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BROADAGENCYANNOUNCEMENT
BAA20101
ResearchandDemonstrationProjectsSupporting
theDevelopmentofHighSpeedandIntercity
PassengerRailService
July28,2010
OfficeofRailroadPolicyandDevelopment
OfficeofResearchandDevelopment
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Contents
1 Introduction..........................................................................................................................................1
1.1 Background...................................................................................................................................1
1.2 Objective ......................................................................................................................................1
1.3 Schedule .......................................................................................................................................2
1.4 CommunicationsProtocolandDataSources ...............................................................................2
1.4.1 CommunicationsProtocol ....................................................................................................2
1.4.2 DataSources.........................................................................................................................2
2 ProgramGuidelines ..............................................................................................................................3
2.1 ParticipantEligibility.....................................................................................................................3
2.2 ProjectQualificationRequirements .............................................................................................3
2.3 ProjectFunding ............................................................................................................................5
2.3.1 ProgramandProjectFundingLimits ....................................................................................5
2.3.2 CostSharing..........................................................................................................................5
2.4 ProjectSelectionProcess .............................................................................................................6
2.4.1 ProjectConceptPapers ........................................................................................................6
2.4.2 ProjectProposals..................................................................................................................6
2.4.3 OralPresentations ................................................................................................................6
2.5 AwardTypes .................................................................................................................................7
2.5.1 Contracts ..............................................................................................................................7
2.5.2 CooperativeAgreements......................................................................................................7
2.5.3 Grants ...................................................................................................................................8
2.6 IntellectualPropertyRights..........................................................................................................8
2.6.1 ProprietaryDataRestrictions ...............................................................................................8
3 TechnologyResearchAreas..................................................................................................................9
3.1 TrackandStructures.....................................................................................................................9
3.1.1 InspectionTechnologies .......................................................................................................9
3.1.2 MaterialsandTechniques ..................................................................................................10
3.1.3 InnovativeTrackSystemDesigns........................................................................................10
3.1.4 VehicleTrackInteraction....................................................................................................10
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3.2 TrainControl...............................................................................................................................11
3.2.1 GradeCrossingHazardMitigationSystems........................................................................11
3.2.2 SignalCommunicationsandTrainControlSystems ...........................................................12
3.2.3 WirelessCommunicationSystems .....................................................................................12
3.2.4 TrainTrackingSystems .......................................................................................................13
3.2.5 RiskAssessmentandHazardAnalysis ................................................................................13
3.2.6 PTC/CommunicationEnablingProjects..............................................................................13
3.3 Equipment ..................................................................................................................................14
3.3.1 HighSpeedNonElectricLocomotivesandEquipment ......................................................14
3.3.2 RailVehicleWeightReduction ...........................................................................................14
3.3.3 TrainOccupantProtection .................................................................................................14
3.3.4 EmergencyPreparednessandResponse............................................................................14
3.3.5 FireSafety...........................................................................................................................15
3.3.6 RiskAssessments ................................................................................................................15
3.3.7 HighSpeedTruckDesigns...................................................................................................16
3.4 HumanFactors ...........................................................................................................................16
3.4.1 HumanFactorsEngineeringResearch ................................................................................16
3.4.2 EngineeringSystemsResearch ...........................................................................................17
3.4.3 AdvancedandFutureTechnologyResearch ......................................................................17
4 ProposalSubmittalRequirements......................................................................................................18
4.1 ProjectConceptPapers ..............................................................................................................18
4.1.1 Coverpage..........................................................................................................................18
4.1.2 TechnicalApproach ............................................................................................................18
4.1.2.1 Background.....................................................................................................................18
4.1.2.2 ScopeofWork ................................................................................................................19
4.1.2.3 Expectedoutcomes ........................................................................................................19
4.1.2.4 QUADChart ....................................................................................................................19
4.1.3 Qualifications......................................................................................................................19
4.1.3.1 ProjectTeam...................................................................................................................19
4.1.3.2 PastExperience ..............................................................................................................19
4.1.3.3 UniqueCapabilities.........................................................................................................20
4.1.4 ScheduleandCostEstimates..............................................................................................20
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1 Introduction1.1 BackgroundTheFederalRailroadAdministration(FRA)hasalong,successfulhistoryofsupportingthedevelopment
ofadvancedrailtechnologiestomeetthetransportationneedsofthecountry.Overthelastfew
decades,theFRAhasprovidedfundingandtechnicalsupporttofacilitateresearchandtostimulate
developmentofnewequipment,infrastructure,andtestingtechnologiestoenhancethenationsrail
transportationcapabilities.Today,theUnitedStatesgovernmentiscommittedtodevelopingaworld
class,highspeedrailsystemthatmeetsthegrowingtransportationneedsofthecountry.Supporting
thiseffort,theFRAistaskedwithfacilitatingthedevelopmentofacapable,safe,efficient,and
integratednetworkofintercitypassengerrailservice,includinghighspeedrailservice,asdescribedin
theVisionforHighSpeedRailinAmerica,announcedbyPresidentObamaonApril16,2009.TheFRAs
OfficeofResearchandDevelopmentwillleadtheefforttodeveloptheadvancedtechnologiesthatwill
bringthisvisiontoreality.
1.2 ObjectiveTheFRAsOfficeofResearchandDevelopmentisleadingthedevelopmentofnewtechnologiesthatwill
formthefoundationofthenationshighspeedrailsystem.TheobjectiveofthisBroadAgency
Announcement(BAA)istosolicitavarietyofbasicandappliedtechnologyresearchprojectstoadvance
thestateoftheartinthehighspeedrailandintercitypassengerservicearea.Projectsshallbefocused
towardsfacilitatingthedevelopmentoftechnologiesthatcanbeusedtoachievesafe,efficient,and
effectivedeploymentofintegratedpassengerrailsystemsintheNorthAmericanrailenvironment.Such
technologieswill:
Reducetheoperationalandprogramdeploymentrisksassociatedwithmixeduseraillines;
Improvesafetybyreducinghumanandtechnologyfailures;
Bringaboutcapitalcostreductionsandeconomyinproducingequipmentandfacilities;
Reduceoperatingcostsofrailservicebyprovidingmoreefficientoperations;
Improvethereliabilityofequipmentandinfrastructurecomponentsbyreducingfailuresand/or
reducingfalsefailuredetections;
Enhancetherevenuegeneratingcapabilityofhighspeedoperationsbyattractinggreater
ridershipbyreducingtriptimes,upgradingcustomerservicequality,increasingreliability,or
improvingontimeperformance;
Enhancethesocialbenefitsand/orenvironmentalaspectsofhighspeedrail;and
Facilitatethedevelopmentofdomesticmanufactureofrailequipmentandinfrastructure
components.
NOTICE:ThisBAA20101supersedesBAA20091whichhasbeenclosed.FRAwillno
longeracceptnewproposalssubmittedinresponsetoBAA20091.
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1.3 ScheduleTheFRAwillacceptproposalconceptpaperssubmittedinresponsetothisBroadAgencyAnnouncement
No.BAA20101throughSeptember30,2012(See4.1fordetails).Duetofundinglimitations,andthe
urgentneedforhighspeedrailenablingtechnologies,interestedpartiesareencouragedtorespond
promptly.
FRAreviewofproposalconceptpapersandproposalswillbeconductedonacontinuousbasis.TheFRA
willformallyrespondtoconceptpapersandproposals.
1.4 Communications Protocol and Data Sources1.4.1 Communications ProtocolThosepartiesinterestedinrespondingtothisBAAarestronglyencouragedtofirstcontacttheFRA
OfficeofResearchandDevelopmentviaphoneoremail(seebelow)todiscusstheprospectiveproject,
itspotentialresponsivenesstotheBAAandpotentialforFRAinterestbeforedevotingresources
towardscompletingtheprojectconceptpaper.Allnontechnicalinquiriesshouldbedirectedtothe
ContractingOfficer.
Anyexchangesofinformationmustbeconsistentwithprocurementintegrityrequirementsofsection27
oftheOfficeofFederalProcurementPolicyAct(41U.S.C.423,asamended)(seeFederalAcquisition
Regulation(FAR)3.104).CommunicationbetweenparticipantsandFRAisencouragedpriortoand
throughouttheprojectconceptpaperphase.Aftersubmissionofprojectproposals,allinformation
exchanges(bothtechnicalandnontechnical)willbeconductedthroughtheFRAContractingOfficerin
accordancewithFAR15.306.Thereshallbenodiscussionofproposalssubmittedbyotherparticipants
norwillevaluationinformationbediscussed.
Participantsareadvisedthatanyindicationofinterest,intheaffirmative,isnotmeanttoimplynorin
anywayimpartanobligationonthepartoftheGovernmentthatanawardwillbeforthcomingforthe
offeredworkorproject.
Allsubmittalsshallbedeliveredinelectronicformat(WORDorAdobePDF)totheemailaddresslisted
below.
1.4.2 Data SourcesBAAOfficialDocuments www.fbo.gov
www.fra.dot.gov
www.grants.govBAAtechnicalinformationexchangeemail
BAAProgramManager,CameronStuart TEL:2024936384
BAAContractSpecialist,IsaacRosier TEL:2024936149
CentralContractorRegistration www.bpn.gov/ccr
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2 Program GuidelinesThisBAA,duetoitsbroadresearchfocus,doesnotlenditselftotheuseofacommonworkstatement.
Assuch,nosingleNorthAmericanIndustryClassificationSystem(NAICS)code(formerlyStandard
IndustrialClassification(SIC)codes),willbeissuedfortheBAA.NAICScodeswillbespecifictoeach
individualcontractaward,asdeterminedbythetypeofactivityinwhichtheparticipantwillbeengaged.
TheGovernmentreservestherighttoselectforawardany,all,part,ornoneoftheproposalsreceivedin
responsetothisannouncement.ThisBAAisanexpressionofinterestonlyanddoesnotcommitthe
Governmenttopayanyconceptpaperorproposalpreparationcosts.
OnlyGovernmentevaluatorswillmakeselectionsunderthisBAA.
Thisannouncementconstitutesthepublicannouncement,ascontemplatedbyFAR6.102(d)(2),andno
formalRequestforProposalsorothersolicitationregardingthisannouncementwillbeissued.Requests
forsamewillbedisregarded.
2.1 Participant EligibilityThisisanunrestrictedsolicitation.Anyresponsiblesourcemaysubmitaproposalconceptpaperfor
consideration,including,butnotlimitedto,statesorlocalgovernments,ororganizationsofstateor
localgovernments,universitiesorinstitutionsofhighereducation,hospitals,nonprofitorganizations,
privateindividuals,corporations,andbusinessesorcommercialorganizations,exceptthatanybusiness
ownedinwholeorinpartbytheFederalGovernmentisnoteligible.Althoughbusinessesownedin
wholeorinpartbytheFederalGovernmentarenoteligibleforfundingundertheProgram,theymay
contractwitheligibleparticipants.Cooperativearrangements(e.g.,jointventures,limitedpartnerships,
teamingarrangements,orcollaborationandconsortiumarrangements)arepermittedandencouraged.
