· section ix,astm a488/a488m or other approved qualifying procedures. records of welder...

No. Specification Reference Contract Reference Question Answer

1

1. Section 10.3.1, Battery, second paragraph, includes Hoppecke’s FNC batteries as an approved vendor/type, however, the first sentence continues on to state “using sintered-type construction”. The Hoppecke FNC do not used sintered-type construction, they are made using impregnated fiber. Will this be revised? The specification has been updated.

2

3. Section 10.3.4, Battery Box, 3rd sentence before the end of the first paragraph references the “Saft New Technology Design with bonded plates” with regards to the box accommodating this product. This reference is inappropriate since Hoppecke is an approved vendor/battery, and should only state “accommodate the selected NiCad battery”. Will this be revised? The specification has been updated.

3

We, CNR MA Corporation, is one of the subsidiaries of CRRC. We are very interested in bidding on this Multi-level Cab and Coach Cars Project with RFP No. 15-00063-AJAC and we attended the pre-bidding meeting on Sep 16. However, since the current due date of proposal-submittal is Nov 6, which is really too tight for car-builders to prepare the best proposal for SEPTA. Therefore, we hereby would like to ask for extension of bid due date as well as RFC due date by 4 months. Please kindly consider it. Proposals are due Feb. 12, 2016.

4

Technical specification(Clause 11.4.3 and 18.2.2.11) indicates the application of two different conditions for truck equalization performance. For this program, HR kindly proposes to apply the requirement of APTA-PR-M-S-014-06 standard specified in clause 18.2.2.11, which contains prevailing minimum requirements for wheel load equalization and for testing to verify compliance with the standard. This standard should apply to railroad passenger equipment of all types that are intended for use in passenger service on the general railroad system of the United States and safely negotiate all class of FRA track.Clause 11.4.3. Equalization The truck shall equalize such that the lifting of any one wheel in a truck a height of two(2) inches shall not unload any other wheel in the truck by more than 25 percent wheel the truck is under the carbody with air spring deflated, ~ Clause 18.2.2.11. Truck Equalization TestsTo verify the equalization provided by the truck design, the lowest weight pilot car shall be tested per APTA-PR-M-S-014-06, Class G, requirements.

Technical Specification Section 18.2.2.11 is updated to include a statement that exceeding 25% unloading at 2.00" vertical wheel deflection may be accepted at the discretion of the Engineer.

5

It appears that the requirements for wheel diameter are not consistent between Clause 2.2 and 11.7.1. Please clarify the wheel diameter of 36 inches is applicable to this program.11.7.1 DesignWheels shall be 32 inches in diameter, multiple-wear type, ~2.2.1 Operationa. Diameter of wheels : 36 inches maximum2.2.11 Car CharacteristicsWheel diameter : 32 inches to 36 inches

The wheel diameter shall be 36 inches. The technical specification has been updated accordingly.

6 Does SEPTA have the money for the base order of multi-level cars? Does SEPTA have the money for the option cars? Yes to both questions.

7

11.4.3 Equalization and 18.2.2.11 Truck Equalization Tests -

It seems that discrepancies exist between the two sections (11.4.3 & 18.2.2.11). According to APTA-PR-M-S-014 Figure 1 –Wheel Unloading Requirement Class G, for a wheel vertical displacement of two (2) inches, the Max. Wheel Unloading should be approx 52%, not 25% as mentioned in Section 11.4.3. Thus Bombardier kindly request that the Technical Specification Section 11.4.3 be rewritten as follow:‘‘The equalization shall meet the requirements of APTA-PR-M-S-014 and the equalization test in TS 18.2.2.11. ‘’

See item 4.

8 2.1.8 Compatibility -

SEPTA is asked to clarify the intention of operating trains in 14 cars configuration. If maximum power consumption in each car is considered for the 14 cars configuration, there are important considerations to validate in terms of the power capacity of the equipment:

- the locomotive must have enough capacity to support the maximum power consumption of the trainset;- the intercar jumpers defined in the SEPTA technical specification (section 5.5.2) located at the locomotive shall support the whole train power.

SEPTA is asked to clarify the type of operation and train configuration (one or two locomotives) that is considered in a 14 cars trainset. Also it would be important to determine what would need to be functional in each car to validate the total power for a 14 cars trainset. Preliminary estimates indicate that the 14 cars requirement is incompatible with the power source and the powerdistribution equipment defined in the technical specification.

SEPTA typically operates seven car trains. The intention of operating trains in a 14-car configuration is for rescue operation.

9 14.2 -

“ The supplied ATC/PTC equipment shall meet all functional requirements as outlined in the Ansaldo PTC System Functional Description, document number S820661-01300-2100, latest revision.” - Please provide a copy of the referenced document “S820661-01300-2100” for review. See attached.

Questions and Answers (Addendum No. 5)

10 - NR 2. Proposal Submission

Bombardier would suggest an extension of 35 Calendar days. Bombardier propose the following correction:SECTION NO. 1, NR 2. Proposal Submission‘’Each Proposal must be submitted in two (2) separate sealed parts, identified as the Technical Proposal and the Price Proposal. One (1) original and six (6) copies plus one (1) CD copy in PDF Format of the Technical Proposal and one (1) original and one (1) copy of the Price Proposal are to be submitted in writing to SEPTA by the close of business (4:30 PM) on Friday, December 11, 2015 .’’ Proposals are due Feb. 12, 2016.

11 5.5 -

The technical specification requires in section 5.5.3 semi-permanently secured intercar jumpers which indicate that cars cannot be reversible for connection with other cars. In section 5.5.1, the general text asks for reversibility of cars.

Please clarify if the intention is to have a full reversibility of cars in operation. This will have an impact on the quantity of connectors to install at each end of the cars. The intention is to have a full reversibility of cars in operation. The

technical specification has been changed accordingly.

12 2.1 -

The Multi-Level cars are push-pull type operating with locomotives. Not all SEPTA passenger cars are push-pull type. As reported from the pre-proposal meeting held at SEPTA on September 16th, it was mentioned that new Multi-Level cars would not be operated with current fleet passenger cars. Please confirm if compatibility with the current SEPTA passenger cars is needed and if so, provide a list of the specific cars that will operate in mixed consist with the new Multi-Level cars.

Concerning locomotives, SEPTA has currently two types of locomotives and is expecting delivery of a third type of locomotive. Considering the delivery date of the new Multi-Level cars and according to SEPTA plan to replace its old locomotives from service by the new Siemens locomotives, compatibility may not be applicable to all locomotive types. Please confirm exactly to which locomotives, the compatibility will be needed.

Compatibility with SEPTA's existing single-level, Bombardier push-pull cars is required. Regarding locomotives, compatibility is required with SEPTA's new Siemens locomotives only.

13 5.2; 5.3 -Buckeye Steel Casting is no longer in business. Columbus Castings bought the assets of the former Buckeye Steel Castings Company. Per attachment enclosed, please accept Columbus Castings as a potential source supplier. Accepted.

14 5.2; 5.3 -McConway & Torley manufactures railroad couplers, yokes knuckles, etc. according to the appropriate AAR/APTA specs. Per attachment enclosed, please accept McConway & Torley as a source supplier. Provide additional information with your proposal.

15 14 -We have been informed by Ansaldo STS and by Siemens that the current equipment used by SEPTA is manufactured by Siemens, not by Ansaldo, please clarify

A majority of the equipment is manufactured by Siemens. Reference Technical Specification Section 14.2 for other suppliers.

16 - Section 1, N 4 - Questions

Section 1, Notice of Request for Proposals, Sub-Section NR 4, Questions, states all questions must be received no later than the close of business (4:30 PM) on Wednesday, September 30th, 2015.

We request SEPTA to change (extend) the question submittal due date from close of business (4:30 PM) Wednesday, September 30th, 2015 to close of business (4:30 PM) Wednesday, October 14th, 2015. Changing the question submittal due date will extend the evaluation and question time period form approx. 30 days to 45 days and allow for car builders as well as their sub-suppliers to thoroughly review, clarify and properly address any questions and or concerns regarding the specification(s).

Questions due date was extended until Nov. 30, 2015 in Addendum No. 4.

17 2.1.8 - For revenue service, does the maximum composition of train consist of 14 cars? See response to item 8.

18 2.2.14.1 & 11.2 -

In section 2.2.14.1, it specifies “…with qualification to 115 mph with six (6) inches of cant deficiency…”, however, in section 11.2, it specifies “…with qualification to 115 mph with nine (9) inches of cant deficiency…”. The two cant deficiency values are different, please clarify which one is correct.

Qualification is required to 115 mph with nine (9) inches of cant deficiency. The specification has been updated accordingly.

19 2.2.14.2 - Please kindly provide the track charts for our information.

Atached please find track charts for Chestnut Hill West, which can be used as a representative sample. Other routes will be provided upon Contract award.

20 3.2.1 -

All stainless steel elements of the carbody, which are connected to other members by welding, shall be constructed of AISI type 301L stainless steel with carbon content not exceeding 0.03 percent, as specified in TS 17.3. Since AISI standard has already been withdrawn. So, we recommend EN 10088 and JIS 4305 standards for purchasing material of carbody. Please advise whether it is acceptable or not.

Type 301L stainless steel complying with the ASTM standard is available.

21 3.3.1.1 -

It specifies “When used in a structural connection, welds shall be designed to carry the entire load across the connection as required by AWS D1.1, Section 2.6.7.” Is it allowed to design the carbody as required by EN15085 welding certification system?

Please show compatibility with the specified standard in your proposal.

22 3.10.3 - Does SEPTA accept the diaphragm which complies with the requirements of UIC 845-2004? Provide a copy of UIC 845-2004 with your proposal.

23 11.7.1 & 2.2.1 -

In section 11.7.1, it requires that wheels shall be 32 inches in diameter, while, in section 2.2.1, it mentions that the maximum diameter of wheel is 36 inches. Does it mean that the diameter of wheel is between 32 inches to 36 inches are acceptable by SEPTA? See response to item 5.

24 17.22.3 -

Welders shall make only those welds for which they have been qualified according to the requirements of the AWS,ASME Section IX,ASTM A488/A488M or other approved qualifying procedures. Records of welder qualification tests shall be made available for review. Does the other approved qualifying procedures mentioned in this paragraph include ISO 9006-1 or ISO 14732?

Please show compatibility with the specified standard in your proposal.

25 18.2.1.29 -

In this section, it requires that a sample of materials representing structural flooring, floor panels, and floor covering along with a representative section of cab structure shall be tested to verify the ability to withstand the requirements of ASTM E119-07 when exposed for 15 minutes at up to 1400° F on the material underside. This is different from the requirement of section 17.24.4 that the Contractor shall test the lower and the intermediate floor assemblies in accordance with ASTM E119 to demonstrate a 30 minute endurance rating. Please clarify the material of floor required in section 18.2.1.29. Is it a floor assembly?

The 15 minute test duration is a mistake and 30 minutes shall be used in accordance with ASTM E119.

As to the floor material, an actual exact mock-up of an underfloor section reflecting an "as-built" configuration must be built and act as the test sample. This shall include undercar floor pans, structural members, insulation, sound deadening compounds, sealants, adhesives, leveling compounds and elastomers, along with actual floor panels and floor coverings that have been approved via design review and/or FAIs.

26 18.4.2 -

This section requires that any total car weight deviation of greater than 300 pounds from the weight of the pilot cars or other standard weight agreed to by the Contractor and the Engineer must be explained to the satisfaction of the Engineer prior to shipment. However, in section 2.2.2.4, it requires that once the official car weight has been determined in respect to all weight corrections and approved by SEPTA, all remaining production cars shall be within one (1) percent of the recognized weight for that type of car configuration. The two values of car weight deviation mentioned are different. Please clarify which deviation value is required.

A deviation of up to one (1) percent of the recognized weight for each type of car configuration is required. The technical specification has been updated accordingly.

27 16.7 -

To allow the proper testing, troubleshooting, and calibration of car components on a test bench in a specialized workshop environment, the Contractor shall supply two (2) complete sets of each type of bench type shop test equipment to be delivered bythe 20th production car. Please clarify the scope of each set of bench test equipment or which system the bench test equipment shall be provided for.

The systems for which bench test equipment are required are listed in Technical Specification Section 16.7, pages 16-17, bullet points a through o.

28

13.1 gengeral -

The communication system shall utilize audio for train line transmission of video signals along with conventional baseband audio trainlines for backward compatiility with older SEPTA rolling stock

Please advise what SEPTA mean by "older SEPTA rolling stock".Is it SL-VI or V? Please advise.

Compatibility with SEPTA's existing single-level, Bombardier push-pull cars is required.

29

13.8.1 Equipment Description -

The technology use shall be backlit full color LCD(using high intensity LED backlighting to be visible in bright sunlight), RGB high intensity LED.

In General, External Destination display has the LED type. If SEPTA requires LCD type, we have to prepare costomized LCD which results in higher cost. Please advise whether SEPTA LCD or LED type.

The exterior signs shall be RGB high intensity LED or other Engineer approved equivalent full color display. The specification wording has been updated accordingly.

30

13.12 Automatic Vehicle Locatio system. -

The sound quality of the converted message shall be the same as a prerecorded voice message.

Technically sound quality of converted message is not same as recorded audio files in the expert studio. Please consider deleting this requirement.

The sound quality of the converted message shall be approved by theEngineer. It shall have human characteristics and shall not sound robotic.

31 -

N 2. Proposal Submission

Section 1, Notice of Request for Proposals, Sub-Section NR 2, Proposal Submission, states the Technical Proposal and Price Proposal are to be submitted in writting to SEPTA by the close of business (4:30 PM) on Friday, November 6th, 2015.

We request SEPTA to change (extend) the Technical Proposal and Price Proposal submittal due date from close of business (4:30 PM) Friday, November 6th, 2015 to close of business (4:30 PM) Friday, December 11th, 2015. Changing the Technical Proposal and Price Proposal submittal due date will extend the evaluation and question time period and allow proper time for car builders as well as their sub-suppliers to put forth the best Technical and Price offerings.

Proposals are due Feb. 12, 2016.

32 12.1 -

From customer Technical Specification Section 12.1: ‘’ Thermal braking simulations using AW3 loads, SEPTA route profiles,and full service braking distances shall be submitted to the Engineer for review and approval.’’Can Septa provides the route profiles for a preliminary analysis of the brake discs thermal capacity ? Atached please find SEPTA's route profiles.

33 2.1.8 -

‘’Each multi-level car shall be equipped with a compromise coupler suitable for use in coupling a multi-level car consist to anySEPTA EMU consist for the purpose of train rescue.’’ Can SEPTA provides the coupler type to which the new multi-level vehicles should be able to couple ? SEPTA's EMUs use a Wabtec model N-2-A automatic coupler.

34 15.3.2 -

15.3.2: “The following functions, at a minimum, shall be incorporated into the DTN:…Transfer of data needed from/by trailer cars to/from cab cars and locomotives” In order to estimate the scope of work related to the interface with the SEPTA locomotives, it would be necessary to have information such as the electrical schematics, mechanical drawings of the end car (trainline connectors and coupler installation). If the Multi-Level car network will be required to exchange data with the SEPTA locomotives, could you provide a description of the locomotive trainline network to interface as well as a description fo the communication protocol. Please confirm also which operation functions (if applicable) are expected to be exchanged over the trainline network with the locomotives.

As the locomotives are currently under design, this information cannot be provided at this time. No operation functions will be exchanged over the trainline network with the locomotives.

3511.7.1- Design, 2.2.1 -

Operation -

Section 11.7.1 – Design‘’The existing SEPTA wheel profile, which is detailed in SEPTA drawing C-4335, shall be supplied…’’

Section 2.2.3.1 – General‘’ SEPTA’S clearance diagram, B-4163…’’ Can Septa provide these referenced drawings? Clearance diagram B-4163 and Wheel Profile Drawing C-4335.

Supply of the standard SEPTA crew key drawing would also be appreciated.

Wheel profile shall be per APTA SS-M-015-06, Figure B.8, APTA 340 Wheel Profile. The specification has been updated accordingly.

SEPTA's clearance diagram, B-4163 is attached.

The Contractor shall supply the specified J.L. Howard and Co. No. 2383 key.

36 -TS 2.7

We cannot find out average annual mileage per car in the Specification.

Please advise average annual mileage per car for reliability and maintainability analysis The average annual mileage per car is 33,000 miles.

37 -

TS17

For software escrow, could you please clarify the following questionnaire?

1. How long does the escrow account maintain after initial deposit by Contractor? 2. If SEPTA has specific preference of escrow agent, please let us know what it is.3. Can software escrow verification testing be held in supplier's site under witness by SEPTA instead of escrow agent's verification testing?4. Does SEPTA have standard escrow agreement document?

1. 10 years.2. Iron Mountain3. No, the escrow agent shall witness the verification testing. 4. See attached sample escrow agreement.

38 Section 1 -

Regarding Addendum No.1,SEPTA has changed all questions must be received no later than the close of business (4:30 PM) on Wednesday, October 14, 2015.

We request SEPTA to change (extend) the question submittal due date from close of business (4:30 PM) Wednesday, October 14, 2015 to close of business (4:30 PM) Wednesday, December 2nd, 2015. Extension for the question submittal due date shall be considered in proportion to extended bid closing date (February 12th, 2016). Also the extension allows for car builders as well as their sub-suppliers to thoroughly review, clarify and properly address any questions and or concerns regarding the specification(s).

Receipt of questions was extended to Nov. 30, 2015 in addenudm no. 4. Proposals are due Feb. 12, 2016.

39 - -

We, CNR MA Corporation, are one of the subsidiaries of CRRC. In Addendum No. 1 of the RFP No. 15-00063-AJAC, the due date for the submission of questions (NR4) was extended to October 14, 2015 (where Proposals were due by November 6, 2015). Addendum No. 2 extended the due date for the submission of proposals to February 12, 2016. However, the due date for the submission of questions was not extended. Therefore we suggest that the due date for the submission of questions should be extended accordingly. Your consideration would be highly appreciated.

Receipt of questions was extended to Nov. 30, 2015 in addenudm no. 4. Proposals are due Feb. 12, 2016.

40

15.1.2

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Gigabit is not common for DCN networks, most subsystems can only use 100 Mbit, so 1 Gbit is not useful except for large data volume subsystems like Video. We recommend using speed of 100 Mbit for the car network instead of 1 Gbit.

Based on the both the provision for passenger wireless internet as well as future expansions, a gigabit trainline as well as gigabit car network will be required. It is acceptable for the car network ring to be gigabit, while having connections to end stations be primarily 100 Mbit (other than where required, for example the NVR or passenger wifi device).

41 15.3 -Does the “PRIAA Specification 305-919 section 3.3 “Jumper Cables”” here mean the “PRIIA 305-919-2014 Digital Train Line Hardware Specification”? Yes. The specification has been updated.

4215.5.5

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This may be a problem for some sub-suppliers because some of the end devices (network interfaces) in the subsystems may not be able to store the network statistics. Can we store this information only in MDS, rather than the other end devices? It is acceptable to store the network statistic information on the

MDS rather than on all end devices.

43 16.7 -Does it mean that the auxiliary power control units, low voltage power supplies, friction brake control unit etc., listed in Section 16.7, shall be integrated into one shop test equipment? No, but they could be if so designed that way by the Contractor.

442.3.2.4

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This section of the Technical Specifications requires that tests shall be conducted in accordance with IEC 61373, 1999. Actually, the latest version of this standard is IEC 61373, 2010. Please clarify whether or not the latest version IEC 61373, 2010 shall be applied.

The latest version IEC 61373, 2010 shall be applied. The technical specification has been updated accordingly.

45 18.2.8 -Is the standard ISO-2630-1:1997 mentioned in this section a typo or not? We think it should be ISO-2631-1:1997. If it is not a typo, please indicate the name of this standard.

The reference to ISO 2630 is a typographical error. The technical specification has been updated to reflect ISO 2631.

462.2.14.2

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Could you please provide us with the track parameter, the railhead type and drawing and the detailed information of the railway lines, such as the radius of curve, length of transition curve, superelevation and gradient on the track?

Please refer to Technical Specification Section 2.2.10.

47 2.2.3 -As there is no standard about clearance specified in the Technical Specifications, can we recommend the application of UIC505-1 or CJJ-96 which has been used widely in China? Clearance requirements are defined by the technical specification.

48 2.2.3.3 - SEPTA’s carbody construction limits drawing, B-4163, is not provided in the Technical Specifications. SEPTA's clearance diagram, B-4163, is attached.

49

11.3.1

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How is the “horizontal load of 250,000 lbs” applied? Is it the limit load that the longitudinal and lateral stops on the truck are capable of withstanding? Shall it be verified via finite element calculation that the structural calculation stress is less than the tensile strength Rm of material?

The 250,000 lb. load is applied separately longitudinally and laterally up to the ultimate limit of the truck to carbody attachment. It is to be verified via calculation for each direction and validated longitudinally on the carbody and bogie attachment with the load determined by the ratio of Sy/Su * 250,000 lbs.

50

1

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The cars shall be designed and constructed in complete with this Specification and the requirements of the following agencies:i. Association of American Railroad(AAR)Q 1: Shall the complete multi-level car (including type test of complete car) be certified by AAR?Q 2: If any component which has ever been used in the past US railway vehicle projects is applicable for this multi-level project, can you accept the test report of the mentioned component, which has been issued in the past?

1. No, the car does not have to be certified by the AAR; however, the design must comply with the appropriate AAR requirements and receive the required FRA approvals.2. Yes, but this will be evaluated on a case-by-case basis.

51 -

IP 6.3 Buy America Provision

We would like to know if SEPTA is further considering a waiver of Buy America final assembly and testing requirement for the Pilot Cars. Because SEPTA requires to implement many kinds of testings for the Pilot Cars which included in "TS 18.6 Pilot Car Testing".For manufacturing high quality vehicles to improve the conformance and stability of technology, we would like to propose that the final assembly and testing for the Pilot Car could be executed in the Contractor's own plant having relevant test equipment and skilled technician.Please confirm if waiver request for the Pilot Cars is acceptable. No, a waiver request for the Pilot Car testing is not acceptable.

52

1.7.3. Testing of Pilot Cars/

18.6 . Pilot Car Testing

-

From the "1.7.3. Testing of Pilot Cars, Technical Specification", SEPTA specifies that "After the successful completion of the 92 day inspection, proof of performance testing shall commence as outlined within TS 18.6". We would like to ask some questions as below refer to this requirement.

1. Firstly, we would like to clarify that the "full static commissioning testing" in the article 1.7.3 indicates "Car Acceptance Tests" in TS 18.5.

2. Secondly, please clarify if the Acceptance of Pilot Car shall be ahead of the 92 day inspection.

3. From the precondition for the correct clarifications above, when the "92 day inspection" shall be finished after the "full static commissioning testing"(="Car Acceptance Tests"), SEPTA specifies that performance testing shall commence as outlined withinTS 18.6.However, normally the testing specified in TS 18.6 as "Pilot Car Testing" would be implemented on the testing stages before "92 day inspection". Therefore we would like to clarify if the testing items in TS 18.6 should precede "92 day inspection". Moreover, if it has to be correct, the Acceptance of Pilot Cars would be earlier than the Acceptance of First Base-Order Production Car.

1. Yes, the "full static commissioning testing" in TS 1.7.3 indicates "Car Acceptance Tests" in TS 18.5.2. No, the 92 day inspection must be completed prior to dynamic testing.3. The 92-day inspection must be completed before any dynamic testing.

53

2.2.7.3. Brake Performance

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This section requires the average full service braking rate of 2.35 mphps +10% / -0%.

The brake rate tolerance (+10/-0) is too strict for full service friction braking to meet due to tolerances of friction coefficient, thermal effect, brake cylinder pressure and response time. Similar bi-level coaches such as SCRRA or MBTA bi-level coaches require the full service brake rate tolerance of +20%/-20% which was required by SEPTA SL-V commuter cars as well. Moreover, it is believed that the full service friction brake tolerance of +20%/-20% is a standard requirement prevailing in US.Please check if mitigating this requirement can be acceptable. The specification has been changed to allow a tolerance of +/-20%

for the full service brake rate.

54

IP11.1 Technical ApproachTab 1-Scope/Program

Management

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(3) Provide a Critical Path Schedule (CPM) with key milestones and events emphasized. Include key events starting with the Design Review Program through Pilot and Production cars testing and acceptance. Identify the methods to be used to control program delays and cost overruns.

We would like to request SEPTA to consider eliminating the requirement regarding the methods to be used to control cost overruns as we in general use the CPM schedule to control and mitigate the delay while the cost overruns are controlled by internal cost system.

The request change is not acceptable.

55

13.1 General (Page 2)

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It is specified that 'The communication system shall … permit two-way radio communication between the train crew/Operator and other trains and wayside installations'.

Can SEPTA clarify the requirement to “permit two-way radio communication between the train crew/Operator and other trains and wayside installations”?

Is this requirement simply to provide the train radio, as described in section 13.6, which is accessible in the cab to the crew/operator? Or, is this a requirement for additional functionality, such as allowing two-way radio communications from a Non-Cab Communication Control Panel?

Yes, the requirement is simply to provide a train radio.

56

13.4 Passenger Emergency Intercom system

(Page 2)

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It is specified that 'When a passenger activates the PEI, a visual indicator on the PEI shall flash in the active cab and on the Communication Control Panel (CCP) until the crew acknowledges the call at which time the annunciator on the PEI shall constantly illuminate'.

This sentence implies that there is a PEI in the cab. We believe this is a typo and it was intended to be written: “When a passenger activates the PEI, a visual indicator shall flash on the PEI shall flash in the active cab and on the Communication Control Panel (CCP) in the active cab until the crew acknowledges the call at which time the annunciator on the PEI shall constantly illuminate.”

Can SEPTA confirm the correct wording for this sentence?

When a passenger activates the PEI, a visual indicator shall flash on the PEI, on the Communication Control Panel (CCP) in the active cab, and on all non-cab CCPs until the crew acknowledges the call at which time the annunciator on the PEI shall constantly illuminate. The specification wording has been updated accordingly.

57

13.4 Passenger Emergency Intercom system

(Page 7)

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It is specified that 'The crew shall use the "Press-To-Talk" button in the console area in conjunction with either the crew communication panel’s internal condenser microphone or the external lapel microphone to talk to the passenger and shall hear the passenger over the monitor speaker'.

This is the only place in the specification that makes mention of an “external lapel microphone”. Can SEPTA provide more details of what type of microphone and interface is required? The specification has been changed to delete the lapel microphone.

58

13.8 Destination Sign System

13.8.2 Location of Equipment(Page 12)

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It is specified that 'The sign control unit on cab cars and trailer cars shall be incorporated into the MDS system as approved by the Engineer. The Operator’s display keyboard functionality for the destination signs shall be integral to the MDS located in the locker adjacent to the quarter point doors on all cars'.

This statement is confusing because it implies that the sign control is done by the MDS system, rather than the COMMS system. Sign control should be through the COMMS system in order to be coordinated with audio announcements.

We think that this requirement would be better stated as follows: “The operator’s interface for the sign control unit on cab cars and trailer cars shall be incorporated into through the MDS system MDU LED touchscreen as approved by the Engineer. The Operator’s display keyboard functionality for the destination signs shall be integral to the MDS MDU LED touchscreen located in the locker adjacent to the quarter point doors on all cars.”(*MDU: Maintenance Display Unit which is installed in the locker)Can SEPTA confirm the correct wording for this section?

The intent is that the specification allows control of the communications system via both the DDU and MDU (both portions of the MDS system), without requiring a separate communications control screen. The specification wording has been updated.

59

13.12 Automatic Vehicle Location System

(Page 15)-

It is specified that 'A switch to disable exterior announcements during the trip shall be provided'.

Is a physical switch required for this function or can exterior announcements be disabled through the COMMS interface on the MDU LED touchscreen? A physical switch is not required.

60


(Page 16)

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It is specified that 'The system shall include a vehicle location control panel as well as provisions for the entry of an employee I.D. number. When the Operator activates the train, the Conductor or Operator will enter the route number and train number intothe vehicle location control panel. … The vehicle location control panel shall include a small display'.

Is the vehicle location control panel required to be a separate unit or can the entry of the train number be done through the COMMS interface on the MDU LED touchscreen?

A separate unit is not required.

61


(Page 16)

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It is specified that 'The system shall be capable of using the existing SEPTA sign and location database utilized for the SEPTA Silverliner V communication system'.

Can SEPTA provide top level details of the existing SEPTA sign and location database? Is the database accessed via a TCP/IP connection? Is the database accessed through a standard interface, such as SQL? Can SEPTA share the database schema?

Also, can SEPTA confirm that detailed interface specifications for the existing database will be provided to the awarded Contractor in order to support integration with the new system?

Details will be provided upon award of Contract.

62


(Page 17)

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It is specified that 'The [GPS] system and components shall be designed to permit integration with current digital and analog type radio systems and cell phone networks'.

Can SEPTA clarify this requirement?

What type of integration is required between the GPS system and digital and analog radio systems? What type integration is required between the GPS system and cell phone networks?

It shall be designed so that location information can be sent to SEPTA's control center.

63

13.13 AVL Expansion Provisions(Page 18) -

Same question as previous. It shall be designed so that location information can be sent to SEPTA's control center.

64

13.15 Onboard Video Surveillance System

(Page 19)-

It is specified that 'The [Video] system shall be compatible with SEPTA's existing wayside video systems, and the Contractor shall be responsible for integration'.

Can SEPTA provide details of their existing wayside video system? What VMS or PSIM software is used? What file formats and interfaces are supported? Details will be provided upon award of Contract.

65

13.16 Onboard Dynamic Advertising System

(Page 20)

-

It is specified that 'The vehicle graphical interior messaging signs shall include dynamic advertising capabilities and integrate in with existing digital signage servers used for the SEPTA Silverliner V fleet'.

Can SEPTA provide top level details of the existing SEPTA digital signage servers? Are the servers accessed via a TCP/IP connection? Is the server database accessed through a standard interface, such as SQL? Can SEPTA share the database schema?

Also, can SEPTA confirm that detailed interface specifications for the existing digital signage servers will be provided to the awarded Contractor in order to support integration with the new system?

Details will be provided upon award of Contract.

66

13.19 Wayside Access Points

(Page 24)-

It is specified that 'Site surveys, network design, installation, and testing shall occur not more immediately prior to the delivery of the first equipped vehicles'.

The wording of this requirement is not clear. Please review and clarify.The specification has been changed to delete "not more immediately".

67


(Page 24)13.13 AVL Expansion

Provisions(Page 18)

-

It is specified that 'The Contractor shall provide all source codes, mapping software and hardware to SEPTA which is required to make initial and future announcement changes, shall prepare and install all updates and revisions to the cars for the basic warranty period for each car, and shall disclose to SEPTA all required proprietary methods, software, tools, and associated equipment necessary to ensure the successful operation of the system'.

Can SEPTA confirm that source code is to be supplied in escrow as stipulated in the RFP contract section XXXV A.4: “4. The Contractor shall provide SEPTA with all source code in third-party escrow for all software obtained or governed by this Contract, in accordance with an Escrow Agreement to be mutually developed and agreed upon by both parties.”?

The Contractor shall supply all hardware and software that is required for SEPTA to make future announcement changes. Any software that is not required for SEPTA to make future announcement changes may be placed into escrow.

68

15.4 Data Car Network (Page 4)

-

It is specified that 'A Gigabit Ethernet data car network (DCN) shall be provided on all cars'.

Can SEPTA clarify that the requirement for Gigabit data car network only applies the DCN loop (ring) connections, and not the connections to End Stations (network connected subsystems)?

With the exception of video recording devices, there are very few subsystems on a vehicle that would have Gigabit Ethernet speeds.

Based on the both the provision for passenger wireless internet as well as future expansions, a gigabit trainline as well as gigabit car network will be required. It is acceptable for the car network ring to be gigabit, while having connections to end stations be primarily 100 Mbit (other than where required, for example the NVR or passenger wifi device).

69

TS 7.12 "Status Display Screen"

12.1.a "Cab driver display unit"

15.3.1.e.2 “Operator’s display”

16.3.1.k “Operator’s display (TS 7.12)”

16.5.2 “Driver display unit (DDU)”

16.6.1.a-d “Operator’s display”

-

SEPTA refers to the following items:7.12 “Status Display Screen”,12.1.a “cab driver display unit”15.3.1.e.2 “Operator’s display”,16.3.1.k “Operator’s display (TS 7.12)”,16.5.2 “Driver display unit (DDU)”16.6.1.a-d “Operator’s display”

Can SEPTA confirm there should be only one display in the cab for the operator user interface? And that this display is called the driver display unit (DDU)?

Can SEPTA confirm that the SDS, DDU, and Operator display are all the same device?

If they are the same device, are the DDU size and display requirements similar to the Maintenance Display Unit (MDU) in terms of LED, 12” diagonal, SVGA resolution?

There should only be one display in the cab for the operator user interface for monitoring and diagnostics and communications purposes (DDU). The size and display requirements are similar to the MDU.

70

10.6.6.d Vestibule Electric Lockers

-

It is specified as follows."Each car shall have additional electric lockers in the quarter point vestibule partitions. These lockers shall contain the following apparatus and shall have panel doors equipped with flush pull handles and barrel key locks apparatus:…d. Operator’s display keyboard panel”

Please confirm the “Operator’s display keyboard panel” is required to interface to the Maintenance display unit (MDU), and not the driver display unit (DDU)?

Can SEPTA confirm the “Operator’s display keyboard panel” is simply the USB connected keyboard (PC-style)?

The specification wording has been updated to delete the Operator's display keyboard panel. The primary operator's display keyboard is to be implemented via a touchscreen interface to the MDU and DDU. A USB interface connector is required to interface a regular PC type keyboard as per TS 16.4.2, but a separate space allocation for that is not necessary.

71


-

It is specified as follows."a. Individual WLAN locations shall be installed at each of SEPTA's Railroad Division's five (5) yards and shops along with SEPTA's Suburban Station for the primary purpose of data exchange between wayside equipment and all WiFi equipped cars."

In order to allow the Contractor to properly estimate the Wayside WLAN infrastructure costs, can SEPTA provide the following:- A site map for each location showing the areas required to have Wi-Fi coverage?- On each site map, identify the locations of existing SEPTA computer network installations and/or where the extranet equipment would be installed? - A list of the control center and management departments that will be exchanging data with the WLAN APs?

It is expected that the Contractor will conduct a site survey prior to design.

72

16.16.1 WDS Requirements (Page 14~15)

-

It is specified as follows."h. Support of wireless media as defined in TS 13.10 (train to wayside communications system) for communication between RDS ground station and cab cars

i. Information from trailer cars shall be accessed via DTN before it can be transmitted through the RDS system

j. It shall be possible to view the following information during an interactive session: all disturbance information stored in the diagnostic computer on every car that can be reached through the RDS and DTN.

k. Process data as a list of signals and values with the possibility to select the variables from a predefined list or on predefined screens. Similar to the IDU, process data from other cars without RDS mobile stations (trailer cars) shall be transmitted via DTN to a car with a mobile station (cab car)."

The acronym RDS only appears in these 4 requirements. It is not used or defined anywhere else in the TS. Is the RDS the Train to Wayside Communications (TWC) described in section 13.10 or another system for mobile communications? If the RDS is separate from the TWC, please provide details.

RDS refers to the MDS. The specification has been updated accordingly.

73

16.16.1 WDS Requirements

(Page 15)

-

It is specified as follows."k. Process data as a list of signals and values with the possibility to select the variables from a predefined list or on predefined screens. Similar to the IDU, process data from other cars without RDS mobile stations (trailer cars) shall be transmitted via DTN to a car with a mobile station (cab car)."

The acronym IDU only appears in this requirement. It is not used or defined anywhere else in the TS. Can SEPTA please describe the IDU and its features?

The specification has been updated to delete the reference to the IDU.

74

16.16.1 WDS Requirements

(Page 15)

-

It is specified as follows."k. Process data as a list of signals and values with the possibility to select the variables from a predefined list or on predefined screens. Similar to the IDU, process data from other cars without RDS mobile stations (trailer cars) shall be transmitted via DTN to a car with a mobile station (cab car)."

The term “mobile station” only appears in this requirement. It is not used or defined anywhere else in the TS. Can SEPTA confirm the “mobile station” is the Train to Wayside Communications (TWC) described in section 13.10 or, if not, please describe the mobile stations? The specification has been updated.

75


(Page 26)

-

It is specified as follows."i. The system shall have the ability to update the database in part or in whole. Partial updates shall allow longer upload times to occur over different times of vehicle availability in the yard. The system shall record where it left off and continue the update without having to start at the beginning. Partially updated vehicle databases shall be fully functional in the AVL system using existing information until the latest updated information is fully downloaded and ready for use, at which time the system will make use of the latest updated information. The system shall automatically update any and all vehicles in the WLAN that requirethe database update, and shall record the car number and percentage of the database updated. Cars that leave a yard or shop before completion of the update shall have the upload continue sequentially at any other yard or shop that it next enters, until the percentage of update is fully completed." Can SEPTA confirm that this paragraph describes features that are required to be implemented by the TLDS and WDS outlined in TS 16.5 and TS 16.6? Our understanding is that the Communication System is required to provide the TWC communications (Wi-Fi/LTE) that supports the exchange of data between the TLDS and WDS but that the TLDS and WDS are required to provide all data and filetransfer functions over the TWC. Can SEPTA confirm this understanding, or provide clarification?

The specification has been updated to clarify this requirement.

76


(Page 19)-

It is specified that "An onboard crash and fire protected digital video recording system (DVR) shall be provided to meet the requirements of the SEPTA video surveillance system (VSS).

Our understaning is that the DVR shall be provided to meet the requirement of crash worthiness such as GM/RT 2472 or 49 CFR Part 229 standard. Can SEPTA confirm this understanding, or provide clarification?

The specification has been updated to require provision of a DTI MDR-5L video recording system.

77


(Page 19) -

There is no specification about recording hours of digital video. In order to allow the Contractor to properly estimate the DVR strorage costs, can SEPTA provide the recording hours? The specification has been updated to require 2 Tb minimum of

storage space.

78

1. Scope2.1.5 Maintenance periods

-

Statements conflict on the required time of overhaul. Please clarify if four years or five years is the minimum overhaul interval. The Supplier's microprocessor-controlled control equipment is classified for the five (5) year overhaul interval in 49 CFR 238.309.

Is this overhaul interval based on manufacturer's recommendation alone or is it necessary for the proposed brake system to be classified for the minimum overhaul frequency per 49 CFR 238.309?

A 5-year overhaul period allowed under 49 CFR 238.309 would be acceptable. The requirements under 49 CFR 238.309 shall govern the brake equipment overhaul periods. The specification has been updated accordingly.

79

12.2 Control

-

The specification implies but does not explicitly state a "HOLD" trainline, though a "RELEASE" trainline is specified.

For the avoidence of doubt, please designate that a "Hold" trainline is required to support the CS2 functional architecture. The RELEASE trainline is the HOLD trainline. It holds brake cylinder pressure while the brake pipe is charging.

80

12.2 Control

-

The specification outlines functionality identical to that of the Silverliner 5 cars.

Would it be acceptable to SEPTA to have a Brake Control Handle Unit identical to the Silverliner 5 configuration on the Multi Level cab cars? Yes.

81

12.3 Brake response time

-

BP response times will be dependent upon volume, so car configuration and BP volume is needed to determine compliance.

Measurements using a human interface (i.e. "from initiation of handle movement") are not well defined, and may involve significant variation from person to person.

We suggests using test procedures that allow for repeatable measurement, such as monitoring BCP with a PTU to measure response times based on electrical interface outputs from the handle. SEPTA agrees with this approach. The specification has been

updated accordingly.

82

12.3 Brake response time

-

Item 12.3 c. Brake rate response time of 90% BC pressure in less than 1.0 second is not a realistic requirement for commuter equipment with dual brake. Typical performance is full BC pressure in around 1.5 - 2.5 seconds from the start of Brake Pipe reduction.

Even with this response time, the required average emergency brake deceleration (TS 2.2.7.3) can be achieved. This is typical performance on other commuter vehicles in service with microprocessor-control and dual brakes.

Would SEPTA consider adjusting this timing requirement to reflect typical response rates as measured and per the static car test for other similarly equipped commuter vehicles in service with microprocessor-control and dual brakes? The specification has been updated.

83

2.2.9 Route Characteristic

-

Thermal characteristics are necessary in order for The Supplier to propose compliant equipment. The Supplier cannot select the optimal bogie brake equipment/rotor without evaluating this route profile.

The Supplier will need to receive the route profiles in the proposal phase instead of waiting until after NTP.

Track charts for [insert rail line] shall be provided to the Contractor during the proposal phase for purposes of determining thermal characteristics of the brake equipment, and truck and suspension design.

Atached please find a representative sample of track charts. Other routes will be provided upon Contract award. Also attached please find SEPTA's route profiles.

84

12.5 Dead haul

-

BP would charge MR through a check valve with a cutout cock.

Snow Brake and WSP (electric control items) are available in normal operation, but would not be available during Dead Haul.

Is this acceptable?Yes, this is acceptable.

85

12.21 Wheel slide detection/correction control

-

Is the indicator intended to provide notification for any wheel slip activity in the consist? If so this functionality must be incorporated into the Car Data Network for communication across the network backbone.

Is there a threshold for when a wheel slip should be indicated (say for instance, anything taking longer than 5 seconds to correct)? The supplier is concerned that the indicator may be seasonal nuisance for the Train Operator, for instance when leaf debris (Fall) and moisture (Winter) are prevalent and create slick spots on rails.

Can SEPTA further clarify the intent of this requirement? Could a WSP activity threshold be provided to prevent this functionality from creating nuisence indications that distract the train operator?

The indicator is intended to alert of low adhesion conditions. The threshold for activation will be determined during design review.

8618.1.4, Car Acceptance Testing Facilities -

Since SEPTA is already operating with push-pull vehicles, 480Vac supply shall be normally available in the Frazer Shop. Supply of a separate 480Vac power supply by the Contractor for static testing represent significant costs. Can SEPTA confirm for which contract activities, including the warranty period, the Contractor will have access to the 480Vac power supply of its Maintenance Facilities.

The specification has been updated to delete the requirement for the Contractor to provide 480V power during static testing.

87Section 12.4 : Emergency Brake -

Car Load Weight is not typically an available feature of microprocessor-controlled Brake Control systems such as those specifically referenced in the Specification. Load-weight functionality is available during normal operations through software, asread by a transducer, but this functionality is not available when electronic brake control is bypassed and the strictly pneumatic backup mode is operating.

Would the railroad accept the following alteration to the requirement: ‘’BCP determined by load weight for electric brake control, and shall not be less than AW0 load weight for pneumatic brake backup mode. This section pertains to Emergency Braking only. In normal

operation the emergency BCP shall be load weigh compensated.

88 -ITP Page 5 - Steel Products Procurement Act of 1978

Section IP 6.2 provides that by submitting a proposal, the Contractor specifically agrees to fully comply with the Commonwealthof Pennsylvania’s Steel Products Procurement Act of 1978 (the “SPPA”). Please confirm that our understanding of the SPPA is correct in that it requires that either: (i) 100% of the steel used on the vehicle be made in the United States (including any Steel hardware used on the vehicle but excluding the Exempt Machinery and Equipment Steel Products); or (ii) 75% of all the materials used on the vehicle (including steel, rubber, wood, plastic, etc.) be produced or manufactured in the Unites States.

If the answer to the above question is affirmative, please confirm that SEPTA will be receptive to exceptions taken to this requirement in the Proposal.

Proposer is expected to comply with all RFP requirements inclusive of the PA Steel Products Procurement Act and Buy America.

89 19.4.10; Operator Training -

SEPTA’s operations and transportation managers shall attend the initial Operator training course presented at SEPTA’s training facility by the Contractor. The initial Operator training course shall be at least 24 hours in length. This course shall be in additionto the scheduled Operator training courses.

Can the authority please provide the number of sessions for the scheduled Operator courses since it is not indicated in the text or in the table on page 25.

The Operator training course shall be conducted a minimum of four times. The specification has been updated accordingly.

90 19.4.9 ; ORGANIZATION -

h. Computer and Power Electronics Theory Can the authority please provide a full description of the expected subjects to be covered as part of the course “Computer and Power Electronics Theory” which is found mentioned as item h In section 19.4.9 of the technical specification but has no associated explanation? Also mentioned in table found in section 19.4.13 page 25.

The specification has been changed to delete the requirement for Computer and Power Electronics Theory training.

Change # Subject Specification Section Page # Change

1 Overhaul Period TS 1 1Overhaul period updated. Brake equipment overhaul period added.

2 Overhaul Period TS 2.1.5 3 Brake equipment overhaul period added.

3 Full Service Brake Rate TS 2.2.7.3 12 Full service brake rate tolerance changed to +/‐ 20%.4 Wheel Diameter TS 2.2.11 16 Wheel diameter changed to 36 inches.

5 Cant Deficiency TS 2.2.14.1 17Changed to require qualification to 115 mph with 9 inches of cant deficiency.

6 Vibration Test Standard TS 2.3.2.4 22 Changed edition of IEC 61373 from 1999 to 2010.

7

Door Control and Communication Trainline

Receptacles TS 5.5.3 5Deleted requirement for semi‐permanently secured intercar jumpers and dummy receptacle.

8 Table of Contents TS 7 i Updated table of contents.

9 Driver Display Unit TS 7.12 14

Changed terminology from Status Display Screen to Driver Display Unit. Clarified cab and trailer car systems.

10 Battery TS 10.3.1 2Enabled approved equal to the sintered‐type construction.

11 Battery Box TS 10.3.4 5Updated to allow accomodation of battery of the capacity defined in TS 10.3.

12Operator's Display Keyboard

Panel TS 10.6.6 10Deleted Operator's display keyboard panel in the electric locker.

13 Wheel Diameter TS 11.7.1 11 Wheel diameter changed to 36 inches.

14 Wheel Profile TS 11.7.1 11 Wheel profile changed to APTA 340 Wheel Profile.

15 Driver Display Unit TS 12.1 2Changed terminology from cab driver display unit to driver display unit.

16 Brake Response Times TS 12.3 4Clarified measurement methodology and changed emergency application response time.

17 Table of Contents TS 13 i‐ii Updated table of contents.

18 Passenger Emergency Intercom TS 13.4 7 Clarified function of passenger emergency intercom.

19 Exterior Signs TS 13.8.1 11Deleted requirement for backlit full color LCD technology.

Addendum No. 5

Page 1 of 3


Addendum No. 5

20 Sign Control Unit TS 13.8.2 12 Clarified operator's interface requirement.21 Voice Announcements TS 13.12 16 Changed sound quality requirements.

22 Digital Video Recording System TS 13.15 19 Added requirement for model DTI MDR‐5L.

23 VSS Data Storage TS 13.15.1 19Add requirement for minimum of 2 Tb of storage space.

24 Wayside Access Points TS 13.19 25 Corrected typographical error.25 Wayside Access Points TS 13.19.i 26 Deleted paragraph.

26 WLAN System Updates TS 13.19 26Moved paragraph i. to TS 16.4.8. Clarified wording in paragraph.

27Sign System and Advertising System Database Updates TS 13.20 26 Added new title and paragraph.

28Contract Deliverable Requirements List TS 13.20 26‐27 Changed TS 13.20 to TS 13.21. Updated pagination.

29 Digital Trainline Network TS 15.3 2 Corrected reference to PRIIA 305‐919‐2014.

30 Driver Display Unit TS 15.3.1 3Changed terminology from Operator's display to driver display unit.

31 Section 16 Header TS 16 All Section header corrected.32 Table of Contents TS 16 i‐ii Updated table of contents.


34Software Loading into Individual

Car Systems TS 16.4.8 11Changed title to "Database and Software Uploading".

35Database and Software

Uploading TS 16.4.8 12 Added paragraph.36 Pagination Change TS 16.5.2 ‐ 16.5.3 13 Pagination change.


38 RDS / MDS TS 16.6.1 15 Changed terminology from RDS to MDS.

39 WDS Process Data TS 16.6.1 15 Deleted references to IDU and mobile stations.40 Pagination Change TS 16.7 16 Pagination change.

41 Bench Test Equipment TS 16.7 17Clarified that shop test equipment is the same as shop bench test equipment.

42 Pagination Change TS 16.8 ‐ 16.10 18‐22 Pagination change.

Page 2 of 3


Addendum No. 5

43 Car Acceptance Testing Facilities TS 18.1.4 9Deleted requirement for Contractor to provide 480V power during static testing.

44 Floor Panel Fire Resistance TS 18.2.1.29 50Changed duration of floor panel fire resistance test to be consistent with ASTM E119‐07.

45 Truck Equalization Test TS 18.2.2.11 78

Updated requirement to enable exceeding 25% unloading at 2.00" vertical wheel deflection at the discretion of the Engineer.

46 Vibration Standard TS 18.2.8 87Fixed typographical error. ISO 2630 changed to ISO 2631 in two locations.

47 Car Weighing TS 18.4.2 99Changed to allow a weight deviation of up to one percent of the recognized car weight.

48Computer and Power Electronics

Theory Training TS 19.4.9 22Deleted requirement for computer and power electronics theory training.

49 Operator Training TS 19.4.10 22Added requirement for minimum number of courses.

Page 3 of 3

Southeastern Pennsylvania Transportation Authority Section 1 Multi-Level Car Technical Specification Scope

1 SCOPE This Specification including the contract drawings describes and illustrates the criteria to be used for the Contractor's design and construction of the locomotive hauled multi-level commuter rail passenger cars to be operated by the Railroad Division of the Southeastern Pennsylvania Transportation Authority (SEPTA). The cars shall be suitable in all respects for operation at speeds up to 110 mph. The cars will be operated by SEPTA over the SEPTA Railroad Division and portions of the Amtrak (National Railroad Passenger Corporation) Northeast Corridor and Harrisburg lines. The cars shall comply in all respects with the requirements of the applicable laws and regulations of the United States of America especially the regulations of the Federal Railroad Administration (FRA) of the United States Department of Transportation (such as, but not limited to, Part 200 series of Title 49 of the Code of Federal Regulations), and of the states of Pennsylvania, Delaware, and New Jersey including their respective public utility commissions in which the cars will be operated by SEPTA. Testing will be conducted in full compliance with all FRA requirements. It is noted that while specific agency regulations and recommendations are called for in this Specification, they shall not be considered to be to the exclusion of all others. This equipment must be built with components that allow for it to safely comply with the vehicle track interaction (VTI) safety thresholds prescribed in Title 49, Code of Federal Regulations (CFR) Parts 213.57, 213.333, 213.329, and 213.345 for cant deficiency greater than three (3) inches and/or speeds in excess of 90 mph. See also Section 11 for additional requirements for vehicle track/vehicle interaction safety limits. Requirements for VTI safety thresholds contained elsewhere in this Specification, if found to be more restrictive, shall apply. Safety, reliability, and ease of maintenance shall be the primary design consideration. No component shall require periodic maintenance any more frequently than 184 days or overhauled more frequently than four (4)five (5) years. Brake equipment overhaul periods shall comply with 49 CFR 238.309. Consumables such as brake shoes/pads are needed on an “as required” basis. Air filters shall be of a size to allow change out periods of no fewer than 92 days. The cars shall be designed and constructed in compliance with this Specification and the requirements of the following agencies:

a. Federal Railroad Administration, including but not limited to, 49 CFR Parts 37, 38, 223, 224, 229, 231, 232, 236, 238

b. Federal Transit Administration (FTA)

c. U.S. Department of Transportation (USDOT)

d. U.S. Department of Health and Human Services

e. U.S. Public Health Service (USPHS)

Section 1 Proposal Copy – Addendum No. 5 P a g e | 1

Southeastern Pennsylvania Transportation Authority Section 2 Multi-Level Car Technical Specification Design Criteria and Requirements

2.1.5 Maintenance Periods Safety, reliability, and ease of maintenance shall be the primary design consideration as referenced in TS 2.4 and TS 2.7. No component shall require periodic maintenance any more frequently than 184 days for trailer cars and 92 days for cab cars and shall not require overhaul more frequently than five (5) years. Brake equipment overhaul periods shall comply with 49 CFR 238.309. Consumables such as brake shoes/pads are needed on an “as required” basis. Air filters shall be of a size to allow change out at periods of no less than 92 days. Subsystems shall be selected for maximum endurance between inspections and for ease and quickness of inspection. Car structure and equipment shall not require periodic underframe washing to obtain proper functioning, long life, or to avoid corrosion.

2.1.6 Equipment Access All car equipment, which requires inspection or maintenance, must be readily accessible and replaceable. All underfloor equipment, where possible, shall be arranged to provide simple easy access from the side of the car. Major equipment shall not be located outboard of the trucks, if possible, due to the increased possibility of accident and debris damage in this location with the exception of the disc brake rotors. SEPTA would prefer that these components of the friction brake equipment be mounted outboard of the wheels in order to facilitate regular inspection. If maintenance pit access is required, special attention shall be given for access such that opened covers, access doors, etc., provide sufficient room for a maintainer to stand within the running rails of the pit. Any equipment, which requires crew attention or access in the event of an emergency during car operation, unless otherwise specified, shall be accessible from the car interior. If approved by the Engineer on a case-by-case basis, access from the side of the car may be used. In general, the frequency of required service shall determine the degree of equipment accessibility. The Contractor shall prepare for the Engineer’s approval during the initial design review sessions a tabulation of all controls or resets which an Operator may need to access in order to restore a disabled locomotive or train to service. [CDRL 02-002]

2.1.7 Interchangeability Cars shall be designed and manufactured to be identical in respect to configuration, individual parts, and subassemblies. Model numbers for identical components shall be identical. Replaceable components of any such apparatus shall be fully interchangeable without adjustments to any part or system being necessary. Microprocessor hardware units, which are physically identical except for the software, shall have identical part numbers. An Engineer approved subpart number may be used to identify differences by software. Such units, which require location specific module inputs, shall have this performed by carbody wiring configuration and not by the use of DIP switches or similar. Specific approval shall be obtained from the Engineer during the design review or each part whose replacement may require an adjustment, and such approval may be granted only where it can be shown to be absolutely necessary.



2.2.7.2.3 Low Voltage A low voltage DC power supply and battery charger operating from the 480 VAC system and batteries shall be provided on each car. The low voltage system shall be regulated for a nominal 74 VDC +0.5 VDC, and the nickel cadmium storage batteries shall be of a nominal 64 VDC. Control, low voltage lighting, and emergency services shall be energized from these sources and shall be capable of operation from 55 to 80 VDC and shall not be damaged by the continuous application of voltages between zero (0) and 55 VDC. This voltage system is designated 74 VDC throughout this Specification.

2.2.7.2.4 Design Requirements All equipment shall be protected from damage and improper operation due to high voltage transients across the supply terminals of that equipment and from high voltages impressed between supply terminal and the carbody. All equipment shall be protected from damage and improper operation from long term overvoltage and undervoltage conditions from any cause including equipment failure. The Contractor shall develop an efficiency review plan for all electrical equipment provided on the car to minimize the requirements of the HEP system. The plan shall be submitted within 150 days of the NTP and shall be updated monthly until each pilot car is tested and the design is complete. Any changes that affect the as-tested condition shall be addressed in the revised plan submitted to the Engineer. [CDRL 02-014]

2.2.7.3 Brake Performance The performance requirements for the full service and emergency deceleration rates shall be met with a train consisting of six (6) multi-level cars with at least one (1) cab car and a SEPTA electric locomotive. The rates shall be met for all passenger load levels up to AW3. The parking brake system performance shall conform to the requirements of TS 12.22 and shall indefinitely hold a worst case load of either a fully loaded AW3 cab or a fully loaded AW3 trailer car on a three (3) percent grade. The deceleration rates for both cab and trailer cars shall be as follows:

a. Full service – The average full service braking rate shall be 2.35 mphps, +10 20 percent/-20 percent from 110 mph to 0 mph. The maximum instantaneous rate during a stop shall not exceed 2.50 mphps. Full service braking shall be controlled so that the maximum change in deceleration (jerk rate) during application shall not exceed 1.50 mphpsps.

b. Emergency – The minimum emergency braking rate to stop shall be 2.75 mphps from 80 mph to

0 mph for all load conditions. Above 80 mph, the minimum emergency braking rate shall be as determined by the characteristics of the braking friction materials, but in no case shall be less than 2.5 mphps. The maximum rate during a stop shall not exceed the limit of clean dry rail adhesion. Jerk rate limitations shall not apply in emergency braking.



2.2.11 Car Characteristics Listed in this Section are the required basic car dimensions, the characteristics of the track on which the cars will be operated, and the cars’ normal loading conditions under which the cars will be operated. This data combined with the drawings and performance characteristics included in this Specification comprise the descriptive requirements for the cars. Areas where wheelchair and mobility aid users are to be accommodated shall comply with all applicable requirements of the ADA. If the Contractor requires clarification to meet component interchangeability with the existing SEPTA commuter rail cars as required by the Specification, a sample of the car(s) in question will be made available by SEPTA for inspection by the Contractor at a designated SEPTA facility. The following characteristics shall apply to cab and trailer car types unless indicated otherwise: DESCRIPTION

Length of car over pulling face of couplers 85 feet-0 inches

Truck centers 59 feet-6 inches

Width of carbody over threshold (at floor) 10 feet-0 inches

Maximum width of carbody 10 feet-6 inches

Minimum interior width of carbody 9 feet-5 inches

Minimum clear width of aisles 23 3/8 inches

Height top of rail to top of intermediate level finish floor at bolster new wheels

51 inches(+1/2 inches, -0 inches)

Maximum height top of rail to top of roof new wheels empty car

14 feet 8 inches

Minimum vertical clearance inside car under ceiling and on stairs including projections below the ceiling clear height after full assembly

6 feet-4 inches

Coupler height above top of rail (nominal) 34 1/2 inches

Maximum height above floor bottom of window glass 34 inches

Minimum height window opening 24 inches

Side door clear opening at corner post location 32 inches to 36 inches

Side door clear opening at quarter point location 32 inches to 36 inches

Minimum height of side door and vestibule end door opening above floor clear height after full assembly

6 feet-4 inches

Minimum clear width of body end door opening 32 inches

Minimum height of body end door opening 6 feet-4 inches

Wheel diameter 32 inches to 36 inches

Wheel gauge back to back 53 3/8 inches

Truck wheelbase 8 feet 0 inches to 8 feet 6 inches

Minimum clearance above top of rail for all carbody elements (except wheels) under all conditions

2 3/4 inches



DESCRIPTION

Distance between carbody jacking pads (two (2) sets of pads)

61 feet 7.88 inches (+or- 0.25 inches) 57 feet 4.12 inches (+or- 0.25 inches)

2.2.12 Structural Strength As a minimum, the car shall comply with all FRA regulations and APTA standards for the design of carbodies in accordance with 49 CFR Parts 229, 238 and APTA PRESS.

2.2.13 Operating Requirements

2.2.13.1 Operating Cabs The cab car shall be equipped with a fully functional operating cab at the F-end.

2.2.13.2 Compatibility with Other Rolling Stock The car shall be mechanically and electrically (HEP, Communication, and MU) compatible with any combination of SEPTA locomotive and coach and cab cars. The cab car may operate lead, trail, or push pull and shall be able to operate connected to all standard or fixed cables on SEPTA’s rolling stock. Couplers (including air connections), brakes, hoses, and trainline electrical cables shall interface directly with SEPTA’s locomotive and Bombardier’s coach and cab cars in a manner which shall permit safe operation of train consists with any mixture of the car types. Electrical receptacles as well as plug location and length shall interface directly with present SEPTA equipment. The cars shall be able to negotiate worst curve and track conditions specified in TS 2.2.10. The coach and locomotive draft gear travel shall be considered.

2.2.14 Ride Quality

2.2.14.1 General Trucks shall be suitable for operation at all speeds up to 110 mph with six (6) inches of cant deficiency with qualification to 115 mph with six nine (69) inches of cant deficiency and shall provide a comfortable ride at all speeds compliant with the ride quality and maximum safe operating speed test requirements of TS 18.2.3. The vehicle shall meet the requirements of 49 CFR 213.345 and APTA-PR-M-RP-009-98, Section 6. The ride quality of the car shall be sufficient to not exceed a ride index value of 2.75 computed separately for vertical and lateral accelerations. Measurements shall be conducted over the SEPTA Paoli/Thorndale Line for a round trip between Jefferson Station and Paoli making all local stops while operating at normal scheduled speed.



2.3.2.4 Vibration Criteria Equipment and auxiliaries mounted anywhere on the car, carbody, or trucks when the car is stationary with all subsystems operating shall not cause vertical or horizontal vibrations anywhere on the car floor, walls, ceiling panels, and seat frames in excess of 0.10 inch peak to peak amplitude between 0 and 1.4 Hz, in excess of 0.01 g peak acceleration between 1.4 Hz and 14 Hz, and in excess of 0.045 inches per second peak vibration velocity for the frequency range above 14 Hz. Car equipment and auxiliary component structure and mounting shall be designed to prevent amplification through component resonance beyond a level twice that of the attachment point. The vibration force output of any rotating component shall not exceed the vibration environment specified for the component. All vehicle equipment shall be designed to operate without damage, degradation of performance, noise, vibration, rattling, and audible resonance when subjected to vibration and shocks encountered during normal service at all speeds up to ten (10) percent above maximum operating speed. Carbody mounted components shall be designed to withstand continuous vibrations of not less than 0.2 g at frequencies up to 100 Hz in all directions as well randomly oriented shock loads of five (5) g’s longitudinally, three (3) g’s vertically, and three (3) g’s laterally. Truck components located above the primary suspension shall be designed to withstand continuous vibrations of at least six (6) g’s at frequencies up to 100 Hertz in all directions as well as randomly oriented shock loads of eight (8) g’s. For truck components carried on the axles, the Contractor shall in conjunction with their subcontractors jointly determine the most severe shock and vibration levels arising from the combination of the proposed equipment and operation on the SEPTA Regional Rail System so that apparatus suitable for the service intended shall be provided. Tests shall be conducted in accordance with IEC 61373, 19992010, Railway Application, Rolling Stock Equipment, Shock, and Vibration Tests.

