1. RAIL-DOT MITIGATION STRATEGIES A SHRP 2 R ESEARCH PROJECT SENIOR P ROGRAM O FFICER D R. M ONICA S TARNES P RESENTED B Y S HOBNA V ARMA F OR S TAR I SIS C ORPORATION Gordon Proctor & Associates

2. P ROJECT O BJECTIVES Identify strategies, relationships to benefit DOTs, RRs Identify strategies, relationships to benefit DOTs, RRs Seek partnering techniques Seek partnering techniques Develop model agreements Develop model agreements Identify and overcome barriers Identify and overcome barriers 2 SHRP 2 R-16 Rail-DOT Mitigation Strategies

3. T HE P ROBLEM Negotiations are complex Negotiations are complex Railroads are busy Railroads are busy Reviews can be slow Reviews can be slow Solutions can be expensive Solutions can be expensive Negotiations can be contentious Negotiations can be contentious 3 SHRP 2 R-16 Rail-DOT Mitigation Strategies

4. T HE R ESEARCH P ROCESS Advisory panel of states, RRs, federal officials; Advisory panel of states, RRs, federal officials; Interviewed all Class I RRs; Interviewed all Class I RRs; Surveyed all states Surveyed all states Interviewed 10 states Interviewed 10 states Interviewed engineering firms Interviewed engineering firms Reviewed manuals, agreements, standards Reviewed manuals, agreements, standards 4 SHRP 2 R-16 Rail-DOT Mitigation Strategies

5. R AILROAD P ERSPECTIVE Are private companies, obligated to shareholders Are private companies, obligated to shareholders Highway projects do not benefit them Highway projects do not benefit them Are in expansion mode, must preserve rights of way Are in expansion mode, must preserve rights of way Accidents are catastrophic Accidents are catastrophic Liability is infinite Liability is infinite Train delay is intolerable Train delay is intolerable 5 SHRP 2 R-16 Rail-DOT Mitigation Strategies

6. RR S A CKNOWLEDGE D ELAYS RRs agree they sometimes cause delays RRs agree they sometimes cause delays Each unit juggles 800 projects Each unit juggles 800 projects RRs have been downsized RRs have been downsized Highway projects don’t make money Highway projects don’t make money 6 SHRP 2 R-16 Rail-DOT Mitigation Strategies

7. S TATES /L OCAL P ERSPECTIVES Railroad responses can be slow Railroad responses can be slow Railroad requirements can change Railroad requirements can change Railroads charge too much Railroads charge too much Railroads demand changes which increase project cost Railroads demand changes which increase project cost Railroads demand indemnification Railroads demand indemnification 7 SHRP 2 R-16 Rail-DOT Mitigation Strategies

8. F INDINGS Much common ground exists Much common ground exists Both sides agree on common problems and best practicesBoth sides agree on common problems and best practices Both recommend standard agreementsBoth recommend standard agreements Both desire central points of contactBoth desire central points of contact Both want experienced counterpartsBoth want experienced counterparts Both want constant communicationBoth want constant communication 8 SHRP 2 R-16 Rail-DOT Mitigation Strategies

9. F INDINGS Much common ground exists (cont’d) Much common ground exists (cont’d) Both want early coordinationBoth want early coordination Both want experienced consultants who understand railroad requirementsBoth want experienced consultants who understand railroad requirements Both support annual process-improvement meetingsBoth support annual process-improvement meetings Neither use term ‘partnering’ but both embrace its conceptsNeither use term ‘partnering’ but both embrace its concepts 9 SHRP 2 R-16 Rail-DOT Mitigation Strategies

10. Based upon Based upon PartneringPartnering Environmental StreamliningEnvironmental Streamlining Project Management Institute PracticesProject Management Institute Practices Continuous ImprovementContinuous Improvement A N A PPROACH 10 SHRP 2 R-16 Rail-DOT Mitigation Strategies

11. M ODEL P ROCESS A DOPTION 11 SHRP 2 R-16 Rail-DOT Mitigation Strategies

12. P ROMISING S TRATEGY Adopt a ‘Partnering’ framework between RR and DOT Adopt a ‘Partnering’ framework between RR and DOT Clarify in writing how they want to interact Clarify in writing how they want to interact Measure the results Measure the results Continuously review, improve the process Continuously review, improve the process 12 SHRP 2 R-16 Rail-DOT Mitigation Strategies

13. P ROMISING T ACTICS Appoint empowered central liaisons Appoint empowered central liaisons Agree to metrics on review times Agree to metrics on review times Meet regularly on project schedules Meet regularly on project schedules Use standard agreements Use standard agreements Train DOT and RR staffs on other’s processes, requirements Train DOT and RR staffs on other’s processes, requirements 13 SHRP 2 R-16 Rail-DOT Mitigation Strategies

14. P ROMISING T ACTICS ( CONT ’ D ) Agree to escalation procedures Agree to escalation procedures Develop central project repository Develop central project repository Conduct annual process-improvement meetings to regularly review and improve the process Conduct annual process-improvement meetings to regularly review and improve the process SHRP 2 R-16 Rail-DOT Mitigation Strategies 14

15. Project-Level Example What does this mean on a project? What does this mean on a project? Hold kick-off meetingsHold kick-off meetings Clarify roles and responsibilitiesClarify roles and responsibilities Agree to a scheduleAgree to a schedule Track the milestonesTrack the milestones Address issues quicklyAddress issues quickly Escalate when necessaryEscalate when necessary Track the metrics for measurementTrack the metrics for measurement 15 SHRP 2 R-16 Rail-DOT Mitigation Strategies

16. N EXT S TEPS Final report August 31 Final report August 31 Publication late this year Publication late this year Hope to create on- going process to sustain continuous improvement efforts Hope to create on- going process to sustain continuous improvement efforts 16 SHRP 2 R-16 Rail-DOT Mitigation Strategies

17. RAIL-DOT MITIGATION STRATEGIES QUESTIONS ? QUESTIONS ? THANK YOU S HOBNA V ARMA S TAR I SIS C ORPORATION 17 SHRP 2 R-16 Rail-DOT Mitigation Strategies