AllparticipantsmustberegisteredontheFederalGovernmentsCentralContractRegistration(CCR)and
theOnlineRepresentationandCertificationsApplication(ORCA)systemspriortoprojectaward
(www.bpn.gov/ccr).
Small,SmallDisadvantaged(SD),andServiceDisabledVeteranOwnedBusinessConcerns,and
VeteranOwned(VO)andWomanOwned(WO),andHistoricallyUnderutilizedBusinessZone(HUBZone)
SmallBusinessConcerns,andHistoricallyBlackCollegesandUniversities(HBCU)andMinority
Institutions(MIs)areencouragedtosubmitproposalconceptpapersontheirownand/orin
collaborationwithothers.However,noportionofthisBAAwillbesetasideorreservedexclusivelyfor
Small,SD,orServiceDisabledVeteranOwnedBusinessConcerns,orforVO,WO,orHUBZoneSmall
BusinessConcerns,orforHBCUandMIs.
2.2 Project Qualification RequirementsTheFRAisseekingprojectsthathavethepotentialtopositivelyimpactitsmissiontofostertherapid
developmentofasafe,efficient,andintegratedintercitypassengerrailsystemintheUnitedStates.
ProjectsshallbetargetedtooneormoreoftheprimarydisciplinesTrackandStructures,Signalsand
CommunicationsSystemsincludingPositiveTrainControl,HumanFactors,OperatingPracticesand
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RollingStock.Themostdesirableprojectsarethosethatadvancethestateoftheartinthese
disciplines,buildonexistingresearchanddevelopmentandaredirectlyapplicabletohighspeedrail
systemdeployment.Projectsshallbedesignedtocompletebasicandappliedtechnologyactivities,to
increasethescientificknowledgebaseoftherailindustry,toexploitthepotentialofexisting
technologiesforuseinhighspeedandintercitypassengerrailactivities,andtoaddressissuesthat
impactthepracticalapplicationofimprovedintercitypassengerservice,includinghighspeedrail,inthe
UnitedStates.Projectsdesignedtodevelopmagneticlevitation(Maglev)technologieswillnotbe
consideredunderthisBAA.ThisBAAwillnotbeusedtosponsorprojectsthatdevelopspecificproducts
orsystemsforsale.Inthecontextofthetechnologyreadinesslevelsdefinedbelow,thisBAAis
designedonlyforprojectsinLevels1through7,withpreferencegiventothoseprojectsthatarealready
advancedtotheproofofconcepttestingstage(Level3).Detailedprojectsolicitationsareprovidedin
Section3ofthisAnnouncement.
TechnologyReadinessLevels Description
1. Basicprinciplesobservedand
reported.
Lowestleveloftechnologyreadiness.Scientificresearchbeginstobe
translatedintoappliedresearchanddevelopment.Examplesmight
includepaperstudiesofatechnologysbasicproperties.
2. Technologyconceptand/or
applicationformulated.
Inventionbegins.Oncebasicprinciplesareobserved,practical
applicationscanbeinvented.Theapplicationisspeculativeand
thereisnoproofordetailedanalysistosupporttheassumption.
Examplesarestilllimitedtopaperstudies.
3. Analyticalandexperimentalcritical
functionand/orcharacteristicproof
ofconcept.
Activeresearchanddevelopmentisinitiated.Thisincludesanalytical
studiesandlaboratorystudiestophysicallyvalidateanalytical
predictionsofseparateelementsofthetechnology.Examples
includecomponentsthatarenotyetintegratedorrepresentative.
4. Componentand/orbreadboard
validationinlaboratory
environment.
Basictechnologicalcomponentsareintegratedtoestablishthatthe
pieceswillworktogether.Thisisrelativelylowfidelitycomparedto
theeventualsystem.Examplesincludeintegrationofadhoc
hardwareinalaboratory.5. Componentand/orbreadboard
validationinrelevantenvironment.
Fidelityofbreadboardtechnologyincreasessignificantly.Thebasic
technologicalcomponentsareintegratedwithreasonablyrealistic
supportingelementssothatthetechnologycanbetestedina
simulatedenvironment.Examplesincludehighfidelitylaboratory
integrationofcomponents.
6. System/subsystemmodelor
prototypedemonstrationina
relevantenvironment.
Representativemodelorprototypesystem,whichiswellbeyondthe
breadboardtestedforTRL5,istestedinarelevantenvironment.
Representsamajorstepupinatechnologysdemonstrated
readiness.Examplesincludetestingaprototypeinahighfidelity
laboratoryenvironmentorinsimulatedoperationalenvironment.
7. Systemprototypedemonstrationin
anoperationalenvironment.
Prototypenearoratplannedoperationalsystem.Representsa
majorstepupfromTRL6,requiringthedemonstrationofanactualsystemprototypeinanoperationalenvironment,suchasinarail
vehicleoronanactualtracksystem.
8. Actualsystemcompletedand
qualifiedthroughtestand
demonstration.
Technologyhasbeenproventoworkinitsfinalformandunder
expectedconditions.Inalmostallcases,thisTRLrepresentstheend
oftruesystemdevelopment.Examplesincludedevelopmentaltest
andevaluationofacomponentofsubsysteminitsintendedsystem
todetermineifitmeetsdesignspecifications.
9. Actualsystemproventhrough Actualapplicationofthetechnologyinitsfinalformandunder
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successfuldeployment. operationalconditions,suchasthoseencounteredinoperational
testandevaluation.Inalmostallcases,thisistheendofthelast
bugfixingaspectsoftruesystemdevelopment.
Source:GAO/NSIAD99162
2.3 Project Funding2.3.1 Program and Project Funding LimitsFundsforthisprogramareappropriatedintheFederalbudgetforresearchanddevelopment.FRAwill
makeavailableupto$25.0millionunderthisBAAthroughtheopenperiodofBAA20101,forprojects
evaluatedbyFRAandfoundtobeconsistentwiththeobjectivesofthisBAA,areofinteresttothe
Government,andforwhichadequatefundingexists.Nofundingprovisionorcommitmentcanbemade
atthetimeofawardforphasedorexpandedworkorprojectsbeyondtheinitialorbasephasefundedat
timeofaward.Intheeventfutureappropriatedfundsareauthorized,FRAmay,atitsdiscretion,
provideadditionalfundingforphasedorexpendedeffortunderexistingawards.
Awardsmaybeofanydollarvalue(solongasthoseamountsdonotexceedthetotalamountavailable
undertheBAA),butitisanticipatedthatmost,ifnotall,individualawards(orthatpartofthe
Governmentsportioninacostsharingarrangement)willhavedollarvaluesrangingbetween$25,000
and$500,000each.Participantsareadvisedthatcontractawardsgreaterthan$500,000willgenerally
requiretheawardees(exceptasmallbusinessconcern)toalreadyhaveinplaceorprepare,atorbefore
thetimeofaward,anacceptableplantomaximizetheparticipationofsmallbusinessenterprisesto
includeseparategoalsforusingsmallandSDbusinesses,andWO,VO,andHUBZonesmallbusinessesas
subcontractors.
2.3.2 Cost SharingForthepurposesofthisBAA,costsharingisagenerictermdenotinganysituationwherethe
Governmentdoesnotfullyreimbursetheparticipantforallallowablecostsnecessarytoaccomplishthe
projectunderthecontractorotherawardinstrument.Thetermencompassescostmatching,
participationinkind,orotherinvestmentofresourcesasameansofventuresharinginlieuofaformal
costsharingarrangement,thirdpartyinkindcontributions,costlimitations(directorindirect)and
similarconcepts.Generally,manyformsofcostparticipation,bytheirverynatureanddefinition,
minimizeornegatetheopportunityforprofitorfee.
CostsharingbyawardeesisnotmandatoryunderthisBAA,butbecauseofthepotentialforlongterm
benefitstothosefirmsorinstitutionsinvolvedintheseresearch,developmentanddemonstration
activities,itisFRAspolicytoobtaincostparticipation,wheneverpossible.ThisispreferredwhenFRA
supportseffortswheretheprincipalpurposeisultimatecommercializationandutilizationofthe
technologiesbytheprivatesector,andwhentherearereasonableexpectationsthattheparticipantwill
receivepresentorfutureeconomicbenefitsbeyondtheinstantcontract/agreementasaresultofthe
effort.ItisimportantthatresearchconductedunderthisBAAbeapplicabletothedevelopment
objectivesoftheprogram,andthattheresultsoftheseresearchactivitiesarepracticalfordeployment
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withintherailroadindustry.Projectsthatincludepartnershipswithandcostsharingfromrailroad
operatorswillfacilitatefutureindustryadoptionofdevelopedtechnologies.Suchprojectsare
preferred.
2.4 Project Selection ProcessThisBAAisstructuredasanopenended,twostepprocess.Projectevaluations,discussions,andawards
willbemanagedthroughouttheopenperiodoftheBAA(Section1.3),onacontinuousbasis,asfunding
andGovernmentneedsdictate.
2.4.1 Project Concept PapersThefirststepoftheprocessisthesubmissionandevaluationofprojectconceptpapers.Asdetailedin
Section4.1,theconceptpaperprovidesabriefoverviewoftheresearcheffort,includingthecurrent
stateofdevelopment,thenextstepsinthedevelopmentplanandroughordermagnitudecostand
scheduledata.ConceptpaperswillbeusedtogaugeapplicabilityofandtheGovernmentsinterestin
thetechnologyresearcharea.Allparticipantsmustsubmitaprojectconceptpaperinordertobe
consideredforanaward.
DiscussionsbetweentheparticipantandFRAarerequiredatthispointintheprocessinorderto
developorrefineprojectconceptsandtoavoidunnecessaryworkefforts,byeitherparty,onproject
conceptsthattheGovernmentdoesnotvalueorcannotfund.
Conceptpapersshallbesubmittedinelectronicformviaemail.FRAwillworktocompleteconcept
paperevaluationswithin60daysofreceiptandwillnotifytheparticipantoffinaldispositioninwriting.
2.4.2 Project ProposalsFollowingconceptpaperevaluationanddiscussion,FRAmayrequestthattheparticipantsubmitadetailedtechnicalandcostproposalforawardevaluation.Proposalsshallbepreparedinaccordance
withtherequirementsofSection4.2.Submissionsthatareincomplete,materiallylacking,ornot
responsivetothetechnicalrequirementsofthisBAA,maybereturnedunevaluated,orevaluatedasis,
withoutfurtheropportunityforrevision,atthediscretionoftheFRAsevaluationcommittee.
