SOUNDER COMMUTER RAIL
PTC Implementation Plan (PTCIP) April 2010
Submitted in fulfillment of 49 CFR Part 236, Subpart I, 236.1011
Sounder Commuter Rail PTC IMPLEMENTATION PLAN
Table of Contents
Table of Contents...... i 1.0 Introduction ...... 4 1.1 Overview ...... 4 1.1.1 Approach to PTC Implementation...... 4 1.1.1.1 Background with External Relationships...... 4 1.1.2 Organizational Relationships...... 7 1.1.2.1 ST Program Office...... 7 1.1.2.2 ST Project Managers ...... 7 1.1.2.3 Program Change Control Board ...... 9 1.1.3 Request for Amendment of a PTCIP [§ 236.1009(a)(2)(ii)]...... 10 1.2 Goals and Objectives ...... 11 1.2.1 Performance...... 11 1.2.2 Quality ...... 11 1.2.3 Technical ...... 11 1.2.4 Coverage...... 11 1.3 Success Criteria ...... 12 1.3.1 Long-term Goal Metrics ...... 12 1.3.1.1 System PTC Implementation...... 12 1.3.1.2 Locomotive/Cab Car Installation...... 12 1.3.1.3 PTCSP Submitted...... 12 1.3.1.4 Request for Expedited Certification Submitted ...... 13 1.3.1.5 PTC System Certification Received ...... 13 1.3.2 Intermediate Goal Metrics ...... 13 1.3.2.1 Infrastructure Installation Completed ...... 13 1.3.2.2 Geographic Information System (GIS) Validated ...... 13 1.3.2.3 Field Testing Completed...... 14 1.3.2.4 Training Plan Implementation ...... 14 1.4 Applicability ...... 14 1.5 Document Overview...... 14 1.6 Acronyms and Definitions...... 15 2.0 Applicable Documents...... 18 2.1 Overview ...... 18 3.0 Designating Track as Main Line or Non-Main Line [§ 236.1011(a)(8)]...... 19 3.1 Non-Mainline Segments ...... 19 4.0 Technology [§ 236.1011(a)(1)]...... 19 5.0 Compliance [§ 236.1011(a)(2)]...... 23 5.1 Risks to Meeting Required PTC Installation Date...... 23 6.0 Interoperability [§ 236.1011(a)(3)] ...... 30 6.1 Railroad Agreement Provisions Relevant to Interoperability [§ 236.1011(a)(3)]...... 30 6.2 Technology Applicable to Interoperability [§ 236.1011(a)(3)(ii)]...... 31 6.3 Obstacles to Interoperability [§ 236.1011(a)(3)(iii)] ...... 32 6.4 Railroads Requiring Interoperability with Sounder Commuter Rail ...... 32 7.0 Installation Risk Analysis [§ 236.1011(a)(4)]...... 33 8.0 Deployment Sequence & Schedule [§ 236.1011(a)(5)] ...... 34 9.0 Rolling Stock [§ 236.1011(a)(6)] ...... 34 9.1 Rolling Stock to be Equipped [§ 236.1011(s)(6)(i)]...... 34 9.2 Schedule [§ 236.1011(a)(6)(ii)] ...... 35 9.3 Tenant Railroads [§ 236.1011(a)(6)(iii)(A) and (B)]...... 35 10.0 Wayside Devices [§ 236.1011(a)(7)]...... 35 10.1 WIU Technology ...... 36
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11.0 Exceptions to Risk-Based Prioritization [§ 236.1011(a)(9)] ...... 36 12.0 Strategy for Full PTC System Deployment [§ 236.1011(b)]...... 36 13.0 Main Line Track Exclusion Addendum [§ 236.1019]...... 36 14.0 Appendices ...... 37 14.1 Appendix A – Sample Sounder Schedule - 2012...... 38 14.2 Appendix B – Vehicles to be Equipped with PTC: Tacoma to Lakewood...... 39 14.3 Appendix C – Letters/Memorandums of Understanding for PTC...... 40
Table of Contents - Figures
Figure 1— Map of Sounder System by Segments...... 6 Figure 2— Table of Sounder Corridor Segments...... 7 Figure 3— Program Manager and Project Relationships ...... 8 Figure 4— Program Change Control Board...... 9 Figure 5— Risks to Sound Transit’s Completion and Delivery of PTC by 12/131/15 ...... 24
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Revision History
Version Date Changed by Summary 0 4/16/10 Eric Beckman/ Initial Release Martin Young
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1.0 Introduction
1.1 Overview
Sound Transit’s Sounder Positive Train Control Implementation Plan (PTCIP) collects and organizes the implementation plan information required by 49 CFR 236 Subpart I (herein § 236 Subpart I). The plan identifies: a). How, where, and in what sequential order the Positive Train Control (PTC) system shall be deployed. b). How the system shall provide the statutory functionality; c). The definition of ST’s PTC system’s safety as non-vital per the § 236 Subpart I criteria; d). All main line track segments, the method of operation, and the maximum authorized speed(s) for each subdivision where PTC shall be equipped; e). The installation risk prioritization methodology used; f). How rolling stock (ST and tenant railroads) shall be equipped for PTC; g). ST’s strategy for full PTC system deployment; h). Accompanying appendices as appropriate to clarify information.
1.1.1 Approach to PTC Implementation
In submitting the Sound Transit Positive Train Control Implementation Plan (PTCIP) it should be noted Sound Transit’s unique situation in regard to being able to respond to this requirement. Sound Transit is now in the process of various phases of design and construction of new track on the section of our future service corridor known as the Lakeview Subdivision, on which there are currently no passenger trains. The ST approach for meeting the requirements for PTC documentation for submittal to the FRA as per the Rail Safety Improvement Act of 2008 is to provide as much information currently available by the required deadline, updating the FRA with further information as it develops. This PTC IP submittal is accompanied by a Notice of Product Intent. Per §236.1013(e) the NPI will provide Sound Transit another 270 days necessary to confirm many details yet unknown concerning the implementation of technologies being finalized and coordinated closely with the BNSF Railway. BNSF serves as the host railroad for the vast majority of the Sounder’s operating corridor, is taking a leading edge role in developing and implementing the Electronic Train Management System (ETMS) which Sound Transit will emulate on its own right of way.
1.1.1.1 Background with External Relationships
Existing Passenger Service Corridor - Sound Transit (ST) began operating the Sounder Commuter Rail passenger service in September 2000 on tracks owned by the BNSF Railway. BNSF owns most of the tracks (74 of 75 miles) Sounder operates on and dispatches all trains over the existing passenger service corridor (between Everett and Tacoma). Due to the nature of this relationship, ST is working directly with the BNSF Railway, already proactive in the development and implementation of its own Electronic Train Management System (ETMS) for the development and implementation of the Sounder PTC IP. For a map of the respective segment, see Figure 1.
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Future Passenger Service Corridor - ST purchased 18 miles of track in 2003 (between Tacoma and Nisqually) for a future south-line extension of passenger service, seven miles of which is scheduled for Sounder service in late 2012 (Tacoma to Lakewood). BNSF has retained the freight easement on the corridor, and has subcontracted the work to Tacoma Rail.
BNSF as Lead – Sound Transit is working with BNSF to have PTC installed as wayside infrastructure on the entire Sounder service corridor (both BNSF and Sound Transit owned corridors) by December 31, 2012. Sound Transit will be using on the track it owns solely and precisely the exact technology developed and implemented by BNSF on their owned corridor, on which ST currently operates. Sound Transit will be installing wayside PTC infrastructure on its own right of way where passenger trains will operate, as well as PTC equipment on all locomotives and cab cars. ST will activate this infrastructure and equipment no later than December 31, 2015. For more detail outlining the respective corridors over which Sounder operates, see Figure 2 that follows.
