[Federal Register Volume 59, Number 173 (Thursday, September 8, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-22128]
[[Page Unknown]]
[Federal Register: September 8, 1994]
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DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
Notice of Pre-Application Forum for Next Generation High-Speed
Rail Program: Demonstration of High Speed Positive Train Control System
(HSPTC)
AGENCY: Federal Railroad Administration; Department of Transportation.
ACTION: Notice.
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SUMMARY: Under this Notice, the FRA encourages interested parties to
attend a public, pre-application forum relating to grant(s) anticipated
to be awarded as a result of the Next Generation High-Speed Rail
Program, Demonstration of High Speed Positive Train Control System
(HSPTC) (``Program'') to demonstrate advanced train control technology
that can contribute to more effective train control systems for
emerging high-speed passenger rail corridors in the United States.
Thereafter, pending availability of appropriations, eligible applicants
may submit applications for funding to demonstrate an advanced positive
train control system for high-speed passenger rail service on a mixed
passenger and freight corridor.
Prospective applicants who are unable to attend the pre-application
forum should obtain current information with respect to the Program
from the FRA contact, as no further public notice will be made with
respect to the Program.
PURPOSE: The objective of this Program is to demonstrate the improved
safety and cost-effectiveness of technology advancement in train
control systems for high-speed rail passenger service. This effort is a
key element in the Department of Transportation's overall program to
progress high-speed rail in the United States by improving, adapting,
and demonstrating potentially more cost-effective technologies which
have wide application in U.S. corridors, particularly on existing
infrastructure. An Intelligent Vehicle Highway System (IVHS)--based
grade crossing warning system demonstration may be incorporated as an
element of the overall demonstration program.
AUTHORITY: The authority for the Program can be found in Section
1036(c)(1)(b) of the Intermodal Surface Transportation Efficiency Act
of 1991 (ISTEA) (49 U.S.C. 309(b)) and, pending passage, the Department
of Transportation and Related Agencies Appropriations Act for fiscal
year 1995 (beginning October 1, 1994), which is anticipated to provide
funds for the Program. The Secretary's responsibilities under this
program will be administered by the Federal Railroad Administration
(FRA).
DEADLINE FOR SUBMISSION OF APPLICATIONS: Pending the availability of
appropriations for the Program, it is anticipated that the deadline for
submissions of applications will be the close of business, Wednesday,
November 30, 1994. The actual deadline for the submission of
applications will be noted in the application package, which will be
made available either at the pre-application forum or shortly
thereafter.
ADDRESS FOR SUBMISSION OF APPLICATIONS: Applicants will be requested to
submit an original and six (6) copies to Federal Railroad
Administration, Attention: Robert L. Carpenter, Office of Procurement
Services (RAD-30), Federal Railroad Administration, 400 Seventh Street,
SW., Room 8222, Washington, DC 20590.
FUNDING: The Department of Transportation and Related Agencies
Appropriations Act for Fiscal Year 1995, now progressing through the
Congress, is expected to provide FRA with the ability to award grants
for the adaptation and corridor testing of signal and train control
systems. FRA will focus the funding associated with this notice on the
demonstration of a positive train control system for high-speed rail
(HSPTC) which significantly advances train control technology. Grade
crossing protection technologies which are also under development as
part of the Federal Highway Administration (FHWA) Intelligent Vehicle
Highway System (IVHS) Program may also be interlinked and incorporated
in the train control systems to be demonstrated. Hazard sensor
technologies adapted from defense applications for railroad application
may also be interlinked and demonstrated. It is anticipated that
available appropriations for the Program will support one or two
demonstrations. Additional funding for this or related work may be
available in subsequent fiscal years.
SCHEDULE FOR DEMONSTRATION PROGRAM: Subject to the availability of
appropriations for the Program, FRA anticipates funding one or two
demonstration projects, on one or two eligible corridors for high-speed
rail service. FRA anticipates a two-year program to accomplish a fully-
operational demonstration segment, with major funding anticipated to be
first available in fiscal year 1995. It is anticipated that evaluation
of the demonstration operation will continue for up to two years beyond
the initial funding year. FRA anticipates that the eligible
participant(s) will, where necessary, contract with developers and
manufacturers of railroad control systems and with operating and owning
entities for the eligible corridor(s) to accomplish demonstration
programs.
