DOT/FRA/ORD-13/27 MAY 2013

U.S. Department 

of Transportation

Federal Railroad 

Administration

RESEARCH AND DEVELOPMENT

STRATEGIC PLAN

FY2013–FY2017

 

RESEARCH AND DEVELOPMENT MISSION – Ensure the safe, efficient, and reliable movement of 

people and goods by rail through basic and applied research, and development of innovations and solutions.

RESEARCH AND DEVELOPMENT VISION – FRA’s programs and activities are founded on the best 

science and technology, resulting in real world impact.
NOTICE

The United States Government does not endorse products or 

manufacturers. Trade or manufacturers’ names appear herein solely 

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

i

CONTENTS

1. INTRODUCTION .................................................................................................. 2

1.2 Railroad Safety Trends ............................................................................... 2

1.3 Industry Trends Affecting R&D ................................................................. 5

1.4 Legislative and Regulatory Trends............................................................. 5

1.5 R&D Funding.............................................................................................. 6

2. R&D PROGRAM GOALS..................................................................................... 7

2.1 Safety .......................................................................................................... 7

2.2 Other Priorities............................................................................................ 7

3. R&D STRATEGIES............................................................................................... 9

3.1 Organizational Strategies........................................................................... 9

3.2 Facilities and Equipment Strategies......................................................... 12

3.3 Stakeholder Engagement Strategies......................................................... 13

3.4 Procurement Strategies ............................................................................ 14

3.5 Partnership Strategies............................................................................... 15

3.6 Research Needs and Project Selection Strategies.................................... 16

4. PROGRAM EVALUATION................................................................................ 18
1

EXECUTIVE SUMMARY

This plan describes the strategy through which the Federal Railroad Administration’s (FRA’s) 

research and development (R&D) program will support the Department of Transportation’s 

(DOT’s) mission and goals. Safety is the DOT’s primary strategic goal and thus, the principal 

driver of FRA’s R&D program. FRA’s R&D program also contributes to other DOT strategic 

goals because safety-focused projects typically yield solutions that advance state of good repair, 

economic competitiveness, and environmental sustainability. The R&D program also has an 

important role to play in workforce development.

The significant railroad safety improvements achieved since the 1970s, coincident with increased 

traffic and axle loads, have been accomplished by addressing relatively easy-to-solve problems. 

Further improvements require research into the most significant remaining safety risks, such as 

trespassers, highway-rail grade crossing incidents, derailments and collisions. Addressing these 

hard-to-solve problems is a long-term process since new technologies and operating practices 

take time to discover, develop, test and implement widely. FRA’s R&D program has contributed 

to railroad safety improvements over the last 20 years. Stable annual funding is necessary to 

sustain such contributions.

FRA’s R&D program is founded on an understanding of safety risks in the industry. Hazard 

identification and risk analysis allow us to identify opportunities to reduce the likelihood of 

accidents and incidents, and to limit the consequences of hazardous events should they occur. 

Key, overarching strategies include:

• Prioritization of projects based on likelihood of real world impact

• Stakeholder engagement throughout project life cycles

• Partnerships with other researchers such as the Association of American Railroads

• Conducting research through cost-effective procurement

FRA’s Transportation Technology Center (located in Pueblo, Colorado), laboratories and test 

trains are critical to the success of the R&D program. We will continue to practice prudent 

stewardship of these facilities and equipment, and encourage their shared usage with other 

industry researchers and Government agencies. 

The success of the R&D program is measured by real world impact. This impact occurs when 

the end users implement the technologies and practices we develop, and the lessons learned from 

early adopters are shared across the industry. FRA has already begun the systematic evaluation 

of its research program. Over the period covered by this plan we will make evaluation integral 

throughout the R&D program lifecycle. Measurable outcomes will be identified that will 

continue to provide evidence of the achievement of our strategic goals.
2

1. INTRODUCTION

This Research and Development (R&D) Strategic Plan describes how the Federal 

Railroad Administration’s Office of Railroad Policy and Development will conduct its 

engineering and human factors research over the next 5 years. The strategy supports the 

U.S. Department of Transportation’s (DOT’s) strategic goals.

1

This Introduction sets the context for the plan by describing railway industry trends and 

examining historical funding levels for FRA’s R&D program. Section 2 ties FRA’s R&D 

program goals to the Department’s strategic goals. Section 3 gives details of strategies 

for defining R&D program areas, selecting projects, procuring research services,

implementing research projects, and ensuring wide application of research results. The 

final section outlines plans for R&D program evaluations for monitoring the success of 

the program.