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Figure 1— Map of Sounder System by Segments
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Figure 2— Table of Sounder Corridor Segments Description Miles Owner Service Everett to Seattle 35 BNSF Existing: Sounder, Amtrak and BNSF Freight Seattle to Tacoma (TR Jct.) 39 BNSF Existing Sounder, Amtrak and BNSF Freight Tacoma (TR) Jct. to D Street 1.3 Tacoma Rail Sounder, Tacoma Rail Freight D Street (Tacoma) to M Street 1.2 Sound Transit Future: Sounder (Tacoma) M Street (Tacoma) to Lakewood 7 Sound Transit Existing: TR/BNSF Freight Future: Sounder, Potential Amtrak Lakewood to Nisqually 11 Sound Transit Existing: Tacoma Rail / BNSF Freight Future: Potential Amtrak
1.1.2 Organizational Relationships
1.1.2.1 ST Program Office
The ST Program Office (PO) provides direct operational oversight of the program serving as the definitive resource for project management direction and guidance. A view of the relationship between the ST Program Office, Project Managers, ST Operations, Consultants, BNSF, Tacoma Rail as well as all of the Sound Transit supporting departments is depicted in Figure 3 - Program Office and Relationships. Specific responsibilities of the PO include:
Providing oversight and monitoring of projects/activities within the program Enforcing priorities and approving scope for the project Providing an escalation point for issues, risks, and resources Fostering quick decision making and issue resolution
Monitoring/tracking budget
1.1.2.2 ST Project Managers
ST Project Managers manage their teams’ delivery of items and tasks as outlined in the project management plan for their respective areas: Project Development for wayside systems, and Operations for the equipping of vehicles. They relay status to the ST Program Manager (PM) and facilitate communication, resolve intra- team issues, and report team progress.
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Figure 3— Program Manager and Project Relationships
BNSF Program Manager PTC PTC Development Program Manager Consultant Sounder Rail - PTC Tacoma Rail PTC Pgm Manager
Wayside Infrastructure Fleet Operations Project Manager - PTC Project Manager PTC
AGENCY SUPPORT TO PROGRAM
Legal Risk Finance and Contract / Management Information Procurements Technology
Planning, Safety Quality Communications Environmental Assurance & Government and Affairs Preliminary Design
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1.1.2.3 Program Change Control Board
The Sound Transit Change Board provides program oversight and serves as an escalation point to resolve issues beyond resolution at the Program level. The Board is charged with decision-making authority and provides focus, oversight and strategic guidance to the program ensuring a collective vision. The Program Steering Committee meets on an as needed basis, where there will be face-to-face discussions with the Program Manager for approvals. Figure 4 – Table of Change Board Members lists the members of the Change Board. The Change Board is comprised of Stakeholders, seen below, from all internal organizations within Sound Transit that are mandated to make the implementation of PTC a successful program.
Scope of the Change Board - The CCB is responsible for administering the following specific functions Procurement Control - The CCB provides a forum for the evaluation and coordination of proposed contracts and procurements. CCB provides authorization to proceed with proposed contracts and procurements. Contract Change Control - The CCB is a mechanism for controlling contract changes through: Delegation of authority to Managers for the negotiating of contract changes and procurements Approval / Disapproval of betterment work; Approval / Disapproval of creation, modification or deletion of provisional sum items; Approval / Disapproval of contract changes Baseline Management – The CCB approves / disapproves proposed modifications to the configuration of the program; including any modifications to baseline documents (controlled documents).
The responsibilities of the Change Control Board include, but are not limited to:
Controlling program scope as emergent issues force changes to be considered, ensuring that scope aligns with program objectives of implementing PTC Resolving program conflicts and disputes, reconciling differences of opinion and approach Providing formal acceptance of program change deliverables.
Figure 4— Program Change Control Board
Department Voting Member Design, Engineering & Construction Mg’t Director of Project Controls (Chair) Design, Engineering & Construction Mg’t Deputy Executive Director of Business Services Design, Engineering & Construction Mg’t Deputy Executive Director of Design & Engineering Design, Engineering & Construction Mg’t Deputy Executive Director of Project & Constr. Management Design, Engineering & Construction Mg’t Director of Civil & Structural Design Design, Engineering & Construction Mg’t Director of Systems Engineering & Integration
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Design, Engineering & Construction Mg’t Project Control Manager, Configuration Design, Engineering & Construction Mg’t Project Control manager, Schedule, Estim. & Risk Mg’t. Design, Engineering & Construction Mg’t Project Control Manager, Cost Control & Reporting Design, Engineering & Construction Mg’t Project Director (s) Design, Engineering & Construction Mg’t Director of Construction Management Design, Engineering & Construction Mg’t Deputy Director Office of Environ. Affairs and Sustainability Design, Engineering & Construction Mg’t Director of Office of Light Rail Project Development Design, Engineering & Construction Mg’t Director of Office of Planning and Development Design, Engineering & Construction Mg’t Director of Procurements and Contracts Safety, Quality Assurance Agency QA/QC Manager Finance, Information Technology Director of Finance and Budget Operations Director of Operations
1.1.3 Request for Amendment of a PTCIP [§ 236.1009(a)(2)(ii)]
This subsection describes how Sound Transit will make and file a Request for Amendment (RFA) of its PTC Implementation Plan (PTCIP) in accordance with § 236.1021. When a routing change, affecting annual Million Gross Tons (MGT), TIH/PIH traffic levels, or other operational change, as called out under § 236.1009(a)(ii) prompts a Request for Amendment of the PTCIP to be drawn up, as a part of their review and approval process, Sound Transit shall take the following steps:
1. The Request for Amendment shall be drawn up for internal review. Once an initial draft is published, the review/approval cycle will begin.
2. The ST Program Office and ST Program Steering Committee shall be responsible for reviewing the RFA to ensure that all items described in § 236.1021(d) are present when applicable. All review comments of the draft shall be documented in an internal review log.
3. After the reviewers have had a minimum of one week to review the draft RFA, the process of addressing and displacing comments from the review log shall commence.
4. Once all comments from the review log have been addressed and displaced, the review log and updated draft RFA shall be re-distributed to the ST Program Office and ST Program Steering Committee for a final review.
5. If no new comments are added, the RFA and updated PTCIP shall be finalized and submitted to FRA via two methods:
a. Three hard copies of each shall be sent to the FRA – full version, redacted version, and a delta version highlighting any redacted sections.
b. Three soft copies of each shall be placed on the FRA’s SharePoint site.
Document version control shall be provided by using an internal BNSF SharePoint site
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1.2 Goals and Objectives
The primary goal of implementing Sound Transit’s PTC solution on its network, as required by RSIA08, is to prevent train-to-train collisions, overspeed derailments, incursions into established work zone limits, and the movement of a train through a switch left in the wrong position. Sound Transit will have its PTC safety overlay system (ETMS) installed and interoperable on all trackage required by § 236.1005(b) by December 31, 2015. Further goals and objectives are discussed below.
1.2.1 Performance
The PTC system’s deployment will adhere to the PTC System Certification requirements detailed in § 236.1015.
1.2.2 Quality
Deployment of Sound Transit’s PTC system will be conducted in full compliance with all applicable Federal requirements, including those specified in § 236 Subpart I. As defined in § 236.1001, an acceptable level of safety will be maintained in the development, functionality, architecture, installation, implementation, inspection, testing, operation, maintenance, repair, and modification of the PTC system. To ensure an acceptable level of safety is achieved, Sound Transit will follow the methodologies and activities outlined in the BNSF ETMS Product Safety Plan (PSP) submitted on February 18, 2010 (approval pending). As outlined in § 236.1015(b)(2), Sound Transit will also ensure that all vendors from whom PTC technologies are to be acquired have an acceptable quality assurance program for both design and manufacturing processes.
1.2.3 Technical
The PTC system will provide for interoperability between Sound Transit and all of its tenant railroads. Technical, semantic, and organizational interoperability will be achieved to enhance the ability of Sound Transit and its tenants to operate together safely. Interoperability between Sound Transit and its tenants will be achieved though product testing, industry partnership, common technology, and standard implementation. Sound Transit will work closely with its tenants and BNSF throughout the PTC deployment process to ensure that all aspects of interoperability are fully addressed. This partnership will be ongoing and uninterrupted as the tenant railroads proceed to operate on these equipped portions of the Sound Transit corridor.
1.2.4 Coverage
Sound Transit will have all of its locomotives and cab cars equipped and interoperable for use on both the 74 miles of BNSF owned corridor between Everett and Tacoma as well as the ST owned tracks by December 31, 2015.
Sound Transit will have ETMS installed, operational, and interoperable on the Sound Transit owned corridor between Tacoma and Nisqually by December 31, 2015.
Of the ST owned 19 route miles to be equipped, 0 miles currently contain passenger traffic;
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Of the ST owned 19 route miles to be equipped, 8 miles (42%) will have passenger [but not TIH/PIH] traffic by December 31, 2012.
Of the ST owned 19 route miles to be equipped, there are plans for all 19 miles (100%) to have passenger traffic by December 31, 2013 [yet no TIH/PIH traffic].
1.3 Success Criteria
This section of the PTCIP defines metrics that will be applied to gauge the success of long-term and intermediate implementation goals. For clarification, when referred to in this section, long-term goals shall refer to Sound Transit’s implementation milestones from a system point of view. Intermediate goals shall refer to Sound Transit’s implementation milestones from a segment point of view.
