U.S. Department of 

Transportation

Federal Railroad 

Administration

Research, Development and Technology 

Strategic Plan 2020–2024

July 2020

Office of Research,

Development and 

Technology

Washington, DC 20590

0 
NOTICE

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because they are considered essential to the objective of this report.

NOTICE

This document is disseminated under the sponsorship of the 

Department of Transportation in the interest of information 

exchange. The United States Government assumes no liability for 

its contents or use thereof. Any opinions, findings and conclusions, 

or recommendations expressed in this material do not necessarily 

reflect the views or policies of the United States Government, nor 

does mention of trade names, commercial products, or organizations 

imply endorsement by the United States Government. The United 

States Government assumes no liability for the content or use of the 

material contained in this document. 
U.S. Department 

of Transportation 

Federal Railroad 

Administration 

Dear Reader: 

Administrator 1200 New Jersey Avenue, SE 

Washington, DC 20590 

I am pleased to present the Federal Railroad Administration's 5-year Strategic Plan for 

Research, Development and Technology. This plan outlines our goals and strategies for 

assuring FRA's programs and activities are founded on the best available science and 

technology, resulting in real word impact. It supports the Department of Transportation's 

strategic goals, the first of which is improving safety. 

A key theme in the plan is partnership with the railroad industry in our research and 

development activities. We plan to work together to improve safety at a time when the 

industry is growing and new technology is being adopted at an increasing rate. 

I hope that reading this plan gives you an understanding of our research and development 

program's strategies and priorities. I look forward to your engagement in what is a key 

program for the Federal Railroad Administration. We need the results from research and 

development to help us achieve our mission of enabling safe, reliable and efficient 

movement of people and goods. 
Contents

Executive Summary........................................................................................................................ 1

1. Mission, Organization, and Authorities ....................................................................... 2

1.1 Mission Statement ....................................................................................................... 2

1.2 Organization ................................................................................................................ 2

1.3 Legislative Authorities................................................................................................ 2

2. Introduction ................................................................................................................. 4

2.1 Strategic Goal Framework........................................................................................... 4

2.2 Industry Trends Affecting RD&T ............................................................................... 5

3. Program Goals and Strategies ..................................................................................... 6

3.1 Safety Goal.................................................................................................................. 6

3.2 Infrastructure Goal....................................................................................................... 9

3.3 Innovation Goal......................................................................................................... 11

3.4 Accountability Goal................................................................................................... 15

4. Program Evidence ..................................................................................................... 18

4.1 Performance Measurement........................................................................................ 18

4.2 Program Evaluation ................................................................................................... 18

5. References ................................................................................................................. 20

Appendix Research Priorities ....................................................................................................... 22

Abbreviations and Acronyms ....................................................................................................... 24

ii
v

Illustrations

Figure 1. ATGMS Project Life Cycle........................................................................................... 13
vi

Tables

Table 1. RD&T Strategic Goals, Objectives, and Strategies......................................................... 4

Table 2. Average Annual Accident and Incident Data 2015–2019 ............................................... 6

Table 3. Emerging Technologies and Strategy ............................................................................ 11

Table 4. RD&T Cross-Modal Collaboration ............................................................................... 12
Executive Summary

The Railroad Research and Development program is managed by the Federal Railroad 

Administration’s Office of Research, Development and Technology (RD&T). Its mission is to 

improve railroad safety. This plan describes the strategies that RD&T will use to achieve this 

mission and support the U.S. Department of Transportation’s goals. 

Consistent congressional funding for the Railroad Research and Development program has 

resulted in significant contributions to improving railroad safety. Continuing work is necessary 

to maintain this trend, especially at a time when the railroad industry is growing and changing. 

The program’s mission is achieved by developing and deploying new technologies in 

collaboration with public and private industry partners. The program maintains facilities and 

equipment for conducting research. Prudent financial management ensures RD&T staff are 

accountable for delivering value. 

Examples of new technology include electronic systems for train control, and autonomous 

inspection of railroad assets. New technology is not only physical systems; it also includes new 

approaches to safety culture and new operating practices. Another example is advances in 

computer simulation that allow new methods of assessing safety without testing in operational 

service.

The program covers all aspects of the railroad system, including human factors, track, vehicles, 

and signaling. RD&T prioritizes research in these areas using safety data and risk analysis.

RD&T undertakes two main types of research projects. The first acts as a catalyst for new 

technology. The program takes the initial risk of proving a concept. Prototype development and 

demonstration is then conducted in collaboration with industry partners. Technology transfer is 

complete when the industry commercializes the new technology. 

The second type of research project involves industry adoption of new technology. RD&T 

supports research to provide the scientific foundation for necessary waivers or regulatory 

reform. Understanding the complexities of vehicle-track interaction and human error, for 

example, are essential to developing scientifically informed regulations. 

RD&T’s underlying strategy over the next 5 years is to continue the methods that have led to 

significant successes. At the same time, RD&T will continue to improve research project 

evaluation and technology transfer reporting. 

1 
2

1. Mission, Organization, and Authorities

1.1 Mission Statement

The Federal Railroad Administration Office of Research, Development and Technology 

mission is to ensure the safe movement of people and goods by rail through research and the 

development of innovative technologies and solutions.

1.2 Organization

The Office of Research, Development and Technology (RD&T) is part of the Office of Railroad 

Policy and Development and works closely with the Office of Railroad Safety. 

RD&T has five research areas that cover different aspects of the railway system:

• Human Factors research addresses accidents caused by human error, the most common 

cause of railroad accidents.

• Train Control and Communication research focuses on reducing train collisions with 

other trains and with objects at highway-rail grade crossings. It has long been involved in 

the development and implementation of Positive Train Control (PTC).

• Track research targets the prevention of train derailments. It studies vehicle-track 

interaction and the degradation and failure of track components. 

• Rolling Stock research examines the structural integrity of trains to increase the safety of 

passengers and reduce releases of hazardous materials. It also targets the causes of 

derailments due to rolling stock component failures and improper train handling. 

