draft of training curriculum with preliminary...

August,14 2012

Prepared by

StarIsis Team

SHRP2 R16B

Tools for Communicating Railroad-DOT Mitigation Strategies

Draft of Training Curriculum

With Preliminary Content of Courses

TABLE OF CONTENTS

INTRODUCTION ........................................................................................... 1

THE INTENDED TRAINING AUDIENCE ............................................................... 1

TRAINING DEVELOPMENT- THE APPROACH ....................................................... 2

TRAINING TOPICS AND CONTENT .................................................................... 2

OVERVIEW OF THE COURSES .......................................................................... 3

R16B TRAINING CURRICULUM ....................................................................... 3

COURSE 1-OVERVIEW OF STREAMLINED RAILROAD HIGHWAY AGREEMENTS ............................................................................. 3 Audience for Course 1 ........................................................................................................................................... 3 Topics discussed in Course 1 ................................................................................................................................. 3 A preliminary description of the content in Course 1 ............................................................................................ 4

COURSE 2 -MASTER AND PARTNERING AGREEMENTS FOR A STREAMLINED FRAMEWORK ............................................................. 6 Audience for Course 2 ........................................................................................................................................... 6 Topics discussed in Course 2 ................................................................................................................................. 6 A preliminary description of the content in Course 2 ............................................................................................ 7

COURSE 3-STANDARD AGREEMENTS FOR EXPEDITING ROUTINE PROJECTS ................................................................................ 7 Audience for Course 3 ........................................................................................................................................... 7 Topics discussed in Course 3 ................................................................................................................................. 8 A preliminary description of the content in Course 3 ............................................................................................ 8

COURSE 4-ENGINEERING TACTICS: UNDERSTANDING RAILROADS AND GETTING TO “YES” IN THE AGREEMENT PROCESS .................... 9 Audience for Course 4 ........................................................................................................................................... 9 Topics discussed in Course 4 ................................................................................................................................. 9 A preliminary description of the content in Course 4 ............................................................................................ 9

COURSE 5-ADMINISTRATIVE TACTICS FOR ENHANCING THE AGREEMENT PROCESS .................................................................... 11 Audience for Course 5 ......................................................................................................................................... 11 Topics discussed in Course 5 ............................................................................................................................... 11 A preliminary description of the content in Course 5 .......................................................................................... 11

COURSE 6-BASIC ORIENTATION FOR HIGHWAY CONSTRUCTION, MAINTENANCE WORKERS ........................................................ 13 Audience for Course 6 ......................................................................................................................................... 13 Topics discussed in Course 6 ............................................................................................................................... 13 A preliminary description of the content in Course 6 .......................................................................................... 13

COURSE 7-A PRIMER FOR EXECUTIVES ............................................................................................................................. 15 Audience for Course 7 ......................................................................................................................................... 15 Topics discussed in course 7 ................................................................................................................................ 15 A preliminary description of the content in Course 7 .......................................................................................... 15

SHRP2 R16B- Tools for Community Railroad DOT Mitigation Strategies

1

INTRODUCTION

The SHRP2 R16 project has identified several best practices, model agreements and streamlined process-

es, collectively called “R16 Innovations” that have been successfully implemented in isolated pockets

nationwide. These innovations improved the workings between the DOTs and the railroads and expedited

agreement processing and delivery of projects involving the DOTs and the railroads (DOT-RR projects).

Currently, there are many roads that cross or abut the railroads that will continue to require long-term

maintenance. Additionally, construction of new projects abutting or crossing the railroads will continue,

albeit at a slower pace. All of this means that DOTs and railroads will continue to work with each other

on projects and implementing the R16 Innovations will make a significant difference to expediting

agreement processing and delivery of DOT-RR projects nationwide.

One of the challenges that transportation agencies face in working on such projects is the loss of workers

who have an understanding of the railroad culture and governance and who know the railroad processes

and practices that help to mitigate issues on DOT-RR projects. The first objective of the R16 training is to

address this knowledge gap. The StarIsis team working on the SHRP2 R16 project is in the process of

developing and delivering a suite of tools to help institutionalize the knowledge necessary to address the-

se challenges. The suite includes a series of proposed training courses described here detailing the R16

innovations. The training being developed incorporates the essential principles of adult learning tech-

niques and will address the information needs of a wide range of users, from decision makers to mainte-

nance and construction personnel who get involved with various aspects of DOT-RR projects.

The second objective of the training is to summarize and disseminate best practices that are not widely

known nationwide. The courses will provide the knowledge and tools to DOT personnel so they can

avoid some of the common roadblocks that arise on these projects.

This document gives an overview of the training courses being considered and is being circulated to the

R16 Community of Interest (COI), a group of stakeholders representing the railroads, DOTs, FHWA,

FRA, AASHTO and SHRP2. The objective is to obtain and incorporate the input from the COI members

before the StarIsis team develops the detailed content of each training course.

THE INTENDED TRAINING AUDIENCE

The intended audience for this course is a wide range of transportation agency personnel who are in-

volved with various aspects of DOT-RR projects.