1.3.1 Long-term Goal Metrics
To gauge long-term goals, Sound Transit shall use the following metrics for System PTC Implementation and Locomotive/Cab Car Installation. A definition of long-term goals for PTC Safety Plan (PTCSP) submittal and PTC System Certification are also included. The remaining metrics will be on a segment to segment basis and are described in Section 1.3.2 - Intermediate Goal Metrics.
1.3.1.1 System PTC Implementation
A segment shall be considered complete when PTC System Certification is received by Sound Transit as detailed in § 236.1015(a). Sound Transit sets forth the following yearly metrics for the number of segments it shall have equipped and operational with PTC:
2012 – The Seattle-to-Tacoma segment (owned and managed by BNSF) will have been completed – 74 miles.
2013 – The Tacoma-to-Lakewood segment (owned by Sound Transit) will have been completed – 8 miles.
2015 – The Tacoma-to-Nisqually segment (owned by Sound Transit will have been completed – 11 miles.
1.3.1.2 Locomotive/Cab Car Installation
As put forth by §236.566, all Sound Transit locomotives and cab cars will be equipped with PTC responsive on board apparatus, in coordination with BNSF for their system, according to the schedule shown below.
2012 – 11 of 11 locomotives have been equipped – 100%
2012 – 18 of 18 cab cars have been equipped - 100%
1.3.1.3 PTCSP Submitted
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As put forth in § 236.1015, the host railroad is required to submit a PTCSP in order to get its subsequent PTC System Certificate. This long-term goal shall be considered complete once the PTCSP has been submitted to the FRA and approval granted.
1.3.1.4 Request for Expedited Certification Submitted
Sound Transit may, in accordance with § 236.1031(a), submit a Request for Expedited Certification (REC) letter to the FRA. This letter shall reference the approval pending for BNSF’s pending ETMS Product Safety Plan 3.0 submitted on February 18, 2010 and include the information required under §236.1031(a)(1). The BNSF PSP will serve as the over-arching plan for Sound Transit because the technology employed by BNSF is the prototype for and identical to the technology of the product being implemented on the Sound Transit owned segments.
1.3.1.5 PTC System Certification Received
§ 236.1015(a) states that the ―receipt of a PTC System Certification affirms that the PTC system has been reviewed and approved by the FRA in accordance with, and meets the requirements of, this part. Once BNSF receives the PTC System Certification, the configuration shall be considered operational, and Sound Transit will have more information in having its own system certified.
1.3.2 Intermediate Goal Metrics
Intermediate goals shall refer to those milestones that can best be used on a segment by segment basis. When all of these intermediate goals have been completed, a segment shall be considered cut over to PTC operations.
1.3.2.1 Infrastructure Installation Completed
Infrastructure installation for each segment shall be completed when the following have been installed and tested for functionality:
100% of the communication system
100% of the track infrastructure
100% of the waysides
1.3.2.2 Geographic Information System (GIS) Validated
For the Sounder corridor there are two intermediate goals that are a result of Geographic Information System (GIS) data. GIS data shall be considered validated for each segment when the following are completed:
Track survey completed
Track database validated and verified
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1.3.2.3 Field Testing Completed
The completed field testing shall conform with § 236.1015(d)(10). This testing shall be made up of the following:
Host Railroad PTC Operation
Interoperable PTC Functionality
1.3.2.4 Training Plan Implementation
As an intermediate goal, the training plan shall be implemented to assure 100% of operating employees are trained prior to performing PTC service. The training plan will ensure:
Field and office maintenance personnel, as described in § 236.1041(a)(1), have completed training in accordance with §§ 236.1039 through 236.1045.
Dispatchers, as described in § 236.1041(a)(2), have completed training in accordance with §§ 236.1039 through 236.1045.
Persons who operate trains or serve as a train or engine crew, as described in § 236.1041(a)(3), have completed training in accordance with §§ 236.1039 through 236.1045.
Roadway workers, as described in § 236.1041(a)(4), have completed training in accordance with §§ 236.1039 through 236.1045.
Direct supervisors, as described in § 236.1041(a)(5), have completed training in accordance with § 236.1039 through 236.1045.
1.4 Applicability
This section provides the pertinent information for the railroad's rail network for the purpose of PTC implementation. Non-main line subdivisions are defined as those subdivisions not meeting the parameters described in § 236.1003 and § 236.1005(b)(1)(i and ii). All Sound Transit owned segments meet the parameters in § 236.1005(b)(1)(i and ii) and are considered main line for PTC installation.
1.5 Document Overview
This section provides an overview of the organization of the PTCIP, which Sound Transit has developed as required by 49 U.S.C. § 20157 and § 236.1005.
Section 1 describes the general objectives, applicability, and scope of the document.
Section 2 lists applicable documents referenced in this PTCIP.
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Section 3 identifies which track segments the railroad designates as main line and non-main line track, as required by § 236.101l(a)(8).
Section 4 describes the functional requirements that the PTC system meets as required by § 236.1011(a)(l).
Section 5 describes how Sound Transit will comply with § 236.1009(c) as required by § 236.1011(a)(2).
Section 6 defines how Sound Transit will provide for interoperability between itself and all tenant railroads as required by § 236.1011(a)(3).
Section 7 describes how the PTC system will be implemented to address areas of greater risk to the public and railroad employees before areas of lesser risk, by evaluating multiple risk factors, as required by § 236.101 l(a)(4).
Section 8 defines the sequence, schedule, and decision basis for the line segments to be equipped, including the risk factors by line segment, as required by § 236.101 l(a)(5).
Section 9 identifies the rolling stock that will be equipped with the PTC technology, as required by § 236.1011(a)(6) and defines a schedule for same.
Section 10 identifies the number of wayside devices required for each subdivision and the schedule to complete the installations by December 31, 2015, as required by § 236.1011(a)(7).
Section 11 identifies and describes that there are no exceptions being taken for Sound Transit’s prioritization of risk (required by § 236.101l(a)(9)) for the corridor.
Section 12 contains the strategy for full system-wide deployment of Sound Transit’s PTC system; none of the Sound Transit ROW is beyond those line segments required to be equipped under § 236 Subpart I,
Section 13 identifies the single track segment Sound Transit owns that requires no exclusion for, as required by §236.1019(c)(3).
1.6 Acronyms and Definitions
This section shall include definitions of all terms, abbreviations, and acronyms required to properly interpret the Implementation Plan.
The following is a list of abbreviations and acronyms used in the PTC IP.
ACRONYM DEFINITION AAR American Association of Railroads ABS Automatic Block Signal ATS Automatic Train Stop BNSF BNSF Railway Company CFR Code of Federal Regulations CCB Change Control Board
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CTC Centralized Traffic Control ETMS Electronic Train Management System FRA Federal Railroad Administration GIS Geographic Information System JMI Human Machine Interface ID Identification ITC Interoperable Train Control MGT Million Gross Tons MHz Megahertz MPH Miles Per Hour MTEA Main Line Track Exclusion Addendum NCS Network Control Systems NPI Notice of Product Intent PIH Poison by Inhalation Hazard PM Program Manager PO Program Office PSP Product Safety Plan PTC Positive Train Control PTCDP PTC Development Plan PTCIP PTC Implementation Plan PTCSP PTC Safety Plan REC Request for Expedited Certification FRA Request for Amendment RSIA08 Rail Safety Improvement Act of 2008 ST Sound Transit TBC To Be Configured TIH Toxic Inhalation Hazard TR Tacoma Rail Wabtec Westinghouse Air Brake Technologies Corporation WIU Wayside Interface Unit WRE Wabtec Railway Electronics
The following is a list of terms and definitions used in the PTCIP.
ABS Automatic Block Signal system, a series of consecutive blocks governed by block signals, cab signals, or both, actuated by a train or engine, or by certain conditions affecting the use of a block.
Class 1 Railroad A railroad which, in the last year for which revenues were reported, exceeded the threshold established under regulations of the Surface Transportation Board (49 CFR part 120.1-1 (2008)).
Crossing Point of intersection at grade between two tracks belonging to the same or different railroads.
CTC Centralized Traffic Control, a block system operated from a dispatching office using block signal indications to authorize train movements.
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ETMS Electronic Train Management System, used to refer to the railroad safety-overlay system developed jointly by the BNSF and Wabtec for a pilot implementation on the Beardstown subdivision in Illinois.