1.2 RAILROAD SAFETY TRENDS

In general, railroad safety has improved significantly since the 1970s, even while traffic 

and axle loads have increased. Table 1 shows accident and incident data reportable to the 

FRA for Fiscal Year (FY) 2011.

2 Fatalities are provided for Trespassers and Grade 

Crossing Incidents to provide context. They are not provided for the other causes since 

the year-to-year variation is significant (there were six fatalities across these other causes 

in FY 2011). 

 Table 1. Accident and Incident Data from FY 2011

Fatalities Accidents 

or Incidents

Accidents or 

Incidents/million 

train miles

Trespass 404 n/a n/a

Grade Crossing Incidents 255 1973 2.754

Human Factors Accidents ** 685 0.956

Track-caused Accidents ** 669 0.934

Miscellaneous –

excluding GC

** 299 0.417

Equipment-caused 

Accidents

** 238 0.332

Signal-caused Accidents ** 43 0.060

** - see text above

 

1 U.S. DOT Strategic Plan FY 2010 – FY 2015, “Transportation for a New Generation”, April 15, 2010 – available at 

http://www.dot.gov/stratplan/dot_strategic_plan_10-15.pdf

2 Requirements for reporting railroad accidents/incidents are found primarily in part 225 of title 49, Code of Federal 

Regulations.
3

Accidents involving trespassers are currently the number one cause of fatalities.

Unfortunately, these numbers have remained stubbornly high for a prolonged period, as 

shown in Figure 1. Since trespassing on railroad property involves individual behavior, 

addressing this problem through R&D efforts will require a strong focus on human 

factors and preventative strategies.

Figure 1. Trespasser Fatalities

Highway-rail grade crossing accidents, which in the 1970s killed nearly 1,200 people per 

year, are now the second largest cause of railroad-related fatalities—less than 400 per 

year since 2002. This number is comparable to trespasser fatalities, and thus needs to be 

addressed.

Human errors, such as locomotive engineers misreading signals, are the third largest 

cause of railroad accidents. Figure 2 shows the trends in accidents and fatalities related 

to human factors. The implementation of Positive Train Control on much of the U.S. rail 

network is expected to reduce the effect of human errors during train operation.

Figure 2. Human Factors-Caused Incidents and Fatalities

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The fourth largest cause of accidents is track defects. Figure 3 shows the trend in track 

caused accidents and fatalities. The introduction of FRA’s track safety standards in the 

late 1970s had a profound effect on reducing the number of incidents caused by track 

defects, as shown in Figure 3. 

Figure 3. Track-Caused Incidents and Fatalities

The sixth largest cause of accidents (after miscellaneous causes) is rolling stock 

equipment defects. As Figure 4 shows, this trend is also improving and, since four deaths 

in 1994, no fatalities have occurred due to equipment defects.

Figure 4. Equipment-Caused Incidents and Fatalities

Although signaling and train control defects have not caused any fatalities since 1996, the 

number of incidents has increased significantly. FRA is analyzing the reasons for the 

upward trend. 

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1.3 INDUSTRY TRENDS AFFECTING R&D

Passenger rail travel is significantly safer than highway travel, but as the number of 

passenger miles travelled grows we need to make rail travel even safer than it is today. 

Research, development and implementation of improved technology and operating 

practices is required to enable passenger trains to travel safely at high speeds. We need

to learn as much as possible from overseas high-speed rail systems that have good safety 

records. Our processes for qualification of new equipment and components need to be 

valid and may require enhancement to our existing testing facilities.

Freight rail currently moves about 40 percent of the goods shipped nationwide (as 

measured in ton-miles), and DOT expects the demand for freight rail service to increase 

22 percent from 2010 levels by 2035.

3

 Continued R&D into conventional freight 

operations is necessary to ensure that this growth does not adversely affect safety. 

There are many technological and safety issues to be addressed when passenger train 

speeds and frequencies increase on corridors shared with freight. These issues need to be

catalogued and prioritized. Research needs will then be identified for the high priority 

issues. The research is likely to be a combination of computer modeling and experiment. 

Some in-service testing is also anticipated. 

Lack of investment in passenger rail has resulted in a shrinking pool of domestic experts 

in the field, including personnel skilled in signaling, track and rolling stock design, and 

planners and managers. The domestic manufacturing industry has also declined. 

