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REPORT S2-R16-RR-1 Strategies for Improving the Project Agreement Process Between Highway Agencies and Railroads

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TRANSPORTATION RESEARCH BOARD 2010 EXECUTIVE COMMITTEE* OFFICERS CHAIR: Michael R. Morris, Director of Transportation, North Central Texas Council of Governments, Arlington VICE CHAIR: Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore EXECUTIVE DIRECTOR: Robert E. Skinner, Jr., Transportation Research Board MEMBERS J. Barry Barker, Executive Director, Transit Authority of River City, Louisville, Kentucky Allen D. Biehler, Secretary, Pennsylvania Department of Transportation, Harrisburg Larry L. Brown, Sr., Executive Director, Mississippi Department of Transportation, Jackson Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, Virginia William A. V. Clark, Professor, Department of Geography, University of California, Los Angeles Eugene A. Conti, Jr., Secretary of Transportation, North Carolina Department of Transportation, Raleigh Nicholas J. Garber, Henry L. Kinnier Professor, Department of Civil Engineering, and Director, Center for Transportation Studies, University of Virginia, Charlottesville Jeffrey W. Hamiel, Executive Director, Metropolitan Airports Commission, Minneapolis, Minnesota Paula J. Hammond, Secretary, Washington State Department of Transportation, Olympia Edward A. (Ned) Helme, President, Center for Clean Air Policy, Washington, D.C. Adib K. Kanafani, Cahill Professor of Civil Engineering, University of California, Berkeley (Past Chair, 2009) Susan Martinovich, Director, Nevada Department of Transportation, Carson City Debra L. Miller, Secretary, Kansas Department of Transportation, Topeka (Past Chair, 2008) Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson Tracy L. Rosser, Vice President, Corporate Traffic, Wal-Mart Stores, Inc., Mandeville, Louisiana Steven T. Scalzo, Chief Operating Officer, Marine Resources Group, Seattle, Washington Henry G. (Gerry) Schwartz, Jr., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, Missouri Beverly A. Scott, General Manager and Chief Executive Officer, Metropolitan Atlanta Rapid Transit Authority, Atlanta, Georgia David Seltzer, Principal, Mercator Advisors LLC, Philadelphia, Pennsylvania Daniel Sperling, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute of Transportation Studies; and Interim Director, Energy Efficiency Center, University of California, Davis Kirk T. Steudle, Director, Michigan Department of Transportation, Lansing Douglas W. Stotlar, President and Chief Executive Officer, Con-Way, Inc., Ann Arbor, Michigan C. Michael Walton, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin (Past Chair, 1991) EX OFFICIO MEMBERS Peter H. Appel, Administrator, Research and Innovative Technology Administration, U.S. Department of Transportation J. Randolph Babbitt, Administrator, Federal Aviation Administration, U.S. Department of Transportation Rebecca M. Brewster, President and COO, American Transportation Research Institute, Smyrna, Georgia George Bugliarello, President Emeritus and University Professor, Polytechnic Institute of New York University, Brooklyn; Foreign Secretary, National Academy of Engineering, Washington, D.C. Anne S. Ferro, Administrator, Federal Motor Carrier Safety Administration, U.S. Department of Transportation LeRoy Gishi, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior, Washington, D.C. Edward R. Hamberger, President and CEO, Association of American Railroads, Washington, D.C. John C. Horsley, Executive Director, American Association of State Highway and Transportation Officials, Washington, D.C. David T. Matsuda, Deputy Administrator, Maritime Administration, U.S. Department of Transportation Victor M. Mendez, Administrator, Federal Highway Administration, U.S. Department of Transportation William W. Millar, President, American Public Transportation Association, Washington, D.C. (Past Chair, 1992) Robert J. Papp (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of Homeland Security Cynthia L. Quarterman, Administrator, Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation Peter M. Rogoff, Administrator, Federal Transit Administration, U.S. Department of Transportation David L. Strickland, Administrator, National Highway Traffic Safety Administration, U.S. Department of Transportation Joseph C. Szabo, Administrator, Federal Railroad Administration, U.S. Department of Transportation Polly Trottenberg, Assistant Secretary for Transportation Policy, U.S. Department of Transportation Robert L. Van Antwerp (Lt. General, U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, D.C. *Membership as of June 2010.