Due to promotions, retirements and new hiring, there are a large number of transportation agency person-

nel unfamiliar with best practices, streamlined processes and mitigation strategies that can help expedite

the agreement processing and project delivery of DOT-RR projects. This training is intended to augment

that knowledge gap. The target audience will range from new DOT employees to veteran highway

maintenance and construction workers who may benefit from a refresher on the DOT-RR practices and

mitigation strategies. The target audience will include the highway workers who may work close to the

railroad track or conduct inspections on bridges over the railroad tracks. It will include new CEOs unfa-

miliar with the challenges that may arise on DOT-RR projects and need to make decisions on DOT-RR

projects, and senior executives who have hands-on experience addressing some of these challenges, but

may not have been exposed to some of the innovations that peers have implemented to successfully ad-

dress challenges on similar projects.

SHRP2 R16B Tools for Community Railroad DOT Mitigation Strategies

2

TRAINING DEVELOPMENT- THE APPROACH

A key goal of the training is to disseminate information and catalyze the adoption and implementation of

the R16 innovations for DOT-RR projects. Studies on innovation adoption show that peer testimony is

important to the adoption and implementation of innovations. Incorporating the current thinking on the

best way to expedite the propagation and further the adoption of R16 Innovations, the training will in-

clude examples of innovations implemented by peer DOTs. The training will also take into consideration

the different approaches to adult learning. Where appropriate, it will include conversational styles to con-

vey the different perspectives of the DOTs and the Railroads. The content and specifics of each training

course will be detailed after the “requirements gathering” is completed.

To address the wide range of potential users, the training will be developed in a modular fashion covering

introductory topics to detailed agreements. The training will be a logical adjunct to a virtual library of

resources that will house materials from the DOTs and the railroads pertinent to the R16 innovations. The

training courses will be designed to facilitate self-paced, self directed adult learning. They will have ap-

propriate links and navigation to allow users to access materials from the library enabling them to go into

more depth on pertinent topics of interest to them.

The virtual library will include templates of model agreements and examples of various supplemental

agreements. Agreement-specific training will allow the user to download and customize the agreement

templates to meet their specific agency and railroad agreement needs. The training, while allowing self-

paced exploration of content, will be developed in a way that allows users to skip components of the

training with which they are familiar and repeat those that are new to them.

TRAINING TOPICS AND CONTENT

The training will provide an overview that helps the user become conversant with the topic, provide an

understanding of the DOT and railroad perspectives, and the key challenges that delay DOT-RR projects.

It will include the background and overview necessary for decision makers to provide direction and guid-

ance to their staff on the “next steps” necessary to expedite the agreement processing and delivery of pro-

jects involving the two organizations.

The overall curriculum is proposed to include seven major training courses. Though at this early stage of

the training development process it is difficult to specify the details of each training course, it is safe to

state that some courses may have multiple modules. Each course will have a course description and a

synopsis of the material discussed in the course to give the user an overview of what to expect. The seven

major training courses are:

1. Overview of Streamlined Railroad Highway Agreements

2. Master and Partnering Agreements for a Streamlined Framework

3. Standard Agreements for Expediting Routine Projects

4. Engineering Tactics: Understanding Railroads and Getting to “Yes” in the Agreement Processing

5. Administrative Tactics: Enhancing the Agreement Process

6. Essential Orientation - Highway Construction and Maintenance Personnel

7. A Primer for Executives


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OVERVIEW OF THE COURSES

The courses are designed to cover a range of topics from an overview to engineering and administrative

tactics that can be implemented to address the subject topic.

The first course will provide a baseline understanding of the perspectives, governance and cultural differ-

ences between the two organizations. The overview will be helpful to a senior executive as well as to jun-

ior personnel new to RR-DOT projects. The second course will discuss a streamlined framework. It will

include discussions on the master agreements and partnering agreements that agencies can implement to

help streamline and expedite the agreement processing and delivery of agreements and projects. The third

course will discuss some of the standard agreements that can help expedite the agreement processing for

routine projects. The fourth course will be about engineering tactics that have been successfully imple-

mented in isolated pockets across the U.S. to expedite the agreement processing on DOT-RR projects.

The fifth course will explain successful innovations that address administrative challenges. The sixth

course will provide the perspective and background necessary for the safety of maintenance and construc-

tion personnel. The seventh course will be a primer for the senior DOT executive. By taking the first and

the last course a DOT executive will be conversant with the key areas that cause discord and those that

require concurrence while agency personnel are working on DOT-RR projects. It would enable them to

knowledgably direct agency staff to select the R16 innovation that would be most applicable to help

streamline processes and expedite agreement processing and delivery of projects in their agency environ-

ment. In less than one hour, an executive could by taking the first and seventh course receive an overview

of the R16 innovations and receive a roadmap for how to implement them. The remaining five courses

provide additional detail for staff working with railroads every day.

Each course will start with a brief overview of the material that will be covered and conclude with the

highlights of the training covered. Where appropriate video clips and photographs will be included to en-

hance the understanding of the material discussed. The overall logic of the course structuring is “provide

an overview of the course; get into details of the topic and then conclude with the highlights of the mate-

rial covered."

The next several sections provide more details of the material that will be covered in the seven training

courses. Working with subject matter experts, the material will be further refined before the content is

translated into training courses.

R16B TRAINING CURRICULUM

Course 1-Overview of Streamlined Railroad Highway Agreements

Audience for Course 1

The CEO or an employee new to the Railroad DOT projects, who knows nothing to very little about work-

ing on RR-DOT projects, would benefit most from this training. Others who have knowledge of engineer-

ing aspects but are not aware of the background of the differences between the two organizations will

also benefit from this training.

