R930.  Transportation, Preconstruction.
R930-5.  Establishment and Regulation of At-Grade Railroad Crossings.
R930-5-1.  Purpose and Authority.
	(1)  The Utah Department of Transportation (the "Department") oversees all Public Highway-Rail Grade Crossings ("Crossings") in the state of Utah. Railroads have jurisdiction over and are responsible for the safety of private crossings. The Department's goals are to improve the safety for all users of a Crossing and provide for the efficient operation of trains and vehicles and pedestrians access through those Crossings.  As part of this effort, the Department promotes the elimination of Crossings and at regular intervals, the Department:
	(a)  Reviews all existing Crossings in the state for safety deficiencies;
	(b)  Evaluates and approves the location of a new Crossing;
	(c)  Prescribes the type of improvements at a Crossing;
	(d)  Defines maintenance responsibility for a Crossing; and
	(e)  Determines funding apportionments for all Section 130 Crossing Projects.
	(2)  This rule describes procedures for evaluating and selecting a Crossing for improvement as well as for evaluating and selecting the type of improvements at a Crossing. Such improvements include, but are not limited to:
	(a)  The evaluation and selection of the type of Passive and Active Warning Devices;
	(b)  The process for evaluating and determining whether a Crossing should be grade separated; and
	(c)  The process for evaluating Quiet Zones as outlined in 49 CFR 222.
	(3)  This Rule outlines the responsibilities of the various parties with respect to the design, maintenance and funding for Crossing improvements.
	(4)  This Rule is authorized by Section 54-4-15 "Establishment and Regulation of Grade Crossings," Section 54-4-14, Section 72-1-201, Section 41-6a-1205 and Title 63G, Chapter 3 "Utah Administrative Rulemaking Act."

R930-5-2.  Incorporation by Reference.
	The following federal law, state law, federal agency manuals, association standards and UDOT technical requirements are incorporated by reference:
	(1)  23 CFR 148 "Highway Safety Improvement Program" (2005);
	(2)  23 CFR 646 "Railroads" (2009);
	(3)  23 CFR 655 "Traffic Operations" (2009) "Manual of Uniform Traffic Control Devices (MUTCD)" (2003, with revisions 1 and 2 incorporated, dated 2007);
	(4)  23 CFR 924 "Highway Safety Improvement Program" (2009);
	(5)  49 CFR 209 "Accidents and Incidents" (2009);
	(6)  49 CFR 212 "State Safety Participation Regulations" (2009);
	(7)  49 CFR 222 "Use of Locomotive Horns at Public Highway-Rail Grade Crossing" (2009)
	(8)  49 CFR 659 "Rail Fixed Guideway Systems; State Safety Oversight" (2009);
	(9)  "A Policy on Geometric Design of Highway and Streets", American Association of State Highway and Transportation Officials (AASHTO) (2004);
	(10)  "Railroad-Highway Grade Crossing Handbook", Federal Highway Adminstration (FHWA) (August 2007);
	(11)  "Preemption of traffic signals near Railroad Crossings", Institute of Traffic Engineers (ITE) (2004);
	(12)  "Manual for Railway Engineering", Chapter 28, Clearances, American Railway Engineering and Maintenance-of-Way Association (AREMA), 2007; and
	(13)  "Standard Drawing ST-7 Pavement Marking and Signs at Railroad Crossings", Utah Department of Transportation (UDOT) (2008).