1.4 LEGISLATIVE AND REGULATORY TRENDS

The Rail Safety Improvement Act of 2008 laid the foundation for a number of initiatives 

including the Risk Reduction Program and implementation of Positive Train Control on 

some rail corridors. Addressing safety risk is a different approach to traditional safety 

oversight. It requires the close involvement of the industry in identifying safety hazards, 

analyzing risk and establishing control measures. This is part of a general shift from 

prescriptive standards towards Safety Management Systems (SMS) and performancebased regulations that emphasize the management and control of risk. Railroads are

being encouraged to develop safety management systems that explain to FRA how risk 

will be managed and an adequate level of safety will be assured.

New locomotive emissions standards come into effect in 2015 (Tier 4). The challenging 

new standards require remanufactured and newly designed locomotives to have 

significantly lower particulate matter (PM) and oxides of nitrogen (NOx) emissions. 

 

3 “National Rail Plan – Moving Forward, A Progress Report” U.S. DOT, Federal Railroad Administration, September 

2010 – available at http://www.fra.dot.gov/downloads/NRP_Sept2010_WEB.pdf
6

1.5 R&D FUNDING

Appropriations for FRA R&D have been generally constant since 2006 at around $35M 

per year when adjusted by the consumer price index (Figure 5).

4

 In addition, as 

appropriations become available, FRA has funded research into high-speed and intercity 

passenger rail. Stable funding enhances the effectiveness and viability of FRA’s R&D, 

enabling multiyear projects, investments in test facilities and equipment, and building and 

retaining expertise. Universities can develop educational programs to ensure a supply of 

qualified engineers is available to the industry. Partnerships can be established with 

industry stakeholders. This sustained funding allows a core of expertise to thrive. 

Knowledge is retained and can be drawn on when accidents need to be investigated or 

other urgent needs arise.

While current funding levels allow us to meet the most pressing needs for safety related 

R&D, there are opportunities to expand university R&D programs that would give

benefits in both new technologies and workforce development. Efforts associated with 

energy, the environment and railroad transportation efficiency could also be expanded

beyond that currently possible under the core R&D funding.

Figure 5. FRA’s R&D Appropriations (Consumer Price Index adjusted)

 

4 Excluding occasional special projects, such as Maglev and the National High-Accuracy Global Positioning System.

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7

2. R&D PROGRAM GOALS

Our mission is to ensure the safe, efficient and reliable movement of people and goods by 

rail through basic, applied and developmental research.5 We will do this by providing the 

best available scientific and technical foundation for FRA’s railroad development and 

regulatory activities. 

2.1 SAFETY

Safety is the DOT’s primary strategic goal and thus, the principal goal for FRA’s R&D 

program. The R&D goal is to reduce safety risk by reducing both the likelihood of 

accidents occurring and the consequence should they occur. Consequence can be defined

as the harm to which an individual or group of people is exposed, and, in this sense, is the 

weighted summation of fatalities, injuries, shock and trauma. Reducing risk over time 

will reduce the number of accidents and actual harm. 

We are creating a safety risk model that will be forward-looking, enabling us to take a 

proactive approach to improving safety. The model will identify the total harm for our 

area of concern and how harm is divided into various categories. While the model will 

be based on historical accident data—FRA’s Railroad Accident/Incident Reporting and 

Highway-Rail Accident/Incident databases— it will also incorporate findings from FRA 

inspections, accountable accidents (those that fall below the FRA reporting dollar 

threshold), and close call reports. The model will also reflect recent changes in 

regulations, technology, and operating conditions. 

Periodically, FRA, with a cross-industry panel of experts, will revise the safety risk 

model to reflect the most recent accident data, new technology, operating practices and 

regulations.

2.2 OTHER PRIORITIES

While being driven by the safety goal, we seek projects that also contribute towards the 

other DOT strategic goals. 

2.2.1 State of Good Repair and Economic Competitiveness

Improving the detection of defects in rails is an example of an R&D project that is driven 

by safety and has additional benefits towards other goals is. The main objective is to

reduce the risk of train derailments from broken rails, thereby improving safety. In 

addition, the technology provides information to the railroads to help them keep the rail 

asset in a state of good repair. By reducing train delays from broken rails in service, it 

also helps the railroads maintain their economic competitiveness. 