Topics discussed in Course 1

Although problems are common in the highway-railroad agreement process, there are examples of suc-

cessful innovations implemented by highway agencies and railroads that have proven effective at reduc-

ing project delays and increasing the predictability of the agreement process. This course will provide a

summary of all R16 topics relating to successful processes for streamlining the railroad-highway agency


4

agreement process. This overview course will provide a high-level synopsis of the elements of successful

agreement processes including an understanding of the following concepts:

1. Governance and corporate culture of DOTs and railroads.

2. How the railroads and DOTs approach the agreement process.

3. Project management techniques to expedite agreement processing and project development between

DOTs and RRs.

4. Overview of agreements and agreement processing and how to use agreements to expedite pro-

cessing.

5. Elements of partnering and how partnering will help the agreement process.

6. Summary of perspectives, issues and priorities in the RR-DOT partnership.

A preliminary description of the content in Course 1

GOVERNANCE AND CORPORATE CULTURE, APPROACH TO AGREEMENT PROCESSING: In discussing

the governance and corporate culture of the organizations, the intent is to provide the information to help

the DOT users expedite agreement processing and project delivery by understanding the RR perspective.

The course will touch upon some of the similarities and differences between the two organizations to help

the user compare and contrast the two and have a better understanding of the different workings and ap-

proaches to decision making.

The course will also touch upon the pertinent aspects of the differences in the business models of the pub-

lic and private sector organizations and discuss how the profit motive influences railroad project re-

views.. It will discuss why the RRs charge for reviews, for rights-of-way and other services they provide.

As publicly-traded companies, they would almost be considered negligent if they did not charge for their

rights-of-way or for sales of their assets. The share holders would demand compensation for asset and

right-of-way value.

In the section covering the review process, the course will address the differences in RR and DOT per-

spective and how, unlike the RRs, the DOT perspective is based on the fact that the DOTs provide reviews

for free to local communities. They look at projects as providing public benefit so they may not under-

stand why the railroads are reluctant to cooperate with a road expansion that benefits the public. They

may not understand why the railroads charge for reviews and flagging. The course will touch upon the

factors that need to be considered when flagging services are provided including the fact that the rail-

roads are unionized. It will also cover why it is important to plan and communicate the DOT’s flagging

needs to the RRs ahead of time. It will also cover other aspects of railroad agreements that are governed

by their union agreements.

This course will touch upon the fact that the railroads approach projects very cautiously. They are very

concerned about any disruption to rail traffic movement. They are hyper concerned about safety. They

have to carry a large volume of hazardous materials and these safety concerns permeate into the RR ap-

proach to reviewing and approving agreements. While the RRs are required to carry hazardous materials

they are stuck with the liability of derailments. Therefore, to protect themselves they demand indemnifica-

tion from the DOTs for projects that increase risk of derailments or accidents. .

Also the organizational structure, roles and responsibilities and authority for review and approval of

agreements in the RR is compartmentalized and spread across different divisions and sections. Within the

railroad, people from many divisions and sections (six or seven) have to review an agreement and ap-

prove it. This work flow can take months depending on the person coordinating the agreement flow within


5

the RR and their workload. Understanding the work flow helps a DOT implement innovative strategies to

expedite reviews.

Another area of difference that impacts agreement approval and projects is that the DOTs often take

years between project development steps because of funding problems or environmental issues. It is rou-

tine for a DOT project to take between 5 and 20 years from start of planning to construction. The time

lines for agreements in a railroad are different from that in a DOT. An agreement approved by a RR five

years ago may not be acceptable today because the business needs and track needs of a railroad change

quickly. The RR may not have needed a siding or a new track 5 years ago but due to increases in traffic

volumes and patterns the requirements for additional sidings and lines may arise by the time of the later

review. So when an old agreement for a project that has not yet begun construction comes up for “start of

work” discussions, in all likelihood the RR will review the agreement again and if it finds new RR expan-

sion requirements it may reject the old agreement. In many cases, for the internal RR division personnel

the approach to the agreement processing may be like starting the processing of a new agreement. Not

understanding these differences and how to address them can be challenging to DOT personnel.

PROJECT MANAGEMENT: Another section or module of this course will discuss how using good project

management strategies and tracking milestones and sharing them with the railroads and other members

of other DOT sections has proven to be very effective in expediting agreement processing and project de-

livery. It will include some discussions on some R16 innovations that have been successfully implemented

by peers to address DOT-RR challenges.

OVERVIEW OF AGREEMENTS AND AGREEMENT PROCESSING: This module of the course will provide a

quick overview of agreements. It will touch upon the fact that most work between the DOT and the rail-

road is done based on some form of agreement. With that as a baseline, streamlining the development and

processing of agreements is a logical step to expediting the agreement processing. The course will pro-

vide a high level overview of a series of agreements from master agreements to project-specific agree-

ments such as pipe and wire that are currently being used successfully by some DOTs. The training will

touch upon how these successful implementations involve taking routine and common elements of all

agreements and consolidating them into Master Agreements. Project-specific details are covered through

a short addendum. This twofold approach to agreements involving a standard master and a project-

specific addendum eliminates the need for review of almost 75% of an otherwise all inclusive agreement.

It allows both parties to focus on specific aspects of the project and results in expediting the start of pro-

ject work.

The training will discuss the five or six categories of standard agreements. An overview of the key com-

ponents of the master agreement will be discussed to give the users a high level understanding of the mas-

ter agreement. The overview will also note that there are specific agreements for rail-overpasses, lights

and gates, pipe and wire, and resurfacing. The details of these agreements will be covered in a later

course.