PerthecommunicationprotocoldescribedinSection1.4.1,communicationbetweenFRAandthe
participantconcerningtheparticipantsproposalisrestricted.Clarificationquestionsfromeitherparty,
bothtechnicalandnontechnical,shallbecommunicatedthroughtheContractingOfficer.FRAshallnot
providefeedbackontheparticipantsproposal,eitherpositiveornegative,duringtheproposal
evaluationprocess.
Projectproposalsshallbesubmittedinelectronicformviaemail.
2.4.3 Oral PresentationsFRAmayrequestthatparticipantsconductanoralpresentationoftheproposalfollowinganinitial,
evaluationofaformalproposal.Oralpresentationsmaybeconductedinpersonorviatelephoneor
computerconferenceatthediscretionofFRA.Oralpresentationsshallbepreparedinatechnical
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briefingformatfollowingtherequirementsofSection4.3.FRAmayasktechnicalquestionsfor
clarificationduringtheoralpresentation.
2.5 Award TypesProjectawardsmaybecontracts,cooperativeagreements,orgrants.Inconsultationwiththetechnical
evaluators,theContractingOfficerwillmakethedeterminationregardingawardtype.Applicantsmay
includeanopiniononthetypeofawardinstrumenttheyconsiderwouldbethemostsuitableor
appropriatevenuefortheirproposedtechnologyadvancementsordemonstrationsintheirsubmissions.
Thiswillnormallyalsobereflectedinthestructureofthecost/priceportionoftheapplicantsproposals.
Allawardswillbesubjecttotheavailabilityoffunds.Participantsareadvisedthatonlythe
Grants/ContractingOfficercanlegallycommittheGovernmenttotheexpenditureofpublicfundsunder
thisBAA.
2.5.1 ContractsFRAanticipatesthatcontracts(purchaseorders)willbefirmfixedpricewithpaymentmadeupon
completionandacceptanceoffinaldeliverables,orintermediatemilestones,asnegotiated.
Costreimbursementcontractsaresuitableforuseonlywhenuncertaintiesincontractperformancedo
notpermitcoststobeestimatedwithsufficientaccuracytouseanytypeoffixedpricecontract.Other
contracttypes,asdescribedinFARPart16,mayalsobeused.
2.5.2 Cooperative AgreementsStateorlocalgovernmententitiesareonlyeligibleforfundingthroughacooperativeagreement.
IncompliancewiththeEGovernmentinitiativeofthePresidentsManagementAgenda,theFederal
RailroadAdministrationwillonlyacceptapplicationsforacooperativeagreementthataresubmitted
electronicallyviathewebsiteat www.grants.gov.Thetermgrantonthiswebsiteincludes
cooperativeagreements.Paperapplicationsforacooperativeagreementwillnotbeaccepted.All
organizationswhomaybeinterestedinapplyingforacooperativeagreementresultingfromthisBAA
opportunitymustregisteronthewebsiteandshouldbecomefamiliarwithitsfunction.Thewebsite
providesclearguidancefortheregistrationprocess.Thesepreliminarystepsarerequiredbefore
registeringwithandusingthesite:
1. AprospectivegranteemusthaveaDunandBradstreetnumber(DUNS).Ifyourorganization
doesnothaveaDUNSnumber,onecanbeobtainedtelephonicallyat(866)7055711orby
visitinghttps://eupdate.dnb.com .
2. TheorganizationmustberegisteredintheFederalgovernmentsCentralContractorRegistry
(CCR)foundatwww.crr.gov.Pleasenote,CCRregistrationcannotbecompletedwithouta
DUNSnumber.
3. Toviewgrantapplicationinstructionsandcompleteanapplication,youwillalsoneedto
downloadandinstallAdobeReaderavailableat:http://get.adobe.com/reader .Thissmall,free
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programwillallowyoutoaccess,complete,andsubmitelectronicapplicationsthroughthe
securewebsite.
2.5.3 GrantsWhenawardingfederalfinancialassistancethroughagrantoracooperativeagreement,themost
appreciabledifferenceinchoosingbetweenthetwoformswillbethelevelofinvolvementbetweenthe
FRAandtherecipientwhencarryingouttheactivitycontemplatedintheagreement.SubstantialFRA
involvementispermittedincooperativeagreements.
ParticipantspursuingFederalfinancialassistance(e.g.,grantsorcooperativeagreements),must
completetheappropriateapplicationformsasdescribedaboveforcooperativeagreements.
2.6 Intellectual Property RightsAwardswillgenerallycontaindetailedprovisionsconcerningpatentrights,rightsintechnicaldataand
computersoftware,datareportingrequirements,andothertermsandconditionswhichmaybe
negotiatedaspartoftheawardprocess.
2.6.1 Proprietary Data RestrictionsParticipantsareadvisedthattheproposalconceptpapersand/orproposalsmaycontaindatathe
participantdoesnotwantdisclosedtothepublicforanypurpose,orusedbytheGovernmentexceptfor
evaluationpurposes.Iftheparticipantwishestorestrictsuchdata,thecoverpageofanyandall
submittaldocumentsmustbemarkedwiththefollowinglegend,andrelevantsheetsmarkedas
instructed.
This proposal includes data that shall not be disclosed outside the Government and shall not be
duplicated, used, or disclosed in whole or in part for any purpose other than to evaluate thisproposal. However, if a contract is awarded to this participant as a result of or in connection
with the submission of these data, the Government shall have the right to duplicate, use, or
disclose the data to the extent provided in the resulting contract. This restriction does not limit
the Governments right to use information contained in these data if they are obtained from
another source without restriction. The data subject to this restriction are contained in Sheets
[insert numbers or other identification of sheets].
Eachrestricteddatasheetshallbemarkedasfollows:
Use or disclosure of data contained on this sheet is subject to the restriction on the title page of
this document.
Totheextentthatsuchrestrictionsonproprietarydataorinformationwouldnotinterferewiththe
intentoftheGovernmenttomaketheresultsoftheworkandprojectsawardedundertheBAAavailable
toallinterestedparties,andifinconformancewiththeFreedomofInformationAct(5U.S.C.552,as
amended),theGovernmentwillhonorthosedesires.
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3 Technology Research AreasTheobjectiveofthisBAAistosolicitawiderangeofinterestforthedevelopmentofbasicandapplied
researchresultsthatcanleadtopractical,safe,andefficientimplementationofhighspeedrailsystemin
theUnitedStates.Anytechnologyformingthebasisforaresearchproposalmusthaveapplicationin
therailenvironmenttoimprovetheabilitytooperateserviceathigherspeeds,toenhancesafety,toincreasecapacityorboosttheefficiencyofrailoperations.AsdetailedinSection2.2,thisBAAis
designedtofacilitatetherapiddevelopmentofnewandemergingtechnologies,notforthe
developmentofspecificproductsforsale.
Thetechnologypresentedmustpossessthepotentialforperformanceimprovementinoneormore
qualities,suchasperformance,costeffectiveness,reliability,safety,availability,ormaintainability.This
mayincludeadaptation,implementation,testingordemonstrationofcandidatetechnologies,which
havebeensuccessfullyappliedinotherindustries,suchasdefenseindustries,and/orarenearreadyfor
directapplicationintherailroadindustry.FRAalsoinvitesproposalsfortheintegrationandsubsequent
evaluationofmultipleindependent(commercialornoncommercial)technologies,wheretheintegratedproductmayoffersubstantialadvantagebeyondthatofferedbythecomponents.
Tominimizetimetodeploymentandtomaximizetheopportunitiesforindustryparticipationandcost
sharing,FRApreferenceisforprojectsatoraboveLevel3inthetechnologyreadinesslevelchart.
However,FRAwillconsiderlessmature,buthighlypromisingoruniquetechnologiesorinnovations.In
general,researchstudiesoranalyseswhichresultonlyinresearchreportsareoflessinteresttoFRA
thanthoseprojectsthatinvolveactualtestinganddemonstrationoftechnology.Newmethodologiesor
analysesthataidadeveloperindesignorvalidationandverificationprocessesshouldbeappliedtoa
realsystemthathasbeendeployedortobedeployed.
3.1 Track and Structures3.1.1 Inspection TechnologiesFRAseekstoadvancethestateoftheartintrackandstructureinspectionsystems.Improvementsin
measurementspeed,accuracy,andcosteffectivenessofsystemsaresought.Also,enabling
technologiesthatprovideforautonomousmeasuringsystemsareespeciallyimportantastracktimefor
inspectionisreduced.FRAisinterestedinimprovementsinalltypesoftrackinspectiontechnologies,
including:
Innovativesolutionsandtechniquestoassess/monitorbridgeintegrity,includingnew
techniquesinthedesignandmaintenanceofbridgetransitionstoincreaseservicelifeandimproveridequality
Automatedswitchandotherspecialtrackworkandgradecrossinginspectiontechnologies
Highspeedinternalrailflawdetectionusingnontraditionalapproachesandtechnologies
Internaltieconditionassessmenttechnologiesforwood,concrete,andcompositeties
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Trackballastandsubgradestabilityassessmenttechnologiesthatenablepredictivefailure
analyses,thatdetermineinspectionfrequencies,andthatcanquantifystructuresensitivitiesto
environmentalandconstructionvariables
Systemstoperformthreedimensionalimagingofinternalrailflaws,includingnondestructive
testingsystemstoquantifyinternalrailstresseswithoutaneutralreferencepoint
Virtualandvisionbasedinspectionsystemsfortrackandequipment.Advancedprocessing
algorithmsfortheanalysisofvision/LIDARdata
Noncontact,highaccuracytachometerandrailgagesystemsemployinga3inchminimum
offsetfromrail
Independentvehicleorwaysidebasedpowergenerationsystemdesigntoprovidepowerto
autonomousinspectionsystems
3.1.2 Materials and TechniquesFRAseekstechnologiesthatimprovethequalityandlongtermreliabilityofrailtrackmaterialsand
structures,including:
Improvedfieldweldingmaterialsandtechniquesthatcanreducethetimeandexpense
associatedwithweldingandalsoimprovethequalityofthefinishedwelds
Fullscale,acceleratedlifecycletestingsystemsfortrackcomponentdevelopment
Vehicle/trackinteractiontestingapparatusorrigformeasuringwheel/railcontactparameters
foruseforvalidationofanalyticalmodels
Railsteelimprovements,includingnewmaterials,treatments,ordesignsthatcanimprovethe
performanceofrailsteel,suchasreducingtheoccurrenceofinternalrailflaws
Researchtodetermineidealoroptimizedcrosstiedesignsforloadcarryingcapacity,longevity,
andresourcesustainability
3.1.3 Innovative Track System DesignsFRAseeksinnovativeapproachestotrackelementdesignsthatwillimprovehighspeedridequalityand
reducevehicle/trackinteractionforces.ManyhighspeedrailtrackstructuresintheUSmust
simultaneouslysupportpassengerandfreighttrainloaddynamics.Trackmustbedurable,stable,and
abletowithstandrepetitivedynamicloadingwithoutexcessivedeformationorridequalitydegradation.
