FTA-2011-005-TRI

RAIL TRANSIT SIGNAL AND CONTROL SYSTEMS RESEARCH PROGRAM

POSITIVE TRAIN CONTROL FOR COMMUTER AND
REGIONAL RAIL SYSTEMS
AGENCY: Federal Transit Administration (FTA), DOT
ACTION: Notice for Re!est for "ro#osals (RF")
SUMMARY: FTA is see$in% researc& #ro#osals to st!d' t&e im#lementation of "ositi(e
Train )ontrol ("T)) s'stems on a comm!ter rail or re%ional rail line* FTA+s researc&
acti(ities are a!t&ori,ed -' ./ 01) 5212, Researc&, De(elo#ment, Demonstration, and
De#lo'ment "ro3ects* T&e %oal of t&is researc& #ro%ram is to #romote t&e researc& and
de(elo#ment of ne4 tec&nolo%ies t&at 4ill im#ro(e t&e safet' and efficienc' of rail
transit s'stem o#eration in t&e 0nited 1tates (01)* T&e researc& 4ill incl!de t&e
e(al!ation of c!rrent "T) tec&nolo%', t&e doc!mentation of im#lementation iss!es, and
t&e needs for f!rt&er researc& in Rail Transit 1i%nal and )ontrol 1'stems (RT1)1) for
comm!ter and re%ional rail o#erations*
DATES: An a##licant m!st electronicall' s!-mit a #ro#osal to &tt#:55444*%rants*%o( -'
6an!ar' 1/, 2011 for consideration* All #otential a##licants are ad(ised to -e%in t&e
&tt#:55444*%rants*%o( re%istration #rocess immediatel', if t&e' &a(e not #re(io!sl'
s!-mitted Federal assistance a##lications t&ro!%& &tt#:55444*%rants*%o(, in order to -e
a-le to meet t&e deadline* FTA e7#ects to a4ard f!nds to s!ccessf!l contractor(s) t&ro!%&
a coo#erati(e a%reement -' Fe-r!ar' 1/, 2011* In t&e e(ent of a s'stem #ro-lem or
tec&nical diffic!lt' 4it& t&e a##lication s!-mittal #rocess, t&e a##licants s&all contact t&e
FTA "ro%ram 8ana%er for deli(er' instr!ctions (see FOR F0RT9:R INFOR8ATION,
)ONTA)T section -elo4)*
ADDRESSES: T&e 4e-site &tt#:55444*%rants*%o( allo4s a##licant or%ani,ations to
electronicall' find and a##l' for com#etiti(e o##ort!nities from all Federal a%encies t&at
a4ard Federal assistance* T&is 4e-site is t&e sin%le access #oint for o(er 1,000 Federal
assistance #ro%rams administered -' t&e 2; Federal a%encies*
FOR FURTHER INFORMATION CONTACT: Tec&nical, #ro%ram mana%ement, and
administrati(e !estions s&all -e directed to "ro%ram 8ana%er: "atric$ )entolan,i, ":
Office of Tec&nolo%' (TRI-20), :.2-.;2, Federal Transit Administration, 0*1*
De#artment of Trans#ortation, 1200 Ne4 6erse' A(e, 1:, <as&in%ton, D*)* 205/0= email
address: "atric$*)entolan,i>dot*%o(, or -' #&one at 202-2;;-022.*
SUPPLEMENTARY INFORMATION: T&ere are a n!m-er of #!-lis&ed re#orts on
"T), )omm!nication-?ased Train )ontrol ()?T)), )omm!ter Rail and Re%ional Rail
1'stems, and t&e 1&ared 0se of Rail )orridors -et4een Frei%&t and "assen%er Trains*
1ee a list of Tec&nical References at t&e end of t&is anno!ncement*
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FTA-2011-005-TRI
Objectives
T&e FTA+s Office of Tec&nolo%' (TRI-20) is leadin% t&e researc& and de(elo#ment of
ne4 tec&nolo%ies for -ot& -!s and rail transit s'stems* One of FTA+s 1trate%ic Researc&
