Summary

FRA is continuing to support national deployments of advanced signal and train control technology to improve the safety, security, and efficiency of freight, intercity passenger, and commuter rail service through regulatory reform, project safety oversight, technology development, and financial assistance. Positive Train Control (PTC) refers to technology that is capable of preventing train-to-train collisions, over-speed derailments, and casualties or injuries to roadway workers (e.g., maintenance-of-way workers, bridge workers, signal maintainers) operating within their limits of authority. PTC systems vary widely in complexity and sophistication based on the level of automation and functionality they implement, the system architecture utilized, and the degree of train control they are capable of assuming. Current PTC system designs either act as a safety overlay for existing methods of rail operations or provide the functionality necessary to implement new methods of rail operations. PTC technology also has the potential capability to limit adverse consequences of events such as hijackings and runaways that are of special concern in an era of heightened security.
 
Regulatory Development
On March 7, 2005, FRA published regulations regarding Performance Standards for Processor-Based Signal and Train Control Systems located in Title 49 Code of Federal Regulations (CFR) Part 236, Subpart H. A working group of the Railroad Safety Advisory Committee (RSAC) first developed these performance-based regulations vice traditionally prescriptive regulations. The new performance-based regulations require a railroad demonstrate with a high degree of confidence, that the risks associated with a new product being implemented are less than or equal to the risks associated with the product that is being replaced.

After extensive participation and contributions by railroads, rail labor, suppliers, and other agencies, including the National Transportation Safety Board (NTSB), the performance-based regulations became effective June 6, 2005. The new regulations support the introduction of innovative technology, including systems utilizing computers and radio data links, to accomplish PTC functions. In addition to supporting advancement of PTC systems, these regulations also facilitate the ever-growing use of processor-based equipment and functioning in otherwise conventional signal and train control systems.

PTC System Development and Deployments
There are currently 11 different PTC projects in one stage or another of development and implementation, involving nine different railroads, in at least 16 different states, and consisting of over 4,000 track miles. Significant expansion of these systems is expected in the near coming years. The following is a summary listing of the major PTC system projects currently in progress in the United States.

Acses
Amtrak has implemented the Advanced Civil Speed Enforcement System (ACSES) on the Northeast Corridor (NEC) between Boston and Washington DC.   ACSES supplements the existing cab signal/automatic train control system on the NEC, providing full PTC functionality in support of operations up to 150 mph. Originally designed as a transponder-based system, enhancements are under development to replace the transponders with a Global Positioning Satellite (GPS) radio-based system.

CAS
The Alaska Railroad (ARRC) is in the progress of a multiyear phased statewide implementation of their communications-based train control system called Collision Avoidance System (CAS). Planned for completion by late 2008/early 2009, CAS enhances safety by enforcing movement authority, speed restrictions, and on-track equipment authorities in real time in a combination of Direct Traffic Control (DTC) and signaled territory. The initial phases of work involving the design and installation of the communications infrastructure and a new train dispatching system are complete. The current phase, the design and implementation of the onboard system, is undergoing initial field testing.

ETMS
The BNSF Railway Company (BNSF) has received FRA approval for full revenue deployment of their Electronic Train Management System (ETMS) Version 1 on 35 separate BNSF subdivisions. BNSF and FRA are working together on testing a second enhanced version of ETMS on an additional 300 miles of high-density signaled territory in Texas and Oklahoma over which operates mixed freight and passenger service. ETMS is an overlay-type communication-based system that enforces movement authority and speed restrictions for ETMS equipped trains and proximity warnings of nearby equipped on-track equipment. This system works in conjunction with the existing methods of operation, including using input from the currently installed signal systems, to protect against the consequences of human error.

CBTM
In 1998, CSX Transportation, Inc. (CSXT) requested a waiver of the existing Federal Regulations to implement a pilot overlay-type PTC system called Communications Based Train Management (CBTM) on 126.6 miles of CSXT track operating under DTC rules in the Southeast, between Spartanburg, South Carolina and Augusta, Georgia. The pilot included all of the territory on two subdivisions, Spartanburg and McCormick, of the Florence Service Lane. These areas consisted of single main track, sidings, and branch lines. Subsequent to that initial waiver, FRA has also approved a CSXT request to extend the CBTM pilot territory an additional 138.6 miles to include the Blue Ridge Subdivision, between Erwin Tennessee, and Spartanburg, to allow CSXT to complete the software development necessary to adapt CBTM functionality to include signaled territory, such as TCS, in the Blue Ridge Subdivision. CSXT is currently evaluating the CBTM results obtained, and examining the feasibility of adopting ETMS type technology.