A pictorial representation of the framework of agreements may be included in this overview course to

provide an understanding of the hierarchy of agreements and how they relate to the different common

types of DOT-RR projects. A high level workflow may be included to show how the different agreements

matriculate through the agreement work flow process and how the use of a master and a project specific

agreement or an addendum relate and how they can simplify the agreement processing. The course may

include an example of an R16 innovation to explain the use of a Master agreement and an addendum to

expedite the agreement approval and delivery of a typical crossing resurfacing project.


6

PARTNERING: One module of this training will provide an overview of the partnering process detailed in

the SHRP2 R16 report. It will also include an example of an R16 innovation that shows successful imple-

mentation of partnering.

SUMMARY: The last part of this training will provide a quick summary of the key areas covered in this

overview course. It will summarize the different cultures and governance models. It will highlight the

innovative approach and strategies implemented by some DOTs and railroads to expedite agreement pro-

cessing and project delivery and point the user to additional detailed training on specific topics that can

help them in their efforts.

CLOSING: This course provided an overview of the common problems that occur but also shared the fact

that all around the country there are many successful strategies and innovative approaches being used to

address these problems. The use of these successful strategies is resulting in reductions of problems and

more successes in DOT-RR projects. Success has been triggered by better understanding of the different

cultures and governance models between the two organizations. It has been enhanced by the use of good

project management techniques, master agreements and partnering agreements. There are DOTs around

the country that have achieved success in expediting the railroad agreement processes. Later courses will

walk the user through some of these innovative approaches and how to use them successfully.

Course 2 -Master and Partnering Agreements for a Streamlined

Framework


All different levels of agency personnel involved in developing, approving and implementing the different

types of agreements on DOT-RR projects will benefit from this course.


Course 1 briefly touched upon the master agreement. A series of master agreements included in the R16

innovation catalog have been used by agencies and railroads around the country to streamline the agree-

ment process while meeting the needs of both parties. This course will discuss the details of some of the

master agreements. It will discuss the objectives as well as the major components of the master agreement

in greater detail including the review times, the indemnification and insurance requirements. The users

will be able to review examples of some master agreements and supplemental agreement through links in

the course to better their understanding. They will also be able to download these example template mas-

ter and supplemental agreements and tailor them for use in their agency. It will also discuss the partnering

agreement and how partnering can be successfully implemented to streamline the work between the DOT

and the railroads. The topics covered in this course will include the following:

1. Main elements/components of the Master agreements and the many provisions within a master

agreement

2. Project Specific Supplemental Agreements and how they complement and build from the master

agreements

3. Components of the Partnering Memoranda and how the Partnering Memoranda can layout the expec-

tations of both parties


7


FRAMEWORK AND MASTER AGREEMENTS: The course will discuss the streamlined framework and how

the successful implementation of a master agreement expedites the review and approval of other agree-

ments. It will show how the master agreement streamlines and reduces the components that need to be

covered in a supplemental agreement. It will go over the unique elements that need to be addressed in a

supplemental agreement that are not covered in the master agreement.

SUPPLEMENTAL AGREEMENTS: The discussion will go over components of a supplemental agreement.

For example an agreement could address the project location and area covered (the starting and ending

points of the project, county route section, lat long etc. as appropriate.) It will discuss the nature of the

project, the scope of work, any special aspects or factors being dealt with in the project. Depending on

the project, it may cover the start and end date, the impact of closure, any detour routes etc. The training

will not go into all the different types of supplemental agreements but will cover the main components of

a template supplemental agreement. The training will allow the users to access and download examples

of templates of different types of supplemental agreements housed in the library through links in the train-

ing course. The user can then customize the downloaded template to meet their agency-specific supple-

mental agreement needs. Specific supplemental agreements will be discussed in course 3.

PARTNERING MEMORANDA: In the section on partnering memoranda, the course would share examples

of the successful use of partnering between DOTs and other resource agencies. Though rare and not cur-

rently in use between the DOTs and the railroads, the strategy discussed in the partnering memorandum

commonly used between DOTs and other agencies with success are transferable to DOT-RR efforts.

Analogous to the partnering are examples in the environmental streamlining partnering process and the

construction partnering process.

The benefit of the partnering agreement is that it lays out the expectations of both sides. It specifies that

both partners agree to cooperate, and to have at least annual review meeting to recalibrate and refine

their understanding, identify roadblocks and issues and make improvements to the partnering process

and then update the partnering agreement to reflect these improvements.

Unlike the Master Agreement, the Partnering Memoranda (PM) is not legally binding. Though voluntary,

it will set the steps that will facilitate common understanding and provide clarity on expectations and

highlight steps that can make the collaboration smoother and beneficial to both parties. The PM captures

the fact that knowing the other party's expectations and agreeing on steps to address roadblocks and en-

sure constant communication lays the foundation for better collaboration and long-term problem resolu-

tion.

Course 3-Standard Agreements for Expediting Routine Projects



types of agreements will benefit from this course. DOT supervisors and managers involved in bridge in-

spection, maintenance on right-of-ways, construction and other activities on or around the railroad may

also benefit from this course.


