FRA's Five-Year Strategic Plan for Railroad Research, Development, and Demonstrations (“Five-Year RD&D Plan”) reinforces ongoing activities addressing the need for a strategic approach to railroad research and technology.  The Government Performance and Results Act (GPRA) requires each federal agency to develop strategic goals, plans, and performance measures with participation and feedback from external customers.  Strategic plans recently completed by the National Science and Technology Council (NSTC) of the Executive Office of the President of the United States, the U.S. Department of Transportation (USDOT), and FRA, established the foundation for the development of this Five-Year RD&D Plan .  These strategic plans are the product of extensive industry and government coordination and consultation.

The NSTC’s National Transportation Science and Technology Strategy, April 1999, presented a four-tiered approach to preparing for twenty-first century transportation challenges and opportunities:

1. Strategic Planning and Assessment.
2. Private-Public Technology Partnerships.
3. Enabling Research.
4. Transportation Education and Training.

Subsequent NSTC plans were developed in accordance with this four-tiered approach.  The National Strategy’s ultimate goal is to bring together all partners in the transportation enterprise —Federal, State, local, and tribal agencies; academic institutions; and the private sector—to ensure a safe, efficient, sustainable, and secure transportation system for America.  Through science and technology, the National Strategy states, “America can achieve a transportation system that is fast, safe, efficient, accessible, and convenient.”

The NSTC’s National Transportation Technology Plan, published in March 2000, presented implementation strategies for partnership initiatives.  Thirteen partnerships were identified, and five of them involve railroad technology.  The five partnerships and the related FRA programs are:

• Next Generation Transportation Vehicles - High-Speed Non-Electric Locomotives.
  
  
• National Intelligent Transportation Infrastructure - Nationwide Differential GPS and Positive Train Control.
  
  
• Transportation Infrastructure Assurance - Railroad System Issues, and Track and Structures R&D.
  
  
• Monitoring, Maintenance, and Rapid Renewal of the Physical Infrastructure - Track and Structures R&D.
  
  
• Enhanced Transportation Weather Services - Railroad System Issues.

These and other strategic partnership initiatives being carried out by FRA are described in subsequent sections of this Five-Year RD&D Plan . 

The NSTC’s National Transportation Strategic Research Plan, published in May 2000, defines three “breakthrough” research areas and six long-term research areas as a structure for analyzing Federal transportation-related enabling research.  The three breakthrough areas that could significantly alter and expand the technological options available to the transportation enterprise, along with representative applications from the FRA R&D program are:

• Nanotechnology - sensors for track and rolling stock.Bio-fuels – alternative locomotive fuels.
  
  
• Complex Systems and High-Confidence Software - Positive Train Control.

The six long-term applied research areas, along with representative applications from the FRA RD&D program, are:

• Human Performance and Behavior - Railroad Dispatcher Stress and Fatigue Studies.
  
  
• Advanced Materials and Structures - Composite Materials for Railroad Bridges and Trestles.
  
  
• Computer, Information, and Communication Systems - Positive Train Control.
  
  
• Energy, Propulsion, and Environmental Engineering - High-Speed Non-Electric Locomotives.
  
  
• Sensing and Measurement - Track Strength Measurement Systems.
  
  
•   Analysis, Modeling, Design, and Construction Tools - Advanced Rail Vehicle Crash Simulation Tools.

These and other enabling research activities being carried out at FRA are referred to in greater detail in subsequent sections of this Five-Year RD&D Plan . 

The NSTC’s Transportation Infrastructure Assurance Research and Development Plan , developed in June 2000, addresses critical physical and information infrastructure elements as follows:

• Physical security of transportation modes and intermodal connections.
  
  
• Security of vital communications, radio navigation, and information systems and networks.
  
  
• Susceptibility of transportation operators and users to chemical, biological, and radiological threats.
  
  
• Development and dissemination of information about system threats, vulnerabilities, and best practices to transportation system developers, operators, and users.

This Five-Year RD&D Plan for the first time describes activities that FRA will be undertaking to help ensure railroad system security.

The U.S. Department of Transportation Strategic Plan 2000-2005 , issued by the Secretary of Transportation in July 2000, provided additional guidance for FRA’s strategic planning activities.  It includes the following Vision Statement, Mission Statement, and Strategic Goals, all of which are reflected in this Five-Year RD&D Plan :

Vision Statement:

A visionary and vigilant Department of Transportation leading the way to transportation excellence in the twenty-first century.

