[Federal Register Volume 63, Number 103 (Friday, May 29, 1998)]
[Notices]
[Pages 29465-29468]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-14251]


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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration


Notice of the Initiation of a Railroad Research and Development 
Grant Program in Cooperation with Academic Research Institutions

AGENCY: Federal Railroad Administration (FRA), Department of 
Transportation (DOT).

Action: Notice of initiation of grant program and funds availability.

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SUMMARY: FRA announces the initiation of a railroad research and 
development grant program in cooperation with academic research 
institutions (``Program''). This Program is intended to foster long-
range enhancement of FRA's program of research in support of rail 
transportation by developing cooperative research relationships between 
the FRA and selected university research organizations. The FRA seeks, 
via this announcement, to identify specific academic research 
institutions (broadly referred to hereinafter as universities) that may 
have expertise useful in complementing the established research program 
of FRA's Office of Research and Development (OR&D). Selected 
universities will be expected to buttress FRA's current research 
program that now operates principally in coordination with non-academic 
entities.

Funding Authority and Related Information

    This program is being undertaken utilizing funds in the Department 
of Transportation and Related Agencies Appropriations Act for Fiscal 
Year 1998 (Pub. L. 105-66), dated October 27, 1997. FRA anticipates 
awarding a small number of grants (whose combined value is not to 
exceed approximately $1,000,000, in the aggregate, in Fiscal Year 1998) 
for approved university research. Applicants are also encouraged to 
consider sharing the cost of their proposed projects or identifying in-
kind contributions. The FRA intends to focus the initial funding 
associated with this notice on various research and development (R&D) 
areas of interest relating to or under the general heading of rail 
safety. In the event future appropriated funds are authorized for the 
Program, FRA may, at its discretion, provide additional funding for 
research. Such future grants may focus on rail safety or other rail and 
adjunct transportation research areas, such as traffic control and 
intelligent transportation systems.

Eligible Participants

    Accredited universities, colleges, major academic research 
institutions, and other public or private academic institutions of 
higher learning. All otherwise eligible entities must also have 
demonstrable specialized expertise in rail transportation research, and 
have a minimum of five years of railroad or rail-related research 
experience. Historically Black Colleges and Universities (HBCUs) and 
Minority Institutions (MIs) fitting this description are encouraged to 
apply. However, no portion of this Program will be set aside 
exclusively for HBCUs and MIs.

Exchanges and Points of Contact

    Exchanges of information between interested parties and the 
Government, prior to submission of an application for consideration 
under the Program, are strongly encouraged. Such informal exchanges may 
provide prospective applicants with preliminary information on the 
Government's level of interest in prospective works or projects or on 
the availability of funds. Any exchanges of information must be 
consistent with all applicable statutory or regulatory procurement 
integrity requirements. Technical inquiries regarding this notice may 
be directed to: Dr. Magdy El-Sibaie,

[[Page 29466]]

Office of Research and Development, Mail Stop 20, 400 7th St. S.W., 
Washington, DC 20590, TEL 202-632-3259, FAX 202-632-3854. Requests for 
forms and administrative questions regarding this solicitation may be 
directed to: Ms. Jill Shohet, Office of Research and Development, Mail 
Stop 20, 400 7th St. SW, Washington, DC 20590, TEL 202-632-3284, FAX 
202-632-3854, e-mail: <a href="/cdn-cgi/l/email-protection" class="__cf_email__" data-cfemail="713b181d1d5f22191e191405313723305f353e255f363e275f">[email protected]</a>

Program Applications

    To be considered for inclusion in the grouping of selected ``pre-
qualified'' universities and subsequent award of grants/cooperative 
agreements to be awarded under the Program, eligible applicants must 
submit a Program Application. Program Applications--which consist of 
two sections: University Profile and Proposed Research Projects (from 
the Areas of Interest)--may be obtained by submitting a written or 
electronic request (facsimile requests will be honored) to the 
administrative point of contact identified above, Ms. Shohet. Requests 
for application forms may be submitted as of the date of (electronic or 
printed) publication of this Notice.