ITCS
FRA joined with Amtrak and the State of Michigann to install an Incremental Train Control System (ITCS) on Amtrak's Michigan line between Chicago and Detroit. Currently installed on over 60 miles of track in the territory between Niles and Kalamazoo, Michigan, this project includes using advanced high-speed highway-rail grade crossing warning system starts using radio communication rather than track circuits. ITCS monitors Highway Grade Crossing Warning (HGCW) system health through communications between the locomotives and the crossings. Depending on the condition of the HWGC system, ITCS imposes and enforces appropriate speed restrictions. In revenue service for Amtrak since January 2002, the maximum train speed for passenger train operations in ITCS territory is currently 95 mph. ITCS is completing the necessary system upgrades to support operations up to 110 mph, and consideration is being given to expansion to cover an additional 60 miles of track.

V-TMS
The Union Pacific Railroad (UP) has begun development of a fail-safe non-overlay derivation of the BNSF ETMS called Vital Train Management System (V-TMS). The V-TMS system provides similar functionality as the BNSF ETMS, but its design is capable of supporting changes to the existing methods of operations. The UP is currently establishing pilot territories for V-TMS operations in both the Powder River Basin of Wyoming as well as in the State of Washington. Design work is in progress, and UP anticipates prototype testing in late 2008.

OTC
The Norfolk Southern Railroad is implementing another fail-safe non-overlay derivation of the ETMS system called Optimized Train Control (OTC). The NS OTC system design integrates the new NS Computer Aided Dispatch (CAD) System with PTC functionality as well as other specialized business functionalities. Like Alaska Railroad CAS and UP V-TMS, OTC will support changes in the existing methods of operations. NS has established a test territory of approximately 120 miles in central South Carolina. The new CAD and communications system installation is nearing completion, and initial onboard prototype field-testing planed for 2008.

Train Sentinel
The Ohio Central Railroad System (OCRS) has begun installation and testing of the Train Sentinel PTC System on approximately 300 miles of OCRS territory. Train Sentinel is a safety overlay on existing methods of operations. The OCRS Train Sentinel System is an adaptation of a PTC system recently implemented on the Panama Canal Railroad (PCRR) between Balboa and Panama City in the Republic of Panama. Initial testing of the OCRS version of Train Sentinel will begin in 2008.

METRA ETMS
The Chicago METRA is implementing a CAD independent PTC system based on the ETMS technology. METRA will initially install their version of ETMS on approximately 60 miles of the Joliet and Rock Island Subdivisions in suburban Chicago starting in 2008. The primary objective of the initial phase of the development program is to provide for speed enforcement without the need for integration with a CAD system while still providing train separation and roadway worker protection. Plans for the METRA ETMS system will include eventual procurement, installation, and integration with an electronic CAD system.

PATH CBTM
System design work is underway for the Port Authority of New York and New Jersey (PATH) Communications Based Train Management (CBTM) System. CBTM will provide PTC functionality to the Trans-Hudson River Commuter Rail Line running underground between New Jersey and New York City. PATH anticipates initial testing in the 2008/2009 period.

NAJPTC
Unanticipated technical issues primarily associated with communications bandwidth limitations resulted in relocating the North American Joint Positive Train Control Project (NAJPTC) to the Technology Transportation Center (TTC) test facility in Pueblo, CO. NAJPTC, a joint development effort of the Association of American Railroads, the Federal Railroad Administration, and the Illinois Department of Transportation, was attempting to develop an industry standard interoperable, vital, office-centric high-speed (110 mph) passenger and freight service in Southern Illinois. The new TTC test facility location will enable more timely resolution of the underlying communications issues associated with the standards in a more controlled environment.

Project Docket Numbers
Below is a matrix identifying docket numbers by which detailed documents associated with the various project can be accessed and viewed at the regulations.gov website. (http://www.regulations.gov/search/index.jsp ).

PTC Project’s Submissions and Associated FRA Docket Numbers

System Manufacturers

Financial Assistance
PTC systems are eligible for funding under the Railroad Rehabilitation and Improvement Financing (RRIF) Program. No railroads, however, have approached FRA for funding of PTC projects using this program. 
                          

For further information, contact:

Thomas McFarlin

202-493-6203

Updated 3/27/2008-MWH