Below are the first 10 and last 10 pages of uncorrected machine-read text (when available) of this chapter, followed by the top 30 algorithmically extracted key phrases from the chapter as a whole.
Intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text on the opening pages of each chapter.
Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.
Do not use for reproduction, copying, pasting, or reading; exclusively for search engines.
OCR for page R1
NATIONAL
NCHRP REPORT 657
COOPERATIVE
HIGHWAY
RESEARCH
PROGRAM
Guidebook for Implementing
Passenger Rail Service on Shared
Passenger and Freight Corridors
OCR for page R2
TRANSPORTATION RESEARCH BOARD 2010 EXECUTIVE COMMITTEE*
OFFICERS
CHAIR: Michael R. Morris, Director of Transportation, North Central Texas Council of Governments, Arlington
VICE CHAIR: Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore
EXECUTIVE DIRECTOR: Robert E. Skinner, Jr., Transportation Research Board
MEMBERS
J. Barry Barker, Executive Director, Transit Authority of River City, Louisville, KY
Allen D. Biehler, Secretary, Pennsylvania DOT, Harrisburg
Larry L. Brown, Sr., Executive Director, Mississippi DOT, Jackson
Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA
William A.V. Clark, Professor, Department of Geography, University of California, Los Angeles
Nicholas J. Garber, Henry L. Kinnier Professor, Department of Civil Engineering, and Director, Center for Transportation Studies, University of
Virginia, Charlottesville
Jeffrey W. Hamiel, Executive Director, Metropolitan Airports Commission, Minneapolis, MN
Edward A. (Ned) Helme, President, Center for Clean Air Policy, Washington, DC
Randell H. Iwasaki, Director, California DOT, Sacramento
Adib K. Kanafani, Cahill Professor of Civil Engineering, University of California, Berkeley
Susan Martinovich, Director, Nevada DOT, Carson City
Debra L. Miller, Secretary, Kansas DOT, Topeka
Pete K. Rahn, Director, Missouri DOT, Jefferson City
Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson
Tracy L. Rosser, Vice President, Corporate Traffic, Wal-Mart Stores, Inc., Mandeville, LA
Steven T. Scalzo, Chief Operating Officer, Marine Resources Group, Seattle, WA
Henry G. (Gerry) Schwartz, Jr., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO
Beverly A. Scott, General Manager and Chief Executive Officer, Metropolitan Atlanta Rapid Transit Authority, Atlanta, GA
David Seltzer, Principal, Mercator Advisors LLC, Philadelphia, PA
Daniel Sperling, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute of Transportation Studies; and Interim
Director, Energy Efficiency Center, University of California, Davis
Douglas W. Stotlar, President and CEO, Con-Way, Inc., Ann Arbor, MI
C. Michael Walton, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin
EX OFFICIO MEMBERS
Thad Allen (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of Homeland Security, Washington, DC
Peter H. Appel, Administrator, Research and Innovative Technology Administration, U.S.DOT
J. Randolph Babbitt, Administrator, Federal Aviation Administration, U.S.DOT
Rebecca M. Brewster, President and COO, American Transportation Research Institute, Smyrna, GA
George Bugliarello, President Emeritus and University Professor, Polytechnic Institute of New York University, Brooklyn; Foreign Secretary,
National Academy of Engineering, Washington, DC
Anne S. Ferro, Administrator, Federal Motor Carrier Safety Administration, U.S.DOT
LeRoy Gishi, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior, Washington, DC
Edward R. Hamberger, President and CEO, Association of American Railroads, Washington, DC
John C. Horsley, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC
David T. Matsuda, Deputy Administrator, Maritime Administration, U.S.DOT
Victor M. Mendez, Administrator, Federal Highway Administration, U.S.DOT
William W. Millar, President, American Public Transportation Association, Washington, DC
Cynthia L. Quarterman, Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT
Peter M. Rogoff, Administrator, Federal Transit Administration, U.S.DOT
David L. Strickland, Administrator, National Highway Traffic Safety Administration, U.S.DOT
Joseph C. Szabo, Administrator, Federal Railroad Administration, U.S.DOT
Polly Trottenberg, Assistant Secretary for Transportation Policy, U.S.DOT
Robert L. Van Antwerp (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC
*Membership as of February 2010.
