project man plan

7/31/2019 Project Man Plan

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Project Management Plan

North Carolina Department of TransportationRail Division

High Speed Intercity Passenger Rail Program

August 19, 2009


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North Carolina High Speed Rail Project Management Plan i

TABLE OF CONTENTS

1.0 Introduction ................................................................................................................... 1-11.1 Purpose of the Project Management Plan (PMP) ....................................................... 1-11.2 FRA PMP requirements ............................................................................................. 1-2

1.2.1 Vision Plan ......................................................................................................... 1-21.2.2 ARRA Interim Guidance ..................................................................................... 1-31.2.3 Passenger Rail Investment and Improvement Act of 2008 (PRIIA) .................... 1-41.2.4 Federal Transit Administration Guidance ........................................................... 1-6

1.3 Summary of North Carolina rail program .................................................................... 1-61.3.1 Progress to Date ................................................................................................ 1-61.3.2 High Speed Rail ................................................................................................. 1-91.3.3 Incremental Improvements to State supported Amtrak Service ........................ 1-10

1.4 Description of Charlotte to Washington, DC Corridor ............................................... 1-101.5 Identification of Project Management Issues ............................................................ 1-11

1.5.1 North Carolina .................................................................................................. 1-111.5.2 Bi-state Coordination ....................................................................................... 1-111.5.3 Railroad Coordination and Standards .............................................................. 1-12

1.6 Types of Projects in Application for ARRA Funds ..................................................... 1-122.0 Project Organization ................................................................................................... 2-14

2.1 Background on NCDOT ........................................................................................... 2-142.1.1 Mission: ........................................................................................................... 2-142.1.2 Goals ............................................................................................................... 2-142.1.3 Values:............................................................................................................. 2-14

2.2 Reorganization of NCDOT ....................................................................................... 2-152.2.1 Organization Monitoring, Communication & Control ......................................... 2-152.2.2 Transportation Strategy & Investment Analysis ................................................ 2-152.2.3 Transportation Business Administration ........................................................... 2-152.2.4 Transportation Process Management .............................................................. 2-15


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North Carolina High Speed Rail Project Management Plan ii

2.2.5 Transportation Program & Asset Management ................................................ 2-162.2.6 Transportation Program Delivery ..................................................................... 2-16

2.3 NCDOT experience with rail construction projects ................................................... 2-162.3.1 North Carolina Railroad Improvement Project (NCRRIP) ................................. 2-162.3.2 Global TransPark ............................................................................................. 2-192.3.3 Equipment Procurement and Rehabilitation ..................................................... 2-192.3.4 Equipment Maintenance Amtrak & Herzog Transit Services ......................... 2-202.3.5 Stations ............................................................................................................ 2-202.3.6 Crossing Safety ............................................................................................... 2-21

2.4 Project Delivery Alternatives .................................................................................... 2-232.4.1 Construction Projects on Active Railroad ......................................................... 2-232.4.2 Projects Adjacent to Active Railroad ................................................................ 2-232.4.3 New Construction not on Active Railroads ....................................................... 2-232.4.4 Equipment ....................................................................................................... 2-242.4.5 Stations ............................................................................................................ 2-24

3.0 Project Management and Control .................................................................................. 3-13.1 Management Structure ............................................................................................... 3-13.2 Key Personnel............................................................................................................ 3-13.3 Rail Division ............................................................................................................... 3-3

3.3.1 Administration Branch ........................................................................................ 3-33.3.2 Engineering and Safety Branch ......................................................................... 3-43.3.3 Operations and Facilities Branch ....................................................................... 3-53.3.4 Environmental and Planning Branch .................................................................. 3-6

3.4 Coordination with Other NCDOT Divisions ................................................................. 3-63.5 Contractor Support ..................................................................................................... 3-7

4.0 Project controls ............................................................................................................. 4-14.1 NCDOT Project Controls ............................................................................................ 4-14.2 Office of Economic Recovery & Investment ............................................................... 4-1

5.0 Procurement and Contracts .......................................................................................... 5-1


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North Carolina High Speed Rail Project Management Plan iii

5.1 Procurement of Services, Materials and Equipment ................................................... 5-15.2 Right of Way Procurement ......................................................................................... 5-15.3 Quality Assurance/Quality Control.............................................................................. 5-1

6.0 Legal Authority .............................................................................................................. 6-16.1 State Rail Legislation ................................................................................................. 6-1

6.1.1 The States Interest in Railroads ........................................................................ 6-16.1.2 Safety Regulation, Inspection, Prevention, and Investigation .......................... 6-16.1.3 Safety Requirements for Grade Separation..................................................... 6-16.1.4 Safety Railroad Requirement for Crossing Protection ..................................... 6-16.1.5 State Use of North Carolina Railroad Dividends ................................................. 6-1

6.2 Legislative Committees and Directives ....................................................................... 6-26.2.1 House Select Committee on a Comprehensive Rail Service Plan for North

Carolina ............................................................................................................. 6-26.2.2 21st Century Transportation Committee .............................................................. 6-26.2.3 Congestion Relief and Intermodal Transportation 21st Century Fund ................. 6-36.2.4 Statewide Logistics Plan .................................................................................... 6-3

7.0 Stakeholder Agreements............................................................................................... 7-17.1

Railroads .................................................................................................................... 7-1

7.2 Amtrak ....................................................................................................................... 7-27.3 Municipal agreements ................................................................................................ 7-27.4 Southeast High Speed Rail Corridor States ............................................................... 7-27.5 North Carolina/Virginia Compact ................................................................................ 7-27.6 Executive Committee ................................................................................................. 7-37.7 Southeastern States .................................................................................................. 7-3

8.0 Required Governmental Actions and Approvals ............................................................ 8-19.0 Safety and Security PROGRAM .................................................................................... 9-1

9.1 Purpose and Scope ................................................................................................... 9-19.2 Goals ......................................................................................................................... 9-19.3 Objectives .................................................................................................................. 9-2


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9.4 Description of Current Service ................................................................................... 9-29.4.1 Proposed New Intercity Passenger Rail Service ................................................ 9-39.4.2 Identification of Chain of Authority...................................................................... 9-3

9.5 Implementation of System Safety Program ................................................................ 9-39.5.1 Amtrak System Safety Plan ............................................................................... 9-39.5.2 Piedmont Operations and Safety Committee ..................................................... 9-59.5.3 Vehicle Maintenance Safety Programs .............................................................. 9-59.5.4 NC DOT Employee/Contractor Training and Certification .................................. 9-59.5.5 Emergency Management and Response ........................................................... 9-69.5.6 State Emergency Response Team .................................................................... 9-79.5.7 Work Place Safety Including Part 219 Drug and Alcohol Program ..................... 9-79.5.8 Fire Safety Analysis ........................................................................................... 9-89.5.9 Grade Crossing Safety Programs ...................................................................... 9-89.5.10 Public Outreach and Operation Lifesaver ......................................................... 9-109.5.11 Coordination Between Railroads and Local Officials ........................................ 9-10

9.6 System Safety Engineering Processes .................................................................... 9-109.6.1 Rail Safety Inspections .................................................................................... 9-109.6.2 Accident/Incident Reporting and Investigation.................................................. 9-119.6.3 Safety Data Collection and Analysis ................................................................ 9-129.6.4 Grade Crossing Quiet Zones ........................................................................... 9-149.6.5 Implementation of Positive Train Control .......................................................... 9-15

9.7 Safety Assurance ..................................................................................................... 9-1610.0 Performance Measurement ......................................................................................... 10-1

10.1 Metrics Used ............................................................................................................ 10-110.1.1 Project Management ........................................................................................ 10-110.1.2 Financial Management ..................................................................................... 10-110.1.3 Performance Management ............................................................................... 10-1

10.2 Data Collection......................................................................................................... 10-110.3 Ongoing Performance Monitoring ............................................................................ 10-2


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10.4 Implementation ........................................................................................................ 10-2APPENDIX A LOG OF PROJECT MANAGEMENT PLAN REVISIONS ............................. A-1APPENDIX B LIST OF ARRA PROJECTS ......................................................................... B-1


