NCHRP Report 657: Guidebook for Implementing Passenger Rail Service on Shared Passenger and Freight Corridors

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CHAPTER 4 Content of Shared-Use Access and Operating Agreements 4.1 Introduction This section discusses the content of typical shared-use agreements between host and ten- ant railroads sharing a rail corridor. In many cases, the agreements must recognize the roles of all parties involved in providing passenger rail service over a rail corridor, such as Amtrak in the case of an intercity service or a train operations contractor in the case of a commuter service. This section is written from the perspective of a passenger rail agency implementing and developing an Amtrak intercity or commuter passenger rail service, but in most cases not planning to directly manage train operations. Passenger rail agencies must enter into multiple agreements with different parties to establish a service, and those parties often must enter into agreements with each other. Specifically this section covers shared-use agreements from the point of view of a state or regional passenger rail agency, such as the NNEPRA responsible for the Downeaster service, the California Joint Powers Authorities (JPAs) responsible for the Caltrain commuter service and the Capitol Corridor Amtrak services, or METRA commuter rail services in Chicago. Generally roles and responsibilities for an Amtrak-operated intercity service differ from those for a commuter rail ser- vice, thus separate discussions are provided. Also included are the roles of federal government agen- cies such as the FRA and the STB with regard to negotiations and agreements, not including detailed requirements for financial grant or loan applications to the FRA or the FTA. Section 4.2 discusses the overall framework of organizations and relationships needed to implement and operate a passenger rail service and some general points regarding the roles and responsibilities of the different parties. Section 4.3 discusses specific details for Amtrak intercity service, including the roles and responsibilities of Amtrak, the host railroad(s), and the passenger rail agency. This subsection also includes: � Definition of what services are to be provided by each party, especially including Amtrak's responsibilities, and charges for each service. � Agreement contents relating to capacity improvements and track upgrades on the corridor to accommodate the planned passenger rail service. � Agreement contents relating to service-specific performance (journey times, OTP), including incentives and penalties. Section 4.4 discusses specific details for commuter rail services, including the roles of the com- muter rail agency, the host railroads, and O&M contractors. This subsection includes: � Definitions of what services are to be provided by each party, including their relationships with each other as well as with the commuter rail agency. 52

Table of Contents

Front Matter R1-R11

1.1 Introduction 1-1

1.2.1 Historical Background 2-3

1.2.2 The Present Situation 4-4

1.3.1 Scope 5-5

1.3.2 Purpose 6-6

1.3.3 Content 7-8

2.1.1 Content of Section 9-9

2.1.2 Passenger Rail Development Timeline 10-10

2.2.2 Understanding the Railroad Industry 11-11

2.2.4 Role of Long-Term Planning 12-12

2.2.5 Is the Proposed Service Amtrak Intercity or Commuter? 13-15

2.2.6 Educating Public Officials 16-17

2.3.1 Introduction 18-19

2.3.2 The Feasibility Study 20-21

2.4 Substantive Negotiations 22-22

2.4.1 Defining What the Passenger Agency Needs 23-24

2.4.2 The Access Agreement and Infrastructure Improvements 25-27

2.4.3 Capital and Operations and Maintenance Costs 28-28

2.5.1 The National Liability Situation and Amtrak 29-29

2.5.2 Non-Amtrak Passenger Rail Service Operators and Agencies 30-32

3.2.1 Simulation and Modeling Overview 33-35

3.2.2 Choice and Availability of Models 36-36

3.2.3 Using Simulation and Modeling in Rail Corridor Planning and Negotiations 37-39

3.3.1 Right-of-Way Access or Acquisition 40-40

3.3.2 Estimating Capital Costs 41-41

3.3.3 Sharing Infrastructure Capital Costs 42-42

3.3.4 Rolling Stock Capital Costs 43-43

3.3.5 Signaling and Train Control Capital Costs 44-44

3.4.1 Overview 45-45

3.4.2 Railroad Operations and Maintenance Cost Categories 46-47

3.4.3 Cost-Sharing and Allocation Approaches 48-48

3.4.4 Operations and Maintenance Cost Analysis 49-49

3.4.5 Application to Intercity and Commuter Operations 50-51

4.1 Introduction 52-52

4.2 Types of Agreements Needed to Implement Passenger Rail Service 53-55

4.2.2 Introduction to Commuter Service 56-56

4.3.1 Introduction 57-57

4.3.2 Inputs to and Preparations for Finalizing the Agreements 58-59

4.3.3 Agreements between Amtrak and the Freight Railroad 60-60

4.3.4 An Agreement between the Passenger Rail Agency and Amtrak 61-61

4.3.5 Agreement between the Passenger Rail Agency and the Host Railroad(s) 62-63

4.4.1 Basic Structure of a Commuter Rail Service on Shared Track 64-64

4.4.2 Inputs to and Preparations for Finalizing Commuter Rail Operating Agreements 65-66

4.4.3 Access Alternatives 67-68

4.4.4 Agreement with the Host Freight Railroad 69-69

4.4.5 Operations and Maintenance Services Agreements 70-71

4.5.2 Minor Agreement Revisions to Provide a Limited Service Addition or Performance Improvement 72-72

4.5.4 Managing Change with a Passenger Railroad Host and Freight Tenant 73-73

5.1 Introduction 74-74

5.2.1 PRIIA Requirements and FRA, STB, and Amtrak Actions on Intercity Passenger Service Quality 75-75

5.2.3 Agreement Revisions and Updates 76-76

5.3 Specific Approaches to Managing Amtrak Intercity Services 77-78

5.4 Specific Approaches to Managing Commuter Services 79-79

5.5 Case Studies in Service Management 80-82

Acts of Congress (reverse chronological order) 83-83

Federal Government Regulations and Industry Technical Standards 84-84

Capacity and Cost Analysis 85-85

Other Shared-Use Issues, Including Liability and Safety 86-86

Miscellaneous 87-88

Acronyms 89-91

Appendix A - The U.S. Railroad Industry 92-108

Appendix B - U.S. Railroad Legal and Institutional Arrangements 109-126

Appendix C - Railroad Safety Regulations 127-137

Appendix D - Case Studies of Passenger Rail Service Developments and Processes 138-169

Abbreviations used without definitions in TRB publications 170-170