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Project Management Plan

North Carolina Department of Transportation Rail Division


High Speed Intercity Passenger Rail Program

August 19, 2009

TABLE OF CONTENTS
1.0 1.1 1.2 Introduction ................................................................................................................... 1-1 Purpose of the Project Management Plan (PMP) ....................................................... 1-1 FRA PMP requirements ............................................................................................. 1-2 Vision Plan ......................................................................................................... 1-2 ARRA Interim Guidance ..................................................................................... 1-3 Passenger Rail Investment and Improvement Act of 2008 (PRIIA) .................... 1-4 Federal Transit Administration Guidance ........................................................... 1-6

1.2.1 1.2.2 1.2.3 1.2.4 1.3

Summary of North Carolina rail program .................................................................... 1-6 Progress to Date ................................................................................................ 1-6 High Speed Rail ................................................................................................. 1-9 Incremental Improvements to State supported Amtrak Service ........................ 1-10

1.3.1 1.3.2 1.3.3 1.4 1.5

Description of Charlotte to Washington, DC Corridor ............................................... 1-10 Identification of Project Management Issues ............................................................ 1-11 North Carolina.................................................................................................. 1-11 Bi-state Coordination ....................................................................................... 1-11 Railroad Coordination and Standards .............................................................. 1-12

1.5.1 1.5.2 1.5.3 1.6 2.0 2.1

Types of Projects in Application for ARRA Funds..................................................... 1-12 Project Organization ................................................................................................... 2-14 Background on NCDOT ........................................................................................... 2-14 Mission: ........................................................................................................... 2-14 Goals ............................................................................................................... 2-14 Values:............................................................................................................. 2-14

2.1.1 2.1.2 2.1.3 2.2

Reorganization of NCDOT ....................................................................................... 2-15 Organization Monitoring, Communication & Control ......................................... 2-15 Transportation Strategy & Investment Analysis ................................................ 2-15 Transportation Business Administration ........................................................... 2-15 Transportation Process Management .............................................................. 2-15
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2.2.1 2.2.2 2.2.3 2.2.4

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2.2.5 2.2.6 2.3

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

NCDOT experience with rail construction projects ................................................... 2-16 North Carolina Railroad Improvement Project (NCRRIP) ................................. 2-16 Global TransPark ............................................................................................. 2-19 Equipment Procurement and Rehabilitation ..................................................... 2-19 Equipment Maintenance Amtrak & Herzog Transit Services ......................... 2-20 Stations............................................................................................................ 2-20 Crossing Safety ............................................................................................... 2-21

2.3.1 2.3.2 2.3.3 2.3.4 2.3.5 2.3.6 2.4

Project Delivery Alternatives .................................................................................... 2-23 Construction Projects on Active Railroad ......................................................... 2-23 Projects Adjacent to Active Railroad ................................................................ 2-23 New Construction not on Active Railroads ....................................................... 2-23 Equipment ....................................................................................................... 2-24 Stations............................................................................................................ 2-24

2.4.1 2.4.2 2.4.3 2.4.4 2.4.5 3.0 3.1 3.2 3.3

Project Management and Control.................................................................................. 3-1 Management Structure............................................................................................... 3-1 Key Personnel............................................................................................................ 3-1 Rail Division ............................................................................................................... 3-3 Administration Branch ........................................................................................ 3-3 Engineering and Safety Branch ......................................................................... 3-4 Operations and Facilities Branch ....................................................................... 3-5 Environmental and Planning Branch .................................................................. 3-6

3.3.1 3.3.2 3.3.3 3.3.4 3.4 3.5 4.0 4.1 4.2 5.0

Coordination with Other NCDOT Divisions ................................................................. 3-6 Contractor Support..................................................................................................... 3-7 Project controls ............................................................................................................. 4-1 NCDOT Project Controls ............................................................................................ 4-1 Office of Economic Recovery & Investment ............................................................... 4-1 Procurement and Contracts .......................................................................................... 5-1
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5.1 5.2 5.3 6.0 6.1

Procurement of Services, Materials and Equipment ................................................... 5-1 Right of Way Procurement ......................................................................................... 5-1 Quality Assurance/Quality Control.............................................................................. 5-1 Legal Authority .............................................................................................................. 6-1 State Rail Legislation ................................................................................................. 6-1 The States Interest in Railroads ........................................................................ 6-1 Safety Regulation, Inspection, Prevention, and Investigation .......................... 6-1 Safety Requirements for Grade Separation..................................................... 6-1 Safety Railroad Requirement for Crossing Protection ..................................... 6-1 State Use of North Carolina Railroad Dividends ................................................. 6-1

6.1.1 6.1.2 6.1.3 6.1.4 6.1.5 6.2

Legislative Committees and Directives ....................................................................... 6-2 House Select Committee on a Comprehensive Rail Service Plan for North Carolina ............................................................................................................. 6-2 21st Century Transportation Committee.............................................................. 6-2 Congestion Relief and Intermodal Transportation 21st Century Fund ................. 6-3 Statewide Logistics Plan .................................................................................... 6-3

6.2.1 6.2.2 6.2.3 6.2.4 7.0 7.1 7.2 7.3 7.4 7.5 7.6 7.7 8.0 9.0 9.1 9.2 9.3

Stakeholder Agreements............................................................................................... 7-1 Railroads.................................................................................................................... 7-1 Amtrak ....................................................................................................................... 7-2 Municipal agreements ................................................................................................ 7-2 Southeast High Speed Rail Corridor States ............................................................... 7-2 North Carolina/Virginia Compact ................................................................................ 7-2 Executive Committee ................................................................................................. 7-3 Southeastern States .................................................................................................. 7-3 Required Governmental Actions and Approvals ............................................................ 8-1 Safety and Security PROGRAM.................................................................................... 9-1 Purpose and Scope ................................................................................................... 9-1 Goals ......................................................................................................................... 9-1 Objectives .................................................................................................................. 9-2
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9.4

Description of Current Service ................................................................................... 9-2 Proposed New Intercity Passenger Rail Service ................................................ 9-3 Identification of Chain of Authority...................................................................... 9-3

9.4.1 9.4.2 9.5

Implementation of System Safety Program ................................................................ 9-3 Amtrak System Safety Plan ............................................................................... 9-3 Piedmont Operations and Safety Committee ..................................................... 9-5 Vehicle Maintenance Safety Programs .............................................................. 9-5 NC DOT Employee/Contractor Training and Certification .................................. 9-5 Emergency Management and Response ........................................................... 9-6 State Emergency Response Team .................................................................... 9-7 Work Place Safety Including Part 219 Drug and Alcohol Program ..................... 9-7 Fire Safety Analysis ........................................................................................... 9-8 Grade Crossing Safety Programs ...................................................................... 9-8 Public Outreach and Operation Lifesaver ......................................................... 9-10 Coordination Between Railroads and Local Officials ........................................ 9-10

9.5.1 9.5.2 9.5.3 9.5.4 9.5.5 9.5.6 9.5.7 9.5.8 9.5.9 9.5.10 9.5.11 9.6

System Safety Engineering Processes .................................................................... 9-10 Rail Safety Inspections .................................................................................... 9-10 Accident/Incident Reporting and Investigation.................................................. 9-11 Safety Data Collection and Analysis ................................................................ 9-12 Grade Crossing Quiet Zones ........................................................................... 9-14 Implementation of Positive Train Control.......................................................... 9-15

9.6.1 9.6.2 9.6.3 9.6.4 9.6.5 9.7

Safety Assurance ..................................................................................................... 9-16

10.0 Performance Measurement ......................................................................................... 10-1 10.1 Metrics Used ............................................................................................................ 10-1 10.1.1 10.1.2 10.1.3 Project Management ........................................................................................ 10-1 Financial Management ..................................................................................... 10-1 Performance Management............................................................................... 10-1

10.2 Data Collection......................................................................................................... 10-1 10.3 Ongoing Performance Monitoring ............................................................................ 10-2
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10.4 Implementation ........................................................................................................ 10-2 APPENDIX A LOG OF PROJECT MANAGEMENT PLAN REVISIONS ............................. A-1 APPENDIX B LIST OF ARRA PROJECTS ......................................................................... B-1

North Carolina High Speed Rail Project Management Plan

LIST OF TABLES
Table 1-1: Required Elements of a Project Management Plan ............................................... 1-2 Table 1-2: Passenger Rail Services in North Carolina ............................................................. 1-8 Table 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 ............................................................ 1-7 Figure 1-2: Track Improvements on the North Carolina Railroad ............................................. 1-8 Figure 1-3: Southeast High Speed Rail Corridor .................................................................... 1-9 Figure 3-1: North Carolina Department of Transportation Organization Chart ......................... 3-2 Figure 3-2: Rail Division Organization .................................................................................... 3-4 Figure 9-1: Safety and Security Chain of Authority .................................................................. 9-4 Figure 9-2: North Carolina Railroad Crossing Statistics........................................................ 9-14

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1.0 INTRODUCTION
This document is intended to provide the approach for ensuring successful implementation of intercity and high speed passenger rail services in North Carolina. It fulfills the requirements of the Federal Railroad Administration (FRA) for funding under the American Recovery and Reinvestment 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 the Track 2 Corridor Development projects, we will bring forward the complete capabilities of our 14,000 employee Department, in full partnership with the Virginia Department of Rail and Public Transportation (VDRPT), the Virginia Department of Transportation (VDOT), the North Carolina Railroad Company (NCRR), Norfolk Southern Railway (NS) and CSX Transportation (CSX) to complete the Southeast High Speed Rail Corridor (SEHSR) vision. The North Carolina Department of Transportation recently implemented a reorganization of the agency after an extensive review of the organization and its business practices. The goal of the review was to make the Department more strategically oriented, accountable and efficient in its use 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 the delivery of transportation projects. The Department is more focused on outcome-based performance 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 effective partnerships, to become a more multi-modal society, and it will both lead and integrate transportation, land use, energy and environmental policies. The strategically aligned reorganization of NCDOT will enhance delivery of ARRA rail projects by eliminating modal silos and more efficiently utilizing and re-directing the Departments project delivery resources. The Department faces challenges on many fronts, increasing demand for transportation alternatives during a time of rising fuel and construction cost and declining revenues. North Carolina is projected to grow by 52% in the next 20 years making it increasingly difficult to meet the States transportation needs. The implementation of enhanced passenger rail service in the state is a critical element in North Carolinas efforts to meet the transportation needs of its citizens.

1.1

Purpose of the Project Management Plan (PMP)

This document is intended to provide the approach for ensuring successful implementation of intercity passenger rail services in North Carolina. It fulfills the requirements of the Federal Railroad Administration (FRA) for funding under the American Recovery and Reinvestment 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 are described 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. Elements are 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 Identification of a manager accountable for project or program delivery An organization/resource plan that describes (e.g., through an organization chart) the relationships among entities involved in the proposed program and a description of the relationships among the entities responsible for the financing, design, construction, operation, and maintenance of the proposed program Any new legal entities required, how they would be structured, and their relationship to existing entities Stakeholder agreements with owners of right-of-way, operators, or other entities critical to successful project/program delivery Required governmental actions and approvals An appropriate system safety plan for the entire project lifecycle consistent with FTA guidance for safety and security management plans. The project management plan should address the safety certification process and any required collision hazard analysis consistent with the FRA guidance Chapter Chapter 2

Chapter 3

Chapter 7 Chapter 8 Chapter 9 Chapter 10

1.2

FRA PMP requirements

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

1.2.1 Vision Plan1


On April 16, 2009 the President released a strategic plan outlining his vision for high speed rail in America. The President called for a collaborative effort among the Federal Government, States, railroads, and other key stakeholders to help transform Americas transportation 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 in the federal budget as a down payment to jump-start a potential world-class passenger rail system and sets the direction of transportation policy for the future. The plan proposes to help address the Nations transportation challenges by investing in an efficient, high-speed passenger rail network of 100600 mile intercity corridors that
1

U.S. Dept. of Transportation, 2009. Vision for High-Speed Rail in America. Federal Railroad Administration, Washington, D.C. April 2009. North Carolina High Speed Rail Project Management Plan Page 1-2

connect communities across America. This vision builds on the successful highway and aviation development models with a 21st Century solution that focuses on a clean, energy-efficient option. Developing a comprehensive high-speed intercity passenger rail network 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 the process These first steps emphasize strategic investments that will yield tangible benefits to intercity rail infrastructure, equipment, performance, and intermodal connections over the next several years, while also creating a pipeline of projects to enable future corridor development. The evaluation and selection criteria in this notice are intended to prioritize projects that deliver transportation, economic recovery and other public benefits, including energy independence, environmental quality, and livable communities; ensure project success through 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 stages of development, while also rationalizing the variety of statutory and administrative requirements underpinning the program. FRA recognizes the unique challenges and opportunities presented, and will seek, to the maximum extent permitted under law and administrative procedures, to work collaboratively with applicants and stakeholders throughout the process.

1.2.2 ARRA Interim Guidance 2


On June 23, 2009 the FRA published a Notice of Funding Availability and Interim Program Guidance for the High-Speed Intercity Passenger Rail (HSIPR) Program. This notice describes multiple funding paths to accommodate projects at different stages of development, while also providing details on how applicants are expected to comply with the variety of statutory and administrative requirements underpinning the program. The notice 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 project development, while meeting the statutory and program constraints, the Interim Guidance provides four funding tracks in which applications may be submitted. FRA has adopted this four-track approach to aid in near-term economic recovery efforts and to establish the path to realize a fully-developed national High-Speed Rail/ Intercity Passenger Rail network. Track 1 Intercity Passenger Rail Projects funded under ARRA (Track 1 Projects) This includes two sub-Tracks: (1) Final Design (FD) and Construction projects and (2) Preliminary Engineering (PE) and the development of project-level documentation to meet the requirements of the National Environmental Policy Act (NEPA) and related laws and regulations 3. Track 2 High-Speed Rail/ Intercity Passenger Rail Service Development Programs (Track 2 Programs)

2 3

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

The 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 North Carolina High Speed Rail Project Management Plan Page 1-3

Track 3 Service Planning Activities funded under the FY 2009 and FY 2008 DOT Appropriations Acts (Track 3 Planning) Track 4 FY2009 Appropriations-Funded Projects (Track 4 FY2009 Appropriations Projects)

The guidance requires that Project Management Plans be developed for those applications which result in the final design and construction of rail projects. This includes 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 approach for ensuring successful implementation of a rail project or program. The guidance states that 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 organization chart) the relationships among entities involved in the proposed program and a description 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 entities critical to successful project/program delivery; 5. Required governmental actions and approvals; 6. An appropriate system safety plan for the entire project lifecycle consistent with FTA guidance for safety and security management plans; 7. The project management plan should address the safety certification process and 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 action on intercity passenger rail since those that created Amtrak and the Northeast Corridor Improvement Project during the 1970s. In addition to reauthorizing Amtrak, PRIIA builds upon the experience of the FY 2008 State Grant Program by establishing three new competitive grant programs for funding high-speed and intercity passenger rail capital improvements: Intercity Passenger Rail Service Corridor Capital Assistance (Section 301) Under this section, 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 to benefit all types of intercity passenger rail service. In order to be eligible for funding under this program, proposed projects must be included in a State Rail Plan. High-Speed Rail Corridor Development (Section 501) Eligibility for this program is restricted to projects intended to develop high-speed rail corridors. Such projects must be located on a federally designated HSR corridor, and be intended to benefit

Division B of Public Law 110-432 Page 1-4

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intercity passenger services reasonably expected to reach speeds of at least 110 miles per hour. Congestion Grants (Section 302) This program authorizes grants to States or to Amtrak (in cooperation with States) for financing up to 80 percent of the capital costs of 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 under Sections 301 and 501.