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LIST OF TABLES

Table 1-1: Required Elements of a Project Management Plan ............................................... 1-2Table 1-2: Passenger Rail Services in North Carolina ............................................................. 1-8Table 2-1: NCRR Track Improvement Projects

..................................................................... 2-17

Table 7-1: North Carolina Stakeholder Agreements in Place .................................................. 7-1


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LIST OF FIGURES

Figure 1-1: Passenger Rail Service in North Carolina ............................................................ 1-7Figure 1-2: Track Improvements on the North Carolina Railroad ............................................. 1-8Figure 1-3: Southeast High Speed Rail Corridor .................................................................... 1-9Figure 3-1: North Carolina Department of Transportation Organization Chart ......................... 3-2Figure 3-2: Rail Division Organization .................................................................................... 3-4Figure 9-1: Safety and Security Chain of Authority .................................................................. 9-4Figure 9-2: North Carolina Railroad Crossing Statistics ........................................................ 9-14


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North Carolina High Speed Rail Project Management Plan Page 1-1

1.0 INTRODUCTIONThis document is intended to provide the approach for ensuring successful implementation ofintercity and high speed passenger rail services in North Carolina. It fulfills the requirements ofthe Federal Railroad Administration (FRA) for funding under the American Recovery andReinvestment Act of 2009 (ARRA) High Speed Intercity Passenger Rail Program (HSIRP).

For the Tracks 1 and 3 projects, our Rail Division has extensive experience in engineering,project management and construction, and in all aspects of project implementation. For theTrack 2 Corridor Development projects, we will bring forward the complete capabilities of our14,000 employee Department, in full partnership with the Virginia Department of Rail and PublicTransportation (VDRPT), the Virginia Department of Transportation (VDOT), the North CarolinaRailroad Company (NCRR), Norfolk Southern Railway (NS) and CSX Transportation (CSX) tocomplete the Southeast High Speed Rail Corridor (SEHSR) vision.

The North Carolina Department of Transportation recently implemented a reorganization of theagency after an extensive review of the organization and its business practices. The goal of thereview was to make the Department more strategically oriented, accountable and efficient in itsuse of resources. A key component of the reorganization is the alignment of key business units

along strategic functional lines and transitioning to a comprehensive multimodal approach to thedelivery of transportation projects. The Department is more focused on outcome-basedperformance measures and better able to meet the needs of North Carolinas citizens.

SEHSR is the project which will challenge the entire Department to develop more effectivepartnerships, to become a more multi-modal society, and it will both lead and integratetransportation, land use, energy and environmental policies. The strategically alignedreorganization of NCDOT will enhance delivery of ARRA rail projects by eliminating modalsilos and more efficiently utilizing and re-directing the Departments project delivery resources.

The Department faces challenges on many fronts, increasing demand for transportationalternatives during a time of rising fuel and construction cost and declining revenues. NorthCarolina is projected to grow by 52% in the next 20 years making it increasingly difficult to meetthe States transportation needs. The implementation of enhanced passenger rail service in thestate is a critical element in North Carolinas efforts to meet the transportation needs of itscitizens.

1.1 Purpose of the Project Management Plan (PMP)

This document is intended to provide the approach for ensuring successful implementationof intercity passenger rail services in North Carolina. It fulfills the requirements of theFederal Railroad Administration (FRA) for funding under the American Recovery andReinvestment Act of 2009 (ARRA) High Speed Intercity Passenger Rail Program (HSIRP).The interim guidance for the HSIRP was published in the Federal Registrar on June 23,2009 (Vol. 74, No. 119, page 29900). The requirements for a Project Management Plan aredescribed in Section 4.3.3.2 of the interim guidance and the contents of the PMP are

described in Section 2.2. The required elements of the PMP are listed in Table 1. Elementsare indexed to the section(s) where each is addressed.


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Table 1-1: Required Elements of a Project Management Plan

FRA ARRA Interim Guidance Required PMP Elements Chapter

Identification of a manager accountable for project or program delivery Chapter 2An organization/resource plan that describes (e.g., through an organizationchart) the relationships among entities involved in the proposed programand a description of the relationships among the entities responsible for thefinancing, design, construction, operation, and maintenance of theproposed program

Chapter 3

Any new legal entities required, how they would be structured, and theirrelationship to existing entities

Chapter 7

Stakeholder agreements with owners of right-of-way, operators, or otherentities critical to successful project/program delivery

Chapter 8

Required governmental actions and approvals Chapter 9An appropriate system safety plan for the entire project lifecycle consistentwith FTA guidance for safety and security management plans. The projectmanagement plan should address the safety certification process and anyrequired collision hazard analysis consistent with the FRA guidance

Chapter 10

1.2 FRA PMP requirements

The American Recovery and Reinvestment Act of 2009 (ARRA) was signed into law byPresident Obama on February 17, 2009. It is an unprecedented effort to jumpstart oureconomy, create or save millions of jobs, and put a down payment on addressing long-neglected challenges so our country can thrive in the 21st century. The Act is anextraordinary response to a crisis unlike any since the Great Depression, and includesmeasures to modernize our nation's infrastructure, enhance energy independence, expandeducational opportunities, preserve and improve affordable health care, provide tax reliefand protect those in greatest need.

1.2.1 Vision Plan1

On April 16, 2009 the President released a strategic plan outlining his vision for highspeed rail in America. The President called for a collaborative effort among the FederalGovernment, States, railroads, and other key stakeholders to help transform Americastransportation system through a national network of high-speed rail corridors. The plan

identifies $8 billion provided in the ARRA and $1 billion a year for five years requested inthe federal budget as a down payment to jump-start a potential world-class passengerrail system and sets the direction of transportation policy for the future. The planproposes to help address the Nations transportation challenges by investing in anefficient, high-speed passenger rail network of 100600 mile intercity corridors that

1U.S. Dept. of Transportation, 2009. Vision for High-Speed Rail in America. Federal Railroad

Administration, Washington, D.C. April 2009.


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connect communities across America. This vision builds on the successful highway andaviation development models with a 21st Century solution that focuses on a clean,energy-efficient option. Developing a comprehensive high-speed intercity passenger railnetwork will require a long-term commitment at both the Federal and State levels. The$8 Billion in ARRA funds is intended to be a down payment that will jump-start theprocess These first steps emphasize strategic investments that will yield tangible

benefits to intercity rail infrastructure, equipment, performance, and intermodalconnections over the next several years, while also creating a pipeline of projects toenable future corridor development.

The evaluation and selection criteria in this notice are intended to prioritize projects thatdeliver transportation, economic recovery and other public benefits, including energyindependence, environmental quality, and livable communities; ensure project successthrough effective project management, financial planning and stakeholder commitments;and emphasize a balanced approach to project types, locations, innovation, and timing.This notice describes multiple funding paths to accommodate projects at different stagesof development, while also rationalizing the variety of statutory and administrativerequirements underpinning the program. FRA recognizes the unique challenges and

opportunities presented, and will seek, to the maximum extent permitted under law andadministrative procedures, to work collaboratively with applicants and stakeholdersthroughout the process.

1.2.2 ARRA Interim Guidance2

On June 23, 2009 the FRA published a Notice of Funding Availability and InterimProgram Guidance for the High-Speed Intercity Passenger Rail (HSIPR) Program. Thisnotice describes multiple funding paths to accommodate projects at different stages ofdevelopment, while also providing details on how applicants are expected to comply withthe variety of statutory and administrative requirements underpinning the program. Thenotice includes evaluation and selection criteria that are intended to prioritize projects.One of the key elements that these criteria seek to identify is the presence of a plan to

ensure project success through effective project management.

In order to accommodate the variety of potential applicant goals and stages of projectdevelopment, while meeting the statutory and program constraints, the Interim Guidanceprovides four funding tracks in which applications may be submitted. FRA has adoptedthis four-track approach to aid in near-term economic recovery efforts and to establishthe path to realize a fully-developed national High-Speed Rail/ Intercity Passenger Railnetwork.

Track 1 Intercity Passenger Rail Projects funded under ARRA (Track 1 Projects) This includes two sub-Tracks: (1) Final Design (FD) and Constructionprojects and (2) Preliminary Engineering (PE) and the development of project-leveldocumentation to meet the requirements of the National Environmental Policy Act

(NEPA) and related laws and regulations3

Track 2 High-Speed Rail/ Intercity Passenger Rail Service Development Programs(Track 2 Programs)

.