R930-5-3.  Definitions.
	(1)  "Active Warning Device" means traffic control devices activated by the approach or presence of a train, such as flashing light signals, automatic gates and similar devices, as well as manually operated devices and Crossing watchmen, all of which display to motorists positive warning of the approach or presence of a train.
	(2)  "Company" means any local district or utility company.
	(3)  "Diagnostic Team" means an appointed group of knowledgeable representatives of the parties of interest in a Crossing or group of Crossings.
	(4)  "FHWA" means the Federal Highway Administration, an agency within the United States Department of Transportation.
	(5)  "FRA" means the Federal Railroad Administration, an agency within the United States Department of Transportation.
	(6)  "FTA" means the Federal Transit Administration, an agency within the United States Department of Transportation.
	(7)  "Highway" means any public road, street, alley, lane, court, place, viaduct, tunnel, bridge, or structure laid out or erected for public use, or dedicated or abandoned to the public, or made public in an action for the partition of real property, including the area within the right-of-way.
	(8)  "Highway-Rail Grade Crossing" ("Crossing") means the general area where a Highway and a Railroad cross at the same level within which are included the Railroad, Highway, and roadside facilities for public traffic traversing the area.
	(9)  "Highway Authority" means the Department or local governmental entity that owns or has jurisdiction over a Highway.
	(10)  "MUTCD" means the Manual of Uniform Traffic Control Devices as adopted in Section 41-6a-301.
	(11)  "Neutral Quadrant" means the quadrant that minimizes sight distance conflicts with immediate on-coming auto traffic.  Generally, the neutral quadrant is on the far side of the tracks from the direction of vehicular travel.
	(12)  "Passive Warning Device" means those types of traffic control devices, including signs, markings and other devices located at or in advance of a Crossing to indicate the presence of a Crossing but which do not change aspect upon the approach or presence of a train.
	(13)  "Preliminary Engineering" means the work necessary to produce construction plans, specifications, and estimates to the degree of completeness required for undertaking construction, including locating, surveying, designing, and related work.
	(14)  "PSC" means the Public Service Commission of the State of Utah.
	(15)  "Quiet Zone" means a section of a rail line at least one half mile in length that contains one or more consecutive public Crossings at which locomotive horns are not routinely sounded, see 49 CFR 222.
	(16)  "Railroad" means all rail carriers, whether publicly or privately owned, and common carriers, including line haul freight and passenger railroads, public transit districts, switching and terminal railroads, passenger carrying railroads such as rapid transit, and commuter and street railroads.
	(17)  "Section 130 Crossing Project" means a project that eliminates hazards and improves the safe operation of trains, vehicles, and pedestrians through a crossing and is authorized and funded by United State Code, Title 23, Section 130 Program funds.

R930-5-4.  Type and Selection of Crossing Projects.
	(1)  Section 130 Crossing Projects:
	(a)  Section 130 Crossing Project types include, but are not limited to:
	(i)  Elimination of a Crossing by combining multiple Crossings;
	(ii)  Elimination of a Crossing by the relocation of a Highway;
	(iii)  Elimination of a Crossing by the construction of a new grade separation;
	(iv)  New safety improvements;
	(v)  Reconstruction of a Crossing grade separation structure; and
	(vi)  Repair of Crossing material, that would otherwise be the responsibility of the Railroad as prescribed in Subsection R930-5-8-(1)(b), if the repair of the Crossing material affects or is an integral part of the Crossing safety devices.
	(b)  The Department has established a process for the evaluation and selection of Section 130 projects that considers the potential reduction in the number and/or severity of collisions, the cost of the Crossing projects, and available resources.  Specific methods for selecting and prioritizing Crossings for improvement include:
	(i)  The collection and maintenance of data utilizing the USDOT Grade Crossing Inventory to record Crossing data including, but not limited to the current physical condition, average daily traffic, and collision data associated with a Crossing.
	(ii)  An engineering study conducted on a Crossing at the request of a Highway Authority, Railroad, or company or using a priority list developed using the USDOT Accident Prediction Model. The purpose of the engineering study is to review the Crossing and its environment, identify the nature of any deficiencies and recommend alterative improvements.  Specifically, an engineering study reviews Crossing characteristics, the existing traffic control system, and the Highway and Railroad characteristics. Based on the review of these conditions, an assessment of existing and potential hazards is made, deficiencies are identified and countermeasures are recommended.
	(iii)  System or corridor evaluations consider a Crossing as a component of a larger transportation system.  The objective is to improve both safety and operations of the total system or segments of the system.  In such cases, all Crossings within a corridor are evaluated and can be programmed for improvements.  The optimal outcome of a corridor study involves a combination of engineering improvements and closures such that both safety and operations are highly improved.
	(2)  Non-Section 130 Crossing Projects:
	(a)  Non-Section 130 Crossing Project types include, but are not limited to:
	(i)  Crossing projects that use Railroad properties or involve adjustments to Railroad facilities required by Highway construction, but do not involve the elimination of hazards at a Crossing; and
	(ii)  Construction of a new Crossing at or over a Railroad track where the new Highway is not a relocation of an existing Highway.
	(b)  Non-Section 130 Crossing Projects will be evaluated and selected as part of the Department's normal STIP evaluation and approval process.

