fta-2011-010-tri-track worker safety rfp.pdf

FTA-2011-010-TRI Page 1

TRANSIT SAFETY RESEARCH PROGRAM

TRANSIT TRACK WORKER SAFETY PROTECTION DEMONSTRATION PROJECT

AGENCY: Federal Transit Administration (FTA), DOT ACTION: Notice for Request for Proposals (RFP)

SUMMARY: The Federal Transit Administration’s (FTA) research activities are authorized by 49 USC 5312, Research, Development, Demonstration, and Deployment Projects. Safety is one of the U.S. DOT’s five Strategic Goals. Under this goal, FTA has set forth the objective to mitigate the risks and accidents for passengers and workers of transit systems in the U.S. Public rail transit agencies are seeing an increase in worker injuries and fatalities in recent years. Between 2003 and 2008, 53% of the rail transit worker fatalities reported were Right-of-Way worker incidents.

The scope of this effort is to improve the safety of transit workers, specifically right-of-way safety for rail transit workers through innovative use of new/advanced technologies to reduce the hazards associated with working on or around the right-of-way.

FTA seeks applications to demonstrate innovative technologies that support the achievement of this goal and its associated objectives.

DATES: The applicant must submit a proposal electronically to http://www.grants.gov by April 30, 2011 for consideration. All potential applicants are advised to begin the http://www.grants.gov registration process immediately, if they have not previously submitted Federal assistance applications through http://www.grants.gov, in order to be able to meet the deadline. FTA expects to award funds through a Cooperative Agreement by Summer 2011. In the event of a system problem or technical difficulty with the application submittal, the applicants should contact the FTA Project Manager for delivery instructions.

ADDRESSES: The website http://www.grants.gov allows applicant organizations to electronically find and apply for competitive opportunities from all Federal agencies that award Federal assistance. This website is the single access point for over 1000 Federal assistance programs administered by 26 Federal agencies.

1 Federal Transit Administration FY2009 Rail Safety Statistics Report, page 24. (http://transit-safety.fta.dot.gov/publications/RailSafety/Rail_Safety_Statistics_Report_2009-FINAL.pdf) http://www.grants.gov/� http://www.grants.gov/� http://www.grants.gov/�

FTA-2011-010-TRI Page 2

FOR FURTHER INFORMATION CONTACT: Technical, program management and administrative questions should be directed to Roy Chen, Office of Technology (TRI- 20), Room E43-440, Federal Transit Administration, U.S. Department of Transportation, 1200 New Jersey Avenue, SE, Washington, D.C. 20590; email address:

RoyWeiShun.Chen@dot.gov, or by phone at 202-366-0462.

SUPPLEMENTARY INFORMATION:

Background In spite of the high level of passenger service, rail transit remains among the safest modes of transportation in the United States. Rail Transit is more than twice as safe as transit bus, 10 times safer than aviation, 20 times safer than ferry boat, and 70 times safer than travel by automobile. Nevertheless, the accident rate in U.S. transit rail systems has increased 85%, the fatality rate increased 39% and the injury rate increased 44% comparing 2008 data to the averages of the previous five years (2003- 2007).

Between October 2005 and April 2007, Federal Transit Administration (FTA) and Federal Railroad Administration (FRA) data shows a three-fold increase in the number of rail transit worker fatalities and a significant increase in injuries.

Of the 19 worker fatalities reported to the National Transit Database (2003-2008), 17 were reported for heavy rail service and two for light rail service. Over half of those fatalities reported occurred on the Right-of-Way. This is in addition to the track worker injuries and close calls that occurred on the Right-of-Way during the period.

In addition, the National Transportation Safety Board (NTSB) issued a safety recommendation letter to Washington Metropolitan Area Transit Authority (WMATA) after two accidents investigations – May 14, 2006 and November 30, 2006 – in which WMATA Metrorail trains struck and fatally injured employees who were working on main line track. The safety recommendation, R-08-04, calls for implementing appropriate technology that will automatically alert wayside workers of approaching trains and will automatically alert train operators when approaching areas with workers on or near the tracks.4

Objectives This Request for Proposal (RFP) seeks proposals to demonstrate new and innovative technologies to mitigate the hazards associated with rail track work in revenue and non-revenue operation.

2 2009 Rail Safety Statistics Report., page A-1, A-2, A-3 (http://transit-safety.fta.dot.gov/publications/RailSafety/Rail_Safety_Statistics_Report_2009-FINAL.pdf)

3 “Dear Colleague” letter issued by the FTA Administrator on May 8, 2007. (http://www.fta.dot.gov/news/colleague/news_events_6836.html)

4 National Transportation Safety Board Railroad Accident Brief (http://www.ntsb.gov/publictn/2008/rab0802.pdf)

FTA-2011-010-TRI Page 3

Project Description The proposed project must identify and characterize the effectiveness of the proposed system and how it would improve the safety of transit rail track workers. The proposer must clearly define the uniqueness of the system and how the system would be integrated with existing Roadway Worker Protections (rules and procedures of the transit agency where the demonstration will take place) for track workers.