PRE-APPLICATION FORUM: FRA plans to hold a pre-application forum for
the benefit of potential state, railroad, supplier teams, and other
interested parties to discuss the application process, including
requirements for the participation of the essential parties. This forum
is currently set for Thursday, October 6, 1994, at 9:30 AM in Room 8334
of the Department of Transportation Headquarters Building, 400 Seventh
Street, SW., Washington, DC. Interested parties should confirm the
date, time, and location prior to attending.
FOR FURTHER TECHNICAL INFORMATION CONTACT: Robert J. McCown, Acting
Director, Technology Development Programs, Office of Railroad
Development (RDV-30), Federal Railroad Administration, 400 Seventh
Street, SW., Washington, DC 20590. Phone: (202) 366-0462; Fax: (202)
366-7150.
BACKGROUND INFORMATION: In congested travel corridors, there is
substantial interest in high-speed ground transportation as a key
element of a balanced, intermodal transportation system. For example,
several states are conducting studies of the feasibility of initiating
high-speed rail passenger service on existing rail facilities.
Sophisticated train control systems are required for the safe operation
of high-speed rail passenger service. The major capital investment
required for the installation of these systems has been a deterrent to
operation at higher speeds.
Under 49 CFR 236.0, railroads must have a signal system in use on
any track where freight trains operate at speeds of 50 mph or more, or
where passenger trains operate at speeds of 60 mph or more. An
automatic cab signal, automatic train control, or automatic train stop
system is required for operation of trains at speeds of 80 mph or more.
Two types of train control systems have generally been used on
railroads: (1) intermittent train stop, and (2) continuous cab signals.
Each system has been and is being used, with or without the ability to
automatically apply train brakes in the event of an engineman failing
to comply, or to comply soon enough, with the indications of the signal
system. Both types of systems have traditionally been used with wayside
signals.
Recent trends in the United States and Canada have focused on the
ability of modern technology in radio-based digital communications to
transfer operating information from the wayside to the moving train,
and the use of computers to aid in and control train dispatching. Over
the last ten years, the Association of American Railroads (AAR) and the
Railway Association of Canada (RAC) aggressively pursued development of
a particular approach to improve train control using microprocessor
control and digital radio communications in their Advanced Train
Control System development program (AAR ATCS).
The AAR ATCS provided not only train control functions but also
business-related functions, such as reporting the work being conducted
by a crew and the health of various locomotive onboard systems. The AAR
ATCS program was intended to improve both the safety and the
productivity of the national freight railroad network; it was not
intended to accomplish high operating speeds. The AAR recently
refocussed its efforts on a new initiative termed Positive Train
Separation (PTS), and is no longer formally pursuing many of the goals
originally set out for the AAR ATCS program.
The capital cost of eliminating highway-rail grade crossings and
making them safer is a deterrent to high-speed rail service. Advanced
grade crossing safety systems which will protect highway and rail users
are a high priority for technological advancement. In this area, FRA is
cooperating with the Federal Highway Administration (FHWA) in projects
separate from the HSPTC initiative to begin preliminary field
evaluations of IVHS-based ``Vehicle Proximity Alerting Systems''
(VPAS), which will alert a driver of a priority highway vehicle to the
proximity of trains approaching equipped grade crossings. It may be
appropriate to integrate such technologies with advanced train control
systems to enhance the safety of both rail and highway users of
highway/rail grade crossings.
ELIGIBLE PARTICIPANTS: Any United States private business, state
government, local government, organization of state or local
government, or any combination of such entities is eligible to apply
for funding under the Program, except that any business owned in whole
or in part by the Federal Government is not eligible. Although
businesses owned in whole or in part by the Federal Government are not
eligible for funding under the Program, they may contract with eligible
participants.
Pursuant to section 1036(c) of ISTEA (49 U.S.C. 309(b)(2)(D)), any
proposed demonstration to be incorporated into a project or a system
located in a State that prohibits under state law the expenditure of
any non-Federal public funds or revenues on the construction or
operation of that project or system is not eligible for funding under
this Program.
