Introduction Technical Subcommittee developed and completed a technical specification for a Single-level Passenger Trainset on November 18, 2010 that was approved by the Executive Board Executive Board created a Review Panel consisting of the States and the FRA to determine: 1. Did the Technical Specification as produced meet the technical design, performance and operational requirements and objectives and confirm compliance with all PRIIA mandates? 2. Did the Trainset Technical Specification define the Development Methodology and Provide for Verification of Compliance with Technical Specification Requirements? 3. Did the Technical Specification development process undertaken by the Technical Subcommittee meet the inclusive process requirements of PRIIA? Review Panel retained a support consultant, Larry Salci, to assist the Review Panel in its responsibilities It is Mr. Salci’s professional opinion that the PRIIA Sec 305 single level passenger trainset technical specification meets the NGEC Executive Board Requirements Document which includes major design objectives and performance and operations requirements, and therefor, recommended approval of the trainset technical specification by the Review Panel for consideration by the Executive Board at its August 2, 2011 meeting

Scope of Report The Executive Board of the NGEC established a Technical Subcommittee to perform the following three tasks: 1. Develop a Technical Specification that addresses specific design objectives and requirements and conforms to PRIIA mandates; 2. Summarize the Trainset Technical Specification in a manner that provides the Executive Board the information necessary to determine that the Specification complies with all PRIIA requirements and is ready for approval; 3. Document the methodology by which the Technical Specification was developed, reviewed, and approved by the Technical Subcommittee to verify inclusive industry participation

Task 1. Develop Specification that Addresses Specific Design Objectives and Requirements and Confirms Compliance with All PRIIA Mandates The cars at the extreme ends of the trainset shall be specifically designed for that location; intermediate cars will not be placed at the end of the consist The structure of the Trainset will be considered to act as a unit; car length up to 85’; and carbody of four car types, Coach car, Cab/Baggage car, Café/ lounge car, and Business Class car Designed for all FRA Tier I requirements, performance spec up to 125 mph Design allows for new fleet of trainsets and full compatibility for operation with existing single level cars and locomotives Design will provide for proven reliable technology, maintainable, cost effective and durable with carbody and truck minimum design life of 40 years Design is operationally and functionally compatible with wide spectrum of environmental and physical conditions in North America Design meets FRA Tier I crashworthiness and incorporates Collision Energy Management (CEM) features into the design Design permits any car type defined in specification to be converted to any other car type without requiring modifications to carbody, except possibly Cab Car Design complies with all Federal (FRA, EPA, ADA, etc.) regulations and industry standards and best practices Minimum capacity of 60 revenue seats per nominal 85’ of coach class car length. Trainsets will typically be less than 900 ft. in length

Task 2. Summarize Trainset Technical Specification and Methodology to Verify Compliance with the Technical Specification Requirements The following is a List of the Tables Developed to Summarize the Selected Specification Performance and Operational Requirements and to Verify Compliance with the Technical Specification Requirements 1. Operational/Performance Requirements 2. Interoperability Requirements 3. Safety Requirements 4. Reliability and Maintainability Requirements 5. Passenger and Amenity Requirements 6. Communication and Electrical Controls 7. Vehicle Standardization Initiatives 8. Environmental Initiatives 9. Regulatory and Industry Standards 10. Trainset Test and Acceptance Requirements

1. Operations/Performance Requirements Trainsets can operate without restriction in North America except to/from NYC Grand Central and Penn Station when powered by Diesel/Electric loco due to emissions requirements Speed and operations issues will be governed by FRA regulations, track conditions, and host railroads Trainsets capable of negotiating 250 ft. radius horizontal curve, 1,000 ft. vertical curve (concave and convex), 5 in. cant deficiency, and no more than 50% wheel unloading stopped on 7 in. super elevation HVAC maintain interior temp for operation at ambient temps in range of -30 F to 110 F Trainsets designed and tested for up to 125 mph operation on Class 1-7 track Continuous operation in corridor service up to 1,200 miles per day, up to 20 hours per day (600 mile operating range with fluids/supplies) Tilting technology, either passive or acting, optional requirement All trainsets shall be equipped with Electronically Controlled Pneumatic (ECP) brake system, and at trainset ends be compatible with type 26C/26L air brake equipment Trainsets designed for low-level station platform passenger boarding Trainsets (cars) are fully ADA compliant: (49CFR Part 38) wheelchair access, accessible toilet room, wheelchair parking station, OTIS ADA compliant