 

5 Basic research – building knowledge, understanding and capability without specific applications towards processes 

or products in mind; Applied research – applying the products of basic research towards determining the means by 

which recognized and specific needs may be met; Development – the production of useful materials, devices and 

systems or methods, including the design, production and evaluation of prototypes and new processes to meet specific 

requirements. Adapted from Office of Management and Budget Circular No. A-11, Preparation, Submission and 

Execution of the Budget, August 2011.
8

2.2.2 Environmental Sustainability

FRA’s R&D program will include an Energy, Environment and Engine (E3) subprogram 

to focus on the DOT’s environmental sustainability goal. 

One of the goals of our rail E3 research subprogram is to support the efforts of the 

industry in meeting the new EPA emissions standards. 

Another goal is to become less dependent on fossil fuels by promoting the acceptance and 

increased usage of alternative fuels and technologies by the railroad industry.

2.2.3 Livable Communities

Investment in high-speed and intercity passenger rail will contribute to achieving the 

DOT’s livable communities goal. Our goal is to work with the Next Generation 

Equipment Committee6 to ensure new passenger rail cars are safe, efficient and 

accessible to people with disabilities. 

2.2.4 Workforce Development

FRA’s R&D program has a contribution to make to workforce development in the 

railroad industry. The funding we provide to universities to undertake research enables 

those universities to provide opportunities for postgraduates and, in some cases, to hold 

railway engineering classes. Our goal is to increase the number of students who have had 

opportunities to learn about railroads while at university and go on to have successful 

careers in the railroad industry.

 

6

 The Next Generation Equipment Committee was formed under Section 305 of the Passenger Rail Investment and 

Improvement Act, 2008.
9

3. R&D STRATEGIES

3.1 ORGANIZATIONAL STRATEGIES

One of the critical success factors of previous FRA R&D achievements is the 

organization of the office into four divisions and ten program areas. Table 2 shows how 

divisions and program areas relate to the most frequent causes of accidents and incidents.

Table 2. R&D Program Areas and Accident and Incident Causes

R&D Division and Program Area

Accident or Incident Cause

Trespass

Grade 

Crossing Derailment

Train 

Collision

All Other 

Causes

Office of R&D

Railroad Systems Issues X

Human Factors Division

Human Factors Research X X X X X

Track Division

Track and Structures X X

Track and Train Interaction X

Facilities and Equipment X X X X X

Rolling Stock Division

Rolling Stock and Components X X

Hazardous Materials X X

Train Occupant Protection X X X X

Train Control and Communications Division

Train Control and Communications X X X

Grade Crossings and Trespass X X

Projects will continue to be executed by program managers reporting to Division Chiefs. 

This structure allows professional development of engineers and scientists in their 

particular disciplines. The new focus on key safety hazards will encourage staff in 

different divisions working on common risks to collaborate and adopt systems-based 

approaches to achieving goals. 

3.1.1 Railroad Systems Issues

This program area will direct the entire R&D program towards the DOT’s goals and 

provide assurance that those goals are being met. Near-term strategic priorities are:
10

• Develop and use a safety risk model to help identify R&D 

priorities

• Build FRA capabilities for program evaluation to ensure projects 

have the highest probability of delivering benefits

• Continue to fund projects to address the DOT’s environmental 

sustainability goal

• Seek opportunities for university funding to develop the future 

railroad workforce 

3.1.2 Human Factors Division

Human errors now account for more than one third of all train accidents in the U.S. 

railroad industry. Railroads depend on the adaptability of people, as well as the 

performance of infrastructure, equipment, and control systems to keep the system safe. 

Railroad workers need knowledge, training, tools and alertness to do their jobs properly 

and to ensure the public, their coworkers’ and their own safety. When train crews are 

highly fatigued, the average total accident cost has been found to be more than triple the 

overall average cost of accidents. Strategic priorities for the human factors division 

include:

• Conduct pilot trials to improve safety and organizational culture in 

railroad organizations 

• Conduct research on fatigue, distraction and ergonomics to address 

individual and team behavior

• Develop technology, automation and systems design to minimize 

the potential for human errors

3.1.3 Track Division

Track and infrastructure failure is the second leading cause of train derailments in the 

U.S. Incorrect interaction between moving vehicles and the track is a common cause of 

derailments. Strategic priorities for this division are:

• Develop track inspection technologies that detect defects before 

they become failures in service

• Develop computer modeling capabilities to improve understanding

of vehicle-track interaction, wheel and rail profiles and contact 

conditions

• Expand the use of autonomous recording methods to provide more 

frequent and cost-effective measurements of track condition

• Develop new methods for monitoring difficult to detect safety 

issues such as longitudinal rail force, ballast lateral restraint and

ballast condition
11

3.1.4 Rolling Stock Division

R&D in this division aims to reduce the likelihood of derailments from equipment 

failures and to mitigate the consequences should derailments occur through these or other 

causes. Strategic priorities are:

