Guidebook for Intercity Passenger Rail Service and Development (2016)

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43 Careful design and construction of a major transportation improvement is critical to its long- term success. Although this is true for all transportation modes, it is even more critical for intercity rail projects. Intercity rail will be considered a novelty in some U.S. regions given that few current residents may have experienced regular, high-quality intercity passenger rail service such as that provided in previous generations. Fixed physical rail facilities are long-lived, with some asset classes lasting 30 years or more, so they must be designed and implemented properly. Design flaws can be difficult and costly to remedy should faulty design or construction occur. This chapter summarizes the roles of providing agencies and what agencies should focus on as projects reach this phase of development. Overview of Intercity Passenger Rail Project Types The scale and quality of an intercity rail investment is best determined through a careful com- parison of alternative scenarios, which produce their own cost and benefit streams. Large new public infrastructure projects have become a rarity in the United States over the past 20 years. For rail, the result has been that many service proposals generally rely on the use of existing rail or other ROWs at lower service speeds and frequencies than would be possible with the targeting of dedicated, fully integrated passenger rail alignments. The following sections describe con- siderations for design and construction of new rail systems by type of development approach. New Alignment Development of a greenfield or totally new, dedicated passenger rail alignment opens the door to much higher service speeds, train frequency, and engineering design focused on the optimum specifications for passenger operations. Although common in most of the developed world, development of truly new rail alignments in North America has been rare. Current examples of new alignment projects in the United States include the rural sections of the California High-Speed Rail project and the proposal for Houston–Dallas HSR service as sponsored by the Texas Central Railway. Even in the case of the Texas Central Railway, the proposed new alignments under study tend to parallel existing rail or power line ROWs to minimize effects on private-sector landowners and potentially decrease costs of acquisition. Traditional rail engineering attempts to minimize vertical curvature in order to reduce the motive power requirements to propel heavy, traditional rail equipment. For example, many freight rail routes follow river courses, despite numerous curves, because the river valleys create pathways for minimum track grades. Dedicated high- and higher speed passenger rail alignments, in contrast, can accommodate steeper vertical grades but must minimize horizontal curvature. High specification HSR alignments have gradual, sweeping curves with radii as long as 7 kilometers (over 4 miles). C h a p t e r 5 Design and Construction

44 Guidebook for Intercity passenger rail Service and Development Cost estimates for this type of rail development are, ironically, easier to develop than the examples cited below, given the close analogies to developing modern new highway alignments. However, the time for gaining ROW access rights and the cost to build greenfield rail corridors make this the most expensive approach to developing new intercity passenger rail service. New, Dedicated Track on Existing Freight or Passenger Rail Alignments An intermediate approach to new passenger service capacity is to build track dedicated to such operations next to existing freight rail track. Many mainline rail corridors, particularly in the western United States, are 100 feet wide and can host new main tracks without a costly and controversial taking of land from numerous adjacent landowners. Track curves are likely to remain as a limiting factor on passenger train speed, but these restrictions can be mitigated somewhat by including higher curve super-elevation (i.e., banking) than would be permissible in a shared track environment with freight rail operations. Freight rail corridor owners may express concerns over the effective cutoffs of potential service to new customers located on the passenger track side of the alignment. Freight railroads may also require a wide separation of passenger tracks from the freight service alignment for safety and liability reasons wherever passenger trains will operate in excess of 90 mph. The result of such policies means that the existing freight line may need to be repositioned to one side within the existing ROW with the new dedicated passenger track installed in the corridor, thereby increasing the costs of this option. Freight rail companies may also seek to be compensated for what they consider the loss of future expansion capability for increased freight rail service. Generally, the dedicated track, shared alignment approach to building new passenger rail service is more expensive than the shared track approach described below. As passenger traffic levels build, however, stakeholders should revisit the shared track design assumptions or explicitly consider at the outset the speed and frequency levels for passenger service that will make it more economical in the long run to build and dedicate specific tracks