• Railroad Systems Issues research looks at overall system safety and prioritizes the 

research in the other four areas.

1.3 Legislative Authorities

The Department of Transportation Act of 1966 created FRA, which started operations in 1967. 

Research and development into high-speed ground transportation was one of FRA’s earliest 

activities.

The Railroad Research and Development program is funded by Congress through annual and 

supplemental appropriations. The following are other major laws that influence the work 

performed by RD&T. 

Rail Safety Improvement Act (RSIA)

Congress passed the Rail Safety Improvement Act (RSIA) of 2008 to improve railroad safety [1]. 

It initiated the Risk Reduction Program and mandated PTC on certain train routes. 

RSIA led RD&T to further research into hours of service requirements for railroad workers, PTC 

implementation, standards for track inspections, certification of locomotive conductors, and 

safety at highway-rail grade crossings.
3

Passenger Rail Investment and Improvement Act (PRIIA)

The Passenger Rail Investment and Improvement Act (PRIIA) of 2008 directed FRA to develop 

a long-range national rail plan and authorized appropriations for intercity passenger and freight 

rail grants [1]. PRIIA included research into higher-speed passenger trains and the implications 

of operating those trains on track shared with freight trains. Congress then passed the American 

Recovery and Reinvestment Act of 2009 that appropriated $8 billion to improve and deploy 

high-speed rail systems [2].

The Fixing America's Surface Transportation (FAST) Act

The Fixing America’s Surface Transportation (FAST) Act authorized $305 billion for the U.S. 

Department of Transportation (DOT) from fiscal years (FY) 2016 through 2020 [3]. It covered 

DOT’s rail, highway, motor vehicle safety, public transportation, motor carrier safety, 

hazardous materials safety, research, technology, and statistics programs. The FAST Act 

prompted RD&T to expand its research into tank car and highway-rail grade crossing safety. It 

also required DOT to submit a 5-year strategic research and development plan and for all DOT 

modes to submit annual research plans. 
4

2. Introduction

This 5-year RD&T strategic plan describes strategies that support DOT’s strategic plan for 

fiscal year (FY) 2020 to 2024 [4]. It defines a long-term vision for the RD&T program and 

guides the contents of FRA’s Annual Modal Research Plans for the next 5 years.

2.1 Strategic Goal Framework

RD&T strategies are aligned with the DOT goals listed below. While improving safety is the 

principal goal for the Railroad Research and Development program, support is also given to the 

other DOT goals. 

• SAFETY: Reduce transportation-related fatalities and serious injuries across the

transportation system.

• INFRASTRUCTURE: Invest in infrastructure to ensure safety, mobility, and

accessibility and to stimulate economic growth, productivity, and competitiveness for

American workers and businesses.

• INNOVATION: Lead in the development and deployment of innovative practices and

technologies that improve the safety and performance of the Nation’s transportation

system.

• ACCOUNTABILITY: Serve the Nation with reduced regulatory burden and greater

efficiency, effectiveness, and accountability.

DOT has identified strategic objectives for each of its goals. RD&T has developed strategies to 

help meet the DOT objectives that are within the scope of FRA’s research and development 

program. Table 1 shows the RD&T strategies in this plan that support DOT’s strategic goals and 

objectives.

Table 1. RD&T Strategic Goals, Objectives, and Strategies

DOT Goal DOT Strategic Objective RD&T Strategy

Safety Systemic Safety Approach • Use data to understand safety risk in

the railway system.

• Collaborate with public and private

partners to identify safety risk.

• Prioritize research to ensure the best

outcomes.

• Address safety risk in rural areas.

• Clarify RD&T’s role as research

leaders in DOT and the railroad

industry.

Infrastructure Project Delivery, Planning, 

Environment, Funding, and 

Finance

• Provide tools to ensure Federal

investments achieve safety

improvements.

Life Cycle and Preventive 

Maintenance

• Maintain RD&T facilities and

equipment in a state of good repair.
5

DOT Goal DOT Strategic Objective RD&T Strategy

Innovation Development of Innovation • Collaborate with DOT research and 

development partners.

• Innovate in partnership with the 

railroad industry. 

• Address safety concerns related to 

data and cybersecurity.

Deployment of Innovation • Ensure the safe integration of new 

technology with railroad operations. 

• Strengthen the technology transfer 

process.

Accountability Regulatory Reform • Participate in reforming regulations.

Mission Efficiency and 

Support 

• Increase staff knowledge and industry 

awareness.

• Ensure prudent financial management 

and procurement. 

• Improve operational efficiency of the 

Transportation Technology Center.

Section 3 of this strategic plan gives details of RD&T’s strategies listed in Table 1. 

2.2 Industry Trends Affecting RD&T

RD&T creates its strategic plans within the context of an evolving railroad industry. U.S. rail 

intermodal freight traffic has increased steadily since 2008. Trends indicate continued growth in 

freight traffic, with trains getting longer and axle loads increasing. Passenger trains are expected 

to run more frequently and operate at higher speeds. The railroad industry is also impacted by an 

aging workforce and increased automation.

RD&T anticipates a quick return to rail traffic growth after the worst aspects of the COVID-19 

pandemic subside. The industry is growing, and there have been significant improvements in 

safety in recent decades. However, major train accidents still occur, and some types of accidents 

are consistently common. 

The industry is investing in new technology to enable growth and continue to improve safety. 

RD&T’s strategies reflect these trends.
6

3. Program Goals and Strategies

RD&T strategies are described in the following four sub-sections that align with the four DOT 

goals. Each sub-section includes the DOT strategic objectives that are within the scope of 

RD&T’s research areas and activities.

3.1 Safety Goal

Improving transportation safety is DOT’s top strategic goal. This drives RD&T to set improving 

railroad safety as its primary goal. The current level of safety in the railroad industry is 

quantified by analyzing accident and incident data gathered by FRA [5].

Table 2 shows a breakdown of accident and incident causes, averaged over a recent 5-year period.