Evaluation and Selection Process

    Applications will be evaluated/selected by FRA using a three-step 
process. In the first step, applications will be evaluated (using the 
information from Application Section I--University Profile) to assess 
the applicant's eligibility (as an accredited institution of higher 
learning), demonstrated specialized expertise in rail transportation 
research (e.g., technical capabilities and depth of experience of key 
personnel or principal investigators), and experience in railroad or 
rail-related research, all as evidenced by cited research contracts/
grants, published papers or dissertations related to railroad 
technology, railroad research and test facilities and/or staff with 
actual railroad experience of five or more years of railroad research. 
Applicants having satisfactory eligibility, background and experience 
requirements will then be advanced to the second step, and applications 
will be reviewed within the context of proposed projects (from 
Application Section II--Proposed Research Projects). Each proposed 
project--from the Areas of Interest--will be evaluated based on the 
following criteria (which are listed in descending order of relative 
importance): (1) Its overall scientific and/or technical merit; (2) The 
degree to which it may improve upon or advance railroad safety; (3) The 
likelihood for its near term adoption and implementation of possible 
recommendations; (4) The degree with which the proposed project fits 
into the FRA's overall research objectives; and (5) The reasonableness 
and realism of the proposed cost, and the availability of funds (to 
include due consideration for proposed cost-sharing (cash or in-kind 
contributions) by the applicant). Applicants having advanced from the 
first step and whose applications contain one or more proposed projects 
determined by FRA to have fully satisfied the evaluation/selection 
criteria in the second step, will be advanced to the third step of 
evaluation/selection. In the third and final step, all applicants will 
be ranked in order of preference, which for the purposes of this 
Program will mean a rank order listing of applicants who, in the FRA's 
judgement, have the highest to the lowest rated qualifications and the 
most to the least probability for success under the Program (with due 
consideration to background, personnel, experience and facilities or 
other resources identified), and the degree to which one or more of 
their proposed projects are of interest to the FRA as potential grant 
or cooperative agreement awards (with due consideration to the stated 
project evaluation criteria). From this order of rank listing, FRA will 
establish a group of selected universities (initially numbering eight 
or fewer) that will thereafter be considered ``pre-qualified'' to 
perform solicited or approved research projects. At the conclusion of 
the evaluation/selection process, FRA will notify all applicants of the 
agency's determination and their status (i.e., acceptance or non-
acceptance into the Program). Applicants not selected under the cutoff 
in the third step, but meeting the minimum requirements under steps one 
and two, will have their applications retained by FRA for one year for 
possible future consideration as replacements or add-ons to the initial 
pre-qualified grouping of selected universities.

Future Program Awards

    Any subsequent grant or cooperative agreements entered into under 
the Program will be on an individual award basis. Pre-qualification 
will not guarantee selected universities that any FRA research projects 
or funding will be forthcoming at any time during the period of Program 
affiliation. However, FRA will only fill actual Program requirements 
for work through those universities in the pre-qualified grouping 
selected hereunder. Solicitation of actual requirements for work 
identified by FRA or requests for project proposals initiated by the 
FRA, will be at the sole discretion of the FRA, and may be conducted on 
a fully competitive (i.e., for the purposes of this Program, open to 
all pre-qualified universities), partially competitive (i.e., for the 
purposes of this Program, open to two or more pre-qualified 
universities), or sole source basis (i.e., for the purposes of this 
Program, limited to a single pre-qualified university). The method of 
in-house solicitation (i.e., competitive or non-competitive) and 
subsequent choice for award will be based on FRA's preliminary 
assessments of the pre-qualified university(s)'s qualifications and 
capabilities (with regards to the work requirement or project being 
solicited), past performance under the Program, and its determination 
on the suitability and probability for success of any one or more pre-
qualified universities, and on the availability of funding. Research 
projects may also be proposed (without a solicitation from the FRA) by 
pre-qualified universities any time during the period of Program 
affiliation. Research projects proposed by pre-qualified universities 
will be considered by FRA employing the same selection criteria used 
under this Notice in evaluating the initial proposal(s) submitted for 
consideration for both inclusion in the pre-qualified grouping/Program 
and as probable future projects. (See the five selection criteria under 
the heading ``Evaluation and Selection Process.'') FRA may use projects 
initially proposed in the selection process, as well as those 
subsequently proposed by pre-qualified universities, as the basis for 
solicitation of more in-depth technical and/or cost proposals, the 
submission of formal applications for assistance (e.g, SF 424--
Application for Federal Assistance, SF 424A--Budget Information (Non-
Construction Programs), etc.) and subsequent award of financial 
assistance. The determination to approve or disapprove, and fund or not 
fund a research project proposed by a pre-qualified university is at 
the sole and final discretion of the FRA. Each approved project will 
stand independently as a separate award. The specific terms and 
conditions of potential awards will be identified in the solicitation. 
Generally speaking, by entering into a financial assistance agreement, 
pre-qualified universities/prospective recipients will be subject to 49 
CFR, part 19--Uniform Administrative Requirements for Grants and 
Agreements with Institutions of Higher Education, Hospitals, and Other 
Non-Profit Organizations, OMB Circular A-21--Cost Principles for 
Educational