for those activities. Shared Track Operation Initiation of passenger rail services on shared track will probably require engineering upgrades and/or capacity enhancements to an existing freight service line. Freight tracks that are already maintained to an engineering standard suitable for passenger service are usually in mainline cor- ridors operating close to service capacity. Introduction of new trains generally will require new investment in the fixed physical plant of the corridor. Determining the appropriate level of new investment to safeguard both passenger and freight rail service quality is often the most contentious element of a shared-use negotiation. Freight rail service providers generally insist on a through, simulation-based capacity assessment that allows for timely service recovery from unplanned events. The new configuration should also accom- modate or permit phasing to allow for increased handling of passenger and freight operations. NCHRP Report 773: Capacity Modeling Guidebook for Shared-Use Passenger and Freight Rail Operations describes shared-corridor capacity principles and modeling techniques. Lower density freight rail alignments, primarily operated by shortline and regional freight carriers, may have the service capacity to accommodate passenger trains without major new track facilities. In most cases, however, substantial upgrades to the engineering conditions of the line will be needed to accommodate the service speeds needed for competitive passenger opera- tions. Grade crossing safety improvements are also likely to be required. A political advantage of using such corridors is that existing freight rail owners may welcome the partnership as providing

Design and Construction 45 a new source of capital upgrade funding. The density of traffic may also be such that business from freight clients can be easily handled at night, taking advantage of the regular diurnal pattern of reduced passenger travel during those periods. Grade Crossing Safety and Design Highway-rail grade crossings pose inherent hazards to the operation of trains, as well as motor vehicles, nonmotorized vehicles, and pedestrians. Passenger trains present a unique set of challenges in terms of safety at grade crossings. As train speeds increase, the elapsed time between when a motorist first sees the train and when the train is occupying the crossing decreases. Highway-rail grade crossings located on a passenger rail corridor should either be closed, grade separated, or equipped with automatic gates. Pedestrian safety at highway-rail grade crossings and at crossings in or near passenger stations should be addressed as part of an overall hazard analysis. Hazard Analysis The FRA’s Collision Hazard Analysis Guide: Commuter and Intercity Passenger Rail Service highlights the need for passenger rail operators to conduct a collision hazard analysis that identifies potential hazards and hazard mitigation strategies (FRA 2007). As indicated in the document, “A hazard analysis is performed to identify hazardous conditions for the purpose of their elimina- tion or control. A hazard analysis for a complete system may include several analysis techniques applied throughout the life cycle of the product—from initial concept and design through the final disposal of the system” (FRA 2007). For new-start properties, FRA recommends begin- ning the hazard analysis process early and applying appropriate analysis techniques during the project planning and design phase. Grade crossings are part of the system, and the hazards to be considered in the hazard analysis include collisions between trains and vehicles, as well as between trains and pedestrians. Appendix C of the referenced FRA document includes an example grade crossing assessment checklist. Safety Enhancement Guidance and Regulations The United States has almost 130,000 public highway-railroad grade crossings along routes used primarily for freight rail operations, but also for light, commuter, and intercity passenger rail ser- vices (FRA 2011). The implementation of a dedicated funding program in the early 1970s helped reduce highway-rail grade crossing collision fatalities by approximately 71% between 1975 and 2013. This reduction was accomplished mainly through (1) the installation of active warning devices (e.g., lights and gates that warn motorists of approaching and present trains), (2) clos- ing or consolidating redundant or unnecessary grade crossings, and (3) public safety education programs. The Manual on Uniform Traffic Control Devices (MUTCD) provides guidance on the traffic control devices that can be used at highway-rail grade crossings, including those on the pavement, signs, and signal systems. It also contains guidance on supplemental devices that can be used in combination with standard devices to further enhance safety. Title 49, Part 213 of the CFR outlines the Track Safety Standards governing railroad operations in the United States. Among the regulations contained in 49 CFR §213 is the definition of the FRA classes of track and maximum speed requirements associated with each track class. The regulations in 49 CFR §213.347 are particularly relevant to intercity passenger rail and HSR operations. This section states the requirements of automotive or railroad crossings at grade for train operations at Track Class 6 and higher (maximum speed 110 mph and above). Table 5-1 outlines these requirements.