Table 2. Average Annual Accident and Incident Data 2015–2019 

Accident/Incident Category Fatalities Accidents 

or Incidents

Accidents or 

Incidents/Million

Train Miles

Trespass 505 950 1.38

Grade Crossing Incidents 261 2,093 3.00

Human Factors Accidents

8 

699 1.01

Track-Caused Accidents 504 0.73

Miscellaneous –

excluding Grade 

Crossings

308 0.44 

Equipment-Caused

Accidents 257 0.37 

Signal-Caused Accidents 45 0.06

Trespassing along railroad rights-of-way is the leading cause of rail-related fatalities in the 

U.S. Collisions at grade crossings are the second-leading cause. The FY 2018 DOT annual 

performance report set the FY 2020 target for trespass incidents at 1.48 per million train miles 

and for grade crossing incidents at 2.84 per million train miles [6].

The total rate of accidents and incidents for causes other than trespass and grade crossings is 2.49 

per million train miles. The DOT target for FY 2020 is 2.29 per million train miles.

All FRA offices contribute to reaching these targets. RD&T’s contribution comes from the new 

technologies it helps introduce and the expert advice it gives to other offices. 

3.1.1 Systemic Safety Approach

RD&T follows DOT’s systemic safety approach by using data to analyze safety risk and 

prioritize research that best addresses program goals. Collaboration with public and private 

partners helps RD&T identify research needs for the railroad system as a whole.
7

Strategies

Use data to understand safety risk in the railway system.

RD&T has developed a Safety Risk Model (SRM) to analyze safety risk across the railroad 

system. The model calculates safety risk by multiplying the likelihood of accidents occurring by 

the consequences when they do occur. It ranks individual hazards and provides an indication of 

where RD&T project investments may have the greatest influence on improving safety. 

The SRM uses data from FRA’s Rail Accident/Incident Reporting System (RAIRS) [5]. A 

record is created in this system whenever an accident or incident occurs that meets a certain 

reporting threshold. RAIRS also contains operational data such as miles traveled, passenger 

miles, and labor hours. This information is used to normalize the raw safety data. 

RD&T will update the SRM as new data becomes available. It will continue to use the model to 

make sure different safety hazards in the railroad system are considered.

Safety risk will be analyzed in detail using predictive analytics. For example, data will be 

gathered to predict the probability of a derailment following a broken rail. 

Collaborate with public and private partners to identify research needs.

RD&T collaborates with internal and external stakeholders to understand research needs and the 

interest in research results. Federal stakeholders include:

• Office of Railroad Safety, for knowledge on emerging safety problems in the field

• Office of Chief Counsel, for information on upcoming regulatory reforms

• Assistant Secretary for Research and Technology (OST-R), for cross-modal research 

needs 

• Pipeline and Hazardous Materials Safety Administration (PHMSA), for tank car 

research needs 

• National Transportation Safety Board (NTSB), for accident investigations and its 

Most Wanted List of Safety Improvements 

External stakeholders who help RD&T identify research needs include: 

• Association of American Railroads (AAR) and its members

• American Short Line and Regional Railroad Association and its members

• Amtrak for passenger rail research needs 

• American Public Transportation Association and its members for commuter, light 

rail, and rapid transit research needs 

• Labor unions, for human factors research needs 

An example of the ongoing collaboration to identify research needs is the work to improve the 

safe transportation of hazardous materials by rail. RD&T works with the AAR Tank Car 

Committee to understand emerging hazardous materials issues. RD&T staff also visit tank car 

maintenance and repair facilities and meet with tank car fleet owners to better understand the 

issues. Research needs are then discussed and agreed upon with the Office of Railroad Safety 

and PHMSA.
8

RD&T participates in selected accident investigations to see first-hand how current systems are 

performing and help determine research needs. This often provides evidence to help evaluate 

technologies developed by previous research. 

FRA’s successful Confidential Close Call Reporting System (C3

RS) was developed and 

prototyped by RD&T [7]. By allowing railroad employees to anonymously report near misses, 

C3

RS identifies safety issues before they become accidents. Some of the identified issues may 

need research by RD&T. As a follow-on from C3RS, RD&T is collaborating with the Office of 

Railroad Safety to launch the Railroad Information Sharing Environment (RISE) program, which 

is modeled on the Federal Aviation Administration’s Aviation Safety Information Analysis and 

Sharing program. The RISE program will be a partnership of FRA stakeholders sharing safety 

sensitive data for the purpose of understanding and mitigating safety problems. 

RD&T periodically sponsors workshops on trespassing, grade crossing, and suicide prevention 

research needs. Attendees are experts from industry, universities, State and local government, 

and public advocacy groups. These workshops continue to provide an opportunity for industry 

stakeholders to gather and discuss needs, issues, concerns, priorities, best practices, and lessons 

learned. RD&T is planning further workshops or similar activities in collaboration with the 

Office of Railroad Safety.

RD&T will continue to collaborate with OST-R’s Intelligent Transportation Systems - Joint 

Program Office on research needs for automated vehicle interaction at highway-rail grade 

crossings.

In identifying research needs, RD&T will continue to balance the need to solve current issues 

with the long-term needs of the railroad industry. RD&T subject matter experts are often called 

on to advise on current problems. At the same time, they remain focused on long-term 

objectives and goals. 

Prioritize research to ensure the best outcomes. 

Once research needs have been identified, RD&T uses a formal prioritization process to select 

research projects for funding. The process uses the following criteria to determine a project’s 

priority:

• Strategic Alignment – If successful, by how much would the project reduce safety risk? 

Are there any expected benefits to other strategic goals? 

• Project Stage – How far is the project along the life cycle from basic research to 

technology transfer?

• Timeliness – Does the project help a current rulemaking, concern a recent major 

accident, or address an NTSB recommendation? 

• Risks to Success – Can costs be controlled? Is there industry support for the project? 

RD&T staff, Office of Railroad Safety staff, and FRA senior leadership determine the criteria 

weightings and score the projects. Each potential project is scored against the above criteria and 

the weighted scores are combined to provide a prioritized list of projects. 
9

RD&T will continue this collaborative approach to project selection and periodically update the 

criteria and weightings.