The $8 billion in High-Speed Intercity Passenger Rail funding under ARRA jump starts the widespread improvement of passenger rail service in the United States. The appropriation 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 of funding between the three grant program categories. Track 1 projects can be funded either through Section 301 or Section 302, and Track 2 projects can be funded out of either Section 301 or Section 501. Subsection 24403 5, which is part of Section 301 of PRIIA,establishes the requirements for a Project Management Plan. This section states: (a) PROJECT MANAGEMENT PLAN REQUIREMENTS.To receive Federal financial assistance for a major capital project under this chapter, an applicant must prepare and carry out a project management plan approved by the Secretary of Transportation. The plan shall provide for (1) adequate recipient staff organization with well-defined reporting relationships, statements of functional responsibilities, job descriptions, and job qualifications; (2) a budget covering the project management organization, appropriate consultants, 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 approach to handling the construction change orders; (6) organizational structures, management skills, and staffing levels required throughout the construction phase; (7) quality control and quality assurance functions, procedures, and responsibilities for construction, system installation, and integration of system components; (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 its major components;

Passenger 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. Page 1-5

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(11) periodic updates of the plan, especially related to project budget and project schedule, financing, and ridership estimates; and (12) the recipients commitment to submit periodically a project budget and project schedule to the Secretary.

1.2.4 Federal Transit Administration Guidance


The Federal Transit Administration (FTA) has an extensive Project Management Oversight (PMO) process in place for major transit capital projects 6. The FRA has clearly drawn from the FTA for its PMP guidelines. The wording in PRIIA for the required sections of a PMP is identical to that used by FTA, with one exception: FTA requires a design management process encompassing PE and final design. This requirement is not included in Section 24403 of PRIIA. The Federal Transit Administration guidelines state that: The PMP should demonstrate that all phases of the project have been thoroughly considered, giving thought to the methods to be used to execute the project, and the interfaces that will be created between various participants. It should define the objectives of the project, the methods and resources proposed to be used in meeting those objectives, the overall management strategy including project control, and the responsibilities, authorities, and measures of performance for all parties involved The PMP, while submitted initially prior to entering the PE Phase, is intended to be a dynamic document that should be expanded and updated as necessary throughout project implementation. Such updates should include, but not be limited to, project budget, project schedule, financing, ridership estimates, and, where applicable, the status of local efforts to enhance ridership when estimates are 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 modified PMP would reflect the unique characteristics of each segment/phase, such as the exact scope of work and specific resources, e.g., project staff, budget, and schedule. 7 Because the FTAs PMP process is well established and plans have been developed for numerous major transit rail capital projects, these guidelines are a useful resource in the development 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 investing and operating intercity passenger rail services. The state subsidizes two Amtrak services, The Carolinian (Charlotte Washington, D.C. New York) and the Piedmont (Charlotte Raleigh). Significant investments have been made using state, local private and federal and surface transportation funds to:
6 7

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

Federal Transit Administration. Project and Construction Management Guidelines, 2003 Update. http://www.fta.dot.gov/publications/reports/other_reports/publications_3875.html North Carolina High Speed Rail Project Management Plan Page 1-6

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 Corridor between Charlotte and Raleigh, but it has made investments throughout the state to benefit both freight and passenger services. Working with NCRR, NS and CSX, the NCDOT is upgrading existing rail corridors to improve safety, efficiency and capacity for freight and passenger train services. The first phase of improvements is being performed along the North Carolina Railroad. NCRR owns a 317-mile long, 200 foot wide corridor that links Charlotte, Greensboro and Raleigh and extends to the state's seaport at Morehead City. Norfolk Southern Railway operates trains along the entire corridor under a lease agreement with NCRR. CSX Transportation shares operation of a portion of the NCRR's corridor between Raleigh and Cary. Through track and signal improvements, the NCDOT has reduced the travel time for passenger trains between Raleigh and Charlotte by more than 35 minutes since the work began in 2001. In addition to reducing the travel time, the work has increased efficiency and reliability for both freight and passenger trains in the corridor. Through its Sealed Corridor program the state has enhanced the safety of grade crossings In the federally designated high speed rail corridor.

Figure 1-1: Passenger Rail Service in North Carolina

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Table 1-2: Passenger Rail Services in North Carolina 8


Service Miles in NC 160 180 180 200 280 172 Stops in NC 5 4 2 5 11 8 Daily Service Frequency North 1 1 1 1 1 1 South 1 1 1 1 1 1

Name Crescent Palmetto Silver Meteor Silver Star Carolinian Piedmont *

Service Corridor New York-Charlotte-Atlanta-New Orleans New York-Savannah via Fayetteville New York-Miami via Fayetteville New York-Tampa-Miami via Raleigh New York-Richmond-Raleigh-Charlotte** Raleigh-Charlotte**

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

Figure 1-2: Track Improvements on the North Carolina Railroad

North Carolina Department of Transportation. Draft State Rail Plan. July 2009. Page 1-8

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1.3.2 High Speed Rail


With tremendous economic and population growth, the Southeast needs a comprehensive, multi-modal transportation system. High-speed rail service will provide business and leisure travelers with a competitive alternative to air and auto for trips between 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 Carolina and Georgia have joined together with the business communities in each state to form a four-state coalition to plan, develop and implement high speed rail in the Southeast. The states have proposed to develop the high speed rail network incrementally, upgrading existing rail rights-of-way to increase capacity and allow for higher speed passenger train operations. North Carolina, Virginia and the FHWA and FRA completed the vital first part of a twopart environmental study for the Washington, DC to Charlotte portion of the Southeast High 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 natural and man-made environments along nine possible routes. Public involvement was critical during 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 I EIS 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 recommended alternative was selected, received a formal Record of Decision in October 2002. This federal document confirms the preferred corridor recommended by the Tier I EIS. Virginia and North Carolina are now proceeding with the next phase of environmental analysis for the Raleigh to Richmond portion of the corridor. This Tier II EIS will be completed in 2010 and will provide a detailed analysis on the impacts, including track location, station arrangement and detailed design. The Tier II EIS will provide detailed information about the proposed rail alignment and includes preliminary designs for the construction of the rail improvements and the roadway improvements necessary to provide complete grade separation between rail and road traffic. Tier 2 Project Level Environmental Impact Statements will not be needed for those sections of the corridor in which passenger rail service is currently operating (Charlotte to Raleigh and Richmond to Washington, D.C.). Additional project level environmental documentation may be needed for specific improvements in these sections of the corridor. The need for additional environmental documentation will be determined on a case by case basis as individual projects are developed in the segments of the SEHSR that 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 signal improvements on the NCRR corridor between Raleigh and Charlotte. As a result of this NCRR Improvement Program (NCRRIP), travel times between Raleigh and Charlotte have decreased by more than 35 minutes. In addition to reducing the travel time, the work has increased efficiency and reliability for both freight and passenger trains in the corridor.

1.4

Description of Charlotte to Washington, DC Corridor

In January, 2004, the Federal Railroad Administration published a report that describes the recommended improvements for the Charlotte to Washington, DC. 9 The proposed Southeast High Speed Rail project would extend high speed rail service from the Northeast Corridor (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 between Charlotte and Washington and four additional trips between Raleigh and Charlotte. Nine study area alternatives and one no-build alternative were examined for the proposed corridor. The estimated end-to-end travel time for the nine alternatives ranges from 6 hours to 7.5 hours, compared to 10 hours for the no-build alternative. The projected total ridership in 2025 for the nine alternatives ranges from 1.3 million to 1.8 million passengers. Projected
U.S. Department of Transportation, Federal Railroad Administration. Technical Monograph: Transportation Planning for the RichmondCharlotte Railroad Corridor. January 2004. North Carolina High Speed Rail Project Management Plan Page 1-10
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net operating contributions range from a $22.497 million gain to a $2.44 million loss. Fossil fuel 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, the Carolinas, Georgia, and Florida, the RichmondCharlotte Corridor consists of three distinct components: The S Line, a route of CSX Transportation between Richmond and Raleigh (North Carolina), more than half of which was abandoned in the 1980s, and most of the rest of which CSX operates in light-density freight service The RaleighGreensboro (North Carolina) H Line, owned by the North Carolina Railroad Company and operated under moderate traffic density by Norfolk Southern Railway The Piedmont Main Line (P Line) also owned by the NCRR and operated by the NS as a 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 and abandoned portions, then the RichmondCharlotte Corridor may be viewed as consisting of four parts, roughly equal in length, but each with its own distinct physical and operating characteristics. The H and P Lines are being maintained in a state of good repair, meaning that 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 rail capital improvement projects. The Division has successfully managed hundreds of projects that include grade crossing improvements, grade crossing separations, track and signal improvements, new track construction, station construction and renovation and equipment purchase and refurbishment. The Department has an extensive system in place to manage all aspects of major capital project delivery. This process has stood up to scrutiny at all levels, and the entire Department has recently gone through a major reorganization designed to streamline the process and to make project delivery more effective and efficient. The major challenge of implementing a High Speed Intercity Rail Improvement Program through ARRA funding will be the magnitude and extent of the projects that are being implemented. NCDOT recognizes that it will have to ramp up its project management and oversight functions in order to provide the capacity needed to implement the large scaled projects that are being proposed. The Rail Division intends to draw on the expertise of the entire Department of Transportation to draw in additional resources as needed to move these major rail projects toward completion. The Rail Division will also continue its practice of using outside contractors to perform engineering on construction management functions.

1.5.2 Bi-state Coordination


The Rail Division has established a high level of coordination with the Virginia Department of Rail and Public Transportation. NCDOT has taken the lead on the Raleigh Richmond Tier II Environmental Impact Statement, which is currently underway and scheduled to be completed in 2010. The Rail Division has project management responsibilities for the entire study, even though more than half of the 162
North Carolina High Speed Rail Project Management Plan Page 1-11

mile long corridor is in Virginia. Through this contractual arrangement the Rail Division is directly managing an extensive environmental and preliminary design project in the Commonwealth of Virginia. The Rail Division has worked closely with VDRPT to insure that all Virginia requirements are being met on this study, and they have conducted extensive agency coordination and public outreach efforts in both states. It is anticipated that 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 Rail Corridor.

1.5.3 Railroad Coordination and Standards


The North Carolina Department of Transportation has an excellent and unique relationship with the railroads over which the high speed service will operate. The tracks from Charlotte to Raleigh are owned by the North Carolina Railroad Company, a private railroad 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, Durham Greensboro and High Point to Charlotte. NCRR has a Master Agreement in place with Norfolk Southern Railway to provide for the exclusive operation of all freight service and maintenance of the rail infrastructure. In December of 2001 a NCRRIP Project Agreement was executed by NCDOT, NCRR and NS for passenger rail improvements to the corridor. This Agreement has been the basis for the successful implementation of the NCRR Improvement Program shown in Table 2-1. The proposed Southeast High Speed Rail Corridor will also operate on CSX-Owned tracks between Raleigh and Norlina, NC and on newly constructed tracks along the currently inactive CSX S Line corridor between Norlina and Petersburg, VA. NCDOT has a Railroad Master Construct Agreement with CSX that will provide the terms and conditions upon with passenger service improvements will proceed. NCDOT is also exploring options for purchasing the S Line Right of Way in order to secure full control over 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 proposed improvements are built to the owners standards. In some cases these standards, which are designed for maximum freight train movement efficiency, may be in direct conflict with the design requirements for high speed rail. Both CSX and Norfolk Southern have board-adopted policies in place that prohibit operation of passenger trains at speeds of more than 90 mph unless they are on separate tracks separated by at least 25 feet from the active freight lines. High speed rail improvements will be developed so that they fully comply with the design and operational requirements of the host railroad. In some cases, however, NCDOT is seeking to negotiate revisions to the railroad policies in order to design and construct rail improvements that will support the implementation of high speed 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 improvement projects 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 are being submitted to FRA. This package of improvements include planning studies being submitted under Track 3, the development of Preliminary Engineering and project-level NEPA documentation under Track 1b, the Final Design and Construction of Projects under Track 1a. NCDOT is also submitting a set of projects under Task 2 that are intended to develop entire Charlotte to Richmond corridor. Different levels of project management policies and procedures will be needed for each of these categories of projects. This Project
North Carolina High Speed Rail Project Management Plan Page 1-12

Management Plan is intended to provide the project management framework for all of these types of projects. As individual projects move through the development phases of planning, environmental documentation, final design and construction, additional project-specific level detail 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 of Revenue. The Executive Organization Act of 1971 then combined the State Highway Commission and the Department of Motor Vehicles to form the N.C. Department of Transportation and Highway Safety. In 1979, "Highway Safety" was dropped from the department's name when the Highway Patrol Division was transferred to the newly created Department of Crime Control and Public Safety. Today, NCDOT employs more than 14,000 people who oversee all modes of transportation in North Carolina, including highways, rail, aviation, ferries, public transit, and bicycle and pedestrian transportation. The department also oversees North Carolinas Division of Motor Vehicles. NCDOTs operations are led by the Secretary of Transportation, a member of the governors cabinet. A 19-member Board of Transportation is the departments governing body and is responsible for assisting in the transportation decision-making process and approving fund allocation. 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 is conducted. The Department is committed to using these values to guide everyday decision-making, and it is recognized that adherence or non-adherence to these values directly impacts the achievements and success of the organization. These values are: Safety We strive for safety throughout our transportation networks as well as in the work performed by employees.
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Customer Service - We respond to our customers, both internal and external, in an open, 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 of teamwork and mutual respect Quality - We pursue excellence in delivering our projects, programs, services and initiatives

2.2

Reorganization of NCDOT

In 2008 the North Carolina Department of Transportation implemented a major restructuring of the agency after an extensive review of the organization and its business practices. The goal of the review was to make the Department more strategically oriented, accountable and efficient in its use of resources. As a result of this reorganization, the Department is more focused 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 along strategic functional lines and transitioning to a comprehensive multimodal approach for the delivery of transportation projects. The Department has been realigned into six strategic functional 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 the Department to ensure optimal efficiency, effectiveness and accountability. The responsible positions for this part of the organizational structure are the Chief Operating Officer (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 strategic plans and investment alternatives based on the long-range, multi-modal transportation needs of the state. The responsible positions for this unit are the Deputy Secretary for Intergovernmental 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 supportive service 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 provide department-wide technical and administrative services that improve delivery of the projects, 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 of the highway and multi-modal transportation programs being managed by NCDOT. The Deputy Secretary for Transit and the State Highway Administrator are responsible positions for this part of the organizational structure.