[[Page 29467]]

Institutions, and OMB Circular A-133--Audits of States, Local 
Governments, and Non-Profit Organizations. Unless a university loses 
its eligibility to participate (e.g., Government debarment or 
suspension (non-procurement)), or the Government has other sufficient 
cause for termination, or the parties mutually agree to dissolve the 
pre-qualified status, pre-qualified universities will be considered to 
be affiliated with the Program and will remain eligible to receive FRA 
grant/cooperative agreement awards, as described above, for a period of 
up to three years from the date of notification of acceptance into the 
Program.

Areas of Interest

    The following are areas of current FRA research interest. The 
subjects listed here identify the breadth of FRA research activities in 
support of its safety mandate. Applicants should prepare and submit as 
part of their application, proposed projects in one or more of the 
listed areas of interest for which they are qualified to perform.

    Note: Applicants may propose more than one project per area of 
interest, but the total number of all proposed projects may not 
exceed five.

    Proposed projects may in and of themselves serve as the basis for 
initial solicitations and awards following the FRA's evaluation of 
applications and selection of pre-qualified universities. Each project 
proposal should be a brief, yet comprehensive and fully descriptive 
overview of the project. Each project proposal should be five pages or 
less, one-sided, 10- to 12-point type or font, single spaced, and 
numbered. To facilitate evaluation, project proposals should be 
formatted using the basic outline set forth in Section II of the 
application form. (To obtaine a copy of the application form, see 
information under the heading ``Exchanges and Points of Contact.'')

1. Modeling and Simulation of Vehicle/Track Interaction

    This research activity involves the development of a comprehensive 
computer program for modeling and simulating railway vehicle/track 
systems with an emphasis on the dynamic performance of both vehicle and 
track and their interaction through the wheel/rail interface. The 
primary goal is to enhance the government capability for modeling and 
simulating the dynamic performance of a user-defined vehicle/track 
system. This computer program will be used by the FRA and other 
government and regulatory agencies in rail related safety studies and 
in accident investigations, among other uses.

2. Smart Transducers and Monitoring Devices for Railroad Safety 
Inspection

    This research activity focuses on the development of software and 
hardware tools for the deployment of smart transducers and devices for 
monitoring the safety of track and rolling stock. Emphasis will be on 
intelligent sensors and associated logic that are capable of frequent 
and economic inspection of track and rolling stock and communicating 
safety hazards in the form of exceptions to remote sites. In addition 
to innovations in sensor technologies, complementary pattern 
recognition algorithms, based on methods such as neural networks and 
statistical techniques, shall be explored. The objective of this 
research will be to improve the quality and efficiency of track and 
rolling stock safety inspection.

3. Advanced Techniques for Detecting and Repairing Weak Track Spots

    This research activity is for the development of automated 
techniques for identifying spots along the track structure that suffer 
from rapid deterioration in geometry and/or strength. Such weak track 
spots often develop along track due to many factors, such as weak 
subgrade, poor drainage, and poor ballast conditions, resulting in high 
track maintenance costs. The often resulting rapid rate of track 
geometry and/or strength deterioration may produce a safety hazard. 
Research efforts should also consider the development of methods and 
techniques for an economic and effective repair of such weak spots 
based on the diagnosed track condition.

