PMO

Amtrak Engineering
Project Management Manual
March 2016
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Amtrak Engineering Project Management Manual 2016
This manual details how projects are initiated and completed at Amtrak engineering, with specific
emphasis on the role and duties of the Project Manager to ensure that projects are managed safely,
efficiently, cost-effectively, and uniformly. Some key concepts in this manual that are new to the
Amtrak engineering project process include:
• Project Manager will manage the project from design, procurement and construction phase.
• All projects are the direct product of a strategy for continuing development of infrastructure
and capability at Amtrak, and specific funding/grant sources are defined for each project
before it is initiated.
• Projects initiated are a result of strategic planning both internal and external to Engineering.
The PMO ensures that the portfolio of Engineering projects is aligned with strategic planning.
• All projects have a Project Sponsor and Project Manager who own the project from initiation
through close-out.
• All projects are approved for initiation and will be actively monitored by the Program
Management Office, who will team with the Project Manager to provide timely project
performance information to the Project Executive Group.
This manual should be studied and consistently used as a resource and guide by all persons who are
directly or indirectly involved in any of the various phases of Amtrak engineering projects. Although
the primary focus is the Project Manager and the various functions that individual must routinely
complete to safely navigate a project from its beginning to completion, there are many groups within
Amtrak (Grants, Planning, Environmental, Finance, Procurement, Government Affairs) that either
support the Project Manager’s activities, directly partner with the Project Manager or other project
team members on project-related work or rely on information generated by the project management
effort. It is vital that these persons understand how projects are managed, what their role is required
to be and how all key functions within the project management process are to be completed. There
is no room for non-compliance. The processes in this manual are not discretionary or negotiable.
The degree to which specific processes are applied to individual projects is decided through a formal
tailoring process and approved.
Prepared By Approved By
____________________ ____________________
Ashok J. Nayee Rodrigo Bitar

Ashok J. Nayee Rodrigo Bitar
Deputy Chief Engineer SVP & Chief Engineer
Program Management Office Engineering
Acknowledgments
The Project Management Manual was developed by the Engineering Project Management Office
at Amtrak under the leadership of Rodrigo Bitar, Chief Engineer. Specialized input was provided
by Rory Beelek, Cynthia Brey, Craig Caldwell, Johnette Davies, Bruce Looloian, Bernard Reynolds,
Michael Stern and Cheryl Stultz in the areas of grants, facilities, environmental compliance, historic
specialist, real estate, procurement and legal. Assistance in reviewing, editing, formatting and
creative services for the document was provided by Tracey Banks, Raven Padgett, Lisa Pulaski,
Mark Schwartz and Marlon Sharpe.
The Engineering Workgroup was developed by the Engineering Department to specify the content
of the manual and oversee its development, while providing guidance and comments on deliverables.
Members of the Workgroup include the following:
Alfred J. Cloutier William S. Bates

Deputy Chief Engineer – Track Senior Director – Business Improvements
Andrew J. Keefe Mark R. Donovan

Deputy Chief Engineer – Maintenance Senior Director – Business Planning
Keith Holt Cassim Mamoon

Deputy Chief Engineer – Communication Division Engineer – West
& Signal
Daniel L. Karczeski
Ildefonso Burgos Gil Division Engineer – Mid-Atlantic
Deputy Chief Engineer – Major Capital
Projects David B. Klouda
Division Engineer – Central
James S. Richter
Deputy Chief Engineer – Structures George W. Fitter
Division Engineer – New England
Joseph D. Rago
Deputy Chief Engineer – Construction Joshua J. Kessler
Division Engineer – Empire Corridor
Raymond G. Verrelle, Jr.
Deputy Chief Engineer – Electric Traction Richard E. Bernaski
Division Engineer – New York
In addition to the members of the Workgroup, we acknowledge Engineering staff from their respective
departments for providing additional in-depth guidance in the development of this manual, as well
as comments on deliverables.
Revision History
Revision Date Description
Revision 1 March 2016 First publication.

TABLE OF CONTENTS
Introduction...................................................................................................................... ix
PART I: PROJECT MANAGEMENT OVERVIEW
CHAPTER 1. THE AMTRAK ORGANIZATION

1.1 Amtrak Goals, Vision and Mission.............................................................................1
1.2 Amtrak Services........................................................................................................2
1.3 Board of Directors.....................................................................................................2
1.4 Amtrak Organization................................................................................................3
1.5 Operation Organization............................................................................................5
1.6 Engineering Organization.........................................................................................6
1.7 Funding....................................................................................................................7
CHAPTER 2. PROJECT, PROGRAM AND PROJECT & PROGRAM MANAGEMENT

2.1 Project, Program and Project & Program Management..............................................9
2.2 Role and Responsibilities of a Project Manager........................................................11
2.3 How Projects Originate...........................................................................................12
2.4 Types of Projects.....................................................................................................13
2.5 Size of Projects.......................................................................................................13
2.6 Methods of Accomplishing Projects........................................................................14
2.7 Types of Contracts or Agreements to Accomplish a Project.....................................14
2.8 Overview of Administrative and Reporting Procedures.............................................15
CHAPTER 3. FUNDING SOURCES AND AGENCY REQUIREMENTS

3.1 Annual Capital Grants............................................................................................17
3.2 Other Funding Sources...........................................................................................17
3.3 Project Manager’s Responsibilities for Project Proposals and Grant Applications.......18
3.4 Project Manager’s Responsibilities after a Grant Award...........................................19
3.5 Project Management Plan.......................................................................................19
PART II: STAGES OF A PROJECT
CHAPTER 4. PROJECT MANAGEMENT DURING PLANNING

4.1 Feasibility Study/Master Planning............................................................................24
4.2 Alternative Site Identification and Selection.............................................................24
4.3 Project Definition Report.........................................................................................26
4.4 Preliminary Environmental Investigations.................................................................26
4.5 Reviews and Approvals...........................................................................................28
Table of Contents v
TABLE OF CONTENTS
CHAPTER 5. PROJECT MANAGEMENT DURING PRELIMINARY DESIGN

5.1 Preliminary Design..................................................................................................29
5.2 Major Activities during Preliminary Design...............................................................30
5.3 Environmental Investigations...................................................................................30
5.4 Historic Preservation...............................................................................................31
5.5 Categorical Exclusion (CE), Environmental Assessment (EA),
or Environmental Impact Statement (EIS)................................................................. 34
5.6 30% Design Documents.........................................................................................38
5.7 Reviews and Approvals at the End of 30% (Go/No-Go Decision Point)....................39
CHAPTER 6. VALUE ENGINEERING AND OTHER VALUE-ADDED PROGRAMS

6.1 Value Engineering...................................................................................................42
6.2 Peer Review............................................................................................................45
6.3 Constructability Reviews.........................................................................................46
6.4 Partnering for Construction Contracts.....................................................................47
CHAPTER 7. PROJECT MANAGEMENT DURING FINAL DESIGN

7.1 Final Design............................................................................................................49
7.2 Major Activities during Final Design........................................................................50
7.5 100% Design Documents (Final Design and Construction Bid Package)...................52
7.6 Reviews and Approvals...........................................................................................53
CHAPTER 8. PROJECT MANAGEMENT DURING CONSTRUCTION

8.1 Project Manager’s Responsibilities during Construction...........................................55
8.2 Construction Management.....................................................................................56
8.3 Construction Manager’s Role..................................................................................56
8.4 Preconstruction Conference....................................................................................58
8.5 Construction Progress Meetings..............................................................................59
8.6 Substantial Completion/Punch-list...........................................................................60
CHAPTER 9. PROJECT MANAGEMENT DURING COMMISSIONING

9.1 Testing and Commissioning....................................................................................61
9.2 Move-In/Start-Up Committee..................................................................................62
9.3 Move-In/Start-Up Plan.............................................................................................63
9.4 Move-In/Start-Up Coordination...............................................................................64
9.5 Post Move-In/Start-Up Activities..............................................................................64
vi Table of Contents
TABLE OF CONTENTS
CHAPTER 10. PROJECT MANAGEMENT DURING CLOSE-OUT
10.1 Formal Closeout Procedures....................................................................................65
10.2 Project Manager’s Responsibilities during Close-Out................................................66
10.3 Financial Closeout...................................................................................................66
10.4 Record Retention Procedures..................................................................................67
10.5 Project Evaluation Reports.......................................................................................68
PART III: PROJECT ADMINISTRATION, COORDINATION AND REPORTING
CHAPTER 11. PROCUREMENT PROCESS AND COORDINATION

11.1 Request for Proposal (RFP)......................................................................................74
11.2 Invitation for Bid (IFB)..............................................................................................76
11.3 Amtrak Force Account............................................................................................76
11.4 Emergency Procurements........................................................................................77
11.5 Sole or Single Source Procurement..........................................................................77
CHAPTER 12. PERMITS AND APPROVALS

12.1 Building Permits......................................................................................................80
12.2 Environmental Approvals........................................................................................80
12.3 Other Permits.........................................................................................................82
CHAPTER 13. PROJECT MONITORING, CONTROLS AND REPORTING

13.1 Schedules...............................................................................................................84
13.2 Budgets and Cost Estimates....................................................................................87
13.3 Progress Reports.....................................................................................................87
13.4 Web Work Element Explorer (WebWEE)..................................................................89
13.5 Professional Services Contractor Invoices and Payments..........................................89
13.6 Change Orders.......................................................................................................91
13.7 Claims and Claims Avoidance.................................................................................92
CHAPTER 14. COORDINATION WITH OTHER DEPARTMENTS/AGENCIES

14.1 Planning & Budget..................................................................................................96
14.2 Government Affairs (State).....................................................................................96
14.3 Communications....................................................................................................97
14.4 Office of Finance & General Counsel and Corporate Secretary Administration.........98
14.5 Real Estate Development........................................................................................99
14.6 Northeast Corridor Infrastructure and Investment Development (NECIID)...............100
14.7 Other Operation Departments..............................................................................101
Table of Contents vii

TABLE OF CONTENTS
CHAPTER 15. DESIGN REVIEW PROCESS

15.1 Engineering Procedures.........................................................................................103
15.2 Advisory Committees............................................................................................104
15.3 Post-Construction Review Process.........................................................................105
CHAPTER 16. GUIDELINES FOR ESTIMATING COSTS

16.1 Cost Estimates for Design and Construction Management Services.......................108
16.2 Cost Estimates for Equipment...............................................................................109
16.3 Cost Estimates for Construction............................................................................110
16.4 Contingencies.......................................................................................................111
LIST OF FIGURES
Figure 1-1 Amtrak Organization Chart............................................................................5
Figure 1-2 Operations Organization Chart......................................................................5
Figure 1-3 Engineering Organization Chart.....................................................................7
Figure 3-1 Sample Project Management Plan Outline....................................................21
Figure 4-1 Project Development Continuum Process.....................................................24
Figure 5-1 NEPA Environmental Review Process.............................................................35
Figure 5-2 Information Required for Probable Categorical Exclusion Projects.................36
Figure 5-3 Sample Outline of a Draft Environmental Impact Statement.........................38
Figure 6-1 Value Engineering Study Task Flow Diagram.................................................42
Figure 11-1 Procurement Responsibilities of Project Manager and
Contracting Administrator............................................................................73
Figure 13-1 Work Breakdown Structure—Maintenance...................................................84
Abbreviations and Acronyms.......................................................................................113
Appendix Glossary........................................................................................................115
viii Table of Contents

INTRODUCTION
A
n important goal of the Engineering Department at Amtrak is the successful completion of
projects on time, on budget and consistent with project objectives. As the Project Manager,
you are key to a project’s success.
To assist you in carrying out your responsibilities and to help you in your professional development
as a Project Manager, Amtrak’s Engineering Department has prepared this manual to help you
successfully manage capital improvements, capital maintenance, production and third-party
projects. While Engineering projects vary in size, scope, cost, schedule and type, they generally have
comparable activities, information and documentation requirements that help ensure a quality
project when handled in a consistent manner.
The purpose of the Engineering’s Project and Program Procedures is to provide a concise, easy-
to-understand summary of the Engineering project management process and practices for capital
improvements, capital maintenance, production and third-party projects and includes the progression
of activities and the interaction with other departments and divisions. It includes lists that will help
take you through the tasks involved in design and construction. By following the steps outlined, you
will be better equipped to guide a project to its successful completion.
The design review procedure included in this manual is the procedure followed by the Engineering
Department. Project Managers in other organizations may follow the procedures of their respective
Departments, which may be similar.
Although this manual charts your course, it is only a framework. Every project has its unique
challenges that require leadership and initiative. As the Project Manager, you are on the front line,
working for open communication and cooperation within the entire Amtrak team and are prepared
to meet problems head on when the need arises.
Introduction ix
INTRODUCTION
As a Project Manager, you should recognize that projects will advance smoothly if you identify and
communicate with, on a continuous basis, the key individuals within and outside Amtrak who are
needed to advance the project. This document thus highlights both the organizational structure and
the specific departments that are likely to play some role in assisting you to advance a project. As
emphasized here and throughout this document, it is important to recognize that Project Managers
must anticipate issues, identify who and what will be needed to resolve those issues and communicate
continuously with their clients and those who impact the project.
Engineering is committed to supporting you in every way possible. This document will help you
navigate the complexities of project management, ensuring your success and that of the entire
Engineering team.
Using the Manual

This manual is meant to be used by both new and experienced Project Managers in Engineering.
The manual identifies forms and reports that must be prepared, approvals that must be obtained and
problems that may occur. More than that, the manual represents the cumulative experience gained
in completing a generation of large and small capital improvements, capital maintenance, production
and third-party projects in Engineering, and should help you complete your assignment successfully.
For new Project Managers, this manual provides a comprehensive look at the whole project
management process. For experienced Project Managers, it is a refresher course and a reminder of
the many elements that go into project management. For both, the checklists, forms and flowcharts
will be helpful.
How the Manual is Organized

This Engineering Project Management Manual is organized into three parts:
• Part I provides a brief overview of the Amtrak organization, including definitions of capital,
production and third-party projects, project management, administration and reporting
procedures and funding agency requirements, so that you have an understanding of these as
you begin a project.
• Part II is the core of the manual, the activities that take place at each stage of a project with
special attention to a Project Manager’s responsibilities in managing the work effort and
producing the required project deliverables.
• Part III provides detailed chapters on the standard administrative and reporting procedures
that must be followed at various stages throughout a project. For example, the RFP process
described can be used to procure a professional services firm in the preliminary design, final
design and/or construction management stage.
x Introduction
INTRODUCTION
Updates and Revisions
The current manual will be posted on Amtrak’s Intranet for Project Managers under the PMO content
page and under Engineering on the “How We Work” tab.
Documents for Additional Information

As you proceed through the project management process, you may need more detailed information
than appears in this manual. The following documents should be consulted:
• Program and Project Procedures — provides specific guidance on how to administer the
various components of your project and to ensure that each Project Manager accomplishes
his/her work in a standard manner. The current procedures will be posted on Amtrak’s
intranet under the PMO content page and under Engineering on the “How We Work” tab.
• Amtrak Procurement Manual — includes detailed information on procurement
methods of solicitation and selection (chapter 3), contract administration (chapter 5),
responsibilities of the Contract Administrator and the Project Manager (chapter 2) and a
list of definitions of terms used in procurement and contract management (appendix C).
http://wiki.corp.nrpc/download/attachments/31457305/Procurement+Manual+-+July+2008.
pdf?version=1&modificationDate=1238081580573
Sources and Acknowledgments

This manual was prepared under the direction of Amtrak’s Engineering Department with editorial
input from virtually every discipline from the Engineering Department, as well as Environmental,
Real Estate and Legal. Wherever possible, comments and suggestions were incorporated into
the final document, which represents years of accumulated experience and success in delivering
capital improvements, capital maintenance, production and third-party projects in the Engineering
Department.
Other documents used as references during the development of this manual include:
• Federal Transit Administration’s Project and Construction Management Guidelines, July 2011
• Federal Transit Administration’s Construction Project Management Handbook, March 2012
• Project Management Institute’s Project Management Body of Knowledge (PMBOK Guide),
2013
• Amtrak Procurement Manual, Amtrak, July 2008
• Other Commuter Agencies Project Management Manuals and/or Guidelines
Introduction xi
Ten Commandments of
Project Management
1. Set a clear project goal
2. Determine the project objectives
3. Establish check points, activities relationships and time estimate
4. Draw a picture of the project schedule
5. Direct people individually and as a project team
6. Reinforce the commitment and excitement of the project team
7. Keep everyone connected with the project
8. Build agreements that vitalize team members
9. Empower yourself and others on the project team
10. Encourage risk-taking and creativity
xii The Amtrak Organization

1
THE AMTRAK ORGANIZATION

T
he design and delivery of capital improvements, capital maintenance and third party projects
are generally the responsibility of the Deputy Chief Engineers of Major Capital Project
or Construction within Engineering Department and, for specialized rail applications with
Technical Discipline Deputy Chief Engineers within the Engineering Department. Project Managers
should be familiar with the organization and operation not only of these departments but also of
Amtrak as a whole, to gain an understanding of the role of their projects in furthering the goals and
mission of Amtrak. The following overview provides an introduction to the Amtrak organization.
1.1 Amtrak Goals, Vision and Mission