2.2.6 Transportation Program Delivery


The Transportation Program Delivery Unit is responsible for managing the decentralized delivery of NCDOT projects, programs, services and initiatives. The Chief Engineer of Operations is responsible for this unit within NCDOT. This strategically aligned reorganization enhances the delivery of ARRA rail projects by eliminating modal silos and more efficiently utilizing and re-directing the Departments project delivery resources. By eliminating redundancies and de-layering the organization NCDOT 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 record of successfully managing the planning, design, construction and operation of major rail projects. The state has been making direct capital and operating investments in rail service since 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 track and 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 the state to improve existing tracks, install new signals and build stretches of new track to
North Carolina High Speed Rail Project Management Plan Page 2-16

improve the state's rail system. These projects range in scope from critical freight access to statewide development of the Southeast High Speed Rail corridor. The NCRR owns and manages the rail corridor. Norfolk Southern through the Master Agreement and Trackage Rights Agreement operates and maintains the railroad for NCRR. CSX Transportation shares operation of a portion of the NCRR's corridor between Raleigh and Cary. Over 70 freight trains currently operate on the NCRR corridor on a daily basis. In addition to freight trains, Amtrak currently operates eight inter-city passenger trains over the NCRR. Working with NCRR, NS and CSX, the NCDOT is upgrading existing rail corridors to improve safety, efficiency and capacity for freight and passenger train services. Through track and signal improvements, the NCDOT has reduced the travel time between Raleigh and Charlotte by more than 35 minutes since the work began in 2001. In addition to reducing the travel time, the work will increase efficiency and reliability for both freight and passenger trains in the corridor. The NCDOT provided the preliminary engineering and design plans and is paying for all of the rail improvements with a combination of state, federal and railroad funds. Norfolk Southern develops final plans and performs the actual construction.
Table 2-1: NCRR Track Improvement Projects
Location Milepost Project Description Project Status Completion Date Project Cost (in millions)

Mcleansville Mebane West Durham (Funston)

H-7.8 to H-9.9 H-31.8 to H34.1 H47.9-49.9

East Durham (D&S Junction) Cary to Greensboro Cary to Greensboro Downtown Greensboro (Elm Junction) Kannapolis and Salisbury East Durham Siding

H-56.6 to H56.9 H-0.0 to H73.0 H 0.0 H73.0

H-0 to H-0.7 337.3 and 347.3 H-56.6 to H59.1

Lengthened siding; increase siding speed from 10 45 mph Lengthened siding; increase siding speed from 10 45 mph Upgraded and extended the siding track from 6,500 feet to 9,000 feet. Installed new No. 20 turnouts to allow trains to travel faster (from 10 to 45 mph) through the siding. Replaced a 20 mph at-grade railroad crossing of CSX and NS with a series of switches that permitted raising speed to 79 mph. Constructed 1,300 feet of new track. The new track and switches enable trains to switch tracks faster. Realigned and increased superelevation (banking) of curves Installed traffic control and communications system to automate train dispatching. The systems enables trains to operate at maximum speeds of 79 mph. Rebuilt the Greensboro junction for higher speeds and improved capacity. Built second track at Greensboro Station. Replaced turnouts (switches) to accommodate faster speeds. Built 10,400 feet of new track to create a new passing siding.

Completed Completed

2002 2003

$0.98 Million $0.95 Million

Completed

2003

$2.31M

Completed

2004

$2.03

Completed

2005

$2.85 M

Completed

2004

$10.77 M

Completed Completed Completed

2005 2007 2007

$1.27 M $2.5 M* $6.5 M*

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Location

Milepost

Project Description

Project Status

Raleigh to Cary (Boylan to Fetner)

H-73 to H-81

Greensboro High NS Main Line Point 289.3 to 298.5 (Cox to Hoskins) Various projects between Greensboro and Durham 284 to milepost 376 H-80.1 to H109.3 H-64.2 to H65.3

Various

Greensboro to Charlotte Raleigh to Selma Hopson Rd. Grade Separation & Railroad Realignment

Haw River

H-23.5 to H25.5

Thomasville to Lexington 309.8 to 314.0 (Bowers to Lake) Concord to Construct second main track to improve Charlotte 360.0 to 372.2 railroad capacity and passenger train (Haydock to reliability. Junker) Salisbury to Construct second main track to improve Kannapolis 337.3 to 347.3 railroad capacity and passenger train (Reid to N. reliability. Kannapolis)
Completed Projects Projects Underway * Denotes project cost estimate Sourtce: http://bytrain.org

Track work completed 2005. Improve track and signals to provide 79 Work on signals mph max. speed and increase track and Fetner capacity junction will be complete in 2009. Construct 9 miles of a second main track Under to improve railroad capacity and construction passenger train reliability. Pilot project complete at Install crash beams and sensors on Gregson St., various bridges to protect the railroad Durham. Other from overheight trucks. projects still underway. Realign and increase superelevation (banking) of curves to increase speed to Under maximum of 79 mph. In some locations construction bridges are improved and switches removed Increase curve superelevation and Under crossing warning times for 79 mph. construction Finalizing envir Realign railroad, build bridge over document & Hopson Rd, close Church St. Crossing & public extend Church St. to Hopson Rd. involvement Preliminary plans & environmental Build 10,000 feet of new track to create a work complete. passing siding. As part of the project, four Final design curves will be straightened underway. R/W acquisition to begin 2009. Construct second main track to improve Preliminary railroad capacity and passenger train engineering reliability. Preliminary engineering Preliminary engineering

Completion Date

Project Cost (in millions)

2009

$11 M*

2009

$20 M*

2009

$1 M*

2009

$1.5 M*

2009 2012

$2 M* $10 M

2012

$12 M*

2012

$13 M*

2012

$30 M*

2013

$22 M*

Updated January 2009

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2.3.2 Global TransPark


The North Carolina Global TransPark (GTP) is a 2,400-acre industrial/airport site situated strategically in Eastern North Carolina. Spirit AeroSystems, the Wichita-based supplier of aircraft components to both Boeing and Airbus (among several others), is now 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 sections and 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 Global TransPark project have it planned, designed and construction in 3 years in order to fit the startup needs of Spirit. The project involves the construction of 5.8 miles of track on a new location, including a railway bridge and 10 roadway crossings. The Rail Division has initiated the environmental documentation and final design simultaneously and is on schedule to have both of these elements completed within 16 months of initiation so that construction 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 for refurbishing this equipment. NCDOT practice has been to purchase used railcars that can be refurbished to like new condition. This allows the state to get equipment more quickly and more inexpensively than purchasing new equipment. Also allows the state to 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 procure refurbishment services for passenger coaches and baggage cars. The specifications have been refined based on several rounds of procurement. The general coach refurbishment specifications are revised for each procurement to reflect the specific conditions of the coach being refurbished. The State Division of Purchase and Contract (P&C) handles all of these procurements for the Rail Division. The Rail Division staff develops the work specifications, then P&C bundles this with the contract boilerplate and solicits bids. P&C manages the bid process from advertisement through pre-bid conference to receipt of bids. The Rail Division serves as a member of the selection team but P&C runs the process and is responsible for making the final recommendations for procurement. All Rail Division procurements are reviewed by the Rail Committee and Intermodal Committee of the Transportation Board, and the final decision is made by the full Board of Transportation. Selections are generally made on the basis of lowest responsive and responsible bid, but there is some flexibility 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 few cars 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 and supplies. NCDOT uses its existing equipment maintenance contract (Herzog) workforce to strip the used car bodies down to a shell on wheels. This allows for efficient use of workforce and helps lower the overall cost of the refurbishment. Once the contract is awarded, the Rail Division takes full responsibility for managing the project 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 makes regular (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 of Operations and Facilities also inspects major jobs to insure that the work is continuing on schedule and budget. Invoicing is handled through the NCDOT Purchasing Office. Detailed monthly invoices are submitted by the vender and are reviewed carefully by both purchasing and by the Director of Operations and Facilities and ME in the Rail Division. The State Auditor also periodically pulls invoices for a complete review. The auditors have the right inspect any element of the procurement process from Award to Final Closeout and for a period of up to three years after project completion. A similar process is followed to refurbish older locomotives. NCDOT has developed a set of specifications that itemize the improvements necessary to bring the locomotive to like new condition. The same procurement process is used, and the Director of Operations 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 locomotives 10. The specifications require that meet certain minimum performance and maintenance standards. The manufactures then submit proposals for their equipment that best meets the performance requirements of the specifications. NCDOT Rail Division staff analyze these bid proposals to determine which proposed equipment meets the performance requirements at the best price to the state.

2.3.4 Equipment Maintenance Amtrak & Herzog Transit Services


The State of North Carolina owns all of the rail rolling stock that is used to provide the Amtrak Piedmont service. This equipment is maintained at the NCDOT maintenance facilities located in Raleigh and Charlotte. NCDOT contracts with Herzog Transit Services to provide the regular maintenance functions for the rail equipment at the stateowned facility in Capital Yard in Raleigh. NCDOT employs a Rail Operations Manager who is responsible for overseeing the equipment maintenance functions performed by the contractor.

2.3.5 Stations
As passenger rail traffic declined after World War II, stations lost their importance as links to the transportation system. By the 1960's many stations in North Carolina were run down, closed, or had been destroyed. In the 1990's, the North Carolina Department of Transportation and Amtrak began the Carolinian and Piedmont trains which dramatically increased rail travel in the state. As passenger train travel grows in popularity, North Carolina cities have rehabilitated their historic stations or built new stations to provide better transportation and economic growth for their community. The NCDOT Rail Division has undertaken a major capital program to upgrade all of the station facilities in the state. Through the efforts of the rail division, a total of 16 stations have undergone major renovations and 2 new stations have been built. The Department works closely with the localities to develop attractive station facilities that provide a welcoming gateway to the rail system and also serve as key focal points in the
North Carolina Department of Transportation, Rail Division. NCDOT Requirements for New Locomotives. CES-0001527, Rev A. July 2009. North Carolina High Speed Rail Project Management Plan Page 2-20
10

communities. The State has played a variety of different roles in the station development projects, depending on the specific situations. The National Trust for Historic Preservation recognized the efforts to enhance North Carolinas train stations by awarding the 2007 John H. Chafee Trustees Award for Outstanding Achievement in Public Policy to the NCDOT Rail Division. The press release from the Nation Trust for Historic Preservation announcing this award states that This far-reaching program, linking the reinstitution of passenger train service with the restoration of historic railroad structures, is a model that should inspire other states and communities. NCDOTs exemplary initiative has already sparked significant private investment in communities across the state. 11 The Rail Division intends to continue its program of station enhancement and has included in its application for ARRA High Speed Rail fund application includes requests for construction of major new stations in Charlotte and Raleigh. NCDOT is also requesting funding for upfitting the Cary Station, extending platforms in Selma and Burlington, 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-highway crossings safer by installing traffic-control devices, closing and consolidating crossings, and separating dangerous intersections by constructing bridges over and under railroad tracks. Inspection of tracks and equipment is another key component of railroad safety. Working with the Federal Railroad Administration, NCDOT rail-safety inspectors are responsible for safety oversight of rail transit systems, more than 3,500 miles of track and signal systems and thousands of rail cars and locomotives. It is the responsibility of the railroad operators to correct any problems and properly maintain their equipment. Rail Division staff design and manage state and federal railway-improvement projects that increase speeds and capacity for both passenger and freight trains and review highway projects that affect rail corridors. The Rail Division provides detailed information 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 Rail Corridor as one of five nationally designated future high-speed rail corridors. Since that time, North Carolina has received special federal funds to improve railroadcrossing safety along this corridor. The NCDOT has carried out this work in an aggressive manner to eliminate railhighway at-grade crossings between Raleigh and Charlotte within the North Carolina Railroad Company's corridor. The Sealed Corridor project evaluates and closes
11

National Trust for Historic Preservation News Release. October 4, 2007. http://www.bytrain.org/istation/pdf/chafeeawardrelease.pdf.
12

http://www.bytrain.org/safety/ Page 2-21

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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 Corridor include: 13
Four-Quadrant Gates- Two extra gates block all lanes of travel. Initial tests

indicate an 86% 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 a 77% reduction in crossing violations Median Separators and Four-Quadrant Gates Crossing violations have been reduced by 98% in these location Intelligent Signal Monitoring System- Devices installed at each Norfolk Southern maintained public crossing to notify railroad personnel about malfunctions of crossing equipment New Signs and Pavement MarkingsExample - One of the new signs displays an emergency phone number for reporting signal malfunctions

NCDOT is also safeguarding private crossings along the corridor by installing improved signage and warning devices as special funding allows in addition to closures. 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 3 from Cary to Raleigh. The entire corridor contains 172 public and 46 private railroad crossings. The Sealed Corridor Program developed by the NCDOT Rail Division is a national recognized best practice for crossing protection. The program is recognized as being the most effective state programs in the country designed to improve grade crossing safety.

2.3.6.3 Private Grade Crossing Safety


NCDOT has extended its "Sealed Corridor" program in the Charlotte to Raleigh corridor to include the closure of private crossings where feasible and the protection of the private crossings that will remain open with crossbucks, automatic flashers and gates, signals, and locking gates. These improvements have been identified through a systematic analysis conducted on all 46 private crossings within the NC Railroad 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 to close/consolidate public crossings or treat with enhanced devices.