OCR for page R3
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
NCHRP REPORT 657
Guidebook for Implementing
Passenger Rail Service
on Shared Passenger
and Freight Corridors
Alan J. Bing
Eric W. Beshers
Megan Chavez
ICF INTERNATIONAL
Fairfax, VA
David P. Simpson
DAVID SIMPSON CONSULTANTS, LLC
St. Paul, MN
Emmanuel S. "Bruce" Horowitz
ESH CONSULT
Alexandria, VA
Walter E. Zullig, Jr.
Ossining, NY
Subscriber Categories
Planning and Forecasting · Public Transportation · Railroads
Research sponsored by the American Association of State Highway and Transportation Officials
in cooperation with the Federal Highway Administration
TRANSPORTATION RESEARCH BOARD
WASHINGTON, D.C.
2010
www.TRB.org
OCR for page R4
NATIONAL COOPERATIVE HIGHWAY NCHRP REPORT 657
RESEARCH PROGRAM
Systematic, well-designed research provides the most effective Project 08-64
approach to the solution of many problems facing highway ISSN 0077-5614
administrators and engineers. Often, highway problems are of local ISBN 978-0-309-15470-3
interest and can best be studied by highway departments individually Library of Congress Control Number 2010927496
or in cooperation with their state universities and others. However, the © 2010 National Academy of Sciences. All rights reserved.
accelerating growth of highway transportation develops increasingly
complex problems of wide interest to highway authorities. These
problems are best studied through a coordinated program of COPYRIGHT INFORMATION
cooperative research.
Authors herein are responsible for the authenticity of their materials and for obtaining
In recognition of these needs, the highway administrators of the written permissions from publishers or persons who own the copyright to any previously
American Association of State Highway and Transportation Officials published or copyrighted material used herein.
initiated in 1962 an objective national highway research program Cooperative Research Programs (CRP) grants permission to reproduce material in this
employing modern scientific techniques. This program is supported on publication for classroom and not-for-profit purposes. Permission is given with the
understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA,
a continuing basis by funds from participating member states of the
FMCSA, FTA, or Transit Development Corporation endorsement of a particular product,
Association and it receives the full cooperation and support of the method, or practice. It is expected that those reproducing the material in this document for
Federal Highway Administration, United States Department of educational and not-for-profit uses will give appropriate acknowledgment of the source of
any reprinted or reproduced material. For other uses of the material, request permission
Transportation.
from CRP.
The Transportation Research Board of the National Academies was
requested by the Association to administer the research program
because of the Board's recognized objectivity and understanding of
NOTICE
modern research practices. The Board is uniquely suited for this
purpose as it maintains an extensive committee structure from which The project that is the subject of this report was a part of the National Cooperative Highway
Research Program, conducted by the Transportation Research Board with the approval of
authorities on any highway transportation subject may be drawn; it the Governing Board of the National Research Council.
possesses avenues of communications and cooperation with federal,
The members of the technical panel selected to monitor this project and to review this
state and local governmental agencies, universities, and industry; its report were chosen for their special competencies and with regard for appropriate balance.
relationship to the National Research Council is an insurance of The report was reviewed by the technical panel and accepted for publication according to
procedures established and overseen by the Transportation Research Board and approved
objectivity; it maintains a full-time research correlation staff of
by the Governing Board of the National Research Council.
specialists in highway transportation matters to bring the findings of
The opinions and conclusions expressed or implied in this report are those of the
research directly to those who are in a position to use them. researchers who performed the research and are not necessarily those of the Transportation
The program is developed on the basis of research needs identified Research Board, the National Research Council, or the program sponsors.
by chief administrators of the highway and transportation departments The Transportation Research Board of the National Academies, the National Research
and by committees of AASHTO. Each year, specific areas of research Council, and the sponsors of the National Cooperative Highway Research Program do not
needs to be included in the program are proposed to the National endorse products or manufacturers. Trade or manufacturers' names appear herein solely
because they are considered essential to the object of the report.