As the result of the nation’s reliance on automobiles and the increasing popularity of airplane travel
that led to the declining use of passenger trains, and resulting diminished or eliminated passenger
service provided by freight railroads, Congress passed the Rail Passenger Service Act of 1970. This
legislation established the National Railroad Passenger Corporation, commonly known as “Amtrak,”
to take over the intercity passenger rail service that had been operated by private railroads. Amtrak
began service on May 1, 1971 serving 43 states, and over 500 stations along 21 routes.
Amtrak’s current goals focus on three key themes:
1. Safety and Security: To set the standard for safety and security in the transportation industry
to ensure that every passenger and employee goes home injury-free every day.
2. Customer Focus: To acquire and retain the most satisfied customers of any travel company in
the world.
3. Financial Excellence: To be profitable on an operating basis (as defined by our operating
ratio) and be good stewards of capital in order to secure our long-term viability as a company.
Part I: Project Management Overview 1

1
4. These goals are highly integrated and Amtrak cannot be successful in one of these areas
without being successful at all of them.
Amtrak’s vision is “Moving America where it wants to go.” This Vision Statement communicates
what we aspire to do as a company in a concise and memorable way. When considered from different
angles, this seven-word phrase communicates many different things about Amtrak and our purpose:
• We serve the United States of America, its people and its guests.
• Our job is to connect the communities and economies that comprise our nation.
• We are not just a railroad, we are a company that moves people.
Amtrak responds to the market — as a business we must offer services that are in-demand and for
which customers are willing to pay.
The Amtrak mission is “Delivering intercity transportation with superior safety, customer service
and financial excellence.” This Mission Statement clarifies how we will achieve our vision. As a
company and as individual employees, our job is to provide safe transportation in a manner that
improves the company’s financial viability while ensuring that our customers have a consistent, high-
quality travel experience.
1.2 Amtrak Services

The name “Amtrak” is the blending of the words “America” and “track.” It is properly used in
documents with only the first letter capitalized. The railroad is also known as the National Railroad
Passenger Corporation (NRPC), the company’s official incorporated name.
As the nation’s intercity passenger rail operator, Amtrak connects America in safer, greener and
healthier ways than private vehicles or air travel. With more than 20,000 employees and with 21,000
route miles in 46 states, the District of Columbia and three Canadian provinces, Amtrak operates
more than 300 trains each day — at speeds up to 150 mph — to more than 500 destinations. Amtrak is
also the operator of choice for state-supported corridor services in 15 states and for three commuter
rail agencies.
Amtrak continues to invest in critical projects that will enhance the passenger experience, sustain
the national passenger network and provide much-needed capacity.
1.3 Board of Directors

Amtrak’s Board of Directors office is located at 60 Massachusetts Avenue, NE, Washington, DC
20002. The following are members of the Board of Directors:
Mr. Joseph H. Boardman Mr. Christopher R. Beall
Mr. Anthony R. Coscia Ms. Yvonne Brathwaite Burke
2 Part I: Project Management Overview

1

Mr. Thomas C. Carper Mr. Anthony Foxx
Mr. Albert DiClemente Mr. Jeffrey R. Moreland
1.4 Amtrak Organization

The Amtrak President and Chief Executive Officer’s mission and functions are to provide executive
direction for each department and deliver intercity transportation with superior safety, customer
service, and financial excellence. Under the direction of the President and Chief Executive Officer,
there are 12 departments along with supporting staff:
• Corporate Research and Strategy • Marketing and Sales

• Strategic Fleet Rail Initiatives • Government Affairs and Corporate
• General Counsel and Corporate Secretary Communications
• Finance • Human Capital
• Northeast Corridor Infrastructure and • Information Technology

Investment Development (NECIID) • Emergency Management and Corporate
• Police Security
• Operations
The mission or role for each department is briefly discussed below.
Corporate Research and Strategy: Provide leadership to all aspects of Amtrak’s businesses and
corporate activities related to strategy development and execution.
Strategic Rail Initiatives: Facilitate alignment of rail fleet planning and major rail fleet initiatives
with corporate strategies and goals.
General Counsel and Corporate Secretary: Maintain Amtrak in legal, regulatory and corporate
governance compliance in all aspects of its organization, business and operations; provide legal
support to all departments and functions; protect Amtrak and its interests in all claims on behalf of
or against the Corporation; and adhere to the highest professional and personal ethics in said work.
The Executive Vice President, Chief Legal Officer, General Counsel and Corporate Secretary serves
as the Ethics Officer for the Corporation.
Finance: Promote sound financial management in support of the goals and objectives contained
in Amtrak’s Strategic Plan through the delivery of timely and accurate financial information,
sound accounting practices, efficient treasury services, effective financial planning and by providing
procurement and real estate development services.
Northeast Corridor Infrastructure and Investment Development: Plan and develop feasibilities
study and real estate development for Amtrak-owned assets to meet the growing needs of all users
on the existing Northeast Corridor and future high-speed rail development.

1
Police: Direct plan and manage all system-wide functions and operations of the Amtrak Police De-
partment in the enforcement of laws, the prevention of crime, counterterrorism and protection of the
Corporation’s employees, passengers and physical assets. Ensure the implementation of goals, objec-
tives, policies, procedures, the strategic plan, financial management and standards for the department.
Marketing and Sales: Grow ridership and revenue across the Amtrak system through cost-effective,
creative marketing, advertising and sales systems executed in close collaboration with business lines
and state partners.
Government Affairs and Corporate Communications: Serve as the Corporation’s primary liaison
with Congress, agencies of the federal government, many states and localities; as well as the media,
the general public and other stakeholder groups that support the mission of intercity passenger rail.
Serve as a resource to further the missions and goals of the other departments, where those missions
intersect with the entities noted above, and coordinate federal and state policy initiatives.
Human Capital: Lead the development and delivery of organizational structures, talent and lean
processes providing a competitive advantage in delivering the business strategy and reinforcing the
for-profit aspects of financial excellence. Deliver a pipeline of talent fitting Amtrak’s organizational
needs with the right values and competencies. Serve as a catalyst for creating the environment to
attract and leverage human capital.
Information Technology: Deliver cost-effective, secure, innovative technical business solutions that
exceed our customers’ and business partners’ expectations.
Emergency Management and Corporate Security: Lead an integrated enterprise-wide emergency

management and corporate security system to prepare and protect Amtrak employees, customers and
assets. Execute a security risk management strategy to address threats and vulnerabilities associated
with natural hazards and acts of terrorism; oversight of emergency preparedness planning and
incident management coordination; security awareness, training and exercise program for employees
and external stakeholders; and secure critical rail and key assets through the implementation and
management of video surveillance and access control solutions.
Operations: Operate the national passenger rail system safely and securely, while consistently
improving the Corporation’s bottom line by attracting and retaining loyal customers in the most
efficient manner possible. Drive revenue growth for Amtrak by consistently delivering safe, high-
quality travel experiences to every customer we serve and continuously improving productivity with
better tools and processes in order to optimize operating costs. Implement the Accessible Stations
Development Program and seek other opportunities to improve accessibility such as on equipment
and Amtrak’s on-line presence.
Amtrak also has an Office of Inspector General, which directly reports to the Board. This office
performs independent, objective oversight of Amtrak’s programs and operations through audits,
inspection, evaluation and investigations focused on recommending improvements to Amtrak’s
economy, efficiency, and effectiveness. Project Managers are encouraged to report fraud, waste or
abuse by contacting the OIG Hotline at 800-468-5469.

1

President and CEO
Presidents’s Office
Joseph H. Boardman
EVP/Chief Human Capital Officer Dir Operations and Coordination EVP/Chief Operations Officer EVP/Chief Lgl Ofcr General Counc...
Human Capital/Lbr Admin/Diversit... Presidents’s Office Operations General Counsel & Corp Secretary
Alex B. Melnkovic Brian P. Gallagher Donald A. Stadtler Jr. Eleanor D. Acheson
EVP/Chief Human Financial Officer EVP/Chief Information Officer SVP Corporate Research & Strategy SVP/Chief Goverment Affairs & Corp
Fianance Amtrak Information Technology Corporate Research and Strategy GACC - Govt Affairs & Corp Comm
Gerald Sokol Jr. Jason Molfetas Jeffrey K. Clements Joseph H. McHugh
Chief of Staff Corporate Safety Advocate SVP Strategic Rail Innitiatives... EVP/Chief Marketing & Sales
Corporate Liaison Corporate Safety Advocate Strategic Fleet Rail Initiatives Marketing and Sales
Margaret B. Reid Mark H. McKeon Mark Yachmetz Matthew F. Hardison
Senior Executive Assistant to CEO SVP/Chief of Police EVP/Chief NEC Buisiness Dev... VP Emergency Management
Presidents’s Office Police Dept Chief of Police NEC Business Development Dept of Emergency Mgt & Corp S...
Patricia J. Shaw Polly L. Hanson Stephen J. Gardner Susan K. Reinertson
Figure 1-1 - Amtrak Organization Chart
1.5 Operations Organization

The purpose of the Operations organization is to operate and manage the national passenger rail
system safely and securely, while consistently improving the Corporation’s bottom line by attracting
and retaining loyal customers in the most efficient manner possible. Drive revenue growth for
Amtrak by consistently delivering safe, high-quality travel experiences to every customer we serve
and continuously improving productivity with better tools and processes in order to optimize
operating costs.
EVP/Chief Operations Office

Operations
Donald A. Stadtler Jr.
Vice President Operations VP, Enterprise Program Manage... Vice President Operations Vice President Research & Planning
Operations Ops Enterprise Prog Management... Operations A Ops Research & Planning
Christopher M. Jagodzinski Dam M. Black
VP & Chief Transportation Officer SVP & General Manager State Sup.. SVP & Chief Mechanical Officer SVP & General Manager Long Dist...
Ops Transportation Office Ops State Supported (SS) Corr B... Ops Mechanical Ops Log Distance (LD) Svcs Bus...
David A. Nichols Louis J. Commer Mario Bergeron Mark A. Murphy
SVP & General Manager NEC Vice President & Chief Safety Officer Vice President Business Operations SVP Chief Engineer
Ops Northeast Corridor (NEC) Bus... Ops Safety Ops Business Operations Ops Engineering
Michael J. DeCataldo Jr. Michael J. Logue Robin T. McDonough Rodrigo Bitar
Senior Vice President Operations Senior Executive Assistant Vice President System Operations Vice President Customer Service
Operations Operations Ops System Operations Ops Customer Service
Scot L. Naparstek Tershia Graves Thomas D. Connolly Thomas J. Hall
Figure 1-2 - Operations Organization Chart

1
1.6 Engineering Organization

Engineering provides infrastructure planning, design, construction and maintenance to ensure a
clean, safe, and efficient railroad for Amtrak customers and employees. Additionally, Engineering,
with direction from the Executive Oversight Committee on Accessibility executes the Stations
Development Program.
Engineering functions includes Technical Disciplines, Program Management, Construction,

Maintenance, Planning and Budgeting and Operations Improvements.
Technical disciplines group create and monitor standards, specifications, policies and procedures for
design, installation and maintenance of assets to improve quality and performance of the following
infrastructure assets:
• Communications and Signals – track circuits, signals, interlockings and communication

systems
• Structures – buildings, bridges, tunnels, stations and other structures
• Track – right-of-way maintenance, track and substructure design and maintenance
• Traction Power – catenary and substations
The Program Management group provides guidelines, project management training and project
control support to Project Managers with a focus on scope, cost, schedule and reporting. The group is
responsible for developing and maintaining processes and procedures to support project integration,
scope, time, cost and communications management, and provides estimates to internal customers
and external partners to assist in the planning, budgeting and staffing of projects. The group also
improves operational performance and cost efficiency by creating, maintaining and distributing
to internal customers and external partners’ performance schedules that reflect all aspects of the
Engineering program.
The Construction group provides construction and project management services to internal and
external stakeholders, ensuring appropriate communication among technical disciplines, front line
personnel, third party contractors and the maintenance organization. The group also promotes
production and quality processes to improve the end product delivered and manages third party
contracts for adherence to scope, schedule, budget and railroad operations.
The Maintenance group maintains the infrastructure to a reliable and safe condition for the
traveling public. The group promotes production and quality assurance processes to improve the
end product delivered and continuously assesses the state of all assets, taking necessary actions to
maintain, improve and drive safety and efficiency. The group also oversees and directs Engineering
Department resources in all construction, inspection and maintenance activities with Amtrak-owned
and/or maintained right-of-way including track, bridges, buildings, communications and signals, and
equipment to provide continued safe and reliable operation of inter-city passenger, commuter rail
and freight trains over the entire Amtrak system.

1

The Planning and Budgeting group coordinates the development of a comprehensive Five-Year Plan
and State of Good Repair Assessment for Amtrak infrastructure collaborating with internal and
external stakeholders.
The Operations Improvement group drives collaboration among Engineering groups and Business
Lines for the purpose of improving the effectiveness and efficiency of Amtrak and, in particular, the
Engineering Department. The group provides the necessary tools for work and asset management
and promotes sound business principles through process development and improvement, reporting,
analysis and business cases. The group also develops the strategic direction for the department,
disciplines and divisions based on Amtrak’s Strategic Objectives and the Chief Engineer’s goals
to acquire, maintain and assign Engineering Maintenance of Way (M/W) equipment and assign
repairmen services.
SVP Chief Engineer

Ops Engineering
Rodrigo Bitar
Deputy Chief Engineer Track Deputy Chief Engineer Maintenance Deputy Chief Engineer - Engineer... Executive Assistance
Engr Track Engr Maintenance ENGProjMgmt Ops Engineering
Alfred J. Cloutier Andrew J. Keefe Ashok J. Nayee Diani L. Kaercher
Deputy Chief Engineer C&S Deputy Chief Engineer - Major Ca... Deputy Chief Engineer Structures Deputy Chief Engineer Construction
Engr Communications & Signals Ops Engineering Engr Structures Engr Construction
Ecton K. Holt Ildefonso Burgos Gil James S. Richter Joseph D. Rago
Senior Director Business Planning... Sr. Human Capital Specialist Deputy Chief Engineer ET Senior Director Business Improve...
Engr Planning & Budgets Engr MAP HC Engr Electric Traction Engr Indust Engrg Bus Improvem...
Mark R. Donovan Peter J. Cirard Raymond G. Verrelle Jr. William S. Bates
Figure 1-3 - Engineering Organization Chart
Throughout the course of a project, a Project Manager will interface with many of these organizations.
Some will provide information that a Project Manager needs to move a project forward; others will
require information in the form of presentations, memos and/or reports. For the most current versions
of the appropriate Amtrak organization charts, please consult with your department manager or
director. They are also available on the Amtrak intranet.
1.7 Funding
Amtrak receives grants and funds for projects from a variety of sources, including but not limited to:
• Revenues from operations

• Federal Railroad Administration (FRA)
• State and local government and other sources
• Railroad Rehabilitation and Improvement Financing Program

1
• Department of Homeland Security

• American Recovery and Reinvestment Act of 2009
On many projects, the funding agency or funding source requires compliance with certain legal,
administrative and reporting requirements.

2
PROJECT, PROGRAM AND PROJECT & PROGRAM MANAGEMENT

T
he role of the Project Manager is to direct and effectively manage the execution of a project
and to deliver a quality project on schedule, within budget and consistent with the desired
scope of work.
2.1 Project, Program and Project & Program Management

A Project is any independent activity with a specific budget, scope of work and schedule for completion.
A project includes a sequence of tasks; defined outcomes and deliverables; defined beginning, end,
schedule of activities and approach to completing defined activities; planned financial budgets; the
necessary resources specifically allocated to the work; and organized approach to execute the work
while maintaining or minimizing impacts to train operations.
A Program is a discrete group of related projects managed in a coordinated way to obtain benefits
and control not available from managing them individually. A program may include elements of
related work outside the scope of the discrete projects in the program. A program may include many
deliverables and usually focuses on business objectives; delivering value and benefits that are not
achieved when handled as an individual project.
A Portfolio is an organization’s entire investment in projects and programs.
A Capital Improvement Project is generally a project that is eligible for capital funding, as defined
by internal guidelines and by outside funding agencies such as the Federal Railroad Administration
(FRA) and the Railroad Rehabilitation and Improvement Financing Program. They enhance the
existing asset functionality (i.e. replacing turnouts with larger size turnouts for higher speed) or
add new assets to the infrastructure for future growth (i.e. additional track, new interlocking, new
facilities, etc. . . .).