Thedesignrequirementsforcurvesandspecialtrackworkareofspecialinterest.Ballastretention
underhighwindforces,optimumcurvedesigns,kinematicswitchdesigns,andtrackpanelshiftcontrol
areamongtheresearchtopicsproposed.Researchinterestsalsoincludealternativeconstruction
techniquessuchasslabtrack,ballastlesstrackandotherdesignsthatmayreducecapitaland/or
maintenancecostsorthatbettermanagemixedusetrackdemands.
3.1.4 Vehicle Track InteractionTheVehicleTrackinteractionresearchfocusesonallaspectsofvehicle/trackinteractionsafety .A
numberoftrainderailmentsoraccidentscannotbeattributedtodefectsineithertrackortrainalone.
Rather,theyresultfromtheadversedynamicinteractionbetweenthetwoortheexistenceofunsafe
conditionsatthewheeltorailinterface,suchasimproperlubricationorcontactgeometry.Such
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interactionincludestheinstantaneoustransferofdynamicforcesfromvehicletotrackandextendsto
covercumulativeeffectsontrackdegradation,suchaswheel/railwear,surfacefatigueoftherailhead,
anddeteriorationoftrackgeometry.Safetyimprovementresearchneedsinclude:
Improvedunderstandingoftheimpactofhighspeedpassengerserviceonexistingtracks
Influenceofcombinedtrackgeometryanomaliesonvehiclesafety Improvementstomeasurementtechnologytomeasuretrackgeometry,vehicletrack
interactions,andwheel/railcontactconditions,andwheel/railforcesatspeedsupto220mph
Thedesignrequirementsforcurves,spiralandspecialtrackworkforhighspeedoperation
Influenceofsuspensionparametersandothertruckcomponentsonvehiclecurvingandstability
performance,especiallyforhighspeedoperation
Thedevelopmentofguidelinesforoptimuminspectionandmaintenancepracticestoenhance
systemsafetyanddurability
Analyticalandexperimentalmethodstostudyormeasurewheel/railcontactconditionand
forces
Researchtoestablishrecommendationsforrailheadwearandwheelprofilelimitsandtodevelopsafetyguidelinesforwheel/railprofilesandcontactconditions.
Thedevelopmentofoptimumwheel/railprofilemaintenanceandmonitoringmethods
Improvedanalyticalandexperimentalmethodsforassessingderailmentriskduetoanomalous
interactionsoftrackgeometryandrailcarsuspensionsystems
Developmentandenhancementofsimulationtoolsformodelingvehicle/trackdynamics
3.2 Train Control3.2.1 Grade Crossing Hazard Mitigation SystemsHighwayrailgradecrossingsareamajorsafetyandinvestmentissueinachievingincreasedtrainspeeds.OneofFRAsspecificobjectivesistoreducethenumberofinjuriesanddeathsresultingfromcrashesat
highwayrailcrossings.Thisbecomesespeciallyimportantasmoremodernpassengertrainconsists
allowspeedregimestoincreasetowardandabove110mph.FRAisinterestedinallfeasible
technologiesthatwilladvancegradecrossingsafety,providingnearlythesamesecurityasgrade
separationsbutatmuchlowercost.Projectsshallincludeassessmentandconsiderationofthehuman
factorsassociatedwithincreasedand/orvariablespeedsatexistinggradecrossings.
Newtechnologiesareneededwhichwillprotectboththerailandhighwayuserswithoutincurringthe
disruptionofgradecrossingclosureorthecostofgradeseparationbybridgeortunnel.Specificissues
includethedesignofhighwaywarningandprotectiondevices,traindetectionandcommunication,and
gradecrossingobstructiondetectionsensingandcommunication.Candidatetechnologies,someof
whicharealreadyinplaceinothercountries,include:inductiveloops,ultrasonic,microwaveorlaser
beams,andvideosurveillance.Numeroussensorandcommandandcontroltechnologiesthathave
beendevelopedforotherusagescouldfindreadyapplicationinthegradecrossingprotectionarea.
Manycrossingsonpotentialhighspeedcorridorsareequippedonlywithpassivecrossbuckwarning
devices.Trafficdensityonmanyofthesecrossingsmaynotwarrantevenconventionalgatesandlights,
andalternativesystemsthatcanreliablywarnhighwayuserswhileprotectingtrainoperationsare
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sought.Otherareasofparticularinterestaretraindetection,intrusionalerts,constantwarningtime
logic,traincontrolinterface,driverwarning,andcrossingmalfunctionresponsefacilitation.Proposals
areexpectedtodepictmeanstocommunicateandinterfacewithlocomotiveonboardPTCsystemfor
furtherreinforcingtheprotectionthroughwarningsorenforcements.
3.2.2 Signal Communications and Train Control SystemsPositiveTrainControl(PTC)systemsareimplementationsofanadvancedtraincontrolconceptusing
microprocessorbasedtechnologytoimprovesafetyinthethreeareas:
Traintotraincollisions
Overspeedderailments
Roadwayworkerprotection
Besidessafety,FRAhasbeenpromotingandsponsoringPTCdevelopmentanddemonstrationwiththe
followingadditionalobjectives:
Fulfillregulatoryrequirementtoallowhighspeedpassengerserviceabove79mphinfreight
territories
Improvesignalingandtraincontrolinfrastructure
Promoteenabledtechnologies,suchastrainpacingandmovingblockoperationtoimprovethe
operationefficiencyandassetutilization
AllU.S.Class1railroadshavedeployedorbeendevelopingtheirversionsofPTCsystems.Inviewof
theseactivitiesalreadyunderway,itisnotanticipatedthatthescopeofprojectsunderthisBAAwill
permitdevelopmentordemonstrationofcompletlynewPTCsystems.However,FRAremains
interestedinadditionalnewconcepts,componentsandinnovationsthatcanreducethecostof
implementingthesesystems.
3.2.3 Wireless Communication SystemsWirelesscommunication,especiallyfortransmittingdigitalpackets,isbecomingaveryimportant
technologyintherailroadoperation.Withtheadventofmicroprocessors,digitalcommunicationisa
naturalapplicationforcommunicationofinformationanddataamongvarioussegmentsofthe
operation.Itsapplicationextendstoendoftraindevices,remotecontrolledlocomotives,andcomplex
systemssuchasPTC.
ItisthedesireofFRA,tohaveinteroperableradiocommunication,especiallyinthetraincontrol
functions.Thiswillprovidemoreseamlessoperationintherunthroughtrainoperationatinterchangepoints,whenPTCismorewidespread.Someadvancementincommunicationmanagementunit(CMU),
whichactsasaswitchfortheonboardsystemtocommunicationfromonenetworktoanother,has
beenachieved.Softwaredefinedradiosarealsodesignedtobeusedtoallowinterfacingwithmulti
networksofcommunication.However,moreresearchanddevelopmentisnecessaryinordertoachieve
fullinteroperabilityinradiocommunication.
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3.2.4 Train Tracking SystemsTrainlocationdataiscriticaltoPTCsystemfunctionality.PTCsystemsmustenforcespeedlimits,signal
andformauthorities,workzoneentries,trainspacinginmovingblockimplementation,switchlocations,
andtrackdiscriminationalgorithms.Ascertainingthetrackatrainoccupiesinvolvescomplicated
algorithm,butisacriticalfunctioninanyvitalPTCsystem.FRAisinterestedindevelopingtechnologies
thatimprovetheaccuracyoftrainlocationandthatmonitorthestateofthetrackingaccuracyand
declareafailurewhenthisaccuracyisoutsidethesafetylimits.
3.2.5 Risk Assessment and Hazard AnalysisThenewPTCrule(49CFRpart236,subpartH),adoptedbyFRAinMarch2005,isaperformancebased
rule,andassuch,applicantsarerequiredtoperformhazardanalysesandriskassessmentsasapartof
thevalidationandverificationprocess.Thehazardanalysesinvolvesapreliminaryhazardanalysis,
continuedmaintenanceofahazardlog,detailedhazardanalysis(includingidentifyinghazardsrelating
tooperationandsupport),andahazardmitigationanalysis.Riskassessmentandthesafetyanalysis
requiredbythisrulemustestablishwithahighdegreeofconfidencethatintroductionoftheproductwillnotresultinriskthatexceedsthepreviouscondition.Insomecases,anabbreviatedriskassessment
isallowedinlieuofthefullriskassessment.Fortheseabbreviatedanalyses,theapplicantsonlyneedto
showthatMTTHE(MeanTimeToHazardousEvent)fortheproposedproductisgreaterorthe
probabilityoffailureforeachhazardisacceptablebyAREMAManualPart17.3.5.Acceptablehere
meansmorefavorablethanundesirable,asdefinedintheAREMAManual.Inmostcases,however,
fullriskassessmentisrequiredinstead.Asafinalresult,thefullriskassessmenthastorevealthatthe
proposedsystemisequaltoorbetterthanthebasesystems,intermsofdamageandcasualtycostper
trainmileorperpassengermile,withahighdegreeofconfidence.Themethodologyforthefullrisk
assessmenthasnotbeenstandardized,butanymethodusedhastobeapprovedbyFRAsOfficeof
RailroadSafety.
FRAdesiresacomprehensivetrainmovementmodelthatincorporatesprobabilitiesofincidentsand
failures,aswellasrandomeventstopredictthepotentialrisksandconsequences.
3.2.6 PTC/Communication Enabling ProjectsEffective,efficientandreliablePTCsystemdevelopmentrequirescontrolovertechnicalandoperational
information.ForPTCtoreachitsfullpotentials,additionaldevelopmentsmaybeneededtoexpandthe
versatilityandfunctionality.Someexamplesareinterfacingwithdispatchingsystemtoprovidetrain
pacing,interactingwithsmarttraintechnologytoconstantmonitorandbroadcastthehealthof
locomotivesandtrains,betterintegrationwithotherelectronicstoolsusedbythecrewandworkersfor
enhancedsafetyandproductivity.
FRAisinterestedindevelopingtechnologiesthatenhancecriticalPTCcommunicationchannels.
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3.3 Equipment3.3.1 High Speed Non-Electric Locomotives and EquipmentMostoftheproposedhighspeedrailcorridorsarenotelectrified.Therefore,thereisaneedtodevelop
dieselorotherpropulsiontechnologytoenableupto125mphoperationsonnonelectrifiedtrack.
Topicstobeaddressedinclude:definitionoftractiveeffortdemands(propulsionandbraking)for
particulartypesofservice,thepotentialfordistributedpoweroptions,andanassessmentofthe
impactsforuseofTierIVcompliantenginedesignsonhighspeedperformance.
