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APPENDIX 3 TCRP A-27 Research Task Descriptions Phase I (Tasks 16) Effort Phase I focused on the present and evolving state of the art in the shared-use environment, specifically examining train control technology, operating rules and procedures, communica- tions systems, vehicles, shared-use operations, and governance and business models of existing and planned systems. The team took a comprehensive view of "Command and Control" as including the variety of train control and communication systems, operational rules and procedures that are particularly suitable or adaptable to the shared-track environment. The emphasis was on those features that compensate for vehicle structural deficiencies by minimizing the risk of a collision in such an integrated system. While the TCRP Research Statement separated tasks 1, 2, and 3, together they comprise a unified Command and Control system and were considered in that light. Tasks 1 and 2: Current and Emerging Train Control Technologies Results of Tasks 1 and 2 were combined into one larger report for two major reasons. These are that: the line between current and emerging technologies is blurred due to the rapidity and breadth of advances in signaling and train control technology; and technology and applica- tions often involve blended and overlapping issues that are difficult to distinguish conceptu- ally. Development and deployment of train control systems are of central importance because they are designed to assist in preventing collisions between trains and between trains and other vehicles or rolling stock encroaching on the clearance envelope. The team reviewed the train control technologies used in various systems across the country and internationally and eval- uated each for its applicability in shared-use environments. A description and review of the recent enhancements to conventional signaling such as positive train control (PTC) and advanced communications-based train control (CBTC) systems, were included as examples of leading edge advances. Other activities documented the influence regulations in the selec- tion and implementation of technology; for example, adoption of grade crossing warning sys- tems; and systems designed to identify specific hazards such as derailed freight equipment or shifted loads. The team also contacted train control system suppliers and entities planning or implementing train control system improvements or enhancements, to identify prospective equipment and technology. The consolidated Task 1 and 2 report reviews the available train control technologies to determine the suitability of each for application in shared-use operations. It provides the 93

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94 Shared Use of Railroad Infrastructure with Noncompliant Public Transit Rail Vehicles: A Practitioner's Guide results of research into emerging technologies, to determine their applicability to the shared- use environment. Task output provided: A table of different signal technologies, suitability for shared-use operations, special or distinguish- ing capabilities or limitations, comparative costs, and application criteria and guidelines; A table of emerging technologies and their characteristics, anticipated costs, regulatory issues, and applicability in a shared-use environment; A technical memorandum describing possible new operating Rules and Procedures, and the poten- tial benefits and disadvantages entailed in their adoption. The report goes on to summarize how these might be combined with emerging technologies to best effect for shared-use operations; A set of guidelines for proving new integrated systems. Task 3: Command and Control Systems The FRA and FTA's shared-use policy emphasizes common operational objectives. Task 3 examined the traditional roles communication and Rules and Procedures have played to ensure a safer environment in the rail industry. The focus was on non-vital systems and methods for information transmission, the content of that information and the resulting action. The team identified communication systems and other technologies that may be applied to both freight and passenger equipment and operations. It went on to review how these systems and technolo- gies are integrated with the train control system and what methods are used to provide detec- tion, transmission of alarms and elicit responses. Technology was not the primary focus of this task. Instead the emphasis was understanding how it is used and applied by operating personnel and its influence on decision making. The team probed the niche and content of Rules and Procedures to understand their limitations as well as the administrative resources essential to support and enforce them. In a further effort it gathered information on techniques that are not dependent on train control technology, and a variety of operating procedures that can be employed to prevent collisions and increase the overall safety of shared railway environments. The resulting report for Task 3 recommends a minimum standard for Command and Con- trol systems and describes essential communications technology and Rules and Procedures. Task 4: Light Rail Passenger Vehicles for Shared-Use The team reviewed the list of vehicles in the current inventory and updated that inventory where necessary (e.g., changes in availability or specifications). Databases of existing railcars were supplemented with additional research about self-powered railcars. Further investigation revealed classes of vehicles that are in the process of being developed and that could impact shared-use services with attributes such as enhanced braking or crashworthiness that will be ben- eficial to operation in a shared-use environment. The Task 4 report identifies new or in-development railcars and vital features that may pos- itively impact the safety of shared-use operations. Task 5: Shared-Track Operations and Appendix A survey of North American shared-use operations cited in regional long-range transportation plans was conducted for the project. Transit agencies were consulted to develop an inventory of proposed shared-use operations. For each of the planned operations, the principal characteristics of the business model were described.

