Positive Train ControlTowards a Better Understanding

Midwest Association of Rail Shippers

July 13, 2010

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Today’s Agenda

� Brief Review of Signal System Concept

� Short History of Railway Signals� The Rail Safety Act of 2008� Overview of Positive Train Control

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The Railway Signal System

� A railway signal system is a method of communication from the dispatcher who controls track access to the engineer who must obtain access to operate safely over it.

� Positive Train Control goes much furtherand combines very sophisticated communication with control.

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Three Basic Premises

� Today’s railway signal systems balance three basic premises in their design and operation.

� Safety� Cost� Capacity

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The Signal System

� Historically, all railway signal systems have been a compromise.

� In regard to signal installation, an appropriate slogan may be,

� “Safety within the parameters of normal operation and at practical cost.”

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The Signal System

� Signals have been used to ensure safety.� Also often used to increase line capacity

without incurring unnecessary risk of collision.

� Today’s railway signal systems are designed to provide a reasonable marginof safety at affordable cost.

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What is Reasonable?

� The challenge here is to answer the question, “What is reasonable?”

� On September 10, 2001 we were satisfied we had “reasonably safe” commercial aircraft operations in the US.

� On September 12, 2001 we had a radically new definition of what “reasonably safe” meant.

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In the Beginning

� On Day 1 with one train on one track = no need for signal system.

� On Day 2 when we started adding trains created need for some kind of formal communication system.

� Started with simple timetables, essentially a book of written instructions or “rules of the road”.

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Timetables

� In theory, a timetable provided rules for operation that afforded flexibility and guaranteed sufficient safety protection provided rules were strictly adhered to at all times.

� As trains get delayed, simple timetable system quickly loses its effectiveness; efficient movement of trains is impaired and safety can be sacrificed.

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Technology to the Rescue - Part 1

� The invention of the electric telegraph was perhaps the most important development (to date) in the history of train control.

� Revolutionary concept of “instantaneous” communication took awhile to catch on.

� First installed on Erie Railroad in New York State in 1850 but not actually used until 1851.

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Progress

� These new written instructions were called train orders; original orders transmitted via telegraph to stations for train crews to pick up.

� Operations by combination of timetable and train orders quickly became the norm.

� Allowed more trains and longer trains to move over same amount of track.

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The First Signal Systems

� 1865: First typical scenario of improving safety.� A disastrous rear-end collision between two Civil

War troop trains in New Jersey led Chief Engineer of the Camden & Amboy to develop first manual block-signal system in America.

� This cause-effect pattern of accident + safety improvements will repeat itself many times over next 150 years.

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The Block System

� In a basic block systems a line is divided into distinct sections of fixed length called blocks.

� Fixed signals are used to strictly regulate the block to provide trains with definite space separation regardless of travel speed.

� Manual block systems require direct or manualintervention.

� Automatic block systems do it automatically.

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Block Systems

� 1871: Idea of keeping trains apart by a certain interval or “block” of distance improved upon with development of first closed electric track circuit to set the signals.

� This is essentially the same basic system still in use today’s mainlines.

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Déjà vu All Over Again

� One of the basic failings of conventional railway signaling is the reliance on locomotive engineers to heed the warnings provided by signal aspects and to act accordingly.

� Automatic Train Control (ATC) was a back-up system to protect against collision when an engineer fails to observe signals.

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Automatic Train Control

� It is designed to enforce speed control by forcing braking applications if engineer does not respond to ATC signal in locomotive cab; a safety back-up system.

� The theory dates back to the 1880’s when the Pennsylvania Railroad performed first experiments with automatic train stops.

� Quickly accepted by mass transit systems.

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� In 1922 the Interstate Commerce Commission, which also had safety regulation responsibility, pushed forward development of ATC and cab signals.

� ICC Order 13413 required 49 major railroads to install ATC on numerous major rail passenger routes by 1926.

� Mandate led to development of several practical train stop and train control systems as well as cab signaling.

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Then Came Naperville

� Early afternoon August 25, 1946, the CB&Q’s Advance Exposition Flyer, had just departed Chicago Union Station on its way to California.

