FY 2015 Appropriation for the Federal Transit Administration (FTA) Technical Assistance and Standards Development Program

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1 APT A ST ANDARDS DEVELOPMENT PROGRAM American Public Transportation Association 1666 K Street, NW, Washington, DC, March 27, 2014 Chairman Tom Latham US House of Representatives Committee on Appropriations Subcommittee on Transportation, Housing and Urban Development, and Related Agencies Ranking Member Ed Pastor US House of Representatives Committee on Appropriations Subcommittee on Transportation, Housing and Urban Development, and Related Agencies SUBJECT: FY 2015 Appropriation for the Federal Transit Administration (FTA) Technical Assistance and Standards Development Program Dear Chairman Latham and Ranking Member Pastor: We are writing to urge support for critically needed funding for the Federal Transit Administration (FTA) Technical Assistance and Standards Development Program (49 USC 5314). We strongly support funding this program at the level authorized in the Moving Ahead for Progress in the 21 st Century Act (MAP- 21). The transit industry has been actively engaged in standards development since 1995 and has published nearly 300 documents. To address the needs of industry and government, APTA, through its subsidiary the North American Transit Services Association (NATSA) and its Standard Development Oversight Council (SDOC) and its Standards Policy & Planning Committees (PPC), prioritizes and publishes standards and recommended practices to meet needs of regulators, address recommendations from the National Transportation Safety Board (NTSB), or to meet the needs of the industry. A substantial workload of on-going standards activities currently span eleven major disciplines and 60 different standards work items. The current efforts focus on identified needs across the industry as determined by the SDOC which, through collaboration with Federal agency partners, prioritizes key standards that best address pressing needs in safety, security, state of good repair, interoperability, new technologies and procurement, among others. The public transportation standards program follows universally accepted policies and practices of the American National Standards Institute (ANSI). APTA is recognized as a SDO by the U.S. Department of Transportation (DOT), U.S. Department of Homeland Security (DHS), Transport Canada, Canadian Urban Transport Association (CUTA) and other SDOs such as IEEE, SAE, ITE and ASSHTO. Standards development at APTA has been historically supported by U.S. Federal Transit Administration (FTA), and presently receives federal support from the Federal Railroad Administration (FRA) and the U.S. Transportation Security Administration (TSA). The public transportation industry contributes approximately $600,000 annually to the standards program but continued federal support is vital to ensuring that needed projects are advanced and is integral in supporting the development and use of published documents. Published documents are freely available for use by any industry member. The APTA Standards Program was initiated at the request of federal safety oversight organizations in an effort to leverage industry expertise in developing standards to improve operating safety. In conducting their reviews, state and federal safety oversight organizations look first to industry safety standards to fulfill their regulatory needs. If industry standards are in place, effective and followed, the need to develop

2 additional government safety regulations is minimized. Until APTA began a safety standards program, standards were lacking in the public transportation industry. Widely accepted consensus transit standards can therefore benefit public transportation with regard to minimization of federal regulations but also in several other important ways: improve safety of operations and services; reduce operating and maintenance costs; create a process where transit systems share best practices; increase and improves transit system/supplier communication; make development of procurement specifications easier and less costly; make legal defense more effective in liability cases; help states establish/improve safety oversight programs; provide much needed guidance to new start transit systems; create opportunities for reliability/efficiency improvements; and decrease training costs. The public transportation industry and its Federal agency partners have advanced public transportation standards that have improved safety and reduced costs by documenting and codifying the collective wisdom and best practices of the industry, while basing final documents on foundations in actual research and science, including field testing and computer modeling, as applicable. This collaborative effort was recognized in the FY 2013 Senate Appropriations Committee Report (S.Rpt ) which recognized the work of FTA and APTA to increase the use of standardized buses and rail cars across systems around the country, as well as procuring those rail cars in a manner that achieves economies of scale: For the past several years, FTA has worked with the American Public Transportation Association [APTA] to broker broad agreement on a standard transit bus and light rail vehicle that could cut transit agencies' future capital costs. The success of this initiative would expedite transit vehicle procurement, while providing the maximum benefit from taxpayers' investment in transit systems. The Committee supports these efforts The joint FTA/APTA effort succeeded in producing a Standard Bus Procurement Guidelines RFP document and a Light Rail Vehicle Request for Proposals (RFP) Procurement Guidelines document which simplifies and provides greater efficiency for public transportation agencies in procurements of bus and light rail rolling stock. Attached to this letter, we are transmitting additional information for your review of some of the critical ongoing work being conducted by the public transportation standards development program. The continued development of industry standards and best practices, resulting in a safer, more efficient and cost effective transportation network, is crucial towards achieving the goals of both the industry and the public at large. We again ask that you fully fund this crucial program at the level authorized under MAP-21. Sincerely, Additional signatories follow Michael P. Melaniphy President & CEO American Public Transportation Association (APTA)