@oals is to s!##ort im#ro(in% t&e #erformance of 01 transit o#erations and s'stems* T&e
foc!s of t&is researc& #ro%ram is on "T)-related tec&nolo%ies and t&eir im#lementation
iss!es t&at directl' im#act t&e safet' and efficienc' of comm!ter rail and re%ional rail
o#erations* T&e o-3ecti(e of t&is #ro3ect %rant is to e(al!ate t&e safet' and relia-ilit' of
"T) tec&nolo%' in comm!ter rail and re%ional rail o#eratin% en(ironment, and to
recommend t&e -est #ractices in t&e im#lementation of "T) s'stems*
Bc!"#$%&'
T&e Rail 1afet' Im#ro(ement Act (R1IA) of 200A re!ires )lass I frei%&t railroads and
intercit' #assen%er railroads to im#lement "T) s'stems -' Decem-er 21, 2015* T&e
Federal Railroad Administration (FRA) identified t&e need for "T) in Title ./ )ode of
Federal Re%!lations "art 22;, 1!-#arts 9 and I* Additionall', t&e National Trans#ortation
1afet' ?oard (NT1?) &as iss!ed a recommendation (R-0/-0A) for FTA to facilitate
im#lementation of #ositi(e train control on 01 rail transit s'stems (&ea(' and li%&t rail,
metro and s!-4a')*
"T) is a tec&nolo%' t&at is ca#a-le of #re(entin% train-to-train collisions, o(er-s#eed
derailments, and cas!alties or in3!ries to road4a' 4or$ers o#eratin% 4it&in t&eir limits of
a!t&orit' as a res!lt of !na!t&ori,ed inc!rsion -' a train* "T) tec&nolo%' can also
#re(ent train mo(ements t&ro!%& a s4itc& left in t&e 4ron% #osition* "T) s'stems (ar'
4idel' in com#le7it' and so#&istication -ased on t&e le(el of a!tomation and
f!nctionalit' t&e' im#lement, t&e s'stem arc&itect!re !tili,ed, t&e 4a'side s'stem !#on
4&ic& t&e' are -ased (i*e*, non-si%naled, -loc$ si%nal, ca- si%nal, etc*), and t&e de%ree of
train control t&e' are ca#a-le of ass!min%*
In 8arc& of 2010, t&e Office of t&e 1ecretar' of Trans#ortation (O1T) and FTA Office of
Tec&nolo%' si%ned an Inter-A%enc' A%reement (IAA) to s!##ort t&e RT1)1 Researc&
"ro%ram* T&is IAA made a total of B2,000,000 a(aila-le to rail transit researc&,
mana%ement, and cons!ltin% or%ani,ations to !nderta$e a st!d' of t&e im#lementation of
"T) on 01 comm!ter railroads, rail transit s'stems, and s&ared-!se rail o#erations* T&is
anno!ncement is !nder t&e RT1)1 Researc& "ro%ram for a st!d' of "T) s'stem safet'
and relia-ilit' for 01 comm!ter and re%ional rail transit s'stems*
P#$ject Desc#i(ti$&
T&e #ro3ect s&all st!d' t&e c!rrent state of "T) tec&nolo%' and t&e decision-ma$in%
#rocess -' t&e 01 rail transit a!t&orities for im#lementin% a "T) s'stem in t&e comm!ter
rail and re%ional rail o#eratin% en(ironment* T&e %rantee s&all e7ec!te t&e follo4in%
4or$ items in s!##ort of t&is coo#erati(e a%reement:
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1* Ev+%te Deve+$(,e&t
T&e %rantee s&all assist a 01 rail transit a!t&orit' to doc!ment t&e #rocess of de(elo#in%
a "T) s'stem for a comm!ter rail or re%ional rail transit s'stem* T&is encom#asses t&e
entire life c'cle of "T) s'stem #lannin%, re!irement anal'sis, s'stem desi%n, testin%,