• Investigate the effectiveness of wayside and on-board monitoring 

systems to detect equipment defects

• Analyze component failure modes to identify necessary 

improvements in materials and construction methods

• Prioritize R&D projects to reduce the risk of transporting 

hazardous materials by rail 

• Build on the recent progress in revising regulations for 

crashworthiness of rail vehicles to further improve safety in 

collisions and derailments

• Prioritize R&D projects to improve fire safety for passenger cars 

and for fuel tanks on both conventional locomotives and diesel 

multiple unit trains

3.1.5 Train Control and Communications Division

Train control and communications R&D is aimed at eliminating train-to-train collisions, 

avoiding over-speed derailments and increasing the safety of track workers. Strategic 

priorities are:

• Support the railroads in meeting the deadlines for implementation 

of Positive Train Control (PTC)

• Continue to support the Generalized Train Movement Simulator to 

help the industry implement PTC optimally

• Identifying areas of residual risk after PTC implementation to 

determine future R&D needs

This division also addresses the top two causes of railroad fatalities and injuries: 

collisions at highway-rail grade crossings and trespassers hit by trains. The strategic 

priorities are:

• Advance safety technologies, education and community outreach to 

improve grade crossing and trespass safety through local pilot trials, and 

then publicize successes 

• Explore opportunities offered by Intelligent Transportation Systems (ITS) 

to improve grade crossing and trespass safety

• Hold research needs workshops on highway-rail grade crossing safety and 

trespass prevention to identify further opportunities for research-driven 

improvements to safety
12

3.2 FACILITIES AND EQUIPMENT STRATEGIES

3.2.1 Transportation Technology Center

The FRA owned Transportation Technology Center (TTC) in Pueblo, Colorado has a 

strategic role in the R&D program. Since its dedication as the High Speed Ground Test 

Center in 1971, it has played an important part in research, development and testing of 

rail infrastructure and equipment. Amtrak’s Acela train, for example, was tested at TTC 

prior to commencement of revenue service in 2000. The facility will continue to be used 

to ensure the safe implementation of new rolling stock and infrastructure technology.

TTC is managed under a unique Care, Custody, and Control contract. The contractor is 

allowed to use the facility for its own purposes, but in return it must maintain the facility 

and invest in site improvements. Annual maintenance and improvement plans will 

continue to be agreed with the FRA and reconciled with the Site Master Plan. 

Environmental sustainability improvements will continue to be made towards the DOT’s 

targets for high-performance buildings and renewable energy.

In recent years the Transportation Security Administration (TSA) has created the Surface 

Technology Security Training Center located at TTC, providing training to Department 

of Homeland Security inspectors and other federal, state and local security partners. This

is one of several cases of other Federal agencies using TTC. FRA encourages other 

government agencies to use the facility on the condition that such usage does not interfere 

with FRA’s core requirements. We will normally require a Memorandum of Agreement 

to clarify requirements and an Inter-Agency Agreement if funds and authority are to be 

transferred to FRA.

3.2.2 Cab Technology Integration Laboratory

FRA’s Cab Technology Integration Laboratory (CTIL) is used for human factors 

research. It is a complete locomotive cab with windows replaced by computer monitors 

that display images of passing track and scenery. CTIL is housed at the Volpe Center in 

Cambridge, Massachusetts. In addition to conducting FRA’s research, we will make 

CTIL available to the industry and other researchers.

3.2.3 Test Cars and other Government Furnished Equipment

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

portable devices for inspection and measurement. This equipment is managed for FRA 

under an Operation, Maintenance, Instrumentation and Analysis (OMIA) contract. The 

contractor is responsible for maintenance and storage of the equipment. 

This equipment will continue to be used for:

• Independent evaluation by the FRA of railroads’ track and structure 

integrity through quick-response instrumentation, test support and 

materials testing.

• Providing a platform for the testing and development of new 

inspection technologies in the harsh railroad environment
13

3.3 STAKEHOLDER ENGAGEMENT STRATEGIES

We believe that genuine stakeholder engagement is the cornerstone for building a 

successful R&D program. Engagement throughout the lifecycle of a research project is 

crucial for identifying, prioritizing, and implementing research that is both relevant and 

feasible to intended users. This strategy helps ensure that we have systematic input and 

multiple perspectives to build the most relevant and useful research program possible. It

substantially increases the likelihood that the products of our research will be used and 

will have wide-scale impacts.

