Chapter Trans 31

Trans 31.03(5)(b) (b) An application may be denied for any one of the following reasons:

Trans 31.03(5)(b)1. 1. Submittal less than 21 days prior to the first planned operation of the excursion train.

Trans 31.03(5)(b)2. 2. Submittal of an incomplete application.

Trans 31.03(5)(b)3. 3. Failure to comply with any of the standards or requirements prescribed in this chapter.

Trans 31.03(5)(b)4. 4. Submittal of materially false information.

Trans 31.03(5)(b)5. 5. Proposing operation of an excursion train by a sponsor or operator with at least one prior violation of this chapter.

Trans 31.03(5)(c) (c) BR&H may require additional information from an applicant to complete its review of an application. If an application is received at least 45 days prior to the date of the first planned operation, BR&H shall have 21 days from the receipt of the additional information to render its decision about the application.

Trans 31.03(5)(d) (d) BR&H shall notify an applicant in writing of all deficiencies in an application, and the reasons for a denial.

Trans 31.03(6) (6) Resubmittal.

Trans 31.03(6)(a) (a) An application which has been denied by BR&H in accordance with sub. (5) (b) 1. may be resubmitted in compliance with this section.

Trans 31.03(6)(b) (b) An application which has been denied by BR&H in accordance with sub. (5) (b) 2. or 3. may be resubmitted with the additional information identified in BR&H’s letter denying the original application.

Trans 31.03(6)(c) (c) An application which has been denied by BR&H in accordance with sub. (5) (b) 4. or 5. may not be resubmitted until after the sanctions imposed by s. Trans 31.07 (3) have expired.

Trans 31.03(6)(d) (d) An additional application fee of $200, plus inspection fees, shall accompany a resubmitted application under this subsection.

Trans 31.03(7) (7) Permit. The department shall issue an applicant a written permit for the proposed operation following its approval of an application. A copy of the permit shall be forwarded to the sponsor and commission as appropriate.

Trans 31.03(8) (8) Duration. Any permit issued by the department shall expire on the date specified by BR&H. In no event shall a permit expire later than December 31 of the year in which the application proposes operation to commence.

Trans 31.03 History History: Cr. Register, June, 1995, No. 474, eff. 7-1-95; am. (1), (3) (b) and (4), renum. (3) (a) to be (3) (a) 1 and (9) to be (8), cr. (3) (a) 2., r. (5), renum. (6) to be (5) and am. (5) (a), (b) 1. and (c) and renum. and am. (7) and (8) to be (6) and (7), Register, May, 1999, No. 521, eff. 6-1-99.

Trans 31.04 Trans 31.04 Contents of an application.

Trans 31.04(1) (1) All applications for operation of an excursion train shall contain all of the following:

Trans 31.04(1)(a) (a) The name and address of the sponsor and the name and daytime telephone and facsimile number of a representative of the sponsor.

Trans 31.04(1)(b) (b) The dates proposed for operation.

Trans 31.04(1)(c) (c) All locations to be used for loading and unloading passengers.

Trans 31.04(1)(d) (d) The number of trips to be conducted on each day proposed for operation from each loading point.

Trans 31.04(1)(e) (e) The specific type of motive power for railroad equipment to be used, for example, steam, diesel or gas.

Trans 31.04(1)(f) (f) The policy concerning advance sale of tickets, including cancellation and refund.

Trans 31.04(1)(g) (g) The proposed maximum speed of operation.

Trans 31.04(1)(h) (h) A certified statement from the operator, or from the sponsor if there is not an operator, that states all of the following:

Trans 31.04(1)(h)1. 1. The track to be used is in compliance with the FRA track safety standards for class 1 track, or track rehabilitated to a higher standard.

Trans 31.04(1)(h)2. 2. All active grade-crossing warning devices are functional and can be operated by the equipment proposed to be used unless BR&H waives this requirement in writing on the permit.

Trans 31.04(1)(h)3. 3. All on-going track, signal and equipment inspections will be performed as required, and current FRA roadway worker safety rules are enforced at all times.

Trans 31.04(1)(h)4. 4. The equipment and bridges to be used are in compliance with applicable FRA requirements, state laws and this chapter.

Trans 31.04(1)(h)5. 5. Other powered or non-powered vehicles operating as excursion trains are in compliance with the North American railcar operators association latest book of rules, and motorcar inspection reports for each vehicle are available.

Trans 31.04(1)(h)6. 6. All at-grade crossings are in full compliance with the requirements in s. 195.29 (6), Stats.

Trans 31.04(1)(i) (i) A copy of the certificate of insurance evidencing general liability coverage in the minimum amount of $5 million. The certificate shall name the department and commission, if any, as additional insureds.

Trans 31.04 Note Note: An operator may require additional insurance.

Trans 31.04(1)(j) (j) A description of the sponsor’s plans for handling all of the following:

Trans 31.04(1)(j)1. 1. Parking, including written authorization to use any publicly or privately-owned property.

Trans 31.04(1)(j)2. 2. Cleanup of parking, loading and unloading areas.

Trans 31.04(1)(j)3. 3. Medical emergencies which may arise during the excursion.

Trans 31.04(1)(j)4. 4. Continued maintenance of track, bridges, warning devices and equipment.

Trans 31.04(1)(j)5. 5. Control of vegetation.

Trans 31.04(1)(j)6. 6. Service and storage of railroad equipment on state-owned railroad property.

Trans 31.04(1)(j)7. 7. Environmental protection and clean-up procedures, including petroleum spills and scrap tie disposal.