2Federal Register, June 23, 2009. (Volume 4, Number 119, Page 29900.

3The National Historic Preservation Act, Clean Water Act, 49 U.S.C. 303 relating to parks, wildlife refuges

and historic sites (commonly referred to as Section 4(f)), and the Endangered Species Act are examples


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Track 3 Service Planning Activities funded under the FY 2009 and FY 2008 DOTAppropriations Acts (Track 3 Planning)

Track 4 FY2009 Appropriations-Funded Projects (Track 4 FY2009Appropriations Projects)

The guidance requires that Project Management Plans be developed for those

applications which result in the final design and construction of rail projects. Thisincludes all projects requested under Track 1 FD/ Construction, Track 2 and Track 4.

As defined in the Interim Guidance the Project Management Plan (PMP) is an approachfor ensuring successful implementation of a rail project or program. The guidance statesthat a PMP must include:

1. identification of a manager accountable for project or program delivery;

2. An organization/resource plan that describes (e.g., through an organizationchart) the relationships among entities involved in the proposed program and adescription of the relationships among the entities responsible for the financing,design, construction, operation, and maintenance of the proposed program;

3. A description of any new legal entities required, how they would be structured,and their relationship to existing entities;

4. Stakeholder agreements with owners of right-of-way, operators, or other entitiescritical to successful project/program delivery;

5. Required governmental actions and approvals;

6. An appropriate system safety plan for the entire project lifecycle consistent withFTA guidance for safety and security management plans;

7. The project management plan should address the safety certification processand any required collision hazard analysis consistent with the FRA guidance.

8. A project management plan generally should also include metrics by which the

success of the project is defined.

1.2.3 Passenger Rail Investment and Improvement Act of 2008 (PRIIA)4

Enacted on October 16, 2008 PRIIA represents the most sweeping Congressional actionon intercity passenger rail since those that created Amtrak and the Northeast CorridorImprovement Project during the 1970s. In addition to reauthorizing Amtrak, PRIIA buildsupon the experience of the FY 2008 State Grant Program by establishing three newcompetitive grant programs for funding high-speed and intercity passenger rail capitalimprovements:

Intercity Passenger Rail Service Corridor Capital Assistance (Section 301) Under thissection, the broadest of the three new grant programs established under PRIIA,

grants are provided to fund up to 80 percent of the cost of capital improvements tobenefit all types of intercity passenger rail service. In order to be eligible for fundingunder this program, proposed projects must be included in a State Rail Plan.

High-Speed Rail Corridor Development (Section 501) Eligibility for this program isrestricted to projects intended to develop high-speed rail corridors. Such projectsmust be located on a federally designated HSR corridor, and be intended to benefit

4Division B of Public Law 110-432


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intercity passenger services reasonably expected to reach speeds of at least 110miles per hour.

Congestion Grants (Section 302) This program authorizes grants to States or toAmtrak (in cooperation with States) for financing up to 80 percent of the capital costsof facilities, infrastructure, and equipment for high-priority rail corridor projects

necessary to reduce congestion or facilitate ridership growth in IPR transportation.The program incorporates the same grant conditions as those applicable underSections 301 and 501.

The $8 billion in High-Speed Intercity Passenger Rail funding under ARRA jump startsthe widespread improvement of passenger rail service in the United States. Theappropriation references the authorities included in Sections 301, 302, and 501 of PRIIA.Funding awards will be made through PRIIA, but there is no predetermined allocation offunding between the three grant program categories. Track 1 projects can be fundedeither through Section 301 or Section 302, and Track 2 projects can be funded out ofeither Section 301 or Section 501.

Subsection 244035

(a) PROJECT MANAGEMENT PLAN REQUIREMENTS.To receive Federal financialassistance for a major capital project under this chapter, an applicant must prepare andcarry out a project management plan approved by the Secretary of Transportation. Theplan shall provide for

, which is part of Section 301 of PRIIA,establishes the requirementsfor a Project Management Plan. This section states:

(1) adequate recipient staff organization with well-defined reportingrelationships, statements of functional responsibilities, job descriptions, and jobqualifications;

(2) a budget covering the project management organization, appropriateconsultants, property acquisition, utility relocation, systems demonstration staff,audits, and miscellaneous payments the recipient may be prepared to justify;

(3) a construction schedule for the project;

(4) a document control procedure and recordkeeping system;

(5) a change order procedure that includes a documented, systematic approachto handling the construction change orders;

(6) organizational structures, management skills, and staffing levels requiredthroughout the construction phase;

(7) quality control and quality assurance functions, procedures, andresponsibilities for construction, system installation, and integration of systemcomponents;

(8) material testing policies and procedures;(9) internal plan implementation and reporting requirements;

(10) criteria and procedures to be used for testing the operational system or itsmajor components;

5Passenger Rail Investment and Improvement Act of 2008. Public Law 110-432. October 16, 2008.

122 STAT. 4940. Codified at 49 U.S.C. Chapter 244.


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(11) periodic updates of the plan, especially related to project budget andproject schedule, financing, and ridership estimates; and

(12) the recipients commitment to submit periodically a project budget andproject schedule to the Secretary.

1.2.4 Federal Transit Administration Guidance

The Federal Transit Administration (FTA) has an extensive Project ManagementOversight (PMO) process in place for major transit capital projects6

The Federal Transit Administration guidelines state that:

. The FRA hasclearly drawn from the FTA for its PMP guidelines. The wording in PRIIA for therequired sections of a PMP is identical to that used by FTA, with one exception: FTArequires a design management process encompassing PE and final design. Thisrequirement is not included in Section 24403 of PRIIA.

The PMP should demonstrate that all phases of the project have beenthoroughly considered, giving thought to the methods to be used to execute theproject, and the interfaces that will be created between various participants. Itshould define the objectives of the project, the methods and resources proposedto be used in meeting those objectives, the overall management strategyincluding project control, and the responsibilities, authorities, and measures ofperformance for all parties involved

The PMP, while submitted initially prior to entering the PE Phase, is intended tobe a dynamic document that should be expanded and updated as necessarythroughout project implementation. Such updates should include, but not belimited to, project budget, project schedule, financing, ridership estimates, and,where applicable, the status of local efforts to enhance ridership when estimatesare contingent upon the success of such efforts. The PMP should be updated,as a minimum, prior to advancing into the Final Design and Construction Phases.It is suggested that for large multi-segment projects, a program PMP be

developed, and modified for each phase of each major segment. The modifiedPMP would reflect the unique characteristics of each segment/phase, such asthe exact scope of work and specific resources, e.g., project staff, budget, andschedule.7

Because the FTAs PMP process is well established and plans have been developed fornumerous major transit rail capital projects, these guidelines are a useful resource in thedevelopment of a PMP for High Speed Intercity Passenger Rail projects.

1.3 Summary of North Carolina rail program

1.3.1 Progress to Date

North Carolina has one of the most comprehensive programs in the country for investingand operating intercity passenger rail services. The state subsidizes two Amtrakservices, The Carolinian (Charlotte Washington, D.C. New York) and the Piedmont(Charlotte Raleigh). Significant investments have been made using state, local privateand federal and surface transportation funds to:

6FTA "Project Management Oversight," 49 CFR 633, Revised as of October 1, 1999.

7Federal Transit Administration. Project and Construction Management Guidelines, 2003 Update.

http://www.fta.dot.gov/publications/reports/other_reports/publications_3875.html
http://www.fta.dot.gov/publications/reports/other_reports/publications_3875.htmlhttp://www.fta.dot.gov/publications/reports/other_reports/publications_3875.htmlhttp://www.fta.dot.gov/publications/reports/other_reports/publications_3875.html


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Improve existing tracks

Install new signals systems

Construct stretches of new track and crossovers

Upgrade stations and parking facilities

Install upgraded grade crossing protection

Eliminate grade crossings through separation projects and road closures

Purchase, rehabilitate and maintain rail rolling stock

Subsidize the operation of the Carolinian and Piedmont trains

North Carolina has been focusing its rail improvement efforts on the NCRR Corridorbetween Charlotte and Raleigh, but it has made investments throughout the state tobenefit both freight and passenger services.