46 Guidebook for Intercity passenger rail Service and Development No specific requirements exist for grade crossings up to Track Class 6 operations (maximum speed 110 mph). Nevertheless, advanced technologies (e.g., four-quadrant gates or incremental train control systems) are being deployed on certain corridors in Illinois and Michigan where 110 mph passenger train operations are active. Additionally, although there is no specific regu- lation prohibiting highway-railroad grade crossings of Track Class 7 tracks (train operating speeds of up to 125 mph), the rule requires the track owner to submit a complete description of any proposed warning/barrier system to FRA and prohibits operation in the absence of FRA approval of the system and the functionality of all elements thereof. FRA’s Highway-Rail Grade Crossing Guidelines for High-Speed Passenger Rail (2009) notes that existing regulations (summarized in Table 5-2) are not the only considerations necessary to meet the safety challenges associated with high-speed passenger rail operations. The stated purpose of the document is to “provide supplementary guidance useful to those planning high-speed passenger services and to FRA as guidance for the negotiation of funding agree- ments and for the administration of the Track Safety Standards.” Table 5-2 summarizes that guidance. Sealed Corridors FRA’s Highway-Rail Grade Crossing Guidelines for High-Speed Passenger Rail mentions that, for speeds less than 80 mph, standard and supplemental safety devices should be used to maintain safety Track Classification Maximum Operating Speed Grade Crossing Requirements Track Class 6 and below 110 mph No specific requirements in 49 CFR §213.347. Track Class 7 125 mph Trains may operate over highway- railroad grade crossings if an FRA- approved barrier system exists and is functioning. Track Class 8 160 mph All highway-railroad or railroad- railroad grade crossings prohibited. Track Class 9 200 mph Source: 49 CFR §213.347, Automotive or Railroad Crossings at Grade. Table 5-1. U.S. federal regulations for HSR grade crossings. Description Conventional Passenger Rail Emerging HSR HSR Regional Additional HSR Max. Speed mph 0–79 80–110 111–125 Above 125 Public highway- rail grade crossings, generally Automated warning; supplementary measures where warranted Sealed corridor; evaluate need for presence detection and PTC feedback Barriers above 110 mph, see §213.247 Presence detection tied to PTC above 110 mph None above 125 mph Private highway- rail grade crossings, generally Automated warning or locked gate preferred; cross-buck and stop or yield sign where conditions permit Automated warning with gates; or locked gate (interlocked with signal system at higher speeds) None or as above None above 125 mph Table 5-2. Summary of highway-rail grade crossing guidelines for high-speed passenger rail (FRA 2009).

Design and Construction 47 at highway-rail grade crossings along lines used for passenger systems. For speeds up to 110 mph, the concept of a “sealed corridor” is presented. A sealed corridor is a comprehensive strategy to minimize access to the railroad corridor, both for vehicles and pedestrians (Metrolink 2009). These enhanced installations include four-quadrant gates, median treatments, and paired one-way streets with gate arms extending across all lanes of travel, designed to prevent vehicles from driving around lowered gate arms. Figure 5-1 shows a four-quadrant gate installation on a line with passenger rail service. The two gates on each side of the highway-rail grade crossing provide a barrier for motorists so as to prevent unsafe maneuvers. The sealed corridor concept has been implemented along the federally designated Southeast HSR Corridor in North Carolina between Raleigh and Charlotte (North Carolina Amtrak n.d.). The North Carolina sealed corridor has improved or closed 189 of the 208 grade crossings along the 173-mile corridor. A report by FRA in 2009 indicated that the North Carolina sealed corridor was effective at reducing accident risk at these crossings and that this risk reduction could be sustained as the North Carolina DOT continues to expand its intercity passenger rail program in this corridor (Bien-Aime 2009). Quiet Zones Train horns are effective protection devices in alerting vehicles and pedestrians of an arriving train at a grade crossing, but they may present undesirable conditions to the community that surrounds the crossings. FRA’s final rule, “The Use of Locomotive Horns at Highway-Rail Grade Crossings,” describes a process to authorize and create a quiet zone so as to maintain safety while responding to community concerns over train horn noise (Metrolink 2009). Quiet zones require FRA approval, and crossings in a quiet zone are subject to supplemental safety measures designed to provide an equivalent level of safety at a crossing. Supplemental safety measures may include four-quadrant gates, medians or other channelization devices, one-way streets, or crossing closure. 49 CFR §222 states the federal regulations pertaining to FRA’s final rule. Education and Enforcement The three main components in enhancing grade crossing safety are engineering, education, and enforcement. Although engineering often receives the most attention, education and enforcement play major roles in improving safety and reducing the likelihood of a collision between a train and vehicle or pedestrian. It is good practice to regularly update education and enforcement activities along corridors with existing passenger rail services and in passenger stations. With the increased frequency of trains and likely higher operating speeds of the passenger trains compared to freight trains, it is especially important to educate the public to new passenger rail services. Such education Figure 5-1. Four-quadrant gate installation on intercity passenger rail line.

