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 NOTICE
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1. AGENCY USE ONLY (Leave blank) 2. REPORT DATE 3. REPORT TYPE AND DATES COVERED
April 2018 Technical Report
4. TITLE AND SUBTITLE 5. FUNDING NUMBERS
Next Generation Track Circuits DTFR53-11-D-00008L

6. AUTHOR(S) Task Order 0004

Joel Kindt, Joseph Brosseau, Alan Polivka
7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES) 8. PERFORMING ORGANIZATION
REPORT NUMBER
Transportation Technology Center, Inc.
55500 DOT Road
Pueblo, CO 81001
9. SPONSORING/MONITORING AGENCY NAME(S) AND ADDRESS(ES) 10. SPONSORING/MONITORING
U.S. Department of Transportation AGENCY REPORT NUMBER
Federal Railroad Administration
Office of Railroad Policy and Development
DOT/FRA/ORD-18/10
Office of Research, Development and Technology
Washington, DC 20590
11. SUPPLEMENTARY NOTES
COR: Richard Orcutt
12a. DISTRIBUTION/AVAILABILITY STATEMENT 12b. DISTRIBUTION CODE
This document is available to the public through the FRA Web site at http://www.fra.dot.gov.

13. ABSTRACT (Maximum 200 words)

The Federal Railroad Administration (FRA) sponsored a project, performed by the Transportation Technology Center, Inc.
(TTCI), to investigate next generation track circuit concepts that could support future methods of train control. Future train
control concepts are being investigated in which train separation will be controlled by alternative technology (e.g.,
Communications-Based Train Control) while broken rail and roll-out protection are to be independently provided by track circuits.
TTCI developed a Concept of Operations (CONOPS) document, conducted a technology survey, issued a Request for Information
(RFI), and researched the characteristics of rail as a sensing medium.
14. SUBJECT TERMS 15. NUMBER OF PAGES
Next generation track circuits, NGTC, Communications-Based Train Control, CBTC, Positive 41
Train Control, PTC, moving blocks, movement authorities 16. PRICE CODE

17. SECURITY CLASSIFICATION 18. SECURITY CLASSIFICATION 19. SECURITY CLASSIFICATION 20. LIMITATION OF ABSTRACT
OF REPORT OF THIS PAGE OF ABSTRACT
Unclassified Unclassified Unclassified
NSN 7540-01-280-5500 Standard Form 298 (Rev. 2-89)
Prescribed by ANSI Std. 239-18
298-102

i
 METRIC/ENGLISH CONVERSION FACTORS

ENGLISH TO METRIC METRIC TO ENGLISH

LENGTH (APPROXIMATE) LENGTH (APPROXIMATE)
1 inch (in) = 2.5 centimeters (cm) 1 millimeter (mm) = 0.04 inch (in)
1 foot (ft) = 30 centimeters (cm) 1 centimeter (cm) = 0.4 inch (in)
1 yard (yd) = 0.9 meter (m) 1 meter (m) = 3.3 feet (ft)
1 mile (mi) = 1.6 kilometers (km) 1 meter (m) = 1.1 yards (yd)
1 kilometer (km) = 0.6 mile (mi)

AREA (APPROXIMATE) AREA (APPROXIMATE)

1 square inch (sq in, in )2
= 6.5 square centimeters (cm ) 2
1 square centimeter (cm2) = 0.16 square inch (sq in, in2)
1 square foot (sq ft, ft )
2
= 0.09 square meter (m ) 2
1 square meter (m2) = 1.2 square yards (sq yd, yd2)
1 square yard (sq yd, yd ) 2
= 0.8 square meter (m ) 2
1 square kilometer (km2) = 0.4 square mile (sq mi, mi2)
1 square mile (sq mi, mi2) = 2.6 square kilometers (km2) 10,000 square meters (m2) = 1 hectare (ha) = 2.5 acres
1 acre = 0.4 hectare (he) = 4,000 square meters (m ) 2

MASS - WEIGHT (APPROXIMATE) MASS - WEIGHT (APPROXIMATE)

1 ounce (oz) = 28 grams (gm) 1 gram (gm) = 0.036 ounce (oz)
1 pound (lb) = 0.45 kilogram (kg) 1 kilogram (kg) = 2.2 pounds (lb)
1 short ton = 2,000 pounds = 0.9 tonne (t) 1 tonne (t) = 1,000 kilograms (kg)
(lb)
= 1.1 short tons

VOLUME (APPROXIMATE) VOLUME (APPROXIMATE)

1 teaspoon (tsp) = 5 milliliters (ml) 1 milliliter (ml) = 0.03 fluid ounce (fl oz)
1 tablespoon (tbsp) = 15 milliliters (ml) 1 liter (l) = 2.1 pints (pt)
1 fluid ounce (fl oz) = 30 milliliters (ml) 1 liter (l) = 1.06 quarts (qt)
1 cup (c) = 0.24 liter (l) 1 liter (l) = 0.26 gallon (gal)
1 pint (pt) = 0.47 liter (l)
1 quart (qt) = 0.96 liter (l)
1 gallon (gal) = 3.8 liters (l)
1 cubic foot (cu ft, ft3) = 0.03 cubic meter (m3) 1 cubic meter (m3) = 36 cubic feet (cu ft, ft3)
1 cubic yard (cu yd, yd3) = 0.76 cubic meter (m3) 1 cubic meter (m3) = 1.3 cubic yards (cu yd, yd3)

TEMPERATURE (EXACT) TEMPERATURE (EXACT)

[(x-32)(5/9)] °F = y °C [(9/5) y + 32] °C = x °F

QUICK INCH - CENTIMETER LENGTH CONVERSION

0 1 2 3 4 5
Inches
Centimeters 0 1 2 3 4 5 6 7 8 9 10 11 12 13

QUICK FAHRENHEIT - CELSIUS TEMPERATURE CONVERSIO

°F -40° -22° -4° 14° 32° 50° 68° 86° 104° 122° 140° 158° 176° 194° 212°

°C -40° -30° -20° -10° 0° 10° 20° 30° 40° 50° 60° 70° 80° 90° 100°

For more exact and or other conversion factors, see NIST Miscellaneous Publication 286, Units of Weights and
Measures. Price $2.50 SD Catalog No. C13 10286 Updated 6/17/98

ii
Acknowledgements

Transportation Technology Center, Inc. would like to recognize the collaborative efforts and
assistance provided by the railroad advisory group.