Address safety risk in rural areas.

RD&T programs benefit regional railroads and short lines that tend to operate in underserved 

rural communities. Through an annual grant authorized by Congress, RD&T will continue to 

monitor and support the Short Line Safety Institute. The objective is to help the short line and 

regional railroad industry operate at an increasingly high level of safety by improving safety 

culture.

RD&T will continue its research to improve safety at highway-rail grade crossings. This will 

include passive crossings, which are located predominantly in rural areas. In 2015, passive grade 

crossings (i.e., crossings that indicate to a roadway user that there is a crossing, but do not 

indicate whether a train is approaching) comprised 46 percent of all grade crossings in the U.S. 

Motorists are almost 10 times more likely to have an accident at passive crossings compared to 

active crossings [8].

Clarify RD&T’s role as research leaders in DOT and the railroad industry. 

RD&T has been an active participant on the DOT Safety Council and has helped strengthen 

safety culture in the Department. This participation will continue, with RD&T seeking to share 

its experience on safety risk reduction and to learn from the other modes. 

Many of RD&T’s activities demonstrate its leadership role in railroad research. Examples 

include grade crossing and trespass workshops and the original research and development of 

PTC. However, this role does not extend to funding and implementing new technology. RD&T 

will clearly define its leadership role and its limitations so industry partners understand when 

responsibility passes to them.

3.2 Infrastructure Goal

While the primary driver of the research and development program is improving safety, many 

projects also contribute to achieving DOT’s goal of investing in infrastructure. 

3.2.1 Project Delivery, Planning, Environment, Funding, and Finance

RD&T develops decision tools that are used by others to support DOT’s objective to ensure 

Federal investments improve the Nation’s infrastructure and increase safety.

Strategy 

Provide tools to ensure Federal investments achieve safety improvements.

RD&T developed GradeDec.Net, a web-based decision-making tool for investment in highwayrail grade crossings [9]. State departments of transportation, local governments, metropolitan 

planning agencies, inspectors, and railroad companies use it to analyze the costs and benefits of
10

highway-rail grade crossing infrastructure investments. The tool identifies the most costeffective investment option and quantifies the safety benefits.

RD&T will continue to invest in GradeDec.Net. Future enhancements are likely to cover the use 

of locomotive horns at highway-rail grade crossings and support decisions regarding autonomous 

vehicle fleets.

3.2.2 Life Cycle and Preventive Maintenance

RD&T will meet DOT’s objective to keep its facilities and equipment in a state of good repair.

Strategy 

Maintain RD&T facilities and equipment in a state of good repair. 

RD&T’s primary facility is the Transportation Technology Center (TTC), consisting of a 52- 

square-mile tract of land near Pueblo, Colorado [10]. Since its dedication as the High-Speed 

Ground Test Center in 1971, the TTC continues to play an important part in research, 

development, and testing of rail infrastructure and equipment. An example is the Positive Train 

Control (PTC) test bed, funded by RD&T, that enables railroads and system suppliers to test 

products before they enter revenue service. 

Plans for using the TTC in the future include: 

• Enhancing FRA’s capability to independently evaluate railroad equipment and 

infrastructure integrity

• Developing testbeds to evaluate new track defect detection technologies 

• Expanding the PTC testbed to enable the testing and evaluation of new intelligent 

transportation technologies 

• Continuing to develop a training facility for FRA and Transportation Security 

Administration inspectors

RD&T and the onsite contractor share the responsibility for maintaining assets at the TTC and

investing in the facility. Both parties collaborate and agree on annual maintenance and 

improvement plans. RD&T ensures the plans meet FRA’s needs. The contractor identifies 

maintenance needs and selects its own investments to support commercial testing. When 

funding allows, the plans will contain environmental sustainability improvements toward 

meeting DOT’s Strategic Sustainability Performance Plan goals for sustainable buildings and 

renewable energy [11].

FRA’s Cab Technology Integration Laboratory (CTIL), developed by RD&T, supports human 

factors research on train operation. CTIL is a locomotive simulator configured with computer 

monitors, displays, and tools for analyzing crew performance. It is located at DOT’s Volpe 

National Transportation Systems Center (Volpe Center) in Cambridge, Massachusetts. 

RD&T has developed a strategic plan for CTIL [12]. It will continue to keep CTIL’s technology 

up-to-date and will increase its usage by railroads, industry suppliers, academics, and 

government researchers. A stakeholder review panel was formed to guide the research direction, 

project selection, and evaluation of CTIL. 
11

RD&T installed a CORYS Hybrid Research Simulator at DOT headquarters in Washington, 

DC. The simulator can represent three common PTC systems and provides a platform to study 

safer train handling, with locomotives equipped with the latest automated braking systems. It 

will be kept up-to-date when CORYS distributes new software.

FRA owns two research railcars, a road-rail vehicle, instrumented wheelsets, and various 

portable devices for inspection and measurement. RD&T will continue to use these test cars and 

equipment to develop and test new inspection technologies in the harsh railroad environment. 

3.3 Innovation Goal

New technology is changing the railroad industry and influencing RD&T’s research priorities. 

For example, the implementation of PTC is a major change that will improve safety and 

significantly affect railroad operations in the Nation. RD&T’s role is to help develop new 

technologies, such as PTC, and show how they can be safely integrated into railroad operations. 

RD&T undertakes two main types of research projects. The first acts as a catalyst to introduce 

new technology. The program assumes the initial risk of proving a concept. For promising 

concepts, this is followed by prototype development and demonstration in collaboration with 

industry partners. Technology transfer is complete when the industry commercializes the new 

technology. 

The second type of research project arises when the industry seeks to adopt new technology it 

has developed on its own or purchased from a third party. RD&T then performs the research to 

provide the scientific foundation for necessary waivers or regulatory reform. 

Table 3 gives examples of new technologies the rail industry is currently introducing. It shows 

that new technology impacts all RD&T research areas.

