Denver Regional Transportation District

Commuter Rail Network

Request For Amendment (RFA) to PTC Implementation Plan (PTCIP)

Revision 1.3 – January 21, 2016

Submitted in fulfillment of 49 CFR Part 236, Subpart I, 236.1021 (d)

RTD PTCIP – RFA

Revision History

Version Date By Summary 1.3 January 21, 2016 Xorail Original

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RTD PTCIP – RFA

Table of Contents

1. INTRODUCTION ...... 3 1.1 Overview and Purpose ...... 3 1.2 Scope ...... 3

2. PROPOSED PTC IP MODIFICATIONS (§ 236.1021 (D) (2)) ...... 4 3. REASONS FOR THE PROPOSED IP MODIFICATIONS (§ 236.1021 (D) (3)) ...... 7 4. CHANGES TO THE PTCIP (§ 236.1021 (D) (4)) ...... 7 5. MODIFICATIONS EFFECT ON PTC SYSTEM SAFETY (§ 236.1021 (D) (5)) ...... 7 6. TIMETABLE FOR FILING UPDATED PTCIP ...... 7

Attachments

Attachment A: Redlined version of the updated RTD IP Attachment B: Clean version of the updated RTD IP

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RTD PTCIP – RFA

1. INTRODUCTION

1.1 OVERVIEW AND PURPOSE

In accordance with 49 Code of Federal Regulations (CFR) Part 236 Subpart I, the Denver Regional Transportation District (RTD) is filing the following Request For Amendment (RFA) of its provisionally approved Positive Train Control Implementation Plan (PTCIP). 49 CFR § 236.1021 (a) & (a)(1) provides that:

(a) No changes, as defined by this section, to a PTC system, PTCIP, PTCDP, or PTCSP, shall be made unless:

(1) The railroad files a Request For Amendment ("RFA") to the applicable PTCIP, PTCDP, or PTCSP with the Associate Administrator;

The purpose of this document is to provide the required RFA to the FRA-approved RTD PTC Implementation Plan (IP), Version “Final” dated 5/22/2013. This RFA encompasses changes based on:

• Incorporating edits based on responses to informal FRA comments,

• Updates based on the current state of the Project to account for recent decisions and Project progress including the addition of a Mainline Track Exclusion Addendum (MTEA),

• Adding information required by the Positive Train Control Enforcement and Implementation Act of 2015, and

• General edits for readability and document organization.

1.2 SCOPE

This RFA includes all information required by § 236.1021 (d):

(1) The information listed in § 235.10 of this chapter and the railroad provides FRA upon request any additional information necessary to evaluate the RFA (see § 235.12), including:

(2) The proposed modifications;

(3) The reasons for each modification;

(4) The changes to the PTCIP, PTCDP, or PTCSP, as applicable;

(5) Each modification's effect on PTC system safety;

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RTD PTCIP – RFA

(6) An approximate timetable for filing of the PTCDP, PTCSP, or both, if the amendment pertains to a PTCIP; and

(7) An explanation of whether each change to the PTCSP is planned or unplanned.

Specifically, each of these requirements is considered as follows:

• § 236.1021 (d) (1) – Information required per § 235.10 is not directly applicable to this RFA as this RFA is not a discontinuance nor material modification that will affect installed systems.

• § 236.1021 (d) (2) – The proposed PTC IP modifications are defined in this document.

• § 236.1021 (d) (3) – The reasons for the proposed modifications are defined in this document.

• § 236.1021 (d) (4) – Refer to § 236.1021 (d) (2).

• § 236.1021 (d) (5) – The proposed IP modification have no effect upon safety.

• § 236.1021 (d) (6) – Regarding filing timetable for the RTD DP and SP:

o DP – RTD is utilizing the I-ETMS PTC DP which was previously a granted Type Approval by FRA-TA-2011-02-C. It is noted that per FRA direction, RTD provided an updated Concept of Operations (ConOps) document in the RTD PTC Test Request which supersedes the ConOps included in the previously noted I-ETMS PTC DP. The RTD PTC Test Request, including the updated ConOps, was approved by the FRA letter: Robert C. Lauby to Walt Stringer dated December 17, 2015.

o SP – The RD PTC SP filing is anticipated to be in before December 31, 2016 or as advised by the FRA.

• § 236.1021 (d) (7) – As this RFA does not pertain to a PTC SP, this requirement does not apply.

2. PROPOSED PTC IP MODIFICATIONS (§ 236.1021 (D) (2))

This section identifies the proposed modifications and the reasons for each as required by §236.1021(d)(2) & (3).

It is noted that changes of an editorial nature to increase readability which do not affect the technical content of the PTC IP have been made which are not included in this description. These changes can be seen in the redlined version of the proposed PRC IP update in Appendix A herein.

1. Section 1 was modified to include reference to the MTEA which was added to Section 14. “Buried” reference documents have been relocated to Section 2.0 “Applicable Documents” and reference numbering added for clarity and document compactness. Text to the effect “a

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mainline track exclusion addendum will be filed” has been deleted as the IP now includes the MTEA. A statement to the effect that any differences between the RTD PTC System and that described in the referenced I-ETMS PTC DP will be accounted for in the RTD PTC SP. The note that the Employee Timetable will be provided when available has been deleted as the IP now includes the timetable as an Appendix. A note has been added referencing that the information required by the Positive Train Control Enforcement and Implementation Act of 2015 is included in Appendix 7.

2. Section 1.1 (East Corridor text) was modified to correct the number of stations, grade crossings, control points, etc., to agree with the actual as-built conditions. The 40th/Airport and Peña station name was corrected. Figures 1.1.1 and 1.1.3 were updated to include the Peña station. Text pertaining to the Northwest Electrified Segment was updated to account for the as-built number of at-grade crossings. Text pertaining to the Denver Union Station was updated to delete reference to the ski train, delete the DUS track layout (updated layout is included in Appendix 5), and for general readability.

3. Section 1.3 was modified to delete text to the effect “a mainline track exclusion addendum will be filed” as the IP now includes the MTEA.

4. Section 1.5.1 was modified to update the IP to the latest project schedule. The Figure containing the project schedule was also updated to reflect current project status.

5. Section 1.6 was modified to delete text to the effect “a mainline track exclusion addendum will be filed” as the IP now includes the MTEA. The Table in this section was updated to add a reference to the MTEA in the IP.

6. Section 2 was modified to update the referenced documents to agree with the IP text and to correct reference numbering.

7. Section 3.2 was modified to note that the referenced Type Approved PTC DP will be complied with except as identified, per FRA direction, in the RTD PTC ConOps provided as part of the RTD PTC Test Request. As further noted, and remaining differences between the RTD PTC implementation and the referenced Type Approved PTC DP will be accounted for in the RTD PTC SP. A technical note regarding interfacing the PTC onboard equipment was deleted as that information is not germane to the intent of a PTC IP.

8. Section 3.2.1 was modified to note that the cellular communications system is a backup to the PTC data radio.

9. Section 3.3 was modified to clarify that RTD will not be seeking a PTC Type Approval variance, per FRA direction.

10. Section 4.2 was modified to clarify the PTC DP which will be referenced by the RTD PTC system.

11. Section 5 was modified to note the inclusion of a MTEA in this version of the RTD PTC IP.

12. Section 7.2 was modified to clarify the Method of Operation to be used by RTD in the DUS (Traffic Control) and other railroads (Operating rules including restricted speed operation).

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13. Section 8.1 was modified to correct to the number of EMUs being procured for RTD from 50 to 54.

14. Section 8.2 was modified to more accurately reflect current project revenue service target dates (e.g., the East Corridor was changes from “January 2016” to “2nd Quarter 2016”).

15. Section 9 was modified to include roadway crossing equipment in the list of wayside equipment and to delete a reference to Table 2 in Section 11 as that table has been deleted.

16. Section 9.3 was deleted to since defect detectors will not be used.

17. Section 9.3 (new numbering after the deletion of original 9.3 above, old section 9.4) was modified to add Peña station to the table.

18. Section 9.4 (new numbering after the deletion of original 9.3 above, old section 9.5) was modified to add Peña station to the table.

19. Section 10 was modified to replace text to the effect “a mainline track exclusion addendum will be filed” with a reference the MTEA details located in Section 14.

20. Section 11 was modified to delete the Table which had provided construction completion estimated dates. This information was redundant as this information has already been provided in Section 1.5.1. A reference to the data in Section 1.5.1 was added.

21. Section 13 was modified to reference the PTC DP in the reference section instead of having the specifics of the referenced document buried in the text. The date by which the RTD PTC SP will be filed was changed from March 2015 to before December 31, 2016.

22. Section 14 was modified to replace text to the effect “a mainline track exclusion addendum will be filed” with the actual details of the MTEA request. The added text references the added Appendix 5.

23. Appendix 1 (overall track layout) was updated to reflect the as-built track conditions.

24. Appendix 2 (Gold Line track layout) was updated to reflect the as-built track conditions.

25. Appendix 3 (East Corridor track layout) was updated to reflect the as-built track conditions. The table was also modified to reflect the actual track layout.

26. Appendix 5 (DUS terminal layout) was added to support the MTEA description of Section 14.

27. Appendix 6 (RTD Employee timetable) was added.

28. Appendix 7 (statistical construction tabulation data, etc.) was added to provide the information required by the Positive Train Control Enforcement and Implementation Act of 2015.

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3. REASONS FOR THE PROPOSED IP MODIFICATIONS (§ 236.1021 (D) (3))

The reason the proposed changes are provide updated status regarding the state of the RTD PTC Project, to add a MTEA, and to comply with the Positive Train Control Enforcement and Implementation Act of 2015.

4. CHANGES TO THE PTCIP (§ 236.1021 (D) (4))

The proposed RTD PTC IP changes are summarized in Section 2 of this RFA. Appendices to this RFA provide a complete specification of the proposed changes as follows: • Attachment A: a red-lined copy of the proposed IP changes is presented. • Attachment B: a “clean” copy of the final proposed IP is presented.

5. MODIFICATIONS EFFECT ON PTC SYSTEM SAFETY (§ 236.1021 (D) (5))

The changes requested in this RFA will not affect the PTC System Safety. RTD’s deployment of I-ETMS will comply with the requirements set forth in § 236.1005.

6. TIMETABLE FOR FILING UPDATED PTCIP

RTD is submitting the updated PTCIP concurrent with the submission of this RFA.

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Attachment A: Redlined version of the updated RTD IP (Revision 2.3 compared to Version “Final” dated 5/22/2013)

Denver Regional Transportation District

Commuter Rail Network PTC Implementation Plan (PTCIP)

Date of Revision 5/22/2013 FinalRevision 2.13 Submitted in fulfillment of FRA Regulations Part 236, Subpart I, Section 236.1011 et.al.

Revision History

Version Date By Summary “Final” 5/22/2103 Xorail First FRA submission 2.13 January 1520, 2016 Xorail Incorporated MTEA, added information required by the Positive Train Control Enforcement and Implementation Act of 2015, added employee timetable, changes related to updating project status, other minor edits

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TABLE OF CONTENTS PAGE 1. Introduction ...... 1 1.1. RTD Overview ...... 2 1.2. RTD Organizational Relationship...... 10 1.3. Request for Amendment of a PTCIP [§ 236.1009(a) (2) (ii)]...... 11 1.4. Goals and Objectives ...... 12 1.4.1. Immediate Goals ...... 12 1.5. Success Criteria ...... 12 1.5.1. Project Term Measurement ...... 12 1.5.2. Objectives ...... 14 1.6. Applicability ...... 15 1.7. Document Overview ...... 16 1.8. Acronyms and Definitions ...... 17 2. Applicable Documents ...... 20 3. Technology [§ 236.1011(a) (1)] ...... 20 3.1. General ...... 20 3.2. I-ETMS Description...... 20 3.2.1 Wayside Segment ...... 21 3.2.2 On-board Segment ...... 22 3.2.3 Office Segment ...... 22 3.3. FRA Interface and Description ...... 22 4. Compliance [§ 236.1011(a) (2)] ...... 22 4.1 Type Approvals ...... 23 4.2 PTCDP ...... 23 4.3 Certification and PTCSP ...... 23 4.4 Project Risk ...... 23 5. Interoperability [§ 236.1011(a) (3)] ...... 23 6. Installation Risk Analysis [§ 236.1011(a) (4)] ...... 23 7. Deployment Sequence [§ 236.1011(a) (5)] ...... 23 7.1 Segment Traffic Characteristics Estimates ...... 25 7.2 Segment Operational Characteristics ...... 25 7.3. Segment Route Attributes ...... 27 8. Rolling Stock [§ 236.1011(a) (6)] ...... 28 8.1 Rolling Stock To Be Equipped ...... 28 8.2 Schedule ...... 28 8.3 UP, BNSF and Amtrak Railroads ...... 29 8.4. PTC Implementation [§ 236.1011(a)(6)(iii)] ...... 29 9. Wayside Devices [§ 236.1011(a) (7)] ...... 29 9.1 Power Switches ...... 30 9.2 Master Location ...... 31 9.3 Passenger Station Holding Signals; Controlled Master Location (CML) ...... 32 9.4 Highway Grade and Station Pedestrian Crossing Warning Systems ...... 33 10. Designated Track as Main Line or Non-Main Line [§ 236.1011(a) (8)] ...... 35 11. Exceptions To Risk-based Prioritization [§ 236.1011(a) (9)] ...... 36 12. Strategy For Full System PTC Deployment [§ 236.1011(b)] ...... 36 13. PTCDP and PTCSP Submittal Dates [§236.1011(a)(10)] ...... 36 14. Main Line Track Exclusion Addendum [§ 236.1019] ...... 36 APPENDIX NUMBER 1 ...... 39 APPENDIX NUMBER 2 ...... 41

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APPENDIX NUMBER 3 ...... 44 APPENDIX NUMBER 4 ...... 47 APPENDIX NUMBER 5 ...... 49 APPENDIX NUMBER 6 ...... 51 APPENDIX NUMBER 7 ...... 53

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1. Introduction This document is the Positive Train Control Implementation Plan (PTCIP) for the new Denver Regional Transportation District’s (RTD) Commuter Rail (CR) Network. This is a completely new commuter rail system, on which revenue service is scheduled to begin in January,early 2016. RTD is required to and will deploy PTC on all of its passenger rail mainline tracks. The new system will encompass the a Centralized Traffic Control (CTC) signal system and utilize the train control appliances PTC, Cab Signal System (CSS), and Automatic Train Control (ATC) that which will be installed on each line segment of the project including the Denver Union Station (DUS) terminal. Refer to Mainline Track Exclusion Addendum (MTEA) of section 14 of this document for detail of the DUS terminal and non-PTC operations of the tenant railroadsexcept for the Denver Union Station (DUS) which will not have PTC installed per the Mainline Track Exclusion Addendum (MTEA) of section 14 of this document. The new RTD PTC System will comply with the Federal Railroad Administration (FRA) Regulations for PTC per Reference [1]. 49CFR Part 236 Subpart I, Positive Train Control Systems; as per the Final Rule published January 15, 2010. In addition, and in support of the operation of the new CR network, RTD will establish Rules, Standards and Instructions that will govern the installation, inspection, maintenance and repair of the signal and train control systems, devices and appliances according to 49 CFR Part 236 Subpart A through Subpart G. This document begins with an overview of the RTD plan for its implementation of PTC in accordance with the mandate of the Rail Safety Improvement Act (RSIA) 08 and the requirements of the 49 CFR 236 Subpart I Final Rule. RTD will operate commuter rail throughout the greater Denver area, and as such, is required to implement a full deployment of PTC throughout all mainline tracks in its CR System. RTD’s intent is towill fulfill all fulfill 49 CFR Part 236, Subpart I PTC requirements as designated required for the a host railroad, within the project completion timeframe. RTD anticipates a future filing of an RFA, per §236.1021, to its PTCIP requesting an main line track exclusion addendum (MTEA), per §236.1019, to have track segments located within RTD’s DUS Terminal designated as “other than main line” per the passenger terminal exception. This RFA will be submitted upon maturity of RTD’s plans for the DUS terminal. Thise PTCIP will also introduce outline the RTD’s intention to deployment of PTC using the WABTEC Interoperable Electronic Train Management System (I-ETMS®) and provide the associated schedule for PTC installation and activation. RTD will adapt and utilize the FRA approved UP/NS/CSXT- authored I-ETMS Positive Train Control Development Plan (PTCDP) of Reference [2] per and the issued Type Approval of Reference [3](FRA-TA-2011- 02-C); Version 23.0, dated June 1, 2011November 13, 2014 with any variations in RTD’s final PTC implementation accounted for in the RTD Positive Train Control C Safety Plan (PTCSP) and related documents. Included within this document PTCIP is RTD’s strategy for PTC deployment throughout the CR System. The schedule for this PTC installation and activation is defined in Section 7 (Deployment Sequence) of this document. The Denver RTD CR System will meet the FRA requirements for a PTC System, per FRA §236.1005. The PTC system will provide the statutory functionality required under §236.1005, utilizing a combination of wayside, onboard subsystems, communications networks, and control center systems. Section 3 (PTC Technology) of this PTCIP contains the description of the PTC functions. The PTC system will be based on the Wabtec Interoperable Electronic Train Management System (I-ETMS). RTD operation is governed by RTD Operating Rules and the RTD Employee Timetable. General Orders are issued from time-to-time, which can modify the governing rules. The maximum authorized speed throughout the PTC CR mainline shall vary depending on location. Refer to that will be illustrated in the RTD CR Timetable provided herein.presently under development. A Request For Amendment (RFA) will be made to this PTCIP when the timetable is added as an n Appendix will be attached to the final PTCIP immediately upon completion of the timetable. DTP will provide employee timetable when prepared. Maximum operating speed for the East Corridor, Gold Line and Northwest Rail Corridor will be 79 MPH, while DUS terminal operation maximum operating speed will be limited to 15 MPH due to the switch turn out and cross-over sizes. The information required by the Positive Train Control Enforcement and Implementation Act of 2015 has been provided herein as Appendix 7.

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1.1. RTD Overview The Denver RTD CR System is part of the new RTD’s FasTracks Program encompassing a multi-billion dollar comprehensive transit expansion plan. The CR segment of this plan encompasses building 36 miles of a new Commuter Rail Network. The Denver Transit Partners (DTP) consortium was awarded the project in June 2010. The project involves the Design, Build, Finance, Operation and Maintenance (DBFOM) of two new commuter rail lines and a portion of a third in the Denver Metropolitan area (see Systems Map Figure 1.1.1).

The East Corridor will operate from Denver International Airport (DIA) to Denver Union Station (DUS), a distance of 23.2 miles. The Gold Line will operate from the western suburbs to Denver Union Station, a distance of 11.4 miles. A starter segment of the Northwest Electric Rail corridor concurrent with the Gold Line will operate separately for an additional two miles. The scope of the project is to deliver and operate the entire rail system, from civil works and structures right through to the Electric Multiple Unit (EMU) vehicles and related systems. The operating duration of the project is 29 years following construction, with the design and construction phase scheduled for approximately the next 6 years.

Figure 1.1.1 – Systems Map

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GOLD LINE The Gold Line corridor (illustrated in Figure 1.1.2) is a 7.2 mile electrified commuter rail transit corridor that connects Pecos to Ward Road, passing through Adams County and Arvada. The Gold line CR train will operate between DUS to Ward Road, a distance of 11.4 miles. The five stations along the corridor are: Federal Boulevard, Sheridan, Olde Town, Arvada Ridge and Ward Road. The inbound (south) track is designated as Track #2 and the outbound (north) track is designated as Track #1. The signal system encompasses 5 Control Points (CP), 16 at-grade highway grade crossings and 4 pedestrian crossings. The pedestrian grade crossings are located at the following stations: Federal, Sheridan, Arvada Ridge and Ward Road. Of the 16 at-grade highway crossings warning systems operated and maintained by RTD, 13 will detect BNSF freight operations on the single Coors industrial track. Construction on the Gold Line began in 2011, with the line scheduled to be open to the public in 2016.

Figure 1.1.2 – Gold Line Segment

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EAST CORRIDOR The East Corridor (illustrated in Figure 1.1.3) is a 23.2-mile electrified commuter rail transit corridor between DUS and Denver International Airport (DIA). The East Corridor serves as a connection between these two important destinations and travels through the adjacent industrial, residential, and new development areas. The line has five six intermediate stations, located at 38th/Blake, Colorado, Central Park Boulevard, Peoria / Smith, and 40th/Airport and Peña before terminating at DIA. The inbound (south) track is designated as Track #2 and the outbound (north) track is designated as Track #1. The signal system encompasses 10 11 CP’s, 12 12 at-grade highway grade crossings and 5 6 pedestrian crossings. The pedestrian crossings are located at the following stations: 38th & Blake, Colorado, Central Park, Peoria and 40th & /Airport and Peña. Of the 15 13 at-grade highway crossings warning systems, 11 interconnect with the UP freight operations. Final Design began in 2010, and construction was initiated 2011 by DTP, which has a 34-year agreement with RTD to design, build, finance, operate and maintain these corridors. Opening day on the East Corridor is scheduled for 2016. The East Corridor was approved by the Federal Transit Administration (FTA) on November 6, 2009, when the FTA issued a Record of Decision.

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Figure 1.1.3 – East Corridor

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NORTHWEST ELECTRIFIED SEGMENT The Northwest Electrified Segment (NWES) is signified as the Minimum Operating Segment (MOS) of the Northwest Rail Corridor. The Northwest Corridor (illustrated in Figure 1.1.4) will total 41 miles of high capacity, fixed guide-way transit corridor from DUS to Longmont, passing through North Denver, Adams County, Westminster, Broomfield, Louisville, and Boulder. The CR MOS Northwest Electrified Segment is double track operation between DUS and Pecos. Between Pecos and South Westminster the CR MOS Northwest Electrified Segment is single track operation. The MOS has three stations (41st & Fox, Pecos, and South Westminister) and seven control points. There are 2is one private at-grade highway crossings and one pedestrian station crossings along the NWES MOS Segment.

Figure 1.1.4 – Northwest Rail Corridor

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DENVER UNION STATION (DUS) The DUS is the termination point for all three inbound RTD CR Lines. The simplified The track layout of DUS terminal is provided in Appendix 5. (illustrated in Figure 1.1.5) encompasses an eight (8) track passenger station and associated control points. Three (3) tracks, numbered 6 through 8 are designated for the consolidation of the CR Gold Line (GL) and Northwest Electrified Segment (NWES); three (3) tracks, numbered 1 through 3, for the CR East Corridor and two (2), Tracks 4 and 5 for Amtrak Passenger service and Ski Trains. Following their junction at Pecos; the Gold Line and Northwest Electrified Segment share two tracks southward to DUS. The two CR inbound electrified tracks enter the terminal from the southbound combined Northwest Electrified Segment and the Gold Line. The remaining two CR inbound electrified tracks enter DUS from the East Corridor (EC) southbound from the Denver International Airport (DIA). Six additional inbound tracks utilize DUS terminal to permit Amtrak, Excursion Ski Train passenger operations and future RTD North Metro CR as well as switching operations for Burlington Northern Santa Fe locomotives. There are no plans for Union Pacific switching operations.

SWD DUS TERMINAL NWD TRK 8 NWES 16S 32S NWES / GOLD TRK 2

16N 32N 3 11 25 TRK 7 GOLD LINE 14S 28S NWES / GOLD TRK 1

14N 7 28N TRK 6 GOLD LINE 36S AMTRAK / UP (WEST)

12N 17 19 TRK 5 SKI TRAIN 30S AMTRAK / BNSF (EAST)

10N 29 TRK 4 AMTRAK 15 8S 42S N METRO TRK 2

8N 30N 35 40S N METRO TRK 1

38S AMTRAK LEAD All switches = #9 13 23 33 TRK 3 DUS 31 34S UPRR

6N TRK 2 EAST CORRIDOR 5 4S 27 22S EAST CORRIDOR TRK 2

4N 22N 1 9 21 20S TRK 1 EAST CORRIDOR 2S EAST CORRIDOR TRK 1

2N 20N = Non-electrified track (no OCS) TENANT RR FUTURE CR 12.23.11

Figure 1.1.5 – Denver Union Station

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Commuter Rail Maintenance Facility (CRMF) The CRMF will be designed, constructed and operated to provide the necessary facilities in support of repairs, maintenance, cleaning and storage of the CR EMU fleet and associated Maintenance of Way equipment. The CRMF will be constructed to accommodate the new dispatching center and back Back office Office server Server (BOS). The CRMF site, covering approximately 24.3 acres, will be is located northwest of downtown Denver, adjacent to the NWES alignment. The site is north of the I-70/I-25 interchange at the intersection of West 48th Avenue and Fox Street. The CRMF yard will contains enough tracks to encompass the entire fleet assigned to the Commuter RailCR Eagle P3 Project and future North Metro EMU equipment.

1.2. RTD Organizational Relationship This subsection outlines the management organizational structure of the project. It briefly describes the responsibilities of all entities involved in the implementation as well as the administrative and managerial aspects of CR organization, sub contracted organizations, quality assurance organization and any other organizational entity interfacing with the project. This subsection defines RTD’s CR Project Management approach and summarizes the strategy for the deployment of PTC. The design, installation and operation of the new RTD CR System is known as the Eagle P3 Project. The CR is being delivered and operated under a concession agreement that RTD has entered into with a "Concessionaire" that has been selected through a competitive proposal process. The selected Concessionaire is known as Denver Transit Partners (DTP), a special purpose company owned by Fluor Enterprises, Uberior Investments and Laing Investments. The CR Project concession agreement requires DTP to design-build-finance-operate-maintain (DBFOM) the East Corridor, Gold Line, Northwest Electrified Segment - (Initial portion of the Northwest Rail Corridor), Denver Union Station (DUS) and Commuter Rail Maintenance Facility (CRMF) project under a single contract. RTD will retain all assets while shifting much of the risk of designing and building the project to DTP. DTP is the integrator responsible for the Request for Proposal that is the basis for the Systems Vendor and for establishing the vendor’s scope of work, schedule and budget. Key DTP personnel will follow the PTC Program through the vendor process and will oversee the tasks of the vendor throughout the PTC implementation process of design, procurement, installation, integration testing and commissioning in order to assure contract compliance. In addition, DTP will assure that the RTD PTC System is in full compliance with the applicable FRA regulations. The DTP organization is illustrated in Figure 1.1.1-2.1. DTP’s organization is dynamic since PTC is a new system- wide project application for the design, construction and operation and maintenance of the new CR System.

