DOCUMENTS
Any contract resulting from this Proposal shall include the following;
• Request for Proposal No 2018827 and all addenda

• Applicants Offer and Guarantee
• Proposal Award/Contract
The Contractor and appropriate parties of Agencies will sign to execute contract.
Federal requirements may apply to this procurement and any future contract. If those requirements
change then the most recent requirements shall apply. The Federal Government requires that activities
financed in part, with Federal funds, and performed by a third party contractor and/or its
subcontractors on behalf of the Agencies must be in accordance with Federal requirements.
All subcontracts and subcontractors employed under this contract are subject to the same conditions
and regulations as set forth herein unless specifically exempted.
The prime contractor shall ensure that its subcontractor’s at all tiers are aware of and comply with these
Federal regulations. The prime contractor is liable for subcontractor’s compliance failures. Failure to
comply will render the prime contractor responsible for damages and/or contract termination.
2. NO GOVERNMENT OBLIGATION TO THIRD PARTIES
a) The recipient and contractor acknowledge and agree that, notwithstanding any concurrence by
the US Government The recipient and contractor acknowledge and agree that, notwithstanding
any concurrence by the US Government in or approval of the Proposal or award of the
underlying contract, absent the express written consent by the US Government, the US
Government is not a party to this contract and shall not be subject to any obligations or
liabilities to the recipient, the contractor, or any other party (whether or not a party to that
contract) pertaining to any matter resulting from the underlying contract.
b) Contractor agrees to include the above clause in each subcontract financed in whole or in part
with FTA assistance. It is further agreed that the clause shall not be modified, except to identify
the subcontractor who will be subject to its provisions.
3. PROGRAM FRAUD AND FALSE OR FRAUDULENT STATEMENTS OR RELATED ACTS
a) Contractor acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986,
as amended, 31 USC 3801 et seq. and USDOT regulations, "Program Fraud Civil Remedies," 49
CFR 31, apply to its actions pertaining to this project. Upon execution of the underlying contract,
contractor certifies or affirms the truthfulness and accuracy of any statement it has made, it
makes, it may make, or causes to be made, pertaining to the underlying contract or FTA assisted

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project for which this contract work is being performed. In addition to other penalties that may
be applicable, contractor further acknowledges that if it makes, or causes to be made, a false,
fictitious, or fraudulent claim, statement, submittal, or certification, the US Government
reserves the right to impose the penalties of the Program Fraud Civil Remedies Act (1986) on
contractor to the extent the US Government deems appropriate.
b) If contractor makes, or causes to be made, a false, fictitious, or fraudulent claim, statement,

submittal, or certification to the US Government under a contract connected with a project that
is financed in whole or in part with FTA assistance under the authority of 49 USC 5307, the
Government reserves the right to impose the penalties of 18 USC 1001 and 49 USC 5307(n)(1)
on contractor, to the extent the US Government deems appropriate.
c) Contractor shall include the above two clauses in each subcontract financed in whole or in part
with FTA assistance. The clauses shall not be modified, except to identify the subcontractor who
will be subject to the provisions.
4. ACCESS TO RECORDS AND REPORTS
The following access to records requirements apply to this Contract:
a) Where the purchaser is not a State but a local government and is an FTA recipient or a sub
grantee of FTA recipient in accordance with 49 CFR 18.36(i), contractor shall provide the
purchaser, the FTA, the US Comptroller General or their authorized representatives access to
any books, documents, papers and contractor records which are pertinent to this contract for
the purposes of making audits, examinations, excerpts and transcriptions. Contractor shall also,
pursuant to 49 CFR 633.17, provide authorized FTA representatives, including any PMO
contractor, access to contractor's records and construction sites pertaining to a capital project,
defined at 49 USC 5302(a)1, which is receiving FTA assistance through the programs described at
49 USC 5307, 5309 or 5311.
b) Where the purchaser is a State and is an FTA recipient or a sub grantee of FTA recipient in
accordance with 49 CFR 633.17, contractor shall provide the purchaser, authorized FTA
representatives, including any PMO Contractor, access to contractor's records and construction
sites pertaining to a capital project, defined at 49 USC 5302(a) 1, which receives FTA assistance
through the programs described at 49 USC 5307, 5309 or 5311. By definition, a capital project
excludes contracts of less than the simplified acquisition threshold currently set at $100,000.
c) Where the purchaser enters into a negotiated contract for other than a small purchase or under
the simplified acquisition threshold and is an institution of higher education, a hospital or other
non-profit organization and is an FTA recipient or a sub grantee of FTA recipient in accordance
with 49 CFR 19.48, contractor shall provide the purchaser, the FTA, the US Comptroller General
or their authorized representatives, access to any books, documents, papers and record of the
contractor which are directly pertinent to this contract for the purposes of making audits,
examinations, excerpts and transcriptions.

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d) Where a purchaser which is an FTA recipient or a sub grantee of FTA recipient in accordance
with 49 USC 5325(a) enters into a contract for a capital project or improvement (defined at 49
USC 5302(a)1) through other than competitive process, contractor shall make available records
related to the contract to the purchaser, the Secretary of USDOT and the US Comptroller
General or any authorized officer or employee of any of them for the purposes of conducting an
audit and inspection.
e) Contractor shall permit any of the foregoing parties to reproduce by any means whatsoever or
to copy excerpts and transcriptions as reasonably needed.
f) Contractor shall maintain all books, records, accounts and reports required under this contract
for a period of not less than three (3) years after the date of termination or expiration of this
contract, except in the event of litigation or settlement of claims arising from the performance
of this contract, in which case contractor agrees to maintain same until the recipient, FTA
Administrator, US Comptroller General, or any of their authorized representatives, have
disposed of all such litigation, appeals, claims or exceptions related thereto. Re: 49 CFR 18.39(i)
(11)
FTA does not require the inclusion of these requirements in subcontracts.
5. FEDERAL CHANGES
All Contracts except micro-purchases ($3,000 or less, except for construction contracts over $2,000)
Contractor shall comply with all applicable FTA regulations, policies, procedures and directives, including
without limitation those listed directly or by reference in the Master Agreement between the purchaser
and FTA, as they may be amended or promulgated from time to time during the term of the contract.
Contractor's failure to comply shall constitute a material breach of the contract.
6. TERMINATION
a) Termination for Convenience (General Provision) the recipient may terminate this contract, in
whole or in part, at any time by written notice to contractor when it is in the recipient's best
interest. Contractor shall be paid its costs, including contract close-out costs, and profit on work
performed up to the time of termination. Contractor shall promptly submit its termination claim
to the recipient. If contractor is in possession of any of the recipient’s property, contractor shall
account for same, and dispose of it as the recipient directs.
b) Termination for Default [Breach or Cause] (General Provision) If contractor does not deliver
items in accordance with the contract delivery schedule, or, if the contract is for services, and
contractor fails to perform in the manner called for in the contract, or if contractor fails to
comply with any other provisions of the contract, the recipient may terminate this contract for
default. Termination shall be effected by serving a notice of termination to contractor setting
forth the manner in which contractor is in default. Contractor shall only be paid the contract

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price for supplies delivered and accepted, or for services performed in accordance with the
manner of performance set forth in the contract.
If it is later determined by the recipient that contractor had an excusable reason for not performing,
such as a strike, f ire, or flood, events which are not the fault of or are beyond the control of
contractor, the recipient, after setting up a new delivery or performance schedule, may allow
contractor to continue work, or treat the termination as a termination for convenience.
c) Opportunity to Cure (General Provision) the recipient in its sole discretion may, in the case of a
termination for breach or default, allow contractor an appropriately short period of time in
which to cure the defect. In such case, the notice of termination shall state the time period in
which cure is permitted and other appropriate conditions If contractor fails to remedy to the
recipient's satisfaction the breach or default or any of the terms, covenants, or conditions of this
Contract within ten (10) days after receipt by contractor or written notice from the recipient
setting forth the nature of said breach or default, the recipient shall have the right to terminate
the Contract without any further obligation to contractor. Any such termination for default shall
not in any way operate to preclude the recipient from also pursuing all available remedies
against contractor and its sureties for said breach or default.
d) Waiver of Remedies for any Breach In the event that the recipient elects to waive its remedies
for any breach by contractor of any covenant, term or condition of this Contract, such waiver by
the recipient shall not limit its remedies for any succeeding breach of that or of any other term,
covenant, or condition of this Contract.
e) Termination for Convenience or Default (Cost-Type Contracts) the recipient may terminate this
contract, or any portion of it, by serving a notice or termination on contractor. The notice shall
state whether termination is for convenience of the recipient or for default of contractor. If
termination is for default, the notice shall state the manner in which contractor has failed to
perform the requirements of the contract. Contractor shall account for any property in its
possession paid for from funds received from the recipient, or property supplied to contractor
by the recipient. If termination is for default, the recipient may fix the fee, if the contract
provides for a fee, to be paid to contractor in proportion to the value, if any, of work performed
up to the time of termination. Contractor shall promptly submit its termination claim to the
recipient and the parties shall negotiate the termination settlement to be paid to contractor. If
termination is for the recipient’s convenience, contractor shall be paid its contract closeout
costs, and a fee, if the contract provided for payment of a fee, in proportion to the work
performed up to the time of termination.
If, after serving a notice of termination for default, the recipient determines that contractor has an
excusable reason for not performing, such as strike, fire, flood, events which are not the fault of and are
beyond the control of contractor, the recipient, after setting up a new work schedule, may allow
contractor to continue work, or treat the termination as a termination for convenience.
7. CIVIL RIGHTS REQUIREMENTS

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a) Nondiscrimination - In accordance with Title VI of the Civil Rights Act, as amended, 42 USC
2000d, Sec. 303 of the Age Discrimination Act (1975), as amended, 42 USC 6102, Sec. 202 of the
Americans with Disabilities Act (1990), 42 USC 12132, and 49 USC 5332, contractor shall not
discriminate against any employee or applicant for employment because of race, color, creed,
national origin, sex, age or disability. Contractor shall also comply with applicable Federal
implementing regulations and other requirements FTA may issue.
b) Equal Employment Opportunity - The following equal employment opportunity requirements

apply to the underlying contract:
c) Race, Color, Creed, National Origin, Sex - In accordance with Title VII of the Civil Rights Act, as
amended, 42 USC 2000e, and 49 USC 5332, contractor shall comply with all applicable equal
employment opportunity requirements of USDOL, "Office of Federal Contract Compliance
Programs, Equal Employment Opportunity, USDOL," 41 CFR 60 et seq., (implementing Executive
Order No. 11246, "Equal Employment Opportunity," as amended by Executive Order No. 11375,
"Amending Executive Order 11246 Relating to Equal Employment Opportunity," 42 USC 2000e),
and any applicable Federal statutes, executive orders, regulations, and policies that may in the
future affect construction activities undertaken in the course of the project. Contractor shall
take affirmative action to ensure that applicants are employed, and that employees are treated
during employment, without regard to their race, color, creed, national origin, sex or age. Such
action shall include, but not be limited to, the following: employment, upgrading, demotion or
transfer, recruitment or recruitment advertising, layoff or termination; rates of pay or other
forms of compensation; and selection for training, including apprenticeship. In addition,
contractor shall comply with any implementing requirements FTA may issue.
d) Age - In accordance with Sec. 4 of the Age Discrimination in Employment Act (1967), as
amended, 29 USC 623 and 49 USC 5332, contractor shall refrain from discrimination against
present and prospective employees for reason of age. Contractor shall also comply with any
implementing requirements FTA may issue.
e) Disabilities - In accordance with Sec. 102 of the Americans with Disabilities Act (ADA), as
amended, 42 USC 12112, contractor shall comply with the requirements of US Equal
Employment Opportunity Commission (EEOC), Regulations to Implement Equal Employment
Provisions of the Americans with Disabilities Act, 29 CFR 1630, pertaining to employment of
persons with disabilities. Contractor shall also comply with any implementing requirements FTA
may issue.
Contractor shall include these requirements in each subcontract financed in whole or in part with FTA
assistance, modified only if necessary to identify the affected parties.
8. DISADVANTAGED BUSINESS ENTERPRISE
a) This contract is subject to the requirements of Title 49, Code of Federal Regulations, Part 26,
Participation by Disadvantaged Business Enterprises in Department of Transportation Financial