3 Members of the Board of the North American Transit Services Association (NATSA) Linda J. Bohlinger, Chair North American Transit Services Association Principal Consultant Parsons Brinckerhoff Los Angeles, CA Mort Downey, Director North American Transit Services Association President Mort Downey Consulting, LLC Carolyn Flowers, Director North American Transit Services Association CEO Charlotte Area Transit System Charlotte, NC Members of APTA s Standards Development Oversight Council (SDOC) Raul V. Bravo, Chair President Raul V. Bravo + Associates, Inc. Reston, VA Marlene Connor Director of Public Transportation Planning Wendel Companies Michael P. DePallo, Chief Executive Officer Southern California Regional Rail Authority (SCRRA) Los Angeles, CA Paul Jablonski Chief Executive Officer Metropolitan Transit System San Diego, CA Ron Kilcoyne General Manager Lane Transit District Eugene OR David B. Kutrosky Managing Director Capitol Corridor Joint Powers Authority Jonathan H. McDonald, P.E. Vice President, Business Sector Manager -Transit & Rail Atkins Patrick A. Nowakowski Executive Director Dulles Rail Project, Metropolitan Washington Airports Authority Harry Saporta Executive Director, Safety, Security, & Environmental Services TriMet Portland, OR Lauren Skiver General Manager SunLine Transit Agency Thousand Palms, CA Matthew O. Tucker Executive Director/Chief Executive Officer North County Transit District Oceanside, CA

4 General Category Rail Transit Bus Transit State of Good Repair Commuter Rail Standards Scope of APTA Standards Initiatives Specific Standards Initiatives Operating Practices / Roadway Worker Protection / Operator Fit for Duty / General Operating Procedures Vehicle Inspection and Maintenance (VIM) Rail Grade Crossing Safety Fixed Structure and Track Inspection and Maintenance Signal and Communication Equipment Audio Frequency Track Circuit Recommended Practices and Vehicle Standard Technical Specification Audio Frequency Track Circuits Escalator and Elevator Maintenance Support of ASME standards on structural design of light rail and streetcar Light Rail Procurement Standards Standard Bus Procurement Guidelines (SBPG) updated annually Brake and Chassis Bus Operations and Training Bus Maintenance Training Fire Safety Vehicle Electronics Passenger Environment Capital planning Budget process Maintenance practices SGR Data Asset inventory: quantitative and condition assessment Asset classification and attributes Data upkeep and management tools Quality control Determining common SGR language for the industry Life cycle management plan Facility plans Field service tools Positive train control (PTC) Vehicle/track interaction specifications for HSR equipment operating on non-high speed corridors Fuel Tank standards for DMU applications ECP Brake specifications for HSR equipment brake systems Specification for the press-fit assembly of passenger wheels on axles Applicability / Sponsors / Priority In response to NTSB recommendations, APTA is expediting standards development of roadway worker safety in environments with track maintenance vehicles. In cooperation with TRB and in response to NTSB, APTA is expediting development of audiofrequency track circuit maintenance and performance assurance tests. APTA is continuing to advance procurement standards and contracting terms and conditions to help standardize procurements and reduce capital expenditures. APTA in response to requests from Congress is working to establish practices to ensure the state of vehicle and systems operate efficiently and safety over the life of the intended use. Many aspects have been identified in the general category of state of good repair. Through funding from an FRA $150,000 grant, APTA is expediting development of ECP brake systems for passenger equipment. APTA is expediting development of wheel assembly standards in response to FRA reported incidences of loose wheels in service. Work is addressing

