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N A T I O N A L C O O P E R A T I V E R A I L R E S E A R C H P R O G R A M NCRRP REPORT 6 Guidebook for Intercity Passenger Rail Service and Development Curtis A. Morgan Jeffery E. Warner Texas a&M TransporTaTion insTiTuTe College Station, TX Emmanuel S. âBruceâ Horowitz esH ConsulT Alexandria, VA David P. Simpson DaviD p. siMpson ConsulTanTs, llC St. Paul, MN Benjamin Sperry oHio universiTy Athens, OH Walter E. Zullig, Jr. offiCe of WalTer e. Zullig, Jr., esq. New York, NY Subscriber Categories Administration ⢠Passenger Transportation ⢠Railroads TRANSPORTAT ION RESEARCH BOARD WASHINGTON, D.C. 2016 www.TRB.org Research sponsored by the Federal Railroad Administration
NATIONAL COOPERATIVE RAIL RESEARCH PROGRAM The National Cooperative Rail Research Program (NCRRP) conducts applied research on problems important to freight, intercity, and commuter rail operators. Research is necessary to solve common operating problems, adapt appropriate new technologies from other industries, and introduce innovations into the rail industry. NCRRP carries out applied research on problems that are shared by freight, intercity, and commuter rail operating agencies and are not being adequately addressed by existing federal research programs. NCRRP undertakes research and other technical activities in various rail subject areas, including design, construction, maintenance, operations, safety, security, finance and economics, policy, planning, human resources, and administration. NCRRP was authorized in October 2008 as part of the Passenger Rail Investment and Improvement Act of 2008 (PL 100-432, Division B). The Program is sponsored by the Federal Railroad Administration (FRA) and managed by the National Academies of Sciences, Engineering, and Medi- cine, acting through its Transportation Research Board (TRB), with pro- gram oversight provided by an independent governing board (the NCRRP Oversight Committee [ROC]) including representatives of rail operating agencies. NCRRP carries out applied research on problems that address, among other matters, (1) intercity rail passenger and freight rail services, includ- ing existing rail passenger and freight technologies and speeds, incremen- tally enhanced rail systems and infrastructure, and new high-speed wheel- on-rail systems; (2) ways to expand the transportation of international trade traffic by rail, enhance the efficiency of intermodal interchange at ports and other intermodal terminals, and increase capacity and avail- ability of rail service for seasonal freight needs; (3) the interconnectedness of commuter rail, passenger rail, freight rail, and other rail networks; and (4) regional concerns regarding rail passenger and freight transportation, including meeting research needs common to designated high-speed cor- ridors, long-distance rail services, and regional intercity rail corridors, projects, and entities. NCRRP considers research designed to (1) identify the unique aspects and attributes of rail passenger and freight service; (2) develop more accu- rate models for evaluating the impact of rail passenger and freight service, including the effects on highway, airport, and airway congestion, environ- mental quality, energy consumption, and local and regional economies; (3) develop a better understanding of modal choice as it affects rail passenger and freight transportation, including development of better models to pre- dict utilization; (4) recommend priorities for technology demonstration and development; (5) meet additional priorities as determined by the advisory board; (6) explore improvements in management, financing, and institu- tional structures; (7) address rail capacity constraints that affect passenger and freight rail service through a wide variety of options, ranging from oper- ating improvements to dedicated new infrastructure, taking into account the impact of such options on operations; (8) improve maintenance, operations, customer service, or other aspects of intercity rail passenger and freight service; (9) recommend objective methods for determining intercity pas- senger rail routes and services, including the establishment of new routes, the elimination of existing routes, and the contraction or expansion of ser- vices or frequencies over such routes; (10) review the impact of equipment and operational safety standards on the further development of high-speed passenger rail operations connected to or integrated with non-high-speed freight or passenger rail operations; (11) recommend any legislative or regu- latory changes necessary to foster further development and implementation of high-speed passenger rail operations while ensuring the safety of such operations that are connected to or integrated with non-high-speed freight or passenger rail operations; (12) review rail crossing safety improvements, including improvements using new safety technology; and (13) review and develop technology designed to reduce train horn noise and its effect on communities, including broadband horn technology. The primary participants in NCRRP are (1) an independent govern- ing board, the ROC, appointed by the Secretary of the U.S. Department of Transportation with representation from freight, intercity, and commuter rail operating agencies, other stakeholders, and relevant industry organiza- tions such as the Association of American Railroads (AAR), the American Association of State Highway and Transportation Officials (AASHTO), the American Public Transportation Association (APTA), and the National Association of Railroad Passengers (NARP) as vital links to the rail commu- nity; (2) TRB as program manager and secretariat for the governing board; and (3) the FRA as program sponsor. NCRRP benefits from the coopera- tion and participation of rail professionals, equipment and service suppli- ers, other rail users, and research organizations. Each of these participants has different interests and responsibilities, and each is an integral part of this cooperative research effort. Published reports of the NATIONAL COOPERATIVE RAIL RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to http://www.national-academies.org and then searching for TRB Printed in the United States of America NCRRP REPORT 6 Project 03-01 ISSN 2376-9165 ISBN 978-0-309-37535-1 Library of Congress Control Number 2016936409 © 2016 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this 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, FMCSA, FRA, FTA, Office of the Assistant Secretary for Research and Technology, PHMSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for 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 from CRP. NOTICE 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 by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the National Cooperative Rail Research Program do not endorse products or manufacturers. Trade or manufacturersâ names appear herein solely because they are considered essential to the object of the report.