FRAisinterestedinprojectsthatassesstheimpactofhighspeedserviceonequipmentdesign
requirements,includingtrucks,propulsion,andbrakingsystems.Analyticalmodelsthatcanprovide
quantitativedataonsystemlevelandtrainleveldesignandperformancearedesired.
3.3.2 Rail Vehicle Weight ReductionEquipmentweightandunsprungmassareimportantfactorsinfluencingtheefficiencyofhighspeedrail
operations.Loweringoverallvehicleweightreducesoperatingcostsfortheequipmentandreducingunspringmassimprovesvehicleridequalityandlessensthedynamicforceimpartedtothetrack
structure.
Inadditiontodevelopinglowermasslocomotivesforhighspeedrailoperations,researchisneededto
exploreoptionsforreducingunspringmass.Oneareaofresearchiscarbodymountedtractionmotors
foroperationovertrackgeometrytypicallyseenintheUS.Thepresenceoflargertrackgeometry
variationsseenonUSsharedusetracks(ascomparedtotypicalEuropeandedicatedtracks)increases
thesuspensiontravelandtheamountofarticulationrequiredinthetransmissionandgearassemblies.
Thereforeresearchsupportissoughttodeveloptransmissionandgearassembliesthatwillpermit
carbodymountedtractionmotorsforoperationathighspeedonUStracks.Otherresearchideasinthisareaareencouraged,includinggearlessdirectdrivetractionsystems.
3.3.3 Train Occupant ProtectionWorkconductedunderthisprogramareawillhelpinsurethedevelopmentofresearch
strategies/analyticalfoundationsand/orprototypetestingtoenableproductionofcosteffective,safe
highspeedpassengerequipmentfor150mph+service.Topicareastobeaddressedinclude:
determinationofappropriatelevelsofvehiclestructuralcrashworthiness;adequatedesignand
implementationofrefinedinterioroccupantprotectionsubassembliessuchasenergyabsorbingseats
orworkstationtables;advancedcurvingperformanceresultingfromeitherpassiveoractivetiltsystems;
improvedridequalityacrossmultipleclassesoftrackforsharedusesystemsatTierIspeeds;developmentofwheel/railinteractionoptimizationformixedusetracksegments;anddevelopmentof
enhancedlocomotivecabdisplays.
3.3.4 Emergency Preparedness and ResponseFRArequeststechnicalresearchtoaddressthesafe,timely,andeffectiveemergencyevacuationofhigh
speedintercityandcommuterrailpassengersduringvariousemergencyscenarios.Akeyobjectiveof
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theresearchistoreducecasualtiesthatmayoccurbyrequiringthathighspeedpassengerrailsystem
operatorsfollowestablishedprocedures.Furtherrefinementofemergencypreparednessprotocolsand
responsecapabilitiesthroughdevelopmentofemergencyplansandprocedures,crewtrainingand
passengerawarenessprograms,theinstallationofcertainpassengerrailcaremergencyequipment
systemfeaturesfortheuseofpassengersandcrew,andrespondersinemergencysituationsisdesired.
Theresearchconductedshouldprovideimprovestrategiesovercurrentpassengerrailequipment
regulationsrelatedtoemergencypreparedness.
3.3.5 Fire SafetyThisprogramareainvolvesprovidingtechnicalsupporttoFRAeffortsdirectedatdevelopingrailfire
safetyregulationsthatreflectadvancesinfiresafetyengineeringforhighspeedrailoperations.
Specificareasrequiringadditionalresearchincludedevelopmentofheatreleaseratecriteria,better
understandingthepotentialriskposedbywiringandcablingonflameignition,spread,andsmoke
toxicity,aswellasdevelopmentofrefinedstandardforfloorburnthroughtestsonsmallerscale
samples.
3.3.6 Risk AssessmentsFRAwishestodevelopriskassessmentmodelsfortheintroductionofneworalternativepassengerrail
equipmentonexistingrailline,asapplicabletonewstartoperatingauthorities.
TheintroductionofequipmentdesignedtostandardsotherthanthosespecifiedintheCodeofFederal
Regulationsposesachallengenotonlytothecarbuilder,operatingauthorityanditsconsultants,but
alsotoFRAsOfficeofRailroadSafety.ExistingguidanceisavailableundertheFRA/FTAJoint
StatementofAgencyPolicyConcerningSharedUseoftheTracksoftheGeneralRailroadSystemby
ConventionalRailroadsandLightRailTransitSystems,FRAsHighSpeedRailSafetyStrategy,and
FRAsStatementofAgencyPolicyConcerningJurisdictionOvertheSafetyofRailroadPassengerOperationsandWaiversrelatedtoSharedUseoftheTracksoftheGeneralRailroadSystembyLightRail
andConventionalEquipment.Despitetheguidanceprovidedinthesedocuments,industryparties
haveaskedFRAforadditionalclarificationoftheprocesstobefollowedwhenintroducingnew
equipment.Specifically,theindustryrequestsacleardefinitionofequivalentsafety.Therefore,this
programareawillreviewthecurrentinternationalinteroperabilitycrashworthinessstandards,in
relationtotherequirementssetforthin49CRFParts238,toassesspotentialcompatibilitiesofsuch
designs,aswellasareaswhereadditionaldesignworkmayberequiredonnewequipmentorthe
applicationofothersystemconstraintstoassureequivalentlevelsofperformanceintheeventoftypical
collisionorderailmentscenarios.Toaccomplishthisgoal,genericsystemsafetyplansandhazard
analysisprogramsshouldbedevelopedtoserveastemplatesforemerginghighspeedoperating
authorities.
Thesecondriskrelatedstudyistargetedforthedevelopmentofasetofguidelineswhichcanbeused
bystartupoperatingauthoritiesabouthowtorunasaferailroad.Industryrepresentativesand
standardsbodieshaverequestedassistanceofFRAsOfficeofRailroadSafetyandOfficeofResearchand
Developmenttodevelopsuchguidelinestoensurethataholisticreviewoftheproposedserviceis
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conductedpriortorevenueservicetoensuresafeoperations.Reviewofcurrentoperating,
infrastructureandequipmentmaintenancepractices,aswellasequipmentspecifications,willserveas
inputintoagenericsystemsafetyplan,andahazardanalysisprogramwillbedevelopedtoserveasa
templateforhowtoapproachthisissue.
3.3.7 High Speed Truck DesignsIncreasingpassengertrainspeedstoimprovetriptimesusuallyinvolvesincreasingspeedsthrough
curves.Tiltbodyandotherrailcarelementsaredesignedtominimizelateralforcesonpassengerswhile
negotiatingcurvesathigherunbalancespeeds.Increasingunbalancespeedsincreasesthelateralforce
exertedonthetrack,reducingsafetymarginsandincreasingtrackmaintenancerequirements.These
issues,aswellaspassengerridequalityperformance,canbeaddressedwithimprovedtruckdesigns.
Theobjectiveofthisprogramareaistodevelopdetaileddesignrequirementsforahighspeed
passengertruck,baseduponperformancecriteriaappropriateforUSrailwaystandardsusedinmixed
freight/passengerterritories.
Inaddition,FRAisinterestedinimprovingfreighttrucktechnologytofacilitatethesafeoperationoffreighttrainsatelevatedspeeds,upto125mph.Projectsdesignedtoadvancethestateoftheartof
freighttruckdesignswillbeconsideredaspartofthisBAA.
3.4 Human FactorsFRAseekshumanfactorsresearchprojectsthatsupporttheagencysmissiontousethescientific
method,thecanonofhumanfactorsandhumansystemsintegrationresearch,programevaluation
standards,andtechnologytransfertosystematicallyimprovesafetyandefficiencyintheUSrailroad
industry.FRAsCabTechnologyIntegrationLab(CTIL)isavailabletosupporttheseresearchprojects.
CTILallowsresearch,development,testandevaluationofadvancedtechnologiesthatenhanceand
supporthumanperformanceinthelocomotivecab.CTIListhefoundationforbroad,focusedapplied
researchforincorporationofadvancedtechnologyintolocomotivecabs.
HumanfactorscanhaveagreatinfluenceonthesuccessofhighspeedraildevelopmentintheUnited
States.ThefollowingbroadresearchtopicareasareprovidedasinsightintosomeoftheareasofFRA
researchinterest.Thisisnotintendedtobeanallinclusivelist.Participantsareencouragedtocontact
theFRAwithadditionalresearchtopicsfordiscussionandconsiderationunderthisprogram.
3.4.1 Human Factors Engineering ResearchFRAseekstoimprovesystemdesignsandintegrationofadvancedtechnologyequipmentinlocomotive
cabsbyincludinghumancapabilitiesandlimitationsinthedesignspacefornewsolutions.Thegoalistoreduceriskofhumanerrorwithintroductionofnewcontrolanddisplaytechnologiesinthelocomotive
cab.Researchinterestsinclude:
Theeffectofdistractions,e.g.mobilephonesandotherpersonalelectronicdevices,onthesafe
operationalperformance,andthestudyofmethods,devices,andtechnologiesthatcanreduce
incabdistractions
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Increasingtechnologicalcomplexityandsystemautomationandtheneedforimproved
operationalprocedurestoensuresafeandefficienthumanperformance
Locomotivestaffingrequirementsandtheknowledge,skills,andworkloadrequiredtobalance
humancapabilitieswithoperationalrequirements
Trainingandselectionoftraincrewpersonnelskillsetandaptitudedeterminationstudies
Systems,processes,andtoolstoimprovedecisionmaking
Fatigueeffectsonperformanceandsafety,andmethodstomonitorfatigue
Defininghumaninformationrequirements,communicationsmethodologiesandsystemsto
ensureeffectivecommunicationwithinthetrainandbetweenthetrainandexternalinterfaces,
e.g.dispatchingcenters
3.4.2 Engineering Systems ResearchThisareaofinterestassessessystemsdesignimplicationsandfocusesontheimpactsofthecapabilities
andlimitationsofusersonthedesignofsystems,includingboundaryconditionsforrequirements
specifyingthedesignandacquisitionofindividualpiecesofnewequipment,aswellastheconstraintsto
integratingnewandexistingequipmentsets.Researchinterestsinclude:
Integrationandinteroperabilityofcabequipmentandtheeffectofsuchsystemdesignson
humanperformance,operationalefficiencyandsystemsafety
Assessmentoftheeffectsofoperatingcabautomation,displayintegration,andinformation
flowsonhumanperformance
Riskassessmentandpredictionoftheunintendedconsequencesofadvancedtechnologiesand
automatedtechnologiesonhumantraincontrol
3.4.3 Advanced and Future Technology ResearchAdvancedtechnologiescontinuetoemergethatmayimpactthesafetyandefficiencyoflocomotivecaboperations.FRAseekstoinvestigatetheseemergingtechnologiestoidentifytheirpotentialeffectsof
automationandothertechnologiesonhumanperformance.Researchinterestsinclude:
PositiveTrainControl(PTC)technologiesandtheireffectonincabhumanfactors,including
automatedtraincontrolinformationrequirements,displaydesigns,realtime(andlatent)and
informationflows,andtheeffectofoperatorexperienceonperformance
Applicabilityofintegrated,multifunction,synthetic,movingmap,andheadsupdisplaystothe
locomotivecabandtheeffectofthesesystemsonhumanperformance,includingthe
identificationofcriticalsystemdesignrequirements
Identifyingthekeyinformationitemsandhierarchicalcriticalityofinformationaccessformultifunctiondisplays
Operationalpolicyandproceduresresearchforfullyautomatictraincontrolsystems,including
unmannedtrainoperation
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4 Proposal Submittal Requirements4.1 Project Concept PapersParticipantsmustsubmitaprojectconceptpaperforprojectsproposedunderthisBAA.Inthecaseof
multipleprojectproposalsfromasingleparticipant,aseparateconceptpaperisrequiredforeach
project.Noprojectwillbeconsideredforanawardwithoutanapprovedprojectconceptpaper.