2.3.2.5 Noise and Vibration Attenuation Particular attention shall be given to the design of the equipment to ensure minimum generation of noise and vibration and to the attenuation of airborne and solid borne noise and vibration along the path from source to passengers and crew. Vibration isolators, enclosures, baffles, seals, acoustic absorbing materials, mass, bracing of panels with adequate sound transmission loss or panels with adequate transition, or other appropriate methods shall be incorporated into the car’s design to attenuate noise and vibration generated by the operation of the car and all other equipment to ensure that the noise and vibration parameters are not exceeded. Noise levels from equipment installed on the car shall be controlled by the Contractor to ensure noise and vibration requirements are achieved.


Southeastern Pennsylvania Transportation Authority Section 5 Multi-Level Car Technical Specification Coupler, Draft Gear, and Trainline Connections

5.5.3 Door Control and Communication Trainline A 27 conductor door control and communication trainline system shall be provided through each car. A 27 pin male receptacle assembly shall be provided at each end of each car, and a dummy receptacle assembly shall be provided at the B-end of each car. The dummy receptacle shall be painted white. At the B-end of each car, a jumper with two (2) female plug contacts shall be provided. It shall be semipermanently secured to the live receptacle at that end by means of a bracket with a stretch cord (Falstrom Part Number FC 97217 left and right), and its free end shall be arranged to be stowed in the dummy receptacle when not in use. Jumpers and receptacles shall be of the same style and size as those used for the locomotive control trainline. They shall be Clements National jumper and CRA-27-AMTK receptacle or approved equal. Wires 8 to 9 and 23 to 24 shall be crossed over within the jumper. Wires to pins 4, 13, and 25 shall be 10 AWG; all others shall be 12 AWG with the exception of shielded cables which shall be 14 AWG. Jumpers and receptacles shall have the necessary pins and conductors for door control, communication, battery trainline, and brake control functions. The pin assignments shall be in accordance with Table 5-1, Door Control/Communication Trainline Wire Assignments. Circuits shall be so arranged that the locomotive can be used on either end of the train. Three (3) spare train lines in addition to the 27 conductor trainline system shall be connected from end to end of each car and shall be terminated at terminal blocks in the end of car junction boxes. Door control and communication jumpers and receptacles shall be located on the car end sheet and shall be painted medium blue. Dummy receptacles shall be painted white.

Table 5-1: Door Control/Communication Trainline Wire Assignments

Pin Wire Size

AWG Designation Function

1 12 SH Shield

2 10 BN Car Battery Negative

3 12 Shielded PA1 Public Address Audio 1

4 12 Shielded PA2 Public Address Audio 1

5 12 Shielded PA3 Intercom

6 12 Shielded PA4 Intercom

7 12 PA5 Public Address Control

8 12 PA6 Public Address Control

9 12 Shielded RA1 Radio

10 12 Shielded RA2 Radio


Southeastern Pennsylvania Transportation Authority Section 7 Multi-Level Car Technical Specification Cab and Locomotive Control

TABLE OF CONTENTS

7 CAB AND LOCOMOTIVE CONTROL ............................................................................... 1

7.1 GENERAL CAB REQUIREMENTS .......................................................................................1

7.2 CAB CONSTRUCTION ......................................................................................................2

7.3 CAB DOOR .....................................................................................................................3

7.4 CAB CONSOLE ................................................................................................................4

7.5 LOWER CAB ...................................................................................................................5

7.6 OPERATOR’S CAB SEAT...................................................................................................6

7.7 CONTROL COMPONENTS ................................................................................................6 7.7.1 Apparatus, Switches, and Indicators ................................................................................................. 6 7.7.2 Sealed Switches ................................................................................................................................. 8 7.7.3 Observer Controls ............................................................................................................................. 8 7.7.4 Cab Circuit Breakers .......................................................................................................................... 8 7.7.5 Sun Visor ........................................................................................................................................... 8 7.7.6 Other Cab Items ................................................................................................................................ 9 7.7.7 Control Functions ............................................................................................................................ 10

7.8 CONSOLE CABINET CONSTRUCTION .............................................................................. 11

7.9 MASTER CONTROLLER .................................................................................................. 12 7.9.1 General ............................................................................................................................................ 12 7.9.2 Control Functions ............................................................................................................................ 12

7.10 PANTOGRAPH RAISE AND LOWER CONTROL ................................................................. 13

7.11 WINDSHIELD WIPER, WASHER, AND HEATER SWITCH ................................................... 14

7.12 DRIVER DISPLAY UNIT (DDU) ........................................................................................ 14

7.13 INTERIOR LIGHTING ..................................................................................................... 14

7.14 HORN AND BELL ........................................................................................................... 15 7.14.1 Horn ............................................................................................................................................ 15 7.14.2 Bell .............................................................................................................................................. 15

7.15 REAR VIEW MIRRORS ................................................................................................... 15

7.16 CONTRACT DELIVERABLE REQUIREMENTS LIST ............................................................. 16

Section 7 Proposal Copy – Addendum No. 5 P a g e | i

Southeastern Pennsylvania Transportation Authority Section 7 Multi-Level Car Technical Specification Cab and Locomotive Control

7.11 WINDSHIELD WIPER, WASHER, AND HEATER SWITCH An approved, heavy duty, automatic electric windshield wiper powered by the low voltage power system shall be installed at the top of the Operator’s windshield at each cab. The wiper motor shall be thermally protected against stall conditions, have RFI suppression, and shall be easily accessed and removable from inside the end of the car, using quick disconnect fittings. A super heavy-duty transit quality tubular low wind lift pantograph wiper arm shall be used, with all visible parts having a black finish. A curved-glass type black finished heavy duty wiper blade with a replaceable rubber element sufficiently long to wipe eighty (80) percent of the glass shall be used, mounted with a saddle type connector. The system shall operate successfully in rain or snow at wind speeds (vehicle plus ambient) of 120 mph. A windshield wiper control knob shall be provided in the cab arranged for ease of Operator use. It shall have an off position, a variable delay of 10 to 0.5 seconds between each cycle, and either a variable speed of approximately 30 to 90 cycles per minute or two (2) fixed speeds. The wiper shall automatically move to a park position to the left of the Operator when turned off. An approved service proven electrically or pneumatically operated windshield washer, with fan-type pattern spraying nozzles mounted on the windshield wiper arm, shall be provided. The washer system shall effectively cover the entire portion of the windshield within the sweep range of the wiper. A windshield washer reservoir of five (5) gallon capacity shall be mounted under the car. It shall be easily accessible and refillable from track level, and require no special hardware for filling. A windshield heater switch shall be provided which energizes the windshield heater contactor when set to the ON position.

7.12 STATUS DISPLAY SCREEN (SDS)DRIVER DISPLAY UNIT (DDU) Each cab car operating compartment shall have a status display screenDriver Display Unit (DDU). The status display screen (SDS)DDU shall provide information from cab and trailer car based microprocessor systems to a display screenthe DDU to provide the Operator with status, diagnostics, and additional levels of control of the auxiliary systems of the cab and trailer car based systems and locomotives. The SDS DDU shall receive data from the digital trainline network (DTN) whereby system status, train number, consist orientation, and car number information from each car in the consist shall be provided. The Contractor shall provide the power and trainline wiring for the SDS DDU.

7.13 INTERIOR LIGHTING Each cab shall be provided with at least two (2) LED ceiling lights that shall be part of the emergency lighting circuit. The fixtures shall be suitably placed in the ceiling to illuminate the Operator’s console and the general cab area. The light shall be properly diffused to avoid glares on the windshield. The illumination intensity measured on the Operator's console shall be 20 foot candles. The cab ceiling light shall be controlled by a two (2) position switch on the Operator’s console. Red emergency lighting shall provide a minimum of five (5) foot candles of illumination at the cab floor level. Passenger area pathway lighting shall continue through the vestibule. The console lighting shall be part of the low voltage distribution network. A dimmer control shall be provided for adjustment of the intensity.


Southeastern Pennsylvania Transportation Authority Section 10 Multi-Level Car Technical Specification Auxiliary Power Supplies and Electrical Apparatus

10.2.2 Locomotive M. U. Trainline The 27 conductor locomotive control trainline described in TS 5.5 shall supply 74 VDC from the locomotive for traction control, sanding, alarm signals, indicators, etc.

10.2.3 Door Control and Communication Trainline The 27 conductor door control and communication trainline described in TS 5.5 shall supply 74 VDC for car control functions.

10.3 LOW VOLTAGE POWER SUPPLY

10.3.1 Battery Each car shall be provided with a nickel cadmium battery which at a normal battery operating temperature of 77 degrees F shall have sufficient capacity to provide all 74 VDC car functions for not less than two (2) hours including 40 stops with a consist of one (1) cab and two (2) trailer cars. It shall have no less than a 100 ampere hour capacity at the five (5) hour rate. It shall be arranged in two (2) equally sized non-combustible trays. The battery shall consist of a SAFT, Inc. type SRM, Hoppecke type FNC, or approved equal, nickel cadmium alkaline cells using sintered-type construction or approved equal. All cells shall be treated to resist corrosion or be of non-corrosive material. All cells shall have a minimum of 2.6 inches of electrolyte above the plates, with a liquid surface area equal to that of the top of the plate area. However, lower values may be accepted for cell types that can be proven to have inherently lower water loss under identical conditions. Cells shall use an approved transparent fire-retardant plastic material suitable for transit service. It is desired that watering intervals be no less than every six (6) months. Cells shall have a flip-top vent cap to permit topping up and allow electrolyte levels to be measured. The vent cap shall be flame-arresting and shall incorporate an anti-spray device. Battery connectors and connection hardware shall be corrosion resistant. All battery cells shipped to the Contractor, or supplied to SEPTA as spare parts, shall be properly configured for long term storage in unheated conditions. Battery loads on all cars shall be connected in parallel through the battery positive and battery negative trainlines. The battery construction, identification, test methods, and battery connectors shall comply with APTA-PR-E-RP-007-98, APTA-PR-E-RP-009-98, and 49 CFR 238, and all standards referenced therein, except as otherwise indicated in this Specification. The battery in normal service shall require water no more frequently than once every 92 days.


Southeastern Pennsylvania Transportation Authority Section 10 Multi‐Level Car Technical Specification Auxiliary Power Supplies and Electrical Apparatus


10.3.3 Load Shedding A load shedding contactor shall be provided to protect the battery from complete discharge and to retain vital loads such as emergency lighting, cab radio, cab signals, etc. The contactor shall be normally open and shall be designed to open at a nominal voltage of 50 VDC when the battery is off charge and close at a nominal voltage of 55 VDC when the battery is being charged. It shall shed the non‐vital loads and provide an indication of the load shedding occurrence. A second normally open vital loads shedding contactor shall be provided to shed vital loads in order to protect the battery. The contactor shall be normally open and shall be designed to open at a nominal voltage of 45 VDC when the battery is off charge and close at a nominal voltage of 50 VDC when the battery is being charged. The supplier shall confirm that the voltages mentioned allow the vehicle to meet all FRA requirements for operation of vital loads and adjust the voltages as required to meet requirements. A plan for the vital loads and the loads to be shed shall be submitted to the Engineer for review and approval. [CDRL 10‐004]

10.3.4 Battery Box Weatherproof battery boxes shall be provided. The battery shall be housed in a rattle proof stainless steel battery box of adequate strength to support the battery with no deformation in any members of the box over the life of the car. Means shall be provided within the box to prevent battery movement. No combustible materials and no nylon material shall be used for either the battery blocking or box lining. The floor shall comprise a locking slide‐out tray with stainless steel floor and means to drain liquids through a drain hole to the ground. The tray shall lock in the fully extended and retracted positions. Ventilation shall be provided through filtered holes in the box. The battery box shall have a minimum of five (5) inches of clear space above the top of each tray of cells in both the open and closed position. It shall be reasonably watertight to prevent water from entering in all areas during normal operation and maintenance activities. The battery box shall be constructed to accommodate the application of a nickel cadmium alkaline battery of the capacity defined in TS 10.3 as manufactured by Saft New Technology Design with bonded plates. The battery box construction shall comply with APTA‐PR‐ E‐RP‐007‐98, latest edition. The design shall ensure that the batteries are accessible from the exterior of the car and that servicing can be performed without the use of tools. The battery box shall be ventilated to meet the requirements of Standard EN50272‐2:2001 as appropriate for the selected battery. The Contractor shall submit a design report to the Engineer for the battery box that includes calculations for strength, mounting, and venting; identifies safety factors used; and includes an analysis comparing actual design with the requirements of Standard EN50272‐2. The report shall be submitted with the battery protection system design review package. [CDRL 10‐005]

10.3.5 Battery Disconnect A battery disconnect shall consist of a circuit breaker of adequate capacity and approved design. The circuit breaker shall be mounted in an enclosure as close to the battery as possible on the side of the battery box and equipped with an LED panel indicating on/off/tripped status.

Southeastern Pennsylvania Transportation Authority Section 10 Multi-Level Car Technical Specification Auxiliary Power Supplies and Electrical Apparatus

The following circuit breakers with appropriate current rating shall be located in a panel in the quarter point vestibule:

1 - Battery charger -3 pole, 480 VAC 1 - Transformer input -3 pole, 480 VAC 1 - Door track/heater -2 pole, 120 VAC

The following circuit breaker with appropriate current rating shall be located in an underfloor box:

1 - Main -3 pole, 480 VAC

10.6.5 Cab Car Electric Locker Each cab car shall have an electric locker at the cab F-end on the cab side in the passenger area. The locker shall contain as much of the following equipment as practical for access and maintenance:

a. Cab signal/PTC electronics and associated mobile communications package b. Roadway worker alerter system controller c. Speed recorder d. Event recorder e. Air brake pressure switches and control reservoirs f. Various traction, door control, ATC, HVAC cutout, bypass, makeup switches, and relays g. 480 VAC jumper cables (two (2)) and holders

The equipment and layouts shall be submitted to the Engineer for review and approval. [CDRL 10-014]

10.6.6 Vestibule Electric Lockers Each car shall have additional electric lockers in the quarter point vestibule partitions. These lockers shall contain the following apparatus and shall have panel doors equipped with flush pull handles and barrel key locks apparatus:

a. Brake system electronics b. Odometer c. PA amplifier with AAR mounting rack d. Operator’s display keyboard panel e.d. Automatic equipment monitoring f.e. Monitoring and diagnostic system screen (MDS) (The MDS shall include HVAC controller and

door event recorder functions.)


Southeastern Pennsylvania Transportation Authority Section 11 Multi-Level Car Technical Specification Trucks

11.7.1 Design Wheels shall be 32 36 inches in diameter, multiple-wear type, manufactured according to APTA-PR-M-S-012-99 Rev 1, with a 1/40 tapered tread and a reverse dish or "S" plate design. The APTA-PR-M-S-015-06, Figure B.8, APTA 340 existing SEPTA wWheel pProfile, which is detailed in SEPTA Drawing C-4335, shall be supplied unless otherwise approved by the Engineer. Wheels shall be designed to provide three (3) inches of diametrical wear, plus an additional 3/16 inch radial tread thickness safety margin. Wheels shall be machined all over, removing mill scale and decarburized material from the plates, to specified dimensions and tolerances. The plates shall be shot peened per APTA-PR-M-S-012-99 Rev 1 following machining. Reference grooves will be provided in accordance with AAR RP-619. The entire wheel shall be inspected and tested by NDT ultrasound equipment and certified before application to an axle. When assembling the wheels and axles, the wheel pairs shall be matched with respect to tape size in accordance with AAR Standards. All wheels shall be of a proven design with the lowest possible mechanical and thermal stresses available. The FEA of the wheel design selected shall be submitted to the Engineer for review and approval. [CDRL 11-019] Tread braking shall be limited to prevent the formation of thermal checks or cracks under full friction braking of a train of four (4) vehicles and one (1) locomotive with full passenger loading in local service. A thermal analysis to AAR S-660, plus route braking profiles as provided by SEPTA, shall be performed to demonstrate that the wheel thermal input will not produce thermal checks or cracks. [CDRL 11-020]

11.7.2 Material Wheels shall be of wrought steel manufactured to APTA-PR-M-S-012-99 Rev 1, Class B, with a fracture toughness (KIC) of 57 ksi square root inch minimum for any single sample and 62 ksi square root inch minimum lot average. Fracture toughness testing shall be performed on each heat lot number, and each test shall be performed in strict accordance with the procedures set forth in ASTM E-399, latest revision, or an approved notch test. In the event that the test sample size, which can be extracted from a wheel, invalidates the KIC value for high toughness samples, the KQ value shall be used for Specification compliance.

11.7.3 Certification Each and every wheel provided for this application shall have the following data available to SEPTA for inspection prior to mounting on axles: serial number; Brinell hardness; test data (per lot); fracture toughness test data (per lot); ultrasound test certification; and ladle analysis (per lot). This information shall also be included in the car history book.

11.8 SUSPENSION

11.8.1 Primary Suspension The primary suspension shall be either radius arm type or chevrons. If coil springs are used with the radius arm, they shall be nested pairs of alloy steel in accordance with AAR M-114-81. Coil springs will have a 50 percent working height reserve when subjected to the AW3 working load. Pedestal tie bars, if used, shall be attached to the truck frame with a positive metal in bearing path for loads.


Southeastern Pennsylvania Transportation Authority Section 12 Multi-Level Car Technical Specification Electro-Pneumatic Friction Brake System

a. The system shall record all faults that require maintenance and/or limit the function of the

system by logging date of fault, time, type of fault, and identification of faulty/defective components as well as fault applicable air pressures.

The system shall perform system tests through the cab driver display unit by means of user friendly instructions. The tests shall be manually activated to allow the user to initiate functional testing of each part of the system and verify that the lowest replaceable unit is functioning properly. The system shall provide visual and recorded messages indicating whether or not the component is functioning, reporting, and recording specific malfunctions.

b. The system shall be connected to the monitoring and diagnostic system (MDS) via the data car

network (DCN).

c. The brake system diagnostics and monitoring system design and functionality shall be approved by the Engineer. [CDRL 12-005] The system performance shall be demonstrated on the pilot cars.

12.2 CONTROL The normal operation of the brake system shall be controlled from the locomotive or cab car by means of an electronic brake controller and associated equipment which shall exhaust or charge the brake pipe and energize “SERVICE” or “RELEASE” trainline wires to apply or release (hold) brakes through magnet valves installed on each car. The brake control shall be designed for pneumatic graduated release with the capability for easy conversion to pneumatic direct release when needed. The pneumatic graduated release function shall retain corresponding brake cylinder pressure control throughout the entire control range down to within five (5) psi of the full release brake pipe pressure. The control hysteresis between the brake pipe pressure and precontrol pressure shall be no more than two (2) psi for the application and release. The brake control may facilitate the transmission of quick service and quick action through local exhaust of the brake pipe. All cars shall be equipped with microprocessor based controls such as Knorr CCBII or Wabtec Fastbrake. On cab cars, each Operator’s cab shall be equipped with a brake controller located on the right side of the cab console and arranged for ease of use by the Operator’s right hand. The cab brake controller shall be a console style unit with a non-removable handle. The handle movement shall be in a longitudinal front and back direction with the release position closest to the Operator. The controller shall be a combination pneumatic and electrical unit and shall generate electrical signals to the brake pipe control manifold unit. In addition, it shall include a vent valve for redundant venting to the outside of the vehicle during an emergency brake application. Mounted on the brake controller housing shall be a control device to permit the Operator to activate or deactivate, CUT-IN/CUT-OUT, the controller. The device shall prevent the controller handle from moving or responding except between the handle off and emergency positions. The emergency position shall be functional at all times. The controller handle shall have the following positions from front to back:


Southeastern Pennsylvania Transportation Authority Section 12 Multi-Level Car Technical Specification Electro-Pneumatic Friction Brake System

The Contractor shall submit to the Engineer for review and approval all brake performance data and other information concerning the apparatus proposed for meeting the compatibility requirements. This data shall be provided during the design review process and shall be updated throughout the project. [CDRL 12-006]

12.3 BRAKE RESPONSE TIMES The air brake system shall provide rapid "SERVICE" and "EMERGENCY" response at all times and shall permit quick recharge of the brake pipe after an "EMERGENCY" application, after the vent valves have closed. The response times shall be as follows: a. Full Service Application

With the brake pipe fully charged at 110 psi, the time for brake pipe pressure reduction from initiation of brake controller handle movement as measured by the handle electrical output signal to 85 psi shall be 4.5 seconds maximum using pneumatic control and 3.0 seconds maximum using electro-pneumatic control. The brake cylinder pressure build up time from the brake controller handle movement to 90 percent of full application pressure shall be a maximum of 4.0 seconds.

b. Full Service Release The time for brake cylinder pressure release from initiation of brake controller handle movement as measured by the handle electrical output signal to five (5) psi shall be a maximum of 3.5 seconds.

c. Emergency Application The time for brake pipe pressure reduction from initiation of brake handle movement to 85 psig shall be less than 0.5 second. The time for brake cylinder pressure build up from brake controller handle movement as measured by the handle electrical output signal to 90% of full application shall be less than 1.02.5 seconds.

d. Deceleration Rates The performance requirements for the “FULL SERVICE” and EMERGENCY” deceleration rates shall be met as required in TS 2.2.7.3.


Southeastern Pennsylvania Transportation Authority Section 13 Multi-Level Car Technical Specification Communication

TABLE OF CONTENTS

13 COMMUNICATION SYSTEM ........................................................................................ 1

13.1 GENERAL .......................................................................................................................1

13.2 PA SYSTEM ....................................................................................................................3 13.2.1 General ......................................................................................................................................... 3 13.2.2 Amplifier ....................................................................................................................................... 4 13.2.3 Speakers ....................................................................................................................................... 5

13.3 COMMUNICATING BUZZER SYSTEM ................................................................................6

13.4 PASSENGER EMERGENCY INTERCOM SYSTEM .................................................................7

13.5 CONTROL PANELS ..........................................................................................................8 13.5.1 General ......................................................................................................................................... 8 13.5.2 Non-Cab Communication Control Panel ...................................................................................... 8 13.5.3 Cab Communication Control Panel .............................................................................................. 9

13.6 TRAIN RADIO .................................................................................................................9 13.6.1 Description ................................................................................................................................... 9 13.6.2 Performance Specification ......................................................................................................... 11

13.7 ANTENNA .................................................................................................................... 11

13.8 DESTINATION SIGN SYSTEM ......................................................................................... 11 13.8.1 Equipment Description ............................................................................................................... 11 13.8.2 Location of Equipment ............................................................................................................... 12 13.8.3 System Operation ....................................................................................................................... 13 13.8.4 Memory Transfer Unit ................................................................................................................ 13 13.8.5 System Components and Wiring ................................................................................................ 13

13.9 PAGING SYSTEM .......................................................................................................... 13

13.10 TRAIN TO WAYSIDE COMMUNICATION......................................................................... 14

13.11 RADIO AND COMMUNICATION INTERFERENCE ............................................................. 14

13.12 AUTOMATIC VEHICLE LOCATION SYSTEM ..................................................................... 15

13.13 AVL EXPANSION PROVISIONS ....................................................................................... 18

13.14 AUTOMATIC PASSENGER COUNTING SYSTEM ............................................................... 18

13.15 ONBOARD VIDEO SURVEILLANCE SYSTEM (VSS) ............................................................ 19 13.15.1 Equipment Description ............................................................................................................... 19 13.15.2 Video Cameras ........................................................................................................................... 20 13.15.3 Wireless Download .................................................................................................................... 20

13.16 ONBOARD DYNAMIC ADVERTISING SYSTEM ................................................................. 20 13.16.1 Advertising Content Playback .................................................................................................... 20 13.16.2 Content Type .............................................................................................................................. 21 13.16.3 Dynamic Data ............................................................................................................................. 21 13.16.4 Logging ....................................................................................................................................... 21 13.16.5 Player Communication ............................................................................................................... 22

13.17 PASSENGER WIRELESS INTERNET (WIFI) ........................................................................ 22



13.17.1 Wireless Aggregation Device ...................................................................................................... 22 13.17.2 Roof Mounted Antenna Array System ....................................................................................... 22 13.17.3 Passenger Compartment WiFi Antenna and Access Points ....................................................... 23

13.18 AUDIO FREQUENCY INDUCTION LOOP SYSTEM ............................................................. 23

13.19 WAYSIDE ACCESS POINTS ............................................................................................. 24

13.20 SIGN SYSTEM AND ADVERTISING SYSTEM DATABASE UPDATES .................................... 26

13.21 CONTRACT DELIVERABLE REQUIREMENTS LIST ............................................................. 26

Section 13 Proposal Copy – Addendum No. 5 P a g e | ii


In order for the crew to ascertain that the signal buzzer button has functioned properly and to communicate with other members of the crew, an electronic buzzer shall be located near each buzzer button. All buzzers shall have tone and volume sufficient (approximately 88 to 92 dBA) to be readily audible under high noise level conditions such as a passing freight train. Buzzers shall be an electronic static type with an input voltage of 55-90 volts and with parts floated to isolate grounds and potted to resist moisture. Voltage below 55 volts shall not degrade or damage the communicating signal buzzer. The tone of the signal buzzer shall be different from that of the trainline door closing auditory warning described in TS 6.11.3 and any other tone and shall sound like the existing mechanical buzzer used on SEPTA’s Silverliner V cars.

13.4 PASSENGER EMERGENCY INTERCOM SYSTEM Each car shall have a passenger emergency intercom (PEI) system to allow two way communication between passengers and train crew. There shall be a PEI panel located in each level of the car. When a passenger activates the PEI, a visual indicator shall flash on the PEI, shall flash in the active cab and on the Communication Control Panel (CCP) in the active cab, and on all non-cab CCPs until the crew acknowledges the call at which time the annunciator on the PEI shall constantly illuminate. The annunciator shall be large enough for crew members to easily identify an active PEI station. Activating the PEI station shall notify the crew of the car number audibly in all cars via the PA system and the location of the active PEI station visually on the communication control panel in all cabs. Each cab and CCP shall be equipped with two (2) passenger emergency intercom system momentary contact pushbuttons or rocker switches identified as "Passenger Intercom Push-to-Talk" and "Passenger Intercom Reset". The reset switch shall also be illuminated. When a passenger presses the pushbutton on the passenger emergency intercom, it shall cause all "reset" switches to illuminate and also sound a distinct chime signal to alert the crew. It shall also cause the passenger intercom station to latch on allowing the passenger to both speak to and hear the crew without having to continue to depress the pushbutton. The crew shall use the "Press-To-Talk" button in the console area in conjunction with either the crew communication panel’s internal condenser microphone or the external lapel microphone to talk to the passenger and shall hear the passenger over the monitor speaker. Simultaneous activation of all passenger intercom stations of a train shall be possible. When communication with the passenger has concluded, the crew shall depress the "Reset" pushbutton to reset (unlatch) all energized passenger emergency intercom stations; when this occurs, the indicator within the "Reset" pushbutton shall be extinguished. Details of the design, installation, arrangement, and location of the PEI panels shall be submitted to the Engineer for approval during the design review process. [CDRL 13-006] The PEI panel shall be vandal proof and shall include:

a. A flush mounted microphone and intercom speaker behind a perforated vandal proof grille



13.6.2 Performance Specification The radio shall meet the design criteria as given in the AAR Communication Manual (12-10), reaffirmed in 1991, pages 1-20.

13.7 ANTENNA A GE 25 AN-1 "Sinclair" Model Excaliber ST221 low profile type antenna including Times Microwave Systems LMR-400 FR solid core conductor for VHF radio antenna coaxial cable application running from the antenna to the adjacent radio shall be provided. No angle connectors shall be used. A voltage standing wave ratio (VSWR) of 1.5 or better shall be required after installation. The antenna shall be mechanically grounded to the carbody through a copper or similar conductive metal between the antenna and its mounting. The antenna lead shall pass through the roof by means of a one (1) inch pipe of the same material as the roof. The pipe shall extend up to the antenna base and be welded completely to both the roof and the base of the antenna. No air or moisture shall enter or escape through the antennae lead roof penetration.

13.8 DESTINATION SIGN SYSTEM

13.8.1 Equipment Description An electronic destination sign system shall be installed on each car. It shall comply with all of the requirements of 49 CFR 238, IEEE P1477, Draft Standard for Passenger Information System for Rail Transit Vehicles or latest revision, and referenced IEEE Standards IEEE 100-1996, IEEE P1473, and IEEE P1482. The character height shall be three (3) inches – four (4) inches. The system shall meet or exceed all ADA requirements. The exterior signs shall display route type (Express, Limited, etc.) and destination information as well as public relations messages all under the control of the Operator or train crew. The technology use shall be backlit full color LCD (using high intensity LED backlighting to be visible in bright sunlight), RGB high intensity LED, or other Engineer approved equivalent full color display. The exterior destination sign message shall be sufficiently sized (minimum height of 3 inches) to allow a person with normal vision to identify the destination and route type text on the front exterior sign at a minimum distance of 150 feet and each side exterior sign at 50 feet. All signs shall have readability at a 65 degree angle on either side of a line perpendicular to the center of the mean plane of the display. Cycling of input power to the destination signs shall not cause the sign to display a fault mode or self-test mode. The sign shall automatically resume normal display without Operator intervention. Each destination sign assembly shall be placed in dustproof water resistant housing. The housing shall allow easy access to all routine maintenance functions including the cleaning of the display face(s) of the unit. Cab cars only shall have one (1) 20 character (minimum) external front destination sign. All cars shall have four (4) 20 character side destination signs with three (3) inch character height for viewing from the exterior of the cars.



All cars shall have six (6) 15 character full color LED signs with three inch character height for viewing from the interior of the cars. If a three inch character height cannot be accommodated because of space limitations, an alternative character height sign may be used if approved by the Engineer. The Contractor shall demonstrate that the signs are visible from the different interior locations of the cars. All cars shall have eight (8) graphical display interior message signs in each car. Due to anticipated placement constraints, two (2) sizes shall be utilized. Four (4) of the interior graphical display message signs shall be 19 inches measured diagonally or larger. The remaining four (4) screens shall be 30 inches measured diagonally or larger. Both sizes shall use a backlit full color LCD (using high intensity LED backlighting) or other Engineer approved equivalent full color display and shall have the capability of displaying graphics, images, and text with Engineer approved character size. Alternate sign arrangements may be proposed. The interior signs shall have the capacity when desired to scroll large messages such as preprogrammed emergency or public relations messages. In addition, the interior destination sign system shall be configured (including preinstalled low loss carbody wiring) to permit connection to the existing wayside active messaging system for advertisements, current news, and other information as per TS 13.16. Details shall be submitted to the Engineer for approval during design review. [CDRL 13-007] Maintenance personnel shall be able to command an LED test pattern to be displayed on any sign from the MDS.

13.8.2 Location of Equipment The externally viewed side signs shall be located as approved by the Engineer: two (2) on the right side and two (2) on the left side of each car. The opening shall be glazed, and the glazing shall be secured with a neoprene glazing strip. A housing compatible with the interior design with a hinged cover shall be provided on the interior of the car. Approved fasteners shall be provided to secure the access door. The hinged cover shall be large enough to allow troubleshooting and removal of the sign assembly without disturbing or removing the glazing assembly. The externally viewed front sign shall be located above the Operator’s cab as approved by the Engineer. The internally viewed full color LED text signs shall be installed in wall panels at an approved location for each passenger compartment. There shall be one (1) sign on each intermediate level, two (2) signs on the upper level, and two (2) signs on the lower level. The interface for the sign control unit on cab cars and trailer cars shall be incorporated intothrough the MDS system’s DDU and MDU touchscreens as approved by the Engineer. The Operator’s display keyboard functionality for the destination signs shall be integral to both the MDS DDU located in the cab and the MDU touchscreen located in the locker adjacent to the quarter point doors on all cars. The system shall be arranged and integrated to permit authorized personnel only to access the Operator’s display keyboard functions for programming, troubleshooting, or reviewing messages, and the message data base. The keyboard shall be placed at a suitable height for easy operation. A connector shall be provided adjacent to the CCU and behind the access door to facilitate the connection of a portable memory transfer unit.



In order to synchronize the sign displays and voice announcements to the proper location, the Contractor shall provide an automatic vehicle location system (AVL) system. The system shall use a global positioning satellite system (GPS) enhanced by utilizing the wide area augmentation system (WAAS) and a dead reckoning system for operation within the 1.5 mile Center City Commuter Connector Tunnel plus other short highway overpass sections which will provide the geographical location of the vehicle. The system shall use satellite ranging to determine position on a geographic coordinate system. The position information shall be correlated to a database containing the various routes, location triggers, announcements, and other required information. The SEPTA Railroad Division operation has 300 end to end one way route miles. The system shall include a vehicle location control panel as well as provisions for the entry of an employee I.D. number. When the Operator activates the train, the Conductor or Operator will enter the route number and train number into the vehicle location control panel. The system shall use this information for next stop announcements and to determine schedule adherence. The vehicle location control panel shall include a small display. The route and current location in SEPTA's Railroad Division terminology shall be displayed along with the train speed, current local time, estimated time to the destination, estimated arrival time at the destination or downtown terminals, and schedule adherence information. The system shall be configured to recognize various types of triggers to be used for vehicle location, stop, next stop, and public relations announcements along the route. A method to disable GPS synchronization of the destination signs and automatic announcements shall be provided. This shall allow for the manual operation of the destination sign displays during out of service conditions (test trains, dead heads, etc.). Updates to the location database and system software shall be by the use of a Microsoft Windows laptop computer with an approved PTE port, and updates to the database shall also be made using the wireless local area network and wireless wide area network. The system shall support partial updates and allow update resumption if WiFi or WLAN connectivity is interrupted. Updates shall be possible to be scheduled for either the WLAN or the WWAN or first available. Updates shall include an effectivity date allowing schedule updates to be preloaded for automatic activation at a later time. The system shall be capable of using the existing SEPTA sign and location database utilized for the SEPTA Silverliner V communication system. Alternative approaches to maintaining a singular sign and location database shall be submitted to the Engineer for approval. [CDRL 13-013] Application software and hardware shall be supplied so that updates and changes can be made to the automatic vehicle location database including audio and visual announcements and graphics. Changes to the voice announcements made along the routes shall be by converting text to speech to form a voice message that can be saved to a new database for eventual downloading to each car. The sound quality of the converted message shall be the same as a prerecorded voice messageapproved by the Engineer. It shall have human characteristics and shall not sound robotic. The software shall have adjustable sound parameters and characteristics to adjust the sound quality; all messages shall sound as if from the same voice. The system shall allow the addition of new location triggers with the accompanying voice announcement and sign displays. Updates to the database shall also allow independent updates to and the addition of new interior and exterior sign displays. The system for updating the data base and system software shall be user friendly and intuitive. The Contractor shall be responsible for developing the initial set of audio and graphic files for all SEPTA Regional Rail lines.



The system shall be the InfoDev Series 400 Gateway Counting System or approved equal. The system shall be backwards compatible with SEPTA’s existing UTA Model 20 and UTA SmartSensor Systems unless approved otherwise by the Engineer. All export functions, end user interfaces, and reports shall function seamlessly among SEPTA’s existing wayside APC infrastructure. Sensors shall be flush mounted with no exposed cables or wiring and must meet the 32 inches minimum clearance ADA requirement. The sensors shall accommodate both high and low station platforms. The sensors shall be arranged to obtain proper operation, and their location shall not reduce the door aspect/clear opening requirements of this Specification. The sensor arrangement shall prevent obstruction and accommodate routine maintenance and replacement. The system shall store, organize, date and time stamp passenger counting events. To ensure timing accuracy, the system shall synchronize with the GPS clock. The carborne APC system shall store two (2) weeks of passenger counts at a minimum. Data transmissions are to occur via the WLAN and WWAN networks when available. Authorized SEPTA personnel shall have the ability to access all data online and download all data to wayside PC based systems without the loss of storage and quality of data.

13.15 ONBOARD VIDEO SURVEILLANCE SYSTEM (VSS) An onboard crash and fire protected digital video recording system (DVR), DTI MDR-5L, shall be provided to meet the requirements of the SEPTA video surveillance system (VSS). The video data acquisition system shall monitor and record data acquired from multiple onboard camera sources that shall be arranged to maximize the coverage of the vehicle and its operations. The onboard camera system shall have day and night visison/infrared capabilities and provide high quality color video. The system shall be compatible with SEPTA’s existing wayside video systems, and the Contractor shall be responsible for integration. To ensure timing accuracy, the system shall synchronize with the GPS clock.

13.15.1 Equipment Description The system in operation shall provide adjustable frame rates necessary to avoid latency and/or frame loss that would cause discontinuity of motion and loss of apparent causal circumstance. SEPTA currently requires ten (10) frames per second. All acquired data shall be written, stored, and encrypted. All data shall reside on the rail vehicle on a solid state drive (SSD) or hard disk drive (HDD) device that is designed and applied for the purpose of mobile data acquisition and storage with a minimum of 2 Tb of storage space. Data acquired in this mode shall be high quality to allow monitoring personnel to view data that equals the quality of data written on the vehicle’s SDD/HDD device. Authorized SEPTA personnel shall have the ability to access all data online and download all data to wayside PC based systems without the loss of storage and quality of data stored on the vehicle’s HDD system.



d. Yard WLAN applications shall be designed to allow full area reception to all cars in the track areas and shop work zones of each local yard. Sufficient apparatus shall allow for communication with each car to be achievable from the SEPTA network. The signal strength shall be adequate to allow communication with a WLAN equipped laptop computer from inside the cars at a speed acceptable to the Engineer for accessing additional SEPTA maintenance information.

e. The Contractor shall design the topography of the networks as applicable for each location and

supply and install all needed hardware and software. The IEEE 802.11 WiFi technology chosen for the WLAN shall be the latest commercially available variant at the time of NTP, 802.11ac or newer. The design and installation of the network shall be based on the site surveys for network coverage concerning reception such as signal to noise ratios, EMI interferences, speed potential, and estimated car and user bandwidth loads. An adequate number of wireless access points and associated antennas shall be provided to accommodate efficient speed and access based on the use of the proposed automated data transfer system, estimated data transfer assuming a fully occupied and equipped yard, as well as data available on SEPTA's Vehicle Maintenance Information System (VMIS) and Vehicle Technical Information Library (VTIL) system. Site surveys, network design, installation, and testing shall occur not more immediately prior to the delivery of the first equipped vehicles. Network design shall be extensible and take into account the challenging and changing RF environment found throughout SEPTA’s yards and in Suburban Station.

f. Security of the WLAN system to exclude unauthorized users and potential hackers will be

paramount. Security protocols implemented are to be industry best practices at the time of the WLAN system design.

g. All vehicle WLAN systems, the SEPTA Control Center, and selected management departments

shall be connected via a secure extranet or attached to the existing SEPTA computer network. Associated servers and networking software shall be supplied by the Contractor. Extranet fees shall be borne by the Contractor for the full term of the Contract (last car out of warranty). If the Contractor proposes to use the SEPTA existing network(s) for WLAN wayside communication instead of extranet, the Contractor shall supply all required equipment and devices determined to be required by the SEPTA network Engineer to accommodate increased traffic on the SEPTA networks (routers, switches, cards, etc.), and extranet fees will not be applicable. All hardware and software shall be approved by the Engineer. [CDRL 13-017]

h. The Contractor shall also provide the following complete WLAN computer systems for use on the WLAN and associated monitoring stations:

1) Two (2) WLAN desktop computers per yard location

2) Two (2) additional WLAN laptop computers per yard location

3) One (1) desktop computer installed for monitoring the status system at SEPTA's Control

Center



4) One (1) desktop computer installed for monitoring the status system at management lo-

cation (to be determined)

i. The system shall have the ability to update the database in part or in whole. Partial updates shall allow longer upload times to occur over different times of vehicle availability in the yard. The system shall record where it left off and continue the update without having to start at the beginning. Partially updated vehicle databases shall be fully functional in the AVL system using existing information until the latest updated information is fully downloaded and ready for use, at which time the system will make use of the latest updated information. The system shall automatically update any and all vehicles in the WLAN that require the database update, and shall record the car number and percentage of the database updated. Cars that leave a yard or shop before completion of the update shall have the upload continue sequentially at any other yard or shop that it next enters, until the percentage of update is fully completed.

13.20 SIGN SYSTEM AND ADVERTISING SYSTEM DATABASE UPDATES

The system shall have the ability to perform transfers of information, including updates to the on-board and wayside databases (such as the communication system message and voice database) and software in part or in whole as per TS 16.4.8.

13.2013.21 CONTRACT DELIVERABLE REQUIREMENTS LIST

CDRL Number Title Car Type

Reference Paragraph

13-001 Complete Communication Package Details

All 13.1

13-002 Conflicts Message Priority and System Function

All 13.1

13-003 PA System Details All 13.2.1

13-004 Ambient Noise Sampling Method and Location of Sensing Microphones

All 13.2.2

13-005 Speakers Location and Number All 13.2.3

13-006 PEI Panels Details All 13.4

13-007 Graphical Display Interior Message Signs Details

All 13.8.1

13-008 Destination Sign System Details All 13.8.3

13-009 Wireless LTE Data Carrier and Network Coverage

All 13.10




Reference Paragraph

13-010 TWC Channels and Security Implementations

All 13.10

13-011 Radio and Communication Interference Plan

All 13.11

13-012 Interoperability Study All 13.11

13-013 Singular Sign and Location Database Alternative Approaches

All 13.12

13-014 Video Cameras Coverage Plan All 13.15.2

13-015 WiFi Passenger Bandwidth Details

All 13.17

13-016 Hearing Loop System Details All 13.18

13-017 WLAN Systems Hardware and Software

All 13.19.g

END OF SECTION


Southeastern Pennsylvania Transportation Authority Section 15 Multi-Level Car Technical Specification Vehicle and Trainline Networks

15.1.2 Vehicle Level A Gigabit Ethernet based data car network (DCN) shall be provided on all cars for data communication within each vehicle. DTN cabling and receptacles shall interface and be compatible with the cabling and receptacles selected for use on other SEPTA fleets outfitted with DTN. In addition, the multi-level cars shall be backward compatible with SEPTA’s existing fleet of commuter cars and locomotives that are fitted only with the 27 pin discrete locomotive MU control and door and communication trainline systems.

15.2 DTN TRAINLINE AND NETWORK ARCHITECTURE The network architecture shall include a digital trainline network (DTN) between cars and locomotives and a ring-based data car network (DCN) for data communication within each car.

15.3 DIGITAL TRAINLINE NETWORK (DTN) A Gigabit Ethernet digital trainline network (DTN) shall be provided on each car using IEEE 1473:2010 or later Type E network as a starting point. Two (2) DTN receptacles shall be provided on each end of the vehicle, to be used by separate DTN jumper assemblies. Each receptacle shall be pre-wired with two (2) Category 7 cables (one as a spare) that shall be terminated with an A-coded bulkhead M12 connector. The physically separated receptacles and jumpers shall both be connected to the Train Ethernet Switch (TS 15.4.1) located at that end of the vehicle. The jumper cables shall meet the requirements of PRIIAA Specification 305-919-2014, Digital Train Line Hardware Specification, section 3.3 “Jumper Cables”. The DTN shall ensure network function when a minimum of one (1) of the Ethernet jumpers on each end is connected.

Figure 15-1 Ethernet Switch Diagram

The DTN shall be capable of operating in a consist of between two (2) and 14 vehicles.

15.3.1 Extent of Minimum DTN Functions The extent of the minimum DTN communication functions shall be as follows:


Southeastern Pennsylvania Transportation Authority Section 15 Multi-Level Car Technical Specification Vehicle and Trainline Networks

a. Exchange of diagnostics and status data on functional units between cars via DTN

b. Information for train consist overview including status of doors, HVAC, PEI, PA/IC, and other vehicle components

c. GPS position and time supplied from DTN from cab car

d. Automatic train inauguration when train composition changes. Automatic inauguration shall take no longer than 30 seconds to complete.

e. Collect and store car diagnostics information. The DTN shall be configured for remote access to

retrieve the diagnostic information from each car.

1) Diagnostic information includes logged event data associated with one (1) group of environmental data (condition data items, the same for event data types).

2) Diagnostic information shall be retrievable via DTN by Operator’s driver display unit,

MDS, or remotely via the TWC system in the cab car.

f. Implementing the DTN functionality for passenger information sign

g. Implementing passenger information sign database update via DTN

15.3.2 Incorporated DTN Functions The following functions, at a minimum, shall be incorporated into the DTN:

a. Recognition of train consist including vehicle order, orientation, and vehicle number within the consist

b. Automatic reconfiguration of the network when cars are coupled or uncoupled or rearranged

c. Train consist monitoring and diagnostics

d. Train to wayside (TWC) data transfer including transmission from non-cellular/WLAN equipped

cars to vehicles with cellular and WLAN connections (locomotives and cab cars)

e. Transfer of data needed from/by trailer cars to/from cab cars and locomotives The DTN shall also support all of the diagnostic and monitoring functions of the CLDS as described in TS 16.


Southeastern Pennsylvania Transportation Authority Section 16 Multi-Level Car Technical Specification Monitoring and Diagnostic System

TABLE OF CONTENTS

16 MONITORING AND DIAGNOSTIC SYSTEM .................................................................... 1

16.1 GENERAL ...................................................................................................................1 16.1.1 Introduction ................................................................................................................................. 1 16.1.2 General Architecture .................................................................................................................... 1 16.1.3 Diagnostic System Levels.............................................................................................................. 1 16.1.4 MDS Functions ............................................................................................................................. 2

16.2 FAULTS, FAULT DATA, AND STATUS INFORMATION ....................................................2 16.2.1 Faults ............................................................................................................................................ 2 16.2.2 Fault Attributes ............................................................................................................................ 3 16.2.3 Fault Reports ................................................................................................................................ 3 16.2.4 Fault Snapshots ............................................................................................................................ 4 16.2.5 Fault Snapshot Reports ................................................................................................................ 4 16.2.6 Status Information ....................................................................................................................... 5

16.3 CAR SYSTEMS LEVEL DIAGNOSTIC SYSTEM (CSLDS) .....................................................5 16.3.1 Car Systems .................................................................................................................................. 5 16.3.2 Status Reports .............................................................................................................................. 6 16.3.3 Faults ............................................................................................................................................ 6 16.3.4 Snap Shots .................................................................................................................................... 6 16.3.5 Custom Monitoring of Real Time Data ......................................................................................... 6

16.4 CAR LEVEL DIAGNOSTIC SYSTEM (CLDS) ......................................................................6 16.4.1 Functions ...................................................................................................................................... 6 16.4.2 Components of the CLDS .............................................................................................................. 8 16.4.3 Processing Individual Faults ......................................................................................................... 8 16.4.4 Custom Monitoring of Real Time Data ......................................................................................... 8

16.4.4.1 Selection of Data to Be Collected ............................................................................................ 9 16.4.4.2 Storage of Real Time Data ....................................................................................................... 9 16.4.4.3 Retrieval of Real Time Data ..................................................................................................... 9 16.4.4.4 Viewing of Real Time Data ....................................................................................................... 9

16.4.5 CLDS Fault Detection .................................................................................................................... 9 16.4.6 USB / PTU Interface .................................................................................................................... 10 16.4.7 User Interface and User Commands .......................................................................................... 10

16.4.7.1 Normal Access Level .............................................................................................................. 10 16.4.7.2 Maintenance Level ................................................................................................................ 10 16.4.7.3 Engineering Level ................................................................................................................... 11

16.4.8 Database and Software Uploading ............................................................................................ 11

16.5 TRAIN LEVEL DIAGNOSTIC SYSTEM (TLDS) ................................................................. 12 16.5.1 Functions .................................................................................................................................... 12 16.5.2 Components of TLDS .................................................................................................................. 13 16.5.3 Actions for Processing Individual Faults ..................................................................................... 13

16.6 WAYSIDE DIAGNOSTIC SYSTEM (WDS) ...................................................................... 14 16.6.1 WDS Requirements .................................................................................................................... 14 16.6.2 WDS General Functions .............................................................................................................. 15

16.7 BENCH TEST SYSTEM ................................................................................................ 16

16.8 PORTABLE TEST UNIT (PTU) ...................................................................................... 18



16.8.1 General ....................................................................................................................................... 18 16.8.2 Quantities ................................................................................................................................... 20 16.8.3 Software Updating of PTU Software .......................................................................................... 20

16.9 RADIO PROGRAMMING EQUIPMENT ........................................................................ 21

16.10 CONTRACT DELIVERABLE REQUIREMENTS LIST ......................................................... 21

Section 16 Proposal Copy – Addendum No. 5 P a g e | ii


16 MONITORING AND DIAGNOSTIC SYSTEM

16.1 GENERAL

16.1.1 Introduction The monitoring and diagnostic system (MDS) shall provide information for the crew of the cars to inform them of the cars’ operating condition and to facilitate repair. Crew shall be informed of the readiness of the cars in the train and of any problems requiring their attention. Maintainers shall be provided information at both the train or car level to allow them to determine problem causes, to replace the lowest replaceable units without the need for other diagnostic tools such as portable test units, and to confirm proper operation upon replacement. The system shall provide the central wayside locations with information to monitor the status of the fleet and to help prepare for the maintenance functions before the vehicles are directly accessible. The system shall also provide the central wayside locations with all faults, status, FRA event recorder down load information, and other subsystem data. During the warranty period, the effectiveness of the fault reporting system shall be monitored by the Contractor to ensure that it provides accurate information. The Contractor shall develop performance criteria which shall include such items as maximum allowable percentage of false failures reports and maximum allowable percentage of missed failures. The performance criteria shall be submitted to the Engineer for approval. The details of the design, installation, arrangement, and testing of the MDS shall be submitted to the Engineer for review and approval. [CDRL 16-001]

16.1.2 General Architecture The MDS functions shall be performed at several levels within the constituent systems of the cars:

a. At the car level b. At the train level c. At a central wayside location

Networking between these components is described in TS 15. The systems within each car shall monitor their operation and report various status and fault information to the car level. The car level shall be able to display information to assist in maintenance and report information at the train level to inform the crew of conditions that limit the car’s performance or otherwise need their attention.

16.1.3 Diagnostic System Levels The monitoring and diagnostic system shall consist of the following levels:



a. Car System Level Diagnostic System (CSLDS) – the CSLDS individual constituent level systems on

the car such as the HVAC, braking, doors, and others.

b. Car Level Diagnostic System (CLDS) – The car level systems collect data from the car level systems and are the interface to the higher train level system.

c. Train Level Diagnostic System (TLDS) – The train level system collects information from the cars and interfaces with both the crew and the radio links to the wayside systems.

d. Wayside Diagnostic System (WDS) – The wayside systems collect and save data from all trains and make it available through SEPTA’s corporate data networks.

16.1.4 MDS Functions The monitoring and diagnostic system (MDS) shall monitor conditions and detect problems (failures). The status of the cars and detected faults shall be retained and displayed for crew, maintainers and others. Sufficient information shall be provided by the car level systems so that there shall be no need to use a carryon PC to diagnose problems to the replacement unit level. This shall generally be the printed circuit board level rather than the discrete component or box level. At the level of the systems within the cars, the car systems level diagnostic systems’ (CSLDS) faults shall be detected according to algorithms defined in the corresponding system documentation. Fault information shall be retained within the car systems and shall be transferred to the higher level car level diagnostic system (CLDS). The car level diagnostic system (CLDS) shall retain information, present it to maintenance personnel, and provide other assistance in problem resolution and replacement unit determination. The car level diagnostic system shall also report information to the train level diagnostic system (TLDS). The train level diagnostic system (TLDS) shall provide communication to the train crew and shall transfer certain status and fault data via the train to wayside communications system (TS 13.10) to the wayside. A user shall be able to select certain variables within the car systems to be sampled and recorded. It shall be possible for the user to request that the file of these observations be transferred to the wayside diagnostic system database.

16.2 FAULTS, FAULT DATA, AND STATUS INFORMATION

16.2.1 Faults Faults shall include detection of incorrect operation of onboard systems and the occurrence of external conditions that are outside of the required ranges. The set of faults shall be such that all failures are detected and the specific LLRU can be easily and uniquely determined. An analysis shall be presented showing how each failure mode will result in one (1) or more faults and how these faults can then be traced back to a unique LLRU. Exceptions shall be permitted only with the specific approval of the Engineer.



Each fault shall have an associated fault code. Whenever the conditions that trigger a fault occur, the fault shall be “set”. A “set” fault may then be “cleared” when a separate clearing criteria is met. Both the “set” and “clear” criteria shall be defined in the corresponding car system documentation.

16.2.2 Fault Attributes There shall be a standard set of attributes which will be associated with each fault code. The default value for each of these attributes for each fault shall be set as part of the system and software development process. These values shall be changeable through the CLDS user interface and through loading an attribute file from a USB drive, cellular, the vehicle’s WLAN, PTU, and via the train to wayside communications system (TS 13.10) through the TLDS. The attributes shall determine the actions to be taken on a fault report by the car system level diagnostic system, the car level diagnostic system, and the train level diagnostic system. The version and CRC for the attribute file shall be subject to the same display requirements as the version and the CRC for the car system software. The systems shall allow for 16 attributes for each fault code. These attributes shall determine the actions to be taken by various systems in processing fault reports. The attributes shall be:

a. Archive in car system – If true, specifies that the fault reports shall be logged at the system that generated the fault

b. Critical – if true, indicates fault must be addressed before the next periodic maintenance

c. Crew access – if true, fault shall be displayable for the train crew

d. Maintenance access – if true, allows train maintenance access to the fault

e. Failure forecasting – if true, indicates fault is associated with incipient failure detection

f. Transfer to wayside diagnostic system – if true, indicates the fault reports are to be sent to the wayside diagnostic system from the TLDS

g. Operator alarm – if true, indicates that when the fault is set the Operator should receive an indication of the condition

The remaining attributes shall be reserved for later definition. These may be defined by SEPTA at the PDR or FDR stages.

16.2.3 Fault Reports A fault report shall include the following:

a. Short name for the generating system such as HVAC, ATC, Brks, etc. b. Fault code c. Attribute values



d. Set/reset code and snapshot available code e. Date/time

The set/reset code shall indicate whether the fault report is showing that the fault is being set or if it is being reset. The snapshot available code shall indicate if, when a fault was set, a snapshot was recorded.

16.2.4 Fault Snapshots Snapshot data shall be appropriate for the fault and the system. The data shall be taken at sufficient time intervals and with appropriate variables recorded to capture the significant events leading up to the fault and the responses for a short time after the fault. Snapshots shall be retrievable from the generating system in a snapshot report. These reports shall be in a generic and self-defining format that can be transferred through the system and viewed at either the CLDS-MDU or at the wayside diagnostic system. The snapshot data shall be approved by SEPTA [CDRL 16-002] and selected based on the fault it is associated with. Examples of snapshot data likely to be required to be provided along with the occurrence of a fault include battery voltage, battery current, brake cylinder pressure, brake pipe pressure, equalizing reservoir pressure, brake handle position, cab active status, contactor status, temperature status, blower status, heater status, door system status, axle speeds, parking brake application status, zero speed status, and others as defined during design review.

16.2.5 Fault Snapshot Reports The snapshot report shall include the following:

a. The short name of the generating system

b. The fault code or codes with the times they were set (in the case of more than one (1) fault at the same time or within a time adjustable by SEPTA)

c. The number of observations (rows in the data table)

d. The time of first observation and the time increment between observations

e. The names of each variable in the snapshot table with the number of bits used

f. The table of data with one (1) row for each observation and the values of each variable in the columns

Readers for these snapshots shall be provided for the CLDS, WDS, and laptop PCs. [CDRL 16-003]



16.2.6 Status Information Status information shall be sent periodically indicating the operational status of the individual car systems.

16.3 CAR SYSTEMS LEVEL DIAGNOSTIC SYSTEM (CSLDS)

16.3.1 Car Systems All processor controlled car systems shall include a CSLDS and shall interface to the CLDS through the digital car network (DCN). At least the following systems within the cars shall have a diagnostic system:

a. Auxiliary power system (APS) including LVPS and battery (TS 10)

b. Operational safety system (TS 14)

c. Friction brake control system and wheel slide system (TS 12)

d. Car level diagnostic system (CLDS) (TS 16.4)

e. Communications system (CS) (TS 13)

f. Door control system (DCS) (TS 6)

g. Event recorder system (TS 14)

h. HVAC system (TS 8.2)

i. Destination signs (TS 13.8)

j. Ground fault detection system (TS 10.6.1.4)

k. Operator’s Driver display unit (TS 7.12)

l. Train to wayside communications system including wireless LAN and cellular communication (TS 13.10)

m. Automatic passenger counters

n. Video surveillance system

o. Audio frequency induction loop



16.3.2 Status Reports The result of “power on” self-tests, if used, shall be included in status information reported to the CLDS. Status reports shall be provided periodically to the CLDS. The CLDS shall detect a fault if status reports are not provided within a set time.

16.3.3 Faults The fault detection logic shall be sufficiently robust to distinguish between actual internal failures and the failure of external systems or inputs. Any redundant system’s failure shall be detected and reported so as to assure attention to and repair of the redundant system. Because some systems will not have microprocessor controllers but may still have failure conditions that need to be detected, the Contractor may detect some faults at the CLDS or may elect to include them in the requirements for other systems with the detection of additional faults to cover these failure conditions. The Contractor may also elect to specify additional faults for the CLDS, if needed, to meet the requirements for LLRU determination such as when the individual car systems lack sufficient information to detect a fault condition. The level of battery diagnostics required is overvoltage, overtemperature, undervoltage, current limit, circuit breaker trip, or no charge for any other reason.

16.3.4 Snap Shots Detailed snap shots shall be taken when selectable triggers or events occur. Sample rates, signals to record, pre-trigger recording time, and recording time shall be adjustable and shall have the ability to be set separately for each different trigger or event as required by SEPTA.

16.3.5 Custom Monitoring of Real Time Data The user shall be able to select specific variables for reporting to the car level diagnostic system. These shall be selected by command from the CLDS, cellular, WLAN, PTU, and the train to wayside communications system (TS 13.10). They shall be sampled at a selectable interval.

16.4 CAR LEVEL DIAGNOSTIC SYSTEM (CLDS)

16.4.1 Functions The car level diagnostic system shall perform the following basic functions:

a. Collect and store fault report and status information from the car systems and the CSLDSs

b. Process fault reports according to their attribute values



c. Provide the user high level status information regarding the car

d. Reply to user requests for information

e. Perform the functions usually carried out by a portable test unit attached to the car system

f. Reply to requests from the train level diagnostic system (TLDS)

g. Display the status of individual trainlines in the door and communications, HEP, and locomotive

control trainline systems

h. Provide through the digital train network (DTN) access to the car status information for other cars in the train

i. Display all current cab control and ATC/PTC status information

j. Write selected data to a USB drive

k. Reload software into car systems and the CLDS itself

l. Send clock set commands to the car systems The CLDS shall be arranged to permit the following levels of access: Level Description of Function Requirements 1 Access Train Car System Status; No login Perform Simple Reset Operations Required 2 Level 1 plus Login Individual Systems Diagnostics Required All Reset Operations CLDS logs employee ID Download Operations Number Set Temporary Parameters Date and time stamps access 3 Same as Level 2 plus Login Software Upload Capability Required CLDS logs employee ID Number Date and time stamps access The access shall be granted by a combination of user ID and password entered via the CLDS. The software necessary for management of user IDs, passwords, and access levels shall be provided to SEPTA and implemented in a secure fashion. Updates to the login database shall be possible via USB flash drive, train network, cellular, WLAN, PTU, and the train to wayside communications system (TS 13.10). Details of the system configuration for the functions and access of the CLDS shall be submitted to the Engineer for review and approval. [CDRL 16-004]



16.4.2 Components of the CLDS The CLDS shall consist of a CLDS unit and a maintenance display unit (MDU) with an LED touchscreen. The CLDS unit and the MDU shall be located in a vestibule locker of each car. The MDU LED touchscreen shall be located so as to be convenient for maintenance operations from a standing position. The screen shall provide a normal rectangular viewing area with at least a 12 inch diagonal dimension and shall support a minimum of SVGA resolution of at least 1024 by 768. The screen shall be readable under all lighting conditions. The display shall be subject to approval by the Engineer at the pilot car FAI and at the maintainability demonstration. [CDRL 16-005] The touchscreen shall be capable of performing all of the operations of the software. A USB interface connector shall also be provided for a regular PC type keyboard. The CLDS unit shall communicate on the car network and on the train network as described in TS 15.

16.4.3 Processing Individual Faults The car systems shall send fault reports to the CLDS. A fault report shall be generated whenever a car system detects a fault and the associated attribute specifies that the fault report shall be sent to the CLDS. The CLDS shall provide a clock that shall maintain the date in Eastern Standard Time and, when appropriate, Daylight Savings Time both in 24 hour format. This time shall be periodically updated from an onboard system or device (such as GPS or PTC) which will be defined by SEPTA during the design review. The CLDS shall send date and clock set commands to the CSLDS to set their clocks at regular intervals. All data reported to the CLDS shall be time stamped using the internal clock. The CLDS shall append the following information to each fault report received from a car system including faults from the car level diagnostic system (see also TS 16.2.3):

a. Car number b. Train number c. GPS location

16.4.4 Custom Monitoring of Real Time Data A user shall be able to select variables to be monitored with the values saved in a file that can be transferred to a PC or to the wayside system. This custom configuration shall be able to be saved to a file and SEPTA shall have the capability to load this configuration with a USB flash drive, cellular, WLAN, PTU, and the train to wayside communications system (TS 13.10).