Working with NCRR, NS and CSX, the NCDOT is upgrading existing rail corridors toimprove safety, efficiency and capacity for freight and passenger train services. The first

phase of improvements is being performed along the North Carolina Railroad. NCRRowns a 317-mile long, 200 foot wide corridor that links Charlotte, Greensboro andRaleigh and extends to the state's seaport at Morehead City. Norfolk Southern Railwayoperates trains along the entire corridor under a lease agreement with NCRR. CSXTransportation shares operation of a portion of the NCRR's corridor between Raleighand Cary.

Through track and signal improvements, the NCDOT has reduced the travel time forpassenger trains between Raleigh and Charlotte by more than 35 minutes since thework began in 2001. In addition to reducing the travel time, the work has increasedefficiency and reliability for both freight and passenger trains in the corridor. Through itsSealed Corridor program the state has enhanced the safety of grade crossings In thefederally designated high speed rail corridor.

Figure 1-1: Passenger Rail Service in North Carolina


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Figure 1-2: Track Improvements on theNorth Carolina Railroad

Table 1-2:Passenger Rail Services in North Carolina8

Name Service Corridor ServiceMilesin NC

Stops inNC

Daily ServiceFrequency

North South

Crescent New York-Charlotte-Atlanta-New Orleans 160 5 1 1

Palmetto New York-Savannah via Fayetteville 180 4 1 1

Silver Meteor New York-Miami via Fayetteville 180 2 1 1

Silver Star New York-Tampa-Miami via Raleigh 200 5 1 1

Carolinian New York-Richmond-Raleigh-Charlotte** 280 11 1 1

Piedmont * Raleigh-Charlotte** 172 8 1 1

* Operated exclusively within North Carolina.** Operated as a partnership between Amtrak and NCDOT

8North Carolina Department of Transportation. Draft State Rail Plan. July 2009.


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1.3.2 High Speed Rail

With tremendous economic and population growth, the Southeast needs acomprehensive, multi-modal transportation system. High-speed rail service will providebusiness and leisure travelers with a competitive alternative to air and auto for tripsbetween 100-500 miles. High speed rail in the southeast will mean top speeds of 110

mph and average speeds between 85-87 mph. Virginia, North Carolina, South Carolinaand Georgia have joined together with the business communities in each state to form afour-state coalition to plan, develop and implement high speed rail in the Southeast. Thestates have proposed to develop the high speed rail network incrementally, upgradingexisting rail rights-of-way to increase capacity and allow for higher speed passengertrain operations.

North Carolina, Virginia and the FHWA and FRA completed the vital first part of a two-part environmental study for the Washington, DC to Charlotte portion of the SoutheastHigh Speed Rail Corridor (SEHSR) in 2002. This Tier I Environmental Impact Statement(EIS) - examined the need for the project and looked at potential impacts on both naturaland man-made environments along nine possible routes. Public involvement was criticalduring this phase with 26 public information workshops and 18 public hearings held in

North Carolina and Virginia to solicit feedback about the project. Throughout the Tier IEIS process, meetings with the public, political leaders, planners, resource agencies,railroads and other interested parties were held to obtain input on the project.

Figure 1-3: Southeast High Speed Rail Corridor


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The Tier I EIS identified the preferred corridor and the overall project purpose and need.Key issues identified in the Purpose and Need Statement include:

Provide transportation options to the traveling public

Ease the rate of congestion growth in the corridor

Improve safety and energy effectiveness Improve air quality

Improve transportation efficiency while minimizing impacts

The Final Environmental Impact Statement, which outlines why the recommendedalternative was selected, received a formal Record of Decision in October 2002. Thisfederal document confirms the preferred corridor recommended by the Tier I EIS.Virginia and North Carolina are now proceeding with the next phase of environmentalanalysis for the Raleigh to Richmond portion of the corridor. This Tier II EIS will becompleted in 2010 and will provide a detailed analysis on the impacts, including tracklocation, station arrangement and detailed design. The Tier II EIS will provide detailedinformation about the proposed rail alignment and includes preliminary designs for the

construction of the rail improvements and the roadway improvements necessary toprovide complete grade separation between rail and road traffic.

Tier 2 Project Level Environmental Impact Statements will not be needed for thosesections of the corridor in which passenger rail service is currently operating (Charlotteto Raleigh and Richmond to Washington, D.C.).Additional project level environmentaldocumentation may be needed for specific improvements in these sections of thecorridor. The need for additional environmental documentation will be determined on acase by case basis as individual projects are developed in the segments of the SEHSRthat currently have passenger rail service.

1.3.3 Incremental Improvements to State supported Amtrak Service

Since 2001, NCDOT has invested more than $60 million in track and signalimprovements on the NCRR corridor between Raleigh and Charlotte. As a result of thisNCRR Improvement Program (NCRRIP), travel times between Raleigh and Charlottehave decreased by more than 35 minutes. In addition to reducing the travel time, thework has increased efficiency and reliability for both freight and passenger trains in thecorridor.

1.4 Description of Charlotte to Washington, DC Corridor

In January, 2004, the Federal Railroad Administration published a report that describes therecommended improvements for the Charlotte to Washington, DC.9

9

U.S. Department of Transportation, Federal Railroad Administration. Technical Monograph:Transportation Planning for the RichmondCharlotte Railroad Corridor. January 2004.

The proposedSoutheast High Speed Rail project would extend high speed rail service from the NortheastCorridor (NEC) southward along a designated high speed rail corridor from Washington, DC

to Charlotte, NC. The proposed service would consist of four round trips per day betweenCharlotte and Washington and four additional trips between Raleigh and Charlotte. Ninestudy area alternatives and one no-build alternative were examined for the proposedcorridor. The estimated end-to-end travel time for the nine alternatives ranges from 6 hoursto 7.5 hours, compared to 10 hours for the no-build alternative. The projected total ridershipin 2025 for the nine alternatives ranges from 1.3 million to 1.8 million passengers. Projected


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net operating contributions range from a $22.497 million gain to a $2.44 million loss. Fossilfuel powered trains are proposed to be used with a top operating speed of 110 mph.

As a critical link in a longer rail route linking the Northeastern States with Virginia, theCarolinas, Georgia, and Florida, the RichmondCharlotte Corridor consists of three distinctcomponents:

The S Line, a route of CSX Transportation between Richmond and Raleigh (NorthCarolina), more than half of which was abandoned in the 1980s, and most of the rest ofwhich CSX operates in light-density freight service

The RaleighGreensboro (North Carolina) H Line, owned by the North CarolinaRailroad Company and operated under moderate traffic density by Norfolk SouthernRailway

The Piedmont Main Line (P Line) also owned by the NCRR and operated by the NS asa key link in their Crescent Corridor heavy density freight route

The S Line accounts for almost half the mileage. If it is subdivided into its active andabandoned portions, then the RichmondCharlotte Corridor may be viewed as consisting offour parts, roughly equal in length, but each with its own distinct physical and operatingcharacteristics. The H and P Lines are being maintained in a state of good repair, meaningthat the track was of a quality that met or exceeded the requirements of the Federal Railroad

Administrations railroad safety regulations for the speeds and traffic types that it supported.

1.5 Identification of Project Management Issues

1.5.1 North Carolina

The NCDOT Rail Division has a proven record of planning and implementing major railcapital improvement projects. The Division has successfully managed hundreds ofprojects that include grade crossing improvements, grade crossing separations, trackand signal improvements, new track construction, station construction and renovationand equipment purchase and refurbishment. The Department has an extensive system

in place to manage all aspects of major capital project delivery. This process has stoodup to scrutiny at all levels, and the entire Department has recently gone through a majorreorganization designed to streamline the process and to make project delivery moreeffective and efficient.

The major challenge of implementing a High Speed Intercity Rail Improvement Programthrough ARRA funding will be the magnitude and extent of the projects that are beingimplemented. NCDOT recognizes that it will have to ramp up its project managementand oversight functions in order to provide the capacity needed to implement the largescaled projects that are being proposed. The Rail Division intends to draw on theexpertise of the entire Department of Transportation to draw in additional resources asneeded to move these major rail projects toward completion. The Rail Division will also

continue its practice of using outside contractors to perform engineering on constructionmanagement functions.