Table 3. Emerging Technologies and Strategy 

Technology Description Research

Area(s)

Strategy

Unmanned 

Aerial 

Vehicle 

(UAV)

A UAV is an aircraft

piloted by remote control or

onboard computers.

Track

Evaluate how an UAV may be 

applied in the railroad industry and 

determine if it can replace or 

enhance existing measurement and 

inspection technologies. 

Artificial

Intelligence

(AI)

AI is human behavior 

demonstrated by machines. 

Track

Train Control & 

Communication 

Evaluate how AI may be applied in 

the railroad industry and determine 

if there are unintended safety risks.

Augmented 

Reality 

(AR) and 

Virtual 

Reality 

(VR)

VR engineering includes 

the use of 3D modeling 

tools and visualization 

techniques as part of the 

design process. 

Human Factors

Determine how AR and VR could 

help to train conductors and drivers 

and improve health and safety. 
12

Technology Description Research

Area(s)

Strategy

Machine 

Learning 

Machine learning gives

computers the ability to 

learn without being 

explicitly programmed. 

Human Factors 

Track

Rolling Stock 

Determine how machine learning 

could ensure timely maintenance. 

PTC

PTC is an advanced system 

designed to automatically 

stop a train before certain 

accidents occur.

Train Control & 

Communication 

Monitor the development of future 

generations of PTC to determine if 

there are unintended safety risks.

More detail on RD&T’s priorities for the next 5 years is provided in the Appendix. 

3.3.1 Development of Innovation

RD&T conducts world-class research that meets the DOT objective to improve safety through 

innovation. This is most effectively done in collaboration with public and private partners. 

Strategies

Collaborate with DOT research and development partners.

RD&T staff participate in many cross-modal working groups dedicated to improving 

safety, while also addressing innovation, infrastructure, and accountability. Table 4 lists 

several examples.

Table 4. RD&T Cross-Modal Collaboration 

Partner Description

Human Factors 

Coordinating Committee 

(HFCC)

Collaboration with other DOT modes to share human factors 

research, information, and lessons learned. 

Intelligent Transportation 

Systems – Joint Program 

Office (ITS-JPO)

Collaboration with the ITS-JPO on multiple efforts, meeting 

regularly based on research needs. ITS-JPO has supported RD&T 

research through cost-sharing arrangements.

Autonomous Vehicles 

(AV)

Participation in the new cross-modal AV working group to discuss 

issues related to automation and autonomous vehicles. 

OST-R Planning Collaboration with DOT modes to improve safety, innovation, 

infrastructure, and accountability through the OST-R Topical 

Research Working Groups (TRWGs). 

RD&T has established a special partnership with the Volpe Center because of the center’s 

specialized technical expertise and relationships with the railroad industry. Research conducted
13

by the Volpe Center provides RD&T with scientific data to help the Office of Railroad Safety 

in decision-making and in supporting regulatory reform. Volpe Center staff provide support to 

NTSB investigators and local FRA inspectors at accident sites when needed.

Innovate in partnership with the railroad industry.

RD&T has a successful history of innovation in partnership with industry and universities. A 

recent example is the Autonomous Track Geometry Measurement System (ATGMS) [13]. This 

technology enables railroads to efficiently gather data on track conditions that are essential to 

maintaining safety. Several railroads provided access to vehicles and equipment for system 

development and installation, supported testing through complimentary train moves, and gave 

invaluable technical feedback on system design and data outputs. 

The research and development life cycle of ATGMS provides a good example of the stages 

involved and collaboration with the industry in a typical RD&T project. Figure 1 shows the 

funding life cycle of the ATGMS project, which began in 2002 and was recently completed. 

Figure 1. ATGMS Project Life Cycle

The ATGMS project was initially funded in 2002 by RD&T to test the concept of unmanned rail 

vehicles recording track quality. Early promise led to the development and testing of a prototype 

in collaboration with an industry supplier in 2006. The supplier used its experience gained from 

developing manned recording systems. Starting in 2009, the demonstration phase was conducted 

on operational main lines with support from 29 Class I, regional, and short line railroads. The 

system developer then commercialized ATGMS and is now supplying it nationwide and 

internationally. To date, 15 systems have been delivered and another 15 are on order. 

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14

Figure 1 shows how RD&T’s funding of ATGMS increased in its early years. RD&T assumed 

the risk in the proof of concept stage. RD&T’s investment leveled off as the industry became 

more involved and ATGMS went into production. A measure of the project’s success is the 

significant reduction in the cost per mile of track recording. The additional track geometry data 

has helped railroads find and repair track defects before derailments occur.

RD&T will continue to innovate in collaboration with industry partners. Opportunities for 

collaboration will be identified by participation in industry forums. RD&T staff will participate 

in the committees that plan and monitor AAR’s cross-industry research program. 

RD&T has created two new research initiatives involving partnership with universities. The 

first is a program to support RD&T’s research projects on intelligent railroad systems. This 

research focuses on advanced technology, automation, and connected vehicle technologies; 

advancing technology to improve safety in rural areas; intelligent transportation systems; and 

workforce development. The second initiative is a partnership with the railroad industry to 

provide research opportunities to universities. RD&T expects to improve rail safety, advance 

innovation, and improve rail infrastructure while enhancing workforce development through 

both efforts. 

Address safety concerns with data and cybersecurity.

As digital technologies increase in power, RD&T continues to research the impact on the 

railroad industry. For example, in cooperation with Metro-North Railroad, RD&T is developing 

an automated methodology for analyzing ATGMS data. Trends in the data are being used to 

predict when preventive maintenance is needed. As railroads become more dependent on data 

for decision support, issues with data security and integrity will need to be addressed.

Cybersecurity is a concern for safety-critical systems such as PTC. RD&T will participate in 

industry working groups, such as the AAR’s Rail Information Security Committee, and 

participate in the research needed to address the cybersecurity of PTC and similar systems.

3.3.2 Deployment of Innovation

RD&T strategies help meet the DOT objective to accelerate the deployment of new technologies 

and remove barriers to implementation. 