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Assistance Programs. The national goal for participation of Disadvantaged Business Enterprises
(DBE) is 10%. The agency’s overall goal for DBE participation is 2 %. A separate contract goal has
not been established for this procurement.
b) The contractor shall not discriminate on the basis of race, color, national origin, or sex in the
performance of this contract. The contractor shall carry out applicable requirements of 49 CFR
Part 26 in the award and administration of this DOT-assisted contract. Failure by the contractor
to carry out these requirements is a material breach of this contract, which may result in the
termination of this contract or such other remedy as RTA deems appropriate. Each subcontract
the contractor signs with a subcontractor must include the assurance in this paragraph (see 49
CFR 26.13(b)).
9. INCORPORATION OF FEDERAL TRANSIT ADMINISTRATION (FTA) TERMS
The preceding provisions include, in part, certain Standard Terms & Conditions required by USDOT,
whether or not expressly stated in the preceding contract provisions. All USDOT-required contractual
provisions, as stated in FTA Circular 4220.1F, are hereby incorporated by reference. Anything to the
contrary herein notwithstanding, all FTA mandated terms shall be deemed to control in the event of a
conflict with other provisions contained in this Agreement. The contractor shall not perform any act, fail
to perform any act, or refuse to comply with any request that would cause the recipient to be in
violation of FTA terms and conditions.
10. GOVERNMENT WIDE DEBARMENT AND SUSPENSION (NON PROCUREMENT)
This contract is a covered transaction for purposes of 49 CFR Part 29. As such, the contractor is required
to verify that none of the contractors, its principals, as defined at 49 CFR 29.995, or affiliates, as defined
at 49 CFR 29.905, are excluded or disqualified as defined at 49 CFR 29.940 and 29.945. The contractor is
required to comply with 49 CFR 29, Subpart C and must include the requirement to comply with 49 CFR
29, Subpart C in any lower tier covered transaction it enters into.
By signing and submitting its Proposal or proposal, the Proposers or Applicant certifies as follows:
The certification in this clause is a material representation of fact relied upon by the recipient. If it is
later determined that the Proposers or Applicant knowingly rendered an erroneous certification, in
addition to remedies available to the recipient, the Federal Government may pursue available remedies,
including but not limited to suspension and/or debarment. The Proposers or Applicant agrees to comply
with the requirements of 49 CFR 29, Subpart C while this offer is valid and throughout the period of any
contract that may arise from this offer. The Proposers or Applicant further agrees to include a provision
requiring such compliance in its lower tier covered transactions.
11. BUY AMERICA
The contractor agrees to comply with 49 U.S.C. 5323(j) and 49 C.F.R. Part 661, which provide that
Federal funds may not be obligated unless steel, iron, and manufactured products used in FTA-funded
projects are produced in the United States, unless a waiver has been granted by FTA or the product is

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subject to a general waiver. General waivers are listed in 49 C.F.R. 661.7, and include final assembly in
the United States for 15 passenger vans and 15 passenger wagons produced by Chrysler Corporation,
and microcomputer equipment and software. Separate requirements for rolling stock are set out at 49
U.S.C. 5323(j)(2)(C) and 49 C.F.R. 661.11. Rolling stock must be assembled in the United States and have
a 60 percent domestic content.
A Proposers or offeror must submit to the FTA recipient the appropriate Buy America certification with
all Proposals or offers on FTA-funded contracts, except those subject to a general waiver. Proposals or
offers that are not accompanied by a completed Buy America certification must be rejected as
nonresponsive. This requirement does not apply to lower tier subcontractors.
12. BREACHES AND DISPUTE RESOLUTION
Disputes arising in the performance of this contract which are not resolved by agreement of the parties
shall be decided in writing by the recipient’s authorized representative. This decision shall be final and
conclusive unless within ten (10) days from the date of receipt of its copy, contractor mails or otherwise
furnishes a written appeal to the recipient’s CEO. In connection with such appeal, contractor shall be
afforded an opportunity to be heard and to offer evidence in support of its position. The decision of the
recipient’s CEO shall be binding upon contractor and contractor shall abide by the decision.
Performance During Dispute - Unless otherwise directed by the recipient, contractor shall continue
performance under this contract while matters in dispute are being resolved.
Claims for Damages - Should either party to the contract suffer injury or damage to person or property
because of any act or omission of the party or of any of his employees, agents or others for whose acts
he is legally liable, a claim for damages therefore shall be made in writing to such other party within ten
days after the first observance of such injury or damage.
Remedies - Unless this contract provides otherwise, all claims, counterclaims, disputes and other
matters in question between the recipient and contractor arising out of or relating to this agreement or
its breach will be decided by arbitration if the parties mutually agree, or in a court of competent
jurisdiction within the residing State.
Rights and Remedies - Duties and obligations imposed by the contract documents and the rights and
remedies available thereunder shall be in addition to and not a limitation of any duties, obligations,
rights and remedies otherwise imposed or available by law. No action or failure to act by the recipient or
contractor shall constitute a waiver of any right or duty afforded any of them under the contract, nor
shall any such action or failure to act constitute an approval of or acquiescence in any breach
thereunder, except as may be specifically agreed in writing.
13. LOBBYING
Byrd Anti-Lobbying Amendment, 31 U.S.C. 1352, as amended by the Lobbying Disclosure Act of 1995,
P.L. 104-65 [to be codified at 2 U.S.C. § 1601, et seq.] - Contractors who apply or Proposal for an award
of $100,000 or more shall file the certification required by 49 CFR part 20, "New Restrictions on

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Lobbying." Each tier certifies to the tier above that it will not and has not used Federal appropriated
funds to pay any person or organization for influencing or attempting to influence an officer or
employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a
member of Congress in connection with obtaining any Federal contract, grant or any other award
covered by 31 U.S.C. 1352. Each tier shall also disclose the name of any registrant under the Lobbying
Disclosure Act of 1995 who has made lobbying contacts on its behalf with non-Federal funds with
respect to that Federal contract, grant or award covered by 31 U.S.C. 1352. Such disclosures are
forwarded from tier to tier up to the recipient.
14. CLEAN AIR
a) Contractor shall comply with all applicable standards, orders or regulations pursuant to the
Clean Air Act, 42 USC 7401 et seq. Contractor shall report each violation to the recipient and
understands and agrees that the recipient will, in turn, report each violation as required to FTA
and the appropriate EPA Regional Office.
b) Contractor shall include these requirements in each subcontract exceeding $100,000 financed in
whole or in part with FTA assistance.
15. CLEAN WATER
Contractor shall comply with all applicable standards, orders or regulations issued pursuant to the
Federal Water Pollution Control Act, as amended, 33 USC 1251 et seq. Contractor shall report each
violation to the recipient and understands and agrees that the recipient shall, in turn, report each
violation as required to FTA and the appropriate EPA Regional Office. Contractor shall include these
requirements in each subcontract exceeding $100,000 financed in whole or in part with FTA assistance
16. CARGO PREFERENCE
Use of United States-Flag Vessels - The contractor agrees: a. to use privately owned United States-Flag
commercial vessels to ship at least 50 percent of the gross tonnage (computed separately for dry bulk
carriers, dry cargo liners, and tankers) involved, whenever shipping any equipment, material, or
commodities pursuant to the underlying contract to the extent such vessels are available at fair and
reasonable rates for United States-Flag commercial vessels; b. to furnish within 20 working days
following the date of loading for shipments originating within the United States or within 30 working
days following the date of leading for shipments originating outside the United States, a legible copy of a
rated, "on-board" commercial ocean bill-of -lading in English for each shipment of cargo described in the
preceding paragraph to the Division of National Cargo, Office of Market Development, Maritime
Administration, Washington, DC 20590 and to the FTA recipient (through the contractor in the case of a
subcontractor's bill-of-lading.) c. to include these requirements in all subcontracts issued pursuant to
this contract when the subcontract may involve the transport of equipment, material, or commodities
by ocean vessel
17. FLY AMERICA

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The Contractor agrees to comply with 49 U.S.C. 40118 (the "Fly America" Act) in accordance with the
General Services Administration's regulations at 41 CFR Part 301-10, which provide that recipients and
sub recipients of Federal funds and their contractors are required to use U.S. Flag air carriers for U.S
Government-financed international air travel and transportation of their personal effects or property, to
the extent such service is available, unless travel by foreign air carrier is a matter of necessity, as defined
by the Fly America Act. The Contractor shall submit, if a foreign air carrier was used, an appropriate
certification or memorandum adequately explaining why service by a U.S. flag air carrier was not
available or why it was necessary to use a foreign air carrier and shall, in any event, provide a certificate
of compliance with the Fly America requirements. The Contractor agrees to include the requirements of
this section in all subcontracts that may involve international air transportation.
18. CONTRACT WORK HOURS AND SAFETY
a) Overtime Requirements: No Sub-recipient or subcontractor contracting for any part of the

Contract work that may require or involve the employment of laborers or mechanics shall
require or permit any such laborer or mechanic in any work week in which he or she is
employed on such work to work in excess of forty hours in such work week unless such laborer
or mechanic receives compensation no less than one and one-half times the basic rate of pay for
all hours worked in excess of forty (40) hours in such work week.
b) Violation; Liability for Unpaid Wages; Liquidated Damages: In the event of any violation of the
clause set forth in subparagraph (b) (1) of 29 CFR Section 5.5, the Sub-recipient and any
subcontractor responsible thereof shall be liable for the unpaid wages. In addition, such Sub-
recipient and subcontractor shall be liable to the United States (in the case of work done under
Contract for the District of Columbia or a territory, to such district or such territory), for
liquidated damages. Such liquidated damages shall be computed with respect to each individual
laborer or mechanic, including watchmen and guards, employed in violation of the clause set
forth in subparagraph (b) (1) of 29 CFR Section 5.5 in the sum of $10 for each calendar day on
which such individual was required or permitted to work in excess of the standard work week of
forty hours without payment of the overtime wages required by the clause set forth in
subparagraph (b) (1) of 29 CFR Section 5.5.
c) Withholding for Unpaid Wages and Liquidated Damages: DOT, FTA, or RTC shall upon their own
action or upon written request of an authorized representative of the Department of Labor
withhold, or cause to be withheld, from any monies payable on account of work performed by
the Sub-recipient or subcontractor for unpaid wages and liquidated damages as provided in the
clause set forth in subparagraph (b) (2) of 29 CFR Section 5.5.
d) Subcontractor: The proposer or subcontractor shall insert in any subcontracts the clauses set
forth in the above paragraphs under the heading of Labor Provisions and shall also require
subcontractor to include these clauses in any lower tier subcontracts. The prime Sub-recipient
shall be responsible for compliance by any subcontractor or lower tier subcontractor with the
clauses set forth in the paragraphs of this section.