R930-5-5.  Diagnostic Team.
	(1)  The role of the Diagnostic Team is to make recommendations to the Department for needed safety improvements at a Crossing.
	(2)  The Diagnostic Team reviews and evaluates proposed improvements for all Section 130 Crossing Projects and Non-Section 130 Crossing Projects.  The Diagnostic Team reviews a Crossing when requested by a Highway Authority, Railroad, or Company when changes in Highway traffic patterns are proposed, when proposed Railroad traffic is determined to increase significantly, when complaints are made about a Crossing, when safety concerns arise, or when the Department receives a closure request.  The Department will consider all recommendations made by the Diagnostic Team and, if appropriate, input received from the public at large (in accordance with Section R930-5-13)  before issuing orders for the improvement of Crossings.
	(3)  The Department may also make formal findings and rulings as part of its process for evaluating Crossing improvements or during routine inspection of Crossings, independent of the Diagnostic Team.
	(4)  The Diagnostic Team is usually composed of the following team members:
	(a)  Chief Railroad Engineer for the Department;
	(b)  Representative from the Railroad;
	(c)  Representative from the appropriate Company, if applicable; and
	(d)  Representative from the Highway Authority (preferably from engineering or public works), and when available, and where appropriate public school district, law enforcement agency and invites with an interest in the Crossing.
	(5)  The role of the Diagnostic Team is to:
	(a)  Recommend the elimination of a Crossing;
	(b)  Recommend the type of safety improvements including, but not limited to Passive Warning Devices, Active Warning Devices, the type of Crossing material, improvements to Highway approaches, removal of foliage and brush, pedestrian facilities (including compliance with ADA requirements), and improvements to street lighting;
	(c)  Review all requests for a new Crossing;
	(d)  Review all requests to reclassify a Crossing from private to public;
	(e)  Recommend the Department conduct an engineering study to evaluate the need for a new overpass or other grade separation structure(s); and
	(f)  Recommend any other safety related changes to improve vehicle and pedestrian safety.
	(6)  Duties of Diagnostic Team members generally include participating in Crossings reviews and providing input into the Diagnostic Team recommendations. Specific duties include, but are not limited to the following:
	(a)  The Chief Railroad Engineer will, when applicable:
	(i)  Select a Section 130 Crossing Project from a corridor study, or based on a Highway Authority, Railroad, or Company request;
	(ii)  Schedule and notify Diagnostic Team members, and the FHWA, of the date and time of an upcoming review;
	(iii)  Conduct Crossing review and issue related reports in a reasonable time after the review and send copies to all those attending the review;
	(iv)  Review and approve Crossing improvements recommended by the Diagnostic Team;
	(v)  Determine Section 130 apportionments for Crossing projects;
	(vi)  Initiate all Notices of Intended Action for Crossing projects, as appropriate;
	(vii)  Review and approve the contractual requirements for Crossing projects using Section 130 Program funding;
	(viii)  Review all necessary field data obtained for the Crossing, including but not limited to site plan maps and photographs of the existing Crossing conditions.
	(b)  The Railroad representative shall provide all relevant data related to the Crossing, including, but not limited to train volumes, accident data and any other pertinent data regarding the Crossing;
	(c)  The Highway Authority representative shall:
	(i)  Provide relevant data regarding the Crossing including, but not limited to Highway traffic volumes, planned road construction activities, and an approved master street plan for the Highway;
	(ii)  Invite local school district if appropriate and request that the local school district representative provide child access and bus routing plan information; and
	(iii)  Invite local law enforcement agency if appropriate and request that the law enforcement agency provide relevant data, including, but not limited to any safety concerns about the Crossing.

