QUALIFIED MAINTENANCE PERSON TRAINING (QMP) TRAINING 279
RAILROAD WORKPLACE SAFETY 280
EMERGENCY PREPAREDNESS 280
HVAC AND REFRIGERANT HANDLING TRAINING 280
CARMAN TRAINING 281
SIGNALMAN TRAINING 281
OTHER CRAFT TRAINING 282
NEW EMPLOYEE TRAINING 282
SPECIALIZED TRAINING 282
PENDING FRA MANDATED CRAFT TRAINING & QUALIFICATION 284
OPERATOR DELIVERABLE REQUIREMENTS LIST 284
CONSTRUCTION SUPPORT INCLUDING PTC 286
CAPITAL PROJECT SUPPORT 286
POSITIVE TRAIN CONTROL 287
MOBILIZATION SCOPE AND DURATION 292
WEEKLY STATUS MEETINGS 294
SERVICE READINESS 295
MATERIAL MANAGEMENT 295
OPERATOR’S COSTS FOR MOBILIZATION SERVICES 295
OPERATOR DELIVERABLE REQUIREMENTS LIST 296
AFFIRMATIVE ACTION/EQUAL OPPORTUNITY/DBE 297
DIVERSITY REQUIREMENTS 297
DBE OVERVIEW 297
DBE REQUIRED SUBMISSIONS THAT ARE INCORPORATED INTO THE AGREEMENT 297
MONITORING OF CONTINUED COMPLIANCE 298
TERMINATION OR SUBSTITUTION OF DBE SUBCONTRACTOR 299
OPERATOR’S ASSURANCE TO IMPLEMENT 49 CFR PART 26 300
PROMPT PAYMENT 300
SANCTIONS FOR VIOLATIONS 301
AFFIRMATIVE ACTION, EQUAL OPPORTUNITY, AND NONDISCRIMINATION: 301
REPORTING AND SUBMITTALS 311
INCIDENT MANAGEMENT AND NOTIFICATIONS 311
REPORTING AND RECORDKEEPING REQUIREMENTS 311
Operator Deliverable Requirements list 313
INTELLECTUAL PROPERTY; OWNERSHIP 334
1.IT OWNERSHIP 334
2.GRANT OF RIGHTS TO MBTA 335
3.GRANT OF RIGHTS TO OPERATOR 337
4.DELIVERY OF CERTAIN MATERIALS THAT EMBODY IP RIGHTS 338
5.OPERATOR SOFTWARE SOURCE CODE ESCROW 338
INFORMATION TECHNOLOGY REQUIREMENTS 352
1.INFORMATION TECHNOLOGY OVERVIEW 352
2.BASELINE IT ENVIRONMENT. 353
3.NEW IT COMPONENT ENVIRONMENT. 355
4.OPERATOR-PROVISIONED IT ENVIRONMENT. 357
5.INTERACTION BETWEEN THE MBTA INTERNAL IT ENVIRONMENT AND THE COMMUTER RAIL IT ENVIRONMENT. 362
6.IT TECHNICAL DOCUMENTATION. 364
7.IT OPERATIONS SERVICES. 364
8.IT SUPPORT AND MAINTENANCE SERVICES 373
9.IT TRAINING SERVICES. 383
10.INTELLECTUAL PROPERTY. 384
11.IT SECURITY. 384
12.SERVICE LEVEL AGREEMENTS AND SERVICE CREDITS. 384
13.MBTA MONITORING AND OVERSIGHT OF THE COMMUTER RAIL IT ENVIRONMENT. 385
14.MBTA ACCESS TO COMMUTER RAIL IT ENVIRONMENT. 386
15.AUDITS OF IT DATA AND RECORDS BY THE MBTA. 387
16.IT TRANSITION SUPPORT. 387
Appendix 1 to Schedule 3.16:
Relevant Baseline Software 391
Appendix 2 to Schedule 3.16:
IT Technical Documentation. 400
1.Inventory documents: (i) Complete asset inventory; (ii) Current by-site list, role-based and sortable list of IT assets; (iii) Owner and serial list inventory; and (iv) History of retired or destroyed equipment, tied to asset control and Ticket information, detailing disposal reason and purpose. 400
2.Systems documents: (i) Build guides; (ii) System lists; and (iii) Configuration documents. 400
3.Networks: (i) Logicals; (ii) Connection diagrams; (iii) Site diagrams; (iv) Inter-site diagrams; (v) Ports, protocols and services (PPS) listing for site integration; and (vi) Interface diagrams. 400
4.Storage: (i) Configuration logicals; (ii) Replication diagram; (iii) Access controls; and (iv) Backup and restore procedure. 400
5.Access: (i) Access control list; (ii) Covers rights and level of access; and (iii) Approval process and procedure for gaining and revoking access. 400
6.Logical: (i) Complete systems diagram; (ii) Complete site diagrams; and (iii) Aggregate logical diagrams. 400
7.Architecture: (i) Security posture; (ii) Compliance mechanisms; (iii) Growth direction and support plan; (iv) Capacity guidelines; and (v) Security Architecture and Stance. 400