iii
Contents

Executive Summary ........................................................................................................................ 1

1. Introduction ................................................................................................................. 2
1.1 Background ................................................................................................................. 2
1.2 Objectives .................................................................................................................... 2
1.3 Overall Approach ........................................................................................................ 3
1.4 Scope ........................................................................................................................... 3
1.5 Organization of the Report .......................................................................................... 3
2. Project Overview ......................................................................................................... 4
2.1 Concepts Analysis ....................................................................................................... 4
2.2 Technology Survey and RFI........................................................................................ 4
2.3 Characteristics of Rail as a Sensing Medium .............................................................. 6
2.4 Recommendations for Future Work ............................................................................ 6
3. Conclusion ................................................................................................................... 7
4. References ................................................................................................................... 8
Appendix A. Concept of Operations for Next Generation Track Circuits .................................... 9
Appendix B. Request for Information – Next Generation Track Circuit Technology ................ 27
Appendix C. Research Report on Limitations of Conventional Track Circuits and Potential
Alternative Concepts for Future Methods of Train Control ................................... 30
Abbreviations and Acronyms ....................................................................................................... 34

iv
Tables

Table 1. Technology Survey .......................................................................................................... 5

v
Executive Summary

The Federal Railroad Administration (FRA) sponsored a project from June 8, 2015, through June
7, 2017, in which Transportation Technology Center, Inc. (TTCI) investigated concepts and
technologies for next generation track circuits (NGTC) that could support future methods of train
control. Future methods of train control may include Communications-Based Train Control
(CBTC), moving block operations, or variants thereof. These methods of train control only
provide efficient train separation if not otherwise limited by track circuits, but there is still a need
for broken rail and roll-out protection. It is the objective of NGTC to provide the needed
protection while also supporting higher capacity train control.
TTCI, together with an industry advisory group (AG), developed a Concept of Operations
(CONOPS) document that presents a potential NGTC concept and describes its overall need.
This NGTC concept senses electrical current from the track circuit, and allows a broken rail to be
detected with a shunting axle in the same block. In addition, movement authority rules are
described to support moving block operation.
A technology survey was conducted and a Request for Information (RFI) was distributed to 11
organizations. RFI responses were received from three major signaling suppliers. From the
responses, it was confirmed that major signaling suppliers are interested in developing new track
circuit solutions, and products are available that could potentially be upgraded to support the
concept presented in the CONOPS. Also, the RFI responses indicated that the suppliers have
been working on their own solutions, but they did not provide further details.
An additional task was performed to research the physical characteristics of rail as a sensing
medium. As the project progressed, the physical characteristics were better understood in terms
of future methods of train control (e.g., moving block). Since train separation is provided by the
future train control system, the block length can be understood relative to a typical braking curve
at track speed. Various onboard and wayside solutions were identified for using rail as a sensing
medium.
Upon completion of the above tasks and discussion with the AG, TTCI has recommended efforts
for future work, which takes into consideration the responses to the RFI. Examples of possible
next steps are to test vendor solutions that could be upgraded to support the CONOPS design, or
to evaluate other systems mentioned in the RFI responses.

1
1. Introduction

Transportation Technology Center, Inc. (TTCI) conducted a research project funded by the
Federal Railroad Administration (FRA) to investigate next generation track circuits (NGTC) that
could support higher capacity train control, such as, Communications-Based Train Control
(CBTC). Track circuits are considered a core component of the railroad signaling infrastructure
and it is beneficial to consider how they can be improved for operations, reliability, and lifecycle
cost.

1.1 Background
One of the issues in the U.S, freight rail industry is the capacity of high volume corridors, for
both present and future capacity needs. Publications and presentations can be found that provide
historical data of capacity and maps of areas of the country in which volume is in highest
demand [1] [2] [3]. These publications also project freight rail growth and show future corridor
volumes.
Currently, Positive Train Control (PTC) is being implemented in the U.S. as required by the Rail
Safety Improvement Act of 2008 (RSIA ’08). Current PTC infrastructure integrates with
conventional signaling systems and consists of four segments that overlay the conventional
signaling architecture: a locomotive onboard segment capable of automatic enforcement of
movement authorities, bulletins and speed restrictions; a back office segment that interfaces
railroad systems and provides data; a wayside segment that provides the status of wayside
devices; and a wireless communications segment that connects the other segments. Although
current PTC systems degrade operational capacity as a result of additional equipment that can
fail, the potential for loss of messages sent over the wireless communications network, and the
conservatism in the prediction of train braking distance, the freight railroad industry is interested
in enhancing the PTC and conventional signaling infrastructure to reduce the operational
capacity impact and potentially provide operational benefits.
This project explores track circuits as one of the limiting factors of capacity improvement and
provides a concept for a NGTC that leverages PTC infrastructure.

1.2 Objectives
For this initial phase of the NGTC project was to:
• Identify the objectives and use cases for NGTC
• Research rail-based technologies with the potential to replace existing track circuits in
order to:
o Improve reliability and maintainability through the reduction of required components
that require high levels of maintenance, such as insulated joints (IJs)
o Improve lifecycle cost effectiveness through lower system equipment costs, reduced
operating and maintenance costs, increased equipment life, etc.
o Support future methods of train control (e.g., CBTC)

2
 • Research physical characteristics of using rail as the track occupancy and broken rail
sensing medium

1.3 Overall Approach

TTCI conducted this project in close cooperation with an industry advisory group (AG). This
AG consisted of representatives from FRA, BNSF Railway (BNSF), Canadian National Railway
(CN), Canadian Pacific Railway (CP), CSX Transportation (CSX), Norfolk Southern
Corporation (NS), and Union Pacific Railroad (UP).
The overall approach included a concepts analysis, a technology survey, and a research task. For
the concepts analysis, TTCI defined the needs for NGTC technology, based on the primary
objectives identified, and developed a potential concept that builds upon existing technology to
address these needs. For the technology survey, TTCI conducted market research through
internet searches, patent searches, a review of prior FRA and railroad industry research reports,
as well as discussions with industry track circuit experts. TTCI also submitted a formal Request
for Information (RFI), based on the concepts developed. For the research task, TTCI explored
the physical characteristics of rail as a sensing medium in terms of future train control and
developed a brief report summarizing the findings (Appendix C).