2. Interoperability Requirements Specification requires complete functional and operational compatibility with new trainsets and with existing Amtrak single level cars and Amtrak/States locomotives (P32, P40, P42, and F59PHI models) Design allows for easy passenger walkthrough from an existing car to a new car (aligned end door location, diaphragm, and walkway) Design allows States/Amtrak to tailor or customize interior layout for special purpose cars (café/lounge, business class, cab/baggage) without altering the car’s operational and safety characteristics Customer variables provide for exterior graphics, paint and styling, decals, and interior décor options Mock-up of vehicle interior is required which will facilitate system design optimization All ADA requirements are included in specification for interoperability

3. Safety Requirements Design meets all federal safety regulations, industry standards, and industry recommended practices Design is advancement in Safety and includes all current FRA Tier I 49 CFR Part 238 requirements for crashworthiness and incorporates Collision Energy Management (CEM) CEM requirements for protected operator cab space will provide improved safety for operating engineers, but will offer design challenge for Contractor Design requires safety standards are incorporated for all major components and subcomponents Design specifies each Cab Car control architecture provide for Positive Train Control (PTC) implementation

4. Reliability and Maintainability Requirements Trainset reliability requirements are based on a mean distance between train delays (MDBTD) of at least 150,000 miles. There are component reliability requirements of mean distance between failures (MDBF) for major subsystems of between 300,000 and 1,000,000 miles Maintainability shall be the primary criterion for the design of the underfloor equipment, equipment rooms and access doors Design requires ease of access for inspection, maintenance and repairs Specification defines preventative maintenance requirements that mirror all Amtrak maintenance intervals and procedures, FRA safety requirements and Original Equipment Manufacturer (OEM ) maintenance manuals

5. Passenger Amenity Requirements Each vestibule end of each car shall have two exterior side entrance doors (and steps except at the cab end); doorways shall meet ADA standards of minimum of 32 in clearance HVAC system to maintain the car’s interior temperature at specified values (68 degrees F to 76 degrees F) Five modes of interior lighting: normal, quiet car, standby, emergency, and off Interior and exterior lighting shall be provided by Light Emitting Diodes (LEDs) or a combination of LEDs and fluorescent lights Four integrated Communications Systems: Public Address (PA), Inter-car communications (IC), Onboard Train Information System (OTIS), and Passenger Information System (PIS), and wireless communications capacity Pressurized fresh water system of 1.5 gal per revenue seat, café car 224 gal capacity for potable water for drinking, hand washing, toilet flushing, and Café galley requirements Waste system shall be vacuum system with minimum capacity of 0.3 gal per revenue seat Interior space provides configuration options between need for revenue seats and for other uses such as storage area for baggage, luggage racks and bicycle storage

6. Communications and Electrical Controls Trainsets to be functionally compatible with the existing single-level fleet of Amtrak cars: Amfleet I & II, Horizon, and Viewliner ; and Amtrak/State locomotives P32, P40, P42, and F59PHI locomotives Hotel power distribution and control system for each car and car to car power and signal trainline circuits from HEP 480 VAC, three phase, 60 Hz source not located on vehicles Car to car communications for Multiple Unit Operation and Communication Systems provided by 27 pin jumper cables and receptacles System architecture for control, operations, and communications utilizes up to date technologies, open architecture for expansion, and interface capability with systems that already may be installed Cab/baggage car designed for installation of Positive Train Control (PTC) and be fully functional with PTC systems in use or planned for use by host railroads in their right-of-way (ROW) in which Amtrak operates Passenger convenience outlets (120VAC duplex) are distributed throughout the car in the wall panel at each revenue seat location using GFCI circuits; two duplex outlets shall be installed at each revenue seat facing a table

