Positive Train Control (PTC) – Implementation & Lessons Learned

1. Positive Train Control (PTC) – Implementation & Lessons Learned

2. Positive Train ControlLessons Learned 2019 Capital Project Management Workshop Moderator: Patrick Centolanzi Presenters: Devin Rouse Tiffany Gallegos Arianna Valle, PE

3. Outline For discussion purposes only. Not the official position of FRA/USDOT. 2019 Capital Project Management Workshop

4. What is PTC? Major PTC Components: On-board Systems | computer, display, radios Wayside | wayside interface units (WIU), transponders Back Office Systems | databases, CAD, KES Communications | radio/cellular towers, fiber A type of train control requiredon most* passenger and certain freight routes *with limited exceptions It is required by law by under the Rail Safety Improvement Act of 2008 (RSIA) By statute a compliant PTC system must: • Prevent train-to-train collisions • Prevent over-speed derailments • Prevent incursions into work zones • Prevent movement through a misaligned switch • Be Interoperable (where required) For discussion purposes only. Not the official position of FRA/USDOT. 2019 Capital Project Management Workshop

5. PTC Technologies Being Deployed Primary Supplier(s): Wabtec Primary Supplier(s): Alstom / Siemens / Ansaldo / Bombardier Primary Supplier(s): Alstom Primary Supplier(s): Alstom For discussion purposes only. Not the official position of FRA/USDOT. 2019 Capital Project Management Workshop

6. Requirements for Full Implementation For discussion purposes only. Not the official position of FRA/USDOT. 2019 Capital Project Management Workshop

7. PTC Safety Plans (PTCSP) and Certification For discussion purposes only. Not the official position of FRA/USDOT. 2019 Capital Project Management Workshop

8. PTC Route Mileage Overview For discussion purposes only. Not the official position of FRA/USDOT. 2019 Capital Project Management Workshop

9. Progress Towards Full PTC Implementation  PTC Route Mileage Completed Training Completed Certified Safety Plans 98% 34% 84% Interoperable PTC Relationships¹ 90% Total: 227 Host-Tenant Relationships 80% 70% 60% 50% 40% 30% 20% 17% 10% ¹Based on Railroads’ Self-reported Progress as of December 31, 2018 For discussion purposes only. Not the official position of FRA/USDOT. 2019 Capital Project Management Workshop

10. Railroad’s self-reported challenges Interoperability Software Problems Supplier Related Issues PTC Functionality Logistics in Implementation Process Resource Availability Funding (Operation & Maintenance) External Issues FRA Guidance and Review Times For discussion purposes only. Not the official position of FRA/USDOT. 2019 Capital Project Management Workshop

11. Some Lessons Learned, so far… Integrated testing on PTC territory at turnout. • Insurance, contracts, and legal agreements always take longer than expected • These issues must be managed (and parties held accountable) for timely resolution • Reliance on suppliers for technical knowledge and systems integration often leads to unreliable project schedules • A lack of clear delineation of responsibilities and critical path deliverables limits control over how the project is executed • Failure to establish the maturity of product development and its associated risk can have significant effects on implementation and certification (e.g. wireless crossing functionality, new product vendor) For discussion purposes only. Not the official position of FRA/USDOT. 2019 Capital Project Management Workshop

12. Considerations Moving Forward From Safety Essentials to Increased Functionality • How will passenger railroads pay for maintenance? • PTC requires more maintenance than traditional signal systems • Current funding structures have not been adjusted to address increased costs • How will we address effects on network capacity? • Systems are inherently conservative (e.g. braking curves) • Reliability, interoperability, initialization, and configuration management remain significant challenges • Is the industry prepared for the level of continuous adaptability necessary moving forward? • More thought and attention will need to be given to technology life cycles and obsolescence • Security/cybersecurity needs and issues will continue to evolve • Software vetting procedures need to improve For discussion purposes only. Not the official position of FRA/USDOT. 2019 Capital Project Management Workshop

13. Considerations Moving Forward From Implementation to Life with PTC • How do we bridge the gap between today’s baseline PTC systems and extract the potential increased functionality? • Improved train location detection for GPS/radio based systems (particularly for “vitality” and eventual “moving block” aspirations) • Current proprietary system architectures repress cost reductions and system improvements • Need industry buy-in and direction on improved interoperability • Should explore potential for an increased open architecture (e.g. common database formats, etc.) • Existing communications networks will limit future capacity and functionality growth • The predominant 220MHz network has inherent limitations • Need to explore other options or the possibility of improving the simultaneous use of multiple networks (e.g. LTE, wi-max, etc.) For discussion purposes only. Not the official position of FRA/USDOT. 2019 Capital Project Management Workshop