8


In course 1 we provided a high level overview of how standardizing agreements and using master agree-

ments help expedite the agreement processing. The second course provided a detailed discussion of the

master agreement and the main components of the supplemental agreements. Course 2 also discussed the

benefits of using the master and supplemental agreement. Course 3 will go into examples of some of the

common supplemental agreements. It will build on Course 2 and describe the standard agreements used to

expedite typical projects. These agreements are specific to project types and complement, or work with,

the frameworks outlined in the overall master and partnering agreements. Some of the supplemental

agreements that will be discussed in this course include the following:

1. Resurfacing agreements

2. Hazard warning device agreements

3. A Pipe and Wire

4. Right of Entry

i. Maintenance on RR ROW

ii. Bridge inspection


RESURFACING AGREEMENTS: The course will discuss in detail the components of a resurfacing agree-

ment. The course will provide users with an understanding of the different components of this supple-

mental agreement. They will be able to access examples of supplemental agreements that have been suc-

cessfully implemented by peer states to expedite the processing of agreements. The course will also dis-

cuss the accomplishments of at least one DOT that has successfully implemented these innovative sup-

plemental agreements.

HAZARD WARNING DEVICE AGREEMENTS: The course will discuss in detail the components of a hazard

warning device agreement. The course will provide the user with an understanding of the different com-

ponents of this supplemental agreement. They will be able to access an example of this supplemental

agreement that has been successfully implemented by a peer state. The course will also discuss the ac-

complishments of a DOT that has successfully implemented this innovative supplemental agreement.

PIPE AND WIRE AGREEMENTS: The course will discuss in detail the components of a Pipe and Wire

agreement. The course will provide users with an understanding of the different components of this sup-

plemental agreement. They will be able to access an example that has been successfully implemented by a

peer state. The course will also discuss the accomplishments of a DOT that has successfully implemented

this innovative supplemental agreement.

RIGHT OF ENTRY AGREEMENTS: The course will discuss in detail the components of right of entry

agreements. The course will provide the user with an understanding of the different components of this

supplemental agreement. It will discuss the intent of the agreement and the railroad’s perspective in re-

questing a right of entry agreement. The user will be able to access examples of different right of entry

agreements that have been successfully implemented by peers. The course will also discuss the benefits of

successfully implemented these agreements. It will provide links to the templates in the agreement library

for downloading and amending.


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Course 4-Engineering Tactics: Understanding Railroads and Get-

ting to “Yes” in the Agreement Process


This course discusses some of the most common engineering and design issues and addresses some of the

questions frequently asked by DOT personnel working on DOT-RR projects. It provides answers that

could help a DOT person ensure that delays in agreement processing and delivery of projects are avoided.

This course can be useful to a wide range of DOT personnel, from decision makers to maintenance per-

sonnel working along the RR right-of-way.


This course will describe the agreement process from the perspective of the railroad and present to the

highway agency personnel what they need to know to get to 'yes' in the agreement processing. It will dis-

cuss some of the common engineering issues that delay agreement processing and project delivery that

have not been discussed in the other courses including the following:

1. Understanding how RRs review agreements and what the RRs look for

2. What are some “project killers” for the RRs?

i. Not following RR design standards

ii. Railway closures for construction

iii. Unsupervised access to RR rights-of-way

iv. Horizontal or vertical encroachments

v. Undercutting rail beds

vi. Cranes, equipment near ROW

vii. Protecting the operating envelope

viii. Why the clearance from the tracks?

3. Why is there a need for a flagman?

4. Why do railroads charge for their costs?

i. Shareholder profit requirements and union agreements

ii. Why do RRs charge for reviews, flagging, easements and ROW?

5. The submittal and approval process for plans from the RR perspective and how plans are reviewed by

multiple divisions, and why


RR REVIEW CHECKLIST: As railroads review of agreements there are specific things they look for in the

safety of their operations to ensure that the integrity of the track and their operating envelope is not/never

compromised. The railroads look at growth for not just today but what they may need 50 years from now.

Therefore, they will look to ensure that the long-term right-of-way interest is not compromised. Unlike in

the highway situation, it is difficult for a railroad to easily get back right-of way that it has given up.

Once the railroads give up the right of way they are unlikely to get it back. The railroads have a quick

turnaround business model for growth with a long term perspective in mind. The railroads thus have a

perspective that is unique and different from that of the DOT. The course will discuss a checklist of com-

mon items that a RR looks at as it goes through the agreement process.

It will also go over the major “show stoppers” and “project killers” from the railroads' perspective. It

will go over the challenges and delays of not following RR design standards. This is one of the areas

commonly discussed by DOTs as causing major project delays. The issues include not following the rail-

road’s curvature and grading standards or not conforming to construction details. Some RRs use MSE


10

walls while others do not. Some use track separation of 12 feet while other use 14 feet or more. Some RRs

have some specific design standards because they run through mountainous or other challenging terrains

that require additional consideration for tracks and soils. Some have user agreements that dictate “no

disruption” of services during certain times of year.

It is important for agencies to understand that the designs that do not keep within the RR standard re-

quirements will go through review by personnel in multiple areas of the RR, often requiring revisions and

justification before any approval is given. This course will discuss several such differences and where

possible the reasoning to allow the DOT to anticipate and proactively mitigate these issues that could

delay the approval process. The discussion will include the following design issues that commonly cause

delays:

Railway closures for construction

Unsupervised access to RR rights-of-way

Horizontal or vertical encroachments

Undercutting rail beds

Cranes, equipment near ROW

Protecting the operating envelope

Why the clearance from the tracks?