Trans 31.04(1)(j)8. 8. Handling and disposal of human waste. Human waste may not be discharged onto the track.

Trans 31.04(1)(k) (k) Evidence of the ability to refund advance ticket sales by one of the following means:

Trans 31.04(1)(k)1. 1. An escrow account with a Wisconsin financial institution for the deposit of all advance ticket sales.

Trans 31.04(1)(k)2. 2. A financial instrument from a Wisconsin financial institution in an amount sufficient to refund the expected advance payments for service in the event that the excursion is not operated for any reason.

Trans 31.04(1)(k)3. 3. Sponsors who are municipalities may provide a written record of an official action of the municipality’s governing body assuming the obligation to make refunds when necessary, in lieu of an escrow account or a financial instrument.

Trans 31.04(1)(L) (L) The appropriate fee specified in s. Trans 31.03 (3).

Trans 31.04(1)(m) (m) An operator’s statement that it concurs with the proposed operation, if the sponsor is not the operator.

Trans 31.04(1)(n) (n) A statement that the operator and sponsor agree to pay any claim for any bodily injury or property damage resulting from operation under the permit for which the operator or sponsor are legally responsible; and that the operator and sponsor will indemnify and hold harmless the state, its subdivisions, officers, employees and agents from any claim which may arise from operation under the permit.

Trans 31.04(2) (2) 

Trans 31.04(2)(a) (a) The first application submitted by a sponsor shall include a business plan in addition to the items in sub. (1). The business plan shall cover a period of 2 full fiscal years plus the portion of the operator’s fiscal year remaining as of the date of the proposed operation. The business plan shall include all of the following:

Trans 31.04(2)(a)1. 1. Pro forma balance sheet, including budgeted costs for inspections, maintenance, equipment and improvements.

Trans 31.04(2)(a)2. 2. Pro forma income statement.

Trans 31.04(2)(a)3. 3. Pro forma sources and uses statement.

Trans 31.04(2)(a)4. 4. Marketing plan.

Trans 31.04(2)(b) (b) Applications for a permit for subsequent years may not be required to include a business plan, if the operations proposed are similar to the operations described in the initial permit application.

Trans 31.04 History History: Cr. Register, June, 1995, No. 474, eff. 7-1-95; am. (1) (a), (e) (intro.), (h) 1. to 3., (2) (a) (intro.), and 1., r. (1) (e) 1. to 5., r. and recr. (1) (h) 5., cr. (1) (h) 6., (j) 4. to 8. and (n), Register, May, 1999, No. 521, eff. 6-1-99.

Trans 31.05 Trans 31.05 Sponsorship.

Trans 31.05(1) (1) By a sponsor. Any person may sponsor an excursion train on state-owned track only with the concurrence of the operator, except where there is not an operator on that track. A sponsor shall prepare its application in cooperation with the operator. The operator, or the sponsor if there is no operator, shall submit the application to the department by the date specified in s. Trans 31.03 (1).

Trans 31.05(2) (2) By an operator. An operator may become a sponsor, but must comply with the requirements of this chapter relating to sponsors.

Trans 31.05 History History: Cr. Register, June, 1995, No. 474, eff. 7-1-95; am. (1), Register, May, 1999, No. 521, eff. 6-1-99.

Trans 31.06 Trans 31.06 Advertising prior to receipt of a permit. An operator or sponsor may advertise the schedule of an excursion train prior to receiving a permit from the department only if the advertisement contains a written notice stating the following: Subject to receipt of a permit from the Wisconsin department of transportation.

Trans 31.06 History History: Cr. Register, June, 1995, No. 474, eff. 7-1-95.

Trans 31.07 Trans 31.07 Sanctions.

Trans 31.07(1) (1) The department may deny or immediately cancel a permit for any one of the following reasons:

Trans 31.07(1)(a) (a) A sponsor does not conduct operations as specified in its application.

Trans 31.07(1)(b) (b) Advertising is conducted prior to the issuance of a permit without the notice required in s. Trans 31.06.

Trans 31.07(1)(c) (c) An operator, when not a sponsor, does not comply with applicable laws, rules or regulations or terms of the permit.

Trans 31.07(1)(d) (d) An applicant provides materially false information in the application for a permit.

Trans 31.07(2) (2) Notice of denial or cancellation of a permit shall be given to the sponsor and the operator. The notice may be delivered by facsimile, U.S. mail or in person. No operator may operate, or allow the operation of, any equipment by or on behalf of a sponsor after receipt of notice from the department that a permit is denied or canceled.

Trans 31.07(3) (3) If a permit is canceled, no subsequent permit shall be issued to the permittee for a period of one calendar year from the date of permit cancellation.

Trans 31.07 History History: Cr. Register, June, 1995, No. 474, eff. 7-1-95; am. (1) (intro.) and (2), Register, May, 1999, No. 521, eff. 6-1-99.

Trans 31.08 Trans 31.08 Audit and inspection.

Trans 31.08(1) (1) The department shall inspect the track, grade crossings, and signal devices; the FRA track inspection records; and the maintenance and FRA inspection records for all equipment used by an operator or sponsor, to verify compliance with the requirements in s. Trans 31.04 (1) (h).

Trans 31.08(2) (2) The department may audit and inspect the records of an operator or a sponsor to verify compliance with the requirements of this chapter. Operators and sponsors shall retain all records related to an application for a permit under this chapter for at least 3 years from the date the permit was issued, and shall make these records available for inspection and copying by the department upon request.

Trans 31.08 History History: Cr. Register, June, 1995, No. 474, eff. 7-1-95.