Strategies

Ensure new technology can be safely integrated with railroad operations.

RD&T helps to develop technical standards and practices that maximize the benefits of new 

technology. The work with the Railroad Safety Advisory Committee (RSAC) on track safety 

standards is a recent example. FRA’s regulations used to require all new rail vehicles be tested 

on tracks before they are approved for operational service. RD&T successfully demonstrated to 

the cross-industry committee that new methods of computer simulation could verify operational 

safety in many cases. The regulations have been revised to allow computer simulation instead of 

track testing, thereby reducing the time and cost required for rail vehicle approval. 
15

RD&T will continue to collaborate with the industry to implement innovative technology. The 

technology may be an output from RD&T’s own work or be something the industry wants to 

adopt. A recent example of the latter is the use of liquefied natural gas (LNG) as a locomotive 

fuel. RD&T assessed the safety risks and conducted research to provide the basis for FRA to set 

standards to ensure safe operation.

New technology is being introduced by railroads for vehicle and track inspection. Often, the 

intention is to supplement or replace human inspection. RD&T will continue to develop 

methods for checking these new inspection systems are at least as good as those they are 

intended to replace.

New technologies usually require new workforce skills as operational norms change [14]. 

RD&T will continue to investigate the safety aspects associated with integrating people and 

technology. Research will be conducted to examine the extent to which advanced technological 

systems in railroading affect employee training, job design, and other personnel issues. 

Strengthen the technology transfer process.

RD&T participates in OST-R’s Technology Transfer (T2) program. Technology transfer is 

defined as “the process by which existing knowledge, facilities, or capabilities developed under 

Federal R&D funding are utilized to fulfill public and private needs” [15]. It is how RD&T’s 

research gets translated into real-world application and impact. 

RD&T will strengthen its existing technology transfer process by continuing to collaborate with 

OST-R. It will follow guidance from OST-R [16] and the Federal Laboratory Commission [17]. 

Recognizing that the industry is the end user of nearly all the technologies and working practices 

developed by RD&T, there will continue to be collaboration regarding implementation. Possible 

barriers to implementation will be discussed early in projects and throughout their life cycles. 

Where appropriate, stakeholder review panels will be set up to guide projects to implementation. 

3.4 Accountability Goal

RD&T’s strategies support the DOT goals of reforming regulations and improving mission efficiency. 

3.4.1 Regulatory Reform

RD&T has a key role to play in reforming regulations and creating performance-based standards. 

New technologies developed by RD&T are often the precursors to regulatory reform. RD&T 

will support regulatory reform needed to adopt new technology introduced by the industry. 

Many of RD&T’s projects lead toward less prescriptive approaches to ensuring safety.

Strategy 

Participate in reforming regulations.

RD&T’s program provides the scientific foundation for regulatory reform. It gives the Office of 

Railroad Safety an understanding of complex issues that is needed to adapt regulations to 

modern conditions. An example is the recent rule establishing modern, performance-based

safety standards for passenger trains. Research and full-scale testing were performed to revise 

regulations for the crashworthiness of rail vehicles and improve safety in collisions and 

derailments. The final rule will be a deregulatory action under Executive Order (EO) 13771, 

Reducing Regulation and Controlling Regulatory Costs. It is expected to save more than $475 

million in net regulatory costs.
16

RD&T staff will collaborate with FRA’s Office of Railroad Safety and Office of Chief Counsel 

to identify regulations being considered for reform. 

New technologies are constantly being introduced to the railroad industry. RD&T will identify 

those that are going to require regulatory changes and conduct research to help make those 

changes when necessary.

3.4.2 Mission Efficiency and Support

RD&T strategies will ensure progress toward DOT’s objective to develop staff and increase 

effectiveness.

Strategies

Increase staff knowledge and industry awareness.

RD&T staff members are highly educated subject matter experts. RD&T’s success depends on 

fostering good relationships with industry, staying aware of industry trends, and maintaining 

credibility with stakeholders. RD&T staff are expected to participate in industry forums, 

seminars, conferences, and working groups. RD&T managers will continue to support staff 

development and standing within the industry by:

• Assessing staff capabilities and addressing areas for improvement 

• Mentoring staff and providing opportunities to broaden skills

• Encouraging staff participation in industry forums, working groups, and conferences

• Supporting professional development 

Ensure prudent financial management and procurement.

RD&T is held accountable for the public funds it uses to complete its mission. Congress funds 

the Railroad Research and Development program through annual appropriations. The 

appropriations may include statutory mandates for topics such as LNG, Safe Transport of Energy 

Products, Research with Universities on Intelligent Transportation Systems, and Short Line 

Safety Institute programs.

Although the program’s funds are available until they are expended, RD&T will continue to plan 

to use them in the first fiscal year they are made available. To comply with FAST Act 

requirements, RD&T will complete the following plans each year:

• Annual Modal Research Plan – A research overview spanning 2 fiscal years

• Annual Performance Plan – A review of activities for the previous fiscal year
17

• Annual Funding Plan – Details of acquisitions for the upcoming fiscal year

RD&T division chiefs and program managers plan acquisitions based on the performance of 

each research project. They decide if research will continue and how many phases or option 

years will be pursued. 

They agree with an FRA contracting officer on the most appropriate procurement option to use 

for each acquisition.

The Small Business Innovation Development Act of 1982 requires a small, but increasing, 

portion of Government research contracts be awarded to small businesses. RD&T will 

continue to support the DOT’s Small Business Innovative Research program in addition to 

meeting FRA’s other targets for small business contract awards.

Improve operational efficiency of the Transportation Technology Center.

The contract for the maintenance and operation of FRA’s TTC expires during this 5-year 

strategic plan. This creates the opportunity to further improve the efficiency of the facility. 

RD&T will collaborate with other FRA offices to start a new TTC contract that meets the various 

needs. Potential use of the site by other Government agencies will also be considered. 