48 Guidebook for Intercity passenger rail Service and Development can consist of broad publicity campaigns and/or targeted efforts (e.g., presentations at adjacent schools or messages in stations). Enforcement of applicable transportation and trespassing laws can improve safety by deterring unsafe behavior on and around railroad tracks. Pedestrian Grade Crossings Pedestrians cross railroad tracks at highway-rail grade crossings and at or near passenger sta- tions. Although design elements used for vehicles (e.g., channelization, signs, and warning lights) apply to pedestrians, pedestrians differ from vehicles and present special challenges. In Guidance on Pedestrian Crossing Safety at or near Passenger Stations, the FRA recommends performing a hazard analysis to evaluate the risk associated with the movement of pedestrians at or near passenger stations (FRA Office of Safety 2012). The hazard analysis process and resulting improvements will increase safety for pedestrians where they interact with the system. The FRA document also includes guidance for implementing treatments designed for pedestrians to safely cross the rail system; treatments include structures, such as overpasses, signage, and pavement markings. Part 8 of the MUTCD, which covers traffic control devices for railroad and light rail transit (LRT) grade crossings, including specific devices for pedestrians, provides additional guidance. TRB’s TCRP has several documents related to pedestrian and other nonmotorized user safety related to interaction with rail systems. Many of the treatments are described in TCRP Report 175: Guidebook on Pedestrian Crossings of Public Transit Rail Services. An added consideration for pedestrians is compliance with the Americans with Disabilities Act (ADA) requirements. Treatments and other efforts to improve pedestrian safety should also accommodate the wide array of potential users, according to ADA standards. The FRA’s Guidance on Pedestrian Crossing Safety at or near Passenger Stations provides guidance on providing safe access for all users (FRA Office of Safety 2012). Review of this guidance, along with requirements published by the United States Access Board, should occur during the planning, design, and construction phases. Resources The following resources provide additional information on highway-rail grade crossings: • FHWA Manual on Uniform Traffic Control Devices. • FHWA Railroad-Highway Grade Crossing Handbook. • FRA Collision Hazard Analysis Guide: Commuter and Intercity Passenger Rail Service. • FRA Highway-Rail Grade Crossing Guidelines for High-Speed Passenger Rail. • FRA Guidance on Pedestrian Crossing Safety at or Near Passenger Stations. • TCRP Report 175: Guidebook for Pedestrian Crossings for Public Transit Rail Services. • SCCRA Highway-Rail Grade Crossings: Recommended Design Practices and Standards Manual. • Operation Lifesaver—Rail Safety Education. • United States Access Board Guidelines and Standards. • Tools: – FRA Office of Safety Analysis Website. – FRA GradeDec.Net—System for Highway-Rail Grade Crossing Evaluation Tool. – FRA Quiet Zone Calculator. Passenger Rail Stations The station is where the passenger and the intercity passenger rail line intersect. On the most basic level, a passenger rail station consists of a platform area, next to the train tracks, that serves as a designated location for passengers to board or depart trains. Supporting elements may

Design and Construction 49 include a posted train schedule, guidance or warning signage, an automated ticketing machine, and parking facilities. Often, a station includes a building, ranging in size from a large multimodal transportation hub to a small enclosed shelter. Station buildings may be historic rail stations that have been restored to modern standards or may be completely new buildings. Station design is critical to the success of an existing or proposed intercity passenger rail system. A station and its supporting facilities must be large enough to handle expected passenger demand (projected out to 20 years); otherwise, overcrowding will limit the attractiveness of the service. Similarly, the availability of strong local transportation connections can promote intercity passenger rail use by facilitating first-mile and last-mile trips. Beyond connecting passengers with trains, a passenger rail station can have amenities (e.g., retail shops or restaurants) and can serve as a hub for local transportation services (e.g., transit or taxis). In some cases, passenger rail stations may spark growth and development in the immediate area around the station. Station Design The selection of passenger rail station locations includes two distinct aspects: the location of stations along a passenger rail line (i.e., communities to be served by a rail line) and the location of the station within a community. Station locations are subject to several—sometimes conflicting— demands, as follows (FRA 2005): • Stations must be readily accessible to where people live and work. • Too many stations will lengthen trip times excessively. • Too few stations will make it more difficult for riders to use the rail system. • Station sites need to cater to both business and leisure travel. If the project represents an upgrade of existing passenger rail service, many of these station location decisions are inherited from the existing service. If entirely new intercity passenger rail service is under consideration, many of these limitations are relaxed and greater flexibility is available in terms of the location of station stops along the line and stations within a community. The first aspect of passenger rail station location—the location of station stops along a line— is typically examined early in planning. Whether an existing line is used or new rail lines are to be constructed, the spacing of stations along a passenger rail line should be frequent enough to capture available ridership without imposing large travel time penalties associated with service to an excessive number of stations. Ridership forecasts and sensitivity analysis will provide