Eligible Technology Demonstrations: Eligible projects must demonstrate
a significant advancement in train control technology for high-speed
rail passenger service. The proposed demonstration technology must be
incorporated as a component, subsystem, or system in a revenue service
high-speed ground transportation project or system under construction
or in operation at the time application is made. Qualifying high-speed
ground transportation systems include:
1. Amtrak's Northeast Corridor between Washington, DC and Boston,
MA;
2. The Empire Corridor in the State of New York (operated by
Amtrak);
3. Any system which has been awarded a franchise by a State agency
to develop an intercity high-speed ground transportation system or to
demonstrate in revenue service an innovative high-speed ground
transportation system capable of providing intercity service, and which
has in place all approvals, permits, and financing necessary to
commence construction; and
4. Any high-speed rail corridor designated by the Secretary of
Transportation pursuant to section 1010 of ISTEA, namely:
a. Washington, DC--Richmond, VA--Raleigh, NC--Charlotte, NC;
b. Miami, FL--Orlando--Tampa, FL;
c. Chicago, IL (hub)--Detroit, MI; Milwaukee, WI, and St. Louis, MO;
d. San Diego, CA--Los Angeles--Bakersfield--Bay Area and Sacramento,
CA:
e. Eugene, OR--Portland--Seattle, WA--Vancouver, BC.
For state applicants, if the proposed demonstration territory is in
more than one state a single state agency should apply on behalf of all
of the participating states.
Application Requirements: The following points describe minimum content
which will be required of applications. The application package which
will be made available at the Pre-Application Forum (described above)
may contain additional required forms and specify the submission of
additional information. At a minimum, each application shall:
1. Describe the proposed train control system enhancements in
detail, including elements to be installed on the equipped railroad
vehicles, on any other vehicles which will be equipped (such as
maintenance vehicles), on the wayside, and at dispatching/control
locations; how communications would be accomplished between various
elements; and how operations would be controlled, indicating how the
proposed system would be an advancement in train control technology for
high-speed rail passenger service.
2. Describe the track segment(s) on which the proposed
demonstration system would be installed and the existing signal and
train control system(s) on them.
3. Describe the traffic types (including ownership of trains),
volumes, and speeds presently involved in operation on the
demonstration track segment(s); the planned high-speed rail service
volumes and speeds, and the estimated potential corridor service
volumes and speeds.
4. Specify the quantities and ownerships of operating vehicles
which will be equipped to accomplish the demonstration.
5. Show how the demonstration system initially will operate in
relation to existing signal and/or train control systems.
6. Show the migration path to full implementation of the advanced
functions, which the demonstration system is proposed to ultimately
achieve.
7. Show the total cost and time for accomplishing each task for
implementing the initial demonstration and for accomplishing the
proposed migration path, including estimates broken out at a minimum
into system design and layout, equipment production and/or acquisition,
installation, and operating and maintenance schedules and costs.
8. Specify what organizations will supply and install key
components of the demonstration system and provide letters of
commitment supporting the proposed activities, schedules, and cost
sharing (if any).
9. Specify the sources and extent of non-Federal support which will
be contributed to the project, and whether such support will be in the
form of funding or other in-kind contributions.
10. In order to accomplish the goals of the Program and to give
convincing proof that the advanced control system performs with
acceptable safety margins, discuss the safety assurance process used in
developing the train control system; revenue service application and/or
testing and validation activities already completed for the proposed
innovative system elements; the planned preliminary testing to be
performed prior to implementation on the corridor; and the systematic
operational recording, monitoring, analysis, and reporting procedures
to be followed during the demonstration.
11. Discuss plans for training and familiarization of operating and
maintenance personnel for the demonstration system.
12. Discuss the potential for integrating the proposed system with
advanced grade crossing safety systems, such as the IVHS-based
prototype Vehicle Proximity Alerting System (VPAS), which will be
tested under joint FRA/FHWA sponsorship in the near future.
13. Provide evidence of concurrence in the proposed demonstration
activity by: (1) the state agency which has responsibility for
developing high speed service in the qualifying corridor; (2) the owner
of the railroad property on which the demonstration train control
system will be installed, (3) the entity which has responsibility for
maintaining the property, and (4) the entity or entities responsible
for operating trains on the property and/or on whose vehicles
demonstration equipment will be installed, if different from the
applicant.
14. Provide an analytical discussion showing that the proposed
scope of the demonstration will be adequate to accomplish the goals of
the demonstration program, addressing at a minimum the potential
sources of train control system difficulty described in the section
below entitled ``Demonstration Territory Characteristics.''