NEED FOR FLAGMEN: This discussion will explain the role of the flagman and the two aspects that com-

plicate the matter. 1) The flagmen are a unionized group and 2) This is a specialty role so the railroads

cannot just get a person off the street or quickly train someone to do the job. They are an expensive re-

source and often there is a shortage of flagmen. The course will briefly cover some of the innovative ap-

proaches as well project management strategies that have been successfully implemented to address this

challenge. The course will discuss the project management strategies implemented by the Florida DOT to

address this challenge. The strategy includes developing a detailed project plan that identifies the annual

requirement for flagmen on CSX projects. This information is shared with the RR ahead of the need ena-

bling CSX to plan and make available the necessary flagging resources. The FDOT project managers

track the availability of flagmen just as they track the availability of other resources working on the DOT

projects. Resource availability and shortages and others project issues are part of the weekly project sta-

tus updates. The use of these standard project management techniques keep the railroad and DOT en-

gaged and proactively managing resource requirements while also managing the project risks and keep-

ing the project on track.

RR COST AND CHARGING FOR SERVICES: In this section we will discuss the fact that the railroads are

private for-profit organizations and they have to charge for services provided. They have to be lean and

efficient and be profitable to survive.

SUBMITTAL AND APPROVAL PROCESS: The submittal and approval process looks for several items. If

something is missing or not meeting the agreement requirements or the railroad standards the approval

process will get delayed. The StarIsis team will try to create a checklist of such items and include it in

this section of the course. This section will also provide a work flow of a successful submittal and ap-

proval process.


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Course 5-Administrative Tactics for Enhancing the Agreement Pro-

cess



types of agreements will benefit from this course.


The considerations in Course 4 were of an engineering or operational nature. Course 5 discusses the ad-

ministrative strategies that can help expedite the agreement process and delivery of DOT-RR projects.

Though administrative in nature, these strategies help to expedite the resolution of both administrative

and engineering issues. If any of the engineering aspects of expediting the agreements gets bogged down,

then the DOT can utilize administrative strategies discussed in this course to overcome those roadblocks.

The topics discussed will include the following:

1. Escalation Process

2. Expediting Resurfacing of at-grade Crossings

3. Lump-sum payments And Multistate Audits

4. Dedicated Railroad Project Manager

5. Process Improvements

i. Project-Management Tactics

ii. Preconstruction meetings

iii. Hiring consultants Knowledgeable in RR Standards and Processes

iv. Developing highway agency manuals for handling RR projects

v. Standardizing Permitting for Access to RR ROW

vi. Meeting Focused on Review and Process Improvements


ESCALATION PROCESS: Though sometimes the idea of escalating an issue for resolution may appear to

be “going above the head” of the person working on the issue, often the reality is that personnel in both

organizations at different levels have different levels of authority. Often the authority at the lowest level of

decision making on both sides is sufficient for routine operations, however, certain issues may arise

where resolution is beyond the authority of those making the routine decision. Resolution of these issues

may need to escalate up requiring a higher level of authority or the need to influence a different sphere of

decision makers. An escalation process enables both parties to move the issue up the chain of command

for decisions. Such escalation and resolution expedites the decision process. The formal escalation pro-

cesses also forces the two organizations to think through and assign appropriately the responsibility and

the authority to make decisions at the different levels of the escalation hierarchy. Washington DOT has

successfully used formal escalation processes to expedite issues that delay the agreement process. This

has resulted in less than 10% of issues between 2005 and 2008 needing to be escalated.

EXPEDITING RESURFACING OF AT-GRADE CROSSINGS: Standardizing the entire process of at-grade-

resurfacing projects has made it possible for the Iowa DOT and the railroad to reduce the backlog of at-

grade resurfacing projects from 8 to 12 years to 2 years. It has also led to a focus on materials and con-

struction practices to ensure longevity. The outcome has been an increase in the life of grade crossings

and approaches from 3 to 4 years to more than 13 years (13 and counting). This section of the course will


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discuss the innovative approach so that other DOTs can understand the details and tailor them for their

state.

LUMP-SUM PAYMENTS AND MULTISTATE AUDITS: Tracking and auditing of payments add to the ad-

ministrative burden of the DOTs and the RRs. This section will discuss some of the innovative strategies

used by DOTs and RRs to minimize these administrative costs. This will include discussion of multi-state

audits where one state audits RR costs and the results are accepted by multiple states, saving the states

and railroads time and expense. States and railroads also have standardized some costs so that payments

can be made in lump sums which also simplify accounting.

DEDICATED RAILROAD PROJECT MANAGER: This section of the training will discuss the innovative

approach to project management. Earlier courses discussed the work flow involved in agreement pro-

cessing and the fact that agreements go through multiple sections in the RR before they get approved. In

most railroads the personnel working on public projects cover multiple states. Their workload does not

allow shepherding of agreements through the RR review process This section will share an innovative

strategy and approach that has been implemented by peer DOTs to have a dedicated RR project manager

funded by the DOT manage the reviews. Variations of this model will be discussed.

Other Process Improvements: This course will also describe in detail several of the following success-

ful tactics implemented by railroads and highway agencies:

PROJECT-MANAGEMENT TACTICS - The shared use by the RRs and DOTs of basic project-

management tactics such as regularly scheduled project-review meetings, sharing of project mile-

stones and sharing of project databases will be described.

PRECONSTRUCTION MEETINGS: This section of the course will explain the benefits of implementing

preconstruction meetings. It will discuss how these tactics have helped peer DOTs address some of

the issues and roadblocks on RR-DOT projects.