important information on how the addition of a station stop might affect travel time and the resulting demand. Most feasibility studies in the United States present ridership estimates for different proposed schedule scenarios or patterns of station stops along a line. Political considerations may also play a role in the selection of station stops along a line. After the rail corridor in a community through which an intercity passenger rail service will pass has been identified, the second aspect of station location—determining the location of the station within the community—can occur. The following factors should be considered when evaluating the location of intercity passenger rail stations in a community (Schneider 1993): • Provision of facilities/services for connecting modes not available at site • Revisions to existing connecting services required • Proximity to major facilities and destinations • Effect on current railroad operations at existing station • Potential funding sources and costs • Development/redevelopment and tax base enhancement potential • Neighborhood impacts • Metropolitan urban form and socioeconomic impacts

50 Guidebook for Intercity passenger rail Service and Development FRA developed the following general guidelines for siting rail corridor passenger stations (FRA 2005): • Each city with a station should have the station in or near the CBD. This is mandatory for larger MSAs with populations of 150,000 or more. Central locations are desirable for smaller cities, as well. • One or more suburban stations need to be provided in the larger metropolitan areas with easy access to the local primary road system. • Every effort should be made to have each station serve as a regional intermodal passenger terminal for all forms of regional and local transportation systems. Within a community, stations must be readily accessible to locations where people live and work, catering to both business and leisure travel. If existing rail stations are to be used, adequate parking, facilities for passenger drop-off/pick-up, traffic flow along the roadways next to the station, and security of the station facilities need to be considered. This is particularly true if a significant increase in rail service (and accompanying increase in activity) is expected. Considerations for new station locations include the availability of adequate land for the station, compatibility with existing or proposed land uses around the station, and distance between the proposed station site and major attractions in the community. Integration with local transit options and compatibility with regional transportation plans, if applicable, should also be considered for both existing and new stations. Access/Intermodal Issues Adequate facilities for intermodal connectivity between intercity passenger rail services and other transportation modes are essential. The types of intermodal interfaces that may be necessary at an intercity passenger rail station include (AREMA 2011): • Automobile Modes: – Park-and-ride – Drop-off passengers (i.e., kiss-and-ride) – Pick-up passengers – Motorcycles/scooters – Taxis – Van pools • Nonmotorized Transportation Modes: – Pedestrian/walk-in traffic – Bicycle traffic • Other Public Transportation Systems: – Buses and trolleys – Paratransit services – Subway systems – Light rail systems – Commuter rail systems – Intercity passenger trains – Airports – People movers – Ferries/marine taxis The quality of the interface between passenger rail services and local transportation modes is important to support the provision of a door-to-door trip without using a vehicle. FRA recom- mends that all new and existing public transport lines be routed directly to the rail station and that transfer times be minimized by coordinating local transit schedules with the arrival and

Design and Construction 51 departure schedules for the train (Office of Railroad Policy and Development 2011). Station context is also relevant in the design of intermodal interfaces at passenger rail stations (AREMA 2011). In CBD areas, nonmotorized modes will be prevalent as pedestrians and bicyclists access the station from high-density developments nearby. Consequently, the quality and adequacy of the connec- tions between the street and the train platform areas will be vital. Adequate connections between the street level and train platform area are also important for passengers accessing the station via street-level transit modes (e.g., light rail, trolley, or bus). In suburban, exurban, or rural com- munity stations, intermodal interfaces between passenger rail services and automobiles will be important. Adequate parking facilities and adequate driveways for passenger drop-off/pick-up movements are essential for rail stations in these areas. With respect to station access planning, TCRP Report 153: Guidelines for Providing Access to Public Transportation Stations outlines an eight-step station access planning process and provides a spreadsheet-based station analysis tool for assessing various station access alternatives. Although written as guidance for rail transit stations, many of the principles in this TCRP report apply to intercity passenger rail stations. Table 5-3 lists the eight access planning process steps and examples of best practices for each step. Step Examples of Best Practices 1. Identify the need Organize agency thinking/planning up front. Fully understand issues from multiple perspectives. Recognize external (non-transit agency) problems. 2. Establish a collaborative environment Identify and include all stakeholders. Acknowledge inter-relatedness of various stakeholder groups. Establish shared goals for transportation, environment, and economic development. Understand the traveler’s perspective. 3. Develop objectives and principles Address concerns of multiple stakeholders. Recognize the commonalities between different stations. Develop a standard set of access goals and objectives that can be applied throughout the system. Identify opportunities and constraints. 