A key internal stakeholder of FRA’s R&D program is the Office of Railroad Safety. 

R&D provides the scientific and technological basis for rulemaking and rule 

enforcement. The Railroad Safety Advisory Committee (RSAC) structure provides an 

important forum for presenting and discussing research results that are being used in 

rulemaking. A recent example is the results of modeling and full-scale testing that were 

used to guide changes to crashworthiness requirements for passenger rail cars.

FRA’s Office of Passenger and Freight, which manages grants and loans for railroad 

investment and development, is another important internal stakeholder. The Office of 

Research and Development provides technical guidance on investments. For example, 

R&D staff lead several industry task forces of the Next Generation Equipment 

Committee involved in writing specifications for new passenger rolling stock that will be 

funded by FRA.

External stakeholders include the passenger and freight railroads because they are 

responsible for implementing the R&D outputs—technologies, practices and policies. 

Our strategy is to involve the railroads at an early stage in the R&D process and to keep 

them informed of progress. Through the Association of American Railroads, we will 

continue to be engaged in the industry’s technical committees that conduct research and

develop standards and recommended practices.

Our stakeholder strategies include active engagement with our labor and manufacturing 

partners, soliciting their input and feedback as participants in oversight committees, 

working groups, and informal meetings and feedback.

Together with the Office of Railroad Safety, we will continue to collaborate with the 

American Passenger Transportation Association (APTA) in developing and maintaining 

standards and recommended practices for passenger rail rolling stock. 

Industry outreach will also include interaction with the American Railway Engineering 

and Maintenance-of-Way Association (AREMA), the Railway Supply Industry, the 

Transportation Research Board (TRB), the American Society of Mechanical Engineers 

(ASME), and the Institute of Electrical and Electronic Engineers (IEEE), among others.

Another part of our outreach strategy is to hold periodic R&D reviews in Washington 

DC. The events are free and open to the public. They typically take place over 2 days 

and include presentations on progress from all R&D project managers. Attendees are 
14

provided with a current list of R&D projects that includes contact details for further 

questions and involvement.

3.4 PROCUREMENT STRATEGIES

Most of the R&D work sponsored by the FRA is conducted by contractors and grantees. 

Research providers include research institutions, universities and consulting firms. 

Consistent funding levels over several years have allowed FRA to build a strong R&D 

supply base, which is critical to the success of the program.

In accordance with the Federal Acquisition Regulations, whenever practicable, every 

attempt will be made to enter into contracts for research work competitively awarded on a 

best-value basis. Contracts may be negotiated on either a firm-fixed-price or costreimbursable basis. Research contract opportunities will be advertised on the Federal 

Government’s acquisition website: www.fedbizopps.gov. 

Additionally, research projects may be funded by FRA through grants and cooperative 

agreements, primarily with non-profit institutions and universities. A grant agreement is 

appropriate when the grantee is solely responsible for conducting the project. A 

cooperative agreement is appropriate when both the grantee and the government or a 

third party participate in the project effort. 

Work will continue to be funded through interagency agreements between FRA and a 

sister agency within DOT, the John A. Volpe National Transportation Systems Center 

(Volpe) in Cambridge, MA. Volpe has developed expertise in several technical areas 

through collaboration with FRA over many years. That expertise is key to the success of 

FRA’s R&D mission. 

Part of FRA’s procurement strategy is to enter in to multiyear contracts for particular 

services. An example is the long term contract with Transportation Technology Center, 

Inc. (TTCI), which manages and operates the federally owned Transportation Technology 

Center. In addition to covering the management of the facility, the contract allows FRA 

to place task orders with TTCI for a variety of R&D services.

Another long-term contract is with ENSCO, Inc. for the Operation, Maintenance, 

Instrumentation and Analysis (OMIA) of R&D’s test cars and road-rail vehicle. This 

5-year contract also allows for task orders to be placed for general R&D support services.

The third area of long-term contracts is a group of multiple, concurrent awards to several 

suppliers that allow FRA to draw upon contractors’ particular expertise for research 

services on short notice. These Indefinite Delivery - Indefinite Quantity (IDIQ) contracts 

typically run for 5 years.