GIS Geographic Information System, a collection of computer hardware, software, and geographic data for capturing, storing, updating, manipulating, analyzing, and displaying all forms of geographically referenced information.
Host Railroad The railroad that has effective operating control over a segment of track.
Interoperability ETMS capability allowing trains equipped with the same or similar systems to operate on different railroads interchangeability and automatically without hindrance, delay, or additional on-board equipment, including uninterrupted movements over property boundaries.
Locomotive Engineer A qualified person who is currently certified pursuant to 49 CFR Part 240
Main Line Except as excepted pursuant to § 236.1019 or where all trains are limited to restricted speed, a segment or route of railroad tracks, including controlled sidings:
1) Of a Class I railroad, as documented in current timetables filed by the Class I railroad with the FRA under § 217.7, over which 5,000,000 or more gross tons of railroad traffic is transported annually; or
2) Used for regularly scheduled intercity or commuter passenger service, as defined in 49 U.S.C. § 24012, or both.
Methods of Operation Track Warrant Control (TWC) with non-signal and Automatic Block Signal (ABS) applications, Centralized Traffic Control (CTC), and/or the use of system (dispatch and signal systems) that generate mandatory directives.
MTEA Main Line Track Exclusion Addendum, the document further described in § 236.1019.
NCS BNSF Network Control Systems, the group responsible for the operation and maintenance of the NOC networks.
Non-Signaled Territory Track without signals, over which train movements are governed by timetable, track warrants, or operating rules; aka dark territory.
NPI Notice of Product Intent as further described in § 236.1013.
Overlay A system that does not constitute any part of the method of operation, but maintains safe system operation should any one of the safety-critical functions be omitted or not performed correctly.
PTC Positive Train Control, as further described in § 236.1005.
PTCDP PTC Development Plan, as further described in § 236.1013.
PTCIP PTC Implementation Plan, as required under 49 U.S.C. § 20157 and further described in § 236.1011.
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PTC Railroad Each Class I railroad and each entity providing regularly scheduled intercity or commuter rail passenger transportation required to implement and operate a PTC system.
PTCSP PTC Safety Plan as further described in § 236.1015.
PTC System Certification Certification as required under 49 U.S.C. § 20157 and further described in § 226.1009 and § 236.1015.
RFA Request for Amendment, a request for an amendment of a plan or system made by a PTC-equipped railroad in accordance with § 236.1021.
Safety Critical Applies to any function or system, the correct performance of which is essential to the safety of personnel and/or equipment, or the incorrect performance of which could cause a hazardous condition or allow a hazardous condition that was intended to be prevented by the function or system to exist.
Segment Refers to a linear section of the corridor associated with Sound Transit and Sounder Commuter Rail where either Sounder operates or may one day operate.
Tenant Railroad A railroad, other than a host railroad, operating on track upon which a PTC system is required.
Track Database Database containing locations and attributes of track over which trains are subject to location tracking and enforcement.
TWC Track Warrant Control, a method of authorizing train movements or protecting track forces on a main track within specified limits in a territory so designated in the timetable.
Validation The process of determining that a system is appropriate for its purpose.
Verification The process of determining that a system or module meets its designed specifications.
Wayside Interface Unit An electronic component that interfaces ETMS to a field (wayside) device.
2.0 Applicable Documents
2.1 Overview This section provides a complete list of all documents and other sources referenced in the PTC Implementation Plan.
49 CFR Part 236 Subpart I - Final Rule, January 15, 2010
49 CFR Part 236 Subpart H, March 5, 2005
The Sound Transit Electronic Train Management System Product Safety Plan (to be developed);
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The BNSF Electronic Train Management System Product Safety Plan 3.0, February 12, 2010
The BNSF Request for Expedited Certification (REC).
A Sound Transit Sounder Sample Timetable (attached as Appendix A)
3.0 Designating Track as Main Line or Non-Main Line [§ 236.1011(a)(8)]
This section provides the track segments the railroad identifies as main line and non-main line track. Sound Transit’s PTCIP does not include a Main Line Track Exclusion Addendum (MTEA), as defined by § 236.1019. The parameters described in § 236.1003 and § 236.1005(b)(1)(i and ii) were used to designate track as main line or non-main line. In § 236.1005(b)(1)(i and ii) the rail lines required to be equipped are defined as follows: “§ 236.1005 Requirements for Positive Train Control systems (b) PTC system installation. (1) Lines required to be equipped. Except as otherwise provided in this subpart, each Class I railroad and each railroad providing or hosting intercity or commuter passenger service shall progressively equip its lines as provided in its approved PTCIP such that, on and after December 31, 2015, a PTC system certified under § 236.1015 is installed and operated by the host railroad on each: (i) Main line over which is transported any quantity of material poisonous by inhalation (PIH), including anhydrous ammonia, as defined in §§ 171.8, 173.115 and 173.132 of this title; (ii) Main line used for regularly provided intercity or commuter passenger service, except as provided in § 236.1019…” Based on the above rule, each track segment was evaluated and all of Sound Transit’s segments will be considered main line by meeting the following two conditions:
1. Sound Transit is the host railroad as defined in § 236.1003 as follows, ―Host railroad means a railroad that has effective operating control over a segment of track. , and
2. The subdivision meets the definition for main line track as provided in § 236.1003 such that; A. No restriction exists requiring all trains to operate at restricted speed within the boundaries of the subdivision, and;
I. More than 5 million gross tons of railroad traffic were transported within the boundaries of the subdivision during calendar year 2008; or
II. The subdivision was used for regularly scheduled intercity or commuter rail passenger service.
3.1 Non-Mainline Segments
Sound Transit has no segments of its corridor which are non-mainline segments.
4.0 Technology [§ 236.1011(a)(1)]
§ 236.1011(a)(1) requires that the PTCIP describe the functional requirements the proposed PTC system must meet.
Sound Transit service runs primarily on BNSF owned tracks and BNSF dispatches all Sounder trains. Sound Transit will be implementing PTC based on the BNSF model. In lieu of a PTC Development Plan
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(PTCDP), BNSF shall submit an REC to address interoperable functionality of ETMS. This REC (along with BNSF’s previously-submitted PSP of February 18, 2010) shall describe how ETMS satisfies the mandated requirements for PTC systems as outlined in § 236.1005. On April 5, 2010, the REC prepared by BNSF and Wabtec Railway Electronics (WRE) was submitted to the FRA for review and approval. This REC sought to gain approval of ETMS I and II configurations under Subpart I.
BNSF’s REC describes development of the ETMS interoperable PTC system developed in compliance with requirements and standards defined through the Interoperable Train Control (ITC) industry effort. ETMS is a locomotive-centric train control system designed to be overlaid on existing methods of operation and provide a high-level of railroad safety through enforcement of a train’s authorized operating limits, including protection against train-to train collisions, derailments due to overspeed, unauthorized incursion into work zones, and operation through main track switches in improper position. ETMS is designed to support different railroads and their individual methods of operations and is intended to be implemented across a broad spectrum of railroads without modification. This design approach supports interoperability across railroads as ETMS-equipped locomotives apply consistent warning and enforcement rules, regardless of track ownership.
An overview of ETMS, its primary functions, PTC system architecture, and a high-level description of the functionality of the PTC system, subsystems, and interfaces are found in BNSF’s recent PSP submittal dated February 18. 2010. Specifically, these areas are addressed in the following sections:
Part II - System Description & Architecture, which provides a complete description of the ETMS system including a list of all product components and their physical relationships in the subsystem or system, as required by § 236.1013(a)(1) through (3). 12.1 Locomotive Segment 12.2 Office Segment 12.3 Communications Segment 12.4 Wayside Segment 13.0 Functional Overview 14.0 Concept of Operations 15.0 Railroad Operational Applicability 16.0 Back-up Modes
Part III - System Safety Process and Analyses, which describes how ETMS architecture satisfies safety requirements as required by 236 § 236.1013(a)(4). 17.0 System Safety Process 18.0 Preliminary Hazard Assessment 19.0 Hazard Log 20.0 Fault Tree Analysis 21.0 Failure Mode and Effect Analysis 22.0 Supporting Analyses 23.0 Safety Requirements 24.0 Safety Assurance Concepts 25.0 Base Case
The Concept of Operations as required by § 236.1013(a)(3) is covered in Section 14.0 - Concept of Operations of BNSF’s PSP submittal. The detailed Concept of Operations document is provided as
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Appendix G.1 - Concept of Operations of that PSP submittal. While the entire Concept of Operations provides a thorough understanding of the system’s ability to meet the requirements, for the purpose of this document, each requirement will be addressed with a reference within the ETMS Concept of Operations as follows:
§ 236.1005 Requirements for Positive Train Control systems. (a) PTC system requirements. Each PTC system required to be installed under this subpart shall: (1) Reliably and functionally prevent: (i) Train-to-train collisions—including collisions between trains operating over rail-to-rail at-grade crossing. Section 3.3.2 Wayside Segment Section 3.4.2 Train Movements Section 3.4.3 Train-to-Train Proximity Alerts Section 3.4.4 Speed Restrictions Section 3.4.5 Speed Enforcements Section 3.4.6 Switch Enforcements
Rail-to-rail crossings at grade having one or more PTC routes intersecting with one or more routes without a PTC system must have an interlocking signal arrangement (developed in accordance with 49 CFR 236 Subparts A through G) in place and a PTC-enforced stop on all PTC routes. FRA has also determined that the level of risk varies based upon the speeds at which the trains operate through such crossings, as well as the presence, or lack thereof, of PTC-equipped lines leading into the crossing. Accordingly, if the maximum speed on at least one of the intersecting tracks is more than 40 miles per hour, then the routes without a PTC system must also have either some type of positive stop enforcement or a split-point derail on each approach to the crossing (incorporated into the signal system), and a permanent maximum speed limit of 20 miles per hour.