2
A Capital Maintenance Project is generally an infrastructure improvement project that may be

funded similar to a capital improvement project, but is required for continuous operation or repair
of Amtrak’s system, such as those that support the State of Good Repair (SOGR) program. Some
examples are curve patch rail, ties/timbers, joint elimination, bridge timbers replacement, drainage
or ditching. For details, please refer to Amtrak Policy 8.3.1 – Capital Expenditures and Retirements
Section 4.2.8.
A Third-Party Construction (Individual and Corporation) Project is a project in which Amtrak will
provide engineering and force account services for third-party design and construction on Amtrak’s
property or adjacent property. These projects are generally 100% reimbursable by third parties to
Amtrak but there are cases where Amtrak may finance certain portions of the asset improvement.
A Third-Party Protection (Individual and Corporation) Project is a project in which Amtrak will
only provide force account services to protect a third-party general contractor performing work
on Amtrak’s property or adjacent property, specifically flagman and/or A-men. These projects are
always 100% reimbursable by third parties to Amtrak.
A Production Project is a project that is performed primarily by Amtrak’s Force Account labor
using a mechanized system to produce efficient and high-production outputs in short-term durations.
It requires a large number of dedicated production forces, specialized equipment and continuous
outages. Some examples are high-speed surfacing, TLS concrete tie replacement, CWR replacement,
undercutting projects. Production projects may be of a single discipline or a combination of disciplines
working within a discrete location.
Project Management is the process of defining a project in terms of overall objective, scope,
schedule and budget and controlling these elements to deliver a quality project. It is an application
of knowledge, skills, tools and techniques to project activities to meet the project requirements.
The Project Manager is responsible for a project, the project team, and outcomes the team is working
on. The Project Manager will focus on budget, scope content, a schedule, resources, technical tasks,
risk management, project requirements and is responsible for ensuring a project completes on
time and within budget. He/she is assigned by the performing organization to lead the team that is
responsible for achieving the project objectives.
The Program Manager has a greater breadth of responsibilities, overseeing multiple project teams
and being held accountable for the overall outcome of the program. He/she may have some level of
technical knowledge, but is responsible for understanding a wider variety of issues and appreciating
the most salient of those issues and the impact they may have on other projects, the program as a
whole, or other programs. A Program Manager will focus on context, people, politics, negotiating,
strategic tasks, change control management (program and environmental changes), business
strategies and objectives, and is responsible for maximizing cost efficiency and value delivery.
This manual does not apply to non-construction projects. For non-construction projects, the stages of
design may differ based on the type of projects (i.e., Information Technology, Marketing, etc.). In a

2

software project example, a design deliverable for review may include software design specifications,
system flow diagrams and technical specifications.
2.2 Role and Responsibilities of a Project Manager

A practical Project Manager will use this guidance and common sense to determine what is
appropriate. Whenever the Project Manager is unsure about a given duty, that individual should
check with the Program Manager, or elevate the matter to the attention of the Deputy Chief
Engineer – Major Capital Projects, Deputy Chief Engineer – Construction for Capital Maintenance
Projects or Deputy Chief Engineer of Technical Disciplines for production or safety specific projects.
This section does not present an all-inclusive list of every duty and responsibility that a Project
Manager may have to cover on every project, but it does address the primary considerations and
areas of general responsibility.
To accomplish delivery of a quality project, the responsibilities of the Project Manager include:
• Communicating effectively with clients, consultants, task leaders, project support personnel,
contractors, other Amtrak departments, stakeholders and outside agencies as appropriate.
• Developing a thorough and comprehensive Project Management Plan covering all project
aspects, especially baseline scope, budget and schedule (for projects over $10M). For smaller
projects (under $10M), at a minimum, a Project Management Plan (sometimes referred to as
mini-PMP) will be developed.
• Preparing necessary project documentation, such as project initiation form, approval memos,
status reports, etc., in a clear and timely manner.
• Creating a work breakdown structure and working closely with the schedulers on developing
the schedule.
• Determining human resource requirements and coordinating commitments with Functional
Managers.
• Providing timely input to the accounting system(s) – WebWEE.
• Initiating and participating in design, construction and equipment procurements.
• Managing the work of design consultants, construction managers and contractors.
• Monitoring project status to ensure that project staff, consultants and contractors are working
within project scope, budget and schedule.
• Implementing project design review process.
• Establishing and executing a risk management process.
• Identifying problems before they adversely affect a project and following up to resolve
conflicts, problems and unresolved issues.
• Managing changes to scope, budget forecast and schedule in accordance with the change
management plan and preparing and communicating changes to the project plan. Minimizing
the number of changes.

2
• Managing the proper organization, maintenance and updating of project files.

• Conducting timely project close-out procedures.
• Acting as Contracting Official’s Technical Representative (COTR).
• Establishing and executing Quality Assurance and Quality Control processes.
The Project Manager owns the project until the project is completed and closed out or until the Project
Manager is removed from the project. Ownership means that the Project Manager is responsible for
the successful day-to-day management, final completion of the project and the successful resolution
of all issues that may arise. The Project Manager never gets to say “I do not know” or “That is not my
responsibility.” The Project Manager is the captain of the ship. The Project Manager will ensure that:
• All contract activities are in compliance with the contract and are correctly completed
• All permits are successfully obtained
• All laws and regulations are complied with
• All necessary third party issues are addressed in a timely manner
• All the necessary reports are correct and on time
• All issues are resolved on the spot or elevated to the Program Manager or ultimately to the
Deputy Chief Engineer – Major Capital Projects, Deputy Chief Engineer – Construction for
capital maintenance projects or Deputy Chief Engineer – Technical Discipline for production
and safety specific projects
• All necessary communication is done
• All invoices are properly handled and paid in a timely manner
• All monies due and owed to Amtrak are invoiced accurately, timely and are received timely
2.3 How Projects Originate

Projects arise out of a need that must be met to fulfill the strategic plan, goals and mission of Amtrak.
The need is identified within Engineering or can originate from any of the other departments
identified in Section 1.4.
The need can be identified by others:
• As part of the capital program for rail projects approved by the Board of Directors
• As a request for a feasibility study to be implemented by another Amtrak department or
outside agency
• From the NECIID Major Station Planning and Development (a.k.a. Planning Department),
following a formal planning process
• From a user – a patron or an Amtrak operating department
• As a response to a state or federal legislative mandate
• As a response to emergency conditions

2

• State of Good Repairs (SOGR)
• Individuals & Corporations (I&C)
The need can originate within Engineering or other operating groups to satisfy or resolve:
• New regulations
• New technologies
• Permit or legal requirements
• Safety requirements
• Speed increases
• Capacity improvements
Although each project is unique, most projects have a similar progression of activities. A typical
project assignment begins when a project has received funding through the capital programming
process and is passed to the appropriate project management group for implementation. In a typical
project, a Project Manager receives a project after the feasibility study has been completed and
the Project Manager is responsible for taking the project through preliminary and final design,
construction, and start-up.
2.4 Types of Projects

Projects can be defined or classified in different ways:
• By mode – rail
• By type – facility, infrastructure, or equipment
• By construction effort – new construction, renovation, temporary facility
• By project phase – planning, design, construction field services, construction equipment/
vehicle purchase, etc.
2.5 Size of Projects

A Small Project is generally a project that has a construction cost of less than $2M.
A Medium Project is generally a project that has a construction cost of more than $2M, but less than
$10M.
A Large Project is generally a single project that has construction cost of more than $10M but less
than $100M. A large project may require Engineering to obtain permits, perform an environmental
process, require specialized design and construction management staff, perform value engineering
and other items such as Project Management Plan, Peer Review, Risk Management, Constructability
Review, etc.

2
A Mega Project is generally a project that is over $100M in construction cost. A mega project may
require Engineering to obtain permits, perform an environmental process, require specialized
design and construction management staff, perform value engineering and other items such as
Project Management Plan, Peer Review, Risk Management, Constructability Review, Stakeholder
Management Plan, Communication Plan, etc.
2.6 Methods of Accomplishing Projects

Design and/or construction of a project can be accomplished with the following resources:
• Professional services or contractor – this method is used for most major projects and the
professional services or contractor is procured through the Request for Proposal (RFP) or
Invitation for Bid (IFB) process
• In-house force account - for projects using Amtrak staff
• Other agency force account – utilities, other railroads, municipalities or other government
agencies (for example, Amtrak may construct a new substation that is used jointly with
Metro-North Railroad or NJ Transit)
The term “force account” refers to the use of in-house forces or staff (whether in-house at Amtrak
or at another public agency) to construct a project.
2.7 Types of Contracts or Agreements to Accomplish a Project

There are a variety of ways to accomplish a project, depending on its size and complexity. Usually,
a project is completed in stages, with a separate contract or procurement for each stage. Types of
contract packages include:
• Consultant contracts (typically procured through the RFP process)

–– conceptual and preliminary design, including Environmental Assessments (EA) or
Environmental Impact Statements (EIS)
–– final design
–– full design/engineering (preliminary through final)
–– construction assistance (designer)
–– construction management
–– geotechnical services, environmental testing, etc.
–– design/build (follow Request for Information (RFI) or Request for Qualification (RFQ)
process)
• Contractor contracts (typically procured through the IFB process)
–– construction
–– fabrication

2

–– equipment purchases
• Force account agreements
–– with in-house department staff
–– with commuter agencies, freight railroad, utility companies
• Interagency agreements
–– with utilities
–– with municipalities and counties
–– with NYDOT, CDOT, NJDOT, etc.
–– with MBTA, CCR, MNR, LIRR, NJT, SEPTA, MARC, VRE, etc.
2.8 Overview of Administrative and Reporting Procedures

In addition to supervising the project’s design and construction activities, a Project Manager has,
as one of his/her major tasks, responsibility for various administrative and reporting procedures
throughout each project. These are outlined below. Details are provided in Chapters 11 through 16
in Part III of this manual, and in specific referenced documents such as the Procurement Manual and
the Project and Program Procedures.
Chapter 11 – Procurement Process and Coordination

Procurement procedures in which the Project Manager participates and has major responsibilities
include:
• Request for Proposal (RFP), used to procure a professional services firm to provide
architectural/engineering/construction management services at Amtrak
• Invitation for Bid (IFB), used to procure a contractor for construction or to purchase
equipment
• Letter of Interest (LOI)
For details see Chapter 11 and the Procurement Manual.
Chapter 12 and 14 – Permits and Approvals, and Coordination with Other Departments/Agencies
Communication and coordination with others is one of the prime responsibilities of a Project Manager,
whether by meetings, memo, letter, report or by filling out forms. In many cases, “coordination” is
legally mandated, as in the case of state and federal agency approvals and permits needed before a proj-
ect can progress past the design stage. For details on the names and types of organizations the Project
Manager typically coordinates with, as well as the overall coordination process, see Chapter 12 – Per-
mits and Approvals, and Chapter 14 – Coordination with Other Departments/Agencies.

2
Chapter 13 – Project Monitoring, Controls and Reporting

WebWEE is a mainframe system, which is the single point of entry, data collection, storage and
report generation for project-related information. It is designed to promote speed and accuracy of
accounting procedures, and to generate reports required for reimbursement by funding agencies.
The Project Manager is required to input and update important project data in WebWEE, such as
scope, budget and schedule. For details, see Chapter 13 – Project Monitoring, Controls and Reporting
and WebWEE User Documentation.
Chapter 15 – Design Review Process

Design review procedures for Project Managers will fall into two general categories:
• Using generally approved engineering procedures and specifications so that all drawings and
documents are correct, and so that all necessary activities are performed at the appropriate
stage in the project.
• Obtaining reviews, approvals and signoffs from the responsible departments within Amtrak.
For details, see Chapter 15 – Design Review Process.
Chapter 16 – Guidelines for Estimating Costs

Project Manager will need to develop cost estimates for design, construction management,
administration, force account costs, property acquisition, construction costs and equipment costs for
project grant applications.
There are a number of ways to estimate design and construction management costs. Most Project
Managers use one or a combination of the following methods.
• Costs Estimated as a Percentage of Construction Costs

• Costs Estimated by Number of Drawing (Design Only)
• Costs Estimated by Labor Effort per Task
• Costs Estimated by Comparison with Similar Recent Amtrak Projects
For details, see Chapter 16 - Guidelines for Estimating Cost.

3
FUNDING SOURCES AND AGENCY REQUIREMENTS

E
ngineering has several sources for capital project funding. These sources have specific
requirements and/or regulations that limit or define the use of the funds and describe
reporting or other compliance requirements that need input from the Project Manager.
3.1 Annual Capital Grants

Engineering receives a majority of its capital funding from the Federal Railroad Administration
(FRA) through annual grant programs funded by appropriations from Congress.
Information supplied by the discipline Deputy Chief Engineers and Project Managers to
Engineering’s Planning and Budget Department is shared with the Financial Planning Department
to develop annual and five-year capital programs approved by the Board of Directors. It is used
as the basis for funding requests to Congress and by the Office of Grants Administration (OGA)
for grant applications and reporting. The Planning and Budget Department is the liaison between
Amtrak and funders on matters regarding the planning, delivery and cost of capital projects pursued
by Engineering. The Planning and Budget Department works with the discipline Deputy Chief
Engineers and Project Managers and Project Sponsors to develop appropriate scope, schedule and
budget data required for Engineering’s overall capital planning, grant applications and progress
reports.
3.2 Other Funding Sources

Increasingly, Engineering capital projects are funded using revenues received from other sources
including but not limited to: competitive and discretionary FRA grants (e.g., high-speed rail, PTC,
disaster recovery), direct awards from other federal agencies such as the Department of Homeland
Security, contracts with States and transit partners and Amtrak generated revenues (particularly

3
when matching contributions are required). These grants are restricted to achieving specific goals
and usually cannot be reprogrammed to other purposes. These grants may span multiple fiscal years
in order to provide the time and dedicated funding required to achieve their specified goals.
In this competitive environment, it is important to ensure the data provided is based upon a level of
planning and preparation that ensures Engineering, to the best of our ability, can deliver the proposed
projects on time and within budget. Approval of an application and acceptance of a grant award
comes with the expectation that Engineering will implement and complete the project as described
in the application, within the approved project scope, schedule and budget. The project must be
pursued in accordance with all terms and conditions of the application, the funding agreement and
general compliance requirements applicable to grants. While it is recognized that situations change
and it is sometimes possible to revise certain terms of an agreement, it is nevertheless Engineering’s
responsibility to implement projects in accordance with the grant agreement.
3.3 Project Manager’s Responsibilities for Project Proposals and Grant Applications
After a business case has been developed and a project has been included in a capital program
approved by the Amtrak Executive Committee and Board of Directors, the Project Manager consults
with, and provides information to, the Planning and Budget Department, which will work with a core
team comprised of staff from Finance, Law and Grants Administration to identify potential funding
sources and prepare grant applications, where applicable.
Project Managers typically provide the following information to the Planning and Budget Department
for inclusion in project proposals and grant applications:
• Detailed project descriptions, which contain sufficient information for the FRA or other
funding agency to make judgments as to the nature and immediacy of the project and the
specific scope of work to be funded by the application.
• Milestones such as an RFP/IFB advertisement date, anticipated contract award date, vehicle
or equipment delivery schedule and completion dates.
• Projected cash drawdown schedule by month.
• Detailed project budget with cost allocations for engineering internal forces and contract
support forecasts based on scope (task structure breakdown).
• For construction projects at sites eligible for inclusion on the National Register of Historic
Places, a letter from the State Historic Preservation Office advising that the project has “no
effect,” “no adverse effect” or appropriate approvals such as a fully executed Memorandum
of Agreement.
• For construction projects, a justification for a Categorical Exclusion under the National
Environmental Policy Act; or a copy of the FRA approval letter for a Finding of No Significant
Impact (Environmental Assessments); or the Record of Decision (Environmental Impact
Statement).
• Force account plan, if appropriate.