5 Information Technology Intelligent Transportation Systems CCTV Transit Operational Software Standards Systems Engineering Technology software specifications TCIP Pilot Programs & Technical Assistance TCIP Training Program Updates & Maintenance of the TCIP Standard Updates & Maintenance of the TCIP Support Tools Expansion to rail systems New Business Area Development Industry Outreach mainline and rail transit applications. APTA is advancing CCTV standards with revising with updated technology considerations. APTA has established key resources to drive expansion of the standard to rail systems. Lack of funding is stalling program. International Standards (ISO and IEC) ISO Technical Advisory Group 204 on public transportation and emergency services Fare system and mobile phone applications Passenger information systems TCIP data correlation with Transmodel Emergency Services Communication Protocols IEC Standards on vehicle and communication electronics New initiatives on ISO standardization of vehicles and infrastructure APTA chairs and supports the U.S. Work Advisory Group for TC-204 and is very active in formulating ISO standards benefiting U.S. The transit industry, public and private, will benefit from participation in the development of global standards through involvement with such organizations as ISO and IEC by broadening the base of available standards and opening global markets. Safety and Security Sustainability and Urban Design General Program Management Cyber security for rail systems controls and enterprise systems Support of public transportation ISAC program for early warning of threats to infrastructure Physical security Urban Design Climate Change Sustainability Guidelines Maintenance and updates of published documents Maintenance and updates of website Outreach and education of published documents Standards Program Administration Document editing TSA has provided a $400,000 grant to address various areas of security including development of standards for cyber and physical access. APTA is developing standards and recommended practices to manage energy use, build sustainably, and integrate effects of climate change on system design. APTA invests heavily in the overall management of the standards program, of which a large part is applied to maintaining and updating standards.

6 Example Standard Development Initiatives for Critical Transit Needs Rail Wheel Assembly Worker Protection Movement of On-Track Equipment Passenger Weight Loading Cyber Security ECP Brake Systems Transportation Communication Interface Profiles (TCIP) State of Good Repair and Asset Management (SOGR)

7 Standard for Passenger Wheel-Set Assembly This standard will establish certain minimum requirements for passenger wheel-set assembly. It will codify procedures through industry best practices in light of new scientific analyses that establish limits and ranges on certain parameters associated with wheel-set assembly, which will result in safe and more reliable wheel assemblies. BENEFIT OF THE STANDARD Many wheel shops are concerned about the retirement of experienced personnel and the resultant loss of valuable engineering expertise. Newer staff may not be fully aware of the safety implications of the job they are performing nor the technical rationale for certain practices. Recent experience with the loss of a wheel on a northeastern US commuter railroad suggests that wheel shop practices may evolve over time without the benefit of scientific basis for these procedural changes. Establishing minimum manufacturing standards related to press fit assembly of wheels and bearings onto axles will provide an industry standard that fits the needs of passenger rail cars. Passenger railroads generally assemble wheel sets in accordance with the practices specified in the Association of American Railroads (AAR) Manual of Standards and Recommended Practices (MSRP) and were largely developed in consideration of freight applications. They are not considered sufficiently comprehensive to address factors common to passenger operations including the need to adapt to variations in manufacturer specifications for each equipment type, wheel slip control systems, inboard vs. outboard bearing, quenching of wheel hub, lubrication and surface finish, etc. As a result, passenger wheel shops often rely heavily on the judgment of experienced personnel rather than a scientific based, codified procedure. This standard will provide a consistent assembly process specifically for passenger systems. Approximately 75% complete. Working Group is in the process of validating the specifications and comparing them to current industry practice. Wheel-set assembly Automatic wheel press

8 Standard for Roadway Worker Protection The purpose of this standard is to reduce the number of incidents in which roadway workers are struck and injured or killed by trains or any on-track equipment in the right-of-way. BENEFIT OF THE STANDARD Establishes conditions in the work place where right-of-way workers may perform duties on or near the right-of-way with consistent and strong programs in place to ensure their safety. This standard was developed and published in In 2013, further development work on this standard was in progress when the FTA Administrator issued a Dear Colleague letter to rail transit CEOs regarding incidents on the ROW where maintenance workers were being injured or killed. The contents of these letters and other factors are being considered for incorporation into the standard. This standard applies to all roadway workers, as defined in this standard, as well as operating personnel and passenger vehicle maintenance personnel. It can best be accomplished through a formal program that demands adherence to safety throughout individual RTSs and the entire rail transit industry. The Operating Practices Working Group has started the process of revising this document with an anticipated 2014 publication date.