14. Mr. Devin Rouse, PE Director, Passenger Rail Division Office of Railroad Safety Federal Railroad Administration (202) 493-6185 devin.rouse@dot.gov Thank you For discussion purposes only. Not the official position of FRA/USDOT. 2019 Capital Project Management Workshop

15. Denver Eagle ProjectPTC Status & Lessons Learned 2019 Capital Project Management Workshop Tiffany Gallegos, PE FTA Region 8

16. Denver Eagle P3 Project • 22.8-Mile East Line • 5.5-Mile Initial NW Section • (not part of FFGA) • 11.2-Mile Gold Line • (3.5 miles are shared with • NW Line) 36 Miles of New Commuter Railroad - most built on new, dedicated alignment using shared freight right-of-way. 2019 Capital Project Management Workshop

17. Denver Eagle P3 Project • CIG Dates: • Approval Entry to PE April 2009 • Approval Entry to FD April 2010 (LONP also April 2010) • Executed the FFGA August 31, 2011 • EC commenced revenue operations April 22, 2016 • GL commenced revenue operations April 26, 2019 Public Private Partnership 34-Year Concessionaire Agreement (CA), Design-Build-Finance-Operate-Maintain (DBFOM) Total = $2.7B • $2.043B covered by FTA FFGA 2019 Capital Project Management Workshop

18. Denver Eagle P3 Project • The Concessionaire is contractually required to obtain PTC Certification in accordance with the Federally mandated deadlines. • PTC Dates: • FRA approval to enter Revenue Service Demonstration Phase May 2016 on EC (on-going) • FRA approval to extend the Revenue Service Demonstration Phase territory to include the GL February 2019 (on-going) • Grantee has received extension to 2018 PTC Deadline • PTC Safety Plan submittal this month (anticipated) • Anticipated full certification in 2020 2019 Capital Project Management Workshop

19. Lesson 1 Work out schedules and expectations to begin operating • When will FRA-required Revenue Service Demonstration (RSD) begin? • Before revenue operations begins, or after • How long will it last? • Originally anticipated to be 30 days • FRA would review and evaluate 30 days of PTC Performance Data as submitted • Eagle RSD and data collection still underway, 3+ years • Relationship to FTA’s RERO process • RSD began, revenue operations began, but the testing continues 2019 Capital Project Management Workshop

20. Lesson 2 Carefully approach design of new systems • Careful consideration if not developing a fully redundant system • If PTC is not operating all safety aspects (i.e. 99.99%), then PTC should overlay system • Eagle Project PTC currently operating at 97% • PTC system includes wireless crossing activation system (WCAS) – new technology • Installed a back-up ATC system to be “fail-safe” • ATC design criteria used aspirational operating plans - 79mph whole system • WCAS and ATC do not operate grade-crossing activations to same tolerances • variances in activation times depending on which system is in control 2019 Capital Project Management Workshop

21. Lesson 3 Involve FRA, and share designs, EARLY • Coordinate with all 3 FRA divisions/groups: • FRA Region • FRA Signal & Train Control Division (including PTC and Grade Crossings) • FRA Passenger Rail Division (Liaison/Coordination, PTEP, HA, SSPP) • New Starts/FRA requirements crosswalk • New technologies need to be substantiated • Understand regulatory requirements, show data, no surprises Do not expect FRA to manage project issues • Eagle Project plans and designs controlled by P3 concessionaire • Railroad Owner must oversee plans and designs • Must ensure technical issues are resolved • Ensure systems collect robust and verifiable data 2019 Capital Project Management Workshop

22. Lesson 4 Grantee Technical Capacity and Capability - Contracts • P3 contract Winning proposal: “…fully redundant and vital Automatic Train Control (ATC) and PTC subsystems that meet the requirements of the 2008 Railroad Safety Improvement Act.” • Dispute if PTC system needed to be “vital” or “non-vital” • Understand how proposal is incorporated into contract • Provide mechanism requiring owner approval for major/material changes from proposal • Owner must fully understand the proposal • Delegation of major design work in DB/DBOM/DBFOM procurements • Documented FTA lessons learned – Lack of control over major design work can lead to many issues • Evaluation/selection criterion include contractual relationship between prime & designer • Bidders to address prime or first-tier sub performs design functions – not lower • Evaluate HOW contractor addresses criterion 2019 Capital Project Management Workshop