3

3.4 Project Manager’s Responsibilities after a Grant Award
Project Managers are expected to ensure the project is set up in project management and financial
systems according to the structure proposed and funded. The Project Manager will complete regular
progress updates for funded projects. Typically, these include: reporting the project status and
progress; milestones achieved for each project task; actual cost compared to budget; any changes,
challenges or issues impacting the scope, schedule or budget; and corrective actions required or
taken.
Amtrak conducts internal audits and is subject to monitoring and auditing by the FRA, other federal
entities and the U.S. and Amtrak’s Office of Inspector General. Deviation from an approved project
scope, budget or other grant terms without seeking prior approval can result in compliance findings
with a variety of negative consequences for the company, departments and responsible individuals.
Costs incurred that are not adequately documented, reviewed and approved or are incurred outside
the approved scope, schedule and budget for the project may be disallowed and deemed ineligible
for reimbursement.
Within 30 days of receiving an award, the Office of Grants Administration (OGA) will draft and
circulate a matrix containing the compliance requirements of the agreement and identify the
compliance method and responsible parties. Examples are available on the OGA wiki site: http://wiki.
corp.nrpc/display/FIN/Grants+Administration. Besides the compliance matrices, grant documents
and other resources are available on the intranet site for the OGA.
Project Managers should be aware of these and other resources for their projects and the specific
terms and conditions of the funding source for their projects. The Amtrak Policy and Instruction
Manual on Amtrak’s intranet provide guidance on the general policy requirements for managing
projects within Amtrak’s capital program. Some policies for Project Managers to review include:
grants administration (8.14), capital programming (8.37), equipment control (3.19) and procurement
(11.0).
Project Managers cannot spend funds until approved by Board of Directors during capital
reprogramming request process.
3.5 Project Management Plan

The FRA requires a project management plan for major FRA-funded capital projects. A Major
Capital Project (MCP) is defined as a project that involves the construction of a new fixed guideway
or an extension to an existing fixed guideway, or involves the rehabilitation of an existing fixed
guideway with a total project cost in excess of $100 million. The plan, developed at the beginning
of preliminary design, is used to guide and direct subsequent phases: final design, construction,
operation and start-up. For projects that have been funded by grants up through preliminary design
and National Environmental Policy Act (NEPA) only, the project management plan should address
to the level of approved activity. Since each project is unique, the project management plan must
reflect both the specific requirements and the management philosophy of the project. The plan should
be updated as necessary, and should include functions, procedures and responsibilities for items

3
such as: organizational and reporting structure; a detailed budget by task; construction schedule;
document control and record keeping; and quality control/quality assurance. Amtrak must obtain
an official review and approval from FRA of the plan, initially and as changes are made during the
course of the project. Periodic reports on project budget and schedule must be made to the FRA
administrator for the project and/or the FRA Technical Representative, as requested.
Although only major capital projects require a formal written plan, the issues covered in the sample
project management plan outlined in Figure 3.1 should be reviewed by all Project Managers to
ensure that they are properly considered during the course of a project for all capital projects over
$10 million.

3

1. Project Management Plan Overview 8.7. System and Equipment Test and Evaluation Plan
1.1 Project Description, Definition and Background 8.8. Fleet Management Plan
1.2 Legal and Financing Authority and Requirements 8.9. Reliability, Availability, Maintainability and Dependability
2. Organization and Staffing 9. Safety & Security Management

2.1 Project Engineering Organizational Charts (Grantee, 3rd Party, Consultants, etc.) 9.1 Scope of Analysis and Design Criteria
2.2 Key Personnel (with resumes in an Appendix) 9.2 System Safety Program Plan
2.3 Force Account Plan 9.3 Safety Certification
2.4 Interfaces - Internal and External (Including Existing Transit Operations) 9.4 Security Management
2.5 Staffing Mobilization Plan (ALL Phases) 9.5 Emergency Response and Preparedness
2.6 Staff Training Plan (ALL Phases) 9.6 Security Design and Operations Criteria
2.7 Grantee Policies – Administrative, Financial, and Others Relevant to Project Delivery 9.7 Safety and Security Management Plan
3. Project Management Control 10. Design Management

3.1 Functional and Technical Control – Strategic Risk-Informed and Performance-Based 10.1 Standards for All Design & Submittals
3.2 Project Technical Baseline and Design/Operational Criteria - Configuration , Budget/ 10.2 Design Responsibilities & Supervision
Cost, and Schedule Control 10.3 Coordination – Internal & External
3.3 Design reviews - Process and Approval Control, Including Design Services During 10.4 Submittals: 30, 60,90, 100%, Bid Documents
Construction and Equipment Procurement Phases 10.5 Design criteria: Baseline & Updating
3.4 Quality Assurance/Quality Control Programs (ALL Phases) 10.6 Design review Process
3.5 Safety & Security Program (ALL Phases) 10.6.1 Discipline
3.6 Project Budget and Cost Control 10.6.2 Interdisciplinary
3.6.1 Maintaining Baseline Project Budget 10.6.3 3rd Party for Permitting, Etc.
3.6.2 Strategic Performance Metrics and Measurement – Cost Management Plan 10.7 Value Engineering
3.6.3 Escalation Factor Derivation and Application 10.8 Constructability Reviews
3.7 Maintaining Baseline Integrated Master Project Schedule (IMPS) 10.9 Operations and Management (O&M) Considerations and Reviews
3.7.1 Strategic Performance Metrics and Measurement – Schedule Management Plan 1.1.1 Transit Capacity Analysis (All Elements)
3.7.2 Functional Schedules Management (Planning, Design, Real estate Program, 1.1.2 Life-Cycle Analysis
Construction Contracts, Equipment & Materials Contracts, Activation Plan, 3rd 1.1.3 Reliability, Availability, Maintainability, Dependability, and Safety Analyses
Parties) 10.10 Change Control
3.8 Risk and Contingency Management – RCM Plan 10.11 Systems Integration
3.9 Contracting Techniques and Contract Package Plan (ALL Phases) Cost Allocation Plan 10.12 Design Management Plan
3.10 Cost Accounting System and Reporting
3.11 Grantee Force Account Plan 11. Rights-Of-Way Program Management
3.12 Cash Management 11.1 Interfaces: Design and Construction
3.13 Change Control and Configuration Management 11.2 Mapping and Property Descriptions
3.14 Document Control 11.3 Uniform Act Requirements Compliance
3.15 Data Processing 11.4 Utilities (Public & Private)
3.16 Public Relations 11.5 Appraisals
3.17 Other Consulting Services 11.5.1 Qualifications
3.18 Identification of Disadvantaged Business Enterprise (DBE) Opportunities and DBE 11.5.2 Scopes of Work
Plan Management 11.5.3 Schedule & Deliverables
11.6 Acquisition Plan
4. Labor Relations and Policy 11.7 Property Management Plan
4.1 Statutory and Regulatory Requirements 11.8 Relocation Plan
4.2 State and Local Regulations 11.9 Demolition
4.3 Federal Requirements 11.10 Excess property Disposal
4.4 Wage and Hour Requirements 11.11 Real estate Acquisition Management Plan (RAMP)
4.5 Local Labor Conditions and No Strike Agreements
4.6 Affirmative Action Plan 12. Community Involvement
12.1 Meetings with Community Organizations
5. Risk Insurance and Management 12.2 Interface with State and Local Agencies
5.1 Scope of Requirements 12.3 Public Hearings
5.2 Risk Identification – ALL Phases 12.4 Media Interface
5.3 Evaluation of Insurance Alternatives
5.4 Insurance Plan (For Professional Services, Construction, Equipment and Materials, 13. Construction Program Management
Testing/Start-Up) 13.1 Responsibilities & Authorities
5.5 Indemnification Agreements 13.2 Contract Administration
13.2.1 Contractor Schedules & IMPS
6. Environmental Assessment, Mitigation and Compliance (ALL Phases) 13.2.2 Contractor Payments
6.1 NEPA Analyses 13.2.3 Estimates to Complete
6.2 NEPA and NEPA-Related Compliance 13.3 Inspection and Acceptance
6.3 Coordination with State & Local Stakeholders 13.4 Utilities Coordination
13.5 Design Services During Construction
7. Procurement Management 13.6 VE Change Proposals
7.1 Policy and Procedures for Procurement Including Source Selection Procedures and 13.7 Claims Avoidance & Change Control
Plan 13.8 Close-Out
7.2 Procurement Plan 13.9 Resident Engineer’s Manual
7.3 Project Management Services 13.10 Inspector’s Manual
7.4 Design Services 13.11 Construction Management Plan
7.5 Legal Services
7.6 Appraisal Services and Other Real estate Acquisition and Relocation Services 14. Pre-Revenue Testing and Start-Up
7.7 Construction and Equipment/Materials Contracts 14.1 Rail Activation Strategies and Plan
7.8 Construction Management 14.2 Staffing, Mobilization & Training
14.3 Integrated Testing and Safety Certification
8. Procurement of Materials and Equipment 14.4 Revenue Operations Opening
8.1 Procedure for Procurement of System-Wide Components and Equipment 14.5 Warranty and Spare Parts: Compliance
8.2 Permanent Materials
8.3 Construction Equipment 15. Conflict Resolution
8.4 System Components
8.5 Rolling Stock 16. General Joint Development Program
8.6 Quality Assurance Requirements
Figure 3-1 - Sample Project Management Plan Outline

Amtrak Engineering Project Manual 2016
Key To Successful Projects
1. Successful user coordination – Promoting Teamwork and

Ownership
2. Focusing on Amtrak coordination
3. Attitude (PM sets tone)
4. Stress positives
5. Effective communication
6. Minutes from meeting is useful tool
7. Try to keep small issues from becoming big
8. Organization is important
9. Ownership (promote it)
10. Meetings at job site
11. Understanding project goals
12. Letting go (build it and hand it over)
13. Project Directory at end of job
22 The Amtrak Organization

4
PROJECT MANAGEMENT DURING PLANNING

A
lthough a capital project often is transferred to an Engineering Project Manager at the
end of the feasibility stage, the Project Manager sometimes gets involved from the very
beginning. As displayed in Figure 4-1, projects are developed and implemented by being
advanced along a project life cycle that includes detailed planning and design activities through and
including testing, commissioning and ultimate operation of the project. The early activities in the
design stage of a project are included here so that a PM will understand what these activities are and
how they lead up to preliminary design (up to 30% design).
The early stages include:
• Feasibility Study/Master Planning

• System Planning
• Alternative Site Identification and Selection
• Project Definition
• Preliminary Environmental Investigation
These stages are intended to confirm feasibility and merit, so that the commitment of more substantial
resources is confined to initiatives with a high probability of successful execution. The specific work
efforts involved depend on the scope of the project and encompass what is required to comply with
applicable federal and state environmental regulations.
Major projects like prospective new fixed guideway lines or extensions to existing fixed guideway
lines are among the more complex projects and consequently involve the most elaborate work
efforts. These efforts include analyses to fulfill the “major investment study (MIS)” requirements
and the National Environmental Policy Act requirements, culminating in a project concept that is
Part II: Stages of a Project 23

4
shown to be feasible and that is sufficiently defined (e.g., site identification and conceptual design) to
set the stage for moving forward with design.
Even for less complex projects, the end result of these early efforts is a finding of feasibility and
sufficient definitional work to describe the project for ensuing stages of design. Since these products
are common to the first stages of a project regardless of scope, it is appropriate to discuss what is
involved in making “feasibility” and “site identification” judgments.
PLANNING ENGINEERING
System Planning
Project Subsystem Project Risk Analysis &

Management Plan Planning Procurement Planning
Alternative Analysis
Environmental Financial Joint Development

Planning Planning Planning
Design & Construction
Preliminary Design
Final Design
Procurement
Construction
Testing & Commissioning
Operations
Operations & Maintenance
ENGINEERING SUPPORT PLANNING SUPPORT
Figure 4-1 - Project Development Continuum Process
4.1 Feasibility Study/Master Planning

Large or complex projects often begin with a system planning/master planning/initial feasibility
study effort involving or directed by the Planning Department. This is the first step in translating
corporate goals, strategies and objectives into specific transportation improvement projects.
Depending on the scope of the project, the result of such an effort can range from a short specific
report to a comprehensive, statewide analysis of services, systems, facilities, materials, etc. (identifying,
evaluating and justifying the need in a specific location).
4.2 Alternative Site Identification and Selection

Once the need for a facility or service has been determined for a general area, the analysis needs to be
focused to target specific areas with potential to meet the project objectives. This is typically achieved
24 Part II: Stages of a Project

4

through an alternative site identification and selection process. This process can be performed by
Amtrak alone or with the assistance of a professional services firm depending on the overall scope
of the project. For a new facility, the alternative identification and selection process focuses on
alternative sites; for a new service, the process includes routes, alignments, level of service, etc.
The major typical tasks comprising site/alignment selection include:
• Development of a project overview (including goals and assumptions)

• Review of project need and justification
• Development of site/alignment selection criteria
• General identification of sites/alignments/study areas
• Preliminary site/alignment evaluation
• Detailed site/alignment analysis
• Identification of a preferred or recommended site/alignment
A similar process could be performed for development of a new service or procurement of equipment.
4.3 Project Definition Report

The project definition stage, which documents and defines the need and key parameters of the
project, is applicable to all projects, including those originated by the Planning Department. On
small to medium sized projects, project definition can be performed by the Project Manager. On
larger, more complex projects, a project definition report is generally part of the RFP for preliminary
design, to be performed by the professional services firm.
If a Project Manager takes on responsibility for a project at the beginning of the feasibility study
stage, then the Project Manager will need to gather information from a variety of sources and work
with the user, usually the Maintenance Department.
If a Project Manager takes on responsibility for a project after inception, the Project Manager can
refer for initial information to any planning/feasibility reports prepared by the Planning Department
or by the Maintenance Department. This report should contain most of the information a Project
Manager needs to complete the Project Definition Report and should serve as the basis for discussions
with the user. Occasionally, however, circumstances such as a delay between the feasibility study and
preliminary design or a change in technical specifications will require verification or modification of
this information.
In either case, the Project Manager should meet with and involve the user in determining project
requirements and exploring alternatives relative to cost, time and effectiveness. Where appropriate,
the Project Manager should visit or inspect the project site or subject at key times (peak hours, pull-
in or pull-out times, etc.) to ensure a full understanding of the project scope and/or user needs.

4
The result of the process will be a formal (but brief) need specific Project Definition Report or a
memo by the Project Manager (or professional services firm if appropriate), including:
• Problem definition and proposed solution

• Alternatives considered
• Sketch plans of project and/or alternatives
• Summary of materials to be used, including electrical, structural and mechanical systems
• Summary of construction staging/operations impact
• Cost estimate/budget compliance
• Proposed schedule
• External issues
• Safety and fire-protection issues
• Major codes and regulations affecting design
• Railroad Force Account requirements
• Utility Relocation considerations
• Permits required
• Environmental issues identified
• Stakeholder involvement issues (internal and external)
• Probable Board approvals required
• Procurement issues
• Value engineering plan
• Other relevant data
4.4 Preliminary Environmental Investigations

At the conclusion of efforts outlined in the preceding sections (Alternative Site Identification and
Selection, and Project Definition), basic programmatic information about the project has been
obtained. Who, what, when, where and why have been defined in enough detail to allow further
design and more in-depth environmental investigations to begin.
Basic project activities that occur during the design stage include:
• Develop/initiate stakeholder information program

• Consider other agency needs/requirements
• Identify the necessary acquisition of land or right-of-way
• Assemble baseline data
• Determine fire/life/safety issues
• Initiate preliminary subsurface investigations (soil borings, groundwater samples, etc.)

4

• Conduct 4(f) and Section 106 analysis, if appropriate
• Identify permits required
• Prepare concept plans/designs
• Finalize Concept Plan Report
The scope of preliminary environmental work up to this point is quite basic and attempts to
determine right up front whether the preferred selected site or right-of-way has any fatal flaws.
Typically, more detailed environmental investigations begin during preliminary design and the
project is fairly well-defined. However, this is not always the case. Based on the specifics of a project,
environmental work can:
• Begin in the feasibility study stage and be completed during preliminary design
• Begin and be completed during preliminary design
The Project Manager should coordinate with Amtrak’s Environment and Sustainability Group to
confirm environmental requirements for a project. Detailed environmental studies, if required, are
usually conducted by a professional services firm as part of the scope of work for preliminary design.
Further information on environmental requirements, reviews and permits appear in Chapters 5 and 12.
The end product of the concept plan phase is a Project Definition Report and drawings that will be
used to obtain approvals and funding and guide the subsequent development of the project. This
report will be the basis for the preliminary design.
The Project Definition Report typically includes:
• Purpose of the project, or problem and proposed solution

• Alternatives considered
• Design criteria
• Concept plans/working drawings
• Summary of materials to be used
• Summary of constructability, construction staging and operations impact
• Preliminary schedules for design and construction
• Preliminary cost estimates for design and construction
• Concept operating and maintenance plan
• All major codes and regulations affecting design
• Identification of environmental reports required (CE, EA/FONSI or EIS)
• Utility survey
• Preliminary estimate of staffing requirements
• Fire protection, safety and security issues

4
• Value engineering plan, if required

• Key issues and risks
–– stakeholder/community
–– environmental
–– expenses and revenues
• Unresolved issues
• Other relevant data
For projects that are small in scope, the Project Definition Report and Preliminary Design efforts are
often combined to expedite the overall process.
4.5 Reviews and Approvals

After the Project Definition Report, Preliminary Design and drawings are complete, Project
Managers will be required to conduct reviews with various departments and individuals before
proceeding further. If appropriate, design review meetings should be held to explain, clarify or
answer any questions reviewers might have. This will often speed the approval process. Once review
comments are received and incorporated as appropriate, the formal approvals required by the
Project and Program Procedures or by the Project Manager’s specific organization must also be
obtained. Chapter 15 will provide additional information on the review and approval process.