16.4.4.1 Selection of Data to Be Collected The user shall be able to select up to 100 variables to be recorded. These may be selected from menu screens for each car system. A group of these selections may be saved with an associated name for later recall and use. Sample rates shall be configurable by SEPTA. The default sample rates shall be 50 samples per second for rapidly changing data and may be lower for other data subject to approval of the Engineer.

16.4.4.2 Storage of Real Time Data Sufficient storage shall be provided to store a minimum of 30 hours of monitored variables not including snap shots. SEPTA shall have the ability to add external USB storage when required to store more data.

16.4.4.3 Retrieval of Real Time Data When requested through the MDU, the real time data shall be transferred to a USB Drive, cellular, vehicle WLAN, PTU, and the train to wayside communications system (TS 13.10). A user at the wayside diagnostic system shall also be able to request the data files in which case the file shall be transferred through the TLDS to the WDS. The real time data shall be provided in a real time data report. This report shall consist of the following:

a. A header giving the car number, train number, date, time, and GPS coordinates b. A header record listing the names of variable c. The table of data with one (1) record for each observation and the variables in the columns

A sample report shall be submitted to SEPTA during the detailed design phase and shall be approved by the Engineer. [CDRL 16-006]

16.4.4.4 Viewing of Real Time Data When requested through the wayside system, it shall be possible to view real time data via the train to wayside communications system (TS 13.10). The system shall allow the selection of up to 100 signals and provide the capability for requesting the real time data once or on a periodic polling basis.

16.4.5 CLDS Fault Detection In addition to collecting and storing fault information from the car systems, the CLDS shall also detect faults itself. These faults shall include:

a. Failure of communications with any car system diagnostic system or with the train level diagnostic system

b. Detection of additional faults necessary to determine failed replacement units. (This could occur for systems that do not have their own processor or for faults that depend on status information from more than one (1) car system.)



16.4.6 USB / PTU Interface The following specific requirements pertain to the USB drive and PTU interface:

a. The crew shall be able to select certain information to be copied to the USB drive or PTU.

b. The files shall be in a format approved by the Engineer.

c. The files shall include the train ID, car ID, time and date, GPS coordinates, variable names, and units for all data in the file.

d. All software needed to review and analyze the data shall be provided. [CDRL 16-007] This includes the ability to chart, sort, export the data, etc., as approved by the Engineer.

16.4.7 User Interface and User Commands The MDU shall display specific screens of information and allow the user to navigate through the screens by selection of screen names. The normal default display shall be the train overview screen. In addition to the normal access level, there shall be two (2) higher levels of system access: maintenance access level and engineering access level. Both of these shall require an employee ID and password.

16.4.7.1 Normal Access Level The normal access level shall provide the following:

a. The train overview screen which shall show the numbers and status of all cars in the train

b. The car system status screen which shall show the status and fault list for a particular car. Any car in the train may be selected.

16.4.7.2 Maintenance Level The maintenance level shall allow access to the following additional screens:

a. A fault log screen showing a scrollable list of faults detected for a particular car

b. A download screen allowing download of fault information to all of the following: USB flash memory drive, cellular, vehicle WLAN, PTU, and the train to wayside communications system (TS 13.10)

c. A self-test and parameter screen for car systems that provide externally initiated self-tests or allow changes in maintenance related parameters



16.4.7.3 Engineering Level The engineering level shall allow in addition to the maintenance level screens the following:

a. A software update screen that shall allow loading of software from a USB flash memory drive, cellular, vehicle WLAN, PTU, and wayside diagnostic system (TS 13.10) to the CLDS or one of the car systems

b. An attribute display and update screen that shall allow the display of all fault attributes by fault code for any one (1) selected car system and shall allow changing the attributes individually or by loading an attribute file from a USB flash memory drive, cellular, vehicle WLAN, PTU, and wayside diagnostic system (TS 13.10) to one (1) of the car systems

c. A snapshot display screen that shall allow the selection of a particular fault report and the display, if recorded, of the snapshot report associated with it

d. Allow changes for non-maintenance related parameters on the parameter screen

16.4.8 Software Loading into Individual Car Systems Database and Software Uploading

When selected by the user, software for a specific car system shall be transferred from all of the following: USB flash memory drive, cellular, vehicle WLAN, PTU, and wayside diagnostic system (TS 13.10) to the target system. The user shall be able to request the calculation and display of the software CRC check sum of the target system before or after the software load to confirm the validity of the loaded software. They also shall be able to display the calculated check sum of a software load file on the USB flash memory drive, cellular, vehicle WLAN, PTU, or wayside diagnostic system (TS 13.10) respectively. The check sums shall be CRC16 or equivalent as approved by the Engineer. The wayside system shall be able to request a software version and CRC report for a car. This report shall be a table providing the name of each software configuration item (SCI) for each car system and subsystem, the version of the SCI, and the CRC as reported by the software from a calculation. Data files (e.g. configuration or other setup files) shall also be included with the same information. The wayside system shall be able to request a hardware revision and serial number report for a car. The report shall be a table providing the name of each hardware item, the hardware revision level, and the serial number of the equipment installed on the vehicle. The Contractor shall provide a means of updating the hardware revision level on each item that stores the hardware revision information, such that hardware modifications can be tracked by the report through the life of the equipment. The hardware revision and serial number report shall list each intelligent lowest line replaceable unit that is serialized and directly or indirectly connected to the car network. It shall also be possible to load software from the WDS through the TLDS and the CLDS to a target car system. Such transfers shall be initiated from the TLDS.



The system shall also have the capability to load data files for announcements, signs, or other similar applications from the CLDS. Such data file transfers may originate from a wayside application and be transferred through the train to wayside communications system (TS 13.10), cellular, WLAN, and the TLDS to the CLDS and then to the specific car system. The system shall have the ability to perform transfers of information, including updates to the on-board and wayside databases (such as the communication system message and voice database) and software in part or in whole. Partial updates shall allow longer upload times to occur over different times of vehicle availability in the yard. The system shall record where it left off and continue the update without having to start at the beginning. Partially update vehicle databases shall be fully functional in the respective systems using the existing information until the latest updated information is fully downloaded and ready for use, at which time the system will make use of the latest updated information. The system shall automatically update any and all vehicles in the WLAN that require updates, and shall record the car number and percentage of the items updated. Cars that leave a yard or shop before completion of the update shall have the upload continue sequentially at any other yard or shop that it next enters, until the percentage of update is fully completed.

16.5 TRAIN LEVEL DIAGNOSTIC SYSTEM (TLDS) The information, capabilities, and functions of the vehicle monitoring and diagnostic system shall be made available via the Gigabit Ethernet based digital train network to other vehicles in the train including future fleets. The Contractor shall submit the functional description, detailed design, interface control documents, and all required development documentation describing the fleet interface for SEPTA’s review and approval. [CDRL 16-008] The vehicle specific definition of faults, alarms, screen and screen layouts, display panels, vehicle status, and vehicle network capabilities shall be transmitted by each vehicle via the digital train network during the consist inauguration process. The transmission of these data items shall enable future fleets to be integrated without modification to the vehicle’s software. It is anticipated that this will be accomplished utilizing a stack of technologies including service discovery protocols such as zeroconf, application protocols such as HTTP, markup languages such as XML or HTML, and scripting languages such as JavaScript. The technologies utilized shall be non-proprietary and fully defined by the Contractor to enable future fleets to add displays to the vehicle monitoring and diagnostic display, as well as allow access to the monitoring, diagnostic, and status information of the vehicle to the displays integrated on future fleets. The digital train network design shall enable the identification and report of a consist layout including the road number, orientation, ordering, and travel direction of vehicles within a consist. The design, interface, and operation of the digital train network shall be submitted for approval by SEPTA. [CDRL 16-009]

16.5.1 Functions The train level diagnostic system shall perform the following basic functions:

a. Collect and store fault and status information from the cars’ CLDSs



b. Provide the user high level status information regarding the car

c. Reply to user requests for information

d. Buffer and pass fault reports to the wayside diagnostic system using the cellular and train to wayside communications system (TS 13.10)

e. Reply to requests from the wayside diagnostic system through the cellular and train to wayside communications system (TS 13.10)

f. Display all the current cab control status information

g. Write selected data to a USB flash memory drive, cellular vehicle WLAN, PTU and wayside diagnostic system (TS 13.10)

16.5.2 Components of TLDS The train level diagnostic system shall consist of a driver display unit (DDU), MDS control unit (MCU), and all appropriate cables, connectors, hardware, and antennas. Time and location data will be available from the GPS in the cab car. The driver display unit shall provide the user interface. In normal operation, it shall display the operating screen showing the locomotive or cab car commands and status of the cars. It shall also be capable of displaying the car status display screen that shall show the status of the individual systems within a selected car. All DDU screens shall be approved by the Engineer. The DDU shall also be capable of displaying the car status and car subsystem information for a particular car in the consist.

16.5.3 Actions for Processing Individual Faults The TLDS shall maintain a most recent location and time triplet consisting of values of the latitude and longitude and the time the reading was obtained from the GPS unit. This triplet of values shall be updated with new readings from the GPS every 0.2 seconds provided that the readings are available and valid. The TLDS shall append this triplet to each fault report as it is received. This information shall identify the train location at the time the fault is identified. Since the fault report also includes the time the fault occurred, the time difference can be determined between the fault occurrence and the location reading. In this manner, conditions such as the failure or lapse of the GPS can be detected. Fault reports shall be processed according to their attributes. These attributes shall determine certain actions to be taken by the train level system.

Section 16 Proposal Copy – Addendum No. 5 (Pagination Change Only) P a g e | 13


16.6 WAYSIDE DIAGNOSTIC SYSTEM (WDS) The wayside diagnostic system shall communicate with the trains through the train to wayside communications system (TS 13.10). The WDS shall collect data from the trains and stores it in one (1) or more industry standard databases. This data will then be accessed through a database manager through the existing SEPTA network as well as from the wayside access point described in TS 13.19. The WDS shall also transfer software, data files, and requests for additional information to the trains.

16.6.1 WDS Requirements All fleet status information shall be integrated into a real time information software system with monitoring capabilities at each yard, the SEPTA Control Center, and one (1) key management location through a common extranet provided by the Contractor. The WDS shall be configurable to different types of data that may be recorded or transferred and allow changes to the frequency of scheduled queries/transmissions to assure flexibility of the system. It shall also provide options for searching, sorting, and/or filtering the information and include export capabilities that allow standard delimited formats for use with external software applications. The software shall allow customizable reports based on fleet, area, and local information along with visual screen and/or audible alerts (blinking data/chime, etc.) for subject matter or values chosen by the user. The final software configuration is subject to the Engineer's review and approval. [CDRL 16-010] The WDS shall, as a minimum, meet the following requirements:

a. Enable the onboard functions for remote services such as onboard remote access to retrieve diagnostic information and process data from cars

b. Access to key process and diagnostics data of the cab car using the Operator’s driver display unit

of a cab car

c. Access to key process and diagnostics data of coupled cars via DTN using the Operator’s driver display unit of a cab car

d. Access to key process and diagnostics data from the locomotive via DTN using the Operator’s

driver display unit in the cab car

e. Implementing the remote access to update passenger information signs

f. Remote access and diagnostic services which allow SEPTA to access the ground station and the car using standard web browser software. The services shall include, but are not limited to:

1) Administration 2) Communication management 3) Maintenance and diagnostics



4) Fleet management 5) Passenger services.

g. Simultaneous interactive sessions to ground station and to the cars:

1) Minimum of two (2) simultaneous interactive sessions to one (1) cab or coupled trailer

cars

2) Minimum of ten (10) simultaneous interactive sessions to the ground station and to the cars

h. Support of wireless media as defined in TS 13.10 (train to wayside communications system) for

communication between MRDS ground station and cab cars

i. Information from trailer cars shall be accessed via DTN before it can be transmitted through the MRDS system

j. It shall be possible to view the following information during an interactive session: all

disturbance information stored in the diagnostic computer on every car that can be reached through the MRDS and DTN.

k. Process data as a list of signals and values with the possibility to select the variables from a

predefined list or on predefined screens. Similar to the IDU, process data from other cars without RDS mobile stations (trailer cars) shall be transmitted via DTN to a car with a mobile station (cab car).

l. Access the video surveillance system.

m. Access the automatic passenger counting system.

16.6.2 WDS General Functions The general functions of the WDS shall be to:

a. Receive diagnostic data including fault reports and snapshot reports and update the WDS databases

b. Upload sign database updates from the WDS

c. Upload announcement files

d. Upload software and other data files for the car systems

e. Pass train wide pager message to the communication system

f. Pass requests for specific information to be transferred from the train



g. Pass the trigger for the train wide public and special messages to the communication system

16.7 BENCH TEST SYSTEM To allow the proper testing, troubleshooting, and calibration of car components on a test bench in a specialized workshop environment, the Contractor shall supply two (2) complete sets of each type of bench type shop test equipment to be delivered by the 20th production car. [CDRL 16-011] Each tester shall be delivered as a completely wired and assembled unit and use shop electrical power and/or compressed air. Each tester shall have a receptacle for connecting to the device under test. Ease of operation to provide various inputs and for measurements of all signals shall be provided. The connections to the device under test, if not contained in the receptacle, shall be from the front of the tester and shall have provisions to neatly store out of the way when not needed. Extensive rear mounted connectors shall be provided to allow interconnections with supplied generic test equipment without a mass of jumper wires being necessary. The test units shall be for use in several SEPTA shop facilities. The Contractor shall coordinate with SEPTA to ensure compatibility with SEPTA's maintenance facilities. The bench test equipment shall make use of known good system components, frequently called Golden Units, which shall be mechanically modified such that they cannot intentionally or unintentionally be removed from the bench test equipment and used in an operating system of the type under test. All Golden Units shall be marked or painted in a distinctive manner such that they can easily be identified as Golden Units. Testers shall be used for the purposes of testing, troubleshooting, and calibrating electric, electronic, mechanical, pneumatic, and electromechanical components of each car subsystem. They shall contain provisions for the rapid testing, troubleshooting, and calibration of each and every type of electronic circuit board including motherboards and backplane wiring, plug in relay, current sensor, speed sensor, transducer, friction brake element, module, pressure switch, etc., used in any car system. Design of the testers shall be such that all inputs can be varied over the full working range of the device. The bench test equipment shall be designed to enable a technician to perform rapid testing, troubleshooting to the discrete component level, repair, and calibration of all equipment. The bench test equipment shall be automated to the extent possible so that a technician need only plug in or hook up a component for testing, identify the board or component, and the automatic test shall begin. This automatic test shall indicate the health of the unit under test. If the unit is acceptable for service or not, this shall include an evaluation of the unit's calibration status. If the unit under test is declared defective or out of calibration, the bench test unit shall allow the technician to troubleshoot the defective unit to determine which component is defective. For example, if a printed circuit board is under test and it is identified as being defective, the bench test unit shall allow the technician to single step through the automatic test to maintain the required inputs to the board for troubleshooting by the technician, which may include probing the circuit board to make various measurements, to determine which component such as a resistor, capacitor, transistor or IC chip is defective. It shall also include a manual mode to allow the application of inputs to the unit under test as selected by the technician for troubleshooting. The Contractor shall supply all hardware and software required to perform these functions for approval by the Engineer. [CDRL 16-012]



Each supplier of circuit boards under this Contract shall supply SEPTA all necessary electrical and physical information needed for fault finding and repair testing of these boards on this shop equipment. The shop testers shall be preprogrammed by the Contractor with algorithms needed to test and diagnose all of the car's circuit boards as determined by the Engineer. Suppliers of circuit boards shall provide the information required to program the shop testers in a format designed for ease of entry and implementation by the Contractor. For each item of shop bench test equipment, one (1) set of all peripheral test equipment required to make the necessary tests and adjustments such as frequency generators, digital voltmeters, oscilloscopes, etc., shall also be provided. They shall be rack mounted adjacent to and rear connected to the specialized equipment such that the end result is neat and tidy. These items shall be premium quality heavy duty devices supplied by Hewlett-Packard, Tektronix, Fluke, or other similar-quality approved supplier. The bench test equipment shall include all support devices required to enable testing of the line replaceable unit without the need to remove additional equipment from the car to support the use of the bench test equipment. Shop bench test equipment shall be provided for, but not limited to, the following:

a. Wheel slide control unit

b. Auxiliary power control units

c. Low voltage power supplies

d. Friction brake control unit

e. All printed circuit boards

f. Plug-in relays

g. Operational safety systems

h. Communications system including radio and communications control units

i. Heating and air conditioning control

j. Passenger communication, signs, and information systems

k. Door system and door system control units

l. Microprocessor, EPROM, EEPROMs, and other electronic device reprogramming for all car systems except as approved by the Engineer

m. Train network equipment

n. Audio frequency induction loop



o. All electronics units not identified above The Contractor shall provide drawings of the test equipment. Each piece of test equipment except for laptop PCs shall be accompanied with the complete diagrams, schematics, maintenance parts’ information, and calibration instructions for the device and its intended use and repair. These shall be supplied as part of the maintenance manuals. The Contractor shall make all modifications to the test equipment specified herein which are required because of changes and modifications made to the vehicle or any of its systems or subsystems to meet the requirements of this Contract. As part of the acceptance testing of the test equipment, the Contractor shall fully demonstrate the function of each type of test equipment being supplied once delivered and setup in the SEPTA shop facility. Bench test equipment shall test every printed circuit board used on the car.

16.8 PORTABLE TEST UNIT (PTU)

16.8.1 General The Contractor shall provide portable test units in the quantities identified in TS 16.8.2 for connection to vehicle systems and subsystems for diagnostic testing and software updating. Each portable test device shall include all required cables, connectors, and associated equipment required to interface with the car. For all systems making use of a microprocessor, the portable test unit shall be a laptop PC computer as described in TS 16.8.2. The laptop PCs shall be standardized to perform testing for all vehicle systems using the one (1) standardized serial or USB or Ethernet cable and connection port throughout all car subsystems. All non-PC portable testers shall be delivered by the 20th production car. All non-PC portable testers shall be rugged and suitable for the shop environment. They shall be supplied with a rugged shock absorbing carrying case. The quality of materials, wiring techniques, durability of face plate identifications, etc., shall be equal in quality and shall, as a minimum, make use of the same methods and materials as required for similar equipment on the cars. Weight shall not exceed 35 pounds. The design shall make use of quick disconnect multi-pin connectors meeting the requirements of TS 17.18.5 to establish all the connections required for utilization of the portable test devices. Power required for operation of the portable test devices shall be supplied by the car's low voltage power supply. The portable test devices shall meet the requirements of TS 17. There shall be no high voltage connections (greater than 150 volts) required between the car and any portable test device. It shall not be necessary to remove, dislodge, dismount, or disconnect any component, card, wire, chassis, terminal, or cable in order to perform periodic calibration or trouble diagnosis while using the portable test devices.



The function of the portable test devices shall be to produce all of the operating commands and other input signals necessary to fully exercise all functions and components of the particular system under test and to measure or indicate all of the signals, responses, and outputs produced by a system by means of indicators such as lamps, meters, oscilloscopes, gauges, etc. It will be acceptable to require a visual check for a system response such as closure of a contactor or a relay or lighting an indicator provided that the responding item of equipment does not require the test device operator to move more than 15 feet to make the required observation. The portable testers will supplement the built in diagnostic features specified herein for particular subsystems and in those cases shall not duplicate the specified features but shall complement them by providing deeper and more comprehensive diagnostic capability. When used according to the instructions supplied by the Contractor, each portable test device shall enable the maintenance technician to fully check out and calibrate the system under test and to locate and replace any removable component which has failed. The portable test device shall not be used to calibrate high current and high voltage devices. Response indicators and input signal generators shall be built into the portable test devices to the maximum extent possible and shall have accuracy commensurate with alignment tolerances specified. Meters shall be digital except where specifically approved to be otherwise. It shall not be permissible to require connection of external apparatus to the portable test devices without the prior written approval of the Engineer. In such cases, terminals shall be provided to allow connection of the required apparatus to the portable test device. However, such apparatus shall be considered part of the portable test device and shall be supplied with it on a one to one basis. Portable test equipment shall be supplied for, but not limited to, the following:

a. Wheel slide b. Auxiliary power systems c. Door control and apparatus directly related (per door basis) d. Trainline circuits e. Operational safety systems f. Public address system/intercommunication system/radio g. Cab make up circuits h. Friction brake system i. Passenger communication, signs, and information systems j. Automatic vehicle location system/GPS k. HVAC



16.8.2 Quantities The Contractor shall furnish to SEPTA four (4) complete sets (including cables, instructions, software, chargers, etc.) of all portable test units required to perform in service testing necessary to verify the proper operation of all car subsystems prior to the delivery of the first production car. Additional sets of all portable test units shall be delivered during production car delivery for a grand total of ten (10) sets. [CDRL 16-013] The diagnostic test equipment shall be designed to isolate problems or defects to a hand tool replaceable component level. All parts used in the construction of diagnostic test equipment shall be of first class quality and shall be designed and sufficiently rugged for the transit car shop environment. The laptop PCs shall be approved by the Engineer, be of the premium quality environmentally sealed type with ruggedized screens and cases and water resistant seals and switches, have the largest screen size available, have prior successful experience in similar railroad or transit car workshops such as SEPTA, and shall use the Microsoft Windows operating system or approved equal. Each laptop PC shall be supplied with a carrying case which includes a communications cable and two (2) extra sets of extended life rechargeable batteries. The laptop PCs generally shall be of the highest performance level systems (processor speed, maximum available RAM, hard drive configuration, video display, WiFi functionality, CD/DVD/RW drive, etc.) available in the commercial marketplace at the time of the pilot car delivery. All equipment shall be registered by the purchaser in the name of SEPTA as directed by the Engineer. All diagnostic connection ports for the laptop PCs throughout the car regardless of subsystem shall make use of the standard IEEE RS-232, USB, or Ethernet connection. The PTU shall also have the ability to perform its functions through the vehicle’s cellular and WiFi. No special cables, connectors, accessories, or wiring shall be required to run or copy diagnostic programs or to copy or upload new software to any piece of equipment on the vehicle including at the CLDS. Portable test units shall be tested on the pilot cars following delivery.

16.8.3 Software Updating of PTU Software It is expected that multiple versions of the same on-board software package will be in service, such as during testing or implementation phases of software releases. PTU software packages shall be designed with forward and backward compatibility with on-board software versions to facilitate maintenance of disparate on-board software versions from a single PTU device. The PTU software shall be included in the on-board software package, such that if a PTU which contains an incompatible or out of date version is connected to a vehicle system, the vehicle system will provide the necessary installation or upgrade files to provide the latest update of the PTU software package. Alternatively, systems may provide standards compliant web-based PTU software to be hosted on-board a particular system such that no client application on the PTU device is required.



16.9 RADIO PROGRAMMING EQUIPMENT Five (5) complete sets of radio programming equipment shall be supplied for setup and maintenance of the car radio transceivers by SEPTA. [CDRL 16-014] Each set of programming equipment shall include a standard laptop PC computer with maximum available RAM memory and a CD-RW drive, 19 inch display, keyboard, printer, radio programming interface and software. Interface adapters shall include two serial communications ports, one printer port, and a keyboard interface. The radio interface unit shall be provided with connectors and cables which are compatible with the radio and the computer. The interface shall be through the standard RS232 interface port. The software shall include the latest version of Microsoft Windows and radio programming application software, and shall be licensed to SEPTA. The radio programming software shall permit adjustment of all programmable radio operational parameters. SEPTA shall be entitled to free supplier upgrades of the radio programming software.

16.10 CONTRACT DELIVERABLE REQUIREMENTS LIST


Reference Paragraph

16-001 Monitoring and Diagnostic System (MDS) Details

All 16.1.1

16-002 Snapshot Data All 16.2.4

16-003 CLDS, WDS, and Laptop PCs Snapshots Readers

All 16.2.5

16-004 Car Level Diagnostic System (CLDS) Details

All 16.4.1

16-005 CLDS and MDU Units Display All 16.4.2

16-006 Real Time Data Retrieval Sample Report

All 16.4.4.3

16-007 USB / PTU Interface Data Software

All 16.4.6

16-008 Train Level Diagnostic System (TLDS) Documents

All 16.5

16-009 Digital Train Network Details All 16.5

16-010 WDS Final Software Configuration

All 16.6.1

16-011 Two (2) Complete Sets of Each Type of Bench Type Shop Test Equipment

All 16.7

16-012 Bench Test Equipment Functions Hardware and Software

All 16.7




Reference Paragraph

16-013 Ten (10) Portable Test Units All 16.8.2

16-014 Five (5) Complete Sets of Radio Programming Equipment

All 16.9

END OF SECTION


Southeastern Pennsylvania Transportation Authority Section 18 Multi-Level Car Technical Specification Testing

18.1.4 Car Acceptance Testing Facilities The Contractor will be allowed by SEPTA to use a portion of the yard tracks and the automotive parking lot at SEPTA's Frazer Electric Locomotive Shop. The Contractor will be responsible for providing office trailers for their use and for arranging for electricity and telephone service at Contractor’s expense. The Contractor shall use this site to prepare cars for acceptance testing and to perform modification or rework required on cars under their control prior to acceptance as well as warranty work. SEPTA will supply at no charge to the Contractor the catenary power, tracks, train crews, and supervisors as required for yard movement of cars. The Contractor shall provide 480 V power during static testing. SEPTA will designate the hours (during off peak and late evening/overnight periods in general) that tracks will be available for testing and assign crews as requested by the Contractor who shall give a minimum of eight (8) days written notice of crew and track requirements to the Engineer and a minimum of 48 hours written notice when canceling or postponing a previously scheduled test. In all cases however, SEPTA’s requirements will have priority. No assurance is given to the Contractor that the requested number of hours per day, time of day, or number of days per week of track time will be available for testing. All car and train operations must take place under the regulations of the FRA, the Northeast Operating Rules Advisory Committee (NORAC) operating rules, and SEPTA’s Railroad Division’s rules.

18.2 QUALIFICATION TESTS Qualification tests shall be organized into three (3) subcategories:

a. Component/subsystems b. Static vehicle c. Dynamic vehicle

Each component shall be wired, piped, and assembled with auxiliaries as necessary to allow for complete component conformance tests which shall be run in conjunction with the first article inspection. Components shall pass each test in acceptable condition. Tests shall be witnessed by the Engineer or an appointed representative at their option.

18.2.1 Component Qualification Testing The following summary table is provided for convenience only and does not in any way reduce the Contractor's responsibility to ensure that all tests required by this Specification are performed in accordance with the requirements listed herein: Testing required for specific materials or applications are listed in TS 17.



b. Tensile Test

Both 1/4 inch 20 UNC threaded inserts shall withstand a tensile load applied perpendicularly to the panel surface of not less than 250 pounds, and both 5/8 inch 11 UNC threaded inserts shall withstand a tensile load applied perpendicularly to the panel surface of not less than 500 pounds. No cracking or structural failure shall occur.

c. Shear Strength Test

Both 1/4 inch 20 threaded inserts shall withstand a shear load applied parallel to the panel surface of not less than 450 pounds. No cracking or structural failure shall occur.

18.2.1.28 Floor Covering Removal Testing The following test shall be conducted on a representative composite flooring panel which shall have the approved rubber floor covering applied using the approved adhesive. During the installation process, all bubbles shall be rolled out and the exposed ends clamped to the panel to assure the highest bond possible. To verify the panel strength, after the adhesive has been totally cured, a tool shall be used to lift a corner edge and separate the floor covering from the panel surface for a minimum depth of three (3) inches for a distance of two (2) feet along both side edges of the panel. This test shall be repeated at an adjacent corner of the panel. In both cases, the top skin of the panel must not delaminate from the panel’s edge when being rolled back from the edge in a "cold roll" fashion. To verify the proposed rubber floor covering removal technique, the floor covering shall be removed at the opposite end of the test panel using the recommended technique. No delamination shall occur. Continue removing any remaining adhesive to simulate preparing the composite panel for new floor covering. No damage shall occur to the panel finish during the adhesive removal process.

18.2.1.29 Floor Panel Fire Resistance A sample of materials representing structural flooring, floor panels, and floor covering along with a representative section of cab structure shall be tested to verify the ability to withstand the requirements of ASTM E119-07 when exposed for 15 30 minutes at up to 1400° F on the material underside. The Contractor shall provide the test procedure, test report, and a DVD with video of the actual testing.

18.2.1.30 Elastomer Tests Test specimens shall be cut from the extruded material and at least one (1) tensile strength and elongation test and one (1) accelerated aging test shall be made on the material used for each car order. If the compound or cure or both are changed during the production of material for one (1) car order, at least one (1) test of each type shall be made for each different batch. When testing the six (6) inch by 0.5 inch ASTM dumbbell type test specimen (or smaller size if the size of the part necessitates) by the methods specified in ASTM Specifications D 318, D 318b, D 3188, D 3190, D 3192, and D 412 for neoprene door edges, the tensile strength shall not be less than 1,700 pounds/square inch and elongation shall not be less than 350 percent. The tensile strength of the neoprene shall not be reduced more than 25 percent when subjected to accelerated aging by the methods specified in ASTM Specification D 573.



Testing of the parking brake shall demonstrate that under worst case load the application of force will hold an AW3 loaded cab car or AW3 trailer car indefinitely on a 3 percent grade. Testing to verify this requirement shall be conducted using new brake shoes and pads.

18.2.2.11 Truck Equalization Tests To verify the equalization provided by the truck design, the lowest weight pilot car shall be tested per APTA-PR-M-S-014-06, Class G, requirements. Exceeding 25% unloading at 2.00” vertical deflection may be accepted at the discretion of the Engineer. The test will be conducted for both raising and lowering wheels of each truck type. The load at all other wheels on the test truck shall be monitored for all wheel displacements regardless of the previous truck service history. To verify the equalization provided by the truck design, the first car shall be operated at track speed through a curve. At no point shall any wheel tread lose contact with the running surface of the rail. In the event that suitable equalization is not attained as indicated by the tests, the truck design shall be corrected, the truck retested at the expense of the Contractor, and all trucks installed under the cars shall be modified to be in accordance with the corrected design.

18.2.2.12 Electromagnetic Compatibility Tests The Contractor shall demonstrate through specified inductive and radiated emissions tests that the train worst case emissions are electromagnetically compatible with all SEPTA and host railroad systems. The Contractor shall consider that meeting the emission limits herein does not guarantee elimination of interference; it is the first level of defining the interface between the vehicles and their intended environment. The Contractor shall be responsible for reducing emissions if necessary to prevent interference and for supplying equipment that is completely compatible with the SEPTA operating environment. These limits may be refined as necessary to ensure compatibility.

18.2.2.12.1 Field Inductive EMI Test The Contractor shall perform a field inductive EMI test as defined in UMTA-MA-06-0153-85-8 to demonstrate compliance with TS 2.6.3.2. The draft procedure shall be available at the CDP. At other frequencies, train emissions shall be limited to acceptable values as approved. The Contractor shall document the inductive test results in a report that shall be submitted to the Engineer for approval. The report shall identify the source of all narrow band emissions from 20 Hz to 25 kHz.

18.2.2.12.2 Field Radiated EMI Test The Contractor shall perform a field radiated EMI test as defined in UMTA-MA-06-0153-85-11 to demonstrate compliance with TS 2.6.3.1. The draft procedure shall be available at the PDR. The test report shall identify the source of all narrow band emissions from 14 kHz to 3000 MHz.



Where appropriate, frequency weighting Wb shall be used instead of Wk. Acceleration data shall be evaluated over the range of 0.5 Hz. to 80 Hz. For seated passengers, the evaluation shall be made over three (3) axes on the seat pan and seat back and no rotational axes at the seat back and seat pan. For standing passengers, the acceleration data shall be evaluated in the three (3) translational axes of the floor and rotation motion about the x-axis as specified in the International Standard ISO 2631-4 (2001). Upper floor roll at frequencies between 0.1 and 4 Hz will be measured, weighted using the Wf factor, and assessed with the overall weighted acceleration in the z-axis per ISO 26302631-1:1997, Section 9.2.2, and also added to the three (3) vehicle axes to produce the total vibration value per ISO 26302631-1:1997, Section 6.5. Representative seat and floor positions shall be proposed by the Contractor and approved by the Engineer. Ride quality shall also be calculated from the same data per ISO 2631-1:1985 for vertical and horizontal directions and submitted to the Engineer for information only. [CDRL 18-012] Ride quality shall be evaluated for AW0 and AW1 load conditions and at all normal vehicle acceleration, deceleration, and speed conditions. As a minimum, the ride quality tests shall consist of operating the cars at speeds of 50, 70, and 110 miles per hour. The tests shall be conducted on class track appropriate for the test speeds. The vehicle shall be evaluated with new wheels on tie and ballast track, welded and jointed rail and turnouts with non-corrugated welded rail. There shall be no dangerous buildup of oscillations or excessive lean, sway, or yaw which could cause the car to violate the dynamic clearance limits. Instrumentation capable of measuring and charting (for permanent record) the magnitude and frequency of the vertical, longitudinal, and lateral shocks expected up to 2.0 g and 150 Hertz shall be provided and operated by the Contractor who shall reduce the raw data for presentation to the Engineer. Sensing units shall be located on the car floor above the intersection of the car’s longitudinal center line and each truck’s transverse center line or other locations as approved by the Engineer. Provision shall be made for recording vertical, lateral, and longitudinal shocks (vibrations) concurrently, speed and distance in 100 feet increments, GPS location, and to allow entry of event markers on recorded data for these tests. The Contractor shall demonstrate compliance with the requirements of 49 CFR 213.333, 49 CFR 213.345, and 49 CFR 238.227 for the truck and carbody as part of the ride quality tests. Hunting shall be evaluated by recording data from lateral sensing accelerometers mounted on the truck frame adjacent to the journal bearing housings. The measurements shall be processed through a filter having a pass band of 0.5 to 10 Hz. There shall be no sustained cyclic oscillations in excess of 0.4 g root mean square (mean removed) for two (2) seconds.



18.4.2 Weight The Contractor shall weigh each car and each truck at the time of shipment in accordance with TS 2.2. The weight of each end of the car shall be provided separately. A weighing device, which provides a permanent printed record of the weight, shall be used, and the weight tickets therefrom shall be submitted to the Engineer and copies thereof included in the car history book as detailed in TS 1.20 and recorded on the car marking plate as defined in TS 4.11.2.2.f.3). The weighing device shall be maintained within an accuracy of 0.2 percent. If the weighing device is electronic, it shall be calibrated at intervals of no more than 60 days. If mechanical, it shall be calibrated immediately prior to weighing the first car and annually thereafter. Any total car weight deviation of greater than 300 poundsone (1) percent from the weight of the pilot cars or other standard weight agreed to by the Contractor and the Engineer must be explained to the satisfaction of the Engineer prior to shipment.

18.4.3 Clearance Checks Each car shall be measured and tested to assure compliance with the clearances specified in TS 2.2. In addition, the centering of the carbody with respect to the trucks shall be measured and corrected if necessary.

18.4.4 Trainline Tests The Contractor shall verify the accuracy of each car's trainline connections by use of a test panel connected to each trainline and indicating that the proper trainline wires are energized when each of the various car controls (master controller, public address system, doors, etc.) is operated. This test shall be performed at both ends of each car. All spare trainline circuits shall also be tested. Where used, data communication trainline signals shall be tested for proper signal characteristics over the line end to end. A quantity of two (2) test panels shall become the property of SEPTA and delivered after trainline testing is completed on the last car. [CDRL 18-020] With traction power disconnected, each controller and reverser shall be tested for the correct sequence of operation in both power and braking by operating both the master controller and reverser and observing the function of the various pieces of apparatus involved and the trainline signal response. Any component that fails to function in the proper sequence shall be repaired, and the test repeated until successful before proceeding with other tests.

18.4.5 Door Tests All doors and their operating systems shall be tested and adjusted on all cars to assure smooth functioning, proper fit, attainment of the specified speed of operation, and proper functioning of controls, obstruction detection signals, cut outs, and interlocks. This shall include all locker doors, access hatches, and equipment boxes. All power operated doors shall be operated a minimum of 100 consecutive successful cycles. Initiation of the cycling shall be from the cab of each cab car and via an Engineer approved means for each trailer car to verify proper operation of the control circuits. Proper tension for opening and closing shall be checked on every door before and after the above test. Any door or door control failure occurring prior to completion of the test shall nullify the test requiring that it be repeated from the beginning following correction and documentation of the failure.


Southeastern Pennsylvania Transportation Authority Section 19 Multi-Level Car Technical Specification Manuals and Training

19.4.9 Organization The training program shall consist of the following courses developed from the technical manual sets for the maintenance, troubleshooting, repair, and testing of the car. These courses shall be developed covering all aspects of the car and its associated systems in a comprehensive manner per the subjects listed below:

a. Initial Operator training course operations and transportation management b. Operator training (car) c. Car equipment introduction – management and supervision d. Car equipment introduction – maintenance personnel e. Theory of operation, troubleshooting, and repair f. Manual familiarity g. Inspection and servicing h. Computer and power electronics theory i.h. Equipment overhaul j.i. Specialized qualified maintenance personnel (QMP) training k.j. Bench test procedures and repairs

19.4.10 Operator Training SEPTA’s operations and transportation managers shall attend the initial Operator training course presented at SEPTA’s training facility by the Contractor. The initial Operator training course shall be at least 24 hours in length. This course shall be in addition to the scheduled Operator training courses. Manual familiarity shall be a complete overview and explanation of the various manuals and their use. This shall be included in the introduction courses. Engineer training shall provide information needed for the operation of the cars including definitions giving nomenclature, function, location and operation of all indicators, controls, trainline functions, components, and subsystems utilized in the operation of the equipment. This shall include preparing the unit for operation and securing the unit from operation. There shall be special emphasis placed upon on the road troubleshooting, emergency procedures, use of all bypass functions and the possible hazards associated with their use, and the operation of the car under unusual conditions such as adverse weather, degraded power supply, or other abnormal factors. This course shall include at least four (4) hours in the cab of an operating car. The Operator training course shall be conducted a minimum of four (4) times.

19.4.11 Maintenance Training The following subjects shall be included in the maintenance portions of the car training.


M3P_B.US/IPM/10.01.11 ©2011 Iron Mountain Incorporated Page 1 of 16

Effective Date

Master Deposit Account Number *Effective Date and Deposit Account Number to be supplied by Iron Mountain only.

Custom Three-Party Master Beneficiary Escrow Service Agreement 1. Introduction

This Escrow Service Agreement (the “Agreement”) is entered into by and between Southeastern Pennsylvania Transportation Authority (“Beneficiary”), <Name of Firm> (collectively, “Contractor”) and by any additional party enrolling as a “Depositor” upon execution of the Depositor Enrollment Form attached as Exhibit E to this Agreement and by Iron Mountain Intellectual Property Management, Inc. (“Iron Mountain”). Beneficiary, Depositor, and Iron Mountain may be referred to individually as a “Party” or collectively as the “Parties” throughout this Agreement. (a) The use of the term services in this Agreement shall refer to Iron Mountain services that facilitate the creation,

management, and enforcement of software or other technology escrow accounts as described in Exhibit A attached hereto (“Services”). A Party shall request Services under this Agreement by submitting a work request for certain Iron Mountain Services (“Work Request”) via written instruction or the online portal maintained at the website located at www.ironmountainconnect.com or other websites owned or controlled by Iron Mountain that are linked to that website (collectively the “Iron Mountain Website”).

(b) The Beneficiary, Contractor, and Depositor have, or will have, entered into a license agreement or other agreement (“License Agreement”) conveying intellectual property rights to the Beneficiary, and the Parties intend this Agreement to be considered as supplementary to such agreement, pursuant to Title 11 United States [Bankruptcy] Code, Section 365(n).

(c) The Parties agree, understand and acknowledge that Contractor is meant to be the Paying Party (as defined below) as set forth in the Exhibit A, and other than the obligation to make payments, Contractor shall have no other rights under the Agreement other than, as solely between Depositor, Beneficiary, and Contractor, Contractor’s obligations related to securing Depositors’ deposits and performing validation in accordance with and as required by SEPTA – <Name of Firm> agreement dated ____________.

2. Depositor Responsibilities and Representations (a) Depositor shall make an initial deposit that is complete and functional of all proprietary technology and other materials

covered under this Agreement (“Deposit Material”) to Iron Mountain within thirty (30) days of the Effective Date on the Depositor Enrollment Form. Depositor may also update Deposit Material from time to time during the Term (as defined below) of this Agreement provided a minimum of one (1) complete and functional copy of Deposit Material is deposited with Iron Mountain at all times. At the time of each deposit or update, Depositor will provide an accurate and complete description of all Deposit Material sent to Iron Mountain using the form attached hereto as Exhibit B.

(b) Depositor represents that it lawfully possesses all Deposit Material provided to Iron Mountain under this Agreement and that any current or future Deposit Material liens or encumbrances will not prohibit, limit, or alter the rights and obligations of Iron Mountain under this Agreement. Depositor warrants that with respect to the Deposit Material, Iron Mountain’s proper administration of this Agreement will not violate the rights of any third parties.

(c) Depositor represents that all Deposit Material is readable and useable in its then current form; if any portion of such Deposit Material is encrypted, the necessary decryption tools and keys to read such material are deposited contemporaneously.

(d) Depositor agrees, upon request by Iron Mountain, in support of Beneficiary’s request for verification Services, to promptly complete and return the Escrow Deposit Questionnaire attached hereto as Exhibit Q. Depositor consents to Iron Mountain’s performance of any level(s) of verification Services described in Exhibit A attached hereto and Depositor further consents to Iron Mountain’s use of a subcontractor to perform verification Services. Any such subcontractor shall be bound by the same confidentiality obligations as Iron Mountain and shall not be a direct competitor to either Depositor or Beneficiary. Iron Mountain shall be responsible for the delivery of Services of any such subcontractor as if Iron Mountain had performed the Services. Depositor represents that all Deposit Material is provided with all rights necessary for Iron Mountain to verify such proprietary technology and materials upon receipt of a Work Request for such Services or agrees to use commercially reasonable efforts to provide Iron Mountain with any necessary use rights or permissions to use materials necessary to perform verification of the Deposit Material. Depositor agrees to reasonably cooperate with Iron Mountain by providing reasonable access to its technical personnel for verification Services whenever reasonably necessary. If a verification service is not required by the SEPTA-<Name of Firm> agreement dated _________

SAMPLE ESCROW ONLY!

http://www.ironmountainconnect.com/


and such optional verification services as described in Exhibit A and are requested by the Beneficiary (“Optional Verification Services”), the incurred fees for this testing will be paid by the Beneficiary.

(e) Notwithstanding the foregoing, Iron Mountain shall invoice the Paying Party (as defined below) as designated in the Exhibit A, subsequent Work Request, or SOW, as applicable.

(f) As solely between Depositor, Beneficiary, and Contractor, Depositor agrees to the following verification test, which may only be performed before any materials to be tested by Contractor are deposited by Depositor with Iron Mountain pursuant to Section 2(a) above: Contractor, as required by the SEPTA – <Name of Firm> Agreement, shall conduct software verification test on all material to be deposited. These tests shall verify that all software and tools will be escrowed to maintain all software needed for SLV cars through their end of life. Beneficiary intends to witness the following deposit tests:

(i) Compile by recreating the depositors development environment (ii) Binary comparison to ensure a full match with files currently in use by the beneficiary (iii) Functional test to confirm that the built applications work properly when installed

Following the verification test, Beneficiary has the right to witness Depositor submit the tested materials for deposit in accordance with Section 2(a) above.

3. Beneficiary Responsibilities and Representations (a) Beneficiary acknowledges that, as between Iron Mountain and Beneficiary, Iron Mountain’s obligation is to maintain the

Deposit Material as delivered by the Depositor and that, other than Iron Mountain’s inspection of the Deposit Material (as described in Section 4) and the performance of any of the optional verification Services listed in Exhibit A, Iron Mountain has no other obligation regarding the completeness, accuracy, or functionality of the Deposit Material.

(b) Beneficiary may submit a verification Work Request to Iron Mountain for one or more of the Services defined in Exhibit A attached hereto and consents to Iron Mountain’s use of a subcontractor if needed to provide such Services. Beneficiary warrants that Iron Mountain’s use of any materials supplied by Beneficiary to perform the verification Services described in Exhibit A is lawful and does not violate the rights of any third parties.

4. Iron Mountain Responsibilities and Representations (a) Iron Mountain agrees to use commercially reasonable efforts to provide the Services requested by Authorized Person(s)

(as identified in the “Authorized Person/Notices Table” below) representing the Depositor or Beneficiary in a Work Request. Iron Mountain may reject a Work Request (in whole or in part) that does not contain all required information at any time upon notification to the Party originating the Work Request.

(b) Iron Mountain will conduct a visual inspection upon receipt of any Deposit Material and associated Exhibit B. If Iron Mountain determines that the Deposit Material does not match the description provided by Depositor represented in Exhibit B, Iron Mountain will notify Depositor of such discrepancy.

(c) Iron Mountain will provide notice to the Beneficiary of all Deposit Material that is accepted and deposited into the escrow account under this Agreement.

(d) Iron Mountain will follow the provisions of Exhibit C attached hereto in administering the release of Deposit Material. (e) Iron Mountain will work with Beneficiary or Depositor upon submission of any verification Work Request for Deposit

Material covered under this Agreement to either fulfill any standard verification Services Work Request or develop a custom Statement of Work (“SOW”). Iron Mountain and the requesting Party will mutually agree in writing to an SOW on terms and conditions that include but are not limited to: description of Deposit Material to be tested; description of verification testing; requesting Party responsibilities; Iron Mountain responsibilities; Service Fees; invoice payment instructions; designation of the paying Party; designation of authorized SOW representatives for both the requesting Party and Iron Mountain with name and contact information; and description of any final deliverables prior to the start of any fulfillment activity. After the start of fulfillment activity, each SOW may only be amended or modified in writing with the mutual agreement of both Parties, in accordance with the change control procedures set forth therein. Depositor shall be a necessary Party to the SOW governing the Services. Contractor shall be a necessary Party to the SOW governing the Services if Contractor is meant to be the paying Party for such Services.

(f) Iron Mountain will hold and protect Deposit Material in physical or electronic vaults that are either owned or under the control of Iron Mountain, unless otherwise agreed to by all the Parties.

(g) Upon receipt of written instructions by both Depositor and Beneficiary, Iron Mountain will permit the replacement or removal of previously submitted Deposit Material. The Party making such request shall be responsible for getting the other Party to approve the joint instructions. Any Deposit Material that is removed from the deposit account will be either returned to Depositor or destroyed in accordance with Depositor’s written instructions.

(h) Should transport of Deposit Material be necessary in order for Iron Mountain to perform Services requested by Depositor or Beneficiary under this Agreement, Iron Mountain will use a commercially recognized overnight carrier such as Federal Express or United Parcel Service. Iron Mountain will not be responsible for any loss or destruction of, or damage to, such Deposit Material while in the custody of the common carrier.

5. Payment


The Party responsible for payment designated in Exhibit A (“Paying Party”) shall pay to Iron Mountain all fees as set forth in the Work Request (“Service Fees”). All one-time and annual fees for the Initial Term (as defined below) require prepayment and shall be made in advance. All Service Fees are due within thirty (30) calendar days from the date of invoice in U.S. currency and are non-refundable. Iron Mountain may update Service Fees with a ninety (90) calendar day written notice to the Paying Party during the Term of this Agreement (as defined below). The Paying Party is liable for any taxes (other than Iron Mountain income taxes) related specifically to Services purchased under this Agreement or shall present to Iron Mountain an exemption certificate acceptable to the taxing authorities. Applicable taxes shall be billed as a separate item on the invoice. Any Service Fees not collected by Iron Mountain when due shall bear interest until paid at a rate of one percent (1%) per month (12% per annum) or the maximum rate permitted by law, whichever is less. Notwithstanding the non-performance of any obligations of Depositor to deliver Deposit Material under the License Agreement or this Agreement, Iron Mountain is entitled to be paid all Service Fees that accrue during the Term of this Agreement.

6. Term and Termination (a) The term of this Agreement is for a period of ten (10) years from the Effective Date (“Initial Term”) and will automatically

renew for additional one (1) year terms (“Renewal Term”) (collectively the “Term”). This Agreement shall continue in full force and effect until one of the following events occur: (i) Depositor and Beneficiary provide Iron Mountain with sixty (60) days’ prior written joint notice of their intent to terminate this Agreement; (ii) Beneficiary provides Iron Mountain and Depositor with sixty (60) days’ prior written notice of its intent to terminate this Agreement; (iii) the Agreement terminates under another provision of this Agreement; or (iv) any time after the first year of the Initial Term, Iron Mountain provides sixty (60) days’ prior written notice to the Depositor and Beneficiary of Iron Mountain’s intent to terminate this Agreement. Effective Date and Deposit Account Number to be supplied by Iron Mountain only. The Effective Date supplied by Iron Mountain and specified above shall be the date Iron Mountain sets up the escrow account.

(b) Unless the express terms of this Agreement provide otherwise, upon termination of this Agreement, Iron Mountain shall return the Deposit Material to the Depositor. Unless otherwise directed by Depositor, Iron Mountain will use a commercially recognized overnight common carrier such as Federal Express or United Parcel Service to return the Deposit Material to the Depositor. Iron Mountain will not be responsible for any loss or destruction of, or damage to, such Deposit Material while in the custody of the common carrier. If reasonable attempts to return the Deposit Material to Depositor are unsuccessful, Iron Mountain shall destroy the Deposit Material.

(c) In the event of the nonpayment of undisputed Service Fees owed to Iron Mountain, Iron Mountain shall provide all Parties to this Agreement with written notice of Iron Mountain’s intent to terminate this Agreement. Any Party to this Agreement shall have the right to make the payment to Iron Mountain to cure the default. If the past due payment is not received in full by Iron Mountain within thirty (30) calendar days of the date of such written notice, then Iron Mountain shall have the right to terminate this Agreement at any time thereafter by sending written notice to all Parties. Iron Mountain shall have no obligation to perform the Services under this Agreement (except those obligations that survive termination of this Agreement, which includes the confidentiality obligations in Section 9) so long as any undisputed Service Fees due Iron Mountain under this Agreement remain unpaid.

7. Infringement Indemnification Anything in this Agreement to the contrary notwithstanding, Depositor at its own expense shall defend and hold Iron Mountain fully harmless against any claim or action asserted against Iron Mountain (specifically including costs and reasonable attorneys’ fees associated with any such claim or action) to the extent such claim or action is based on an assertion that Iron Mountain’s proper administration of this Agreement infringes any patent, copyright, license or other proprietary right of any third party. When Iron Mountain has notice of a claim or action, it shall promptly notify Depositor in writing. At its option, Depositor may elect to control the defense of such claim or action and may elect to enter into a settlement agreement, provided that no such settlement or defense shall include any admission or implication of wrongdoing on the part of Iron Mountain without Iron Mountain’s prior written consent, which consent shall not be unreasonably delayed or withheld. Iron Mountain shall have the right to employ separate counsel and participate in the defense of any claim at its own expense.

8. Warranties (a) IRON MOUNTAIN WARRANTS ANY AND ALL SERVICES PROVIDED HEREUNDER SHALL BE PERFORMED IN A WORKMANLIKE

MANNER CONSISTENT WITH THE MEASURES IRON MOUNTAIN TAKES TO PROTECT ITS OWN INFORMATION OF A SIMILAR NATURE, BUT IN NO CASE LESS THAN A REASONABLE LEVEL OF CARE. EXCEPT AS SPECIFIED IN THIS SECTION, ALL CONDITIONS, REPRESENTATIONS, AND WARRANTIES INCLUDING, WITHOUT LIMITATION, ANY IMPLIED WARRANTIES OR CONDITIONS OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, SATISFACTORY QUALITY, OR ARISING FROM A COURSE OF DEALING, USAGE, OR TRADE PRACTICE, ARE HEREBY EXCLUDED TO THE EXTENT ALLOWED BY APPLICABLE LAW. AN AGGRIEVED PARTY MUST NOTIFY IRON MOUNTAIN PROMPTLY UPON LEARNING OF ANY CLAIMED BREACH OF ANY WARRANTY AND, TO THE EXTENT ALLOWED BY APPLICABLE LAW, SUCH PARTY’S REMEDY FOR BREACH OF THIS WARRANTY SHALL BE SUBJECT TO THE LIMITATION OF LIABILITY AND CONSEQUENTIAL DAMAGES WAIVER IN THIS


AGREEMENT. THIS DISCLAIMER AND EXCLUSION SHALL APPLY EVEN IF THE EXPRESS WARRANTY AND LIMITED REMEDY SET FORTH ABOVE FAILS OF ITS ESSENTIAL PURPOSE.

(b) Depositor warrants that all Depositor information provided hereunder is accurate and reliable and undertakes to promptly correct and update such Depositor information during the Term of this Agreement.

(c) Beneficiary warrants that all Beneficiary information provided hereunder is accurate and reliable and undertakes to promptly correct and update such Beneficiary information during the Term of this Agreement.

9. Confidential Information Iron Mountain shall have the obligation to implement and maintain safeguards designed to protect the confidentiality of the Deposit Material. Except as provided in this Agreement Iron Mountain shall not use or disclose the Deposit Material. Iron Mountain shall not disclose the terms of this Agreement to any third party other than its financial, technical, or legal advisors, or its administrative support service providers. Any such third party shall be bound by the same confidentiality obligations as Iron Mountain. If Iron Mountain receives a subpoena or any other order from a court or other judicial tribunal pertaining to the disclosure or release of the Deposit Material, Iron Mountain will promptly notify the Parties to this Agreement unless prohibited by law. After notifying the Parties, Iron Mountain may comply in good faith with such order. It shall be the responsibility of Depositor or Beneficiary to challenge any such order; provided, however, that Iron Mountain does not waive its rights to present its position with respect to any such order. Iron Mountain will cooperate with the Depositor or Beneficiary, as applicable, to support efforts to quash or limit any subpoena, at such Party’s expense. Any Party requesting additional assistance shall pay Iron Mountain’s standard charges or as quoted upon submission of a detailed request.

10. Limitation of Liability EXCEPT FOR: (I) LIABILITY FOR DEATH OR BODILY INJURY; (II) PROVEN GROSS NEGLIGENCE OR WILLFUL MISCONDUCT; OR (III) THE INFRINGEMENT INDEMNIFICATION OBLIGATIONS OF SECTION 7, ALL OTHER LIABILITY RELATED TO THIS AGREEMENT, IF ANY, WHETHER ARISING IN CONTRACT, TORT (INCLUDING NEGLIGENCE) OR OTHERWISE, OF ANY PARTY TO THIS AGREEMENT SHALL BE LIMITED TO THE AMOUNT EQUAL TO ONE YEAR OF FEES PAID TO IRON MOUNTAIN UNDER THIS AGREEMENT. IF CLAIM OR LOSS IS MADE IN RELATION TO A SPECIFIC DEPOSIT OR DEPOSITS, SUCH LIABILITY SHALL BE LIMITED TO THE FEES RELATED SPECIFICALLY TO SUCH DEPOSITS.

11. Consequential Damages Waiver IN NO EVENT SHALL ANY PARTY TO THIS AGREEMENT BE LIABLE TO ANOTHER PARTY FOR ANY INCIDENTAL, SPECIAL, PUNITIVE OR CONSEQUENTIAL DAMAGES, LOST PROFITS, ANY COSTS OR EXPENSES FOR THE PROCUREMENT OF SUBSTITUTE SERVICES (EXCLUDING SUBSTITUTE ESCROW SERVICES), OR ANY OTHER INDIRECT DAMAGES, WHETHER ARISING IN CONTRACT, TORT (INCLUDING NEGLIGENCE) OR OTHERWISE EVEN IF THE POSSIBILITY THEREOF MAY BE KNOWN IN ADVANCE TO ONE OR MORE PARTIES.

12. General (a) Incorporation of Work Requests. All valid Depositor and Beneficiary Work Requests are incorporated into this Agreement. (b) Purchase Orders. In the event that the Paying Party issues a purchase order or other instrument used to pay Service Fees

to Iron Mountain, any terms and conditions set forth in the purchase order which constitute terms and conditions which are in addition to those set forth in this Agreement or which establish conflicting terms and conditions to those set forth in this Agreement are expressly rejected by Iron Mountain.

(c) Right to Make Copies. Iron Mountain shall have the right to make copies of all Deposit Material as reasonably necessary to perform the Services. Iron Mountain shall copy all copyright, nondisclosure, and other proprietary notices and titles contained on Deposit Material onto any copies made by Iron Mountain. Any copying expenses incurred by Iron Mountain as a result of a Work Request to copy will be borne by the Party requesting the copies. Iron Mountain may request Depositor’s reasonable cooperation in promptly copying Deposit Material in order for Iron Mountain to perform this Agreement.

(d) Choice of Law. The validity, interpretation, and performance of this Agreement shall be controlled by and construed under the laws of the Commonwealth of Pennsylvania, USA, as if performed wholly within the state and without giving effect to the principles of conflicts of laws.

(e) Authorized Persons. Depositor and Beneficiary must each authorize and designate one person whose actions will legally bind such Party (“Authorized Person” who shall be identified in the Authorized Person/Notices Table of this Agreement or such Party’s legal representative) and who may manage the Iron Mountain escrow account through the Iron Mountain website or written instruction. The Authorized Person for each the Depositor and Beneficiary will maintain the accuracy of their name and contact information provided to Iron Mountain during the Term of this Agreement.

(f) Right to Rely on Instructions. With respect to release of Deposit Material or the destruction of Deposit Material, Iron Mountain shall rely on instructions from a Party’s Authorized Person. In all other cases, Iron Mountain may act in reliance upon any instruction, instrument, or signature reasonably believed by Iron Mountain to be genuine and from an Authorized Person, officer, or other employee of a Party. Iron Mountain may assume that such representative of a Party to this Agreement who gives any written notice, request, or instruction has the authority to do so. Iron Mountain will not be required to inquire into the truth of, or evaluate the merit of, any statement or representation contained in any notice


or document reasonably believed to be from such representative. Iron Mountain shall not be responsible for failure to act as a result of causes beyond the reasonable control of Iron Mountain.

(g) Force Majeure. No Party shall be liable for any delay or failure in performance due to events outside the defaulting Party’s reasonable control, including without limitation acts of God, earthquake, labor disputes, shortages of supplies, riots, war, acts of terrorism, fire, epidemics, or delays of common carriers or other circumstances beyond its reasonable control. The obligations and rights of the excused Party shall be extended on a day-to-day basis for the time period equal to the period of the excusable delay.

(h) Notices. All notices regarding Exhibit C (Release of Deposit Material) shall be sent by commercial express mail or other commercially appropriate means that provide prompt delivery and require proof of delivery. All other correspondence, including invoices, payments, and other documents and communications, may be sent electronically or via regular mail. The Parties shall have the right to rely on the last known address of the other Parties. Any correctly addressed notice to the last known address of the other Parties that is relied on herein, that is refused, unclaimed, or undeliverable shall be deemed effective as of the first date that said notice was refused, unclaimed, or deemed undeliverable by electronic mail, the postal authorities, or through messenger or commercial express delivery service.

(i) No Waiver. No waiver of any right under this Agreement by any Party shall constitute a subsequent waiver of that or any other right under this Agreement.

(j) Assignment. No assignment of this Agreement by Depositor or Beneficiary or any rights or obligations of Depositor or Beneficiary under this Agreement is permitted without the written consent of Iron Mountain, which shall not be unreasonably withheld or delayed. Iron Mountain shall have no obligation in performing this Agreement to recognize any successor or assign of Depositor or Beneficiary unless Iron Mountain receives clear, authoritative and conclusive written evidence of the change of Parties.

(k) Severability. In the event any of the terms of this Agreement become or are declared to be illegal or otherwise unenforceable by any court of competent jurisdiction, such term(s) shall be null and void and shall be deemed deleted from this Agreement. All remaining terms of this Agreement shall remain in full force and effect. If this paragraph becomes applicable and, as a result, the value of this Agreement is materially impaired for any Party, as determined by such Party in its sole discretion, then the affected Party may terminate this Agreement by written notice to the other Parties.

(l) Independent Contractor Relationship. Depositor and Beneficiary understand, acknowledge, and agree that Iron Mountain’s relationship with Depositor and Beneficiary will be that of an independent contractor and that nothing in this Agreement is intended to or should be construed to create a partnership, joint venture, or employment relationship.

(m) Attorneys' Fees. Any costs and fees incurred by Iron Mountain in the performance of obligations imposed upon Iron Mountain solely by virtue of its role as escrow service provider including, without limitation, compliance with subpoenas, court orders, and discovery requests shall, unless adjudged otherwise, be divided equally and paid by Depositor and Beneficiary. In any suit or proceeding between the Parties relating to this Agreement, the prevailing Party will have the right to recover from the other(s) its costs and reasonable fees and expenses of attorneys, accountants, and other professionals incurred in connection with the suit or proceeding, including costs, fees and expenses upon appeal, separately from and in addition to any other amount included in such judgment. This provision is intended to be severable from the other provisions of this Agreement, and shall survive and not be merged into any such judgment.

(n) No Agency. No Party has the right or authority to, and shall not, assume or create any obligation of any nature whatsoever on behalf of the other Parties or bind the other Parties in any respect whatsoever.

(o) Disputes. Any dispute, difference or question relating to or arising among any of the Parties concerning the construction, meaning, effect or implementation of this Agreement or the rights or obligations of any Party hereof will be submitted to, and settled by a mediator chosen by the Beneficiary and Depositor. If however, Depositor or Beneficiary refuse to submit to mediation, Iron Mountain may submit the matter to any court of competent jurisdiction for an interpleader or similar action. Any costs of mediation incurred by any Party hereto, including reasonable attorney’s fees and costs, shall be paid in accordance with the mediation award.