4. Establish evaluation criteria Develop criteria related to a range of objectives, including ridership, costs, and local impacts. Limit evaluation criteria to a manageable number (typically fewer than 10). Establish data collection program to support evaluation criteria. 5. Build a rich set of appropriate options Address existing and future needs. Consider station access and ridership in route alignments and station designations. Integrate community design into station development. Coordinate station access design with land development. Consider a wide range of improvements. 6. Predict outcomes and apply criteria Improve sensitivity of travel demand models to transit access improvements. Use quantitative tools to assess transit-oriented development and parking replacement. Engage economic and land-use forecasters. Develop a strategy to measure emissions. Use advanced service coverage measures to more comprehensively understand market. 7. Determine trade-offs, negotiations, and choice Involve MPOs in regional decision making. Develop balance sheets to illustrate costs and benefits for multiple stakeholders. Work with adjacent transit agencies to develop integrated fare structure and service plans. Refine concepts to build consensus. 8. Implementation and monitoring Provide dedicated funding for access improvements. Collect data and monitor the results of any improvements to inform future decisions. Table 5-3. Summary of TCRP Report 153 eight-step station access planning process (Coffel et al. 2012).

52 Guidebook for Intercity passenger rail Service and Development Access and circulation patterns should be as simple, obvious, and safe as possible. All station facilities should provide adequate accessibility for all potential users, according to ADA accessibility requirements. Safety of users while accessing the platforms, boarding the trains, and crossing any tracks at grade crossings is a critical consideration. Land Use Planning Potential benefits of intercity passenger rail are those associated with station-area development. For stations located outside the city center on vacant land, development can fill in the space around the station. If a passenger rail station is located within the city, development is usually in the form of redevelopment of the existing land. The FRA’s Station Area Planning for High-Speed and Intercity Passenger Rail encourages dialog among federal, state, regional, and local partners on better integration of passenger transport and land use (Office of Railroad Policy and Development 2011). The FRA report identifies three station area planning principles: • Location. Optimize the station location • Transportation. Maximize station connections with other transportation modes • Development. Shape the station through urban design; focus infill development around the station The report includes recommended strategies that support each of these principles and will help create places that are inviting and enhance the economy and sustainability of the region. Resources The following are resources for passenger rail station locations and station-area development: • FRA Corridor Transportation Planning Guide. • FRA Station Area Planning for High-Speed and Intercity Passenger Rail. • Network Rail Guide to Station Planning and Design. • UIC Toolbox for the Design and/or Renovation of Major Interchanges. • TCRP Report 153: Guidelines for Providing Access to Public Transportation Stations. • FRA Guidance on Pedestrian Crossing Safety at or Near Passenger Stations. • TCRP Report 175: Guidebook for Pedestrian Crossings for Public Transit Rail Services. • Caltrain Stations and Facilities Guidelines. • United States Access Board Guidelines and Standards. • Amtrak Guidelines for Stations. • American Railway Engineering and Maintenance-of-Way Association (AREMA) Manual for Railway Engineering. • Tools: – FRA Station Area Planning Summary Checklist. – WSDOT’s Handbook for Corridor Capacity Evaluation (Chapter 11—Accessibility Evaluation Methodology). – Station Access Planning Spreadsheet Tool (available on the TRB website as part of TCRP Report 153). Rolling Stock Rolling stock for short-distance PRIIA Section 209 intercity passenger rail service (i.e., corridor routes) typically consists of locomotives and various types of trailing coaches, although there is a recent rebirth in consideration of self-propelled (diesel multiple unit [DMU] or electric

Design and Construction 53 multiple unit [EMU] vehicles) for special (likely low-density service) circumstances. In most current (and near-term planned) state-sponsored services, it is likely that locomotives are diesel powered and coaches are standard coach-class seating cars with a few food service (cafe or dinette mini-kitchen-equipped) cars and optional premium/business class cars (or split cars with a portion dedicated to business class) included in some trains. Since the closure of the last two major U.S.-owned passenger car manufacturing companies (Budd and Pullman) in the 1980s, several European and Asian rolling stock manufacturing com- panies have intermittently purchased or leased U.S. manufacturing facilities to set up plants to assemble/build passenger rail cars for U.S. customers, but most of this stock has been designed for use in commuter/regional rail service, rather than for regular intercity service. Only recently, as an indirect result of the successful PRIIA Section 305–inspired Next Generation Corridor Equipment Pool, has this trend shown signs of change. A joint California/Midwest order for such new short-distance intercity cars prompted Nippon Sharyo USA to open a large new plant in Rochelle, IL. Its financial commitment for this construction and assembly line facil- ity was likely only possible because of the availability of sufficient ARRA/HSIPR funding to assure a contract for 130 cars capable of 125 mph. In a separate but related vein, CAF USA opened a plant in Elmira, NY, to fulfill an Amtrak order for 130 single-level long-distance intercity cars to replenish/replace aging intercity cars in the Amtrak fleet. Both manufactur- ers are known to have made these sizable