5
PROJECT MANAGEMENT DURING PRELIMINARY DESIGN

P
reliminary Design takes a project from the planning stage to a level of design that allows
a realistic estimate of project costs and impacts. The Preliminary Design stage of a project
represents up to 30% of the total design effort and when properly conducted, allows final
design to proceed with a minimum of design changes and delays.
In practice, there will be different applications of preliminary design activities depending on whether
a project is a rail project; a fixed plant or rolling stock project; a simple, low-cost project; or a complex,
high-cost project. But the framework included here provides for a consistent approach to project
management of any capital improvements and maintenance projects.
5.1 Preliminary Design

The Preliminary Design stage explores physical design elements in more depth than the feasibility
study stage, resolves policy issues, continues exploration of alternatives (if there is more than one de-
sign alternative), selects a preferred alternative to develop through final design and satisfies environ-
mental requirements that results in the production of a Categorical Exclusion (CE), Environmental
Assessment (EA) or a Final Environmental Impact Statement (FEIS).
Often, in developing the design from the Project Definition to the 30% stage, there may be some
redefinition of the Project Definition Report due to new or unexpected data from geotechnical or
other studies, environmental constraints, responses to community concerns, new technical issues or
modification of goals with the passage of time or other factors.
As in the feasibility study, the work is done by a professional services firm procured through the
RFP process or, occasionally, by in-house technical discipline group. See Chapter 11 for details of
the procurement process.

5
5.2 Major Activities During Preliminary Design

During Preliminary Design, the Project Manager is responsible, either directly or by managing the
work of professional services firm, for the following activities:
• Initiate capital funding requests for construction/purchasing funds as appropriate.

• Develop a project management plan, if appropriate (required for all FRA-funded projects
over $10 million of construction cost).
• Advance design up to 30%.
• Complete environmental documents – (CE, EA/FONS or EIS).
• Interface with other agencies
–– determine permit requirements and file applications for permits
–– coordinate reviews
• Coordinate with utilities
–– identify impact of project on utilities
–– identify project-dependent short/long-lead utility relocations
• Coordinate with Office of Government Affairs and Communications for public meetings and
presentations.
• Coordinate with user and other external stakeholders.
• Initiate Value Engineering (VE) for projects over $10 million in construction cost (see Chapter
6 for Value Engineering and other value added programs. VE is generally included in the
scope of work for preliminary design and although VE is called for at the end of 30% design,
in practice it often occurs as 30% design is nearing completion so that the design report
produced at the end of 30% design can incorporate and respond to VE recommendations).
5.3 Environmental Investigations

Engineering projects must meet all applicable federal and state regulations, including meeting the
requirements of the FRA and the National Environmental Policy Act (NEPA), to ensure that the
project will not adversely impact the environment if the project utilizes federal funds or has other
federal involvement (e.g., federal license, permit, etc.). Typically, environmental investigations are
carried out as part of preliminary design, although as noted in Chapter 4, they may also begin and be
completed in the feasibility study stage, or begin during Project Definition stage and be completed
during preliminary design. For certain non-EA or EIS level projects, where a finer level of detail is
required to fully assess project impacts, environmental studies may extend into design development
stage from feasibility study stage.
All Engineering projects that receive federal funding or that require other federal approvals (e.g.,
federal permits) require preparation of some level of NEPA documentation. Consult with the
Environment and Sustainability Group or with the Law Department to determine if the project
qualifies for a Categorical Exclusion (CE). If the project qualifies for a CE, Engineering has a pre-

5

approved documentation process that must be completed. Projects that require preparation of an
EA or EIS will likely require the assistance of a consultant.
Similarly, all projects must also be evaluated for their impacts on historic resources. Consult with the
Engineering Historic Preservation Specialist for assistance.
For all federally funded projects, the Project Manager should provide sufficient information, working
with the Engineering Planning and Budgeting Department to support the recommended level of
environmental analysis and documentation.
The Project Manager should coordinate with the Environment and Sustainability Group within
the General Counsel Department and the Planning and Budget Group within the Engineering
Department to initially classify projects and to ensure that all applicable environmental requirements,
both state and federal, are defined and eventually satisfied.
Types of specialty studies may include but are not limited to:
• Asbestos/lead sampling and identification – required on all projects involving existing facility
expansion, renovation, rehabilitation or demolition.
• Subsurface (soil/water) sampling and analysis – must be undertaken before any land acquisition
by Amtrak; report should include a map of groundwater and soil sampling locations and
characterization of soil to be excavated as reusable or disposable. Investigations of this nature
can either be included within the project design scope to be performed by the professional
services firm or can be performed on an independent, as-needed basis through the Amtrak’s
Environment and Sustainability Group.
Chapter 12 provides information on additional environmental permits/investigations that may be

needed before a project can proceed.
5.4 Historic Preservation

Federal historic preservation laws require Engineering to consider historic resources in project
planning and implementation. The primary law applicable to Amtrak projects is Section 106 of
the National Historic Preservation Act of 1966, as amended (“Section 106”), and its implementing
regulations (36CFR 800), which requires federal agencies to consider the effect of their projects on
historic properties. Section 106 applies to projects that receive federal funding, permits, licenses, are
on federal land or otherwise have federal involvement or require federal approval. Engineering’s
federal funding typically triggers the need to comply with Section 106. While compliance is the federal
agency’s responsibility, as the grantee Engineering provides much of the analysis and documentation
to meet the federal requirements. Depending on the nature and complexity of the project, Section
106 requires consultation with the appropriate State Historic Preservation Office (SHPO), other
potentially interested parties and the public in a manner that is appropriate to the project. The
project initiation process includes a SHPO/NEPA questionnaire that should be reviewed and
completed prior to initiating a project.

5
Engineering is responsible for protecting historic resources associated with any project that involves
new construction, demolition, alterations, rehabilitation, sale, primary or secondary encroachment,
permanent signage, easement or lease. Historic resources can include facilities such as station
buildings and associated structures (e.g., interlocking towers), bridges, historic districts, landscapes and
archaeological sites that are listed on or eligible for the State or National Registers of Historic Places.
The Project Manager is responsible for identifying and examining historic issues related to a project
as early as possible and preparing documentation for submittal prior to receiving construction
funding for projects. This identification should occur in the feasibility study or preliminary design
phase of a project and for federally funded work, prior to the submission of a grant application for
construction money. Section 106 consultation must be complete prior to receiving federal approvals
under NEPA.
The Project Manager should consult with Amtrak’s Senior Historic Preservation Specialist during
the preliminary design and throughout the project to assist in discussions with the FRA or other
federal agency, SHPO and other outside parties and the preparation of any relevant applications or
reports. If the project requires the hiring of a Professional Services firm, that firm should have staff
that exceed the Secretary of the Interior’s Professional Qualifications Standards in the appropriate
disciplines (e.g., Architectural History, Archaeology) to assist Engineering with the development
of Section 106 documentation and related services. The SHPO/NEPA questionnaire that must
be completed prior to initiating a project includes questions that will help the Senior Historic
Preservation Specialist assist you with project planning.
Section 106 Process

Prior to submission of a grant application for federal funding or permitting, Engineering must
identify National Register listed or eligible properties involved in a project in accordance with
Section 106. Those resources must be identified by Amtrak and its lead federal agency for the
project, and the SHPO must concur with that identification. If the project may affect a resource,
project details (drawings, specifications, etc.) must be sent to the SHPO, along with an analysis of
the potential effects of the project on historic properties. The effect finding may be “no effect,”
“no adverse effect,” or “adverse effect.” If the lead federal agency, in consultation with SHPO,
determines that the project will have an “adverse effect,” the lead federal agency will notify the
Advisory Council on Historic Preservation (Council) in Washington to determine whether the
Council will participate in further consultation. “Adverse effect” projects require a Memorandum of
Agreement (MOA) among the participating agencies, which must be executed prior to application
for federal grant funds for construction. Mitigation stipulations in the MOA should be monitored
during the remainder of project planning and execution to ensure that the tasks are completed in
accordance with the agreement.
There are four steps in the Section 106 process, each summarized below. The lead federal agency
will play a critical role in the process, as the party ultimately responsible. For most projects Amtrak/
FRA will engage the State Historic Preservation Office (SHPO) in the applicable state to review
documentation and, ideally, concur with FRA findings. The Project Manager should engage the

5

assistance of a professional services firm exceeding the Secretary of the Interior’s Professional
Qualifications Standards to assist with this process.
• Establish the Undertaking: An “Undertaking” under Section 106 is an activity, program or

project with some form of federal involvement (funding, license, permit, etc.). In this phase,
Project Managers should identify the project funding source and whether there is other federal
involvement. If projects are funded by third parties (e.g., state, other transit agency), verify
that the party is taking steps to comply with NEPA and Section 106. Determine whether the
project is the type of activity that could affect a historic property, if any were present.
• Identify historic properties: Determine the Area of Potential Effect (APE), which is the
geographic area in which a project could affect historic properties, if any are present. This
includes consideration of “above ground” and “below ground” (archaeological) resources,
and direct (physical) and indirect (e.g., visual, audible, vibration) impacts. The APE functions
as a study area for conducting Section 106 investigations. The APE for many Amtrak projects
is limited, given the nature and location of the work. However, larger projects, such as bridge
replacements, building additions, line extensions and other project types may require a broader
APE. Within the APE, the qualified professional services firm will provide recommendations
as to what resources, typically 50 years and older, are listed in or may be eligible for listing in
the National Register of Historic Places (National Register).
• Assess effects: If there are historic properties in the APE, qualified persons would assess
the effect of the project on those historic properties, and determine whether there may be
adverse effects under Section 106. Adverse effects could be physical damage, alterations or
destruction; moving a property; introduction of visual, atmospheric or audible elements that
diminish the historical integrity of the property; a project that causes neglect of a property
that would cause deterioration; and others. Amtrak should strive to achieve “no adverse
effect” for its projects wherever practical. Where historic properties are present, designing
alterations, additions and other aspects of the project to meet the Secretary of the Interior’s
Standards for the Treatment of Historic Properties will result in No Adverse Effect under
Section 106; the majority of Amtrak projects currently meet this standard. The Secretary’s
Standards are available online at http://www.nps.gov/tps/standards.htm.
• Resolve adverse effects: If a project will have an adverse effect, Amtrak, FRA/lead federal
agency, SHPO and any other interested parties must continue consultation to try to avoid or
minimize adverse effects. If avoidance is not possible, the parties will execute a Memorandum
of Agreement that stipulates how the federal agency, assisted by Amtrak, will mitigate the
adverse effects. Those mitigation stipulations should be monitored during the remainder of
project planning and execution to ensure that the tasks are completed.
Section 4(f) Process

In addition to Section 106 reviews, U.S. Department of Transportation-funded projects may require
a Section 4(f) Evaluation Report in accordance with what is known as “Section 4(f).” Originally
codified as Section 4(f) of the U.S. Department of Transportation (USDOT) Act of 1966, Section
4(f) applies whenever a USDOT action, including those of its member agencies (FRA, FTA, etc.)
involves the use of a protected resource, defined as a publicly owned park, recreation area, wildlife or

5
waterfowl refuge or a historic site.1 This report, which includes an alternatives analysis, ensures that
the appropriate planning has taken place to avoid the “use” of a protected property under Section
4(f). Protected resources may be used by federal transportation projects only if there is no feasible
and prudent alternative and all possible planning has been done to avoid the use or minimize harm
to any 4(f) property affected by the project.
Properties Listed in or Eligible for the National Register of Historic Places

The Project Manager should consult the National Register of Historic Places website, applicable
SHPO website or Amtrak’s Senior Historic Preservation Specialist to determine if the stations, yard
buildings, interlocking towers, bridges or other aspects of the Amtrak system are listed in or have
been determined eligible (or not eligible) for listing in the National Register of Historic Places.
Several of Amtrak and host railroad rail lines, such as the Pennsylvania Railroad corridors in New
Jersey and Pennsylvania, have been determined eligible for the National Register. Additionally,
some of Amtrak’s rail lines may abut or cut through National Register listed or eligible historic
districts, landscapes and archaeological sites. If the status is unknown, it may require an assessment
of National Register eligibility.
Rehabilitation Standards
Rehabilitation of historic buildings and structures, such as rail stations, interlocking towers and
bridges, must be conducted in accordance with the U.S. Secretary of the Interior’s Standards for
Rehabilitation, which provides a framework for maintaining the historic integrity of the structure.
Adherence to the standards typically results in a “no adverse effect” finding under Section 106,
resulting in a relatively simple review process. Preservation Briefs and Tech Notes from the National
Park Service provide specific guidance for roofs, windows, siding, historic building materials, interiors,
rehabilitation, restoration and adaptive reuse. The standards are available online at www.nps.gov/
tps/standards/four-treatments/treatment-rehabilitation.htm. Guidance documents regarding the
approach to rehabilitation and specific issues are also available online at www.nps.gov/tps/standards/
rehabilitation/rehab/stand.htm and www.nps.gov/tps/how-to-preserve.htm.
5.5 Categorical Exclusion (CE), Environmental Assessment (EA), or Environmental Im-

pact Statement (EIS)
During the planning process, the Project Manager must ensure that the project clears the environmental
impacts of the project in accordance with National Environmental Policy Act (NEPA). Figure 5-1
provides an overview of NEPA Environmental Review process.
1 Section 4(f) was originally set forth in Title 49 U.S. Code (USC) Section 1653(f). While still commonly referred to as
“Section 4(f),” the policy has been recodifies at 49 USC Section 303

5

Proposed Agency Action
CE or Other Exemption
Exclusion No
Applies Exclusion
EA
No EIS
EIS Required
Notice of Intent
Scoping Process
DEIS
Agency/Public Review
and Comment
FEIS
FONSI ROD
Agency Action Agency Action Agency Action
Figure 5-1 – NEPA Environmental Review Process
For purposes of environmental investigation, an FRA or other federally funded project requires
one of three levels of assessment: categorical exclusion, environmental assessment or environmental
impact statement. Determining a project’s classification is not always clear-cut. The regulations
applicable to FRA projects are described in detail in its “Procedures for Considering Environmental
Impacts” (May 26, 1999), “Update to NEPA Implementing Procedures” (January 14, 2013) and
subsequent policies posted in the Federal Register. Project Managers are encouraged to discuss
the project with Amtrak’s Senior Manager Environmental who leads Amtrak’s NEPA compliance
program to assist with determining the appropriate level of effort. The levels of documentation are
described below.
Categorical Exclusion (CE) – If it is determined that the proposed project would not result in
significant adverse impacts, CE documentation is prepared and no further action, other than
permitting, is necessary. Note that FRA has categorical exclusions for many project types that are
routinely undertaken by Amtrak. A typical abbreviated checklist is shown in Figure 5-2.

5
• Detailed Project Description • Community Disruption &

Environmental Justice
• Location (including Address)
• Use of Public Parkland & Recreation
• Zoning
Areas
• Traffic Impacts
• Impacts on Wetlands
• Carbon Dioxide (CO) Hot Spots
• Impacts on Water Quality, Navigable
• Historic Resources Waterways & Coastal Zones
• Noise • Impacts on Ecologically-Sensitive Areas
• Vibration & Endangered Species
• Acquisition & Relocations Required • Impacts on Safety & Security

• Hazardous Materials • Impacts Caused by Construction
Figure 5-2 – Information Required for Probable Categorical Exclusion Projects
The FRA has a Categorical Exclusion Worksheet and related guidance on its website (www.fra.
dot.gov/Page/P0550) that will help evaluate the significance of potential impacts to determine if the
project is exempt from further environmental review or if more detailed environmental studies must
be performed. NOTE: A CE under NEPA does not eliminate the need to perform separate analysis
and consultation under Section 106 of the National Historic Preservation Act.
Environmental Assessment (EA) – In cases where the impacts or actions are not known, or there
is potential for environmental impact, a more formal study (EA) is performed. Under FRA rules,
Amtrak may undertake the EA on behalf of the FRA. Regardless, an EA is typically conducted in
close coordination with the FRA and other participating agencies (if any). Note that regardless of
who prepares the EA documentation, the FRA is responsible for the contents and remains fully
in control of the process. At the conclusion of the EA study, Amtrak may receive a Finding of No
Significant Impacts (FONSI) from the FRA. An EA evaluates the potential effects of a project
on the surrounding communities and environment during and after construction. For projects that
require an EA, the process involves the following steps:
• Scoping. The scoping process usually involves meeting with concerned governmental and
other groups to define the project purpose and need and determine the scope of the EA in
terms of subject headings and their degree of detail. Topics that can be included, if relevant,
are: land acquisition and displacements; zoning and land use; traffic and transportation; air
quality; noise and vibration; wetlands; water quality; floodplain and drainage; wildlife and
vegetation; parkland/recreation; historical structures and areas; neighborhood impacts/social
effects; aesthetics and visual quality; utility impacts; and construction considerations.
• Conducting technical studies and producing technical reports. In most instances, the EA is a
series of technical reports followed by a summary report. While a public hearing on the results
of the EA is not required, the documentation is usually compiled, analyzed and published in
a process involving strong public participation.