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e) The requirements of the clauses contained in 29 CFR Part 5.5 (b) or (a) through (d) above are
applicable to any Contract subject to the overtime provisions of the Contract Work Hours and
Safety Standards Act and not to any of the other statues cited in 29 CFR Part 5.1. The Sub-
recipient or subcontractor shall maintain payrolls and basic payroll records during the course of
the work and shall preserve them for a period of three (3) years from the completion of the
Contract for all laborers and mechanics, including guards and watchmen, working on the
Contract. Such records shall contain the name and address of each employee, social security
number, correct classifications, hourly rates of wages paid, daily and weekly number of hours
worked, deductions made, and actual wages paid. The records to be maintained under this
paragraph shall be made available by the Sub-recipient or the subcontractor for inspection,
copying, or transcription by authorized representatives of DOT, the Department of Labor, FTA,
or RTC. The Sub-recipient or subcontractor will permit such representatives to interview
employees during working hours on the job.
19. ENERGY CONSERVATION
The contractor agrees to comply with mandatory standards and policies relating to energy efficiency
which are contained in the state energy conservation plan issued in compliance with the Energy Policy
and Conservation Act.
20. CONFORMANCE WITH ITS NATIONAL ARCHITECTURE
National Intelligent Transportation Systems Architecture and Standards:

To the extent applicable, Contractor agrees to conform, and assure its subcontractors’ conformity, to
the National Intelligent Transportation Systems (ITS) Architecture and Standards as required by
SAFETEA-LU § 5307(c), 23 U.S.C. § 5307(c), 23 U.S.C. § 512 note, and follow the provisions of FTA Notice,
“FTA National ITS Architecture Policy on Transit Projects,” 66 Fed. Reg. 1455 et seq., January 8, 2001,
and any other implementing directives FTA may issue later, except to extent FTA determines otherwise
in writing.
21. ADA ACCESS REQUIREMENTS
Contractor shall comply with 49 USC 5301(d), stating Federal policy that the elderly and persons with
disabilities have the same rights as other persons to use mass transportation services and facilities and
that special efforts shall be made in planning and designing those services and facilities to implement
that policy. Contractor shall also comply with all applicable requirements of Sec. 504 of the
Rehabilitation Act (1973), as amended, 29 USC 794, which prohibits discrimination on the basis of
handicaps, and the Americans with Disabilities Act of 1990 (ADA), as amended, 42 USC 12101 et seq.,
which requires that accessible facilities and services be made available to persons with disabilities,
including any subsequent amendments thereto.
22. NOTIFICATION OF FEDERAL PARTICIPATION FOR STATES
The preceding provisions include, in part, certain Standard Terms and Conditions required by DOT,

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whether or not expressly set forth in the preceding contract previsions. All contractual provisions
required by DOT, as set forth in FTA Circular 4220.1F, are hereby incorporated by reference. Anything to
the contrary herein notwithstanding, all FTA mandated terms shall be deemed to control in the event of
a conflict with other provisions contained in this Agreement. The Contractor shall not perform any act,
fail to perform any act, or refuse to comply with any RTA requests which would cause RTA to be in
violation of the FTA terms and conditions.
STANDARD CLAUSES
To the extent not inconsistent with foregoing Federal requirements, this contract shall also include
those standard clauses attached hereto, and shall comply with the recipient’s Procurement Guidelines,
available upon request from the recipient.
The following requirements are not federal clauses.
1. FULL AND OPEN COMPETITION
In accordance with 49 U.S.C. § 5325(a) all procurement transactions shall be conducted in a manner that
provides full and open competition.
2. PROHIBITION AGAINST EXCLUSIONARY OR DISCRIMINATORY SPECIFICATIONS
Apart from inconsistent requirements imposed by Federal statute or regulations, the contractor shall
comply with the requirements of 49 USC 5323(h)(2) by refraining from using any FTA assistance to
support procurements using exclusionary or discriminatory specifications.
3. INELIGIBLE CONTRACTORS AND SUBCONTRACTORS
Any name appearing upon the Comptroller General’s list of ineligible contractors for federally-assisted
contracts shall be ineligible to act as a subcontractor for contractor pursuant to this contract. If
contractor is on the Comptroller General’s list of ineligible contractors for federally financed or assisted
construction, the recipient shall cancel, terminate or suspend this contract.
4. COMPLIANCE WITH FEDERAL REGULATIONS
Any contract entered pursuant to this Proposal shall contain the following provisions: All USDOT-
required contractual provisions, as set forth in FTA Circular 4220.1F, are incorporated by reference.
Anything to the contrary herein notwithstanding, FTA mandated terms shall control in the event of a
conflict with other provisions contained in this Agreement. Contractor shall not perform any act, fail to
perform any act, or refuse to comply with any grantee request that would cause the recipient to be in
violation of FTA terms and conditions. Contractor shall comply with all applicable FTA regulations,
policies, procedures and directives, including, without limitation, those listed directly or incorporated by
reference in the Master Agreement between the recipient and FTA, as may be amended or promulgated
from time to time during the term of this contract. Contractor’s failure to so comply shall constitute a
material breach of this contract.

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5. REAL PROPERTY
Any contract entered into shall contain the following provisions: Contractor shall at all times comply
with all applicable statutes and USDOT regulations, policies, procedures and directives governing the
acquisition, use and disposal of real property, including, but not limited to, 29 CFR 18.31, 49 CFR 24
Subpart B, FTA Circular 5010.1D, and FTA Master Agreement, as they may be amended or promulgated
during the term of this contract. Contractor’s failure to so comply shall constitute a material breach of
this contract.
6. ACCESS TO SERVICES FOR PERSONS WITH LIMITED ENGLISH PROFICIENCY
To the extent applicable and except to the extent that FTA determines otherwise in writing, the
Recipient agrees to comply with the policies of Executive Order No. 13166, "Improving Access to
Services for Persons with Limited English Proficiency," 42 U.S.C. § 2000d 1 note, and with the provisions
of U.S. DOT Notice, “DOT Guidance to Recipients on Special Language Services to Limited English
Proficient (LEP) Beneficiaries,” 70 Fed. Reg. 74087, December 14, 2005.
7. ENVIRONMENTAL JUSTICE
The Recipient agrees to comply with the policies of Executive Order No. 12898, "Federal Actions to
Address Environmental Justice in Minority Populations and Low Income Populations," 42 U.S.C. § 4321
note, except to the extent that the Federal Government determines otherwise in writing.
8. ENVIRONMENTAL PROTECTIONS
Compliance is required with any applicable Federal laws imposing environmental and resource
conservation requirements for the project. Some, but not all, of the major Federal laws that may affect
the project include: the National Environmental Policy Act of 1969; the Clean Air Act; the Resource
Conservation and Recovery Act; the comprehensive Environmental response, Compensation and
Liability Act; as well as environmental provisions with Title 23 U.S.C., and 49 U.C. chapter
53. The U.S. EPA, FHWA and other federal agencies may issue other federal regulations and directives
that may affect the project. Compliance is required with any applicable Federal laws and regulations in
effect now or that become effective in the future.
9. GEOGRAPHIC INFORMATION AND RELATED SPATIAL DATA
Any project activities involving spatial data or geographic information systems activities financed with
Federal assistance are required to be consistent with the National Spatial Data Infrastructure
promulgated by the Federal Geographic Data Committee, except to the extent that FTA determines
otherwise in writing.
10. FEDERAL SINGLE AUDIT REQUIREMENTS FOR STATE ADMINISTERED FEDERALLY AID FUNDED
PROJECTS ONLY
Non Federal entities that expend $500,000 or more in a year in Federal awards from all sources are

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required to comply with the Federal Single Audit Act provisions contained in U.S. Office of Management
and Budget (OMB) Circular No. A 133, Audits of States, Local Governments, and Non Profit
Organizations. Non Federal entities that expend Federal awards from a single source may provide a
program specific audit, as defined in the Circular. Non Federal entities that expend less than $500,000 in
a year in Federal awards from all sources are exempt from Federal audit requirements for that year,
except as noted in '3052.215(a), but records must be available for review or audit by appropriate
officials of the Federal and State agencies.
11. CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) IDENTIFICATION NUMBER
The municipal project sponsor is required to identify in its accounts all Federal awards received and
expended, and the Federal programs under which they were received. Federal program and award
identification shall include, as applicable, the CFDA title and number, award number and year, name of
the Federal agency, and name of the pass through entity.
12. CFDA NUMBER FOR THE FEDERAL TRANSPORTATION ADMINISTRATION
A Recipient covered by the Single Audit Act Amendments of 1996 and OMB Circular A-133, “Audits of
States, Local Governments, and Non-Profit Organizations,” agrees to separately identify the
expenditures for Federal awards under the Recovery Act on the Schedule of Expenditures of Federal
Awards (SEFA) and the Data Collection Form (SF-SAC) required by OMB Circular A-133. The Recipient
agrees to accomplish this by identifying expenditures for Federal awards made under Recovery Act
separately on the SEFA, and as separate rows under Item 9 of Part III on the SF-SAC by CFDA number,
and inclusion of the prefix “ARRA” in identifying the name of the Federal program on the SEFA and as
the first characters in Item 9d of Part III on the SF-SAC

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REQUIRED FORMS
FORM 1
I. BASE CONTRACT
No. Qty. Description of Item Unit Price Total Price
Base Locomotive (121, 122, and

1 3 $ ___________ $ _____________
381)
2 2 Spare Trucks $ ___________ $ _____________
System Support (from Total -

3 Lump Sum $ _____________
Schedule A)
Spare Parts, new items only,

budget set aside, exact list to
4 Lump Sum $ 150,000
be developed between the RTA
and Contractor after NTP
Total Base Contract Price
5 (Sum Of Section I, Items 1 through 4) $
II. OPTION CONTRACT
No. Qty. Description of Item Unit Price Total Price
Option Locomotive (120)

6 1 $ ___________ $ _____________
Appendix A – Top Deck
Option Locomotive (120)

7 1 $ ___________ $ _____________
Appendix B – Trucks
Spare Parts, new items only,

budget set aside, exact list to
8 Lump Sum $ 25,000
be developed between the RTA
and Contractor after NTP
Total Option Contract Price
9 (Sum Of Section II, Items 6 through 8) $

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SCHEDULE OF PRICES, SCHEDULE A - SYSTEM SUPPORT
No. DESCRIPTION OF ITEM TOTAL PRICE
1 Management $ _______________
2 Engineering and Design $ _______________
3 Testing:
a. All Tests per Technical Specification $ _______________
b. All Other Tests, if applicable $ _______________
4 Training (as required) $ _______________
5 Manuals (as required) $ _________________
6 Warranty $ _________________
TOTAL - SCHEDULE A – Sum of Items 1- 6 $ _______________

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FORM 2
ACKNOWLEDGMENT OF ADDENDA
The undersigned acknowledges receipt of the following addenda to the Proposal documents: (If none
received, write none)
ADDENDUM NUMBER: DATED:
NOTE: Failure to acknowledge receipt of all addenda may cause the Proposal to be considered non-
responsive to the Proposal. Acknowledged receipt of each addendum must be clearly established and
included with the Proposal.
Company
Authorized Signature /Date
Name Printed
Title

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FORM 3
AFFIDAVIT OF NON-COLLUSION
Affidavit and information required for Contractor:
I hereby swear, or affirm, under the penalty for perjury:
(1) That I am the Contractor (if the Contractor is an individual), a partner in the Proposal (if the
Contractor is a partnership), or an officer or employee of the proposing corporation with the authority
to sign on its behalf (if Contractor is a corporation).
(2) That the attached Proposals or any subsequently submitted best and final offer have been arrived at
by the Contractor independently and have been submitted without collusion with, and without any
agreement, understanding, or planned course of action with, and other vendor of materials, supplies,
equipment, or services described in the Request for Proposal, designed to limit independent proposing
or competition.
(3) That the contents of the Proposal or Proposals have not been communicated by the Contractor, or its
employees, or agents, to any person not an employee, or agent of the Contractor or its surety on any
bond furnished with the Proposal or Proposals; and
(4) That I have fully informed myself regarding the accuracy of the statements made in this affidavit.
Company
Name Printed
Title
Subscribed and sworn to before me the day of , 20 .
Notary Public
My commission expires:

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FORM 4
CONTRACTOR’S CERTIFICATION OF ELIGIBILITY
The (Name of
Contractor) hereby certifies that (Check appropriate box) is or is not included on the United
States Comptroller General’s “Consolidated List of Persons or Firms Currently Debarred for Violation of
Various Public Contracts Incorporation Labor Standards Provision”
Company
Name Printed
Title
SAM Number DUNS Number
NOTE: The System for Award Management (SAM) is an official website of the U.S. government.
There is no cost to use SAM. You can use this site for FREE to:
• Register to do business with the U.S. government

• Update or renew your entity registration
• Check status of an entity registration
• Search for entity registration and exclusion records
Https://www.sam.gov
Subscribed and sworn to before me the day of , 20___.
Notary Public

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FORM 5
COMPLIANCE WITH SPECIFICATIONS
In submitting a Proposal the Contractor is sufficiently informed in all matters affecting the RFP, and that
the Contractor has checked the Proposal for errors and omissions and herby states that they will comply
with the specifications in all areas including approved equals and addenda that were granted by the
RTA.
Company
Name Printed
Title
Subscribed and sworn to before me this day of , 20___.
Notary Public
My commission expires

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FORM 6
DISADVANTAGED BUSINESS ENTERPRISE COMPLIANCE STATEMENT
THIS PAGE MUST BE COMPLETED BY PRIME CONTRACTOR TO INDICATE THE AMOUNT (PERCENTAGE) OF
DISADVATAGED BUSINESS ENTERPRISE PARTICIPATION.
The undersigned, as a representative of the entity, ________________________________, submitting a

Proposal for the _______________________________________________________project, hereby
acknowledges that the DBE goal established for this project is _______%.
1. Is your organization a qualified Disadvantaged Business Enterprise and/or is your subcontractors

a qualified DBE? ________________
If yes,
☐The Contractor will submit DBE Certificate.