Projectconceptpapersshallbepreparedsimplyandeconomically,andshallprovideaconcise
descriptionoftheproposedresearchproject,organizedasdefinedinthefollowingsections.Concept
papersshallbenomorethan10pagesinlength,10pointtype,singlespaced,singlesidedlettersize
pages.Projectconceptpapersubmissionsshouldnotincludepromotionalbrochures,advertisements,
tapedrecordings,orotherextraneousmaterial.
4.1.1 Cover pageProjectconceptpapersshallincludeacoverpagecontainingthefollowinginformation:
Workingtitleoftheproposedproject
BAAtitleandreferencenumber
Names,phonenumbers,andemailaddressesfortheprincipaltechnicalandcontractualpoints
ofcontact
Primaryandsecondary,ifany,participantorganizationaddresses
Dateofsubmittal
Proprietarydatarestrictions,ifany(SeeSection2.6.1)
4.1.2 Technical Approach4.1.2.1BackgroundInthissection,theparticipantshalldescribethefollowing:
MissionStatementBrieflydescribethetechnologyproposedforresearch.Provideastatement(s)that
conveystheparticipantsvisionofthefullydevelopedtechnologyanditsimpactonthesafeand
efficientdevelopmentofhighspeedrail.
DescriptionofNeedDescribethespecificissueintendedtobesolvedorimprovedbythetechnology
proposedforresearchanddevelopment.Discusstheproposedapplicationtohighspeedrail
developmentintheUnitedStates.Estimatetheprobabilityoftherailindustryadoptingthistechnology,
andprovidearationaleforthisestimate.
TechnologyAssessmentQuantifythematurityofthetechnologyinthecontextofthetechnology
readinesslevelsdetailedinSection2.2.Provideanalyticandempiricevidencetosupportthe
assessment.Describehowtheproposedresearchortechnologyistechnicallyorscientificallyinnovative
withrespecttohighspeedraildevelopmentneeds.
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DevelopmentFrameworkDescribethedevelopmenthistoryofthetechnology,bothwithinthe
participantsorganizationandfromothersources,asapplicable.Discussthetechnical,financial,
programmatic,orothersignificantfactorsthathaveimpactedthedevelopmentofthistechnologyto
date,bothpositivelyandnegatively.Provideatechnologicalriskassessmentforfuturedevelopmentof
thistechnology.
4.1.2.2Scope of WorkTheparticipantshalldescribethegeneralscopeofworkplannedforthisresearchactivity.Thissection
shalldescribethemajorresearch,testing,andanalysisactivitiesinsufficientdetailtocommunicatethe
breadthofactivitiesproposed.Adetailedworkbreakdownstructureisnotrequired.Theparticipant
shallindicatemajorprogressmilestonesandassociateddeliverablesaspartofthissection.
Thescopeofworkshallidentifyallparticipantsinthemajoractivitiesoftheproject,andshallindicate
theestimatedworkeffortrequiredfromeachparticipant,expressedasapercentageofthetotaleffort
foreachactivity.Inaddition,theparticipantshallidentifyanythirdpartyresourceneedsthatare
requiredduringtheproject.TheseresourcesmayincludeGovernmentfurnishedequipment.
4.1.2.3Expected outcomesIdentifythesignificantoutcomesplannedfortheproject.Describetheseoutcomesinthecontextofthe
technologyreadinesslevels,andintermsoftheirimpactoftheoutcomesonthedevelopmentofhigh
speedrailsystems.
4.1.2.4QUAD ChartIncludeaQuadchartsummarizingtheprojectconcept,aspertheexampleandinstructionsprovidedin
AppendixB.
4.1.3 Qualifications4.1.3.1Project TeamListallkeyparticipantsproposedfortheproject,includingparticipantsfromoutsidetheprime
participantsorganization.Organizetheteambyorganizationnameandbrieflydescribeeachpersons
rolesandresponsibilitiesontheproject.Provideashortsynopsisofeachkeypersonseducation,
experience,andotherqualificationsapplicabletotheproposedproject.Provideinformationonthe
businesstype(small,large,ordisadvantaged)foreachparticipantorganization.
4.1.3.2Past ExperienceDescribetherelevantpastexperienceofeachorganizationparticipatingintheproject.Identifyany
publiclyavailableandaccessibleresourcesthatmayprovidemoredetailsregardingthisexperience,e.g.
publicwebsitelinkstopastorcurrentprojectdocuments.
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4.1.3.3Unique CapabilitiesBrieflydescribeanyuniquecapabilitiesthattheparticipantteampossessesthatmayreduceprojectrisk,
mayreduceprojectduration,ormayimproveprojectfinancialperformance.Describethesecapabilities
withinthecontextoftheobjectivesoftheBAAandtheproposedprojectsscopeofwork.
4.1.4 Schedule and Cost EstimatesProvidemilestonesfortheproposedprojectthatincludesstart,finish,andmajoractivitycompletion
times.Expressmilestonesdatesasthenumberofweeksfromprojectstart.
Providearoughordermagnitudeestimate.Provideabreakdownofthesecosts(percentage)foreach
organizationintheprojectteam.
Provideafundingplanfortheproject.Identifyeachfundingsourceandtheircontributiontothewhole,
expressedasapercentage.Includeallanticipatedsources,includingparticipantinternalsources,
Governmentfunds,andotherparticipantorganizations.
4.2 Project ProposalsFollowingreviewanddiscussionoftheconceptpaper,theFRAmayrequestthattheparticipantsubmit
aformalproposalfortheproject.Theprojectproposalbuildsuponthecontentsoftheconceptpaper,
asmodifiedthroughdiscussionsbetweentheparticipantandFRA.Additionalcontentandmore
detailedinformationisrequiredintheproposaldocument,asdescribedinthesectionsthatfollow.
Proposaldocumentsareproducedtothesameformattingrequirementsastheconceptpapers,except
fora20pagelimit.This20pagelimitisexclusiveofresumeandpastperformancedata.Submissions
thatareincomplete,materiallylacking,ornotresponsivetothetechnicalrequirementsofthisBAA,may
bereturnedunevaluated,orevaluatedasis,withoutfurtheropportunityforrevision,atthediscretion
oftheFRAsevaluationcommittee.
ParticipantsareadvisedthattheFRAevaluationofaprojectforpossibleawardisbasedsolelyonthe
contentsoftheparticipantsprojectproposaldocument,oralpresentationdocuments(seeSection4.3),
andtheparticipantsanswerstoanytechnicalclarificationquestions,astransmittedthroughthe
ContractingOfficer.Furthermore,followingproposalsubmittal,anycommunicationtoorfromFRAshall
bethroughtheContractingOfficer.
ItisthepolicyofFRAtotreatallproposalsascompetitiveinformationandtodisclosethecontentsonly
forthepurposesofevaluation.
Projectproposalsshallincludethefollowing.
4.2.1 Cover PageProvidethesamedataasrequiredfortheconceptpapersubmittal,seeSection4.1.1.Includethewords
ProjectProposaldirectlybelowtheprojecttitle.
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4.2.2 Technical Approach4.2.2.1BackgroundProposaldocumentsshalladdressthesamerequirementswiththeconceptpapers,seeSection4.1.2.1.
AddressExpectedOutcomes(asdescribedinSection4.1.2.1)inthissectionoftheproposal.
Participantsshallexplain,specifically,howtheproposedtechnologyormethodenhancestheabilityto
implementhigherspeedpassengeroperations;howitcouldbeincorporatedintoexistingrailroad
equipment,infrastructure,oroperations(toincludehowmajorbarriers,impedimentsorobstaclescould
beovercomeormitigated);andtheinterfacemodificationsrequiredtoaccomplishademonstration.
Alsoexplainhowitsapplicationwillbringaboutanimprovementtocapitalequipmentorinfrastructure,
oroperatingmethods,safetyand/orperformanceimprovements.Correlativebenefitstogeneral
railroadoperations,ifany,shouldalsobecited,sincetheycanalsoenhancethefeasibilityofpassenger
serviceaddedtofreightroutes.Quantitativesupportshouldbeprovidedforassertionsmade.
Proposalsmayincludeadiscussionofoptional,futurephaseorphasesofwork.Suchdiscussionshallbe
clearlylabeledasoptionalfuturephaseorphasesofwork.Theoriginalphaseorworkshallinnoway
dependonworkdescribedunderfuturephasesinordertomeettheprogramcriteria.Ifafuturephase
orphasesareincluded,aroughordermagnitudecostestimateshallbeprovidedasaseparatelylabeled
sectioninthecostsandpricingsectionoftheproposal.
Proposalsshallincludereferencestopastrelevantresearchdescribingcapabilities,work,andsignificant
accomplishmentsinareasdirectlyassociatedwithproposedresearchareaorincloselyrelatedareas.A
bibliographyofrelevanttechnicalpapersandresearchnotesthatsupportthetechnicalconceptsand
innovativeideasdescribedinthisproposalshallbeincludedfortechnicalreference.
4.2.2.2Statement of WorkAstatementofworkdocumentshallbepreparedasaseparatedocumentcontainedwithintheproposal
submittal.Thereshallbenocompanysensitiveorproprietarydataincludedinthisdocument.
Thisstatementofworkshallbeorganizedasfollows:
1.0 Scope
Describetheworktobeaccomplishedaspartoftheresearchproject.Includethe
technologyunderdevelopment,theobjectivesandgoalsoftheeffort,major
milestones,andtheexpectedoutcomeforhighspeedraildevelopment.