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Regional Transportation District

Project Director

O&M GM Project Manager

Systems & Vehicle Systems Infustructure Maintenance Project Manager Integration Project Manager Manager

Denver Transit Partners (Concessionaire) Denver Transit Operators (O&M Contractor) Denver Transit Constructors (D/B Subcontractor)

Denver Transit Systems Rolling Stock Supplier (D/B Contractor)

Figure 1.12.1-1

Denver Transit Operators (DTO) will provide operate and maintain the rail vehicles for the three commuter rail corridors. The proposed rail vehicles are “Silverliner V’s” similar to the vehicles being supplied to the Southeastern Pennsylvania Transportation Authority (SEPTA) in Philadelphia. DTO will also operate and maintain everything Denver Transit Constructors (DTC) designs and builds, assuring safe and reliable commuter rail service.

1.3. Request for Amendment of a PTCIP [§ 236.1009(a) (2) (ii)] DUS is the only segment that the RTD tenant railroads will traverse. RTD anticipates a future filing of an RFA, per §236.1021, to its PTCIP requesting an main line track exclusion addendum (MTEA), per §236.1019, to have track segments located within RTD’s DUS Terminal designated as “other than main line” per the passenger terminal exception. This RFA will be submitted upon maturity of RTD’s plans for the DUS terminal and will clarify why RTD will not be interoperable with RTD tenant railroads operating on its territory (DUS). All proposed changes to the PTCIP will be provided to all RTD tenant railroads.

All RTD PTCIP Request for Amendments (RFA) will include the requirements of §236.1021. In addition, any proposed changes will be provided to BNSF and Amtrak railroads. RTD will not be interoperable with BNSF and Amtrak due to the use of different radio frequencies being used by RTD. The RFA and MTEA will clarify why

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RTD will not be interoperable in the only area where RTD has tenant railroads operating on its territory (DUS). All proposed changes to the RTD PTCIP will be provided to all RTD tenant railroads.

1.4. Goals and Objectives This section describes the overall goals and objectives of DTP to design, build and maintain PTC throughout Denver’s new CR System.

1.4.1. Immediate Goals The primary goal of implementing PTC on RTD’s Commuter Rail system is the enhancement of safety through the compliance with the Rail Safety Improvement Act of 2008 and the regulations of 49 CFR Part 236, Subpart I. RTD’s PTC system will meet or exceed the requirements of § 236.1005 by reliably and functionally preventing the following from occurring: I. Train to train collisions II. Over speed derailments III. Incursions into established work zone limits (Protection of Roadway Workers) IV. Movement of train through a mainline switch improperly aligned

1.5. Success Criteria Presently, because the rail commuterRTD CR lines do not exist, the success criteria information is not available. As such, DTP RTD will describe how to measure success for both project term goals and of implementation, as well as future goals. This will identify and describe the matrix that will be applied to monitor progress when compared to the intended PTCIP. Methods of communication with the FRA will be described with special consideration as to when a line segment will be declared fully operational.

1.5.1. Project Term Measurement Completion of the Denver CR Project is scheduled for July late 2016 (illustrated below in Figure 1.3.1-15.1). The Commuter Rail Maintenance Facility (CRMF) is scheduled to be complete no later than July 31, 2014. Regarding the commuter rail corridors;The East Corridor is scheduled for revenue service no later thanin early 2016, followed by the North West Electrified Segment and concluding the project with the Gold Line. DTP is developing a Construction and Systems Test staging schedule in support of a planned “Pilot Project”. The Pilot Project is to be conducted on the East Corridor by December 2014.

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1.5.2. Figure 1.3.1-15.1

1.5.3.1.5.2. Objectives The primary objective of the PTC system is to provide a system which will fulfill the requirements of CFR Part 236, Subpart I. The system will be available, reliable and maintainable. 1.5.2.1 Availability The PTC System, operating in concert with a Computer Aided Dispatch (CAD) system, will consist of the five (5) subsystems listed below:  A Back Office Server  On-board System  Wayside System  Communications Network  Employee-in-Charge System (EIC)

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1.5.2.2 Reliability A failure of PTC system components will not affect the field vital or non-vital logic of wayside micro-processors or the ability to control the wayside signal locations from the local control panel. Procedures and policies for contingency operation of an EMU with an on-board PTC component failure will be provided in accordance with §236.1029. In the event of loss of BOS or on-board PTC control capability for a portion of or the entire system area, the dispatching, communications, and signal control system will be capable of functioning with an underlying Automatic Train Control (ATC)/Cab Signal System (CSS) mode of operation in accordance with the requirements of §236.1029 The fault tolerance capability of the system will be provided via hardware and software mechanisms and the following prime components will have redundant and /or fail safe characteristics: 1) Dispatching/Train Control Servers and stations 2) Communications Servers and links 3) Database Servers 4) Local and Wide Area Networks 5) Individual Software Process Failovers

1.6. Applicability This section will provide pertinent information for RTD’s rail CR network for the purpose of PTC implementation for which the PTCIP applies, including applicable mapping depicting the information. The following will be identified, if applicable, for all designated track segments according to revenue service at the completion of the RTD CR Project:  All mainline tracks  Annual volume of traffic (PSGR in trains/day) The RTD CR Project will be a Commuter Rail Passenger operation with freight and Amtrak as tenants within the DUS Terminal only. Future tenant operations within the DUS Terminal will be explained further with RTD’s anticipated RFA filing to its PTCIP requesting an MTEA for DUS operations.Refer to section 14 of this document for the RTD MTEA for the DUS Terminal. Table 1 displays the track segments and characteristics. Appendix 1 illustrates detailed Commuter Rail PTC segments in a non-scaled single line track diagram.

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Table 1 - Track Segments and Characteristics from to PSGR Number of SEGMENT Description Trains Location M.P. Location M.P. Miles per Day RTD Trains will operate with PTC South End 0.0 North End 1.8 /ATC/CSS 1.8 322 of CP of CP Terminal operation for all moves at restricted speed. Freight and DUS Amtrak will operate using GCOR Terminal rules for all moves at restricted speed. Section 14 contains a An RFA and MTEA will be submitted for DUS in the futurefor the DUS. PTC / ATC/CSS North End 1.8 CP 12.4 Between CP Bright and CP 10.6 144 CP DUS CHAMBERS Chambers; CR HWY GR XINGS interconnected with UP HWY GR East Corridor XINGS.

CP 12.4 CP 24.6 PTC / ATC/CSS 12.2 CHAMBERS DIA 144 Gold Line PTC / ATC/CSS North End CP Between Federal Blvd and Ward 131 4.1 CP PECOS Ward Road 11.3 Road Stations CR HWY GR 7.2

(NWES) XINGS interconnected with BNSF HWY GR XINGS. NWES / Gold North End CP 1.8 4.1 2.3 Line CP DUS PECOS PTC / ATC/CSS 178

CP CP PECOS NWES 4.1 South 5.8 PTC / ATC/CSS 1.7 47

Westminster

1.7. Document Overview An organizational overview of the PTCIP developed by RTD prior to implementation as required by 49 U.S.C. §20157 and §236.1005. The sections will be outlined as follows:  Section 01 – General objectives, applicability and scope of document  Section 02 – Referenced documents  Section 03 – PTC System Functional requirements according to §236.1011(a)(1)  Section 04 – RTD compliances with §236.1009 (c) and (d) according to §236.1011 (a) (2).  Section 05 – RTD, BNSF and Amtrak interoperability and agreements according to§236.1011(a)(3)  Section 06 – PTC evaluation and implementation to areas of greater risk according to§236.1011(a)(4)  Section 07 – Sequence, schedule & decision basis for line to be equipped according to §236.1011(a)(5)  Section 08 – RTD Rolling stock information according to §236.1011(a)(6)  Section 09 – ROW devices required per line and schedule according to §236.1011(a)(7)  Section 10 – Main Line and Non-Main Line identification according to §236.1011(a)(8)  Section 11 – Deviation from Risk based prioritization of Section 6 according to §236.1011(a)(9)  Section 12 – Strategy for full system-wide deployment of PTC systems according to §236.1011(b)  Section 13 –PTCDP and PTCSP submittal dates to the FRA in accordance with §236.1011(a)(10)  Section 14 – Main Line Track Exclusion Addendum according to §236.1019  Appendices of supporting detail

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1.8. Acronyms and Definitions The following is a list of abbreviations and acronyms that may be used in interpreting the RTD PTCIP and its Appendices: Acronym Meaning AAR Association of American Railroads AFO Audio Frequency Overlay AMTRAK National Railroad Passenger Corp. ASMP Accelerated Signal Modernization Program ATC Automatic Train Control ATCS Advanced Train Control System BOS Back Office Server BCP Base Communication Package BNSF Burlington Northern Santa Fe Railroad CAD Computer Aided Dispatch CCS Communications Control Systems CCTV Close Circuit Television CFR Code of Federal Regulation CML Controlled Master Location CMP Configuration Management Plan ConOps Concept of Operations COTS Commercial Off the Shelf CP Control Point CR Commuter Rail CRC Cyclic Redundancy Check CSMA Carrier Sense Multiple Access CSS Cab Signal System CTC Centralized Traffic Control DBFOM Design Build Finance Operate and Maintain DIA Denver International Airport DOT Department of Transportation DTP Denver Transit Partners DUS Denver Union Station EIC Employee in Charge (Work Crew) EMU Electric Multiple Unit FRA Federal Railroad Administration GCOR General Code of Operating Rules GPS Global Positioning System GBN Ground Based Network HMI Human Machine Interface HS Home Signal (location) IEEE Institute of Electrical and Electronic Engineers I-ETMS Interoperable Electronic Train Management System ID Identification ITC Interoperable Train Control Committee LED Light Emitting Diode LMA Limit of Movement Authority MAS Maximum Authorized Speed MCP Mobile Communications Package MDT Mean Down Time MGT Million Gross Ton MHz Megahertz (frequency unit) ML Master Location (location) MOS Maximum Operating Speed

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Acronym Meaning MOW Maintenance of Way MTBF Mean Time Between Failures MTEA Main Line Track Exclusion Addendum MTTHE Mean Time to Hazardous Event MUTCD Manual on Uniform Traffic Control Devices NWES North West Electrified Segment NPI Notice of Product Intent OBC On-board Computer (EMU) OCC Operations Control Center OCS Overhead Catenary System OTE On-Track Equipment PIH Poison by Inhalation Hazard PSGR Passenger PSR Permanent Speed Restriction PTC Positive Train Control PTCDP Positive Train Control Development Plan PTCIP Positive Train Control Implementation Plan PTCSP Positive Train Control Safety Plan PTS Positive Train Stop PTSO Positive Train Stop Override PUC Colorado Public Utilities Commission REEM Rail Equipment Engineering and Maintenance REC Request for Expedited Certification RF Radio Frequency RFA Request For Amendment RFP Request For Proposal ROW Right Of Way RS Requirements Specification RTD Regional Transportation District SBD Safe Braking Distance SCMD Sand Creek Metropolitan District STS Safety TSR Server TCS Traffic Control System TDMA Timed Division Multiple Access TIH Toxic Inhalation Hazard TMC Train Management Computer TSR Temporary Speed Restriction UPRR Union Pacific Railroad U.S.C. United States Code V&V Verification & Validation V/I Vender/Integrator VIU Vital Interface Unit WCC Wayside Communications Controllers WIC Worker in Charge (RTD – Same as EIC) WEU Wayside Encoder Unit WILD Wheel Impact Load Detector WIU Wayside Interface Unit WRE Wabtec Railway Electronics

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The following lists the FRA definitions of specific terms that are used in the PTCIP: Term Meaning Class I railroad A railroad which in the last year for which revenues were reported exceeded the threshold established under regulations of the Surface Transportation Board (49 CFR part 1201.1-1 (2008)). Host railroad A railroad that has effective operating control over a segment of track. Interoperability The ability of a controlling locomotive to communicate with and respond to the PTC railroad’s positive train control system, including uninterrupted movements over property boundaries. Main line Except as excepted pursuant to § 236.1019 or where all trains are limited to restricted speed, a segment or route of railroad tracks, including controlled sidings: (1) of a Class I railroad, as documented in current timetables filed by the Class I railroad with the FRA under § 217.7, over which 5,000,000 or more gross tons of railroad traffic is transported annually, as reported on the traffic density map required to be filed with the Surface Transportation Board; or (2) used for regularly scheduled intercity or commuter passenger service, as defined in 49 U.S.C. § 24102, or both. NPI Notice of Product Intent as further described in § 236.1013. PTC railroad Each Class I railroad and each entity providing regularly scheduled intercity or commuter rail passenger transportation is required to implement and operate a PTC system. PTC System Certification as required under 49 U.S.C. § 20157 and further described in §§ 236.1009 and Certification 236.1015. Request For A request for an amendment of a plan or system made by a PTC railroad in accordance with § Amendment 236.1021. Segment of track Any part of the railroad where a train operates. Tenant railroad A railroad, other than a host railroad, operating on track upon which a PTC system is required. Track segment Segment of track Fail-Safe A design philosophy applied to safety-critical systems such that the results of hardware failures or the effect of software error shall either prohibit the system from assuming or maintaining an unsafe state or shall cause the system to assume a state known to be safe. (IEEE-1483) Safety-Critical Safety-critical, as applied to a function, a system, or any portion thereof, means the correct performance of which is essential to safety of personnel or equipment, or both; or the incorrect performance of which could cause a hazardous condition, or allow a hazardous condition which was intended to be prevented by the function or system to exist. (236 subpart H) A term applied to a system or function, the correct performance of which is critical to safety of personnel and/or equipment; also a term applied to a system or function, the incorrect performance of which may result in an unacceptable risk of a hazard. (IEEE-1483) Safety Validation A structured and managed set of activities, including analysis and test, which show that the system, as specified and implemented, performs the intended functions and that those functions result in overall safe operation. Validation answers the question, “Did we build the right system?” (IEEE-1483) Safety Verification A structured and managed set of activities, including analysis and test, which show that the system, including its subsystems, interfaces and components, as designed and implemented, meets the allocated system safety goals and requirements. Verification answers the question, “Did we build the system right?” (IEEE-1483) Vital Function A function in a safety-critical system that is required to be implemented in a fail-safe manner. Note: Vital functions are a subset of safety-critical functions. (IEEE-1483)

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2. Applicable Documents This section provides a complete list of all the documents and other sources referenced in the PTCIP as follows: [1] 49 CFR §236 Subpart I, Positive Train Control Systems Final Rule published January 15, 2010.Part 236 Subpart I – January 15, 2010 [2] Part 236 Subpart H - March 5, 2005 [3][2] RTD’s referencing of the CSX, NS and UP submitted I-ETMS PTCDP (Version 2.0) Version 3.0, 01-June-2011, Type Approval FRA-TA-2011-02 Dated 26-Aug-2011Dated November 13, 2014 [4][3] FRA Type Approval (FRA-TA-2011-002-C) granted by FRA [5] I-ETMS Concept of Operation [6] Software Management Control Plan for Processor-Based Signal and Train Control Systems

3. Technology [§ 236.1011(a) (1)] This section provides a minimum description that summarizes the PTC System technology being deployed and contains the following: a) Identification of the PTC architecture b) Detailed description of the functionality of the PTC system, subsystems, and interfaces, both internal to the PTC system and external to other systems. c) Physical layout and location of PTC equipment onboard EMU’s, at wayside locations, network interfaces and OCC.

3.1. General RTD will be implementing I-ETMS. In addition, RTD will overlay a cab signal system (CSS) in support of Automatic Train Control (ATC). The CSS will provide aspects for block signaling and ATC functionality. This PTC system package is referred to by RTD as the I-ETMS system. The ATC/CSS and PTC systems will provide for safe train separation, signal speed enforcement and the other required PTC functions. The two systems (ATC/CSS and I-ETMS) are functionally independent, although they do report status and transfer certain data between them. Within DUS, freight and Amtrak trains will operate without an PTC/ATC/CSS system using GCOR rules while RTD trains will use the PTC/ATC/CSS for movements at restricted speed. All electrified multiple unit cars (EMU) will be equipped with I-ETMS onboard systems. The Rail Operations Control Center will be the center of the RTD I-ETMS PTC system, providing the Dispatcher interface, the necessary servers, and interfaces to the wayside systems.

3.2. I-ETMS Description I-ETMS is designed to be a PTC system which is overlaid upon ATC/CSS systemthe currently designed method of operation. The system will be applied as prescribed in the previously approved Interoperable Electronic Train Management System (I-ETMS) Positive Train Control Development Plan (PTCDP) Version 2, dated June 1, 2011 and Type Approval (FRA-TA-2011-02). RTD PTC System is that described in the PTCDP of Reference [2] and the Type Approval of Reference [3] with any variations in RTD’s final PTC implementation accounted for in the RTD PTCSP and related documents.

I-ETMS has the ability to monitor and enforce ATC/CSS and wayside signal indications in addition to mandatory directives and authority limits. I-ETMS system enforces block signal authorities at all signal locations and permanent and temporary speed restrictions. The system uses data from the wayside and office segments, via data radios to enforce wayside indications, permanent and temporary speed limits, mandatory directives and roadway worker protection. Furthermore, the onboard PTC system will be directly interfaced to the onboard ATC/CSS for cab aspect data information.

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The I-ETMS system relies on the track profile and vehicle performance characteristics so that the on-board segment can calculate a speed profile for both warning and enforcement. The PTC System provides a warning when the train exceeds the maximum authorized speed, by three MPH, for the section of track on which it occupies, or when approaching the next target at a speed that violates the warning profile of the PTC system. The PTC system invokes a full service brake application when the train exceeds the maximum authorized speed, by five MPH, for the occupied section of track on which it occupies, or when approaching the next target at a speed that violates the stopping profile of the PTC system train. An overview of I-ETMS, its primary functions, the architecture of the PTC system(s) being deployed, and a high level description of the functionality of the PTC system, subsystems, and interfaces are all found in the PTCDP of Reference [2]. The PTCDP also identifies and describes each of the I-ETMS functions which meet the functional requirements for PTC systems as identified in §236.1005(a) PTC System Requirements. Each PTC system required to be installed under this subpart shall: (1) Reliably and functionally prevent: i. Train-to-train collisions—including collisions between trains operating over rail-to-rail at-grade crossings ii. Over speed derailments, including derailments related to railroad civil engineering speed restrictions, slow orders, and excessive speeds over switches and through turnouts; iii. Incursions into established work zone limits without first receiving appropriate authority and verification from the dispatcher or roadway worker in charge, as applicable and in accordance with 49 CFR part 214. iv. The movement of a train through a main line switch in the improper position as further described in §235.1005(e). (2) Include safety-critical integration of all vital authorities and indications of a wayside or cab signal system, or other similar appliance, method, device, or system of equivalent safety, in a manner by which the PTC system shall provide associated warning and enforcement to the extent, and except as, described and justified in the FRA approved PTCDP or PTCSP, as applicable; (3) As applicable, perform the additional functions specified in this subpart; (4) Provide an appropriate warning or enforcement when: i. A derail or switch protecting access to the main line required by § 236.1007, or otherwise provided for in the applicable PTCSP, is not in its derailing or protecting position, respectively; ii. A mandatory directive is issued associated with a highway-rail grade crossing warning system malfunction as required by §§ 234.105, 234.106, or 234.107; iii. An after-arrival mandatory directive has been issued and the train or trains to be waited on has not yet passed the location of the receiving train; iv. Any movable bridge within the route ahead is not in a position to allow permissive indication for a train movement pursuant to § 236.312; and v. A hazard detector integrated into the PTC system that is required or otherwise provided for in the applicable PTCSP, detects an unsafe condition. (5) Limit the speed of passenger and freight trains to 59 miles per hour and 49 miles per hour, respectively, in areas without broken rail detection or equivalent safeguards.

3.2.1 Wayside Segment The wayside components will be installed and integrated with the designed Control Points, Master Locations and communications network. These wayside components include the Wayside Interface Unit (WIU), data radio, and interfaces to the signal logic and communications network, along with any necessary supporting equipment (power supplies, Wayside Message Server (WMS), etc.). Additional wayside components include data radio antenna installations based upon site specific requirements determined during system design. In addition, a cellular data communications service gateway will be provided implemented as a backup to the PTC data radio.

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for gaps in radio coverage and the implementation of the Personal Remote Terminal for Roadway Worker Protection, as a component of a sub-system.

3.2.2 On-board Segment The On-board components will be installed and integrated with the EMU. Specifically, the Wabtec TMC-04onboard segment equipment will interface with the cab signal system, crash hardened event recorder and PTC engineer displays. Display location will be analyzed and established as part of the detailed installation procedures submitted in the final PTCSP. These components include; the Cab Signal system, I-ETMS system, Crash Hardened Event Recorder (CHER), Computer Display Unit (CDU), GPS System, mobile data radio, and interfaces to the car network. Additional On-board components include data radio antenna installations based upon vehicle specific requirements determined during system design.

3.2.3 Office Segment The office I-ETMS will be provided as a new installation, sharing the office systems’ interface both to the dispatcher and to the wayside systems. The office I-ETMS segment will be comprised of a Wabtec supplied Back Office Server (BOS) along with a Wabtec supplied Train Management Dispatching System (TMDS). I-ETMS dedicated BOS will host the system track database and also include I-ETMS specific functions support.

3.3. FRA Interface and Description RTD will utilize the Type Approval (FRA-TA-2011-002) of Reference [3] for the approved I-ETMS PTCDP (version 2.0)of Reference [2]. Any variations in RTD’s final PTC implementation from the Reference [2] PTCDP will accounted for in the RTD PTCSP and related documents.RTD will submit a Type Approval Variance document to address the differences between RTD’s system and that of which is stated in the aforementioned approved PTCDP.

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Simultaneously, the V/I will develop the PTCSP and coordinate with the Denver Transit Partners (DTP) team who will be responsible for composing the Operating Rules, coordinating arrangements regarding railroad operations, and requesting waivers to permit testing of the system and associated components. RTD is responsible for entering into operational agreements with the tenant railroads, The V/I will develop all test plans for factory (pre-test) and commissioning, develop and provide training for all applicable employees, develop and provide Operations and Maintenance (O&M) Manuals, provide safety certification for all products as well as the over-all system. DTP, on behalf of RTD, will review all plans and upon acceptance will forward to RTD. Approval of these submittals, including a field test request, will permit the start of testing to obtain certification. Upon DTP systems test completion, RTD will submit the PTCSP to the FRA for certification. All V/I systems testing results and associated reports will be included within the PTCSP.

4.1 Type Approvals The PTC system furnished by the V/I will be required to comply with all the regulatory requirements. RTD will be referencing the I-ETMS PTCDP and applicable Type Approval of Reference [3].

4.2 PTCDP RTD will be referencing the I-ETMS PTCDP of Reference [2]. The PTCDP, referenced by RTD, will be the FRA approved June 1, 2011 I-ETMS PTCDP Version 2.0 submitted by WRE/UP/NS/CSXT railroads. The system product lines shall meet the definitions of Vitality or Safety Critical as defined in Appendix C to Part 236 – Safety Assurance Criteria and Processes. The aforementioned FRA approved PTCDP will be utilized by the V/I on behalf of RTD. The PTCDP will reference the detailed discussion of the technology which will be employed by the V/I to meet the requirements defined in the PTCIP.

4.3 Certification and PTCSP RTD Commuter Rail network is a new installation for which RTD will submit a PTCSP to the FRA in March of 20165 to obtain PTC System Certification. The RTD Commuter Rail network will not be used in revenue service until PTC System Certification is received from the FRA.

4.4 Project Risk RTD Commuter Rail network is a new installation; therefore, no project risk will be encountered. The PTC implementation will not impose a risk to the Commuter Rail Network.

5. Interoperability [§ 236.1011(a) (3)] This section describes how the PTC system will provide for operational interoperability between RTD, BNSF and Amtrak within the limits of the Denver Union Station (DUS) terminal facility. DUS is the only segment that the tenant railroads will traverse. PTC interoperability within the DUS should is not be required because RTD has reached agreement with BNSF and Amtrak for operations within DUS under an future Main Line Track ExclusionMTEA in provision according toance with Part 236.1019, pending future FRA approval. Refer to section 14 of this document.

6. Installation Risk Analysis [§ 236.1011(a) (4)] Not applicable. The RTD Commuter Rail System has yet to be built. The PTC system will be implemented on each section of the RTD system as it is constructed and placed into service. Refer to Appendix #1 for the Systems In- Service Activation order.

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Based on the track construction schedule, the Commuter Rail East Corridor has been selected by DTP as the segment to be utilized for the Pilot Program. Following the 2015 completion of all ROW construction and testing, test trains will operate between the CRMF and DIA via DUS. Following the revenue service of the East Corridor will be the Northwest Electrified Segment and finally the Gold Line.

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7.1 Segment Traffic Characteristics Estimates East Corridor Gold Line Gold / NWE Northwest DUS (DUS – Electrified PECOS) Segment Train Operations Number of trains 144 131 178 47 322 per day Frequency of 8 8 12 (8 GL & 4 4 20 trains per hour NWES) Train Headway 15 15 10 30 10 in minutes Maximum 79 79 79 79 15 Operating Speed

7.2 Segment Operational Characteristics The matrix, shown below, encompasses the synopsis of RTD’s proposed Method of Operation for each line for the Commuter Rail Network. The East Corridor, Northwest, and Gold Line will operate independently of the BNSF and Union Pacific freight lines. Highway grade crossings warning devices on the East Corridor (and Lowell and Tennyson on Gold Line) will be shared with the Union Pacific Railroad. UPRR is responsible for the installation and maintenance of the grade crossing warning equipment installed on UPRR ROW. Highway grade crossing warning devices on the Gold Line will be shared with BNSF; however, RTD will maintain all grade crossing operational wayside equipment and associated FRA mandated testing. Within the limits of CP DUS; Union Pacific Railroad has abandoned all rights to operate into DUS as part of the Denver RTD Union Station Purchase Agreement. UPRR can; upon request and approval of RTD, obtain passenger train access for an Office Car and/or an excursion train. Inter-operational agreement with BNSF allows the operation and routing of locomotives in DUS to obtain shifting access to the diesel shop north of DUS. Approximately 500 feet will be allotted for these shifting moves. Amtrak trains also retain operating rights to enter DUS. Amtrak and BNSF will operate into DUS at terminal restricted speed under the direction of the RTD Dispatcher.