☐The Contractor is further represents that the proposed level of DBE
participation is ______%. However, this level of DBE participation is less
than the goal established for this project.
2. If your organization is not a qualified Disadvantaged Business Enterprise, submit documentation

of the Contractor’s good faith efforts to achieve the goal established for this project.
Company
Name Printed
Title

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FORM 6 - A
TENNESSEE UNIFORM CERTIFICATION PROGRAM
To be considered a certified Disadvantaged Business Enterprise an organization must be registered with

the Tennessee Uniform Certification Program (TNUCP). Please find below a listing of Program
Partners that can provide DBE certification.
UNIFORM CERTIFICATION PARTNERS
Bristol Tennessee Transit
Chattanooga Area Regional Transportation Authority
Chattanooga Metropolitan Airport Authority
Clarksville Transit System
Jackson Airport Authority
Jackson Transit Authority
Kingsport Area Transit Service
Knoxville Area Transit
Memphis Area Transit Authority
Memphis Shelby County Airport Authority
Metropolitan Knoxville Airport Authority
Metropolitan Nashville Airport Authority
Metropolitan Transit Authority
Murfreesboro Rover Public Transit
Regional Transit Authority
Tri-City Airport Authority
Smyrna Airport Authority
Johnson City Transit
Tennessee Department of Transportation
(Lead Agency)

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FORM 6 – B
METROPOLITAN TRANSIT AUTHORITY/REGIONAL TRANSPORTATION AUTHORITY
DISADVANTAGE BUSINESS ENTERPRISE
NOTICE OF INTENT TO PERFORM

AS A SUBCONTRACTOR AND/OR MATERIAL SUPPLIER
NAME OF PROJECT: ________________________________________________
CONTRACT NUMBER: ___________________
CHECK ONE:
☐ Subcontractor ☐ Subcontractor with Lower-Tier Subcontractors

(Fully complete Parts I and III) (Fully complete Parts I, II and III)
PART I: SUBCONTRACTOR PARTICIPATION
1. TO:__________________________________________________________________
(Name of Prime Contractor)
FROM:_________________________________________________________________
(Name of Subcontractor)
2. The undersigned Subcontractor/Supplier intends to perform work with the above project as
(check one):
☐ an individual / sole proprietorship ☐ a partnership

☐ a corporation ☐ a joint venture
3. The undersigned Subcontractor/Supplier (check applicable statements):
NOTE: Pursuant to RTA’s policies, DBE firms participating in the Disadvantaged Business Enterprises
(DBE) Program must have “current” certification status with the Tennessee Uniform Certification
Program (TNUCP) prior to contract award. DBE Firms must be fully certified through our Metropolitan
Transit Authority (MTA), Nashville Airport Authority, or the Tennessee Department of Transportation
(TDOT) to be counted towards the DBE goals on this project. Evidence of DBE certification must be
attached to this form.
__ is a Non-DBE.
__ has been certified as a DBE by with RTA or TDOT.
__ has been certified as a DBE by the Airport Authority. Certification # ____________________
__ has been certified as a SBE
4. The undersigned Subcontractor/Supplier is prepared to perform the following described work

and/or supply the material listed in connection with the above project (where applicable specify
“supply” or “install” or both) and at the following price $_______________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________

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PART II: LOWER-TIER SUBCONTRACTOR PARTICIPATION
With respect to the proposed subcontract described above, the following lower-tier subcontract(s) will
be sublet and/or awarded to lower-tier subcontractor(s):
Name of Firm Receiving Lower-Tier Subcontract:

_____________________________________________________________________________________
Work to Be Performed:
_____________________________________________________________________________________
Contract Amount:
_____________________________________________________________________________________
(List DBE and Non-DBE Firms) DBE (Y/N)
Subcontract: __________________________( ) ____________________________ $_____________

Company: ___________________________________________________________________________
Address: ________________________________ DUNS ______________________ SAM ____________
Contact Person: __________________________________ Phone No.: _________________ Insurance ☐
Subcontract: __________________________( )_____________________________ $_____________
Company: ___________________________________________________________________________
Address: ________________________________ DUNS ______________________ SAM ____________
Subcontract: __________________________( )_____________________________ $_____________
Company: ___________________________________________________________________________
Address: ________________________________ DUNS ______________________ SAM ____________
Total amount to be subcontracted out to DBE: $____________________________________________
Total amount to be subcontracted out to non-DBE/SBE: $______________________________________
PART III: SIGNATURES
______________________ BY: _______________________ PHONE: ___________ DATE:___/___/___
(Name of Prime Contractor) (Signature of Authorized Representative)
_____________________ BY: _______________________ PHONE: ____________ DATE: ___/___/__

(Subcontractor) (Signature of Authorized Representative)
PART IV: DBE PARTICIPATION VERIFICATION

_______________________________________________ Date ____________________
To be completed by RTA DBE Representative:
Total DBE participation amount: $_____________________ Overall _________% DBE

participation
Reviewed for Content and Completeness:

__________________________________________________________________________DBE
Liaison Officer

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FORM 6 – C
RTA’S FORM FOR DEMONSTRATION OF GOOD FAITH EFFORTS
DISADVANTAGED BUSINESS ENTERPRISE (DBE) UTILIZATION
The undersigned proposer/offeror has satisfied the requirements of the proposal specification in the
following manner (please check the appropriate space):
☐The proposer/offeror is committed to a minimum of ____ % DBE utilization on this contract.

☐The proposer/offeror (if unable to meet the DBE goal of ____%) is committed to a minimum of ____%
DBE utilization on this contract and submits documentation demonstrating good faith efforts.
Name of State Description Dollar Amount

Dates, Best
Proposer/Offeror’s Firm Registration of Work of
DBE? Phone Method of
(Subcontractor/Supplier/ No. Proposal/Quote
Contact
Service Provider)
Yes No Letter Phone
By ___________________________________ ______________________ ___________

(Signature) Title Date

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FORM 7
AFFIDAVIT OF COMPLIANCE
TO BE COMPLETED BY DISADVANTAGED BUSINESS ENTERPRISE/WB DISADVANTAGED BUSINESS
State of ____________ County of _____________ I hereby certify that I am the ____________________

(title) and; duly authorized representative of _________________________ (name of firm); whose
address is ___________________________________________________________________.
I do hereby declare and affirm that I am a Disadvantaged Business Enterprise (DBE) as defined by the ITB
and I will provide information requested by the RTA to document this fact.
I do solemnly declare and affirm, under the penalties of perjury, that the contents of the
aforementioned document are true and correct and the above firm has authorized me to execute this
affidavit.
Company
Name Printed
Title
Notary Public

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FORM 8
CERTIFICATE OF AUTHORITY
I hereby declare and affirm that I am:
☐CONTRACTOR IS A CORPORATION
☐CONTRACTOR IS A PARTNERSHIP
☐CONTRACTOR IS AN INDIVIDUAL
☐CONTRACTOR IS A JOINT VENTURE
I, the undersigned, as certified authority of the organization submitting the foregoing Proposal, hereby
certify that under and pursuant to the By-Laws and Resolutions of said organization, each officers who
has signed Proposals on behalf of the corporation, including the foregoing assurance of irrevocability, is
fully and completely authorized so to do.
Company
Name Printed
Title
Notary Public

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FORM 9
CERTIFICATION OF RESTRICTIONS ON LOBBYING
I ________________________________hereby certify on behalf of _________________________

(Name of Official) (Name of Contractor)
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to
any person for influencing or attempting to influence an officer or employee of an agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection
with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal
loan, the entering into of any cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for
making lobbying contacts to an officer or employee of any agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in connection with this Federal
contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard
Form--LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions [as amended by
"Government wide Guidance for New Restrictions on Lobbying," 61 Fed. Reg. 1413 (1/19/96). Note:
Language in paragraph (2) herein has been modified in accordance with Section 10 of the Lobbying
Disclosure Act of 1995 (P.L. 104-65, to be codified at 2 U.S.C. 1601, et seq.)]
(3) The undersigned shall require that the language of this certification be included in the award
documents for all sub awards at all tiers (including subcontracts, sub grants, and contracts under grants,
loans, and cooperative agreements) and that all sub recipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making or
entering into this transaction imposed by 31, U.S.C. § 1352 (as amended by the Lobbying Disclosure Act
of 1995). Any person who fails to file the required certification shall be subject to a civil penalty of not
less than $10,000 and not more than $100,000 for each such failure.
[Note: Pursuant to 31 U.S.C. § 1352(c)(1)-(2)(A), any person who makes a prohibited expenditure or fails
to file or amend a required certification or disclosure form shall be subject to a civil penalty of not less
than $10,000 and not more than $100,000 for each such expenditure or failure.]
The Contractor, ___________________, certifies or affirms the truthfulness and accuracy of each
statement of its certification and disclosure, if any. In addition, the Contractor understands and agrees
that the provisions of 31 U.S.C. A 3801, et seq., apply to this certification and disclosure, if any.
Company
Name Printed
Title

RTA

FORM 10
CERTIFICATION REGARDING DEBARMENT AND SUSPENSION PRIMARY PARTICIPANT
The prospective contractor certifies, by submission of this Proposal, that neither it nor its “principals” as
defined at 49 CFR 29.995, or affiliates, as defined at 49 CFR 29.905, are presently debarred, suspended,
proposed for debarment, declared ineligible, or voluntarily excluded from participation in this
transaction by any governmental department or agency as defined at 49 CFR 29.940 and 29.945.
The contractor must comply with 49 CFR 29, Subpart C and must include the requirement to comply
with 49 CFR 29, Subpart C in any lower tier covered transaction it enters into.
By signing and submitting its Proposal, the Contractor certifies as follows:
The certification in this clause is a material representation of fact relied upon by RTA. If it is later
determined that the Contractor knowingly rendered an erroneous certification, in addition to remedies
available to RTA, the Federal Government may pursue available remedies, including but not limited to
suspension and/or debarment. The Contractor agrees to comply with the requirements of 49 CFR 29,
Subpart C while this offer is valid and throughout the period of any contract that may arise from this
offer. The Contractor further agrees to include a provision requiring such compliance in its lower tier
covered transactions.
Company
Name Printed
Title

RTA

FORM 11
CERTIFICATION OF LOWER-TIER PARTICIPANTS
CERTIFICATION REGARDING DEBARMENT AND SUSPENSION
The prospective lower tier participant contractor certifies, by submission of this proposal or at 49 CFR
29.905, are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded from participation in this transaction by any governmental department or agency as defined at
49 CFR 29.940 and 29.945.
By signing and submitting its Proposal, the Contractor certifies as follows:
The certification in this clause is a material representation of fact relied upon by RTA. If it is later
determined that the Contractor knowingly rendered an erroneous certification, in addition to remedies
available to RTA, the Federal Government may pursue available remedies, including but not limited to
suspension and/or debarment. The Contractor agrees to comply with the requirements of 49 CFR 29,
Subpart C while this offer is valid and throughout the period of any contract that may arise from this
offer. The Contractor further agrees to include a provision requiring such compliance in its lower tier
covered transactions.
Company
Name Printed
Title

RTA

FORM 12
CONTACT INFORMATION OF SIMILAR CONTRACTS/REFERENCES
1. __________________________________________________________________
__________________________________________________________________
__________________________________________________________________
2. __________________________________________________________________
__________________________________________________________________
__________________________________________________________________
3. __________________________________________________________________
__________________________________________________________________
__________________________________________________________________
4. __________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________
Company Name
__________________________________________________
__________________________________________________
Name Printed
__________________________________________________
Title

RTA

FORM 13
AFFIDAVITS
State of ___________________County of_____________________________________
As used herein, “Contractor” will include Proposers and.