9 Standard for the Movement of On-Track Equipment This standard will augment existing APTA standards that address right-of-way roadway worker protection by focusing specifically on the use and movement of on-track equipment. It is intended for rail transit in coordination with federal regulations 49 CFR 214 Part C established in BENEFIT OF THE STANDARD While there are several standards and industry practices that refer to protection of right-of-way roadway workers, there are no standards that specifically address in a uniform way the movements of hi-rail vehicles which have been contributory factors in several fatalities of workers. This standard will establish standards for the rail transit industry to require that all existing and new hi-rail vehicles be equipped with certain minimum design features such as automatic change-of-direction alarms; back up alarms that provides audible signals; alarms that are distinguishable from surrounding ambient noise; secondary warning systems, the limits of use of these vehicles in work zone areas; and operating procedures. The work for developing this standard was initially started in response to NTSB recommendation R addressed to the American Public Transportation Association (APTA). The recommendation was as a result of two WMATA signalmen who were struck and killed by a hirail vehicle that was backing up through their work zone. While noise, vision and complexity of the work are potential contributing factors in many fatalities, this standard addresses these and other additional exposure issues including audible alarms. This standard will also incorporate, as applicable, elements of Safety Advisory 14-1 Right-of-Way Worker Protection issued December 2013 by the FTA. Stake holders involved include the FTA (Office of Safety); personnel for rail transit include operations, safety, maintenance-of-way; American Railway Engineering & Maintenance of Way (AREMA); and National Rail Contractors & Maintenance Association (NCRA). APTA has organized a multi-discipline Working Group (WG) to develop this standard. It calls for rail transit experts from safety, rolling stock, operations, and maintenance-ofway, as well as two FTA staff from the office of safety, a staff member from AREMA and three members from the National Rail Contractors Association (NRC).

10 Standard for Passenger Weight Loading This proposed standard will establish a codified methodology for determining the weight of passenger vehicle loading from standing passengers distributed over available floor space. BENEFIT OF THE STANDARD The standard will provide a consistent method for determining weight loading from passenger standards that will lead to more consistent vehicle and infrastructure designs, a potential reduction in long-term maintenance needs, and better optimized sizing of propulsion and braking systems. The method will also eliminate uncertainty in assumptions used in vehicle design. Since the 1970 s, passenger loading on rail and bus vehicles has been based on a set average passenger weight and passenger standing density. The average weight loading series, (AWX) is a simplified approximation of passenger loading that ignores statistical characteristics of passenger loading and the changes in passenger average weight and size since the A new methodology was developed by APTA and published in a technical paper that uses statistical sampling of passenger weight and size based on human population averages collected and published by the Center for Disease Control (CDC). This new approach establishes passenger loading based on statistical loading density rather than a set number of passengers per square meter and does away with the old AWX designations. A technical paper was published by APTA outlining the methodology and results at the APTA Rail Conference in June 2013, Smith, S. and Schroeder, M., P.E., Changes in Rider Anthropometrics and the Effects on Railcar Design,, American Public Transportation Association, A technical working group has not been formed due to resource limitations.

11 Standard for Cyber Security in Communications & Train Control This series of standards establishes methods and procedures for design of train control and train communication systems that are more resilient to malicious attack from computer viruses, Trojans, malware, and denial of service injected computer code. BENEFIT OF THE STANDARD Providing guidelines and standards for transit agencies and system integrators of train control systems will help mitigate attacks on the system that could result in serious accidents due to improper track switching, violations of train dispatch rules, and potential collisions between trains and infrastructure. Cyber-attacks can also introduce major service disruptions that could endanger passenger safety. As with other systems and infrastructures such as water purification, electric power grid and nuclear power plants, and chemical processing plants, efforts have been underway to secure control and communication systems to protect against cyber-attacks. Seeing a similar need in transit, APTA developed a standards group to address cyber-security for control and communications as well as enterprise systems for office and general operating systems. APTA has published two standards in cyber-protection to help agencies and system integrators design and procure safer communication and control systems. A similar standard has been published on enterprise protection. This standards development initiative takes a holistic approach to cyber protection, by beginning with management and organization of cyber-protection systems within transit agencies, and ending with specific requirements for system protection from insertion of firewall technology to encryption. The scope of the standards includes consideration of control centers, train and infrastructure control systems and rail vehicle communication systems. APTA has published three standards on cyber-security, two of which address train control and communication and a third addresses enterprise office infrastructure. Two other standards are in development to address attack modeling approaches and integration of vehicle communication and control systems that will also include introduction of new control architectures such as PTC. OCC FIBER WAN TRAIN STATION Safety Critical (Signaling, interlocking) Safety Critical (Fire/ Ventilation) Operationally Critical ( Traction Power) SIGNAL HUT WIU/Access Point Fare Collection, Access Control & etc. Non-Emergency Communications, Traction Power, Elevators, Escalators, & similar Emergency Systems (Wireless Link and Receiver on Train Also Included) Fire Detection, Alarm, and Suppression Environmental Monitoring VITAL Systems Signaling & Comm