5

• Publishing the EA and inviting public comment. The EA documents must be available to the
public and a notice of availability inviting public comment on the EA must be published in
local papers.
• Documenting conclusions. The EA will result in one of two conclusions: 1) a finding of no
significant impact (FONSI), or 2) a finding that the project will create significant environmental
impacts, and that an EIS must be undertaken. If a FONSI is determined, a separate report
justifying the FONSI must be published and made available to the public. This report will
include responses to all EA comments made by the public. The FRA will participate in these
findings and determinations. Note that while an EA may conclude that the project will create
significant environmental impacts (thereby requiring the preparation of an EIS), as a practical
matter, this will almost never occur. Projects that are likely to create such impacts should be
reviewed by an EIS in the first instance.
Final design activities, property acquisition, purchase of construction material or rolling stock or
project construction, cannot proceed until the NEPA process is complete.
Environmental Impact Statement (EIS) – If impacts to the environment may be significant, an EIS
must be prepared. Unlike an EA, FRA rules do not allow Amtrak to undertake an EIS on behalf of
the agency. The FRA generally allows Amtrak to participate in technical discussions with the FRA
and any other participating agencies during the development of an EIS, but Amtrak does not have any
legal authority to influence the outcome of the process. Final design activities, property acquisition,
purchase of construction material or rolling stock and project construction cannot proceed until the
NEPA process is complete. If new information is found or conditions change after FRA approval,
a reevaluation may be required. An EIS may be required for new major construction or extension
of fixed rail transit systems, major bridge replacements or other large-scale projects when there is
an expectation of significant environmental impacts. The process usually begins in the feasibility
study stage with an alternatives analysis; a draft environmental impact statement (DEIS) is prepared
during feasibility study or preliminary design while the final environmental impact statement (FEIS)
is completed during preliminary design.
The key steps of the EIS process are as follows: definition of project purpose and need, alternatives
analysis, scoping, preparation and publications of DEIS, public hearing, selection of preferred
alternative, preparation of FEIS, final EIS and FRA approval and issuance of a Record of Decision.
An alternatives analysis (AA) is required for all EIS studies but for major new transit facilities or
the extension of existing ones the AA must fulfill the prescriptions of the FRA’s “major investment
studies” regulations. Most often the AA is included within the EIS. Amtrak’s Environmental and
Sustainability Group representative can help to define the proper procedures to be followed.
An EIS is also required if the FRA determines that, at any point in the EA process, the proposed
action may have a significant impact on the environment. (The FRA need not necessarily wait until
the EA is completed, especially if a problem is obvious.)
The EIS differs from the EA in several ways:

5
• The EIS includes several sections that are not part of the EA, such as a fiscal analysis and
cost-effectiveness analysis.
• The EIS process is very structured, includes a formal public hearing and requires the
identification and analysis of more alternatives than an EA.
The EIS is produced first as a draft (DEIS) and then as a final document (FEIS). The FEIS includes
more detail on specific mitigation measures and incorporates additional information or modifications
made at the FRA’s request based on public comments on the DEIS. Figure 5.3 presents a table of
contents for a typical DEIS.
S. Summary 5. Environmental Consequences

S.1 Purpose of the Draft Environmental Impact Statement (DEIS) 1.1 Land use and development
S.2 Need for action 1.2 Displacement and relocation of existing uses
S.3 Alternatives considered 1.3 Neighborhoods
S.4 Costs and significant impacts 1.4 Visual and aesthetic
S.5 Evaluation 1.5 Air quality
1.6 Noise and vibration
1. Purpose and Need 1.7 Ecosystems
1.1 Need for transportation improvements 1.8 Water
1.2 Planning context 1.9 Energy
1.10 Historic, archeological, and cultural impacts
2. Alternatives Considered 1.11 Parklands
2.1 Screening and selection process
2.2 Definition of alternatives 6. Evaluation
2.2.1 Alternative 1 1.1 Financial feasibility
2.2.2 Alternative 2 a. Capital funding
2.2.3 Alternative 3 b. Operating deficit planning
1.2 Comparative benefits and costs
3. Affected Environment a. Effectiveness
3.1 Land use and economic activity b. Efficiency
3.2 Transportation c. Equity
3.3 Neighborhoods References
3.4 Visual and aesthetic qualities List of Preparers
3.5 Air quality List of DEIS Recipients
3.6 Noise and vibration Glossary
3.7 Ecosystems Index
3.8 Water Appendix: Plans and Profiles
3.9 Historic, archeological, and cultural sites
3.10 Parklands
4. Transportation Impact
4.1 Transit
a. Service
b. Patronage
c. Farebox revenue and operating deficits
4.2 Highway
a. Congestion
b. Access to stations
c.. Parking
4.3 Freight movements
a. Railroads
b. Trucking and deliveries
Figure 5-3 - Sample Outline of a Draft Environmental Impact Statement
In addition to federal environmental and permitting requirements, the Project Manager must ensure
that the project is cleared of state funding requirements for the project in accordance with respective
state requirements.
5.6 30% Design Documents

The preliminary design plans, drawings and reports developed to the 30% design stage should fully
describe and define the project to set the stage for final design. The preliminary design documents
should describe the size and character of the project, including the following, as applicable:

5

• Site plans or right-of-way plans
• Utility plan – distribution systems and plant as appropriate
• Remedial investigation for hazardous materials
• Fire/life/safety plan
• CE Memo/CE Worksheet, EA or EIS
• Drawings to 30% completion, including:
–– plans, elevations, sections and other design details
–– structural, mechanical and electrical designs
–– special features (e.g., acoustics, automated systems, communications, corrosion
prevention, etc.)
–– building and site security
• Outline specifications
• Identification of long-lead items
• Baseline construction cost estimates and schedules, including an estimated CPM schedule in
sufficient detail (quantify takeoffs) to permit evaluation
• Initial operating plan
• Site/facility model or artist’s rendering of the project
• Testing and commissioning outline, if required
5.7 Reviews and Approvals at the End of 30% (Go/No-Go Decision Point)
At the end of the 30% design stage, the Project Manager is responsible for obtaining reviews and
approvals of the project plans and specifications, an essential part of the design review process. For
details of the review and approval process, see Chapter 15.
The Project Manager (or professional services firm) should prepare a Final Summary Project
Definition Report to facilitate the review/approval process. The report includes:
• Changes from the project definition documents, including significant design changes
• Updated schedule and cost estimates
• A list of permits received or needed
• Information on project funding
• Operating impacts
At the end of 30% design, following a formal review and approval by all appropriate involved
parties, including the user, a decision is made by the Chief Engineer whether to advance the project
to a final design.

5
At this point in a project, overall project scope consensus from all internal and external parties,
including local officials, is essential to ensure that no major changes are requested beyond this point.

6
VALUE ENGINEERING AND OTHER VALUE-ADDED PROGRAMS

E
ngineering has been designing and constructing railroads and Amtrak stations and facilities
for decades. We have transformed from a rundown midcentury railroad into a modern,
electrified, high-speed line capable of handling twice the number of trains including the 125
mph Northeast Regional service and the 135 mph to 150 mph Acela Express service. These are a result
of the investments made as part of the Northeast Corridor Improvement Project and the Northeast
High Speed Rail Improvement Program. As we continue to make improvements via programs such
as the Gateway Program, High Speed Trainset and Station & Tunnel Improvement Programs in the
coming decades, we would like to achieve and improve “value” of quality, minimize total ownership
costs, reduce construction time, make projects easier to construct, ensure safe operations and ensure
environmental and ecological goals.
Engineering can be proud that our modern railway is the best in the world. However, if we are to
maintain this position, we cannot simply sit back and design railway the “old fashioned way.” We
need to constantly strive to improve our standards, methods and philosophy of railroad design. One
way we can do this is to apply the Value Engineering (VE) process to our rail and facility designs. The
VE team looks for the optimum blend of scheduling, performance, constructability, maintainability,
environmental awareness, safety and cost consciousness.
In order to obtain this optimum, Engineering’s capital improvements and maintenance projects over
$10 million in construction costs will conduct Value Engineering (VE) at the completion of 30%
design. Although a formal VE process is required for major projects, VE principles should be applied
to all projects, regardless of size, to ensure a lowest total cost (capital, operating and maintenance)
over the life of a project consistent with the requirement of performance, reliability, maintainability,
safety and esthetics. Figure 6.1 provides an overview of the VE process and flow diagram.

6
Pre-workout Effort (Week Prior to Study)
Plan VE Study Prepare for Workshop Prepare Cost, LCC & Energy Models
• Obtains Project Documents Distribute Documents to Team Members: Team Leader Revise Cost Estimate & Prepares:
• Verify VE Schedule & Agenda Drawings, Specifications, Cost Estimates, • Cost Models
• Suggest Format for Designer Presentation Design Criteria, Site Conditions, Utilities, • Identify High Cost Areas
• Outline Project Responsibilities Operation & maintenance Issues • Life Cycle Costs.
• Establish Owners Performances &
Acceptance Requirements Team Members Become Familiar with Project
• Conduct Coordination Meeting
• Identify Project Constraints
Workshop Effort (3–5 Days)
Plan VE Study Information Phase Speculation Phase Analysis Phase

VE Team Leader Opens Workshop • Review Cost, LCC & Energy Models Generate a Lost of Ideas to Meet Evaluate Each of the Ideas Against
• Perform Function Analysis Required Functions Functional Requirements
Identifies schedule, objectives & • Calculate Cost/Worth of Each
report format Function VETL Introduces Creative Thinking Seek: Screen out Less Promising Ideas
• Designer Gives Project Presentation • Identify Areas of High Cost/Low • Quality of Ideas • Rank Idea
• Discuss Owner Requirements Value • Association of Ideas • List Advantages
• Review Project Data • Brainstorm Project • List Disadvantages
• Identify Objectives of Study • Do Creative Thinking • Potential for Acceptance
• Conduct Site Visit List ideas Generated During Function • Individual Thinking
• Examine Project Functionally Develop Best Ideas
Analysis
Workshop Effort (3–5 Days) Presentation Phase Development Phase

Summaries Findings Develop Proposed Alternatives
Implementation Phase Owners Board Final VE Report
Meet with Owner, User, Designer Prepare Sketches
Prepare Draft VE Report within Owner Makes Final Decision Prepare Final VE Report with Cost Estimates
2-weeks, include All Back-up Results. Include Summary of Provide Written Alternatives for Perform Life Cycle Cost Comparison
Information of Study • Accept Accepted Alternatives Preliminary Review by Owner &
• Reject • Initial Cost
Consultants • O&M Cost
• Methodology of the Analysis • Further Study Revise Capital and LCC Costs as
• Summary of • Modify Necessary Presents Each VE Alternative for • LCC Cost
Recommendations Considerations Consult with Owner
• Details of Estimated Costs and Record all Meeting Minutes List Reasons for Rejection of any Ensure Concept if Valid
Life Cycle Costs Alternatives Submit Final VE Verify Assumptions
• Submit Report to Owner & Report
Designer
Figure 6-1 – Value Engineering Study Task Flow Diagram
6.1 Value Engineering (VE)

VE is an in-depth study that seeks to generate the most cost-effective design solutions for a project
without compromising its appearance, performance or reliability. As defined by the Society of
American Value Engineers (SAVE International®):
The value methodology (VM) is a systematic and structured approach for improving
projects, products and processes. VM, which is also known as value engineering, is used
to analyze and improve manufacturing products and processes, design and construc-
tion projects, and business and administrative processes. VM helps achieve an optimum
balance between function, performance, quality, safety and cost. The proper balance
results in the maximum value for the project. Value is the reliable performance of func-
tions to meet customer needs at the lowest overall cost and it can be calculated like this:
Value = Function/Cost
Function is what the product or service is supposed to do.
Cost is the expenditure needed to create it.

6

The VM follows SAVE International®’s standard job plan, which consists of six phases:
• Information: Gather information to better understand the project.

• Function Analysis: Analyze the project to understand and clarify the required functions.
• Creative: Generate ideas on all the possible ways to accomplish the required functions.
• Evaluation: Synthesize ideas and concepts and select those that are feasible for development
into specific value improvements.
• Development: Select and prepare the ‘best’ alternative(s) for improving value.
• Presentation: Present the value recommendation to the project stakeholders.
The best results are achieved by a multidisciplinary team with experience and expertise relevant to
the project being studied. A Certified Value Specialist® usually leads the team to ensure the Value
Methodology is properly followed.
VE is not a design review; rather, it is a cost-benefit and energy analysis that focuses on the total life
of the project. By analyzing the projected costs of a project throughout its life cycle, VE accounts
for the future impacts of higher labor, energy, and material costs, thereby giving Amtrak a full
understanding of the costs and operating requirements they are likely to assume while providing an
opportunity to examine whether there are modifications to design that can lower these costs without
affecting the project goals and objectives.
Selecting the VE Team

The VE process is conducted by an independent team, led by a Certified Value Specialist (CVS). The
Project Manager is responsible for initiating the VE process and securing the services of the CVS
and VE team members. He/she should follow these criteria for selection:
• The CVS should be a contractor or employee of a VE firm.

• The professional services firm should retain the CVS and team members as special
subconsultants.
• The VE work should be a task within the design consultant’s scope of work.
• VE team members should represent different fields of expertise, design, construction,
operations, management, etc., relevant to the project.
• The professional services firm should select the VE team from three or more proposals once
the project is underway.
• Team selection should be made with Amtrak review and concurrence.
A cooperative effort among Amtrak, the professional services firm and the VE team is critical to
success of the VE process.

6
The VE Process
The first phase, selection of the team and CVS, is followed by three workshop phases: the pre-
workshop (several weeks), the workshop (5 days, 40 hours) and the post-workshop (several weeks).
The process concludes with delivery of the VE report.
The goal of the pre-workshop phase is to gather pertinent information, finalize workshop and post-
workshop agendas and orient the VE team. The VE team:
• Establishes study limits

• Plans the logistics of the workshop week
• Collects and reviews project background material, including:
–– Amtrak design standards
–– program requirements
–– design criteria
–– alternate designs considered
–– pertinent federal, state and local regulations and codes
–– design drawings
–– outline specifications
–– design calculations
–– detailed construction cost estimate
In the workshop, the VE team evaluates the total project design for high capital as well as operating
costs, presents creative ideas and prepares alternate designs for consideration. The team:
• Gathers information
• Studies other solutions
• Analyzes candidate ideas
• Develops and evaluates alternate design solutions
• Presents recommendations
Amtrak and the professional services firm staff participate in the first and last steps of the workshop
and remain available, upon request by the CVS, during the other steps.
In the post-workshop phase, the CVS prepares the preliminary VE study report and presents the
recommendations to Amtrak and the professional services firm. The report, which must be prepared
and completed in a timely manner so the design effort can continue, should include:
• Brief description of the project and summary of problems and recommendations

• Results of functional analysis, showing existing and proposed designs

6

• Plans marked to show before- and-after designs, clearly delineating proposed designs
• Technical data supporting selection of proposed designs
• Cost analyses of existing and proposed designs including associated data and quotations if
pertinent
• Acknowledgment of contributions by others
• Summary statement listing reasons for accepting recommendations and actions required for
implementation
As part of the post-workshop phase, the Amtrak Project Manager and Project Specialists, supported
by senior members of the professional services firm, will respond to each proposed design and accept,
reject, modify or table for further information each of the recommendations.
Following the presentation/implementation meeting, the VE team will prepare the final VE report,
which will respond to comments generated during the meeting and record the disposition of each
recommendation.
VE Applications
Although VE is required at or near the end of 30% design on all projects exceeding $10 million
in construction contract cost, it can be scheduled at any stage, for any value of project design. VE
may also be worthwhile at the 10%, 60% or 90% stages for some projects or for specific areas of
investigation, regardless of the stage.
Reviews and Approvals for the VE Report

The Project Manager is responsible for obtaining timely reviews and approvals of the final VE report
so that the recommendations can be implemented as the design process moves forward.
In addition to Value Engineering, the Project Manager should consider the Peer Review,
Constructability Review and Partnering for projects over $10 million in construction costs. These
items are described in brief detail below.
6.2 Peer Review

Peer Review is a structured, independent review of an organization or project by a team of experts.
Such reviews cover all design phases and categories, including organizational, project management
and aspects of project design and functionality, construction, operations or maintenance. Typically
they are organized and conducted to focus on special topics or situations with a specified purpose,
scope, format and duration.
Peer Reviews can be used to provide an independent critique of the planning, operation considerations
and design products. As the name implies, experienced individuals in the subject matter of the
project (i.e., peers) are provided the necessary background documentation and asked to review

6
and critique the approaches, findings and decisions reached on any variety of topics relevant to the
implementation of the project. These critiques are intended as independent input to the grantee on
issues that present unique problems. Topics of Peer Review have run the gamut from planning for
operations, project financing, contract packaging and contracting methods of delivery, engineering
solutions to complex areas for design such as bridges or tunnels, O&M facilities, revenue vehicles
and just about any topic wherein an outside critique is desired. These are not normally either as
robust or formal as Value Engineering exercises, and the level of detailed analysis usually is limited
to concepts or functionality, with advice given more in a “lessons learned,” give-and-take critique,
with reference to where or what to look for as additional grantee consideration on developing
work plans or processes. Engineering encourages the Project Manager to confer with other transit
operators and maintenance experts to benefit from their experiences. Learning from others has been
used to review rail extensions, new start projects and the planning of O&M facilities. The purpose of
Peer Review is to improve the performance of the process or product being reviewed. Basically, the
question Peer Reviewers are asked to answer is “can we do this better?”
Engineering encourages Peer Review to be conducted for projects over $10 million in construction
costs and should be held at 30%, 60% and 90% design levels. Project Managers should conduct a
Peer Review of its design in order to validate that the overall engineering and quality objectives of
a project has been successfully addressed. One of the primary objectives shall be to ensure that the
integration of the different systems and disciplines are advancing the project successfully.
The Peer Review team should consist of senior Engineering personnel from the professional services
firm who are not associated with or have had any knowledge or involvement with the technical
details of the project prior to being assigned to the team. The review team may also involve other
transit agency personnel, third party contractors and/or FRA/MTAC personnel. The Peer Review
team personnel should be approved by Engineering’s Project Manager and should include selected
Amtrak personnel. Information and data to be presented during the Peer Review should not be made
available to any member of the Peer Review team prior to the review. The Peer Review discussion
and results should be documented in a report at the completion of the Peer Review.
6.3 Constructability Reviews

The Project Manager, with leading assistance from the professional services firm, shall follow
Construction Industry Institute (CII) guidelines, which defines constructability as “the optimum use
of construction knowledge and experience in planning, design, procurement and field operations
to achieve the overall project objectives.” Throughout preliminary design and continuing through
90 percent design, it is important to review the constructability of the proposed project to avoid
subsequent adverse cost and schedule impact. Constructability should be considered in the
development of a contracting method and in the development of overall project schedules. Basic
design approaches must consider major construction methods. Site layouts should promote efficient
construction as well as efficient operation and maintenance. Prior to final approval, a constructability
review of the planned construction contract should be performed. These reviews can be included as
part of more general design reviews.