East Corridor Gold Line Gold / NWE Northwest DUS (DUS – Electrified PECOS) Segment Method of GCOR rule Operation 6.27(Movement at Restricted Speed) or 6.28(Movement on Other than main Traffic Control Traffic Control Traffic Control Traffic Control track) as an System (TCS) System (TCS) System (TCS) System (TCS) exampleRTD – Traffic Control System Tenant Railroads – Restricted Speed per Operating Rules Maximum 79 79 79 79 15 (all trains) Operating Speed

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Number of 2 2 2 2 8 Tracks

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7.3. Segment Route Attributes

Mainline Segment Grades End Elevation Vertical Distance Horizontal Distance Max Min Average Absolute Mainline Segment Start Elevation (ft) Grade % (ft) (ft) (miles) Grade % Grade % Grade % East Corridor - Outbound 5181.89 0.12% 5330.49 148.6 23.2 4.00 0.00 2.00

East Corridor - Inbound 5180.32 0.12% 5330.49 150.17 23.2 4.00 0.00 2.00

NWES - Outbound 5180.89 0.33% 5274.91 94.02 5.9 4.00 0.00 2.00

NWES - Inbound 5180.49 0.33% 5274.91 94.42 5.9 4.00 0.00 2.00

Gold Line - Outbound 5203.17 0.74% 5481.38 278.21 7.2 4.00 0.00 2.00

Gold Line - Inbound 5207.17 0.73% 5482.02 274.85 7.2 4.00 0.00 2.00

Mainline Segment Curvature

Curve Curves per Route % Route > 2 Deg Mainline Segment Number Max Deg. Dist ft > 2 Deg Route Mileage Mile Curve Comments Does not include DUS; Single track section East Corridor - Outbound 40 12.50 12715.26 23.2 1.74 10.50% included Does not include DUS; Single track section East Corridor - Inbound 43 12.45 10927.53 23.2 1.88 9.05% included Does not include DUS; Single track section NWES - Outbound 22 12.50 5904.34 5.9 4.02 20.41% included Does not include DUS; Single track section NWES - Inbound 21 12.50 5451.48 5.9 3.85 18.94% included Corridor starts at Pecos CP. Single track Gold Line - Outbound 26 11.00 4432.47 7.2 3.64 11.75% section included Corridor starts at Pecos CP. Single track Gold Line - Inbound 23 11.00 3695.55 7.2 3.21 9.78% section included

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8. Rolling Stock [§ 236.1011(a) (6)]  All RTD Commuter Rail Electric Multiple Units (EMU) will be PTC equipped. East Corridor Gold Line Northwest DUS Electrified Segment Rolling Stock Age and Type of New - EMU New - EMU New - EMU New - EMU Equipment Configuration Multiple Unit Married Multiple Unit Multiple Unit Married Multiple Unit Units Married Units Units Married Units Manufacturer Hyundai Rotem Hyundai Rotem Hyundai Rotem Hyundai Rotem Assembly Philadelphia, PA Philadelphia, PA Philadelphia, PA Philadelphia, PA Passenger occupied 90 Passenger Seating, 90 Passenger 90 Passenger Seating, 90 Passenger areas up to 142 standing & Seating, up to 142 up to 142 standing & Seating, up to 142 full width Operator’s standing & full full width Operator’s standing & full Cab width Operator’s Cab width Operator’s Cab Cab Applied Safety 49 CFR 229 49 CFR 229 49 CFR 229 49 CFR 229 Standards 49 CFR 231 49 CFR 231 49 CFR 231 49 CFR 231 49 CFR 238 49 CFR 238 49 CFR 238 49 CFR 238 APTA Standards & APTA Standards & APTA Standards & APTA Standards Recommended Recommended Recommended & Recommended Practices Practices Practices Practices Applied Crash 49 CFR 238 49 CFR 238 49 CFR 238 49 CFR 238 Worthiness APTA SS-C&S-034- APTA SS-C&S- APTA SS-C&S-034- APTA SS-C&S- Standards 99 034-99 99 034-99

8.1 Rolling Stock To Be Equipped DTP are is procuring 50 66 54EMUs for the Commuter Rail operation. The EMUs are configured as married pair A and B units making a maximum of 25 3327 train consists. All EMU commuter rail cars will be equipped with the I- ETMS PTC System, upon delivery, prior to testing and revenue service.

8.2 Schedule The DTP schedule will encompass groups of equipment, planned timeframe per group and any supporting tasks. The Base four Pilot Cars will be delivered to the site no later than April 2014, with the 46 Base final Production Cars being delivered between June 2014 and Marchin 2015. Testing and commissioning of the Rolling Stock is due to commence immediately following delivery completion of the four Pilot Cars and will continue through to initial commencement of revenue service. The Revenue Service Target dates are as follows: 1) East Corridor January 2nd Quarter 2016 2) NWES March 3dQuarter 2016 3) Gold Line July 4th Quarter 2016

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8.3 UP, BNSF and Amtrak Railroads Not applicable. All current RTD tenants have submitted their own PTCIP’s.

8.4. PTC Implementation [§ 236.1011(a)(6)(iii)] This will not be applicable due to all RTD locomotives will be PTC equipped and compliant at the time of commissioning for revenue service.

9. Wayside Devices [§ 236.1011(a) (7)] This section identifies the wayside devices that will be monitored by the PTC System. PTC components consist of those signaling appliances located along the ROW whose control and indication impacts PTC operation, inclusive of any wayside interface unit (WIU) utilized to monitor and report their conditions. The applicable devices will include any Control Point, powered operated switch point, wayside signal, master location, roadway crossing equipment and defect detectors as required. Reference Table 2 in Section 11 for track segment construction completion dates.

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9.1 Power Switches The following chart is a summary of each Control Point and associated power operated switch that will be monitored by the PTC System. All switch routes will be governed by wayside ground mast color light signals. Only DUS switch routes will be governed by color light dwarf signals. Each remote Control Point will be controlled from the OCC. Each CP will contain a WIU as follows: East Corridor – 9 WIU’s; Gold Line – 5 WIU’s; NWES – 7 WIU’s; DIA – 1 WIU. Total – 22 WIU’s.

TRACK (POWER SWHTCH) CONFHGURATHON NORTHWEST ELECTRICIED EAST CORRIDOR GOLD LINE DENVER UNION STATION SEGMENT Location Size / Config Location Size / Config Location Size / Config Location Size / Config BRIGHT PECOS 38TH AVENUE DUS (TERMINAL) TRK 2 EC 135+20 #20/RH TRK 1 GL 228+84 #15/LH TRK 1 NWE 74+05 #9/LH TRK 1 DUS 12+49 #9/LH TRK 1 EC 139+41 #20/RH TRK 2 GL 231+56 #15/LH 41ST AVENUE TRK 2 DUS 13+37 #9/RH TRK 1 EC 153+05 #20/LH RALSTON TRK 2 NWE 80+73 #9/LH TRK 2 DUS 14+44 #9/LH TRK 2 EC 157+31 #20/RH TRK 1 GL 373+01 #15/LH CRMC - SOUTH TRK 2 DUS 14+58 #9/RH QUEBEC BALSAM TRK 1 NWE 120+04 #9/RH TRK 1 DUS 16+52 #9/RH TRK 1 EC 376+78 #20/LH TRK 1 GL 454+78 #20/RH TRK 2 NWE 120+06 #11/RH TRK 2 DUS 17+85 #9/LH TRK 2 EC 381+16 #20/LH MILLER TRK 1 NWE 122+52 #11/RH TRK 1 DUS 21+04 #9/LH SAND CREEK TRK 1 GL 532+51 #15/LH TRK 2 NWE 125+94 #15/RH TRK 2 DUS 22+99 #9/LH TRK 2 EC 437+65 #20/RH TRK 2 GL 535+53 #15/LH TRK 1 NWE 126+95 #9/RH TRK 2 DUS 24+06 #9/RH TRK 1 EC 441+72 #20/RH TRK 2 GL 536+53 #15/RH CRMC - POCKET TRK 2 DUS 25+08 #9/RH SABLE TRK 1 GL 539+59 #15/RH TRK 1 NWE 140+89 #15/RH TRK 2 DUS 26+46 #9/LH TRK 2 EC 624+43 #20/RH WARD ROAD TRK 1 NWE 143+59 #9/RH TRK LD AMT DUS 27+18 #9/LH TRK 1 EC 628+47 #20/RH TRK 1 GL 588+35 #9/LH CRMC - NORTH TRK N.METRO DUS 28+20 #9/LH TRK 1 EC 633+85 #15/RH TRK 2 GL 590+27 #9/LH TRK 1 NWE 158+31 #15/LH TRK 4 AMT DUS 18+92 #9/RH TRK SDG EC 637+50 #15/RH TRK 2 GL 590+49 #9/RH TRK 1 NWE 158+97 #15/LH TRK 4 AMT DUS 19+80 #9/LH CHAMBERS TRK 1 GL 592+46 #9/RH TRK 2 NWE 161+79 #15/LH TRK 4 AMT DUS 20+87 #9/RH TRK 1 EC 648+86 #15/LH PECOS TRK 4 AMT DUS 21+01 #9/LH TRK 1 EC 660+00 #15/RH TRK 2 NWE 210+89 #15/RH TRK 4 AMT DUS 22+11 #9/LH 40TH AVENUE TRK 1 NWE 218+25 #15/RH TRK 4 AMT DUS 22+43 #9/RH TRK 1 EC 744+80 #20/LH TRK 1 NWE 218+91 #15/LH TRK 4 AMT DUS 25+48 #9/LH 61st AVENUE S. WESTMINSTER TRK 7 DUS 13+56 #9/LH TRK 1 EC 900+48 #20/RH TRK 1 NWE 308+41 #9/LH TRK 7 DUS 14+63 #9/RH PENA TRK 7 DUS 14+77 #9/LH TRK 1 EC 1083+54 #20/LH TRK 7 DUS 18+92 #9/RH 78TH AVENUE TRK 7 DUS 22+96 #9/LH TRK 2 EC 1222+90 #20/RH TRK 7 DUS 23+62 #9/LH TRK 1 EC 1226+98 #20/RH TRK 8 DUS 12+68 #9/RH TRK 1 EC 1232+01 #20/LH TRK 8 DUS 16+72 #9/LH TRK 2 EC 1236+37 #20/LH TRK 8 DUS 25+66 #9/LH DIA TRK 2 EC 1283+30 #9/RH TRK 1 EC 1285+35 #9/RH TRK 1 EC 1292+64 #9/LH TRK 2 EC 1297+04 #9/LH

= Control Point Name

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9.2 Master Location The following is a summary of each master location that will be monitored by the PTC System. A Master Location encompasses all PTC/ATC components required in support of an automatic (non-CP) Bi-directional Cab-no- wayside location. A total of 45 ML’s will be utilized throughout the Commuter Rail Network; 35 ML locations will support a two (2) track operation while the remaining 10 ML locations will support a one (1) track operation. Each Master Location will contain a WIU as follows: East Corridor – 23 WIU’s; Gold Line – 12 WIU’s; NWES – 9 WIU’s. Total – 36 WIU’s.

M ASTER IOFATHON FONFHGURATHON NORTHWEST ELECTRIFIED EAST CORRIDOR GOLD LINE DENVER UNION STATION SEGMENT Location # of TRKS Location # of TRKS Location # of TRKS Location # of TRKS BRIGHT PECOS 7-8NWE ML 38+00 2 DUS (TERMINAL) 21-22EC ML 185+00 2 47-48GL ML 248+00 2 9-10NWE ML 52+00 2 N/A 8 27-28EC ML 226+75 2 49-50GL ML 263+00 2 10-11NWE ML 60+00 2 37-38EC ML 269+12 2 51-52GL ML 269+55 2 38TH AVENUE 39-40EC ML 280+12 2 57-58GL ML 302+50 2 41ST AVENUE 43-44EC ML 306+50 2 63-64GL ML 335+30 2 17-18NWE ML 89+00 2 51-52EC ML 344+00 2 RALSTON 19-20NWE ML 102+00 2 QUEBEC 75-76GL ML 399+00 1 41ST AVENUE 63-64EC ML 414+14 2 79-80GL ML 426+00 1 CRMF-SOUTH SAND CREEK 81-82GL ML 431+50 1 CRMF-POCKET 75-76EC ML 475+00 2 BALSAM CRMF-NORTH 81-82EC ML 507+00 2 91-92GL ML 486+50 2 27-28NWE ML 144+00 1 87-88EC ML 539+64 2 97-98GL ML 515+00 2 33-34NWE ML 177+00 2 95-96EC ML 581+00 2 99-100GL ML 521+00 2 35-36NWE ML 184+50 2 SABLE MILLER 37-38NWE ML 200+00 2 CHAMBERS 107-108GL ML 564+00 2 PECOS 119-120EC ML 702+00 1 WARD ROAD 49-50NWE ML 259+00 1 40TH AVENUE S. WESTMINSTER 133-134EC ML 779+00 2 139-140EC ML 809+00 2 61st AVENUE 144-145EC ML 837+76 2 149-150EC ML 866+50 2 161-162EC ML 931+21 1 167-168EC ML 962+00 1 175-176EC ML 1001+00 1 183-184EC ML 1040+00 1 PENA 197-198EC ML 1121+75 2 204-203EC ML 1155+25 2 211-212EC ML 1188+75 2 78TH AVENUE 223-224EC ML 1259+00 2 DIA

= Control Point Name

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9.3 Defect Detector Locations The below referenced matrix is a summary of each defect detector that will be installed into the Signal System. Only the Wheel Impact Load Detector (WILD) will be monitored by the PTC System.

DEFEFT DETEFTOR IOFATHON FONFHGURATHON NORTHWEST ELECTRIFIED EAST CORRIDOR DOLD LINE DENVER UNION STATION SEDMENT Location TYPE Location TYPE Location TYPE Location TYPE BRIDHT N/A N/A 38TH AVENUE N/A N/A QUEBEC 41ST AVENUE SAND CREEK TRK 1 NWE 117+70 WILD SABLE CRMF - SOUTH SAND CREEK CRMF - POCKET CHAMBERS CRMF - NORTH 40TH AVENUE TRK 1 NWE 159+60 WILD 56TH AVENUE PECOS TRKS 1 & 2 EC884+00 HB TRKS 1 & 2 NWE259+00 HB PENA S. WESTMINSTER 78TH AVENUE DIA

= Control Point Name (relationship to detectors)

9.49.3 Passenger Station Holding Signals; Controlled Master Location (CML) The matrix below is a summary of all the Passenger Stations for the RTD Commuter Rail Network. Only those stations illustrated with green fill are integrated with the master locations that serve as Station Holding Signals monitored by the PTC System.

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PASSENGER STATION CONFIGURATION NORTIWEST ELECTRICIED EAST CORRIDOR GOLD LINE DENVER UNION STATION SEGMENT Station Location Station Location Station Location Station Location 38TI & BLAKE EC 176+18 CEDERAL BLVD GL 267+38 41ST AVE & COX NWE 83+18 DUS DUS 000+00 COLORADO EC 280+12 SIERIDAN BLVD GL 339+38 PECOS NWE 208+80 CENTRAL PARK BLVD EC 417+51 OLDE TOWN GL 428+75 S. WESTMINSTER NWE 305+60 PEORIA/SMITI EC 533+13 ARVADA RIDGE GL 519+28 40TI & AIRPORT EC 752+88 WARD ROAD GL 583+13 DIA EC 1303+45

= Stations with CML

9.59.4 Highway Grade and Station Pedestrian Crossing Warning Systems The following is a summary of all crossing warning devices some of which share crossing warning devices. Highway Grade Crossings will contain WIU’s as follows: East Corridor – 12 WIU’s; Gold Line – 16 WIU’s. Total 28 WIU’s.

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HHGHWAY & PEGESTRHAN GRAGE FROSSHNG FONFHGURATHON

EAST CORRIDOR GOLD LINE NORTHWEST ELECTRIFIED SEGMENT

Pedestrian Pedestrian Pedestrian Highway Location Highway Location Highway Location (Station) (Station) (Station) 38th & Blake EC 174+16 W. 60th Ave GL 237+04 BNSF Yd (Private) NWE 59+30 38th & Blake EC 178+06 Federal Blvd GL 264+44 41st Ave NWE 81+40 York/Wosephine EC 219+44 Federal Blvd GL 267+40 41st Ave NWE 84+14 Clayton St EC 238+98 Lowell Blvd GL 297+63 48th Avenue (Private) NWE 123+27 Steele St EC 251+22 Tennyson St GL 324+01 Colorado EC 269+70 Sheridan Blvd GL 337+65 Colorado EC 273+60 Sheridan Blvd GL 340+67 Dahlia St EC 302+20 Lamar St GL 391+62 Holly St EC 329+11 Saulsbury GL 415+19 Monaco Pkwy EC 356+38 Vance St GL 425+07 SB Quebec St EC 382+90 Olde Wadsworth St GL 432+23 NB Quebec St EC 386+16 Allison St GL 444+14 Ulster St EC 409+51 Balsam St GL 452+74 Central Prk EC 415+00 Carr St GL 459+74 Central Prk EC 418+90 Garrison St GL 487+26 Havana St EC 489+81 Independence St GL 500+91 Peoria EC 531+14 Arvada Ridge GL 516+75 Peoria EC 535+06 Arvada Ridge GL 520+16 Sable St EC 623+23 Miller St GL 527+98 Chambers Rd EC 650+91 Parfet St GL 547+67 40th & Airport EC 750+32 Robb St GL 561+17 40th & Airport EC 754+22 Tabor St GL 576+18 Ward Rd GL 581+08 Ward Rd GL 583+58

control shared with UPRR RTD control of BNSF

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10. Designated Track as Main Line or Non-Mmain Line [§ 236.1011(a) (8)] This section provides the track segments that DTP RTD identifies as main line and non-mainline track. Per section 14 of this document, RTD requests an MTEA in accordance with §236.1021 for the DUS Terminal tracks to be designated as “other than main line” per the passenger terminal exception in accordance with § 236.1019. Refer to the RTD Employee Timetable Appendix herein.

RTD anticipates a future filing of an RFA, per §236.1021, to its PTCIP requesting an main line track exclusion addendum (MTEA), per §236.1019, to have track segments located within RTD’s DUS Terminal designated as “other than main line” per the passenger terminal exception. This RFA will be submitted upon maturity of RTD’s plans for the DUS terminal. Based on the CFR regulation “§236.1005 Requirements for Positive Train Control Systems”, prior to the commencement of revenue in-service operation, RTD will not provide a commuter rail service on any of the rail segments. The entire RTD Commuter Rail Network will be main line by complying with the below referenced conditions: RTD will be the host railroad as defined in §236.1003. Host railroad is defined as a railroad that will have effective operating control over a segment of track. RTD’s subdivision meets the definition for main line track as provided in §236.1003 such that Exclusive of tenant railroads operating within the limits of DUS, no restriction exists nor will exist requiring all trains to operate at restricted speed within the boundaries of the subdivision used for commuter rail passenger service.

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11. Exceptions To Risk-based Prioritization [§ 236.1011(a) (9)] RTD Commuter Rail Network to be a new complete PTC compliant system. Prioritization is not applicable due to the track segments being of new construction. Scheduled completion dates are shown in the table below.provided in Figure 1.3.1-1.5.1.

Table 2 – Track Segment Construction Completion Track Segment Construction Completion Revenue Service with PTC operation East Corridor January 2015 April 2016 NWES from DUS to Pecos November 2014 June 2016 Gold Line June 2015 October 2016 NWES from Pecos to S. Westminster August 2015 June 2016

12. Strategy For Full System PTC Deployment [§ 236.1011(b)] This section does not apply to RTD at this time.

13. PTCDP and PTCSP Submittal Dates [§236.1011(a)(10)] RTD intends on utilizing the I-ETMS PTCDP of Reference [2]as submitted (version 2.0 dated 1 June 2011) and has obtained Type Approval FRA-TA-2011-02 on 26 AUG 2011. Any variances will be addressed in the PTCSP as prescribed by 236.1015(c)(2).

RTD’s I-ETMS PTCSP is planned to be submitted to the FRA beforey March December 31, 20152016.

14. Main Line Track Exclusion Addendum [§ 236.1019] RTD anticipates a future filing of an RFA, per §236.1021, to its PTCIP requesting an main line track exclusion addendum (MTEA), per §236.1019, to have track segments located within RTD’s DUS Terminal designated as “other than main line” per the passenger terminal exception. This RFA will be submitted upon maturity of RTD’s plans for the DUS terminal.A Mainline Track Exclusion Addendum (MTEA) is requested for the Denver Union Station (DUS) as defined in §236.1019 (b) Passenger Terminal Exception. As required, a track charts are is provided by the figureFigure 14.1Appendix 5. below. The and the boundaries of all traffic are described in detail belowin this section.

Regarding §236.1019 (b) (1): The maximum authorized speed throughout the DUS for all trains is 20 mph or less. RTD trains are the only trains operating in the DUS with available PTC equipment and will use PTC to enforce the maximum authorized speed within the DUS. Amtrak trains also operate in the DUS as defined in this MTEA, but do not interoperate with the RTD PTC wayside and are therefor controlled by signaled authorities.

Regarding §236.1019 (b) (2): Interlocking rules are in effect prohibiting reverse movements other than on signal indications without dispatcher permission.

§236.1019 (b) (3) (i): No freight operations are permitted. Refer to the Temporal Separation discussion below.

MTEA Limits The limits of the requested MTEA is the entire DUS as shown in the figure in Appendix 5 below and include all track South (to the left in the figure) of the following signals: 32S, 28S, 8S, 42S, 40S, 38S, 34S, 22S and 20S.

Background Two Amtrak trains per day enter and depart the DUS. Amtrak trains enter the DUS via tracks 36SAT and 30SAT, operate to platforms located on tracks 10NAT and 8NAT, and depart the same way. Amtrak trains utilize this track under signaled movement authority.

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RTD commuter rail trains from the North West Segment, East Corridor, and Gold Lines operate frequent trips in and out of the DUS along the double track shown at the top and bottom of the figure in Appendix 5figure below. In addition, RTD trains may execute moves across the single track section utilized by Amtrak trains using the crossovers shown in the center of the figure below figure in Appendix 5. RTD trains operate in the DUS under PTC supervision.

BNSF trains occasionally require operations on the Amtrak DUS entrance tracks up to, but not exceeding, signal 8S. BNSF trains utilize this track under manual movement orders. BNSF trains will not enter the track for which this MTEA is requested; the Temporal Separation provisions between the BNSF trains and the Amtrak and RTD passenger trains is detailed below.

DUS Temporal Separation Provisions BNSF trains require the use of track sections 36SAT/30TA and 30SAT/30T in order to have sufficient operating room. It is noted that these track sections are owned by BNSF and are outside of the DUS terminal area. To protect against a BNSF train overrunning the 8S signal, the following Temporal Separation methodology is employed:

1. BNSF trains approaching signal 8S on either the 36SAT or 30SAT fifty (50) foot approach tracks will be required to occupy that track for one (1) minute before the following will automatically take place, interlocking conditions permitting: • The points associated with the 4 crossovers in the center of the figure in Appendix 5figure below (switches 17A, 17B, 19A, 19B, 13A, 13B, 23A, 23B) will be aligned and locked normal. • Switch 29 will be aligned as required. • The derailer associated with the track occupied by the BNSF train (either 41D or 43D) will move to the non-derail position.

2. It is noted that derailer 49D will be in the derail position anytime a train is occupying either of the platforms on tracks 10NAT or 8NAT and in the non-derail position otherwise.

3. It is noted that signal 8S is used to clear Amtrak trains beyond the noted crossovers into their platforms on tracks 10NAT and 8NAT. Thus, for the BNSF operations described here, 8S will remain at-stop.

4. After visually determining that the appropriate derailer (41D or 43D) is in the non-derail position, the BNSF train may proceed up to the 8S signal but not beyond.

5. Should a BNSF train overrun signal 8S (at a relatively low speed due to the one minute delay before the 41/43D derailer was put to the non-derail position), one of the following will occur: • If there is a train at one of the platforms on tracks 10NAT or 8NAT, the BNSF train will be derailed by 49D and signal and CAB operation on the adjacent tracks 28T and 16-32T will cease , or • If there is no train at the platforms on tracks 10NAT or 8NAT, the BNSF train will be clear up to the buffer stop at the end of tracks 10NAT and 8NAT.

6. It is noted that if a BNSF train is derailed by derailer 49D, it will most likely foul track 28T (NW Line/ Gold Line track #1). This fact was taken into consideration in the decision to protect the overrun of signal 8S with derailer 49D only if there is a train occupying either track 10NAT or track 8NAT. Thus, a train overrunning signal 8S will be derailed by 49D only if there is a train ahead on one of the platform tracks ahead.