R930-5-6.  Design of a Highway-Rail Grade Crossing.
	(1)  The Department shall approve or disapprove, as appropriate, the design of all Crossing improvements, including the addition of a new Crossing and treatments for a closed Crossing.  All design plans shall include, if available:
	(i)  USDOT identification numbers;
	(ii)  Street addresses;
	(iii)  Highway milepost;
	(iv)  Railroad subdivision; and
	(v)  Railroad milepost for the Crossing.
	(2)  Design of Crossing related facilities that are the responsibility of the Railroad shall conform to the specifications and design standards of the Railroad.
	(3)  Design of Crossing related Highway approaches, those areas two feet outside of rail that are the responsibility of the Highway Authority shall conform to the specifications and design standards of the Highway Authority, subject to approval by the Department. Where a Highway Authority does not have an approved standard, Department standard drawings for the design of the Crossing approaches apply.
	(4)  Traffic control devices installed as part of any Crossing improvements shall comply with the MUTCD. Required clearances for all devices shall conform to the MUTCD and any variances from MUTCD requirements must be approved by the Department.
	(5)  When it is determined that the railroad crossing material needs to be extended or replaced, the agency doing the design of the crossing shall determine the minimum length of the crossing material. The length shall be determined based on the proposed width of the new roadway or from the approved master plan roadway width. The crossing material length shall extend at least two feet from the outer edge of the roadway, beyond the roadway clear zone area, or to the back of the concrete curb and gutter or out past the sidewalks.
	(6)  The Railroad is responsible for the design of Railroad Active Warning Devices, including the location, activation circuitry, hardware, and software in accordance with MUTCD.
	(a)  When Active Warning Devices are within 200 feet of a traffic signal, the Highway Authority and the Railroad shall coordinate the design of the interconnect between the traffic signal and Automatic Warning Device to ensure sufficient preemption time to clear potential vehicle stacking across a Crossing.
	(b)  Signal houses for Active Warning Devices shall be located in the Neutral Quadrant unless approved by the Department.
	(7)  The Railroad is responsible for the design of all required Railroad Passive Warning Devices located within the Railroad road right-of-way in accordance with the MUTCD, specific Passive Warning Devices include:
	(a)  Sign R15-1 (Crossbuck);
	(b)  Sign R15-2 (Number of tracks);
	(c)  Sign R1-1 (STOP);
	(d)  Sign R1-2 (Yield);
	(e)  Sign R15-3 (Exempt);
	(f)  Sign R8-9 (Tracks out of Service).
	(8)  Design and installation of all other Passive Warning Devices, signs, and pavement markings is the responsibility of the Highway Authority. Design and location of the devices shall be in accordance with the MUTCD.
	(9)  For clearances, refer to the Manual for Railway Engineering, Chapter 28, Clearances, American Railway Engineering and Maintenance-of-Way Association (AREMA), 2007.

R930-5-7.  Highway Authority and Railroad Responsibility to Request Approval and Arrange for the Installation of Crossing Improvements.
	(1)  When a Highway Authority widens or constructs a new Highway, the Highway Authority shall be responsible to request a Diagnostic Team review of the Crossing and arrange by agreement with the Railroad to design and install all required improvements concurrent with its request for approval from the Department:
	(2)  Prior to approving new residential, commercial, or industrial development within 1000 feet of a Crossing, the Highway Authority shall request a Diagnostic Team review to assess the potential traffic impacts at the Crossing.
	(3)  Before a Highway Authority approves increased development that changes the conditions of a Crossing by significantly increasing traffic volumes, the Highway Authority plans shall be approved by the Department.
	(a)  No new access openings can be opened within 250' of a Crossing unless approved by the Department.
	(b)  The Highway Authority shall arrange by agreement with the Railroad for any required Railroad facility changes ordered by the Department.
	(4)  The Highway Authority is responsible for the installation of all Passive Warning Devices outside the Railroad right-of-way, excepting those signs listed in Section R930-5-6.6, or unless a separate agreement applies.
	(5)  Before a Railroad modifies any safety related devices or the physical layout of a Crossing, the Railroad shall request a Diagnostic Team review of the proposed changes and request Department approval of all Crossing related designs.
	(6)  A Highway Authority, Railroad, or Company making a request for a new Crossing or the reclassification of a Crossing from private to public shall provide the Department with an approved master street plan from the appropriate jurisdiction showing the elimination or combination of existing Crossings and/or other safety improvements that enhance the overall safety of the corridor before a new Crossing or reclassification of a Crossing from private to public will be approved.
	(a)  A Highway Authority, Railroad, or Company requesting a new Crossing or reclassification of a Crossing from private to public will mutually arrange by agreement for the proposed new Crossing or reclassification of a Crossing before seeking Department approval of the change.