HIRING CONSULTANTS KNOWLEDGEABLE IN RR STANDARDS AND PROCESSES: This section of the

course will explain the challenges and delays caused in the development and design phase of DOT-

RR projects. It will then discuss the innovative approach adopted by some DOTs to minimize the de-

lay through hiring consultants experienced in working on DOT-RR projects. By hiring from a select

list of experienced consultants who are knowledgeable in the RR design standards as well as in the

DOT approach the DOT can avoid delays on projects. The course will touch upon examples where

consultants not conversant with the RR design standards and process can delay projects and touch

upon the important areas of expertise that can be used as guidelines in the hiring of consultants to

expedite the development and delivery of projects.

DEVELOPING HIGHWAY AGENCY MANUALS FOR HANDLING RR PROJECTS: This section of the

course will touch upon some of the challenges discussed in an earlier course discussing the impact of

loss of institutional knowledge. This training and the accompanying repository will help address

some of the knowledge gaps. This section of the course will also discuss the use of manuals to help

agency personnel understand the agreement process. The course will cover some of the major com-

ponents that need to be in such an agency manual. It will also provide links to some examples of

manuals housed in the virtual library. It will allow users to download these manuals for use in their

agency.

STANDARDIZING PERMITTING FOR ACCESS TO RR ROW: This is an area of discussion between the

DOTs and the Railroads. The course will discuss the different perspectives. Working with the COI


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members, the StarIsis team will try to summarize multiple innovative strategies that agencies can re-

view and adopt depending on their special circumstances.

MEETING FOCUSED ON REVIEW AND PROCESS IMPROVEMENTS: This section of the course will

discuss the R16 innovations that will streamline the process improvement and update process. It will

touch upon how implementation of basic process improvement process can make significant im-

provement to all aspects of work that take between the DOT and RR on DOT-RR projects and agree-

ment processing.

Course 6-Basic Orientation for Highway Construction, Maintenance

Workers


Though all levels of agency personnel will gain some understanding on the railroads' approach to safety

when working around railways, the highway and maintenance personnel will benefit most from this train-

ing. This course covers essential information that will make the agency personnel working around rail-

road tracks more vigilant.


The Course 1 gives a big picture overview to a person new to the process including the new CEO, the

maintenance personnel and the construction personnel. Course 6 goes into more details of some of the

railroad safety requirements and the reasoning behind the requirements that will be very helpful to per-

sonnel working on or close to the railroad tracks. The course will cover the following topics:

1. Why the extra safety requirements when working around railroad tracks

2. Rational for permits and RR coordination for access to ROW.

3. The role of the flagman and the need for flagging.

4. Fouling of track can lead to derailments.

5. Undercutting of rail bed comprises track integrity

6. Equipment near the operating envelop poses a threat

7. RRs carry large quantities of hazardous materials, including flammable and poisonous gases

8. Right-of-ways often contain utilities such as natural gas, fuels, fiber optic, electrical and other

critical utilities that can be compromised by construction


This course will provide valuable information to DOT personnel working on or around the railroads. It

will provide perspective on why the railroads are sensitive to people working on their rights-of-way with-

out permits or insist on safety training for agency and contractor personnel working around the railroad

property.

The perspective and approach of a highway maintenance or construction personnel is significantly differ-

ent from a railroad maintenance or construction personnel. Routinely while working on projects, the

highway and construction personnel move freely around the highway project site. They will drive around

and off the construction sites and onto adjacent Right of Way around the project site in areas that a nor-

mal person would not feel safe driving. A similar approach will not be safe around a railroad track.


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The facts about railroad fatalities is contrary to the common understanding that people get killed near

railroads while in a vehicle crossing the tracks. The reality is that only one-tenth of the people killed in

railroad accidents are in vehicles. The majority of the accidents and fatalities involve people who are

walking or working on or around the track. So statistically one is more likely to get killed working around

a railroad than while driving a vehicle across the track. Therefore the railroads are overly sensitive to

people working on or near the railroad tracks. That is the rational for the railroads requiring DOT per-

sonnel and contractors to obtain permits prior to accessing the railroad right-of-ways. For the DOT it

means that the sense of safety and precautions taken by the DOT personnel and contractors working

around the tracks has to be heightened.

Another reason for requesting and receiving a permit for access is the daunting challenge of monitoring

people being around the railroads tracks. With railroads having to manage thousands of miles of railroad

track, the request for permit is also a mechanism to be aware that someone is working on a project on or

around the track. It serves as a cross check to inform and make various railroad personnel aware of ac-

tivity occurring on a specific segment of track.

ROLE OF FLAGMEN: This section of the course will discuss the role of flagmen in coordinating rail

movement activities and ensuring safe movement of the trains and safety of personnel working around

railroad tracks. It will also discuss some facts about train movement. For example it takes at least two

miles to stop a train and trains go in both directions on a single track. The only reason these trains run-

ning in both directions of a single track do not crash into each other is because of the high level of coor-

dination, signaling and flagging.