Compliance with Laws: After first being duly sworn according to law, the undersigned (Affiant) states
that he/she is the ________________ (Title) of _____________________ (Contractor), and that
Contractor is presently in compliance with, and will continue to maintain compliance with, all applicable
laws. Thus, Affiant states that Contractor has all applicable licenses, including business licenses, copies
of which are attached hereto. Finally, Affiant states that Contractor is current on its payment of all
applicable gross receipt taxes and personal property taxes.
Contingent Fees: In accordance with the Metropolitan Government’s 1992 Procurement Code, and RTA
Purchasing Policy and FTA rules it is a breach of ethical standards for a person to be retained, or to
retain a person, to solicit or secure a RTA contract upon an agreement or understanding for a contingent
commission, percentage, or brokerage fee, except for retention of bona fide employees or bona fide
established commercial selling agencies for the purpose of securing business. After first being duly
sworn according to law, the undersigned (Affiant) states that the Contractor has not retained anyone in
violation of the foregoing.
Non-Discrimination: After first being duly sworn according to law, the undersigned (Affiant) states that
by its employment policy, standards, and practices the Contractor does not subscribe to any personnel
policy which permits or allows for the promotion, demotion, employment, dismissal, or laying off of any
individual due to his/her race, creed, color, national origin, age, or sex, and that the Contractor is not in
violation of and will not violate any applicable laws concerning the employment of individuals with
disabilities.
It is the policy of the RTA, FTA and the Metropolitan Government not to discriminate on the basis of age,
race, sex, color, national origin, or disability in its hiring and employment practices, or in admission to,
access to, or operation of its programs, services, and activities. With regard to all aspects of its contract
with the RTA, Contractor certifies and warrants it will comply with this policy.
Company
Name Printed
Title
Sworn to and subscribed before me on this ___ day of _________, 20___.
______________________________________________
Notary Public
My commission expires: __________________________

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FORM 14
NOTICE TO CONTRACTOR
The Contractor hereby agrees that the Chief Executives Officer and or the Board of Directors have the
right to reject any or all Proposals and to waive informality in any Proposal and the Contractor shall not
dispute the correctness of the quantities used in computing the best, responsive Proposal.
Company
Name Printed
Title

RTA

FORM 15
BUY AMERICA CERTIFICATE
(For Procurement of Steel, Iron, or Manufactured Products) (EXCLUDES ROLLING STOCK)
Certificate of Compliance with TITLE 49 USC § 5323(j)(1)
The Applicant hereby certifies that it will comply with the requirements of Title 49 USC § 5323(j)(1) and
the applicable regulations in 49 CFR Part 661.5.
Company
Name Printed
Title
Certificate of Non-Compliance with TITLE 49 USC §. 5323(j)(1)
The Applicant hereby certifies that it cannot comply with the requirements of Title 49
USC § 5323(j)(1) and 49 CFR 661.5, but it may qualify for an exception pursuant to Title 49 USC §
5323(j)(2)(A), 5323(j)(2)(B) or 5323(j)(2)(D), and the regulations in 49 CFR 661.7.
Company
Name Printed
Title

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FORM 16
BUY AMERICA CERTIFICATE
(Rolling stock is defined in the Buy America regulations (49 CFR Part 661.3) as: "transit vehicles such as
buses, vans, cars, railcars, locomotives, trolley cars and buses, and ferry boats, as well as vehicles used
for support services.")
FOR COMPLIANCE WITH TITLE 49 U.S.C. § 5323(j)(2)(C)
The Proposer hereby certifies that it will comply with the requirements of Title 49 USC § 5323(j)(2)(C)
and the applicable regulations at 49 CFR. Part 661.
Company
Name Printed
Title
BUY AMERICA CERTIFICATE FOR NON-COMPLIANCE WITH TITLE 49 USC § 5323(j)(2)(C)
The Proposer or Offeror hereby certifies that it cannot comply with the requirements of Title 49 USC §
5323(j)(2)(C), but may qualify for an exception pursuant to Title 49 USC § 5323(j)(2)(B) or (j)(2)(D) and
the regulations in 49 CFR Part 661.7.
Company
Name Printed
Title

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FORM 17
SUBCONTRACTOR INFORMATION
Please provide the following information pertaining to your subcontractors: Firm Name, Description of
Work, Contractor License Number with Date Information, SAM & DUNS Numbers, Anticipated
Subcontract or Supply amount, and Anticipated DBE%
A.
1. FIRM NAME 2. CONTRACTOR LICENSE NUMBER & DATE
3. AMOUNT 4. DBE%
5. SAM & DUNS # 6. DESCRIPTION OF WORK
B.
3. AMOUNT 4. DBE%
C.
3. AMOUNT 4. DBE%
D.
9. AMOUNT 10. DBE%
*Please copy Form 17 if you have more than four (4) subcontractors.*
END SECTION IV

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V. CONTRACT TERMS AND CONDITIONS (PROPOSED)

NOTE: This is a Proposed Contract. RTA reserves the right to make changes to this Proposed
Contract prior to execution.
CONTRACT NO. 2018827
BETWEEN
REGIONAL TRANSPORTATION AUTHORITY
AND
CONTRACTOR NAME
FOR
PROJECT TITLE/NAME
This Contract No ####### (hereinafter referred to as “Contract”) is entered into as of the ___ day of
_____, ____, by and between Regional Transportation Authority (hereinafter referred to as “Agency”),
having its principal office located at 430 Myatt Drive, Nashville, TN 37115, and Contractor Name
(hereinafter referred to as “Contractor”), having its principal office located at, Contractors Address.
The following documents constitute the Contract and Contract Documents:
• Contract No. #######

• Request for Proposal (RFP) No. #######
• Contractor’s Proposal dated: Date
In the event of conflicting provisions, all documents shall be construed according to the following
priorities:
• Any properly executed amendment to this Contract (most recent with first priority)
• Contract No. #######
• Request for Proposal (RFP) No. #######
• Contractor’s Proposal dated: Date
1. Duties and Responsibilities of Contractor
1.1. Contractor shall provide ___________________ services as detailed in the RFP and this Contract
(the “Services”) at The Agency’s locations at 430 Myatt Drive, Nashville, TN 37115, and 130 Nestor
Street, Nashville, TN 37210 and/or at its Music City Central transit hub (collectively “Facilities”). The
Services shall be provided as set forth in this Contract, and to the extent not inconsistent with the terms
herein, according to the methods set forth in Section__ of the RFP. Contractor’s duties and
responsibilities are more specifically set forth in Section___ in the RFP.
1.2. The Agency may purchase additional ____________ Services offered by Contractor under this
Contract (“Additional Services”). The Additional Services shall be agreed upon in writing with a
properly executed amendment between the parties. Additional Services shall be invoiced at the rates as
stated in the written amendment as agreed to by both parties. The rights and obligations of the parties in
this Contract shall pertain and apply to “Additional Services”, unless stated otherwise in writing.
2. Term

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2.1. This Contract shall commence on the __ day of ____________, 20___. In addition to any
applicable Warranty Period, the term of this Contract shall continue for a ____ (--) year period, unless
otherwise terminated as provided herein (the “Term”).
OR
2.1. This Contract shall commence on the ____ day of _________, 20__. The initial term of this
Contract shall continue for a four (4) year period, unless otherwise terminated as provided herein (the
“Term”). This Contract may be extended by a properly executed amendment for three (3) additional one
(1) year terms as may be offered by The Agency, in The Agency’s sole discretion.
2.2. This Contract may be extended by all the required parties with a properly executed amendment to
this Contract.
3. Compensation/Invoices
3.1 For its Services, Contractor is entitled to receive ________________ [refer to cost form,
responses, and Contractor’s proposal).
3.2. Contractor shall submit travel cost based on the Tennessee State Travel Policy –
https://www.tn.gov/assets/entities/finance/attachments/policy8.pdf
3.3. There shall be no other charges or fees for the performance of this Contract unless otherwise
agreed to by both parties in writing. The Agency shall make reasonable efforts to make payments within
thirty (30) days of receipt of approved invoice.
3.4. Contractor shall submit invoices to:
Procurement Department
Regional Transportation Authority
430 Myatt Drive
Nashville, TN 37115
4. Acceptance
4.1. If the Services are not acceptable to The Agency according to the Contract, then The Agency
shall submit a letter of non-acceptance to Contractor detailing the deficiencies within sixty (60) days of
delivery to The Agency of the deficient Services. Acceptance of delivery of the Services shall not release
Contractor from liability for Contractor’s other obligations and duties as provided herein.
4.2. Approval or acceptance by The Agency of any of Contractor’s Services under this Contract shall
not constitute, or be deemed, a release of the responsibility and liability of Contractor, its employees,
associates, agents or subcontractors for the exercise of skill and diligence necessary to fulfill Contractor’s
responsibilities under this Contract. Nor shall The Agency’s approval or acceptance be deemed to be the
assumption of responsibility by The Agency for any defect or error in the Services of Contractor, its
employees, associates, agents, or subcontractors.
4.3. In the event the proposed Project Team changes, the Contractor must notify the Agency of any
changes. The Agency reserves the right to review any key personnel’s qualifications prior to final
selection.
5. Taxes

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5.1. The Agency shall not be responsible for any taxes that are imposed on Contractor. Contractor
understands that it cannot claim exemption from taxes by virtue of any exemption that is provided to The
Agency.
6. Warranty and Warranty Period
6.1. The Contractor shall warrant and guarantee all items that have been reconditioned, repaired,
overhauled, or replaced, and/or any newly installed or integrated equipment for one (1) year
commencing on the date of Conditional Acceptance of each locomotive. The Contractor shall warrant
that, at the time of Conditional Acceptance, all equipment, Work and all components and parts
furnished under the Contract shall be:
1. In full conformance with all requirements of all provisions of the Contract Documents;
2. Free of any and all Deficiencies;
3. Fit for their particular purpose;
4. Free from any and all liens and other encumbrances; and
5. Accurate, complete and current.
6.2. Warranties are in addition to any statutory remedies or warranties imposed on the Contractor.
Consistent with this requirement, the Contractor shall warrant and guarantee to the RTA and its Service
Operator assignee each complete locomotive, and specific subsystems and components as follows:
1. The locomotive is warranted and guaranteed to be free from defects for one (1) year
beginning on the date of Conditional Acceptance of each locomotive. During this warranty
period, the locomotive shall maintain its structural, mechanical and functional integrity. The
warranty is based on regular revenue service operation of the locomotive and associated
sub-systems under the operating conditions of Commuter Passenger Rail and the prevailing
climate and track conditions in the Nashville, TN region. The warranty shall also extend to:
a. Spare parts for one (1) year from date of installation. In no case shall the 1 year
guarantee period exceed four (4) years from the date of delivery of the spare parts.
b. All retrofit work for a period of one (1) year from the date of completion.
2. If, after placing the locomotive into revenue service operation, and for the duration of the
warranty period the equipment fails to meet the terms of the warranty, the RTA will notify
the Contractor of the existence of such a defect.
a. The Contractor shall correct or replace the defective equipment at his sole expense
including associated costs such as, but not limited to, freight out and in, service
engineering charges, etc., and shall be subject to all provisions of this section to the
same extent as materials initially delivered.
6.3. If the Contractor receives warranties from Subcontractors, such warranties shall be passed to
the RTA. All warranties and guarantees of any Subcontractor, Supplier or manufacturer with respect to
any equipment, Work, components or parts, whether expressed or implied, are deemed to be for the
benefit of the RTA and to be obtained by the Contractor for the benefit of the RTA, regardless of
whether or not such warranties and guarantees have been transferred or assigned to the RTA by
separate agreement. The Contractor shall enforce such warranties and guarantees on behalf of RTA,
provided, however, that if directed by the RTA, the Contractor shall require such Subcontractors,