1.5.2 Bi-state Coordination

The Rail Division has established a high level of coordination with the VirginiaDepartment of Rail and Public Transportation. NCDOT has taken the lead on theRaleigh Richmond Tier II Environmental Impact Statement, which is currentlyunderway and scheduled to be completed in 2010. The Rail Division has projectmanagement responsibilities for the entire study, even though more than half of the 162


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mile long corridor is in Virginia. Through this contractual arrangement the Rail Division isdirectly managing an extensive environmental and preliminary design project in theCommonwealth of Virginia. The Rail Division has worked closely with VDRPT to insurethat all Virginia requirements are being met on this study, and they have conductedextensive agency coordination and public outreach efforts in both states. It is anticipatedthat this same level of close coordination between the two state rail offices will continue

through the final design, construction and operation of the Southeast High Speed RailCorridor.

1.5.3 Railroad Coordination and Standards

The North Carolina Department of Transportation has an excellent and uniquerelationship with the railroads over which the high speed service will operate. The tracksfrom Charlotte to Raleigh are owned by the North Carolina Railroad Company, a privaterailroad company owned by the State of North Carolina. The NCRR is a 317 mile long,200 foot wide rail corridor that connects Morehead City through Raleigh, DurhamGreensboro and High Point to Charlotte. NCRR has a Master Agreement in place withNorfolk Southern Railway to provide for the exclusive operation of all freight service andmaintenance of the rail infrastructure. In December of 2001 a NCRRIP Project

Agreement was executed by NCDOT, NCRR and NS for passenger rail improvements tothe corridor. This Agreement has been the basis for the successful implementation ofthe NCRR Improvement Program shown in Table 2-1.

The proposed Southeast High Speed Rail Corridor will also operate on CSX-Ownedtracks between Raleigh and Norlina, NC and on newly constructed tracks along thecurrently inactive CSX S Line corridor between Norlina and Petersburg, VA. NCDOThas a Railroad Master Construct Agreement with CSX that will provide the terms andconditions upon with passenger service improvements will proceed. NCDOT is alsoexploring options for purchasing the S Line Right of Way in order to secure full controlover all railroad operations on what will become a dedicated high speed rail corridor.

NCDOT works closely with the Class 1 railroad carriers to ensure that all proposedimprovements are built to the owners standards. In some cases these standards, whichare designed for maximum freight train movement efficiency, may be in direct conflictwith the design requirements for high speed rail. Both CSX and Norfolk Southern haveboard-adopted policies in place that prohibit operation of passenger trains at speeds ofmore than 90 mph unless they are on separate tracks separated by at least 25 feet fromthe active freight lines. High speed rail improvements will be developed so that they fullycomply with the design and operational requirements of the host railroad. In somecases, however, NCDOT is seeking to negotiate revisions to the railroad policies in orderto design and construct rail improvements that will support the implementation of highspeed rail passenger service.

1.6 Types of Projects in Application for ARRA Funds

The NCDOT is submitting a package of High Speed Intercity Passenger Rail improvementprojects for funding under the American Recovery and Reinvestment Act of 2009 (ARRA).There are a total of 96 discreet capital projects included in the nine applications that arebeing submitted to FRA. This package of improvements include planning studies beingsubmitted under Track 3, the development of Preliminary Engineering and project-levelNEPA documentation under Track 1b, the Final Design and Construction of Projects underTrack 1a. NCDOT is also submitting a set of projects under Task 2 that are intended todevelop entire Charlotte to Richmond corridor. Different levels of project managementpolicies and procedures will be needed for each of these categories of projects. This Project


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Management Plan is intended to provide the project management framework for all of thesetypes of projects. As individual projects move through the development phases of planning,environmental documentation, final design and construction, additional project-specific leveldetail will be added to this PMP and documented in Appendix B.


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2.0 PROJECT ORGANIZATION

2.1 Background on NCDOT

On March 5, 1891 the General Assembly created the North Carolina Railroad commission,charged with the supervision of railroads, steamboat and canal companies and express and

telegraph companies. The State Highway Commission was created 24 years later, in 1915.In 1941, the North Carolina General Assembly created the Department of Motor Vehicles,consolidating services previously provided by the Secretary of State and the Department ofRevenue.

The Executive Organization Act of 1971 then combined the State Highway Commission andthe Department of Motor Vehicles to form the N.C. Department of Transportation andHighway Safety. In 1979, "Highway Safety" was dropped from the department's name whenthe Highway Patrol Division was transferred to the newly created Department of CrimeControl and Public Safety.

Today, NCDOT employs more than 14,000 people who oversee all modes of transportationin North Carolina, including highways, rail, aviation, ferries, public transit, and bicycle and

pedestrian transportation. The department also oversees North Carolinas Division of MotorVehicles.

NCDOTs operations are led by the Secretary of Transportation, a member of the governorscabinet. A 19-member Board of Transportation is the departments governing body and isresponsible for assisting in the transportation decision-making process and approving fundallocation. Board members are appointed by the governor.

2.1.1 Mission:

The mission statement for the North Carolina Department of Transportation is:

Connecting people and places in North Carolina - safely and efficiently, with

accountability and environmental sensitivity.

2.1.2 Goals

The Department goals are:

Make the states transportation network safer

Make our transportation network move people and goods more efficiently

Make our infrastructure last longer

Make our organization a place that works well

Make our organization a great place to work

2.1.3 Values:

NCDOT has established five core values that represent the manner in which business isconducted. The Department is committed to using these values to guide everydaydecision-making, and it is recognized that adherence or non-adherence to these valuesdirectly impacts the achievements and success of the organization. These values are:

Safety We strive for safety throughout our transportation networks as well as in thework performed by employees.


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Customer Service - We respond to our customers, both internal and external, in anopen, professional and timely manner

Integrity - We earn and maintain trust by responsibly managing the States assets,acting ethically, and holding ourselves accountable for our actions

Diversity -We draw strength from our differences and work together in a spirit ofteamwork and mutual respect

Quality - We pursue excellence in delivering our projects, programs, services andinitiatives

2.2 Reorganization of NCDOT

In 2008 the North Carolina Department of Transportation implemented a major restructuringof the agency after an extensive review of the organization and its business practices. Thegoal of the review was to make the Department more strategically oriented, accountable andefficient in its use of resources. As a result of this reorganization, the Department is morefocused on outcome-based performance measures and better able to meet the needs of

North Carolinas citizens.

A key component of the NCDOT organization is the alignment of key business units alongstrategic functional lines and transitioning to a comprehensive multimodal approach for thedelivery of transportation projects. The Department has been realigned into six strategicfunctional business units as shown in Table 3.1:

2.2.1 Organization Monitoring, Communication & Control

This unit is responsible for overseeing and evaluating the day-to-day operations of theDepartment to ensure optimal efficiency, effectiveness and accountability. Theresponsible positions for this part of the organizational structure are the Chief OperatingOfficer (formerly the Chief Deputy Secretary), Inspector General, Communications

Director and Governance Office Director.

2.2.2 Transportation Strategy & Investment Analysis

This functional unit is responsible for developing, monitoring and managing strategicplans and investment alternatives based on the long-range, multi-modal transportationneeds of the state. The responsible positions for this unit are the Deputy Secretary forIntergovernmental Affairs and Budget Coordination and the Chief Financial Officer.

2.2.3 Transportation Business Administration

This unit is responsible for providing day-to-day business administration and supportiveservice functions to the Department. The Deputy Secretary for Administration and

Business Development and the Human Resources Director are responsible for this unit.

2.2.4 Transportation Process Management

The Technical Services Director and Chief Information Officer lead this unit to providedepartment-wide technical and administrative services that improve delivery of theprojects, programs, services and initiatives being managed by NCDOT.


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2.2.5 Transportation Program & Asset Management

This unit provides the day-to-day central management, expertise and administration ofthe highway and multi-modal transportation programs being managed by NCDOT. TheDeputy Secretary for Transit and the State Highway Administrator are responsiblepositions for this part of the organizational structure.