� Stopped on the Burlington mainline just east of the Naperville depot less than a mile west of a blind curve, for emergency equipment check.

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The Impact

� The Exposition Flyer, operating at track speed, smashed into the rear of the stopped train.

� 39 passengers and 6 employees killed; 110 passengers and 19 employees injured.

� This was on a section of triple-track mainline protected by automatic block signals.

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Cause and Effect

� ICC investigation ruled cause was “failure to operate following train in accordance with signal indications.”

� Results of accident investigation caused the ICC to issue new train speed restrictions.

� New rule was a 79 mph limit on passenger trains unless protected by specified form of advance signal protection.

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End Results

� A few lines actually expanded use of advanced signaling, such as CNW and Santa Fe (90 mph across Kansas).

� But high cost of these signal systems plus low financial return of passenger service discouraged most railroads.

� Many lines responded by simply lowering speed limits to 79 mph (where are today) to conform to new ICC requirements.

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Key Conclusions

� Instead of investing in improved signal systems most railroads chose the short-term economic option (post-Depression and post-war world).

� Instead of providing railroads with necessary loans, grants, subsidies, or incentives to install safety systems, the Federal government mandated either implementation of expensive signal equipment or slower track speeds.

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The NTSB

� The National Transportation Safety Board (NTSB) is an independent federal accident investigation agency (CSI for transport).

� Since it’s creation in 1967, the Safety Board’s mission has been to determine the probably cause of transportation accidents and to formulate safety recommendations to improve transportation safety.

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The Mission

� Safety Board’s mission is to determine the probable cause of:

� Railroad accidents involving passenger trains or selected freight train accidents that result in fatalities or significant property damage.

� Accidents involving problems of a recurring nature or are catastrophic.

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Fast Forward - 2007

Over the last three decades, the Safety Board has investigated a long list of accidents in which crewmembers failed to operate their trains effectively and in accordance with operating rules for a variety of reasons, including fatigue, sleeping disorders, use of medications, or distractions within the operating cab.

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NTSB Position

Because of these human performance deficiencies, the Board has advocated the implementation of a system that compensates for human error and incorporates collision avoidance to prevent train collisions.

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NTSB and PTC

The Board believes that this system, known in the industry as positive train control (PTC), is particularly important in places where passenger trains and freight trains both operate.

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The Most Wanted List

Because of the Board’s longstanding interest in this issue, the area has remained on the Board’s Most Wanted List since the inception of the list in 1990. This safety issue was highlighted when a freight train and a commuter train collided head-on in Placentia, California, in 2002. As a result of that accident, the Board reiterated the need for PTC systems, particularly on high-risk corridors where commuter and intercity passenger railroads operate.

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Response

� Association of American Railroads (AAR) on behalf of the industry advocated a measured, voluntary response to these safety issues, using pilot programs on BNSF and UP to test technology.

� NTSB preferred more immediate actions, mandated by Congress if necessary.

� Rail labor unions generally supported NTSB position.

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From January 2009 MARS Report

� Original bill, H.R. 2095 Federal Railroad Safety Improvement Act, also commonly referred to as the Oberstar Rail Safety Bill, had passed the House of Representatives by a wide margin in October 2007 (377-38).

� Comparable bill had been introduced in Senate in 2007 with no subsequent action.

� On August 1, 2008 the Senate ignored its own bill and actually passed an amended version of H.R. 2095 by a wide margin.

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The Process

� Bill sent to Joint Conference Committee to reconcile differences between House and Senate versions, but outcome still very much in doubt.

� Railroad industry had actively and aggressively opposed original Oberstar legislation and White House was also on record as “stronglyopposed” to the bill (can you say veto?).

� Then came the September 12th Metrolinktragedy at Chatsworth, CA, and ALL bets were off.

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The Process

� Congress immediately added Positive Train Control (PTC) requirement to the original legislation; implementation of 12-31-15 but NO funding of any kind to meet this goal.

� Plus an enormous Amtrak authorization for good measure (Division B).