1.4 Scope
The scope of this project was limited to technologies using rail as a sensing medium for track
occupancy and broken rail detection. The project included performing a concepts analysis for
using rail-based circuits in freight operations to meet the project objectives, followed by
reviewing the state-of-the-art in track circuit technology to identify potential candidates for
future phases. Technologies that do not use rail as a sensing mechanism were identified in the
technology survey, but further analysis of these technologies were considered out of the project
scope.
A key focus of the NGTC project is improvement of lifecycle cost effectiveness. This project
included an indication of the potential improvement in lifetime cost effectiveness of NGTC
relative to conventional track circuits, using information developed from the research as well as
criteria and metrics developed by and agreed upon by the AG. A formal cost benefit analysis
was not included in the scope of work.

1.5 Organization of the Report

This summary report highlights the activities for the NGTC project. Section 2 of the report
describes the work tasks completed. Section 3 provides a brief conclusion based on the research
conducted and recommendations for future efforts. The appendices contain the CONOPS
(Appendix A), the RFI (Appendix B), and the research report regarding the limitations of track
circuit concepts (Appendix C).

3
2. Project Overview

The project consisted of the following tasks:

• Conduct a concepts analysis
• Conduct a technology survey and RFI
• Research characteristics of rail as a sensing medium
• Develop recommendations for future work
Further detail on each of these tasks is described in the following sections.

2.1 Concepts Analysis

The concepts analysis was driven by the goals for NGTC, primarily to support future methods of
train control. Future train control is intended to improve the capacity of the line with moving
block operation and variants thereof. The potential capacity improvement with a moving block
(or similar) train control system remains limited if conventional fixed blocks are still required to
maintain broken rail detection. The CONOPS, included in Appendix A, describes the current
system and its limitations in supporting the objectives of future train control.
One possible concept for NGTC was explored in the CONOPS document. The concept is to
detect a broken rail with a shunting axle in the same block and to leverage wireless
communications infrastructure established for PTC. Additional key components of the concept
presented in the CONOPS include the following:
• A broken rail is detected by monitoring the transmission current.
• Binary information is obtained from monitoring the transmission current (i.e., broken rail
or not).
• Both voltage and transmission current are needed, and various combinations of voltage
and current are presented in a table.
• The NGTC length required to support future train control is related to the predicted
braking distance of trains operating on the line in question.
• A movement authority concept is proposed to allow for a following train to enter an
occupied detection block, thereby increasing the potential capacity, while still protecting
the following train in the case of a broken rail between trains.

2.2 Technology Survey and RFI

The technology survey for NGTC was focused on commercially available solutions as well as on
patented technologies. TTCI conducted internet searches, patent searches, review of prior
research reports, and discussions with industry track circuit experts in order to identify any
potential concepts or technologies that could address the objectives of NGTC. Table 1 presents a
summary of different available technology types and examples. Conventional track circuits for
the freight rail industry are typically direct current (DC) coded track circuits. Jointless or audio

4
frequency track circuits have shorter block lengths due to higher electrical frequencies, but are
still a possible technology for addressing NGTC goals.

Table 1. Technology Survey

Technology Type Examples
DC coded track circuits Alstom ElectroCode products
Ansaldo STS MicroTrax®
Jointless or audio frequency track Alstom AFTC5
circuits Ansaldo STS AF-902/AF-904®
Bombardier TI-21, EBI Track 200/300/400
Current sensing – IJs on one of the rails U.S. 6,102,340
Current sensing – long blocks with U.S. 7,226,021 B
sensors between IJs
Current sensing – with programmable U.S. 7,954,770 B2
shunts U.S. 2016-0107664 A1
Ultrasonic broken rail detection High-Speed Rail IDEA Project 42
Onboard Time Domain Reflectometry High-Speed Rail IDEA Project 38

In addition to the technology survey, information was obtained from the industry by issuing an
RFI (Appendix B). TTCI issued the RFI to the railroad signaling community on July 25, 2017.
The RFI was sent to 11 organizations, and in some instances multiple recipients were from the
same organization. Responses to the RFI were accepted through August 18, 2017. Three
responses were received from major signaling suppliers. A fourth response was received, but it
did not return significant information. Key takeaways from the RFI responses have been divided
into the availability of products and comments on the CONOPS.
Key takeaways on availability of products include the following:
• The railroad signaling community is interested in participating in developing new track
circuit solutions.
• Suppliers have already been working on systems to meet the higher level objectives as
expressed in the NGTC CONOPS.
• Products are available that can potentially be used or upgraded to perform the functions
as presented in the NGTC CONOPS.
• Suppliers did not provide sufficient technical detail on available or developmental
products to fully assess their capabilities.
Key comments on CONOPS:
• Concern was expressed about detecting rail breaks with transmitted current, especially for
a wide range of conditions and longer blocks.

5
2.3 Characteristics of Rail as a Sensing Medium
As the CONOPS document was further developed, the task to research physical characteristics of
rail as a sensing medium was better understood in terms of conventional track circuit physical
limitations and future methods of train control. The research task was assisted by an industry
expert who provided consulting services.
The primary conventional track circuit limitation is that a broken rail cannot be detected in a
block that also has a shunting axle. This limitation is addressed in the CONOPS, in which the
proposed track circuit design allows for a broken rail to be detected with a shunting axle.
However, the CONOPS has a limitation in that a broken rail will be masked if there are shunting
axles on both sides of the broken rail. Consequently, a movement authority concept was
suggested to extend the limits of the authority for a following train into an occupied block up to
the last known reported location of the leading train, to prevent the following train from entering
an area of the block that has been masked by the leading train.
Track circuit length is a characteristic of using rail as a sensing medium. The length is
dependent on the frequency of the electrical signal, in which higher frequencies will have a
greater loss of signal in transmission through the rail. Commercially available track circuits
typically use lower frequencies or DC pulses and have a possible length of more than 5 miles.
Due to the above limitations of detecting both trains and broken rails within the same block, the
track circuit length becomes a greater consideration for capacity. The CONOPS further explores
a detection block length relative to the predicted braking distance in moving block operation.
Various onboard and wayside technologies were identified that use rail as a sensing medium.
These are presented in the summary report of the research task in Appendix C.