2.2.6 Transportation Program Delivery

The Transportation Program Delivery Unit is responsible for managing the decentralizeddelivery of NCDOT projects, programs, services and initiatives. The Chief Engineer ofOperations is responsible for this unit within NCDOT.

This strategically aligned reorganization enhances the delivery of ARRA rail projects byeliminating modal silos and more efficiently utilizing and re-directing the Departmentsproject delivery resources. By eliminating redundancies and de-layering the organizationNCDOT has structured the entire agency to provide functional/program focus

Statewide/local multi-modal strategic planning

Improved Auditing and Oversight

Mainstreamed continuous improvement culture

Organizational culture shift - performance driven/outcomes based

Standardized practices

2.3 NCDOT experience with rail construction projects

The North Carolina Department of Transportation Rail Division has an extensive track recordof successfully managing the planning, design, construction and operation of major railprojects. The state has been making direct capital and operating investments in rail servicesince it began supporting Amtrak service on May 25, 1990. The Rail Division has managed

the following types of projects: Rehabilitation and upgrading of existing rail infrastructure

Design and installation of new rail infrastructure, including passing sidings, double trackand crossovers

Design and construction of new railroad bridges and other structures

Signal system installation

Crossing signals and warning devices

Grade separations

Station construction and renovations

Equipment procurement and rehabilitation

Rail equipment maintenance

Rail service operations

2.3.1 North Carolina Railroad Improvement Project (NCRRIP)

The NCDOT is investing state, federal and surface transportation funds throughout thestate to improve existing tracks, install new signals and build stretches of new track to


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improve the state's rail system. These projects range in scope from critical freight accessto statewide development of the Southeast High Speed Rail corridor.

The NCRR owns and manages the rail corridor. Norfolk Southern through the MasterAgreement and Trackage Rights Agreement operates and maintains the railroad forNCRR. CSX Transportation shares operation of a portion of the NCRR's corridor

between Raleigh and Cary. Over 70 freight trains currently operate on the NCRRcorridor on a daily basis. In addition to freight trains, Amtrak currently operates eightinter-city passenger trains over the NCRR.

Working with NCRR, NS and CSX, the NCDOT is upgrading existing rail corridors toimprove safety, efficiency and capacity for freight and passenger train services. Throughtrack and signal improvements, the NCDOT has reduced the travel time betweenRaleigh and Charlotte by more than 35 minutes since the work began in 2001. Inaddition to reducing the travel time, the work will increase efficiency and reliability forboth freight and passenger trains in the corridor.

The NCDOT provided the preliminary engineering and design plans and is paying for allof the rail improvements with a combination of state, federal and railroad funds. NorfolkSouthern develops final plans and performs the actual construction.

Table 2-1: NCRR Track Improvement Projects

Location Milepost Project Description Project Status CompletionDate Project Cost(in millions)

Mcleansville H-7.8 to H-9.9 Lengthened siding; increase siding speedfrom 10 45 mph Completed 2002 $0.98 Million

Mebane H-31.8 to H-34.1 Lengthened siding; increase siding speedfrom 10 45 mph Completed 2003 $0.95 Million

West Durham

(Funston)H47.9-49.9

Upgraded and extended the siding trackfrom 6,500 feet to 9,000 feet. Installednew No. 20 turnouts to allow trains to

travel faster (from 10 to 45 mph) throughthe siding.

Completed 2003 $2.31M

East Durham(D&S Junction)

H-56.6 to H-56.9

Replaced a 20 mph at-grade railroadcrossing of CSX and NS with a series ofswitches that permitted raising speed to79 mph. Constructed 1,300 feet of new

track. The new track and switches enabletrains to switch tracks faster.

Completed 2004 $2.03

Cary toGreensboro H-0.0 to H-73.0 Realigned and increased superelevation(banking) of curves Completed 2005 $2.85 M

Cary to

Greensboro H 0.0 H73.0Installed traffic control and

communications system to automate traindispatching. The systems enables trains

to operate at maximum speeds of 79mph.

Completed 2004 $10.77 MDowntown

Greensboro(Elm Junction) H-0 to H-0.7

Rebuilt the Greensboro junction for higherspeeds and improved capacity. Builtsecond track at Greensboro Station. Completed 2005 $1.27 M

Kannapolis andSalisbury 337.3 and347.3 Replaced turnouts (switches) toaccommodate faster speeds. Completed 2007 $2.5 M*

East DurhamSiding H-56.6 to H-59.1 Built 10,400 feet of new track to create anew passing siding. Completed 2007 $6.5 M*


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Location Milepost Project Description Project Status CompletionDate Project Cost(in millions)

Raleigh to Cary(Boylan to Fetner) H-73 to H-81

Improve track and signals to provide 79mph max. speed and increase track

capacity

Track workcompleted 2005.Work on signals

and Fetnerjunction will be

complete in2009.

2009 $11 M*

Greensboro HighPoint

(Cox to Hoskins)NS Main Line289.3 to 298.5

Construct 9 miles of a second main trackto improve railroad capacity and

passenger train reliability.Under

construction 2009 $20 M*

VariousVariousprojectsbetween

Greensboroand Durham

Install crash beams and sensors onvarious bridges to protect the railroad

from overheight trucks.

Pilot projectcomplete atGregson St.,

Durham. Otherprojects stillunderway.

2009 $1 M*

Greensboro toCharlotte 284 tomilepost 376

Realign and increase superelevation(banking) of curves to increase speed tomaximum of 79 mph. In some locations

bridges are improved and switchesremoved

Underconstruction 2009 $1.5 M*

Raleigh to Selma H-80.1 to H-109.3 Increase curve superelevation andcrossing warning times for 79 mph. Underconstruction 2009 $2 M*

Hopson Rd. GradeSeparation &

RailroadRealignment

H-64.2 to H-65.3

Realign railroad, build bridge overHopson Rd, close Church St. Crossing &

extend Church St. to Hopson Rd.Finalizing envir

document &public

involvement

2012 $10 M

Haw RiverH-23.5 to H-

25.5Build 10,000 feet of new track to create a

passing siding. As part of the project, fourcurves will be straightened

Preliminaryplans &

environmentalwork complete.

Final designunderway. R/Wacquisition tobegin 2009.

2012 $12 M*

Thomasville toLexington

(Bowers to Lake) 309.8 to 314.0Construct second main track to improve

railroad capacity and passenger trainreliability.

Preliminaryengineering 2012 $13 M*

Concord toCharlotte

(Haydock toJunker)

360.0 to 372.2 Construct second main track to improverailroad capacity and passenger trainreliability.

Preliminaryengineering 2012 $30 M*

Salisbury to

Kannapolis(Reid to N.Kannapolis) 337.3 to 347.3

Construct second main track to improve

railroad capacity and passenger trainreliability. Preliminaryengineering 2013 $22 M*

Completed ProjectsProjects Underway

* Denotes project cost estimateSourtce: http://bytrain.org Updated January 2009
http://bytrain.org/http://bytrain.org/http://bytrain.org/http://bytrain.org/


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2.3.2 Global TransPark

The North Carolina Global TransPark (GTP) is a 2,400-acre industrial/airport sitesituated strategically in Eastern North Carolina. Spirit AeroSystems, the Wichita-basedsupplier of aircraft components to both Boeing and Airbus (among several others), isnow building a state of the art manufacturing facility on 300 acres at the GTP, set to

open in 2010.Spirit requires the new rail installation to transport large fuselage sectionsand wing spars to the Port of Morehead City . The parts will then set sail for France,where they will be used in the construction of the A350 extra wide body Airbus jetliner.

The NCDOT Rail Division has adopted an Ultra-Expedited approach to the GlobalTransPark project have it planned, designed and construction in 3 years in order to fitthe startup needs of Spirit. The project involves the construction of 5.8 miles of track ona new location, including a railway bridge and 10 roadway crossings. The Rail Divisionhas initiated the environmental documentation and final design simultaneously and is onschedule to have both of these elements completed within 16 months of initiation so thatconstruction can begin in early 2010.

It is anticipated that similar Ultra-Expedited approaches will be utilized to ensure the

rapid implementation of ARRA-funded high speed rail projects.

