[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] ----------------------------------------------------------------------- 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. ----------------------------------------------------------------------- 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