2.4 Recommendations for Future Work

The current phase of the project has brought into discussion the idea of using NGTC for broken
rail detection while supporting moving block concepts. Based on the responses from the RFI,
there are some options going forward for additional phases of the project.
1. Evaluate the feasibility of using the transmission current per concerns raised in the RFI
responses
o Test vendor products that were stated could be upgraded to support the CONOPS
o Determine the extent to which electrical current can be used to reliably detect a
broken rail (i.e., electrical open) with a shunting axle in the same track circuit under
varying conditions
2. Evaluate other systems and designs that were mentioned in the RFI responses
Possibilities for future work include the development of formal systems engineering
requirements, an in-depth study of reliability, availability, and maintainability, and a safety
analysis.

6
3. Conclusion

TTCI investigated NGTC that could support higher capacity train control. This was an FRA
sponsored project from June 8, 2015, through June 7, 2017. The goals of NGTC include the
following:
• Support future methods of train control
• Improve reliability, availability and maintainability
• Reduce lifecycle cost of ownership
A CONOPS document was developed in which a potential NGTC design was explored. The
concept is to detect a broken rail with a shunting axle in the same block and to leverage wireless
communications infrastructure for PTC. Additionally, a technology survey was conducted and
an RFI was distributed to 11 organizations. RFI responses were received from three major
signaling suppliers, while a fourth response did not include any significant information.
TTCI also conducted research on the characteristics of rail as a sensing medium. As the project
progressed, the physical characteristics were better understood in terms of future methods of
train control. The CONOPS presented the idea in which the detection block length can be
determined relative to a typical predicted braking distance at track speed. In addition, a
consultant helped with this task and identified various onboard and wayside solutions for using
rail as a sensing medium.
The project has provided insight into NGTC that could support future methods of train control.
TTCI has recommended additional work in which solutions can be further realized and tested,
such as test vendor solutions that could be upgraded to support the CONOPS design, and
evaluate other systems that were indicated in the RFI responses.

7
4. References

1. Association of American Railroads. (2014, October 2). “Current Rail Capacity Issues.”
Presentation to Surface Transportation Board. Available at:
https://www.stb.gov/stb/docs/RETAC/2014/Oct/Retac%20Rail%20Infrastr.%20J.%20Gray.p
df.
2. Cambridge Systematics, Inc. (2017, September). “National Rail Freight Infrastructure
Capacity and Investment Study.” Prepared for Association of American Railroads Available
at: https://expresslanes.codot.gov/programs/transitandrail/resource-materials-
new/AARStudy.pdf.
3. Congress of the United States—Congressional Budget Office. (2006, January). “Freight
Rail Transportation: Long-Term Issues.” Available at:
https://www.cbo.gov/sites/default/files/109th-congress-2005-2006/reports/01-17-rail.pdf.

8
Appendix A.
Concept of Operations for Next Generation Track Circuits

CONCEPT of OPERATION

For

Next Generation Track Circuits

DRAFT Revision 1.6

July 25, 2017

The information in this document is based upon work sponsored by the Federal Railroad
Administration of the U.S. Department of Transportation and the concepts presented are patent
pending.

9
 REVISION RECORD

REV DESCRIPTION OF CHANGE DATE

1.4 Initial draft December 21, 2016
Revised draft with minor changes
- Added content that broken rail resolution can be further
1.5 March 8, 2017
improved with end-of-train location
- Simplified color scheme on select figures
Revised draft includes:
- Added section on movement authority
1.6 - Added table for possible combinations of voltage and July 25, 2017
current
- Created list of considerations for monitoring current

10
Table of Contents
A1. Scope ..................................................................................................................... 13
A2. References ............................................................................................................. 13
A2.1 Code of Federal Regulations Documents ......................................................... 13
A2.2 AAR Documents .............................................................................................. 13
A3. Definitions............................................................................................................. 13
A4. Glossary/Acronyms............................................................................................... 14
A5. Current System...................................................................................................... 14
A6. Justification for and Nature of Changes................................................................ 15
A6.1 Future Train Control ......................................................................................... 15
A6.2 Limitations of Conventional Track Circuits ..................................................... 15
A7. Concept for the Proposed System ......................................................................... 16
A7.1 Interfaces and Detection Methods .................................................................... 16
A7.2 Future Train Control ......................................................................................... 18
A7.3 Deployment ....................................................................................................... 23
A7.4 Performance ...................................................................................................... 24
A7.5 Reliability, Availability, and Maintainability ................................................... 24
A7.6 Environment...................................................................................................... 25
A7.7 Lifecycle Cost ................................................................................................... 26
C1.0 Executive Summary .......................................................................................... 30
C2.0 Purpose and Methods ........................................................................................ 30
C3.0 Existing Track Circuit Concepts ....................................................................... 30
C4.0 New Concepts for Broken Rail Detection ......................................................... 31
C4.1 HSR-38 ............................................................................................................. 31
C4.2 Patent US 9162691 B2 (Cab signal method) .................................................... 31
C4.3 Patent US 6102340 A (series aiding track circuit) ............................................ 32
C4.4 Patent Application US20080105791 A1 (wayside CAB) ................................. 32
C5.0 Conclusions ....................................................................................................... 32