R930-5-8.  Maintenance.
	(1)  Responsibility for maintenance is as described in this section unless a separate agreement applies.
	(a)  The Railroad is responsible for the maintenance of all Railroad Passive Warning Devices and Active Warning Devices within the Railroad right-of-way.
	(b)  If the Railroad has a property interest in the right-of-way, the Railroad is responsible for the maintenance of Crossing material within the Railroad right-of-way and two feet beyond each outside rail for Crossings without concrete crossing panels or edge of concrete crossing panel.
	(c)  On a temporary Highway Detour Crossing, the Railroad shall be responsible for the maintenance of pavement, Active Warning Devices, and Passive Warning Devices within the Railroad right-of-way at expense of the Highway Authority.
	(d)  When the Railroad alters the railway due to track and ballast maintenance, the Railroad shall coordinate their work with the Highway Authority so the pavement approaches can be adjusted to provide a smooth and level Crossing surface.
	(e)  When the Highway Authority changes the Highway profile, through construction or maintenance activities, the Highway Authority shall coordinate their work with the Railroad so the tracks can be adjusted to provide as smooth and level a Crossing surface as possible.
	(f)  Where a Highway structure overpasses a Railroad, the Highway Authority is responsible for the maintenance of the entire structure and its approaches.
	(g)  Where a Highway underpasses a Railroad and the Railroad owns the right-of-way in fee title, the Highway Authority is responsible for the maintenance of the Highway and the entire structure below and including the deck plate, girders, handrail, and parapets. The Railroad is responsible for the maintenance of the ballast, ties, rails and any portion of the supporting structure above the top of the ballast deck plate between parapets.
	(i)  If the Highway Authority owns the right-of-way in fee title, the Railroad is responsible for the maintenance of the entire structure unless a separate agreement applies.
	(ii)  Cost of repairing damages to a Highway or a Highway structure, occasioned by collision, equipment failure, or derailment of the Railroad's equipment shall be borne by the Railroad.
	(h)  Responsibility for maintenance of private industrial trackage not owned by a Railroad that crosses a Highway shall be as follows:
	(i)  When a facility, plant, or property owner receives goods and services from a Railroad over private industrial trackage that crosses a Highway, maintenance of the Crossing shall be the responsibility of the industry owning the trackage, or as agreed to by the parties.
	(ii)  When the Crossing becomes a safety hazard to vehicles and is not maintained, the Department and/or the Railroad shipping the goods and services shall notify the industry owning the trackage in writing to maintain or replace the Crossing material.
	(iii)  If the industry owning the trackage does not maintain or replace the Crossing material by a specified date, the Department shall order the Railroad to cease and desist operations across the Crossing.
	(iv)  If the industry owning the trackage does not respond to the order to maintain or replace the Crossing material the Department shall arrange to have the Crossing material replaced and bill the industry owning the trackage for the expenses to repair the trackage.

R930-5-9.  Funding Authorization and Apportionment of Cost for Section 130 Crossing Projects.
	(1)  Funding Authorization.
	(a)  Section 130 Crossing Projects:
	(i)  Costs associated with a FHWA authorized and approved program are eligible for federal participation. Eligible costs incurred in an approved program prior to authorization by FHWA are not reimbursable, but may be included as part of the Railroad share of the project cost where such a share is required. Eligible costs include, but are not limited to cost associated with environmental clearance, Preliminary Engineering, and right-of-way acquisition.
	(ii)  Prior to FHWA issuing its authorization to advertise the construction of a Crossing project, the Crossing project must receive environmental clearance; the plans, specifications and estimates must be approved by FHWA; and any proposed agreement between the Railroad and the Department must be reviewed and approved by FHWA, as per FHWA's stewardship agreement with the Department.
	(b)  Non-Section 130 Crossing Projects:
	(i)  The Department will consider requests for funding of non-Section 130 Crossing Projects as part of its regular STIP evaluation and approval process.
	(2)  Apportionment of Costs.
	(a)  Section 130 Crossing Projects:
	(i)  Apportionment of costs for installation, maintenance, and reconstruction of safety related improvements at a Crossing shall be in accordance with 23 CFR 646 and Section 54-4-15.
	(ii)  When a Highway Authority widens a Highway, the Highway Authority shall fund all improvements including, but not limited to Passive Warning Devices, Active Warning Devices, Crossing material, and other improvements as ordered by the Department in consultation with the Diagnostic Team.
	(iii)  The Department will evaluate each Crossing project to determine the extent to which, if any, the Crossing projects benefits the respective parties. If a Crossing project is determined not to benefit a party, the party will not be required to participate in the funding.
	(b)  Non-Section 130 Crossing Projects.
	(i)  The Department will consider requests for funding of non-Section 130 Crossing Projects as part of its regular STIP evaluation and approval process.