8.Baseline: (i) Configuration; (ii) Images; and (iii) Template forms and documents. 400
9.Compliance Scans 400
10.Policy and operational guidance documents 400
Appendix 3 to Schedule 3.16:
Operator CIO Responsibilities 401
Appendix 4 to Schedule 3.16:
ITIL Services Breakdown Structure 402
1.Service Strategy 402
Appendix 5 to Schedule 3.16:
MBTA Policies 406
Appendix 6 to Schedule 3.16:
Project Management Institute Guidelines 407
Appendix 7 to Schedule 3.16:
Configuration Management 409
1.Change/Configuration Management. 409
Appendix 8 to Schedule 3.16:
Operator Service Center Requirements 412
1.Operator Service Center Technical Requirements. 412
Appendix 9 to Schedule 3.16:
Commuter Rail IT Environment Information Gathering Methodology 413
1.Baseline Methodology for Information Gathering. 413
Appendix 10 to Schedule 3.16:
Current Site List 416
IT SECURITY 417
2.PAYMENT CARD SECURITY STANDARD 423
3.OPERATOR SECURITY POLICIES AND STANDARDS. 425
4.SECURITY; INFORMATION ASSURANCE. 427
Appendix 1 to Schedule 3.17:
Disaster Recovery (DR) and Business Continuity (BC) Support Services 430
1.Disaster Recovery (DR) and Business Continuity (BC) Support Services. 430
SERVICE LEVEL AGREEMENT AND SERVICE CREDITS 434
1.GENERAL OVERVIEW. 434
2.FREQUENCY AND TYPE OF MONITORING; REPORTING. 434
3.REPORTING FORM. 435
4.ROOT CAUSE ANALYSES; RESOLUTION OF FAILURES. 435
5.SERVICE LEVEL MEASUREMENT PERIOD. 436
6.AUTHORIZED SERVICE INTERRUPTIONS. 436
7.REQUESTING AN AUTHORIZED SERVICE INTERRUPTION. 436
8.AVAILABILITY SERVICE LEVEL AGREEMENTS EXCEPTIONS. 437
9.SEVERITY LEVELS. 437
10.SEVERITY LEVEL FOR CUSTOMER INCIDENT COMMUNICATIONS. 438
11.BASELINE RELEVANT SOFTWARE; SYSTEM APPLICATIONS; MISSION CRITICAL AND MISSION SUPPORT SERVICE LEVELS. 439
12.SERVICE CREDITS. 440
13.REVISIONS TO SERVICE LEVELS AND SERVICE CREDITS. 441
14.COMMUTER RAIL IT ENVIRONMENT AVAILABILITY. 443
16.OPERATOR WEBSITE. 454
17.OPERATOR SERVICE CENTER 456
18.INTERACTIVE VOICE RESPONSE 459
19.RESPONSE AND RESOLUTION OF INCIDENT COMMUNICATIONS 462
20.REPORTS, PLANS AND OTHER DELIVERABLES. 471
21.DISASTER RECOVERY 473
23.GUARANTEED ASSET INVENTORY AND CONNECTION DIAGRAMS 478
24.BUSINESS CONTINUITY AND CONTINUATION OF OPERATIONS 479
26.SERVICE LEVEL DEFINITIONS AND METRICS FOR AGREEMENT SERVICES OTHER THAN OPERATOR IT SERVICES 481
[This page intentionally left blank] TRANSPORTATION SERVICES
The Operator shall perform the Transportation Services. Except as specifically set forth in this Schedule 3.1 (Transportation Services), the performance of all Transportation Services shall be included within the Annual Fee.
THE TRANSPORTATION SERVICES
The Operator shall operate, manage and staff MBTA Commuter Rail Services on (a) the rail lines contained within the Service Property (including, for avoidance of doubt, the Worcester Line), (b) the Amtrak line from the Massachusetts State Line to North Kingston, Rhode Island, and (c) the Pan Am line from Fitchburg to Wachusett, Massachusetts all as described in the Employee Timetable.
The Operator shall provide the Transportation Services in accordance with the Service Schedules established by the MBTA as currently found on the MBTA’s public website and as may be revised during the Term.
The Operator shall provide sufficient professional capacity so as to effectively evaluate operations in coordination with the MBTA. This professional capacity shall include service evaluation, planning, and design functions which will be subject to written approval by the MBTA.