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

increasing, portion of governmental research budgets to go towards Small Business 

Innovative Research (SBIR) projects. The FRA has had some successful outcomes from 

SBIR projects. We will continue to fund the SBIR program at the required level and seek 

projects that are aligned with our strategic goals. 
15

The Transportation Research Board (TRB) of the National Academies of Science 

manages two research programs using FRA’s R&D funds:

• Innovations Deserving Exploratory Analysis (IDEA) Program, 

which seeks technology not necessarily developed for the railroads but 

that might have a railroad application. 

• National Cooperative Rail Research Program, which invites the 

industry to submit ideas for research. It was introduced in 2010 and 

initially focuses on policy, rather than technology, research. 

Both the SBIR and IDEA programs have a two stage funding approach. Work begins 

with modestly funded Phase I efforts. Projects that show promise may receive Phase II 

funding that may result in a prototype or proof of concept. We will continue with these 

programs subject to the availability of funds. 

Periodically, the FRA provides funds for research through a Broad Agency 

Announcement (BAA). The two most recent examples are the Positive Train Control 

BAA of 2009 and the High-speed and Intercity Passenger Rail BAA of 2010. A BAA 

allows FRA to publicize a set of general research needs and to receive proposals from 

potential suppliers. Each proposal is evaluated independently to determine its fit with the 

needs and its value. We will continue to use the BBA approach as part of our 

procurement strategy.

3.5 PARTNERSHIP STRATEGIES

The Association of American Railroads (AAR) conducts research on behalf of all the 

major freight railroads in the U.S. and Canada. By participating in the AAR technical 

committees, we will look for opportunities to co-fund projects and avoid duplication of 

research efforts. The AAR’s recently updated technology roadmap7 will be used to help 

identify such opportunities. The railroad industry often comes up with technology that 

will improve efficiency or extend the life of an asset. FRA has recently developed a 

process for ensuring any such technology provides an acceptable level of safety. When 

requested, we will help guide industry partners though this safety assurance process.

FRA will continue to conduct R&D in close collaboration with the Research and 

Innovative Technologies Administration (RITA). We worked closely with RITA to draft

DOT’s latest research, development and technology strategic plan, which has been a key 

driver in forming this FRA R&D plan. 

RITA is developing an on-line database of research projects8 to improve access for 

interested parties. It is also working with the Transportation Research Board to improve 

the availability of research reports on-line. We will continue to support these initiatives. 

 

7 “Railroad Industry Priority Technical Goals and Directions for the Next 20 Years”, Association of American 

Railroads, November 2011

8 U.S. DOT Research Hub – available at http://ntlsearch.bts.gov/researchhub/index.do
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We plan to share research results with the Federal Transit Administration (FTA). We 

will agree with FTA how our research facilities and equipment can be shared. We 

anticipate co-funding of R&D projects that are of mutual interest.

In addition to technical collaboration with other modes, we will work through RITA to 

improve our research methods. We will share best practice in program evaluation, 

budget formulation, risk analysis and technology transfer. This is one way we will work 

towards the DOT’s goal for organizational excellence.

3.6 RESEARCH NEEDS AND PROJECT SELECTION STRATEGIES

R&D projects have historically arisen from numerous internal and external sources. We 

will continue to seek projects that address DOT’s goals from FRA’s Office of Railroad 

Safety, the rail industry, academia, and industry suppliers. 

The safety risk model will be key to identifying research needs. In consultation with the 

Office of Railroad Safety, we will also identify project concepts that address the missioncritical needs of FRA inspectors. 

Together with the AAR, we will continue to scan universities for technological 

developments that may have railroad application. We will also collaborate with the 

international rail research community to share research results and to seek opportunities 

to co-fund research projects.

Additional sources of research needs will include governmental policy directives, 

regulatory committees such as the Railroad Safety Advisory Committee (RSAC), and 

other government organizations such as the National Transportation Safety Board 

(NTSB) and the American Association of State Highway and Transportation Officials 

(AASHTO). 

The activities described above result in more R&D projects being identified than can be 

typically funded. We will continue to use a project selection process to ensure the 

highest priority projects are funded. High priority projects will satisfy at least one of the 

following criteria:

• Directly focuses on reducing rail-road related fatalities and injuries

• Develops information required for pending or planned rulemaking or 

Railroad Safety Advisory Committee review

• Directly influences industry standards or best practices

• Directly addresses an outstanding NTSB recommendation to FRA or 

one of NTSB’s "most wanted" rail safety improvements

• Improves efficiency or effectiveness of field inspection forces

• Has benefits towards DOT goals in addition to improving safety

• Stakeholders generally believe that the project as conceived will be 

successful and will accept or implement the outcome 

• Outcome will yield safety benefits in excess of cost to implement
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• Represents novel research for the purpose of developing fundamental 

knowledge

• Is close to implementation

Project scores, based on the above criteria, will be calculated first by project managers. 