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Suppliers and manufacturers to execute and assign such warranties and guarantees directly to RTA. The
Contractor shall be jointly and severally liable for any such warranties or guarantees. To the extent that
any such warranty or guarantee would be voided by reason of the Contractor’s negligence in
incorporating any equipment, component or part into the work, the Contractor shall be responsible, at
its sole cost, for correcting such error or omission, without cost or expense to the RTA.
6.4. The warranty shall not apply to any part or component of the locomotive that has been
subjected by the RTA to negligence, accident, or that has been repaired or altered by the RTA so as to
adversely affect its performance or reliability, except insofar as such repairs were in accordance with the
Contractor's maintenance manuals and the workmanship was in accordance with recognized standards
of the industry. The warranty shall also be voided if the RTA fails to conduct normal inspections and
scheduled preventive maintenance procedures as recommended in the Contractor's maintenance
manuals or instructions. The RTA reserves the right to perform normal, routine and schedule
maintenance without voiding the warranty.
The warranty shall apply to scheduled maintenance items except consumables. The warranty shall
extend to any part that fails or is damaged as a result of a failure of a warranted part.
The Service Operator will do whatever is necessary, in the RTA’s or its designated Service Operator’s
sole determination, to make minor repairs to the locomotives as soon as possible after discovery of
the need for such repairs without the necessity of prior approval from the Contractor. The Service
Operator will notify the Contractor by telephone and in writing, via email, as soon as practicable.
The Service Operator and the Contractor will seek to resolve warranty responsibility issues as soon
as contact is made and will continue the discussion after the repairs have been completed if
necessary.
When warranty repairs are required, the RTA and/or its Service Operator, and the Contractor shall
agree within ten (10) working days or less after notification on the most appropriate course for the
repairs and the exact scope of the repairs to be performed under the warranty.
1. If no agreement is obtained within ten (10) working days or less, or if the Contractor fails or
refuses to replace or correct the deficiency, the RTA and/or its Service Operator may have
the materials corrected or replaced with similar items.
2. The RTA and/or its Service Operator will bill the Contractor the full amount, plus a service
and general administration fee, of the costs occasioned thereby, or obtain an equitable
adjustment in the Contract price to compensate for the defects.
If the RTA requires the Contractor to perform major warranty covered repairs, the Contractor must
begin work necessary to effect repairs within five (5) working days after receiving notification of a
defect. The RTA shall make the locomotive available for complete repairs in accordance with the
Contractor's timely repair schedule.
1. It is agreed that the Contractor will undertake major warranty repairs (i.e. those which
cannot be performed by the Service Operator at RTA facilities) within five (5) working days
after receiving notification of a defect. For non-major repairs, determined at the sole
determination by the RTA and/or the Service Operator, the Contractor Operator will
perform the repair work as soon as possible.

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Due to the regular maintenance demands on the Service Operator's facilities and maintenance
personnel, it will be possible for said forces to undertake only minimal adjustment, repair, or
replacement work on equipment for the duration of the Contract. The Contractor shall, therefore in
such event, be responsible for securing facilities and personnel to complete all work required for the
duration of the Contract.
The RTA shall not at any time be charged for required corrective and warranty work and services
provided by the Service Operator or the Contractor.
In no case shall corrective and/or warranty work, under guarantee or otherwise, of defects in
design, material, or workmanship, take the form of an increase in maintenance requirement beyond
that specified in the Contract Documents, or that submitted by the Contractor at the time of bidding
for the Contract, or that described in the original edition of the maintenance instructions. If the RTA
and/or its Service Operator performs the warranty covered repairs, it shall correct or repair the
defects and any related defects using Contractor supplied spare parts if available from its own stock,
or those supplied by the Contractor specifically for this repair.
1. If spare parts are not available from the Contractor on a timely basis, then original parts of
the same or better quality shall be used by the RTA or its Service Operator so as to maintain
original equipment performance fit, durability, reliability, and function. Substitution of used
parts for new spare parts is prohibited.
2. Monthly, or at a period to be mutually agreed upon, reports of all repairs covered by this
warranty shall be submitted by the RTA and/or its Service Operator to the Contractor for
reimbursement or replacement of spare parts.
6.5. The RTA may request that the Contractor supply spare parts for warranty covered repairs being
performed by the RTA. These parts shall be shipped prepaid to the RTA from the source selected by the
Contractor or within ten (10) working days of receipt of the request for said parts.
3. The Contractor may request that parts covered by the warranty be returned to the
manufacturing plant. The total cost for this action shall be paid by the Contractor.
4. The RTA and/or its Service Operator shall be reimbursed by the Contractor for defective
parts and for parts that must be replaced to correct the defect. It is agreed that any spare
parts borrowed by the Contractor shall be replaced with like components as originally
delivered.
5. If any component, unit, or subsystem is repaired, rebuilt, or replaced by the Contractor or by
the RTA or its Service Operator, with the concurrence of the Contractor, the subsystem shall
have the unexpired warranty period of the original subsystem.
6. Functional operation, as referred to above, shall commence on the date that the equipment
is first put into revenue service operation. If the date of revenue service operation exceeds
three (3) months from the date of actual delivery by the Contractor, the Contractor shall
have the right to inspect his equipment prior to revenue service operation.
6.6. Fleet Failure {Components)
7. Where a fleet failure of ten percent (10%) of the quantity for warranted multiple units
(example: traction motors) or twenty-five percent (25%) of the warranted quantity for single
components (example: air compressor) occurs within the warranty period, the remaining

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items of the entire fleet shall be thoroughly inspected, receive repair, replacement or
adjustment under the warranty, even to those items which have passed beyond the
warranty period before failure was recognized. All such items shall be subject to warranty
reinstatement provided for in the following:
a. The Contractor shall correct a fleet defect under the warranty provisions as defined
herein. After correcting the defect, the Contractor shall promptly undertake and
complete a work program reasonably designed to prevent the occurrence of the
same defect in all other similar type vehicles overhauled under this Contract. The
work program shall include inspection and/or correction of the potentially defective
parts in all of the locomotives.
b. The warranty on items determined to be fleet defects shall extend no longer than
one (1) year from the date of final acceptance of the last unit to be overhauled in
this program. The extended warranty shall begin on the repair/replacement
completion date for the corrected item.
c. In the event that the calculations of failures, based on the above percentages,
results in a fractional figure it shall be rounded off to the next highest whole
number.
7. Title Warranty
7.1. Contractor warrants that it has good title to and/or the right to sell the Services, and represents
that the Services delivered to The Agency are free and clear of all liens, Claims or encumbrances of any
kind.
7.2. Contractor shall, at its own expense, be entitled to and shall have the duty to defend any suit
which may be brought against the Covered Entities, as defined in Section 14, below, to the extent that it is
based on a Claim that the Services or other work products furnished contain liens, Claims, or
encumbrances of any kind. The Contractor shall further indemnify and hold harmless, to the fullest extent
permitted by law, and as set forth in Section 14, the Covered Entities against any award of damages and
costs made against the Covered Entities or in any settlement agreement of a Claim authorized in writing
by The Agency.
7.3. In the event use of the Services are restricted or interfered with as a result of any such
encumbrance, Contractor shall, at its cost, procure non-encumbered Services for The Agency which are
equal substitutes, in The Agency’s discretion, for the Services in all material respects, or obtain for The
Agency the right to use the Services without encumbrances, or refund to The Agency all monies paid by
The Agency for such Services. Nothing in this Section 7 shall preclude The Agency from exercising any
rights or remedies as provided elsewhere in this Contract.
8. Copyright, Trademark, Service Mark, or Patent Infringement
8.1. Contractor shall, at its own expense, be entitled to and shall have the duty to defend any suit
which may be brought against the Covered Entities to the extent that it is based on a Claim that the
Services or other work products furnished infringe a copyright, trademark, service mark, or patent. The
Contractor shall further indemnify and hold harmless to the fullest extent permitted by law, and as set
forth in Section 14, the Covered Entities against any award of damages and costs made against the
Covered Entities or in any settlement agreement of a Claim authorized in writing by The Agency.
8.2. If the Services or other work products furnished under this Contract are likely to, or do become,
the subject of such a Claim of infringement, then without diminishing Contractor’s obligation to satisfy
the award, Contractor may at its option and expense:

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8.2.1. Procure for The Agency the right to continue using the products or services.
8.2.2. Replace or modify the alleged infringing products or services with other equally suitable
products or services that are satisfactory to The Agency, so that they become non-infringing.
8.2.3. Remove the products or discontinue the services and cancel any future charges pertaining
thereto.
8.2.4. Provided, however, that Contractor will not exercise option 8.2.3 until Contractor and
The Agency have agreed and determined that options 8.2.1 and 8.2.2 are impractical.
8.3. Contractor shall have no liability to The Agency, however, if any such infringement or Claim
thereof is based upon or arises out of:
8.3.1. The use of the Services or other work products in combination with apparatus or devices
not supplied or else approved by Contractor.
8.3.2. The use of the Services or other work products in a manner for which the Services or
other work products were neither designated nor contemplated.
8.3.3 The claimed infringement in which The Agency has any direct or indirect interest by
license or otherwise, is separate from that granted herein.
Nothing in this Section 8 shall preclude The Agency from exercising any rights or remedies as provided
elsewhere in this Contract.
9. Works for Hire [and Software License]
9.1. Contractor acknowledges that all Services under this Contract are “work(s) for hire” within the
meaning of the United States Copyright Act (Title 17 United States Code) and hereby assigns to RTA all
rights and interests Contractor may have in the Services it prepares under this Contract, including any
right to derivative use of the Services.
9.2. The term “Software” as used herein shall be the set of copyrighted, object code computer
programs and databases licensed under this Contract and provided by Contractor at any time, and from
time to time under this Contract. Further, the term Software shall include any upgrades, updates, patches,
hotfixes, modules, routines, feature enhancements and supplemental or replacement Software and their
associated media, printed materials, online or electronic documentation, or other features or components,
distributed by or on behalf of the Contractor.
9.3. The term “Documentation” as used herein shall mean all user manuals, operating manuals,
technical manuals and any other instructions, specifications, documents or materials, in any form or
media, that describe the functionality, installation, testing, operation, use, maintenance, support, or
technical or other components, features or requirements, of the Software. Contractor shall provide RTA
with complete and accurate Documentation for all Software prior to or concurrently with its delivery, and
as necessary from time to time.
9.4. Contractor warrants that the Software and Documentation, and RTA’s use thereof, are and will
remain free and clear of all encumbrances, liens and security interests of any kind.
9.5. All Software and related materials developed by Contractor in performance of this Contract for
RTA shall be the sole property of RTA. Further, RTA shall own all any and all rights to any information
RTA generates, inputs, prints, copies, or downloads from the Software. Notwithstanding the foregoing,
RTA agrees not to reverse engineer, disassemble, decompile, decode or adapt the Software, or otherwise