11
Table of Figures
Figure A1. Track circuits in a 4-aspect block network ................................................................. 15
Figure A2. Conventional track circuit interfaces .......................................................................... 16
Figure A3. Next generation track circuit interfaces for PTC and potential future train control .. 16
Figure A4. Next generation track circuit examples with transmitting (Tx) current ..................... 17
Figure A5. Next generation track circuit with transmitting current from both ends of a block .. 18
Figure A6. Fixed versus moving block operations ....................................................................... 19
Figure A7. Next generation track circuits with a broken rail (BR) between trains ...................... 21
Figure A8. Movement authority when the following train enters an occupied block with no rail
break...................................................................................................................................... 22
Figure A9. Movement authority with a broken rail between trains .............................................. 23
Figure A10. Types of signaled territories ..................................................................................... 24

Table of Tables
Table A1. Possible combinations of voltage and current for ends A and B of the block ............. 18

12
A1. Scope
This document establishes a concept of operations for next generation track circuits that
improves upon conventional track circuits and supports future train control. In particular, there
are three main goals for the new technology:
1. Support future methods of train control
2. Improve reliability, availability and maintainability (RAM) of the overall train control
system
3. Reduce lifecycle cost (LCC) of ownership
The scope of this concept of operations is limited to technologies that uses rail as a sensing
medium for track occupancy, broken rail detection, and other causes of an open or short circuit.

A2. References
A2.1 Code of Federal Regulations Documents
• 49 CFR 236, “Rules, Standards, and Instructions Governing the Installation, Inspection,
Maintenance, and Repair of Signal and Train Control Systems, Devices, and Appliances”
A2.2 AAR Documents
AAR Manual of Standards and Recommended Practices, Section K Part V, Standard S-9401,
“Railroad Electronics Environmental Requirements”.

A3. Definitions
Detection block A section of track with defined limits in which broken rails
or occupancies can be detected, but that is not limited to a
signal block.
Signal block A section of track with defined limits that utilizes
conventional wayside or cab signals and may refer to an
intermediate, controlled, or absolute permissive block.
Intermediate (automatic) A section of track associated with a single track circuit for
block automatic block signaling within a controlled block.
Controlled (absolute) block A section of track spanning between control points, the
movement into which is controlled by a dispatcher or control
operator and may include multiple intermediate blocks.
Moving block 1 A type of train control in which train separation is
determined dynamically according to the braking distance of
the following train.

1
Moving block may sometimes be referred to as virtual block.

13
A4. Glossary/Acronyms
CP Control Point
CTC Centralized Traffic Control
LCC Lifecycle cost
MTBF Mean time between failures
MTTR Mean time to repair
PTC Positive Train Control
RAM Reliability, availability, and maintainability
WIU Wayside Interface Unit

A5. Current System

Track circuits are one of the basic components of conventional fixed block railroad signaling
systems. Conventional signal systems typically use track circuits to perform two functions:
1. Detect occupancy and broken rails in each block
2. Communicate the status of each block to adjacent blocks
Track circuits utilize the steel rails as a path for electrical current flow. The track is separated
into electrically isolated sections, or blocks, using insulated joints in the rails to isolate each
block. A voltage is placed across the rails at one end of the block and the presence or absence of
electrical current is detected at the opposite end of the block. Electrical continuity throughout
the length of the block provides information on whether the block is clear of shunting vehicles
and broken rails or not. When a train is occupying a block, the wheels and axles of the train
shunt the rails together so there is no longer sufficient electrical current at the end of the block to
indicate the block is unoccupied. Similarly, a broken rail will result in an open circuit,
preventing any current flow through the track circuit. Consequently, track circuits are utilized to
detect train occupancy and broken rails.
In conventional signaling systems, signal aspects are determined by the status of the block over
which the signal governs movement, as indicated by the track circuit in that block, as well as the
status of adjacent blocks. Information about the status of each block is typically transmitted to
adjacent blocks through the use of coded track circuits, although there are other methods used in
some cases. With coded track circuits, the electrical signal that is transmitted through the rails is
coded using different pulse rates to indicate the signal aspect that block is currently displaying.
This information is interpreted by the equipment at the adjacent block and used in determining
the proper aspect to display for the signal governing movement over that block.
The minimum required length of the track circuit is based on braking distances at track speed and
the number of signal aspects that can be displayed. For example, with 4-aspect signaling, the
blocks are spaced such that two blocks represent no less than the distance of normal service
braking for the worst-case braking train. This creates safe separation between trains as seen in
Figure A1. If a train is detected on a given block, the signals for the preceeding blocks will be
ordered by restrictiveness: red (stop), yellow (approach), flashing yellow, and green (proceed).

14
  

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distance, with some additional warning distance and margin, from the leading train.

Figure A6. Fixed versus moving block operations

A7.2.2 Detection Blocks

The concept for next generation track circuits is to perform as detection blocks that provide
broken rail identification and roll-out protection against unexpected or unmonitored occupancies.
The future control system will use the binary track circuit status information for these functions
but not for train location determination and separation, all of which are available functions with
conventional track circuits.
Next generation track circuit technology will improve the spatial and temporal resolution of rail
breaks compared with conventional track circuit technology. The proposed next generation track
circuit method utilizes both electrical voltage and current on both ends of the detection block as
described in Section A7.1. This improves the spatial resolution as a broken rail can be detected
between a shunting axle and one end of the block. The spatial resolution of rail break location
can be improved even more significantly if the train control system uses rear-of-train location
reported by a leading train in conjunction with the next generation track circuit information
described here. Furthermore, the temporal resolution is improved in the sense that a broken rail
can be detected while there is a shunting axle in the block. Conventional technology can only
detect a broken rail once the signal block is unoccupied.
In conventional fixed block signaling systems, the minimum length of the signal block is
determined by the braking distance of the trains operating over the territory at the maximum
allowable speed. This provides safe separation of trains. In the future train control system with
next generation track circuits, safe separation of trains is provided by a moving block train
control method. Furthermore, the track circuits communicate status to trains in the area through
a wireless communications system or to a server via any of various communications media, as
opposed to only communicating status via signal aspect to trains approaching the block. In this
concept, longer detection blocks may be practical but can reduce the potential capacity gained
through the moving block train control system. Therefore, it is the maximum detection block