12 Electronically Controlled Pneumatic Brake Systems (ECP) Freight systems have moved to the application of new electronically controlled pneumatic brakes, and now passenger systems are following. The standard will put in place a new technology that will be designed, analyzed and tested in accordance with APTA developed standards. BENEFIT OF THE STANDARD Adoption of ECP brakes will lead to safer trains with improved braking algorithms and have the added benefit of interfacing with freight locomotives and systems. The ECP technology provides faster brake application, more control of brake sensitivity, and highly reliable systems. Traditional brake systems rely on air pressure throughout the length of the train as not only the working media by which brake forces are applied to the wheels, but also as the communication media between cars from the front to the rear of the consist. For long freight trains, the time for a brake command signal to travel the length of the consist is a consideration when determining braking distance. By contrast, for ECP brake systems, the control signal is separated from the air supply. ECP control is provided through electrical connections between train cars, and thus the difference in communication time is the difference between the speed of sound in air and the speed of light, thus providing shorter stopping distances. ECP brakes also can provide finer control of brake application and do it more reliably. APTA has organized a working group with members from the FRA, labor, brake suppliers, transit authorities and AMTRAK. A series of draft standards are being written together with development of failure mode and effects analyses to ensure APTA standards provide the necessary safety protocols in response to possible system failure modes. The series of draft standards is expected to be complete in 2014.

13 Transportation Communication Interface Profiles (TCIP) The Transit Communications Interface Profiles (TCIP) standard is the transit component of the ITS family of standards. Its primary purpose is to define standardized mechanisms for the exchange of information in the form of data among transit business, subsystems, component and devices. BENEFIT OF THE STANDARD The standardization of these interfaces is intended to reduce the cost of future procurements of transit computer-based systems, and to facilitate a greater degree of automation and integration of those systems. TCIP is being successfully deployed in transit systems throughout North America in such locations as; New York, Washington DC, Seattle, Montreal, Orlando and Ottawa. Deployments to date have been confined to transit bus operating systems such as the New York example shown below. In practice TCIP provides the tools for a transit agency to select the standard information flows required to meet its business needs, and to implement those flows cost efficiently. TCIP standardizes information exchanges among transit business systems and components. By standardizing and modularizing these interfaces, the intent is to minimize the cost of tailoring interfaces. Specifically, TCIP defines the messages, data frames, and data elements to be used for information transfers as might be applied to passenger information systems, fare collection systems, emergency management and maintenance monitoring functions, among others. TCIP is generally adaptable to rail operations, surface operations in particular. Some initial work has been undertaken to define the adaptation of TCIP terminology to the rail environment. Additional work is necessary to bring this effort to conclusion and leverage the investment in this standard and its associated application tools.

14 State of Good Repair (SOGR) These documents are intended as an introduction to the high-level requirements for building a transit asset management framework to achieve a state of good repair, including definitional issues and resources for further study. They also introduce asset management in the context of the U.S. transit industry and provide basic steps and resources for an agency to begin an asset management program. BENEFITS With more and more emphasis being placed on the State of Good Repair initiative coming out of the Federal Transit Administration (FTA), agencies are finding themselves in the position of uneasiness and possible confusion. The outcome of this effort will help them by specifically addressing questions such as; How am I going to get this going? or Where do I even begin? The FTA s State of Good Repair grants and the recent enactment of Moving Ahead for Progress in the 21st Century (MAP-21) has put considerable focus on improving the U.S. transit industry s asset management activities. These documents introduce asset management in the context of the U.S. transit industry and provides basic steps and resources for an agency to begin an asset management program. New Federal Transit Administration (FTA) requirements, increased stakeholder roles/responsibilities and funding uncertainties are just a few of the drivers for improving asset management within transit agencies. Improving an agency s processes and decision making tools will facilitate better management of assets throughout their lifecycles. Transit agencies may realize improved customer service, communications, and productivity; optimized resource allocation; and reduced costs. Documents produced include: Defining a Transit Asset Management Framework to Achieve a State of Good Repair; Creating a Transit Asset Management Program; Capital Asset Inventory and Condition Assessment. Documents under development include: Shaping the Message on Asset Management; Transit Asset Management Tools Guide; Asset Management Policy, Strategy and Cultural Change