7. Vehicle Standardization Technical Subcommittee Working Group developed Report on Proposed Approach to Standardization of Technical Specification for New Equipment and Proposed Recommendations were Adopted by the Executive Board that Maximizes Benefits as follows: 1. Standardization of the technical specification layout and language 2. Standardization of key component interfaces, input/output/fit/form/function 3. Standardization of the design of particular components or systems resulting in interchangeable components/systems Candidate components or systems identified for standardization include: Vehicle structures designed of modular construction for common platforms Component attachments; e.g., trucks, seats, tables, HVAC systems Components at fit/form/function/input/output level: truck frame, wheels, axels, couplers, cab controls, HVAC units, static inverters, batteries, lighting fixtures, doors, inter-car gangways, inter-car jumper cables

8. Environmental Initiatives Specification identifies areas that promote sustainability in the manufacturing process to reduce manufacturing waste and energy consumption: Create reusable packaging for transport of materials Use of recycled materials for packaging Use of recycled materials utilized in the production process Recycling of excess materials used in the manufacturing process Capture of office supplies, paper, cardboard, copier toner, ink cartridges Develop and promote employee awareness campaign Specification requires use of R-400 series of refrigerants that lessen the impact on the depletion of the ozone layer

9. Regulatory Standards Contractor must comply with all federal regulations, including ADA, DOE, EPA, FRA, FTA, and FDA Burden is on Contractor to be aware of and comply with all federal regulations and industry standards and practices Specification must meet all industry standards and recommended or best practices, some industry associations are: American National Standards Institute (ANSI) American Public Transit Association (APTA) American Association of Railroads (AAR) American Society of Mechanical Engineers (ASME) American Society of Testing and Materials (ASTM) American Welding Society (AWS) Institute of Electrical and Electronics Engineers (IEEE) International Organization of Standards (ISO) National Fire Protection Association (NFPA)

10. Testing and Acceptance Contractor is responsible for developing a Project Management Plan for prosecution of all work Contractor is responsible for submitting an Engineering Plan for accomplishing design functions – four major review phases: Preliminary Design Review; Intermediate Design Review; Mock-up Review; and Final Design Review Contractor is responsible for CPM (Critical Path Method) Plan to schedule all activities, including subcontractor and supplier activities Contractor shall develop and implement a Quality Assurance (QA) Plan to ensure control of inspection, engineering changes, configuration management, production control, and independent audits Specification requires four major categories of tests: Material certification tests Proof of Design Tests-validate design Production tests-functional, operational, and workmanship Acceptance Tests/Pilot Trainset Tests-demonstrate conformance with technical specification and functional and operational compatabilty with other single level cars and locomotives

TASK 3. DOCUMENT THE METHODOLOGY BY WHICH THE SPECIFICATION WAS DEVELOPED, INCLUSIVE INDUSTRY INPUT, EVALUATION PROCESS The Executive Board created a Technical Subcommittee to develop the technical specification March 2010, Technical Subcommittee issued industry wide letter of invitation to participate in Specification development process Amtrak, FRA, the States, and over 100 industry professionals participated in the Specification development including car builders, manufactures of systems and components, and engineering and industry consultants Technical Subcommittee formed specialized subgroups ( comprised of FRA, Amtrak, States, and Industry professionals) to develop the specification: Mechanical, Electrical, Vehicle/Track Interface, Structural, and Interiors Subgroups provided technical input, data, special reports, culminating in a trainset specification coordinated by Amtrak engineering and technical staff June 22, 2011 Technical Subcommittee met in Chicago to receive final Subcommittee inputs; voted to approve the trainset technical specification and forward to Review Panel and Executive Board for approval Vote was not unanimous due to FRA position of support for CEM inclusion as a customer option, not a requirement in accordance with the Executive Board’s Requirements Document The Review Panel retained Larry Salci, Consultant, to assist in their assessment of the Specification and provide a Report that summarized the key performance and operational requirements and compliance with PRIIA objectives