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APPENDIX NUMBER 1 RTD COMMUTER RAILROAD PTC SEGMENTS

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SWD GOLD LINE NWD TRK 8 NWES DUS TERMINAL NWES / GOLD TRK 2 3

TRK 7 GOLD NWES / GOLD TRK 1

TRK 6 GOLD 3 TRK 5 SKI TRAIN AMTRAK / UP (WEST) N METRO TRK 2

TRK 4 AMTRAK AMTRAK / BNSF (EAST) N METRO TRK 1 NWE SEGMENT 2 TRK 3 DUS AMTRAK LEAD CRMF

TRK 2 EAST CORRIDOR UPRR

TRK 1 EAST CORRIDOR

CRMF / EAST CORRIDOR 1 NWD

EAST CORRIDOR TRK 2

EAST CORRIDOR TRK 1

Positive Train Control LEGEND I-ETMS PTC / ATC Systems Non-Signaled Yard (Tenet) Future RTD Commuter Rail Expansion I-ETMS PTC System (no ATC) Non-electrified Track (no OCS) CRMF Non-Signaled Yard Track Commuter Rail Station

Systems In-Service Activation Order 12.23.11 No scale #

(The illustration will be attached as an 11”X 17” fold-out within the document. See full size Excel file for details)

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RTD COMMUTER RAIL PTC SEGMENTS - APPENDIX 1

APPENDIX NUMBER 2 RTD COMMUTER RAILROAD GOLD LINE SEGMENT

Page 41

to DUS Track #2 6 7 8 9 10

to NWES Track #1

Segment REF# CP Station HWY GR XING X Interop CHAINING STA 6 Pecos 218+14 GL West 60th Ave. 237+04 2S-4S Sta. Holding 263+00 Federal Blvd (P) 266+27 2N-4N Sta. Holding 269+55 Lowell Blvd. BNSF 297+63 Tennyson St. BNSF 324+01 2S-4S Sta. Holding 335+60 Sheridan (P) 339+16 7 Ralston 372+00 Lamar St. BNSF 391+62 Saulsbury St. BNSF 415+19 Vance St. BNSF 425+07 4S Sta. Holding 426+00 Olde Town 428+75 4S Sta. Holding 431+50 Old Wadsworth Blvd BNSF 432+23 Allison/Zephyr St. BNSF 444+14 Balsam St. BNSF 452+74 8 Balsam 454+54 Carr St. BNSF 459+74 Garrison St. BNSF 487+26 Independence St. BNSF 500+91 2S-4S Sta. Holding 515+00 Arvada Ridge (P) 518+00 2N-4N Sta. Holding 521+00 Miller St. BNSF 527+98 9 Miller 532+52 Parfet St. BNSF 547+67 Robb St. BNSF 561+17 Tabor St. BNSF 576+18 Ward Road (P) 582+33 10 Ward Road 590+36

X Interop = HWY GR XING Warning System controlled by RTD includes freight railroad (P) = pedestrian grade crossing at station

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GOLD LINE SEGMENT - APPENDIX 2

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APPENDIX NUMBER 3 RTD COMMUTER RAILROAD EAST CORRIDOR SEGMENT

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Track #2

To DUS 1 2 3 4 5 6 7 8 9 10

Track #1

Segment REF# CP Station HWY GR XING X Interop CHAINING STA EAST 1 Bright 135+20 38th & Blake (P) 176+10 York/Josephine St. 220+04 Clayton St. UP 238+98 Steele St. UP 251+22 2S-4S Sta. Holding 269+12 Colorado (P) 274+62 2N-4N Sta. Holding 280+12 Dahla st. UP 302+20 Holly St. UP 329+11 Monaco Pkwy UP 356+38 2 Quebec 376+30 Quebec St. UP 382+90 Ulster St. UP 409+51 2S-4S Sta. Holding 414+14 Central Park (P) 416+95 3 Sand Creek 440+25 Havana St. UP 489+81 Peoria (P) 533+60 2N-4N Sta. Holding 539+64 4 Sable 622+25 Sable Blvd. UP 623+23 Chambers Rd. UP 650+91 5 Chambers 649+50 6 40th 745+00 40th & Airport (P) 752+27 48th Ave 802+96 7 61st 900+50 Tower Road 986+03 8 Pena 1083+50 9 78th 1223+80 10 DIA 1284+50 Airport 1303+48 X Interop = HWY GR XING Warning System interconnected with freight railroad Warning System (P) = pedestrian grade crossing at station

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EAST CORRIDOR SEGMENT - APPENDIX 3

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APPENDIX NUMBER 4 RTD COMMUTER RAILROAD NORTHWEST ELECTRIFIED SEGMENT

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to DUS Track #2 1 2 3 4 5 6

to Gold Line

7 Track #2 CRMF Track #1

Track #1

Segment REF# CP Station HWY GR XING X Interop CHAINING STA NWES 1 38th 74+18 2 41st 81+24 41st (P) 82+77 3 CRMF South 120+81 4 CRMF Pocket North 140+89 5 CRMF North 160+75 Pecos Avenue 207+31 6 Pecos 218+14 S. Westminster 305+10 7 S. Westminster 307+47

X Interop = HWY GR XING Warning System controlled by RTD includes freight railroad (P) = pedestrian grade crossing at station

NORTHWEST ELECTRIFIED SEGMENT - APPENDIX 4

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APPENDIX NUMBER 5 Denver Union Station Terminal Track Layout

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DENVER UNION STATION TERMINAL TRACK LAYOUT - APPENDIX 5

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APPENDIX NUMBER 6 Employee Timetable

Note to FRA reviewer: The employee turntable has not been included in this redline version of the updated PTC IP due to its large size. The employee timetable has been included in its entirety in the “clean” version of the updated PTC IP.

APPENDIX NUMBER 7 Information required by the Positive Train Control Enforcement and Implementation Act of 2015

The tables that follow provide the information required by the Positive Train Control Enforcement and Implementation Act of 2015.

Spectrum

Spectrum (if required) Year Acquired Year Available for Use RTD is authorized to use the necessary 4.9 GHz 2012 2012 (Public Safety) spectrum required for the operation of its PTC data communications system.

Hardware Installation Installed Installed Total Amount That Will Major Hardware Installed by Installed by by End of by End of Be Installed for PTC Category End of 2015 End of 2017 2016 2018 Implementation

Locomotives

50 164 NA NA 6654 On-board Apparatus Locomotive Radios 50 164 NA NA 5466

Total Number of 50 164 NA NA 5466 Locomotives to be Fully Equipped Infrastructure

Physical Back Office 1 NA NA NA 1 System Equipment

Infrastructure (Wayside – by Subdivision or Installation Segment)

Subdivision / Installation Segment: East Corridor

Wayside Interface 42 NA NA NA 42 Units Communication 31 NA NA NA 31 Towers or Poles Switch Position 0 NA NA NA 0 Monitors Wayside Radios 0 NA NA NA 0

Base Station Radios 62 NA NA NA 62

Subdivision / Installation Segment: Gold Line

Wayside Interface 19 NA NA NA 19 Units Communication 8 NA NA NA 8 Towers or Poles Switch Position 0 NA NA NA 0 Monitors Wayside Radios 0 NA NA NA 0

Base Station Radios 16 NA NA NA 16

Subdivision / Installation Segment: Northwest Electrified Segment

Wayside Interface 17 NA NA NA 17 Units Communication 11 NA NA NA 11 Towers or Poles Switch Position 0 NA NA NA 0 Monitors Wayside Radios 0 NA NA NA 0

Base Station Radios 22 NA NA NA 22

Employee Training Total Number of Employee Training by 2015 2016 2017 2018 Employees Required to Calendar Year Receive Training Total number of 35 67 NA NA 102 employees that will receive training by the end of the calendar year

Interoperability Plans for Interoperability RTD is not an interoperable I-ETMS railroad, thus no interoperability testing is planned.

Plan Submissions PTC Development Plan Submission: FRA-TA-2011-02-C PTC Safety Plan Submission: Before 31Dec2016

RTD PTCIP – RFA

Attachment B: Clean version of the updated RTD IP, Revision 2.3

Denver Regional Transportation District

Commuter Rail Network PTC Implementation Plan (PTCIP)

Revision 2.3 Submitted in fulfillment of FRA Regulations Part 236, Subpart I, Section 236.1011 et.al.

Revision History

Version Date By Summary “Final” 5/22/2103 Xorail First FRA submission 2.3 January 21, 2016 Xorail Incorporated MTEA, added information required by the Positive Train Control Enforcement and Implementation Act of 2015, added employee timetable, changes related to updating project status, other minor edits

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TABLE OF CONTENTS PAGE 1. Introduction ...... 1 1.1. RTD Overview ...... 2 1.2. RTD Organizational Relationship...... 6 1.3. Request for Amendment of a PTCIP [§ 236.1009(a) (2) (ii)]...... 7 1.4. Goals and Objectives ...... 7 1.4.1. Immediate Goals ...... 8 1.5. Success Criteria ...... 8 1.5.1. Project Term Measurement ...... 8 1.5.2. Objectives ...... 9 1.6. Applicability ...... 10 1.7. Document Overview ...... 11 1.8. Acronyms and Definitions ...... 12 2. Applicable Documents ...... 15 3. Technology [§ 236.1011(a) (1)] ...... 15 3.1. General ...... 15 3.2. I-ETMS Description...... 15 3.2.1 Wayside Segment ...... 16 3.2.2 On-board Segment ...... 16 3.2.3 Office Segment ...... 17 3.3. FRA Interface and Description ...... 17 4. Compliance [§ 236.1011(a) (2)] ...... 17 4.1 Type Approvals ...... 17 4.2 PTCDP ...... 18 4.3 Certification and PTCSP ...... 18 4.4 Project Risk ...... 18 5. Interoperability [§ 236.1011(a) (3)] ...... 18 6. Installation Risk Analysis [§ 236.1011(a) (4)] ...... 18 7. Deployment Sequence [§ 236.1011(a) (5)] ...... 18 7.1 Segment Traffic Characteristics Estimates ...... 19 7.2 Segment Operational Characteristics ...... 19 7.3. Segment Route Attributes ...... 20 8. Rolling Stock [§ 236.1011(a) (6)] ...... 21 8.1 Rolling Stock To Be Equipped ...... 21 8.2 Schedule ...... 21 8.3 UP, BNSF and Amtrak Railroads ...... 22 8.4. PTC Implementation [§ 236.1011(a)(6)(iii)] ...... 22 9. Wayside Devices [§ 236.1011(a) (7)] ...... 22 9.1 Power Switches ...... 23 9.2 Master Location ...... 24 9.3 Passenger Station Holding Signals; Controlled Master Location (CML) ...... 24 9.4 Highway Grade and Station Pedestrian Crossing Warning Systems ...... 25 10. Designated Track as Main Line or Non-Main Line [§ 236.1011(a) (8)] ...... 26 11. Exceptions To Risk-based Prioritization [§ 236.1011(a) (9)] ...... 26 12. Strategy For Full System PTC Deployment [§ 236.1011(b)] ...... 26 13. PTCDP and PTCSP Submittal Dates [§236.1011(a)(10)] ...... 26 14. Main Line Track Exclusion Addendum [§ 236.1019] ...... 26 APPENDIX NUMBER 1 ...... 29 APPENDIX NUMBER 2 ...... 31

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APPENDIX NUMBER 3 ...... 33 APPENDIX NUMBER 4 ...... 35 APPENDIX NUMBER 5 ...... 37 APPENDIX NUMBER 6 ...... 39 APPENDIX NUMBER 7 ...... 41

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1. Introduction This document is the Positive Train Control Implementation Plan (PTCIP) for the new Denver Regional Transportation District’s (RTD) Commuter Rail (CR) Network. This is a completely new commuter rail system, on which revenue service is scheduled to begin in early 2016. RTD is required to and will deploy PTC on all of its passenger rail mainline tracks. The new system will encompass a Centralized Traffic Control (CTC) signal system and utilize the train control appliances PTC, Cab Signal System (CSS), and Automatic Train Control (ATC) which will be installed on each line segment of the project including the Denver Union Station (DUS) terminal. Refer to Mainline Track Exclusion Addendum (MTEA) of section 14 of this document for detail of the DUS terminal and non-PTC operations of the tenant railroads. The RTD PTC System will comply with the Federal Railroad Administration (FRA) Regulations for PTC per Reference [1]. In addition, and in support of the operation of the new CR network, RTD will establish Rules, Standards and Instructions that will govern the installation, inspection, maintenance and repair of the signal and train control systems, devices and appliances according to 49 CFR Part 236 Subpart A through Subpart G. RTD will operate commuter rail throughout the greater Denver area, and as such, is required to implement a full deployment of PTC throughout all mainline tracks in its CR System. RTD will fulfill all PTC requirements as required for a host railroad, within the project completion timeframe. This PTCIP will also outline the RTD’s deployment of PTC using the WABTEC Interoperable Electronic Train Management System (I-ETMS®) and provide the schedule for PTC installation and activation. RTD will utilize the UP/NS/CSXT-authored I-ETMS Positive Train Control Development Plan (PTCDP) of Reference [2] and the Type Approval of Reference [3] with any variations in RTD’s final PTC implementation accounted for in the RTD Positive Train Control Safety Plan (PTCSP) and related documents. Included within this PTCIP is RTD’s strategy for PTC deployment throughout the CR System. The schedule for this PTC installation and activation is defined in Section 7 (Deployment Sequence) of this document. The Denver RTD CR System will meet the FRA requirements for a PTC System, per FRA §236.1005. The PTC system will provide the statutory functionality required under §236.1005, utilizing a combination of wayside, onboard subsystems, communications networks, and control center systems. Section 3 (Technology) of this PTCIP contains the description of the PTC functions. The PTC system will be based on the Wabtec Interoperable Electronic Train Management System (I-ETMS). RTD operation is governed by RTD Operating Rules and the RTD Employee Timetable. General Orders are issued from time-to-time, which can modify the governing rules. The maximum authorized speed throughout the PTC CR mainline shall vary depending on location. Refer to the RTD CR Timetable provided herein. Maximum operating speed for the East Corridor, Gold Line and Northwest Rail Corridor will be 79 MPH, while DUS terminal operation maximum operating speed will be limited to 15 MPH due to the switch turn out and cross-over sizes. The information required by the Positive Train Control Enforcement and Implementation Act of 2015 has been provided herein as Appendix 7.

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The Denver RTD CR System encompasses three mainline segments which emanate from the Denver Union Station (DUS) and one Commuter Rail Maintenance Facility (CRMF). The three mainline segments consist of the Gold Line, East Corridor and the Northwest Electrified Segment. The CRMF is located on the Gold Line/Northwest Electrified Segment between Pecos and DUS. The East Corridor will operate from Denver International Airport (DIA) to Denver Union Station (DUS), a distance of 23.2 miles. The Gold Line will operate from the western suburbs to Denver Union Station, a distance of 11.4 miles. A starter segment of the Northwest Electric Rail corridor concurrent with the Gold Line will operate separately for an additional two miles. The scope of the project is to deliver and operate the entire rail system, from civil works and structures right through to the Electric Multiple Unit (EMU) vehicles and related systems. The operating duration of the project is 29 years following construction, with the design and construction phase scheduled for approximately 6 years.

Figure 1.1.1 – Systems Map

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Figure 1.1.2 – Gold Line Segment

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EAST CORRIDOR The East Corridor (illustrated in Figure 1.1.3) is a 23.2-mile electrified commuter rail transit corridor between DUS and Denver International Airport (DIA). The East Corridor serves as a connection between these two important destinations and travels through the adjacent industrial, residential, and new development areas. The line has six intermediate stations, located at 38th/Blake, Colorado, Central Park Boulevard, Peoria / Smith, and 40th/Airport and Peña before terminating at DIA. The inbound (south) track is designated as Track #2 and the outbound (north) track is designated as Track #1. The signal system encompasses 11 CP’s, 12 at-grade highway grade crossings and 6 pedestrian crossings. The pedestrian crossings are located at the following stations: 38th & Blake, Colorado, Central Park, Peoria and 40th/Airport and Peña. Of the 13 at-grade highway crossings warning systems, 11 interconnect with the UP freight operations. Final Design began in 2010, and construction was initiated 2011 by DTP, which has a 34-year agreement with RTD to design, build, finance, operate and maintain these corridors. Opening day on the East Corridor is scheduled for 2016. The East Corridor was approved by the Federal Transit Administration (FTA) on November 6, 2009, when the FTA issued a Record of Decision.

Figure 1.1.3 – East Corridor

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NORTHWEST ELECTRIFIED SEGMENT The Northwest Electrified Segment (NWES) is signified as the Minimum Operating Segment (MOS) of the Northwest Rail Corridor. The Northwest Corridor (illustrated in Figure 1.1.4) will total 41 miles of high capacity, fixed guide-way transit corridor from DUS to Longmont, passing through North Denver, Adams County, Westminster, Broomfield, Louisville, and Boulder. The CR MOS Northwest Electrified Segment is double track operation between DUS and Pecos. Between Pecos and South Westminster the CR MOS Northwest Electrified Segment is single track operation. The MOS has three stations (41st & Fox, Pecos, and South Westminister) and seven control points. There is one private at-grade highway crossings and one pedestrian station crossings along the NWES MOS Segment.

Figure 1.1.4 – Northwest Rail Corridor

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DENVER UNION STATION (DUS) The DUS is the termination point for all three inbound RTD CR Lines. The track layout of DUS terminal is provided in Appendix 5. Three (3) tracks, numbered 6 through 8 are designated for the consolidation of the CR Gold Line (GL) and Northwest Electrified Segment (NWES); three (3) tracks, numbered 1 through 3, for the CR East Corridor and two (2), Tracks 4 and 5 for Amtrak Passenger service. Following their junction at Pecos; the Gold Line and Northwest Electrified Segment share two tracks southward to DUS. The two CR inbound electrified tracks enter the terminal from the southbound combined Northwest Electrified Segment and the Gold Line. The remaining two CR inbound electrified tracks enter DUS from the East Corridor (EC) southbound from the Denver International Airport (DIA). Six additional inbound tracks utilize DUS terminal to permit Amtrak passenger operations and future RTD North Metro CR as well as switching operations for Burlington Northern Santa Fe locomotives. There are no plans for Union Pacific switching operations.

Commuter Rail Maintenance Facility (CRMF) The CRMF will be designed, constructed and operated to provide the necessary facilities in support of repairs, maintenance, cleaning and storage of the CR EMU fleet and associated Maintenance of Way equipment. The CRMF will be constructed to accommodate the new dispatching center and Back Office Server (BOS). The CRMF site, covering approximately 24.3 acres, is located northwest of downtown Denver, adjacent to the NWES alignment. The site is north of the I-70/I-25 interchange at the intersection of West 48th Avenue and Fox Street. The CRMF yard contains enough tracks to encompass the entire fleet assigned to the CR Eagle P3 Project and future North Metro EMU equipment.

1.2. RTD Organizational Relationship This subsection outlines the management organizational structure of the project. It briefly describes the responsibilities of all entities involved in the implementation as well as the administrative and managerial aspects of CR organization, sub contracted organizations, quality assurance organization and any other organizational entity interfacing with the project. This subsection defines RTD’s CR Project Management approach and summarizes the strategy for the deployment of PTC. The design, installation and operation of the new RTD CR System is known as the Eagle P3 Project. The CR is being delivered and operated under a concession agreement that RTD has entered into with a "Concessionaire" that has been selected through a competitive proposal process. The selected Concessionaire is known as Denver Transit Partners (DTP), a special purpose company owned by Fluor Enterprises, Uberior Investments and Laing Investments. The CR Project concession agreement requires DTP to design-build-finance-operate-maintain (DBFOM) the East Corridor, Gold Line, Northwest Electrified Segment - (Initial portion of the Northwest Rail Corridor), Denver Union Station (DUS) and Commuter Rail Maintenance Facility (CRMF) project under a single contract. RTD will retain all assets while shifting much of the risk of designing and building the project to DTP. DTP is the integrator responsible for the Request for Proposal that is the basis for the Systems Vendor and for establishing the vendor’s scope of work, schedule and budget. Key DTP personnel will follow the PTC Program through the vendor process and will oversee the tasks of the vendor throughout the PTC implementation process of design, procurement, installation, integration testing and commissioning in order to assure contract compliance. In addition, DTP will assure that the RTD PTC System is in full compliance with the applicable FRA regulations. The DTP organization is illustrated in Figure 1.2.1. DTP’s organization is dynamic since PTC is a new system-wide project application for the design, construction and operation and maintenance of the new CR System.

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Regional Transportation District

Project Director

O&M GM Project Manager

Systems & Vehicle Systems Infustructure Maintenance Project Manager Integration Project Manager Manager

Denver Transit Partners (Concessionaire) Denver Transit Operators (O&M Contractor) Denver Transit Constructors (D/B Subcontractor)

Denver Transit Systems Rolling Stock Supplier (D/B Contractor)

Figure 1.2.1

Denver Transit Operators (DTO) will operate and maintain the rail vehicles for the three commuter rail corridors. The proposed rail vehicles are “Silverliner V’s” similar to the vehicles being supplied to the Southeastern Pennsylvania Transportation Authority (SEPTA) in Philadelphia. DTO will also operate and maintain everything Denver Transit Constructors (DTC) designs and builds, assuring safe and reliable commuter rail service.

1.3. Request for Amendment of a PTCIP [§ 236.1009(a) (2) (ii)] All RTD PTCIP Request for Amendments (RFA) will include the requirements of §236.1021. All proposed changes to the RTD PTCIP will be provided to all RTD tenant railroads.

1.4. Goals and Objectives This section describes the overall goals and objectives of DTP to design, build and maintain PTC throughout Denver’s new CR System.

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1.5. Success Criteria Presently, because the RTD CR lines do not exist, the success criteria information is not available. As such, RTD will describe how to measure success for both project term goals and of implementation, as well as future goals. This will identify and describe the matrix that will be applied to monitor progress when compared to the intended PTCIP. Methods of communication with the FRA will be described with special consideration as to when a line segment will be declared fully operational.

1.5.1. Project Term Measurement Completion of the Denver CR Project is scheduled for late 2016 (illustrated below in Figure 1.5.1). The East Corridor is scheduled for revenue service in early 2016, followed by the North West Electrified Segment and concluding the project with the Gold Line.

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Figure 1.5.1

1.5.2. Objectives The primary objective of the PTC system is to provide a system which will fulfill the requirements of CFR Part 236, Subpart I. The system will be available, reliable and maintainable. 1.5.2.1 Availability The PTC System, operating in concert with a Computer Aided Dispatch (CAD) system, will consist of the five (5) subsystems listed below:  A Back Office Server  On-board System  Wayside System  Communications Network  Employee-in-Charge System (EIC)

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§236.1029. In the event of loss of BOS or on-board PTC control capability for a portion of or the entire system area, the dispatching, communications, and signal control system will be capable of functioning with an underlying Automatic Train Control (ATC)/Cab Signal System (CSS) mode of operation in accordance with the requirements of §236.1029 The fault tolerance capability of the system will be provided via hardware and software mechanisms and the following prime components will have redundant and /or fail safe characteristics: 1) Dispatching/Train Control Servers and stations 2) Communications Servers and links 3) Database Servers 4) Local and Wide Area Networks 5) Individual Software Process Failovers

1.6. Applicability This section will provide pertinent information for RTD’s CR network for the purpose of PTC implementation for which the PTCIP applies, including applicable mapping depicting the information. The following will be identified, if applicable, for all designated track segments according to revenue service at the completion of the RTD CR Project:  All mainline tracks  Annual volume of traffic (PSGR in trains/day) The RTD CR Project will be a Commuter Rail Passenger operation with freight and Amtrak as tenants within the DUS Terminal only. Refer to section 14 of this document for the RTD MTEA for the DUS Terminal. Table 1 displays the track segments and characteristics. Appendix 1 illustrates detailed Commuter Rail PTC segments in a non-scaled single line track diagram. Table 1 - Track Segments and Characteristics from to PSGR Number of SEGMENT Description Trains Location M.P. Location M.P. Miles per Day RTD Trains will operate with PTC South End 0.0 North End 1.8 /ATC/CSS 1.8 322 of CP of CP Terminal operation for all moves at DUS restricted speed. Freight and Terminal Amtrak will operate using GCOR rules for all moves at restricted speed. Section 14 contains a MTEA for the DUS. PTC / ATC/CSS North End 1.8 CP 12.4 Between CP Bright and CP 10.6 144 CP DUS CHAMBERS Chambers; CR HWY GR XINGS interconnected with UP HWY GR East Corridor XINGS.

CP 12.4 CP 24.6 PTC / ATC/CSS 12.2 CHAMBERS DIA 144 Gold Line PTC / ATC/CSS North End CP Between Federal Blvd and Ward 131 4.1 CP PECOS Ward Road 11.3 Road Stations CR HWY GR 7.2

(NWES) XINGS interconnected with BNSF HWY GR XINGS. NWES / Gold North End CP 1.8 4.1 2.3 Line CP DUS PECOS PTC / ATC/CSS 178

CP CP PECOS NWES 4.1 South 5.8 PTC / ATC/CSS 1.7 47

Westminster

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2. Applicable Documents This section provides a complete list of all the documents and other sources referenced in the PTCIP as follows: [1] 49 CFR §236 Subpart I, Positive Train Control Systems Final Rule published January 15, 2010. [2] CSX, NS and UP I-ETMS PTCDP Version 3.0, Dated November 13, 2014 [3] FRA Type Approval FRA-TA-2011-002-C

3.1. General RTD will be implementing I-ETMS. In addition, RTD will overlay a cab signal system (CSS) in support of Automatic Train Control (ATC). The CSS will provide aspects for block signaling and ATC functionality. This PTC system package is referred to by RTD as the I-ETMS system. The ATC/CSS and PTC systems will provide for safe train separation, signal speed enforcement and the other required PTC functions. The two systems (ATC/CSS and I-ETMS) are functionally independent, although they do report status and transfer certain data between them. Within DUS, freight and Amtrak trains will operate without PTC/ATC/CSS system using GCOR rules while RTD trains will use the PTC/ATC/CSS for movements at restricted speed. All electrified multiple unit cars (EMU) will be equipped with I-ETMS onboard systems. The Rail Operations Control Center will be the center of the RTD I-ETMS PTC system, providing the Dispatcher interface, the necessary servers, and interfaces to the wayside systems.

3.2. I-ETMS Description I-ETMS is designed to be a PTC system which is overlaid on ATC/CSS system. The RTD PTC System is that described in the PTCDP of Reference [2] and the Type Approval of Reference [3] with any variations in RTD’s final PTC implementation accounted for in the RTD PTCSP and related documents.

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requirements for PTC systems as identified in §236.1005(a) PTC System Requirements. Each PTC system required to be installed under this subpart shall: (1) Reliably and functionally prevent: i. Train-to-train collisions—including collisions between trains operating over rail-to-rail at-grade crossings ii. Over speed derailments, including derailments related to railroad civil engineering speed restrictions, slow orders, and excessive speeds over switches and through turnouts; iii. Incursions into established work zone limits without first receiving appropriate authority and verification from the dispatcher or roadway worker in charge, as applicable and in accordance with 49 CFR part 214. iv. The movement of a train through a main line switch in the improper position as further described in §235.1005(e). (2) Include safety-critical integration of all vital authorities and indications of a wayside or cab signal system, or other similar appliance, method, device, or system of equivalent safety, in a manner by which the PTC system shall provide associated warning and enforcement to the extent, and except as, described and justified in the FRA approved PTCDP or PTCSP, as applicable; (3) As applicable, perform the additional functions specified in this subpart; (4) Provide an appropriate warning or enforcement when: i. A derail or switch protecting access to the main line required by § 236.1007, or otherwise provided for in the applicable PTCSP, is not in its derailing or protecting position, respectively; ii. A mandatory directive is issued associated with a highway-rail grade crossing warning system malfunction as required by §§ 234.105, 234.106, or 234.107; iii. An after-arrival mandatory directive has been issued and the train or trains to be waited on has not yet passed the location of the receiving train; iv. Any movable bridge within the route ahead is not in a position to allow permissive indication for a train movement pursuant to § 236.312; and v. A hazard detector integrated into the PTC system that is required or otherwise provided for in the applicable PTCSP, detects an unsafe condition. (5) Limit the speed of passenger and freight trains to 59 miles per hour and 49 miles per hour, respectively, in areas without broken rail detection or equivalent safeguards.

3.2.1 Wayside Segment The wayside components will be installed and integrated with the designed Control Points, Master Locations and communications network. These wayside components include the Wayside Interface Unit (WIU), data radio, and interfaces to the signal logic and communications network, along with any necessary supporting equipment (power supplies, Wayside Message Server (WMS), etc.). Additional wayside components include data radio antenna installations based upon site specific requirements determined during system design. In addition, a cellular data communications will be implemented as a backup to the PTC data radio.