investments with the hope and expectation of future U.S. orders. Amtrak is subject to a statutory Buy America provision applicable to direct purchases of rolling stock using federal funds. This statute is found in 49 U.S.C. §24305(f). Accordingly, Amtrak can only purchase unmanufactured goods mined or produced in the United States and manufactured goods substantially made from other domestic goods. This requirement is administered by FRA and Amtrak. As with other Buy America statutes, exceptions exist (e.g., purchases under $1 million), and the availability of waivers is based on such factors as price differential, non-availability of domestic product, and public benefits of railroad passenger service. FRA considers a manufactured product to be in compliance if it has 50% domestic content and final assembly is performed in the United States. FRA also administers separate Buy America provisions applicable to non-Amtrak projects using federal grants. For a full discussion of the Buy America provisions applicable to rail projects, see NCRRP Legal Digest 1: Buy America Requirements for Federally Funded Rail Projects. Fleet Design/Planning A key element of SDP planning of a new intercity passenger operation is determining the planned frequency, running time, minimum turnaround time, average train peak ridership, level of onboard amenities, and so forth—all of which drive the selection of fleet vehicle type and total requirements (fleet sizing). Reasonably well-established, simple tabletop estimating tools are available to plan for total fleet requirements, including protect or reserve stock (i.e., spares for special circumstances or replacements during maintenance). Using these tools should generate a reasonably precise estimate for the total number of each type of car needed to be procured for a given service level. Traditionally, North American short-distance intercity fleets have been single-level cars; however, since California’s successful introduction of double-deck cars on its Pacific Surfliner, San Joaquin, and Capitol Corridor services, interest in this type of car has increased, especially because of the significantly increased seat capacity per unit. The 130 new cars on order for California and multiple Midwest services represent a second generation of the original California double-deck cars.

54 Guidebook for Intercity passenger rail Service and Development Procurement of Rolling Stock In recent years, the biggest challenge for a potential state DOT customer in procuring rolling stock was to find a willing rolling stock supplier (given the high cost of developing specialized tools, molds, jigs, and so forth, for a relatively small total fleet of equipment). Until the passage of PRIIA and the stimulus funding that followed led to a rebirth of a U.S.-centered passenger car manufacturing industry, little or no new long-distance passenger rolling stock was being pro- cured in the United States. This was critical if the attempted procurement had a high percentage requirement of U.S. content as defined in the Buy America Act. PRIIA Section 305 resulted in the joint development of standards for the design of next- generation passenger rail cars. Industry analysts and advocacy groups believe there will be a sustainable and predictable demand stream for passenger equipment to maintain or expand the range of U.S. intercity equipment suppliers. States or organizing entities must be aware that, depending on the timing and size of their anticipated fleet, it may not be possible to find an available U.S. builder. The probable solution, if conditions permit, would be to develop a specification that is shareable with another entity to allow increasing the order size to a level large enough to be of interest to the supplier industry. As more intercity rail service develops, more agencies can cooperate to make joint-buys to increase the numbers bought and reduce per-unit costs. Management of Construction Activities The public agency sponsor of intercity passenger rail may be called on to manage construc- tion contracts related to intercity passenger rail facilities, including managing engineering studies, identifying construction and contracting issues, and coordinating public outreach and information efforts during the construction period. The following sections discuss these responsibilities. Management of Engineering Studies Approaches and levels of capability in managing engineering studies vary greatly, as the research team discovered and clarified during interviews with representatives of state DOTs and other PRIIA Section 209 purchasing entities. Similarly, state sponsors can oversee engineering studies ranging from small, site-specific investments (e.g., new station; limited track infrastructure improvement) to broad-reaching, high-cost, corridor-long integrated track, signaling, rolling stock projects (e.g., the multiyear, billion-dollar-plus Illinois DOT Chicago to St. Louis Higher-Speed Rail Project). One of the unique challenges of managing engineering studies for new or increased passenger rail operations on shared-use mainline freight host railroads is the requirement placed by most Class I railroads to participate directly in the analysis. Some host railroads even insist that the railroad conduct the study at the expense of the state agency. Opportunities exist for Amtrak to lead or even conduct passenger rail engineering studies based on experience with all of the host Class I railroads. Most of the states that have participated in sponsoring large or multiple Amtrak services for many years have developed skilled, specialized in-house engineering and related procurement staff who can select and manage studies of all sizes. Others, with less continuing need for such skills or because of budget constraints, can oversee smaller projects but need to hire consulting firms for larger programs or projects. One of the more popular approaches is the use of indefinite delivery/indefinite quantity contracts, which preselect qualified consultant teams that are ready to deploy on a project-specific, as-needed basis.