13

North Carolina Department of Transportation. Draft State Rail Plan. June 2009. Page 2-22

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2.4

Project Delivery Alternatives

The Rail Division has extensive proven experience generally uses a Design Bid Build approach to delivering major rail capital projects. A Design Build approach is permissible under state law, and NCDOT is currently following this process for several major highway construction 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 the construction 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 successfully implemented several innovative techniques into the Design Bid Build procurement method that have allowed them to streamline the process and to significantly reduce the amount 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 the environmental review process simultaneous with the final design. There is some risk inherent in this type of approach. There is potential for spending a significant amount of time 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 improvements within 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 of the rail improvements are located.

2.4.1 Construction Projects on Active Railroad


NCDOT has worked extensively with NCRR, NS and CSX to implement rail improvement 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 Norfolk Southern. However, as projects have been successfully completed the railroad has developed 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 rail projects that meet the NS standards. The railroad will then review the final plans and approve them for construction. The host railroads maintain full control of any construction project on its active rail corridor. The railroad makes the determination whether the project can be completed with its own forces and directly contracts out some or all of the work. The Rail Division uses its own staff and its on-call consultant s to monitor and oversee the construction process 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 rail operations, such as double tracking. The railroad has allowed the Rail Division to directly manage the design and construction of these types of projects. The final tie in of the new 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 with existing but unused or abandoned rail rights of way, NCDOT has full responsibility for all aspects of design and construction. An example of this type of work is the rail spur into
North Carolina High Speed Rail Project Management Plan Page 2-23

Global TransPark (see Section 2.3.2 on Page 2-19). The Rail Division has been managing the design and environmental documentation and permitting for this project and 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 rail line. A similar approach will be used for the construction of new high speed rail tracks in the abandoned S Line corridor between Raleigh and Petersburg, VA.

2.4.4 Equipment
The NCDOT manages the procurement of rail operating equipment from the development of specifications through delivery and final testing. As described in Section 2.3.3 on Page 2-19, the rail division has extensive experience in procuring new rail equipment and rehabilitating used equipment. Through this well established process the Rail Division has been able to quickly procure low cost rail equipment that is attractive to customers 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 new stations. This station work has been completed using a variety of approaches and using different combinations of federal, state, local and private funds. The Rail Division works with localities to determine needs and to develop designs for station improvements. In most communities the train station is seen as a critical hub for redevelopment. Municipal Agreements are signed between the locality and NCDOT to delineate responsibilities in both the station construction and the long term maintenance and operation of the facilities. All of the station facilities are designed to be in full compliance with state and national standards including the Americans with Disabilities Act (ADA) and with all railroad company requirements. The NCDOT Rail Division has been recognized by the National Trust for Historic Preservation recognized the efforts to enhance North Carolinas train stations with its 2007 John H. Chafee Trustees Award for Outstanding Achievement in Public Policy to the 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 and implementing all modes of transportation in North Carolina, including highways, rail, aviation, ferries, public transit, and bicycle and pedestrian transportation. As described in Section 2.2, The North Carolina Department of Transportation was reorganized in 2008 to align its business units along strategic functional lines. The goal of this reorganization is to make NCDOT more strategically oriented, accountable, efficient and effective in its use of resources. This new alignment addresses organizational structure challenges by eliminating redundancies and de-layering the organization. The agency has become more focused on outcomes-based performance metrics and is better able to provide the transportation network and services needed by North Carolinians. The new NCDOT organizational structure is shown in Figure 3-1.

3.2

Key Personnel

The ultimate decision-making and fund allocation responsibility within NCDOT lies with the Transportation Board. This board consists of 19 members who are appointed by the governor. 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-day operations of the Department to ensure optimal efficiency, effectiveness and accountability. The Transportation Program and Asset Management Business Unit is responsible for the day-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 for of the multi-modal transportation programs being managed by NCDOT. The Rail Division, Public Transportation Division, Aviation Division, Ferry Division and Bicycle and Pedestrian Division all report to the Deputy Secretary for Transit. The Director of the Rail Division reports to the Deputy Secretary for Transit and is responsible for providing vision and direction for the Rail Division. The Director manages the day-to-day program responsibilities of the Division. The Director also provides vision and direction for the Rail Division and acts as the lead spokesperson both internally with the Board of Transportation, NCDOT administrators and state legislators, and externally with the general public, local and regional government agencies, business groups, railroads and national 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. The Division is divided into four branches as shown in Figure 3-2. The Division programs and projects are monitored and reviewed by: NCDOT management, including the deputy secretary of transit, who reports to the secretary of transportation (appointed by the governor). The Board of Transportation, which provides regular oversight and reviews projects and programs with the assistance of the boards Multi-modal Committee. The Rail Subcommittee addresses special areas of emphasis such as on-time performance. House and Senate transportation and appropriations committees, which provide oversight and authorize funding for the rail program. Over the past decade the legislature has annually authorized special study committees to address interstate coordination, the role of railroads in a comprehensive statewide logistics program, and funding for rail transportation.

Roles and responsibilities for the Rail Divisions four branches are as follows:

3.3.1 Administration Branch


Office of Division Director Provide vision and direction for the Rail Division Represent Rail Division needs and views on various internal and external committees Coordinate rail initiatives and projects with NCDOT administrators and state legislators Act as media spokesperson for the Rail Division Work with NCDOT Board members, local government officials and railroads to develop local/regional rail projects Serve as NCDOT representative on regional and national rail study committees Administrative Support Provide budget support Support the creation and approval of contracts for services Monitor and pay invoices Manage and monitor division contracts and expenditures Support grant agreement development Support Board of Transportation project request process

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Figure 3-2: Rail Division Organization


Secretary of Transportation Board of Transportation Deputy Secretary for Transit
Aviation Division Rail Division Administration Engineering & Safety Environmental & Planning Operations & Facilities Bicycle & Pedestrian Division Ferry Division Public Transit Division

3.3.2 Engineering and Safety Branch


Crossing Hazard Elimination Program Evaluate crossing protection needs Implement projects to upgrade crossing signals Close dangerous or redundant crossings Provide safer and more efficient routing of traffic through mitigation projects Conduct traffic separation studies and crossing evaluations Contract for and manage division funded construction projects Inventory crossings and collect traffic data Coordinate with highway division engineers on highway and rail projects that cross or come in close proximity to the right-of-way of the other, and propose alternatives, as needed, to preserve mobility options. Safety Oversight Program Perform FRA required inspections of railroad track, cars, locomotives, train control and crossing signals Review and acceptance of projects funded by division grants Perform FTA required oversight of transit rail systems

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Track Engineering Evaluate rail system for speed, capacity and safety needs Recommend track and signal improvement projects to streamline operations Complete preliminary designs for division projects, including Southeast High Speed Rail Review final designs for Rail Division funded projects Review designs for state funded rail transit projects that interact with passenger or freight lines Contract for and manage division funded construction projects Coordinate with the Highway Division on projects that cross or impact rail corridors and propose design alternatives Provide rail project information for MPO/RPO Comprehensive Transportation Plans Purchase and manage rail corridors assets Manage rail properties

3.3.3 Operations and Facilities Branch


State Supported Passenger Train Service Contract with Amtrak for operating the Carolinian and Piedmont intercity passenger services Contract with Herzog Transit Services Inc. for Piedmont rail car and locomotive maintenance Purchase and refurbish used rail cars for Piedmont and other anticipated instate services. Manage passenger service needs and issues with the host railroads and Amtrak Recommend track and signal improvements to increase passenger train speed and reliability Work with commuter service planning Station Program Coordinate with cities, towns and other partners on design and funding for stations Contract for and manage the rehabilitation of historic rail stations on existing and planned intercity passenger routes Contract for and manage station location and design studies Contract for and manage new station projects Procure property related to Charlotte multimodal project and station planning Passenger Service Support Coordinate with NC Emergency Management Office Ensure rail system security and coordinate with the Office of Homeland Security/Transportation Security Administration Coordinate over 100 volunteers for the Train and Station Host program Manage the 1-800-bytrain call center Coordinate and provide multi-faceted marketing for the Carolinian and Piedmont including special promotions and events

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Maintain Bytrain.org, SESHSR and States for Passenger Rail website (support for passenger needs and description of state rail programs and activities) Provide five staffed stations and station attendants who meet every train

3.3.4 Environmental and Planning Branch


Planning Activities Contract for and manage passenger service feasibility studies: Purchase property needed to preserve the option for planned service expansions Contract for and manage the state rail plan Contract for and manage studies related to returning corridors to service Negotiate rail corridor purchases Contract for and manage capacity studies and coordinate with the host railroad Support multi-state planning studies and organizations Support intermodal projects Manage grant programs for industrial access, short-lines and miscellaneous federal grants Manage freight waybill studies Coordinate with Highway Division, MPO/RPOs, industries, local governments and railroads on planning projects Coordinate with the Program Development Branch on changes to the Transportation Improvement Program Coordinate with and support the departments statewide planning efforts Environmental Activities Contract for and manage environmental documents and permit preparation for all division funded projects Advise grant recipients on environmental issues and requirements for their projects Contract for and manage large environmental impact statements such as the Southeast High Speed Rail project

3.4

Coordination with Other NCDOT Divisions

As one modal division on an extensive multi-modal transportation agency, the Rail Division is supported by all of the functions provided across the 14,000 person NCDOT organization. The Rail Division works with the Transportation Strategy and Investment Analysis Business unit to develop, monitor, and manage strategic plans and investment alternatives based on the long-range, multi-modal transportation needs of the state. The Transportation Business Administration Unit provides day-to-day business administration and supportive service functions to the Rail Division. The Transportation Process Management Unit provides technical and administrative services, including information technology equipment and services. The Rail Division works with other modal divisions within the Transportation Program and Asset Management Unit to coordinate program delivery efforts within the state. The Rail Division works with the Transportation Program Delivery Unit to coordinate and manage the delivery of delivery of rail projects, programs, services and initiatives. The Rail Division is able to draw on this broad NCDOT support structure to ensure the effective and efficient implementation of projects. For example, the Contracting Group in
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the Technical Services Division plays a lead role in managing all procurement activities from initial development of specifications and boilerplates through advertising, bidding, selection and contracting. The Rail Division also works with the field division offices throughout the state on the actual construction and delivery of rail projects. The Transportation Program Delivery Unit provides support in such areas of environmental review and permitting, utilities relocation, right of way procurement and construction management. NCDOT has extensive experience delivering major transportation infrastructure projects. The Department has an extensive network of experienced technical experts and project managers who have been responsible for the fiscal management, cash flow, design and construction of megaprojects. These resources are available for the implementation of major rail projects with close technical oversight provided by the Rail Division and supported with private consultant expertise that is procured and managed by the Rail Division.

3.5

Contractor Support

The Rail Division has had extensive experience utilizing private contractors to provide a variety of rail-specific services to support their efforts to plan and implement passenger rail service in North Carolina. The Rail Division has several rail consulting firms under contract on an on-call basis to insure availability of specialize rail resources to respond quickly to specific task order requests. Contractors are available to perform specialized planning and performance analysis studies, engineering and construction management. By using outside consultant the Rail Division can ensure that they are able to bring in the appropriate technical expertise for individual projects while not having to substantially expand permanent staff levels. The Rail Division closely manages the work of outside consultants. Division Project Managers work closely with consulting teams on projects to insure that the scope is being accomplished on time and on budget.

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4.0 PROJECT CONTROLS 4.1 NCDOT Project Controls


The North Carolina Department of Transportation has extensive experience in designing, constructing and maintaining major transportation investments projects throughout the state. NCDOT has in place an comprehensive set of controls to direct the development and implementation of large and small transportation projects. The Rail Division has used these systems to manage schedules, monitor and control costs, and to control records related to project development. The Rail Division will continue to utilize these procedures as it manages projects funded through ARRA.

4.2

Office of Economic Recovery & Investment

In addition to normal project controls in place at NCDOT, an additional level of oversight has been established across all state agencies to oversee projects being developed with ARRA funds. On February 17, 2009, North Carolina Governor Bev Perdue announced the creation of the Office of Economic Recovery & Investment (OERI). 14 The office was created to ensure transparency, accountability and efficiency in the use of funding made available to the state through ARRA. The office is responsible for coordinating and tracking of North Carolinas handling of federal stimulus funds as well as state-level economic recovery initiatives. The office will help ensure that the funds will be put to use quickly and efficiently, and with the transparency and accountability that North Carolinians expect. The federal stimulus package provides billions of dollars in direct aid to North Carolina to create jobs, address state budget stability, and rebuild and expand our state's critical infrastructure, including passenger rail services, highways and schools. It also injects additional money into the state through targeted tax cuts, additional grants from federal agencies and direct funding for specific federal programs in the state. The Governors Economic Recovery and Investment Office will: Track all federal dollars flowing into state and local governments as well as to private businesses and non-profit organizations Maximize the states use of available federal stimulus funds Identify the most rapid ways to move the stimulus money into the economy and remove regulatory and other impediments Establish open and effective lines of communication with federal and state agencies, local governments and North Carolinas Congressional delegation to assist in efforts to effectively and rapidly use the federal stimulus funds Develop a communications network, using a variety of tools including the Internet, to keep the public informed about the status and progress of the recovery effort, along with funding opportunities

14

http://www.ncrecovery.gov/RecoveryPlan/NCPlan.aspx
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Report to the General Assembly and the citizens on a regular basis about the status of the use of the stimulus funds, including federal, state and other non-federal money Measure progress of the recovery effort by tracking the states economic condition

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5.0 PROCUREMENT AND CONTRACTS


The State of North Carolina has in place a well documented process which all public agencies must follow to procure goods and services. The NCDOT Rail Divisions utilizes the services provided by State Division of Purchase & Contract as well as the support provided by the NCDOT office of procurement. NCDOT has experience in letting major transportation projects of all types, including equipment procurement, purchase of planning, engineering and design services, and major construction projects.

5.1

Procurement of Services, Materials and Equipment

Process in place for competitive procurement complies with all federal and state requirements. The State of North Carolina purchases a wide variety of products and services with a total value of over four billion dollars annually. The NCDOT Rail Division coordinates all of its materials and equipment purchases with the Division of Purchase & Contract (P&C), which is the central purchasing authority for all state departments, institutions, agencies, universities, and community colleges. The Rail Division works with P&C to develop specifications for the procurement of goods and services. P&C establishes term contracts and disseminates information on these via the Internet and through searchable electronic catalogs. By combining statewide demand for commonly used items into one contract, the division helps users save money and eliminates the need for each agency to solicit separate bids. Procurements are publicized online via the Interactive Purchasing System (IPS), which lists solicitations from all state departments and campuses, plus public schools and some local governments.