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The Second S T R A T E G I C H I G H W A Y R E S E A R C H P R O G R A M REPORT S2-R16-RR-1 Strategies for Improving the Project Agreement Process Between Highway Agencies and Railroads GORDON PROCTOR & ASSOCIATES, INC. with STARISIS CORPORATION MICHAEL L. BRADLEY & ASSOCIATES CONSULTING, LLC TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2010 www.TRB.org

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Subscriber Categories Administration and Management Highways Law Railroads

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The Second Strategic Highway SHRP 2 Report S2-R16-RR-1 Research Program ISBN: 978-0-309-12888-9 America's highway system is critical to meeting the mobility Library of Congress Control Number: 2010927335 and economic needs of local communities, regions, and the na- tion. Developments in research and technology--such as ad- 2010 National Academy of Sciences. All rights reserved. vanced materials, communications technology, new data collection technologies, and human factors science--offer a new opportunity to improve the safety and reliability of this im- Copyright Information portant national resource. Breakthrough resolution of significant Authors herein are responsible for the authenticity of their materials and for obtaining writ- transportation problems, however, requires concentrated re- ten permissions from publishers or persons who own the copyright to any previously pub- sources over a short time frame. Reflecting this need, the second lished or copyrighted material used herein. Strategic Highway Research Program (SHRP 2) has an intense, The second Strategic Highway Research Program grants permission to reproduce mate- large-scale focus, integrates multiple fields of research and tech- rial in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, nology, and is fundamentally different from the broad, mission- or FHWA endorsement of a particular product, method, or practice. It is expected that oriented, discipline-based research programs that have been the those reproducing material in this document for educational and not-for-profit purposes will give appropriate acknowledgment of the source of any reprinted or reproduced ma- mainstay of the highway research industry for half a century. terial. For other uses of the material, request permission from SHRP 2. Note: SHRP 2 report numbers convey the program, focus area, project number, and pub- The need for SHRP 2 was identified in TRB Special Report 260: lication format. Report numbers ending in "w" are published as Web Documents only. Strategic Highway Research: Saving Lives, Reducing Congestion, Improving Quality of Life, published in 2001 and based on a study Notice sponsored by Congress through the Transportation Equity Act The project that is the subject of this report was a part of the second Strategic Highway Research for the 21st Century (TEA-21). SHRP 2, modeled after the Program, conducted by the Transportation Research Board with the approval of the Governing first Strategic Highway Research Program, is a focused, time- Board of the National Research Council. constrained, management-driven program designed to comple- The members of the technical committee selected to monitor this project and to review this ment existing highway research programs. SHRP 2 focuses on report were chosen for their special competencies and with regard for appropriate balance. The report was reviewed by the technical committee and accepted for publication according to applied research in four focus areas: Safety, to prevent or reduce procedures established and overseen by the Transportation Research Board and approved by the severity of highway crashes by understanding driver behav- the Governing Board of the National Research Council. ior; Renewal, to address the aging infrastructure through rapid The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research design and construction methods that cause minimal disrup- Board, the National Research Council, or the program sponsors. tions and produce lasting facilities; Reliability, to reduce conges- The Transportation Research Board of the National Academies, the National Research Council, tion through incident reduction, management, response, and and the sponsors of the second Strategic Highway Research Program do not endorse products mitigation; and Capacity, to integrate mobility, economic, envi- or manufacturers. Trade or manufacturers' names appear herein solely because they are considered essential to the object of the report. ronmental, and community needs in the planning and designing of new transportation capacity. SHRP 2 was authorized in August 2005 as part of the Safe, Ac- countable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU). The program is managed by the Transportation Research Board (TRB) on behalf of the Na- tional Research Council (NRC). SHRP 2 is conducted under a memorandum of understanding among the American Associa- tion of State Highway and Transportation Officials (AASHTO), the Federal Highway Administration (FHWA), and the National SHRP 2 Reports Academy of Sciences, parent organization of TRB and NRC. The Available by subscription and through the TRB online bookstore: www.TRB.org/bookstore program provides for competitive, merit-based selection of re- search contractors; independent research project oversight; and Contact the TRB Business Office: 202-334-3213 dissemination of research results. More information about SHRP 2: www.TRB.org/SHRP2