im#lementation, o#eration and maintenance* T&e researc& s&all -!ild on t&e researc&
4or$ carried o!t -' )lass I frei%&t railroads and s'stem (endors, and foc!s on t&e ne4
f!nctions re!ired -' #assen%er rail and frei%&t-#assen%er s'stem intero#era-ilit'*
T&e #ro3ect s&all incl!de a descri#tion of t&e rail #ro#ert' identified in order to -e an
ideal candidate for a##lication of a "T) s'stem* T&e rail #ro#ert' m!st -e identified from
a candidate list of #otential sites and -e f!ll' on -oard 4it& installation of a "T) s'stem*
If an e7istin% comm!ter rail o#eration is selected 4&ic& also coe7ists 4it& ot&er rail
o#erations (e*%*, frei%&t), t&e e(al!ation s&all ta$e into acco!nt an' #ree7istin% si%nalin%
s'stem or "T) s'stem t&at is in o#eration or is in t&e #rocess of -ein% im#lemented*
Intero#era-ilit' is a $e' factor 4&ic& s&all -e addressed in t&e e(al!ation #rocess*
T&is e(al!ation s&all incl!de a t&oro!%& re(ie4 of e7istin% "T) s'stems t&at are
a(aila-le for installation, 4it& s!##ortin% doc!mentation to indicate 4&ic& s'stem is -est
s!ited for t&e selected rail #ro#ert'* T&e e(al!ation s&all also contain a list of all
s!##ortin% doc!mentation re!ired for t&e s!ccessf!l im#lementation*
)* Fci+itte I,(+e,e&tti$&
T&e #ro3ect s&all #ro(ide a 01 rail transit a!t&orit' 4it& an' assistance t&e %rantee deems
a##ro#riate to #ro(ide a f!ll -od' of $no4led%e to t&e researc& re#ort* T&is assistance
co!ld -e in #olic' %!idelines and tec&nical references on t&e de(elo#ment of a "T)
Im#lementation "lan ("T)I") t&at 4ill meet Federal re%!lations on "T) 1'stem
)ertification and T'#e A##ro(al s#ecified -' Title ./ )ode of Federal Re%!lations "art
22; 1!-#art I* T&is #lan s&all incl!de t&e ste#s to s#ecif', ac!ire, install, test, and
recei(e re%!lator' a##ro(al to o#erate a "T) s'stem on a comm!ter rail or re%ional rail
transit s'stem* T&e #lan s&all doc!ment t&e details on f!nctional re!irements, -!d%et
and costs, and -!siness a%reements related to "T) im#lementation* T&is #lan can -e !sed
as a tem#late or #ractitioner+s %!ide -' ot&er transit rail a!t&orities to de(elo# t&eir o4n
"T)I"s*
-* Ev+%te PTC Pe#.$#,&ce &' C(bi+ites
T&e %rantee s&all #ro(ide a meas!rement #rocess to st!d' t&e effecti(eness of "T) 4&en
a##lied to a 01 comm!ter or re%ional rail s'stem* T&e meas!rement #rocess s&all incl!de
at a minim!m, a met&od to meas!re t&e effect "T) &as on t&e safet', relia-ilit', and
efficienc' of o#erations on t&e comm!ter rail or re%ional rail transit s'stem* T&e #ro3ect
s&all incl!de a com#re&ensi(e assessment on c!rrent tec&nolo%ies desi%ned for a!tomatic
train location determination, radio and 4ireless comm!nications, inte%rated si%nalin%
s'stems, 4a'side interface !nits, dis#atc&in% and traffic control s'stems* T&e #ro3ect
s&all #!-lis& a re#ort on t&e state of t&e art of "T) in comm!ter rail and re%ional rail
transit s'stems*
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/* I'e&ti.0 Best P#ctices