(p) Regulations. Depositor and Beneficiary are responsible for and warrant, to the extent of their individual actions or omissions, compliance with all applicable laws, rules and regulations, including but not limited to: customs laws; import; export and re-export laws; and government regulations of any country from or to which the Deposit Material may be delivered in accordance with the provisions of this Agreement. With respect to Deposit Material containing personal information and data, Depositor agrees to (i) procure all necessary consents in relation to personal information and data; and (ii) otherwise comply with all applicable privacy and data protection laws as they relate to the subject matter of this Agreement. Notwithstanding anything in this Agreement to the contrary, if an applicable law or regulation exists or should be enacted which is contrary to the obligations imposed upon Iron Mountain hereunder, and results in the activities contemplated hereunder unlawful, Depositor and/or Beneficiary will notify Iron Mountain and Iron Mountain will be relieved of its obligations hereunder unless and until such time as such activity is permitted.


(q) No Third Party Rights. This Agreement is made solely for the benefit of the Parties to this Agreement and their respective permitted successors and assigns, and no other person or entity shall have or acquire any right by virtue of this Agreement unless otherwise agreed to by all the Parties hereto.

(r) Entire Agreement. The Parties agree that this Agreement, which includes all the Exhibits attached hereto and all valid Work Requests and SOWs submitted by the Parties, is the complete agreement between the Parties hereto concerning the subject matter of this Agreement and replaces any prior or contemporaneous oral or written communications between the Parties. There are no conditions, understandings, agreements, representations, or warranties, expressed or implied, which are not specified herein. Each of the Parties herein represents and warrants that the execution, delivery, and performance of this Agreement has been duly authorized and signed by a person who meets statutory or other binding approval to sign on behalf of its business organization as named in this Agreement. This Agreement may only be modified by mutual written agreement of all the Parties.

(s) Counterparts. This Agreement may be executed in any number of counterparts, each of which shall be an original, but all of which together shall constitute one instrument.

(t) Survival. Sections 6 (Term and Termination), 7 (Infringement Indemnification), 8 (Warranties), 9 (Confidential Information), 10 (Limitation of Liability), 11 (Consequential Damages Waiver), and 12 (General) of this Agreement shall survive termination of this Agreement or any Exhibit attached hereto.

IN WITNESS WHEREOF, the Parties have duly executed this Agreement as of the Effective Date by their authorized representatives:

BENEFICIARY IRON MOUNTAIN INTELLECTUAL PROPERTY MANAGEMENT, INC.

Signature Signature

Print Name Print Name Title Title Date Date

Email Address Email Address [email protected]

The undersigned Contractor hereby agrees to make payments on behalf of the above identified Beneficiary including but not limited to additional enrollments governed by the Agreement. Other than the right to make payments, Contractor shall have no other rights under the Agreement, other than, as solely between Depositor, Beneficiary, and Contractor, Contractor’s obligations related to securing Depositors’ deposits and performing validation in accordance with and as required by SEPTA – UTS agreement dated June 6, 2006.

CONTRACTOR

Signature

Print Name Title Date

Email Address

(balance of this page left intentionally blank – Notice and Billing Tables follow)


Provide the name and contact information of the Authorized Person under this Agreement. All notices will be sent to the individual at the address set forth below.

Beneficiary Authorized Person/Notices Table (Required information)

Print Name Title

Email Address Street Address

Province/City/State Postal/Zip Code Phone Number

Fax Number Provide the name and contact information of the Billing Contact under this Agreement. All Invoices will be sent to this individual at the address set forth below.

Billing Contact Information Table (Required information)

Billing Contact Information Table (Required information)

CONTRACTOR BENEFICIARY

Company Name Company Name

Print Name Print Name

Title Title

Email Address Email Address

Street Address Street Address Province/City/State Province/City/State

Postal/Zip Code Postal/Zip Code Phone Number Phone Number

Fax Number Fax Number IRON MOUNTAIN INTELLECTUAL PROPERTY MANAGEMENT, INC.

All notices should be sent to [email protected] OR Iron Mountain Intellectual Property Management, Inc., Attn: Client Services, 2100 Norcross Parkway, Suite 150, Norcross, Georgia, 30071, USA. Telephone: 800-875-5669. Facsimile: 770-239-9201

(balance of this page left intentionally blank – EXHIBITS follow)

mailto:[email protected]


Exhibit A Escrow Service Work Request

Master Deposit Account Number

Service Check box(es) to order service

Service Description - Three-Party Master Beneficiary Escrow Service Agreement All services are listed below. Services in shaded tables are required for every new escrow account set up. Some services may not be available under the Agreement.

One-Time Fees

Annual Fees

Paying Party Check box to identify the Paying Party

Setup Fee

Beneficiary Fee

Iron Mountain will setup a new escrow deposit account using a standard escrow agreement. Custom contracts are subject to the Custom Contract Fee noted below. Iron Mountain will fulfill a Work Request to add a Beneficiary to an escrow deposit account and manage access rights associated with the account. Beneficiary will have access to Iron Mountain Connect™ Escrow Management Center for secure online account management, submission of electronic Work Requests, and communication of status. A Client Manager will be assigned to each deposit account and provide training upon request to facilitate secure Internet access to the account and ensure fulfillment of Work Requests.

$2550

$800

Depositor Beneficiary Contractor

Depositor Beneficiary* Contractor**

*For Renewal Term(s) only **For Initial Terms only

Deposit Account Fee

Iron Mountain will set up one deposit account to manage and administrate access to Deposit Material that will be secured in a controlled storage environment. Furthermore, Iron Mountain will provide account services that include unlimited deposits, electronic vaulting, access to Iron Mountain Connect™ Escrow Management Center for secure online account management, submission of electronic Work Requests, and communication of status. A Client Manager will be assigned to each deposit account and provide training upon request to facilitate secure Internet access to the account and ensure fulfillment of Work Requests. An oversize fee of $200 USD per 1.2 cubic foot will be charged for deposits that exceed 2.4 cubic feet.

$1,050 Depositor Beneficiary Contractor

Add Additional Deposit Account and Depositor Enrollment

Iron Mountain will set up one additional deposit account to manage and administrate access to new Deposit Material that will be securely stored in controlled media vaults in accordance with the service description above and the Agreement that governs the Initial Deposit Account. Iron Mountain will fulfill a Work Request to add a new Depositor to an escrow deposit account in accordance with the service description above and the Agreement.

$1,850 Depositor Beneficiary* Contractor**


Add File List Report

Iron Mountain will fulfill a Work Request to provide a File List Test, which includes a deposit media readability analysis, a file listing, a file classification table, virus scan outputs, and assurance of completed deposit questionnaire. A final report will be sent to the Paying Party regarding the Deposit Material to ensure consistency between Depositor’s representations (i.e., Exhibit B and Deposit Questionnaire) and stored Deposit Material. Deposit must be provided on CD, DVD-R, or deposited by sFTP.

Based on SOW

N/A Depositor Beneficiary Contractor

Add Level 1 - Inventory and Analysis Test

Iron Mountain will perform an Inventory Test on the initial deposit, which includes Analyzing deposit media readability, virus scanning, developing file classification tables, identifying the presence/absence of build instructions, and identifying materials required to recreate the Depositor's software development environment. Output includes a report which will include build instructions, file classification tables and listings. In addition, the report will list required software development materials, including, without limitation, required source code languages and compilers, third-party software, libraries, operating systems, and hardware, as well as Iron Mountain’s analysis of the deposit.

Based on SOW


Add Level 2 – Deposit Compile Test

Iron Mountain will fulfill a Work Request to perform a Deposit Compile Test, which includes the outputs of the File Listing Report and the Level 1 - Inventory Test as described above plus recreating the Depositor’s software development environment, compiling source files and modules, linking libraries and recreating executable code, pass/fail determination, creation of comprehensive build instructions with a final report sent to the Paying Party regarding the Deposit Material. The Paying Party and Iron Mountain will agree on a custom Statement of Work (“SOW”) prior to the start of fulfillment.

Based on SOW


Add Level 3 - Binary Comparison

Iron Mountain will fulfill a Work Request to perform one Deposit Usability Test - Binary Comparison which includes a comparison of the files built from the Deposit Compile Test to the actual licensed technology on the Beneficiary’s site to ensure a full match in file size, with a final report sent to the Requesting Party regarding the Deposit Material. The Paying Party and Iron Mountain will agree on a custom Statement of Work (“SOW”) prior to the start of fulfillment.

Based on SOW


Add Level 4 - Full Usability

Iron Mountain will fulfill a Work Request to perform one Deposit Usability Test - Full Usability which includes a confirmation that the built applications work properly when installed, based on pre-determined test scripts provided by the Parties. A final report will be sent to the Paying Party regarding the Deposit Material. The Paying Party and Iron Mountain will agree on a custom Statement of Work (“SOW”) prior to the start of fulfillment.

Based on SOW



Add Deposit

Tracking Notification

At least semi-annually, Iron Mountain will send an update reminder to Depositor. Thereafter, Beneficiary will be notified of last deposit.

N/A $450 Depositor Beneficiary* Contractor**


Add Dual/Remote Vaulting

Iron Mountain will fulfill a Work Request to store and manage the deposit materials in a remote location, designated by the client, outside of Iron Mountain’s primary escrow vaulting location or to store and manage a redundant copy of the deposit materials in one (1) additional location. All Deposit Materials (original and copy) must be provided by the Depositor.

N/A $500 Depositor Beneficiary Contractor

Release Deposit Material

Iron Mountain will process a Work Request to release Deposit Material by following the specific procedures defined in Exhibit C “Release of Deposit Material” the Escrow Service Agreement.

$500 N/A Depositor Beneficiary Contractor

Add Custom Services

Iron Mountain will provide its Escrow Expert consulting based on a custom SOW mutually agreed to by all Parties.

$200/hour N/A Depositor Beneficiary Contractor

Custom Contract Fee

Custom contracts are subject to the Custom Contract Fee, which covers the review and processing of custom or modified contracts.

$750 N/A Depositor Beneficiary Contractor


Exhibit B Deposit Material Description

Company Name Deposit Account Number

Deposit Name Deposit Version (Deposit Name will appear in account history reports) Deposit Media (Please Label All Media with the Deposit Name Provided Above)

Media Type Quantity Media Type Quantity CD-ROM / DVD 3.5” Floppy Disk DLT Tape Documentation DAT Tape Hard Drive / CPU

Circuit Board

Total Size of Transmission (specify in bytes)

# of Files # of Folders

Electronic Deposit Other (please describe below):

Deposit Encryption (Please check either “Yes” or “No” below and complete as appropriate) Is the media or are any of the files encrypted? Yes or No If yes, please include any passwords and decryption tools description below. Please also deposit all necessary encryption software with this deposit.

Encryption tool name Version Hardware required Software required Other required information

Deposit Certification (Please check the box below to Certify and Provide your Contact Information)

I certify for Depositor that the above described Deposit Material has been transmitted electronically or sent via commercial express mail carrier to Iron Mountain at the address below.

Iron Mountain has inspected and accepted the above described Deposit Material either electronically or physically. Iron Mountain will notify Depositor of any discrepancies.

Name Name Date Date

Email Address Telephone Number

Fax Number Note: If Depositor is physically sending Deposit Material to Iron Mountain, please label all media and mail all Deposit Material with the appropriate Exhibit B via commercial express carrier to the following address: Iron Mountain Intellectual Property Management, Inc. Attn: Vault Administration 2100 Norcross Parkway, Suite 150 Norcross, GA 30071 Telephone: 800-875-5669 Facsimile: 770-239-9201


Exhibit C Release of Deposit Material

Master Deposit Account Number Iron Mountain will use the following procedures to process any Beneficiary Work Request to release Deposit Material. All notices under this Exhibit C shall be sent pursuant to the terms of Section 12(h) Notices.

1. Release Conditions. Depositor and Beneficiary agree that a Work Request for the release of the Deposit Material shall be based solely on one or more of the following conditions (defined as “Release Conditions”):

(i) Depositor’s breach of the license agreement or other agreement between the Depositor and Beneficiary regulating the use of the Deposit Material covered under this Agreement; or

(ii) Failure of the Depositor to function as a going concern or operate in the ordinary course; or (iii) Depositor is subject to voluntary or involuntary bankruptcy; or (iv) Depositor’s failure to support for thirty (30) days; or (v) Depositor’s failure to update the source code deposit for a period of twenty-four (24) or more months.

2. Release Work Request. Beneficiary may submit a Work Request to Iron Mountain to release the Deposit Material covered under this Agreement. Iron Mountain will send a written notice of this Beneficiary Work Request within five (5) business days to the Depositor’s Authorized Person.

3. Contrary Instructions. From the date Iron Mountain mails written notice of the Beneficiary Work Request to release Deposit Material covered under this Agreement, Depositor Authorized Person shall have ten (10) business days to deliver to Iron Mountain contrary instructions. Contrary instructions shall mean the written representation by Depositor that a Release Condition has not occurred or has been cured (“Contrary Instructions”). Contrary Instructions shall be on company letterhead and signed by a Depositor Authorized Person. Upon receipt of Contrary Instructions, Iron Mountain shall promptly send a copy to Beneficiary’s Authorized Person. Additionally, Iron Mountain shall notify both Depositor and Beneficiary Authorized Persons that there is a dispute to be resolved pursuant to the Disputes provisions of this Agreement. Iron Mountain will continue to store Deposit Material without release pending (i) joint instructions from Depositor and Beneficiary with instructions to release the Deposit Material; or (ii) dispute resolution pursuant to the Disputes provisions of this Agreement; or (iii) withdrawal of Contrary Instructions from Depositor’s Authorized Person or legal representative; or (iv) receipt of an order from a court of competent jurisdiction.

4. Release of Deposit Material. If Iron Mountain does not receive timely Contrary Instructions from a Depositor Authorized Person, Iron Mountain is authorized to release Deposit Material to the Beneficiary. Iron Mountain is entitled to receive any undisputed, unpaid Service Fees due Iron Mountain from the Parties before fulfilling the Work Request to release Deposit Material covered under this Agreement. Any Party may cure a default of payment of Service Fees.

5. Termination of Agreement. This Agreement will terminate upon the release of Deposit Material held by Iron Mountain. For the avoidance of doubt, each enrollment of a Depositor made by the respective parties signing the Depositor Enrollment Form attached hereto as Exhibit E constitutes and shall be construed as a separate agreement between Iron Mountain, Beneficiary, Contractor and the signing Depositor.

6. Right to Use Following Release. Beneficiary has the right under this Agreement to use the Deposit Material for the sole purpose of continuing the benefits afforded to Beneficiary by the License Agreement. Notwithstanding, the Beneficiary shall not have access to the Deposit Material unless there is a release of the Deposit Material in accordance with this Agreement. Beneficiary shall be obligated to maintain the confidentiality of the released Deposit Material.


Exhibit E Depositor Enrollment Form

Beneficiary, Contractor and Iron Mountain Intellectual Property Management, Inc. (“Iron Mountain”), hereby acknowledge that Depositor Company Name: ________________________________ is the Depositor referred to in the Escrow Agreement that supports Deposit Account Number: ________________with Iron Mountain as the escrow agent. Depositor hereby agrees to be bound by all provisions of such Agreement. The last date noted on the signature blocks of this enrollment shall be the Effective Date.

Authorized Person/Notices Table Please provide the names and contact information of the Authorized Persons under this Agreement. Please complete all information as applicable. Incomplete information may result in a delay of processing.

DEPOSITOR BENEFICIARY Print Name Print Name

Title Title Email Address Email Address



Fax Number Fax Number Billing Contact Information Table

Please provide the name and contact information of the Billing Contact under this Agreement. All Invoices will be sent to this individual at the address set forth below.

DEPOSITOR BENEFICIARY Check if same as Authorized Person Check if same as Authorized Person

Company Name Company Name Print Name Print Name

Title Title Email Address Email Address



Fax Number Fax Number Purchase Order # Purchase Order #

CONTRACTOR Company Name

Print Name Title

Email Address Street Address

Province/City/State Postal/Zip Code Phone Number

Fax Number Purchase Order #


Depositor Enrollment Form Work Request Please check boxes to order services and to identify the Paying Party

Service Service Description One-Time Fees

Annual Fees

Paying Party

Add Additional Deposit Account and Depositor Enrollment

Iron Mountain will set up one additional deposit account to manage and administrate access to new Deposit Material that will be securely stored in controlled media vaults in accordance with the service description above and the Agreement that governs the Initial Deposit Account. Iron Mountain will fulfill a Work Request to add a new Depositor to an escrow deposit account in accordance with the service description above and the Agreement.

$1,850 Depositor Beneficiary* Contractor**


Add File List Report Iron Mountain will fulfill a Work Request to provide a File List Test, which includes a deposit media readability analysis, a file listing, a file classification table, virus scan outputs, and assurance of completed deposit questionnaire. A final report will be sent to the Paying Party regarding the Deposit Material to ensure consistency between Depositor’s representations (i.e., Exhibit B and Deposit Questionnaire) and stored Deposit Material. Deposit must be provided on CD, DVD-R, or deposited by sFTP.

$2,500 N/A Depositor Beneficiary Contractor

Add Level 1 - Inventory and Analysis Test

Iron Mountain will perform an Inventory Test on the initial deposit, which includes Analyzing deposit media readability, virus scanning, developing file classification tables, identifying the presence/absence of build instructions, and identifying materials required to recreate the Depositor's software development environment. Output includes a report which will include build instructions, file classification tables and listings. In addition, the report will list required software development materials, including, without limitation, required source code languages and compilers, third-party software, libraries, operating systems, and hardware, as well as Iron Mountain’s analysis of the deposit.

$5,000 or based on SOW

if custom work required


Add Deposit Tracking Notification

At least semi-annually, Iron Mountain will send an update reminder to Depositor. Thereafter, Beneficiary will be notified of last deposit.

N/A $450 Depositor Beneficiary* Contractor**


(balance of page left intentionally blank – signature page follows)


IN WITNESS WHEREOF, the Parties have duly executed this Enrollment as of the Effective Date by their authorized representatives:

DEPOSITOR BENEFICIARY

Signature Signature

Print Name Print Name Title Title Date Date

Email Address Email Address

IRON MOUNTAIN INTELLECTUAL PROPERTY MANAGEMENT, INC.

Signature


Email Address [email protected]

All notices to Iron Mountain Intellectual Property Management, Inc. should be sent to [email protected] OR Iron Mountain Intellectual Property Management, Inc., Attn: Client Services, 2100 Norcross Parkway, Suite 150, Norcross, Georgia, 30071, USA. Telephone: 800-875-5669. Facsimile: 770-239-9201

The undersigned Contractor hereby agrees to make payments on behalf of the above identified Beneficiary including but not limited to additional enrollments governed by the Agreement. Other than the right to make payments, Contractor shall have no other rights under the Agreement, other than, as solely between Depositor, Beneficiary, and Contractor, Contractor’s obligations related to securing Depositors’ deposits and performing validation in accordance with and as required by SEPTA – <Name of Firm> agreement dated ________________.

CONTRACTOR

Signature


Email Address



Exhibit Q Escrow Deposit Questionnaire

Purpose of Questionnaire In order for Iron Mountain to determine the deposit material requirements and to quote fees associated with verification services, a completed deposit questionnaire is requested. It is the responsibility of the escrow depositor to complete the questionnaire. Instructions Please complete the questionnaire in its entirety by answering every question accurately. Upon completion, please return the completed questionnaire to the beneficiary asking for its completion, or e-mail it to Maria Nolet – [email protected] A. General Description

1. What is the general function of the software to be placed into escrow? 2. On what media will the source code be delivered? 3. If the deposit is on magnetic tape media, what tape format (e.g. DAT DDS4, DLT 8000, LTO-3, etc.) will be used for the

deposit?

4. Again if the deposit is on tape, what operating system and version was used to create the tape and what tools (either native OS (e.g. tar, cpio, etc.) or commercial (e.g. Backup Exec, NetBackup, ArcServ etc.) were used to load the data; if a third party or commercial software tool was used, please specify the vendor and exact version of the tool used.

5. Will the deposit be in the format of a database/repository of any type of Versioning or Configuration Management Tool (e.g. Visual Source Safe, Clearcase, Perforce, etc.) or will the software in the deposit be in a clear text/native file system format? If a Versioning or CM tool will be necessary to examine any part the deposit contents, please specify the Vendor and tool and exact version used.

6. Is the software deposit encrypted, including password protected archives, in any way? If so, what tool and version will be used to perform the encryption and will all necessary userid’s, passwords or encryption keys be provided to extract the software?

7. What is the total uncompressed size of the deposit in megabytes?

B. Requirements for the Assembly of the Deposit 1. Describe the nature of the source code in the deposit. (Does the deposit include interpreted code, compiled source, or a

mixture? How do the different parts of the deposit relate to each other?) What types of source code make up the escrow deposit (e.g. – C++, Java, etc.)

2. How many build processes are there? 3. How many unique build environments are required to assemble the material in the escrow deposit into the deliverables?

4. What hardware is required for each build environment to compile the software? (including memory, disk space, etc.)

5. What operating systems (including versions) are used during compilation? Is the software executed on any other operating

systems/version?

6. How many separate deliverable components (executables, share libraries, etc.) are built?

7. What compilers/linkers/other tools (brand and version) are necessary to build the application?

8. What, if any, third-party libraries are used to build the software? Please specify vendor, tool name and exact or minimum required version. If multiple build environments are required please specify for which environment each tool is required.

9. If a database of any kind is necessary to support compilation, is a running instance of the database necessary or is a static

instance consisting of the static and shared libraries and/or header files installed by the database sufficient to support compilation? If not already identified above, please provide the vendor and version of the required database.

10. How long does a complete build of the software take? How much of that time requires some form of human interaction and

how much is automated?



11. Does the escrow deposit contain formal build document(s) describing the necessary steps for build system configuration and compilation?

C. Requirements for the Execution of the Software Protected by the Deposit

1. What are the system hardware requirements to successfully execute the software? (memory, disk space, etc.); please include any additional peripheral devices that may be necessary to support correct function of the software/system.

2. What is the minimum number of machines required to completely set up the software sufficient to support functional testing? What Operating systems and version are required for each machine?

3. Beyond the operating systems, what additional third party software and tools are required to execute the escrowed software and verify correct operation? Please provide vendor and versions of all third party tools or libraries required to completely configure a system suitable to support functional testing. If multiple machines are required to support testing, please identify the software to be installed to each machine.

4. Is a database of any kind required to support functional testing of the software? If so please provide the vendor and version

required.

5. If a database is required, does the escrow deposit contain or can the depositor provide scripts and backups/imports necessary to create a database instance suitable to support functional testing. Note: a database containing test data is satisfactory to support functional testing so long as the data is realistic.

6. Including the installation of any software tools required to support the function of the escrowed software, approximately how much time is required to setup and configure a system suitable to support functional testing?

7. Approximately how much time would be required to perform a set of limited tests once a test system is configured?

8. Does the escrow deposit contain or can the depositor provide test plans, scripts or procedures to facilitate testing?

9. With the exception of any database identified above, are any connections to external data sources, feeds or sinks required in order to support the proper functioning of the software and to support testing of the software?

D. Technical Contact information Please list the appropriate technical person(s) Iron Mountain may contact regarding this set of escrow deposit materials.

DEPOSITOR BENEFICIARY Company Company Signature Signature

Print Name Print Name Address 1 Address 1 Address 2 Address 2

City/State/Zip City/State/Zip Telephone Telephone

Email Address Email Address CONTRACTOR

Company Signature

Print Name Address 1 Address 2

City/State/Zip Telephone

Email Address

For additional information about Iron Mountain Technical Verification Services, please contact your Iron Mountain Account Representative

Suburban Station (MP 0.00) To Chestnut Hill West (MP 11.29) Route Profile

Mile Post Start Grade (%) Station Speed0.0 -0.246 Suburban 20

0.22 2.20 200.72 0.00 200.90 0.00 30th St. 251.00 0.70 251.16 0.70 301.29 -0.05 301.63 0.08 301.90 0.19 (Enter AMTRAK) 302.12 -0.25 302.25 -0.25 702.31 0.23 702.48 -0.6 702.73 -0.13 703.47 0.7 703.93 0.2 704.27 0.6 504.64 3.47 (Exit AMTRAK) 504.71 3.47 North Philadelphia 154.79 1.2 154.9 0.8 15

4.94 0.8 505.28 2.1 505.39 0.53 505.64 -0.24 506.01 0.82 506.22 0.76 506.37 1.19 506.84 1.19 Queen Lane 506.94 1.19 406.96 1.43 407.2 1.43 30

7.24 -2.0 307.4 -2.0 50

7.42 -0.3 507.44 -0.3 Chelten Avenue 507.47 2.0 507.62 -1.2 507.85 0.7 507.94 0.7 Tulpehocken 508.07 0.92 508.16 1.04 508.25 1.0 508.39 1.03 508.44 1.03 Upsal 508.85 1.27 509.04 1.27 Carpenter 509.17 1.35 509.44 1.35 Allen Lane 509.61 0.71 509.79 0.59 50

Mile Post Start Grade (%) Station Speed9.94 -0.87 50

10.04 0.1 5010.13 1.8 5010.24 1.8 St. Martins 5010.36 1.93 50

10.6 1.93 4010.65 1.87 4010.74 1.87 Highland 4010.77 0.0 4010.86 2.5 4010.95 0.74 4011.00 0.74 1011.29 0.74 Chestnut Hill West 10

Speeds: All speeds are in miles/hour. Grades: A 2.00 percent grade has a rise of 2 feet in a horizontal distance of 100 feet.

Suburban Station (MP 0.0) to Paoli (MP 20.00) Route Profile

Mile Post Start Grade (%) Station Speed0.0 -0.246 Suburban 20

0.22 2.20 200.72 0.00 200.90 0.00 30th St. 251.00 -0.70 251.16 -0.70 301.29 0.05 301.63 -0.08 301.90 1.19 302.10 1.19 502.20 0.71 502.50 0.54 (Zoo Tower) 503.00 0.54 303.30 1.50 303.45 1.50 503.90 0.94 504.10 0.94 605.25 1.00 605.43 0.94 605.50 0.94 Overbrook 605.90 0.94 706.00 0.94 Merion 706.35 1.00 706.70 0.64 706.90 0.64 Narberth 707.30 0.85 707.50 0.85 Wynnewood 708.50 0.85 Ardmore 709.15 0.85 Haverford 709.95 -0.10 70

10.05 -0.52 7010.2 -0.52 Bryn Mawr 7010.8 0.10 7010.9 0.10 Rosemont 70

10.95 0.70 7011.85 0.19 7011.98 0.36 70

12.0 0.36 Villanova 7012.15 -0.57 70

13.0 -0.57 Radnor 7013.32 -0.20 7013.45 0.00 6013.65 -0.03 60

13.7 -0.03 7013.75 -0.07 70

13.8 -0.07 St. Davids 7014.0 0.21 7014.4 0.56 70

14.55 0.56 Wayne 7015.5 0.56 Strafford 7016.5 0.56 Devon 65

Mile Post Start Grade (%) Station Speed16.8 0.56 7017.2 0.56 5017.6 0.56 Berwyn 70

18.35 0.10 7018.6 0.10 Daylesford 70

18.65 0.02 7018.75 0.01 7018.95 -0.02 7019.05 0.01 6019.22 0.46 60

19.6 0.54 6019.8 0.54 Paoli 60

20.25 0.00 60


Suburban Station (MP 0.00) To Newark, DE (MP 38.9) Route Profile

Mile Post Start Grade (%) Station Speed0.00 -0.25 Suburban 200.22 2.20 200.72 0.00 200.80 250.90 30th St. 251.40 0.75 401.70 University City 402.20 0.66 402.50 -0.57 402.70 452.90 0.48 453.00 603.25 0.16 603.60 -0.13 904.10 0.23 905.00 -0.17 705.60 -0.40 706.10 Darby 706.20 0.47 706.80 0.28 Curtis Park 707.20 Sharon Hill 907.70 Folcroft 908.30 0.25 Glenolden 909.00 Norwood 909.50 -0.55 Prospect Park-Moore 90

10.40 Ridley Park 9011.20 Crum Lynne 9011.70 9012.30 0.15 Eddystone 9013.00 0.26 9013.40 Chester 9013.96 -0.41 9014.40 0.28 Lamokin St. 9014.94 -0.24 9015.50 Highland Ave. 9016.80 10017.10 0.05 Marcus Hook 10018.00 -0.16 10018.51 9018.55 10019.00 -0.19 10019.60 Claymont 10020.00 -0.04 10020.30 4520.35 10021.00 0.25 10022.40 -0.12 10022.60 9022.70 10023.00 0.14 10023.50 -0.30 100

Mile Post Start Grade (%) Station Speed24.50 -0.24 10025.00 0.26 10025.40 8026.00 -0.18 8026.60 0.13 4026.80 Wilmington 3026.90 0.32 3027.00 -0.28 4027.10 8027.70 -0.94 8028.30 0.04 10029.00 0.03 1029.70 4529.75 10030.00 0.15 10031.00 -0.15 10032.00 0.07 10033.00 0.29 10034.00 0.50 10034.30 Churchmans Crossing 10035.50 -0.24 10036.50 0.30 4536.55 8037.00 0.40 8038.00 0.23 8038.40 3038.45 3538.90 Newark 35


Suburban Station (MP 0.00) To Trenton, NJ (MP 33.01) Route Profile

Mile Post Start Grade (%) Station Speed0.00 -0.25 Suburban 200.22 2.20 200.72 0.00 200.90 0.00 30th St. 251.00 0.70 251.16 0.70 301.29 -0.05 301.63 0.08 301.90 0.19 302.12 -0.25 302.25 -0.25 702.31 0.23 702.48 -0.60 702.73 -0.13 703.47 0.70 704.21 0.20 704.51 0.60 404.71 -0.60 North Philadelphia 504.91 -0.26 405.21 0.00 405.56 -0.34 405.71 656.11 -0.56 706.91 -0.61 707.41 -0.58 707.61 907.96 508.21 -0.39 508.51 -0.13 608.61 0.37 608.81 909.41 -0.10 909.61 Bridesburg 90

10.41 0.00 Wissinoming 9010.96 0.10 9011.31 -0.03 9011.51 Tacony 9012.51 -0.40 Holmesburg Jct. 10012.91 0.00 10013.41 -0.06 10013.71 0.08 10014.21 -0.01 8015.11 Torresdale 10015.21 -0.07 10015.71 0.00 10016.21 -0.16 10017.21 -0.01 Cornwells Heights 10018.11 -0.25 10018.41 -0.23 Eddington 10019.51 -0.06 10020.11 Croydon 100

Mile Post Start Grade (%) Station Speed20.51 0.28 10021.51 0.00 10022.31 0.21 10023.21 -0.40 Bristol 10024.51 0.13 10025.21 -0.30 10026.11 0.09 10026.41 Levittown 10027.41 -0.06 10028.51 0.20 10029.21 -0.10 10029.81 0.06 10030.41 0.34 10031.41 -0.15 10032.11 -0.56 10032.51 6532.61 8032.81 0.30 8033.01 Trenton 80


Southeastern Pennsylvania Transportation Authority

1234 Market Street Philadelphia, PA 19107

1000 Technology Drive Pittsburgh, PA 15219

Status:

No Exceptions Taken

Approved as Noted

Revise as Noted and Resubmit

Rejected - Resubmit

Review not Required

Date: ________________

Signature: ___________________

Project Name:

SEPTA Positive Train Control

Contract Number:

S820661

Document Title:

PHW System Functional Description

Fra

nk D

avitia

n

Checker

Appro

ve

r

S820661-0

1300

-2100

Nam

e/

Title

Nam

e/

Title

Nam

e/

Title

Prepared by Checked by Approved by Document

Number Date Rev

Subcontractor:

PHW INC, a Siemens Company 664 Linden Avenue East Pittsburgh, PA 15112

Page 1 of 156 File: SFD-5664 Rev5.00.docx

Document Number: S820661-01300-2100

Revision: 5.00

Document Revision History

Rev Date Author(s) Nature of Revision Previous Correspondence

1 7.18.2012 PHW INC Initial Release None

2 12.17.2012 PHW INC Address comments per previous correspondence

PTC-S820661-01300-2100-Final Consolidated-09202012.pdf

4.01 6.25.2013 PHW INC Adrress comments per previous correspondence and design updatesd

PTC-01300-2100A Final Consolidated-03042013-PHW Responses.pdf

5.00 4.30.2014 Siemens Industry Inc Address comments from previous submittal and general updates

PTC-01300-2100B-Final Consolidated-09102013(Siemens Responses).docx

Author Checker S&QA / IV&V System Engineer

PHW INC

Frank Davitian

Copyright© 2012 Ansaldo STS USA, Inc., All rights Reserved, Printed in USA

THIS DOCUMENT AND ITS CONTENTS ARE THE PROPERTY OF ANSALDO STS USA, INC., (FORMERLY KNOWN AS UNION SWITCH & SIGNAL INC. AND HERINAFTER REFERRED TO AS "ASTS USA") AND ARE FURNISHED TO YOU ON THE FOLLOWING CONDITIONS:

NO PROPRIETARY OR INTELLECTUAL PROPERTY RIGHT OR INTEREST OF ASTS USA IS GIVEN OR WAIVED IN SUPPLYING THIS DOCUMENT

AND ITS CONTENTS TO YOU. THIS DOCUMENT AND ITS CONTENTS ARE NOT TO BE USED OR TREATED IN ANY MANNER INCONSISTENT WITH THE RIGHTS OR

INTERESTS OF ASTS USA, OR TO ITS DETRIMENT, AND ARE NOT TO BE COPIED, REPRODUCED, DISCLOSED OR TRANSFERRED TO OTHERS, OR IMPROPERLY DISPOSED OF WITHOUT PRIOR WRITTEN CONSENT OF ASTS USA.

SEPTA

Positive Train Control

PHW System Functional Description

THIS PAGE INTENTIONALLY LEFT BLANK

System Functional Description

5664-ENG-200

Title: PHW System Functional Description

Document Number: S820661-01300-2100 Date: April 30, 2014

Revision: 5.00 Page 1 of 156

SYSTEM FUNCTIONAL DESCRIPTION

FOR THE

On-Board Positive Train Control System for Southeastern Pennsylvania Transit Authority Vehicles

PHW Project No. 5664

TO

Ansaldo STS

Customer Contract No. S8220661

Customer CDRL: S82066-01300-2100


5664-ENG-200




Copyright 2012-2014 Siemens Industry Inc. / PHW INC.

All rights reserved.

This document contains proprietary information; certain portions of which are further protected under other earlier

copyrighted works published by PHW INC. The ownership of this document and its contents is retained by PHW

INC. By supplying this document, PHW INC. neither grants nor waives any right or license to this document or its

contents. The contents of this document as a whole, or any portion thereof, may not be disclosed to other parties or

reproduced by any means electronic or mechanical without prior written permission from PHW INC.

Siemens Industry Inc. / PHW INC.

664 Linden Avenue

East Pittsburgh, PA 15112-1204

TEL: (412) 829-7511

FAX: (412) 829-7840


5664-ENG-200




Revision Record

Original document.

Revision: 0 Issued By: Gary V. Raffle Approved By: Donald Proehl Date: June 8, 2012

Incorporated comments, clarifications, and corrections from additional peer reviews as well as a review from ASTS. Updated equipment descriptions to reflect evolution of design to-date. Functional clarifications made for ADU display behavior under exception conditions and

inactive cab operation.

Revision: 1 Issued By: Gary V. Raffle Approved By: Donald M. Proehl Sr. Date: July 18, 2012

Partial updates up through Section 3 to address pre-PDR discussions and formal comments (refer to PTC-S820661-01300-2100). Follow-up

questions and requests for clarifications regarding PTC-S820661-01300-2100 remain outstanding.

Release of Revision 2 is not under Engineering control.

Revision: 2 Issued By: T.J. Szurszewski Approved By: T.J. Szurszewski Date: December 17, 2012

Completed modifications and corrections based on pre-PDR discussions, design evolution, reviews, and formal comments (PTC-S820661-

01300-2100). Follow-up questions and requests for clarifications regarding PTC-S820661-01300-2100 remain outstanding.

Revision: 3 Issued By: Gary V. Raffle Approved By: Donald M. Proehl Sr. Date: January 29, 2013

Revised from comments and changes from PDR.

Revision: 4 Issued By: Douglas A. Coast Approved By: Donald M. Proehl Sr. Date: April 5, 2013


5664-ENG-200




1. Added single magnet valve diagram and description in Figure 3-30 and section 3.11.5 2. Changed overspeed response to include acknowledgement in sections 4.4 and 4.6.1

3. Clarified the overspeed alarm initiating point (+3) in sections 4.9 and 5.12

4. Changed the restricting aspect to red over yellow in table 6-1 5. Changed reference to restricting aspect as steady 20 on MAS Display in section 6.1

6. Changed description of ADU MAS Display during ATC Departure Test to showing aspect instead of “—“ in Table 6-6

Revision: 4.01 Issued By: Frank Davitian Approved By: Donald M. Proehl Sr. Date: June 25, 2013

1. ID Plug renamed ID Module throughout document.

2. Section 3.3 modified to eliminate references to enclosure #3 and Kit 604219. 3. Track Receiver height modified on Figure 3-20.

4. CTV Outline changed in Figure 3-23.

5. Tables 4-2, 4-4, 6-1: Signal Aspect text ”MAS” replaced with “CLEAR” 6. Table 4-3, 5-2: Entries for “Speed Comparison Fault” and “Permanent Suppression Crosscheck Fault” were added.

7. Table 4-6: Departure Test Sequence revised to include test of missing code rates (dual 75, single and dual 180).

8. Modified section 4.16 to describe new abbreviated departure test. 9. Section 4.18.7: Permanent Suppression Crosscheck description revised.

10. Sections 4.8.2 & 5.11.2: Upgrade description revised to include a momentary audible alarm for ATC upgrades and some PTC

upgrades. 11. Tables 6-21, 6-22: More descriptive Cut-Out ATC and Cut-Out PTC messages added.

12. Section 10.1.8; Added table 10-6, SEPTA Train Types

13. Added Siemens Industry Inc. to title page and copyright. Notice.

Revision: 4.02 Issued By: Frank Davitian Approved By: Donald M. Proehl Sr. Date: October 22, 2013

1. Section 11.2.5; Updated to define proposed version ID(String) format. 2. Added new ADU Penalty Message when both direction FOR and REV and asserted simultaneously – “Cut Out …./FOR&REV

ACTIVE”

3. Table 6-28; Removed “NO PTS RADIO RELEASE” 4. Section 5.3.4; Revised “Wheel Slip/Slide Compensation”, description for PTC to match the approach used by ATC (Sections 4.2.4,

4.25)

5. Section 4.18.12; Changed all occurrences of “Non-Suppressible penalty brake application” to “Suppressible penalty brake application” 6. Chapter 5.21.3 - Abnormal Exit Conditions. Added PTC failure as an abort condition for the test.

7. Changed the action of the PTC Dept. Test step #2 from “Wait up to 15 seconds for self-test to report antenna OK.” to “Wait indefinitely

for self-test to report antenna OK. Display ADU message “PTC TEST:nn Failed” after 15 sec” 8. Tables 6-7 & 6-10; Added text to the FLASHING state indicating that this happens at reset/power-up until link status is established.

9. Table 6-13; Removed “TBD” listed as a condition for the OFF state, replaced “TBD” with PTC Inoperative.

10. Table 6-17; Had separate entries for ATC & PTC “operating in a trailing unit” and ATC & PTC “inoperative”. Combined these entries to say “Both ATC and PTC operating in a trailing unit” as one entry, and “Both ATC and PTC Inoperative as another entry”. The

Overspeed indicator is an “OR” indicator, not an “AND” indicator.

11. Section 6.; Updated to add WHITE to the description of the capable displayed colors for the upper and lower signal indicators. 12. Section 6.3.6.1, 2nd paragraph after table 6-20; – Modified the sentence that states that the ATC messages have precedence over the PTC

messages to state the enforcing system’s messages have precedence over the other system’s messages

13. Section 3.11.2; Changed the description of the “logical “ direction implementation. 14. Section 5.12.6; Updated the description of the Roll-Away penalty application.

15. Section 6.3.6.3; Updated the description of the ATC/PTC Version Presentation.

16. Section 6.7.9; Updated to document Actual Speed operation with both systems Cut Out with and without a failure. Clarified that operation of the ADU push buttons is permitted for the inactive ADU but the departure test switch operation is prohibited

17. Clarified operation of the ATC cutout switch operation when the train is operated above zero speed, the system shall initiate a penalty

brake application. (new rule that follows the customer spec requirement) 18. Section 4.1.2; Included “Half Period Detection Requirements” table in Chapter 4.1.2

19. Monitor the throttle inputs. None of them should be active in order to initiate the ATC Dept Test. This function provides the IDLE

requirement input for the DT test initiation. 20. Removed “Odometer Failed” and “CDT Failed message” from the test.

21. Added Alerter test steps to the ATC Deptarture Test procedure.


5664-ENG-200




22. Added new sub-section in Section 6.7.3 that describes how the Messages text display is handled during ATC and PTC Departure Test.

23. Changed the Message Priority in Table 6-20 so that the Departure Test messages have a higher priority than the Failure messages. 24. Add the “No Idle” message to the ATC Departure Test messages.

25. Adjust drop timer timing given in SFD - Adjusted ATC penalty times from 5 seconds to 4.6 seconds.

26. Adjusted ERS data to reflect current state of DDD 27. Change the description of the PTC penalty output operation in section 5.19

28. Removed the Brake Cylinder Pressure switch from the list of the Alerter Monitored inputs and include Perm. Supp inputs as Alerter de-

activating input. Also include Temp. Supp as Alerter operation reset input. Section 4.12 was modified to reflect the changes in the Alerter operation.

29. 220 MHz Implementation changes-PTC

Revisio

n:

5.00 Issued

By:

Frank Davitian Approved

By:

Donald M Proehl Sr. Dat

e:

April 30, 2014

Revision: Issued By: Approved By: Date:

Revision: Issued By: Approved By: Date:


5664-ENG-200




Table of Contents

1. Introduction ............................................................................................................................................................. 20

1.1 Purpose .............................................................................................................................................................. 20

1.2 Scope ................................................................................................................................................................. 20

1.3 References ......................................................................................................................................................... 20

1.4 Definitions ......................................................................................................................................................... 20

2. Overall System Description ..................................................................................................................................... 23

2.1 Purpose .............................................................................................................................................................. 23

2.1.1 Vehicle Level Interfaces ............................................................................................................................. 23

2.1.2 Operator Interfaces ..................................................................................................................................... 24

2.1.3 Operations ................................................................................................................................................... 26

2.1.4 Adaptation .................................................................................................................................................. 26

2.1.5 Operator Qualifications .............................................................................................................................. 26

2.2 Performance Related Attributes ......................................................................................................................... 27

2.2.1 Major Functions of the ATC Equipment .................................................................................................... 27

2.2.2 Major Functions of the PTC Equipment ..................................................................................................... 27

2.2.3 Static Numerical Requirements .................................................................................................................. 28

2.2.4 Dynamic Numerical Requirements ............................................................................................................. 29

2.2.5 Reliability ................................................................................................................................................... 29

2.2.6 Security ....................................................................................................................................................... 29

2.3 Constraints ......................................................................................................................................................... 29

2.3.1 Regulatory Policies ..................................................................................................................................... 30

2.3.2 Safety Considerations ................................................................................................................................. 30

2.3.3 Functional Considerations .......................................................................................................................... 30

2.3.4 Other Considerations .................................................................................................................................. 31

3. Detailed System Description ................................................................................................................................... 32

3.1 Vehicle Applications ......................................................................................................................................... 32

3.2 System Context .................................................................................................................................................. 39

3.3 Vehicle Application Kits ................................................................................................................................... 43

3.4 Enclosure Equipment ......................................................................................................................................... 44


5664-ENG-200




3.4.1 ATC On-Board Computer .......................................................................................................................... 44

3.4.2 PTC On-Board Computer ........................................................................................................................... 44

3.4.3 Identity Module .......................................................................................................................................... 44

3.4.4 Communications Controller ........................................................................................................................ 45

3.4.5 VZero Relay ............................................................................................................................................... 45

3.4.6 Ethernet Switch ........................................................................................................................................... 45

3.5 Aspect Display Unit ........................................................................................................................................... 45

3.6 Odometer ........................................................................................................................................................... 46

3.7 Speed Probes...................................................................................................................................................... 47

3.8 Axle Generator .................................................................................................................................................. 47

3.9 Mini Track Receivers ........................................................................................................................................ 48

3.10 CTV Box and Scanner Antenna....................................................................................................................... 51

3.11 Equipment Interfaces ....................................................................................................................................... 54

3.11.1 Operator Controls ..................................................................................................................................... 54

3.11.2 Directional Train Line Signals .................................................................................................................. 55

3.11.3 Brake Control Train Line Signals ............................................................................................................. 56

3.11.4 Throttle Control Train Line Signals .......................................................................................................... 56

3.11.5 Brake System Interface ............................................................................................................................. 57

3.11.6 Electrical Cut-outs .................................................................................................................................... 58

3.11.7 FRA Event Recorder Interface ................................................................................................................. 59

3.11.8 4G Modem / Router Interface ................................................................................................................... 60

3.11.9 Equipment Power...................................................................................................................................... 60

3.12 General Specifications ..................................................................................................................................... 61

3.12.1 Physical ..................................................................................................................................................... 61

3.12.2 Electrical Requirements ............................................................................................................................ 61

3.12.3 Environmental........................................................................................................................................... 63

4. ATC Operating Concepts ........................................................................................................................................ 64

4.1 Cab Signal Decoding ......................................................................................................................................... 64

4.1.1 Cab Signal Carriers ..................................................................................................................................... 64

4.1.2 Code Rates .................................................................................................................................................. 64

4.1.3 Signal Aspects ............................................................................................................................................ 65

4.1.4 Code Rate Dominance ................................................................................................................................ 65


5664-ENG-200




4.1.5 Extended Code Rate Rejection ................................................................................................................... 66

4.1.6 Departure Test Required Operation ............................................................................................................ 66

4.2 Speed Sensing .................................................................................................................................................... 66

4.2.1 Speed Measurement .................................................................................................................................... 66

4.2.2 Speed Comparison ...................................................................................................................................... 66

4.2.3 VZero .......................................................................................................................................................... 67

4.2.4 Wheel Slip .................................................................................................................................................. 67

4.2.5 Wheel Slide ................................................................................................................................................. 67

4.3 On-Vehicle Configuration ................................................................................................................................. 67

4.4 Acknowledgement ............................................................................................................................................. 68

4.5 Suppression ........................................................................................................................................................ 68

4.5.1 Temporary Suppression Signal ................................................................................................................... 69

4.5.2 Permanent Suppression Signal .................................................................................................................... 69

4.5.3 Permanent Suppression Crosscheck ........................................................................................................... 69

4.6 Penalty Brake Applications ............................................................................................................................... 70

4.6.1 Customer Specific Clarifications ................................................................................................................ 71

4.7 Penalty Reset ..................................................................................................................................................... 71

4.8 Basic ATC Functions - Forced Acknowledgement ........................................................................................... 72

4.8.1 Signal Aspect Downgrade .......................................................................................................................... 72

4.8.2 Signal Aspect Upgrade ............................................................................................................................... 72

4.8.3 Motion Acknowledgement ......................................................................................................................... 72

4.8.4 Recurring Acknowledgement ..................................................................................................................... 72

4.9 Overspeed Protection ......................................................................................................................................... 72

4.9.1 Overspeed Condition .................................................................................................................................. 73

4.9.2 Underspeed Condition ................................................................................................................................ 73

4.10 Positive Train Control Penalties ...................................................................................................................... 73

4.10.1 Positive Train Stop Penalty....................................................................................................................... 74

4.10.2 Positive Train Control ............................................................................................................................... 74

4.11 Non-Cab Territory Operation .......................................................................................................................... 74

4.11.1 Invoking Non-Cab Mode .......................................................................................................................... 74

4.11.2 Exiting Non-Cab Mode ............................................................................................................................. 74

4.12 Alerter Operation ............................................................................................................................................. 74


5664-ENG-200




4.12.1 Alerter Penalty Reset ................................................................................................................................ 75

4.12.2 Monitored Operator Controls .................................................................................................................... 75

4.12.3 Alerter De-activation ................................................................................................................................ 75

4.12.4 Alerter Timing .......................................................................................................................................... 76

4.13 Trailing Unit Operation ................................................................................................................................... 76

4.14 Cut-out Operation ............................................................................................................................................ 76

4.15 Overspeed Cut-out / Bypass Operation [This function is disabled] ................................................................. 77

4.16 On-Board Cab-Test Functions ......................................................................................................................... 77

4.16.1 Vehicle Preparation .................................................................................................................................. 77

4.16.2 Pre-requisite Entry Conditions .................................................................................................................. 77

4.16.3 Abnormal Exit Conditions ........................................................................................................................ 78

4.16.4 Signal Aspect and Speed Simulation ........................................................................................................ 78

4.16.5 Penalty Brake Application Test ................................................................................................................ 79

4.16.6 ATC Departure Test Procedure ................................................................................................................ 79

4.17 ATC Version Identification ............................................................................................................................. 80

4.18 Exception Conditions....................................................................................................................................... 80

4.18.1 System Initialization ................................................................................................................................. 80

4.18.2 Wheel Diameter Update............................................................................................................................ 80

4.18.3 Positive Stop ............................................................................................................................................. 81

4.18.4 PTC Cut-Out ............................................................................................................................................. 81

4.18.5 Acknowledge Switch Failure .................................................................................................................... 81

4.18.6 Speed Sensor Failure ................................................................................................................................ 81

4.18.7 Permanent Suppression Crosscheck ......................................................................................................... 81

4.18.8 Speed Comparison Failure ........................................................................................................................ 81

4.18.9 Temporary Suppression ............................................................................................................................ 82

4.18.10 PCB Functional Loss .............................................................................................................................. 82

4.18.11 Hardware Resets ..................................................................................................................................... 82

4.18.12 Configuration Data Loss ......................................................................................................................... 82

5. PTC Operating Concepts ......................................................................................................................................... 84

5.1 Wayside Transponders....................................................................................................................................... 84

5.1.1 Transponder Content .................................................................................................................................. 84

5.1.2 Transponder Linking .................................................................................................................................. 86


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5.2 Data Radio Interface .......................................................................................................................................... 86

5.2.1 WEU / Signal Status ................................................................................................................................... 87

5.2.2 Temporary Speed Restrictions .................................................................................................................... 88

5.2.3 Railway Worker Protection Restrictions .................................................................................................... 88

5.2.4 Grade Crossing Malfunction Restrictions ................................................................................................... 88

5.2.5 Heat Restrictions ......................................................................................................................................... 88

5.2.6 High Water Restrictions ............................................................................................................................. 88

5.2.7 Maintenance Alarms ................................................................................................................................... 88

5.3 Speed Sensing .................................................................................................................................................... 89

5.3.1 Speed and Distance Measurements ............................................................................................................. 89

5.3.2 Speed Comparison ...................................................................................................................................... 89

5.3.3 VZero .......................................................................................................................................................... 89

5.3.4 Wheel Slip .................................................................................................................................................. 89

5.3.5 Wheel Slide ................................................................................................................................................. 90

5.3.6 Wheel Wear Compensation ........................................................................................................................ 90

5.4 On-Vehicle Configuration ................................................................................................................................. 90

5.5 General Operating Modes .................................................................................................................................. 91

5.5.1 In-Territory Operation ................................................................................................................................ 91

5.5.2 Out-of-Territory Operation ......................................................................................................................... 91

5.5.3 Wayside Installation Zone Operation ......................................................................................................... 91

5.6 Acknowledgement ............................................................................................................................................. 91

5.7 Suppression ........................................................................................................................................................ 92

5.8 Manual Release of Positive Train Stop .............................................................................................................. 92

5.9 Penalty Brake Applications ............................................................................................................................... 92

5.10 Penalty Reset ................................................................................................................................................... 94

5.11 Forced Acknowledgements ............................................................................................................................. 94

5.11.1 Downgrade in Track Speed ....................................................................................................................... 94

5.11.2 Upgrade in Track Speed ........................................................................................................................... 94

5.11.3 Wayside Installation Zone Entry .............................................................................................................. 94

5.11.4 Temporary Speed Restriction Erased ........................................................................................................ 94

5.11.5 Missed Transponders ................................................................................................................................ 95

5.12 Overspeed Protection ....................................................................................................................................... 95


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5.12.1 Line Speed Enforcement ........................................................................................................................... 96

5.12.2 Permanent Speed Restrictions .................................................................................................................. 97

5.12.3 Signal Speed Restrictions ......................................................................................................................... 97

5.12.4 Positive Train Stop (PTS) ......................................................................................................................... 97

5.12.5 Temporary Speed Restrictions .................................................................................................................. 99

5.12.6 Rollaway Protection ................................................................................................................................ 100

5.13 Auxiliary Control Functions .......................................................................................................................... 100

5.13.1 Tilt Control ............................................................................................................................................. 100

5.13.2 Phase Break ............................................................................................................................................ 100

5.13.3 Power Frequency or Voltage Change ..................................................................................................... 100

5.14 Radio-Based TSR Management..................................................................................................................... 100

5.15 PTC Operation with ATC in Cut-Out or Non-Cab Mode .............................................................................. 101

5.16 Reverse Operation ......................................................................................................................................... 101

5.17 Mid-Block Turn-Back and End-of-Line Terminal Movements ..................................................................... 101

5.18 Trailing Unit Operation ................................................................................................................................. 101

5.19 Cut-out Operation .......................................................................................................................................... 102

5.20 Shadow Mode Operation ............................................................................................................................... 102

5.21 On-board Test Functions ............................................................................................................................... 103

5.21.1 Vehicle Preparation ................................................................................................................................ 103

5.21.2 Pre-requisite Entry Conditions ................................................................................................................ 103

5.21.3 Abnormal Exit Conditions ...................................................................................................................... 104

5.21.4 PTC Departure Test Procedure ............................................................................................................... 104

5.22 PTC Version Identification ............................................................................................................................ 105

5.23 220 MHz Radio Support Operation ............................................................................................................... 105

5.24 Exception Conditions..................................................................................................................................... 106

5.24.1 System Initialization ............................................................................................................................... 106

5.24.2 Positive Stop ........................................................................................................................................... 106

5.24.3 ATC Cut-Out .......................................................................................................................................... 106

5.24.4 Acknowledge Switch Failure .................................................................................................................. 106

5.24.5 Speed Sensor Failure .............................................................................................................................. 106

5.24.6 Speed Comparison Failure ...................................................................................................................... 107

5.24.7 Missed Transponders .............................................................................................................................. 107


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5.24.8 Early Transponder Sets (Out-of-Window) .............................................................................................. 107

5.24.9 PCB Functional Loss .............................................................................................................................. 107

5.24.10 Hardware Resets ................................................................................................................................... 107

5.24.11 Configuration Data Loss ....................................................................................................................... 107

6. Aspect Display Unit Operating Concepts .............................................................................................................. 109

6.1 Signal Aspect Display...................................................................................................................................... 109

6.2 Speed and Speed Limits Display ..................................................................................................................... 110

6.3 Operating Controls and Status Displays .......................................................................................................... 113

6.3.1 ATC Indicators ......................................................................................................................................... 114

6.3.2 PTC Indicators .......................................................................................................................................... 115

6.3.3 General Indicators ..................................................................................................................................... 116

6.3.4 Brightness Control Switch ........................................................................................................................ 118

6.3.5 Message Select Switch ............................................................................................................................. 118

6.3.6 Message Display ....................................................................................................................................... 118

6.4 Departure Test Switch ..................................................................................................................................... 127

6.5 Audible Alarm Control .................................................................................................................................... 127

6.6 Device Address Configuration ........................................................................................................................ 127

6.7 Miscellaneous Operations ................................................................................................................................ 128

6.7.1 Initialization .............................................................................................................................................. 129

6.7.2 Flashing Indicators.................................................................................................................................... 129

6.7.3 Departure Test .......................................................................................................................................... 129

6.7.4 Automatic Brightness Control .................................................................................................................. 130

6.7.5 Manual Brightness Control ....................................................................................................................... 130

6.7.6 Inactive Cab Operation ............................................................................................................................. 130

6.7.7 Trailing Unit Operation ............................................................................................................................ 131

6.7.8 Reverse-Running Display Operation ........................................................................................................ 131

6.7.9 Electrical Cut-out Operations ................................................................................................................... 131

6.7.10 ATC Inoperative ..................................................................................................................................... 131

6.7.11 PTC Inoperative ...................................................................................................................................... 131

7. Odometer Operating Concepts............................................................................................................................... 133

7.1 Odometer Display ............................................................................................................................................ 133


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7.2 Normal Operation ............................................................................................................................................ 133

7.3 Exception Conditions ...................................................................................................................................... 133

7.3.1 Initialization .............................................................................................................................................. 133

7.3.2 Quiescent Operation ................................................................................................................................. 133

7.3.3 Trailing Unit Operation ............................................................................................................................ 133

7.3.4 Electrical Cut-out Operation ..................................................................................................................... 134

7.3.5 ATC Equipment Inoperative ..................................................................................................................... 134

8. Crash-Hardened Event Recorder Interface ............................................................................................................ 135

8.1 Communications .............................................................................................................................................. 135

8.2 Exception Conditions ...................................................................................................................................... 135

8.2.1 Recorder Malfunction ............................................................................................................................... 135

8.2.2 Recorder Inoperative ................................................................................................................................ 135

8.3 ATC Event Recorder Data ............................................................................................................................... 135

8.4 PTC Event Recorder Data ............................................................................................................................... 135

9. MCP Data Radio Interface ..................................................................................................................................... 136

9.1 TCP/IP Interface .............................................................................................................................................. 136

9.2 ATCS Messages .............................................................................................................................................. 136

9.2.1 MCP Management Messages .................................................................................................................... 136

9.2.2 MCP Control Messages ............................................................................................................................ 136

9.2.3 ATCS Application Messages .................................................................................................................... 136

9.3 Time Synchronization ...................................................................................................................................... 137

10. Identity Module ................................................................................................................................................... 138

10.1 Configured Parameters .................................................................................................................................. 138

10.1.1 Vehicle Types ......................................................................................................................................... 138

10.1.2 Locomotive / Vehicle Number ............................................................................................................... 138

10.1.3 Tachometer Gear Size ............................................................................................................................. 139

10.1.4 Wheel Diameter ...................................................................................................................................... 139

10.1.5 Maximum Speed Limits.......................................................................................................................... 140

10.1.6 Alarm Intensity ....................................................................................................................................... 140

10.1.7 Reverse Running Operation .................................................................................................................... 141

10.1.8 Train Type Selection ............................................................................................................................... 141


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10.1.9 Railroad Identifier ................................................................................................................................... 142

10.1.10 Scanner Antenna Offset ........................................................................................................................ 142

11. Car Diagnostics Unit ........................................................................................................................................... 144

11.1 Network Architecture .................................................................................................................................... 144

11.2 Network Functions ........................................................................................................................................ 144

11.2.1 Network Node Management ................................................................................................................... 144

11.2.2 Time Synchronization ............................................................................................................................. 144

11.2.3 Status Monitoring and Data Flow Management ..................................................................................... 144

11.2.4 SCI Image Update ................................................................................................................................... 144

11.2.5 SCI Version Query ................................................................................................................................. 144

11.3 Functional Concerns and Risks...................................................................................................................... 145

12. Portable Test Equipment Capabilities .................................................................................................................. 146

12.1 General .......................................................................................................................................................... 146

12.2 Physical Interface .......................................................................................................................................... 146

12.3 Common User Functions ............................................................................................................................... 146

12.3.1 Upload .................................................................................................................................................... 146

12.3.2 View Logged Data .................................................................................................................................. 146

12.3.3 View Real-Time...................................................................................................................................... 146

12.3.4 View Software Revisions........................................................................................................................ 146

12.3.5 Read Battery Voltage .............................................................................................................................. 146

12.3.6 Communications Settings ....................................................................................................................... 146

12.3.7 Set Time .................................................................................................................................................. 147

12.3.8 Set Odometer .......................................................................................................................................... 147

12.4 Specialized Configuration Functions ............................................................................................................. 147

13. Safety ................................................................................................................................................................... 148

13.1 Self-Tests ....................................................................................................................................................... 148

13.1.1 Microcontroller Tests .............................................................................................................................. 148

13.1.2 Application Tests .................................................................................................................................... 148

13.1.3 Closed Loop I/O Tests ............................................................................................................................ 148

13.2 Intrinsic Safety Design Characteristics .......................................................................................................... 149

13.3 Inspections ..................................................................................................................................................... 149


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13.3.1 Maintenance ............................................................................................................................................ 149

13.3.2 Operations ............................................................................................................................................... 149

14. Maintenance and Inspections ............................................................................................................................... 150

14.1 Daily Departure Tests .................................................................................................................................... 150

14.2 Periodic Inspections ....................................................................................................................................... 150

14.2.1 Visual Inspection .................................................................................................................................... 150

14.2.2 Ground Fault Inspection ......................................................................................................................... 150

14.2.3 LVPS Inspection ..................................................................................................................................... 151

14.2.4 Cab Signal Filter/Amplifier Calibration ................................................................................................. 151

14.2.5 Cab Test Calibration ............................................................................................................................... 152

14.2.6 Vehicle Configuration ............................................................................................................................ 153

14.2.7 Backup Battery Voltage Check ............................................................................................................... 153

List of Figures

Figure 3-1, Equipment Location - Silverliner IV Single Car ....................................................................................... 32

Figure 3-2, Equipment Location - Silverliner IV Married Car-Pair ............................................................................ 32

Figure 3-3, Equipment Location - Silverliner V Single Car ........................................................................................ 33

Figure 3-4, Equipment Location - Silverliner V Married Car-Pair .............................................................................. 33

Figure 3-5, Equipment Location - JWC-2 Cab Car ..................................................................................................... 34