The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Ralph J. Cicerone is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Boardâs varied committees, task forces, and panels annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.
C O O P E R A T I V E R E S E A R C H P R O G R A M S AUTHOR ACKNOWLEDGMENTS The research reported herein was performed under the National Cooperative Rail Research Program (NCRRP) Project 03-01 by the Texas A&M Transportation Institute (TTI); ESH Consult; David P. Simpson Consultants, LLC; Ohio University; and the Office of Walter E. Zullig, Jr., Esq. Curtis Morgan, TTI program manager, was the principal investigator. The other authors of this report are Jeffery Warner (associate transportation researcher at TTI), Emmanuel S. âBruceâ Horowitz (principal at ESH Consult), David P. Simpson (principal at David P. Simpson Consultants, LLC), Dr. Benjamin Sperry (assistant professor, formerly with TTI and currently with Ohio University), and Walter E. Zullig, Jr., Esq. (principal at the Law Office of Walter E. Zullig, Jr., Esq.). The work was performed under the general super- vision of Mr. Morgan. The authors acknowledge the many individuals who contributed to this research by participating in the personal/phone interviews and assisting with input at industry conferences. Several rail agencies and state associations were instrumental in providing input throughout development of this guidebook. The authors also acknowledge the assistance of Linda Cherrington, Allan Rutter, and Cinde Weatherby of TTI, who served as project advisors throughout the term of the project. CRP STAFF FOR NCRRP REPORT 6 Christopher W. Jenks, Director, Cooperative Research Programs Lawrence D. Goldstein, Senior Program Officer Anthony P. Avery, Senior Program Assistant Eileen P. Delaney, Director of Publications Hilary Freer, Senior Editor NCRRP PROJECT 03-01 PANEL Field of Policy and Planning Patricia Quinn, Northern New England Passenger Rail Authority, Portland, ME (Chair) Richard Batty, ICF International, Fairfax, VA John D. Bell, New York State DOT, Albany, NY Penny Eickemeyer, University Transportation Research Center, New York, NY Matthew D. Furedy, Nevada DOT, Carson City, NV Anthony D. Perl, Simon Fraser University, Vancouver, BC Emily N. Stock, Virginia Department of Rail and Public Transportation, Richmond, VA Kyle Gradinger, FRA Liaison Scott Babcock, TRB Liaison
NCRRP Report 6: Guidebook for Intercity Passenger Rail Service and Development pre- sents the resources, strategies, analytical tools, and techniques for use by public agencies and private entities to support all phases of planning and decision making in the development of intercity passenger rail service at state, regional, or multistate levels. Components of this guide address three major phases required to build and operate passenger rail: planning, design and construction, and operations. Further, it breaks down each primary phase into major required subtasks. With its comprehensive approach, this guide serves as a companion report to other NCRRP series reports: Report 1: Alternative Funding and Financing Mechanisms for Passenger and Freight Rail Projects and Report 5: Developing Multi-State Institutions to Implement Intercity Passenger Rail Programs. Given that historical roles, funding, and public support for intercity passenger rail service development vary greatly among state and regional entities, a one-size-fits-all approach was not appropriate in developing this report and conducting the research. Instead, the research team approached development of this guide primarily as an effort to create a wide-ranging collection of existing resources related to intercity passenger rail service and development and performed limited new research to cover the most critical areas where existing written guidance did not exist. Gap area topics identified during the research are addressed in detail in the appendices. The Contractorâs Final Report, included as Appendix F, presents additional background information gathered during preparation of the guide: (1) a comprehensive resource matrix listing documents related to intercity passenger rail service and development; (2) generalized results extracted from interviews with public-sector representatives, Amtrak, and freight rail stakeholders; and (3) results of an online survey used to help build components of the guide. Live links in the resource matrix are accessible through the document via the TRB web page. For more than 30 years, growth and innovation in our nationâs rail system has been pri- marily and most successfully associated with the movement of freight. Since 2008, however, billions of federal and state dollars have