The proposed system shall be designed with, but not limited to, features that would enhance safety by warning work crews of on-coming trains, notifying operators when approaching a work zone or workers on the tracks, informing wayside workers when conditions change in the field (e.g., trains running in a reverse direction, cancellation or changes in track rights) and monitoring the location of the work crew in real-time from an Operations Control Center (e.g., track inspectors, maintainers, and other roving crews). Also, the proposed system should be designed to work with revenue and non-revenue equipment, as well as with ease of service, ease of maintenance and high reliability in mind, while limiting adverse impacts to system performance.

The selected project shall include a demonstration of the proposed system for mitigating hazards associated with rail track work in revenue and non-revenue service, in a U.S.

transit agency operating an existing rail system**. Project partners shall identify and select the technology to be retrofitted, describe how the transit agency plans to integrate the proposed technology with the rest of the control system (vehicle and operations control center) and existing operating procedures, make any adjustments to operating rules and procedures, install the proposed system, conduct training, and evaluate the demonstration including the cost associated with the implementation of the system.

** For the purpose of this RFP, Rail transit systems include heavy rail and light rail systems only.

The project sponsor selected shall prepare and deliver to FTA a final written report documenting the activities and work performed in this project. The report and supporting documentation must be provided to the FTA project manager in an electronic/web-ready format, as specified by FTA. The project sponsor should prepare to present the final outcome of this project in an industry forum such as an American Public Transportation Association (APTA) or a Transportation Research Board (TRB) conference.

The project proposal should address the following:

1) Scope of the demonstration. The scope should contain at least the following information:

• type of technology to be used in this demonstration;

• explanation of the principle of operation;

• type of rail system involved;

FTA-2011-010-TRI Page 4

• demonstration “envelope” (e.g., projected demonstration track miles, duration of the demonstration, service frequency, service environment, type of service, etc);

• test or performance data that give credibility to the proposed product/system;

• how to integrate the proposed technology into existing control system, roadway worker rules and procedures;

• Implementation & training; and,

• Project management, data collection and evaluation.

2) Statement of Work (SOW) consisting of a list of tasks with descriptions.

Milestones, including short description, expected date and milestone costs, should be part of the SOW and associated with the completion of key events.

3) Schedule chart showing the timing of all tasks listed in the SOW and their major precedence relationships (see example below).

4) Costs. Prepare a matrix showing the uses of funds by milestone and by category. Also, in similar matrix form, show the source of funds for each milestone. These include the costs to the Federal Government, other federal funds (if any), cash costs to the project team, in-kind costs to the project team, and total costs. Show the contribution from each team member separately for each milestone. Costs of labor and materials purchased for the project are considered cash costs. Explain any in-kind costs to the project, such as value claimed for use of buildings, previously purchased materials, or capital equipment that could and would be used for other purposes. The explanation should indicate who is making the in-kind contribution (see example below).

EXAMPLE:

Project XYZ

Project Schedule

Jan Feb Mar Apr May Jun Jul Aug Sept Oct

Project Costs (Additional details and explanations of labor, materials, and subcontracts may be appropriate.)

Design

Installation

Prototype Test 1

FTA-2011-010-TRI Page 5

Project Subtasks Cost to Gov. Matching Funds Total Cost Design 50,000 0 50,000 Build Prototype 50,000 0 50,000 Installation 100,000 100,000 200,000 Testing 50,000 75,000 125,000

TOTAL 250,000 175,000 425,000

Milestone Milestone1(Build) Milestone 2 (Test) TOTAL Labor 75,000 30,000 105,000 Materials 75,000 20,000 95,000 Subcontracts 25,000 5,000 30,000 Travel 5,000 1,000 6,000 Facilities 70,000 44,000 114,000 Overhead 50,000 25,000 75,000

TOTAL 300,000 125,000 425,000

Project Sources of Funds

Milestone Cost to Gov. Project Team

Cash Cost Project Team In-Kind Cost

TOTAL

M1 (Build) 200,000 75,000 25,000 300,000 M2 (Test) 50,000 25,000 50,000 125,000

TOTAL 250,000 100,000 75,000 425,000

[End of Example]

Cost Sharing or Matching Federal transit funds are available to research projects at up to 100 percent of the project cost. However, priority may be given to projects that receive financial commitments from, or otherwise involve, state and local government, other public entities, or private or nonprofit entities.