T&e %rantee s&all collect t&ose #ractices 4&ic& &a(e -een s&o4n to aid in t&e
im#lementation of a "T) s'stem on a comm!ter rail line* <it& se(eral "T) test -eds
o#eratin% t&ro!%&o!t t&e 0nited 1tates and #ast researc& #ro3ects com#leted, lessons
learned from t&ese e7#eriences s&all -e transformed into tec&ni!es and met&ods t&at
&a(e -een (alidated as -est #ractices* T&ese #ractices s&all incl!de -!t not -e limited to:
Ac!isition a##roac&=
"artners&i#s 4it& local a!t&orities=
Teamin% a%reements 4it& ot&er o#erators incl!din% cost-s&arin% a%reements=
Teamin% met&ods 4it& s!##liers=
A##ro(al #rocess -' FRA and ot&er re%!lator' a!t&orities=
"T) s'stem selection, stand-alone or o(erla'=
Intero#era-ilit'= and
8aintenance*
P#$ject Sc1e'%+e
T&e #ro#osal m!st incl!de a "ro3ect 1c&ed!le 4it& detailed timeta-les on Tas$ N!m-er,
Tas$ Descri#tion, 1tart Date, and "eriod of "erformance ("O")* 1e#aratel', t&e #ro#osal
also needs to identif' t&e 8a3or 8ilestones 4it& Tas$ N!m-er, Deli(era-le Name, and
Date of t&e Deli(er' in a ta-le or in 8icrosoft "ro3ect format* T&e Final Re#ort s&all -e
deli(ered to FTA for #!-lication -' 6!ne 15, 2012* T&e #ro3ect s&all -e closed 4it& a
Final "ro%ress Re#ort -' 6!ne 20, 2012*
E+i"ibi+it0 I&.$#,ti$&
T&is is an !nrestricted solicitation* An' res#onsi-le so!rce ma' s!-mit a #ro#osal
conce#t #a#er for consideration, incl!din%, -!t not limited to, states or local %o(ernments,
or or%ani,ations of state or local %o(ernments, !ni(ersities or instit!tions of &i%&er
ed!cation, non-#rofit or%ani,ations, #ri(ate indi(id!als, cor#orations, and -!sinesses or
commercial or%ani,ations, e7ce#t t&at an' -!siness o4ned in 4&ole or in #art -' t&e
Federal @o(ernment is not eli%i-le* Alt&o!%& -!sinesses o4ned in 4&ole or in #art -'
t&e Federal @o(ernment are not eli%i-le for f!ndin% !nder t&e "ro%ram, t&e' ma'
contract 4it& eli%i-le #artici#ants* )oo#erati(e arran%ements (e*%*, 3oint (ent!res,
limited #artners&i#s, teamin% arran%ements, or colla-oration and consorti!m
arran%ements) are #ermitted and enco!ra%ed*
1mall, 1mall Disad(anta%ed (1D), and 1er(ice Disa-led Ceteran O4ned ?!siness
)oncerns, and Ceteran O4ned (CO) and <oman-O4ned (<O), and 9istoricall'
0nder!tili,ed ?!siness Done (90?Done) 1mall ?!siness )oncerns, and 9istoricall'
?lac$ )olle%es and 0ni(ersities (9?)0) and 8inorit' Instit!tions (8Is) are enco!ra%ed
to s!-mit #ro#osal conce#t #a#ers on t&eir o4n and5or in colla-oration 4it& ot&ers*
9o4e(er, no #ortion of t&is ?AA 4ill -e set aside or reser(ed e7cl!si(el' for 1mall, 1D,
or 1er(ice Disa-led Ceteran O4ned ?!siness )oncerns, or for CO, <O, or 90?Done
1mall ?!siness )oncerns, or for 9?)0 and 8Is*
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A2#' I&.$#,ti$&
FTA 4ill f!nd one a##lication !nder t&is #ro%ram* T&e total a(aila-le f!ndin% is
B/00,000* F!t!re f!ndin% 4ill de#end on A##ro#riations* FTA 4ill #artici#ate in
acti(ities -' attendin% re(ie4 meetin%s, commentin% on tec&nical re#orts, maintainin%