2.3.3 Equipment Procurement and Rehabilitation

The Rail Division is responsible for procuring new and used rail rolling stock and forrefurbishing this equipment. NCDOT practice has been to purchase used railcars thatcan be refurbished to like new condition. This allows the state to get equipment morequickly and more inexpensively than purchasing new equipment. Also allows the stateto purchase a small number of cars and increase the size of their fleet incrementally.

The Rail Division has developed a set of detailed specifications that are used to procurerefurbishment services for passenger coaches and baggage cars. The specificationshave been refined based on several rounds of procurement. The general coach

refurbishment specifications are revised for each procurement to reflect the specificconditions of the coach being refurbished.

The State Division of Purchase and Contract (P&C) handles all of these procurementsfor the Rail Division. The Rail Division staff develops the work specifications, then P&Cbundles this with the contract boilerplate and solicits bids. P&C manages the bid processfrom advertisement through pre-bid conference to receipt of bids. The Rail Divisionserves as a member of the selection team but P&C runs the process and is responsiblefor making the final recommendations for procurement. All Rail Division procurementsare reviewed by the Rail Committee and Intermodal Committee of the TransportationBoard, and the final decision is made by the full Board of Transportation. Selections aregenerally made on the basis of lowest responsive and responsible bid, but there is someflexibility to the process if there are specific reasons to select another bidder.

Rail car refurbishments are typically awarded to small shops that can only handle a fewcars at a time. The turnaround time on a refurbishment is usually 10 months to a year,and much of at time is spent waiting for the long lead time on specialized materials andsupplies. NCDOT uses its existing equipment maintenance contract (Herzog) workforceto strip the used car bodies down to a shell on wheels. This allows for efficient use ofworkforce and helps lower the overall cost of the refurbishment.

Once the contract is awarded, the Rail Division takes full responsibility for managing theproject to insure that all work is done to meet the states specifications. The Rail


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Divisions employs a Mechanical Engineer (ME) (full time contract employee) who makesregular (monthly) visits to the shop to monitor progress on the refurbishment project.The ME performs QA/QC on the cars as they are being rebuilt. The Director ofOperations and Facilities also inspects major jobs to insure that the work is continuingon schedule and budget.

Invoicing is handled through the NCDOT Purchasing Office. Detailed monthly invoicesare submitted by the vender and are reviewed carefully by both purchasing and by theDirector of Operations and Facilities and ME in the Rail Division. The State Auditor alsoperiodically pulls invoices for a complete review. The auditors have the right inspect anyelement of the procurement process from Award to Final Closeout and for a period of upto three years after project completion.

A similar process is followed to refurbish older locomotives. NCDOT has developed aset of specifications that itemize the improvements necessary to bring the locomotive tolike new condition. The same procurement process is used, and the Director ofOperations and Facilities provides oversight of the refurbishment process.

The Rail Division uses a more general performance-based set of specifications for the

procurement of new locomotives10

2.3.4 Equipment Maintenance Amtrak & Herzog Transit Services

. The specifications require that meet certain minimumperformance and maintenance standards. The manufactures then submit proposals fortheir equipment that best meets the performance requirements of the specifications.NCDOT Rail Division staff analyze these bid proposals to determine which proposedequipment meets the performance requirements at the best price to the state.

The State of North Carolina owns all of the rail rolling stock that is used to provide theAmtrak Piedmont service. This equipment is maintained at the NCDOT maintenancefacilities located in Raleigh and Charlotte. NCDOT contracts with Herzog TransitServices to provide the regular maintenance functions for the rail equipment at the state-owned facility in Capital Yard in Raleigh. NCDOT employs a Rail Operations Manager

who is responsible for overseeing the equipment maintenance functions performed bythe contractor.

2.3.5 Stations

As passenger rail traffic declined after World War II, stations lost their importance aslinks to the transportation system. By the 1960's many stations in North Carolina wererun down, closed, or had been destroyed. In the 1990's, the North Carolina Departmentof Transportation and Amtrak began the Carolinian and Piedmont trains whichdramatically increased rail travel in the state. As passenger train travel grows inpopularity, North Carolina cities have rehabilitated their historic stations or built newstations to provide better transportation and economic growth for their community.

The NCDOT Rail Division has undertaken a major capital program to upgrade all of thestation facilities in the state. Through the efforts of the rail division, a total of 16 stationshave undergone major renovations and 2 new stations have been built. The Departmentworks closely with the localities to develop attractive station facilities that provide awelcoming gateway to the rail system and also serve as key focal points in the

10North Carolina Department of Transportation, Rail Division. NCDOT Requirements for New

Locomotives. CES-0001527, Rev A. July 2009.


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communities. The State has played a variety of different roles in the stationdevelopment projects, depending on the specific situations.

The National Trust for Historic Preservation recognized the efforts to enhance NorthCarolinas train stations by awarding the 2007 John H. Chafee Trustees Award forOutstanding Achievement in Public Policy to the NCDOT Rail Division. The press

release from the Nation Trust for Historic Preservation announcing this award states thatThis far-reaching program, linking the reinstitution of passenger train service with therestoration of historic railroad structures, is a model that should inspire other states andcommunities. NCDOTs exemplary initiative has already sparked significant privateinvestment in communities across the state.11

The Rail Division intends to continue its program of station enhancement and hasincluded in its application for ARRA High Speed Rail fund application includes requestsfor construction of major new stations in Charlotte and Raleigh. NCDOT is alsorequesting funding for upfitting the Cary Station, extending platforms in Selma andBurlington, and constructing additional parking in High Point.

2.3.6 Crossing Safety

2.3.6.1 Policies and Procedures

The Rail Division works with communities across the state to make rail-highwaycrossings safer by installing traffic-control devices, closing and consolidatingcrossings, and separating dangerous intersections by constructing bridges over andunder railroad tracks.

Inspection of tracks and equipment is another key component of railroad safety.Working with the Federal Railroad Administration, NCDOT rail-safety inspectors areresponsible for safety oversight of rail transit systems, more than 3,500 miles of trackand signal systems and thousands of rail cars and locomotives. It is the responsibilityof the railroad operators to correct any problems and properly maintain their

equipment.

Rail Division staff design and manage state and federal railway-improvementprojects that increase speeds and capacity for both passenger and freight trains andreview highway projects that affect rail corridors. The Rail Division provides detailedinformation about its grade crossing policies and procedures on its website.12

2.3.6.2 Grade Separations/Sealed Corridor

In 1992, USDOT designated the Washington, DC-Raleigh-Charlotte Southeast RailCorridor as one of five nationally designated future high-speed rail corridors. Sincethat time, North Carolina has received special federal funds to improve railroad-crossing safety along this corridor.

The NCDOT has carried out this work in an aggressive manner to eliminate rail-highway at-grade crossings between Raleigh and Charlotte within the North CarolinaRailroad Company's corridor. The Sealed Corridor project evaluates and closes

11National Trust for Historic Preservation News Release. October 4, 2007.

http://www.bytrain.org/istation/pdf/chafeeawardrelease.pdf.

12http://www.bytrain.org/safety/
http://www.bytrain.org/istation/pdf/chafeeawardrelease.pdfhttp://www.bytrain.org/istation/pdf/chafeeawardrelease.pdfhttp://www.bytrain.org/istation/pdf/chafeeawardrelease.pdf


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crossings where appropriate and improves signals on the remaining crossings. It is"sealing" the corridor by protecting every public crossing with "off the shelf"technologies applied in a new way. Approaches used for the Sealed Corridorinclude:13

Four-Quadrant Gates- Two extra gates block all lanes of travel. Initial tests

indicate an86% reduction in crossing violations Longer Gate Arms- Longer gate arms cover 3/4 of the roadway. Initial tests

indicate an 84% reduction in crossing violations Median Separators- Separators installed along the centerline of roadways

prevent motorists from crossing lanes to "run around" gates. Initial tests show a77% reduction in crossing violations

Median Separators and Four-Quadrant Gates Crossing violations have beenreduced by 98% in these location

Intelligent Signal Monitoring System- Devices installed at each NorfolkSouthern maintained public crossing to notify railroad personnel aboutmalfunctions of crossing equipment

New Signs and Pavement MarkingsExample - One of the new signs displays

an emergency phone number for reporting signal malfunctionsNCDOT is also safeguarding private crossings along the corridor by installingimproved signage and warning devices as special funding allows in addition toclosures.