Research Council and the Board by the American Association of State
Highway and Transportation Officials. Research projects to fulfill these
needs are defined by the Board, and qualified research agencies are
selected from those that have submitted proposals. Administration and
surveillance of research contracts are the responsibilities of the National
Research Council and the Transportation Research Board.
The needs for highway research are many, and the National
Cooperative Highway Research Program can make significant
contributions to the solution of highway transportation problems of
mutual concern to many responsible groups. The program, however, is
intended to complement rather than to substitute for or duplicate other
highway research programs.
Published reports of the
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
are available from:
Transportation Research Board
Business Office
500 Fifth Street, NW
Washington, DC 20001
and can be ordered through the Internet at:
http://www.national-academies.org/trb/bookstore
Printed in the United States of America
OCR for page R5
OCR for page R6
COOPERATIVE RESEARCH PROGRAMS
CRP STAFF FOR NCHRP REPORT 657
Christopher W. Jenks, Director, Cooperative Research Programs
Crawford F. Jencks, Deputy Director, Cooperative Research Programs
Lori L. Sundstrom, Senior Program Officer
Megan A. Chamberlain, Senior Program Assistant
Eileen P. Delaney, Director of Publications
Natalie Barnes, Editor
NCHRP PROJECT 08-64 PANEL
Field of Transportation Planning--Area of Forecasting
Randall E. Wade, HNTB Corporation, Madison, WI (Chair)
John D. Bell, New York State DOT, Albany, NY
D. C. Agrawal, DC Agrawal Consulting, LLC, Princeton, NJ
Clem Bomar, California DOT, Sacramento, CA
H. Craig Lewis, Montgomery, McCracken, Walker & Rhoads, LLP, Philadelphia, PA
Rodney P. Massman, Missouri DOT, Jefferson City, MO
Thomas Mulligan, Union Pacific Railroad, Omaha, NE
Anthony D. Perl, Simon Fraser University, Vancouver, BC
Paul E. Vilter, AMTRAK, Philadelphia, PA
Karen McClure, FRA Liaison
Venkat Pindiprolu, FTA Liaison
Edward L. Strocko, FHWA Liaison
Karen E. White, FHWA Liaison
Elaine King, TRB Liaison
AUTHOR ACKNOWLEDGMENTS
The research reported herein was performed under NCHRP Project 8-64 by ICF International. ICF
International is the contractor for this study, with assistance from TranSystems Corporation and Walter
E. Zullig Jr., Esq.
Dr. Alan J. Bing, Technical Specialist at ICF International, is the Project Director and co-Principal Inves-
tigator. The other authors of this report are David P. Simpson, Senior Transportation Planner, independent
consultant for TranSystems and co-Principal Investigator; Emmanuel S. "Bruce" Horowitz, independent
consultant for TranSystems; Eric W. Beshers, Senior Transport Economist, independent consultant for ICF
International; Walter E. Zullig Jr., an independent transportation attorney; and Megan Chavez, Analyst at
ICF International. The work was done under the general supervision of Dr. Bing and Mr. Simpson.
OCR for page R7
FOREWORD
By Lori L. Sundstrom
Staff Officer
Transportation Research Board
This Guidebook will aid states in developing publicprivate partnerships with private
freight railroads to permit operation of passenger services over shared-use rail corridors.
The Guidebook should encourage the broad acceptance of improved principles, processes,
and methods to support agreements on access, allocation of operation and maintenance
costs, capacity allocation, operational issues, future responsibilities for infrastructure
improvements, and other fundamental issues that will affect the ultimate success of shared-
use passenger and freight agreements between public and private railroad stakeholders.