(ii) Overspeed derailments, including derailments related to railroad civil engineering speed restrictions, slow orders, and excessive speeds over switches and through turnouts; Section 3.3.2 Wayside Segment Section 3.4.2 Train Movements Section 3.4.4 Speed Restrictions Section 3.4.5 Speed Enforcements
(iii) Incursions into established work zone limits without first receiving appropriate authority and verification from the dispatcher or roadway worker in charge, as applicable and in accordance with 49 CFR Part 214. Section 3.4.2 Train Movements Section 3.4.4 Speed Restrictions
(iv) The movement of a train through a main line switch in the improper position as further described in § 235.1005(e). Section 3.3.2 Wayside Segment Section 3.4.2 Train Movements
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Section 3.4.6 Switch Enforcement
(2) Include safety-critical integration of all authorities and indications of a wayside….or other similar appliance, method, device, or system of equivalent safety, in a manner by which the PTC system shall provide associated warning and enforcement to the extent, and except as, described and justified in the FRA approved PTCDP or PTCSP, as applicable; Section 3.3.2 Wayside Segment Section 3.4.2 Train Movements Section 3.4.3 Train-to-Train Proximity Alerts Section 3.4.4 Speed Restrictions Section 3.4.5 Speed Enforcements Section 3.4.6 Switch Enforcements
(4) Provide an appropriate warning or enforcement when: (i) A derail or switch protecting access to the main line required by § 236.1007 or otherwise provided for in the applicable PTCSP, is not in its derailing or protecting position, respectively; Section 3.4.2.1.4 Entry to Signaled Territory between Signals Section 3.4.6 Switch Enforcement
(ii) A mandatory directive is issued associated with a highway-rail grade crossing warning system malfunction as required by §§ 234.105, 234.106, or 234.107; Section 3.4.4.4 Crossing and Speed Tags
(iii) An after-arrival mandatory directive has been issued and the train or trains to be waited on has not yet passed the location of the receiving train; Section 3.4.5 Train Movements
(iv) Any movable bridge within the route ahead is not in a position to allow permissive indication for a train movement pursuant to § 236.312; and Section 3.3.2 Wayside Segment
All movable bridges on BNSF’s territory are protected by vital signals. These signals provide the necessary aspect to effectively protect a misaligned movable bridge for PTC- equipped locomotives. BNSF shall provide more detail on this functionality in its amended PTCSP.
(v) A hazard detector integrated into the PTC system that is required by paragraph (c) of this section, or otherwise provided for in the applicable PTCSP, detects an unsafe condition or transmits an alarm; and Section 3.3.2 Wayside Segment
All hazard detectors, as described in § 236.1005(c), on BNSF’s territory are protected by a vital signals. These signals provide the necessary aspect to effectively protect a hazard for PTC-equipped locomotives. BNSF shall provide more detail on this functionality in its amended PTCSP.
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(5) Limit the speed of passenger and freight trains to 59 miles per hour and 49 miles per hour, respectively, in areas without broken rail detection or equivalent safeguards. Section 3.4.4 Speed Restrictions Section 3.4.5 Speed Enforcements
5.0 Compliance [§ 236.1011(a)(2)]
This section describes how ST intends to comply with § 236.1009(d), which requires ST to apply for and receive PTC System Certification from the FRA. PTC System Certification must be received before deploying a PTC system in revenue service on a railroad. It describes any identified or potential risks or other items with potential to create or suggest increased difficulty in the successful completion and delivery of the PTC system installation on or prior to the required date. It also identifies any contingency plans that have been formulated to deal with the risks. Risks are created when assumptions are not met. As risks are identified, consequences associated with risks are also identified. To achieve FRA certification, BNSF will:
File a REC as described in § 236.1031(a) in lieu of a PTCDP. Supply deliverables similar to what it has submitted in two previous PSPs to support a petition for certification of the PTC system. File an abbreviated PTCSP for interoperable ETMS. This PTCSP will reference BNSF’s previous PSPs where appropriate.
Sound Transit will work closely with BNSF for the technology development and implementation of the PTC system and will rely heavily on their work. Accompanying this PTCIP is a Notice of Product Intent (NPI) Sound Transit is submitting to provide an additional nine months to submit the ST Positive Train Control Development Plan (PTCDP) allowing the working through of any and all outstanding issues for this important informational submittal.
5.1 Risks to Meeting Required PTC Installation Date
Sound Transit has implemented a risk management process to identify, mitigate, and monitor risks that could create or suggest increased difficulty in the successful completion and delivery of the PTC system installation on or prior to the required date. This risk management process:
Identifies risks to meeting the goals and objectives of Sound Transit's PTC deployment Predicts consequences associated with risks Implements risk mitigation strategies Monitors risk status Establishes contingency plans
Figure 5 - Risks to Sound Transit’s Completion and Delivery of PTC Installation by Dec 31, 2015 below lists each identified risk to BNSF's completion and delivery of PTC installation on or prior to December 31, 2015, its associated goal/objective category, the predicted consequences of the risk should it occur, ST’s mitigation/containment strategy, and contingency plans.
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Figure 5— Risks to Sound Transit’s Completion and Delivery of PTC by 12/131/15 Risk ID Objective/Goal Risk Description Predicted Risk Mitigation Contingency Plan Category Consequences 1 Performance: Enhance PTC system does not Full benefit of safety Develop detailed Existing method of operation system safety, with enhance system safety: enhancements will not plans for equipping can be maintained during/after particular focus on the Does not prevent train- be realized by required rolling stock, PTC installation until prevention of train-to- to-train collisions date. wayside and office acceptable safety levels have train collisions, over- Does not prevent Sound Transit may with required PTC been achieved and FRA speed derailments, overspeed derailments incur civil penalties. equipment. Certification has been granted. incursions into Does not prevent Develop detailed established work zone incursions into training and limits, and movements established work zone personnel plans. of trains through limits Work closely with improperly-positioned Does not prevent vendors and other switches. movement of trains railroads in close through improperly geographic positioned switches proximity to Creates additional minimize risk safety hazards that associated with reduce system safety installation An acceptable level of procedures and safety is not maintained scheduling. in the development, Establish schedule functionality, performance metrics architecture, installation to measure PTC implementation, deployment inspection, testing, progress. Monitor operation, maintenance, metrics to identify repair, and modification any potential of the PTC technologies schedule delays. to be deployed. Take action to avert potential schedule delays.
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Figure 5 – Risks Continued Risk ID Objective/Goal Risk Description Predicted Risk Mitigation Contingency Plan Category Consequences 2 Coverage: PTC system installation is PTC system cannot be Follow system Existing method of operation Enhancements to delayed because of: deployed without development can be maintained during/after system safety will be PTC equipment modification of the methodology that PTC installation until achieved as a PTC availability system behavior. captures PTC acceptable safety levels have safety overlay system is Availability of trained PTC system cannot be system requirements been achieved and FRA progressively deployed. installers deployed without re- and provides Certification has been granted. Ineffective coordination assessment of achieved traceability of those of installation plans safety levels. requirements result in interference Deployed PTC system throughout the between installation cannot obtain FRA system life cycle. crews where Certification Rigorous safety infrastructure is Schedule delay program at all levels complex and/or of system working space is development. limited. Methodologies and Installation procedures activities as required become protracted by § 236.1015 will Acts of nature. be followed in the PTCSP.