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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni- cal matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Acad- emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achieve- ments of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Acad- emy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scien- tific and engineering communities. The Council is administered jointly by both the Academies and the Insti- tute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transportation Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisci- plinary, and multimodal. The Board's varied activities annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transporta- tion, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org

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SHRP 2 STAFF Neil F. Hawks, Director Ann M. Brach, Deputy Director Kizzy Anderson, Senior Program Assistant, Implementation, Publications, and Communications Stephen Andrle, Chief Program Officer, Capacity James Bryant, Senior Program Officer, Renewal Kenneth Campbell, Chief Program Officer, Safety JoAnn Coleman, Senior Program Assistant, Capacity Walter Diewald, Senior Program Officer, Safety Jerry DiMaggio, Implementation Coordinator Charles Fay, Senior Program Officer, Safety Carol Ford, Senior Program Assistant, Safety Elizabeth Forney, Assistant Editor Jo Allen Gause, Senior Program Officer, Capacity Ralph Hessian, Visiting Professional Andy Horosko, Special Consultant, Safety Field Data Collection William Hyman, Senior Program Officer, Reliability Linda Mason, Communications Officer Michael Miller, Senior Program Assistant, Reliability David Plazak, Senior Program Officer, Capacity and Reliability Robert Raab, International Coordinator Monica Starnes, Senior Program Officer, Renewal Noreen Stevenson-Fenwick, Senior Program Assistant, Renewal Chrystyne Talley, Financial Associate Charles Taylor, Special Consultant, Renewal Dean Trackman, Managing Editor Hans van Saan, Visiting Professional Pat Williams, Administrative Assistant Connie Woldu, Administrative Coordinator Patrick Zelinski, Communications Specialist ACKNOWLEDGMENTS This work was sponsored by the Federal Highway Administration in cooperation with the American Associ- ation of State Highway and Transportation Officials. It was conducted in the second Strategic Highway Research Program (SHRP 2), which is administered by the Transportation Research Board of the National Academies. The project was managed by Monica A. Starnes, Senior Program Officer for SHRP 2 Renewal. This research was prepared by Gordon Proctor & Associates, Inc., in association with StarIsis Corporation and Michael L. Bradley & Associates Consulting, LLC. The principal investigators were Gordon Proctor and Shobna Varma, who were assisted by Michael Bradley. The project team would like to acknowledge the important role played by the project Advisory Panel: J.L. (Lyn) Hartley, Director Public Projects/Field Engineering, BNSF Railway; Chuck Gullakson, Assistant Chief Engineer, Public Projects, CSX; Steve Grosse Rhode, Industry and Public Projects, Union Pacific Rail- road; Ahmer Nizam, HQ Railroad Liaison, Washington State Department of Transportation; Douglas Link, Senior Right-of-Way Agent, California Department of Transportation; Rick Johnson, Deputy Director, Office of Freight Logistics, Maryland Department of Transportation; Darin Kosmak, Railroad Section Director, Texas Department of Transportation; Elizabeth G. Bonini, Bureau of Freight, Ports, and Waterways, Pennsylvania Department of Transportation; Frank Julian, Safety Engineer, Federal Highway Administration; Ronald Reis, Staff Director, Crossing Safety and Trespass Prevention, Federal Railroad Administration; and Thomas Zeinz, consultant and retired from Illinois Central Railroad, representing the American Association of Railroads. Also contributing to the Advisory Panel were the following: Richard Behrendt, Program Manager/State Rail Coor- dinator, Ohio Department of Transportation; Susan Kirkland, Manager, Safety Division, Ohio Rail Develop- ment Commission; Joseph Glinski, Safety Program Engineer, Ohio FHWA Division; Marcus Wilner, Office Director, Ohio FHWA Division Office; and Chuck Taylor, High-Speed Rail IDEA Program, Transportation Research Board.