3.2.2 On-board Segment The On-board components will be installed and integrated with the EMU. Specifically, the Wabtec onboard segment equipment will interface with the cab signal system, crash hardened event recorder and PTC engineer displays. Display location will be analyzed and established as part of the detailed installation procedures submitted in the final PTCSP. These components include; the Cab Signal system, I-ETMS system, Crash Hardened Event Recorder (CHER), Computer Display Unit (CDU), GPS System, mobile data radio, and interfaces to the car network. Additional On-board components include data radio antenna installations based upon vehicle specific requirements determined during system design.

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3.3. FRA Interface and Description RTD will utilize the Type Approval of Reference [3] for the approved I-ETMS PTCDP of Reference [2]. Any variations in RTD’s final PTC implementation from the Reference [2] PTCDP will accounted for in the RTD PTCSP and related documents.

4. Compliance [§ 236.1011(a) (2)] This section describes how RTD will comply with §236.1009 (c) and (d), and achieve a PTC System Certification from the FRA. A PTC System Certification must be received before deploying the RTD PTC System in revenue service. The PTC System Certification will be received prior to activation of revenue service on the Commuter Rail System. In addition, this section will describe any identified or potential risks or other items that could create or suggest increased difficulty in the successful design and installation of the PTC System prior to revenue service. RTD’s description of the process planned for achieving the FRA Certification will encompass the following: a) How RTD will utilize any existing Type Approval and/or PTCDP being applied to the PTC system installed. b) Certify validity of the Type Approval previously granted by FRA c) How RTD will handle PTCDP and/or Type Approval process regarding unique aspects pertaining to RTD’s system. d) Deliverables supplied to FRA to support petition for Certification. e) Describe how RTD will utilize the approved PTCDP. RTD is a publicly owned transportation agency and aware that it is subject to Federal and State public procurement requirements. The design and installation of the PTC System will be obtained through the DTP design and installation Vendor/Integrator (V/I). The vendor is WABTEC/Xorail and the integrator being the installation team with Denver Transit Constructors (DTC). The V/I awarded the task was selected subject to Public Agency procurement requirements. The V/I will be responsible for the detailed design, procurement, installation, factory and field testing, and commissioning of the PTC systems in conformance with the RTD mandated sequence of line segment construction and associated schedule. The project will be managed as a DBFOM by the DTP on behalf of RTD. The V/I will develop any Type Approval Variance document and the PTCSP which will be approved by the DTP prior to RTD submitting the documents to the FRA. Simultaneously, the V/I will develop the PTCSP and coordinate with the Denver Transit Partners (DTP) team who will be responsible for composing the Operating Rules, coordinating arrangements regarding railroad operations, and requesting waivers to permit testing of the system and associated components. RTD is responsible for entering into operational agreements with the tenant railroads, The V/I will develop all test plans for factory (pre-test) and commissioning, develop and provide training for all applicable employees, develop and provide Operations and Maintenance (O&M) Manuals, provide safety certification for all products as well as the over-all system. DTP, on behalf of RTD, will review all plans and upon acceptance will forward to RTD. Approval of these submittals, including a field test request, will permit the start of testing to obtain certification. Upon DTP systems test completion, RTD will submit the PTCSP to the FRA for certification. All V/I systems testing results and associated reports will be included within the PTCSP.

4.1 Type Approvals The PTC system furnished by the V/I will be required to comply with all the regulatory requirements. RTD will be referencing Type Approval of Reference [3].

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4.2 PTCDP RTD will be referencing the I-ETMS PTCDP of Reference [2]. The system product lines shall meet the definitions of Vitality or Safety Critical as defined in Appendix C to Part 236 – Safety Assurance Criteria and Processes. The aforementioned FRA approved PTCDP will be utilized by the V/I on behalf of RTD. The PTCDP will reference the detailed discussion of the technology which will be employed by the V/I to meet the requirements defined in the PTCIP.

4.3 Certification and PTCSP RTD Commuter Rail network is a new installation for which RTD will submit a PTCSP to the FRA in 2016 to obtain PTC System Certification. The RTD Commuter Rail network will not be used in revenue service until PTC System Certification is received from the FRA.

4.4 Project Risk RTD Commuter Rail network is a new installation; therefore, no project risk will be encountered. The PTC implementation will not impose a risk to the Commuter Rail Network.

5. Interoperability [§ 236.1011(a) (3)] This section describes how the PTC system will provide for operational interoperability between RTD, BNSF and Amtrak within the limits of the Denver Union Station (DUS) terminal facility. DUS is the only segment that the tenant railroads will traverse. PTC interoperability within the DUS is not required because RTD has reached agreement with BNSF and Amtrak for operations within DUS under an MTEA in accordance with Part 236.1019. Refer to section 14 of this document.

7. Deployment Sequence [§ 236.1011(a) (5)] Not applicable. The RTD Commuter Rail System has yet to be built. The PTC system will be implemented on each section of the RTD system as it is constructed and placed into service. Refer to Appendix #1 for the Systems In- Service Activation order. Based on the track construction schedule, the Commuter Rail East Corridor has been selected by DTP as the segment to be utilized for the Pilot Program. Following the completion of all ROW construction and testing, test trains will operate between the CRMF and DIA via DUS. Following the revenue service of the East Corridor will be the Northwest Electrified Segment and finally the Gold Line.

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7.2 Segment Operational Characteristics The matrix, shown below, encompasses the synopsis of RTD’s proposed Method of Operation for each line for the Commuter Rail Network. The East Corridor, Northwest, and Gold Line will operate independently of the BNSF and Union Pacific freight lines. Highway grade crossings warning devices on the East Corridor (and Lowell and Tennyson on Gold Line) will be shared with the Union Pacific Railroad. UPRR is responsible for the installation and maintenance of the grade crossing warning equipment installed on UPRR ROW. Highway grade crossing warning devices on the Gold Line will be shared with BNSF; however, RTD will maintain all grade crossing operational wayside equipment and associated FRA mandated testing. Within the limits of CP DUS; Union Pacific Railroad has abandoned all rights to operate into DUS as part of the Denver RTD Union Station Purchase Agreement. UPRR can; upon request and approval of RTD, obtain passenger train access for an Office Car and/or an excursion train. Inter-operational agreement with BNSF allows the operation and routing of locomotives in DUS to obtain shifting access to the diesel shop north of DUS. Approximately 500 feet will be allotted for these shifting moves. Amtrak trains also retain operating rights to enter DUS. Amtrak and BNSF will operate into DUS at restricted speed under the direction of the RTD Dispatcher.

East Corridor Gold Line Gold / NWE Northwest DUS (DUS – Electrified PECOS) Segment Method of RTD – Traffic Operation Control System Traffic Control Traffic Control Traffic Control Traffic Control System (TCS) System (TCS) System (TCS) System (TCS) Tenant Railroads – Restricted Speed per Operating Rules Maximum 79 79 79 79 15 (all trains) Operating Speed Number of 2 2 2 2 8 Tracks

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7.3. Segment Route Attributes

East Corridor - Inbound 5180.32 0.12% 5330.49 150.17 23.2 4.00 0.00 2.00

NWES - Outbound 5180.89 0.33% 5274.91 94.02 5.9 4.00 0.00 2.00

NWES - Inbound 5180.49 0.33% 5274.91 94.42 5.9 4.00 0.00 2.00

Gold Line - Outbound 5203.17 0.74% 5481.38 278.21 7.2 4.00 0.00 2.00

Gold Line - Inbound 5207.17 0.73% 5482.02 274.85 7.2 4.00 0.00 2.00

Mainline Segment Curvature

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8.1 Rolling Stock To Be Equipped DTP is procuring 54EMUs for the Commuter Rail operation. The EMUs are configured as married pair A and B units making a maximum of 27 train consists. All EMU commuter rail cars will be equipped with the I-ETMS PTC System, upon delivery, prior to testing and revenue service.

8.2 Schedule The DTP schedule will encompass groups of equipment, planned timeframe per group and any supporting tasks. The Base four Pilot Cars will be delivered to the site no later than April 2014, with the final Production Cars being delivered in 2015. Testing and commissioning of the Rolling Stock is due to commence immediately following delivery completion of the four Pilot Cars and will continue through to initial commencement of revenue service. The Revenue Service Target dates are as follows: 1) East Corridor 2nd Quarter 2016 2) NWES 3dQuarter 2016 3) Gold Line 4th Quarter 2016

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8.3 UP, BNSF and Amtrak Railroads Not applicable. All current RTD tenants have submitted their own PTCIP’s.

8.4. PTC Implementation [§ 236.1011(a)(6)(iii)] This will not be applicable due to all RTD locomotives will be PTC equipped and compliant at the time of commissioning for revenue service.

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= Control Point Name

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= Control Point Name

9.3 Passenger Station Holding Signals; Controlled Master Location (CML) The matrix below is a summary of all the Passenger Stations for the RTD Commuter Rail Network. Only those stations illustrated with green fill are integrated with the master locations that serve as Station Holding Signals monitored by the PTC System.

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9.4 Highway Grade and Station Pedestrian Crossing Warning Systems The following is a summary of all crossing warning devices some of which share crossing warning devices. Highway Grade Crossings will contain WIU’s as follows: East Corridor – 12 WIU’s; Gold Line – 16 WIU’s. Total 28 WIU’s.

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10. Designated Track as Main Line or Non-Main Line [§ 236.1011(a) (8)] This section provides the track segments that RTD identifies as main line and non-mainline track. Per section 14 of this document, RTD requests an MTEA for the DUS Terminal tracks to be designated as “other than main line” per the passenger terminal exception in accordance with § 236.1019. Refer to the RTD Employee Timetable Appendix herein.

12. Strategy For Full System PTC Deployment [§ 236.1011(b)] This section does not apply to RTD at this time.

13. PTCDP and PTCSP Submittal Dates [§236.1011(a)(10)] RTD intends on utilizing the I-ETMS PTCDP of Reference [2]. Any variances will be addressed in the PTCSP as prescribed by 236.1015(c)(2).

RTD’s I-ETMS PTCSP is planned to be submitted to the FRA before December 31, 2016.

14. Main Line Track Exclusion Addendum [§ 236.1019] A Mainline Track Exclusion Addendum (MTEA) is requested for the Denver Union Station (DUS) as defined in §236.1019 (b) Passenger Terminal Exception. As required, a track chart is provided by Appendix 5. The boundaries of all traffic are described in detail in this section.

Regarding §236.1019 (b) (2): Interlocking rules are in effect prohibiting reverse movements other than on signal indications without dispatcher permission.

§236.1019 (b) (3) (i): No freight operations are permitted. Refer to the Temporal Separation discussion below.

MTEA Limits The limits of the requested MTEA is the entire DUS as shown in the figure in Appendix 5 and include all track South (to the left in the figure) of the following signals: 32S, 28S, 8S, 42S, 40S, 38S, 34S, 22S and 20S.

RTD commuter rail trains from the North West Segment, East Corridor, and Gold Lines operate frequent trips in and out of the DUS along the double track shown at the top and bottom of the figure in Appendix 5. In addition, RTD trains may execute moves across the single track section utilized by Amtrak trains using the crossovers shown in the center of the figure in Appendix 5. RTD trains operate in the DUS under PTC supervision.

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1. BNSF trains approaching signal 8S on either the 36SAT or 30SAT fifty (50) foot approach tracks will be required to occupy that track for one (1) minute before the following will automatically take place, interlocking conditions permitting: • The points associated with the 4 crossovers in the center of the figure in Appendix 5 (switches 17A, 17B, 19A, 19B, 13A, 13B, 23A, 23B) will be aligned and locked normal. • Switch 29 will be aligned as required. • The derailer associated with the track occupied by the BNSF train (either 41D or 43D) will move to the non-derail position.

2. It is noted that derailer 49D will be in the derail position anytime a train is occupying either of the platforms on tracks 10NAT or 8NAT and in the non-derail position otherwise.

4. After visually determining that the appropriate derailer (41D or 43D) is in the non-derail position, the BNSF train may proceed up to the 8S signal but not beyond.

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APPENDIX NUMBER 1 RTD COMMUTER RAILROAD PTC SEGMENTS

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(The illustration will be attached as an 11”X 17” fold-out within the document. See full size Excel file for details)

RTD COMMUTER RAIL PTC SEGMENTS - APPENDIX 1

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APPENDIX NUMBER 2 RTD COMMUTER RAILROAD GOLD LINE SEGMENT

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GOLD LINE SEGMENT - APPENDIX 2

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APPENDIX NUMBER 3 RTD COMMUTER RAILROAD EAST CORRIDOR SEGMENT

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EAST CORRIDOR SEGMENT - APPENDIX 3

Page 34

APPENDIX NUMBER 4 RTD COMMUTER RAILROAD NORTHWEST ELECTRIFIED SEGMENT

Page 35

to DUS Track #2 1 2 3 4 5 6

to Gold Line

7 Track #2 CRMF Track #1

Track #1

X Interop = HWY GR XING Warning System controlled by RTD includes freight railroad (P) = pedestrian grade crossing at station

NORTHWEST ELECTRIFIED SEGMENT - APPENDIX 4

Page 36

APPENDIX NUMBER 5 Denver Union Station Terminal Track Layout

Page 37

DENVER UNION STATION TERMINAL TRACK LAYOUT - APPENDIX 5

Page 38

APPENDIX NUMBER 6 Employee Timetable

Regional Transportation District Commuter Railroad

Employee Timetable FRA Part 217.7

Revision 01 September 8, 2015

Prepared by

5151 Fox Street, Denver, Colorado 80216 / 720-460-5800

Revision History

Revision Revision Document Description of Changes Number Date Number

1 9/08/2015 First Final version of the document as per FRA requirement 49 None CFR Part 217.7

Commercial in Confidence / Employee Timetable / Rev. 1 Page 2 of 66

TABLE OF CONTENTS

Section Page

EMPLOYEE TIMETABLE ...... 6 LINE SPECIAL INSTRUCTIONS ...... 6 SYSTEM SPECIAL INSTRUCTIONS ...... 6 EMERGENCY INSTRUCTIONS ...... 6 EMPLOYEE OPERATING SCHEDULE BOOKLETS ...... 6 EAST CORRIDOR LINE SPECIAL INSTRUCTIONS...... 7 EAST 1 STATIONS EAST CORRIDOR LINE ...... 7 EAST 2 MAXIMUM AUTHORIZED SPEED – MAIN TRACKS EAST CORRIDOR LINE ...... 9 EAST 3 EQUIPMENT RESTRICTIONS EAST CORRIDOR LINE ...... 10 EAST 4 ELECTRICAL OPERATION EAST CORRIDOR LINE ...... 11 EAST 5 HIGHWAY GRADE/PEDESTRIAN CROSSINGS EAST CORRIDOR LINE ...... 12 EAST 6 LOCATION OF BULLETIN BOARDS, STANDARD CLOCKS & EMPLOYEE REGISTER EAST CORRIDOR LINE ...... 13 EAST 7 SIGNAL ASPECTS NOT COVERED BY RULE 9 EAST CORRIDOR LINE ...... 13 EAST 8 YARD AND YARD TRACKS EAST CORRIDOR LINE ...... 14 EAST 9 OTHER INSTRUCTIONS EAST CORRIDOR LINE ...... 14 GOLD LINE SPECIAL INSTRUCTIONS ...... 16 GOLD 1 STATIONS GOLD LINE ...... 16 GOLD 2 MAXIMUM AUTHORIZED SPEED – MAIN TRACKS GOLD LINE ...... 17 GOLD 3 EQUIPMENT RESTRICTIONS GOLD LINE ...... 18 GOLD 4 ELECTRICAL OPERATION GOLD LINE ...... 18 GOLD 5 HIGHWAY GRADE/PEDESTRIAN CROSSINGS GOLD LINE ...... 19 GOLD 6 LOCATION OF BULLETIN BOARDS, STANDARD CLOCKS AND EMPLOYEE REGISTER GOLD LINE ...... 20 GOLD 7 SIGNAL ASPECTS NOT COVERED BY RULE 9 GOLD LINE ...... 20 GOLD 8 YARD AND YARD TRACKS GOLD LINE ...... 20 GOLD 9 OTHER INSTRUCTIONS GOLD LINE ...... 20 NORTHWEST ELECTRIFIED SEGMENT LINE SPECIAL INSTRUCTIONS ...... 23 NWES 1 STATIONS NORTHWEST ELECTRIFIED SEGMENT LINE ...... 23

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NWES 2 MAXIMUM AUTHORIZED SPEED – MAIN TRACKS NORTHWEST ELECTRIFIED SEGMENT LINE ...... 24 NWES 3 EQUIPMENT RESTRICTIONS NORTHWEST ELECTRIFIED SEGMENT LINE ...... 25 NWES 4 ELECTRICAL OPERATION NORTHWEST ELECTRIFIED SEGMENT LINE ...... 26 NWES 5 HIGHWAY GRADE/PEDESTRIAN CROSSINGS NORTHWEST ELECTRIFIED SEGMENT LINE ...... 27 NWES 6 LOCATION OF BULLETIN BOARDS, STANDARD CLOCKS - AND EMPLOYEE REGISTERS NORTHWEST ELECTRIFIED SEGMENT LINE ...... 27 NWES 7 SIGNAL ASPECTS NOT COVERED BY RULE 9 NORTHWEST ELECTRIFIED SEGMENT LINE ...... 27 NWES 8 YARD AND YARD TRACKS NORTHWEST ELECTRIFIED SEGMENT LINE ...... 28 NWES 9 OTHER INSTRUCTIONS NORTHWEST ELECTRIFIED SEGMENT LINE ...... 30 SYSTEM SPECIAL INSTRUCTIONS ...... 32 SPECIAL INSTRUCTION A ...... 32 SPECIAL INSTRUCTION C ...... 32 SPECIAL INSTRUCTION G ...... 34 SPECIAL INSTRUCTION 1...... 34 SPECIAL INSTRUCTION 5...... 35 SPECIAL INSTRUCTION 7...... 35 SPECIAL INSTRUCTION 9...... 38 SPECIAL INSTRUCTION 15...... 39 SPECIAL INSTRUCTION 16...... 40 SPECIAL INSTRUCTION 21...... 41 SI APPENDIX – 1 SPEED TABLES ...... 42 SI APPENDIX – 2 RTDC RAILROAD OFFICIALS ...... 44 SI APPENDIX – 3 FREQUENTLY USED TELEPHONE NUMBERS ...... 46 EMERGENCY SPECIAL INSTRUCTIONS ...... 48 EM 1 GENERAL INSTRUCTIONS ...... 48 EM 2 RESPONSIBILITIES IN AN EMERGENCY ...... 49 EM 3 SITUATIONAL ASSESSMENT ...... 51 EM 4 COMMUNICATIONS ...... 52 EM 5 TRAIN EVACUATION GUIDELINES ...... 54 EM 6 EMERGENCY EQUIPMENT AND FEATURES ...... 58

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EM 7 SPECIAL CIRCUMSTANCES ...... 60 EM 8 MEDICAL EMERGENCIES ...... 61 EM 9 HAZARDOUS MATERIALS ...... 62 EM 10 SPECIAL SECURITY MEASURES ...... 62

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EMPLOYEE TIMETABLE

The Employee Timetable contains four parts, plus Track Charts, which are provided for information only.

1. LINE SPECIAL INSTRUCTIONS

Line Special Instructions contain Line-specific information and rules. Each section has a prefix identifying the Line and is numbered as shown in the Table of Contents below:

2. SYSTEM SPECIAL INSTRUCTIONS

System Special Instructions are labeled with the prefix “SI” followed by letter or number to which the special instruction references; for example, “SI A” refers to rule A, “SI 10” refers to rule 10, etc. Specific rule references are provided following the special instruction title in the Table of Contents below, including three appendices:

3. EMERGENCY INSTRUCTIONS

Emergency Instructions carry the prefix “EM” and pages are separately numbered starting with “E-1” as noted in the Table of Contents below: Under Development

4. EMPLOYEE OPERATING SCHEDULE BOOKLETS

Employee Operating Schedule Booklets, issued separately by Bulletin Order, contain the operating schedules for trains.

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EAST CORRIDOR LINE SPECIAL INSTRUCTIONS

EAST 1 STATIONS EAST CORRIDOR LINE

The direction from Union Station to Denver Airport is Northward.

Track 2 and track 1 are numbered West to East.

N Stations are listed south to north. Tracks (West to East) and O Passenger Stations are shown in Method of Operation T Radio District

BOLDFACE type Channel E MP Dispatching Track 2 Track 1 Other Union Station INT a, b, c, 0.0 E/G 1,2 IR/CSS CP Bright INT 1.33 East 1 th 38 & Blake 1.86 PTC/CTC/ PTC/CTC/ th 40 & Colorado 3.67 CSS CSS CP Quebec INT 5.74 Central Park 6.42 CP Sand Creek INT 6.89 Peoria 8.62 CP Sable INT 10.49 CP Chamber INT 11.02 CP 40th Avenue INT 12.71 40th Ave. & Airport Blvd. • 12.78 Pena Blvd. 15.21 CP 61st Avenue INT 15.58 CP Pena INT 19.12 CP 78th Avenue INT 21.85 CP DIA INT 23.01 Denver Airport 23.24

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EAST 1-A NOTES FOR EAST CORRIDOR LINE STATIONS

a. East Line Dispatcher supervises train movements within Union Station on tracks 1,2,3,4 and 5; Gold Line Dispatcher supervises train movements within Union Station tracks 6, 7, and 8

b. Radio Channel 1 is in service at Union Station tracks 1,2,3,4, and 5; Radio Channel 2 is in service at Union Station tracks 6, 7, and 8. Change radio channel signs erected at TBD

c. Amtrak operates on BNSF radio channel 96

d. Amtrak trains when backing into Union Station tracks 4 and 5 must stop a distance of 250 feet from the end of track (bumping post). After making the preliminary stop, movement must not exceed 2 MPH until the final station stop

e. Platform tracks at Union Station provide for level-boarding (high-level) of RTDC trains, except tracks 4 and 5. Tracks 4 and 5 are low-level platforms for other than RTDC train service

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EAST 2 MAXIMUM AUTHORIZED SPEED – MAIN TRACKS EAST CORRIDOR LINE

NOTE TO MAXIMUM AUTHORIZED SPEED TABLES: The locations shown in the left column for speed restrictions are for general reference only. Milepost locations will govern. Permanent Speed Signs erected in accordance with rule [Rule 9-C (5)].

Between Speed Restriction (MPH) Max Auth LOCATION Other MP MP Trk 1 Trk 2 Speed Trks (MPH) Union Station (MP 0.0) to (MP 0.47) Restricted Speed not exceeding 15 MP (0.47) to (MP 23.32) 79 0.47 0.54 20 20 0.54 0.71 40 40 0.71 1.08 60 60 1.08 1.71 70 70 1.71 2.04 40 40 Blake St. and 40th Ave. 2.04 2.19 30 30 Columbine S-Curve 2.74 3.02 20 20 3.02 3.65 60 60 3.65 4.26 65 65 6.20 6.30 65 65 CP Sable Controlled Siding * 15 11.44 11.69 70 70 South I-70 Bridge 11.69 11.96 40 40 North I-70 Bridge 11.96 12.66 60 60 64th Ave. to Tower Rd. 16.18 18.38 70 70 E-470 18.38 19.07 60 60 CP Pena 19.07 19.23 65 65 Pena Blvd. 19.23 19.49 70 70 Pena Blvd./Tibet Rd. 19.49 20.05 75 75 22.20 22.47 55 55 Pena Blvd./Newcastle Rd. 22.47 23.24 35 35 Denver Airport Station 23.24 23.32 15 15

*A 200 ft. section of non-controlled/non-electrified track (Tail Track) is in service and extends southward from the 3B switch at Sable Siding.

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EAST 2-A SPECIAL SPEED INSTRUCTIONS

1. MEASURED HALF-MILES [RULE 7-K(3)]

Measured Half-Mile signs for the purpose of validating on-board speedometer readings are located on tracks 1 and 2 at:

• MP 0.20 and MP 0.70 (for northward train movements) • MP22.60 and MP 23.10 (for southward train movements)

EAST 3 EQUIPMENT RESTRICTIONS EAST CORRIDOR LINE

EAST 3-A EQUIPMENT CLEARANCES

1. Maximum height (vertical clearance) permitted is 16’ 2” (measured from top of rail)

2. Maximum width (horizontal clearance) permitted is 10’ 6”

EAST 3-B MAXIMUM WEIGHT – GROSS WEIGHT ON RAIL (GWR)

1. Maximum weight permitted on Union Station Tracks 1,2,3,6,7 & 8 is 178,000 lbs. (89 ton)

2. Maximum weight permitted on Union Station Tracks 4 & 5 from MP 0.00 to MP 0.42:

• Equipment 48’-8” or longer = 286,000 lbs. (143 tons) • Equipment 44’-11.5” or longer but less than 48’-8” = 268,000 lbs. (134 tons) • Equipment 41’-10.5” or longer but less than 44’-11.5” = 246,000 lbs. (123 tons) • Equipment 38’-0” or longer but less than 41’-10.5” = 224,000 lbs. (112 tons) • Equipment 35’-0” or longer but less than 38’-0” = 206,000 lbs. (103 tons) • Equipment less than 35’-0” = Inspection required per EAST 3-D

3. Maximum weight permitted on East Line is 178,000 lbs. (90 tons)

EAST 3-C MAXIMUM LENGTH AT

1. Maximum length of vehicle permitted is 86’ 0”

2. Maximum truck center spacing permitted is 60’ 0”

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EAST 3-D INSPECTION REQUIREMENTS

Inspection and written authorization of the RTDC Chief Engineer is mandatory for the operation of all equipment, other than previously inspected and approved RTDC equipment, over all lines and at Union Station.

EAST 4 ELECTRICAL OPERATION EAST CORRIDOR LINE

EAST 4-A TRACKS EQUIPPED WITH ENERGIZED CATENARY FOR AC OPERATION

1. All tracks between Union Station (MP 0.0) and CP Bright are equipped and energized with 25 kV (25,000 volts) overhead catenary except tracks 4 and 5.

2. All Main Tracks between CP Bright and Denver Airport (MP 22.32) are equipped and energized with 25 kV (25,000 volts) overhead catenary

3. Other Tracks: CP Sable Siding equipped and energized with 25 kV (25,000 volts) overhead catenary except for the tail-track for a distance of 200 feet south of Sable Siding 6N signal and 3B switch.

EAST 4-B PHASE BREAKS[RULE 9-E(8) / RULE 9-E(9)]

At the following locations, between the catenary pole numbers indicated, electric trains must have controllers in coast or off position. No power must be taken until all pantographs on the train are clear of the designated area. Phase Break (PB) signs in service where noted below.