15. Include an affirmative statement that each State in which the
demonstration is proposed does not prohibit under state law the
expenditure of any non-Federal public funds or revenues on the
construction or operation of the high-speed ground transportation
system on which the proposed demonstration will take place.
TRAIN CONTROL SYSTEM OPERATING CHARACTERISTICS: The demonstration
system should advance train control technology by providing enhanced
positive train separation, enforcement of limits of authority and
authorized speeds, safer operation, greater adaptability to higher
operating speeds with closer headways, and/or reduced costs or
complexity of installation. A communications-based system using digital
radio may be a necessity to accomplish these objectives.
It is anticipated that the demonstration territory will already be
equipped with an existing signal and/or train control system which will
continue in use, overlaid by the demonstration system, at least
initially. During the installation and checkout phase of the
demonstration, it is anticipated that the existing signal and/or train
control system will continue to govern operations until confidence is
established in the proper operation of the advanced features of the new
system.
At a minimum, any system proposed for this demonstration must meet
FRA regulatory requirements to permit speeds of 80 mph or greater,
including closed-circuit fail-safe design principles as stated in 49
CFR Part 236. Because existing FRA Track Safety Standards in 49 CFR
Part 213 permit operation only up to 110 mph, operation of trains and
over track at over 110 mph requires permission from the FRA. Any such
permission may include specific conditions, including types and
capabilities of required automatic train control functions to assure
safety of the operation and to account for the total numbers and types
of trains operating in the high-speed territory. It is FRA policy that
all trains in a territory must be equipped with automatic train control
if any train in the territory relies on such a system to enable high-
speed operation.
For territory where train speeds will exceed 125 mph, FRA will
require fully automatic, vital train control functions, including civil
speed enforcement, temporary speed enforcement, positive stop, and
enforcement to protect on-track maintenance forces for all trains. At
present, the Amtrak Northeast Corridor line, between New Haven, CT, and
Boston, MA, is the only line segment in the United States where such
operations are proposed. (An advanced train control system is already
under development for this segment under the Northeast Corridor
Improvement Program.)
A major goal for the demonstration system is that it be capable of
failsafe and positive train separation and control for operations of at
least 125 mph in high density, mixed traffic. To the extent that the
scope of the proposed demonstration does not reach this goal in the
near term, the technology shall be shown to be capable of economical
modification to reach this goal with low technical risk. Capability of
the demonstration system for operation at speeds in excess of 125 mph
is desirable.
The demonstration project shall include systematic recording and
monitoring to document the operation of the demonstration train control
system, and analysis and reporting of the resulting data, to give
convincing proof that the advanced system performs in the demonstration
environment with acceptable safety margins. The theoretical performance
limits, and any performance characteristics of the demonstration system
which would preclude it from assuming proposed control functions, or
from operating in more demanding service environments, should also be
identified and reported. Where desirable goals of the system cannot be
proven with operational data at an overlay level, the prospective
applicant shall present simulation alternatives to operational testing.
The simulation alternatives shall be specified in the application.
The demonstration system must provide the following minimum safety-
related functions:
1. Information provided to engineman: The demonstration system
shall continuously provide the engineman of each operating train with
the following information:
a. positive indication of present train location and geographic
point to which operation is authorized by the HSPTC system;
b. positive indication of signal block condition for sufficient
distance to allow reduction of speed and/or safe stopping distance
prior to start of next block which requires such action, and to allow
resuming higher speed at any point on the track if a change in
conditions so warrants;
c. (1) actual train speed and (2) maximum operating speed
authorized by the train control system, which shall not exceed the
lowest of the following speeds: safe speed permitted by track design;
the railroad carrier's civil authorized speed for that train including
any permanent or temporary timetable or bulletin slow order conditions.
d. warning indication, augmented with audio alerting indication in
advance of when a reduction in speed is anticipated and then when it is
required; and
e. alarm indication and audio alert in the event of broken rail,
misaligned switch, wayside detector alarm, or other protected
condition.
2. Automatic train control: The demonstration system shall provide
positive train separation in a fail-safe closed-circuit manner. The
system shall be designed to provide automatic enforcement of authorized
operating limits and authorized speeds, which shall not exceed safe
track speeds as described in paragraph 1.c. above. The system shall
provide a level of visual and audio alerting prior to the occurrence of
events which require that the engineman take action to protect the
safety of the train, such as reducing speed or stopping. The system
shall employ a more noticeable level of visual and audio alerts
immediately prior to taking automatic action to protect the safety of
the train. The system shall provide a means of automatically
controlling trains to prevent any train from entering a zone of known
hazard which has been identified to the train control system manually
or automatically; for example if an engineman manually signals an
emergency condition on his train or if a wayside detection system
senses and reports that track operating conditions are unsafe.