Mission Statement:

Serve the United States by ensuring a safe transportation system that furthers our vital national interests and enhances the quality of life of the American people.

Strategic Goals:

1. Safety: Promote the public health and safety by working toward the elimination of transportation-related deaths and injuries.
   
   
2. Mobility: Shape an accessible, affordable, reliable transportation system for all people, goods, and regions.
   
   
3. Economic Growth: Support a transportation system that sustains America’s economic growth.
   
   
4. Human and Natural Environment: Protect and enhance communities and the natural environment affected by transportation.
   
   
5. National Security: Ensure the security of the transportation system for the movement of people and goods, and support the National Security Strategy.
   
   
6. Organizational Excellence: Advance USDOT’s ability to manage for results and innovation.

The Organizational Excellence Goal employs six strategies for accomplishing outcomes:

1. Exert leadership throughout the transportation enterprise by articulating a vision and setting future direction.
   
   
2. Provide top quality customer service.
   
   
3. Achieve results by empowering our employees to realize their full potential.
   
   
4. Set the standard for e-government.
   
   
5. Improve our services and processes through innovation, new technology, and proven management techniques.
   
   
6. Accelerate the use of new transportation technologies.

The strategies for innovation, research, and development in the U.S. Department of Transportation Strategic Plan 2000-2005 are aimed at accelerating the use of new technologies and fostering long-term and high-payoff enabling research.  They include:

1. Provide leadership within the Federal Government for transportation R&D, and within USDOT, align R&D, sponsored by the operating administrations, with USDOT’s strategic goals.Ensure a balanced R&D portfolio that addresses the critical, long-term transportation needs of USDOT and the nation through an annual National Research Council peer review of DOT’s R&D proposals.
   
   
2. Leverage long-term research within USDOT and across the Federal Government by bringing together communities of common interest, identifying areas for collaboration, and implementing a long-term transportation research and education program for the Nation.
   
   
3. Eliminate regulatory and legal barriers that slow the innovation process and hinder the deployment of new technology.
   
   
4. Develop and extend public-private partnerships to enable greater information diffusion, quicker product development, and faster rates of learning.

The U.S. Department of Transportation Research and Development Plan , 2^nd Edition, published in May 2000, describes the close relationship between USDOT strategic goals and those outlined by the NSTC as reflected in transportation R&D.  It also describes the R&D Management Strategy for the Department:

• Strategic Planning - The annual USDOT Transportation R&D Plan will provide the strategic framework for aligning USDOT R&D activities with the USDOT Strategic Plan, and annual Performance Plan and Report, the NSTC Transportation Science and Technology Strategy and implementation plans, and requirements outlined in TEA-21 and FAA authorizations.
  
  
• World-Class Transportation R&D Capability - To ensure that in-house R&D organizations are technical centers of excellence, USDOT will assess their performance relative to the FY 2000 baseline, using Malcolm Baldrige, or President’s Quality Award Criteria, ISO 9000, or the Software Engineering Institute’s Capability Maturity Model certification.
  
  
• R&D Tracking - To ensure decision makers have complete, accurate, and timely information on USDOT R&D activities, USDOT is developing a comprehensive R&D tracking system.
  
  
• Peer Review - USDOT aims to ensure that its R&D portfolio is balanced and addresses the critical long-term needs of the USDOT and the Nation.  To this end, the Transportation Research Board’s Committee for the Review of the National Transportation Science and Technology Strategy now conducts an annual assessment of USDOT’s R&D plans and programs, and how they contribute to achievement of Departmental goals articulated in the USDOT Strategic Plan and the USDOT Annual Performance Plan and Report .

The FRA Strategic Plan , published in June 2001, is based on the Department of Transportation Strategic Plan, and on information gathered on national and international trends, likely changes in railroading, and the needs of its customers and stakeholders.  Dramatic changes occurring in virtually every area of railroading demand that the FRA respond flexibly and quickly to maintain the high safety record of railroading in the United States.  Additionally, the FRA has a commitment to ensure that new technologies to improve system safety and efficiency are brought on line expeditiously.

The FRA Strategic Plan, like the Department of Transportation Strategic Plan, has six strategic goals:

1. Safety - Promote safety by working toward the elimination of rail-related fatalities, injuries, and incidents.
   
   
2. Mobility - Promote an accessible, reliable rail transportation system that meets the needs of freight customers and rail passengers.
   