Figure 3-6, Equipment Location - Nos. 601, 602, & 610 Cab Cars ............................................................................. 35

Figure 3-7, Equipment Location - Nos. 615 & 622 Cab Cars ..................................................................................... 36

Figure 3-8, Equipment Location - AEM-7 Electric Locomotive ................................................................................. 36

Figure 3-9, Equipment Location - ALP-44 Electric Locomotive ................................................................................ 37

Figure 3-10, Equipment Location - BL-1500 & SW-1200 Diesel Locomotives ......................................................... 38

Figure 3-11, Equipment Location - RL-1000 Diesel Locomotive ............................................................................... 38

Figure 3-12, Equipment Location - 2GS14-B Diesel Locomotive .............................................................................. 39

Figure 3-13, Context Block Diagram – ATC and PTC Systems ................................................................................. 40

Figure 3-14, Functional Organization Block Diagram – ATC and PTC Systems ....................................................... 42

Figure 3-15, ADU Functional Block Diagram ............................................................................................................ 46

Figure 3-16, Odometer Functional Block Diagram ..................................................................................................... 47

Figure 3-17, Speed Probes – Typical Wiring Block Diagram ..................................................................................... 47

Figure 3-18, Axle Generator – Typical Wiring Block Diagram .................................................................................. 48


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Figure 3-19, Mini Track Receiver Orientation in an AC Propulsion Application ....................................................... 49

Figure 3-20, Mini Track Receiver Height ................................................................................................................... 49

Figure 3-21, Typical Track Receiver Wiring ............................................................................................................... 50

Figure 3-22. CTV Box & Scanner Antenna Functional Block Diagram ..................................................................... 51

Figure 3-23, Outline Views of CTV Box .................................................................................................................... 52

Figure 3-24, Outline Views of Scanner Antenna ......................................................................................................... 53

Figure 3-25, Scanner Antenna Height ......................................................................................................................... 54

Figure 3-26, ATC/PTC Operator Controls .................................................................................................................. 55

Figure 3-27, Directional Train Line Signals ................................................................................................................ 55

Figure 3-28, Brake Control Train Line Signals ........................................................................................................... 56

Figure 3-29, Throttle Control Train Line Signals ........................................................................................................ 57

Figure 3-30, Brake System Interface ........................................................................................................................... 58

Figure 3-31, ATC / PTC Cut-out Contact Arrangement .............................................................................................. 59

Figure 3-32, ATC/PTC Power Distribution ................................................................................................................. 60

Figure 5-1, BCP / MCP and Server Arrangements ...................................................................................................... 87

Figure 5-2, PTC Curves - Downward Change in Line Speed ...................................................................................... 96

Figure 5-3, PTC Curves - PTS ..................................................................................................................................... 96

Figure 6-1, Movement Authority Display – Functional Block Diagram ................................................................... 109

Figure 6-2, Speed Displays – Functional Block Diagram ......................................................................................... 111

Figure 6-3, Operating Controls and Status Displays – Functional Block Diagram ................................................... 113

Figure 6-4, Departure Test Switch – Functional Block Diagram .............................................................................. 127

Figure 6-5, Device Address Arrangement ................................................................................................................. 128

Figure 7-1, Odometer Display ................................................................................................................................... 133


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List of Tables

Table 1-1, Referenced PHW Documents ..................................................................................................................... 20

Table 1-2, Referenced Customer or Third-Party Supplier Documents ........................................................................ 20

Table 1-3, Definitions .................................................................................................................................................. 21

Table 1-4, Units of Measure ........................................................................................................................................ 22

Table 3-1, Vehicle Characteristics - Silverliner IV Single Car & Married Car-Pair ................................................... 32

Table 3-2, Vehicle Characteristics - Silverliner V Single Car & Married Car-Pair ..................................................... 33

Table 3-3, Vehicle Characteristics - JWC-2 Cab Car .................................................................................................. 34

Table 3-4, Vehicle Characteristics - Nos. 601, 602, & 610 Cab Cars ......................................................................... 35

Table 3-5, Vehicle Characteristics - Nos. 615 & 622 Cab Cars .................................................................................. 36

Table 3-6, Vehicle Characteristics - AEM-7 Electric Locomotive .............................................................................. 36

Table 3-7, Vehicle Characteristics - ALP-44 Electric Locomotive ............................................................................. 37

Table 3-8, Vehicle Characteristics - BL-1500 & SW-1200 Diesel Locomotives ........................................................ 38

Table 3-9, Vehicle Characteristics - RL-1000 Diesel Locomotive .............................................................................. 38

Table 3-10, Vehicle Characteristics - 2GS14-B Diesel Locomotive ........................................................................... 39

Table 3-11, Vehicle Application Kits .......................................................................................................................... 43

Table 3-12, Major Kit Assemblies and Sub-assemblies .............................................................................................. 43

Table 3-13, Equipment Weight and Dimensions ......................................................................................................... 61

Table 3-14, Equipment Electrical Specifications ......................................................................................................... 61

Table 3-15, Electrical Specifications – Penalty Brake Outputs ................................................................................... 62

Table 3-16, Electrical Specifications – No-Motion Output (ATC Only) ..................................................................... 62

Table 3-17, General Environmental Specifications ..................................................................................................... 63

Table 4-1, Code Rate Specifications............................................................................................................................ 64

Table 4-2, Half-Period Detection Requirements ......................................................................................................... 65

Table 4-3, Code Rates and Signal Aspects .................................................................................................................. 65

Table 4-4, Penalty Types and Alarm Behavior ............................................................................................................ 70

Table 4-5, Signal Aspect Speed Limits ....................................................................................................................... 73

Table 4-6, Other Speed Limits ..................................................................................................................................... 73

Table 4-7, ATC Departure Test Sequence ................................................................................................................... 79


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Table 5-1, Optional Data Packages Supported ............................................................................................................ 85

Table 5-2, Penalty Types and Alarm Behavior ............................................................................................................ 93

Table 5-3, PTC Departure Test Sequence.................................................................................................................. 105

Table 6-1, Movement Authority Display – Signal Aspects ....................................................................................... 109

Table 6-2, Movement Authority Display – Exception Conditions ............................................................................ 110

Table 6-3, ATC Indicator Operation .......................................................................................................................... 111

Table 6-4, PTC Indicator Operation .......................................................................................................................... 112

Table 6-5, ACTUAL SPEED Display Operation ...................................................................................................... 112

Table 6-6, MAS Display Operation ........................................................................................................................... 112

Table 6-7, ATC FAILURE Indicator Operation ........................................................................................................ 114

Table 6-8, ATC CUT-IN Indicator Operation ........................................................................................................... 114

Table 6-9, ATC CUT-OUT Indicator Operation ....................................................................................................... 114

Table 6-10, PTC FAILURE Indicator Operation ...................................................................................................... 115

Table 6-11, PTC CUT-IN Indicator Operation .......................................................................................................... 115

Table 6-12, PTC CUT-OUT Indicator Operation ...................................................................................................... 115

Table 6-13, PTC VALID DATABASE Indicator Operation ..................................................................................... 116

Table 6-14, PTC “C” SIGNAL Indicator Operation ................................................................................................. 116

Table 6-15, PTC TSR STATUS Indicator Operation ................................................................................................ 116

Table 6-16, SUPPRESSION Indicator Operation ..................................................................................................... 117

Table 6-17, OVERSPEED Indicator Operation ......................................................................................................... 117

Table 6-18, ALERTER Indicator Operation .............................................................................................................. 118

Table 6-19, ERS FAILURE Indicator Operation ...................................................................................................... 118

Table 6-20, Message Category Priorities ................................................................................................................... 119

Table 6-21, ATC Failure Messages ........................................................................................................................... 121

Table 6-22, PTC Failure Messages ............................................................................................................................ 121

Table 6-23, ATC Departure Test Messages ............................................................................................................... 122

Table 6-24, PTC Departure Test Messages ............................................................................................................... 123

Table 6-25, ATC Penalty Messages .......................................................................................................................... 124

Table 6-26, PTC Penalty Messages ........................................................................................................................... 124

Table 6-27, ATC Informational Messages ................................................................................................................ 125

Table 6-28, PTC Informational Messages ................................................................................................................. 125

Table 6-29, PTC Maintenance Messages .................................................................................................................. 126


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Table 6-30, Audible Alarm Devices .......................................................................................................................... 127

Table 6-31, ADU Address Configuration .................................................................................................................. 128

Table 9-1, MCP Management Messages ................................................................................................................... 136

Table 9-2, MCP Control Messages ............................................................................................................................ 136

Table 9-3, Manufacturer Specific ATCS Message Labels ........................................................................................ 137

Table 10-1, Vehicle Specific Tachometer Gear Settings ........................................................................................... 139

Table 10-2, Vehicle Specific Wheel Diameter Ranges.............................................................................................. 139

Table 10-3, Vehicle Specific Maximum Speed Limits .............................................................................................. 140

Table 10-4, Vehicle Specific Alarm Intensity ........................................................................................................... 140

Table 10-5, Vehicle Specific Reverse-Running Operation ........................................................................................ 141

Table 10-6, SEPTA Train Types ............................................................................................................................... 142

Table 14-1, Test Points – Ground Fault Inspection ................................................................................................... 150

Table 14-2, Voltage Ranges – LVPS Inspection ....................................................................................................... 151

Table 14-3, Voltage Ranges – Filter/Amplifier Related Test Points ......................................................................... 152


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1. Introduction

1.1 Purpose

This document presents a system description of combined ATC / ACSES II equipment, modified for and provided to

Southeastern Pennsylvania Transit Authority (SEPTA) for PTC on all of their locomotive, EMU, and cab-car

vehicles. It is intended to provide an overall understanding of the equipment, the context in which it is used, and the

functions it provides. The focus of this document is to establish the functional requirements of the overall ATC and

PTC systems or products.

Discussions regarding the original functional and implementation details of ACSES, with respect to references

[REF-B] and [REF-C], are outside the scope of this document.

1.2 Scope

The information in this document addresses the high-level function, safety, and general interfaces of the equipment.

It is intended that similar equipment be supplied to SEPTA for all of their rail vehicles. The configurations of the

rail vehicles include single-ended locomotives, single-ended locomotives with running reverse capabilities, dual-

ended locomotives, single-ended cab-cars, dual-ended single unit cars, and dual-ended married car-pairs. Where

feasible, the same equipment and part numbers will be utilized in all applications. However, certain components

may be custom-tailored for a given vehicle application.

1.3 References

Referenced documents are cited as [REF-x], which reflect reference designators assigned in the following tables.

Table 1-1, Referenced PHW Documents

Designator Document Number

Document Title

- - None

Table 1-2, Referenced Customer or Third-Party Supplier Documents

Designator Originator Document Number Document Title

A SEPTA - ARCHITECTURE & ENGINEERING SERVICES FOR POSITIVE TRAIN CONTROL, TECHNICAL SPECIFICATIONS, Volumes 1, 2, 3, & 4, (includes addendums 1, 2, & 3)

1B Alstom - Amtrak ACSES System Specification

1C Alstom - ACSES II System Specification

D NORAC - NORAC OPERATING RULES, Tenth Edition, November 6, 2011

1 Subject to a non-disclosure agreement with the originating supplier.

This document may reference additional resources that are considered internal and proprietary to PHW INC. These

are referenced by title and include the PHW Engineering Manual and Engineering Report documents. These types

of documents are available for customer inspection at the PHW INC. facility.

1.4 Definitions

This sub-section identifies acronyms or other terminology that may be used in this document.


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Table 1-3, Definitions

Acronym Definition

ACSES Advanced Civil Speed Enforcement System

ADU Aspect Display Unit

ATC Automatic Train Control

ATS Automatic Train Stop / Supervision

BCP Base Communications Package

BTE Bench Test Equipment

BTU Bench Test Unit

COTS Commercial, Off-The-Shelf

DMM / DVM Digital Multimeter / Voltmeter

DS Distant Signal

ESD Electro-static Discharge

FET Field Effect Transistor

GPIB General Purpose Interface Bus (defined by IEEE-488)

HS Home Signal

HST High-speed Trainset

LED Light Emitting Diode

LoA Limit of Authority (adopted by Ansaldo-STS for ASES)

LoMA Limit of Movement Authority (adopted by Alstom for ACSES)

LRU Lowest / Line Replaceable Unit

MAS Maximum Allowable Speed

MCP Mobile Communications Package

N / A Not Applicable

NEC North East Corridor

PC Personal Computer

PCB Printed Circuit Board

PDS Pre-Distant Signal

PT Portable Tester

PTC Positive Train Control

PTE Portable Test Equipment

PTS Positive Train Stop

PXI PCI Extensions for Instrumentation platform / bus

SCI Serial Communications Interface (Asynchronous serial port or bus)

SDU Speed Display Unit

SPI Serial Peripheral Interface (Synchronous serial port or bus)


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Acronym Definition

TBD To Be Determined

TSR Temporary Speed Restriction

UUT Unit Under Test

USB Universal Serial Bus

VPS Vital Power Supply

WIU / WEU Wayside Interface Unit / Wayside Encoder Unit

Table 1-4, Units of Measure

Acronym Definition

A / mA / ma Ampere(s) / milliampere(s)

CPM Counts Per Minute

Hz Hertz

MPH Miles Per Hour

MPHPS (MPH / Sec)

Miles Per Hour Per Second

Sec / msec / usec Second(s) / millisecond(s) / microsecond(s)

V / mV Volt(s) / millivolt(s)

VAC Volt(s), Alternating Current

VDC Volt(s), Direct Current

Vpp Volt(s), peak-to-peak


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2. Overall System Description

2.1 Purpose

The ATC/PTC systems enforce safe operation of the train primarily through forced acknowledgement and overspeed

protection. Each system can initiate a penalty brake application in order to stop the train if the operator is unable or

unwilling to do so.

The combined equipment provides the function of traditional cab signal and modern Positive Train Control (PTC)

with Civil Speed Enforcement. The cab signal portion is based on an Amtrak 9-aspect system with overspeed

protection. The PTC portion is based on ACSES II, which provides the Civil Speed Enforcement. The ATC/PTC

equipment is designed for use on SEPTA property and is compatible with NEC / Amtrak operation. It is designed

utilizing fail-safe techniques to provide a vital platform that can be relied upon to perform safety-critical functions.

The ATC equipment uses track receivers to continuously monitor coded carrier signal in the rail. Coded carrier

information is translated to signal aspect information, which is used for traffic control.

The PTC equipment is a transponder-based system that enforces civil speed restrictions for fixed locations such as

curves, bridges, stations, etc. as well as temporary speed restrictions and Positive Train Stop. While cab signal

equipment enforces vehicle operation based on speed and time; the PTC equipment enforces operation based on

speed and distance (position).

A single ATC/PTC system is located on-board in a typical single vehicle unit application, as well as in most married

car-pair applications. There is one married car-pair application that does require one ATC/PTC system on each

vehicle in the pair. User input to the system comes from devices within the operator’s cab. Normally input can only

be produced from an activated cab, which occurs when the cab is made up as the lead cab in the consist. In order to

accomplish its control tasks, the equipment interacts with other systems on the vehicle, such as the brake and the

vehicle control systems.

2.1.1 Vehicle Level Interfaces

The ATC/PTC systems are standalone safety systems that interface and interact with several other systems on-

board the vehicle. These on-board systems include:

a) VEHICLE CONTROL SYSTEMS:

The on-board vehicle control systems provide various operational inputs to the equipment. This includes

battery power, train-lined directional and control signals, a no-motion relay, as well as certain operator

inputs from the cab controls.

b) BRAKE SYSTEM:

Various brake systems are employed across the fleet of rail vehicles. The ATC/PTC equipment relies upon

the air brake system to provide the physical / mechanical apparatus for penalty brake applications. It also

relies upon the brake system to provide it with input signals for suppression, based on operator interaction

with the braking system.

c) EVENT RECORDER:

The event recorder is a FRA-compliant, crash-hardened event recorder. The ATC/PTC equipment provides

serialized data to report operational states to the recorder.

d) 4G MODEM / ROUTER

The 4G Modem / Router is an Ethernet-based device designed to facilitate access by the ATC/PTC system

to several external IP-based devices and networks. Via the modem / router, the PTC system can


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communicate with an outside 4G data network and the on-board MCP Data Radio. Similarly, the ATC

system can also communicate with the same outside 4G data network.

e) CAR DIAGNOSTICS TERMINAL

The Car Diagnostics Terminal (CDT), found only on the Silverliner V cars, is an on-board LONWorks-

based system. It is designed to facilitate troubleshooting and review of diagnostic logs from on-board

equipment. The ATC/PTC equipment provides a single interface with the CDT.

2.1.2 Operator Interfaces

Interaction with the ATC/PTC systems is accomplished through various displays and control devices. User

access occurs at two levels: normally a train operator, who operates the vehicle from a cab, and secondarily, a

technician, who is concerned with testing and diagnosing the systems.

a) ASPECT DISPLAY UNIT (ADU):

The ADU is the primary display device with which the operator interacts with the systems. Depending

upon the vehicle application, there are one or two ADU devices located within a cab.

The device contains indicators to report vehicle speed, signal aspects, and the Maximum Allowable Speed,

along with various status indicators and audible alarm devices. Operator controls consist of a local

message selection pushbutton switch, a display intensity pushbutton switch, and a mechanism to activate

separately ATC and PTC Departure Tests.

b) POSITIVE TRAIN STOP OVERRIDE PUSHBUTTON:

The Positive Train Stop Override (PTSO) pushbutton switch is a control used by the operator to bypass a

Positive-Stop initiated by PTC. The pushbutton is a momentary action switch; there is one located within

each cab.

In practice, the PTSO pushbutton must be located away from the operator’s console. The operator should

not have convenient access to the pushbutton while normally seated at the control console.

c) ACKNOWLEDGE PUSHBUTTON:

The Acknowledge pushbutton can be used by the operator to acknowledge downgrades reported by the

systems. The pushbutton is a momentary action switch; there is one located within each cab, near the

operator.

The pushbutton also serves as an Alerter reset switch.

The actual pushbutton switch may contain multiple contact sets. Other on-board systems may receive input

from the same switch.

d) ACKNOWLEDGE PEDAL:

The Acknowledge pedal switch is an alternative control that can be used by the operator to acknowledge

downgrades reported by the systems. With respect to the ATC and PTC equipment, the pedal functions the

same as the Acknowledge pushbutton switch located near the operator. The pedal is a momentary action

switch; there is one located within each cab.

The pedal also serves as an Alerter reset switch.

The actual pedal switch may contain multiple contact sets. Other on-board systems may receive input from

the same pedal switch.


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e) MASTER CONTROLLER / REVERSER:

Depending upon the specific vehicle application, either a Master Controller or a Reverser is operated to

key-up the cab. With the cab keyed-up, a cab-active signal is supplied through a Cab Make-up relay

contact to the ATC / PTC equipment. The Master Controller or Reverser is used by the operator to select

the direction of travel for the vehicle; this drives train-lined direction control signals to the propulsion

system(s).

The cab-active signal instructs the ATC / PTC systems as to which cab is activated and how to interpret

train-lined directional control signals.

f) THROTTLE LEVER:

The Alerter function monitors various train-lined throttle position signals in order to determine operator

activity. The specific signals monitored are dependent upon the vehicle application. The Alerter function

can monitor up to four (4) throttle position signals.

The actual throttle positions monitored are dependent upon the vehicle application.

g) AUTOMATIC BRAKE LEVER:

The operator manipulates the automatic brake lever to apply braking at appropriate times in order to

prevent and reset penalty brake applications. Using this brake lever, the operator must obtain and maintain

suppression in response to overspeed enforcement by the ATC or PTC equipment.

This action is necessary when the operator exceeds the alert curve enforced by PTC. For the ATC

equipment the operator must obtain and maintain suppression in order to hold off and/or reset a penalty

brake application.

h) CUT-OUT SWITCHES:

There are separate ATC and PTC cut-out switches on all PTC equipped vehicles. The switches are sealed

but are accessible by the operator. Depending upon the vehicle application, the switches may be located

near the equipment or in the vicinity of the operator’s cab.

i) NON-CAB TERRITORY SWITCH:

The Non-Cab Territory switch is used to instruct the ATC system whether it should provide overspeed

protection based on normal ATC enforcement or non-cab territory enforcement rules. It is a momentary

action switch easily accessible by the operator.

j) HORN PUSHBUTTON:

The Alerter function monitors the Horn pushbutton in order to determine operator activity. Not all SEPTA

vehicles are equipped with this pushbutton.

k) BELL PUSHBUTTON:

The Alerter function monitors the Bell pushbutton in order to determine operator activity. Not all SEPTA

vehicles are equipped with this pushbutton.

l) DEPARTURE TEST REQUIRED BYPASS PUSHBUTTON:

The ATC departure test required mode of operation may be bypassed for troubleshooting and repair

purposes. This pushbutton is located within the equipment enclosure and is accessible only by the

technician.


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2.1.3 Operations

When power is applied, the ATC equipment automatically boots and continues operating indefinitely,

responding to stimuli and operator controls until powered off. It continuously monitors track signals, train

speed, and operator actions in order to protect the train from an overspeed condition. Immediately following a

power-up or a restart for any reason, the ATC equipment automatically resumes operation in its departure test

required mode.

When power is applied, the PTC equipment automatically boots and continues operating indefinitely,

responding to stimuli and operator controls until powered off. While the train is moving, PTC continuously

scans the ground for wayside transponders, awaiting enforcement data from any transponder sets encountered.

Once it determines that it is in PTC territory, it continuously monitors train speed, operator actions, and the

MCP radio network, in order to protect the train from civil speed limit violations.

Both the ATC and PTC equipment provide built-in on-board self-test, or Departure Test capabilities. These

tests are designed to functionally exercise the equipment and verify its operation on a daily basis. An operator

can initiate tests from the Aspect Display Unit (ADU). The operator is expected to carefully observe the

behavior of the equipment and scrutinize the information reported by it during a test. Ultimately it is the

operator’s responsibility to determine whether or not a test completes successfully and that the equipment is

responding properly.

The combined ATC and PTC equipment provides built-in logging and diagnostic capabilities. These features

are designed to troubleshoot both wayside signaling issues as well as possible issues with the on-board

equipment. A technician can access logged and real-time data via a portable PC, or PTE device. In addition,

the PTE interface is utilized to install, configure, and inspect the equipment periodically. A specialized

application program, PTCView, must be installed on a PTE PC in order to make use of these features.

2.1.4 Adaptation

The baseline 9-Aspect ATC and ACSES II systems were designed for use by Amtrak on the Northeast Corridor.

The hardware and software platforms used in the systems allow for extensive re-use. Variations on the platform

are custom engineered to accommodate each railroad customer’s needs. Within application limits, the

equipment can be field configured to accommodate various types of vehicles and various characteristics of a

specific vehicle.

a) Custom Engineering:

On a non-recurring engineering basis, accommodations are made for mechanical packaging, railroad-

specific operating rules, and as necessary, configurations for different types of vehicles.

b) Field Configuration:

The railroad customer can, within application limits, tailor the behavior of the ATC and PTC

equipment to meet certain operational conditions or make adjustments for specific vehicles.

The equipment is configurable via its PTE application program, PTCView. The customer can, within

limits, adjust items including the vehicle type, alarm intensity, vehicle Id, maximum vehicle speed,

tachometer pulse-per-revolution, initial wheel diameter, and MCP Data radio network Id.

2.1.5 Operator Qualifications

Two separate classifications of operators must work with and be familiar with the ATC/PTC equipment: one a

train operator and the second, an electrical technician. The train operator must be aware of the functional

behavior of the equipment and how it applies to operation of the overall vehicle or train. The technician too


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must be aware of the functional behavior, but also must understand the internal electrical operations and

interactions of the equipment in order to maintain it and effect repairs.

To effectively utilize the ATC/PTC equipment any operator must be able to accomplish the following:

a) Visually interpret colored LED indicators that are used to report signal aspects, equipment status, and

train speed.

b) Audibly interpret piezo alarm devices (Sonalerts) that alert the operator to potentially unsafe or

undesired situations.

c) Physically respond to visual and audible alerts for action within 5 seconds.

It is expected that a train operator is trained and certified by the railroad / authority to properly and safely

operate the vehicle on the territory or territories over which the train travels, using the information presented to

him through the Aspect Display Unit (ADU).

It is expected that an electrical technician is trained and certified by the railroad / authority to properly and

safely troubleshoot and maintain the ATC and PTC equipment found on the vehicle.

2.2 Performance Related Attributes

2.2.1 Major Functions of the ATC Equipment

The ATC system is responsible for performing the following major functions.

a) Receive, decode, and translate cab signal track signals into signal aspects.

b) Measure vehicle speed using a dedicated speed sensor.

c) Via one (1) or more dedicated display device (ADU), report cab signal aspects, vehicle speed, and

ATC operating status to the operator.

d) Automatic Train Control (ATC) protection in the form of forced acknowledgement in response to

signal aspect downgrades.

e) Overspeed protection based on operating mode and signal aspects.

f) Non-cab territory operation.

g) Enforcement of Positive Train Stop (PTS) as defined by ACSES II operation on the NEC.

h) Automated on-board departure test.

i) Report real-time data to an external FRA-compliant Event Recorder.

j) Internal event recording (data logging). Access to this information is via a PC-based PTE locally or

over a cellular network.

k) Real-time event monitoring. Access to this information is via a PC-based PTE locally or over a

cellular network.

2.2.2 Major Functions of the PTC Equipment

The PTC system is responsible for performing the following major functions.

a) Acquire wayside transponder data and translate it into civil speed restrictions.

b) Acquire wayside signal / route data and translate it into civil speed restrictions.


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c) Acquire TSR package data and apply corresponding speed restrictions.

d) Measure vehicle speed and distance traveled using a dedicated speed sensor.

e) Automatically compensate for wheel wear. Update adjusted wheel diameter to the ATC.

f) Via one (1) or more dedicated display device (ADU), report MAS, vehicle speed, and PTC operating

status to the operator.

g) Civil speed enforcement as defined by ACSES II operation on the NEC.

h) Positive Train Stop (PTS) as defined by ACSES II operation on the NEC.

i) Automated on-board departure test.

j) Report real-time data to an external FRA-compliant Event Recorder.

k) Internal event recording (data logging). Access to this information is via a PC-based PTE locally or

over a cellular network.

l) Real-time event monitoring for PTC. Access to this information is via a PC-based PTE locally or over

a cellular network.

2.2.3 Static Numerical Requirements

The characteristics listed below are identified to ensure regulatory compliance, as well as safety and integrity in

the equipment design.

a) The maximum delay time from the detection of a downgrade in signal aspect to the initiation of a

penalty brake application must not exceed eight (8) seconds.

b) The maximum delay time from the detection of an overspeed condition to the initiation of a penalty

brake application must not exceed eight (8) seconds.

c) The maximum delay time from the detection of a downgrade in civil speed enforcement to the

initiation of a penalty brake application must not exceed eight (8) seconds.

d) The vehicle or married car-pair can only be activated and controlled from one (1) cab at time; thus

there can only be one (1) train operator at a time. Likewise, the PTC system recognizes only one (1)

active cab at a time and thus only one (1) train operator at a time.

e) Only one (1) cab is permitted active at anytime. If a second cab is activated simultaneously, an alarm

is activated and a delayed penalty is initiated.

f) Only one (1) direction is permitted active at anytime. If the opposite direction is activated

simultaneously, an alarm is activated and a delayed penalty is initiated.

g) With the exception of the Silverliner V married car-pair application, there is one (1) PTC system

located in each single-vehicle application and married car-pair application. There is one (1) scanner

antenna used in each of these applications.

h) In the Silverliner V married car-pair application there is one (1) PTC system located with each vehicle

of the married car-pair. Each PTC system uses its own dedicated scanner antenna.

i) The ATC/PTC equipment expects at least one (1) ADU device to reside in each of up to two (2) cabs at

all times.

j) Diesel switcher locomotive applications require two (2) ADU devices to reside in a cab.


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k) The ATC/PTC equipment operates normally with at least one (1) ADU device operational in the

activated cab.

2.2.4 Dynamic Numerical Requirements

a) The delay time in the ATC, for an operator response, from the detection of a downgrade in signal

aspect to the initiation of a penalty brake application is a nominal five (5) seconds.

b) The delay time in the ATC, for an operator response, from the detection of an overspeed condition to

the initiation of a penalty brake application is a nominal five (5) seconds.

c) The delay time in PTC, for an operator response, from the detection of a downgrade in civil speed limit

to the initiation of a penalty brake application is eight (8) seconds.

d) The delay time in the PTC, for an operator response, from the detection of an overspeed condition to

the initiation of a penalty brake application is minimal; any PTC overspeed penalty is effectively

immediate.

e) Overall latency in the response to a software-detected fault in a safety-critical function must not exceed

eight (8) seconds. When feasible, it should not exceed the established penalty delay time of five (5)

seconds.

2.2.5 Reliability

The estimated MTBF for the overall system is 19,968 hours, yielding a MDBF of 549,121 miles.

This estimate is based primarily actual repair data for PHW manufactured assemblies and incorporates MTBF

data reported by third party manufactures where applicable.

2.2.6 Security

Physical security of the ATC/PTC equipment relies upon several intrinsic features. The equipment is located

on-board a vehicle, which itself is expected to be secured from unauthorized access and tampering. The

enclosure is a latched cabinet; it can accept a lock and seal.

Functional security is inherent in the equipment design, as the ATC/PTC system is based on embedded

microcontroller platforms. Application software is supplied to the customer in the form of an executable image,

programmed into an IC device, which is physically socketed or soldered on a printed circuit board. Unless

specifically stated otherwise, the IC devices utilized are microcontrollers with on-chip flash memory.

All IC devices are programmed using specialized tools and software, via a host PC. Neither a repair technician

nor a train operator has access to the program and cannot modify it. PROM based microcontrollers and flash

memory devices must be programmed with PC-based programming devices. Flash-based microcontrollers are

programmed in-circuit; access to the program is possible only through the on-board programming port with

special tools.

The ATC/PTC equipment makes extensive use of plug-in circuit boards. Each of these boards is uniquely

keyed so that it cannot be accidentally plugged into an incorrect slot within a cardfile.

2.3 Constraints

This section discusses the various constraints placed on the engineering and/or application of the ATC/PTC

equipment.


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2.3.1 Regulatory Policies

The system is applied in a safety-critical railroad signaling capacity. Most sensing and protection features are

considered safety-critical. Where operations must be performed in fail-safe manner, safety-critical data must be

protected from corruption or malfunction. It is subject to CFR, Title 49 – Transportation, administered by the

Department of Transportation, Federal Railroad Administration.

The equipment is designed specifically to comply with Section 236 of the CFR. Additional customer or

contractual obligations also designate compliance with Section 238.

2.3.2 Safety Considerations

Compliance with Section 236 of the CFR is accomplished through the use of specific safety techniques. These

are applied in both the design and implementation of the equipment, including electrical hardware and software

components. Safety is an integral element in the design; both hardware and software techniques are utilized

extensively. Software safety techniques are utilized in application software, as well as executive (operating

system) and library software; many of the techniques themselves are services of library components.

The objective in a fail-safe design is to prevent any credible single-point failure from persisting in a more

permissive or unsafe condition. Credible single-point failures may be categorized as detectable and

undetectable. For those that are detectable, self-tests are used to detect the failures and force the system to a

safe state. Where self-tests are not practical the use of vital circuitry, or other intrinsic safety techniques, are

used to ensure safe-side failure, regardless of whether or not the failure is detectable.

Self-test safety techniques are software-based and integrated with the electrical design of the embedded

hardware platform. An application program is generally responsible for continuously performing self-tests.

Tests target microcontroller hardware such as the CPU, memory, and its peripherals. They also include

monitoring techniques for the application program itself and closed-loop monitoring of I/O circuitry.

Intrinsic safety techniques generally apply to circuits in which fail-safe principles guard against all credible

failures of the individual components. A single component failure results in the loss of an output signal, the

degradation of an output signal, or a decrease in sensitivity to an input signal. These techniques can also

include constraints on signal attributes, such as frequency, modulation rate, duty cycle, amplitude, and phase

relationships.

Isolation is another technique used to ensure that a wiring-related fault does not defeat the control capabilities of

the equipment. Power and control signals are required to be isolated from the vehicle body / chassis.

Furthermore power supplies internal to the equipment are isolated from vehicle battery.

Finally, periodic inspections are an integral part of ensuring the continued safety provided by the equipment.

Daily operational and periodic electrical inspections are necessary to manually confirm that the equipment is

operating properly and those certain faults, which might otherwise be undetectable by the equipment itself, are

detected and corrected in a timely manner.

2.3.3 Functional Considerations

a) The ATC/PTC equipment normally is configured to support a dual-cab vehicle configuration.

b) The ATC/PTC equipment expects at least one (1) ADU device in each of up to two (2) cabs to be

operational at all times.

c) There are vehicle applications where two (2) ADU devices may be operational within a cab.

d) The ATC and PTC equipment is powered directly from vehicle battery through independent circuit

breakers. Power is applied to the equipment regardless of whether or not there is an active cab.


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e) Each ADU device is powered by both the ATC and PTC equipment. The design intent is to allow an

ADU to operate in a degraded manner when only the ATC or PTC is operational.

f) An ADU device is electrically connected and operational regardless of whether the cab is activated or

not by the train operator.

g) User controls are not operational or recognized unless the train operator activates the cab. Specifically,

the Acknowledge and the PTSO functions are not operational in an inactive cab.

h) Operator cut-outs are operational and recognized regardless of whether or not any cab is activated.

Specifically, the ATC or PTC equipment can be cut-out at any time. The ATC and PTC equipment

may be cut-out independently of each other.

i) When the PTC equipment is electrically cut-out, the PTC-related indicators and displays on the ADU

are extinguished. The PTC cut-out indicator should be illuminated.

j) When the ATC equipment is electrically cut-out, the ATC-related indicators and displays on the ADU

are extinguished. The ATC cut-out indicator should be illuminated.

k) The permanent suppression signal from the brake system results from a reduction in the train’s brake

pipe pressure that correlates to a service brake application. Suppression is assumed to be a function of

the train’s brake pipe, and not a function localized to the vehicle or its brake cylinder pressure.

l) A cab activation signal is asserted only when the cab is locally keyed-up, and the cab is pneumatically

and electrically configured as the lead cab in a consist.

m) Local automatic brake control is functionally cut-out in an inactive cab.

n) The ATC penalty magnet valve, or its electronic equivalent, can be de-energized anytime that speed

above Vzero is measured with no activated cab. The ATC assumes trailing unit operation when

movement is detected without an active cab; it assumes that local brake control is pneumatically

bypassed under these conditions.

o) The PTC penalty magnet valve, or its electronic equivalent, can be de-energized anytime that speed

above Vzero is measured with no activated cab. The PTC assumes trailing unit operation when

movement is detected without an active cab; it assumes that local brake control is pneumatically

bypassed under these conditions.

2.3.4 Other Considerations

None


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3. Detailed System Description

3.1 Vehicle Applications

The following figures contained within this sub-section illustrate the general placement of PTC and PTC-related

peripheral devices on each of the vehicle applications. A table accompanies each figure; the tables identify specific

operating features or parameters that may be critical to the application of the PTC equipment on the vehicle.

NOTE:

THE VEHICLE FIGURES ILLUSTRATE THE CONVENTIONAL NOMENCLATURE USED IN THIS AND

OTHER DESIGN DOCUMENTATION, INCLUDING ANY SCHEMATICS, WIRING DIAGRAMS, AND

ASSEMBLY DRAWINGS.

VEHICLE NOMENCLATURE SHOWN IN BLACK IS CONSISTENT WITH SEPTA TERMINOLOGY.

THOSE SHOWN IN RED ARE CONSISTENT WITH PHW TERMINOLOGY.

Figure 3-1, Equipment Location - Silverliner IV Single Car

Silverliner IV Single Car

A-END B-END

F-CABR-CAB

1

2

34 5

ITEM DESCRIPTION

1 ATC/PTC OBC2 ADU3 CUTOUT PANEL4 SCANNER ANTENNA5 SPEED PROBES

2

(FRONT)

FWDREV

6 TRACK RECEIVERS

66

Figure 3-2, Equipment Location - Silverliner IV Married Car-Pair

Silverliner IV Married Car-Pair

A-ENDA-END

B-CAR

B-END

A-CAR

B-END

B-CARA-CAR

R-CAB F-CAB

1

2

34 5

2

FWDREV

66

ITEM DESCRIPTION

1 ATC/PTC OBC2 ADU3 CUTOUT PANEL4 SCANNER ANTENNA5 SPEED PROBES6 TRACK RECEIVERS

Table 3-1, Vehicle Characteristics - Silverliner IV Single Car & Married Car-Pair

Parameter Description

Nominal Battery Voltage: 37.5 VDC

Speed Probes: Magnetic reluctance type; leaded with bayonet connector. Thread-mount at truck.


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Tachometer Gear: 88 PPR Bull gear

Minimum Wheel Diameter: 30 in.

Maximum Wheel Diameter: 32 in.

Maximum Allowable Speed: 100 MPH

Reverse Running Allowed: NO

Quantity of ADUs Per Cab: 1

Quantity of Track Receivers: 2 pair

Figure 3-3, Equipment Location - Silverliner V Single Car

Silverliner V Single Car

B-ENDA-END

F-CABR-CAB

12

3

4 5

2

(FRONT)

FWDREV

66

ITEM DESCRIPTION


Figure 3-4, Equipment Location - Silverliner V Married Car-Pair

Silverliner V Married Car-Pair

B-CAR

B-END

A-CAR

B-ENDA-END A-END

A-CAR B-CAR

F-CAB F-CAB

1 23

4 5

2

4

1 3

FWDREVREVFWD

5 66

ITEM DESCRIPTION


Table 3-2, Vehicle Characteristics - Silverliner V Single Car & Married Car-Pair


Nominal Battery Voltage: 37.5 VDC

Speed Probes: Magnetic reluctance type; leaded with bayonet connector. Bolt-on flange-mount at truck.

Tachometer Gear: 77 PPR Bull gear



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Figure 3-5, Equipment Location - JWC-2 Cab Car

JWC-2 Cab-Car

B-ENDA-END

F-CAB

1

23

4 5

(FRONT)

FWDREV

6

ITEM DESCRIPTION


Table 3-3, Vehicle Characteristics - JWC-2 Cab Car


Nominal Battery Voltage: 74 VDC

Speed Probes: Magnetic reluctance type; leaded with bayonet connector. Thread-mount at in-board axle journal.

Tachometer Gear: 100 PPR Axle ring gear








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Figure 3-6, Equipment Location - Nos. 601, 602, & 610 Cab Cars

601 & 602 Cab Cars

B-ENDA-END

F-CAB

1 23

4 5

610 Cab Car

B-ENDA-END

F-CAB

1 23

4 5

(FRONT)

(FRONT)

FWDREV

FWDREV

6

6

ITEM DESCRIPTION


Table 3-4, Vehicle Characteristics - Nos. 601, 602, & 610 Cab Cars



Speed Probes:

Magnetic reluctance type; leaded with bayonet connector. 601: Thread-mount at truck. 602: Thread-mount at in-board axle journal. 610: Thread-mount at in-board axle journal.

Tachometer Gear: 601: 88 PPR, Bull gear 602: 88 PPR, Axle ring gear 610: 100 PPR, Axle ring gear








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Figure 3-7, Equipment Location - Nos. 615 & 622 Cab Cars

615 & 622 Cab Cars

B-ENDA-END

F-CAB

1 23

4 5

(FRONT)

FWDREV

6

ITEM DESCRIPTION


Table 3-5, Vehicle Characteristics - Nos. 615 & 622 Cab Cars



Speed Probes: Magnetic reluctance type. Thread-mount in axle generator.

Tachometer Gear: 60 PPR







Figure 3-8, Equipment Location - AEM-7 Electric Locomotive

AEM-7 Locomotive

B-ENDA-END

F-CABR-CAB

1 2 3

4 5

2

(FRONT)

FWDREV

66

ITEM DESCRIPTION


Table 3-6, Vehicle Characteristics - AEM-7 Electric Locomotive





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Figure 3-9, Equipment Location - ALP-44 Electric Locomotive

ALP-44 Locomotive

B-ENDA-END

F-CABR-CAB

1 2 3

4 5

2

(FRONT)

FWDREV

66

ITEM DESCRIPTION


Table 3-7, Vehicle Characteristics - ALP-44 Electric Locomotive












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Figure 3-10, Equipment Location - BL-1500 & SW-1200 Diesel Locomotives

BL-1500 & SW-1200 Locomotives

B-END

(LONG HOOD)

A-END

(SHORT HOOD)

1

2 3

4

5

2F-CAB

(FRONT)

FWDREV

66

ITEM DESCRIPTION


Table 3-8, Vehicle Characteristics - BL-1500 & SW-1200 Diesel Locomotives








Reverse Running Allowed: YES



Figure 3-11, Equipment Location - RL-1000 Diesel Locomotive

RL-1000 Locomotive

B-END

(SHORT HOOD)

A-END

(LONG HOOD)

F-CAB

1

23

4 5

2

(FRONT)

FWDREV

66

ITEM DESCRIPTION


Table 3-9, Vehicle Characteristics - RL-1000 Diesel Locomotive





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Figure 3-12, Equipment Location - 2GS14-B Diesel Locomotive

2GS14-B Locomotive

B-END

(SHORT HOOD)

A-END

(LONG HOOD)

F-CAB1 3

22

4 5

(FRONT)

FWDREV

66

ITEM DESCRIPTION


Table 3-10, Vehicle Characteristics - 2GS14-B Diesel Locomotive



Speed Probes: Magnetic reluctance type Thread-mount in axle generator








3.2 System Context

The following block diagram illustrates the placement of the ATC and PTC systems within the context of a

generalized vehicle application.


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Figure 3-13, Context Block Diagram – ATC and PTC Systems


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The following diagram illustrates the functional organization of the on-board ATC and PTC equipment with respect

to the equipment enclosure(s).

Figure 3-14, Functional Organization Block Diagram – ATC and PTC Systems

F-CAB

ADU

(1)

F-CAB

ADU

(3)

R-CAB

ADU

(4)

ATC

OBC

OPERATOR CONTROLS

ATC / PTC CUT-OUTS

TRAIN-LINE SIGNALS

COMMUNICATIONS

CONTROLLER

EVENT

RECORDER

ODOMETER

ETHERNET

SWITCH

TO PTE

PTC

OBC

CDT

(SL-V CARS)

AIR BRAKE SYSTEM

CO

NN

EC

TO

R P

AN

EL

(S)

TO 4G MODEM /

ROUTER

ID

PLUG

ATC / PTC EQUIPMENT ENCLOSURE

Speed

Probes

F-CAB TRACK

RECEIVERS

R-CAB / REVERSE

TRACK RECEIVERS

CTV

BOX

TRANSPONDER

ANTENNA

UNDER CAR

EQUIPMENT

CONNECTOR PANEL(S)

VZERO

RELAYTO NO-MOTION

RELAY

In the above figure, the ATC and PTC On-Board Computers (OBC), the Communications Controller module, and

the Ethernet Switch are housed within the equipment enclosure. The ID Module is captive to the vehicle and it

mounts outside of the enclosure. Most electrical connections with the enclosure are accomplished using one or more

Connector Panel Assemblies inside the enclosure.

Within the enclosure the OBC systems are housed within a cardfile assembly, which contains an integral power

supply for each system. Each OBC handles its respective ATC and PTC functions. The Communications Controller

module is a shared resource between the ATC and PTC systems. The controller module provides all of the Ethernet-


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based communications as well as the interfaces with the Event Recorder, Odometer, and the Central Diagnostics

Terminal (CDT) in the Silverliner V vehicle applications.

The Connector Panel Assemblies are front-end interfaces between vehicle wiring and the OBC equipment. These

may be specific to the style of enclosure used in a given range of vehicle applications. The panels interface the OBC

equipment with the various cab controls, train-lined signals, brake system, and vehicle battery. They provide EMI

protection circuitry, electrical isolation where necessary, and are used to distribute the signals within the equipment

enclosure. Connection of vehicle wiring to the unit is made using locking circular-mil connectors (MIL-STD 5015

Reverse Bayonet).

External to the enclosure, on-board support equipment includes the Aspect Display Units (ADU), ID Module and

Odometer. The ADU devices are shared resources between the ATC and PTC systems.

3.3 Vehicle Application Kits

The ATC and PTC equipment is arranged into kits, according to the various vehicle applications. The following

table identifies the PHW kit numbers established for each application.

Table 3-11, Vehicle Application Kits

Item No.

PHW Kit Number

Vehicle Application(s)

1 D604217

Silverliner IV Single Car and Married Pair Silverliner V Single Car and Married Pair Cab Cars: Nos. 601, 602, & 610 Cab Cars: Nos. 615 & 622 JWC-2 Cab Car BL-1500 Diesel Locomotive SW-1200 Diesel Locomotive 2GS14-B Diesel Locomotive

2 D604218 AEM-7 Electric Locomotive ALP-44 Electric Locomotive RL-1000 Diesel Locomotive

The various assembly kits include similar items. The primary differences between the kits lie in the specific

quantities of certain items, vehicle-specific installation instructions, and any installation hardware that might be

associated with a specific vehicle.

The major electronic assemblies and sub-assemblies common to the various kits include the following:

Table 3-12, Major Kit Assemblies and Sub-assemblies

PHW Part Number(s) Qty Description

D5664H01-A01, D5664H02-A01,

1 ATC/PTC System Enclosure

(1) D5664H06-A01 1 OBC Cardfile Assembly

(1) D5664H38-A01 1

Communications Controller Assembly

(1) D5664H61-A01 1 Identity Module

(1) 228006 1 VZero Relay

(1) 530058 1 Ethernet Switch


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PHW Part Number(s) Qty Description

D5664H08-A01 1 / 2 Aspect Display Unit Assembly

D5664H09-A01 1 Odometer Assembly

D2074H10-A04 1 CTV Box Assembly

D2074H01-A01 1 Scanner Antenna (with cables)

C066E50-A01 2 / 4 Mini Track Receiver

185064 ,185065 0 / 2 Speed Probe (1-ATC, 1-PTC)

D600001-A09 0 / 1 Axle Generator (60 / 60 PPR)

(1) Sub-assembly is included as part of the ATC/PTC System Enclosure.

3.4 Enclosure Equipment

3.4.1 ATC On-Board Computer

Housed within the OBC cardfile assembly, the ATC OBC consists of a series of plug-in circuit boards, most of

which are microcontroller-based designs. The circuit boards implement the I/O conditioning, cab signal

acquisition and decoding, communications, and operational logic of ATC. They reside on a common backplane

within the cardfile. Internally, the backplane provides I/O connections for discrete I/O and communication

busses. The backplane utilizes a synchronous (SPI) communications bus to facilitate communication between

the plug-in boards. External connection to the cardfile is made using locking circular-mil connectors (MIL-

STD 5015 Reverse Bayonet).

The ATC Power Supply is a DC-DC converter that regulates vehicle battery down to a nominal 32VDC for use

by the ATC OBC and its related equipment. The power supply is a plug-in module included in the cardfile.

3.4.2 PTC On-Board Computer

Housed within the OBC cardfile assembly, the PTC OBC consists of a series of plug-in circuit boards, most of

which are microcontroller-based designs. The circuit boards implement the I/O conditioning, transponder

acquisition and decoding, communications, and operational logic of PTC. They reside on a common backplane

within the cardfile. Internally, the backplane provides I/O connections for discrete I/O and communication

busses. The backplane utilizes a synchronous (SPI) communications bus to facilitate communication between

the plug-in boards. External connection to the cardfile is made using locking circular-mil connectors (MIL-

STD 5015 Reverse Bayonet).

The PTC Power Supply is a separate DC-DC converter that regulates vehicle battery down to a nominal 32VDC

for use by the PTC OBC and its related peripheral equipment. The power supply is a plug-in module included

in the cardfile.

3.4.3 Identity Module

The Identity Module is a non-volatile memory device used to store ATC and PTC configuration parameters. It

is packaged as a plug-connected device that attaches to the vehicle wall. It is considered a permanent part of

vehicle wiring.

The device contains separate and dedicated memory for each system.


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3.4.4 Communications Controller

The Communications Controller module is a device that services communications between the ATC and PTC

OBC equipment. It collects data from both systems and functions as a central point for communications with

common equipment including the crash-hardened event recorder, the car/radio network, the Odometer, and a

PTE computer.

3.4.5 VZero Relay

The Vzero relay is a device that switches externally supplied power to the vehicle’s No-Motion relay. It is

controlled directly from the ATC OBC. The relay provides a pair of contacts and is intended to serve as a

double-break, normally open control circuit for the external No-Motion relay. The Vzero relay is a critical

circuit DC control relay (Vapor No. 37531650).

3.4.6 Ethernet Switch

An internal Ethernet switch is provided to allow an Ethernet-based PTE connection and connectivity to

addition to an external 4G Modem/Router. The switch is a third-party provided component.

3.5 Aspect Display Unit

There is at least one (1) Aspect Display Unit (ADU) located in each cab of the vehicle. It is the operator’s primary

interface to the ATC and PTC equipment. The ADU functions not only as a signal aspect display but also a

speedometer and it houses the audible alarm devices. Speed limit information is presented digitally from both the

ATC and PTC.

The unit provides a variety of LED-based operator indicators; including discrete status lights, text displays, and 7-

segment numeric displays. For control purposes, a key-switch is provided for the operator to initiate ATC and PTC

departure tests. A dedicated pushbutton switch is provided for the operator to scroll through multiple messages that

might be queued for display. A second pushbutton switch is provided for the operator to manually adjust the display

brightness.

The device is powered continuously from both the ATC and PTC equipment. It operates regardless of whether or

not the cab is activated. In normal operation, the device independently communicates serially with the ATC and

PTC systems. The serial communications to the ATC and PTC equipment are asynchronous RS-422/485 links. In

general, indicator operation, as well as audible alarm operation, is commanded from the ATC and PTC equipment.

There exists only a single configuration of an Aspect Display Unit; all units are identical and interchangeable.

Where multiple units are used in a vehicle application, device address selection is accomplished with variations in

the vehicle wiring to the installed units.

The following block diagram illustrates the functional elements of an ADU and the functional interfaces with the

ATC and PTC equipment.


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Figure 3-15, ADU Functional Block Diagram

POWER

SUPPLY

SERIAL

COMM.

SIGNAL

ASPECT

DISPLAY

ADU

ADDR

SELECT

ASPECT DISPLAY UNIT

ATC POWER

ATC SERIAL COMM.

PTC SERIAL COMM.

PTC ATC /

ALERTER

PTC POWER

CABLE

PLUG

WIRING

MAS

SPEED

STATUS

INDICATORS

MESSAGE

DISPLAY

MSG

SELECT

ATC DEPT

TEST

PTC DEPT

TEST

BRIGHT-

NESS

CUT-OUT

INDICATORS

ALARM

CONTROL

BRIGHTNESS

CONTROL

3.6 Odometer

There is one (1) Odometer located in each vehicle. The device is a digital display that reports accumulated mileage.

The device is powered continuously from the ATC / PTC equipment enclosure. It operates regardless of whether or

not the cab is activated.

Accumulated mileage information is supplied to the odometer from the ATC / PTC equipment via a RS-422/485

asynchronous serial link. The reported mileage is displayed by the odometer and is also stored in non-volatile

memory within the odometer device. When interrogated, the odometer reports stored mileage to the ATC / PTC

equipment.

The following block diagram illustrates the functional elements of the odometer and its functional interfaces with

the ATC / PTC equipment.


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Figure 3-16, Odometer Functional Block Diagram

SERIAL

COMM.

ODOMETER

SERIAL

COMM.

ODOMETER

POWER

MILEAGE DISPLAY

COUNTER

LOGIC

NON-VOLATILE MEMORY

3.7 Speed Probes

On certain vehicle applications ATC and PTC speed probes are mounted either in an axle journal flange or directly

into a truck. When mounted in a journal flange, the probes are driven from an axle ring gear. When mounted in a

truck, the probes are driven from a bull gear. In these applications, the speed probes are supplied with integral leads

and are terminated with a MIL-STD 5015 bayonet type plug.

Figure 3-17, Speed Probes – Typical Wiring Block Diagram

PTC.TACH(+)

ATC

SENSOR

PTC.TACH(-)

ATC.TACH(+)

ATC.TACH(-)

JUNCTION

BOX

PTC

SENSOR

ATC.TACH.SHIELD

PTC.TACH.SHIELD

BAYONET

CONNECTORS

(1 - EACH SENSOR)

BULL GEAR

OR

AXLE RING

GEAR

ATC/PTC

ENCLOSURE

3.8 Axle Generator

On certain vehicle applications, specifically locomotives, an axle generator is utilized to house the ATC and PTC

speed probes. In these applications, the axle generator is mounted to the truck. Depending upon the application, the

generator may be mechanically driven using either a flexible shaft or paddle.

An axle generator houses two (2) speed probes. Each is a magnetic reluctance type driven from a 60-tooth gear.

The gear rotates once for each wheel revolution. Sensor no. 1 is the ATC probe, while sensor no. 2 is the PTC

probe. The housing contains a built-in six-position terminal strip that utilizes mini-AAR (#8-32) terminal posts.


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Figure 3-18, Axle Generator – Typical Wiring Block Diagram

PTC.TACH(+)

PTC.TACH(-)

ATC.TACH(+)

ATC.TACH(-)

JUNCTION

BOX

ATC.TACH.SHIELD

PTC.TACH.SHIELD

ATC

SENSOR NO. 1

PTC

SENSOR NO. 2

WHITE

WHITE

BLACK

BLACK

AXLE

GENERATOR

TERMINALS

AXLE

GENERATOR

GEAR

(60 PPR)

7

8

4

5

N/C

N/C

ATC/PTC

ENCLOSURE

3.9 Mini Track Receivers

Mini track receivers will be used on all SEPTA vehicles.

The mini track receivers are specialized antennas designed specifically for use on vehicles employing AC propulsion

in 100/250 Hz cab signal territories. Their size and mounting geometry on the vehicle serve to minimize the

influence of outside signal sources into the coded carrier signal acquired from the rails. A pair of mini track

receivers is wired in a series-aiding configuration. Together they operate as a front-end to 100Hz and 250Hz

filter/amplifiers within the ATC equipment.

The receivers are mounted at 6.5, +0.0, -0.5, inches above the rail. Specifically in AC propulsion applications, the

receivers should be located as far forward from the traction and motor and power leads as possible, and they should

be oriented perpendicularly to the magnetic field of the motor. In typical DC propulsion applications, the receivers

may be oriented perpendicularly to the rails.


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The following figures illustrate the orientation and height requirements for mounting the mini track receivers.

Figure 3-19, Mini Track Receiver Orientation in an AC Propulsion Application

APPROX. 59"

APPROX. 24"

Figure 3-20, Mini Track Receiver Height

The following diagram illustrates the typical wiring for a pair of track receivers.


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Figure 3-21, Typical Track Receiver Wiring

TYPICAL TRACK RECEIVER PAIR

TRACK-RCVR2

TRACK-RCVR1

WHITE

WHITEBLACK

BLACK

21 3 JUNCTION BOX

SHIELD

TO SYSTEM

ENCLOSURE

The 100Hz and 250Hz filter/amplifiers used with the mini track receivers allow for an adjustable gain. Both

filter/amplifiers are designed for use in dual-ended vehicle applications. Each filter/amplifier provides independent

front-end and back-end gain adjustments. Factory gain settings should approximate a 1.5 / 0.75 A rms (equivalent

rail current) detection threshold with the track receivers at 6.5 inches above the rail. The sensitivity should remain

within acceptable operating limits throughout the life of the wheel. Adjustment to the track receiver height may be

necessary.

Up to two (2) pairs of track receivers may be used on a given vehicle or married-pair application. Applications

include dual-cab and single-cab configurations. The electrical connection between the ATC OBC and the

appropriate track receivers is determined by the operating configuration. The operating configurations are discussed

as follows:

a) APPLICATIONS, WITHOUT REVERSE RUNNING:

In a dual-cab application, the activated cab determines the normal direction of travel for the vehicle. There are

track receivers installed at both the F-Cab and R-Cab ends of these vehicles. The track receiver pair associated

with the activated cab is electrically connected to the ATC OBC while the operating direction is neutral or

forward.

b) In a single-cab application where reverse running is not permitted, the cab determines the normal direction of

travel for the vehicle. There are track receivers installed only at the F-Cab or front-end of these vehicles. The

track receiver pair is electrically connected to the ATC OBC while the operating direction is neutral or forward.

SINGLE-CAB APPLICATIONS WITH REVERSE RUNNING:

In a single-cab application where reverse running is permitted, the vehicle may be operated normally in either

direction of travel. There are track receivers installed at both the front-end and back-end of these vehicles. The

F-Cab or front-end track receiver pair is electrically connected to the ATC OBC while the operating direction is

neutral or forward. The reverse or back-end pair is electrically connected only while the operating direction is

reverse.

In both cases the “REVERSE RUNNING” configuration parameter is used to determine if the Track Receiver

should be connected when the cab is active but the Reverser is in neutral.


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3.10 CTV Box and Scanner Antenna

The CTV Box contains the RF electronics necessary to scan/read wayside transponders. It utilizes the scanner

antenna to power and read transponders and supplies transponder data to the cardfile electronics within the PTC sub-

system. It is a rugged cast aluminum assembly designed for under-body mounting on the vehicle.

The antenna is designed specifically for use with the transponder sub-system employed by the PTC equipment. It is

used to transmit RF power to wayside transponders and subsequently receive RF data from a responding

transponder. It is a rugged cast aluminum assembly designed for under-body mounting on the vehicle.

The CTV electronics serve as a 27 MHz transmitter and a 4.5 MHz receiver. Low-pass filtering on the 27 MHz

output reduces unwanted interference from harmonics of the 27 MHz signal. The receiver portion demodulates the

incoming AM signal and supplies the demodulated data bit stream to the cardfile electronics.

Test pulses are utilized in the signal paths from the cardfile electronics, through the CTV electronics, and in the

antenna to verify operation in a closed-loop fashion. All signals between the cardfile electronics and the CTV are

buffered and isolated from chassis ground.

Functional elements of the CTV Box and the Scanner Antenna are illustrated in the following block diagram.

Figure 3-22. CTV Box & Scanner Antenna Functional Block Diagram

CTV BOXTRANSPONDER

ANTENNA

27 MHZ

XMTR

4.5 MHZ

RCVR

TEST /

INTFC.

12VDC

SERIAL TRANSPONDER

DATA & CONTROL

SY

NC

HR

ON

OU

S D

EM

OD

UL

AT

OR

For reference, the following figure illustrates various views of the CTV Box and identifies its mounting points.


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Figure 3-23, Outline Views of CTV Box

For reference, the following figure illustrates top and side views of the Scanner Antenna and identifies its mounting

points.


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Figure 3-24, Outline Views of Scanner Antenna

For installation and inspection purposes, the height of the antenna can be measured relative to the railhead. The

bottom surface of the antenna should measure approximately 9.5 inches 1.0 inches from the top of the railhead.

This distance helps to protect the antenna from damage and keeps it within acceptable operating limits. The

following figure illustrates this measurement.


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Figure 3-25, Scanner Antenna Height

To help ensure proper positioning of a train at home signals, the antenna must be located within 150 feet of the

front of the train. This constraint applies regardless of the travel direction when the vehicle is a lead unit of a

train.

3.11 Equipment Interfaces

This equipment interfaces with several other systems on the vehicle: including various operator controls, train-lined

control signals, the brake system, communications, and the crash-hardened event recorder. Interfaces to these

systems are discussed in the following sub-sections and illustrated in diagrams.

3.11.1 Operator Controls

The various operator controls are generally located on or near the operator’s control stand in each cab. An

exception to this is the PTS Override pushbutton; by FRA mandate it must be located out of normal reach while

the operator is seated at the controls. Operator control signals to the ATC and PTC equipment are only

recognized when the cab is activated and configured, or made up, as a lead cab.

The following figure illustrates the operator controls associated specifically with ATC and PTC.


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Figure 3-26, ATC/PTC Operator Controls

BATTERY (+) CAB ACTIVE

PTS OVERRIDE

HORN

NON-CAB

PTSO

CAB CONTROLS

ACK

PEDAL

ACK

HORN

LEAD CAB

MAKE-UP

BELL

BELL

NON-CAB

ACK

* NOT PRESENT IN ALL VEHICLE APPLICATIONS.

*

*

*

Operator control signals to the ATC and PTC equipment are enabled only after the cab is made-up as the lead or

control cab. The control signals are powered by vehicle battery. This allows battery power to be obtained

locally within each cab, which minimizes the number of connections required between cars in married car-pair

applications.

3.11.2 Directional Train Line Signals

The directional signals supplied to the ATC and PTC equipment are derived from train lined direction control

signals to the propulsion system.

Figure 3-27, Directional Train Line Signals

REV

FWD

DIRECTION TRAIN

LINES

FWD

(F-CAB FWD)

(R-CAB REV)

REV

(F-CAB REV)

(R-CAB FWD)

BATTERY (+)


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In Silverliner IV vehicle applications, the propulsion direction signals are both de-asserted when the controller

is in the “coast” position. For at least the Silverliner IV vehicle types, the ATC and PTC equipment must

logically latch the last selected direction in order to bridge situations where the controller is placed into its

“coast” position. The ATC and PTC equipment will latch the direction to either forward or reverse when the

vehicle speed is not at VZero. The ATC and PTC equipment will logically unlatch direction when the vehicle is

at VZero.

3.11.3 Brake Control Train Line Signals

The brake control, or application, signals supplied to the Alerter function in the ATC equipment are derived

from train-lined brake control signals.

Figure 3-28, Brake Control Train Line Signals

BRK REL

BRK APP

BRAKE APPLIED

BRAKE RELEASED

EM APPEMERGENCY

APPLIED

BRAKE CONTROL

TRAIN LINES

BATTERY (+)

3.11.4 Throttle Control Train Line Signals

The throttle control signals supplied to the Alerter function in the ATC equipment are derived from train-lined

throttle control signals to the propulsion system.