2.0 Requirements
Definethework.Separatetheworkeffortintomajortasksandsubtasksasnumbered
paragraphs.Identifyallprojectreviews,test,demonstrations,andalldeliverables
resultingfromtheexecutionoftheproject.
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4.2.2.3Technical ApproachParticipantsshallprovideanarrativedescriptionofworktobeperformed,organizedasitisexpectedto
beperformed.Thetechnicalapproachshallincludeactivitiesdesignedtointegraterailindustryinthe
developmenteffort,eitherthroughactiveparticipationinthetechnologydevelopmentorthrough
demonstrationand/ortestingsupport.Describethesteps,tasks,andactivitiesnecessarytoachievethe
desiredprojectresults.Identifyanddescribealldeliverables,presentations,demonstrations,test,and
periodicreports.Describethequalityrequirementsfortheprojectandidentifytheprocessesand/or
proceduresthatwillbeemployedtoensuretheserequirementsaresatisfied.
Thetechnicalapproachshallincludeariskassessment.Technical,programmatic,marketandotherrisk
elementsshallbeanalyzedfortheirimpactontheproject.Ascoringorrankingschemeshallbe
developedtoquantifypotentialimpacts.Datashallbepresentedinaprobability/impactchartorother
suitableformat.
4.2.2.4Project Management PlanTheproposalshallcontainadetailedmanagementplanfortheprojectbaseduponthefollowing
minimumrequirements.
WorkBreakdownStructure(WBS)Dividetheprojectrequirementsintotasksandworkpackages.
Hierarchicallyorganizetheprojectworkdowntotheworkpackagelevel.
ProjectScheduleSequencetheprojectactivities,identifyandestimateresourcerequirementsand
activitydurations.Identifythecriticalpath.Presenttheprojectscheduleasabar,orGanttstylechart,
includingactivityrelationships(dependencies).Provideamilestonechartfortheprojectillustratingkey
activitiesandtheirexpectedcompletiontime(weeksfromprojectstart).Includeintermediateprogress
reviews,demonstrationsortests,andperiodicreportingactivitiesintheschedule.
MobilizationPlanInthecontextoftheprojectschedule,describetheplantoacquireanddeploy
resourcesneededfortheproject,includingpersonnel,facilities,equipment,andotherresources,
includingGovernmentFurnishedEquipment(GFE),deemednecessaryforprojectexecution.
OrganizationChartDeliveranorganizationchartfortheprojectillustratingresourcerolesand
reportingrelationships.Includeallparticipantorganizations.Clearlyhighlightorganizationsthatare
participatingincostsharingactivities.Identifythetypeofbusiness(large,small,disadvantaged,or
educational)foreachparticipantorganization.Provideresumes(2pagemaximum)forallkeypersonnel
ontheproject.Resumesshallbeorganizedinanappendixtotheproposal.Resumesdonotcount
towardthe20pagelimitfortheproposal.
Subcontracts/Teaming/CostSharingManagementPlanIdentifyanddescribetheparticipantsplansfor
subcontracting,teaming,andcostsharing.Clearlyidentifytherolesandresponsibilitiesofall
organizationsworkingwithintheprojectteam,includingtechnicalandfinancialelements.
TestingPlanDescribethetestingrequirements,environmentsandmethodsneededtoassessor
demonstratethesuitabilityofthetechnologyintherailroadenvironmentandtodemonstratethe
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successoftheproposedproject. Citerailroadcompaniesorotherrailrelatedorganizations,suchas
railroadindustrysuppliers,thathaveexpressedtheirwillingnesstopermitand/orsupportsuchtesting
ordemonstrations.Lettersorstatementsattestingtoanoutsideorganizationsinterestorcommitment
topermitand/orsupporttestingordemonstrationsshouldbefurnishedwiththeproposalasan
attachment.Suchlettersorstatementswillnotcounttowardstheproposals20pagelimit.
4.2.3 Capabilities and ExperienceIdentifyanddescribethecapabilitiesandexperienceofkeypersonnelandorganizationswithinthe
projectteamastheseelementsrelatetotheproposedprojectspecificallyandthehighspeedrail
industryasawhole.Describeanyrelevanttechnologicalandscientific,railroadorotherindustrialor
defensecapabilities,experience,andresources(orthoseofitsteammembers)thatwillserveto
demonstrateitsabilitytosuccessfullyconducttheproposedresearchortechnologyadvancement
project.Describetheteammembers(ororganizations)familiaritywithorpositionintherailroad
communityandaccesstocriticalresourcesfortheproject.
Describeanyuniquecapabilitiesthattheparticipantteampossessesthatmayreduceprojectrisk,mayreduceprojectduration,and/ormayimproveprojectfinancialperformance.Describethesecapabilities
withinthecontextoftheobjectivesoftheBAAandtheproposedprojectsscopeofwork.
4.2.4 Intellectual PropertyParticipantsshallsubmitinformationdescribingtheintellectualpropertythatwillbeusedinthe
performanceofthecontract,andanyproposedrestrictionsontheGovernmentsuseoftheintellectual
property.
Participantsmustprovideagoodfaithrepresentation,inwriting,thatiteitherownsorpossesses
appropriatelicensingrightstotheintellectualpropertythatwillbeutilizedunderproposalsforthisprogram.Ifparticipantsareunabletomakesucharepresentationconcerningtheintellectualproperty,
providealistingoftheintellectualpropertyneeded,andexplainhowandwhentheparticipantplansto
obtaintheserights.
Forissuedpatentsorpublishedpatentapplications,providethepatentnumberorpatentapplication
publicationnumber,asummaryofthepatentorinventiontitle,andindicatewhethertheparticipantis
thepatentorinventionowner.Ifapatentorinventionisinlicensedbytheparticipant,identifythe
licensor.Ifapatentapplicationhasbeenfiledforaninventionthathasnotbeenmadepubliclyavailable
andcontainsproprietaryinformation,providethepatentapplicationserialnumber,patentapplication
filingdate,asummaryoftheinventiontitle,andindicatewhethertheparticipantistheinvention
owner.Iftheinventionisinlicensedbytheparticipant,identifythelicensor.
4.2.5 Cost and Pricing DataIdentifyeachfundingsourceandtheircontributiontothewhole,expressedasapercentage.Includeall
anticipatedsources,includingparticipantinternalsources,Governmentfunds,andotherparticipant
organizations.
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Thecostorpricingportionoftheprojectproposalshouldcontainacostestimatefortheproposedeffort
toallowformeaningfulevaluationanddeterminationofpricereasonablenessandcostrealism.The
costestimatemaybepreparedusingtheapplicantsownformatorasindicatedinTable152ofFAR
15.408.Thecostestimateshallaccountfortheentirecostoftheproject,inclusiveofthatportionof
costtheapplicantorotherparticipantswouldbearinanyproposedcostsharingarrangementorother
investmentofresources,asameansofventuresharing,inlieuofaformalcostsharingarrangement.
Thecostestimateshallbebrokendownforeachyearoftheproposedwork,andbyallyearscombined.
Ataminimum,thecostestimateshallincludethefollowinginformation:
LaborAbreakdownofdirectlabor,byWBSindexnumber,identifyingthelaborcategoriesor
individualsandprojectedhours,andtheirassociatedsubtotals.
Overheadand/orfringeLaboroverheadand/orfringerate(s)andbase(s),andcumulativeeffecton
laborcosts.
Materials,supplies,andequipmentDescriptionandcostofmaterials,supplies,andequipment,to
includethebasisofthecostestimate(e.g.,historicaldata,competitivemarketquotes,andinhouse
transfers).Specificmentionshouldbemadeofanyhighlyspecializedorcostlytestequipmentor
suppliesneededtoaccomplishtheproject.
TravelandtransportationBreakdownoftravelandtransportationcosts.
SubcontractsBreakdownofindividualsubcontracts.Statetheamountsoftimeof
subcontractor/consultingservicestobedevotedtotheproject,includingthecosttobechargedtothe
proposedcontract/agreement.
ODCBreakdownofotherdirectcosts(reproduction,computertime,andconsultants).
Misc.Identificationofanyotherdirectorindirectcostelementsnotidentifiedelsewhere.Foreach
indirectrate(identifiedhereorelsewhere),indicateiftheproposedindirectrateandallocationbase
havebeenapprovedbyaGovernmentauditorcognizantagencyforuseinproposalsandwhenthe
rate(s)wasapprovedandthenameofandtelephonenumberofthecognizantauditororapproving
official.
GeneralandAdministrativeG&Arateandbase,andcostoutcome.
ProfitorfeeGenerally,theFRAdoesnotanticipateprovidingprofitorfeeundercontractsawarded
undertheBAA,becauseofthepotentialforlongtermbenefitstothosefirmsorinstitutionsinvolvedin
thesedemonstrationactivities.However,profitorfeemaybeproposed,andifproposed,issubjectto
finalnegotiations.
CostSharing/CostParticipationIdentifyextentofcostsharing/costparticipation,ifany(exclusiveofthe
participantspriorinvestment),toincludetheactualdollarsorthepercentageofthecostshareofthe
proposedresearchortechnologyproject,tobeprovidedbytheapplicant,orthirdpartycontributorsor
otherFederalfundingsources,ifallowable;thetypeandextentofcostlimitations(directorindirect);or
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thespecificsforandextentofsimilarconceptsindicativeofcostparticipation.(Note:Theapplicantmay
berequiredtocertifythatithassecuredtheappropriatecostsharefundinglevels,andidentifythe
sourceoffunding.
Thevalueofanyproposedcostparticipationintheformofparticipationinkindorotherinvestmentof
resourcesasameansofventuresharing,inlieuofaformalcostsharingarrangement,orthirdpartyinkindcontributions,mustbeassessedbytheGovernment.(Note:Theselatterformsofcost
participationarebestsuitedforandmayonlybeapplicableastheparticipantscostshare/matchina
grantorcooperativeagreementaward.)
4.2.6 Past PerformanceAsaseparatelyboundpartofitsprojectproposalsubmission,theparticipant(exceptingstatesorlocal
governmentsororganizationsofstateorlocalgovernments,oruniversitiesorinstitutionsofhigher
education)shallprovidepastperformanceinformationintheformofacontractreferencelistand
preliminarysurveydataforprojectsvaluedat$250,000ormore.Thispastperformanceinformationwill
notcountaspartofthe20pageproposallimit.
Technicallyacceptableproposalsthatareconsideredrealisticandreasonable,intermsofproposedcost,
andfee,ifapplicable,willbesubjecttoareviewofpastperformanceinformationprovidedbythe
participantorobtainedfromsourcesotherthanthoseidentifiedbytheparticipant,andusedin
assessingperformancerisk,makingaresponsibilitydetermination,andmakingabestvaluedecision.