The option to install a solar voltaic power system at TTC would contribute to DOT’s Strategic 

Sustainability Performance Plan [11]. RD&T will work with the contractor at the TTC to 

develop such a system.
18

4. Program Evidence

The ability to prove the Railroad Research and Development program delivers value will allow 

RD&T to continue to have the funding and staffing levels necessary to achieve its mission. This 

proof can be provided by performance measurement and program evaluation. 

4.1 Performance Measurement

Measuring the performance of RD&T activities is necessary to ensure goals and objectives are 

being met and to quantify the value of the research. However, the duration of a given research 

and development life cycle means the impact and value of the research may be hard to define. 

As a proxy, RD&T will identify and track performance measures that indicate the program’s 

contribution to improving safety. For example, a tangible outcome of the ATGMS research 

project was a quantified increase in the annual miles of track recorded. This is an indicator of 

safety improvement because it assisted the railroads in identifying more track quality problems 

and making repairs before derailments happened. 

RD&T will also measure project performance by tracking progress through technology readiness 

levels (TRL). These levels are standard definitions of research and development stages.

Tracking projects by TRL will identify those that are not meeting expectations and need to be 

reviewed. Monitoring the distribution of project TRLs across RD&T will demonstrate the 

program is continuing to provide a pipeline from basic research to implementation. 

In addition, RD&T will track the following performance measures required by OST-R:

• Increase dissemination of DOT-funded research reports (OST)

• Research reports published on eLibrary and the National Transportation Library

• Technology transfer language in research funding agreements

RD&T reports will continue to be published on FRA’s website, the DOT Research Hub and 

Repository Open Science Access Portal database, the National Transportation Library, and the 

TRB’s Transport Research International Documentation database.

4.2 Program Evaluation

RD&T’s earlier Evaluation Implementation Plan [18] has resulted in the publication of several 

reports on the subject [e.g., 7, 19]. An effort within RD&T is currently underway to further 

develop and implement project evaluations. The next steps are to adopt standardized processes, 

guides, and tools. This will help program managers to: 

• Select meaningful project goals and measures.

• Create a data-driven performance improvement culture. 

• Capture data to inform future research.

In addition to the evaluation of individual projects, RD&T will sponsor periodic evaluations of 

the Railroad Research and Development program. The TRB will conduct these evaluations 

using a panel of representatives from railroads, academia, and railroad associations. RD&T
19

will use the feedback and recommendations to set priorities, plan projects, and improve the 

program’s performance. 
20

5. References

1. U.S. Congress. (2008). Rail Safety Improvement Act of 2008. Public Law 110–432.

2. U.S. Congress. (2009). American Recovery and Reinvestment Act of 2009. Public Law 111– 

5.

3. U.S. Congress. (2015). Fixing America’s Surface Transportation Act. Public Law 114–94.

4. U.S. Department of Transportation. (2018). Department of Transportation Strategic Plan for

FY2018-2022.

5. Federal Railroad Administration Office of Safety Analysis. Railroad Accident/Incident

Reporting System.

6. U.S. Department of Transportation. Combined FY 2018 Performance Report and FY 2020

Performance Plan.

7. Federal Railroad Administration. (2015). Confidential Close Call Reporting System (C3RS)

Lessons Learned Team Baseline Phase Report. Technical Report No. DOT/FRA/ORD-15/08. 

Washington, DC: U.S. Department of Transportation. 

8. Federal Railroad Administration. (2011). Data Analysis of Grade Crossing Incidents. 

Research Results No. RR11-27. Washington, DC: U.S. Department of Transportation. 

9. Federal Railroad Administration. (September 2014). GradeDec Crossing Evaluation Tool

Reference Manual 2014.

10. Federal Railroad Administration. (March 2016). Status of the Transportation Technology

Center – 2015.

11. U.S. Department of Transportation. (2016). 2016 Strategic Sustainability Performance Plan. 

12. Federal Railroad Administration. (July 2019). Strategic Plan for the Cab Technology Integration 

Laboratory. 

13. Federal Railroad Administration. (March 2018). Autonomous Track Geometry Measurement

Technology Design, Development, and Testing. Technical Report No. DOT/FRA/ORD18/06. Washington, DC: U.S. Department of Transportation. 

14. Federal Railroad Administration. (April 2016). Railroad Industry Modal Profile: An Outline

of the Railroad Industry Workforce Trends, Challenges, and Opportunities. 

15. Federal Laboratory Consortium for Technology Transfer. (2018). What is T2. 

16. U.S. Department of Transportation, Office of the Assistant Secretary for Research and 

Technology. (2016). Building a Foundation for Effective Technology Transfer through

Integration with the Research Process: A Primer.

17. Federal Laboratory Consortium for Technology Transfer. (2018). T2 Playbook. 

18. Federal Railroad Administration. (November 2013). Evaluation Implementation Plan –

Office of Research and Development. Report No. DOT/FRA/ORD-13/47. Washington, DC:

U.S. Department of Transportation. 

19. Federal Railroad Administration. (May 2017). Evaluation of the Federal Railroad

Administration’s Autonomous Track Geometry Measurement System Research and
21

Development Program. Technical Report No. DOT/FRA/ORD-17/05. Washington, DC: U.S. 

Department of Transportation. 
22

Appendix 

Research Priorities

The following tables outline RD&T’s 2020–2024 research priorities.

Table A1. Human Factors Research Priorities

Priority Description

Fatigue Identify existing gaps in research, particularly related to the railroad 

industry, that must be assessed and targeted using a variety of methods to 

study fatigue in railroad operations, including survey research, human

subjects’ simulator experiments, and technology demonstrations.

Human Automation 

Interaction

Address human error that result in accidents and fatalities; investigate the 

safety aspects associated with integrating people and technology. 

Examine the extent to which advanced technological

systems in railroading affect employee training, job design, and other 

personnel issues.

Grade Crossing Safety Identify knowledge gaps related to grade crossing safety; continue to 

investigate technologies to improve grade crossing safety and motorists’ 

behavior at grade crossings.