5.2

Right of Way Procurement

The Right of Way Branch of the North Carolina Department of Transportation is responsible for the acquisition of all necessary lands and rights of way used for construction and improvements for all projects in the state. The Rail Division is working with this office to provide assistance in the acquisition of right of way for rail projects.

5.3

Quality Assurance/Quality Control

In order to promote the uniformity across all public entities using ARRA funds in North Carolina, the Office of Economic Recovery and Investment has established Internal Directives with must be followed and any project utilizing stimulus funds. The state has also established standard Contract Provisions that must be included as a part of any solicitation document for the procurement of goods, services and construction projects including design services for which ARRA funds will be used as payment in part or whole. The OERI Management Directive #3 15 requires all North Carolina public agencies to use the Statewide Interactive Procurement System (IPS) to list informal and formal solicitations documents if ARRA funds will be used as payment for goods, services, and construction
North Carolina Office of Economic Recovery and Investment. Management Directive #3: Contract Provisions for the Procurement of Goods, Services and Construction Projects Including Design Services and Internal Procurement Directives. May 5, 2009. North Carolina High Speed Rail Project Management Plan Page 5-1
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projects including design services. Competition utilizing fixed-price contracts is identified as the preferred method for obtaining goods and services. The Management Directive sets reporting requirements for Contractors to provide reports and other employment information as evidence to document the number of jobs created or retained by contracts using ARRA funds. All ARRA contracts are required to include contract provisions that provide the U.S. Comptroller General the authority to examine any records of the contractor or subcontractors, or any state or local agency administering the contract concerning any transactions related to that contract. The contract provisions also establish the authority of the U.S. Inspector General to examine any records or interview any employee or officer working on the contract. The Management Directives establishes Contract Provisions for other required elements of the ARRA funds, including, Buy America, Davis-Bacon wage rate provisions, Whistleblower protections, use of Historically Underutilized Businesses, anti-discrimination and Equal Opportunity.

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6.0 LEGAL AUTHORITY 6.1 State Rail Legislation


Legislation that defines North Carolinas role in the regulation of freight and passenger rail service is contained in General Statute Chapter 136 Roads and Highways. This chapter describes the powers and responsibilities of NCDOT relative to all travel modes operated in the state. Similarly, Chapter 143B Executive Organization Act of 1973, describes the organizational structure of NCDOT. Among the railroad related articles in these statutes are the following 16:

6.1.1 The States Interest in Railroads


GS 136-44.35 Railroad revitalization and corridor preservation a public purpose This article declares that it is in North Carolinas interest to maintain a safe, adequate and efficient rail network and that preservation of rail corridors for future use is vital to the longterm economic growth and prosperity of the state.

6.1.2 Safety Regulation, Inspection, Prevention, and Investigation


GS 136-18 Powers of Department of Transportation This article gives NCDOT the authority to regulate, abandon or close any grade crossings on the state highway system; perform safety inspections of rail facilities and equipment; conduct accident prevention and public safety programs; and investigate any railroad accident.

6.1.3 Safety Requirements for Grade Separation


GS 136-20 Elimination or safeguarding of grade crossings and inadequate underpasses or overpasses. This article authorizes the Secretary of Transportation to require railroads to pay up to a portion of the cost for grade separations where it has been determined that the crossing is dangerous to the traveling public, or unreasonably interferes with or impedes traffic. The cost of the improvements are to allocated between the railroad company and the Department of Transportation in the same ratio as the net benefits received by the railroad up to a maximum of 10% of the total cost.

6.1.4 Safety Railroad Requirement for Crossing Protection


GS 136-20.1 To require installation and maintenance of block system and safety devices; automatic signal at railroad intersections. This article empowers and directs NCDOT to require railroad companies to install and maintain a block signal system or other reasonable safety devices along its tracks if more than eight trains per day, each way, use that part of the track.

6.1.5 State Use of North Carolina Railroad Dividends


GS 124-5.1 State Use of NCRR Dividends This article declares that any dividends of the North Carolina Railroad Company received by the state shall be used by the department for the improvement of the property of NCRR, as recommended and approved by the Board of Directors of NCRR. Improvements may include the following:
16

Railroad and industrial track rehabilitation

A detailed description of currently enacted Legislation is included in Appendix A: Enabling Legislation. Page 6-1

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Railroad signal and grade crossing protection Bridge improvements Corridor protection Industrial site acquisition

6.2

Legislative Committees and Directives

The General Assembly recently created several committees to study transportation issues and funding. The underlying theme in the committee findings and recommendations is that the state faces challenges in population and economic growth for the foreseeable future. Rail represents another link in a multi-modal solution to address these challenges. Creative funding options should be considered for transportation initiatives. Committees and plans authorized by the General Assembly that impact rail transportation are:

6.2.1 House Select Committee on a Comprehensive Rail Service Plan for North Carolina
This committee, formed in 2008, was established to study the Divisions development of the comprehensive rail plan, which the Division provided through timely progress updates and presentations. The committee was also tasked to study encroachment issues and protection of railroad corridors. The above items lead to a recommendation to the 2009 General Assembly that the state should prepare to invest significant funds in improvement and expansion of rail network infrastructure based on identified needs and opportunities. Rail needs identified by the committee include: rail capacity to promote economic development, better service for the military and ports, accommodating heavier rail cars (286,000 lb), addressing rail and highway congestion, increased passenger ridership and providing more intercity and urban transit choices. Opportunities include new Federal funding for rail requiring state matching funds, freight rail growth, an active shortline industry, passenger ridership increases and transit success in urban areas. The committee also proposed legislation on railroad corridor management (House Bill 116 Corridor Protection Act). Additional recommendations of the committee include: North Carolina should develop and use measures to quantify the benefits of various rail projects and investments The General Assembly should update its statutes where necessary concerning the relationships between rail and transit and land use The General Assembly should create a joint committee on development and funding of a comprehensive rail service plan to complete and extend the work of the House Select Committe

6.2.2 21st Century Transportation Committee


This committee was established by the 2007 General Assembly to study transportation infrastructure needs of the State. The committee submitted its final report to the 2009 General Assembly. Based on existing facts and extensive research on socio-demographic and economic trends in the state, the committee determined:

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Accelerated use of rail for transport of freight will reduce highway congestion as well as allow economic expansion in a way that lessens the impact on the state highway system. Investment in and proper rail connection to Intermodal facilities and inland ports can greatly reduce freight traffic on North Carolinas highway system, reducing demand, congestion and damage. The proposed North Carolina Intermodal Terminal would need high capacity intermodal access. Investments in public transportation will enable North Carolina to have a balanced 21st Century transportation system. Local funds will be required to match state funds so that a major portion of expenses is borne by those localities receiving the majority of the benefits. Improved rail facilities and restoration of abandoned rail lines can allow increased access to the North Carolina Ports and military installations located within the state. Expanding and upgrading passenger, freight, commuter and short-line service is important to the economy of North Carolina. This cannot be achieved without state participation in funding rail capital needs such as the restoration of the rail corridor from Wallace to Castle Hayne, a rail connection between north-south and east-west routes near Pembroke. Intermodal service relies on partnerships with trucking companies, seaports and other key players in the transportation logistics chain.

6.2.3 Congestion Relief and Intermodal Transportation 21st Century Fund


In 2009 the General Assembly adopted HB 148- Congestion Relief and Intermodal Transportation 21st Century Fund (SB 151) which authorizes greater local participation in funding local transit and public transportation needs. The bill authorizes local government, with approval by referendum to establish sales and use taxes for public transportation. The bill also provides local governments with the ability to increase the cap on vehicle registration fees and motor vehicle rental fees as an additional source of funding for local transit projects. The legislation provides for allocation of those funds to local governments and transportation authorities for public transportation purposes and grants to state agencies and railroads including short-line railroads, Class I railroads, intercity passenger rail service expansion and state port railroads.

6.2.4 Statewide Logistics Plan


The 2007 session of the General Assembly instructed the Office of State Budget and Management to develop a logistics plan that addresses the States long-term economic, mobility and infrastructure needs. The plan is designed to meet the States commerce activities in both the short-term (within 5 years), and long-term (25 years). A critical action in the Logistics Plan is creating a freight logistics authority that guides, oversees and helps to synchronize the investments in transportation infrastructure. 17 Rail specific recommendations include:
17

Encourage the Crescent Rail Corridor (0-5 years) Retain existing rail corridors; halt track removal (0-5 years) Support short-line infrastructure improvements (0-5 years) Coordinate schedules to optimize freight and passenger services (515 years) Create Charlotte to Wilmington multi-modal corridor (5-15 years)

http://www.osbm.state.nc.us/files/pdf_files/05132008StatewideLogisticsPlan.pdf

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Expand high-use corridor capacity (5-15 years) Provide rail access to NC State Port Authority inland terminals (15-25 years)

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7.0 STAKEHOLDER AGREEMENTS 7.1 Railroads


On July 27, 1999 NCRR and NS entered into a Master Agreement to provide for NSs continued operations on the NCRR. This agreement gives NS the exclusive right to conduct freight operations over the over the lines and properties of NCRR including performance of local freight service. NCRR also granted to NSR such operating rights over the lines of NCRR as will permit continuation of the existing operations of Amtrak service over the lines of NCRR. The Master Agreement has a period of 15 years, with two additional 15 year option periods. The Master Agreement provides for prioritization of passenger service in the NCRR corridor. The Agreement requires NS to give priority to scheduled passenger trains over freight trains and provides for a procedure to resolve any disputes about how trains are dispatched. The Master Agreement expressly permits the operation of trains at speeds up to 90 mph. Trains can only operate at speeds faster than 90 mph if they are on dedicated separate infrastructure on the right of way and dispatched and maintained by a party other than NS. If any passenger service or any third-party passenger operations are added to the NCRR line, the passenger service operator or other third-party passenger operator is required to make and pay for capital improvements on the line adequate to assure that none of NSs capacity, either the capacity NS is currently using or unused capacity that is available to NS, is diminished or disadvantaged. The Master Agreement also provides for the implementation of NCDOTs Rail Impact program, a package of improvements designed to increase passenger speeds, while not adversely affecting freight operations. The North Carolina Department of Transportation also has a Master Agreement with CSX Transportation. This agreement establishes a procedure for designing and constructing new passenger-related facilities and clearly delineates the responsibilities of each party. Table 7-1: North Carolina Stakeholder Agreements in Place Memoranda of Understanding NCDOT and NS/NCRR NCDOT and CSX

Master Agreements NCDOT and NS/NCRR NCDOT and CSX NCRR and NS

Trackage Rights Agreements NCRR and NS

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7.2

Amtrak

The North Carolina Department of Transportation has a contractual agreement with the National Railroad Passenger Corporation (Amtrak) to subsidize the operations of the Carolinian and Piedmont trains. Under this agreement, which is renewed annually, NCDOT is responsible to covering the all of the losses incurred in the operation of these trains. NCDOT makes payments to Amtrak one month in advance, and quarterly adjustments are made to reflect actual revenues and fuel costs. As part of the Agreement with Amtrak, NCDOT owns and maintains the rail equipment used to operate the Piedmont service between Charlotte and Raleigh. NCDOT has a fleet of refurbished passenger coaches and locomotives which it stores and maintains in Capital Yard in Raleigh.

7.3

Municipal agreements

As part of its station program the NCDOT Rail Division negotiates agreements with localities that govern construction or renovation of stations. These Municipal Agreements establish partnerships for the capital phase of the projects to allow the state and the locality to work together to complete the station construction and renovations. The Agreements establish the terms for turning over the station to the municipality for ongoing management, operations and maintenance once the construction is completed

7.4

Southeast High Speed Rail Corridor States

In August 1994 the States of North Carolina, Florida, Georgia, South Carolina and the Commonwealth of Virginia executed a Memorandum of Understanding to initiate studies of the Southeast High Speed Rail Corridor. North Carolina agreed to take the lead role in the preparation of the study, with informational and financial support from the other states. This MOU has been the foundation for all subsequent work that has been conducted in the corridor and has lead to a Record of Decision, issued in October 2002 by the Federal Railroad Administration, for a Final Environmental Impact Statement, for the Charlotte to Washington, DC portion of the SEHSR.

7.5

North Carolina/Virginia Compact

In 2004 the North Carolina General Assembly and the Virginia General Assembly both passed legislation to create the Virginia-North Carolina Interstate High-Speed Rail Compact. This Compact was created pursuant to the invitation in 49 U.S.C. 24101 Interstate Compacts, in which the United States Congress grants consent to states with an interest in a specific form, route, or corridor of intercity passenger rail service (including high-speed rail service) to enter into interstate compacts. The North Carolina 18 and Virginia 19 legislation both include the following language: The Commonwealth of Virginia and the State of North Carolina agree, upon adoption of this compact:

General Assembly of North Carolina, Session 2003. Session Law 2004-114, Senate Bill 1092. Enacted July 17, 2004. Virginia Acts of Assembly 2004 Session. Chapter 662, Acts of Assembly. Senate Bill 126. Approved by the Governor on April 12, 2004. North Carolina High Speed Rail Project Management Plan Page 7-2
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18

1. To study, develop, and promote a plan for the design, construction, financing, and operation of interstate high-speed rail service through and between points in the Commonwealth of Virginia and the State of North Carolina and adjacent states 2. To coordinate efforts to establish high-speed rail service at the federal, state, and local governmental levels 3. To advocate for federal funding to support the establishment of high-speed interstate rail service within and through Virginia and North Carolina and to receive federal funds made available for rail development 4. To provide funding and resources to the Virginia-North Carolina High-Speed Rail Compact Commission from funds that are or may become available and are appropriated for that purpose The five Virginia members of the Commission are appointed by the House (2 members) and the Senate (3 members). The North Carolina Members are appointed by the House (2 members) the Senate (2 members) and the Governor (1 member). The primary staff to the Commission is provided by the Virginia Department of Rail and Public Transportation and the North Carolina Department of Transportation.

7.6

Executive Committee

The Secretaries of Transportation of Virginia and North Carolina have agreed to form an executive committee to ensure that the two states continue to work together to develop high speed rail services. The Executive Committee consists of the Director of the Virginia Department of Rail and Public Transportation and the NCDOT Deputy Secretary for Transit, NCDOT.