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Figure 5 – Risks Continued Risk ID Objective/Goal Risk Description Predicted Risk Mitigation Contingency Plan Category Consequences 3 Coverage: All required All required portions of the PTC system will not be See Risk Mitigation Existing method of operation portions of the network network are not fully installed across all Strategy for risk #2 can be maintained during/after to be fully equipped, equipped, operational and portions of the network above. PTC installation until operational, and interoperable with all tenant for which PTC Establish clear acceptable safety levels have interoperable with all railroads by December 31, deployment is required understanding of been achieved and FRA tenant railroads by 2015. by § 236.1005(b) technical Certification has been granted. December 31, 2015. Unable to maintain Full benefit of safety requirements and equi0page schedule enhancements will not schedule for Delay in initiating PTC be realized by required interoperability with operations date each tenant railroad. Difficulty and/or delay Sound Transit may Establish in establishing required incur civil penalties. performance metrics interoperability to measure tenant agreements with tenant progress toward railroads. equipping rolling Difficulty and/or delay stock with in achieving required interoperable PTC levels of technical equipment. interoperability
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Figure 5 – Risks Continued
Risk ID Objective/Goal Risk Description Predicted Risk Mitigation Contingency Plan Category Consequences 4 Performance & The methodologies PTC may not function The methodologies Existing method of operation Quality: PTC and activities as as required to meet and activities as can be maintained during/after deployment will meet required by § 236.1015 performance required by § PTC installation until the PTC System are not applied requirements. 236.1015 will be acceptable safety levels have Certification consistently for the PTC system may not followed for the been achieved and FRA performance PTCSP. enhance safety levels. PTCSP. Certification has been granted. requirements in § Gaps in the process are PTC system cannot be Sound Transit (and 236.1015. uncovered that impact deployed without BNSF) will ensure the validity of testing modification of system that all vendors from results; or, at worst, the behavior. whom PTC design of the system. PTC system cannot be technologies are to deployed without re- be acquired will assessment of achieved have an acceptable safety levels. quality assurance Deployed PTC system program for both cannot obtain FRA design and Certification manufacturing Schedule Delay. processes. Testing and documentation process audits are conducted periodically with vendors.
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Figure 5 – Risks Continued
Risk ID Objective/Goal Risk Description Predicted Risk Mitigation Contingency Plan Category Consequences 5 Technical: Interoperability between ST, PTC system will not be Establish Existing method of operation Interoperability BNSF and its tenants is not installed across all organizational can be maintained during/after between BNSF, ST and achieved. portions of the BNSF & structure to facilitate PTC installation until its tenants will be Unsuccessful in ST network for which communication and acceptable safety levels have achieved. deploying interoperable PTC deployment is coordination been achieved and FRA radio and messaging required by § between host and Certification has been granted. technology 236.1005(b) tenant railroads. Semantic Full benefit of safety BNSF participates incompatibility between enhancements will not in industry railroads. be realized by required organizations to date establish PTC ST & BNSF may incur system standards to Civil penalties. achieve interoperability by working collaboratively on requirements definition, system component design, and product testing to deploy interoperable, common technology. Testing will ensure that implementations conform to industry standards. Interoperability testing will be conducted.
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Figure 5 – Risks Continued Risk ID Objective/Goal Risk Description Predicted Risk Mitigation Contingency Plan Category Consequences 6 Performance, Sound Transit incurs Railroad incurs Reliability program Existing method of operation Coverage, Quality & unacceptable train delays unacceptable train initiated to monitor, can be maintained during/after Technical: Sound resulting from PTC operations. delays as a result of report, and improve PTC installation until Transit will maintain PTC implementation and/or PTC. reliability of acceptable levels of operation acceptable levels of system design introduces PTC deployment is equipment. have been achieved. operation on inefficiencies: delayed until Identify and reach subdivisions operating o Semantic Wireless productivity issues agreement with under PTC. communications are resolved. additional potential related delays tenants for o Inefficient train equipping PTC operation resulting equipment. from braking Monitor algorithm. effectiveness of Reduction in efficiency training – quality resulting from running improvement unequipped trains through program in place. PTC equipped territory System development because: effort focusing on o Locomotives high technical risk operating with PTC areas to identify and equipment installed mitigate potential but with equipment system design and outages. implementation o Trains not PTC related contributions equipped. to decreased Reduction in efficiency of productivity personnel o Ineffective human factors design for PTC equipment o Ineffective and/or insufficient training of personnel
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6.0 Interoperability [§ 236.1011(a)(3)]
This section describes how the PTC system shall provide for interoperability between Sound Transit and all tenant railroads on the lines required to be equipped with a PTC system per § 236 Subpart I.
6.1 Railroad Agreement Provisions Relevant to Interoperability [§ 236.1011(a)(3)]
An Interoperable Train Control (ITC) collaboration agreement was executed by and amongst several railroads wishing to achieve Positive Train Control (PTC) system interoperability. The development of an interoperable train control system would enable locomotives of one participant to transition at track speed to the control of another participant. The collaboration agreement includes a list of interoperability requirements mutually agreed-upon by the parties:
Definition and adoption of uniform interface standards Definition, adoption, and implementation of American Association of Railroads (AAR) standard communication protocols Definition, adoption, and implementation of common office-locomotive communication protocols and message formats Definition, adoption, and implementation of a common Human Machine Interface (HMI), allowing an engineer from any of the participant’s roads to utilize the system on any participant’s locomotives on territory for which the engineer is qualified Adoption of a coordinated plan for configuration management of the interoperable PTC on-board executable software Agreement on use of radio spectrum in the 220MHz band for communications between the locomotive and wayside and the locomotive and back office Agreement to acquire, develop, and deploy all of the technical capabilities required to permit the use of shared communications infrastructure Definition and adoption of standards allowing each participant’s locomotive engineer, at the start of a trip, to initialize the interoperable on-board system with the back offices of participants’ PTC systems which may be traversed during the trip to support all interoperability scenarios that will be encountered on the line- of-road with respective locomotive fleets and run-through operations.
The ITC collaboration agreement chartered the formation of various technical working committees, each dedicated to some technical aspect of PTC interoperability. Participation in the technical working committees was expanded beyond the chartering roads to include any railroad planning to implement an interoperable PTC system and wishing to participate. BNSF has additionally exchanged a Letter of Understanding with each of its passenger and freight tenant carriers who will operate PTC on its track. The letter establishes agreement between BNSF and its tenants in the following areas:
Implementation of PTC technical solutions which meet the requirements of interoperability as defined in § 236.1003(b) Participation in a PTC testing program to verify functionality and interoperability
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Exchange of technical information needed to implement PTC in accordance with applicable FRA requirements
Sound Transit has executed the Letter of Understanding with BNSF on tracks that BNSF owns and Sound Transit operates service upon. BNSF is coordinating implementation of an interoperable PTC system in accordance with the interoperability requirements stated in the ITC collaboration agreement. This Letter of Understanding will also serve as the basis for establishing interoperability on the Sound Transit owned line.
Sound Transit will achieve interoperable PTC operations with its tenant and host railroads that operate PTC systems via the following technical methods:
Native Interoperability
Sound Transit and its interoperability partner, BNSF, both install and operate the Electronic Train Management System (ETMS) or V-ETMS on their respective locomotives, office, and wayside. ETMS provides full functionality for any equipped locomotive, regardless of ownership, with any office or wayside correspondingly equipped. Interoperability is achieved through native operation of ETMS/V-ETMS without the need for data, function, or HMI translation. Interoperable communications are achieved through adoption of common communications and message protocols and application behavior specifications described in ITC interoperability requirements. ETMS/V-ETMS encompasses the methods of operation and rules of both BNSF and its interoperability partners and accommodates any differences in the data provided by back office systems. ETMS and its operations are fully described in the ETMS PSP, submitted to FRA on February 18, 2010.
6.2 Technology Applicable to Interoperability [§ 236.1011(a)(3)(ii)]
Sound Transit and its interoperability partners utilize methods in three areas to obtain and maintain interoperability of its PTC system(s):
Technical interoperability is achieved through the common use of documented interface definitions. These definitions include one or more radio protocols (220MHz) and hardware interfaces to radio equipment, a common standard messaging protocol (ITC Messaging), and standard data element and application message format and content definitions (ETMS/V-ETMS interface control documents). Use of, and compliance with, these common interface definitions ensures the ability to exchange data messages between interoperable system components.