BETWEEN SIGNS IN LOCATION MILEPOST CATENARY TRACKS TYPE SERVICE POLES BEGIN 0.81 0.70 0.92 1 Phase PHASE Switching BEGIN Station 0.81 0.70 0.92 2 Phase PHASE BEGIN 6.04 5.95 6.12 1 Phase PHASE Sandown BEGIN 6.00 5.92 6.09 2 Phase PHASE

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EAST 5 HIGHWAY GRADE/PEDESTRIAN CROSSINGS EAST CORRIDOR LINE

Special Apparatus Action Provided

RTDC Operating EMPTION Crossing Name Location RTDC UPRR Limits -

Special Notes PD if Pedestrian MP MP MP Warning of Type Device Whistle Special Instruction ACTION (S) TRACK DIRECTION DEVICE (S) TRACKS PRE S. 38th & Blake Station P City of 1.86 1.43 - 1.93 F W N/A D Denver N. 38th & Blake Station P City of 1.93 1.43 – 1.93 F W N/A D Denver York St. City of 2.72 1.69 – 3.37 FG W Ye Denver s Josephine St. City of 2.73 1.69 – 3.37 FG W Ye Denver s Clayton St. U City of 3.09 637.33 2.80 – 3.83 FG W N/A P Denver Steele St. U City of 3.32 637.10 2.88 – 4.07 FG W N/A P Denver S. 40th & Colorado P City of 3.67 3.21 – 4.25 F W N/A Station D Denver N. 40th & Colorado P City of 3.76 3.21 – 4.25 F W N/A Station D Denver Dahlia St. U City of 4.29 636.13 3.02 – 5.86 FG W Ye P Denver s Holly St. U City of 4.79 635.63 3.47 – 6.29 FG W Ye P Denver s Monaco Pkwy. U City of 5.31 635.12 3.73 – 6.98 FG W Ye P Denver s SB Quebec Pkwy. U City of 5.81 634.62 4.39 – 7.22 FG W Ye P Denver s NB Quebec Pkwy. U City of 5.88 634.58 4.28 – 7.47 FG W N/A P Denver Ulster St. U City of 6.32 634.10 4.78 – 7.87 FG W N/A P Denver S. Central Park Station P City of 6.42 5.83 – 7.10 F W N/A D Denver N. Central Park Station P City of 6.49 5.83 – 7.10 F W N/A D Denver Havana St. U City of 7.84 632.60 6.19 – 9.50 FG W Ye P Denver s

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S. Peoria Station P City of 8.62 8.02 – 9.30 F W N/A D Aurora N. Peoria Station P City of 8.69 8.02 – 9.30 F W N/A D Aurora Sable Blvd. U City of 10.36 630.03 8.83 – 11.78 FG W Ye P Aurora s Chambers Rd. U City of 10.89 629.53 9.17 – 12.24 FG W Ye P Aurora s S. 40th Ave. & Airport P City of 12.77 12.77 – 12.85 F W N/A Blvd. • Gateway Park D Aurora Station S. 40th Ave. & Airport P City of 12.85 12.77 – 12.85 F W N/A Blvd. • Gateway Park D Aurora Station Pena Blvd. Station P City of 14.98 14.76 – 16.04 F W N/A D Denver Pena Blvd. Station P City of 15.44 14.76 – 16.04 F W N/A D Denver

SPECIAL NOTES (Column 2):

1. Note UP = Interoperable Crossing w/Union Pacific; Emergency Notification System contact at UP 1.800.848.8715

EAST 6 LOCATION OF BULLETIN BOARDS, STANDARD CLOCKS & EMPLOYEE REGISTER EAST CORRIDOR LINE Bulletin Boards, Standard Clocks and Employee Register are located in: • Union Station

EAST 7 SIGNAL ASPECTS NOT COVERED BY RULE 9 EAST CORRIDOR LINE

EAST 7-A LINE OF SIGHT RESTRICTIONS AT UNION STATION

• Signal 2N at the north end of track 1 obstructed from view…TBD • Signal 12N at the north end of track 6 obstructed from view… TBD • Deviations – line of sight signs; reference EAST 9-C

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EAST 8 YARD AND YARD TRACKS EAST CORRIDOR LINE EAST 8-A DESIGNATED YARD TRACKS

1. Amtrak Storage/Runaround Tracks and tail track are in service from the 38S signal to the end of track. Permission and signal indication to enter/exit these tracks to/from Union Station must be obtained from the East Line Dispatcher.

EAST 9 OTHER INSTRUCTIONS EAST CORRIDOR LINE

EAST 9-A DUAL CONTROL SWITCHES [RULE 17-B(2)]

Dual control switches are in service at:

• Union Station • CP Bright • CP Quebec • CP Sand Creek • CP Sable • CP Chambers • CP 40th Avenue • CP 61st Avenue • CP Pena • CP 78th Avenue • CP DIA

EAST 9-B CONTROLLED MASTER LOCATION INDICATORS [RULE 9-E(7)]

Controlled Master Location Indicators are located at:

• MP 3.66 (Direction of travel TBD) • MP 3.87 (Direction of travel TBD) • MP 6.40 (Direction of travel TBD) • MP 8.78 (Direction of travel TBD)

EAST 9-C LINE OF SIGHT OBSTRUCTIONS

Reference here instructions relative to operational restrictions due to deviation from design standard Re: line of sight distance

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EAST 9-D STATION PLATFORM LENGTHS

Union Station

Platform Track Platform Length (FT) 1 908 2 1008 3 538 4 1050 5 1050 6 538 7 1008 8 608

East Corridor Line

STATION PLATFORM LENGTH (FT) TK 1 TK 2 38TH & Blake 370 370 40th & Colorado 370 370 Central Park 370 370 Peoria 380 380 40th Ave. & Airport Blvd. • Gateway Park 370 370 Pena Blvd. 430 430 Denver Airport 774 774

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GOLD LINE SPECIAL INSTRUCTIONS

GOLD 1 STATIONS GOLD LINE

The direction from CP Pecos to CP Ward Road (MP 11.17) is Northward.

Tracks 2 and 1 are numbered West to East

N Tracks (West to East) and Stations are listed south to north. O Method of Operation Passenger Stations are shown in T

BOLDFACE type District E Dispatching MP Channel Radio Track 2 Track 1 Other

CP Pecos (Northwest Electrified 4.11 G 2 Segment Line) INT PTC/CTC/ PTC/CT CLEAR CREEK • FEDERAL 5.02 CSS C/ 60TH & SHERIDAN • ARVADA 6.40 CSS GOLD STRIKE CP Ralston 7.08 INT OLDE TOWN ARVADA 8.10 CP Balsam INT 8.60 ARVADA RIDGE 9.83 CP Miller 10.14 INT WHEAT RIDGE • WARD 11.02 CP Ward Road INT 11.17

GOLD 1-A NOTES FOR GOLD LINE STATIONS

(None)

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GOLD 2 MAXIMUM AUTHORIZED SPEED – MAIN TRACKS GOLD LINE

Between Speed Restriction (MPH) Max Auth LOCATION Other MP MP Trk 1 Trk 2 Speed Trks (MPH)

MP (4.11) to (MP 11.27) 79 3.78 4.11 50 CP Pecos 4.03 4.13 55 4.14 4.28 30 30 4.49 4.74 30 30 4.74 5.09 55 55 5.08 5.25 45 45 5.89 6.31 70 70 6.31 6.55 50 50 6.55 6.77 45 45 6.77 7.13 30 30 7.13 7.24 60 60 8.01 8.07 30 30 8.07 8.25 35 35 8.25 8.60 70 70 8.60 8.74 45 45 8.74 8.79 70 70 9.16 9.66 70 70 9.66 9.76 40 9.66 9.86 45 9.76 9.92 60 9.86 9.92 40 9.92 10.02 70 65 10.83 10.90 60 10.80 11.00 70 10.90 11.00 30 11.00 11.27 15 15

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GOLD 2-A SPECIAL SPEED INSTRUCTIONS

1. MEASURED MILES [RULE 7-K(3)]

Measured Mile signs for the purpose of validating on-board speedometer readings are located on tracks 1 and 2 at:

• MP __ and MP __ (northward) = TBD • MP __ and MP __ (southward) = TBD

GOLD 3 EQUIPMENT RESTRICTIONS GOLD LINE

GOLD 3-A EQUIPMENT CLEARANCES

1. Maximum height (vertical clearance) permitted is 16’ 2” (measured from top of rail)

2. Maximum width (horizontal clearance) permitted is 10’ 6”

GOLD 3-B MAXIMUM WEIGHT – GROSS WEIGHT ON RAIL (GWR)

1. Maximum weight permitted on Gold Line is 178,000 lbs. (90 tons)

GOLD 3-C MAXIMUM LENGTH

1. Maximum length of vehicle permitted is 86’ 0”

2. Maximum truck center spacing permitted is 60’ 0”

GOLD 3-D INSPECTION REQUIREMENTS

GOLD 4 ELECTRICAL OPERATION GOLD LINE

GOLD 4-A TRACKS EQUIPPED WITH ENERGIZED CATENARY FOR AC OPERATION

1. All Main Tracks between CP Pecos (MP 4.11) and Ward Road (MP 11.4) are equipped and energized with 25 kV (25,000 volts) overhead catenary

GOLD 4-B PHASE BREAKS

(None)

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GOLD 5 HIGHWAY GRADE/PEDESTRIAN CROSSINGS

Special Apparatus Action Provided Required

Special Notes EMPTION PD if Pedestrian

- Type of Warn. Dev. Warn. of Type RTDC BNSF Operating Special Whistle Instr.

Crossing Name Location MP MP Limits ACTION (S) TRACK DIRECTION DEVICE (S) TRACKS PRE West 60th Ave. Adams Co. 4.47 F N/A G Clear Creek • P Adams 5.00 F N/A Federal Station D Co. Lowell Blvd. B Adams 5.62 F N/A N Co. G Tennyson St. B City of 6.12 F N/A N Arvada G 60th & Sheridan • P City of 6.38 F N/A Arvada Gold D Arvada Strike Station Lamar St. B City of 7.40 F Yes N Arvada G Saulsbury St. B City of 7.85 F Yes N Arvada G Vance St. B City of 8.04 F Yes N Arvada G Olde Wadsworth B City of 8.17 F Yes Blvd. N Arvada G Allison/Zephyr B City of 8.40 F Yes St. N Arvada G Balsam St. B City of 8.56 F Yes N Arvada G Carr St. B City of 8.69 F Yes N Arvada G Garrison St. B City of 9.22 F Yes N Arvada G Independence St. B City of 9.47 F Yes N Arvada G Arvada Ridge P 9.85 N/A Station D GOLD LINE

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Miller St. B City of 9.99 F Yes SPE N Arvada G CIA Parfet St. B City of 10.3 F Yes L N Wheat 6 G NO Ridge TES Robb St. B City of 10.6 F Yes (Col N Wheat 2 G umn P Ridge 2): Tabor St. B City of 10.9 F Yes N Wheat 0 G Ridge 1. N ote Wheat Ridge • P City of 11.0 F N/A Ward Station D Wheat 0 BN Ridge = Hig hway Grade Warning System controlled by RTD in lieu of BNSF

2. Note P = Private Highway Grade Crossing at Robb Street

GOLD 6 LOCATION OF BULLETIN BOARDS, STANDARD CLOCKS AND EMPLOYEE REGISTER GOLD LINE Bulletin Boards, Standard Clocks and Employee Register are located in: (None)

GOLD 7 SIGNAL ASPECTS NOT COVERED BY RULE 9 GOLD LINE GOLD 7-A LINE OF SIGHT RESTRICTIONS AT DUS

• Signal __ at the north end of track 1 obstructed from view… • Signal __ at the north end of track 6 obstructed from view… • Deviations – line of sight signs; reference GOLD 9-C

GOLD 8 YARD AND YARD TRACKS GOLD LINE

(None)

GOLD 9 OTHER INSTRUCTIONS GOLD LINE

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GOLD 9-A DUAL CONTROL SWITCHES [RULE 17-B(2)]

Dual control switches are in service at:

• CP Pecos • CP Ralston • CP Balsam • CP Miller • CP Ward Road

GOLD 9-B CONTROLLED MASTER LOCATION INDICATORS [RULE 9-E(7)]

Controlled Master Location Indicators are located at:

• TBD

GOLD 9-C DEVIATIONS: LINE OF SIGHT (WE CAN CHOOSE BETTER WORDING FOR THE HEADING)

Reference here instructions relative to operational restrictions due to deviation from design standard Re: line of sight distance.

GOLD 9-D STATION PLATFORM LENGTHS

Union Station

Platform Track Platform Length (FT) 1 908 2 1008 3 538 4 1050 5 1050 6 538 7 1008 8 608

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Gold Line

STATION PLATFORM LENGTH (FT) TK 1 TK 2 CLEAR CREEK • FEDERAL 200 200 60TH & SHERIDAN • ARVADA GOLD 200 200 STRIKE OLDE TOWN ARVADA 200 200 ARVADA RIDGE 200 200 WHEAT RIDGE • WARD 200 200

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NORTHWEST ELECTRIFIED SEGMENT LINE SPECIAL INSTRUCTIONS

NWES 1 STATIONS NORTHWEST ELECTRIFIED SEGMENT LINE

The direction from Union Station to CP South Westminster is Northward. Tracks 2 and 1 are numbered West to East.

Tracks (West to East) and

N Stations are listed south to north. Method of Operation O Passenger Stations are shown in MP T Radio District

BOLDFACE type Channel E Track 2 Track 1 Other Dispatching

Union Station INT a, b, c, 0.0 E/G 1,2 IR/CS d, e S th CP 38 Ave. INT TBD G 2 PTC/CT PTC/CT CP 41ST Ave INT TBD ST C/ C 41 & Fox TBD CSS CSS Wheel Impact Load Detector f TBD

CP CRMF SOUTH INT TBD Commuter Rail Maintenance CP CRMF POCKET NORTH TBD CP CRMF NORTH INT TBD Wheel Impact Load Detector f TBD PECOS JUNCTION 4.00 CP Pecos (Gold Line) INT 4.11 WESTMINISTER TBD CP South Westminster INT 5.8

NWES 1 NOTES TO NORTHWEST ELECTRIFIED SEGMENT LINE STATIONS

f. Gold Line Dispatcher supervises train movements within Union Station tracks 6, 7, and 8; East Line Dispatcher supervises train movements within Union Station on tracks 1,2,3,4 and 5.

g. Radio Channel 2 in service at Union Station tracks 6, 7, and 8; Radio Channel 1 in service at DUS tracks 1,2,3,4, and 5. Change radio channel signs erected at TBD

h. Amtrak operates on BNSF radio channel 96

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i. Amtrak trains when backing into Union Station tracks 4 and 5 must stop a distance of 250 feet from the end of track (bumping post). After making the preliminary stop, movement must not exceed 2 MPH until the final station stop

j. Platform tracks at Union Station provide for level-boarding (high-level) of RTDC trains, except tracks 4 and 5. Tracks 4 and 5 are low-level platforms for other than RTDC trains

k. See Special Instruction NWES 9-E (1)

l. Gold Line Dispatcher controls trains movements at CRMF; see Special Instruction NWES 8 – TBD

m. Employee stop for trains designated in the Employee Operating Schedule at CRMF - TBD

NWES 2 MAXIMUM AUTHORIZED SPEED – MAIN TRACKS NORTHWEST ELECTRIFIED SEGMENT LINE

Between Speed Restriction (MPH) Maximum Authorized LOCATION Other MP MP Trk 1 Trk 2 Speed Trks (MPH) Union Station (MP 0.0) to (MP 0.47- TBD) Restricted Speed, not exceeding 15 MP (0.47) to (MP 5.91) 79 TBD 0.48 0.58 20 0.48 0.50 15 0.50 0.58 20 0.58 0.70 45 45 0.70 1.40 50 0.70 1.14 50 1.14 1.83 60 1.40 1.46 45 1.46 1.66 50 1.66 2.10 55 1.83 2.10 55 2.10 2.16 50 50 2.16 2.36 30 30 2.36 2.54 70 70 2.81 3.05 70 70 3.05 3.66 60 3.05 3.78 60

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Between Speed Restriction (MPH) Maximum Authorized LOCATION Other MP MP Trk 1 Trk 2 Speed Trks (MPH) 3.66 3.82 50 3.82 3.88 40 3.78 4.11 50 4.03 4.13 55 4.11 4.17 30 - 4.17 4.34 40 - 4.81 4.97 40 - 5.76 5.91 15 -

NWES 2-A SPECIAL SPEED INSTRUCTIONS

1. MEASURED MILES [RULE 7-K(3)]

a. Measured Mile signs for the purpose of validating on-board speedometer readings are located on tracks 1 and 2 at:

b. MP __ and MP __ (northward ) = TBD

c. MP __ and MP __ (southward) = TBD

NWES 3 EQUIPMENT RESTRICTIONS NORTHWEST ELECTRIFIED SEGMENT LINE

NWES 3-A EQUIPMENT CLEARANCES

1. Maximum height (vertical clearance) permitted is 16’ 2” (measured from top of rail)

2. Maximum width (horizontal clearance) permitted is 10’ 6”

NWES 3-B MAXIMUM WEIGHT – GROSS WEIGHT ON RAIL (GWR)

1. Maximum weight permitted on Union Station Tracks 1,2,3,6,7 & 8 is 178,000 lbs. (89 ton)

2. Maximum weight permitted on Union Station Tracks 4 & 5 from MP 0.00 to MP 0.42:

a. Equipment 48’-8” or longer = 286,000 lbs. (143 tons)

b. Equipment 44’-11.5” or longer but less than 48’-8” = 268,000 lbs. (134 tons)

c. Equipment 41’-10.5” or longer but less than 44’-11.5” = 246,000 lbs. (123 tons)

d. Equipment 38’-0” or longer but less than 41’-10.5” = 224,000 lbs. (112 tons)

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e. Equipment 35’-0” or longer but less than 38’-0” = 206,000 lbs. (103 tons)

f. Equipment less than 35’-0” = Inspection required per NWES 3-D

3. Maximum weight permitted on NWES Line is 178,000 lbs. (90 tons)

NWES 3-C MAXIMUM LENGTH

1. Maximum length of vehicle permitted is 86’ 0”

2. Maximum truck center spacing permitted is 60’ 0”

NWES 3-D INSPECTION REQUIREMENTS

NWES 4 ELECTRICAL OPERATION NORTHWEST ELECTRIFIED SEGMENT LINE

NWES 4-A TRACKS EQUIPPED WITH ENERGIZED CATENARY FOR AC OPERATION

1. All tracks between Union Station (MP 0.0) and CP ___ are equipped and energized with 25 kV (25,000 volts) overhead catenary except tracks 4 and 5.

2. All Main Tracks between CP ___ and CP South Westminster (MP 5.91) are equipped and energized with 25 kV (25,000 volts) overhead catenary

NWES 4-B PHASE BREAKS

(None)

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NWES 5 HIGHWAY GRADE/PEDESTRIAN CROSSINGS

Special Action Apparatus Provided

EMPTION Operating - PD if Pedestrian Crossing Name Special Location MP Limits Dev. Warn. of Type Special Whistle Instr. ACTION (S) TRACK DIRECTION DEVICE (S) TRACKS PRE BNSF Fuel Yard P City & County 1.09 F N/A Crossing of Denver G 41st & Fox Station P City & County 1.53 F N/A D of Denver

NORTHWEST ELECTRIFIED SEGMENT LINE

SPECIAL NOTES (Column 2):

1. Note P = Private Highway Grade Crossing for BNSF

NWES 6 LOCATION OF BULLETIN BOARDS, STANDARD CLOCKS - AND EMPLOYEE REGISTERS NORTHWEST ELECTRIFIED SEGMENT LINE Bulletin Boards, Standard Clocks and Employee Register are located in: • Union Station • Commuter Rail Maintenance Facility (CRMF)

NWES 7 SIGNAL ASPECTS NOT COVERED BY RULE 9 NORTHWEST ELECTRIFIED SEGMENT LINE

EAST 7-A LINE OF SIGHT RESTRICTIONS AT DUS

• Signal __ at the north end of track 1 obstructed from view… • Signal __ at the north end of track 6 obstructed from view… • Deviations – line of sight signs; reference NWES 9-C

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NWES 8 YARD AND YARD TRACKS NORTHWEST ELECTRIFIED SEGMENT LINE

NWES 8-A DESIGNATED YARDS

The following areas are designated yards:

LOCATION UNDER CONTROL OF

Commuter Rail Maintenance Facility (CRMF) Gold Line Dispatcher: Tracks 1, 2, 3, 4, 5; from a point ___ feet outside the shop Tracks 6,7,8,9,10,11

Commuter Rail Maintenance Facility (CRMF) Vehicle Maintenance Supervisor: From a point ____ feet outside the shop, at permanent derails, and including the shop Tracks 6, 7, 8, 9, 10, 11

NWES 8-B CRMF YARD

1. TRACKS EQUIPPED WITH ENERGIZED CATENARY FOR AC OPERATION

Tracks Portion Equipped with Energized Catenary

1 Entire length 2 Entire length 3 Entire length 4 Entire length 5 Entire length 6 TBD 7 TBD 8 TBD 9 TBD 10 TBD 11 TBD

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2. DESIGNATED MECHANICAL TRACKS

Designated Mechanical Use of Tracks Requires Radio Telephone Tracks Permission of Channel Ext. 6 7 Vehicle 8 Maintenance Supervisor 3 TBD 9 10 11

3. PERMISSION TO USE YARD TRACKS

a. Permission of the Gold Line Dispatcher is required for all movement on yard tracks, except Car Shop Repair Tracks

4. SPEED RESTRICTIONS [RULE 7-K(5)]

a. MAS on all yard tracks – Restricted Speed not exceeding 10 MPH

b. All trains while operating through car wash – Restricted Speed not exceeding 3 MPH

5. MAS on all Designated Mechanical Tracks – Restricted Speed not exceeding 5MPH

6. NORMAL POSITION OF YARD SWITCHES

a. -----

b. -----

7. TWC AND OPERATION SWITCHES IN THE YARD

8. Train Wayside Communication System (TWC) in service to facilitate remote operation of switches directly from EMU cabs. Transponder loops are located at the north and south entrances to the CRMF …TBD

9. NORMAL POSITION OF DERAILS

a. -----

b. -----

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NWES 9 OTHER INSTRUCTIONS NORTHWEST ELECTRIFIED SEGMENT LINE

NWES 9-A DUAL CONTROL SWITCHES [RULE 17-B(2)]

Dual control switches are in service at:

• Union Station • CP 38th Ave. • CP 41st Ave. • CP CRMF South • CP CRMF Pocket North • CP CRMF North • CP Pecos • CP South Westminster

NWES 9-B CONTROLLED MASTER LOCATION INDICATORS [RULE 9-E(7)]

Controlled Master Location Indicators are located at:

• TBD

NWES 9-C DEVIATIONS: LINE OF SIGHT (WE CAN CHOOSE BETTER WORDING FOR THE HEADING)

Reference here instructions relative to operational restrictions due to deviation from design standard Re: line of sight distance

NWES 9-D STATION PLATFORM LENGTHS

Union Station

Platform Track Platform Length (FT) 1 908 2 1008 3 538 4 1050 5 1050 6 538 7 1008 8 608

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Northwest Electrified Segment Line

STATION PLATFORM LENGTH (FT) TK 1 TK 2 41st & Fox 200 200 Pecos Junction 200 200 Westminster 200 200

NWES 9-E DETECTORS

1. Wheel impact detectors are located at MP ___ and MP ___for northward and southward movements on No. ____track and No. ____track. Detectors are monitored by the OCC Dispatcher or reported directly to the train? Any other operating instructions, etc…

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SYSTEM SPECIAL INSTRUCTIONS

SPECIAL INSTRUCTION A

MEDICAL SERVICES [RULE A, PARAGRAPH 5]

SI A-A PROCEDURE FOR HANDLING NON-CRITICAL INJURIES AND ILLNESSES

1. If a non-serious injury or illness occurs on a train and does not require medical attention, the train operator will notify the OCC Dispatcher as soon as possible.

2. If a non-serious injury or illness occurs at a location other than on a train, local supervision must be notified and, if needed, medical attention provided as soon as possible.

3. Injuries or illnesses serious enough to require medical attention will be handled in accordance with Timetable Emergency Instructions, EM 7. If there is any doubt regarding the seriousness of an injury or illness, Emergency Instructions EM 7 will apply.

SI A-B REPORTING OF INJURIES

In all cases involving injuries and illnesses, necessary documentation will be completed as soon as possible, in accordance with Safety Rules and other instructions. Copies of injury reports must be forwarded to the OCC.

SI A-C OTHER MEDICAL SERVICES

All medical services other than immediate care following an injury or illness or federally mandated post- accident toxicological tests must be coordinated through Human Resources (HR). HR will make arrangements with Midtown Occupational Health Services, 2420 W 26th Ave., Building D, Suite 200 located in Denver, CO 80211, by calling 303-831-9393.

SI A-D FATALITIES

In the event a fatality occurs on or near RTDC property, the OCC Dispatcher must be notified immediately. The OCC Dispatcher will notify all necessary local authorities, including the coroner and/or medical examiner.

SPECIAL INSTRUCTION C

PERSONS ALLOWED TO RIDE IN CABS AND ON NON-PASSENGER TRAINS

SI C-A

Only the following personnel, in the discharge of their official duties, are permitted to ride in the operating cab of trains:

• Those RTDC officials whose names appear in Appendix 2 of this Timetable

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• Engineering Department (Track, Traction Power, and Communication and Signals) managers, supervisors, foremen and department employees, only in the discharge of their duties and in their assigned territories • Vehicle Maintenance Department managers, supervisors, foremen and department employees performing equipment inspections and maintenance • OCC Dispatchers • Safety Department personnel in the discharge of their duties • RTDC Security in the discharge of their duties • RTD On-board Inspectors in the discharge of their duties and upon presentation of valid identification • FRA, CDOT Division of Transit and Rail and RTD personnel, upon presentation of valid identification • Those RTDC employees whose valid ID’s have been endorsed with a “Valid on Head End” sticker

SI C-B

Except for those individuals listed above, authorization to ride in the operating cab of trains must be issued, in writing, by the Chief Transportation Officer.

SI C-C

Under no conditions may more than four people, including the assigned operator, be in the operating cab of a passenger train at any time.

SI C-D

No one other than assigned RTDC personnel of the train is permitted to ride in the non-leading end cab of the train, except when required in the performance of their duties. This prohibition includes off-duty RTDC employees.

SI C-E

RTDC employees, on and off duty, are permitted to ride on scheduled deadhead trains.

SI C-F

Only those persons listed in SI C-A and those holding written authorization from the Chief Transportation Officer shall be permitted to ride on non-revenue trains of other than passenger equipment, such as work trains, freight trains and light engines.