19
length that needs to be specified, in order to optimize the capacity of the operation with the
future train control system.
In other words, while in conventional fixed block signal systems, the minimum length of the
signal block is determined to provide safe train separation for a specified number of available
signal aspects, in this system, the maximum length of the detection block is determined to
provide the desired balance between track circuit cost and line capacity. For the next generation
track circuit, the length of the track circuit is still driven by the braking distance of the train,
including the desired warning distance:
• If the braking distance plus warning distance is less than the detection block length, train
separation is dictated by the detection blocks
• If the braking distance plus warning distance is greater than the detection block length,
train separation is dictated by the moving block train control system
Therefore, with this system, an analysis of the utilization of each specific line where it is to be
implemented and the typical braking distance plus warning distance of the trains operating on the
line should be conducted to optimize the length of the detection blocks on the line.
Other potential detection block length considerations are provided with regard to lifecycle cost in
Section A7.7.
A7.2.3 Broken Rails Between Trains
The next generation track circuit detects broken rails between trains, albeit before they
simultaneously occupy the same block. The proposed concept is for broken rails to be detected
by the received voltage signal as well as monitoring the current in the loop, as described in
Section A7.1. Monitoring the current in the loop allows a broken rail to be detected, even if an
axle is shunting in the same detection block, as long as the train is not spanning across the
broken rail. Figure A7 provides illustrations of a broken rail and how it would be detected
between trains using this concept.

20
  


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x 6DWLVIDFWRU\SHUIRUPDQFHLVDFKLHYHGZKHQWKHV\VWHPPHHWVVSHFLILFFULWHULDRU
UHTXLUHPHQWV


 • Time is a measure that allows system performance to be determined. A common usage
of time relates to the probability of functioning properly and is expressed in terms of
mean time between failure (MTBF) and mean time to repair (MTTR). In addition, track
occupancy can be quantified in terms of false positives (e.g., ballast shunts) per unit time.
• Specified operating conditions are the conditions under which the track circuits are
expected to function. These may include environmental factors (e.g., ballast conditions,
temperature) and operational conditions (e.g., rail impedance, shunting impedance).
Maintainability is the ability of next generation track circuits to be maintained, repaired, and
returned to service quickly. Both maintainability and reliability are design-dependent parameters
and relate to the continuous operation and service of track circuits. Measures of maintainability
include two general categories: corrective and preventive maintenance. Corrective maintenance
is unscheduled and is intended to restore the system to its original level of performance.
Preventive maintenance is scheduled to retain the system’s level of performance. Measured
values include mean corrective maintenance time (𝑀𝑀 � 𝑐𝑐𝑐𝑐) and mean preventative maintenance
Time (𝑀𝑀� 𝑝𝑝𝑝𝑝). The mean corrective maintenance time (𝑀𝑀 � 𝑐𝑐𝑐𝑐) is equivalent to the mean time to
repair (MTTR).
Availability provides the proportion of time that next generation track circuits are in a
functioning condition. There are different kinds of availability and, in this case, inherent
availability is the relevant parameter. Inherent availability is the probability that the system,
when used under stated conditions with ideal support, will operate satisfactorily at any point in
time. This is expressed as:
𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀
𝐴𝐴 =
𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀 + 𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀
where MTBF is the mean time between failure and MTTR is the mean time to repair. Inherit
availability does not include preventative maintenance time, logistics delay time, and
administrative delay. Instead, it is based on quantities that are under control of the designer.

A7.6 Environment
The next generation track circuit equipment will be installed in the railroad wayside
environment. The electronics associated with track circuit system will be installed in an existing
shed or cabinet, or in a track circuit-specific shelter, along the railroad right of way. Some
components of the track circuit system may be installed within a railroad track bed and may be in
direct contact with the rail.
The next generation track circuit equipment may be exposed to temperature extremes, water,
dust, fuel, solvents, etc., as well as potentially interference-producing electromagnetic fields. As
such, the track circuit equipment will need to comply with environmental requirements defined
by AAR Manual of Standards and Recommended Practices, Section K Part V, Standard S-9401,
“Railroad Electronics Environmental Requirements”.
The track circuit equipment must be installed in tamper and vandalism resistant housing per 49
CFR 236.3.

25
A7.7 Lifecycle Cost
Lifecycle cost includes all costs associated with the lifecycle of the track circuit. In general,
these costs include research and development, production and construction, operation and
support, and retirement and disposal. Next generation track circuits will emphasize the cost
trade-offs between development, production, and operation. The overall lifecycle cost can be
explored in terms of three different detection block lengths relative to signal blocks as listed
below.
Shorter lengths. Shorter length track circuits support future train control concepts, but
can increase costs, due to additional wayside equipment at the ends of each detection
block. Existing track circuit technology (e.g., audio frequency track circuits and various
patents) can be utilized to help reduce development costs. There will be additional cost
in production and operation for the additional wayside infrastructure, unless the cost per
block can be reduced.
Longer lengths. Longer length track circuits can reduce costs due to reduced wayside
infrastructure and fewer insulated joints, but would require the ability to detect a broken
rail between trains on the same block, in order to support future train control concepts.
Additional research and development cost will be necessary. It will not be required to
detect multiple trains on the same block as train separation is assumed to be controlled by
the future train control system.
Same lengths. Existing wayside infrastructure will help to limit production and
operation costs, but current track circuit lengths may not support future train control
concepts in all territories. However, the reduced production and operation costs creates
an opportunity to increase costs for research and development.
The overall lifecycle cost will need to be reviewed to determine if it is feasible and practical. It
may be possible that lifecycle cost increases can be offset with the benefits associated with
migration to future train control concepts. At that point, a cost-benefit analysis would be
necessary for the total system (i.e., analysis of the combination of costs and benefits from both
the future train control system and the next generation track circuit system).