The United States is experiencing increasing congestion on the nation's highways, as well
as capacity constraints on the national rail system. Higher gasoline prices and concerns
about greenhouse gas emissions are increasing public demand for energy-efficient trans-
portation alternatives. Faced with these challenges and increased emphasis on multi-modal
planning under federal transportation statutes (i.e., ISTEA, TEA-21, and SAFETEA-LU),
state interest in intercity passenger and commuter rail development has grown significantly
in recent years.
Thirteen states support Amtrak service and thirty-eight states have developed or partici-
pated in developing plans for enhanced intercity passenger rail service. A growing number
of commuter rail systems operate on lines of various ownership configurations (e.g., freight
railroad, county, city, state, and transit authorities). AASHTO's report Intercity Passenger
Rail Transportation (January 2003) documents $17 billion in state-defined infrastructure
and equipment needs over 6 years and another $43 billion in needs over the next 2 decades.
Eighty percent of these needs involve investments in privately owned freight corridors. Sev-
eral states have well-established rail passenger programs through which capital and operat-
ing funds are provided to ensure intercity, commuter, and transit services. Other states are
beginning to implement rail passenger service plans and projects. Most of these rail services
will operate on freight corridors. The concept of passenger and freight operations co-existing
in shared-use corridors is central to further development of state-supported passenger rail
service in the United States. All current Amtrak service is on shared-use corridors. Virtually
all plans for enhanced passenger rail service, both intercity and commuter rail, developed
by states are based on the shared-use corridor concept.
Recent federal legislation--including the American Recovery and Investment Act of
2009, the Capital Assistance to StatesIntercity Passenger Rail Service provided for in the
2008 Department of Transportation Appropriations Act, and the Passenger Rail Investment
and Improvement Act of 2008--is providing significant new federal funding for passenger
rail service, prompting a number of states to expand or initiate service. This new funding is
coming at a time when there is no broadly accepted methodology for conducting the long,
OCR for page R8
costly, and often mutually frustrating negotiating process with freight railroads in an equi-
table manner that ensures (1) that the public interest is served and (2) that private freight
railroads have a reasonable incentive for entering into such agreements. The lack of such a
methodology can increase the likelihood of significant delay or can even jeopardize project
implementation.
Under NCHRP Project 08-64, "A Guidebook on Improved Principles, Processes, and
Methods for Shared-Use Passenger and Freight Rail Corridors," ICF International was
asked to develop a guidebook that would assist states in understanding the variables, chal-
lenges, and opportunities associated with starting or expanding passenger rail service on
track owned by a freight railroad in a shared-use corridor. To meet the project objectives,
the research team examined extant literature; reviewed current negotiation practices used
by public and private rail entities; described factors that contribute to successful agreements;
and prepared case studies that demonstrate the application of effective principles, processes,
and methods. This Guidebook should be of immediate use to state rail programs as they
determine how best to approach this highly complex situation.
OCR for page R9
CONTENTS
1 Chapter 1 Introduction, Background, and Purpose
1 1.1 Introduction
2 1.2 Background and Present Situation
2 1.2.1 Historical Background
4 1.2.2 The Present Situation
5 1.3 Scope, Purpose, and Content
5 1.3.1 Scope
6 1.3.2 Purpose
7 1.3.3 Content
9 Chapter 2 Getting Started and Negotiations
9 2.1 Introduction
9 2.1.1 Content of Section
10 2.1.2 Passenger Rail Development Timeline
11 2.2 Planning and Preparation
11 2.2.1 Introduction
11 2.2.2 Understanding the Railroad Industry
12 2.2.3 Vision for the Service and Long-Term Planning
12 2.2.4 Role of Long-Term Planning
13 2.2.5 Is the Proposed Service Amtrak Intercity or Commuter?