Eligibility Information Eligible recipients include State and local government agencies, public and private transit agencies, universities, non-profit organizations, consultants, legally constituted public agencies, operators of public transportation services, and private for-profit organizations.

All proposals must include a transit agency partner operating an existing light or heavy rail transit system in the United States. The applicant must select the transit agency and obtain its commitment to participate in the project.

FTA-2011-010-TRI Page 6

Proposal Content This announcement includes all of the information that you need to apply. The following form is available in www.grants.gov and is required to be completed as a part of the response to this announcement

1. SF 424 Mandatory http://www.grants.gov/agencies/aapproved_standard_forms.jsp#1

SF 424 Mandatory

Most of the SF424 form is self explanatory. The applicant should answer the following items as follows:

1a – application 1b – annual 4a – Leave blank 4b – 26

Other Attachments Form:

1. The applicant should attach a pre-application (not more than 30 pages in length) as outlined in Chapter II (Item 9.b) of FTA Circular 6100.C: Transit Research and Technology Programs: Application Instructions and Program Management Guidelines.

http://www.fta.dot.gov/laws/circulars/leg_reg_4121.html

This pre-application should also address the six criteria laid out below in the Application Review Information section. The project budget justification should include identification of any matching funds and their source. The Formal Application described in the Circular is not being requested at this time.

2. The applicant should attach information on the qualifications of key personnel, including biographies.

An interested, eligible party intending to apply should initiate the process of registering on http://www.grants.gov as soon as possible. All potential applicants are advised to begin the http://www.grants.gov registration process immediately, if they have not previously submitted Federal assistance applications through http://www.grants.gov, in order to be able to meet the deadline.

Application Evaluation Information A review panel will be convened to review each proposal. Project proposals will be evaluated based on the following criteria;

http://www.fta.dot.gov/laws/circulars/leg_reg_4121.html�

FTA-2011-010-TRI Page 7

1. Proposed Research, which includes the applicability of the proposed research to the requirements, the uniqueness of the research approach or the need for the research, and the expected results. Projects should be narrowly defined to demonstrate new and innovative technologies to mitigate the hazards associated with rail track work. Proposals should explain and quantify how the technology and system will improve the safety of transit rail track workers.

2. Qualifications of Key Personnel, which includes knowledge of and prior experience with transit worker safety technologies and programs and specifically with wayside rail track worker safety protection, rail transit operations and maintenance.

3. Technical Management Plan, which includes the management approach for planning, scheduling, administering, and conducting the work effort and letters of support from project partners.

4. Past Performance on activities relevant to the proposed work.

5. Cost and Cost Sharing and sources of funds.

6. Plan for evaluation and data collection. The proposal must address how success will be measured (system performance, passenger safety, employee safety, etc.).

Data collection and analysis for the demonstration is subject to independent verification.

Distribution of Funds FTA may fund one or more applications under this notice. The total available funding is $250,000.

Grant Administration Information The notification date for successful applications is expected to be during the summer of 2011. Following receipt of the notification letters, the successful entities will be required to submit the Formal Application as outlined in Chapter II (Items 10-25) of FTA Circular 6100.C: Transit Research and Technology Programs: Application Instructions and Program Management Guidelines http://www.fta.dot.gov/laws/circulars/leg_reg_4121.html through the FTA Transportation Electronic Award Management (TEAM) system website.

FTA will manage the cooperative agreement through the TEAM system. Before FTA may award Federal financial assistance through a Federal cooperative agreement, the entity must submit all certifications and assurances pertaining to itself and its project as required by Federal laws and regulations. FTA has consolidated the various certifications and assurances that may be required of its awardees and the projects into a single document published in the Federal Register. Fiscal year 2011 Annual List of Certifications and Assurances for FTA Grants and Cooperative Agreements and guidelines was published in the Federal Register and posted on the FTA Web site at:

http://www.fta.dot.gov/funding/apply/grants_financing_7411.html .

http://www.fta.dot.gov/laws/circulars/leg_reg_4121.html� http://www.fta.dot.gov/funding/apply/grants_financing_7411.html�

FTA-2011-010-TRI Page 8

Recipients will be required to manage their projects in accordance with FTA Circular 6100.C: Transit Research and Technology Programs: Application Instructions and Program Management Guidelines: http://www.fta.dot.gov/laws/circulars/leg_reg_4121 .

This includes requirements for project management and administration, including quarterly reporting, financial management, and payments.

FTA involvement will include approving key decisions and activities, attending review meetings, reviewing interim and final reports, maintaining frequent contact with the project manager and redirecting activities if needed.

http://www.fta.dot.gov/laws/circulars/leg_reg_4121