7.7

Southeastern States

In 2008 the North Carolina, South Carolina and Georgia Departments of Transportation jointly commissioned a study by the Volpe Study to analyze the feasibility high speed rail corridor from Charlotte through Greenville/Spartanburg and Atlanta to Macon 20. On April 19, 1994 a Memorandum of Understanding (MOU) was signed by the States of North Carolina, South Carolina, Georgia and Florida and the Commonwealth of Virginia. This agreement committed the states to work together to conduct the initial feasibility study of high speed rail in the Southeast.

U.S. Department of Transportation. Volpe National Transportation Systems Center. Evaluation of High-Speed Rail Options in the Macon-Atlanta-Greenville-Charlotte Rail Corridor. August 2008. North Carolina High Speed Rail Project Management Plan Page 7-3

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8.0 REQUIRED GOVERNMENTAL ACTIONS AND APPROVALS


North Carolina has in place a comprehensive, time-tested approach to plan, design and build transportation infrastructure projects. The North Carolina Department of Transportation is a multi-modal organization that has been designated the authority necessary to build and operate passenger rail improvement projects. The recent reorganization of NCDOT has helped to make the agency more completely focused on its mission of connecting the people of North Carolina. No new governmental actions or approvals are necessary to implement the railroad projects included in the NCDOT application for High Speed Intercity Passenger Rail ARRA funding. A key element for the development of passenger rail service in North Carolina is the continued cooperation and coordination with the Commonwealth of Virginia. The success of North Carolinas high speed rail program is to provide fast and reliable connections through Virginia to Washington, DC and the Northeast Corridor. The two states have been working together in the preparation of a project level Environmental Impact Statement. The states are following the process outlined by the National Environmental Policy Act (NEPA) to involve the local, regional, state and federal resource agencies on both sides of the state line. The cooperative relationship developed for this study must be continued and expended to ensure the implementation of high speed rail service between the two states. The adoption of a High Speed Rail Interstate Compact by the General Assemblies of both states was a critical first step in cementing this cooperative relationship. This legislative action gives a distinct advantage to the Southeast High Speed Rail Corridor in the eyes of the federal government. However, it is critical that the next step be taken to activate the Compact, and to hold regular meetings between the two states. Establishment of an Executive Committee between the rail staffs of the two states will also be an important step in furthering the cooperative development of the Southeast High Speed Rail Corridor. In 2006 the Virginia General Assembly created the Virginia Office of Intermodal Planning and Investment in the office of the Secretary of Transportation. The goals of the Office are to provide solutions that link existing systems; promote the coordination of transportation investments and land use planning; reduce congestion; improve safety, mobility, and accessibility; and provide for greater travel options. The Office of Intermodal Planning will serve a key role in to coordination of high speed rail development efforts with North Carolina.

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9.0 SAFETY AND SECURITY PROGRAM 9.1 Purpose and Scope


The purpose of the Safety and Security Program is to provide a comprehensive description of current safety-related policies, programs and practices that aid in the prevention of and response to accidents, injuries and illnesses. To achieve this purpose, the Program intends to: Provide formal documentation of NCDOTs commitment to system safety Establish the System Safety Program throughout all phases of intercity passenger rail operations in North Carolina Provide a framework for implementing safety policy and achieving safety goals and objectives Identify NCDOTs relationship and responsibility with regulatory agencies, operating partners, contractors and organizations that impact system safety Comply with applicable Federal and State laws and local codes, ordinances and regulations

NCDOT defines system safety as a detailed method of applying scientific, technical, operating, and management techniques and principles for the timely identification of hazard risk, and initiation of actions to prevent or control these hazards throughout the system life cycle and within the constraints of operational effectiveness, time, and cost. This Safety and Security Program (SSP) applies to the NCDOT Rail Division and all of its organizational and physical components, people, procedures, facilities, and equipment. System Safety applies to each and all of the following: NCDOT employees, NCDOT contract intercity operations, and contractors working on NCDOT property or equipment Safety-related activities of each part of NCDOT Rail Divisions organization and operation throughout its life cycle - from system/equipment/facility design and acquisition through operation, maintenance, repair, and component disposal Equipment, facilities, machinery, and/or structures used to maintain and operate the rail system such as rolling stock; wayside equipment; track; communications and signals; electric traction; facilities, stations, and other structures Procedures, rules, work practices, training, and contracts

NCDOT currently contracts out the operation of intercity passenger rail service to the National Railroad Passenger Corporation (Amtrak). Amtrak has a nationwide System Safety Program 21 which governs the safety of all their passenger train operations.

9.2

Goals

The goal of NCDOTs SSP is to seek to provide passengers and employees with the highest practical level of safety by formally integrating safety into all phases of the intercity passenger rail system, including design, construction, modification and rehabilitation, operation, maintenance and procurement. System Safety goals will be accomplished by establishing a coordinated safety and hazard management effort responsive to the needs of the entire Amtrak organization. This Program
21

National Railroad Passenger Corporation. Amtrak System Safety Program. December 2007. Page 9-1

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provides a framework for the common goal of preventing customer and employee accidents by providing: Safe revenue service to our customers Safe work environment for our employees An environmental friendly operation Commitment to, involvement in, and accountability for safety activities and performance by all employees and contractors

9.3

Objectives

The goals identified above can be achieved through compliance with regulatory requirements, NCDOTs safety and operating rules, and the programs contained within the SSP. Specific objectives for attaining SSP goals include: Review, publish and distribute the NCDOT SSP Monitor employee, passenger and contractor injury data and trends, and accident/incident data relating to trespassers and grade crossings and modify or implement initiatives and programs to counter negative performance trends Publish injury/accident data on an annual basis Develop an internal Staying Safe website to facilitate access by employees to safety programs, policies and plans Utilize a systematic program of drills and exercises to evaluate local emergency response plans Document system-wide compliance with elements of the System Safety Program. Promote safety

9.4

Description of Current Service

Amtrak operates six passenger services daily in or through North Carolina. Five are interstate services and one exclusively within the state on the NCRR corridor between Raleigh and Charlotte. Figure 1-1 and Table 1-2 provide an overview of intercity passenger services. Amtrak also operates an Auto Train service that passes through North Carolina, without stops, providing passenger and car transportation service between Lorton, Virginia and Sanford, Florida. The service operates a daily northbound and southbound train. NCDOT has no involvement in the operation of the long distance interstate trains (Crescent, Palmetto, Silver Star, Silver Meteor and Auto Train), and the System Safety oversight of these operations is entirely the responsibility of Amtrak. NCDOT subsidizes the operation of the Carolinian trains from Charlotte to New York but does not play a direct role in the operation of the trains of the maintenance of equipment. Amtrak also has System Safety oversight responsibility for this service as these trains are operated by Amtrak using trainsets owned and maintained by Amtrak. The North Carolina Department of Transportation Rail Division has System Safety oversight responsibility for the Piedmont service, which provides one daily round trip between Charlotte and Raleigh. NCDOT owns the locomotives and passenger cars that are used for this service, and that equipment is maintained at Capital Yard in Raleigh, which is owned and operated by NCDOT. NCDOT has a contractual agreement with Amtrak to operate the Piedmont trains and with Hertzog Transit Services Inc. to provide equipment maintenance services at Capital Yard. The Piedmont and Carolinian trains layover each night at the Charlotte Amtrak Station. Routine maintenance and cleaning of the trains is performed at this location by Amtrak staff.
North Carolina High Speed Rail Project Management Plan Page 9-2

9.4.1 Proposed New Intercity Passenger Rail Service


North Carolina has been developing an ambitious plan to enhance passenger rail service in the state as part of the Southeast High Speed Rail (SEHSR) corridor. The plans include proposals to make significant upgrades to the existing rail corridor between Raleigh and Charlotte to increase speeds and capacity. The plans also call for the construction of a new rail high speed rail corridor between Raleigh and Petersburg, VA using the CSX S Line. This corridor currently is active for freight service between Raleigh and Norlina, NC. Service has been discontinued between Norlina and Petersburg (Collier Yard). The NCDOT Rail Division is currently conducting an Environmental Impact Statement in conjunction with the Virginia Department of Rail and Public Transportation to determine the alignment for this proposed high speed rail corridor.

9.4.2 Identification of Chain of Authority


NC DOT officials and chain of authority from the Secretary of Transportation that have responsibility for implementing, monitoring, and administering the safety programs of the rail corridor including all rail carriers and other third parties performing safety sensitive duties impacting passenger services. Within the Rail Division the Director of Operations and Facilities is responsible for ensuring safety in the operation maintenance of passenger rail services in the state. The Director of Engineering and Safety is responsible for the administration of the crossing safety program and managing the Federal Transit Administration System Safety Oversight for fixed rail transit operations in North Carolina. See Figure 9-1 below illustrating this chain of authority.

9.5

Implementation of System Safety Program

9.5.1 Amtrak System Safety Plan


As mentioned above, Amtrak has a System Safety Programs that covers all aspects of its operations, including train operations, stations and locomotive and railcar inspections. This plan covers all of Amtraks train operations in North Carolina, as well as equipment, stations and other facilities owned and operated by Amtrak. The system to which the System Safety Program (SSP) applies is the National Railroad Passenger Corporation (Amtrak) and all of its organizational and physical components, people, procedures, facilities, and equipment. System Safety applies to each and all of the following, separately and in their various combinations as parts of the Amtrak system: Amtrak employees, Amtrak contract, commuter and intercity operations, and contractors working on Amtrak property or equipment Safety-related activities of each part of Amtraks organization and operation throughout its life cycle from system/equipment/facility design and acquisition through operation, maintenance, repair, and component disposal Equipment, facilities, machinery, and/or structures used to maintain and operate the rail system such as rolling stock; wayside equipment; track; communications and signals; electric traction; facilities, stations, and other structures Procedures, rules, work practices, training, and contracts Amtraks High Speed trainset operations (Tier II) as defined in 49CFR238.600 for current services includes stations, on board, railcar and locomotive inspection

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Figure 9-1: Safety and Security Chain of Authority

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9.5.2 Piedmont Operations and Safety Committee


As part of the efforts to coordinate safety efforts between NCDOT and Amtrak, the state has created the Piedmont Operations and Safety Committee. This committee is chaired by NCDOT and includes representatives of NS, CSX, NCRR, Amtrak, and Herzog. The committee meets on a quarterly basis to coordinate safety efforts and identify best practices that may be useful in improving rail safety in North Carolina. The committee provides the opportunity for all stakeholders, including employees, to discuss potential safety issues and to recommend changes in procedures in practices to improve overall safety. As the level of rail service provided in North Carolina expands, the membership and the scope of this committee will also expand to encompass all intercity passenger operations.

9.5.3 Vehicle Maintenance Safety Programs


Herzog Transit Services Inc. is responsible for the daily oversight, identification and control of operating and workplace hazards at Capital Yard to ensure the highest degree of safety for NCDOT customers, employees, contractor employees, property, and people of the community in which NCDOT operates. Herzog has a comprehensive facility safety program which provides clear guidance on safety policies and procedures to all yard employees. 22 The authority and responsibility of the management of the facility safety program has been delegated to Herzog Transit Services, Inc. Safety Team. The Herzog Safety Team has direct access to the NCDOT Rail Operations Manager and has sufficient authority and organizational freedom to assure effective implementation of the safety program requirements. The Herzog Safety Team is empowered to order the cessation of unsafe activities or operations, which is creating an immediate and serious hazard within the Facility. Any continuous or repetitive unsafe practices of the rules/safety procedures may result in disciplinary action including termination according to Herzog Transit Services, Inc. Corporate Policy. All personnel involved in the operations, maintenance and technical services must operate in accordance with this facility safety plan. The NCDOT Rail Operations Manager and contractors personnel performing safety functions have authority, access to work areas, and organizational freedom to: identify unsafe conditions through designated channels, verify implementation of solutions and assure that further work is controlled until proper disposition of unsafe conditions, deficiency, or unsatisfactory conditions has occurred.

9.5.4 NC DOT Employee/Contractor Training and Certification


NCDOT contracts the maintenance of all state-owned rail equipment to Herzog Transit Services, Inc. Herzog has in place an extensive program for training and certifying its employees that is in full compliance with FRA requirements.

22

Herzog Transit Services Inc. Capital Yard Safety Plan. May 15, 2009. Page 9-5

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Herzog has a process in place to certify Mechanical Facility Only Engineers to operate locomotives within the confines of the servicing facility. 23 may operate locomotives singly or in multiples and may operate them with or without cars coupled to them during operations that are limited to switching cars, making up and breaking up trains, and the movement of trains within the confines of the Mechanical Servicing Facility only. At no time will speeds exceed 5 mph. Passenger coaches shall not be occupied during any time of train movement. All Rail Division employees and contractors that conduct field work are required to maintain certification of host railroad certifications for track worker safety. NCDOT complies with FHWA drug and alcohol regulations.

9.5.5 Emergency Management and Response 9.5.5.1 Amtraks Emergency Response Plan
The Federal Railroad Administration (FRA) published the Passenger Train Emergency Preparedness Final Rule in the Code of Federal Regulations (CFR) on 4 May 1998. This Rule is located at Title 49 (Department of Transportation), Part 239. The Rule is not intended to prevent accidents; rather, it was promulgated to mitigate the loss of life and injury. The regulation requires the compliance of each affected railroad. As a result, emergency response plans have been developed as a collaborative effort between Amtrak and the host railroads over which Amtrak operates. An overview of this emergency response effort is included in Amtraks System Safety Program. 24 It is always Amtrak's and the host railroads primary concern, during all phases of operations, to ensure the maximum safety is accorded to employees and traveling public. This is especially true during emergency situation where the safety of emergency responders is also a concern. In this regard, it is the responsibility of every railroad employee to ensure that passengers and any others involved in the emergency receive prompt medical assistance, care, and immediate assistance in safely completing travel to their intended destination. Consistent with this policy, Amtrak recognizes that federal, state, and/or local emergency responders may arrive at the scene first. The function of joint Amtrak and host railroad Emergency Response Plans is to provide comprehensive assistance as necessary under the direction of the senior railroad official, their designee or other local emergency responders present. These plans, along with attachments and appendices are the basic guidance documents to be referenced during any passenger train emergency situation. While the overall objective is to ensure compliance with 49 CFR 223 and 239, these Plans may establish additional or more stringent provisions. The primary objectives of these Plans can be summarized as follows:
23

Preservation of life

Herzog Transit Services Inc. Herzog/Piedmont Mechanical Operations Program of Certification of Mechanical Facility Only Engineers 49 CFR Part 240. Rev1 August 30, 2007.
24

National Railroad Passenger Corporation. Amtrak System Safety Plan. November 2007. Page 9-6

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Injury reduction and control Expeditious restoration of service Asset protection against loss Assist in any subsequent accident investigation process conducted by the National Transportation Safety Board (NTSB), the Federal Railroad Administration (FRA), and/or other federal or state agencies.