Referencesprovidedbytheparticipantorsourcesotherthanthoseidentifiedbytheparticipantmaybe
contactedatthisstageandadvisedofaspecificdatethatcompletedsurveysshouldbesubmittedto
FRA.Referenceswillgenerallybeallowedaminimumof3workingdaystorespondbyfacsimileoremail
(withoriginaltobeprovideduponrequest).Participantsareadvisedthattimeisoftheessence,and
thatifsurveysarenotreceivedbythetimespecifiedorreferencesotherwisedonotavailthemselvesforaninterview,theparticipantmaybeassessedasanunknownperformanceriskandassignedaneutral
performancerating.
Participantsareremindedthatapastperformanceratingisnotaprecisemechanicalprocessandwill
usuallyincludesomesubjectivejudgment.Itisacomparativeevaluativeprocessthatseekstoidentify
thelevelofriskassociatedwithcontractingwitheachparticipant.Theresultingevaluationisa
reflectionofthedegreeofconfidencetheGovernmenthasintheparticipantslikelihoodofsuccess.
Uponrequest,pastperformanceinformationmaybemadeavailabletootherFederalprocurement
activities.However,pastperformanceinformationaboutaparticipantshallnotbeprovided,without
theparticipant'sconsent,toanyprivateparty,exceptwheretheagencydeterminessuchinformation
mustbereleasedpursuanttotheFreedomofInformationAct.
Ontherareoccasionthatthereisnoinformationonpastcontractperformance,ornorelevantpast
performanceinformation,theparticipantslackofpastperformancewillbetreatedasanunknown
performancerisk.Insuchcases,pastperformancewillbetreatedasneutral,thatistosaythe
participantwillnotbeevaluatedfavorablyorunfavorablyonthefactorofpastcontractperformance.
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Thiswillbeaccomplishedbyassigningtheparticipant(s)withouta[relevant]performancerecord,the
midrangescoreavailableforanynumericalorquantitativeratingused,oranequivalentvalueinany
adjectivalorqualitativeratingused.
4.2.6.1Contract Reference ListThepastperformanceinformationcontractreferencelistshallincludetheidentificationofthree(3)
governmental(Federal,stateorlocal)orcommercialcontracts/orders(eachhavinganaggregatevalue
ofatleast$25,000)thattheparticipant1hasperformedandassertsarerelevanttothesubjectproposal
concept,andisdemonstrativeofitscapabilitiestosuccessfullyperformsubstantiallysimilarwork.The
greaterthesimilarityinscopeandcomplexityandtechnicalnatureofthereferencedcontracts/orders
totheresearchproject,technologyadvancementand/ordemonstrationbeingproposedunderthe
subjectBAA,thegreatertheperceivedrelevancy.Theburdenofprovingacceptabilityofpast
performanceistheresponsibilityoftheparticipant.
Contracts/ordersadvancedbytheparticipantshouldbeeither
(a) ongoingcontracts/ordersawardedwithinthelast3yearsandinwhichtheparticipant
hasperformedforatleastsixmonths,or
(b) contracts/ordersthatendedwithinthelast3years,butinwhichsomepartorallofthe
performanceoccurredwithinthelast3yearsfromthedateofproposalsubmission.
Thecontractreferencelistshouldrecap,foreachreference,thenameoftheawardingagency/firm,
contract/ordertitle,contractnumber,pointofcontactandtelephonenumber,andemailaddress,if
available.Theparticipantmustensurethatpointsofcontactandtelephonenumbersforitslisted
contract/orderreferencesarecurrent,completeandaccurate.Significantproblemsencounteredin
checkingreferencesprovidedbytheparticipantwillgenerallybeconsideredalackofduediligenceonthepartoftheparticipantandmaybeconsideredintheselectionprocess.
Iftheparticipanthasreceivedfewerthan3contractawardswithinthelast3yearshavinganaggregate
valueofaleast$25,000,theparticipantshouldprovideinformationonthenumberofcontractawards
availableforreferencing.Iftheparticipanthasnotreceivedanycontractawardswithinthelast3years
havinganaggregatevalueofaleast$25,000,theparticipantshouldstatethatfact.
1For the purposes of this contracting action, relevant past performance under these contracts/orders may be that
of the participant itself (as a prime contractor or a subcontractor under the referenced action) and its key
personnel, or that of a subcontractor, consultant or party to a cooperative arrangement who will be directly
involved under the proposed research project, technology advancement and/or demonstration, provided that (1)
the entity or individual will be performing the substantially same type of effort/requirement and in the substantially
same capacity as that upon which the relevant past performance assertion is made, and (2) the entity or individual
will be performing 50% or more of the effort involved, in terms of the estimated total contract cost.
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4.2.6.2Preliminary Survey DataForeachcontractreference,theparticipantshallcompleteandsubmitPartIAdministration,andPart
IIRelevancy/PerspectiveoftheContractorPastPerformanceSurvey,seeAppendixA.ForPartIofthe
survey,theparticipantwillcompletetheidentifyingandadministrativeinformationsoughtforthe
specificcontractinquestion.ForPartII,theparticipantwillcompleteandinsertasinglepagethat
addressesthefollowingthreeareasofinquiry(asdescribedinthesurvey):DescriptionofPriorContract
Services,Relevancy,andProblemResolutionandQualityHonors.Thetextoftheparticipantsresponses
forallthreeinquiriescombinedshallnotexceedonepage.
Asearlyaspossibleintheproposalpreparationphase,participantsshouldsendeachoftheirreferences
acopyoftheContractorPastPerformanceSurvey(oradvisethemofitslocationonFRAwebsites)anda
letterthat,ineffect,authorizesitsprivatesectorreferencetoprovidepastperformanceinformation,
whenandifrequestedbyFRA,andalertsitsgovernmentreferencesthatinformationmayberequested
fromanothergovernmentagency.Participantsshouldadvisereferencesthatinadditiontocompleting
PartIIIofthesurvey(whenandifrequested),theymaybecontacted,attheGovernmentsdiscretion,
andaskedtoconsenttoatelephoneinterview,usingthesurveyasthestartingorfocalpointofthe
interview.
Participantsareadvisedthatanyrelevantcontractorperformance/customerevaluationspreviously
preparedwithinthelastthreeyearsbytheagency/firm(thereference),andsubsequentresponsesor
rebuttalsfromtheparticipant/contractor,mayberequestedofthereferencetoaugmentorfurnishedin
lieuofthesurveyorinterview.
ReferencesshouldbeadvisedthatwhenandiftheyarerequestedtocompleteasurveybyFRA,theyare
tosendthecompletedsurveydirectlytotheFRAattheaddress(es)identifiedintheSurveyandnotto
theparticipantseekingareference,noraretheyreturnaduplicatetotheparticipant.Thisdoesnotprecludethereferencefromadvisingtheparticipantthatasurveywascompletedandsubmitted,oran
interviewconducted,ifitsochooses.
Toensurefrankandopenevaluationsandexpressionsofopinionsbyevaluatorsorothers,allpartiesare
advisedthattheidentityofrespondentscompletingthesurveywillbeheldinconfidenceandwillnotbe
releasedordisclosedtotheparticipantoutsidetheGovernment.However,asspecifiedunderFAR
15.306,conditionsmayexistinwhichtheparticipantmaybeprovidedanopportunitytodiscussadverse
pastperformanceinformationonwhichtheparticipanthasnothadapreviousopportunitytocomment.
4.3 Oral PresentationsFRAmayrequestanoralpresentationfollowinganinitialreviewoftheproposal.Theparticipantmay
submitoralpresentationslidesatthesametimeastheprojectproposal,orwaituntilFRArequeststhe
presentation.
Oralpresentationswillbeonehour30minutesforpresentationand30minutesforquestions.Oral
presentationsareanopportunityfortheparticipanttoprovidehigherresolutiontothetopicsdiscussed
intheformalproposal.Thepresentationshalladdresstechnicalfactorsonly,notcostorpricingdata,
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andshallnotaddresstopicsnotpresentedintheproposalsubmittal.FRAmayasktechnicalclarification
questionsduringthepresentation.FRAwillnotprovidefeedbacktotheparticipantduringthe
presentation.
OralpresentationswillbeheldattheFRAofficesinWashington,DCortheywillbeconductedusing
computer/telephonetools.LocationandformatdecisionswillbemadebyFRA.
5 Evaluation and Award ProcessAllsubmittalswillbeevaluatedbyGovernmentofficials,exclusively.Participantswillbenotifiedof
evaluationresultsvialetter.
5.1 Evaluation Criteria5.1.1 Project Concept PapersProjectconceptpaperswillbeevaluatedforoveralltechnicalvaluetotheGovernmentsareaof
interest,withinthecontextofavailablefunding.FRAwillestimatethedegreeofthepotentialimpact
onthedevelopmentofahighspeedrail,thetechnologyreadinesslevel,andthereasonablenessof
estimatedcostsforeachconceptpapersubmitted.FRAwillalsoevaluatetheparticipantscapabilityto
performtheworkbasedonthetechnicalapproach,background,andreferencedresourcesprovidedin
theconceptpaper.
FRAmayrequestformalproposalsforprojectconceptsthataredeemedtohavetechnicalvaluetothe
FRAshighspeedraildevelopmentobjectivesandarefoundtofitwithinfundingconstraints.Project
conceptpapersarenotevaluated,orconsidered,aspartoftheawardevaluationprocess.
5.1.2 Project ProposalsProposalswillbeevaluatedsolelyonthecriteriapublishedinthisannouncement.Proposalswillbe
evaluatedassubmitted,withoutopportunityforrevisionbeyondparticipantresponsestotechnical
clarificationquestionsfromFRA.Oralpresentationswillbeconsideredasubsetoftheproposalmaterial
andevaluatedusingthesamecriteria.Oralpresentationswillnotbeevaluatedfororaldeliverystyle,
polish,orthestyleorformatofthesubmittedmaterial.
FRAwillevaluateprojectproposalsubmissionsusingthefollowingcriteria.
5.1.2.1Technical FactorsResponsivenesstoBAAObjectivesandRequirements
ThedegreetowhichtheproposedprojectmeetstheprogramobjectivesoftheBAAandconformsto
thefundinglimitationsdetailedherein.Thedegreetowhichtheproposalisresponsivetothe
requirementspublishedinthisannouncement.
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TechnicalApproach
Thedegreetowhichtheprojectimpactsthesuccessofhighspeedraildeployment,enhancingsafety,
performance,andefficiencyaspectsofrailoperations,maintenance,and/ordesign.
Thedegreetowhichtheparticipantcomprehendsthetechnologicalframeworkfortheproposedproject
intermsofanalyticalscience,priordevelopmentprogress,andrailindustryapplication.
Thedegreetowhichtheproposalprovidesareasonableandlogicaltechnicalapproachtotheproject,
integratestherailindustryinthescopeofwork,providesappropriatereportsanddeliverablesto
documentprogressandoutcomes,qualitycontrols,andareali
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