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TCRP A-27 Research Task Descriptions 95 Ownership of rail ROW and equipment Dispatching authority for both freight and passenger operations Division of infrastructure maintenance responsibilities Staffing and training responsibility Division of repair and emergency recovery responsibilities Allocation of regulatory reporting responsibilities Cost allocation Safety planning Public and private sector roles, if applicable Resolution of liability and insurance questions. The report output comprises a presentation of regional transportation plans and programs that incorporate shared-use operations into their concepts or strategy. The most valuable details of the inventory have recapitulated for their use in future applications of planned shared-use systems. Task 6: Phase I Interim Report The Phase I Interim Report is a narrative of the research completed and an analysis and summary of the results accomplished in Tasks 1 through 5. Incorporation of tables, lists, matri- ces and specific summary and graphical materials is intended to simplify the presentation of information in those Tasks. Phase II (Tasks 713) Effort Phase II examined financing, characteristics of freight railroads, parameters, and metrics for a business model. The resulting product is a case study and a summary of characteristics and practices of shared-use operations. Task 7: Freight Railroad Characteristics The team examined the characteristics of "real world" shared operations for Class 1, regional, and shortline freight operations. Task outcome was to provide a baseline for understanding the critical issues and concerns of the freight railroad. Ownership Approach to financing and other business issues Approach to ROW maintenance, dispatching, and transportation crewing Role of the Surface Transportation Board The Task 7 report identifies and records the principal characteristics of each of the classes of railroad (Class 1, regional, and short-line) that may affect passenger service on a shared-use system; and created a matrix of railroad characteristics affecting shared-use operations. Task 8: Business Model The consultant team developed a business model and combined information about the expe- riences of North American shared-use operations discussed in the Task 5 report, with the char- acteristics identified in Task 7. The business model includes: Approach to liability, indemnity, and insurance Ownership, rights, responsibilities and priorities, the pros and cons of public versus private ownership, and the relative ease and cost of public versus private financing

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96 Shared Use of Railroad Infrastructure with Noncompliant Public Transit Rail Vehicles: A Practitioner's Guide Dispatching authority for both freight and passenger operations, and the costs and benefits of dispatching authority residing with the passenger or freight operator Division of maintenance responsibilities Role of labor agreements and Federal labor laws Division of repair and emergency recovery responsibilities Assignment of regulatory reporting responsibilities Cost allocation The Task 8 report presents an outline business model for shared-use operations. Task 9: Business Case and Practical Guide The team developed an outline business case that could be used by new project sponsors to determine if there is a viable business case to be made. Key issues in the business case include: The costs and benefits of the impact on overall safety in the corridor, i.e., consideration of the total cost of introducing shared-use transit or not; The costs of the alternatives to shared use; The ROW has value and restrictions on its use. For example, the passenger operator's running trains restricts the current owner's opportunity to operate revenue freight trains, or to develop the property may justify compensation; Risks associated with transporting large numbers of passengers in proximity to moving trains and potentially dangerous materials should be addressed; Increases in the cost of operation and maintenance of the ROW improvements as a result of increased traffic and hours of operation must be suitably allocated; The need for waivers from the FRA to permit the passenger operation to share the track or route. There are schedules, costs, and technical impacts associated with preparation and sub- mission of a Waiver Petition to the FRA; The potential benefits to the owner from investments made to improve and provide a high- quality passenger operation that may also be advantageous to the freight railroad, through faster trip times as a result of better track quality or additional customers due to the improved service potential of the line. The Task 9 report lists and calculates both direct and indirect costs and benefits and builds a business case that can be used by agencies in support of a planned shared-use system. Task 10: Hypothetical Case Study The team defined a representative shared-use operation that is a composite of the actual and planned rail systems identified in Task 5. The case study examines several variants on a primary system to explore the sensitivity of the business case and risk analysis results to variations in sys- tem characteristics such as plant, equipment, and operations. Case Study Step 1: Define and Describe Representative Rail System Typical variants that could be explored in the case study include: Null or no system; Strict Temporal Separation; Separate systems sharing the same corridor; Concurrent (commingled) operation, true shared-use on a single track; Concurrent (commingled) operation, true shared-use on a double track.

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TCRP A-27 Research Task Descriptions 97 Case Study Step 2: Business Case Analysis Representative capital and operating costs for infrastructure and equipment and operations were derived for the null system, as defined in Step 1, and its four variants to obtain a set of life- cycle costs. Case Study Step 3: Risk Analyses A simplified risk analysis demonstrated that likely safety requirements can be met. The spe- cific activities in the risk analysis are: Define risk measures and criteria for equivalent safety; Estimate likelihood and severity parameters of each accident scenario for the case study and the variants; Exercise the FRA risk model for the base case and variants using the FRA model. The case study produced in Task 10 examines the issues related to developing a viable shared-use system. Tasks 11 and 12: Demonstration Program and Recommended Practices These task reports were combined because the criteria for program assessment and best prac- tices are not discrete or unique, but in fact overlap. The logical relationship between the two is illustrated by consolidating the information. The primary product of these tasks elaborates a clear set of criteria for evaluating programs to determine eligibility for a demonstration program. Results of the previous tasks--particularly those in Tasks 1, 2, 3, 4, 9, and 10--are used to develop a set of characteristics and criteria that can define a shared-use system. Business case Operating model Technology Regulatory framework The combined report for Tasks 11 and 12 recommends characteristics and criteria against which programs can be measured to determine eligibility for a demonstration program. It pro- vides a "Best Practices" handbook for planning and establishing a shared-use operation, with specific guidelines, practical strategies, technical details, and factual information. The report also notes shared or competing interests and the multiple parties to planning and implemen- tation of shared-use operations. Task 13: Final Report--Part II (13.) Prepare (1) a final report that documents the entire research effort and (2) a stand- alone, user-friendly guide that explains the business case; business model(s); and technologies, operating procedures, and other techniques that could support a shared-use operation using non-FRA-compliant public transit vehicles. The guide should include descriptions and sources of real-world examples of these applications. The guide should also identify the advantages and disadvantages and the issues and barriers of shared-use operation