Semantic interoperability is achieved through the common use of documented system behavioral specifications. In the current ITC architecture, standard application-level specifications define the behavior of the interoperable office, locomotive, and wayside segments. Use of, and compliance with, these common behavioral specifications ensure each interoperable system segment properly interprets and acts upon exchanged data messages.
Organizational interoperability is achieved primarily through industry-wide forums, such as committees chartered by ITC and AAR. Technical teams operating under both the ITC and AAR charters are tasked with developing and maintaining the common technical standards in the areas of technical and semantic interoperability described above. These teams have worked to establish a baseline level of interoperability required for industry-wide PTC implementation. The teams will work in perpetuity to provide configuration
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Sounder Commuter Rail PTC IMPLEMENTATION PLAN management and ensure interoperability is maintained as the interoperable PTC system(s) are enhanced. ITC and AAR teams also work to establish organizational interoperability in the areas of interchange and infrastructure sharing.
6.3 Obstacles to Interoperability [§ 236.1011(a)(3)(iii)]
As a hosting railroad, Sound Transit foresees no obstacles to achieving full interoperability with any tenant railroads that operate lead PTC-equipped locomotives certified as conforming to the specifications established by the ITC consortium, and that also exchange the requisite information for operating a train as established by the ITC consortium.
As a tenant railroad, Sound Transit also foresees no obstacles to achieving full interoperability with any and all hosting railroads that a PTC-equipped wayside certified as conforming to the specifications established by the ITC consortium, and that also exchange the requisite information for operating a train as established by the ITC consortium.
Sound Transit intends to subject its PTC back office, wayside infrastructure, and locomotive equipment for certification or install equipment already type-certified for interoperability as appropriate.
For tenant railroads that do not meet the requirements for PTC certified operation, Sound Transit intends to mitigate the risk by taking one of the following actions:
Dispatch the train through Sound Transit track as a non-PTC-equipped train, conforming to all the restrictions prescribed by regulation. Realigning or re-consisting the motive power so that the train has a PTC-equipped locomotive in the lead, including supplying a Sound Transit PTC-equipped lead locomotive. Denying access of the unequipped train onto PTC-controlled track.
6.4 Railroads Requiring Interoperability with Sounder Commuter Rail The following railroads will need to be interoperable with the Sound Transit PTC system being implemented for Sounder Commuter Rail:
Railway Miles of Common Track Comments The BNSF Railway 74 mi. (as host RR) Potential for tenant of ST ROW between Tacoma and Nisqually
for potential military freight trains Tacoma Rail 1.3 mi. (as host RR) TR Junction to D Street, Tacoma 18 mi. (as tenant RR) M Street to Nisqually where TR is a short-line operator for BNSF easement
Union Pacific 4.8 mi.(Argo MP 5.2X to BNSF has agreement with UP for the Black River Jct. at MP 9.0X) Sharing of a 3rd mainline track along the the BNSF right of way..
As Sound Transit will be working closely with BNSF for implementation of ETMS for the Sounder owned corridor, BNSF is working with the other Class I Railroads for further interoperability, such as with the UP.
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7.0 Installation Risk Analysis [§ 236.1011(a)(4)]
This section is intended to describe how the PTC system will be implemented to address areas of greater risk to the public and railroad employees before areas of lesser risk. Exceptions to the risk-based implementation methodology are included in Section 11 Exceptions to Risk-Based Prioritization [§ 236.1011(a)(9)]. This section is intended to:
Describe the rail network and its segments;
Identify the significant risk factors on each segment;
Prioritize the installation of PTC for each segment.
Sound Transit’s risk analysis took into account the seven factors listed in § 236.1011(a)(5):
1. Annual MGT levels
2. Presence and volume of passenger traffic
3. Presence and volume of TIH/PIH material (loads and residue) transported
4. Number of tracks
5. Method of Operation
6. Maximum authorized speeds of train operations
7. Track grades and curvatures
The three track segments Sound Transit has responsibility for have similar characteristics for 6 of the 7 risk factors. The one exception is the presence and volume of passenger traffic. Currently the Tacoma Rail (TR) Junction to D Street segment has passenger trains operating upon it; the D Street to Lakewood segment is under construction with service anticipated in the latter half of 2012; and the Lakewood to Nisqually segment is planned for construction with service to start by early 2014.
The prioritization for installation will be based on the start of passenger service, with the first two segments implemented simultaneously followed by the third and final segment, as follows:
Priority Milepost Segment Name Comments on Service 1 .7 to 2 TR Jct. to D Street Only section currently with passenger service 2 2 to 9 D St. to Lakewood Scheduled for 2012 Sounder service 3 9 to 20 Lakewood to Nisqually Amtrak, not Sounder service being planned
Note: Sound Transit is still responsible for the installation of PTC equipment on vehicles for the BNSF owned corridor, which will be implemented in parallel to items 1 and 2 in the table above: 1 P5.4 to1782.8 TR Jct. to Everett Existing Sounder service between BNSF Seattle Subdivision to Scenic Sub
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8.0 Deployment Sequence & Schedule [§ 236.1011(a)(5)]
Sound Transit is responsible for three segments between Tacoma and Nisqually. Two of these track segments currently do not have passenger service operating on them and are undergoing substantial upgrading of the track and signaling systems. Following completion of this work a follow-on contract will be undertaken to implement PTC in advance of the December 31, 2015 deadline. , the schedule will move from north to south as outlined in the risk analysis.
Segment Name Miles Owner Comments TR Junction to D St. 1.3 Tacoma Rail Freight and passenger service now
D St. to Lakewood 8 Sound Transit Currently only freight service, D-M Street section not yet constructed
Lakewood to Nisqually 11 Sound Transit Existing Tacoma Rail Freight Plans for future Amtrak Service No current plans for Sounder service
9.0 Rolling Stock [§ 236.1011(a)(6)]
In accordance with § 236.1011(a)(6), this section contains the following information related to BNSF’s rolling stock that shall be equipped with PTC:
Type of rolling stock that shall be equipped with PTC
Schedule to equip the rolling stock by December 31, 2015
9.1 Rolling Stock to be Equipped [§ 236.1011(s)(6)(i)]
Sound Transit shall be equipping all of its 11 locomotive fleet and all 18 cab cars with PTC. This schedule shall be continuously evaluated during its implementation, and is planned as outlined in Appendix B. Any changes to the rolling stock installation shall be addressed in a formal RFA and updated PTCIP as outlines in Section 1.1.4 Request for Amendment of a PTCIP [§ 236.1009(a)(2)(ii)]. The rolling stock that Sound Transit plans to equip with PTC falls into four categories:
Passenger locomotives
Cab cars
New locomotives that could come with PTC already installed (not yet ordered)
New Cab cars that could come with PTC already installed (not yet ordered)
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Sounder owns a single model of locomotive, the EMD F59PHI, and a single model of cab car, the Bombardier Bi-level. Please see Appendix B for a current list of Sounder vehicles requiring PTC equipment.
9.2 Schedule [§ 236.1011(a)(6)(ii)]
PTC system on-board installations will be carried out on the existing fleet of passenger locomotives and cab cars to meet the BNSF’s early implementation schedule on the Seattle subdivision of 2012. New equipment either on order or planned to be acquired in the coming years will be outfitted in advance of placing that equipment into service.
9.3 Tenant Railroads [§ 236.1011(a)(6)(iii)(A) and (B)]
Along with the Letter of Understanding, as explained in Section 6.1 Railroad Agreement Provisions Relevant to Interoperability [§ 236.1011(a)(3)(i)], a PTCIP Notice and Intent to Coordinate Tenant Interoperability Letter was sent to Tacoma Rail, a Sound Transit corridor tenant railroad that Sound Transit will require to equip PTC on the portion of their fleet running on PTC territory. This letter requests a list of the tenant railroad’s rolling stock to be PTC-equipped and the schedule to equip that rolling stock in accordance with § 236.1011(a)(6)(iii)(A) and (B) of the PTC Final Rule. The Memorandum of understanding with Tacoma Rail and the Letter Sound Transit has with BNSF are provided for reference in Appendix C – Letters/Memorandums of Understanding for each partner railroad.
10.0 Wayside Devices [§ 236.1011(a)(7)]
Wayside PTC devices consist of those signaling appliances located in the field whose status impacts PTC operations, along with any Wayside Interface Unites (WIUs) used to monitor and report their status.
Inter lockings Wayside Signals Switch point monitors Track Circuits Track/route integrity detectors Hazard detectors Other field Devices
The number of wayside devices for the three track segments is anticipated to be 25.