The Operator shall comply with the incident management and notification procedures set forth in Section 9 (Incident Management and Notification) of this Schedule 3.1 (Transportation Services).
The Operator shall develop and submit a Transportation Service Plan for MBTA approval no less than 60 days after NTP (ODRL 3.1-001). The MBTA shall approve or return the Transportation Service Plan to the Operator for revision no more than 30 days after submission. The Operator shall make necessary amendments and re-submit plan for MBTA approval within 30 days of receipt. The MBTA shall grant approval or return the plan to the Operator within 20 days. In the event the plan is disapproved twice, the Operator shall arrange to immediately convene a meeting between the Operator General Manager and his or her appropriate staff and the MBTA Senior Director to discuss and resolve the issues preventing plan approval.
The Transportation Service Plan shall include details of all train service, staffing, revenue collection, including a Train Staffing Plan (as set forth in Sections 6.11 -6.15 of this Schedule 3.1 (Transportation Services)) operational test plans, a drug and alcohol test policy, an attendance control policy and a code of conduct. This plan must comply with all FRA Regulations, APTA Recommended Practices and other applicable federal, state and local regulations and guidelines including consent decrees and restrictions on locomotive idling found in the consent decree from United States of America v. Massachusetts Bay Transportation Authority, Civil Action No. 10-11311 (D. Mass).
The Operator shall submit an update of the Transportation Service Plan annually on April 1st of each year for MBTA review and written approval (ODRL 3.1-002). Updates to the Transportation Service Plan may be required more often as required by Service Changes or as required by notice in writing by MBTA’s Senior Director. The MBTA shall approve or return the updated Transportation Service Plan to the Operator for revision no more than 20 days after submission. The Operator shall make the requested changes and re-submit the plan in no more than 10 days or propose reasonable alternatives to the MBTA’s requests within 30 days. All changes proposed by the Operator are subject to MBTA written approval.
Each update shall address anticipated surges in ridership due to special events such as athletic contests, concerts, circuses, civic festivals and holiday travel and refer to any additional crew and consist rolling stock needs such as for anticipated new rolling stock test and qualification trains and other Special Trains.
The Operator shall also submit Transportation Service Plan updates for proposed changes in service made in support of work having a direct impact on service delivery.
The Operator shall provide Commuter Rail Services in accordance with the Service Schedules.
The Operator shall determine, record, calculate and report to the MBTA the On Time Performance of all trains for each route on which Operator is providing Commuter Rail Services (ODRL 3.1-003). “On Time Performance” shall be reported in terms of an on time performance percentage where,
The denominator for each calculation shall be the number of trains scheduled during the reporting period for the appropriate group of routes.
The numerator for the calculation shall be the number of scheduled trains LESS the sum of (a) number of Cancelled Trains; (b) the number of Terminated Trains and (c) the number of trains arriving at their final terminal more than four minutes and fifty-nine seconds (4:59) later than scheduled.
The Operator shall maintain, in electronic form in the Commuter Rail IT Environment, a historical record of On Time Performance for each trip for which the Operator is providing Commuter Rail Services (ODRL 3.1-004). The Operator shall also maintain records of the number of Late Trains, Cancelled Trains and Terminated Trains (ODRL 3.1-005).
The Operator shall produce daily, monthly, and annual reports including On Time Performance and the number of Customer Delays, Late Trains, Cancelled Trains, and Terminated Trains in electronic form using the Commuter Rail IT Environment (collectively, the "OnTime Performance Reports") (ODRL 3.1-006). On Time Performance shall be summarized for each route, division, and system-wide by each Peak Commuter Period and Off-Peak Commuter Period. Within ten (10) days from the MBTA's request (and at no additional cost to the MBTA), the Operator shall also provide to the MBTA On Time Performance Reports covering specific time periods and information that the MBTA designates (each, a "Supplemental OnTime Performance Report") (ODRL 3.1-026). By way of example, and not limitation, a Supplemental On Time Performance Report may consist of the number of Late Trains on a particular route over a four (4) month period.
The MBTA reserves the right, at any time, to make changes to the Service Schedules and will provide written notice to the Operator of at least sixty calendar days. Advance notice to the Operator may be less than sixty calendar days if both Parties mutually agree (agreement not to be unreasonably withheld or delayed by either Party), or in case of an Emergency or Force Majeure event.
The MBTA anticipates changing its schedules two times per year, in April and October. All costs associated with the administrative work needed to effect these two schedule changes shall be included in the Annual Fee.
In making schedule changes, the MBTA shall consult with the Operator and shall consider the following: (i) schedules shall promote On Time Performance with a high degree of reliability; (ii) schedules shall contain sufficient time to accommodate scheduled operations of all trains.