3. Routing safety: The demonstration system shall ensure that
trains are safely stopped prior to entering a misaligned switch and
prior to passing an improperly displayed signal, that all switches are
locked prior to train movement over them, and that conflicting signal
indications are not displayed.
4. Positive train location: The demonstration system must determine
and retain the location of all trains, track cars, other on-track
equipment, and authorized work limits for maintenance crews in the
equipped territory. Safeguards shall be taken to avoid
``disappearance'' of part of the train, if the train parts enroute.
It is an FRA objective to foster an inter-operable system of train
control in the United States, not only to assure that all rail traffic
receives the benefit of any wayside equipment installed, but also to
assure that train control systems can be procured at minimum cost to
railroads and other operators of high-speed rail service. Accordingly,
open system architecture and inter-operability with standardized
systems now being deployed by freight railroads is a desirable feature.
DEMONSTRATION TERRITORY CHARACTERISTICS: The proposed demonstration
scope should validate the proposed system as being fit to be used in an
entire corridor. Factors to be considered should include, but not be
limited to:
1. Length of single/multiple trackage necessary in the
demonstration corridor to achieve meaningful results.
2. Numbers of equipped and unequipped locomotives/train consists
that are proposed to be fitted within the demonstration section in
order to verify:
a. following moves and positive train separation characteristics
among equipped trains and among an equipped/unequipped mix of trains
(if unequipped trains will be permitted under any circumstances); and
b. ability of the system to track the location and direction of
equipped and unequipped trains within the system.
3. Number of track switches and diverging route characteristics of
the demonstration segment to show safety of movement through controlled
points and safe routing.
4. Characteristics of weather in the selected area to test the
effect of severe weather.
5. Inclusion of physical characteristics that may hinder data
transmission, such as tunnels.
6. Inclusion of highway/rail crossings.
7. Potential sources of electromagnetic interference within the
proposed section, in order to be able to test the immunity of the
system to EMI.
SELECTION CRITERIA: The following will be considered to be positive
selection factors in evaluating applications under the Program:
1. The extent to which advancements in train control technology for
high-speed rail will be demonstrated by the proposed system while
providing adequate operational safety. Areas of desired advancement
include safety, reliability, efficiency, maintainability, capital costs
and/or operating costs of the corridor operation, as a whole, as well
as of the train control system itself.
2. The ability of the HSPTC system to be readily and economically
expanded to respond to increased speed, volume, and complexity of
traffic.
3. The extent to which an open architecture approach is employed
and the ability of the demonstration system to provide inter-
operability with train control systems deployed or planned for
installation on freight railroads and in other corridors.
4. The ability of the proposed corridor infrastructure and
operating equipment to sustain high-speed operations during the period
of the demonstration. Parameters to be considered include: track
curvature, grades, mode of construction; present and likely future
track maintenance condition; age and operating capabilities of the
existing signal and/or train control system; numbers of rail-highway
grade crossings and present types of protection, and degree to which
the right-of-way is subject to casual access by the public.
5. The ability of an existing signal and/or train control system to
sustain high-speed operations during the checkout phase of the
demonstration, without relying on the new system.
6. Demonstration of advanced train control for high-speed operation
in high density, highly complex traffic operations, at some location in
the demonstration corridor. It is recognized that practical limits on
the total numbers of equipped vehicles and the available scope for
wayside and central control equipment may reasonably limit the initial
demonstration to areas with lesser traffic densities and/or lesser
complexity of operations. The plan for the demonstration should clearly
indicate the system's ability to handle conditions of high complexity
and traffic density, and the proposed demonstration may be phased to
demonstrate these capabilities only in later phases.
7. The extent of non-Federal contributions to the project, since
Federal demonstration funds are limited, and the demonstration system
is expected to remain in operation to benefit future revenue service.
Dated: September 6, 1994.
Jolene M. Molitoris,
Administrator.
[FR Doc. 94-22128 Filed 9-7-94; 8:45 am]
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