R930-5-10.  Railroad and Highway Authority Agreements.
	(1)  Where construction of a Section 130 Crossing Project requires use of Railroad properties or adjustments to Railroad facilities, the Department will prepare an agreement with the Railroad.
	(2)  Master agreements between the Department and a Railroad on an area wide or statewide basis may be used. These agreements shall contain the specifications, regulations, and provisions required in conjunction with work performed on all Crossing projects.
	(3)  On a project-by-project basis, the written agreement between the Department and the Railroad shall include the following minimum requirements:
	(a)  Reference to appropriate federal regulations;
	(b)  Detailed statement of the work to be performed by each party;
	(c)  The extent to which the Railroad is required to adjust its facilities;
	(d)  The Railroad's share of the project cost;
	(e)  An itemized estimate of the cost of the work to be performed by the Railroad;
	(f)  Method to be used for performing the work, either by Railroad forces or by contract;
	(g)  Maintenance responsibility;
	(h)  Form, duration, and amounts of any needed insurance; and
	(i)  Appropriate reference to or identification of plans and specifications.
	(4)  On matching fund agreements between the Department and a Highway Authority, the written agreement shall include the following minimum requirements:
	(a)  Description of work and location, city, county, and state;
	(b)  Reference to federal regulations that matching funds will be provided by the Highway Authority;
	(c)  Detailed statement of work to be preformed by each party regarding design, agreements, inspection, and maintenance;
	(d)  Statement of finances of project and matching funds to be provided by Highway Authority, deposits, invoices, and cost overruns or under runs.
	(5)  Agreements for industry track Crossings are prepared between the Highway Authority and the industry.
	(6)  In order that a Crossing project shall not become unduly delayed, the Department shall consider a six-month period from issuance of the Railroad agreement to be adequate for completion of work by the Railroad involved. Should more than the specified period elapse, the Department shall require the Railroad to proceed with the work covered by the agreement under the authority contained in Section 54-4-15 and approval from the FHWA will be solicited in conformance with 23 CFR 646.

R930-5-11.  Crash Reporting.
	A Railroad is required to report crashes resulting in injury or death to an individual or damage to equipment, roadbed, or autos occurring at a Crossing to the Department's Chief Railroad Engineer within 2 hours of the incident. Initial notification must include the USDOT Crossing number, street address, municipality, time of incident, train identifier, and contact phone number for further information.  Written crash reports shall be submitted to the Department within 30 days of the incident.  Current Federal Railroad Administration (FRA) form F 6180.57 shall be used to report a crash.

R930-5-12.  Exemption of Railroad Crossings.
	Under Section 41-6a-1205, certain vehicles are required to stop at all Crossings unless a Crossing is signed as exempt.  Recommendation to exempt a Crossing is made by a Diagnostic Team and the Department is responsible for issuing the exemption order.  The following Crossings are not eligible for exemption under this Section:
	(1)  Mainline Crossings with Passive Warning Devices only;
	(2)  Crossings within approved Quiet Zones; and
	(3)  Crossings where insufficient sight distance exists.

R930-5-13.  Notice of Intended Action.
	(1)  Public notification of a public hearing opportunity is required, in conformance with Section R930-2, when the Department is considering a proposal to permanently close a Crossing, add a track at a Crossing, or construct a new Crossing.  It is the responsibility of the Highway Authority, Railroad, or Company requesting the proposed action, in consultation with the Department, to carry out the requirements of this section unless otherwise agreed to by the Department.
	(2)  In instances where the action proposed by the Department does not substantially affect the public, the Department may waive the requirement to notice a public hearing opportunity, provided the affected Diagnostic Team members concur in writing.

KEY:  railroad, crossing, transportation, safety
Date of Enactment or Last Substantive Amendment:  April 21, 2011
Notice of Continuation:  November 2, 2016
Authorizing, and Implemented or Interpreted Law:  41-6a-1205; 54-4-14; 54-4-15; 72-1-201