6

For projects that have more than $10 million in construction costs, the Project Manager, along with
the construction management team, should participate in formal constructability reviews at the 60%
and 90% stages of preliminary design, evaluating issues that affect the construction and the public.
The construction management team shall be experienced construction personnel to be involved
with the project from the earliest stages to ensure that the construction focus and their experience
are properly communicated to the project’s planners and engineers. Constructability shall be used
as a design consideration, by factoring in cost and schedule effectiveness. Engineering or third party
may lead this exercise. Typically, constructability review is spearheaded by project’s construction
management team, if one is in place.
Examples of project issues to be considered include:
• Ground Water Control and Containment – evaluation of containment systems, impact on

adjacent structures, recharging the water table, construction of groundwater cut-off systems,
dewatering needs which shall include provisions for construction monitoring and requirements
for drawdown.
• Utilities – evaluate relocations and restorations as needed; minimize large magnitude
relocations
• Maintenance and Protection of Vehicular and Pedestrian Traffic
• Environmental Issues – sensitive areas, hazardous materials, high impact mitigations, etc.
• Materials Handling and Disposal/Spoils Disposal
• Construction Equipment Clearance
• Underpinning of Existing Facilities/Building
• Temporary Support Structures – lateral support for excavations, design of proposed support
systems, limits of such systems, easement takings, etc.
• Staging of Work Elements
• Real Estate Acquisition or Easement
• Improvement of a Contractor’s Productivities
• Temporary/Construction Power and other Utility Requirements
• Tunneling Construction Method – each method to be evaluated against geotechnical and
geologic data
6.4 Partnering
For projects that have more than $10 million in construction costs, Project Managers are encouraged
to adopt the Partnering concept for the project where multiple stakeholders are involved. There
has been an increasing desire on the part of grantees and contractors to foster an environment that
is less adversarial and based on a desire to achieve mutual objectives. A concept called Partnering
emerged that is aimed at creating an environment where trust and teamwork prevent disputes and
where stakeholders establish bonds to complete a project successfully. Partnering is applicable to
any stakeholder relationships; it involves the grantee and its contractors, including the professional

6
services firms, construction contractor(s) or equipment supplier(s) or, in some cases, a large
multidiscipline D/B or DBOM consortium.
The key characteristics of a partner are:
• Strong commitment by top management to the process, both owners and contractors
• Equity of all stakeholders in the process
• Trust between the parties
• Development of mutual goals and objectives
• Continuous evaluation of the process to ensure that all parties are working toward the goals
and objectives
• A method for achieving timely response to concerns
Partnering, itself, will not eliminate all claims but, when used in conjunction with other claims man-
agement techniques, it may help with claims resolution by encouraging mutual trust and by specifying
mutually agreed upon procedures for resolving issues. Sources of information on dispute resolution and
Partnering are also available from the Construction Industry Institute.

7
PROJECT
STAGES OF
MANAGEMENT
A PROJECT DURING FINAL DESIGN
A
s in preliminary design, the Project Manager is responsible for overseeing the work of a
professional services firm or force account staffs to ensure that the project remains within
scope, budget and schedule and that all required deliverables are produced to Engineering’s
quality standards.
In the majority of cases, final design will generally continue under the same Project Manager as
preliminary design. Where it may differ in some instances is when there has been a time lag between
the two phases or unsatisfactory performance of a Project Manager during the preliminary design
phase. If a professional services firm is used to perform the design, the same professional services
firm may continue under an extension of the preliminary design contract or a new procurement of
professional services may be undertaken through the RFP process.
7.1 Final Design

The final design stage takes a project from the approved preliminary design (up to 30%) through
100% complete design and engineering. The objective of final design is to produce detailed
construction bid documents, including plans, specifications, schedule and construction cost estimates
for all required construction work that will enable a project to be bid, awarded and constructed.
Most major design issues should have been resolved by the end of the 30% stage, so that the
final design stage can be devoted to producing the detailed plans and specifications needed for
construction. If any preliminary design issues remain to be resolved, they should be included as part
of the scope of work in final design. The final design stage also responds to and incorporates the
recommendations of value engineering studies, if they have not already been incorporated at the
end of preliminary design.

7
PROJECT MANAGEMENT DURING FINAL DESIGN
The activities of final design are generally divided into subtasks for 60%, 90%, 100% and bid
submission, with reviews at the end of each subtask. For small projects, this process may be condensed
somewhat, but there still should be at least one review in final design, usually at approximately 90%
design completion.
The construction documents, including plans and specifications, must be completed and detailed
in order to obtain accurate bids from contractors and manufacturers. To avoid claims during
construction, constructability review of the plans and specifications becomes an important activity
during final design. If a construction management firm is to participate in the project, it is important
that procurement of the construction management firm begins early in the final design stage. This
allows the Construction Manager to participate in constructability review and other services during
final design.
7.2 Major Activities during Final Design

The major activities that take place during final design include:
• Advance design through 100%

• Update/finalize baseline schedule and project cost estimates
• Prepare pre-applications for environmental permits at 30% to 60% design or as required by
the permitting agencies
• Obtain required permits/approvals as appropriate
–– Federal Railroad Administration (FRA)
–– United States Corps of Engineers (USCOE)
–– United States Coast Guard (USCG)
–– Commuter Agencies
• Identify/begin procurement of long-lead items at 60% or earlier
• Determine whether construction management will be performed in-house or with a
professional services firm and begin procurement at 60% or earlier if possible
• Complete land and right-of-way acquisition
• Prepare utility relocation plans/agreements
• Initiate funding request for construction

The Project Manager is responsible for seeing that at least the following items are complete at
the end of 60% design and for distributing copies to reviewers, including the internal and external
groups, stakeholders, local municipalities and any involved state and federal agencies.
• Site plans at 1”=30’, which show all elements of construction work, with dimensioned layouts,
grades and elevations

7
PROJECT
STAGES OF
• Construction staging and execution plans as necessary to execute the construction work
• Elevations as necessary to show the layout and configuration of all construction elements
• Typical sections and details as necessary
• Electrical plans showing line diagrams, load protection, typical lighting fixtures and other
electrical equipment (electronics, security)
• Environmental, drainage and landscaping plans
MANAGEMENT
• Signage plans that conform to the Amtrak’s Graphics Signage Standards Manual (2010)

• Structural, mechanical, electrical and/or any other calculations or analyses used for the 60%
design documents
• Construction cost estimate, with quantified items for each type of work, including costs of
staging, safety, and other associated items for protection of the operation of the facility
• Draft technical specifications in Construction Specification Institute format and special
provisions including construction staging
• Summary construction schedule

The final design drawings and documents provide the detailed requirements for construction of the
entire project, including the construction bid information. The 90% documents resolve and respond
to comments generated in the 60% review; and undergo a formal Engineering review before the
100% design documents are produced.
The final design documents (90% and 100%) should include:
• Title sheet with key and location plans in sufficient detail and clarity indicating the surrounding
areas
• Site plans that indicate:
–– contours at intervals appropriate to the nature of the project (typically 6 inches to 1 foot)
–– property and easement lines, site survey information
–– structures, buildings, pavement types and limits
–– drainage, utilities and other features that define the existing site
–– plan and profile of underground utilities
–– the proposed construction
–– the final site configuration
• Details and typical sections as necessary to define the site work
• Architectural, electrical, environmental, drainage, landscaping, signage and structural plans
as required
• Demolition plans as required
• General provisions (as supplied by Amtrak)

7
PROJECT MANAGEMENT DURING FINAL DESIGN
• Technical specifications using the format of the Construction Specifications Institute

• Special provisions, as required
• An estimate of quantities
• A final detailed construction cost estimate, including unit prices where appropriate; and
documentation of analyses used to establish unit and lump sum prices
• Utility agreements, plans, and evidence of coordination with utility facilities affected by the
project
• Bidders proposal form by discipline, including quantities where appropriate
• Construction staging plan, if necessary, and temporary signage plans as required for each
stage of construction
• A summary of all criteria used in the design, including loads (dead, live, snow, wind, seismic,
impact or other loads as appropriate) material grades, codes and assumptions in a format
appropriate for use by the reviewing parties
• Proposed/potential project construction schedule
7.5 100% Design Documents (Final Design and Construction Bid Package)
At the 100% design stage, the technical specifications and final plans, which include revisions
incorporated as a result of the 90% review, undergo one final review. The approved plans and
specifications, known as the contract plans or construction bid documents, are then used by Engineering
in the procurement process to solicit construction services and equipment for the project.
The Project Manager is responsible for ensuring that the consultant:
• Provides all drawings signed and sealed by a principal of the firm who is a Professional
Engineer or Registered Architect in the State the work is being performed.
• Submits complete design computations and drawings covering all structural framing and
support.
• Provides engineering calculation sheets that are numbered, dated, indexed and signed by a
Professional Engineer in the State the work is being performed.
• Provides a description and proof of the adequacy of the program; design criteria used; loading
diagram; indexed output sheets; and a diagram of all member forces for each loading condition
controlling the design for computations submitted in computer printout form.
• Provides a final design estimate in sufficient detail to facilitate bid analysis upon opening.
• Provides an estimated construction schedule, for Engineering internal use, of the time required
to complete construction, in Primavera P6 format, indicating coordination of construction
activities with other agencies and utilities.
• Prepares a materials list for all long-lead or Engineering-supplied materials and equipment
and materials supplied by the construction contractor.

7
PROJECT
STAGES OF
Additional services that may be required of a professional services firm as part of 100% design
include:
• Answer questions asked by bidders during the bid period

• Review contractors’ bid documents for conformity with technical requirements, completeness
and reasonableness
MANAGEMENT
• Prepare bid document addenda as requested by Engineering

• Conform all contract drawings to the addenda created during the bid phase
7.6 Reviews and Approvals

Dependent on the size and complexity of the project, the Project Manager may continue technical
reviews throughout the final design phase. Formal reviews and approvals, with detailed comments
on the plans, occur at the 60%, 90% and 100% design stages for projects over $2 million in contract
value and at 90% for projects under $2 million. In most instances, the Project Manager (and/or
professional services firm) should provide a briefing on the relevant issues to the reviewers as part
of the formal review/approval process.
Project Managers should adhere to the manual for the design reviews process, as provided in more
detail in the Project and Program Procedures or as required by the Project Manager.

8
PROJECT MANAGEMENT DURING CONSTRUCTION

O
n the majority of projects, the Project Manager for the design phase will continue to be
responsible for the project through construction completion. The Construction Manager
(CM) should be on board during the final design phase, if required. Depending on the size
and complexity of the project and the resources available in-house, Construction Management can
be accomplished with Amtrak’s own staff in the Construction Management Unit. If an in-house CM
is not selected, then a CM should be procured through the RFP process. This requires early planning
to have a CM under contract before the final design phase begins.
8.1 Project Manager’s Responsibilities During Construction

The Project Manager has overall responsibility for the construction and is supported by the
Construction Manager, who acts in Engineering’s interests during the construction process. In
general, the Project Manager:
• Determines the scope of work for the Construction Manager (CM) for the project
• Oversees the operations of the Construction Manager and of any remaining design or
construction assistance functions
• Provides reports as required on construction progress, schedule, budget, change orders, etc.
• Evaluates, approves and processes change orders as required
• Reviews, approves and processes progress payments
• Reviews project schedule on a regular basis, at minimum once a month
• Maintains total project budget awareness and control
• Initiates corrective actions for schedule and budget negative trends
• Maintains contact with the stakeholders and other interested organizations

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• Coordinates force account activities

• Coordinate and manage all 3rd party work (reimbursable)
• Obtains permits and property acquisition
• Assists in punch list development
• Claims prevention and claims resolution
• Organizes, coordinates and manages facility start-up and occupation
• Coordinate commissioning and project acceptance
• Authorizes project close-out
8.2 Construction Management

Construction Management is the application of field management and technical skills, knowledge,
tools and techniques to a construction project. The CM’s purpose is to achieve control of project
quality, cost and schedule to ensure delivery of a complete and quality construction project on time
and within budget.
Whether in-house or contracted, to be most effective, the CM should begin providing services during
final design as a general technical advisor to the Project Manager and professional services team.
Care must be taken to delineate the CM’s scope of work so that it does not duplicate that of the
architect/engineer performing the final design. Generally, the CM functions are to assist the Project
Manager during the final design as a reviewer and advisor on such items as:
• Cost and budget

• Identification of areas of potential construction cost savings
• Technical constructability
• Claims avoidance and project scheduling
• Plans and specifications
• Bid packaging and bid documents
• Bid review and contractor selection
8.3 Construction Manager’s Role

Once the construction contract is awarded, the formal construction phase of the project begins and
with it the full range of Construction Management services. The operations of the CM are typically
transferred to an office on the construction site and include:
• Providing construction inspection, including confirmation that all work is being carried out
in accordance with original or modified plans and specifications and that approved materials
are being used
• Reviewing contractor safety program
• Managing the Change Order process

8

• Reviewing and overseeing contractor QA/QC procedures and provides quality control and
quality assurance, including materials testing
• Developing and updating a construction project management plan if required to meet FRA
requirements
• Developing and monitoring risk management plan and risk register
• Developing a project documentation plan and maintaining all necessary paperwork, including
maintaining and monitoring:
–– daily field log
–– field change requests
–– change orders
–– shop drawings
–– record drawings
–– weekly, monthly and quarterly reports
• Monitoring contractor labor and equipment levels
• Establishing cost control procedures
• Monitoring project costs and project contract values
• Monitoring progress and maintaining and updating master schedule
• Coordinating shop drawing/subcontractor/equipment review and approval
• Substantiating progress and recommend approval of progress payments
• Establishing dispute resolution measures and controls if necessary
• Recording/monitoring non-construction compliance items
–– contractor certified payroll records
–– environmental, building and other permits
–– performance bonds
–– insurance documents
• Monitoring site safety and identifying hazards
• Coordinating the contractor’s training plan and training activities with operations
• Facilitating and documenting progress meetings
• Developing a punch list
• Verifying substantial completion
• Monitoring testing and commissioning
The size of the Construction Management team and its organizational structure will depend on the
size and complexity of the project, and its overall technical requirements. Whether Construction
Management is performed in-house or by a professional services firm, there should be a clearly
defined scope of work and clear lines of communication and responsibility among the Project

8
Manager, the Construction Manager, the Contract Administrator, the architect/engineering firm and
the contractor.
On a typical medium to large project, the CM project team will include:
• Construction Manager - Directs the activities of all CM field forces and serves as the on-site
Amtrak representative, monitors all contract work and is the day-to-day liaison between the
contractor and Project Manager.
• Resident Engineer or Office Engineer(s) - Prepares field reports, cost estimates, schedules and
other administrative and technical documents and provides input into solutions of technical
problems. Also may assist in negotiation of a change order.
• Inspectors - Monitors the work done and materials furnished. For large equipment or material
procurements, the CM may send an inspector to the manufacturer’s facility.
8.4 Preconstruction Conference

The construction process begins, after the award of the construction contract, with a preconstruction
conference attended by the major participants in the project (Project Manager, Contract
Administrator, Contractor, Construction Manager, A/E representative, end user and interested or
involved agencies). The date of the Notice-To-Proceed is established by Amtrak at this meeting.
The preconstruction conference is initiated by and chaired by the Contract Administrator or
representative, but review of the majority of agenda items is conducted by the CM. Topics typically
covered at the conference include:
• Introduction of Amtrak’s and contractor’s project staff

• Notice to proceed/site access specifics
• Roles, responsibilities and information flow during construction
• Contract documents
• Construction/staging schedule
• Use of the project premises
• Permits/code compliance
• Quality assurance/quality control requirements
• Partnering (if exercised)
• Schedule of values (if required)
• Means/methods information
• Required submittals (subcontractor/supplier approvals, equipment, materials, construction
signs, shop drawing processing and schedule, testing labs, maintenance of traffic, etc.)
• Utilities issues
• Soil erosion/sedimentation controls
• General project safety

8

• Equipment inspections
• Field office requirements
• Emergency contacts/phone numbers
• Progress meetings (tentative schedule)
• Change order procedures
• EEO/DBE submittals
• General project schedule/major milestones
• Local concerns
• General progress payment requirements
8.5 Construction Progress Meetings

A schedule and ground rules for progress meetings should be established at the preconstruction
meeting. The progress meetings should take place at regular intervals and typically cover:
• Outstanding unresolved issues

• Status of submittals
• Coordination with other contractors
• Site safety
• Change orders
• Billing and spend plans
• Work completed/projected
• Upcoming activities (2 weeks look ahead)
• Inspections, if appropriate
• General schedule issues
Progress meetings should have the following in attendance:
• Amtrak’s Project Manager

• Amtrak’s Construction Manager and/or CM firm
• A/E firm Project Manager, if necessary
• Amtrak’s Contract Administrator, if necessary
• Contractor’s Project Manager
• Contractor’s Site Superintendent
• Others as appropriate, including utility company, subcontractor, operating railroad
representative, outside and state agencies, etc.