26
Appendix B.
Request for Information – Next Generation Track Circuit Technology
55500 DOT Road
P.O. Box 11130
Pueblo, Colorado 81001-0130

Joel Kindt
Senior Engineer
Communications & Train Control

To: Prospective Offerors

Subject: Request for Information – Next Generation Track Circuit technology

On behalf of the North American railroad industry1, the Transportation Technology Center, Inc.
(TTCI), is seeking information on track circuit based systems for rail break and rollout protection
that will support future methods of train control. This effort is being funded by the Federal
Railroad Administration (FRA). TTCI is a wholly owned subsidiary of the Association of
American Railroads (AAR) with offices located at 55500 D.O.T. Road, Pueblo, Colorado,
81001.
The information obtained through this RFI will be used by the U.S. Railroads to help determine
the availability and viability of products and/or concepts that can achieve the goals outlined
below.
1. Explore track circuit-based solutions that support higher capacity train control, which will
increase capacity on existing infrastructure and/or restore capacity lost from overlay
Positive Train Control (PTC). Higher capacity train control concepts are being
investigated in which train separation will be controlled by alternative technology (e.g.,
Communications-Based Train Control) while broken rail and roll-out protection are to be
independently provided by next generation track circuits.
2. Obtain information regarding current and potential products, systems, components,
research, and/or prototypes that do or could satisfy the proposed concepts as described in
“Concept of Operation for Next Generation Track Circuits” (attached).
3. Obtain the railroad signaling community’s input on “Concept of Operation for Next
Generation Track Circuits.” The railroads are open to alternative approaches which
would also follow the Concept of Operation’s intent.
4. Engage the railroad signaling supplier community and provide direction on industry
needs for research and development of next generation track circuits that support future
methods of train control.

1
Advisory group members for this project include representatives for BNSF, CP, CSX, NS, and UP.

TTCI is a subsidiary of the Association of American Railroads

The RFI has been developed as an open method of soliciting additional information from the
railroad signaling community. Proprietary information should be clearly marked and will not be
made public. This is not a Request for Proposal nor a Request for Quotation.

Requested Information
Please respond to the following.
1. Name, address, phone number and e-mail of appropriate contact
2. What are your current and potential products, systems, components, research, and/or
prototypes that do or could satisfy some or all of the proposed concepts or objectives as
outlined in the “Concept of Operation for Next Generation Track Circuits” (attached)?
3. Please provide detail of how the products, systems, components, research, and/or
prototypes identified in item 2 satisfy some or all of the concepts or objectives outlined in
the Concept of Operations.
4. Do you have any comments or concerns regarding the railroads’ Concept of Operation?
The railroads are open to alternative approaches which would also follow the Concept of
Operations intent and the goals stated here. For example, you might offer a solution in
which the track circuit itself provides location of an occupancy (or lack thereof) and
location of a rail break within a block.
5. Please provide an estimated timeframe to bring the potential products, systems,
components, research, and/or prototypes identified in item 2 to market for use in revenue
service operation.
6. How might TTCI be able to support your development and/or testing efforts? Note that
potential external funding may become available to support these efforts.
In order to be considered for evaluation, the requested information must be received no later than
4:00 P.M. MDT, August 18, 2017.
This solicitation does not commit or obligate TTCI to pay for any cost incurred in the
preparation, presentation or submission of any offer or to procure or contract for the supplies
and/or services called for therein.
We look forward to your response. Should you have any questions, please contact:
Joel Kindt
Senior Engineer I, Communications & Train Control
Transportation Technology Center, Inc.
55500 DOT Road, Pueblo, CO 81001

Scott Gage
Senior Engineer II, Communications & Train Control
Transportation Technology Center, Inc.
55500 DOT Road, Pueblo, CO 81001

TTCI is a subsidiary of the Association of American Railroads

Joe Brosseau
Director, Communications & Train Control
Transportation Technology Center, Inc.
55500 DOT Road, Pueblo, CO 81001

Alan Polivka
Senior Scientist II, Communications & Train Control
Transportation Technology Center, Inc.
55500 DOT Road, Pueblo, CO 81001

TTCI is a subsidiary of the Association of American Railroads

Appendix C.
Research Report on Limitations of Conventional Track Circuits and
Potential Alternative Concepts for Future Methods of Train Control

C1.0 Executive Summary

The aim of this report is to investigate rail as a sensing medium by analyzing new and existing
track circuit concepts and broken rail detection methods for their ability to support a moving
block train control system. This report also explains limitations/constraints of traditional track
circuits for use with moving block train control.
It is assumed that, in a moving block train control system, the train location and safe train
spacing responsibilities are handled by the Positive Train Control (PTC) system. One of the
primary obstacles to adopting a moving block system is the existing broken rail detection
capability of current block signal systems. In order to achieve the benefit of a moving block
system, there must be a means to detect where within a block a break has occurred. While this
could be accomplished with much shorter track circuits, the cost would be prohibitive. The
existing track circuits (e.g., electronic coded track circuits) can be modified to provide broken
rail information both ahead of and behind a train when no other trains are present in the block.
There are new track circuit designs that will accomplish the same. PTC’s real-time knowledge
of front and rear of train location used in conjunction with this type of new track circuit would be
one potential solution.
A more ideal broken rail detection method for a true moving block system would be
implemented on board trains, if this could reduce overall system cost. This method would
require removal of the block signal system or a change in operating rules and FRA regulations,
to take full advantage of the moving block train control system.
C2.0 Purpose and Methods
The purpose of this report is to explore the limitations of conventional track circuits in moving
block train control operations and to evaluate the practicality of new track circuit concepts that
could support moving block train control. It is assumed that, in a moving block train control
system, the train location and safe train spacing responsibilities are handled by the Positive Train
Control (PTC) system. One of the primary obstacles to adopting a moving block system is the
existing broken rail detection capability of current block signal systems. The ability to identify
broken rails while allowing PTC to maintain reduced train separation is central to the premise of
a moving block train control system.
To conduct the evaluation, the critical obstacles for broken rail detection in a moving block
system were identified and considered. Existing track circuit concepts were evaluated. A search
of new track circuit concepts was also conducted.
C3.0 Existing Track Circuit Concepts
Conventional track circuits are typically DC coded track (e.g., Electro code, MicroTrax®, etc.).
These track circuits are simple circuits that transmit and receive from each end of a block. They
alternate time on the rail. Presently, they monitor the receive current. A broken rail will reduce
the receive current and de-energize the receiver. If the block is occupied, the current will also be