   
3. Economic Growth - Support a rail transportation system that sustains America’s economic growth.
   
   
4. Human and Natural Environment - Protect and enhance communities and the natural   environment affected by rail transportation.
   
   
5. Security - Support the secure movement of people and goods, on the Nation’s rail transportation network.
   
   
6. Organizational Excellence - Promote FRA’s ability to achieve program results.

Figure A-1. DOT R&D Strategic Planning Process

Under the Safety goal, FRA commits to the following RD&D-related activities:

• Conduct research and development to support rail safety rulemaking and safety assurance.
  
  
• Develop and demonstrate a model Positive Train Control (PTC) system and work with the industry to develop standards for interoperable PTC that can be implemented economically.

Under the Mobility goal, FRA commits to the following RD&D-related activities:

• Conduct research, development and demonstration of technologies that enhance the feasibility of high-speed rail applications in the U.S.
  
  
• Implement the Maglev Deployment Program, with a goal of demonstrating a high-speed maglev system in revenue service in the U.S.
  
  
• Complete implementation of the Nationwide Differential Global Positioning System (NDGPS).

Under the Economic Growth goal, FRA commits to the following RD&D-related activities:

• Conduct policy research and analysis leading to the improvement of the economic efficiency of the rail system.
  
  
• Conduct research and development that could lead to improvement in rail industry efficiency, particularly when done in conjunction with work which has safety benefits.

Under the Human and Natural Environment goal, FRA commits to the following RD&D-related activities:

• Conduct research on the use of alternative fuels and other energy conservation and environmental quality improvement actions related to railroads.

The Intelligent Transportation Systems Joint Program Office in USDOT published the National Intelligent Transportation Systems Five-Year Program Plan .  It lays out the goals, activities, and milestones for the National ITS Program from fiscal year 1999 through 2003.  Included in the Plan is an update on the ITS user services, including substantial information on user service #30, the Highway-Rail Intersection User Service.  Also, included as emerging program activities that have FRA involvement, are intermodal freight and rail transit.

The Federal Transit Administration published its Transit Research & Technology Five-Year Plan in October 1999. The Plan established six program areas:

1. Safety and Security
2. Equipment and Infrastructure
3. Fleet Operations
4. Specialized Customer Services
5. Policy and Planning
6. Professional Capacity Building

In the preparation of the FRA Five-Year RD&D Plan , the staff of FRA’s Office of Railroad Development coordinated closely with the staff of the FTA to ensure that matters dealing with commuter rail facilities, rolling stock, and operations were dealt with in a consistent manner in both the FTA and FRA plans.

The American Public Transportation Association also published its Strategic Plan 2000-2004 in October 1999.  It established six strategic goals:

1. Ridership and Business Opportunities.
2. Advocacy.
3.   People and Organizations.
4. Image
5. Safety and Security
6. Membership Development 

FRA staff works closely with APTA staff on safety and security matters, and in particular on crashworthiness, to create a safer and more secure environment for commuter rail riders, workers, and the public at large.

The Association of American Railroads, through its wholly owned research subsidiary, Transportation Technology Center, Inc., has established, and is responsible for carrying out a Strategic Research Program to improve the safety and efficiency of the North American railroad industry.  The Program consists of twelve Strategic Research Initiatives:

1. Wheel/Rail Asset Life Extension
2. Advanced Train Equipment. *
3. Vehicle Track Performance. *
4. Facility for Accelerated Service Testing (FAST)/ Heavy Axle Load (HAL) Operations. *
5. HAL Revenue Service Evaluation.
6. Intelligent Train Systems - Assisted Train Control. *
7. Train Condition Monitoring. *
8. Track Integrity Monitoring. *
9. Special Track Work.
10. Bridges
11. Track Components*
12. Signal System Research. *

FRA has entered into a formal partnering agreement with the AAR.  Asterisks (*) indicate those Strategic Research Initiatives in which there is active involvement by and joint funding with FRA.  More information on the specific projects is provided in subsequent sections of this Five-Year RD&D Plan. 

The staff of FRA’s Office of Railroad Development has participated actively in the preparation of most of the aforementioned plans.  This ensures that there is consistency between this Five-Year RD&D Plan and other governmental, departmental, agency, and private sector strategic plans.