fre!ent contact 4it& t&e #ro3ect mana%er, and a##ro(in% $e' decisions and acti(ities
incl!din% redirectin% acti(ities, if needed*
C$st S1#i&" $# Mtc1i&"
Federal transit f!nds are a(aila-le to researc& #ro3ects at !# to 100 #ercent of t&e #ro3ect
cost* 9o4e(er, cost s&arin% 4ill -e an e(al!ation criterion*
P#$($s+ C$&te&t
T&is anno!ncement incl!des all of t&e information t&at 'o! need to a##l'* T&e follo4in%
forms are a(aila-le on %rants*%o( and are re!ired to -e com#leted:
1* 1F .2. 8andator'
2* Ot&er Attac&ments Form
1F .2. 8andator'
8ost of 1F .2. is self-e7#lanator'* T&e a##lication s&all incl!de t&e follo4in% items:
1a E A##lication
1- E Ann!al
.a E Fea(e -lan$
.- E 2;
Ot&er Attac&ments Form:
1* T&e a##lication s&all attac& a #re-a##lication (not more t&an 15 #a%es in len%t&)
as o!tlined in )&a#ter II (Item /*-) of FTA )irc!lar ;100*): Transit Researc& and
Tec&nolo%' "ro%rams: A##lication Instr!ctions and "ro%ram 8ana%ement
@!idelines: &tt#:55444*fta*dot*%o(5la4s5circ!lars5le%Gre%G.121*&tml*
T&is #re-a##lication s&all also address t&e si7 criteria laid o!t -elo4 in t&e
A##lication Re(ie4 Information section* T&e #ro3ect -!d%et 3!stification s&all
incl!de identification of an' matc&in% f!nds and t&eir so!rce* T&e Formal
A##lication descri-ed in t&e )irc!lar is not -ein% re!ested at t&is time*
2* T&e a##lication s&all attac& information on t&e !alifications of $e' #ersonnel,
incl!din% -io%ra#&ies*
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An'one intendin% to a##l' s&all initiate t&e #rocess of re%isterin% on
&tt#:55444*%rants*%o( -' Decem-er 1/, 2010 for consideration* All #otential
a##licants are ad(ised to -e%in t&e online re%istration #rocess immediatel', if t&e'
&a(e not #re(io!sl' s!-mitted Federal assistance a##lications t&ro!%&
&tt#:55444*%rants*%o(, in order to meet t&e deadline*
A((+icti$& Revie2 I&.$#,ti$&
A re(ie4 #anel 4ill -e con(ened to re(ie4 eac& #ro#osal* "ro3ect #ro#osals 4ill -e
e(al!ated -ased on t&e follo4in% criteria:
1* "ro#osed Researc&, 4&ic& incl!des t&e a##lica-ilit' of t&e #ro#osed researc& to
t&e re!irements, t&e !ni!eness and or need for t&e researc&, and t&e e7#ected
res!lts* "ro#osals s&all e7#lain &o4 a #artic!lar #ractice or tec&nolo%' 4ill
im#ro(e rail o#erations* T&e #ro#osed #ro3ect m!st identif' train control iss!es
facin% #!-lic trans#ortation, 4&' it is of national si%nificance, t&e !ni!eness or
relations&i# of t&is #ro3ect to ot&er researc&, and &o4 t&e #ro#osed researc& 4ill
address t&e iss!e*
2* H!alifications of Ie' "ersonnel, 4&ic& incl!des $no4led%e of and #rior
e7#erience 4it& train control tec&nolo%'*
2* Tec&nical 8ana%ement "lan, 4&ic& incl!des t&e mana%ement a##roac& for
#lannin%, sc&ed!lin%, administerin%, coordinatin%, and cond!ctin% t&e 4or$
effort*
.* "ast "erformance on acti(ities rele(ant to t&e #ro#osed 4or$*
5* )ost and )ost 1&arin%*
;* "lan for e(al!ation and data collection* T&e #ro#osal m!st address &o4 s!ccess