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Figure 3-29, Throttle Control Train Line Signals

TP3

TP1

THROTTLE SIGNAL 1

THROTTLE SIGNAL 2

TP5

THROTTLE SIGNAL 3

TYPICAL THROTTLE CONTROL

TRAIN LINE SIGNALS *

TP7

THROTTLE SIGNAL 4

BATTERY (+)

* ACTUAL THROTTLE POSITION TRAIN-LINES MONITORED BY THE ATC/PTC ARE

SPECIFIC TO EACH VEHICLE APPLICATION. THE ATC/PTC PROVIDES FOR UP TO FOUR (4)

SIGNALS TO BE MONITORED.

THE THROTTLE POSITIONS 1, 3, 5, & 7 ILLUSTRATED ARE REPRESENTATIVE ONLY.

3.11.5 Brake System Interface

The brake system interface to the ATC and PTC equipment consists of dedicated pressure switches and a

penalty magnet valve, or its electronic equivalent. A pressure switch is used to provide the ATC and PTC with

a suppression signal. Pressure switches are also used to provide signals for brake cylinder pressure and brake

pipe pressure to the Alerter function within the ATC equipment.

The ATC uses up to two (2) pressure switches; one is required for a permanent suppression signal. The second

switch is optional and provides a temporary suppression signal, only to the ATC. The permanent suppression

switch provides a closed contact when sufficient reduction in the train’s brake pipe pressure occurs to constitute

a service brake application. The permanent suppression switch supplies a signal to both the ATC and PTC.

A temporary suppression pressure switch is only provided on the JWC-2 Cab-cars, AEM-7 locomotives, and

ALP-44 locomotives.

The magnet valve, or its electronic equivalent, initiates a penalty brake application when it is de-energized. The

ATC/PTC equipment will energize the control signal to this device in order to hold off a penalty application.

The ATC/PTC each provide a control signal to the magnet valve using an isolated, double-break circuit

operating at 32 4 VDC.

When both the ATC and PTC equipment are electrically cut-out, an external control voltage is supplied to the

magnet valve.


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Figure 3-30, Brake System Interface

PENALTY

MAGNET

VALVE**

PERM SUPPRESSION

* SUPPRESSION OUTPUTS ILLUSTRATED AS NORMALLY OPEN PRESSURE SWITCH CONTACTS.

CONTACTS CLOSE WHEN RESPECTIVE BRAKE CONDITION IS ACHIEVED.

** MAGNET VALVE OR ELECTRONIC EQUIVALENT.

BRAKE SYSTEM

INTERFACE

PERM.

SUPPR.*

PENALTY OUTPUT

TEMP.

SUPPR.*

ATC/PTC POWER TEMP SUPPRESSION

BCP

BPP

BRAKE CYL.

BRAKE PIPE

PERM.

SUPPR.

TEMP.

SUPPR

The suppression and pressure signals themselves are powered by local ATC and PTC power. The pressure

switches must be physically located in the same vehicle as the ATC and PTC equipment.

3.11.6 Electrical Cut-outs

From the operator’s perspective, electrical cut-out controls for the ATC and the PTC equipment are each a

single, sealed switch. Multiple contacts, both N.O. and N.C., are necessary for each system. Each respective

switch must control multiple contact sets for proper operation.

Equipment cut-out signals are required by the PTC OBC and the ATC OBC. These are single-break circuits

that switch PTC or ATC power.

In SEPTA vehicle applications, there is a single penalty magnet valve (or its electronic equivalent) shared by

the ATC and PTC systems. The ATC electrically controls the valve when the ATC is electrically cut-in. The

PTC electrically controls the valve only when it is electrically cut-in and the ATC is cut-out. When both ATC

and PTC are cut-out, the valve is electrically bypassed using externally supplied power.

The penalty outputs are double-break circuits and must be switched as such. External power, used to

electrically bypass the magnet valve during cut-out, must be switched in a double-break manner.


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The following figure illustrates the cut-out contact arrangement necessary for the ATC and PTC equipment.

Figure 3-31, ATC / PTC Cut-out Contact Arrangement

ATC CUT-IN

(TO ATC)

ATC/PTC

POWER

ATC CUT-IN

(TO PTC)

ATC CUT-OUTS *

ATC C/O

N.C.

ATC C/O

N.C.

ATC C/O

N.C.

ATC C/O

N.O.

ATC

PENALTY

CONTROL

PENALTY OUTPUT **

* CONTACTS ILLUSTRATED IN THE CUT-IN POSITION.

** DOUBLE-BREAK CIRCUIT. THE USE OF BREAK-BEFORE-MAKE

CONTACTS IS REQUIRED.

*** MAGNET VALVE OR ELECTRONIC EQUIVALENT. ONE PER EACH CAB.

EXTERNAL

POWER

(24-48VDC)

PTC CUT-IN

(TO PTC)

PTC CUT-OUT

(TO ATC)

PTC C/O

N.O.

PTC C/O

N.C.

PTC C/O

N.C.PTC

PENALTY

CONTROL

ATC C/O

N.O.

PTC C/O

N.O.

LEAD CAB

MAKE-UP

LEAD CAB

MAKE-UP

PENALTY

MAGNET

VALVE***

PENALTY

MAGNET

VALVE***

F-CAB

R-CAB

The ATC and PTC cut-out signals are powered by local ATC and PTC power. The contacts must be physically

located in the same vehicle as the ATC and PTC equipment.

3.11.7 FRA Event Recorder Interface

The interface between the ATC/PTC equipment and the event recorder is an isolated RS-422 asynchronous, full

duplex, serial link. Within the equipment, this serial link is physically connected to and functionally supported

by the Communications Controller.

No discrete signals from the ATC/PTC equipment, or their related interfaces, are supplied to the event recorder.


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No tachometer signal from the ATC/PTC equipment is supplied to the recorder.

3.11.8 4G Modem / Router Interface

The 4G Modem / Router utilizes a 10/100-Mbit Ethernet link to connect the PTC equipment to the MCP Data

Radio. The device supports IP addressing and facilitates communications with a proprietary 4G-based

diagnostics network. Within the ATC/PTC equipment, this link is functionally supported from the

Communications Controller, via a physical connection with the internal Ethernet switch.

3.11.9 Equipment Power

The ATC / PTC equipment is powered from vehicle battery. Depending upon the vehicle application, the

nominal battery voltage may be either a 37.5VDC (38VDC) or 74VDC input. The equipment must be protected

with external circuit breakers.

Within the equipment enclosure, two independent and identical DC-DC converters are provided; one for each

the ATC and PTC on-board equipment. That power supply accepts either battery level input and outputs a

nominal 32 VDC. The module provides galvanic isolation between its output, vehicle battery, and car-

body/chassis. The output of each on-board supply is distributed to the respective OBC, Communications

Controller, internal Ethernet Switch, and provides power for the Odometer. Power from each is also distributed

externally to the Aspect Display Unit(s), brake system, and respective cut-out contacts.

A third power supply is a DC-DC converter within the CTV Box. Similar in design to the OBC supply, it too

accepts either battery level input but outputs a nominal 12 VDC for operating the scanner antenna and RF

transceiver. It provides galvanic isolation between its output, vehicle battery, and car-body/chassis.

The following figure illustrates the overall distribution of power across the ATC and PTC equipment.

Figure 3-32, ATC/PTC Power Distribution

VEHICLE

EQUIPMENT

CIRCUIT

BREAKER

POWER

SWITCH

CO

NN

EC

TO

R P

AN

EL

(S)

(37.5VDC or 74VDC)

ATC POWER SUPPLY

(32VDC)

ATC

POWER

CIRCUIT

BREAKER

POWER

SWITCH

PTC POWER SUPPLY

(32VDC)

PTC

POWER

OBC CARDFILE

DISTRIBTION TO:

OBC CARDFILE

COMM. CONTROLLER

ETHERNET SWITCH

ODOMETER P/S

DISTRIBUTION TO:

ADU(S)

BRAKE SYSTEM

ATC CUT-OUTS

EQUIPMENT ENCLOSURE

DISTRIBUTION TO:

ADU(S)

BRAKE SYSTEM

PTC CUT-OUTS

BATTERY

BATTERY

DISTRIBUTION TO:

CTV BOX

SWITCHED

BATTERY

CO

NN

EC

TO

R P

AN

EL

(S)


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3.12 General Specifications

3.12.1 Physical

Table 3-13, Equipment Weight and Dimensions

Component Dimensions Weight

Equipment Enclosure(s) 23” x 23” x 12” 48” x 21” x 14”

60 lbs. 100 lbs.

Aspect Display Unit 12.25” x 4.75” x 3.99” 8 lbs.

Odometer Assembly 6.0” x 2.5” x 2.75” 1.2 lbs.

Speed Probe

Axle Generator Assembly 11.8” x 6.2” x 4.5”

(with fitting) 15.5 lbs.

Mini Track Receiver 2” x 2” x 11.75” 4.2 lbs

CTV Box 14.5” x 15.5” x 5.75” 56 lbs.

Scanner Antenna (includes coaxial and twin-axial cables)

25.3” x 25.3” x 7.5” 33.5 lbs.

3.12.2 Electrical Requirements

Electrical specifications are based on requirements expressed in IEC 60571. The following table identifies the

operating specifications for the electrical power to the ATC / PTC equipment.

Table 3-14, Equipment Electrical Specifications

Parameter Specification

Battery Operating Voltages

38 VDC Battery:

Nominal (Un): 37.5 VDC, Min (0.7 Un): 26.25 VDC, Max (1.25 Un): 46.88 VDC

74 VDC Battery:

Nominal (Un): 74 VDC, Min (0.7 Un): 50 VDC, Max (1.25 Un): 92 VDC

Battery Voltage Fluctuations

With no degradation to function:

Minimum (0.6 Un): 22.50 VDC, for up to 0.100 second (38 VDC Battery).

Maximum (1.4 Un): 100 VDC, for up to 0.100 second (72 VDC Battery).

With degradation to function, no permanent damage to equipment:

> (1.25 Un): 92 VDC and < (1.4 Un): 100 VDC, for less than 1.000 second

Input Voltage Ripple < 500 mV (1000mV)

Input Interruption / Loss 10 milliseconds maximum (at Un)

Recommended Circuit Breakers

38 VDC Battery:

ATC: 8 A PTC: 10 A 74 VDC Battery: ATC: 5 A PTC: 5 A


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Current

38 VDC Battery:

ATC: 6 A nominal, with in-rush not exceeding 18 A for up to 0.200 second. PTC: 8 A nominal, with in-rush not exceeding 24 A for up to 0.200 second. 74 VDC Battery: ATC: 3 A nominal, with in-rush not exceeding 9 A for up to 0.200 second. PTC: 4 A nominal, with in-rush not exceeding 12 A for up to 0.200 second. Nominal ratings are based on startup at minimum operating voltage and temperature.

Power Supply Thresholds Turn on: > 23 VDC Turn off: < 22 VDC

Input Isolation > 1M to chassis / earth ground

> 1M to output (+/-)

Output Isolation > 1M to chassis / earth ground

> 1M to input (+/-)

Table 3-15, Electrical Specifications – Penalty Brake Outputs


Output Voltage Nominal: 32 VDC @ 10 W max. Minimum: 28 VDC Maximum: 36 VDC

Isolation

> 1M to chassis / earth ground

> 1M to input (Internal 32VDC + / -) Galvanically isolated, differential signal pair.

Electrical Cut-out Output is mechanically switched to a power source external to the equipment.

Table 3-16, Electrical Specifications – No-Motion Output (ATC Only)


Output Double-break, normally open, relay contact set

Contact Rating 6A @ 36 VDC, 3A @ 74 VDC (DC inductive loads)

Isolation > 1M to chassis / earth ground

Electrical Cut-out To the extent possible, the output operates normally.


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3.12.3 Environmental

Table 3-17, General Environmental Specifications


Operating Temperature (ambient)

All major ATC and PTC components: -40ºC to +70ºC

Odometer display: -35C to +70C

Storage Temperature (ambient)

All major ATC and PTC components: -55ºC to +95ºC

Odometer display: -35ºC to +85ºC

Relative Humidity (Operating & Storage)

On-board ATC and PTC components, and Odometer display: 20% to 80% (non-condensing)

Under-car ATC and PTC components: 20% to 100% (condensing)

Shock and Vibration All major ATC and PTC components, and Odometer display: Tested as Body Mounted-Class B devices (EN 61373).


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4. ATC Operating Concepts

4.1 Cab Signal Decoding

Signal aspect information is communicated to a vehicle using amplitude modulated, or coded, carrier signals in the

rail. The on-board cab signal equipment inductively receives this information through track receiver antennas

mounted over the rails, ahead of the lead axle.

The scheme uses carrier frequency (100 and 250 Hz), carrier amplitude, modulation rate, and modulation duty cycle

to represent specific signal aspects. The signal aspect enforced by the on-board cab signal equipment is derived

from the decoded carrier signals received.

In dual-carrier operation (100Hz and 250Hz), either only the modulated 100Hz carrier is utilized in the rail, or both

the 100Hz and 250Hz carriers are used. When both carriers are used, the carriers are modulated 180 out of phase

with each other. That is, the 250Hz signal is present only during the off time of the 100Hz signal. From a signaling

perspective, the 100Hz modulated-carrier must always be present in order to represent any non-restricting signal

aspect. The additional presence of the 250Hz carrier, which is modulated at the same rate, provides for additional

signal aspects to be represented.

4.1.1 Cab Signal Carriers

The characteristics of the carrier frequencies and the associated filters are:

100 Hz Carrier:

Center Frequency 96 Hz (91.67 Hz and 100 Hz carriers)

-3db points 85 Hz and 105 Hz

Nominal amplitude 1.2 to 1.8 A rms (equivalent rail current), with adjustable gain

Maximum amplitude 20 A rms (equivalent rail current)

Detection Dropout < 1.0 A rms (equivalent rail current)

250 Hz Carrier:

Center Frequency 250 Hz

-3db points 243 Hz and 260 Hz

Nominal amplitude 0.6 to 0.9 A rms (equivalent rail current), with adjustable gain

Maximum amplitude 20 A rms (equivalent rail current)

Detection Dropout < 0.5 A rms (equivalent rail current)

4.1.2 Code Rates

Cab signal carriers are demodulated and the resulting carrier envelope signals are monitored for amplitude, the

code rate, and duty cycle. Code rates are independently determined for each carrier channel. The criteria for

code rate detection are provided in the following tables.

Table 4-1, Code Rate Specifications

Nominal Code Rate

(CPM)

Minimum Dropout

Rate (CPM)

Minimum Detection

Rate (CPM)

Maximum Detection

Rate (CPM)

Maximum Dropout

Rate (CPM)

Duty Cycle Limits (%)

75 66 68 79 81 75/25

120 107 109 130 132 75/25

180 158 160 200 203 75/25

270 241 244 315 323 75/25


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Table 4-2, Half-Period Detection Requirements

Nominal Code Rate (CPM)

Number of Half-Periods

75 3

120 4

180 6

270 11

The nominal detection time, or pick time, for any code rate is approximately 1.6 +0.4 / -0.0 seconds.

4.1.3 Signal Aspects

Detected code rates from both carrier channels are used together to decode the transmitted signal aspect. To

form any non-restricting aspect, a 100 Hz code rate must always be present. A 100 Hz code rate by itself

represents an aspect. The combination of a 100 Hz code rate along with an equivalent 250 Hz code rate

represents another aspect.

The criteria for determining signal aspects are provided in the following table.

Table 4-3, Code Rates and Signal Aspects

100Hz / 250 Hz Code Rate(s)

SEPTA Signal Aspect

0 / 0 Restricted

75 / 0 Approach

75 / 75 * Approach

120 / 0 Approach Medium

270 / 0 Cab Speed 60

120 / 120 Cab Speed 80

270 / 270 CLEAR

180 / 0 CLEAR

180 / 180 * CLEAR

* In all SEPTA vehicle applications, the 75 / 75 and 180 / 180 dual code-rates are internally downgraded

to their respective single code-rates.

4.1.4 Code Rate Dominance

In the ATC decoding scheme, the intermittent loss of a code rate from the rail is bridged such that the

corresponding signal aspect is briefly “held”, anticipating that the code may be recovered in short order. This

permits multiple signal aspects to be asserted simultaneously.

In a low-speed or low-aspect dominant application, the signal aspect associated with the more restrictive speed

limit takes priority over any other aspect. In a high-speed or high-aspect dominant application, the signal aspect

associated with the less restrictive speed limit takes priority. In either scheme, the RESTRICTED signal aspect

is always assigned the lowest scan priority.


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The ATC uses a high-aspect dominance scheme to determine which aspect to report and enforce overspeed

against. While multiple aspects may be present or held-up, the non-restricting signal aspect with the higher

speed limit is reported and enforced.

Momentary loss of any code rate is bridged through the use of a drop-time associated with each signal aspect.

Each aspect has an independent drop-timer, which keeps the aspect asserted during momentary losses of the

corresponding code rate(s). The drop time duration is 3.2 seconds (an additional 0.2 seconds is required for the

logic to recognize the drop of the code) for all non-restricting aspects.

The eight (8) second maximum free running time is achieved by combining the drop timer duration, the lag time

for logic recognition, and the 4.6 second penalty timer.

4.1.5 Extended Code Rate Rejection

Not implemented on SEPTA vehicle applications.

4.1.6 Departure Test Required Operation

After any power-up or reset, the ATC requires a departure test to be completed successfully before full

operation is permitted. Prior to a successful departure test, all cab signal aspect information is rejected and the

signal aspect display on the ADU is blanked. A low speed limit is enforced, which permits only limited vehicle

movement (see Table 4-6). The message “ATC, DEPT TEST REQD”

Upon initiating an on-board departure test cab signal aspects are reported and enforcement occurs normally.

Successful completion of a departure test enables continued normal reporting and enforcement. In order to

facilitate service on the vehicle or equipment, a technician may bypass departure test required operation. A

bypass switch, a momentary-action pushbutton, is located within the equipment enclosure. To initiate a bypass,

the switch must be pressed each time after the equipment is reset or powered-up.

4.2 Speed Sensing

4.2.1 Speed Measurement

Vehicle speed is measured using a magnetic reluctance sensor in proximity to a gear. The equipment measures

the frequency of the speed sensor signal by counting pulses over fixed durations. The configured vehicle type

and wheel size are used to calculate the equivalent vehicle speed based on the pulse count.

Depending upon the SEPTA vehicle applications, the speed sensor may be truck-mounted or contained within

an axle-mounted housing. In truck-mounted applications the sensor is driven by either a bull-gear within the

truck assembly or by an axle-mounted ring gear. In axle-end mounted applications, a dedicated tachometer gear

within the axle generator housing drives the sensor.

4.2.2 Speed Comparison

The ATC and PTC systems measure speed using separate and independent speed sensors. Each system

exchanges its speed measurement with the other and compares the two speeds for coarse agreement.

When operating normally, the ATC compares its calculated speed against the speed reported from the PTC. A

speed comparison fault is initiated if the PTC speed exceeds the ATC speed by more than either 25% or 5 MPH

(whichever is larger) for longer than 60-seconds.

A speed comparison fault results in a penalty brake application; it is not recoverable (until system power is

cycled). The ATC system must be electrically cut-out in order to move the vehicle.


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4.2.3 VZero

The Vzero condition corresponds to a state where the measured velocity of the vehicle is effectively zero or

stopped. It is associated with a minimum point below which velocity may no longer be accurately determined.

This physical threshold is based on characteristics of the speed sensor, gear geometry, input circuit sensitivity,

and wheel diameter.

The Vzero condition is used internally by the cab signal system for various logical functions; it is not explicitly

reported to the operator via a discrete indicator on the ADU. The Vzero condition also determines the state of

the No-Motion output.

Operation of Vzero is controlled using independent thresholds, which provide a degree of hysteresis in its

behavior. Vzero is asserted when speed is less than or equal to approximately 1.0 MPH. Vzero is de-asserted

when speed is greater than or equal to approximately 1.5 MPH. The No-Motion output is energized when the

Vzero condition is asserted; it is de-energized when the Vzero condition is de-asserted.

The Vzero function and the No-Motion output remain functional as long as the ATC equipment is powered and

the speed sensor operates properly. Both continue to operate normally without regard to an active cab or

electrical cut-out of the ATC.

4.2.4 Wheel Slip

Wheel slip produces a higher frequency speed signal, which may introduce a false overspeed condition. In order

to reduce the possibility of a false overspeed condition, the ATC speed measurement algorithm limits the

acceleration (change in the measured speed) to about 5 MPH/second. Acceleration rates above that cause the

current speed to be latched for about 4 seconds. At the conclusion of the hold-time, the actual speed measured

is utilized.

4.2.5 Wheel Slide

Under low traction conditions, it is possible that wheel slide may produce an artificial Vzero condition. In order

to reduce the possibility of a false Vzero condition, the ATC speed measurement algorithm limits the

deceleration (change in measured speed) to about 5 MPH/second. Deceleration rates above that cause the


is utilized.

4.3 On-Vehicle Configuration

For the ATC equipment, configuration is accomplished through the PTE application program. The ATC

configuration can only be reviewed and modified using the PTE.

ATC configuration information is pertinent to the vehicle. It must be correct for the vehicle to operate properly and

safely.

ATC configuration parameters include:

Vehicle Type (AEM-7, ALP-44, etc.)

Locomotive / Vehicle Number

Tachometer Gear Size (pulses-per-revolution)

Wheel Diameter

Maximum Vehicle Speed (MAS for a specific vehicle type)

Reverse-Running Operation Enabled / Disabled

Alarm Intensity (low or high volume)


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The settings in the ATC configuration need to be examined and adjusted, if necessary, as part of the initial

installation of the equipment on a vehicle, as well as part of regular periodic inspection. The ATC configuration

may only be altered when the vehicle is stopped, permanent suppression is applied, and the Identity Module is

operating properly.

Details of individual configuration parameters are discussed in Section 9.

4.4 Acknowledgement

Acknowledgement is a means by which the operator interacts with the equipment, indicating the willingness and

ability to respond to a reported change in operating conditions for the vehicle. In general, the operator is alerted to a

change by a flashing indicator and an audible alarm, and then is given a fixed time period in which to respond. The

operator must respond promptly by pressing an Acknowledge switch.

While the most common reason for operator acknowledgement is a response to a downgrade in signal aspect, there

are several other related functions that utilize a similar response. The following list discusses those functions and

certain features inherent in the mechanism.

a) Signal aspect downgrade: This is a forced acknowledgement required after a downgrade to a lower-speed

signal aspect is reported by the ATC.

b) Overspeed Condition: This is a forced acknowledgement required after an overspeed is reported by the

ATC.

c) Penalty Brake Test: This function allows an operator to test the ability of the cab signal equipment to make

a penalty brake application and to measure the delay time associated with that brake application. Pressing

and holding an Acknowledge switch at any time results in an audible alarm and eventually a penalty brake

application. After the switch is held for approximately 2 seconds, the alarm is activated. Continuing to

hold the switch for an additional 4.6 seconds after the alarm starts initiates a penalty brake application.

d) Malfunction Protection: Since a penalty brake application is made in response to holding an Acknowledge

switch depressed, this feature provides protection from switch malfunction or tampering.

In the SEPTA vehicle applications, there may be up to two (2) Acknowledge devices in a cab. There is always a

push-button switch mounted on the operator’s console or control stand Optionally, there may be a second foot-pedal

switch.

4.5 Suppression

Suppression is a means by which the operator interacts with the equipment, indicating the willingness and ability to

make a service brake application. In general, suppression is used to hold off or “suppress” a suppressible penalty

brake application. The most common example of a suppressible penalty is that of overspeed, though other

conditions can also lead to a suppressible penalty. Not all penalties are suppressible. During penalty suppression,

the ATC magnet valve, or its electronic equivalent, is energized provided that no other non-suppressible penalty

condition exists simultaneously.

In order to suppress a penalty, the air brake system must achieve permanent suppression in a timely manner. The

operator must take action to suppress a penalty within 4.6 seconds of the initiating condition. Provided that

temporary suppression is achieved by the air brake system within the first 4.6 seconds, an additional 4.6 seconds is

given for permanent suppression to be achieved.

The loss of suppression can result in an immediate penalty brake application. This occurs if the following

circumstances are present:


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a) The penalty delay time is expired.

b) The initiating condition is not yet cleared.

The ATC recognizes suppression through only one (1) mechanism: a hardwired permanent suppression signal from

the air brake system.

4.5.1 Temporary Suppression Signal

The temporary suppression signal is supplied from the air brake system. This signal indicates that the train

operator has taken action to apply brakes on the train. Depending upon how it is actually implemented on the

vehicle, it signifies either that the brake handle was moved to a braking quadrant or a minimum reduction in

brake pipe pressure was made. Typically the temporary suppression signal is driven from a pressure switch, or

relay contacts driven from the electronic equivalent.

The ATC primarily utilizes the temporary suppression input signal only with overspeed enforcement. For the

purposes of overspeed enforcement only the transition of the signal to its asserted state is recognized; the steady

state of the input is ignored.

The transition of the temporary suppression signal is only recognized during an overspeed condition. It is

recognized only once during any given overspeed event. If the signal is lost, any subsequent changes in the

state of the signal are ignored. The train must be brought underspeed in order for temporary suppression to be

recognized again.

Not all SEPTA vehicle applications supply a temporary suppression signal to the ATC equipment.

4.5.2 Permanent Suppression Signal

The permanent suppression signal is supplied from the air brake system. This signal indicates that the train has

achieved a service brake application. It signifies that an appropriate reduction in brake pipe pressure was made

in order to achieve a service brake application. Typically the permanent suppression signal is driven from a

pressure switch, or relay contacts driven from the electronic equivalent. The presence of the suppression signal

is indicated on the ADU with the SUPPRESSION indicator illuminated.

The ATC utilizes the permanent suppression input signal in various operations, including overspeed

enforcement as well as conducting on-board tests, and configuration. During an overspeed event, the ATC

responds to the permanent suppression signal to hold-off, or suppress, a penalty brake application. During a

penalty brake application, the penalty brake output is temporarily re-energized while the input signal is active.

For all other control purposes, the ATC looks at the state of the permanent suppression input to determine

whether or not brakes are applied on the vehicle, in order to validate whether or not the requested action can be

initiated.

4.5.3 Permanent Suppression Crosscheck

The permanent suppression signal from the air brake system is monitored by the ATC for proper operation. A

functional crosscheck is performed on the input to verify that it is not falsely asserted. With the input asserted,

a 10% reduction in train speed must be attained over 60-second intervals, until speed is reduced to or below 20

MPH. The crosscheck is not performed at or below 20 MPH, nor is it performed during an on-board Departure

Test.

In the event that the permanent suppression input appears falsely asserted, where no speed reduction is attained,

it is subsequently ignored by the ATC. The ATC FAILURE indicator on the ADU will illuminate and the

corresponding “Cut-Out” message will be displayed. A non-suspressable penalty will be applied. This

exception condition is described in more detail in Section 4.18.7.


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4.6 Penalty Brake Applications

The ATC requests a penalty brake application of the air brake system by de-energizing its penalty brake output. It is

expected that this directly de-energizes a magnet valve, or its electronic equivalent, resulting in either a service or

emergency brake application. A penalty can be initiated for either operational or testing related events.

Operational events consist of:

a) Failure by the operator to acknowledge a downgrade in signal aspect.

b) Failure by the operator to acknowledge a non-restricting signal aspect upon entering cab signal territory

from non-cab signal territory.

c) Overspeed condition.

d) A Positive Train Stop (PTS) request was received from the PTC while a restricting aspect is present.

Note that the PTC equipment, not the ATC, generates an audible alarm during a PTS penalty application.

e) A Positive Train Control (PTC) request was received from the PTC. Note that the PTC equipment, not the

ATC, is responsible for all PTC-related penalty timing and audible alarm control.

f) Operator placed the Non-cab Territory switch into its Non-cab position for more than 4.6 seconds, with a

non-restricting signal aspect present.

g) Failure by the operator to respond appropriately to the Alerter function.

Test events consist of:

a) Departure Test Key-switch, located on an ADU, held in its ATC (ON) position with the train moving

(speed exceeds Vzero).

b) Internal faults detected as a result of self-tests on safety-critical portions of system. Includes self-test

checks on the speed sensor, wiring, I/O, and microprocessors.

The types of penalties supported by the system are summarized below in the following table. The table identifies

various characteristics of each penalty type.

Table 4-4, Penalty Types and Alarm Behavior

Penalty Type Penalty

Suppressible Alarm

Suppressible

Penalty Latched or Running Release

Pending Penalty Alarm

Active Penalty Alarm

Latched Penalty Alarm

Alerter No No Latched Yes Yes No

Acknowledge (ATC) Yes No Running Release

Yes Yes -

Overspeed (ATC) Yes Yes Running Release

Yes No -

1Positive Train Stop (PTS) No -

Running Release

- - -

1Positive Train Control (PTC) No -

Running Release

- - -

Failure Yes Yes Running Release

Yes Yes -

Operator Yes Yes Running Release

Yes Yes -

Speed Comparison Fault Yes Yes Latched Yes No No


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Suppressible Alarm

Suppressible





Permanent Suppression Crosscheck Fault

No No Latched Yes No No

1 ATC provides only electrical control of the penalty output. PTC is responsible for the audible alarm and timing

operations of the PTS and all other PTC-related penalties.

Below is a brief description of the penalty and alarm attributes identified in the preceding table.

Penalty / Alarm Suppressible – A suppressible penalty can be held off and its alarm silenced with the

assertion of permanent suppression from the air brake system.

Latched / Running Release – A latched penalty remains applied even after the initiating condition is mitigated.

A latched penalty forces the vehicle to stop and the operator to clear the penalty by applying permanent

suppression.

Pending Penalty Alarm – This attribute requires that the audible alarm be activated during the period that the

time-delay is running. A penalty brake application is not yet initiated for the condition.

Active Penalty Alarm – This attribute requires that the audible alarm remain activated after the penalty

application is made. The initiating condition for the penalty is not yet mitigated.

Latched Penalty Alarm – This attribute requires that the alarm remain activated during the time that the

penalty remains latched. The initiating condition for the penalty is mitigated but the operator has not yet

taken action to reset the penalty brake application.

4.6.1 Customer Specific Clarifications

a) The overspeed penalty operates as a running release penalty (with respect to the ATC).

b) During an overspeed condition, the audible alarm is silenced when acknowledge is made and suppression is

obtained.

c) During an overspeed penalty brake application, the audible alarm is automatically silenced only after an

acknowledge is made after the penalty is initiated. The overspeed indicator, located on the ADU, flashes

until the penalty is reset.

d) During an acknowledge penalty the audible alarm is silenced only after the operator acknowledges. The

ATC indicator, located on the ADU, flashes until the operator acknowledges.

e) During an alerter penalty the audible alarm is silenced only after the operator acknowledges. After the

acknowledgement, the ALERTER indicator, located on the ADU, continues to flash until the penalty is

reset. Reset of the alerter penalty occurs only after the vehicle is stopped.

4.7 Penalty Reset

In order to reset any penalty brake application, the condition that caused the penalty must first be cleared. If multiple

causes exist, all conditions must be cleared.

Non-latched, or “running-release” penalties are reset immediately once the initiating conditions is cleared. Latched

penalties however require the operator take additional steps to reset the penalty; they require that permanent

suppression is achieved and vehicle speed Vzero for a minimum of 2.5 seconds.


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After a penalty is reset, the ATC magnet valve, or its electronic equivalent, closes its associated pneumatic circuit.

The operator is then able to release the brake application after the pneumatic reset occurs.

4.8 Basic ATC Functions - Forced Acknowledgement

4.8.1 Signal Aspect Downgrade

A signal aspect downgrade occurs any time that a more restrictive signal aspect is detected by the system. In

response to a downgrade, the system reports the new aspect to the operator and activates a continuous audible

alarm. The operator must respond to the downgrade by acknowledging. Failure to acknowledge within 4.6

seconds results in a penalty brake application.

In the case of multiple downgrades events, specifically where the second occurs within less than 4.6 seconds

from the first, the first downgrade must still be acknowledged in a timely manner. A single acknowledge

operation though satisfies both downgrade events.

In general, acknowledgement of a downgrade must occur to prevent a penalty brake application. In the case of a

cab-flip, where the same or higher signal aspect returns within 4.6 seconds, no acknowledgement is necessary.

Acknowledgement is only required for a downgrade in reported signal aspect. Code-rate changes that result in

the same signal aspect being reported do not require an acknowledgement.

4.8.2 Signal Aspect Upgrade

A signal aspect upgrade occurs any time that a less restrictive signal aspect replaces a more restrictive aspect. In

response to an upgrade, the system reports the new aspect to the operator. No response from the operator is

required.

In all SEPTA vehicle applications, an audible alarm is momentarily activated to alert the operator to the

upgrade.

4.8.3 Motion Acknowledgement


4.8.4 Recurring Acknowledgement


4.9 Overspeed Protection

Overspeed is generally determined by comparing the measured train speed against the speed limit associated with

the current cab-signal aspect. Additional factors that determine the enforced speed limit include the configured

Vehicle Type and certain operating conditions. A vehicle-specific maximum speed may impose a lower limit than

commonly associated with a given non-restricting cab-signal aspect. In addition, non-cab territory operation and the

departure test required operating mode impose specific speed limits.

The common speed limits for each cab-signal aspect are identified in the following table.


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Table 4-5, Signal Aspect Speed Limits

SEPTA Cab-signal Aspect

Speed Limit (MPH)

Restricting 20

Approach 30

Approach 30

Approach Medium 45

Cab Speed 60 60

Cab Speed 80 80

CLEAR 100

CLEAR 100

CLEAR 100

Speed limits for other operating conditions are identified in the following table.

Table 4-6, Other Speed Limits

Operating Condition Speed Limit

(MPH)

Departure Test Required 10

Non-Cab Territory 79

In general, the operator can freely operate the train/vehicle at speeds up to and including the programmed speed

limit. The actual enforced overspeed setpoint is +3 MPH over the speed limit.

4.9.1 Overspeed Condition

An overspeed condition exists when the measured speed meets or exceeds the setpoint. This overspeed warning

is initially indicated with the OVERSPEED indicator illuminated steadily, the ATC indicator flashing steadily

and an audible ATC alarm due to an acknowledgement being required. The operator must acknowledge the

alarm within 4.6 seconds to silence the alarm and prevent an acknowledge penalty. After this action the ATC

indicator stops flashing but the OVERSPEED indicator remains illuminated.

In order to suppress an overspeed penalty the operator must respond by applying brakes or decreasing train

speed to or below the speed limit. Failure of the operator to obtain suppression within 4.6 seconds if still

overspeed or sufficiently reduce the train speed within 4.6 seconds, results in a penalty brake application. Once

the “overspeed” penalty brake application has occurred the overspeed indicator starts flashing.

4.9.2 Underspeed Condition

An underspeed condition exists when the measured speed is at or below the speed limit.

4.10 Positive Train Control Penalties

All PTC-related penalties, including the Positive Train Stop (PTS), are normally handled as a request that is initiated

by the PTC, but electrically serviced by the cab signal system. When the ATC is electrically cut-in, it has electrical

control of the penalty magnet valve that serves both ATC and PTC penalties.


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4.10.1 Positive Train Stop Penalty

The penalty magnet valve, or its electronic equivalent, is de-energized when the stop request is asserted while

under a restricting aspect. Within the ATC, a running release for this function is provided so that when the stop

request is de-asserted, or when the signal aspect upgrades, the penalty magnet valve may be re-energized.

4.10.2 Positive Train Control

The penalty magnet valve, or its electronics, is de-energized upon request from the PTC. Within the ATC, a

running release for this function is provided so that when the request is de-asserted, the penalty magnet valve

may be re-energized.

4.11 Non-Cab Territory Operation

Non-Cab Territory refers to areas where no wayside cab-signaling equipment is installed.

Non-Cab Territory operation darkens the aspect display and allows forward and reverse operation at speeds up to 79

MPH. Only the operator can invoke this mode of operation and it must be done so manually. Non-Cab Territory

operation is automatically terminated upon detection of a valid aspect.

The ATC reports the state of Non-Cab Territory operation to the PTC system. This allows the PTC to enforce its

operating rules knowing the speed limit enforced by the ATC.

4.11.1 Invoking Non-Cab Mode

Non-Cab territory mode is manually initiated by the operator pressing the Non-Cab Territory switch. The

system indicates Non-Cab Territory operating mode by lighting the ATC Cut Out indicator, and darkening the

aspect display on the ADU. The message “NON-CAB TERRITORY” is reported to the operator via the ADU.

Invoking Non-Cab operation is allowed only when a restricting aspect is displayed. Attempting to switch into

Non-Cab mode with any non-restricting aspect displayed activates the alarm and will result in a penalty brake

application if the switch is not released within 4.6 seconds. The message “ATC PENALTY, CAB-SIGNAL

TERR” will be reported to the operator via the ADU in this situation to indicate that the switch is erroneously

pressed.

When a signal downgrade occurs just before the Non-Cab Territory switch is pressed, the press of the switch

acts to acknowledge the downgrade. This action is required within 4.6 seconds in order to prevent a penalty

brake application.

Non-Cab operation cannot be initiated while the departure test required mode of operation is active. In this

situation, the message “ATC PENALTY, DEPT TEST REQD” will be reported to the operator.

4.11.2 Exiting Non-Cab Mode

Any time that a non-restricting aspect is received while in Non-Cab Territory mode, the system automatically

reverts to cab signal mode. If the reported signal aspect represents a downgrade in aspect from the non-cab

territory speed limit, then the operator is required to acknowledge that downgrade. The operator must do so

within 4.6 seconds to avoid a penalty brake application.

At any time while operating in Non-Cab Territory mode, the operator may press the Non-Cab Territory switch

to manually exit non-cab territory operation and revert to cab-signal operation.

4.12 Alerter Operation

The alerter function is integral to the ATC system. It monitors the vigilance of the train operator by monitoring a

variety of operator-related controls. If the operator does not manipulate these controls in a timely manner, the


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alerter function periodically forces the operator to do so. At any time, appropriate action by the operator, which

results in changes of state to the monitored signals, restarts alerter timing. Continued inaction by the operator, with

no changes to the monitored signals, results in a penalty brake application.

Before a penalty brake application is initiated, a visual indication is first provided to the operator; the ALERTER

indicator on the ADU is flashed for up to five (5) seconds. After that, the next level of warning additionally

activates an audible alarm for up to six (6) seconds. If after this eleven (11) second period, the operator fails to take

action, a penalty brake application is initiated.

Operation of the alerter audible alarm may be inhibited to yield priority to any other pending ATC alarm condition.

The ALERTER indicator operates normally in the presence of any other ATC alarm condition.

4.12.1 Alerter Penalty Reset

Once an alerter penalty is initiated, the ALERTER indicator continues to flash and the audible alarm remains

activated. The audible alarm is silenced only after the operator acknowledges the alerter. After the operator

acknowledges, the ALERTER indicator continues to flash until the penalty itself is reset. Reset of the alerter

penalty occurs only after the vehicle is stopped.

4.12.2 Monitored Operator Controls

The alerter function monitors specific control signals that are directly or indirectly manipulated by the operator.

The monitored controls include the following:

a) Permanent Suppression , via a pressure switch

b) Temporary Suppression , via a pressure switch

c) Brake Pipe pressure, via a pressure switch

d) Acknowledge foot-pedal

e) Acknowledge push-button

f) Throttle position change: up to four (4) positions (e.g. lever positions 1, 3, 5, and 7)

g) Train-lined brake signals: up to three (3) (e.g. Brake Applied, Brake Release, Emergency Applied)

h) Horn activation (where applicable)

i) Bell activation (where applicable)

4.12.3 Alerter De-activation

With no alerter penalty application, the alerter function can be automatically de-activated. When it is de-

activated, alerter timing is reset, the ALERTER indicator on the ADU is extinguished, and the audible alarm is

silenced.

Alerter de-activation occurs when any one of the following conditions are present:

a) Vzero condition is asserted

b) Permanent Suppression pressure switch is closed

c) Brake Pipe pressure switch is opened

d) Cab(s) de-activated


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With an alerter penalty application, the operator must first acknowledge to reset the alerter and the vehicle must

be stopped in order to reset the penalty. Once the penalty is cleared, the alerter function may then be

automatically de-activated.

4.12.4 Alerter Timing

Alerter function timing is either a fixed 30-second interval or a dynamic interval that is calculated using the

measured vehicle speed. The dynamic interval, in integer units of seconds, is determined using the equation:

2400 / speed

Where speed is in integer units of MPH. Given a vehicle speed range of 4 to 100 MPH, the dynamic interval

can range from 24 to 600 seconds.

The fixed, 30-second interval is applied while operating under a RESTRICTED signal aspect or while operating

in non-cab-signal territory. It is also applied anytime that the PTC system is electrically cut-out. The dynamic

interval is applied while operating in cab-signal territory under any non-restricting signal aspect.

4.13 Trailing Unit Operation

When the ATC equipment senses movement above Vzero with neither the front nor back cab active, it automatically

enters into trailing operation. Once in trailing mode, the unit remains in that mode until either cab is activated.

In order to enter trailing operation, the equipment must first sense Vzero with neither front nor back cab active.

Only after movement is sensed, with no cab active, does the equipment automatically enter trailing operation.

When in trailing unit operation, the ATC magnet valve output is de-energized and the audible alarm is silenced.

Trailing unit operation affects operation of the signal aspect display and the cut-out indicator on the ADU. It

presents a non-conforming display to the operator with all signal aspects extinguished and the cut-out indicator

extinguished.

When in trailing unit operation, the Vzero function and the No-Motion output operate normally.

4.14 Cut-out Operation

When the ATC Cut-out switch is placed into its cut-out position, the ATC equipment recognizes that it is electrically

cut-out. In response, the penalty control output is de-energized and the audible alarm is silenced. On the ADU, a

non-conforming display is presented to the operator. The signal aspects are extinguished and the cut-out indicator is

illuminated.

Once in Cut-Out mode, the ATC equipment will only switch from this mode of operation when VZero is active.

Any attempt to place the system back in Cut In while the speed is higher than Vz will be ignored. The penalty output

will remain de-energized. The ATC indicators on the ADU will maintain their ATC Cut Out status.

The ATC reports the electrical cut-out state to the PTC system. This allows the PTC to enforce its operating rules

knowing that the ATC system is electrically cut-out.

Physical contacts controlled by the cut-out switch perform two operations when in the cut-out position: external

control voltage is applied to the ATC magnet valve, or its electronic equivalent, and electrical cut-out signals are

supplied to the PTC system and ADU(s).

When the ATC is electrically cut-out, to the extent possible the Vzero function and the No-Motion output operate

normally.

In the SEPTA vehicle applications there is no electrical indication associated with any pneumatic cut-out capability

for the ATC penalty brake.


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4.15 Overspeed Cut-out / Bypass Operation [This function is disabled]

When the Overspeed Cut-out / Bypass switch is placed into its cut-out or bypass position, the ATC equipment does

not enforce overspeed protection. In this mode of operation, signal aspects are presented to the operator on the ADU

and forced acknowledgement of signal aspect downgrades remains enforced. The ATC CUT-OUT indicator on the

ADU is illuminated to reflect the degraded operation of the equipment.

The capability to run with overspeed enforcement inhibited requires the fail-safe display signal aspects. It is the

operator’s responsibility to observe proper speed limits corresponding the signal aspect reported.

When the ATC overspeed protection is bypassed, to the extent possible the Vzero function and the No-Motion

output operate normally.

4.16 On-Board Cab-Test Functions

A departure test is a sequence of cab test functions that are performed to verify the operational integrity of the

equipment as well as external control devices and operator controls and indicators. A departure test may be done as

part of a pre-trip checkout or to troubleshoot suspected problems related to the cab signaling equipment. The test is

initiated via a Departure Test Key-switch, located on an ADU. The operator must utilize an active ADU located in

the activated cab.

Cab test is designed to simulate actual operation under the various signal aspect and speed conditions. The test

sequences automatically through an ADU lamp test, upgrades and downgrades of signal aspect, as well as overspeed

and underspeed condition. Once initiated, the ATC OBC internally switches power, in a fail-safe manner, to the

cab-test circuits for the duration of the test.

Once a departure test is initiated, the test runs one (1) sequence and waits for the key-switch to be de-activated. A

departure test is aborted by de-activating the key-switch before the sequence completes.

4.16.1 Vehicle Preparation

In order to safely conduct an on-board test, certain conditions and vehicle controls should be setup prior to

testing.

a) The vehicle must be stopped.

b) A cab control stand must be activated (cab activated, or keyed-up) and the vehicle must be configured

as a lead unit.

c) If applicable, the vehicle’s independent brake should be applied.

d) If applicable, the throttle lever should be in the idle position.

e) The automatic brake must be applied and permanent suppression must be set / achieved.

f) If testing a reverse-running configuration on a vehicle so equipped, the reverse direction must be

selected. This is necessary to select the appropriate pair of ATC track receivers.

An on-board departure test may be conducted with cab-signal present in the rails under the vehicle.

4.16.2 Pre-requisite Entry Conditions

Pre-requisite conditions for the software-based activation of the on-board cab-test process are listed below:

a) The vehicle must be stopped: Vzero condition must be present.

b) Either the F-Cab or R-Cab cab active input must be asserted.


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c) The permanent suppression input must be asserted.

d) The brake pipe pressure switch input must be asserted.

e) The ATC operating mode must be cab-signal (i.e. not cut-out, not a trailing unit, not in non-cab

territory, etc.).

f) The on-board vehicle configuration must be completed.

g) No ATC failure reported on the ADU.

h) All throttle inputs must be de-asserted.

i) Valid Primary Version Number

The presence of any non-restricting signal aspect reported on the ADU does not inhibit an ATC departure test.

NOTE:

ANY NON-RESTRICTING SIGNAL ASPECT PRESENT AT THE BEGINNING OF A DEPARTURE TEST

WILL BE KNOCKED DOWN AND INITIALLY REPLACED WITH A RESTRICTING ASPECT. THE

OPERATOR MUST ACKNOWLEDGE THE CORRESPONDING DOWNGRADE IN ORDER TO AVOID A

PENALTY BRAKE APPLICATION.

4.16.3 Abnormal Exit Conditions

On-board cab-test operations are designed as autonomous functions. They execute independently of the ATC

system logic and provide internal stimulus to the system. As a result, conditions including speed and signal

aspects change during the tests.

In order to keep cab-test active, certain pre-requisite entry conditions must be maintained throughout the test

sequences. Loss of one or more of these pre-requisite conditions results in the abnormal termination of cab-test

operations.

These required pre-requisite conditions include the following:

a) The selected cab active input must remain asserted.

b) The electrical cut-out input must remain de-asserted.

c) The non-cab territory switch input must remain de-asserted.

d) No ATC failure reported on ADU.

e) Valid Primary Version Number

4.16.4 Signal Aspect and Speed Simulation

Signal aspect DUAL 270 is simulated first. Then overspeed and underspeed conditions over the DUAL 270

aspect are being observed.

Simulated code rate is generated using fixed carrier levels above the nominal detection range for signal induced

from the rail in normal operation. Simulation of a no-code condition is done using low-level 270 code rates on

the 100 Hz and 250 Hz carriers. The low carrier levels are below the nominal detection range for signal induced

from the rail in normal operation.


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4.16.5 Penalty Brake Application Test

After the simulation of the DUAL 270 Code a downgrade of the signal to RESTRICT is being observed. The

operator should deliberately fail to acknowledge the downgrade. This allows the operator to verify that after 4.6

seconds a penalty physically releases air from the air brake system to affect a penalty brake application.

The ATC system expects to see the brake pipe pressure switch input de-energized after a penalty brake

application is initiated.

4.16.6 ATC Departure Test Procedure

This section describes each of the steps involved in performing a departure test from the cab. This description

includes the state of the ADU indicators and alarms, as well as any specific operator actions required. In

general throughout the test, the operator is expected to observe and verify each operation is performed properly.

Before attempting to initiate an on-board test, the operator should first ensure that the vehicle is setup to safely

perform the test and then ensure that the pre-requisite entry conditions are met.

The operator initiates an ATC departure test by placing the key-switch into the ATC position. If the pre-

requisite entry conditions are not satisfied, an audible alarm is activated and a penalty brake application will

occur within 4.6 seconds. A message is reported on the ADU, indicating the unsatisfied condition.

Once successfully initiated, communication with the odometer and CDT are verified and any detected failure is

reported to the operator. Afterwards, the first operation is an ADU lamp test. All indicators on the ADU

illuminate for approximately 5 seconds. In order to not suppress an overspeed alarm during the test, while in

departure test, permanent suppression is ignored by the ATC logic. The operator should see the

SUPPRESSION indicator on the ADU extinguished after lamp test completes.

Immediately after the lamp test, the ATC automatically powers-up the cab-test circuits. The cab-test logic then

proceeds through a series of pre-programmed operations, consisting of signal aspect simulation along with

underspeed and overspeed simulations.

The cab-test operations are described in the following table.

Table 4-7, ATC Departure Test Sequence

Step Signal Aspect

Code Rate

Carrier Level

U/S MPH *

O/S MPH *

Other Action ** Message(s) Displayed

1 CLEAR 270/270 High 5 -

Flashing the ADU Alerter indicator. Sound the Alerter Alarm Instruct operator to acknowledge.

Hold 6 seconds for operator to acknowledge.

ATC TEST: 01 ACK

2 CLEAR 270/270 High 105

Test code reception. Test overspeed for current aspect. Instruct the operator to acknowledge. Hold 4.6 seconds for operator to acknowledge.

ATC TEST: 02 ACK

3 CLEAR 270/270 High 99 Test underspeed for current aspect. ATC TEST: 03

WAIT

4 Restricting 0/0 - - -

Instruct operator to not acknowledge signal aspect downgrade. Wait up to 15 seconds for brake pipe to de-pressurize as a result of penalty brake application.

ATC TEST: 04 WAIT

5 Restricting 0/0 - - - Instruct operator to acknowledge. Hold 4.6 secs. for operator to acknowledge.

ATC TEST: 05 ACK

6 Restricting 270/270 Low - - Wait up to 5 seconds to verify restricting signal aspect.

ATC TEST: 06 WAIT


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Step Signal Aspect

Code Rate

Carrier Level

U/S MPH *

O/S MPH *

Other Action ** Message(s) Displayed

7 Restricting - - - -

Turn off carrier simulation. Report test “passed” to operator..

Wait indefinitely for operator to turn off departure test key.

ATC TEST: 07

PASSED

* Speeds shown are for a typical vehicle application. Simulated speeds may vary based on the

configured Vehicle Type.

** If test step failed, report it as “failed” to operator. If test aborted at any step, report it as

“aborted” to operator. Wait indefinitely for the operator to turn off the departure test key.

If the above steps are completed correctly, the ATC departure test is successful. In the event that the test is

aborted, or it times-out waiting for operator or brake system response, it is considered unsuccessful.

4.17 ATC Version Identification

A version number, representing the status of the ATC OBC, is programmed into the OBC. This version number is

communicated to the Aspect Display Units. It may be examined at the ADU upon request or through the PTE

application.

The version number is updated (factory re-programmed) to reflect changes made to the ATC OBC.

4.18 Exception Conditions

4.18.1 System Initialization

When the cab signal system is first powered-up, safe-state or restrictive defaults are assumed. At power-up,

about a 3 second delay is provided for the system’s Vital Power Supplies to stabilize and for I/O diagnostics to

be performed. The following restrictive defaults are assumed by the system at power-up:

RESTRICTED signal aspect

ATC penalty brake (magnet valve) output is de-energized

After initialization is completed, normal cab signal operation is inhibited until a departure test is successfully

completed. During this time, all cab signal aspect information is rejected and the signal aspect display is

extinguished. A low speed limit is enforced, which permits only limited vehicle movement (see Table 4-6). A

successful departure test must be completed before normal operation of the cab signal system is possible. The

ADU reports the message ATC, DEPT TEST REQD.

4.18.2 Wheel Diameter Update

Under normal conditions, the PTC, on a continuous basis, supplies the compensated wheel diameter to the ATC.

The ATC validates the compensated wheel diameter against its own configured wheel diameter. The ATC

utilizes the compensated wheel diameter as long as it remains within the configured range. Upon power-up or

reset of the ATC, the ATC utilizes its configured wheel diameter until it receives a compensated wheel diameter

from the PTC.

With the loss of communication between the ATC and PTC, the ATC will continue to utilize the last

compensated wheel diameter until power is cycled or a reset occurs.


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In the event that the PTC cannot read its configuration data, it indicates that to the ATC. The ATC then utilizes

only its own configured wheel diameter.

4.18.3 Positive Stop

By default under a restricting aspect, positive stop is enforced if proper communications cannot be established

between the ADU and both the PTC and cab signal system. Under such a fault condition, the PTC system must

be cut-out in order to prevent the enforcement of a positive stop by the cab signal system under a restricting

aspect.

4.18.4 PTC Cut-Out

The PTC cut-out input to the cab signal system is active high. Power for the input signal comes from the ATC

system power supply. The PTC does not need to be powered for its cut-out signal to be recognized by the ATC

system.

If the PTC is not cut-out, the loss of power to it requires the cab signal system enforce a positive stop under a

restricting aspect. If the PTC is cut-out, the loss of power to the PTC system has no effect on the ATC system

(positive stop will not be enforced).

4.18.5 Acknowledge Switch Failure

Failure of the acknowledge switch is protected through the use of a penalty brake application. When the switch

fails or is pressed, the audible alarm is activated after a brief delay. The switch must be released in order to

prevent a penalty. Failure to release the switch within 4.6 seconds results in a penalty brake application. This

scheme is applicable to any failure, which results in a closed contact of the switch.

In the event that the contact fails open, the operator losses the ability to acknowledge which typically results in

a penalty.

4.18.6 Speed Sensor Failure

Failure of the speed sensor or its associated circuitry results in a penalty brake application. Sensor tests are

performed on a regular basis. Circuit continuity is periodically verified with a DC bias measurement while the

vehicle stopped or moving. While stopped, operation of the internal pulse counting electronics and

measurements of the inductive response of the sensor are performed.

While a speed sensor failure is present, the Vzero condition cannot be logically asserted and the no-motion relay

output remains de-energized. The ATC FAILURE indicator on the ADU illuminates steadily.

4.18.7 Permanent Suppression Crosscheck

The presence of a permanent suppression crosscheck fault prevents the recognition of the permanent

suppression input by the ATC. A permanent suppression crosscheck fault results in a penalty brake application;

it is not recoverable (until system power is cycled). The ATC system must be electrically cut-out in order to

move the vehicle.

The SUPPRESSION indicator on the ADU does not illuminate and the ATC FAILURE indicator is illuminated.

The ADU reports the message CUT-OUT ATC /NO SUPPRESSION.

4.18.8 Speed Comparison Failure

A speed comparison fault results in a penalty brake application; it is not recoverable. The ATC system must be

electrically cut-out in order to move the vehicle. The ATC FAILURE indicator on the ADU illuminates

steadily.


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4.18.9 Temporary Suppression

In contrast to the permanent suppression input, there is no crosscheck performed on the temporary suppression

input from the brake system. Rather, the temporary suppression input only affects overspeed enforcement when

it transitions to the asserted state.

Not all SEPTA vehicle applications supply a temporary suppression signal to the ATC equipment.

4.18.10 PCB Functional Loss

In general, functional loss of a single PCB within the cardfile degrades operation of the overall system. All I/O

or information controlled by the PCB is forced to the safe or most restrictive state. A penalty brake application

may or may not result depending on the specific function(s) lost.

When the loss of a PCB results in penalty brake application, the ATC FAILURE indicator on the ADU is

illuminated steadily. When no penalty results, the ATC FAILURE indicator flashes.

Exceptions to this apply to certain critical PCBs or sub-assemblies within the OBC. Specifically PCBs

concerned with operating logic and speed measurement. A failure of either in these sub-assemblies directly

results in a penalty brake application.

4.18.11 Hardware Resets

Each of the safety-critical microcontroller applications (PCBs) service hardware resets in a similar manner. An

application attempts to force its outputs to the OFF state while about a 3 second delay is provided for the Vital

Power Supply (VPS) to stabilize. After the delay time, normal I/O monitoring and output delivery are

performed.

A hardware reset limited to one PCB generally affects only the I/O controlled by that PCB. As mentioned in

the previous sub-section, exceptions to this include PCBs concerned with operating logic and speed

measurement.

Within the ATC OBC, a reset of the Main PCB appears as a re-initialization of the system. As a result normal

cab signal operation is inhibited until a departure test is successfully completed. During this time, all cab signal

aspect information is rejected and the signal aspect display is extinguished. A low speed limit is enforced,

which permits only limited vehicle movement. A successful departure test must be completed before normal

operation of the cab signal system is possible. The ADU reports the message ATC, DEPT TEST REQD.

4.18.12 Configuration Data Loss

When Configuration Data is not available the following rules will apply:

1. If communication between the system Main PCB and the ID Module is lost after the system has received

valid configuration data then the system will continue to use the last known wheel size. The system will

function normally and no alarms or indicators will annunciate this situation.

2. If an attempt is made to reconfigure the system and is unsuccessful then a suppressible penalty brake

application will be initiated along with the Failure Indicator being turned. The alarm will remain silent in

this situation.

3. If an attempt is made to run a departure test without valid configuration data, or a configuration link

failure then a suppressible penalty brake application will be initiated along with the Failure Indicator being

turned on. The alarm will remain silent in this situation.


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When the system is powered up and a configuration link failure is present then a suppressible penalty brake

application will be initiated along with the Failure Indicator being turned on. The alarm will remain silent in this

situation. The system will default to the most conservative wheel size and tooth gear.


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5. PTC Operating Concepts

5.1 Wayside Transponders

Passive transponders are utilized along the wayside. Transponders are arranged in sets of two (2) to four (4)

depending upon the amount data that needs to be supplied. The size of a transponder set may be increased to 3

or 4 when data requirements exceed the capacity of a single transponder pair. The data contained in multiple

transponders in a set is treated as having come from a single source. Information within a transponder set can

accommodate uni-directional or bi-directional operations.

The PTC recognizes both permanent transponder sets and temporary transponders. Transponders can be

uniquely programmed to accommodate various types of specialized wayside functions and signaling operations.

For additional information on transponder messages, see references [REF-B] and [REF-C].

5.1.1 Transponder Content

The transponder link operates using a fixed message length of 255 bits. The message contains 180 data bits; the

remaining bits are used for framing and error detection. Integrity of the message data is protected using fixed

inversion bit checks and a 72-bit Cyclic Redundancy Check (CRC). To further ensure that a transponder

message is properly formatted, the message is checked for a proper start and end, as well as the presence of

certain expected message type fields.

A transponder provides two types of information packages: a Base Information Package and Optional

Information Packages. The Base Information Package data is repeated in each transponder within a given set.

Each transponder within a given set may contain unique Optional Information Packages as necessary.

Information in the transponder message typically includes the following:

Identification of the transponder as to its railroad, line, location, track number and position in the set.

Location, by linking distance, of the next transponder set.

Controlling grade of the track section covered by the current restrictions.

Distance to the next speed restriction or speed upgrade target.

Speed of the next restriction or upgrade target.

Additional speed restrictions and/or upgrades as required.

Distance to next home signal in approach to an interlocking (PTS target distance).

Distance to or position of tilt enable or disable points as required (implemented, but not used).

Distance to or position of catenary power related functions as required (implemented, but not used).

ATCS Data Radio address and channel number for wayside communication.

5.1.1.1 Base Information Package

The Base Information Package contains the data necessary to position the train along the wayside. Data in

the package includes:

a) Transponder number within the set, 1 to 4

b) Transponder set size, 2 to 4

c) Linking distance to the next transponder set in the up or down direction

d) Transponder Id: Railroad, Line, Milepost/Chaining, Track number


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5.1.1.2 Optional Data Packages

The optional data packages implemented are identified in the table below.

Table 5-1, Optional Data Packages Supported

Pkg Type

Package Group Size: 0 1 2 3 4 5 6 7 8

0 End / Error 0

1 -

2 Lengthless Speed Restrictions 27 28 29

3 Speed Restrictions 7 9 10 11 8

4 Route Dependent Speed

Restrictions 12 13 14

5 Time/Train/Speed Dependent

Restrictions 15 16 17 18 19 20

6 Linked Positive Train Stop 2 6

7 Positive Train Stop 2 33

4 32

4 35

5 5 4

8 - 3

9 -

10 -

11 -

12 Miscellaneous 21 22 344

13 -

14 LoA 1

15 -

1: Used by ATSS.

2: Used by ALSTOM.

3: Originally defined as “radio” messages. Not implemented as transponder data packages.

4: Added to Amtrak implementation for ACSES II.

5: Proposed for use on SEPTA property for mid-block turn-back operation.

Sizes 9 through 15 are not implemented and are omitted from table.

5.1.1.3 Train Type Specific Speed Restrictions

Under certain circumstances, speed restrictions are based on the train type, which specifies a predefined

braking profile and maximum speed. For instance, the high-speed train sets have a much higher speed

allowable on curves due to the tilting function. In these instances, multiple maximum speeds are stored in

the transponders and only the one matching the train configuration will be used.

For Amtrak / NEC operation, there are five (5) train types defined to indicate vehicle and consist

characteristics. The following train types are recognized on the NEC and may be encountered in

programmed transponders.

Type A is the High-Speed Rail equipment with tilt capability.


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Type B is the High-Speed equipment without tilt and AEM-7 or similar with an appropriate coach

consist.

Type C is passenger service with Heritage fleet vehicles.

Type D is Mail/Express operations.

Type E is all freight service on the NEC.