23. Lesson 5 Grantee Technical Capacity and Capability - Design • Develop performance specs to appropriate level • Owner write and approve appropriate performance specs • Performance specs defined in more detail further developed specs and design criteria • Railroad Owner needs to be knowledgeable of proposed systems design • Identify design shortcomings • Does design meet specs? Will the design do what proposer says? • Consider demonstration project of unknown, untested, systems 2019 Capital Project Management Workshop

24. Southern California Regional Rail Authority (Metrolink) Positive Train ControlLessons Learned 2019 Capital Project Management Workshop Arianna Valle, PE FTA Region IX, Los Angeles Metro Office June 20, 2019

25. Background • September 12, 2008 – major train crash in Chatsworth, CA • NTSB report resulted in Rail Safety Improvement Act of 2008 • Class I Railroad mainlines with regularly scheduled intercity and commuter rail passenger service to fully implement Positive Train Control (PTC) • PTC deadline: Dec. 31, 2015  Dec. 31, 2018  Dec. 31, 2020 • Metrolink was the 1st commuter rail system in the country to deploy 2019 Capital Project Management Workshop

26. Joint Powers Authority • Six counties • Seven routes • 538 route-mile network 2019 Capital Project Management Workshop

27. Metrolink Hosted Benefits: • Agency has direct control of implementation • Consistency throughout system 2019 Capital Project Management Workshop

28. FRA’s Dashboard • November 2018 • Achieved “full-implementation” of SCRRA’s interoperable PTC system • One of only four railroads nation-wide to meet the Dec. 31, 2018 deadline • Without a request for an Alternative Schedule 2019 Capital Project Management Workshop

29. Metrolink Fleet • 40 Burlington Northern Santa Fe (BNSF) Locomotive Lease • Added safety measure: 2015-2016 • Needed: Automatic Train Stop, PTC (hardware/ configuration) • F125 (Tier 4 EPA) Locomotives • Delivery started: 2016 • Needed: Qualification field testing, PTC braking test, materials 2019 Capital Project Management Workshop

30. Lesson #1: Documents/ Reviews • Positive Train Control Implementation Plan • Positive Train Control Safety Plan • First agency in the country • Multiple 180-day review cycles thousands & hundreds of comments • Project Management Plan • Configuration Management • 250+ formal submittals w/ 20,000+ pages • Procedures, plans, modeling, testing, updates, repeat • Comments: thousands, then hundreds 2019 Capital Project Management Workshop

31. Lesson #2a: Reliability 99% agency goal Positive Train Control Run Reports 2019 Capital Project Management Workshop

32. Lesson #2b: Reliability • Continuous improvement • Track Average Performance: • 1/1/19-2/21/19 • 96.8% • 5/28/19-6/3/19 • 98.9% Metrolink 2019 Capital Project Management Workshop

33. Lesson #3: Technology • Chosen System: I-ETMS • Electronic Train Management System • Software/ Hardware • Self sufficiency after Vendor/ Integrator hands over the System • 220 mHz Radio Spectrum • FCC approval (6 ½ years) 2019 Capital Project Management Workshop

34. Lesson #4: Interoperability • Each agency, has its own timeline • Example: software versions must be the same for all owners before compatibility is possible • Security protocols, i.e. Key Exchange Services • Agreements • Testing: Lab to Lab, simulations, field runs, etc. • Training: operators/crews, back office, customer service, etc. Goal: Adaptability to (new) systems/software 2019 Capital Project Management Workshop

35. Lesson #5: Knowledge Exchange Conferences, workshops, demonstrations, etc. Creation of collaborative/joint documents & working groups Multi-day meetings/ roundtables with other operators Document Institutional Knowledge (at Metrolink & Contractors) 2019 Capital Project Management Workshop

36. Moving Forward • Positive Train Control is Fully Implemented on 55 trains & 476+ wayside signals • Created a Change in Agency Culture, new program • Ongoing maintenance & service agreements • Vital System Certification 2019 Capital Project Management Workshop

37. Thank you! Questions? 2019 Capital Project Management Workshop