The Operator is expected to propose changes to the Service Schedules, provided that final approval of all schedules shall be within the sole discretion of the MBTA.
The Operator shall cooperate with Amtrak, Pan Am, CSX and all other necessary Third Parties to assure the coordinated provision of commuter rail, intercity passenger, and freight services over the rail lines included in the Service Property. In particular, the Operator shall comply with the provisions of (a) the Agreement between Amtrak and MBTA for Use and Maintenance of the MBTA Attleboro Line, dated July 1, 2003, (b) the Agreement between CSX and the MBTA for the Purpose of Granting the MBTA Certain Rights to Conduct Passenger Service, dated September 19, 1999, and as amended from time to time, (c) as applicable, the Agreement between the Commonwealth of Massachusetts and CSX pertaining to the Purchase and Sale of Certain Assets, dated October 10, 2008, (d) the South County Operating Agreement by and between the MBTA and the State of Rhode Island and Providence Plantations, dated September 30, 2010, and (e) the Deed from the Trustees of the Boston and Maine Corporation to the MBTA, dated December 24, 1976. The MBTA shall share these, and any other third-party rail agreements that it determines to be relevant, with the Operator.
The Operator shall not make scheduled or unscheduled train stops at MBTA or Operator employee work locations, such as CRMF, Southside S&I, and the Southampton Street Yard, to allow employees to board or alight from trains without prior written approval from the MBTA.
TICKET SALES, AND REVENUE ACCOUNTING
The Operator shall charge and collect Fares from all customers in accordance with Fare schedules established by the MBTA, and shall be responsible for the security of all Fares and revenues received.
The MBTA shall set Fare policy for the service and arrange for the printing of ticket stock and passes at its sole expense.
The Operator shall sell one-way, round-trip, ten trip and MBTA commuter rail, transit and bus system Monthly Passes and such other tickets as the MBTA shall provide including mobile ticketing options. The MBTA will also directly sell Monthly Passes through varied locations including, but not limited to, selected downtown subway stations, individual commercial establishments, U.S. Mail, e-commerce and employer programs.
The Operator shall develop and provide written Fare collection procedures for ticket selling, Fare collection, and Fare verification to the MBTA no later than 120 days after NTP for MBTA review and approval (ODRL 3.1-007). Such approval shall not be unreasonably withheld.
The MBTA or Operator may propose changes to existing ticket selling, Fare collection, and Fare verification procedures. All proposals for procedural changes initiated by the MBTA shall be implemented. Any proposals for procedural changes initiated by the Operator must be approved by the MBTA before implementation (ODRL 3.1-008).
All Commuter Rail Services Revenue received by the Operator, whether by cash, credit card, debit card or otherwise, shall be deposited or otherwise transferred daily by the Operator to an account designated by the MBTA. As between the Parties, the MBTA shall be responsible for Credit Card Transaction Fees.
The Operator shall report to the MBTA, on a daily basis, the daily Commuter Rail Services Revenue collected and deposited by the Operator, and tickets sold by the Operator (ODRL 3.1-009). The MBTA shall audit Fare collection records on a monthly basis (or more frequently at its discretion) during the Term.
The Operator shall sell tickets for Commuter Rail Services from 5:30AM through 12:00AM weekdays and 7:00AM through 11:00PM weekends and holidays at the staffed ticket offices located at North Station, South Station, and Back Bay Station. With the prior approval of the MBTA, the Operator may arrange ticket sales, by Operator Personnel or Third Parties, at additional locations. Unsold Monthly Passes shall be returned by the Operator to the MBTA, organized by zone and in numeric sequence (ODRL 3.1-010).
The Operator shall sell tickets for other rail carriers, including Amtrak, pursuant to any agreements relating thereto among any of the Operator, the MBTA, Amtrak or other rail carriers.
The Operator shall accept cash, checks, major credit cards, debit cards and transportation vouchers for payment at North Station, South Station, and Back Bay Station.
The Operator shall, at all times, provide qualified Operator Personnel in accordance with Schedule 3.10 (Training of Operator Personnel) in sufficient numbers to perform Transportation Services as further detailed in this Agreement including, but not limited to, this Schedule 3.1 (Transportation Services).
The Operator shall designate a senior transportation official to oversee Transportation Services and act as the single point of contact for all matters regarding train operations (the “Chief Transportation Officer”). The Operator must designate a replacement, in writing, whenever the Chief Transportation Officer is absent or the position is vacant awaiting a permanent replacement.
The MBTA recommends that the Transportation Services Department be organized as illustrated in Figure 1. The Operator may propose a different management structure within 90 days of NTP subject to MBTA approval as required in Schedule 3.9 (Management and Personnel) (ODRL 3.1-011).