Trespass/Suicide 

Prevention

Continue research to better understand the two leading causes of rail-related 

deaths in the U.S., trespass and suicide, by conducting pilot studies with rail 

carriers implementing strategies to mitigate trespass and suicide. Evaluate

the effectiveness of these strategies.

Short Line Safety 

Institute (SLSI)

Continue to provide program monitoring and support of the SLSI, which

provides safety culture assessments and training to small railroads, which 

are largely located in rural areas. Funding for the SLSI is an earmark

grant provided annually by Congress.

Table A2. Train Control and Communication Research Priorities

Priority Description

PTC Performance

Monitoring and 

Reporting

Continue in the development and deployment of data collection and

analysis tools for PTC systems under normal operating conditions to 

monitor and evaluate system performance.

Next Generation PTC 

Technologies 

Enhance existing PTC technologies taking advantage of advances in 

automation, communication, and sensor technologies to further 

improve safety.

Intelligent

Transportation 

Systems

Invest in connected vehicle technologies to ensure safe interaction 

of road vehicles with trains at grade crossings. Investigate levels of 

train automations, and develop requirements and standards.

Artificial Intelligence

(AI) and Computer 

Learning (CL)

Incorporate AI and CL into research related to predictive analyses for

PTC system performance and faults as well as identifying risky 

trespasser behavior around railroad tracks and crossings.
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Table A3. Track Research Priorities

Priority Description

Autonomous 

Inspection 

Technologies

Expand the use of autonomous inspection methods to provide more frequent 

and cost-effective measurements and quality assessments of track condition. 

Focus investments in the defect detecting payloads carried by the drones and 

revenue service railcars and the automation of data processing.

Artificial 

Intelligence-Based 

Risk Analysis

Invest in the development of a suite of technologies utilizing Artificial 

Intelligence (AI) to increase safety and reduce human error by improving the 

speed, accuracy, and consistency of inspection processes. The primary focus 

will be the application of predictive analytics to determine high-risk derailment

locations before they exceed any safety threshold.

Safety Assurance 

Performance 

Measures

Railroads are currently testing automated and autonomous technologies to 

supplement or replace manual safety inspections. RD&T will develop

standards and procedures to verify and validate the performance of these new 

systems to ensure their efficacy.

Rail Safety 

Simulations and 

Testing

In direct support of FRA Office of Railroad Safety, invest in computer 

modeling capabilities to improve the state of science of vehicle-track 

interaction, wheel and rail profiles and contact conditions, minimum track 

safety requirements, derailment root causes, defect initiation and crack growth 

rates, and evaluation methods for the qualification of new high-speed

equipment.

Advanced Defect 

Detection Measures

Invest in research and development of improved methods to locate, monitor,

and predict the performance of difficult to detect railroad track safety issues 

such as rail internal defects, longitudinal rail force related issues, and ballast

vertical and lateral restraint.

TTC Research 

Facility Maintenance

and Enhancement

Invest in necessary maintenance and enhancements to ensure the sustainability 

and efficacy of the facility for current and future activities.

Table A4. Rolling Stock Research Priorities

Priority Description

Automated Inspection 

Technologies and

Techniques

Partner with the railroad industry to foster further development of 

automated wayside and on-board inspection techniques and

technologies.

Improved Materials and

Component Designs for 

Rolling Stock Components

Invest in testing and analysis to identify materials which can provide 

improved performance and durability in the railroad environment.

Occupant

Protection Enhancements

Invest in means for improving train occupant protection in the event of 

collisions and derailments by mitigating the potential for loss of 

occupied volume and minimizing the secondary impact velocity to

which passengers are exposed.

Improving the Safety of 

Hazardous Materials 

Transportation

Continue to develop, analyze, and test means for improving the 

structural integrity of tank cars.

Energy and Environmental 

Sustainability

Investigate means for ensuring that advances in alternative fuels such as 

compressed and liquefied natural gas (CNG and LNG) are introduced in a 

safe manner.
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Abbreviations and Acronyms

Abbreviation or 

Acronym 

Description

AAR Association of American Railroads

AI Artificial Intelligence

AR Augmented Reality

ATGMS Autonomous Track Geometry Monitoring System

C3RS Confidential Close Call Reporting System

CFR Code of Federal Regulations

CNG Compressed Natural Gas

CTIL Cab Technology Integration Laboratory

DOT Department of Transportation

EO Executive Order

FAST Fixing America’s Surface Transportation

FRA Federal Railroad Administration

LNG Liquefied Natural Gas

NTSB National Transportation Safety Board

OSHA Occupational Safety and Health Administration

OST Office of the Secretary

OST-R Assistant Secretary for Research and Technology

PHMSA Pipeline and Hazardous Materials Safety Administration

PRIIA Passenger Rail Investment and Improvement Act

PTC Positive Train Control

RAIRS Rail Accident/Incident Reporting System

RD&T Research, Development and Technology

RISE Railroad Information Sharing Environment

RPD Railroad Policy and Development

RSAC Railroad Safety Advisory Committee

RSIA Rail Safety Improvement Act

SBIR Small Business Innovative Research

SLSI Short Line Safety Institute
25

Abbreviation or 

Acronym 

Description

SRM Safety Risk Model

T2 Technology Transfer

TRB Transportation Research Board

TRL Technology Readiness Level

TTC Transportation Technology Center

UAV Unmanned Aerial Vehicle

VR Virtual Reality

On the Cover:

FRA’s DOTX 218/220 vehicle consist is North America’s most comprehensive “single pass” 

inspection platform in use today. Platform inspection technologies include a Gage Restraint 

Measurement System (GRMS), Ground Penetrating Radar (GPR), Light Detection and Ranging 

(LiDAR), Track Geometry and Rail Profile Measurement Systems, a Vertical Track Deflection 

Measurement System (VTDMS), a Joint Bar Inspection System, a Ride Quality Measurement 

System, a Track Component Imaging System, and a Right of Way and Roadbed Imaging 

System. This technology and the data collected can be used to understand critical track support 

and substructure behavior, provide information that can determine root causes of track conditions 

and inform remedial actions, and predict future conditions and safe inspection intervals.