16 2.2.6 Educating Public Officials
18 2.3 Initial Discussions with the Host Railroad
18 2.3.1 Introduction
20 2.3.2 The Feasibility Study
22 2.4 Substantive Negotiations
23 2.4.1 Defining What the Passenger Agency Needs
25 2.4.2 The Access Agreement and Infrastructure Improvements
28 2.4.3 Capital and Operations and Maintenance Costs
29 2.5 The Liability Issue
29 2.5.1 The National Liability Situation and Amtrak
30 2.5.2 Non-Amtrak Passenger Rail Service Operators and Agencies
33 Chapter 3 Analysis and Modeling
33 3.1 Introduction
33 3.2 Operations Simulation and Capacity Modeling
33 3.2.1 Simulation and Modeling Overview
36 3.2.2 Choice and Availability of Models
37 3.2.3 Using Simulation and Modeling in Rail Corridor
Planning and Negotiations
40 3.3 Capital Investment Planning, Costing, and Cost Sharing
40 3.3.1 Right-of-Way Access or Acquisition
41 3.3.2 Estimating Capital Costs
OCR for page R10
42 3.3.3 Sharing Infrastructure Capital Costs
43 3.3.4 Rolling Stock Capital Costs
44 3.3.5 Signaling and Train Control Capital Costs
45 3.4 Operations and Maintenance Costs and Cost Sharing
45 3.4.1 Overview
46 3.4.2 Railroad Operations and Maintenance Cost Categories
48 3.4.3 Cost-Sharing and Allocation Approaches
49 3.4.4 Operations and Maintenance Cost Analysis
50 3.4.5 Application to Intercity and Commuter Operations
52 Chapter 4 Content of Shared-Use Access
and Operating Agreements
52 4.1 Introduction
53 4.2 Types of Agreements Needed to Implement Passenger Rail Service
56 4.2.1 Introduction to Amtrak Intercity Service
56 4.2.2 Introduction to Commuter Service
57 4.3 Amtrak Intercity Service
57 4.3.1 Introduction
58 4.3.2 Inputs to and Preparations for Finalizing the Agreements
60 4.3.3 Agreements between Amtrak and the Freight Railroad
61 4.3.4 An Agreement between the Passenger Rail Agency and Amtrak
62 4.3.5 Agreement between the Passenger Rail Agency
and the Host Railroad(s)
64 4.4 Commuter Service (Non-Amtrak Intercity)
64 4.4.1 Basic Structure of a Commuter Rail Service on Shared Track
65 4.4.2 Inputs to and Preparations for Finalizing Commuter Rail
Operating Agreements
67 4.4.3 Access Alternatives
69 4.4.4 Agreement with the Host Freight Railroad
70 4.4.5 Operations and Maintenance Services Agreements
72 4.5 Managing Change in Agreements
72 4.5.1 Major Revision to Provide for a Substantial Increment
in Capacity and/or Service Performance
72 4.5.2 Minor Agreement Revisions to Provide a Limited Service
Addition or Performance Improvement
73 4.5.3 Day-to-Day Service Variations
73 4.5.4 Managing Change with a Passenger Railroad Host
and Freight Tenant
74 Chapter 5 Ongoing Management of Shared-Use Operations
74 5.1 Introduction
75 5.2 Setting the Framework and General Points
for Ongoing Service Management
75 5.2.1 PRIIA Requirements and FRA, STB and Amtrak Actions
on Intercity Passenger Service Quality
76 5.2.2 Performance Monitoring, and Service Quality
76 5.2.3 Agreement Revisions and Updates
77 5.3 Specific Approaches to Managing Amtrak Intercity Services
79 5.4 Specific Approaches to Managing Commuter Services
80 5.5 Case Studies in Service Management
OCR for page R11
83 Bibliography
83 Acts of Congress
84 Government Accountability Office (GAO) Reports
84 Federal Government Regulations and Industry Technical Standards
85 Capacity and Cost Analysis
86 Passenger Rail Projects and Project Planning
86 Other Shared-Use Issues, Including Liability and Safety
87 Miscellaneous
89 Acronyms
A-1 Appendix A The U.S. Railroad Industry
B-1 Appendix B U.S. Railroad Legal and Institutional
Arrangements
C-1 Appendix C Railroad Safety Regulations
D-1 Appendix D Case Studies of Passenger Rail Service
Developments and Processes