been invested in intercity passenger rail, responding to opportunities and challenges arising from changing travel demand and other factors. In addition, recent legislation has placed new planning, operating, and financial demands on states and other transportation organizations, requiring them to take an increasingly active role in planning, developing, and managing intercity passenger rail services. Given changing demands, many state and local transportation agencies do not have (but are working to build) sufficient expertise and experience in passenger rail planning and operation. Various strategies have been applied to planning and developing intercity passenger rail. Some tools exist to aid planning and decision making, but these strategies, tools, and F O R E W O R D By Lawrence D. Goldstein Staff Officer Transportation Research Board
techniques are not always systematically applied. Although each rail service has particular circumstances and characteristics, certain components are transferrable and necessary for effective planning, development, and management. These components include, but are not limited to, (1) route definition and station locations; (2) operating characteristics, service goals, and performance measures; (3) stakeholder agreements and relationships; and (4) business plans to ensure high performance and maximum public benefit. This guide was prepared by the Texas A&M Transportation Institute under the guidance of Curtis Morgan, with the assistance of a team of individual consultants who have long served as TRB committee leaders in the area of intercity passenger rail. It presents a compre- hensive approach to intercity passenger rail planning elements, going well beyond previous studies. The guide fills several institutional gaps: (1) lack of a comprehensive, standardized approach to passenger rail planning and development; (2) limited dissemination of existing decision support tools; and (3) wide variation in the capability of transportation organiza- tions to implement these strategies. As a result, organizations at all levels who are respon- sible for intercity passenger rail planning and development will benefit from this practical, comprehensive resource that identifies technical tools, procedures, and best practices to assist in the effective planning, development, and management of intercity passenger rail assets and investments.
1 Summary 3 Chapter 1 Introduction 4 Purpose of This Guidebook 4 Why Should Intercity Passenger Rail Development Be Considered? 6 Guidebook Users 7 The Intercity Passenger Rail Service Development Process 9 Organization and Use of This Guidebook 10 Clarification of Terms 12 Chapter 2 Visioning: Intercity Passenger Rail Program Establishment 12 Developing State Rail Plans 16 Deciding to Establish a State-Level Intercity Passenger Rail Program 16 Administrative and Institutional Options 17 Funding Intercity Passenger Rail Programs 21 Chapter 3 Planning: Project Feasibility/Service Development 21 Project Identification and Initiation 23 Network Design/Route Selection 26 Coordination with Railroads and Other State/Federal Agencies 29 Service Development Planning 32 Supporting Feasibility Studies 34 Chapter 4 Planning: Environmental Requirements 34 Overview of the FRA Environmental Review Process 40 Interagency Coordination 43 Chapter 5 Design and Construction 43 Overview of Intercity Passenger Rail Project Types 45 Grade Crossing Safety and Design 48 Passenger Rail Stations 52 Rolling Stock 54 Management of Construction Activities 57 Chapter 6 Operations and Maintenance: Service Planning 57 Contracting for Passenger Rail Service 59 Risk Management 59 Resiliency Planning 60 Contracting for Operations 62 Maintenance of Rights of Way 62 Maintenance of Equipment C O N T E N T S
65 Chapter 7 Operations and Maintenance: Ongoing Service Management 65 Fare Policy and Ticketing 67 Revenue Management 67 Passenger Services and Amenities 68 Marketing and Outreach 68 Expanded/Extended Service Considerations 70 Ongoing Funding and Financial Monitoring 71 Multiple Intercity Services Management 71 Ongoing Legal/Risk Issue Management 71 Station Operations and Amenities 77 References and Bibliography 79 Abbreviations A-1 Appendix A Liability/Insurance Requirements Relating to Intercity Rail Passenger Service B-1 Appendix B PRIIA 209 Cost Formula Transparency, Costing Granularity, and Related Issues C-1 Appendix C Robust Service Delivery: Building Resilient and Dependable Passenger Rail Service D-1 Appendix D Performance Measurement and Quality Assurance Techniques E-1 Appendix E The Role of the U.S. STB Regarding Intercity Rail Passenger Service F-1 Appendix F Contractorâs Final Report R-1 Appendix References
