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Content of Shared-Use Access and Operating Agreements 53 Agreement contents relating to track improvements, additional capacity, and other capital investments to be accomplished before service startup and in subsequent years as ridership and the number of planned trips grows. Agreements for day-to-day operations (including performance metrics, standards, and incentives and penalties) and any time-of-day operational restrictions to be observed by host or tenant. Agreement on sharing of capital and O&M costs. Section 4.5 summarizes the provisions in passenger rail agreements concerned with managing change over time as demand for passenger and freight rail service evolves, and as funding for pas- senger rail capital and operations expenses varies. 4.2 Types of Agreements Needed to Implement Passenger Rail Service This section discusses the various agreements between participating parties involved in providing a passenger rail service. The discussion assumes that the proposed service is a new initiative for the passenger rail agency and host railroad and will operate over a route where there is no existing service of the same type. In many cases, this assumption will not be true-- existing arrangements may be in place that can be modified or adapted for the new service. However, the completely new service on a new route is likely to be the most complex situa- tion for an agency to process. Figure 4-1 illustrates the different hosttenant pairings that can exist, each of which will require an agreement between the parties spelling out rights and responsibilities. Tables 4-1 and 4-2 expand on Figure 4-1 to identify all agreements that a sponsoring passenger rail agency must ensure are in place for a specific passenger rail service, including agreements with host passenger or freight railroads, Amtrak, and other providers of passenger rail O&M services. If an individual service travels over rail territory owned by more than one railroad, then a set of agreements specific to each host railroad will be required. The diversity of pos- sible relationships, combined with large variations in passenger and freight traffic levels, means that almost every shared-use situation is unique, and agreements must be negotiated for each particular set of circumstances. Passenger Rail Services (all types) Amtrak Commuter Intercity State- & Local- Amtrak-Owned Amtrak-Owned Freight Railroad Owned ROW, Freight Railroad State-Owned ROW--Amtrak ROW, Freight, Host, Passenger Commuter Host, Host, Amtrak ROW, Amtrak, Host, Commuter, Commuter Tenant Freight and/or Tenant Freight Tenants Freight Tenants Tenants Amtrak Tenants Figure 4-1. Passenger rail hosttenant relationships.

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54 Guidebook for Implementing Passenger Rail Service on Shared Passenger and Freight Corridors Table 4-1. Types of Amtrak intercity rail service agreements. Right-of-Way Agreements with Owner (Host) Freight Railroad Amtrak Agreements Agreements with Other Parties Freight Amtrak contracts with With PRA for all O&M services PRA cannot contract with other Railroad freight railroad for access to for a defined service and fare parties for passenger railroad corridor, dispatching and structure. operations over freight track infrastructure maintenance, With Amtrak concurrence, using Amtrak access rights. relying on Amtrak rights PRA may provide equipment PRA may contract separately and operating agreements. or pay for rehabilitation of out- for equipment maintenance PRA1 may contract directly of-service cars. (rare) or "amenity" services, with freight railroad for Amtrak and PRA may need e.g., on-board food service, capital improvements for FRA safety approval for and station services. capacity and performance, aspects of proposed service, and added ROW e.g. to use non-FRA-compliant maintenance contributions. cars or locomotives. The infrastructure owner (freight railroad) would apply to the FRA for approval of PTC plans and installations for passenger service. Amtrak Amtrak usually has With PRA for all O&M As above, except that agreements with freight RR services, including ROW theoretically a PRA could to permit access for freight access. choose to contract for an service on its territory (e.g., With Amtrak concurrence, intercity service independently, on NEC). PRA not usually PRA may provide equipment but then could not rely on involved. or pay for rehabilitation of out- Amtrak rights for freight of-service cars. railroad access. State and PRA have access Amtrak can exercise statutory As above. Local Agency agreement with freight right of access for existing railroad for freight service services. PRA will normally over state or locally owned contract with Amtrak for O&M track for state-supported services. 1 State, regional, or local passenger rail agency. In almost all of these different arrangements, the passenger rail agency provides the glue that holds everything together but rarely takes direct responsibility for O&M of a rail service. The contractual relationships needed to provide a specific passenger rail service are a function of a number of factors that together determine which of the different contract arrangements sum- marized in Tables 4-1 and 4-2 apply. The overriding factor is whether the service will be an Amtrak intercity service or a commuter service. For commuter service, the factors that will help define the general contractual approach are: Whether the commuter rail agency intends to set up an operating entity itself, or plans to contract with a service provider to operate and maintain the service. O&M services will include track and infrastructure maintenance if operating over track owned or leased by the agency. The O&M contractor could be Amtrak, the freight railroad, or an independent commercial firm. Whether the commuter rail agency must invest in infrastructure upgrades to increase capacity, track quality, or signal system capabilities to support the desired passenger service frequency, journey times, schedules, and OTP. Whether the commuter rail agency is considering contracting with the host freight railroad for services other than access, infrastructure maintenance, and dispatching.

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Content of Shared-Use Access and Operating Agreements 55 Table 4-2. Types of commuter rail service agreements. Right-of-Way Agreements with Owner (Host) Freight Railroad Amtrak Agreements Agreements with Other Parties Freight Contract with CRA1 for O&M services if CRA selects CRA may contract for train Railroad access, dispatching, and Amtrak as the contract crew, on-board services, and ROW inspection and operator. equipment inspection and maintenance. Amtrak would not be involved maintenance with a single or CRA may contract with in developing agreements multiple commercial firms. freight railroad for train between a CRA and a host CRA normally contracts with a crew and other O&M freight railroad, even if Amtrak car builder for provision of services if both parties so is the selected contract equipment (cars and desire. operator. locomotives) for the proposed service. In some cases, contract includes ongoing equipment maintenance services. Amtrak Amtrak may have CRA must contract with Amtrak would not be involved agreements with freight Amtrak for access and in agreements with other railroad to permit access for infrastructure maintenance. parties, unless Amtrak freight service on its CRA may select Amtrak for subcontracts selected O&M territory (e.g., on NEC). train operations and/or services to other parties. CRA not usually involved, equipment maintenance CRA normally contracts with a but could affect capacity. services. car builder for provision of equipment (cars and locomotives) for the proposed service. In some cases, contract includes ongoing equipment maintenance services. State and Agreement between CRA CRA may select Amtrak to be CRAs frequently contract for Local Agency and freight railroad to O&M contractor, or contractor O&M services with commercial permit access for freight for selected O&M services by firms (i.e., other than Amtrak service in state- and local- mutual agreement. or a host freight railroad) for all owner territory. O&M services, including track CRA may contract with maintenance. A single freight railroad for selected "bundled" contract may be O&M services if both used or separate contracts parties so desire. with different parties for each service. 1 State, regional, or local commuter rail agency. If contracting for O&M, whether to bundle all services in a single contract or to contract sep- arately for each kind of service (e.g., train operations, equipment maintenance, and track maintenance). For intercity service, the factors that will help define the general contractual approach are: Whether the passenger rail agency must invest in infrastructure upgrades to increase capacity, track quality, or signal system capabilities to support the desired passenger service frequency, journey times, schedules, and OTP. Whether the passenger rail agency expects or is able to rely on Amtrak to supply equipment for the service or must purchase or lease passenger cars independently. Once the passenger rail agency has selected a general approach to the provision of the service within the constraints applicable to the type of service and host railroad, the agency can move for- ward with developing the specific agreements. The following paragraphs provide an introduction to the principal relationships, concentrating on those where a freight railroad will host a proposed passenger service.