Design and Construction 55 Construction Issues In addition to the broad range of construction management issues endemic to all significant infrastructure projects, there are some complex concerns to be addressed when such projects are built on or close to an active railroad. All work performed along a rail ROW, including that within certain broad, predefined distance limits, must be carefully coordinated with railroad operations, and all contractors are subject to stringent FRA roadway worker protection safety training requirements. Several of the Class I railroads and some of the larger regional railroads have “force account” agreements (involving their track construction and maintenance employees) that may require exclusive use of the railroad’s own staff, rather than independent contractors for any work on their property. In a few instances, sponsoring states (or Amtrak on their behalf) have been able to circumnavigate this restriction if the host railroad’s staff is so heavily committed for an extended period that it would not be able to meet the construction timeline requirements of a particular project. Contracting Issues (Disadvantaged Business Enterprise/Local Contractor Use) Depending on the funding source, issues such as employment of disadvantaged business enterprise (DBE) and women’s business enterprise (WBE) organizations as well as Buy America rules can apply to the establishment of a new rail system. Federal and state requirements also must be taken into account. Projects receiving funding through the USDOT in excess of $250,000 generally must award a certain percentage of the project work to certified DBE contractors. Such certifications are handled through state agencies. Likewise, federal or state project sponsors will require that a certain percentage of project work be subcontracted to WBE entities. To be certified as such, a business must be at least 51% female owned and managed by women. In addition, some states have specific provisions for publicly funded contracts (e.g., a requirement that prevailing wage rates [union scale] be paid to all crafts working on the project). Historically, the federal Buy America requirements pertained to rolling stock. Over the years, the rules have evolved regarding covered subjects, percent of U.S. content, place of assembly, and basis for obtaining waivers. An entity planning a new project must determine the applicability of the current requirements. NCRRP Legal Digest 1: Buy America Requirements for Federally Funded Rail Projects presents a full review of Buy America Act provisions. Public Outreach/Information During the Construction Phase Developing and implementing a broad-based and effective public outreach/information plan for the entire construction phase of a new (or significantly improved) passenger rail system is essential. Although effective, well-planned communications can help to significantly reduce the negative effects on a surrounding community, there are likely to be unavoidable inconveniences during construction. The most typical construction disruption challenges to be explained to the community are • Street closures or grade crossing closures • Noise that may be heard multiple blocks beyond the direct source • Dust and dirt (probably blown at least a full block beyond the site) • Changes to schedules of existing passenger rail (if route overlaps current service) • Possible temporary cancellation of existing service • Potential effects on parallel (or crossing) fixed-route public transit

56 Guidebook for Intercity passenger rail Service and Development Depending on the type of neighborhood and magnitude of the construction, there are many options for providing public information, ranging from the fully traditional to the new high- technology options: • Printing notices in all local and regional news print media • Posting advance-print flyers visibly near the site (e.g., on utility poles) • Providing news blurbs to local radio and TV stations for public service announcements • Providing electronic push notices in conjunction with local community e-media • Setting up project-specific social media sites (e.g., Facebook and Twitter) • Establishing a small storefront project marketing office to provide maps, narrative, and so forth. Communication with the public will evolve rapidly, so implementing agencies must constantly review practices and update plans and activities to address needs.