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attempt to derive or gain access to the source code of the Software, in whole or in part, except as and only
to the extent: (i) this restriction is prohibited by applicable law; (ii) such action is taken for purposes of
ensuring or assessing interoperability or otherwise qualifies as a “fair use” under US Copyright Act or
other applicable law or; or (iii) these acts are permitted under the applicable Software license.
9.6. RTA agrees that the Software will be displayed or read into or used or distributed on computers
required to render services under this Contract. RTA agrees to make no more than two (2) copies of the
Software for archival or backup purposes only, all of which copies (together with the original) shall be
kept in the possession or direct control of RTA.
9.7. Contractor hereby grants to RTA a nonexclusive, perpetual, irrevocable license to the Software
for the purposes set out in this Contract.
9.8. Contractor, if requested by RTA, shall execute all necessary documents to enable RTA to protect
RTA’s rights under this Section 9.
10. Termination
10.1. Should Contractor fail to fulfill in a timely and proper manner its obligations under this Contract
or if it should violate any of the terms of this Contract (“Default”), The Agency shall have the right to
terminate this Contract provided Contractor fails to cure such Default within thirty (30) days of The
Agency’s written notice of Default to Contractor. Such termination shall not relieve Contractor of any
liability for damages sustained by virtue of any Default by Contractor.
10.2. Should funding for this Contract be discontinued, The Agency shall have the right to terminate
this Contract effective immediately, without penalty, upon written notice to Contractor.
10.3. The Agency may terminate this Contract at any time, without penalty, for its convenience or its
best interest upon fifteen (15) days’ written notice to Contractor.
10.4. In the event of a termination under Section 10.2. or 10.3., Contractor will be compensated in
accordance with the Services that have been “accepted” in accordance with this Contract.
11. Maintenance of Records and The Agency Property
11.1. Contractor shall maintain documentation for all charges against The Agency. The books, records,
and documents of Contractor, insofar as they relate to the Services performed or money received under
the Contract, shall be maintained for a minimum period of three (3) full years from the date of final
payment and will be subject to audit, at any reasonable time and upon reasonable notice by The Agency
or its duly appointed representatives. The records shall be maintained in accordance with generally
accepted accounting principles.
11.2. Contractor’s activities conducted and records maintained pursuant to this Contract shall be
subject to monitoring and evaluation by The Agency or their duly appointed representatives.
11.3. Any The Agency property, including but not limited to books, records and equipment that is in
Contractor’s possession shall be maintained by Contractor in good condition and repair, and shall be
returned to The Agency by Contractor upon termination of the Contract. All goods, documents, records,
work and other work product and property produced by Contractor during the performance of this
Contract are deemed to be The Agency property. Upon completion or termination of this Contract,
Contractor shall promptly deliver to The Agency all records, notes, data, memorandum, models, and any

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other material of any nature that are within Contractor’s possession or control and that are The Agency
property or relate to The Agency or its business.
11.4. The Agency shall retain existing ownership and all proprietary rights to its information and data.
Confidential information and data may need to be disclosed to Contractor for purposes necessary to
Contractor providing the Services. Contractor shall treat any such data and information as strictly
confidential.
12. Independent Contractor/Subcontractors
12.1. Contractor is an independent contractor. Nothing herein shall in any way be construed or
intended to create a partnership or joint venture between the parties or to create the relationship of
principal and agent between or among any of the parties. It is expressly agreed and understood between
the parties that Contractor and any of its subcontractors and suppliers are independent contractors to The
Agency and as such shall be viewed in law and equity. No vicarious liability shall be imposed upon the
Covered Entities by any action of Contractor, subcontractor or supplier in the performance of this
Contract. Neither The Agency nor Contractor shall hold itself out in a manner contrary to the terms of
this Section 12 nor shall The Agency or Contractor become liable for any representation, act, or omission
of the other party contrary to the terms of this Section 12.
12.2. Neither Contractor nor Contractor’s employees, subcontractors or agents are The Agency
employees. Contractor shall bear sole responsibility for payment of compensation to its employees and
subcontractors. Contractor shall procure and maintain Worker’s Compensation Insurance as stated in
Section 16.
12.3. In addition to the other requirements of Contractor set forth herein regarding subcontractors,
Contractor shall not subcontract any of its rights or responsibilities in this Contract without the prior
written approval of the The Agency. Contractor shall remain fully responsible for the Services of the
subcontractor and for supervising the performance of the Services by the subcontractor. The Agency is
not subject to any liability of any kind with respect to any subcontractor nor do subcontractors obtain any
rights against The Agency under this Contract.
12.4. Contractor and its subcontractors shall be appropriately licensed in the State of Tennessee to
conduct the Services required by this Contract. Contractor and subcontractors must maintain current
Central Contractor Registration (“CCR”), Data Universal Numbering Systems (“DUNS”) number,
System for Award Management (“SAM”), or registration in other substantially similar registration
databases. Contractor must submit to The Agency all Tennessee Department of Transportation letters or
certification of any Disadvantage Business Enterprises (“DBEs”) participating in the Project. Contractor
shall hire reliable and dependable subcontractors. Contractor and its subcontractors found guilty of
unethical, irresponsible business practices according to governmental authority will be suspended and
debarred from conducting future business with The Agency.
12.5. Subcontractors, if approved in writing, shall be made and are subject to the applicable terms of
this Contract in their contractual agreements with the Contractor. Contractor shall include in its
subcontracts a similar indemnification provision as set forth in Section 14 running from each
subcontractor directly to the Covered Entities.
13. Waiver

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13.1. No failure to exercise, and no delay in exercising, on the part of either party, any privilege, any
power or any right hereunder will operate as a waiver thereof, nor will any single or partial exercise of
any privilege, right or power hereunder preclude further exercise of any other privilege, right or power
hereunder.
14. Indemnity and Contractor Responsibility.
14.1. Contractor shall indemnify, defend and hold harmless, to the fullest extent permitted by law, The
Agency, Davidson Transit Organization, the Metro Government of Nashville and Davidson County, and
their officers, agents, employees and volunteers (“Covered Entities”) from:
14.1.1. Any claims, losses, damages, causes of action, suits and liability of every kind, including
all expenses of litigation, court costs, and reasonable attorneys’ fees, including, but not limited to
third party claims for injury to or death of any person or damage to property (“Claims”), arising
from the Services under this Contract, and/or from the alleged negligent or intentional acts or
omissions of Contractor, its officers, employees and/or agents, including its sub or independent
contractors (including third parties), in connection with the performance of this Contract, and,
14.1.2. Any Claims arising from any alleged failure of Contractor, its officers, employees and/or
agents, including its sub or independent contractors, to observe applicable laws, including, but not
limited to, labor laws and minimum wage laws.
14.2. The indemnity and release in this Section 14 applies regardless of whether said Claims are
covered, in whole or in part, by insurance and regardless of the negligence, if any, of the Covered
Entities.
14.3. Contractor assumes full responsibility for the Services to be performed hereunder and hereby
releases, relinquishes, and discharges the Covered Entities from all Claims of every kind and character,
including the cost of defense thereof, for any alleged injury to or death of any person (including third
parties) and damage to property that are caused by or alleged to be caused by, arising out of, or in
connection with Contractor’s Services, Additional Services and work to be performed hereunder. This
release shall apply regardless of whether said Claims are covered, in whole or in part, by insurance and
regardless of the negligence, if any, of the Covered Entities.
14.4. In the event of any Claim against the Covered Entities, the Covered Entities may choose counsel,
in the Covered Entities’ sole and absolute discretion, to represent the Covered Entities, and Contractor
shall promptly reimburse the Covered Entities for all costs actually incurred, including, but not limited to,
all expenses of litigation, court costs, and reasonable attorneys’ fees. The Covered Entities shall be
consulted prior to any settlement and approve such settlement in writing.
14.5. The Covered Entities shall not, under any circumstances, indemnify, defend, or hold harmless
Contractor from any Claim.
15. The Agency Owned Data
15.1. The Agency will own and retain rights to all of its data. Some data will need to be disclosed to
Contractor for purposes necessary for design and implementation. Contractor will treat The Agency
information as strictly confidential.

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16. Insurance
16.1. During the term of this Contract, Contractor shall, at its sole expense, obtain and maintain in full
force and effect for the duration of this Contract and any extension hereof the types and amounts of
insurance identified below by a check mark.
a) ☐ Products Liability Insurance in the amount of one million ($1,000,000) dollars (If the
Contractor will be shipping to a receiving department at The Agency)
b) ☒ General Liability Insurance in the amount not less than one million dollars ($1,000,000)
combined single limit each occurrence for bodily injury and property damage.
c) ☒ Professional liability insurance, errors & omissions insurance, or malpractice insurance,

whichever may be customary in the professional field, in the minimum amount of one
million dollars ($1,000,000.00) per claim/annual aggregate. Such coverage must be
maintained for a period of three (3) years following termination of this Contract or final
acceptance by The Agency of the Services, whichever is later. This provision shall
expressly survive the termination of the Services or the Contract.
d) ☒ Automobile Liability Insurance in the amount not less than a combined single limit of one
million dollars ($1,000,000) covering Contractor’s owned, non-owned, leased or rented
vehicles.
e) ☒ Worker's Compensation Insurance with statutory limits required by the State of Tennessee
or other applicable laws and employer’s liability insurance with limits of no less than one
hundred thousand ($100,000) dollars, as required by the laws of Tennessee. (Not required
for companies with fewer than five (5) employees).
f) ☐ other insurance
g) Such insurance shall:
1. Contain or be endorsed to contain a provision that includes Covered Entities as additional

insureds and loss payees with respect to liability arising out of work or operations performed
by or on behalf of Contractor including materials, parts, or equipment furnished in connection
with such work or operations. The coverage shall contain no special limitations on the scope
of its protection afforded to the Covered Entities.
2. For any Claims related to this Contract, Contractor’s insurance coverage shall be primary
insurance as respect to the Covered Entities. Any insurance or self-insurance programs
covering the Covered Entities shall be excess of Contractor’s insurance and shall not
contribute with it.
3. Regarding Automotive Liability Insurance including vehicles owned, hired, and non-
owned, said insurance shall include coverage for loading and unloading hazards. Insurance
shall contain or be endorsed to contain a provision that includes the Covered Entities as
additional insureds with respect to Claims and liability arising out of automobiles owned,
leased, hired or borrowed by or on behalf of Contractor.
4. Contractor shall maintain workers’ compensation insurance, if applicable, with statutory

limits as required by the State of Tennessee or other applicable laws and liability insurance.
Contractor shall require each of its subcontractors to provide workers’ compensation

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insurance for all of the latter’s employees to be engaged in such work unless employees are
covered by Contractor’s workers’ compensation insurance coverage.
5. Other Insurance Requirements. Contractor shall:
a) Prior to commencement of the Services, furnish The Agency with original certificates
and amendatory endorsements effecting coverage required by this Section 16 and provide
that such insurance shall not be cancelled, allowed to expire, or be materially reduced in
coverage except on thirty (30) days’ prior written notice to The Agency.
b) Provide certified copies of endorsements and policies if requested by The Agency in

lieu of or in addition to certificates of insurance.
c) Replace certificates, policies, and/or endorsements for any such insurance expiring
prior to completion of services.
d) Maintain such insurance from the time the Services commence until completed.
Failure to maintain, renew coverage or provide evidence of renewal as required by The
Agency may be treated by The Agency as a material breach and Default under this
Contract.
e) Place such insurance with insurer licensed to do business in Tennessee and having
A.M. Best Company ratings of no less than A-. Modification of this standard may be
considered upon written appeal to The Agency Director of Risk Management Services.
f) Require all subcontractors to maintain during the Term of this Contract Commercial
General Liability insurance, Business Automobile Liability insurance, and Worker’s
Compensation/Employers Liability insurance (unless subcontractor’s employees are
covered by Contractor’s insurance) in the same manner as specified for Contractor.
Contractor shall file subcontractor’s certificates of insurance as required by The Agency.
g) Disclose any deductibles and/or self-insured retentions greater than ten thousand
dollars ($10,000) and obtain The Agency’s written approval of such deductibles and/or
self-insured retentions prior to the commencement of the Services.
h) Not have, if Contractor has or obtains primary and excess policies, any gap between
the limits of the primary policy and the deductible features of the excess policies.
17. Employment and Nondiscrimination
17.1. Contractor shall not discriminate on the basis of age, race, sex, color, national origin, disability or
any other classification protected by federal or Tennessee State Constitutional or statutory law in its
hiring and employment practices, or in admission to, access to, or operation of its programs, services, and
activities.
17.2. Contractor shall not knowingly employ, permit, dispatch, subcontract, or instruct any person who
is an undocumented and/or unlawful worker to perform work in whole or part under the terms of this
Contract.
17.3. Violation of these Contract provisions may result in suspension or debarment if not resolved in
a timely manner, not to exceed ninety (90) days, to the satisfaction of The Agency.
18. Ethical Standards