SI C-G FOREIGN RAILROADS

Instructions issued by foreign railroads regarding access to operating cabs and other areas of their trains will apply on RTDC territory, except that the persons listed in SI C-A will have access to all foreign railroad trains, including operating cabs, in the performance of their duties. Special Instruction SI C-C applies to all foreign railroad passenger trains on RTDC property.

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SPECIAL INSTRUCTION G

DRUG AND ALCOHOL TESTING

SI D-A

For mandatory reasonable suspicion testing during normal business hours, supervisors must contact Human Resources (HR). HR will make arrangements with Midtown Occupational Health Services, 2420 W 26th Ave., Building D, Suite 200 located in Denver, CO 80211. Midtown’s hours of operation are from 6 am to 6 pm.

For other than normal business hours the employee should be escorted to the nearest local hospital.

SI D-B

For post-accident/incident toxicological testing during normal business hours, supervisors must contact Human Resources (HR). HR will make arrangements with Midtown Occupational Health Services, 2420 W 26th Ave., Building D, Suite 200 located in Denver, CO 80211. Midtown’s hours of operation are from 6 am to 6 pm.

For other than normal business hours the employee should be escorted to the nearest local hospital.

SPECIAL INSTRUCTION 1

QUALIFICATIONS, RESPONSIBILITES AND DUTIES

SI 1-A RULES QUALIFICATIONS

SI 1-A(1) AMTRAK EMPLOYEES

Amtrak train and engine service employees whose assignments on RTDC territory is wholly within Union Station are not required to attend RTDC Operating Rules classes. Those RTDC rules required for operating within these areas will be included in Amtrak Rules classes. However, these employees must qualify with RTDC on the physical characteristics of the territory over which they operate.

SI 1-B OPERATING MANUAL REQUIRED WHILE ON DUTY – TRAIN SERVICE EMPLOYEES

Train service employees whose assignment is wholly within yard areas are not required to carry their operating manual while performing service. They must, however, have their manual in their possession when reporting for duty, and must have it available for easy access if needed during their work assignment.

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SPECIAL INSTRUCTION 5

COMMUNICATION DEVICES

SI 5-A RADIO CHANNELS [RULE 5-D(4)]

The following radio frequencies are in use for train operations:

Channel 1 East Corridor Line, including Union Station tracks 1,2,3,4 & 5

Channel 2 Gold Line and Northwest Electrified Segment Line, including Union Station tracks 6, 7, & 8

Channel 3 Commuter Rail Maintenance Facility (CRMF) Note: Radio Base Station located at CRMF

Channel 4 Reserved

Channel 5 Vehicle Maintenance and Engineering Depts.

SI 5-B RADIO BASE STATION [RULE 5-D(4)]

Radio Base Station located at CRMF

SPECIAL INSTRUCTION 7

TRAIN OPERATION

SI 7-A DELAYS AFFECTING EMPLOYEES ABILITY TO COMPLETE WORK ASSIGNMENT

When, due to train delays or other unforeseen circumstances, train operators are unable to cover subsequent trips of their assignment, the OCC Dispatcher shall be notified if the employee is in-route, or a Transportation Supervisor shall be notified if the employee is at a terminal or crew base. Notification should be made as soon as possible once the situation is known.

The OCC Dispatcher or Transportation Supervisor shall notify the Crew Dispatcher as soon as practicable upon notification by train operator.

SI 7-B REDUCED WHEEL-RAIL ADHESION

When a reduced wheel-rail adhesion condition exists that affects train operation, operators must immediately inform the OCC Dispatcher. This report must include the location of occurrence, whether the condition affects train powering or braking, if the condition was caused by a cab signal change to a

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more restrictive indication, and whether a penalty or emergency brake application was initiated due to the condition.

To minimize wheel spin when resuming movement after a stop and in accordance with proper train handling, avoid using excessive tractive effort.

SI 7-C WEATHER RESTRICTIONS

During periods of extreme temperatures, speed restrictions may be imposed due to the possibility of catenary damage and rail irregularities. Operators will be notified by the OCC Dispatcher or indicated in the CCROC when Timetable Special Instruction SI 7-C Weather Restriction is in effect.

SI 7-D FLOOD RESTRICTIONS

In the application of Rule 7-V train operators must pay particular attention to high water conditions and depth gauges at locations indicated by rectangular white sign, with black lettering with the words “Area Subject to Flooding” and notify the OCC Dispatcher when such conditions occur.

SI 7-E SPEEDS

(None)

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SI 7-F COMPLIANCE WITH RESTRICTED SPEED

Tests for compliance with Restricted Speed are randomly conducted by Transportation Supervisors. When testing for that part of Restricted Speed that requires the ability to stop short of an obstruction, a Red Flag will be placed in the gauge of the track as shown in the photo. Such flag will be considered an obstruction and will be used for a track on which Restricted Speed is required by Operating Rules or Special instruction.

SI 7-G TRAIN SPOTTING

When spotting trains at stations, the train operator must ensure that all passenger side doors are positioned on the platform and the train is stopped at the end of platform before enabling and opening the passenger side doors.

When spotting trains at Union Station, the train operator must stop the train at the south end of all station platforms.

SI 7-H EQUIPMENT DOORS AND WINDOWS

SI 7-H(1) INTERIOR AND END DOORS

Interior and end doors at the head end and rear end of trains must be kept closed and secured at all times while the train is in motion. These doors must not be locked.

SI 7-H(2) PASSENGER DOORS

When in-route door problems occur, a minimum of one door on each side of each passenger-carrying car must remain operational or all customers must be removed from that car.

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SI 7-H(3) OPERATING CAB DOORS

The train operator must keep the operating cab door closed at all times.

SI 7-H(4) OPERATION ON DOOR BY-PASS/AUTOMATIC DOOR FAILURE

Trains are not be authorized to operate in door by-pass unless permission is granted by the OCC Dispatcher or Transportation Supervisor

a. Insert approved procedures here

SI 7-H(5) UNINTENDED DOOR OPERATION – OPENING AND CLOSING

If an unintended door operation is observed or reported, the door must be cut out and a report made to the OCC as soon as possible.

If at any time doors are inadvertently opened on a side of the train where there is no platform, the Operator must visually check that side of the train for any irregularities prior to moving the train. The inadvertent opening must be reported to the OCC as soon as possible.

SI 7-I HEATING, VENTILATION, AIR CONDITIONING, LIGHTS

Operating cab windows must be kept closed except for immediate use or when HVAC system is not functioning properly. Lighting and HVAC controls should be turned on as soon as the operator reports to the train but not more than 30 minutes before departure. Lighting and HVAC should not be turned on in non-revenue cars unless these cars will be used for revenue service within 30 minutes.

Lighting and HVAC must be turned off when the train reaches its final destination, unless otherwise instructed.

SPECIAL INSTRUCTION 9

SIGNAL ASPECTS AND INDICATIONS

SI 9-A RESUME SPEED SIGN [RULE 9-C(4)]

If the Resume Speed Sign is missing, the train may resume speed after the entire train has passed the next whole mile post.

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SPECIAL INSTRUCTION 15

EQUIPMENT

SI 15-A REPORTING EQUIPMENT DEFECTS

1. Form MAP-10 for reporting equipment defects is located in the operator’s cab. Operators must enter on the Form MAP-10 a description of all defects found, as well as other information as instructed on the form.

2. When defects occur that require attention prior to the train’s final destination, the operator will notify the OCC Dispatcher as soon as possible. The OCC Dispatcher will make necessary arrangements and inform the operator of the location where repairs will be made. The operator will inform the Mechanical Department representative by radio as soon as the train arrives at the point indicated for repairs.

All mechanical defects in addition to being recorded on Form MAP-10, must be reported to the OCC Dispatcher at the final destination. Any other conditions that require attention (trash, spills, vandalism, etc.) must also be reported to the OCC Dispatcher upon arrival at the final destination.

SI 15-B EQUIPMENT CHARACTERISTICS – ELECTRIC MULTIPLE UNITS (EMU)

SI 15-B(1) SPECIFICATIONS AND RESTRICTIONS

MAX. NO. OF MAX. NOTES & UNITS IN AUTH. UNIT TYPE RESTRICTIO MODEL CONSIST SPEED NUMBERS NS (MPH) 4001-4066 AC TBD TBD 8 79

NOTES & RESTRICTIONS

1. No more than 4 married pairs may be coupled and operated as a train

SI 15-C MOVING EMU EQUIPMENT USING COMPROMISE COUPLERS

(None)

SI 15-D DIESEL OPERATED EQUIPMENT RESTRICTION AT DUS

Amtrak and freight locomotives are prohibited from standing or idling under the station canopy at Union Station.

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SPECIAL INSTRUCTION 16

HIGHWAY GRADE CROSSINGS

SI 16-A HIGHWAY GRADE CROSSING TABLES

Timetable Special Instructions sections EAST 5, GOLD 5 and NWES 5 list highway grade crossings in the following format:

(Column No) 1 2 3 4 5 6 7 8 9 10 11 12

Special Action Apparatus Required Provided

Whistle

Special Notes "P”if Private Warn. of Type Special Instr ACTION (S) TRACK DIRECTION DEVICE (S) TRACKS PRE EMPTION 13 14

1. Column 2, SPECIAL NOTES, will be defined below each table

2. Column 3, “P” indicates a private crossing; “PD” indicates pedestrian crossing; all other highway grade crossings

3. Column 7, TYPE OF WARNING DEVICES

F – Flashers G - Gates

4. Column 8, SPECIAL WHISTLE INSTRUCTIONS, defined as follows:

W- Engine horn signal 4-E(6)(c)

W/R – Restricted Whistle Post per rule 9-E(3)

W/R MX – Restricted Whistle Post, Multiple Crossings - TBD

5. Column 9-11, Special Action Required, defined as follows:

TBD

6. Column 12-13, APPARATUS PROVIDED, defined as follows:

TBD –Are Push Buttons provided to manually interrupt? Any motion sensing detectors or predictors?

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7. Column 14, PRE-EMPTION, defined as follows:

If “Yes” appears in this column, crossing warning devices are interconnected with and pre-empt normal operation of highway traffic signals. Activation of flashers and gates at crossings equipped in this manner may be delayed for a period of time to allow highway signals to cycle before the crossing activates TBD?

SI 19-B MANUAL INTERRUPTION OF FEATURE OF CROSSINGS

TBD – Procedure to manually interrupt apparatus?

SPECIAL INSTRUCTION 21

MOVEMENT OF TRACK CARS

SI 21-A SPECIAL INSTRUCTIONS RELATED TO MOVEMENT OF TRACK CARS OR OTHER SPECIAL VEHICLES

TBD

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SI APPENDIX – 1 SPEED TABLES

CONVERSION FROM TIME TO SPEED (MPH) per Mile

Time per mile Speed Time per mile Speed Time per mile Speed min sec (MPH) min sec (MPH) min sec (MPH) 0 100 0 65 2 30 36 55 00 0 95 1 60 2 25 38 00 24 0 90 1 55 3 20 40 05 00 0 85 1 50 4 15 42 12 00 0 80 1 45 6 10 45 20 00 0 75 1 40 12 5 48 30 00 0 70 1 35 51 43

CONVERSION FROM TIME TO SPEED (MPH) per Half-Mile

Time per ½ Speed Time per ½ Speed Time per ½ Speed mile (MPH) mile (MPH) mile (MPH) min sec min sec min sec 0 18 100 0 65 1 00 30 27.5 0 19 95 0 30 60 1 12 25 0 20 90 0 55 1 30 20 32.5 0 21 85 0 36 50 2 00 15 0 80 0 40 45 3 00 10 22.5 0 24 75 0 45 40 6 00 5 0 70 0 35 25.5 51.5

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CONVERSION FROM DISTANCE AND SPEED TO TIME

Distance SPEED (Miles per hour) (Miles) 20 30 40 50 60 70 80 90 0.25 0-45 0-30 0-23 0-18 0-15 0-13 0-11 0-10 0.50 1-30 1-00 0-45 0-36 0-30 0-26 0-23 0-20 0.75 2-15 1-30 1-08 0-54 0-45 0-38 0-34 0-30 1.00 3-00 2-00 1-30 1-12 1-00 0-51 0-45 0-40 1.25 3-45 2-30 1-53 1-30 1-15 1-04 0-56 0-50 1.50 4-30 3-00 2-15 1-48 1-30 1-17 1-08 1-00 1.75 5-15 3-30 2-38 2-06 1-45 1-30 1-19 1-10 2.00 6-00 4-00 3-00 2-24 2-00 1-43 1-30 1-20 2.25 6-45 4-30 3-23 2-42 2-15 1-56 1-41 1-30 2.50 7-30 5-00 3-45 3-00 2-30 2-09 1-53 1-40 2.75 8-15 5-30 4-08 3-18 2-45 2-21 2-04 1-50 3.00 9-00 6-00 4-30 3-36 3-00 2-34 2-15 2-00 4.00 12-00 8-00 6-00 4-48 4-00 3-26 3-00 2-40 5.00 15-00 10-00 7-30 6-00 5-00 4-17 3-45 3-20

TIME CONSUMED (minutes and seconds)

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SI APPENDIX – 2 RTDC RAILROAD OFFICIALS

Individuals indicated as “S/LE” are qualified under Federal regulations as Supervisors of Locomotive Engineers for training, certification, and recertification of Operators.

EXECUTIVE

A. Herzenberg General Manager

TRANSPORTATION DEPARTMENT

F. Hauser Chief Transportation Officer

A. L. Fuller Deputy Chief Transportation Officer

D. S. Duffy Senior Operating Rules Specialist

______Program Manager – Drug and Alcohol Testing

TRANSPORTATION – OCC

R. Diggs OCC Manager

E. Deocares OCC Supervisor

C. Gurley OCC Supervisor

TRANSPORTATION – CREW MANAGEMENT

R. Hauser Crew Dispatch

TRANSPORTATION – FIELD OPERATIONS

K. Bartell Transportation Supervisor

M. Claiborne Transportation Supervisor

G. Pelletier Transportation Supervisor

P. Synder Transportation Supervisor

MECHANICAL DEPARTMENT

C. Atencio Deputy Chief Mechanical Officer

J. Phillips Vehicle Maintenance Manager

MAINTENANCE OF WAY DEPARTMENT

R. Duty Chief Engineer

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M. Santiago Deputy Chief Engineer

______Communications and Signal Systems

L. Rivera Track and Traction Power Systems

SAFETY DEPARTMENT

Adolfo Nietch Deputy Chief Safety Officer

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SI APPENDIX – 3 FREQUENTLY USED TELEPHONE NUMBERS

Internal Department/Title Name Cell Number Office Number

General Manager Anne Herzenberg 508-341-9715 720-460-5801

Chief Engineer Randall Duty 512-466-7311 720-460-5860

Signals, Communication & Facilities Mario Santiago 787-649-4953 720-460-5870

Chief Transportation Officer Frank Hauser 602-515-7372 720-460-5911

Deputy Chief Transportation Officer Anthony Fuller 909-908-4899 720-460-5912

Deputy Chief Mechanical Officer Carl Atencio 720-460-5880

Deputy Chief Safety Officer Adolfo Nietch 720-252-5156 720-460-5817

OCC Manager Raymond Diggs 617-839-3361 720-460-5901

OCC Emergency Number 720-460-5959

East Corridor Line Dispatcher 720-460-5907

Gold Line Dispatcher 720-460-5908

IT Manager Carlos Rivera 303-523-1044 720-460-5850

Chief Financial Officer Jim Clawson 303-601-1873 720-460-5830

Warranty/Procurement Specialist Roberto Arocho 720-460-5838

Human Resources Manager Susan Ameson 303-921-2731 720-460-5833

Quality Manager Ana Mercado 787-504-9666 720-460-5820

Manager on Call 303-681-8345

RTD Light Rail RTD Light Rail Control 303-299-3480

RTD Bus RTD Bus Control Center 303-299-3000

RTD SCC Security Command Center 303-299-3911

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External Agency Name Main Office Secondary Office Number Number

Federal Railroad Administration National Response Center 800-424-8802 800-424-0201

National Transportation Safety Board National Response Center 800-424-8802 800-424-0201

Burlington Northern Santa Fe Railroad Police Control Center 800-832-5452 (Police)

Burlington Northern Santa Fe Railroad Operations Control Center 817-867-7094 (Rail) (Train Dispatcher Office)

Amtrak Control Center 800-331-0008 800-424-8802

Union Pacific Railroad (Police) Police Control Center 888-877-7267

Operations Control Center 402-636-1658 1-800-726-1178 Union Pacific Railroad (Rail) (Denver Train Dispatcher Office)

Denver International Airport Communication Command 303-342-4200 303-342-4020 Center

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EMERGENCY SPECIAL INSTRUCTIONS

EM 1 GENERAL INSTRUCTIONS

EM 1-A DEFINITION - EMERGENCY

An emergency is an unforeseen circumstance or set of circumstances requiring immediate action that threatens the health or safety of a person or persons. Examples include but are not limited to:

• Fatality along the right-of-way; • Customer or employee illness or injury requiring immediate medical care; • Grade crossing accident; • Collision; • Derailment; • Equipment fire or smoke condition; • Power outage or blackout; • Extreme weather conditions; • Security situation.

EM 1-B GENERAL PRINCIPLES

In any emergency, the first priority is the safety of customers, employees and the general public.

The following general principles apply in all emergencies:

1. In any emergency involving trains or track cars, or which occurs on or about the right-of-way, the Operations Control Center (OCC) must be notified immediately, and must be updated on the situation as often as possible.

2. Employees on the scene of an emergency must take all appropriate actions to ensure the safety of customers, employees and the general public, and to protect Company property. However, employees will not take unnecessary personal risks nor attempt actions for which they are not trained or do not have the proper equipment or protective gear.

3. Employees must cooperate fully with police and fire officials and other emergency responders. If responders issue orders which violate railroad safety or operating rules, employees will immediately contact supervision or the OCC for instructions. Employees must ensure that all responders are aware of the dangers associated with working along the right-of-way, and must protect these persons from moving trains, power systems, and other railroad-related hazards.

4. Customers on trains involved in an emergency or being delayed due to an emergency must be kept informed of the situation and the actions being taken. Information must be provided in a manner that will not cause undue alarm or panic.

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5. Employees on the scene of an emergency will provide all necessary and appropriate information to customers, Company officials and emergency response officers. Employees should refer information requests from the news media or non-railroad employees, other than emergency responders, to the appropriate department. Employees on the scene of an incident will only provide information to outside persons when expressly instructed to do so by authorized Company officials.

EM 2 RESPONSIBILITIES IN AN EMERGENCY

EM 2-A OPERATOR RESPONSIBILITIES

During an emergency, the Operator is responsible for:

• Providing protection, if required; • Initiating an emergency radio transmission • Establishing and maintaining communications with the OCC; • Conducting an initial assessment of the situation and providing accurate information to the OCC; • Ensuring the safety of the customers, and keeping them informed of the situation; • Coordinating the evacuation of the train, if necessary; • Providing direction to other employees and passengers to assist, as necessary • Securing the train in the event of an evacuation; • Acting as the Railroad Operations Commander and communications liaison with emergency responders and the OCC until relieved of this responsibility by supervision; (see EM-?)

EM 2-B FIELD TRANSPORTATION SUPERVISION RESPONSIBILITIES

During an emergency, Field Transportation Supervision is responsible for:

• Assuming the role of Railroad Operations Commander if so designated and acting as the point of contact between the railroad and emergency responders; • Making a rapid assessment of the situation and providing information to the OCC on the nature and severity of the incident; • Ensuring that all necessary and appropriate action is taken to ensure the safety of all persons (employees, customers, emergency responders and the general public) at the scene of the incident;

• Recommending to the OCC and senior Transportation management courses of action to mitigate the impact of the incident, move disabled equipment, accommodate displaced customers and restore normal service. • Regularly updating the OCC and senior management (EMTF) on progress at the scene, and providing estimates of the time required to complete key tasks associated with the restoration of service.

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EM 2-C OPERATIONS CONTROL CENTER (OCC) RESPONSIBILITIES

EM 2-C (1) DURING AN EMERGENCY, THE OCC DISPATCHER IS RESPONSIBLE FOR:

• Receiving the initial notification of the emergency and ascertaining as much information as possible concerning the location and nature of the situation; • Notifying the OCC Supervisor of the emergency who will make additional required notifications; • Providing track protection as required; • Arranging for de-energization of traction power as required; • Receiving follow-up information from employees at the scene and relaying this information to the OCC Supervisor and other officials; • Notifying other trains delayed or otherwise affected by the emergency of the nature of the situation, expected delays, and any operational changes made necessary by the emergency.

EM 2-C (2) DURING AN EMERGENCY, THE OCC SUPERVISOR IS RESPONSIBLE FOR:

• Receiving notification of the emergency from the OCC Dispatcher and informing all appropriate emergency service agencies not already contacted by the OCC Dispatcher; • Notifying and updating Company officials; • Notifying governmental regulatory and oversight agencies as required; • In consultation with other Company officials, determining the actions to be taken to best accommodate the needs of the responders at the scene of the emergency. • To the extent possible, maintaining railroad operations in areas not affected by the emergency.

EM 2-D SECURITY COMMAND CENTER RESPONSIBILITIES

EM 2-D(1) DURING AN EMERGENCY, THE SECURITY COMMAND CENTER (SCC) IS RESPONSIBLE FOR:

• Coordinating with OCC Dispatchers to respond to safety and security issues; • Dispatching armed security guards to respond to accidents and incidents in cooperation with law enforcement personnel; and perform mobile patrols; • Providing security support to Operators; • Operate and monitor all CCTV security systems including on-board and station-based cameras as well as cameras at grade crossings.

EM 2-E OTHER COMPANY EMPLOYEE RESPONSIBILITIES

During an emergency, Other Company Employees are responsible for:

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• Providing whatever immediate assistance they can render to customers, train Operators, company officials and emergency responders. In particular, RTDC employees will make it a priority to provide assistance to any passengers with disabilities • As soon as possible, identifying themselves to the Operator or senior officer on the scene and following their instructions and the instructions of emergency responders. If the Operator or critical personnel are injured or otherwise unable to fulfill their duties, other company employees may be used if they are qualified for the tasks required.

EM 2-F EMERGENCY MANAGEMENT TASK FORCE (EMTF)

The EMTF is a team of senior managers responsible for overseeing the organization’s response to and recovery from major events.

EM 2-G RTDC INCIDENT COMMAND

2-G(1) RAILROAD OPERATIONS COMMANDER (ROC)

Under this plan the Railroad Operations Commander is the railroad person in charge of railroad operations at an incident scene. Essentially the ROC functions as the railroad’s Incident Commander. The ROC may or may not be the ranking railroad officer on scene; nevertheless all railroad functions will coordinate their actions through the ROC. The ROC acts as the railroad’s liaison to the inter-agency Incident Command Post.

2-G(2) SINGLE POINT OF CONTACT

With the exception of intra-departmental communication, all communication from the scene including status reports, requests for resources, direction from the OCC, etc. will be channeled through the ROC to the OCC or EMTF. Instructions from the OCC and EMTF will be communicated through the ROC to field personnel. The Single Point of Contact ensures that conflicting information does not get cause confusion or mishaps and that the RTDC actions are coordinated and unified.

EM 3 SITUATIONAL ASSESSMENT

EM 3-A INITIAL SIZE UP

Immediately upon becoming aware that an emergency exists, all involved parties must cooperate to rapidly develop and share as accurate an assessment of the situation as possible. To accomplish this all available technical and human resources must be used effectively.

In the initial notification attempt to confirm:

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• if any known conditions exist affecting the movement of trains, e.g., structures, track, fire, hazardous materials release, etc

If possible get the name of the caller, and if the report is being made on other than a company radio, secure the telephone number where the this person may be reached

If the notification comes from a 911 service be sure to note any response actions already initiated and any requests for railroad action such as de-energizing the OCS or stopping rail traffic.

The OCC and SCC should determine if visuals are available via CCTV and if so, information developed should be shared as quickly as possible.

EM 3-B COMMON SITUATIONAL AWARENESS

Effective management of an emergency event depends on maintaining a common situational awareness among those involved in the response. RTDC personnel must make every effort to share information in a coordinated and unified fashion throughout the duration of the event. Particular attention must be paid to the communication protocols in Sections EM-2-G(2) and EM 4.

EM 4 COMMUNICATIONS

EM 4-A INITIAL COMMUNICATION

The initial notification of an emergency situation shall be made without delay and by the fastest means possible, including company radio, company telephone, cell phone, or any other available option.

The initial communication from the scene should be to the Operations Control Center for all incidents involving or occurring on trains or track cars, or any situation along the right-of-way. For other locations, such as buildings and vehicles not on the right-of-way, the initial notification should be to the OCC Dispatcher or to the senior Company official in charge. Should there be any doubt regarding the proper authority, employees should make the initial call to the OCC Dispatcher.

Initial communication regarding an emergency situation should include as much of the following information as possible:

• the nature and location of the event; (the line, milepost, nearest station, crossing or cross street • train number(s) involved • track(s) affected • the approximate number and extent of injuries, • any unusual circumstances that may pose an imminent danger or that responders should be aware of. • if any known conditions exist affecting the movement of trains, e.g., structures, track, fire, hazardous materials release, etc • emergency response required (fire, police, EMS)

EM 4-B FOLLOW-UP COMMUNICATION

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After the initial report of the emergency, the following communications guidelines should be followed to the extent possible. However, any means of communication will be used by any person at any time when necessary to protect the safety of customers, employees and the public.

1. One employee at the scene should be designated as having primary responsibility for maintaining communications with the OCC or other designated Company offices. This will typically be the employee designated as the Railroad Operations Commander (ROC) unless the ROC delegates this responsibility to another person. This employee should remain available at the radio or designated telephone at all times to receive and initiate transmissions whenever required.

2. The telephone should be used as much as possible for status reports, updates and any lengthy communications, leaving the radio free for transmissions between persons on the scene who do not have access to a telephone. Care must be taken to avoid transmission of sensitive information, such as the names of injured persons or possible causes of the incident, over the radio.

EM 4-C CUSTOMER COMMUNICATION

1. In any emergency situation, timely and accurate information must be provided to customers. The Operator has the primary responsibility for making announcements to customers; however, supervisory employees, including the OCC Dispatcher, must ensure that necessary announcements are made in the event the Operator cannot do so.

2. As soon as possible after determining the nature and extent of the emergency, the customers must be informed of:

• The type of situation; • Any immediate actions required by the customers, such as closing windows, evacuating one or more cars, etc. • Actions being taken by the railroad to respond to the emergency; • If appropriate, the expected duration of the situation or amount of time until emergency responders will reach the scene.

3. Announcements must be made that are concise and delivered in a way that does not induce unnecessary concern or panic on the part of the customers.