The Sealed Corridor Project is currently divided into three phases for construction:Phase 1 from Charlotte to Greensboro, Phase 2 from Greensboro to Cary, Phase 3from Cary to Raleigh. The entire corridor contains 172 public and 46 private railroadcrossings.

The Sealed Corridor Program developed by the NCDOT Rail Division is a nationalrecognized best practice for crossing protection. The program is recognized as

being the most effective state programs in the country designed to improve gradecrossing safety.

2.3.6.3 Private Grade Crossing Safety

NCDOT has extended its "Sealed Corridor" program in the Charlotte to Raleighcorridor to include the closure of private crossings where feasible and the protectionof the private crossings that will remain open with crossbucks, automatic flashersand gates, signals, and locking gates. These improvements have been identifiedthrough a systematic analysis conducted on all 46 private crossings within the NCRailroad Company corridor operated by Norfolk Southern and CSX Transportation.

These private crossing projects are being funded through grants from the Federal

Railroad Administration's Next Generation High Speed Rail and Section 1103 (c)programs. This is in addition to other ongoing projects on the corridor toclose/consolidate public crossings or treat with enhanced devices.

13North Carolina Department of Transportation. Draft State Rail Plan. June 2009.


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2.4 Project Delivery Alternatives

The Rail Division has extensive proven experience generally uses a Design Bid Buildapproach to delivering major rail capital projects. A Design Build approach is permissibleunder state law, and NCDOT is currently following this process for several major highwayconstruction projects. A Design Build approach may be an option for major rail

infrastructure projects, but there are many factors, including the fact that much of theconstruction work will typically be done by private railroad companies on their own property,may limit the traditional application of this approach. The Rail Division has successfullyimplemented several innovative techniques into the Design Bid Build procurementmethod that have allowed them to streamline the process and to significantly reduce theamount of time needed to take a project from planning to final design.

One of the most significant innovations utilized by the Rail Division is to conduct theenvironmental review process simultaneous with the final design. There is some riskinherent in this type of approach. There is potential for spending a significant amount oftime and money on an alternative that is ultimately ruled out by the environmental review.However, most of the projects the rail division is involved in involve making improvementswithin the right of way of an active railroad. The state has excellent and unique relationship

with the North Carolina Railroad, which owns most of the property on which the majority ofthe rail improvements are located.

2.4.1 Construction Projects on Active Railroad

NCDOT has worked extensively with NCRR, NS and CSX to implement railimprovement projects on active railroads. The Rail Division has executed a Master

Agreement with NCRR and NS, CSX that governs how capital projects are implemented.

Initially NCRR Improvement Projects were being designed and constructed by NorfolkSouthern. However, as projects have been successfully completed the railroad hasdeveloped confidence in the Rail Divisions ability to manage the design projects.Currently, the design work on most new projects is being managed by the Rail Division.

The Division utilizes its on-call consultants who have extensive experience designing railprojects that meet the NS standards. The railroad will then review the final plans andapprove them for construction.

The host railroads maintain full control of any construction project on its active railcorridor. The railroad makes the determination whether the project can be completedwith its own forces and directly contracts out some or all of the work. The Rail Divisionuses its own staff and its on-call consultant s to monitor and oversee the constructionprocess to insure that the work is completed as designed, on schedule and on budget.

2.4.2 Projects Adjacent to Active Railroad

A slightly different process may be followed for those projects that are adjacent to an

active railroad but can be constructed in a manner that does not impact daily railoperations, such as double tracking. The railroad has allowed the Rail Division to directlymanage the design and construction of these types of projects. The final tie in of thenew facility to the active railroad is done by railroad work forces.

2.4.3 New Construction not on Active Railroads

For projects that involve the construction of new railroad alignments, or construction withexisting but unused or abandoned rail rights of way, NCDOT has full responsibility for allaspects of design and construction. An example of this type of work is the rail spur into


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Global TransPark (see Section 2.3.2 on Page 2-19). The Rail Division has beenmanaging the design and environmental documentation and permitting for this projectand will also procure contractors and manage the construction of the new rail line.Railroad forces will be responsible for the final tie-in of this new spur to the existing railline. A similar approach will be used for the construction of new high speed rail tracks inthe abandoned S Line corridor between Raleigh and Petersburg, VA.

2.4.4 Equipment

The NCDOT manages the procurement of rail operating equipment from thedevelopment of specifications through delivery and final testing. As described in Section2.3.3 on Page 2-19, the rail division has extensive experience in procuring new railequipment and rehabilitating used equipment. Through this well established process theRail Division has been able to quickly procure low cost rail equipment that is attractive tocustomers and is efficient and reliable in daily operations.

2.4.5 Stations

Since the inception of its support of passenger rail service in 1994, NCDOT has

completed the renovation of 16 passenger stations and the construction of 2 newstations. This station work has been completed using a variety of approaches and usingdifferent combinations of federal, state, local and private funds. The Rail Division workswith localities to determine needs and to develop designs for station improvements. Inmost communities the train station is seen as a critical hub for redevelopment. Municipal

Agreements are signed between the locality and NCDOT to delineate responsibilities inboth the station construction and the long term maintenance and operation of thefacilities. All of the station facilities are designed to be in full compliance with state andnational standards including the Americans with Disabilities Act (ADA) and with allrailroad company requirements.

The NCDOT Rail Division has been recognized by the National Trust for HistoricPreservation recognized the efforts to enhance North Carolinas train stations with its2007 John H. Chafee Trustees Award for Outstanding Achievement in Public Policy tothe NCDOT Rail Division.


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3.0 PROJECT MANAGEMENT AND CONTROL

3.1 Management Structure

The North Carolina Department of Transportation is responsible for planning andimplementing all modes of transportation in North Carolina, including highways, rail,aviation, ferries, public transit, and bicycle and pedestrian transportation. As described inSection 2.2, The North Carolina Department of Transportation was reorganized in 2008 toalign its business units along strategic functional lines. The goal of this reorganization is tomake NCDOT more strategically oriented, accountable, efficient and effective in its use ofresources. This new alignment addresses organizational structure challenges by eliminatingredundancies and de-layering the organization. The agency has become more focused onoutcomes-based performance metrics and is better able to provide the transportationnetwork and services needed by North Carolinians.

The new NCDOT organizational structure is shown in Figure 3-1.

3.2 Key PersonnelThe ultimate decision-making and fund allocation responsibility within NCDOT lies with theTransportation Board. This board consists of 19 members who are appointed by thegovernor.

The Secretary of Transportation is responsible for leading the operations of the Department.The Secretary is a member of the cabinet and reports directly to the governor.

The Chief Operating Officer is responsible for overseeing and evaluating the day-to-dayoperations of the Department to ensure optimal efficiency, effectiveness and accountability.

The Transportation Program and Asset Management Business Unit is responsible for theday-to-day central management, expertise and administration of transportation in the State.The Deputy Secretary for Transit reports to the Chief Operating Office and is responsible forof the multi-modal transportation programs being managed by NCDOT. The Rail Division,Public Transportation Division, Aviation Division, Ferry Division and Bicycle and PedestrianDivision all report to the Deputy Secretary for Transit.

The Director of the Rail Division reports to the Deputy Secretary for Transit and isresponsible for providing vision and direction for the Rail Division. The Director managesthe day-to-day program responsibilities of the Division. The Director also provides vision anddirection for the Rail Division and acts as the lead spokesperson both internally with theBoard of Transportation, NCDOT administrators and state legislators, and externally with thegeneral public, local and regional government agencies, business groups, railroads andnational rail organizations.


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Figure 3-1: North Carolina Department of Transportation Organization Chart


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3.3 Rail Division

The Rail Division is responsible for all rail projects and programs, including the planning,implementation and operation of passenger service, station improvements, grade crossing

protection and other safety initiatives, industrial access and corridor preservation. TheDivision is divided into four branches as shown inFigure 3-2. The Division programs andprojects are monitored and reviewed by:

NCDOT management, including the deputy secretary of transit, who reports to thesecretary of transportation (appointed by the governor).

The Board of Transportation, which provides regular oversight an

project man plan

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