Amtrak has individual written emergency response plans for each of its manned stations in North Carolina. Amtrak has also developed plans for chemical, biological and radiological response. They have plans in place to maintain continuity of operations during major service disruptions.

9.5.6 State Emergency Response Team


The State Emergency Response Team (SERT), which is comprised of top level management representatives of each state agency involved in response activities, provides the technical expertise and coordinates the delivery of the emergency resources used to support local emergency operations. The NCDOT Rail Division Rail Operations Coordinator is the designated contact on SERT for all rail facilities and operations. The NCDOT Rail Division has provided trained first responders from localities throughout the state in practices for responding to railroad emergencies. The Rail Division also hosts safety and security training on responding to hazardous materials spills. The Rail Division has also sponsored training with the Department of Defense for responding to railroad emergencies..

9.5.7 Work Place Safety Including Part 219 Drug and Alcohol Program
Herzog Transit Services has a Drug and Alcohol Free Workplace Policy that covers all Herzog and or subcontract employees working on the NCDOT Rail Division (Piedmont) and covered under the Hours of Service Act. 25 This policy complies with the FRA Alcohol and Drug regulations 26 and is designed to ensure that Herzog operates in the safest and most efficient manner possible and to promote the safety and welfare of its employees and customers by creating a drug and alcohol-free workplace and ensuring that employees are free from the effects of drugs and alcohol. The policy seeks to accomplish this goal HERZOG'S goal to achieve a drug and alcohol-free workplace shall be accomplished through the implementation of a comprehensive anti-drug and alcohol program based on deterrence, detection, assistance, and enforcement. The North Carolina Department of Transportation has a Workplace Safety Manual 27 to help insure safe operations by all NCDOT employees with the goal of having zero accidents and injuries. The Manual is part of an overall effort to develop and maintain a safety culture among all employees.

25 26

Herzog Transit Services Inc. Drug and Alcohol Free Workplace Policy for Hours of Service Employees.

U.S, Department of Transportation, Federal Railroad Administration, 49 CFR Part 219, Alcohol/Drug Regulations.
27

North Carolina Department of Transportation. Workplace Safety Manual. October 2004. Page 9-7

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9.5.8 Fire Safety Analysis


The Passenger Equipment Safety Standards of the Code of Federal Regulations (49CFR238) require all Passenger Railroads to conduct a Fire Safety Analysis on their operations. This detailed, systematic analysis is to examine the railroads equipment and operating environment for areas of significant risk to passenger or crew, of injuries or death related to fire or smoke related events. The American Public Transportation Association (APTA) has developed a guideline, Recommended Practice for Fire Safety Analysis of Existing Passenger Rail Equipment (RP-PS-005-00), to assist railroads in developing Fire Safety Analysis strategies that fulfill the requirements of 49CFR238.103. This APTA procedure has been reviewed and commented upon favorably by the FRA. The NCDOT has analyzed its Piedmont passenger service using the APTA document as a framework for identifying, quantifying, and mitigating fire or smoke hazards that could result in injuries or fatalities of passengers or crew on the Piedmont service. 28 The report determined that the Piedmont passenger rail service provides a safe operating environment related to fire and smoke related issues. NCDOT continues to make improvements to its service, including ongoing upgrades at grade crossings, introduction of better incident reporting mechanisms, and the planned retrofits of vehicle interiors. Operational processes related to Fire Response and Crew training were also reviewed and found to be sufficient. This report has identified areas where corrective actions and countermeasures should be considered to further improve those few areas that are still considered to be of concern, or where there is room for improvement. NCDOT has addressed all of these issues since the report was released.

9.5.9 Grade Crossing Safety Programs


North Carolina has a long history of being a national leader in efforts to improve the safety of at-grade rail crossings. NCDOT created the Sealed Corridor program which is an aggressive effort to improve grade crossing safety that utilizes federal and state funds to eliminate rail-highway at-grade crossings between Raleigh and Charlotte within the North Carolina Railroad Company's corridor. 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 3 from Cary to Raleigh. The entire corridor contains 172 public and 46 private railroad crossings. The first Sealed Corridor improvements were completed at Craighead Road and Sugar Creek Road in Charlotte. At Sugar Creek Road, NCDOT and Norfolk Southern Railway carried out a test of four-quadrant gates and median separators. Data was collected using a "Violator" video camera. A baseline average of 43 violations per week over a period of 20 weeks was recorded at the crossing, which has an average daily traffic count of 21,402 vehicles. That number was reduced to 10 violations per week when median separators were installed, 6 violations per week when four-quadrant gates were
28

NCDOT Rail Division. Fire Safety Analysis Piedmont Passenger Rail Service. July 2003. http://www.bytrain.org/quicklinks/reports/FireSafAnaExSum.pdf North Carolina High Speed Rail Project Management Plan Page 9-8

installed, and 1 violation per week when both four-quadrant gates and median separators were installed. NCDOT and NS have expanded the testing "laboratory" to include the entire railway line between Charlotte and Greensboro. In essence, we are "sealing" the corridor by protecting every public crossing with median separators, longer gate arms, four-quadrant gates and other innovative signage and traffic-control devices. These devices are basically "off the shelf" technologies applied in a new way. NCDOT is safeguarding private crossings along the corridor by installing improved signage and warning devices as special funding allows in addition to closures. Devices used on Sealed Corridor projects include: Four-Quadrant Gates - Adding two extra gates to existing signals and gates blocks all lanes of travel across the railroad tracks when the signals are activated. During initial tests at the Sugar Creek Road crossing, the use of four-quadrant gates resulted in a reduction in violations of nearly 86 percent. Longer Gate Arms - Tests at the Orr Road crossing in Charlotte were conducted to evaluate the effectiveness of longer gate arms on reducing drivers' ability to "run around" the gates. These longer gate arms cover 3/4 of the roadway. Tests at Orr Road have shown an 84-percent reduction of crossing violations. Longer gate arms are used in conjunction with median separators where a separator can be placed on one side of a crossing but not on the other because of a street or driveway connection in close proximity to the crossing. Median Separators - These devices have proven to be a low-cost investment with a high rate of return in safety at crossings. The separators are installed along the centerline of roadways, in most cases extending approximately 70 to 100 feet from the crossing. They prevent motorists from crossing lanes to "run around" activated crossing gates. The separators consist of prefabricated, mountable islands made of a composite material. Attached to the islands are flat delineator panels or tubes with reflectorized taping for better visibility at night. The delineator panels are flexible yet securely anchored to return to their original positions if struck by a vehicle. Use of median separators at the Sugar Creek Road crossing has resulted in a 77-percent reduction in crossing violations. The use of median separators in conjunction with four-quadrant gates has produced a 98-percent reduction in crossing violations at the Sugar Creek Road crossing. Also being installed, especially in conjunction with roadway-widening projects, are concrete median separators with tubular markers mounted onto them. New Signs and Pavement Markings - Upgraded signage and pavement markings are being added to crossings as another element of "Sealed Corridor" testing. One of the new signs displays an emergency phone number for the railroad that motorists can call to report any malfunctions of crossing signals. "Health Monitoring" System - An Intelligent Signal Monitoring System is being installed at each Norfolk Southern maintained public crossing along the Sealed Corridor to notify railroad personnel about malfunctions of crossing equipment. These "health monitoring" devices can also be linked electronically to local authorities to use for re-routing of police, fire and rescue vehicles if a crossing signal is malfunctioning. In the future, highway officials and municipalities may also access
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the Intelligent Signal Monitoring System for congestion and traffic as part of Intelligent Transportation System applications.

9.5.10 Public Outreach and Operation Lifesaver


North Carolina Lifesaver (NCOL) is a program designed to help save lives at the most dangerous spot on any highway or road -- the highway-rail grade crossing. Operation Lifesaver is an active, continuous public information and education program to help prevent and reduce crashes, injuries and fatalities by improving driver performance at the nation's public and private highway-rail grade crossings and on rights-of-way. To achieve its mission, Operation Lifesaver developed a program that emphasizes Education, Engineering and Enforcement activities. NCOL actively promotes its Look Listen and Live message across the state with the North Carolina Railroad Company, CSX Transportation, Norfolk Southern Railroad, and Amtrak. Working with NCDOT and Governors Highway Safety Program, NCOL has gotten this message out to law enforcement agencies and to citizens of all ages statewide. The State supports North Carolina Operation Lifesaver through grants awarded by the Rural Safety Council. The Rail Division works with NCOL to develop grade crossing safety improvements and to promote the rail safety message throughout the state.

9.5.11 Coordination Between Railroads and Local Officials


A key element of all of the rail safety programs in place in North Carolina is the establishment of communications between the railroad corridor operating staff, dispatchers and railroad police with local and state police and emergency response personnel. Because the railroads operate across so many different local jurisdictions, it is important that formal lines of communications are established and that periodic training is provided so that the appropriate contacts are made in cases of emergency. The NCDOT Rail Division works North Carolina Operation Lifesaver to schedule training sessions with local emergency response officials. In addition, Amtrak, CSX and Norfolk Southern all have established communications protocols in their safety plans and they have processes in place to insure that railroad officials and local authorities can communicate effectively in response to emergencies.

9.6

System Safety Engineering Processes

9.6.1 Rail Safety Inspections


The Rail Safety Act of 1970 (Public Law 91-458) authorized the States to work with the Federal Railroad Administration to enforce Federal railroad safety regulations. By 1975, Federal regulations had been issued enabling States to enforce track and freight car safety standards. In 1980, legislation broadened State involvement to include the Safety Appliance, Locomotive Inspection, Signal Inspection, and Hours of Service Acts. In 1992, the State Safety Participation regulations (49 CFR, Part 212) were revised to permit States to perform rail hazardous-materials inspections, thereby allowing them to participate in all five of the safety disciplines (track; signal and train control; motive power and equipment; operating practices, and hazmat). Three years later, the Grade Crossing Signal System Safety regulations (49 CFR, Part 234) were again revised to authorize both Federal and State signal inspectors to ensure that railroads were properly testing, inspecting, and maintaining automated warning devices at grade crossings. The devices include flashing lights, gates, bells, and related circuitry.
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By annual agreement, the North Carolina Department of Transportation (NCDOT) is active in the FRA/State Participation Program. Under this initiative, the NCDOT Railroad Safety Inspection Program enforces specific Federal regulations as published in the Code of Federal Regulations (CFR), Title 49, parts 200 to 399. The NCDOT Railroad Safety Inspection Program now consists of three FRA trained and certified inspectors, two Track Safety and one Motive Power and Equipment inspector. NCDOT inspectors are responsible for the inspection of over 3,500 miles of railroad track and thousands of railroad cars and locomotives in North Carolina. The State Railroad Safety Inspection Program cooperates with the FRA in providing the following services: 29 Conduct Rail Safety Audits - Through this process, State and FRA inspectors identify systemic problems in railroad safety through the performance of compliance inspections Identify and Resolve Regulatory Interpretations: State inspectors assist with FRA Technical Resolution Committees to ensure that Federal policies and regulations are clear and consistently applied Develop Consensus-Based Regulations The NCDOT Rail Division is an active participant in the Railroad Safety Advisory Committee (RSAC) which was established in March 1996 to make the FRAs regulatory program more collaborative and, where possible, develop consensus solutions on regulatory issues Promote Safety Partnerships - Partnerships with FRA, railroad management, and labor permit mutually-beneficial arrangements for achieving the common goal of railroad safety

On a routine inspection, these workers look for unsafe conditions and deviations from safety regulations. This review includes both a visual examination and physical measurements, often in the presence of railroad personnel. At the conclusion, the railroad receives a copy of the findings, as the railroads are primarily responsible for the upkeep of their track If during a follow-up inspection its determined that the defect has not be properly addressed, the inspector may issue a violation report. The report is shared with the FRA and could result in civil penalties for the railroad. Inspectors are careful to note that their purpose is not to fine the railroads, but rather to ensure safe and efficient travel for freight and passengers

9.6.2 Accident/Incident Reporting and Investigation


A railroad is required by Federal Railroad Administration (FRA) regulations at Title 49, Part 225 of the Code of Federal Regulations to use the current FRA Guide for Preparing Accident/Incident Reports 30 when to prepare monthly reports. The Occupational Safety
NC Department of Transportation Rail Division. Enhancing North Carolinas Rail Safety Now and Into the 21st Century. June 1997. http://www.bytrain.org/quicklinks/reports/enhrailsafety.pdf U.S. Department of Transportation Federal Railroad Administration, Office of Safety. FRA Guide for Preparing Accident/Incident Reports. DOT/FRA/RRS-22. May 1, 2003. http://safetydata.fra.dot.gov/officeofsafety/ProcessFile.aspx?doc=guidefinal050403.pdf North Carolina High Speed Rail Project Management Plan Page 9-11
30 29

and Health Act of 1970 requires all employers, including railroads, to maintain accurate records of, and to make periodic reports on, work-related deaths, injuries and illnesses. At the time of its issuance, railroads were subject to the Accident Reports Act of 1910, which states that: "It shall be the duty of every common carrier engaged in interstate or foreign commerce by railroad to make to the Secretary of Transportation a monthly report, under oath, of all collisions, derailments, or other accidents resulting in death or injury to any person or damage to equipment or roadbed, arising from the operation of such railroad. These reports shall state the nature and causes thereof and the circumstances connected therewith. Because of this earlier and continuing requirement, an agreement was reached between the Department of Labor (DOL) and the Department of Transportation (DOT) that railroads should continue to report to DOT, but under modified recordkeeping rules. These new rules would conform to the extent practicable to those issued by the Occupational Safety and Health Administration (OSHA) and would be administered by the Federal Railroad Administration (FRA) under 49 CFR Part 225. These new rules went into effect on January 1, 1975. The Occupational Safety and Health Act of 1970 also require that the Secretary of Labor must issue rules to develop and maintain an effective program of collection, compilation, and analysis of occupational safety and health statistics. These data are used to chart the magnitude and nature of the occupational injury and illness problem across the country. Congress, OSHA, and safety and health policy makers in Federal, State and local governments use these statistics to make decisions concerning safety and health legislation, programs, and standards. Employers and employees use them to compare their own injury and illness experiences with the performance of other establishments within their industry and in other industries. The injury and illness records required by FRAs accident/incident reporting rule contribute to the national database on workplace safety, maintained by DOL. In order to have a database that allows accurate comparison between industries, the rules that FRA uses must be modified whenever OSHA makes significant changes that affect the number and types of work related deaths, injuries, and illnesses for which records are to be maintained, and the manner in which these are be classified. Such a change occurred on January 1, 2002, when revised OSHA recordkeeping requirements became effective, and is the first revision since the original requirements were implemented in 1971. In response to this change, FRA began the process of amending its own rule to conform to OSHAs new rules. On September 9, 2008, an NPRM was published in the Federal Register to amend 49 CFR Part 225 and the FRA Guide for Preparing Accident/Incident Reports. This rulemaking is intended to increase the accuracy, precision, completeness, and utility of railroad accident/incident records and reports, and correspondingly FRAs accident/incident database. This new data would help FRA, organizations promoting safety on and around railroad property (such as the AARs Railroad Research Foundation), and suicide prevention agencies, assess safety problems and develop programs to decrease accidents and casualties, including the incidence of suicide by train.