4. Operators must ensure that announcements are received in all cars of the train. If the Operator knows or suspect that the PA system in one or more cars is malfunctioning in any way, verbal announcements must be made in the affected car(s).

Customers must be updated as soon as new information is received. In addition, announcements must be made at least every 10 minutes during an emergency situation, even if there is no further information to report.

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EM 5 TRAIN EVACUATION GUIDELINES

Since each situation is unique these guidelines must be applied with sound judgment in light of the specific circumstances of each event.

Evacuating passengers from a train will be done only when there is not a feasible alternative such as moving the train to a station where passengers may de-board in the usual manner. Unless circumstances make it an absolute necessity, no evacuation should be initiated without notification to and approval from the OCC. Whenever possible, evacuations should not be initiated until first responders are on the scene. In any case, when deciding whether to evacuate, how to evacuate and while conducting an evacuation operation, the first priority must always be passenger safety followed by passenger convenience and comfort.

Communication with Customers

As soon as practical, timely and accurate information must be provided to customers. Clear and frequent communication with customers reduces passenger distress and the likelihood of panic. It can also help ensure their cooperation and compliance with instructions. The Operator has the primary responsibility to make announcements to customers; however, other on-board personnel, supervisory employees or OCC personnel must ensure that announcements are made in the event the operator cannot do so.

Customers should be informed of:

1. the nature of the situation;

2. the preparations customers should make if an evacuation is anticipated;

3. any immediate actions required by customers such as evacuating one or more cars;

4. actions being taken by the railroad to respond to the emergency;

5. if known, the expected duration of the situation or the amount of time until emergency responders arrive at the scene.

UNCONTROLLED EVACUATION

In the event of an uncontrolled evacuation (e.g. passengers self-evacuate) the Operator must immediately make an emergency radio broadcast directing all trains approaching the evacuation site to come to a stop. The OCC must then be advised of the situation. The OCC must immediately take the necessary steps to ensure that the area of the evacuation is properly protected.

As soon as trains in the area are stopped and the OCC has been notified, the Operator and any other available RTDC personnel must assess the situation and request that passengers remain on-board the train and wait for further instructions and emergency assistance organize and if necessary, take the most appropriate actions to direct the self-evacuation so that it proceeds as safely as possible.

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ORDER OF PREFERENCE FOR EVACUATION METHODS

When an evacuation is necessary, the method of evacuation should be chosen based on the nature of the emergency, the urgency of the situation and the prevailing operational circumstances. When circumstances permit, the order of preference for evacuation methods is:

1. Train to platform – move the train to a station and discharge passengers to a station platform.

2. Same consist – move passengers from the affected car to an unaffected car in the same consist.

3. Train to train – move passengers through the end door to a rescue train on the same track.

4. Train to roadbed - discharge passengers to the roadbed.

5. Train to train –move passengers across transfer boards to a rescue train on an adjacent track.

EVACUATION METHODS

Train to platform

1. Fully Platformed Train

If not already at a station, whenever possible the Operator must be directed to move the train to the nearest station. Prior to discharging the passengers onto the station platform, announcements must be made informing passengers of the reason for the evacuation and what actions they should take after leaving the train (e.g. remain on the platform or leave the station area). Special attention must be paid to ensure that any passengers with disabilities are assisted to safety. The Operator or other railroad or emergency personnel must confirm that all passengers have left the train before concluding the evacuation.

2. Partially Platformed Train

If a train does not have all doors fully on the platform, the Operator or other railroad personnel must proceed through the cars, opening only those doors that are on the platform. Prior to discharging the passengers onto the station platform announcements must be made informing passengers of the reason for the evacuation, the locations of the open doors and what actions they should take after leaving the train (e.g. remain on the platform or leave the station area). If possible, the interior car doors must be secured or held open to expedite passenger movement. Special attention must be paid to ensure that any passengers with disabilities are assisted to safety or that an appropriate alternate means of evacuation is provided. The Operator or other railroad or emergency personnel must confirm that all passengers have left the train before concluding the evacuation.

Bridge Train to Platform

1. When a second train is at a platform on the same track as the train to be evacuated, the trains may be coupled so that passengers can move to the second train to reach the station platform. Announcements must be made informing passengers that it is necessary to evacuate, the reason for the evacuation and providing any instructions they need to effect the evacuation. They must also be informed of the actions they should take after leaving the train (e.g. remain on the platform or leave

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the station area). Special attention must be paid to ensure that any passengers with disabilities are assisted to safety or that an appropriate alternate means of evacuation is provided. The Operator or other railroad or emergency personnel must confirm that all passengers have left the train before concluding the evacuation.

SAME CONSIST: AFFECTED CAR TO AN UNAFFECTED CAR.

Move passengers from the affected car to an unaffected car in the same consist

When the problem is isolated to a single car of the train passengers may be moved from that car to a position of safety in another car in the same consist. Before beginning any car to car transfer, the train must be stopped and three point protection applied. Announcements must be made informing passengers of the need to leave the affected car and directing them to move in an orderly fashion to the other car. If possible, the appropriate car body doors must be secured or held open to expedite passenger movement. Special attention must be paid to ensure that any passengers with disabilities are assisted to safety or that an appropriate alternate means of evacuation is provided. When the affected car has been evacuated it should be secured to prevent passengers from reentering. Upon completion of the car to car transfer, the Operator must contact the OCC for additional instructions before moving the train.

TRAIN TO TRAIN – SAME TRACK

Rescue Train on the Same Track

The OCC will coordinate and direct the rescue train that will be used to evacuate passengers. Whenever possible, the rescue train should be coupled to the train being evacuated. Announcements must be made informing passengers that it is necessary to evacuate, the reason for the evacuation and providing any instructions they need to effect the evacuation. They must also be informed of the actions they should take after leaving the train (e.g. moving to the rescue train). Special attention must be paid to ensure that any passengers with disabilities are assisted to safety. The Operator or other railroad or emergency personnel must confirm that all passengers have left the train before concluding the evacuation.

If it is not possible to couple the two trains, passengers should be evacuated onto the roadbed and then proceed onto the rescue train. The Operator or other railroad or emergency personnel must follow the prescribed method to ensure that the emergency ladders are properly installed and safe for use. If passengers will be on the roadbed then all of the requirements in Section 2.4 apply. Passengers must not be permitted to pass between trains that are not coupled unless a Safety Briefing has been held involving the Operators of both trains and field supervision to ensure that both trains have been properly secured against movement and that passengers will be able to cross safely from train to train. Before concluding the operation and allowing the movement of trains the Operator, other railroad personnel or emergency responders must confirm that all passengers have safely boarded the rescue train or are otherwise accounted for.

TRAIN TO ROADBED

Special Requirements for Evacuations to the right-of-way

Do not evacuate passengers onto the roadbed unless no other means of evacuation is possible. The OCC must approve and coordinate all evacuations to the roadbed. Approval should only be given when it is impractical or unsafe to mitigate the situation by other means such as moving the train to a station platform or making a train to train transfer.

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Whenever possible, a railroad official accompanied by emergency responders must be on the scene before any evacuation to the roadbed begins. However, if urgent circumstances necessitate it, the OCC or the railroad supervisor in charge may direct the evacuation to begin before emergency responders arrive.

Before beginning an evacuation that requires passengers to walk along the roadbed or to cross tracks, the Dispatcher must confirm that all trains on adjacent tracks are stopped and will remain stopped until the evacuation is completed.

Before beginning the evacuation, the Operator must place the brakes in emergency application, place the controller in the off position and apply the parking brake. This protection must remain in place until the evacuation is completed.

When there is any potential hazard from the catenary system such as catenary wires downed at or in close proximity to the evacuation site, catenary power must be removed and must remain so until the hazard has been mitigated or the evacuation is completed.

Special attention must be paid to ensure that any passengers with disabilities are assisted to safety or that an appropriate alternate means of evacuation is provided.

GENERAL PROCEDURE FOR EVACUATIONS TO THE ROADBED

The Operator or other railroad or emergency personnel on the scene will direct the evacuation as follows:

• The Operator or the OCC should inform passengers to prepare for an evacuation to the roadbed. • The Operator must confirm with the OCC that rail traffic is stopped and that the evacuation can proceed. • The Operator or other railroad or emergency personnel must determine the evacuation route, the assembly area for evacuees and the door(s) to be used for exit to the roadbed. • If necessary request assistance from passengers to assist the crew in directing and aiding other passengers. • Follow the prescribed method to erect the emergency ladder at the designated exit(s). • Station personnel at the door(s) to be used for the evacuation, preferably one at the door and one on the roadbed. • Direct passengers to proceed through the train to the designated exit(s).

Railroad personnel must direct emergency responders to any known disabled passengers who may require assistance to evacuate.

Designate railroad or other emergency personnel to lead passengers along the roadbed. If passengers cannot immediately leave the track area they should be directed to walk in the gage of the track, preferably the occupied track, to a designated assembly area or a location where they can safely leave the track area.

The Operator or other railroad or emergency personnel must confirm that all passengers have left the train and that all evacuees and other personnel are safely clear of the track area before concluding the evacuation.

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EVACUATIONS AT SPECIAL CIRCUMSTANCE LOCATIONS

Evacuating a train at a Special Circumstance Location should be avoided whenever possible. If the affected train is located in a designated Special Circumstance Location, the Operator must so inform the Dispatcher. When circumstances permit, every effort must be made to move the affected train clear of the Special Circumstance location prior to initiating any evacuation. At designated Special Circumstance Locations, railroad personnel must follow the evacuation procedures identified for that location. This includes the use of designated egress paths from the right of way and the use of designated areas of assembly.

Insert Table of Special Circumstance Locations

EM 6 EMERGENCY EQUIPMENT AND FEATURES

EM 6-A EMERGENCY EQUIPMENT AND FEATURES

RTDC passenger cars are equipped with the following features and equipment that may be used in an emergency situation:

Emergency Equipment and Features

Fire Extinguishers: each car is equipped with a fire extinguisher readily available for use. It is located in the Emergency Tool Locker at the F end of the passenger compartment..

Emergency Tools: each car is equipped with a pry bar, flash light and first aid kit marked by appropriate signage located in the Emergency Tool Locker at the F end of the passenger compartment.

Pantograph Poles: each married pair of cars is equipped with an insulated pantograph pole stored in a dedicated housing unit attached to the side of the “B” car frame, which is utilized to manually retract pantographs away from the catenary wire or unlatch from the down position.

Hand-held Emergency Lighting: all on-board personnel are required to carry a flashlight while performing duty on-board trains.

On-board Train Radios: each EMU control cab is equipped with a two way radio.

Portable Radios: each Operator is equipped with a hand-held portable radio that must be carried while performing duty on-board trains.

Passenger Emergency Intercom: each car is equipped with an intercom system that customers can use to communicate with the Operator or with the OCC in the event the Operator is unable to answer the call.

PA System: each car is equipped with a PA system that can be used by the Operator or the OCC to make on-board announcements throughout the train.

CCTV: each car is equipped with an on-board interior CCTV system that enables the Operator, the SCC or the OCC to view activity on the train..

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Emergency Ladder/transfer board: each car is equipped with a ladder that can be converted to a transfer board. It is stored in the baggage area adjacent to the vestibule in the A end.

Emergency equipment and features must be used only in the event of an emergency, and for the purpose intended. Missing and damaged equipment, or used fire extinguishers, must be reported to the Mechanical Department as quickly as possible.

M 6-B HYUNDAI-ROTEM EMU CARS EVACUATION INSTRUCTIONS

Figure 1 - Emergency Instructions Placard

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EM 7 SPECIAL CIRCUMSTANCES

EM 7-A ELECTRIFICATION

The entire RTDC system is electrified. When there is any potential hazard from the catenary system such as catenary wires downed at or in close proximity to the site of a passenger train emergency, catenary power must be removed and must remain so until the hazard has been mitigated or the evacuation is completed. If catenary power must be removed procedures in the Electrical Operating Instructions RTDC- E1 will apply.

EM 7-B PARALLEL OPERATIONS

Both the Burlington Northern Santa Fe and Union Pacific railroads operate parallel to RTDC along various segments of RTDC’s alignment (see Table 1). In the event of an emergency situation in an area where there are parallel operations, the Dispatcher must ensure proper notification is made to adjacent rail modes of transportation.

Once the Dispatcher has been notified that an emergency situation has occurred where parallel operations take place, the Dispatcher must make immediate notification to the adjacent property.

As a component of mutual emergency notification protocols, Operators of parallel rail operations are provided with RTDC emergency contact information. The emergency contacts for all parallel operators are included in Appendix K – RTDC Standard Operating Procedure – Emergency Notifications.

Table 1

Parallel Operations

Adjacent Sub- From RTDC LINE Railroad Division division MP To MP

East Corridor UPRR Denver Greeley 0.43 2.05

East Corridor UPRR Denver Limon 629.53 637.33

Northwest

Electrified Powder Front Segment BNSF River Range 0.39 5.90

Moffat Gold UPRR Denver Tunnel 4.34 6.53

Northwest Electrified Moffat Segment UPRR Denver Tunnel 3.32 3.53

Powder Gold BNSF River Golden 5.04 10.83

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EM 7-D JOINT OPERATION

RTDC conducts joint operations with Amtrak and BNSF in DUS Interlocking. (Instructions TBD)

EM 7-E SPECIALCIRCUMSTANCE LOCATIONS (SEE EM 4 (7)

EM 8 MEDICAL EMERGENCIES

In all cases, care of ill or injured persons is the highest priority. If, for any reason, these procedures cannot be followed, employees will use any means available to secure immediate medical attention, following up as soon as possible with notification to proper Company authority. In all areas, local emergency assistance can be secured by calling 911 on an outside phone.

Non-emergency medical situations must be handled in accordance with TBD

EM 8-A MEDICAL EMERGENCIES ON BOARD TRAINS

If a medical emergency occurs on board a train:

1. The Operator must immediately inform the OCC Dispatcher, providing as much information as possible about the person's condition and location on the train. Unless the Operator, through conversation with the ill or injured person, or qualified medical personnel can positively determine that the person's condition does not require emergency treatment, all appropriate measures must be taken to provide immediate medical assistance.

2. The OCC Dispatcher will instruct the train to stop at the next forward station. The OCC Dispatcher will contact the Police and provide the current location of the train, the station where the train will be stopped, approximate arrival time for the train and any available information about the person's location on the train and condition.

3. The Operator will:

a. Attempt to secure medical assistance on the train by making an announcement requesting assistance from qualified medical personnel (doctors, nurses, EMTs);

b. Render first aid to the extent that they are capable;

c. To the extent possible, isolate the ill or injured person by asking other customers who are not assisting to move to other sections of the car;

d. Not attempt to move the ill or injured person until directed by qualified medical personnel or first responders;

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e. Provide regular updates on the person's condition to the OCC Dispatcher;

f. Notify the OCC Dispatcher when emergency assistance arrives on the scene; and

g. Assist emergency personnel to the extent possible.

EM 8-B MEDICAL EMERGENCIES AT OTHER LOCATIONS

1. If a medical emergency occurs along the right-of-way, other than in a station, shop, yard or other facility, the employee-in-charge will contact the OCC Dispatcher, providing as much information as possible regarding the location and the nature and extent of the illness and injury. The OCC Dispatcher will notify 911 to dispatch emergency assistance.

2. In stations, shops, yards and other facilities, the employee-in-charge will call 911directly. As soon as time and conditions permit, the employee-in-charge will also notify local supervision.

EM 8-C REPORTING

In any case involving illness or injury to an employee, customer or any other person on railroad property, the responsible employee will complete the necessary reports and documentation as soon as possible, in accordance with the General Safety Instructions and other applicable instructions.

EM 9 HAZARDOUS MATERIALS

TBD

EM 10 SPECIAL SECURITY MEASURES

EM 10-A SUSPICIOUS PERSONS AND OBJECTS

At all times, RTDC employees and employees of foreign railroads on RTDC property must be alert to suspicious persons and objects on trains, in stations, at company facilities and along the right-of-way. Suspicious persons and objects are those which, in the opinion of the observing employee, have the potential to cause harm to persons or damage to equipment or property.

Employees must use their best judgment in determining when a person or object should be considered suspicious. Normal procedures, rather than these special security measures, must be followed for everyday lost and found articles, disruptive customers and other common situations. Nonetheless, if the observing employee has any doubt about the seriousness of the threat or the proper procedure to apply, they should not hesitate to take whatever action is necessary to protect the health and safety of the customers, employees and the general public.

10-A{1) THE FOLLOWING ARE GENERAL GUIDELINES TO ASSIST EMPLOYEES IN GAUGING WHETHER A PERSON OR OBJECT SHOULD BE CONSIDERED SUSPICIOUS.

A suspicious person:

• Acts unusually curious, loiters, paces, acts nervous or jumpy;

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• Quickly exits an area after abandoning a package; • Wears clothes that are baggy or inappropriate to the season or the person;. • Is in a non-public area or along the right-of-way and doesn't have proper ID, uniform or safety gear.

The determination of whether a person is suspicious must be based on their actions, and not solely on the basis of race or perceived national origin, clothing, accessories or language being spoken.

A suspicious object:

• Is abandoned by someone quickly leaving the area, or is left unattended for a significant period of time; • Is found in an out-of-the-way location; • Does not have any identification readily visible; • Gives off an odor, mist or oily liquid; • May feature one or more of these items: • A thermos, fire extinguisher or piece of pipe • Wires, batteries, a clock or timer • A bottle containing unusual objects or colored liquid.

10-A{2) ACTIONS TO BE TAKEN

1. Operators or other employees observing suspicious persons on a train should notify the Operator, who will contact the OCC Dispatcher and ask for police assistance. The Operator should provide the OCC Dispatcher with as much of the following information as possible:

a. A physical description of the person, including gender, approximate height, weight, hair color, facial hair (if any), clothing, and any distinguishing features;

b. Where the person is located on the train, or where the person left the train;

c. The reason the observing employee considers the person suspicious.

To the extent possible, the employee making the report or The Operator should continue to observe the person discreetly until the police arrive.

2. Operators or other employees observing unattended articles on the train should make inquiries of customers in the vicinity of the article regarding its ownership; for example, did the owner simply get up to change seats. If ownership cannot be determined, the OCC Dispatcher must be notified. The Operator or other employee should observe the object for the characteristics listed in section 4- A(1) of this instruction; however, under no circumstances should the object be touched, opened or moved until it is positively determined that it is not dangerous.

If ownership of the article cannot be determined, and if the observing employee and/or Operator believe the package is suspicious, as defined in section 10-A(1), the Operator must contact the OCC Dispatcher and request police assistance. The Operator must also determine if the situation warrants

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evacuation of the area where the article was found; if so, such evacuation must be done as calmly and efficiently as possible, informing customers that there is an unattended object (package, suitcase, etc.) in the area and asking them, as a precaution, to move as quickly as possible to an area of safety, generally another car of the train or, if at a station, onto the platform away from the affected car or as directed by the police. The OCC Dispatcher must be informed of the actions being taken by the Operator, and of any instructions issued by emergency responders to the Operator.

3. Operators or other employees observing suspicious articles in stations, facilities or along the right- of-way should contact the OCC Dispatcher (if observed from a train) or the Police. The employee should provide the location, a description of the article, and the reason they consider it suspicious. If possible, the observing employee should attempt to secure the area pending the arrival of emergency response personnel

EM 10-B HEIGHTENED SECURITY ALERT STATUS

Based on guidance from law enforcement or the Department of Homeland Security, RTDC senior management may place the railroad on "Heightened Security Alert" status. Employees should be aware this Alert Status may be used as a precautionary measure, and does not necessarily indicate that there is a specific threat to this railroad or the Denver Metropolitan Region.

Employees will be informed of the Heightened Alert Status verbally by the OCC Dispatcher, by an Operations Manager, or by a CROC.

In Heightened Alert Status, all employees are expected to be especially vigilant for any unusual or suspicious person, object or activity on trains, in stations and facilities, or along the right-of-way. In addition, the employees may be directed to implement additional Enhanced Security Actions. These may include but are not limited to:

1. Pre-departure train sweeps - Prior to departure from initial terminals and turnaround locations, Operators will make a thorough inspection of the interior of the train for unattended or suspicious packages and objects, paying particular attention to cabs, toilets, equipment lockers, overhead racks and the area under seats. If such an object is found, the employee-in-charge (Operations Manager, Mechanical Foreman or OCC Dispatcher, depending on location) must be notified immediately, and will contact the Police. Customers will not be permitted to board the train and/or the train will not be moved from the yard until cleared by the police.

2. Operators, when not engaged in other duties required for train operation, will pay particular attention to overhead racks and areas under seats. During a train a train sweep, Operators should be alert for atypical and suspicious actions, particularly if they involve suitcases, bags or packages.

3. Operators must ensure that unoccupied operating cabs have their windows completely closed and doors locked.

4. Operators and other employees on the head or rear ends of trains will pay particular attention, consistent with their other job responsibilities, for suspicious articles, persons or activities along the right-of-way.

5. When unusual or suspicious persons and objects are observed, the procedures given in section EM 4-A will be followed.

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6. Additional Security Announcements - Operators will be directed to make the following PA announcement at least twice on inbound trains and at least once, immediately after departure from DUS, on outbound trains:

"Please assist us in ensuring the security of our trains. Keep your personal articles in sight at all times, and remove newspapers and trash from the train when you leave so that we can more quickly spot any suspicious objects. If you see something out of the ordinary, inform the Operator via the Passenger Emergency Intercom. Thank you for your cooperation."

7. In addition to the measures above, Operators and other personnel may be directed to implement additional security measures. These measures will be communicated verbally by the OCC or issued by a CROC.

EM 10-C SYSTEM-WIDE TRAIN EVACUATION PROCEDURES

Under extreme circumstances, it may be necessary to order the evacuation of all trains on the railroad due to security concerns. A special code phrase "TBD" will be utilized only in this special situation. The OCC Supervisor or senior Operating Officer on duty must authorize the use of the phrase "Code TBD".

Operators will take the following action when informed, by radio or other means, that "Code TBD" is in effect:

1. Revenue passenger trains are to stop at the next station platform in the direction of travel.

2. Operators will spot revenue trains so that the head revenue car is at or opposite the extreme far end of the platform, except that where there are no island platforms, and if there is a train already stopped at the station, the arriving train will align its doors as closely as possible to those of the stopped train to allow the train on the platform to be used for transferring customers.

3. Non-revenue trains, whether on inside or outside tracks, will stop at the closest spot past the next station platform where the Operator can safely evacuate the train, leaving the platforms and tracks opposite platforms clear for revenue trains.

4. When the train is stopped on a platform, the following announcement will be made.

"As a security precaution, we are being asked to evacuate the train at this station. Please gather your personal belongings and exit the train quickly and calmly, moving at least 300 feet away from the platform to make room for the people behind you, and await further instructions. Thank you for your cooperation."

Prior to leaving the train, the Operator or other employee must ensure that there are no customers remaining on board.

1. When the train is stopped but is not on a platform, the following announcement shall be made:

"Due to police activity, we have been asked to remain here until we receive further instructions. Please listen for announcements. Thank you for your cooperation."

2. Operators or other employees must then immediately walk through both cars to ensure that all customers heard the announcement and to answer any questions.

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3. When the train is stopped but is not on a platform, Operators or other employees will not initiate an evacuation unless instructed by the OCC Dispatcher or other authorities.

Every effort must be made to prevent customers from self-evacuating the train to the right-of-way. However, if self-evacuation has started, the crew must make an "EMERGENCY" radio transmission, with train number, location, and the track, to warn the OCC Dispatcher and approaching trains and to institute a de- energization of the OCS, if applicable. Operators or other employees will then assist customers in leaving the train and reaching a point of safety.

4. Once customers have evacuated, the engineer will leave the train as spotted unless instructed otherwise, and will attempt to radio the OCC Dispatcher with notification of the train's location and status prior to leaving the train. The Operator must ensure that parking brakes are applied. All doors should be closed except for one leaf to provide access for emergency responders. The Operator and other employee should move at least 300 feet away from the platform, to the same location as their customers.

If the OCC Dispatcher cannot be reached by radio or other means, Operators should attempt to contact the TBD.

5. The OCC will be the primary point of contact for RTDC crews during an evacuation. As soon as they reach the safe evacuation point, Operators must contact the Dispatcher with their names, train number, location, and possible contact information (cell phone number, etc.). Operators must check-in with the OCC at least once an hour for updates.

6. Once the Operator reaches the evacuation point, he/she must:

• Remain at the assembly area until relieved or directed to do other duties by the OCC or a company official. • Provide any available information and all possible assistance to customers; • Identify themselves to emergency response workers and company officials on the scene, and offer assistance; • Monitor the portable radio at all times.

Operators will not leave the evacuation area unless directed by proper authority.

7. As in any security or public safety situation, every effort must be made not to induce panic or cause customers to become unduly alarmed.

Modifications to these instructions may be required for specific situations, and employees will be governed by directives issued from the OCC Dispatcher or from RTDC supervision, and by orders issued by police, fire or emergency response officials.

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APPENDIX NUMBER 7 Information required by the Positive Train Control Enforcement and Implementation Act of 2015

The tables that follow provide the information required by the Positive Train Control Enforcement and Implementation Act of 2015.

Spectrum

Locomotives

50 4 NA NA 54 On-board Apparatus Locomotive Radios 50 4 NA NA 54

Total Number of 50 4 NA NA 54 Locomotives to be Fully Equipped Infrastructure

Physical Back Office 1 NA NA NA 1 System Equipment

Infrastructure (Wayside – by Subdivision or Installation Segment)

Subdivision / Installation Segment: East Corridor

Wayside Interface 42 NA NA NA 42 Units Communication 31 NA NA NA 31 Towers or Poles Switch Position 0 NA NA NA 0 Monitors Wayside Radios 0 NA NA NA 0

Base Station Radios 62 NA NA NA 62

Subdivision / Installation Segment: Gold Line

Wayside Interface 19 NA NA NA 19 Units Communication 8 NA NA NA 8 Towers or Poles Switch Position 0 NA NA NA 0 Monitors Wayside Radios 0 NA NA NA 0

Base Station Radios 16 NA NA NA 16

Subdivision / Installation Segment: Northwest Electrified Segment

Wayside Interface 17 NA NA NA 17 Units Communication 11 NA NA NA 11 Towers or Poles Switch Position 0 NA NA NA 0 Monitors Wayside Radios 0 NA NA NA 0

Base Station Radios 22 NA NA NA 22

Interoperability Plans for Interoperability RTD is not an interoperable I-ETMS railroad, thus no interoperability testing is planned.

Plan Submissions PTC Development Plan Submission: FRA-TA-2011-02-C PTC Safety Plan Submission: Before 31Dec2016