� House and Senate quickly agreed to new amended bill renamed the Rail Safety Improvement Act of 2008 (Division A).

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The End Result

� Conservative Senate Republicans threatened a filibuster but thanks to a strange series of events the filibuster was quickly busted.

� On October 2 Senate ratified Nuclear Trade Treaty with India (which President wanted).

� Amended bill (H.R. 2095) finally passed both houses by October 6, 2008.

� President Bush signed new bill into law on October 16 (which Democrats wanted).

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Positive Train Control

� Positive Train Control (PTC) is a system of monitoring and controlling train movements to provide increased safety.

� It replaces existing system of pure communication with one that combines communication with command and control.

� Also replaces much of existing 150 years of practice and technology with something totally new and different (think WIFI for trains).

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Positive Train Control

� It is clearly revolutionary not evolutionary.

� Most of the technology involved did not exist 25 years ago.

� Much of this technology is still evolving (and being debugged).

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ATC vs. PTC

� Why not just mandate the use of Automatic Train Control nationwide?

� ATC represents 60 year old technology, limited functionality and hard to maintain.

� ATC is not cheap either; may actually cost more.� Generally speaking, if you fix all the problems

with ATC and upgrade to state-of-the-art technology what you end up with is similar to PTC.

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Phase I and Phase II

� At least two phases of installation; Phase I ready to go on 12-31-15.

� Phase II schedule depends on how well Phase I goes.

� Yes there will “probably” be some quantifiable benefits to PTC but “probably” not until Phase II, if and when that occurs.

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Overlay or Free-standing

� PTC is installed as an overlay on whatever legacy control system is in place.

� Once there is confirmation PTC system is functioning properly railroad has option whether or not to turn off legacy system.

� Cost to maintain two separate systems (PTC and Legacy) during the transition which occurs in Phase I.

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Locomotives

� Phase I: trackside signals replaced with signals inside the cab (aka cab signals).

� 60% of cost for locomotive equipment.� Recent locomotives are compatible; over

20 years old are not (like local switchers).� Uses both existing GPS and new trackside

transponders to accurately locate every train on a given route in real time.

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Locomotive Engineers

� Engineers will still operate the train but must stay within the parameters of PTC technology; in effect 100% supervision of engineer’s actions.

� Will require extensive re-training of engineers in train handling techniques in addition to massive capital investment.

� Essentially this is a system of artificial intelligence, asking technology to mimic the human brain.

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So Far So Good

� Extensive tests in controlled conditions have been positive (BNSF-Beardstown Sub).

� Single track mainline with both CTC and TWC (dark).

� Primarily loaded commodity unit trains and empty return moves, with some local freight service.

� Still unknown how system will react to multiple types of trains moving in multiple directions on multiple tracks (BNSF-Aurora Sub).

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The Business Case: CTC v. PTC

� Unlike business case for CTC installations, no direct labor savings and no direct maintenancecost reductions with PTC.

� PTC benefits are much “fuzzier” and depend on variety of assumptions about future behavior.

� Most PTC so-called “business benefits” could also be achieved at substantially lower cost with other forms of technology and management practices.

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The Unfunded Mandate

� Metra operates the second largest rail commuter network in the US; needs $275 million per year just to maintain current network in good condition.

� $100 million PTC installation cost will come from Illinois State Capital Program; represents 10% of total authorization.

� This “unfunded mandate” gets dumped on the taxpayers of Illinois; benefits???

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Unintended Consequences

� Will this be a repeat of the airbag fiasco, when the rush by Federal government to implement untested safety technology resulted in deadly consequences?

� Or a repeat of the implementation of post 9-11 airport passenger screening, with lines that stretched out the doors of airline terminals, almost shutting down domestic air service?

� GAO 2009 Report, “significant challenges in sustaining and upgrading” GPS System.

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Conclusion

� Even a company as sophisticated as Apple still has glitches with new products.

� Have you seen the recent Bridgestone Tire commercial featuring a couple in a Cadillac and a malfunctioning GPS satellite??

� How many times has your Blackberry, cell phone or laptop computer crashed this year???

� Outlook here depends in large measure on how you view technology.