UNDER CUTTING OF RAIL- BED OR FOULING OF TRACK CAN LEAD TO DERAILMENTS: This section of

the course will discuss the practical reason why one cannot work around a rail track or operate equip-

ment near a railway without permits. This section will also discuss some facts about tracks. For example,

even minor debris on a track can lead to derailment of trains and how even excatvating20 feet or more off

the rail-bed can cause the rail bed to slump. Similarly undercutting the rail bed compromises the integrity

of the track. Knowing these facts will be useful to DOT personnel working around the tracks. Any change

in the track integrity can cause derailment. This sensitivity to track integrity coupled with the fact that

trains have to carry hazardous materials is a major area of safety concern for the railroads. Sections of

the course use appropriate videos and photographs of derailments, crane accidents and other examples to

explain these challenges and the steps that can be effective in avoiding them.

IMPLICATIONS OF WORKING ALONG THE RIGHT-OF-WAY: Over the course of time utility and other

companies have laid underground high pressure gas pipeline, fiber optics and other utilities. Therefore

working away from the tracks but around the right-of-way without detailed and up-to-date knowledge of

these pipes and lines is not safe.

In summary

This is a Worker 101 course. It will discuss what a highway or maintenance person new to the process

needs to be vigilant about when working around a railroad track and around the rail Rights-of- way.

Getting a permit triggers action and informs the railroad of activity expected around the work site. It en-

ables them to screen for safety issues and informs the agency about issues that the highway personnel

need to be cognizant of. It initiates action within the railroad to review and provide feedback on location

of utilities and plans of pipes and lines around the area of work that need to be considered. It also coor-

dinates activities necessary to provide flagging and other services.


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Course 7-A Primer for Executives


This course will be most beneficial to agency decision makers

Topics discussed in course 7

This course tries to do two things: It provides a summary of topics discussed in other courses while

providing executives with a roadmap for implementing the R16 innovations. It will summarize practices

that will help with setting up administrative processes and address some organizational issues that will

help to expedite the DOT-RR agreement processing and project delivery. It will recap and provide an ex-

ecutive summary of all the courses available to help a decision-maker understand the R16 innovations

they can implement in their agency. The course will also provides an agency personnel a checklist of

things that they can implement to ensure that the right steps, partnering agreements and relationships are

built between the DOT and the railroad to pave the way for collaborative success. It also gives a list of

successful innovations that can be adopted by an agency to address bottle necks and ensure quick resolu-

tion of issues that occur. By incorporating performance metrics and project management strategies the

discussion can move to areas of quantitative improvements. It will also explain that the updated R16 In-

novation Catalog will be a resource they can tap in the future to find additional innovations implemented

by peers. It will cover the following topics that have been implemented successfully in other agencies:

1. Relationship Building and Partnering

2. Master Agreements and Partnering Memoranda

3. Expediting Agreement Processing through Use of Standard Agreements

4. Training of Agency Personnel

5. Expediting agreement processing through Formal Escalation Process

6. Using Performance Measures and Project management Techniques

7. Review and Adoption of Pertinent Innovations from the R16 Innovation Catalogue


RELATIONSHIP BUILDING AND PARTNERING: An agency can significantly improve the collaboration

and coordination required between the DOT and the railroads by approaching the relationship as one of

partnering. This course will provide a brief overview of the benefits of establishing positive relationships

to expedite all aspects of work between the two organizations. It will include some examples of using the-

se techniques to expedite work that has been successful in peer DOTs.

MASTER AGREEMENTS AND PARTNERING MEMORANDA: This course will provide a high level synopsis

of the advantages of using master agreements and partnering memoranda. The information shared is in-

tended to help a decision maker understand the benefits. The support of a senior executive such as a chief

executive or chief engineer can catapult the process of implementation of these tools in an agency and

can result in significantly expediting the pace of work between the DOTs and the railroads. This course is

intended to help the decision makers understand the impact of these tools so that they can direct action in

their agency.

EXPEDITING AGREEMENT PROCESSING THROUGH USE OF STANDARD AGREEMENTS: This course

will provide a summary of the benefits that can be achieved by an agency from implementing some of the

standard agreements from the R16 Innovation Catalog that are applicable to the agency’s operations.

The information provided should help a decision-maker understand the benefits of the different types of


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standard agreements and the applicability to their agency. It should also allow them to direct and support

agency efforts to adopt and implement those that are beneficial to the agency’s operations.

TRAINING OF AGENCY PERSONNEL: This section of the course will explain how the training can be de-

ployed through the appropriate agency divisions to effectively use the R16 innovations.

EXPEDITING AGREEMENT PROCESSING THROUGH FORMAL ESCALATION PROCESS: This section of the

course will provide an executive level summary of the escalation process and how agencies have benefit-

ed from it.. The overview is intended to provide just the necessary information to help the agency deci-

sion-makers discern its applicability to their agency environment.

USING PERFORMANCE MEASURES AND PROJECT MANAGEMENT TECHNIQUES: This section will dis-

cuss at an executive summary level the performance measures and project management techniques im-

plemented by peers and the benefits of such implementation. This overview should provide the necessary

information to help the agency decision-makers provide direction, support and guidance to internal teams

on the project management techniques and the performance measures that would be most pertinent to

implement in the agency.

REVIEW AND ADOPTION OF PERTINENT INNOVATIONS FROM THE R16 INNOVATION CATALOGUE: This

section of the course will provide an overview of the innovations in the R16 Innovation Catalog. The

overview will inform the decision-makers of innovations that are available for their use. They will also

know that the catalog will be updated frequently with new innovations and will serve as a repository of

solutions that they can access at any time in the future to find additional innovations to address challeng-

es and new issues that arise.

draft of training curriculum with preliminary...

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