Then they will be reviewed by Division Chiefs and finally, by the Office Director. The 

highest scoring projects will be included in the annual acquisition plan, and then

approved by the Associate Administrator for Railroad Policy and Development and by 

the Federal Railroad Administrator. 

Projects mandated by Congress will be funded without being analyzed through the 

project selection process. 
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4. PROGRAM EVALUATION

The value and success of our R&D has three key indicators: high quality publications, 

feedback from external evaluations conducted by the Transportation Research Board, 

and, most importantly, real world impacts.

We publish two types of reports on our website:

• Research Result Summaries – four-page reports that describe 

significant R&D projects milestones or outcomes 

• Research Reports – complete records of research projects providing 

details of methodology and results 

In addition, many projects produce peer reviewed papers documenting interim and final 

project results of general interest. Our research reports and papers are also available 

through RITA’s Research Hub and the Transportation Research Board’s publication 

database.9

Since 1996, the Transportation Research Board (TRB) of the National Academies of 

Science has annually reviewed the FRA R&D program. TRB’s appointed expert panel 

receives presentations from FRA staff, and then summarizes its findings in a letter report 

to FRA. Representatives from the largest railroads, academia, States, and former, senior 

government staff typically comprise the expert panel. The letter report includes 

recommendations on the future direction of the R&D program and makes suggestions on 

priorities when funding is limited.10 We will continue to consider TRB inputs in setting 

R&D priorities and planning projects.

Real world impacts occur when railroads, manufacturers, and others implement the 

technologies and practices we develop. FRA R&D drives early stage technology and 

process development, and then transfers ownership to the end user. 

The Government Performance and Results Act (GPRA) directs agencies to assess the 

manner and extent to which their programs achieve intended objectives. The Office of 

Management and Budget has launched government-wide efforts to strengthen program 

evaluation.11 In the period covered by this strategic plan, FRA will make evaluation 

integral to the R&D program lifecycles by building evaluation methods into each project 

from the start. Conducting state-of-the-art program evaluations in all of our R&D 

program areas will help us achieve our mission of improving the safe, efficient, and 

reliable movement of people and goods in the U.S. railroad industry. 

Beyond assessing and reporting on goal achievement, we will systematically assess safety 

risks and needs in the railroad industry, rigorously evaluate R&D priorities and plans, 

 

9 http://trid.trb.org/

10 The most recent report is available at http://onlinepubs.trb.org/onlinepubs/reports/frar&d_May_2012.pdf

11 “Increased Emphasis on Program Evaluations”, Office of Management and Budget, October 7, 2009
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systematically monitor and document project implementation, assess the full range of 

intended outcomes and positive or negative unintended outcomes, and promote use of 

R&D results. By building logic models for R&D projects, we will identify outputs that 

can be readily measured and monitored as precursors to incidents, injuries, and fatalities. 

Our plan for institutionalizing evaluation and building our evaluation capacity has the 

following goals:

• Scope – Develop and integrate quality evaluation standards that span 

the entire R&D life cycle, including program planning, development, 

implementation and technology transfer. Ensure evaluations 

conducted are highly credible, accurate, relevant, timely, useful and 

meaningful to their intended range of industry stakeholders, including 

Congress and the public.

• Procedures – Develop and implement written guidelines for 

incorporating evaluative language into contracts and grants, and 

written guidelines for measuring the usefulness and effectiveness of 

R&D projects and programs from beginning to end.

• Workforce development – Develop evaluation knowledge, skills and 

competence within R&D staff to institutionalize evaluation practices 

as a tool for improving the utilization, impact and effectiveness of 

R&D.

• Staffing and budgeting – Secure long-term staffing and budgeting that 

can make evaluation planning and budgeting a regular part of R&D

program planning.

• Transparency and accountability – Ensure evaluation findings related 

to public accountability are disseminated to policy makers, senior 

leaders and other key decision makers to appropriately inform policy 

and decision making. 

Achieving these goals is expected to result in R&D projects that are increasingly 

successful and accountable, plus enhanced credibility for the Office of R&D.