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18.1. It shall be a breach of ethical standards for any person to offer, give or agree to give any
employee or former employee, or for any employee or former employee to solicit, demand accept or agree
to accept from any other person, a gratuity or an offer of employment in connection with any decision,
approval, disapproval, recommendation, preparation of any part of a program requirement or a purchase
request, influencing the content of any specification or procurement standard, rendering of advice,
investigation, auditing or in any other advisory capacity in any proceeding or application, request for
ruling, determination, claim or controversy or other particular matter, pertaining to any program
requirement of a contract, subcontract, solicitation or proposal therefore.
18.2. It shall be a breach of ethical standards for any payment, gratuity or offer of employment to be
made by or on behalf of a subcontractor under a contract to the prime contractor or higher tier
subcontractor or a person associated therewith, as an inducement for the award of a subcontract or order.
18.3. Breach of the provisions of this Section 18 is, in addition to a Default of this Contract, a breach of
ethical standards which may result in civil or criminal sanction and/or debarment or suspension from
being a contractor or subcontractor under The Agency contracts.
19. Assignment-Consent Required
19.1. The provisions of this Contract shall inure to the benefit of and shall be binding upon the
respective successors and assignees of the parties hereto. Except for the compensation due to Contractor
under this Contract, neither this Contract nor any of the rights and obligations of Contractor hereunder
shall be assigned or transferred in whole or in part without the prior written consent of The Agency. Any
such assignment of transfer shall not release Contractor from its obligations hereunder.
19.2. Any public agency (i.e., city, district, public agency, municipality, and other political subdivision
or any FTA-funded entity) shall have the option of participating in this Contract at the same prices, terms
and conditions. The Agency reserves the right to assign any or all portions of the Services awarded under
this Contract. This assignment, should it occur, shall be set forth in writing by The Agency and
Contractor. Once assigned, each agency will enter into its own agreement and be solely responsible to
Contractor for obligations for the Services assigned. The Agency’s right of assignment will remain in
force over the Term. The Agency shall incur no financial responsibility in connection with agreements
issued by another public agency. The public agency shall accept sole responsibility for placing service
and payments to the Contractor.
20. Remedies
20.1. In no event shall The Agency be liable for special, incidental, indirect, or consequential damages,
including, but not limited to, lost profits arising from the performance of this Contract, whether such
damages are based in contract, tort, or any other legal theory.
20.2. In the event of breach or Default of the Contract by Contractor, in addition to any other remedies
set forth herein, Contractor shall be liable to The Agency for damages for the breach or Default thereof,
including the costs and reasonable attorneys’ fees for the enforcement thereof. The remedies set forth in
this Contract shall be cumulative, and no one remedy shall be deemed to be exclusive of any other or of
any other remedy in law or equity, and the failure or delay of The Agency to exercise a remedy at any
time shall not operate as a waiver of the right to exercise a remedy for the same or subsequent breach or
Default at any time thereafter.
21. Governing Law and Venue

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21.1. The validity, construction and effect of this Contract and any and all extensions and/or
modifications thereof shall be governed by the laws of the State of Tennessee. Tennessee law shall
govern regardless of any language in any attachment or other document that Contractor may provide.
21.2. The parties consent that any action between the parties arising from this Contract shall be
maintained in the state trial courts of Davidson County in the State of Tennessee.
22. Entire Agreement
22.1. This Contract states the entire contract between the parties. No alteration, modification, release,
or waiver of this Contract or any of the provisions hereof shall be effective unless in writing, executed by
the parties hereto.
22.2. Notwithstanding the foregoing, Contractor agrees that this Contract is subject to modification by
The Agency to the extent necessary to comply with federal, state or local regulations, which may govern
this Contract. The Agency shall provide written notice to Contractor of any such modification.
23. Compliance with Federal Regulations
23.1. All USDOT-required contractual provisions, as set forth in FTA Circular 4220.1F and the FTA
contract clauses in the RFP are incorporated by reference. Unless otherwise modified in this Contract,
FTA mandated terms shall control in the event of a conflict with other provisions contained in this
Contract. Contractor shall not perform any act, fail to perform any act, or refuse to comply with any The
Agency request that would cause the parties to be in violation of FTA terms and conditions. Contractor
shall comply with all applicable FTA regulations, policies, procedures and directives, including, without
limitation, those listed directly or incorporated by reference in the Master Agreement between The
Agency and FTA, as may be amended or promulgated from time to time during the term of this Contract.
Contractor’s failure to so comply shall constitute a Default of this Contract.
24. Export
24.1. Contractor represents and warrants that the Services and documentation related thereto shall not
be disclosed to any foreign national, firm, or country, nor shall be exported from the United States
without first complying with all the requirements of the International Traffic in Arms Regulations and the
Export Administration Act, including the requirement for obtaining an export license, if applicable.
Contractor shall fully indemnify The Agency for any breach of this representation.
25. Force Majeure
25.1. No party shall have any liability to the other hereunder by reason of any delay of failure to
perform any obligation of this Contract if the delay or failure to perform is occasioned by force majeure,
meaning any act of God, storm, fire, casualty, unanticipated work stoppage, strike, lockout, labor dispute,
civil disturbance, riot, war, national emergency, act of Government, act of public enemy, or other cause of
similar or dissimilar nature beyond its control.
26. Severability
26.1. If any provision of this Contract is held invalid under any applicable statute or rule of law, it is to
that extent to be deemed omitted and the remainder of this Contract shall remain in full force and effect.
27. Notices
27.1. Any notice or other communication to be made pursuant to this Contract shall be made in writing
by United States certified or registered mail, by messenger service or by a nationally recognized overnight

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courier, and shall be effective (i) upon receipt, if delivered in person, (ii) five (5) business days after
deposit into the United States mail, if sent by certified or registered mail, and (iii) at 1:00pm on the
following business day, if sent by overnight courier. Notice hereunder shall likewise be effective when
actually received by either party. In each case, such notice or other communication shall be made to the
address shown below. Either party shall have the right, by written notice to the other party, to change its
address for such notice.
The Agency: Regional Transportation Authority of Middle Tennessee

430 Myatt Drive
Nashville, TN 37115
Attn: Procurement Department
Contractor: [Contractor’s name]

[Street Address]
[City, State Zip]
Attn: ____________________
28. Counterparts
28.1. This Contract may be executed in one or more identical counterparts, each of which shall
be deemed to be an original for all purposes, and all of which taken together shall constitute a
single instrument.
IN WITNESS WHEREOF, THE AGENCY AND CONTRACTOR HAVE EXECUTED THIS

CONTRACT AS OF THE DATE FIRST ABOVE WRITTEN
Regional Transportation Authority of Middle TN [Contractor Company]
____________________________________ __________________________________
Stephen G. Bland, Chief Executive Officer Authorized Signatory
Date: _______________________________ Title: _____________________________
Date: _____________________________


Request For Proposal (RFP) 2018827 Locomotive Overhaul: Date Issued: July 25, 2018 Proposal Due: September 6, 2018

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Request For Proposal (RFP) 2018827 Locomotive Overhaul: Date Issued: July 25, 2018 Proposal Due: September 6, 2018

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REQUEST FOR PROPOSAL (RFP) 2018827

Date Issued: July 25, 2018

Company Name Phone Number Fax Number

Point of Contact Title

II. INSTRUCTIONS TO PROPOSERS 8 - 10

III. SCOPE, PROPOSAL FORMAT & GENERAL TERMS/CONDITIONS 11 -126

IV. FTA MODEL CLAUSES AND FORMS 127 - 161

V. CONTRACT TERMS AND CONDITIONS (PROPOSED) 162 - 173

RFP No. 2018827 - Rolling Stock Page 3 of 176

The mission of the Regional Transportation Authority of Middle Tennessee is:

1.3 SOLICITATION SCHEDULE

RFP No. 2018827 - Rolling Stock Page 4 of 176

Site Visit August 11, 2018 at 9:00 a.m. CST

Question/Clarification Submittal Deadline August 16, 2018 by 1:00 p.m. CST

Proposal Submittal Deadline September 6, 2018 by 10:00 a.m. CST

Presentation/Interviews (if applicable) TBD

1.4 COST INCURRED BY PROPOSERS

1.5 EVALUATION OF PROPOSALS

1.6 EVALUATION SCORING MEASURES

RFP No. 2018827 - Rolling Stock Page 5 of 176

Evaluation Criteria and Weights

Part 3 Understanding of the RFP/ Work Methodology

Part 5 Training & Acceptance Plan/ Warranty

K. Training Material and Plan 10

A. **Example: ( $100(LC) / $102(PC))X15 (PP) = 14.7 (PA)**

1.7 PROPOSAL ACCEPTED

1.8 DISADVANTAGED BUSINESS ENTERPRISE (DBE)

RFP No. 2018827 - Rolling Stock Page 7 of 176

2.1 REQUESTS FOR CLARIFICATION

2.2 DELIVERY OF PROPOSALS

Kim Hereford, Project and Procurement Administrator

**NOTE: RESPONSES WILL NOT BE OPENED PUBLICLY**

2.3 Site Visit (NON-MANDATORY)

2.4 PROPOSAL WITHDRAWAL

2.5 UNACCEPTABLE PROPOSAL

2.6 REJECTION OR ACCEPTANCE OF PROPOSAL

RFP No. 2018827 - Rolling Stock Page 9 of 176

2.8 FORMS PROVIDED

RFP No. 2018827 - Rolling Stock Page 10 of 176

1 SCOPE AND RESPONSIBILITIES

1.1 SCOPE AND PURPOSE

RFP No. 2018827 - Rolling Stock Page 16 of 176

1.4 RESPONSIBILITIES OF THE CONTRACTOR

1.4.2 Technical Assistance

RFP No. 2018827 - Rolling Stock Page 19 of 176

1.4.4 Submittal Form

1.5 MANAGEMENT SYSTEMS

1.5.2 Management Program

1.5.3 Quality Assurance Plan

RFP No. 2018827 - Rolling Stock Page 21 of 176

CDRL 1-002 Master Program Schedule Update Every 30

CDRL 1-004 Copies of Purchase Orders Every 30

CDRL 1-008 Management Plan Update Every 60

RFP No. 2018827 - Rolling Stock Page 22 of 176

2.1 LOCOMOTIVE CHARACTERISTIC REQUIREMENTS

2.1.1 General Requirements

2.1.2 Basic Design Considerations and Maintainability

2.1.3 Regulatory Compliance

2.1.4 Locomotive General Statistics

2.1.5 Specific Design Requirements

2.1.5.1 Locomotive Noise Emission

2.1.5.2 Cab Interior Noise

2.1.5.3 Exhaust Emissions

A. Example: ( $100(LC) / $102(PC))X15 (PP) = 14.7 (PA)

NOTE: RESPONSES WILL NOT BE OPENED PUBLICLY