4. Automated Track Bed Subsurface Evaluation

    Track subsurface layers (ballast, sub-ballast, and subgrade) are 
key factors in the overall track performance and rate of degradation. 
Poor subsurface conditions can lead to adverse redistribution of loads 
with the track system, which could in turn lead to overloading of some 
track components and premature elements failures, or even collapse of 
the track roadbed. This uneven degradation of components results in 
costly maintenance, and adversely affects track safety. Thus, although 
ballast, sub-ballast, and subgrade are key track components that 
warrant monitoring, these subsurface conditions are not amenable to the 
current visual methods. In addition, there is no practical methodology 
currently available for rapid subsurface data acquisition for the 
evaluation of the engineering properties of soil, accurate 
determination of location and extent of deteriorated conditions. The 
principal objectives of this activity are automated data acquisition 
for soil classification and evaluation of its engineering properties, 
and the measurement of other pertinent parameters such as in-situ 
density and moisture content. In this regard, new emerging technologies 
such as ground penetrating radar may offer the promise of significant 
improvement by using nondestructive evaluation (NDE) techniques. If 
successful in accomplishing these objectives, the study would improve 
the effectiveness of track maintenance, and contribute significantly to 
the ongoing predictive track degradation model development.

5. Reliability Design and Analysis

    Tank car accidents, tank car structural failures in components of 
railroad tank cars suggest that measures of reliability should be 
better defined. Subsequently, detailed reliability assessment of 
individual components and component subsystems should be performed that 
will lead to improved accident performance. Although catastrophic 
failure is easily recognized, tank car performance as a safe packaging 
of hazardous materials may deteriorate over time and elements 
contributing to this deterioration (per-existing defects, corrosion, 
cracks, pitting, etc.) need documentation. This research activity will 
focus on the development of a methodology to assess the failure mode. 
It may consist of parameters needed to establish structural integrity 
requirements based on value engineering analysis, previous failure 
experiences and studies. The methodology will consider establishing a 
level of reliability of a tank car design for the intended service. The 
development of a methodology that considers expected life, failure 
rates and hazard functions and which can combine these variables into 
an overall tank car ``strength'' function can be extremely useful. The 
results of such an assessment can quantitatively provide the tank car 
owner with information that may be used to define boundaries of 
reliability, allowing the tank car owner to implement guidelines for 
maintenance and use that lead to improved safety performance. This 
research activity is also concerned with reliability and safety 
performance aspects of other types of railroad cars and railroad 
operations and maintenance practices.

[[Page 29468]]

6. Epidemiology of Post-Accident Stress in Locomotive Engineers

    It is well established that individuals who are involved in serious 
accidents or other situations involving loss of life undergo post-
traumatic stress disorder (PTSD). PTSD has been documented in police 
officers, firemen, and rescue workers, and, because of the debilitating 
effects of PTSD, mandatory counseling is often provided for individuals 
who are involved in traumas. Informal discussions with locomotive 
engineers indicates that during the course of a career most locomotive 
engineers experience a traumatic grade crossing accident. At present 
there is no industry approach to PTSD in locomotive engineers, although 
anecdotal information suggests that safety may be compromised if 
counseling is not provided. However, the number of locomotive engineers 
who experience PTSD is not known, and consequently the need for 
resources to address this problem is also not known. This project will 
determine the descriptive epidemiology (incidence and prevalence) of 
PTSD in locomotive engineers so that the magnitude of the problem can 
be scientifically established.

Application Submission and Deadline

    In preparing application submissions, applicants are reminded to 
carefully read this entire Notice and to comply with all content, 
format and time requirements. An original and four (4) copies of each 
application should be submitted to the following address: Ms. Jill 
Shohet, Office of Research and Development, Mail Stop 20, 400 7th St. 
SW, Washington, DC 20590. Neither electronic nor facsimile submissions 
will be accepted. Applications will be reviewed as they are received. 
For applicants to receive full consideration, applications must be 
received by the FRA at the above address on or before July 17, 1998.

    Dated: May 26, 1998.
James T. McQueen,
Associate Administrator for Railroad Development.
[FR Doc. 98-14251 Filed 5-28-98; 8:45 am]
BILLING CODE 4910-06-P


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