9.6.3 Safety Data Collection and Analysis


In October 2008, Congress enacted the Rail Safety Improvement Act of 2008 amending Title 49 of the United States Code to prevent railroad fatalities, injuries and hazardous
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material releases. The Rail Safety Improvement Act of 2008 issued regulations for establishment of a national crossing inventory that requires each railroad carrier and state to report current information about previously unreported highway-rail grade crossings to the Secretary of Transportation, with annual updates on all grade crossings in the state concerned. The Rail Division works with railroads, federal and state agencies, and communities to make rail-highway crossings safer by installing traffic-control devices, closing and consolidating crossings, and separating dangerous intersections by constructing bridges over and under railroad tracks. The safety programs and projects that are generated to fulfill the above tasks depend on the accuracy and integrity of data collected, maintained, and analyzed through the Engineering and Safety Branch. Rail-highway Crossing Inventory is the integral process by which this data is obtained. The Federal Railroad Administration maintains the National Rail-highway Crossing Inventory database; each railroad also maintains a separate database for those crossings on their respective systems. Class I railroads by reason of their size and complexity have developed comprehensive systems to maintain and distribute crossing data, while Shortline railroads tend to have proportionally simpler means of compiling their data. Thus for NCDOT Rail Division it is important to compile all available data on rail-highway crossings from all sources and incorporate this information into our Crossing Safety processes. Crossing Inventory is a means not only of collecting data for North Carolina NCDOT but also serves as a basis for justifying all other major databases that utilize this data for crossing safety. Rail Division actively shares data with all relative agencies and constantly evaluates the integrity and accuracy of the data maintained in the Statewide Authoritative Railroad and Highway (SARAH) database. Rail Division staff design and manage state and federal railway-improvement projects that increase speeds and capacity for both passenger and freight trains and review highway projects that effect rail corridors. Crossing Safety Programs and projects use the rail-highway crossing inventory data as a means of analyzing, evaluating, and selecting those crossings identified for crossing safety upgrades. All railroads, communities, and local and state government projects connected to these crossings are impacted by the data maintained in the SARAH database. The NCDOT Rail Division has prepared a Rail Crossing Inventory Instruction Manual 31 is to develop guidelines for the onsite inspections and inventories of at grade crossings along North Carolina Railroads. This information will be implemented as part of the North Carolina Department of Transportations (NCDOT) Rail Division Crossing Inventory Program and the U.S. Department of Transportation (DOT) National Highway-Rail database. The information developed during the inventory can be merged with accident files to develop crossing improvement programs by public and private agencies responsible for highway- rail at-grade crossing safety.

NC Department of Transportation Rail Division. Rail Crossing Inventory Instruction Manual. February 2009. http://www.bytrain.org/quicklinks/reports/crossing_inv_inst_manual.pdf North Carolina High Speed Rail Project Management Plan Page 9-13

31

Figure 9-2: North Carolina Railroad Crossing Statistics


Current Railroad Crossing Data Number and Type of Crossings 3,703 Open Public At-Grade Crossings 1,988 equipped with Flashing Light Signals and Gates 417 equipped with Flashing Light Signals/Bell Only 7 equipped with traffic signals 1,291 equipped with Crossbuck Signs and/or Other Signs

322 Inactive Public Grade Crossings Tracks in place, not currently in use by railroad 822 Grade-Separated Public Crossings 3,003 Private At-Grade Crossings

Source: http://www.bytrain.org/safety/xingstats.html. Updated 8/3/2009

9.6.4 Grade Crossing Quiet Zones


In June 2005, the FRA issued its final ruling requiring that locomotives sound the horn when they approach and enter public highway-rail grade crossings. There are a few exceptions to the rule: The locomotive horn is not required to be sounded at a highway-rail grade crossing if a Quiet Zone is established; and: The locomotive speed is 15 mph or less and the train crew provides warning to motorists, or Supplementary safety measures (such as median barriers, four quadrant gates, all with constant warning time devices.) are equipped at each public highway-rail grade crossing within the proposed corridor, or The proposed highway-rail grade crossing corridor has a Quiet Zone Risk Index at or below the nationwide significant risk threshold. The Nationwide Significant Risk Threshold is the average risk index based on all public, gated crossings in the nation at which train horns are sounded.

The US Department of Transportation Federal Highway Administration has directed that Section 130 funds and other similar safety funding sources may not be used for the development of quiet zones. However, a quiet zone may be created coincidentally with a corridor type crossing safety improvement that includes a clear safety cost-benefit and permanent crossing closures. NCDOTs contribution must be exponentially related to the corridors safety cost-benefit.

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If a community wishes to work with the NCDOT on highway-railroad crossing safety improvement projects and crossing closures, NCDOT Rail Division may be able to participate in funding to support a communitys request for quiet zone development. Two avenues exist for exist for working with the NCDOT to establish a quiet zone: Complete a Traffic Separation Study or Area Crossing/Corridor Study, or Close individual crossing(s)

If a community requests the development of a quiet zone and does not wish to close any crossings or complete a Traffic Separation Study, Area Crossing Study the community is then responsible for all costs associated with the quiet zone development. That includes any preliminary planning or engineering costs incurred as part of the process. Safety allocated funds may NOT be used to support a communitys request exclusively for quiet zone development. To address the publics concern over noise levels, NCDOT is evaluating automated wayside horn systems. FRA has designated the wayside horn to be a one-to-one substitute for the use of locomotive horns at public highway-rail grade crossings. The system is designed to reduce the overall ambient horn noise by using a warning horn installed at the crossing that focuses an audible warning at the railroad crossing itself instead of using the horns mounted on the trains. The system is activated by the existing crossing signal system and projects a recorded train horn sound to traffic at the railroad crossing. Transportation officials are hopeful that this type of detection system will be one way to address concerns from area residents regarding train noise pollution.

9.6.5 Implementation of Positive Train Control


Positive Train Control (PTC) refers to technology that is capable of preventing train-totrain collisions, overspeed derailments, and casualties or injuries to roadway workers (e.g., maintenance-of-way workers, bridge workers, signal maintainers) operating within their limits of authority as a result of unauthorized incursion by a train. PTC is also capable of preventing train movements through a switch left in the wrong position. PTC systems vary widely in complexity and sophistication based on the level of automation and functionality they implement, the system architecture utilized, the wayside system upon which they are based (i.e., non-signaled, block signal, cab signal, etc.), and the degree of train control they are capable of assuming. Prior to October 2008, PTC systems were being voluntarily installed by various carriers. However, the Rail Safety Improvement Act of 2008 (RSIA) (signed by the President on October 16, 2008, as Public Law 110-432) has mandated the widespread installation of PTC systems by December 2015. The law requires that PTC systems be installed on all main line tracks over which intercity rail passenger or commuter rail passenger service is regularly provided and on main lines over which hazardous materials that are poisonous or toxic by inhalation (PIH/TIH materials) are transported. The Federal Railroad Administration (FRA) is supporting all rail carriers that have statutory reporting and installation requirements to install PTC, as well as rail carriers that are continuing to voluntarily implement PTC, through a combination of regulatory reform, project safety oversight, technology development, and financial assistance. The FRAs Rail Safety Advisory Committee has been charged with reviewing the mandates and objectives for deploying PTC and providing input for the regulations that will
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implement the requirements. On July 21, 2009, the FRA issued a Notice of Proposed Rulemaking for implementing the PTC requirements 32. The proposal includes required functionalities of the technology and the means by which it would be certified. The proposal also describes the contents of the positive train control implementation plans required by the statute and contains the proposed process for submission of those plans for review and approval by FRA. These proposed regulations could also be voluntarily complied with by entities not mandated to install positive train control systems. While the railroad corridor owners will ultimately be responsible for designing and implementing the PTC system, the NCDOT Rail Division is actively working to ensure that the system accommodates the special operating characteristics of conventional and high speed rail service. A key concern for passenger operations is interoperability to allow passenger trains to move safely and seamlessly from one railroad to another.

9.7

Safety Assurance

In order to ensure ongoing compliance with all safety and security requirements related to railroad operations, equipment maintenance, and employee safety, the NCDOT Rail Division has a comprehensive data collection and record keeping system in place. As the amount of rail service being provided in North Carolina continues to grow, the quality assurance program needed to insure that all safety regulations are followed and enforced will need to become more sophisticated. The Rail Division is considering several strategies for assuring that safe practices are being followed, including: Development of an on-line database The Rail Division is investigating ways to consolidate several different databases into one central location that is easily accessible to all safety-critical employees included both internal (NCDOT) and external (Amtrak, NS, CSX, Herzog) so they can access to manuals, training materials, reports and other critical safety information. Establish Change Control Procedures Currently there are several different parties that are responsible for key elements of the overall passenger rail safety plan. In order to assure that all safety-sensitive personnel are receiving and maintaining all safety bulletins and change notices, a formal process for disseminating safety information needs to be established. The Rail Division is working with Amtrak, the railroads, contractors and first responders to develop change control procedures that will ensure that all information is given to critical personnel in a timely manner. Utilize independent safety auditors The Rail Division is working with other NCDOT divisions, on-call consultants, peer reviewers from other agencies or railroads, or recognized national associations to evaluate and confirm satisfactory implementation of the applicable safety programs. The Rail Division will establish formal procedures to ensure that safety programs are reviewed on no less than a three-year cycle. Establish procedures to track and respond to non-compliance reports and cooperate with the FRA and the NTSB.

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10.0 PERFORMANCE MEASUREMENT 10.1 Metrics Used


10.1.1 Project Management
NCDOTs current SAP system tracks both financial and project progress. A senior software programmer will consult with NCDOT to design and implement a dashboard that tracks all components of the ARRA/ HSIPR projects on one shared platform such as a SharePoint site. Depending on the required configuration, the project data from SAP may be run through a traditional project management tool such as MS Project or Primavera to track overall project progress. This will be determined after a thorough analysis of NCDOTs existing capability. The most efficient and cost-effective method to track project progress will be employed. Financial Management Project management reports will be integrated with financial reporting tools to create an overall management system using dashboard technology. We will integrate the existing NCDOT financial reporting system with an Oracle based-system to monitor financial disbursements and remaining revenue. The attached chart summarized the various reports and documents that will be produced and maintained for each project. Additional reports can be designed and created as needed to track project performance and costs.

10.1.2 Financial Management


As noted above, project management reports will be integrated with financial reporting tools to create an overall management system using dashboard technology. We will integrate the existing NCDOT SAP financial reporting system with the reporting tools required under the ARRA and HSIPR. Upon project award, a senior software programmer will consult with NCDOT technology and operations staff to inventory existing NCDOT reporting tools and ARRA/HSIPR reporting tools that are already available from various sources to determine how the reports can be integrated with SAP and the SharePoint site. The attached chart summarizes the various reports and documents that, at a minimum, will be produced and maintained for each project. Additional reports can be designed and created as needed to track project performance and costs.

10.1.3 Performance Management


Currently, run times are reported manually and faxed to the Rail Divisions operations section for review and compilation. As a performance metric, a simple electronic reporting tool can be created to track run times as ARRA / HSIPR projects are completed. Such a tool will be created upon project award.

10.2 Data Collection


Data will be captured data on existing spreadsheet reporting tools available from USDOT and Recovery.gov along with customized reporting tools as required. Data will also be collected from traditional sources such as timesheets, expense reports, contractor invoices, etc. that are already captured in NCDOTs SAP system. This data will be consolidated and exported to the SharePoint site. How this is done will be determined post-award when a senior software programmer consults with NCDOT technology and operations staff. Data will be updated on a daily basis and progress reports will be generated showing both project and financial progress.
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Reports will be generated at least weekly, as required by ARRA / HSIPR, or more frequently if desired. All reports will be provided in electronic format on a SharePoint site for easy access by the government and other stakeholders involved in the projects. Sufficient staff will be provided to NCDOT to capture and manage data so that this process does not burden or interfere with current and future NCDOT operations.

10.3 Ongoing Performance Monitoring


Electronic dashboard technology will be used to summarize and report performance and costs at the task, subtask, and sub-subtask levels on a daily, weekly, monthly, quarterly, and inception-to-date basis. Project performance and costs will be reported to NCDOT staff on a regular (daily or weekly) basis so that corrective action can be taken as soon as possible. The dashboard technology that will be employed allows the project team and authorized stakeholders to easily access and visualize schedule, budget and cost, and project status information at a consolidated program level, while also being able to drill down by point and click into an individual component project to access specific project information. Independently verified run time data can also be captured and stored in the database to measure the impact of the ARRA / HSIPR funding on speed upgrades in the rail corridor.

10.4 Implementation
Upon project award, the performance measurement task manager and a senior software programmer will meet with NCDOT technology and operations staff to inventory existing reporting tools and design new reporting tools as required. The senior software programmer will work with NCDOT to devise the most cost-effective way to export data from NCDOTs existing SAP database to a SharePoint site. The SharePoint site will include dashboards so that consolidated data such as overall project progress, financial expenditures and remaining budgets for each project can be accessed easily. Additional information for each component of each project will also be available by drilling down from the consolidated dashboard.

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APPENDIX A LOG OF PROJECT MANAGEMENT PLAN REVISIONS


Revision Date Description of Changes

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APPENDIX B LIST OF ARRA PROJECTS

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