4ill -e meas!red (e*%*, -efore and after st!dies)*
J* :7istin% #ositi(e relations&i# -et4een %rantee and rail transit a%enc'*
A2#' A',i&ist#ti$& I&.$#,ti$&
1!ccessf!l a##licants 4ill -e notified of t&eir %rant a4ard in Fe-r!ar' 2011* Follo4in%
recei#t of t&e notification letter, t&e s!ccessf!l entities 4ill -e re!ired to s!-mit t&e
Formal A##lication as o!tlined in )&a#ter II (Items 10-25) of FTA )irc!lar ;100*):
Transit Researc& and Tec&nolo%' "ro%rams: A##lication Instr!ctions and "ro%ram
8ana%ement @!idelines &tt#:55444*fta*dot*%o(5la4s5circ!lars5le%Gre%G.121*&tml
t&ro!%& t&e FTA Trans#ortation :lectronic A4ard 8ana%ement (T:A8) s'stem 4e-site*
FTA 4ill mana%e t&e coo#erati(e a%reement t&ro!%& t&e T:A8 s'stem 4e-site* ?efore
FTA ma' a4ard Federal financial assistance t&ro!%& a Federal %rant or coo#erati(e
a%reement, t&e entit' m!st s!-mit all certifications and ass!rances #ertainin% to itself and
its #ro3ect as re!ired -' Federal la4s and re%!lations* 1ince Federal fiscal 'ear 1//5,
FTA &as -een consolidatin% t&e (ario!s certifications and ass!rances t&at ma' -e re!ired
of its a4ardees and t&e #ro3ects into a sin%le doc!ment #!-lis&ed in t&e Federal Re%ister*
Fiscal 'ear 2010 Ann!al Fist of )ertifications and Ass!rances for FTA @rants and
)oo#erati(e A%reements and %!idelines is #!-lis&ed in t&e Federal Re%ister and #osted
on t&e FTA 4e-site at:
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&tt#:55444*fta*dot*%o(5f!ndin%5a##l'5%rantsGfinancin%G10J2;*&tml*
Reci#ients 4ill -e re!ired to mana%e t&eir #ro3ects in accordance 4it& FTA )irc!lar
;100*): Transit Researc& and Tec&nolo%' "ro%rams: A##lication Instr!ctions and
"ro%ram 8ana%ement @!idelines:
&tt#:55444*fta*dot*%o(5la4s5circ!lars5le%Gre%G.121*&tml* T&is incl!des re!irements on
#ro3ect mana%ement and administration incl!din% !arterl' re#ortin%, financial
mana%ement, and #a'ment*
Tec1&ic+ Re.e#e&ces:
1) FRA (2010)* "ositi(e Train )ontrol &tt#:55444*fra*dot*%o(5"a%es5JA.*s&tml*
2) FRA (200/)* Nort& American 6oint "ositi(e Train )ontrol "ro3ect
&tt#:55444*fra*dot*%o(5do4nloads5Researc&5rr0/05*#df*
2) FRA5 Ansoldo-1T1 (200/)* A "ractical Ris$ Assessment 8et&odolo%' for 1afet'-
)ritical Train )ontrol 1'stems
&tt#:55444*fra*dot*%o(5Do4nloads5Researc&5ord0/15*#df
.) FRA (200/)* Intero#era-le )omm!nications-?ased 1i%nalin% as a -asis for
"ositi(e Train )ontrol &tt#:55444*fra*dot*%o(5do4nloads5Researc&5rr0/11*#df*
5) FRA (200A)* )omm!nication Timeo!t and Fatenc' :ffect on "ositi(e Train
)ontrol 1'stem for t&e IDOT )orridor
&tt#:55444*fra*dot*%o(5do4nloads5Researc&5rr0A2.*#df
;) NT1? (2005)* National Trans#ortation 1afet' ?oard 1'm#osi!m on "ositi(e
Train )ontrol 1'stems &tt#:55444*nts-*%o(5e(ents5s'm#G#tc5s'm#G#tc*&tm*
J) FRA5Col#e )enter (2002)* 9!man Relia-ilit' Anal'sis in 1!##ort of Ris$
Assessment for "ositi(e Train )ontrol
&tt#:55444*fra*dot*%o(5do4nloads5Researc&5ord0215*#df*
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