[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]
BILLING CODE 4910-06-P