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F O R E W O R D Monica A. Starnes, PhD, SHRP 2 Senior Program Officer This report for SHRP 2 Renewal Project R16 provides a comprehensive collection of recom- mended practices that promote cooperation between railroads and transportation agencies on highway projects that cross or lie alongside railways. The report presents standard processes and successful practices that can help both sides reduce the time and cost of proj- ect reviews. The report also includes a series of model agreements that both parties can use and amend as needed. Currently, the presence of a highway across or alongside a railroad creates significant chal- lenges to the rapid renewal of that highway facility. Moreover, freight analysis from the U.S. Department of Transportation predicts an 88% increase in rail freight from 2002 to 2035. Highway renewal projects will also increase dramatically in the upcoming years as the high- way infrastructure continues to age and require reconstruction. The need to improve coop- eration between railroads and public transportation agencies is more critical than ever. To mitigate project-delivery setbacks for the transportation agencies and the railroads, the project's research team of Gordon Proctor, Shobna Varma, and Michael L. Bradley con- ducted a thorough review of the railroads' and transportation agencies' perspectives. In addition, the research team members themselves have state department of transportation and railroad backgrounds. This combination of backgrounds provides an insightful under- standing of the motivations, needs, and processes of public highway agencies and railroad companies. Nonetheless, to further enhance this balance from the start, the research team established an advisory panel of volunteer experts. Three Class I railroads, six state depart- ments of transportation, two federal agencies, and the Association of American Railroads were represented on the panel. Throughout this project, the experts reviewed and com- mented on the research products. In the initial stages of the research, the team surveyed all state departments of transporta- tion and interviewed key staff from 10 of them. Likewise, the team interviewed core person- nel in all Class I railroads and several engineering firms that regularly review and design railroad and highway projects. All the interviews proved invaluable for discovering and iden- tifying successful practices and legal agreements. After completing the information gathering, the project team produced a collection of recommended practices, streamlined permitting processes, and, ultimately, model agree- ments for use by public agencies and railroads. The goal of these products is to enhance con- structive cooperation between railroads and public highway agencies as they undertake renewal activities that affect them both.

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C O N T E N T S 1 Executive Summary 1 Understanding the Railroad Perspective 1 Understanding the State Perspective 2 Findings 3 Recommendations 4 References 5 C H A P T E R 1 Background 5 The Problem Statement 5 Types of Projects and Types of Agreements 7 CHAPTER 2 Research Approach 8 C H A P T E R 3 Findings and Applications 8 PART 1: Review of Class I Railroad Permitting and Agreement Processes 8 Summary of Railroads' Perspectives 14 Railroads' Approach to Agreements 15 Standard Review Process 18 PART 2: Review of Highway Agency Processes 18 Where Projects Originate 20 Highway Agency Processes to Address Railroad Needs 23 The Debilitating Effects of Inflation 23 Survey of State and Local Agencies 26 Highway Agency Practices 29 Selected Case Studies of Best Practices 35 Agency Culture and "Desired State" 37 Areas for Improvement 40 PART 3: Review of Federal Regulations 47 References 48 C H A P T E R 4 Conclusions and Suggested Research 48 Enhancing Partnerships 50 Steps in the Partnership Process 52 Implementation at the Program and Project Levels 52 Examples of Best Practices and Processes 63 Railroad Incentives 66 Issues Involving Specifications, Policies, and Institutional Changes 66 Suggested New Specifications, Policies, and Procedures 71 Sustaining Best Practices and Model Processes 75 References

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76 Appendix A. Railroad Processes for Addressing Agreements 88 Appendix B. Analysis of Survey Results 100 Appendix C. Model Agreements