5.1.1.4 Infinite Length Speed Restrictions

In the Amtrak ACSES II implementation, infinite length speed restrictions are implemented as zero-length

restrictions. The PTC enforces a zero-length restriction from a starting point and it is immediately released.

In expected practice, infinite length speed restrictions are implemented using a special “infinity” data

pattern as the length. The PTC enforces an infinite-length restriction from a starting point it remains in

force until the next transponder set is encountered.

5.1.2 Transponder Linking

The linking of transponders establishes a pre-defined path of travel. Direction of travel can only be established

by order of permanent, multiple-transponder sets. Direction cannot be established by encountering a single

transponder. Transponders and transponder sets are linked in order to detect missing transponders or otherwise

unlinked transponders that might be encountered.

In the case of diverging moves, the linking distances may be different from those for a normal move. Non-

exact linking distances are identified in the transponder message. Unlinked transponders are generally either

temporary transponders or invalid transponders. The PTC takes appropriate action in either of these cases.

5.1.2.1 Interlocking Exit Transponder Sets

In the Amtrak ACSES II implementation, the home signal transponder specifies a non-exact linking

distance, which reports the longest distance among all exit transponders (sets). This compensates for the

variation in distances between possible routes through the interlocking.

The PTC identifies the exit transponder (set) when it encounters an “exact link” transponder after having

encountered a “non-exact link” home signal transponder (set). Some locations may contain multiple “non-

exact link” transponders (sets) within the physical interlocking.

5.1.2.2 Missing Transponders

After encountering the first transponder in a set, a time and distance based window is established for

accepting subsequent transponders within the set. Failure to encounter or properly detect the remaining

transponders within the set during the windowed period results in a missing transponder condition. After

the final transponder in a set is encountered, data from the entire transponder set is processed immediately

as a single entity.

The PTC does take different actions when it encounters a missed transponder, depending upon whether the

expected transponder is a permanent or temporary transponder. It also differentiates between missing one

or more transponders in a set and missing all of the transponders in a set.

5.2 Data Radio Interface

The principal elements of the data radio network include Base Communication Packages (BCPs) and Mobile

Communication Packages (MCPs). A BCP node is wayside equipment generally located at an interlocking or a


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group of nested interlockings. A MCP node is vehicle-based equipment, which is used by the PTC to communicate

on the data radio network.

The following diagram illustrates the arrangement of BCP and MCP equipment. Wayside communications

equipment provides data connections necessary for the MCP to access the interlocking, TSR server, and

Maintenance server.

Figure 5-1, BCP / MCP and Server Arrangements

PDS DS HS

PTS

Target

INTERLOCKING

LOGIC

TSR

SERVER

WEU / BCP

MAINT.

SERVER

The data radio network employs the ATCS radio protocol and is used to convey several types of information

between the CTC office, wayside equipment, and vehicle-based PTC equipment. The information exchanged

includes the following.

a) WEU / Signal Status

b) Radio-based Temporary Speed Restrictions (TSRs).

c) Maintenance Alarms.

5.2.1 WEU / Signal Status

This message package originates from the WEU and conveys the status of the wayside signal at the

interlocking. It contains graded, route-specific speed limit information and wayside C-signal status. It also can

report an error from the WEU itself.

Wayside signal status is communicated in either one of two forms: with or without Limit of Movement

Authority (LoMA). The form without LoMA is associated with either a single interlocking or a nested

interlocking when approaching a stop signal. The LoMA form is associated only with nested interlocking

plants. The additional LoMA information provides WEU contact information for the next interlocking. The


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PTC system can support nested interlockings up to four (4) deep. After a single interlocking is cleared, a PDS

or DS transponder set must be encountered in order to establish contact with the next WEU. In multiple

interlocking plants, there need not be a DS transponder set before the next WEU.

Radio-based control of the Positive Train Stop (PTS) release is based on the either the status of the wayside

home signal, or when applicable, the reported C-Signal status. The C-Signal pertains to the occupancy state of

the track blocks up to the next interlocking; it is only applicable when the cab-signal is unavailable. A PTS is

automatically released when the WEU reports either a non-restricting signal aspect or the C-Signal is asserted.

A reported WEU error is treated the same as the wayside home signal set to stop. This prohibits any radio-

based PTS release.

5.2.2 Temporary Speed Restrictions

The scope of Temporary Speed Restrictions (TSRs) is based on BCP zones. They are specific to the direction

of travel. The TSR list originates from a TSR server, typically located in the central control office.

The PTC initiates a request for an updated TSR list when the train enters a BCP zone. The TSR list supplied

through the WEU covers up to the next three (3) BCP zones in the direction of travel.

5.2.3 Railway Worker Protection Restrictions

Not implemented as a unique restriction.

5.2.4 Grade Crossing Malfunction Restrictions


5.2.5 Heat Restrictions


5.2.6 High Water Restrictions


5.2.7 Maintenance Alarms

The PTC equipment can generate maintenance alarm events for certain error conditions that it encounters.

These events originate on-board in the PTC equipment and are transmitted to a maintenance server for storage

and retrieval in the central control office. Maintenance personnel can utilize this information to locate and

repair faulty wayside equipment.

The types of maintenance messages recorded are:

Partial Transponder Set

Transponder Set Missing

Transponder Set Early

WEU (Encoder) Communication Failure

WEU (Encoder) Message Rejected

WEU (Encoder) Error

TSR Server Communication Failure

Wayside Communication Failure

TSR Message Rejected


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As alarm events are created they are queued for transmission to the radio network. For transmission, all current

alarm events are packaged and transmitted once per each interlocking (BCP zone). The maintenance server

acknowledges each individual event. Once the acknowledgement is received for an individual event, that event

is purged from the on-board equipment.

5.3 Speed Sensing

5.3.1 Speed and Distance Measurements

Vehicle speed is measured using a magnetic reluctance sensor in proximity to a gear. The equipment measures

the frequency of the speed sensor signal by counting tachometer pulses over fixed durations. Each tachometer

pulse is equivalent to a proportional distance traveled. The configured vehicle type and wheel size are used to

calculate the equivalent vehicle speed and travel distance based on the tachometer pulse count and

accumulation.

Depending upon the SEPTA vehicle applications, the speed sensor may be truck-mounted or contained within

an axle-mounted housing. In truck-mounted applications the sensor is driven by either a bull-gear within the

truck assembly or by an axle-mounted ring gear. In axle-end mounted applications, a dedicated tachometer gear

within the axle generator housing drives the sensor.

5.3.2 Speed Comparison

The ATC and PTC systems measure speed using separate and independent speed sensors. Each system

exchanges its speed measurement with the other and compares the two speeds for coarse agreement.

When operating normally, the PTC compares its calculated speed against the speed reported from the ATC. A

speed comparison fault is initiated if the ATC speed exceeds the PTC speed by more than either 25% or 5 MPH

(whichever is larger) for longer than 60-seconds.

A speed comparison fault results in a penalty brake application; it is not recoverable. The PTC system must be

electrically cut-out in order to move the vehicle.

5.3.3 VZero

The Vzero condition corresponds to a state where the measured velocity of the vehicle is effectively zero or

stopped. It is associated with a minimum point below which velocity may no longer be accurately determined.

This physical threshold is based on characteristics of the speed sensor, gear geometry, input circuit sensitivity,

and wheel diameter.

The Vzero condition is used internally by the PTC system; it is not explicitly reported to the operator via a

discrete indicator the ADU. Operation of Vzero is controlled using independent thresholds, which provide a

degree of hysteresis in its behavior. Vzero is asserted when speed is less than or equal to approximately 1.0

MPH. Vzero is de-asserted when speed is greater than or equal to approximately 1.5 MPH.

The Vzero function remains functional as long as the PTC equipment is powered and the speed sensor operates

properly. It continues to operate normally without regard to an active cab or electrical cut-out of the PTC.

5.3.4 Wheel Slip

Wheel slip produces a higher frequency speed signal, which may introduce a false overspeed condition. In order

to reduce the possibility of a false overspeed condition, the PTC speed measurement algorithm limits the

acceleration (change in the measured speed) to about 5 MPH/second. Acceleration rates above that cause the


is utilized.


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5.3.5 Wheel Slide

Under low traction conditions, it is possible that wheel slide may produce an artificial Vzero condition. In order

to reduce the possibility of a false Vzero condition, the PTC speed measurement algorithm limits the

deceleration (change in measured speed) to about 5 MPH/second. Deceleration rates above that cause the


is utilized.

5.3.6 Wheel Wear Compensation

The PTC system automatically calibrates the actual wheel diameter based on the reported distances that link

transponder sets. Within limits, the calibration automatically adjusts for wheel wear and maintains the accuracy

of speed, distance, and train position calculations. The allowable limits of the wheel diameter are determined

from the configured vehicle type. Both the vehicle type and the initial wheel diameter are configured using the

PTE.

The calibration algorithm continually examines distance measurements and acquired linking distances to

compute a wheel wear adjustment. The algorithm utilizes a running average over sixteen (16) transponder sets,

whose linking distance is within a 5% tolerance. The computed wheel wear adjustment allows the linking

distance accuracy to be kept within 1%.

When wheels are replaced, a new initial wheel diameter must be configured using the PTE.

5.4 On-Vehicle Configuration

For the PTC equipment, configuration is accomplished through the PTE application program. The PTC

configuration can only be reviewed and modified using the PTE.

PTC configuration information is pertinent to the vehicle. It must be correct for the vehicle to operate properly and

safely.

PTC configuration parameters include:




Wheel Diameter

Maximum Vehicle Speed

Alarm Intensity

Train Type Selection

Railroad Identifier

Scanner Antenna Offset(s)

The settings in the PTC configuration need to be examined and adjusted, if necessary, as part of the initial

installation of the equipment on a vehicle, as well as part of regular periodic inspection. The PTC configuration may

only be altered when the vehicle is stopped, permanent suppression is applied, and the Identity Module is operating

properly.

Details of individual configuration parameters are discussed in Section 10.


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5.5 General Operating Modes

Under normal conditions, where the PTC system is electrically cut-in and operating in a lead cab, it operates in one

of three modes. Two of these are determined based on whether the equipment is operated in or out of PTC territory.

The third mode occurs when operating in a construction zone, where wayside installation is incomplete.

5.5.1 In-Territory Operation

The PTC performs functions necessary to provide safe supervision of civil restrictions. This includes overspeed

protection, brake curve management, and positive stop functions.

5.5.2 Out-of-Territory Operation

The PTC is armed but it enforces only the maximum vehicle speed. Brake curves and positive stop functions

are not enforced in this mode.

Upon exiting PTC territory, the PTC continues to enforce the last known line speed until it enters PTC territory

again. For this reason, it is important that within an exit transponder set, the customer should program the

highest line speed that is compatible with operation outside of the PTC-equipped territory. Anytime that the

power to the PTC is cycled, or the PTC resets / restarts for any reason, the default speed enforced is the

maximum vehicle speed or 125 MPH, whichever is lower.

5.5.3 Wayside Installation Zone Operation

During the installation of wayside transponders within a PTC construction zone, normal transponder

information may be incomplete. During this time, other normal transponder information is ignored. A PTC

construction zone is bounded with special entry and exit transponder sets. Within the zone, only the line speed

received at the entry point is enforced.

After the installation zone is exited, normal in-territory operation is resumed.

5.6 Acknowledgement

Acknowledgement is a means by which the operator interacts with the equipment, indicating the willingness and

ability to respond to a reported change in operating conditions for the vehicle. In general, the operator is alerted to a

change by a flashing indicator and an audible alarm, and then is given a fixed time period in which to respond. The

operator must respond promptly by pressing and releasing an Acknowledge switch.

There are several reasons that the operator needs to acknowledge. The following list discusses those functions and

certain features inherent in the mechanism.

a) Downward change in track speed limit.

b) Missing permanent or temporary transponder.

c) Entry into a PTC wayside installation zone.

d) Transition from valid TSR data to invalid or unknown TSR data.

e) Penalty Brake Test:

This function allows an operator to test the ability of the cab signal equipment to make a penalty brake

application and to measure the delay time associated with that brake application.

Pressing and holding an Acknowledge switch at any time results in an audible alarm and eventually a

penalty brake application. After the switch is held for approximately 2 seconds, the alarm is activated.


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Continuing to hold the switch for an additional 8 seconds after the alarm starts initiates a penalty brake

application.

f) Malfunction Protection:

Since a penalty brake application is made in response to holding an Acknowledge switch depressed, this

feature provides protection from switch malfunction or tampering.

In the SEPTA vehicle applications, there may be up to two (2) Acknowledge devices in a cab. One is always the

push-button switch mounted on the operator’s console or control stand, a second one being a foot-pedal.

5.7 Suppression

Suppression is a means by which the operator interacts with the equipment, indicating a willingness and ability to

make a service brake application. In the PTC equipment, suppression is used to hold off or “suppress” a penalty

brake application associated with exceeding the PTC alert curve.

In order to suppress an alert curve penalty, the air brake system must achieve permanent suppression in a timely

manner. The operator must take action to suppress a penalty within 8 seconds. If the train speed still exceeds the

alert curve after the 8-second delay is expired, any subsequent loss of suppression results in an immediate penalty.

The permanent suppression signal is supplied from the air brake system. The signal indicates that the train has

achieved a service brake application. It signifies that an appropriate reduction in brake pipe pressure was made in

order to achieve a service brake application. Typically the permanent suppression signal is driven from a pressure

switch, or relay contacts driven from the electronic equivalent. The presence of the suppression signal is normally

indicated on the ADU with the SUPPRESSION indicator illuminated.

The PTC utilizes the permanent suppression signal in various operations, including alert curve enforcement,

conducting on-board tests, and configuration. During a suppressible penalty brake application, the penalty brake

output is temporarily re-energized while the input signal is active. Full other control purposes, the PTC looks at the

state of the input signal to determine whether or not the brake are applied on the vehicle, in order to validate whether

or not the requested action can be inititated.

5.8 Manual Release of Positive Train Stop

In the event that neither the WEU, via the MCP Data Radio, nor the cab-signal is functional, the operator can

manually release or override a PTS. This permits the train to execute a stop and proceed as permitted by operating

rule. The PTS Override (PTSO) pushbutton is provided solely for this purpose.

After a manual release is made, the governing speed through to the exit of the interlocking is 15 MPH. This

restriction is removed if a non-restricting cab signal aspect is received before reaching the interlocking exit.

A manual release is accepted only after a DS transponder set is encountered and the vehicle is stopped. Manual

PTSO is inhibited when a radio release is present or while the vehicle is moving.

5.9 Penalty Brake Applications

The PTC requests a penalty brake application using two independent schemes in parallel. One scheme utilizes

logical requests made of the ATC. When the ATC is electrically cut-in, it has electrical control of the penalty

magnet valve. The PTC makes two distinct requests: one for PTS specifically and another for all other PTC-related

penalties.

The second scheme utilizes the air brake system directly by de-energizing the PTC penalty brake output. When the

ATC is electrically cut-out, the PTC has electrical control of the penalty magnet valve. De-energizing the penalty

the magnet valve, or its electronic equivalent, results in either a service or emergency brake application.


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A penalty can be initiated for either operational or testing related events.

Operational events consist of:

a) Failure by the operator to acknowledge.

b) Failure by the operator to apply brakes after exceeding the PTC alert curve.

c) Exceeding the PTC brake curve.

d) A Positive Train Stop (PTS) required with ATC electrically cut-out.

Test events consist of:

a) Departure Test Key-switch, located on an ADU, held in its PTC (ON) position with the train moving (speed

exceeds Vzero).

b) Internal faults detected as a result of self-tests on safety-critical portions of system. Includes self-test

checks on permanent suppression, the speed sensor, wiring, I/O, and microprocessors.

The types of penalties supported by the system are summarized below in the following table. The table identifies

various characteristics of each penalty type.

Table 5-2, Penalty Types and Alarm Behavior


Suppressible Alarm

Suppressible





Acknowledge Yes No Running Release

Yes Yes No

Alert Curve Yes Yes Running Release

Yes Yes No

Brake Curve No No Running Release

Yes Yes -

Positive Train Stop (PTS) No No Running Release

- No -

Rollaway No No Running Release

- Yes -

Failure Yes Yes Running Release

Yes Yes -

Operator Yes Yes Running Release

Yes Yes -

Speed Comparison Failure Yes Yes Latched Yes No No

Below is a brief description of the penalty and alarm attributes identified in the preceding table.

Penalty / Alarm Suppressible – A suppressible penalty can be held off and its alarm silenced with the

assertion of permanent suppression from the air brake system.

Latched / Running Release – A latched penalty remains applied even after the initiating condition is mitigated.

A latched penalty forces the vehicle to stop and the operator to clear the penalty by applying permanent

suppression.

Pending Penalty Alarm – This attribute requires that the audible alarm be activated during the period that the

time-delay is running. A penalty brake application is not yet initiated for the condition.


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Active Penalty Alarm – This attribute requires that the audible alarm remain activated after the penalty

application is made. The initiating condition for the penalty is not yet mitigated.

Latched Penalty Alarm – This attribute requires that the alarm remain activated during the time that the

penalty remains latched. The initiating condition for the penalty is mitigated but the operator has not yet

taken action to reset the penalty brake application.

5.10 Penalty Reset

In order to reset any penalty brake application, the condition that caused the penalty must first be cleared. If multiple

causes exist, all conditions must be cleared.

Non-latched, or “running-release” penalties are reset immediately once the initiating conditions is cleared. Latched

penalties however require the operator take additional steps to reset the penalty; they require that permanent

suppression is achieved and vehicle speed Vzero for a minimum of 2.5 seconds.

After a penalty is reset, the penalty magnet valve, or its electronic equivalent, closes its associated pneumatic circuit.

The operator is then able to release the brake application after the pneumatic reset occurs.

5.11 Forced Acknowledgements

5.11.1 Downgrade in Track Speed

Based on data obtained from the wayside transponder sets, the PTC determines the approaching target point

where a downward change in the civil speed limit is required. Once the train reaches the target point, the

audible alarm is activated and the reduced target speed is supplied to the ADU. The operator must acknowledge

the downgrade within 8 seconds in order to prevent a penalty brake application. After the operator

acknowledges, the alarm is silenced, and any related penalty is reset.

The requirement for operator acknowledgement of downgrades is suppressed when the downgrade correlates to

a speed restriction that is at or above that currently enforced by either the ATC or PTC systems. This generally

applies to situations where either a downgrade in the civil speed limit remains at or above an existing ATC

restriction, or where a downgrade of the civil speed limit occurs while a PTS is being enforced.

Downgrades in track speed can occur upon entry into or exit out of PTC territory. Entry into PTC territory does

not require acknowledgement unless a downgrade condition occurs. Exit out of PTC territory does require

acknowledgement.

5.11.2 Upgrade in Track Speed

When the train reaches the target point, where an upward change in the civil speed limit occurs, the new speed

is supplied to the ADU. No response from the operator is required.

In all SEPTA vehicle applications, an audible alarm is momentarily activated to alert the operator to the upgrade

if the upgrade causes a change in the MAS display.

5.11.3 Wayside Installation Zone Entry

Upon entry into a wayside installation zone, the operator is required to acknowledge. The audible alarm is

activated and the operator must acknowledge within 8 seconds in order to prevent a penalty brake application.

After the operator acknowledges, the alarm is silenced.

5.11.4 Temporary Speed Restriction Erased

A Temporary Speed Restriction (TSR) list has a mortality associated with it. If the TSR list is not refreshed

after encountering three consecutive BCP zones, then upon entering the third zone, the TSR list is automatically


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erased. Also, if after 60-minutes, the PTC has not received a TSR message or acknowledgement, the TSR list is

automatically erased. When a TSR list is erased, “- -“ is reported on the MAS display of the ADU and the

operator is required to acknowledge. The audible alarm is activated and the operator must acknowledge within

8 seconds in order to prevent a penalty brake application. After the operator acknowledges, the alarm is

silenced. The MAS display continues to alternate between “- -“ and the MAS until a valid TSR list is received.

5.11.5 Missed Transponders

A missed permanent transponder or transponder set creates an error condition within the PTC. This results in a

“- -“ reported on the MAS display of the ADU and requires the operator to acknowledge. The audible alarm is


After the operator acknowledges, the alarm is silenced. The MAS display continues to report “- -“ until a

permanent transponder set is read correctly.

A missed temporary transponder creates an error condition within the PTC. This results in an alternating “- -“

reported on the MAS display of the ADU and requires the operator to acknowledge. The audible alarm is


After the operator acknowledges, the alarm is silenced. The MAS display continues to alternate between “- -“

and MAS until a temporary or permanent transponder set is read correctly.

5.12 Overspeed Protection

Based on information obtained from wayside transponder sets, the PTC determines the approaching target point

where a change in track speed occurs. When a downward change in speed is encountered, new speed reduction

curves are automatically calculated using the distance to the target point. Additional compensation is made using

train braking characteristics or train type, and grade. The new track speed takes effect and is enforced when the

target point is reached. The operator is normally expected to know the speed reduction curves and handle the train

accordingly. PTC enforcement occurs if the operator exceeds the speed reduction curves.

The PTC utilizes two speed reduction curves: first is an alert curve, and second is a brake curve. The curves are

built for both civil speed and PTS restrictions. Both curves are based on a common enforcement speed for the given

point. For fixed restrictions, the alert curve is a +3 MPH offset above the enforcement speed, while the brake curve

is a +6 MPH offset. For anticipated speed reductions, the brake curve is calculated for the target distance,

compensating for the configured train type and vehicle type. The alert curve is calculated from the brake curve

offset by –8 seconds. An overspeed condition occurs when the reported curve speed is exceeded by at least 1 MPH.

When only the alert curve is exceeded, the OVERSPEED indicator on the ADU is lit, PTC indicator is flashing and

alarm is on due to an acknowledgement being required. The operator must acknowledge the alarm within 8 seconds

to silence the alarm and prevent an acknowledge penalty.

The operator must apply service brakes and achieve permanent suppression within 8-seconds in order hold-off a

penalty brake application. Once suppression is achieved the alarm is silenced and the vehicle can be operated within

the alert curve without penalty. If the vehicle continues to operate within the alert curve after the initial 8-second

time period elapses, any subsequent loss of permanent suppression results in an immediate penalty. The

OVERSPEED indicator is extinguished when the vehicle is operated under the alert curve.

When the brake curve is exceeded, an immediate penalty brake application is made and the OVERSPEED indicator

on the ADU is flashed. The overspeed penalty is reset automatically after the vehicle is brought underspeed; the

OVERSPEED indicator is extinguished.

The following figure illustrates the speed reduction curves applied to a downward change in line speed.


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Figure 5-2, PTC Curves - Downward Change in Line Speed

+3 MPH

+6 MPH

BRAKING

CURVE

ALERT

CURVE

TRACK

SPEED

DISTANCE

TARGET

The following figure illustrates the speed reduction curves applied to a Positive Train Stop.

Figure 5-3, PTC Curves - PTS

0 MPH

PTS

BRAKING

CURVE

PTS ALERT

CURVE

MAX.

VEHICLE

SPEED

DISTANCE

PTS

TARGET

DS HS

TRACK

SPEED

5.12.1 Line Speed Enforcement

The line speed is a permanent speed limit imposed upon an area of track, which may typically be more

restrictive than certain signal speed limits. As it is a continuous speed restriction, the corresponding alert and

brake curves are flat. There are no length or distance limits imposed upon a given line speed.

At the end of any speed restriction zone, the current line speed is resumed, unless of course the line speed was

subsequently modified. An increase in line speed is considered an upgrade.

The current line speed is reported as the PTC track speed to the ADU and it may be presented in the MAS

display.


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5.12.2 Permanent Speed Restrictions

Permanent speed restrictions are modifications to the line speed that are applied only for specified distances. A

common use for a permanent speed restriction is to force a transition from one line speed to a lower one. Under

a PSR the alert curve limits are reported as the PTC track speed to the ADU until the target speed is attained.

Permanent route speed restrictions are a subset of permanent speed restrictions. They are modifications to the

line speed applied through interlockings that are dependent upon which track (route) the train takes. These

restrictions are specific to the configured train type and route. In the event that the WEU does not report the

route to the PTC, these restrictions are applied for all routes through an interlocking.

Permanent route speed restrictions do not have a length associated with them and they are generally applied to

limit speed beyond the interlocking.

5.12.3 Signal Speed Restrictions

Signal speed restrictions are modifications to the line speed that are applied through interlockings that are

dependent upon which track (route) the train takes. These restrictions are received through the MCP Data

Radio.

Signal speed restrictions have a length associated with them and they are generally applied to limit speed only

through the interlocking.

Under a signal speed restriction the current line speed is reported as the PTC track speed (MAS) to the ADU.

However if the alert curve is exceeded, the target speed is reported as the PTC track speed.

5.12.4 Positive Train Stop (PTS)

The Positive Train Stop (PTS) or Absolute Stop function is enforced in advance of the home signal at an

interlocking. The purpose of the function is to eliminate the possibility of collision due to the interlocking

being fouled by the train. The PTS function ensures that the train stops ahead of the home signal when the

wayside signal reports “stop”. Under normal circumstances, the cab signal system enforces the stop command

based on signal aspect and a PTS request from the PTC.

The train is protected by a PTS alert and brake curve in advance of the interlocking’s home signal. The PTC

calculates the target point, at which to stop the train, based on transponders located in approach to the

interlocking. Under a PTS the alert curve limits are reported as the PTC track speed (MAS) to the ADU until

the target point is reached and the PTS is released.

When a PTS is required the train is allowed to move up to the target point without penalty as long as its speed

remains below the PTS Brake curve. Once the train crosses the target point, the PTS is enforced. Attempts to

move the train beyond the target point results in a penalty brake application. This is done to prevent the train

from creeping past the stop signal. In order to further prevent the train from creeping (below Vzero) past the

signal, the brakes must remain applied until either 1) a PTS release is received, 2) the cab signal aspect

upgrades, or 3) the operator uses the manual PTSO pushbutton.

In its implementation the PTC responds to the stop request from a transponder and requests a PTS from the cab

signal system. When the cab signal is failed or cut-out, the PTC system initiates its own brake application for

the PTS.

PTS release information can be sent to the train via the MCP Data Radio; this allows the train to move under

certain conditions. For instance, if the wayside signal aspect is better than “stop” and the ATC is cut-out, the

train can still be automatically released to move through the interlocking. The radio-based release eliminates


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the need for the train to remain stopped at a home signal when the cab signal system is cutout (or it reports

Restricting) while a wayside signal to proceed is reported at the interlocking entrance.

There are two ways that a PTS in the approach to an interlocking is avoided.

1. The presence of a non-restricting signal aspect detected by the cab signal system. In that case, the cab

signal system does not invoke a PTS and the train can proceed at signal speed.

2. Receipt of a radio release, via the MCP Data Radio, ahead of the home signal.

There are several ways that a PTS is released.

1. An upgrade to a non-restricting signal aspect to be detected by the cab signal system.

2. Receipt of a radio release, via the MCP Data Radio.

3. Receipt of a C-Signal indication, via the MCP Data Radio.

4. Use of the manual PTSO pushbutton.

5.12.4.1 Identification

A passive transponder at the distant signal marks the target for the stop. Another passive transponder

placed at the pre-distant signal to an interlocking also informs PTC of the stop target. This transponder is

used for redundancy of the wayside data.

The curve established for the positive stop is adjusted by approximately 5% to stop the train sooner. This

adjustment is made to ensure that any inherent system inaccuracies do not permit the train to overrun the

home signal.

When two or more interlockings are located close to one another with no distant signal between them, the

exit signal of one interlocking becomes the distant signal of the next interlocking. This is known as a nested

interlocking. Since distant and pre-distant transponder sets cannot be used for providing PTC with braking

distance information in the nested interlocking, the data radio is used to provide this information. This is

known as the LoMA distance. PTC uses the LoMA distance to build the anticipation brake curves for each

of the intermediate home signals in the nested interlocking. In this way PTS curves can be built which

reflect the true braking distance required to prevent the train from overrunning the home signal.

5.12.4.2 Cab Signal Release

The cab signal system can ignore a positive stop request if a non-restricting cab signal aspect is received.

The PTS request is suppressed by the ATC as long as the cab signal aspect is above restricting. Cab signal

release of a PTS cannot occur when the ATC equipment is electrically cut-out.

The PTC clears its PTS request once the train crosses the home signal transponder set.

5.12.4.3 MCP Data Radio Release

When the ATC equipment is electrically cut-out or for any other reason the cab signal aspect is at

Restricted, the PTC can automatically release a PTS. This can occur when a wayside signal status of

“better than stop” is received from the interlocking via the MCP Data Radio.

The automatic radio release of a PTS is prohibited under certain conditions when the ATC equipment is

electrically cut-out and the vehicle is operated in C-Signal territory. In this situation, when the C-Signal

itself is reported OFF, the PTS release is prevented. When operating in C-Signal territory with the ATC

electrically cut-out, the C-Signal itself must be ON in order to allow a PTS release. The C-Signal status


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must agree with the radio release for PTC to release the PTS. C-Signal information is only pertinent to

PTC operation when the ATC is cut-out.

The C-Signal function is used to allow a train movement past a home signal in C-Signal enabled territory

(i.e. no wayside signals are available). C-Signal information is supplied to the PTC via the MCP Data

Radio; it reports whether or not all track blocks are clear to the next interlocking. C-Signal data consists of

two flags; one indicating C-Signal enabled territory and a second indicating C-Signal ON or OFF.

5.12.5 Temporary Speed Restrictions

Temporary Speed Restrictions (TSRs) are modifications to the line speed that are not part of the track plan.

These restrictions are placed into service for track work and other reasons requiring temporary adjustments to

the Line Speed. TSRs are communicated to the train either by wayside transponders, which mark the

location(s) of the restriction, or from the dispatcher via the Data Radio, or both.

5.12.5.1 Transponder Based TSR

A transponder based TSR is built using special transponder pairs programmed with temporary speed

restriction data. These transponder pairs are placed at the “Advanced Warning”, “Start” and “End”

locations of a restriction. There is an “Advanced Warning” transponder set for each direction. The TSR

begins at the “Advanced Warning” set and is repeated again at the “Start” set. It is released by the “End”

set.

The PTC does not compute speed reduction curves for a transponder based TSR. The enforcement is

immediate.

5.12.5.2 Standard TSR

A standard TSR is assigned on a BCP zone basis and communicated to the train via the MCP Data Radio.

The TSR establishes a restricted speed for a given area and the distance over which the restricted speed is

enforced.

A BCP zone represents the area from the first pre-distant signal to the home signal of the following

interlocking. A list of TSRs for the next three (3) BCP zones (in the direction of travel) is sent to the train.

When the train enters a BCP zone it requests a new list. If there is no change to the list previously sent, the

TSR Server sends a “No Change” message. Information about the start, end, track number and grade is

available for each TSR supplied in the list. The PTC is able, using the grade and start information obtained

from wayside transponders, to compute speed reduction curves for this type of TSR. Enforcement is the

same as for a PSR.

With the alert curve limits reported as the PTC track speed (MAS) to the ADU, the operator is expected to

follow the speed reduction curve. Once the train enters the restricted area, the informational message

TEMPORARY RESTRICTION is presented to the operator.

5.12.5.3 Zero-Speed TSR

A specific implementation of the standard TSR allows the PTC to enforce a zero (0) speed limit or stop as

it approaches a designated target point. With a zero (0) speed limit TSR, the PTC first enforces a stop. It

then requires the operator to acknowledge, after which it releases the stop and discards the TSR. The

railroad may put into practice its specific rules that apply to its employees after a zero-speed TSR is

released.

In handling a zero-speed TSR, the PTC calculates a landing zone point that is 250 feet in advance of the

designated target point. It calculates and applies a braking curve for the designated target point. With the


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alert curve limits reported as the PTC track speed (MAS) to the ADU, the operator is expected to follow the

speed reduction curve. Once the vehicle enters the landing zone, the informational message TSR STOP:

STOP REQUIRED is presented to the operator until the vehicle is stopped. After the vehicle is stopped,

the PTC imposes a delay of five (5) seconds. After which time, the informational message TSR STOP:

ACK TO RELEASE is presented. Operator acknowledgement then releases the zero-speed TSR.

5.12.5.4 Railway Worker Protection TSR


5.12.5.5 Grade Crossing Malfunction TSR


5.12.5.6 Heat TSR


5.12.5.7 High Water TSR


5.12.6 Rollaway Protection

With an active cab, anytime that the PTC detects movement (speed > Vzero) with neither a forward nor a

reverse direction indicated, the audible alarm is immediately activated and the OVERSPEED indicator on the

ADU is flashed. If the condition persists for eight (8) seconds, then the system initiates a non-suppressible

penalty brake application.

A rollaway penalty is automatically cleared anytime that the vehicle stops (speed Vzero) or if a forward or

reverse direction is asserted. When cleared, the audible alarm is silenced and the OVERSPEED indicator is

extinguished.

5.13 Auxiliary Control Functions

5.13.1 Tilt Control


5.13.2 Phase Break


5.13.3 Power Frequency or Voltage Change


5.14 Radio-Based TSR Management

In order to provide trains without a valid TSR list with a TSR list prior to entering PTC territory, areas known as

“pre-load” areas allow the train to request a TSR list. These areas have BCP zones and use a transponder set with a

special package to trigger PTC to begin requesting a TSR list. The transponder set also defines the length of the

“pre-load” area after which the PTC stops requesting a TSR list. While in the “pre-load” area, the MAS display

reports “- -”.


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5.15 PTC Operation with ATC in Cut-Out or Non-Cab Mode

The MAS indicator normally displays “- -“ when the ATC system is Cut-out or in Non-Cab mode. The PTC system

enforces a 79 MPH limit.

MAS displays the speed limit when the actual speed exceeds the Alert Curve. Once the speed goes below the Alert

Curve and the curve value does not change for more than 10 sec. the MAS will go back to “- -”.

5.16 Reverse Operation

Reverse operation applies to the situation where a train operator remains in the activated cab and initiates travel in

the reverse direction.

When the operator selects the reverse direction, the PTC system reacts in the following manner:

a) The MAS display reports “- -“.

b) Speed enforcement is set to the maximum vehicle speed.

c) While reversing, the PTC continues to keep track of current location including distance to PTS target

location and upcoming speed restrictions for the forward direction. If a speed restriction was already in

effect when the direction changed, it will still be in effect when direction is returned to forward, unless the

vehicle traveled past the start of the restriction.

d) When a permanent transponder set is encountered in reverse, all existing information is purged; the

direction of travel is reset based on the new transponder order. The new transponder data is processed and

enforced. On the ADU, The MAS display alternates “- -“ and the TSR indicator is lit to indicate that no

TSR list exists for the direction of travel.

5.17 Mid-Block Turn-Back and End-of-Line Terminal Movements

Mid-block turn-back and end-of-line terminal movements are supported by the PTC system. In these types of

movements, the direction of the train is changed, with control of the train transferred to the cab at the opposite end

of the consist or vehicle. For proper operation, the consist must have first moved through an interlocking and past

the exit transponder set (Home Signal set for opposite direction), but not yet encountered the next Distant Signal

transponder set.

In order to support these movements, the exit transponder sets at interlockings contain turn-back data packages. A

turn-back package provides BCP contact information for the preceding interlocking (the one just exited). After

encountering an exit set, the PTC stores the turn-back contact information until the next Distant Signal transponder

set.

When a turn-back movement is initiated, the PTC determines if it has valid BCP contact information for the newly

activated cab and new direction. If so, the PTC immediately enforces a PTS and begins attempting to contact the

BCP. The PTC interrogates the BCP, requesting TSR data and signal status for the new direction. Movement of the

train toward the Home Signal is prevented until either the PTS is released or an upgrade in signal status occurs.

5.18 Trailing Unit Operation

When the PTC equipment senses movement above Vzero with neither the front nor back cab active, it automatically

enters into trailing operation. Once in trailing mode, the unit remains in that mode until either cab is activated.


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In order to entering trailing operation, the equipment must first sense Vzero with neither the front nor back cab

active. Only after movement is sensed, with no cab active, does the equipment automatically enter trailing

operation.

When in trailing unit operation, the PTC penalty control output is de-energized and the audible alarm is silenced.

Trailing unit operation affects operation of the PTC-related displays and the PTC cut-out indicator on the ADU. It

presents a non-conforming display to the operator with PTC-displays, including the cut-out indicator, extinguished.

All transponder data is purged upon entering trailing operation with the exception of any PTS target locations. Any

current PTS target is maintained until a transponder set is encountered then it is purged.

5.19 Cut-out Operation

When the PTC Cut-out switch is placed into its cut-out position, the PTC equipment recognizes that it is electrically

cut-out. In response, the penalty control output is de-energized and the PTC audible alarm is silenced.

Once in Cut-Out mode, the PTC equipment will only switch from this mode of operation when VZero is active.

Any attempt to place the system back in Cut In while the speed is higher than Vz will be ignored. The penalty output

will remain de-energized. The PTC indicators on the ADU will maintain their PTC Cut Out status.

On the ADU, a non-conforming display is presented to the operator. The PTC displays are extinguished and the

PTC cut-out indicator is illuminated. While electrically cut-out, the PTC system continues to attempt radio network

communications.

The PTC reports the electrical cut-out state to the ATC system. This allows the ATC to enforce its operating rules

knowing that the PTC system is electrically cut-out.

Physical contacts controlled by the cut-out switch perform two operations when in the cut-out position: external

control voltage is applied to the PTC magnet valve, or its electronic equivalent, and electrical cut-out signals are

supplied to the ATC system.

In the SEPTA vehicle applications there is no electrical indication associated with any pneumatic cut-out capability

for the PTC penalty brake.

5.20 Shadow Mode Operation

This feature is accomplished by the PTC system being electrically cut-out.

While electrically cut-out, the PTC system logic operates normally, except that the PTC displays on the ADU are

extinguished and the audible alarm is silenced. The PTC cut-out indicator on the ADU is illuminated. The PTC

system continues to attempt radio network communications. The PTC magnet valve, or its electronic equivalent, is

energized through cut-out switch contacts.

The ADU will show the current speed from the ATC system unless the ATC system indicates a FAILURE, at which

point the ADU will show the current speed from the PTC system. If both systems indicate a FAILURE the ADU

speed display will be blanked. Similarly, the ATC-PTC speed comparison will continue to be checked unless one or

both systems indicate a FAILURE status.

If a failure of the PTC system occurs, the PTC FAILURE indicator will illuminate immediately and remain

illuminated even though the system is in cut-out. A message describing the reason for the failure will be displayed

for 60 seconds. This message will also be displayed for 60 seconds upon making the cab active with a system

already cut-out or after system power up.


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5.21 On-board Test Functions

A departure test is a sequence of test functions that are performed to verify the operational integrity of the equipment

and, to the extent practical, external control devices, operator controls, and indicators. A departure test may be done

as part of a pre-trip checkout or to troubleshoot suspected problems related to the PTC equipment. The test is

initiated via a Departure Test key-switch, located on the ADU. The operator must utilize an active ADU located in

the activated cab.

The test is designed to simulate actual operation and verify certain physical interfaces with the operator, and verify

the Train Type selection. The test automatically sequences through an ADU lamp test and interface tests. Certain

external equipment/interfaces do require attention during the departure test. This includes the ADU, scanner

antenna subsystem, the PTC magnet valve, the PTS request mechanism, and communications with the MCP Data

Radio.

The MCP Data Radio continually provides its health status to the PTC equipment. During the departure test this is

checked for correct operation being reported by the radio. A pass / fail indication is provided to the operator during

the test and the status is logged internally.

Once a departure test is initiated, the test runs one (1) sequence and waits for the key-switch to be de-activated. A

departure test is aborted by de-activating the key-switch before the sequence completes.

NOTE:

NORMALLY THE ANTENNA SUBSYSTEM’S TRANSMITTER IS TURNED OFF WHEN THE VEHICLE IS STOPPED.

HOWEVER THE DEPARTURE TEST DOES BRIEFLY ENERGIZE THE ANTENNA TO PERFORM A SELF-TEST.

AFTER THE SELF-TEST IS COMPLETED, THE ANTENNA IS AGAIN TURNED OFF UNTIL THE TRAIN MOVES.

5.21.1 Vehicle Preparation

In order to safely conduct an on-board test, certain conditions and vehicle controls should be setup prior to

testing.

a) The vehicle must be stopped.

b) A cab control stand must be activated (front or back cab activated, or keyed-up) and the vehicle must

be configured as a lead unit.

c) If applicable, the vehicle’s independent brake should be applied.

d) If applicable, the throttle lever should be in the idle position.

e) The automatic brake must be applied and permanent suppression must set / achieved.

f) The ATC should normally be electrically cut-in and its operating mode must be cab-signal (i.e. not cut-

out, not a trailing unit, not in non-cab territory, etc.).

5.21.2 Pre-requisite Entry Conditions

Pre-requisite conditions for the software-based activation of the on-board departure test process are listed

below:

a) The vehicle must be stopped: Vzero condition must be present.

b) Either the F-Cab or R-Cab cab active input must be asserted.

c) The permanent suppression input must be asserted.


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d) The brake pipe pressure switch input must be asserted.

e) The on-board vehicle configuration must be completed.

f) No PTC failure reported on ADU.

g) Valid Primary Version Number

5.21.3 Abnormal Exit Conditions

On-board departure test operations are designed as autonomous functions. They execute independently of the

PTC system logic and provide internal stimulus to the system.

In order to keep the test active, certain pre-requisite entry conditions must be maintained throughout the test

sequences. Loss of one or more of these pre-requisite conditions results in the abnormal termination of the test

operations.

These pre-requisite conditions include the following:

a) The selected cab active input must remain asserted.

b) The electrical cut-out input must remain de-asserted.

c) The vehicle must remain stopped: Vzero condition remains present.

d) No PTC failure reported on ADU.

e) Valid Primary Version Number

5.21.4 PTC Departure Test Procedure

This section describes each of the steps involved in performing a departure test from the cab. This description

includes the state of the ADU indicators and alarms, as well as any specific operator actions required. In

general throughout the test, the operator is expected to observe and verify each operation is performed properly.

Before attempting to initiate an on-board test, the operator should first ensure that the vehicle is setup to safely

perform the test and then ensure that pre-requisite entry conditions are met.

The operator initiates a PTC departure test by placing the key-switch into the PTC position. If the pre-requisite

entry conditions are not satisfied, an audible alarm is activated and a penalty brake application will occur within

5 seconds. A message is reported on the ADU, indicating the unsatisfied condition.

Once successfully initiated, the first operation is an ADU lamp test. All indicators on the ADU illuminate for

approximately 5 seconds. In order to not suppress an alarm during the test, while in departure test, permanent

suppression is ignored by the PTC logic. The operator should see the SUPPRESSION indicator on the ADU

extinguished after lamp test completes.

The departure test operations are described in the following table. The Message Display will alternate between

the step description and the operator instruction.


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Table 5-3, PTC Departure Test Sequence

Step No. Function: Test Step Description:

Operator’s Action ADU Message

1 Check Train Type Train Type is reported to operator. It is shown as a letter: B, C, D, or E.

Wait indefinitely for operator to acknowledge.

PTC TEST:01 ACK TO CONTINUE

2 Check Scanner Antenna

Key-on scanner antenna. Check results of power-up self-test. .

Wait up to 15 seconds for the antenna self test to pass.

PTC TEST:02 WAIT

PTC TEST:02 ANTENNA FAIL will be displayed after 15 seconds

3 Check PTS penalty.

Initiate PTS penalty brake application.

Wait up to 15 seconds for brake pipe to de-pressurize as a result of penalty brake application.

PTC TEST:03 WAIT

PTC TEST:03 PTS PENALTY FAIL will be displayed after 15 seconds

4 Clear PTS penalty. Remove PTS penalty brake application.

Wait indefinitely for operator to acknowledge.

PTC TEST:04 ACK TO CONTINUE

5 Check MCP Data Radio

Interrogate health and self-test status from Data Radio.

Wait up to 15 seconds for the Data Radio self test to pass.

PTC TEST:05 WAIT

PTC TEST:05 DATA RADIO FAIL will be displayed after 15 seconds.

6 Test Completed End of Test Wait indefinitely for operator to turn off departure test key.

PTC TEST: 06 PASSED

* If test step failed, report it as “fail” to operator. Wait indefinitely for the operator to turn off the departure test key.

If the above steps are completed correctly, the PTC departure test is successful and a message is presented on the

ADU indicating success. In the event that the test is aborted, or it times-out waiting for operator or brake system

response, it is considered unsuccessful.

5.22 PTC Version Identification

A version number, representing the status of the overall PTC OBC, is programmed into the OBC. This version

number is communicated to the Aspect Display Units connected to the system. It may be examined at the ADU

upon request or through the PTE application.

The version number is updated (factory re-programmed) to reflect changes made to the PTC OBC.

5.23 220 MHz Radio Support Operation

In order to support 220 MHz radio operation, the following features that are part of the Variance #4 to the ACSES II

Type Approved 900 MHz system are supported by the PTC system.

“Signal Address” message sent from the OBC to the MCP in order to assign radio frequencies.


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“Distance to Signal” message sent from the OBC to the MCP in order to allocate and release time-slots.

Elimination of slowed WIU polling when stopped or reversing.

Polling of all known upcoming interlockings at a six (6) second rate.

Send all pending MTA messages in a group format.

Suspend all radio communications once a home signal has been crossed.

Elimination of MTA “Warning” type messages.


5.24.1 System Initialization

When the PTC system is first powered-up, safe-state or restrictive defaults are assumed. At power-up about a

3-second delay is provided for the system’s Vital Power Supplies to stabilize and for I/O diagnostics to be

performed. The following restrictive conditions are assumed by the system at power-up:

PTC track speed limit display shows “- -“.

Both PTC Cut-Out and Cut-In indicators are extinguished.

The PTC enforces the configured vehicle maximum speed.

The PTC magnet valve is de-energized.

5.24.2 Positive Stop

If the ATC is electrically cut-out or proper communications cannot be established between the ADU and both

the PTC and ATC, then PTS enforcement is the responsibility of the PTC equipment. Under such a fault

condition, the PTC system enforces any PTS by de-energizing its penalty brake output.

5.24.3 ATC Cut-Out

The ATC cut-out input to the PTC system is active low signal. Power for the input signal comes from the PTC

system power supply. The ATC does not need to be powered for its cut-out signal to be recognized by the PTC

system.

5.24.4 Acknowledge Switch Failure

Failure of the acknowledge switch is protected through the use of a penalty brake application. When the switch

fails or is pressed, the audible alarm is activated after a brief delay. The switch must be released in order to

prevent a penalty. Failure to release the switch within 8 seconds results in a penalty brake application. This

scheme is applicable to any failure, which results in a closed contact of the switch.

In the event that the contact fails open, the operator losses the ability to acknowledge which typically results in

a penalty.

5.24.5 Speed Sensor Failure

Failure of the speed sensor or its associated circuitry results in a penalty brake application. Sensor tests are

performed on a regular basis. Circuit continuity is periodically verified with a DC bias measurement while the

vehicle stopped or moving. While stopped, operation of the internal pulse counting electronics and

measurements of the inductive response of the sensor are performed.

While a speed sensor failure is present, the Vzero condition cannot be logically asserted. The PTC FAILURE

indicator on the ADU illuminates steadily.


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5.24.6 Speed Comparison Failure

A speed comparison fault results in a penalty brake application; it is not recoverable. The PTC system must be

electrically cut-out in order to move the vehicle. The PTC FAILURE indicator on the ADU illuminates

steadily.

5.24.7 Missed Transponders

Any missed permanent transponder or transponder set creates an error condition that displays “- -” on the ADU

and requires the operator to acknowledge. The PTC system purges all active speed restrictions and, with the

exception of PTS data, it ignores all other data from a partially missing transponder set. Under this condition

the PTC enforces the lesser of the maximum vehicle speed or 125 mph. The display continues to show “- -”

until the next permanent transponder set is read correctly.

When the PTC encounters a missing (or partial) temporary set its does not purge any of its currently active

speed restriction information, nor does it use any information from the partial set. The alarm sounds and PTC

displays “- -” on the ADU, which the operator must acknowledge to avoid a penalty. The display continues to

report “- -” until either a permanent or temporary transponder set is read correctly. The informational message

TRANSPONDER NOT READ MP nnn.n is reported on the ADU.

5.24.8 Early Transponder Sets (Out-of-Window)

This situation occurs if a transponder set is encountered early - before the expected location based on the linking

distance calculation. The PTC will briefly change its speed limit display to show a “- -“ while processing the

new transponder set, reverting to the normal speed display when processing is complete (1-2 seconds).

5.24.9 PCB Functional Loss

In general, functional loss of a single PCB within the cardfile degrades operation of the overall system. All I/O

or information controlled by the PCB is forced to the safe or most restrictive state. A penalty brake application

may or may not result depending on the specific function(s) lost.

When the loss of a PCB results in penalty brake application, the PTC FAILURE indicator on the ADU is

illuminated steadily. When no penalty results, the PTC FAILURE indicator flashes.

Exceptions to this apply to certain critical PCBs or sub-assemblies within the OBC. Specifically PCBs

concerned with operating logic and speed measurement. A failure of either in these sub-assemblies directly

results in a penalty brake application.

5.24.10 Hardware Resets

Each of the safety-critical microcontroller applications (PCBs) service hardware resets in a similar manner. An

application attempts to force its outputs to the OFF state while about a 3 second delay is provided for the Vital

Power Supply (VPS) to stabilize. After the delay time, normal I/O monitoring and output delivery are

performed.

A hardware reset limited to one PCB generally affects only the I/O controlled by that PCB. As mentioned in

the previous sub-section, exceptions to this include PCBs concerned with operating logic and speed

measurement.

5.24.11 Configuration Data Loss

When Configuration Data is not available the following rules will apply:


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4. If communication between the system Main PCB and the ID Module is lost after the system has received

valid configuration data then the system will continue to use the last known wheel size. The system will

function normally and no alarms or indicators will annunciate this situation.

5. If an attempt is made to reconfigure the system and is unsuccessful then a non-suppressible penalty brake

application will be initiated along with the Failure Indicator being turned. The alarm will remain silent in

this situation.

6. If an attempt is made to run a departure test without valid configuration data, or a configuration link

failure then a non-suppressible penalty brake application will be initiated along with the Failure Indicator

being turned on. The alarm will remain silent in this situation.

When the system is powered up and a configuration link failure is present then a suppressible penalty brake

application will be initiated along with the Failure Indicator being turned on. The alarm will remain silent in this

situation. The system will default to the most conservative wheel size and tooth gear.


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6. Aspect Display Unit Operating Concepts

6.1 Signal Aspect Display

The signal aspect display portion of the ADU consists of a two (2) square signal indicators and a 2-row by 8-

character alphanumeric display. The upper signal indicator is capable of illuminating in GREEN, YELLOW, and

RED colors; the lower is capable of illuminating in GREEN, RED, and YELLOW. The alphanumeric display is a

LED dot-matrix device. It utilizes GREEN LED elements arranged in a 5 x 7 character matrix with an overall

character height of 7mm. The functional organization of these devices is illustrated in the following block diagram.

The operation of these devices is principally driven by serial command from the ATC equipment. Under normal

operation their behavior is dictated by signal aspect. They can be blanked, or extinguished, as commanded. The

ADU automatically blanks these devices when the ATC equipment is electrically cut-out or otherwise inoperative.

Figure 6-1, Movement Authority Display – Functional Block Diagram

SIGNAL ASPECT TEXT

DISPLAY

SIGNAL

HEAD

DISPLAY

MOVEMENT AUTHORITY DISPLAY

ATC SERIAL

COMMANDS

ATC CUT-OUT

(TO ADU)

The following tables describe the operating behaviors and colors of the display devices. The flash rate for the signal

aspect indicators, when necessary, is a nominal 1.4 Hz.

Table 6-1, Movement Authority Display – Signal Aspects

Code Rate Upper Head Lower Head Displayed Text

(SEPTA Signal Aspect)

(180 / 180) GREEN DARK CLEAR

(180 / ---) GREEN DARK CLEAR

(270 / 270) GREEN DARK CLEAR

(120 / 120) FLASHING

GREEN DARK

CAB SPEED 80


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Code Rate Upper Head Lower Head Displayed Text

(SEPTA Signal Aspect)

(270 / ---) FLASHING

GREEN DARK

CAB SPEED 60

(120 / ---) YELLOW GREEN APPROACH

MEDIUM

(75 / 75) YELLOW DARK APPROACH

(75 / ---) YELLOW DARK APPROACH

(--- / ---) RED YELLOW RESTRICT

(--- / ---) RED RED STOP

(--- / ---) WHITE WHITE All elements are

illuminated – Occurs only during the Lamp Test

Table 6-2, Movement Authority Display – Exception Conditions

Upper Head Lower Head Displayed Text Condition(s)

DARK DARK DARK

ATC electrically cut-out

ATC inoperative

ATC operating in non-cab territory

ATC operating in trailing unit

6.2 Speed and Speed Limits Display

The speed and speed limit display portion of the ADU consists of two (2) numeric displays and two (2) discrete

indicators. Both numeric displays are RED, 2-½ digit, 7-segment LED devices with an overall character height of

approximately 14mm.

The operation of these devices is principally driven by serial command from both the ATC and PTC equipment.

With both systems normally electrically cut-in and operational, internal ADU logic examines the Maximum

Authorized Speed (MAS) from both. The ADU determines which system has the lower speed limit and displays that

system, either the ATC or PTC, as the enforcing system. The MAS and ACTUAL SPEED reported by the ADU is

that supplied from the enforcing system. Speed information is reported to the operator in units of 1 MPH.

The ATC indicator is illuminated when the ATC equipment is enforcing the lower speed limit; the PTC indicator is

illuminated when the PTC is enforcing the lower speed limit. Each indicator flashes when the corresponding system

requires an operator acknowledgement.

The MAS display is predominantly controlled by PTC commands. Only when both the ATC and PTC are jointly

operating in PTC territory can the ATC MAS be displayed. Otherwise PTC commands or other operating

conditions dictate the state of the MAS display. The ATC may only command the MAS display to report the signal

speed limit; the PTC initiates all other MAS commands.

Serial command from either the ATC or PTC equipment is inhibited when the respective system is electrically cut-

out or otherwise inoperative. With neither ATC nor PTC command available, the ADU automatically blanks these


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display devices, including the ACTUAL SPEED display. Furthermore, ATC command of the MAS display is

explicitly inhibited when the PTC is electrically cut-out or otherwise inoperative; the MAS display is blanked.

The following figure illustrates the functional organization of the speed-related displays. The following table

identifies the operational states of the displays and describes the conditions under which those states are presented.

Figure 6-2, Speed Displays – Functional Block Diagram

ACTUAL SPEED

SPEED DISPLAY

MAX. AUTH. SPEED

ATC SERIAL

COMMANDSPTC SERIAL

COMMANDS

ATC CUT-OUT

(TO ADU)

PTC CUT-OUT

(TO ADU)

ATC PTC

Table 6-3, ATC Indicator Operation

Indicator Color State Condition(s)

ATC

- OFF


ATC inoperative

No ATC speed enforcement

ATC operating in non-cab territory with PTC enforcement active


YELLOW ON

ATC speed enforcement (may be active in non-cab territory)

FLASHING ATC requires operator acknowledgement


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Table 6-4, PTC Indicator Operation


PTC

- OFF

PTC electrically cut-out

PTC inoperative

No PTC speed enforcement

PTC operating in non-PTC territory

PTC operating in trailing unit

YELLOW ON

PTC line-speed enforcement in non-PTC territory

PTC speed enforcement

FLASHING PTC requires operator acknowledgement

Table 6-5, ACTUAL SPEED Display Operation


ACTUAL SPEED

- OFF ATC and PTC operating in trailing unit

ATC and PTC electrically cut-out with failure

RED

ACTUAL SPEED (0-199)

ATC Cut-In or PTC Cut-In.

ATC and PTC Cut Out with no failure

Table 6-6, MAS Display Operation


MAS

- OFF


PTC inoperative

PTC operating in trailing unit

RED

“- -“


ATC inoperative


ATC speed enforcement in non-cab territory

ATC speed enforcement in non-PTC territory

(1) PTC command to display “- -“

ATC MAS (0-199)

(2) ATC speed enforcement in PTC territory

and during ATC Departure Test

PTC MAS (0-199)

(3) PTC speed enforcement in ATC territory

(3) PTC speed enforcement in non-cab territory

“b”, “c”, “d”, or “e”

(4) PTC Departure Test: reporting of train type


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(1) The PTC may command the MAS to report “- -“ for a variety of operational reasons. The PTC may force the

MAS display to alternate between “- -“ and the PTC MAS.

(2) The ATC MAS commanded is the signal speed limit.

(3) The PTC MAS commanded is either the current line speed or alert curve speed limits during transitions.

(4) Train type “a” cannot be reported on the ADU during a departure test.

6.3 Operating Controls and Status Displays

Operating status displays provided by the ADU consist of discrete indicators, of various colors, and a 2-row by 16-

character alphanumeric message display. Related operator controls consist of up to two (2) pushbutton switches.

One switch is a MESSAGE SELECT switch, which is used to scroll through multiple messages that might be

presented on the message display. A second switch serves as a manual BRIGHTNESS control.

For the purposes of discussion, the discrete indicators are organized into three (3) categories: ATC, PTC, and

general indicators that are common to, or shared between, the ATC and PTC systems.

The functional organization of these devices is illustrated in the following block diagram.

Figure 6-3, Operating Controls and Status Displays – Functional Block Diagram

MESSAGE DISPLAYATC INDICATORS

CUT-IN

ERS FAILURE

FAILURE

CUT-OUT

PTC INDICATORS

CUT-IN

VALID

DATABASE

FAILURE

CUT-OUT

GENERAL

INDICATORS

“C”

SIGNAL

ALERTER

SUPPRESSION

SPARE

MSG

SELECT

BRIGHT

NESS

OPERATING STATUS - DISPLAY AND CONTROLS

ATC SERIAL

COMMANDS

PTC SERIAL

COMMANDS

ATC CUT-OUT

(TO ADU)

PTC CUT-OUT

(TO ADU)

OVERSPEED

NO VALID

TSR DATA


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6.3.1 ATC Indicators

The operation of the discrete ATC indicators is principally driven by serial command from the ATC equipment.

With the ATC system normally electrically cut-in, individual commands from the ATC can control the state of

each indicator. Each indicator can be commanded on, off, or to flash.

Serial command from the ATC is inhibited when it is electrically cut-out or otherwise inoperative. With no

ATC command available, the ADU automatically blanks all of the ATC indicators except for the failure

indicator.

Table 6-7, ATC FAILURE Indicator Operation


FAILURE

- OFF

ATC reports no internal failure

RED

ON

ATC reports internal failure

ATC electrically cut-out and reports internal failure

ATC inoperative (i.e not communicating or without power)

FLASHING

Only occurs during power-up/reset for approximately 4 Seconds while ADU is attempting to establish communications with the ATC System.

Table 6-8, ATC CUT-IN Indicator Operation


CUT-IN

- OFF


ATC inoperative


ATC operating in a trailing unit

GREEN ON ATC operating in cab signal territory

FLASHING N/A

Table 6-9, ATC CUT-OUT Indicator Operation


CUT-OUT

- OFF

ATC operating in cab signal territory



RED ON ATC electrically cut-out

FLASHING N/A


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6.3.2 PTC Indicators

The operation of the discrete PTC indicators is principally driven by serial command from the PTC equipment.

With the PTC system normally electrically cut-in, individual commands from the PTC can control the state of

each indicator. Each indicator can be commanded on, off, or to flash.

Serial command from the PTC is inhibited when it is electrically cut-out or otherwise inoperative. With no PTC

command available, the ADU automatically blanks all of the PTC indicators except for the failure indicator.

Table 6-10, PTC FAILURE Indicator Operation


FAILURE

- OFF

PTC reports no internal failure

RED

ON

PTC reports internal failure

PTC electrically cut-out and reports internal failure

PTC inoperative (i.e. not communicating or powered off)

FLASHING

Only occurs during power-up/reset for approximately 4 Seconds while ADU is attempting to establish communications with the PTC System.

Table 6-11, PTC CUT-IN Indicator Operation


CUT-IN

- OFF



PTC inoperative

PTC operating in a trailing unit

GREEN ON PTC operating in PTC territory

FLASHING N/A

Table 6-12, PTC CUT-OUT Indicator Operation


CUT-OUT

- OFF

PTC operating in PTC territory



RED ON PTC electrically cut-out

FLASHING N/A


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Table 6-13, PTC VALID DATABASE Indicator Operation


VALID DATABASE

- OFF

PTC inoperative




GREEN ON

(1) Valid transponder database received via

data radio network.

FLASHING N/A

(1) Indicator reserved for future compatibility with NEC ACSES III operation.

Function is not implemented at this time.

Table 6-14, PTC “C” SIGNAL Indicator Operation


“C” SIGNAL

- OFF

No PTC-based authority to proceed




ATC electrically cut-in

LUNAR WHITE

ON N/A

FLASHING PTC authority to proceed to next home signal (via data radio network) ATC must be electrically cut-out

Table 6-15, PTC TSR STATUS Indicator Operation


NO VALID TSR DATA

- OFF



Valid Temporary Speed Restriction data

RED ON No valid Temporary Speed Restriction data

FLASHING N/A

6.3.3 General Indicators

The operation of the discrete general indicators is principally driven by serial command from both the ATC and

PTC equipment. With both systems normally electrically cut-in and operational, internal ADU logic examines

the related command signals from both. The ADU determines the display state based on command data specific

to each indicator.


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Serial command from either system is inhibited when that system is electrically cut-out or otherwise

inoperative. With no command information available from a system, no consideration is given to that system

by internal ADU logic in its determination of indicator states.