Wayside components exist in either signaled or non-signaled territory. The PTC locomotive utilizes the status of wayside devices in the train during calculation of its safe operating profile. Where installed, a WIU directly monitors the status of one or more wayside devices and relates the information via the communications network to the PTC locomotive and/or Office.
A wayside device may also be integrated with a track circuit or signal control circuit. In such cases, the status of the device is combined with the status indicated for the track circuit or signal. The PTC locomotive may concurrently process device status provided in any of these configurations.
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The industry ITC consortium has developed an open-standard for WIU interfaces and functions, and several suppliers have developed products to meet that standard. Wayside device status will be provided in the following manner:
WIU-connected - In this configuration, a WIU is connected to a wayside device that indicates its status to the PTC locomotive or Office via the Communications network. The WIU indicates device status at frequent intervals in order to satisfy the data freshness requirements of the PTC locomotive train control application. WIUs may also be configured to continuously indicate, or in order to conserve battery power at the WIU location and/or communications bandwidth, only begin to indicate upon receipt of a “wake-up” from the locomotive. Typical implementation of WIUs in the Wayside include monitoring of signals and power switches in Centralized Traffic Control (CTC) territory; monitoring signals and siding switches in Automatic Block Signal (ABS) territory; monitoring hand-operated switches, approach and interlocking signals, and hazard detectors in non- signaled territory.
Where other signaling appliances or hazard detectors are integrated with a signal system, their status is implicitly reflected in the status of signals provided to PTC and may not be indicated separately.
10.1 WIU Technology
WIU technology, deployed as part of PTC, consists of signal-grade components and may be deployed in two configurations methods.
In the first configuration, the WIU function is added to the chassis of an existing signaling processor. Hardware and/or software upgrades are deployed, often without requiring disarrangement of the signaling processor, its connected equipment, or pre-existing application software.
In the second configuration, a complete WIU hardware and software component is collocated with an existing signaling processor and separately interfaced to the appliances it monitors or controls, such as lamp circuits, switch circuit controllers, or other outputs.
In either configuration, the WIU also provides an interface to the communications network, where it indicates the status of any monitored devices.
11.0 Exceptions to Risk-Based Prioritization [§ 236.1011(a)(9)]
Sound Transit has responsibility for three segments from Tacoma to Nisqually. No exceptions to the prioritization are being suggested for the three segments in this corridor.
12.0 Strategy for Full PTC System Deployment [§ 236.1011(b)]
With deployment of PTC in the Tacoma to Nisqually corridor by December 31, 2015, Sound Transit will have full deployment on all property in our ownership.
13.0 Main Line Track Exclusion Addendum [§ 236.1019]
Sound Transit will not be seeking any exclusion.
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14.0 Appendices
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14.1 Appendix A – Sample Sounder Schedule - 2012 Sounder Sample Schedule (Everett to Lakewood) - 2012
Southbound
Train Mile 1501 1503 1701 1703 1705 1707 513 1505 1507 1509 1511 1513 1515 1517 1519 Everett 34.2 5:45 6:15 6:45 7:15 Mukilteo 28.5 5:56 6:26 6:56 7:26 -- Edmonds 17.6 6:11 6:41 7:11 7:41 Seattle 0.0 6:44 7:14 7:44 8:14
Seattle 0.0 6:20 6:45 15:15 15:50 16:20 16:40 17:00 17:20 17:40 18:25 Tukwila 10.8 6:34 6:59 15:27 16:04 16:32 16:52 17:12 17:32 17:52 18:37 Kent 16.1 6:41 7:06 15:34 16:11 16:39 16:59 17:19 17:39 17:59 18:44 Auburn 21.5 6:48 7:13 15:41 16:18 16:46 17:06 17:26 17:46 18:06 18:51 Sumner 29.0 6:57 7:22 15:50 16:27 16:55 17:15 17:35 17:55 18:15 19:00 Puyallup 31.9 7:01 7:26 15:54 16:31 16:59 17:19 17:39 17:59 18:19 19:04 Tacoma 39.4 7:17 7:42 16:12 16:49 17:11 17:37 17:57 18:17 18:37 19:22 So. Tacoma 44.4 17:18 17:44 18:04 18:24 18:44 19:29 Lakewood 47.6 17:33 17:59 18:19 18:39 18:59 19:44
Northbound
Train Mile 1500 1502 1504 1506 1508 1512 1514 1516 1700 1702 1704 1706 1514 1516 516 Lakewood 47.6 4:48 5:08 5:28 5:48 6:08 6:28 So. Tacoma 44.4 4:57 5:17 5:37 5:57 6:18 6:38 Tacoma 39.4 5:04 5:24 5:44 6:04 6:26 6:46 7:28 7:53 16:25 17:03 Puyallup 31.9 5:16 5:36 5:56 6:16 6:38 6:58 7:40 8:05 16:37 17:15 Sumner 29.0 5:21 5:41 6:01 6:21 6:43 7:03 7:45 8:10 16:42 17:20 Auburn 21.5 5:29 5:50 6:10 6:30 6:52 7:11 7:53 8:18 16:50 17:28 Kent 16.1 5:36 5:58 6:18 6:38 7:00 7:18 8:00 8:25 16:57 17:35 Tukwila 10.8 5:43 6:05 6:25 6:45 7:07 7:25 8:07 8:32 17:04 17:42 Seattle 0.0 6:03 6:23 6:43 7:03 7:25 7:45 8:27 8:52 17:22 18:00
Seattle 0.0 7:40 16:05 16:33 17:05 17:35 18:40 Edmonds 17.6 8:07 16:32 17:00 17:32 18:02 19:07 Mukilteo 28.5 -- 16:47 17:15 17:47 18:17 -- Everett 34.3 8:31 17:04 17:32 18:04 18:34 19:31
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14.2 Appendix B – Vehicles to be Equipped with PTC: Tacoma to Lakewood Sounder Commuter Rail Vehicles Road Number Vehicle Type Completion Date Comments SDRX 901 Locomotive, EMD F 59PHI 2012 SDRX 902 Locomotive, EMD F 59PHI 2012 SDRX 903 Locomotive, EMD F 59PHI 2012 SDRX 904 Locomotive, EMD F 59PHI 2012 SDRX 905 Locomotive, EMD F 59PHI 2012 SDRX 906 Locomotive, EMD F 59PHI 2012 SDRX 907 Locomotive, EMD F 59PHI 2012 SDRX 908 Locomotive, EMD F 59PHI 2012 SDRX 909 Locomotive, EMD F 59PHI 2012 SDRX 910 Locomotive, EMD F 59PHI 2012 SDRX 911 Locomotive, EMD F 59PHI 2012 SDRX 101 Cab Car, Bombardier Bi-level 2012 SDRX 102 Cab Car, Bombardier Bi-level 2012 SDRX 103 Cab Car, Bombardier Bi-level 2012 SDRX 104 Cab Car, Bombardier Bi-level 2012 SDRX 105 Cab Car, Bombardier Bi-level 2012 SDRX 106 Cab Car, Bombardier Bi-level 2012 SDRX 107 Cab Car, Bombardier Bi-level 2012 SDRX 108 Cab Car, Bombardier Bi-level 2012 SDRX 109 Cab Car, Bombardier Bi-level 2012 SDRX 110 Cab Car, Bombardier Bi-level 2012 SDRX 111 Cab Car, Bombardier Bi-level 2012 SDRX 301 Cab Car, Bombardier Bi-level 2012 SDRX 302 Cab Car, Bombardier Bi-level 2012 SDRX 303 Cab Car, Bombardier Bi-level 2012 SDRX 304 Cab Car, Bombardier Bi-level 2012 SDRX 305 Cab Car, Bombardier Bi-level 2012 SDRX 306 Cab Car, Bombardier Bi-level 2012 SDRX 307 Cab Car, Bombardier Bi-level 2012
Tacoma Rail Vehicles TMBL 3801 Locomotive, GP38 TBD Probable TMBL 3802 Locomotive, GP38 TBD Probable TMBL 4001 Locomotive, GP38 TBD Probable TMBL 4002 Locomotive, GP38 TBD Probable TMBL 3000 Locomotive, SD40 TBD Probable TMBL 3001 Locomotive, SD40 TBD Probable TMBL 1521 Locomotive, MP15AC TBD Possible TMBL 1522 Locomotive, MP15AC TBD Possible TMBL 1523 Locomotive, MP15AC TBD Possible TMBL 1524 Locomotive, MP15AC TBD Possible
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14.3 Appendix C – Letters/Memorandums of Understanding for PTC
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