30
reduced, causing the receiver to be de-energized. A shunted track circuit and an open track
circuit yield the same result. This prevents the system from detecting a broken rail if the block is
occupied.
One potential method that leverages current equipment and potentially allows for detection of
broken rails in occupied blocks is to monitor track circuit current at the transmit end, as
described in the Next Generation Track Circuit Concept of Operations.
Audio frequency track circuits can also use the current monitoring technique described above.
Audio track circuits can be installed without insulated joints which is an advantage, but they are
limited in length and therefore require more equipment and power services.
C4.0 New Concepts for Broken Rail Detection
This section discusses examples of new concepts for broken rail detection. High Speed Rail
IDEA Project 38 (HSR-38) and patent US 9162691 B2 offer onboard broken rail detection
concepts. Onboard detection has a significant advantage because all the wayside signal
equipment can be removed. This could represent a significant annual savings for reduced
maintenance and power service costs.
C4.1 HSR-38
The system uses Time Domain Reflectometry (TDR) to look at the rail ahead of the train. TDR
is used in cable fault finders to locate broken or shunted cables. It works by injecting a signal
into a cable and analyzing the reflected signal. When the injected signal hits an impedance
mismatch, it will reflect a signal back to the transmitter. By measuring the time delay of the
reflected terminal, the distance to the fault can be determined. This works well in a cable that
has uniform impedance throughout the cable, but the signal will be less than optimal on a track
because of the variations in the track impedance.
To protect a train from passing a broken rail, the look-ahead distance of these systems must be
greater than the braking distance of any train on the particular track. The predicted look-ahead
distance of the TDR System was 1 to 2 miles, depending on track conditions. Two miles would
probably be sufficient for the vast majority of trains, but one mile would be too short for most
applications. The TDR system would require software to interpret the signal to declare that a
broken rail was in the route. Because of the significant changes in impedance throughout the
track, this software would probably be difficult to develop.
C4.2 Patent US 9162691 B2 (Cab signal method)
The Cab Signal method is based on an existing technology (Cab signals). In CAB Signaling, a
coded signal, which is transmitted through the rails, is picked up by a train, allowing the signal to
be displayed in the locomotive cab. An electromagnetic coil is positioned on the locomotive in
close proximity to the rail and works with the rail as a transformer. In the onboard broken rail
detection system described in this patent, one of the “transformers” applies a transmitted signal
into the rail, rather than being used as a receiver. The transmitter applies various frequencies.
Wayside, tuned shunts are placed across the rails with two or more alternating frequencies.
If the track is intact, the signal that is injected into the rail hits the tuned shunt and the shunt
passes its assigned frequency. Therefore the “receiver” on the same locomotive that transmits

31
the signal sees only the frequencies of the shunt(s) ahead of the train for which there is no broken
rail.
If the rail is broken, the signal stops at the break and no signal is present at the receiver. If the
track is occupied, all the frequencies are returned to the receiver.
This method will require a sizeable investment in equipping locomotives. Wayside would need a
relatively inexpensive investment in passive tuned shunts and couplers.
C4.3 Patent US 6102340 A (series aiding track circuit)
While the concept in this patent uses electronic circuitry, it is essentially a track circuit with a
battery source and relay in series connected to the rail on each end of the track circuit. They are
configured so that the batteries and relays are in series with each other (i.e., the positive will
appear on one rail in one end of the circuit and the opposite end of the circuit will have positive
on opposite rail).
Normally both batteries are in series with both relays. When the block is occupied, the rail is
shorted and the battery, relay, and train axles are in series. This results in the same current to the
relay that was present before the shunt. This is because the current from the battery is halved,
but the relay resistance is also halved.
The circuit remains energized unless there is a broken rail. This configuration can detect a
broken rail on both sides of a train. This circuit only has insulated joints on one rail, saving
installation and maintenance costs. Since it provides broken rail detection and does not drop
with train occupancy, it lends itself well to the moving block train control concept. A train
following another would only need to be restricted when a broken rail is detected.
C4.4 Patent Application US20080105791 A1 (wayside CAB)
The concept in this patent application is similar to the Cab Signal-based concept described
above. This system offers the option of wayside transmitters or locomotive onboard transmitters.
Its operation uses the same hardware on the locomotive (unless there are wayside transmitters).
The major difference is that it does not use frequency selective shunts. Instead, it uses shunts
that pass all frequencies, which presents a major problem. The length of track that is inspected is
only between the locomotive and the next upcoming shunt.
Therefore, this concept does not provide continuous monitoring capable of detecting rail breaks
at least the braking distance ahead of train. The patent addresses this by using trains that are
passing through or have passed through that section of track. In other words, it is dependent
upon the assumption that because the leading train did not detect a break, the following train
should not expect to encounter a break. The most common rail breaks occur under a train,
meaning that if a break occurred under the leading train, this system would leave the following
train unprotected.
C5.0 Conclusions
Track circuits detect occupancy and broken rail. They were first introduced to detect occupancy,
and the ability to detect broken rails was a side benefit.
The use of track circuits in their current form requires fixed block boundaries with no ability to
detect where a break occurs within a block. This restricts line capacity. The desire is to provide
a moving block train control system that allows the following train to follow by slightly more

32
than its braking distance from the rear of the leading train. PTC technology can be leveraged to
utilize a train’s braking curve and real-time location reporting to support moving block
operations. However, there is still a need for broken rail protection. New ideas were explored
for broken rail detection with higher precision of rail break location to support moving blocks.
Monitoring the track current (in addition to voltage) on existing DC coded track circuits has the
potential to accomplish this objective, as described in the Next Generation Track Circuits
Concept of Operations. Onboard solutions such as TDR and Cab are other possibilities.

33
Abbreviations and Acronyms

AG Advisory Group
CBTC Communications-Based Train Control
CN Canadian National Railway
CP Canadian Pacific Railway
CONOPS Concept of Operations
CSX CSX Corporation
DC Direct Current
FRA Federal Railroad Administration
IJ Insulated Joint
NGTC Next Generation Track Circuits
NS Norfolk Southern Corporation
PTC Positive Train Control
RFI Request for Information
RSIA ‘08 Rail Safety Improvement Act of 2008
TDR Time Domain Reflectometry
TTCI Transportation Technology Center, Inc. (the company)
UP Union Pacific Railroad

34