Table 6-16, SUPPRESSION Indicator Operation


SUPPRESSION

- OFF

Neither ATC nor PTC reporting suppression

Only ATC reporting suppression

Only PTC reporting suppression



PTC reporting suppression, with ATC inoperative

ATC reporting suppression, with PTC inoperative

YELLOW ON

Both ATC and PTC reporting suppression

ATC reporting suppression, with PTC electrically cut-out

PTC reporting suppression, with ATC electrically cut-out

FLASHING N/A

Table 6-17, OVERSPEED Indicator Operation


OVERSPEED

- OFF

Neither ATC nor PTC reporting overspeed

Both ATC and PTC electrically cut-out

Both ATC and PTC operating in a trailing unit

Both ATC and PTC inoperative

YELLOW

ON ATC reporting overspeed

PTC reporting overspeed

FLASHING ATC reporting overspeed penalty

PTC reporting overspeed penalty


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Table 6-18, ALERTER Indicator Operation


ALERTER

- OFF



ATC inoperative

YELLOW

ON N/A

FLASHING Alerter (via ATC) requires operator acknowledgement

Table 6-19, ERS FAILURE Indicator Operation


ERS FAILURE

- OFF

Neither ATC nor PTC reporting failure

Both ATC and PTC electrically cut-out

Both ATC and PTC operating in a trailing unit

RED ON

ATC reporting failure

PTC reporting failure

FLASHING N/A

6.3.4 Brightness Control Switch

The ADU provides the capability for the operator to manually adjust the overall display brightness. A

momentary-action pushbutton is used to initiate manual brightness adjustments. Brightness control operations

are discussed in Section 6.7, Miscellaneous Operations.

6.3.5 Message Select Switch

The ADU provides the capability for the operator to manually scroll through any messages that are queued to

the message display. A momentary-action pushbutton is used to scroll through any posted messages.

6.3.6 Message Display

The alphanumeric display is a LED dot-matrix device organized as 2 rows by 16 characters. It utilizes GREEN

LED elements arranged in a 5 x 7 character matrix with an overall character height of 5mm.

Operation of the message display is governed by internal ADU logic. Messages for display may be queued

from both ATC and PTC equipment. With both systems electrically cut-in and operational, internal ADU logic

examines the queued messages and prioritizes them for display. Only one message at a time may be displayed

by the ADU, but the operator can scroll through the queued messages by using the MESSAGE SELECT

pushbutton.

As a secondary function of the message display, the ATC and PTC versions can be temporarily displayed upon

request. The operator can view the versions of the ATC and PTC systems by using the MESSAGE SELECT

pushbutton. After the versions are reported, the message display is automatically returned to normal operation.

Serial command related to message information, from either system, is inhibited when that system is electrically

cut-out or otherwise inoperative. With no command or message information available from a system, no

consideration is given to that system by internal ADU logic in its determination of any message displayed.


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In trailing unit operations, the message display is blanked.

6.3.6.1 Message Presentation

Messages are organized into functional categories. These categories allow messages to be prioritized for

display purposes. In the priority scheme, the highest priority message queued for display normally

continues to be reported until it is cleared or superseded by a higher-priority message. The message display

is blanked when no messages are queued for display.

In addition to prioritizing the category of a message, the more restricting system’s messages will take

precedence over the other system’s messages. In the event that both systems are reporting the same Speed

Limit, ATC messages take precedence over PTC messages.

The following table identifies the prioritized categories of messages.

Table 6-20, Message Category Priorities

Display Priority

Message Category

1 Departure Test Messages

2 Failure Messages

3 Penalty Messages

4 Informational Messages

5 Maintenance Messages

Multiple messages may be queued within each category as well as across categories. When multiple

messages are queued for display, an asterisk “*” is appended to the end of the text to indicate that another

message may be selected for viewing.

With multiple messages queued for display, the operator may scroll through the messages by using the

MESSAGE SELECT pushbutton. This allows the operator to view queued messages in any category

according to their priority. Within each message category, the more restricting system’s messages have

precedence over the less restricting system’s messages. For instance, if the PTC system has a more

restricting speed limit than the ATC system, then the PTC messages will be viewed before the ATC

messages for each message category. While viewing messages, the addition of a new message into the

queue or fifteen (15) seconds after the MESSAGE SELECT pushbutton is activated causes the display to

revert to the highest priority message.

Except for the maintenance classification of messages, the persistence of a given message is dictated by the

initiating ATC or PTC system. The initiating system queues a message when the associated condition is

present; it then de-queues the message when that condition is mitigated. In the case of maintenance

messages, the associated trigger condition initially queues the message; the message will be displayed for

sixty (60) seconds and then it will be automatically de-queued. If a second message with a higher priority

is queued, then the sixty (60) second timer for the first message is paused until the second message is

removed.

If a failure of the ATC/PTC system occurs, an ADU message is displayed describing the reason for the

failure. Once the corresponding system is placed in Cut Out the message will be extinguished. With

ATC/PTC system being in Cut Out the existing failure messages will be displayed for 60 seconds upon

making the cab active or after system being powered up.


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If operating with either the PTC or ATC system cut out and the cut out system experiences a failure, the

corresponding message describing the reason for the failure will be displayed for 60 seconds.

6.3.6.2 Message Definitions

The following tables identify the text messages that may be reported on the ADU message display. For the

purposes of presentation, they are organized according to message category.


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Table 6-21, ATC Failure Messages

Message No.

Message Text Reason for Message Reason for Elimination

1 CUT-OUT ATC IO BOARD FAIL

IO Board link failure detected.

If ATC has been CutT-Out, or IO Board Failure is cleared.

2 CUT-OUT ATC

NO CONFIG DATA

Configuration parameters are invalid at power-up or when attempting to start Departure Test.

If ATC has been Cut-Out, or Config Data is read successfully.

3 CUT-OUT ATC

SPEED SENS FAIL Speed sensor failure has been detected.

If ATC has been Cut-Out, or speed sensor error clears.

4 CUT-OUT ATC

SPEED COMP FAIL Speed comparison with PTC system has failed.

If ATC has been Cut-Out, or system power is cycled.

5 CUT-OUT ATC

PERM SUPP FAIL Permanent Suppression cross-check has failed

If ATC has been Cut-Out, or system power is cycled.

6 CUT-OUT ATC

DECODER FAIL ATC Decoder link failure detected

If ATC has been Cut-Out, or ATC Decoder Board link failure is cleared

7 CUT-OUT ATC ADU LINK FAIL

ADU link to ATC system has failed If ATC has been Cut-Out, or ADU link failure is cleared

8 CUT-OUT ATC

FWD & REV ACTIVE Forward and Reverse inputs to ATC are asserted simultaneously.

If ATC has been Cut Out or only one direction is asserted

Table 6-22, PTC Failure Messages

Message No.


1 CUT-OUT PTC IO BOARD FAIL

IO Board failure detected.

If PTC has been Cut-Out, or IO Board Failure is cleared.

2 CUT-OUT PTCNO

CONFIG DATA

Configuration parameters are invalid at power-up or when attempting to start Departure Test.

If PTC has been Cut-Out, or Config Data is read successfully.

3 CUT-OUT PTC

SPEED SENS FAIL Speed sensor failure has been detected.

If PTC has been Cut-Out, or speed sensor error clears.

4 CUT-OUT PTC

SPEED COMP FAIL Speed comparison with PTC system has failed.

If PTC has been cut-out, or system power is cycled.

5 CUT-OUT PTC ANTENNA FAIL

If PTC system recognizes a failure of the OBC communication link to the Undercar Antenna Subsystem

If PTC has been Cut-Out, or the communication link is restored.

6 CUT-OUT PTC ADU LINK FAIL

ADU link to PTC system has failed If PTC has been Cut-Out, or ADU link failure is cleared

7 CUT-OUT PTC

FWD & REV ACTIVE Forward and Reverse inputs to PTC are asserted simultaneously.

If PTC has been Cut Out or only one direction is asserted


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Table 6-23, ATC Departure Test Messages

Message No.


1 NOT

CONFIGURED

If an attempt to initiate ATC departure test is made while ATC configuration parameter “VEHICLE NUMBER” = 0

If a valid (other than zero “0”) “VEHICLE NUMBER” value is asserted in the system configuration.

2 NO

VZERO

If an attempt to initiate ATC departure test is made while ATC speed is higher than VZERO.

If VZERO is asserted at the initiation of the ATC departure test.

3 NO

SUPPRESSION

If an attempt to initiate ATC departure test is made while the SUPPRESSION input to ATC is de-asserted.

If SUPPRESSION input to ATC is asserted at the initiation of the ATC departure test.

4 NO BRAKE PIPE

PRESSURE

If the brake pipe pressure switch input is de-asserted when is required to be ON for a step of the departure.

If the brake pipe pressure switch input is asserted when is required.

5 NOT IN CAB

SIGNAL MODE

If an attempt to initiate ATC departure test is made with ATC system being in: CUT-OUT; TRAIL; NON-CAB modes

If ATC system is CUT-IN

6 ATC TEST: NN

ABORTED If the test is aborted at “ATC TEST:nn” step.

If the operator turns off the departure test key.

7 ATC TEST: NN

FAILED If the test is failed at step “ATC TEST:nn” .


8 ATC TEST: NN

PASSED If ATC Departure Test is successful.


9 ATC TEST: NN

ACK

If the test step requires for operator to acknowledge in order to avoid a penalty brake application.

If ACK input to ATC system is asserted at step “ATC TEST: nn”.

10 ATC TEST: NN

WAIT

If the test step “ATC TEST:nn” does not require any action by the operator.

If the simulation time for “ATC TEST:nn” step is expired.

11 NO IDLE

If an attempt to initiate ATC departure test is made while the the throttle lever is not in the Idle position.

If the throttle lever is in the Idle position at the initiation of the ATC departure test.

12 INVALID SOFTWARE VERSION

If ATC MAIN detects an invalid software revision for one or more of the sub-systems.



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Table 6-24, PTC Departure Test Messages

Message No.


1 NOT

CONFIGURED

If an attempt to initiate PTC departure test is made while PTC configuration parameter “VEHICLE NUMBER” = 0

If a valid (other than zero “0”) “VEHICLE NUMBER” value is asserted in the system configuration.

2 NO

VZERO

If PTC reports speed higher than VZERO at the initiation of the PTC departure test.

If VZERO is asserted at the initiation of the PTC departure test.

3 NO

SUPPRESSION

If SUPPRESSION input to PTC is de-asserted when is required to be ON for a step of the departure test.

If SUPPRESSION input to PTC is asserted when is required.

4 NO BRAKE PIPE

PRESSURE

If the brake pipe pressure switch input is de-asserted when is required to be ON for a step of the departure test.

If the brake pipe pressure switch input is asserted when is required.

5 PTC TEST: NN

ABORTED If the test is aborted at “PTC TEST:nn” step.


6 PTC TEST: NN

FAILED If the test step “PTC TEST:nn” failed.


7 PTC TEST: NN

PASSED If PTC Departure Test is successful.


8 PTC TEST: NN TRAIN TYPE x

If PTC Departure test is at step that reports the configured Train Type for the vehicle

If the test progresses to the next step after an acknowledgement made by the operator

9 PTC TEST: NN ANTENNA FAIL

If PTC Departure test step that checks the Undercar Antenna subsystem has failed.

If the failure is cleared or the test is aborted.

10 PTC TEST: NN

PTS PENALTY FAIL If PTC Departure test step that requests PTS Penalty has failed.


11 PTC TEST: NN

DATA RADIO FAIL If PTC Departure test step that checks the Data Radio has failed.


12 PTC TEST: NN

ACK TO CONTINUE

If the test step requires for the operator to acknowledge in order for the test to proceed to next step.

If ACK input to ATC system is asserted at step “ATC TEST: nn”.

13 PTC TEST: NN

WAIT

If the test step “PTC TEST:nn” does not require any action by the operator.

If the simulation time for “PTC TEST:nn” step is expired.

14 INVALID SOFTWARE

VERSION

If PTC MAIN detects an invalid software revision for one or more of the sub-systems.



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Table 6-25, ATC Penalty Messages

Message No.


1 ATC PENALTY

ACK REQUIRED If an ATC downgrade penalty brake application is initiated.

If the downgrade penalty condition is cleared.

2 ATC PENALTY OVERSPEED

If an ATC overspeed penalty brake application is initiated.

If the overspeed penalty condition is cleared.

3 ATC PENALTY

CAB SIGNAL TERR

If ATC penalty is applied after incorrect use of the NON-CAB TERR push button.

If the penalty condition is cleared.

4 ATC PENALTY

DEPT TEST REQD

If ATC penalty is applied after pressing the NON-CAB TERR push button in ATC Departure Test Required mode.

If the button is released.

5 ALERTER PENALTY

TIMEOUT If inaction by the operator results in an Alerter penalty brake application

If the Alerter penalty condition is cleared.

Table 6-26, PTC Penalty Messages

Message No.


1 PTC PENALTY

ACK REQUIRED

If a PTC downgrade or acknowledged required penalty brake application is initiated.

If the downgrade penalty condition is cleared.

2 PTC PENALTY OVERSPEED

If a PTC overspeed penalty brake application is initiated.

If the overspeed penalty condition is cleared.

3

POSITIVE STOP PENALTY

If a PTS penalty is being requested by PTC system while ATC is at RESTRICT.

If the PTS penalty condition is cleared

4 PTC PENALTY ROLL-AWAY

If a PTC penalty brake is initiated due to a Roll Away condition

If the PTC Roll Away penalty is cleared


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Table 6-27, ATC Informational Messages

Message No.


1 NON-CAB

TERRITORY If ATC operates in Non-Cab Mode

If ATC exits the Non-Cab Mode

2 ATC

DEPT TEST REQD If ATC operates in Departure Test Required mode

If ATC exits the Departure Test Required mode

3 CAB TEST PCB FAIL

CAB TEST Board link failure detected.

If ATC has been CUT-OUT, or CAB TEST Board Failure is cleared.

Table 6-28, PTC Informational Messages

Message No.


1 PTC

CONSTRUCTION ZONE

If PTC operates in a transponder wayside Construction Zone

If PTC exits the Construction Zone.

2 PTS RADIO RELEASE

If the vehicle approaches an IXL under RESTRICT signal and PTC receives an IXL Release status via MCP Radio

If PTC receives a STOP IXL status via the radio, while approaching the IXL.

If ATC aspect is higher than RESTRICT, while approaching the IXL.

3 TEMPORARY RESTRICTION

If the vehicle enters a TSR zone. If the vehicle exists the TSR zone.

4 TSR STOP:

STOP REQUIRED If the vehicle enters a Landing Zone for zero (0) MPH TSR

If the VZERO is asserted in the Landing Zone for more than 5 seconds.

5 TSR STOP:

ACK TO RELEASE

If the vehicle asserts VZERO for more than five(5) seconds, while operates in a zero(0) MPH TSR Landing Zone.

If the acknowledge is made after the initiation of the message.

6 MCP RADIO

FAILURE

If PTC system recognizes a failure of the MCP Radio or its communication link to OBC.

If the communication link or the health status of the MCP Radio is restored.


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Table 6-29, PTC Maintenance Messages

Message No.


1 TRANSPONDER

NOT READ MP nnn.n If PTC encounters corrupted transponder(s) in a transponder set.

60 seconds after the message initiation.

If another complete set is encountered within 60 seconds of message initiation.

2 NO TSR RESPONSE

MP nnn.n

If PTC does not receive any response from the TSR server for the entire BCP zone. The message is displayed as soon as the TSR communication to this BCP is terminated.


3 NO ENCODER RESP

MP nnn.n

If PTC does not receive any response from WEU for the entire PTS zone. The message is displayed as soon as the communication to this WEU is terminated.


6.3.6.3 ATC and PTC Versions Presentation

The operator can view the version labels for the ATC and PTC systems by pressing and holding, for at least

five (5) seconds, the MESSAGE SELECT pushbutton. In this mode, normal message display operation is

interrupted and the display temporarily reports the version labels. The versions are displayed for about five

(5) seconds then the message display returns to normal operation.

The version labels are of the following format:

ATC Vxx

PTC Vxx

Where:

xx - The primary version number. It is updated when another device or sub-system needs to be

revised to be compatible with a change, or if the change affects the vehicle operating rules or

operator response. It represents the software revision number of MAIN PCB for the corresponding

system.

In case that a sub-system software revision is not compatible with the primary version number the

following message will be displayed when the button is pressed for more than 5 seconds:

ATC V INVALID

PTC V INVALID

Also, in case of invalid sub-system software revision number the Departure test for the corresponding

system will not be allowed. When the departure test switch is activated the following message will be

displayed: “INVALID SOFTWARE/VERSION”


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6.4 Departure Test Switch

The ADU accepts a SEPTA Door Key that operates a 3-position switch. The key can only be inserted and removed

from the center-off position. The key-switch mechanism does not provide a spring return to the center-off position.

When the key-switch is turned to its CCW position, a contact is closed to indicate an ATC departure test is

requested. When turned to its CW position, a contact is closed to indicate a PTC departure test is requested. Both

switch contacts are monitored internally by ADU logic. Contact position information is supplied as serial data to the

respective ATC and PTC system.

Figure 6-4, Departure Test Switch – Functional Block Diagram

ATC

DEPARTURE TEST

CONTROLS

PTC ATC SERIAL

RESPONSE

PTC SERIAL

RESPONSE

6.5 Audible Alarm Control

The ADU houses two (2) separate and independently controlled audible alarm devices for the ATC / Alerter and

PTC systems. Each alarm device is powered and controlled from within the ADU. The loss of power or control

capability in one system does not affect operation of the other system’s alarm device.

The physical control of alarm intensity, or volume, is a function internal to the ADU. Both volume and on/off

operation of the alarm devices is commanded serially by the respective ATC and PTC systems.

The following table summarizes the operating characteristics of the audible alarm devices used by the ATC and PTC

equipment.

Table 6-30, Audible Alarm Devices

System Device Characteristics Operating Voltage

(1) Loudness

ATC Mallory Sonalert

SC616NPU

Loud Dual mode –

Fast-pulse / Cont. 2900 Hz +/- 500 Hz

6 to 16 vdc 80 dB(A) @ 6 vdc 90 dB(A) @ 16 vdc

PTC Mallory Sonalert

SC628JW

Medium Loud Slow Pulse

2900 Hz +/- 500 Hz 6 to 28 vdc

68 dB(A) @ 6 vdc 80 dB(A) @ 28 vdc

(1) Manufacturer’s ratings for the devices alone, measured from 24 inches. Installation of the devices into a

mechanical package will alter the acoustic responses.

6.6 Device Address Configuration

Up to four (4) ADU devices are supported in the communications scheme with the ATC and PTC equipment.

In normal operation all ADU devices are powered and remain operational. Each device is uniquely addressable by

the ATC and PTC equipment. Each ADU is capable of communications regardless of the operating configuration of

the vehicle.


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Each ADU device may be assigned a unique number, or address, for the purpose of communications. This number

is configured through the use of jumpers located in the plug-end of the vehicle wiring harness to each ADU. The

following figure illustrates the use of cable-plug jumpers to configure the ADU based on its installed location within

the vehicle.

Figure 6-5, Device Address Arrangement

V+

SEL-0

SEL-1

JMPR-0

JMPR-1

ADU

ADDR

SELECT

ADU

(RECEPTACLE)

CABLE PLUG

(VEHICLE WIRING)

The following table identifies the device unit number assigned for the various combinations of jumper configuration.

Each unit is associated with specific cab and operating position with the cab. The cab and position correlation is

consistent across all vehicle applications.

Each ADU device supplies its assigned unit number in its responses to the ATC and PTC equipment. The ATC and

PTC equipment can utilize the unit number response and determine whether to recognize or ignore any operator

control (physical switch inputs) signals from that device, based on the operating configuration of the vehicle at the

time.

Table 6-31, ADU Address Configuration

Unit No.

Cab Operating Position JMPR-0 JMPR-1

1 B-CAB Operator, forward running OUT OUT

2 B-CAB RESERVED IN OUT

3 B-CAB Operator, reverse running OUT IN

4 A-CAB Operator, forward running IN IN

6.7 Miscellaneous Operations

While the ADU presents information and indications related to the ATC and PTC equipment, it is itself a standalone

microcontroller-based sub-system. Under normal circumstances the ATC and PTC equipment communicates with

the device via asynchronous RS-422/485 serial links.

Display operation and behavior is largely dictated by serial command from each system. However, as a

microcontroller-based device, under certain conditions, the device does locally determine certain behaviors.


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6.7.1 Initialization

Upon power-up or reset, all discrete indicators, 7-segment, and alphanumeric displays are initially blanked. The

ATC FAILURE and the PTC FAILURE indicators begin to flash until serial communication is properly

established with each respective system.

6.7.2 Flashing Indicators

Unless explicitly stated otherwise, the ADU device is directly responsible for control of flashing discrete

indicators. The flash rate for all indicators is a nominal 1.4Hz. When indicators are flashed, all such indicators

are flashed at the same rate and in phase with each other.

6.7.3 Departure Test

An ADU lamp test will be initiated by both the ATC or PTC equipment during departure test by serial

command. In response to a lamp test command, the ADU illuminates all of the discrete indicators and reports

test patterns on the 7-segment and alphanumeric displays. The lamp test state persists for the time that it is

commanded by the initiating system. During a lamp test, display intensity is automatically adjusted in the

interest of power consumption.

6.7.3.1 MAS Display operation during Departure Test/Lamp Test

The MAS display is also used during the ATC and PTC Departure Tests. While the Lamp Test is being

performed on the ADU, “188” will appear on the MAS display. This value is used for both the ATC and

PTC Departure Tests. While the ATC system is executing its Departure Test, the MAS will display the

reported ATC speed limit after the Lamp Test is completed. While the PTC system is executing its

Departure Test and the Lamp Test is completed, the MAS display will either continue to display the “188”,

or when instructed, the MAS display will show the train type – “b”, “c”, “d”, or “E”.

6.7.3.2 Actual Speed Display operation during Departure Test/Lamp Test

The Actual Speed display is also used during the ATC and PTC Departure Tests. While the ATC or

PTC Lamp Test is being performed on the ADU, “188” will appear on the Actual Speed display. After the

ATC or PTC Lamp Test has completed, the Actual Speed display will show the reported ATC current

speed.

6.7.3.3 Signal Aspects operation during Departure Test/Lamp Test

The Aspect lamps are also used during the ATC and PTC Departure Tests. While the ATC or PTC Lamp

Test is being performed on the ADU, the Aspect lamps will be white over white. This pattern will prove to

the operator that all colors are properly functioning. After the ATC Lamp Test has completed, the ADU

will illuminate the Aspect lamps as instructed per the ATC serial message. The Aspect lamps will match

the Signal Aspect under test, first in an ascending order and then in a descending order. After the PTC

Lamp Test has completed, the ADU will illuminate the Aspect lamps as instructed per the ATC serial

message, this should be the Restricted Signal Aspect.


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6.7.3.4 Signal Aspect Text Display operation during Departure Test/Lamp Test

The Signal Aspect text display is also used during the ATC and PTC Departure Tests. While the ATC or

PTC Lamp Test is being performed on the ADU, the Signal Aspect text display will illuminate a pattern

LED elements that make up the dot matrix characters. This pattern allows the operator to see that the Signal

Aspect text display is properly functioning. After the ATC Lamp Test has completed, the ADU will

display a text message that matches the illuminated Aspect lamps as instructed per the ATC serial message.

The Signal Aspect text display will match the Signal Aspect under test, first in an ascending order and then

in a descending order. After the PTC Lamp Test has completed, the Signal Aspect text display on the ADU

will match the illuminated Aspect lamps as instructed per the ATC serial message, this should be the

Restricted Signal Aspect.

6.7.3.5 Messages Text Display operation during Departure Test/Lamp Test

The Messages text display is also used during the ATC and PTC Departure Tests. While the ATC or PTC

Lamp Test is being performed on the ADU, the Messages text display will illuminate a pattern LED

elements that make up the dot matrix characters. This pattern allows the operator to see that the Messages

text display is properly functioning. After the ATC or PTC Lamp Test has completed, the ADU will

display a text message that the ATC or PTC system is requesting which will represent the state of the

Departure Test. While the Departure Test is running, only Departure Test messages will be visible on the

Messages text display, all other types of messages will be suppressed. Only one (1) Departure Test

message will be viewable during the ATC or PTC Departure Test, the use the Message Select pushbutton

will be ignored. Once the Departure Test is exited, any messages that are in the Status Message queue will

again be viewable.

6.7.4 Automatic Brightness Control

The front panel of an ADU display contains a photosensitive device that senses ambient light intensity.

Utilizing this sensor, display intensity is automatically adjusted to compensate for changes in the ambient light.

The ADU defaults to automatic brightness control each time the cab is keyed-up, or activated.

In bright ambient light the display is operated at full intensity. In low ambient light the display is dimmed. A

brief delay slows the response to transient changes in the ambient light. This helps to reduce nuisance changes

in intensity due to passing objects and shadows.

6.7.5 Manual Brightness Control

The front panel of an ADU display contains a brightness adjustment pushbutton switch. Utilizing this

pushbutton, the operator can manually adjust the display intensity to suit personal preference. Once a manual

adjustment is made, the unit remains in manual control until the cab is again keyed-up, or activated.

The operator must press and hold the pushbutton for 3 seconds to enter “manual adjustment” mode. Pressing

the brightness pushbutton selects the next one of five brightness levels. Brightness levels range from dim (for

low ambient light conditions) to full (for high ambient light conditions).

6.7.6 Inactive Cab Operation

When the ATC and/or the PTC equipment are powered, ADU devices are powered and can operate regardless

of whether the cab is active or not. In communications with the ATC and PTC systems, each ADU is

individually addressed. The ATC and PTC systems know the physical location of each ADU. Furthermore

they know whether or not that cab is activated and the selected direction of travel.


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In an inactive cab, the Departure Test Key-switch is disabled. Audible alarms remain silent in an inactive cab.

All discrete indicators, 7-segment, and alphanumeric displays may be extinguished under system command.

With no cab activated on a given vehicle, the ADU displays are extinguished, including the ATC and PTC

CUT-OUT indicators. On dual-ended vehicles, with either cab activated, the ADU displays in both cabs remain

operational. In the inactive cab, any use of the pushbutton switches or the Departure Test Key-switch is

ignored. Audible alarms remain silent in the inactive cab.

6.7.7 Trailing Unit Operation

In trailing unit operation, there is no active cab. However, the ATC and PTC are effectively cut-out from

normal operation. All discrete indicators, 7-segment, and alphanumeric displays are extinguished. Any use of

the pushbutton switches or the Departure Test Key-switch is ignored. Audible alarms remain silent in trailing

unit operation.

In the exception condition where one system may remain in lead operation while the other is in trailing

operation, the indicators and displays associated with the lead system continue to operate normally.

6.7.8 Reverse-Running Display Operation

In certain vehicle applications, a dedicated display device is provided for reverse-running. When not running in

reverse, all discrete indicators, 7-segment, and alphanumeric displays are extinguished. Any use of the

pushbutton switches or the Departure Test Key-switch is ignored. The audible alarms remain silent.

When reverse-running, the normal or forward display device is darkened. All discrete indicators, 7-segment,

and alphanumeric displays are extinguished. Any use of the pushbutton switches or the Departure Test Key-

switch is ignored. The audible alarms remain silent.

6.7.9 Electrical Cut-out Operations

When both the ATC and PTC systems are electrically cut-out, all discrete indicators (except for the CUT-OUT

and FAILURE indicators) , the MAS 7-segment display, and the alphanumeric displays are extinguished. Any

use of the Departure Test Key-switch is ignored, and the audible alarms remain silent.

The Actual Speed 7-segment display is not automatically extinguished if both systems are cut-out. If both the

ATC and PTC systems are electrically cut-out, and both systems are not reporting any failure messages in the

serial link data, then the higher of the two reported actual speed values is shown in the Actual Speed display. If

both systems are cut-out and one of them is reporting a failure, then the speed of the system not reporting a

failure will be shown on the Actual Speed display. With both the ATC and PTC systems reporting a failure and

they are electrically cut-out, the Actual Speed display will be extinguished.

In the event where one system may remain in lead operation while the other is electrically cut-out, the indicators

and displays associated with the lead system continue to operate normally.

6.7.10 ATC Inoperative

In the event that the ATC system appears inoperative to the ADU device, it illuminates the ATC FAILURE

indicator, and reports the CUT-OUT ATC message. This action indicates that the ADU cannot properly

communicate with the ATC system and informs the operator to take action. Appropriate action by the operator

would be to cut-out the ATC and report the equipment in need of service.

6.7.11 PTC Inoperative

In the event that the PTC system appears inoperative to the ADU device, it illuminates the PTC FAILURE

indicator, and reports the CUT-OUT PTC message. This action indicates that the ADU cannot properly


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communicate with the PTC system and informs the operator to take action. Appropriate action by the operator

would be to cut-out the PTC and report the equipment in need of service.


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7. Odometer Operating Concepts

7.1 Odometer Display

The display portion of the odometer device is a 1-row by 8-digit LCD with RED LED backlighting. Character

height is 0.46”. The display is used to report mileage, representing the accumulated distance traveled by the vehicle,

in units of one (1) mile.

The front panel of the device also houses two pushbuttons; these are disabled in the application. The following

block diagram illustrates the functional arrangement of the device.

Figure 7-1, Odometer Display

ODOMETER

SERIAL

COMMAND /

RESPONSE

RESETSELNON-VOLATILE

MEMORY

7.2 Normal Operation

In the vehicle application, the odometer functions as a simple display device with non-volatile memory. Serial

commands from the ATC equipment supply a mileage counter value for display. Serial responses from the

odometer supply the counter value that is displayed.

The odometer internally stores the counter value to its non-volatile memory each time it is powered-down. Upon

power-up, the counter value is retrieved from non-volatile memory and automatically reported on the display. Upon

subsequent interrogation from the Communications Controller, the retrieved counter value is returned in the

response. The odometer and its display are active any time that the ATC or PTC equipment is powered.


7.3.1 Initialization

Upon power-up or reset, the device retrieves its last known count value from its non-volatile memory. That

count value is subsequently reported on the display and supplied in any response to an interrogation by the

ATC.

7.3.2 Quiescent Operation

When either the ATC or PTC system is powered, the device is powered and operates regardless of whether a

cab is activated or not. The mileage display remains active while the device is powered.

7.3.3 Trailing Unit Operation

In trailing unit operation, there is no active cab. Assuming that the ATC equipment is functional, accumulated

mileage is communicated to the odometer.


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7.3.4 Electrical Cut-out Operation

Assuming that the ATC is functionally capable when it is electrically cut-out, accumulated mileage is

communicated to the odometer.

7.3.5 ATC Equipment Inoperative

For proper operation, the odometer device relies upon the ATC / PTC equipment to supply it with power and

serial command data (mileage). It relies upon the ATC to supply accumulated mileage for display and storage.

The lack of serial commands from the Communications Controller prevents the odometer counter display from

being updated.


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8. Crash-Hardened Event Recorder Interface

8.1 Communications

Collective data from the ATC and PTC systems is transmitted to the crash-hardened event recorder on a regular and

periodic basis. Within the ATC/PTC equipment, the Communications Controller module services the asynchronous

serial link with the event recorder. All information exchanged between the event recorder and the ATC and PTC

systems is managed through the Communications Controller.

A complete record of event data is supplied in each message to the recorder. A response from the recorder reports

whether or not the recorder is operating properly.


8.2.1 Recorder Malfunction

A malfunction of the recorder is reported to the ATC and PTC systems. This information is subsequently

communicated to the ADU by each system. The ADU reports the recorder malfunction to the operator.

8.2.2 Recorder Inoperative

A non-responsive recorder is reported to the ATC and PTC systems. This information is subsequently

communicated to the ADU by each system. The ADU reports the recorder failure to the operator.

8.3 ATC Event Recorder Data

The ATC event data supplied to the recorder consists of safety-related information displayed to the operator via the

ADU as well as crucial input and operational status. The input and operational status data is supplied to assist

troubleshooting and analysis.

8.4 PTC Event Recorder Data

The PTC event data supplied to the recorder consists of safety-related information displayed to the operator via the

ADU as well as crucial input and operational status. The input and operational status data is supplied to assist

troubleshooting and analysis.


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9. MCP Data Radio Interface

The PTC system interfaces to the on-board Mobile Communications Package (MCP) to send and receive radio

messages. The MCP consists of a Mobile Communications Manager (MCM) combined with a 220 MHz data radio.

Within the equipment, the Communications Controller services the link with the MCP.

9.1 TCP/IP Interface

This interface protocol is based on the existing ATCS Specification 200 HDLC LAPB interface between the OBC

and MCP Radio as originally deployed in the AMTRAK ACSES II system. The interface is modified in accordance

with [CCI-ICD].

9.2 ATCS Messages

ATCS messages are sent/received using the TCP/IP protocol for delivery. The ATCS messages supported by the

PTC system fall into three categories: MCP Management, MCP Control, and ATCS Application messages.

9.2.1 MCP Management Messages

The following MCP management commands are implemented. They are used with the MCP data radio to set

and verify the current radio channel.

Table 9-1, MCP Management Messages

Label Hex Label Message Name

17.1.1 2241 QUERY_FREQUENCY_MSG (command to MCP)

17.2.1 2281 FREQUENCY_RESPONSE_MSG (response from MCP)

17.2.2 2282 LOST_CONTACT_MSG (unsolicited from MCP, uses link address 99)

17.2.3 2283 REGAINED_CONTACT_MSG (unsolicited from MCP, uses link address 99)

17.3.3 22C3 SET_FREQUENCY_MSG (command to MCP)

9.2.2 MCP Control Messages

The following MCP control messages are implemented. They are used to request the health status of the MCP

data radio.

Table 9-2, MCP Control Messages


4.1.1 0841 QUERY_FOR_SELF_TEST_MSG (command to MCP)

4.1.2 0842 QUERY_FOR_HEALTH_REPORT_MSG (command to MCP)

4.2.1 0881 SELF_TEST_RESULTS_MSG (response from MCP)

4.2.2 0882 HEALTH_REPORT_MSG (response from MCP)

4.2.3 0883 MALFUNCTION_REPORT_MSG (unsolicited from MCP, uses link address 99)

9.2.3 ATCS Application Messages

The following messages are the only ATCS application messages that the PTC equipment accepted from or

send to the MCP radio. The PTC equipment ignores any other ATCS messages.


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Table 9-3, Manufacturer Specific ATCS Message Labels


92.1.1 B841 IXL Status Request

92.2.1 B881 IXL Status Response w/LoMA

92.2.2 B882 IXL Status Response w/o LoMA

92.4.1 B901 IXL Error Response

92.1.2 B842 TSR List Request

92.2.3 B883 TSR List Response

92.2.4 B884 TSR List – No Change

92.4.2 B902 Maintenance Message

92.4.3 B903 Maintenance Message Acknowledge

New messages for 220 MHz radio support

92.4.6 B906 Signal Address (Used by MCM to select radio channel)

92.4.7 B907 Distance to signal (Used by MCM/BCM to prioritize vehicle communication)

9.3 Time Synchronization

Time synchronization messages are available from the MCM when in a radio coverage area. The messages are

generated as multicast UDP messages, sent periodically by the MCM. When available, the multicast message are

generated every ten (10) seconds. The time synchronization has a 2 second accuracy.

The multicast information is:

Address: 239.255.0.4

Port: 32768

The Communications Controller monitors the time synchronization messages, comparing the received time stamp to

the on-board time stamp. If the difference is greater than 10 seconds, the on-board real-time clock, internal to the

equipment, is resynchronized.


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10. Identity Module

The Identity Module contains serially interfaced non-volatile memory devices used to store ATC and PTC

configuration parameters. It is packaged as a plug-connected device that attaches to the vehicle wall. It is

considered a permanent part of vehicle wiring. Cardfile or plug-in circuit board replacement does not affect the

configuration, as it is retained in the ID Module.

Configuration information is pertinent to the vehicle. It must be correct for the vehicle to operate properly and

safety. The data can be reviewed and modified using only the PTE.

The device contains separate and dedicated memory for each system.

Parameters that are common to both the ATC and PTC include:




Wheel Diameter


Alarm Intensity

ATC specific parameter(s) include:

Reverse-running Operation Enabled / Disabled

PTC specific parameter(s) include:

Train Type (B, C, D, & E)

Owner’s Railroad Number (ATCS number)

Scanner Antenna Offset

NOTE:

AS PART OF THE INITIAL INSTALLATION, THE FACTORY CONFIGURATION SETTINGS MUST BE

MODIFIED TO CORRECTLY CORRESPOND TO THE VEHICLE INTO WHICH THE EQUIPMENT IS

INSTALLED.

10.1 Configured Parameters

10.1.1 Vehicle Types

The selection of Vehicle Type limits the ranges of two critical characteristics of the vehicle for the ATC

equipment: the tachometer gear tooth count, and the permissible range of wheel diameter settings. The

selection also dictates certain operating parameters associated with the type of vehicle selected, which include a

maximum speed, control of reverse-running operation, and alarm intensity.

10.1.2 Locomotive / Vehicle Number

This setting is specific to the locomotive or vehicle and uniquely identifies it for use in event logs as well as on

the data radio network. The identifier may be an integer number between 1 and 9,999 inclusive.

The equipment is factory configured with an arbitrary dummy identifier (typically “600”).


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10.1.3 Tachometer Gear Size

Based on the selected Vehicle Type, certain tachometer gear size, or pulses-per-revolution, settings are

available for the vehicle. Pulses-per-revolution are selectable from a list of acceptable parameters.

Table 10-1, Vehicle Specific Tachometer Gear Settings

Vehicle Type(s) Tachometer Pulses / Rev.

Silverliner IV 88

Silverliner V 77

JWC-2 Cab Car, Cab Car 610 100

Cab Car Nos. 601, 602 88

Cab Cars Nos. 615 & 622 60

AEM-7 60

ALP-44 60

BL-1500 & SW-1200 Diesels 60

RL-1000 Diesel 60

2GS14-B Diesel 60

10.1.4 Wheel Diameter

Based on the selected Vehicle Type, a limited range of wheel diameter settings is available for the vehicle.

Wheel diameters are selectable in units of one-tenth (0.1) inch.

The following table illustrates the ranges of wheel diameter settings permitted for each Vehicle Type.

Table 10-2, Vehicle Specific Wheel Diameter Ranges

Vehicle Type(s) Minimum Wheel

Diameter (inches)

Maximum Wheel Diameter (inches)

Silverliner IV 29 33

Silverliner V 29 33

JWC-2 Cab Car 29 33

Cab Car Nos. 601, 602, & 610 29 33

Cab Cars Nos. 615 & 622 37 41

AEM-7 49 53

ALP-44 49 53

BL-1500 & SW-1200 Diesels 37 41

RL-1000 Diesel 37 41

2GS14-B Diesel 37 41


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10.1.5 Maximum Speed Limits

Based on the selected Vehicle Type, a maximum speed limit is associated with the vehicle. This maximum

speed limit supersedes any higher speed that might normally be associated with a cab-signal aspect.

The following table illustrates the maximum vehicle speed for each Vehicle Type.

Table 10-3, Vehicle Specific Maximum Speed Limits

Vehicle Type(s) Maximum Vehicle

Speed Limit (MPH)

Silverliner IV 100

Silverliner V 100

JWC-2 Cab Car 100

Cab Car Nos. 601, 602, & 610 100

Cab Cars Nos. 615 & 622 100

AEM-7 100

ALP-44 100

BL-1500 & SW-1200 Diesels 100

RL-1000 Diesel 100

2GS14-B Diesel 100

10.1.6 Alarm Intensity

Based on the selected Vehicle Type, alarm intensity is automatically selected as either high (normal) or low.

Vehicles with high ambient noise levels in the cab require higher sound level than those vehicles with quieter

cab environments.

The sound level for HIGH is approximately 88 dBA. The sound level for LOW is approximately 80 dBA.

Table 10-4, Vehicle Specific Alarm Intensity

Vehicle Type(s) Alarm Intensity Measurement

Distance

Silverliner IV LOW 3 ft.

Silverliner V LOW 3 ft.

JWC-2 Cab Car LOW 3 ft.

Cab Car Nos. 601, 602, & 610 LOW 3 ft.

Cab Cars Nos. 615 & 622 LOW 3 ft.

AEM-7 Electric HIGH 6 ft.

ALP-44 Electric HIGH 6 ft.

BL-1500 & SW-1200 Diesels HIGH 6 ft.

RL-1000 Diesel HIGH 6 ft.

2GS14-B Diesel HIGH 6 ft.


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10.1.7 Reverse Running Operation

Based on the selected Vehicle Type, reverse-running is automatically enabled or disabled. The parameter

determines the vehicle operation in reverse and is being used for the track receivers selection logic of the

system. On vehicles where reverse-running is permitted, the track receiver pair connection to the system will be

based on the position of the reverser. When the reverser is in neutral there will be no track receiver pair

connected to the corresponding system inputs.

On vehicles where reverse-running is not permitted, the corresponding track receivers will be connected as soon

as the cab is being activated. The pair remains connected in neutral or forward and it will be disconnected from

the system input when the reverser is placed in reverse position.

Table 10-5, Vehicle Specific Reverse-Running Operation

Vehicle Type(s) Reverse-running

Operation

Silverliner IV NO

Silverliner V NO

JWC-2 Cab Car NO

Cab Car Nos. 601, 602, & 610 NO

Cab Cars Nos. 615 & 622 NO

AEM-7 Electric NO

ALP-44 Electric NO

BL-1500 & SW-1200 Diesels YES

RL-1000 Diesel YES

2GS14-B Diesel YES

10.1.8 Train Type Selection

The train type associated with a particular locomotive or cab vehicle is determined by its consist. In the case of

the High-Speed Train set, for example, the consist is fixed and therefore so is the train type. For general use

locomotives like an AEM-7, the train type can change depending on the type of consist they are pulling. The

train type can only be selected through the use of the PTE application. The train type code is displayed on the

ADU during the daily departure test.

If a vehicle is equipped with a Train Type Selector Switch, an operator may use that switch to set the train

type. The switch provides an alternative method for selecting train type other than using the PTE. Feedback

for what train type is currently being used by the system is provided through LED indicators above each

unique train type selection on the switch panel.

The SEPTA vehicle applications do not include a Train Type Selector Switch as part of the PTC equipment.

The train type can only be selected via the PTE application program.

The train type setting is determined by the vehicle and the braking characteristics of the consist. Based on

Amtrak design, there are four (4) train types that are selectable. The train types that may be selected include: B,

C, D, and E. Train type A is not available as a configuration selection.


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Type B is the High-Speed equipment without tilt; includes AEM-7, or similar, locomotives with an

appropriate coach consist.

Type C is passenger service with Heritage fleet vehicles.

Type D is Mail/Express operations.

Type E is all freight service on the NEC.

Based on customer design, the following train types may be automatically assigned by the PTE application

based on the configured Vehicle Type.

Table 10-6, SEPTA Train Types

Vehicle Type(s) Train Type

Silverliner IV B

Silverliner V B

AEM-7 B

ALP-44 B

JWC-2 Cab Car B

RL-1000 Diesel E

2GS14-B Diesel E

BL-1500 & SW-1200 Diesels E

Cab Car Nos. 601, 602, & 610 E

Cab Cars Nos. 615 & 622 E

10.1.9 Railroad Identifier

The railroad identifier setting is specific to the customer or owner of the vehicle and must be properly set for

correct usage of the data radio network.

The recommended setting for railroad identifier is SEPTA.

10.1.10 Scanner Antenna Offset

The scanner antenna offset setting is specific to the type of vehicle and should approximate the distance

between the front of the train and scanner antenna. There are two (2) offset fields that may be required,

depending on whether or not the vehicle can be operated normally in either direction. One offset is relative to

the front-end of the vehicle while the second is relative to the back-end.


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The maximum offset that may be selected is 150 feet. The default setting is 30 feet. The equipment is factory

configured for antenna offsets of 30 feet.


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11. Car Diagnostics Unit

The Silverliner V vehicle applications include a Car Diagnostics Network, with each vehicle equipped with a Car

Diagnostics Terminal (CDT). The CDT is a centralized unit that collects fault and diagnostic information from

various systems on-board the vehicle.

A single LONWorks network is used in all applications. In single car applications only one ATC/PTC set of

equipment resides on the car network. In married car pair applications, two ATC/PTC sets of equipment reside on

the network.

11.1 Network Architecture

The ATC / PTC systems communicate as a LONWorks node on the Car Diagnostics Network. The single unit, or

node, serves the combined ATC and PTC equipment on each car.

Utilizing the LONTalk protocol, the device operates in a single domain (domain 0). One of two subnet addresses

may be used, depending upon the physical location of the equipment. Subnet 1 is used when the equipment is

located in a single-car or the A-car of a married pair. Subnet 2 is used only when the equipment is located in the B-

car of a married pair. The node address is fixed as 6 in all applications.

11.2 Network Functions

11.2.1 Network Node Management

The LONWorks network node is designed to self-install. The sub-system sets its own network configuration

without intervention by a network management tool. The node provides the ability to permit future use of a

network management tool.

11.2.2 Time Synchronization

The CDT broadcasts a network time stamp when it detects the startup of a node or on an hourly basis during

normal operations. Upon receipt of the network time stamp, the ATC/PTC node adjusts its local real-time to

synchronize it with the network.

Note that this time synchronization occurs only between the LONWorks node and the network. It does not

impact the time stamp utilized by any other devices internal to the ATC/PTC equipment.

11.2.3 Status Monitoring and Data Flow Management

Subsystem status information consists of Boolean and numeric data. The CDT can subscribe to monitored data

and can control the refresh rate of that data over the network.

11.2.4 SCI Image Update

The ATC/PTC node does not support this function.

11.2.5 SCI Version Query

The CDT can query the ATC/PTC node for the version information associated with the programmable

components that make up the ATC/PTC equipment. Two (2) items are supported between the node and the

CDT.

SCI information from the ATC/PTC node consists of the following:


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ATC/PTC OBC – A combined version numbering scheme will be in the form of AAxxPPxx, where

AA represents the ATC System Version, PP represents the PTC System Version, and xx represents

ASCII space (0x20).

11.3 Functional Concerns and Risks

The interface between the ATC/PTC systems and the CDT requires further definition for proper implementation.

Based on review of Quester Tangent documentation supplied to-date, there are several areas of the interface that

need attention.

a) The existing CDT appears to be specific to the Alstom ATC equipment. In particular, this is most evident

in the definition of fault/failure data.

b) It appears that the CDT, as its interfaces are documented, may not support PTC. There are minor

references to ACSES, but it appears to be addressed primarily as a possible future update, with no further

definition.

c) It appears that the original design intent with the car network was to treat the ATC and ACSES as two

different network nodes. The proposed approach by PHW is to supply a single network node that serves

both ATC and PTC.


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12. Portable Test Equipment Capabilities

12.1 General

The ATC /PTC equipment provides internal capabilities for historical data logging and real-time data reporting. The

equipment supports a connection with a PC-based PTE application program, referred to as PTCView. The program

allows the user to upload logged data, monitor data in real-time, and to configure the systems for operation.

Program options allow data to be viewed in a plain text format or graphically presented in an I/O display window.

Raw data fields retrieved from the ATC and PTC equipment are translated and reported to the user in appropriate

units or plain text, as appropriate. Analysis can be performed on certain parameters in order to detect if intermittent

or complete failures have occurred.

12.2 Physical Interface

The Portable Test Equipment (PTE) is a PC-compatible computer, running Microsoft Windows XP or higher. Its

physical communications interface to the PTC equipment is a 10/100 Mbps full-duplex Ethernet port. The physical

connection, a remote diagnostics port, to the ATC/PTC equipment is a RJ-45 jack.

12.3 Common User Functions

This section identifies the general functions available in the PTE application program.

12.3.1 Upload

This function allows the user to upload historical data from the system. Uploaded data can be written to a file

for later viewing and analysis.

12.3.2 View Logged Data

This function allows the user to view a data file that had been previously uploaded from a system. The use of

this function does not require a physical connection with the ATC / PTC equipment at the time of use.

12.3.3 View Real-Time

This function allows a user to view real-time data from the system. Real-time events can be filtered with the

filtered events locally logged to a data file on the PTE.

12.3.4 View Software Revisions

This function allows a user to view the revision levels of the software-programmed components within the

systems.

12.3.5 Read Battery Voltage

This function allows a user to measure the back-up battery voltage. The back-up battery is located on a circuit

board, located within the ATC/PTC equipment enclosure. The battery provides back-up power for the on-board

real-time clock.

12.3.6 Communications Settings

This function allows the user to select the communication port on the PC used to connect to the ATC / PTC

system.


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12.3.7 Set Time

This function allows the user to set the time of day on the battery-backed clock in the system. This would

normally be done at production time or any time that the battery is replaced on the PCB.

12.3.8 Set Odometer

This function allows the user to set the odometer mileage to a specific value including zero. This would

normally be done at installation or any time when an odometer is replaced.

12.4 Specialized Configuration Functions

Operating parameters used within the ATC and PTC equipment can only be configured through the PTE. The

equipment stores this information in the ID Module. The ID Module is separate from the ATC and PTC cardfiles; it

houses non-volatile memory specifically for configuration purposes. Cardfile or plug-in circuit board replacement

does not affect the configuration, as it is retained in the ID Module.

Configuration information is pertinent to the vehicle. It must be correct for the vehicle to operate properly and

safety. The data can be reviewed and modified using only the PTE.

Parameters that are common to both the ATC and PTC include:




Wheel Diameter


Alarm Intensity

ATC specific parameter(s) include:

Reverse-running Operation Enabled / Disabled

PTC specific parameter(s) include:

Train Type (B, C, D, & E)

Owner’s Railroad Number (ATCS number)

Scanner Antenna Offset

When configuring vehicle parameters, selecting the vehicle type will automatically set all configurable parameters

except for the locomotive/vehicle number and the wheel diameter.

The equipment is factory configured as an AEM-7 vehicle type

NOTE:

AS PART OF THE INITIAL INSTALLATION, THE FACTORY CONFIGURATION SETTINGS MUST BE

MODIFIED TO CORRECTLY CORRESPOND TO THE VEHICLE INTO WHICH THE EQUIPMENT IS

INSTALLED.


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13. Safety

The objective in a fail-safe design is to prevent any credible single point failure from resulting in a more permissive

or unsafe condition. Credible single point failures may be categorized as detectable and un-detectable. Self-tests in a

system are designed to detect those credible failures that are detectable and to force the system to a safe state.

Instances where self-tests are not practical may require the use of vital circuitry or intrinsic safety techniques to

ensure a safe-side failure, regardless of whether or not the failure is detectable.

The application logic is implemented in a distributed architecture of microcontrollers. In the safety-critical portions

of the equipment, the application logic is responsible for continuously performing self-tests on the microcontrollers

and peripheral circuitry.

13.1 Self-Tests

This section identifies the self-tests and design techniques employed in the system. For additional reference

regarding these items refer to PHW Engineering Manual EM-122, “Software Techniques for Fail-Safe Design.”

13.1.1 Microcontroller Tests

The following microcontroller tests are required in each safety-critical application.

CPU Instructions

CPU Registers

CPU Clock Timing

13.1.2 Application Tests

The following application tests and/or techniques are required in each safety-critical application.

Closed-loop interrupt

Explicit RAM test

Double-stored data

Program memory checksum

Program execution

Stack pointer range check

Checksum/CRC in communications

13.1.3 Closed Loop I/O Tests

The following closed-loop I/O tests and/or techniques are required in each safety-critical application.

A/D converter operation (applicable to inputs and output monitors)

Includes measurement of a known reference voltage and ratiometric pairs for input/output monitoring

functions.

Output state check

VPS output level measurement


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Speed sensor tests.

Includes an inductive test to verify the response of the speed sensor itself, a DC bias test to verify

wiring integrity, and an injection of test pulses to verify pulse counting capability of system.

13.2 Intrinsic Safety Design Characteristics

Vital Power Supply:

Each safety-critical application (PCB) has an independent VPS. The VPS provides power for control of vital

outputs and monitors the performance of the software based logic. The VPS circuitry is designed using fail-safe

principles, which guard against all credible failures of its individual parts. Failure of the control logic to perform

properly or a component failure within the VPS circuitry itself results in a shutdown of the VPS output.

Control Signal Isolation:

PTC system power supply voltages and control signals are isolated from locomotive / vehicle battery and chassis.

13.3 Inspections

13.3.1 Maintenance

Continued proper operation of the PTC system requires certain periodic inspections. These inspections involve

the following maintenance actions:

Vehicle configuration: Verify that the selected configuration parameters correctly represent the vehicle

characteristics.

Ground fault inspection: Verify that no I/O points are shorted to chassis.

These checks are to be performed at regular intervals by trained maintenance personnel.

13.3.2 Operations

A daily departure test is performed to verify that the equipment is in proper working order. This test is to be

performed by trained maintenance or operations personnel. The departure test is intended as a functional check

of the equipment. Any equipment malfunction noted by the operator should be corrected prior to the unit being

placed into service.


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14. Maintenance and Inspections

14.1 Daily Departure Tests

A daily departure test must be performed to verify that the ATC and PTC equipment is in proper working condition.

When performing such tests, any equipment malfunction noted by the operator should be corrected prior to

departure. Separate departure tests must be performed for each of the ATC and PTC systems.

For the ATC and PTC systems, the tests are a sequence of built-in, on-board functions performed to verify the

integrity of the equipment as well as external control devices as well as operator controls and indicators. A test must

be initiated by an operator and requires operator interaction. Ultimately it is the operator that determines whether or

not the on-board equipment is operating properly and is suitable for service.

It is necessary to perform both ATC and PTC departure tests on a daily basis. The tests must be conducted from the

lead cab after the train is made up. In applications where a vehicle may be used in reverse-running operation, ATC

departure tests must be performed for both directions.

For specific requirements and operations associated with the ATC departure test please refer to Section 4.16 of this

document. For information on the PTC departure test please refer to Section 5.19 of this document.

14.2 Periodic Inspections

CFR 49, Part 236.588 requires periodic tests to be performed on the pneumatic and electrical equipment.. It is

recommended that physical inspections of the equipment and associated wiring be included in these inspections.

Inspections are also recommended after any system component is installed, replaced, repaired, or adjusted.

For convenience, the built-in, on-board PTC departure test functions are designed to exercise and functionally test

the PTC OBC and its related peripheral equipment; it is recommended that it too be performed as part of a periodic

inspection.

14.2.1 Visual Inspection

A visual inspection is necessary to examine for any obvious physical damage to the ATC and PTC equipment.

Verify that the equipment is not damaged due to normal wear, mis-use, tampering, vandalism, or collision. In

particular, check the height of the ATC track receivers and the PTC scanner antenna.

14.2.2 Ground Fault Inspection

This procedure verifies that the PTC system I/O is isolated from chassis. This test is performed using a

multimeter to measure resistance between critical signals and chassis. A minimum resistance of 1M must be

measured for each connection. Test points are provided to allow easy access to the I/O points for this test.

Table 14-1, Test Points – Ground Fault Inspection

Test Point(s) Description

ATC BATT IN (+) / (-) ATC input battery and return

ATC 32V (+) ATC Power (32VDC+)

ATC PENALTY (+) / (-) ATC Penalty Brake (+) and (-)

ATC TACH (+) / (-) ATC Speed Sensor (+) and (-)

Comment [DAP1]: Should be 5.21


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Test Point(s) Description

F RCVRS F-Direction Track Receiver Signal

R RCVRS R-Direction Track Receiver Signal

PTC BATT IN (+) / (-) PTC input battery and return

PTC 32V (+) PTC Power (32VDC+)

PTC PENALTY (+) / (-) PTC Penalty Brake (+) and (-)

PTC TACH (+) / (-) PTC Speed Sensor (+) and (-)

32V RETURN ATC & PTC Shared (32VDC) return

I/O 32V (+) ATC & PTC Shared I/O signal power

UCTV (+) / (-) Under-car CTV 12 VDC power and return

14.2.3 LVPS Inspection

This procedure verifies that the low voltage power supplies associated with the ATC and PTC systems are

providing the proper operating voltages to the equipment. Test points are provided to allow easy access to the

I/O points for this test.

Table 14-2, Voltage Ranges – LVPS Inspection

Test Point(s) Description Range

ATC BATT IN (+) / (-) ATC input battery and return 26 to 47 VDC (38 VDC nominal) 50 to 90 VDC (72 VDC nominal)

ATC 32V (+) / 32V RETURN

ATC Power and Return 31 to 33 VDC

ATC PENALTY (+) / (-) ATC Penalty Brake (+) and (-) 28 to 36 VDC

PTC BATT IN (+) / (-) PTC input battery and return 26 to 47 VDC (38 VDC nominal) 50 to 90 VDC (72 VDC nominal)

PTC 32V (+) / 32V RETURN

PTC Power and Return 31 to 33 VDC

PTC PENALTY (+) / (-) PTC Penalty Brake (+) and (-) 28 to 36 VDC

UCTV (+) / (-) Under-car CTV 12 VDC power and return 11.5 to 12.5 VDC

14.2.4 Cab Signal Filter/Amplifier Calibration

The 100 and 250 Hz filter/amplifiers used in the ATC equipment do not themselves require periodic adjustment

for sensitivity. However the repair, replacement, or adjustment of other equipment, such as a track receiver, can

affect the operating sensitivity. Should adjustment be necessary, each filter/amplifier provides two (2) locking

adjustment potentiometers on its front panel. The two potentiometers on each module allow independent


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sensitivity adjustments for the front-end and back-end receivers. A ½” wrench and a ¼” flat-blade screwdriver

are necessary to adjust each potentiometer.

When checking or adjusting filter/amplifier sensitivity, it is necessary to have the proper cab activated.

Generally, the receivers connected are those associated with the activated cab; the operator does not need to

select a direction of travel. In the particular case of a single-cab vehicle application with reverse-running

capability, the operator does need to select the reverse direction in order to connect the receivers at the opposite

end of the vehicle.

The filter/amplifiers are designed to detect signal in the ranges of 1.2 to 1.8 Amps (100 Hz) and 0.6 to 0.9 Amp

(250 Hz) of equivalent rail current. The units are factory calibrated to “pick” at approximately 1.5 and 0.75 A

rms (equivalent rail current) with the track receivers adjusted to 6.5 inches above the rail.

In-service applications with track receivers positioned higher than 6.5 inches above the rail will require higher

equivalent rail current to detect signal. Likewise with track receivers positioned lower than 6.5 inches, lower

equivalent rail current is necessary to detect signal. During inspection, if detection occurs within the stated

ranges, no specific adjustment is required.

14.2.5 Cab Test Calibration

During an ATC departure test, simulated 100 and 250 Hz coded carrier signals are produced by the on-board

equipment. As these circuits are built-in, on-board functions it is necessary that they be inspected for proper

operation no less than annually.

The process involves the use of an external cab-signal loop tester and a true rms multimeter. The purpose is to

confirm that the amplitudes of the simulated signals correspond to levels above and below the sensitivity

settings of the 100 and 250 Hz filter/amplifiers. The levels of the simulated signals produced by the on-board

test circuits are pre-determined and fixed at the factory; no adjustment is normally necessary.

In general, the procedure involves the use of an external loop tester to generate coded signals at both the

minimum and maximum threshold levels; a dual 270-code rate is recommended. Each filter/amplifier provides

test points on its front panel at which the respective filtered and amplified carrier signal can be measured. The

technician uses a multimeter to measure the rms voltage at these test points when the minimum and maximum

threshold signals are generated. The levels should be recorded and used for comparison against the level

simulated by the on-board cab-test circuits.

Subsequently, by performing an ATC departure test, the levels produced by the on-board cab-test circuits when

dual 270-code rates are simulated, are measured and compared against the known threshold levels previously

obtained. During the test, a normal-level code rate must produce voltages greater than the maximum threshold

levels. At the end of the test, a low-level code rate used to produce a Restricting aspect; this must produce

voltages less than the minimum threshold levels.

Table 14-3, Voltage Ranges – Filter/Amplifier Related Test Points


100 Hz Carrier (+) / (-) Modulated 100Hz carrier signal, subject to front-end filtering and amplification.

____ V rms @ min. threshold ____ V rms @ max. threshold

100 Hz Code De-modulated code-rate signal. ____ Vp-p @ threshold ____ Vp-p @ max. output


5664-ENG-200





250 Hz Carrier (+) / (-) Modulated 250Hz carrier signal, subject to front-end filtering and amplification.

____ V rms @ min. threshold ____ V rms @ max. threshold

250 Hz Code De-modulated code-rate signal. ____ Vp-p @ threshold ____ Vp-p @ max. output

14.2.6 Vehicle Configuration

Vehicle configuration parameters need to be examined to verify that they correctly correlate to the vehicle and

its operating characteristics at the time of inspection. These parameters are inspected through the PTE

application program, using the Configuration menus.

Parameter that need to be examined include:

a) Vehicle Type

b) Locomotive / Vehicle Number

c) Tachometer Gear Size (pulses-per-revolution)

d) Wheel Diameter

e) Maximum Vehicle Speed

f) Alarm Intensity

g) Reverse-running Operation Enable/Disable

h) Train Type

i) Railroad Number

j) Scanner Antenna Offset(s)

14.2.7 Backup Battery Voltage Check

The ATC / PTC equipment contains a 3.6V Lithium battery, which is used exclusively to backup a real-time

clock when the equipment is un-powered. Within the equipment enclosure, the battery is mounted on a circuit

board. The expected operational life of the battery is in excess of ten (10) years.

It is recommended that the output voltage of the battery be checked during a Periodic Inspection. The output of

the battery should be sufficient that will not be depleted before the next scheduled inspection. It can be

conveniently measured, under a nominal load, using the PTE application program.

To measure the voltage of a backup battery using the PTE application, from the main menu select the Tools

drop-down menu and choose the Battery Check menu item. The voltage is automatically measured and

reported. As indicated to the user, the battery should be replaced only if it measures 2.8V or less.

In the event that a battery does need replacement, it is recommended that the PCB itself be returned to the

factory.