8
8.6 Substantial Completion/Punch-list

A project is considered substantially complete when it is ready for beneficial occupancy when the user
can move in and use the facility for its intended purpose. Once substantial completion is declared,
the end user, Project Manager and Construction Manager prepare for the move-in and also prepare
a final punch-list of the construction items remaining to be completed before the contractor’s work
can be declared ready to close out.
Often, when substantial completion has been declared, the contractor and/or subcontractors may
still be working in a facility after the end user has moved in. This work should be of a nature that
does not interfere with normal operations of the facility.
The Contract Administrator (CA) and PM will, in a timely manner, work in concert with the
contractor to:
• Achieve final completion and acceptance by Amtrak of all remaining punch-list work.
• Ensure receipt by Amtrak of any outstanding deliverables.
• Resolve any outstanding claims.
• Conclude any audits and negotiate settlement amount.
• Prepare resolutions for extended environmental mitigations after project completion, if
required.
• Initiate the preparation and execution by the parties of the required close-out documentation.
• Process the contractor’s final retainage progress payment for payment.
When all items on the final punch-list are satisfactorily completed and verified by the Project Manager
and Construction Manager, the construction is declared complete and final payment to the contractor is
authorized. The Contract Administrator will solicit help from the Law Department or any other depart-
ment, as necessary, to facilitate timely close-out of the contract.

9
PROJECT MANAGEMENT DURING COMMISSIONING

A
s construction draws to a close, proper commissioning is vital to the success of construction
projects. Commissioning is a quality focused process of validating constructed facilities;
systems and equipment meet sponsor requirements, in coordination with operations
personnel and third parties. Additionally, training the end users and maintenance personnel occurs
at this time. The Project Manager ensures that the documentation, manufacturing requirements,
systems, equipment, and operations are integrated, validated and accepted. Allocating adequate
time, resources and project dollars to commissioning will minimize the risk of delays, cost overruns,
underperforming systems and unreliable support equipment. The Project Manager should begin
the project with the end in mind, through a well-planned commissioning phase, early during project
initiation. The Project Manager must include the time and resources needed to train and fully
familiarize the end users and maintenance personnel who will live with the final work product to
ensure a successful handoff of the new facility from the contractor team to the operations team.
The Project Manager is responsible for coordinating the activities that lead to occupancy and use of
the facility. During this phase, the constructed facility is tested and accepted as meeting the design
specifications and preparations are made for the user to occupy the facility. Testing should be for all
its systems and equipment. Since coordination of testing and employee training are generally part of
the scope of work for the construction management team, the Project Manager is supported during
this stage of the project by the Construction Manager.
9.1 Testing and Commissioning

Testing of equipment and materials is of critical importance from the standpoint of safety, quality
and reliability. Testing refers to:

9
• Contractual testing of materials, equipment, subsystems and components by the contractor

and Construction Manager, which takes place throughout the construction phase
• Acceptance testing and demonstration testing conducted by Amtrak and the Construction
Manager to verify that equipment and subsystems comply with specifications and operate
reliably
• Systems integration testing, which demonstrates the ability of various subsystems and facilities
to function as an integrated system.
For federally funded projects, the requirements may need to develop a test program plan that
includes:
• Identifying and defining test requirements for materials, equipment and systems. Creating a
test plan and test cases to validate that functional requirements have been met.
• Establishing an administration system to monitor, control, document and report on the test
program status.
• Developing a testing sequence and schedule in coordination with the overall project schedule.
In advance of construction, the test program plan should be completed during final design as it is
likely that some testing may take place during construction as well as in the commissioning phase
of a project.
All testing and commissioning events have documentation (test procedures, checklists, etc.). The
Project Manager should have a defined list of this documentation before the events occur and track
completion through the execution of system and facility testing and commissioning. This ensures
all verification and validation activities are fully completed, results are recorded, findings are
documented and corrective actions are scheduled and completed. These completed documents are
critical in determining the completeness and correctness of the deliverables.
The Project Manager should review FRA Monitoring Procedure 54 – Readiness for Revenue
Operations as reference for requirements and guidelines.
9.2 Move-In/Start-Up Committee

Move-in activities refer to those that lead up to beneficial occupancy of a new or rehabilitated
structure. For example, a new or renovated rail yard; a rehabilitated or expanded rail maintenance
facility; a new electrical substation; a new or renovated train station.
Start-up activities refer to those associated with the initiation of revenue service. For example, an ex-
tension to an existing rail system or operation of a new or rehabilitated rail facility.
The Project Manager should initiate move-in/start-up by establishing and directing a move-in/
start-up committee, whose participants include the Project Manager, Construction Manager and
representatives of the contractor, the end user, utilities, affected or involved agencies, Government
Affairs and Corporate Communications, Marketing and Sales and others as appropriate. Typically,

9

the committee is convened approximately 9 to 12 months before the targeted move-in date. The
committee should meet regularly, at least once a month leading up to the date of occupancy. During
these meetings, the roles and responsibilities of the participants are clearly defined in relation to
such issues as:
• Furniture, telephones, computers, and other equipment not included as part of the project
• Safety and security
• Facility maintenance
• Training
• Equipment and systems operating and maintenance manuals
• Utility changeovers
• Special events/community outreach/marketing
• Publicity
• Operational issues
• Cash management/finance/payroll/fare restructuring
• Insurance
• Occupancy permits
• Inventory and supplies, including identification of spare equipment
• Deliveries
• Transfer of responsibility for facility to the using department
9.3 Move-In/Start-Up Plan

As a result of the discussions of the move-in/start-up committee, each key department in the move-
in effort should prepare a move-in/start-up plan that should be approved by the department head of
the using department and reviewed by the Project Manager. The plan generally:
• Outlines responsibilities by department to be accomplished prior to or during occupancy;

• Provides an approximate schedule for tasks and activities; and
• Identifies key activities/requirements critical to facility occupancy and operation.
Major federally funded capital improvement projects, such as initiation of revenue service on a
fixed-guideway project, may require a start-up plan that includes:
• Organization plan
• Mobilization plan
• Training plan
• Draft operations and maintenance (O&M) plans and procedures
• Draft O&M manuals

9
• Rules books
• Test plan and procedures
• Budget
• QA plan
• Safety and security plan
• Failure/deficiencies report (after start-up)
• Final O&M plan and manuals (after start-up)
9.4 Move-In/Start-Up Coordination

The day/evening of facility occupation, the Project Manager and the Construction Manager should be
present to oversee all activities and assist in solving any facility related problems that may occur. Due to
the size of the facility or quantity of end users, this may take several days or weeks. It is important that
the Project Manager have on hand contractor representatives for key equipment (lifts, fuel dispensers,
HVAC, etc.), which could disable the facility or prevent its beneficial use. During commissioning, the
advanced systems should be evaluated for optimal performance. It is also valuable to have upper-level
representatives from the end user group in attendance to ease problem-solving and communication
between entities.
9.5 Post Move-In/Start-Up Activities

After move-in/start-up, it is important that the Project Manager follow up to discuss problems and
document the process.
• About two weeks after move-in, the Project Manager should reconvene the move-in
committee to discuss the event. All phases of the move-in should be revisited and discussed,
especially those that experienced problems, surprises, breakdowns, etc.
• Following the meeting, a Lesson Learned Report should be written to document the move-in
and highlight the successful and problem experiences to the benefit of those managing move-
in efforts in the future.

10
PROJECT MANAGEMENT DURING CLOSE-OUT

F
or the closeout phase, the Project Manager oversees the final details of the project. These tasks
include final settlement of project contracts, acceptance of contract deliverables, collection
of contract documents and records (such as as-built drawings, operation and maintenance
manual, and warranties, etc.) and approval of final payments. A completed contract is one in which
the following items have been conducted:
• All physical construction work has been completed and accepted by Amtrak;
• All deliverables required by the contract documents have been received and accepted by
Amtrak;
• All outstanding issues, to include audits or claims, have been resolved;
• All required close-out documentation has been received; and
• Final payment of retainage monies has been made.
Closeout of a project is the process whereby Engineering officially accepts all deliverables as being
complete, including the work of contractors, professional services firm and equipment suppliers. This
is a critical point where the project’s documentation management system (DMS) and dedication to
document control is needed. Project close-out requires accurate and complete documentation to
ensure the project met its deliverables and Engineering should make final payments to contractors.
Without a complete and accurate DMS and commitment to its use during the project, Engineering is
at risk of accepting sub-standard deliverables or making payment when it shouldn’t.
10.1 Formal Closeout Procedures

The Project Manager, with the assistance of the Construction Manager, is responsible for initiating
closeout procedures and working with the Contract Administrator to ensure that contract files and

10
PROJECTOF
STAGES
activities are closed out in a timely manner. The Contract Administrator will request assistance from
the Law Department or any other Amtrak departments, as necessary, to facilitate timely close-out
of the contract.
Projects funded by federal grants will involve grant closeout actions by the Planning and Budget
Office. Some federally funded projects may require initiation of closeout within 60 days of project
completion. The Project Manager should notify Planning and Budget when work is complete.
MANAGEMENT
A PROJECT DURING CLOSE-OUT
10.2 Project Manager’s Responsibilities during Closeout

The Project Manager is responsible for verifying that a project is complete, and for pursuing all
follow-up actions before completing documentation for project closeout. The Project Manager’s
activities during close-out include:
• Ensuring deliverables have been validated and meet safety and quality requirements
• Ensuring all commissioning and testing activities are completed as depicted in Chapter 9
• Ensuring transfer of responsibility for the facility to the end user
• Ensuring the end user or owner has been adequately trained and possesses all needed
manuals, tools, equipment and spare parts
• Monitoring completion of punch-list items and ensuring stakeholders have signed off on the
project completion checklist
• Verifying issuance of Certificate of Occupancy/Substantial Completion as appropriate
• Preparing project management close-out forms as issued by Procurement inclusive as follows:
–– Form 1 - Certification of Final Completion
–– Form 3 - Contractor’s Release and Waiver of Liens and Claims
–– Form 5 - Certification of Substantial Completion
–– Form 29 - Request to Suspend or Release Contract Retainage
–– Form 33 - Construction Punch List
–– Form 34 - Major Equipment Status, if applicable
–– Form 35 - As-Built Record Status, if applicable
–– Form 41 - Close-out Progress Report
–– Form 52 - Prime Contractor’s Warranty
–– Form 53 - Subcontractor’s Warranty, if applicable
–– AIA Form G707A - Consent of Surety, if a bondable project
10.3 Financial Closeout

Financial Closeout is the process of completing and terminating all financial and budgetary aspects
of the project. It includes both contract closure (external) and project account closure (internal). It
means that:

10

• Goods or services on each Purchase Order have been received.
• Outstanding orders for good or services that are no longer required are canceled. There
should be no open orders in eTrax.
• Claims are resolved
• Invoices are reconciled with the project budget
• Invoices received have been processed for payment
• Accruals have been reversed
• All billing, in the case of reimbursable projects, has been issued and funds have been
reimbursed and accounted for in the Amtrak Accounts Receivables Report
Once the above steps have been completed, the Project Manager will proceed with the final closeout
steps:
• Request the Contract Administrator close the PO

• Send the Work Element Closure Check List (available in Work Element Explorer) to the
Director of Project Reporting to have the Work Elements closed. The request will in turn be
forwarded to Finance for Work Element closure
• Submit the Project Completion and Closeout form to Engineering Planning and Budgeting
to capitalize the asset and start amortization
During project planning, operating costs should have been estimated and programmed. These costs
must be re-estimated prior to the budget cycle for the first year of asset operation. These budget
items must address:
• The annual maintenance cost to support the new asset must be estimated
• Any additional or new budget requirements for the maintenance of the asset must be included
in the next fiscal year operating plan
• Distributing and retaining records as appropriate (including as-built drawings)
If the Procurement, Finance and Engineering Planning and Budgeting Departments agree that all
elements of the project are complete, final payments and retainage are released and the Finance
Department locks the budget so that there can be no more payments against the project.
10.4 Record Retention Procedures

The Project Manager is responsible for ensuring that all design and construction documentation
is properly assembled and distributed in accordance with Amtrak procedures. Engineering is
responsible for retaining all original records relating to the design, procurement and contract
closeout of a project in accordance with the Procurement Manual. The Procurement Department
will maintain records and files in sufficient details to document the history of the procurement. It is
the responsibility of the Project Manager to promptly provide the documentation to the Contract

10
PROJECTOF
STAGES
Administrator for inclusion in the close-out file. Special attention should be given to archiving
documentation regarding warranties, change requests and items or issues that were contentious
during construction.
Contract files pertinent to a contract award shall be retained for the period of time specified by
corporate policy. Records to be retained include:
MANAGEMENT
• Change Requests
A PROJECT DURING CLOSE-OUT
Preparation: Prepared/assembled by the Construction Manager.
Distribution: One set for the Procurement contract file; one set for department project file.
• As-Built Drawings
Preparation: Prepared/assembled by the Contractor, Construction Manager, Professional
Services firm or some combination of effort, after completion of construction and installation
of equipment. As-builts should be based on marked drawings furnished by the Resident
Engineer.
Distribution: The Project Manager must identify the vital project records and prepare them
for storage in conjunction with the Amtrak Procurement Compliance and Corporate Policy.
One set for Procurement contract file, one set retained by Project Manager for department
project files and one set sent to the end user.
• Warranties
Preparation: Prepared/assembled by the Construction Manager.
Distribution: One set for Procurement contract file, one set retained by Project Manager for
department project files and one set sent to the end user.
• Permits and Key Project Documents

Preparatio: At project conclusion, originals should be prepared for storage in conjunction
with the Amtrak Procurement Compliance and Corporate Policy. Copies of each of these
documents must be transmitted to the department project file and to the end user. Certain
original permits must remain on site once construction has ended and operation has begun.
The requirements of each permit should be determined prior to project completion and
building occupancy.
10.5 Project Evaluation Reports

Before the project is over and key project staff has dispersed, the Project Manager holds a project
evaluation. For smaller projects, this project evaluation may be in the form of requesting feedback
from the project team. For larger projects, this evaluation is a meeting. Although Project Managers
may be ready to move on to the next project, they should make use of this unique opportunity to

10

find out the lessons learned on the project as it is important to share information learned during the
course of the project with other Project Managers for their on-going and/or future projects.
The reports below should be prepared in consultation with the end users and interested departments.
Lessons Learned Report: Within 60 days, the Project Manager shall prepare, in accordance with the
final acceptance of the project deliverables or operation with input from the Construction Manager,
a Lesson Learned Report and shall include:
• Problems and innovative or recommended solutions

• Actions/decisions/features that would have been done differently, with hindsight
• Schedule/budget issues, including schedule conformance decisions that could have been made
differently and could be applicable to similar future projects
• Reapply what went well – Determine what key tools and experience were needed to
successfully execute the project. Project Managers should reapply this knowledge so that
they do not have to “re-invent the wheel” for the next project.
• Review what could be improved – Determine what went wrong and could be fixed for the
next time. Recommend corrective actions to Engineering manuals, policies and procedures
for use on future projects.
Project Evaluation Report: Within one year from construction completion, the Project Manager
shall prepare, jointly with the end user and finalized in accordance with the final acceptance of the
project deliverables or operations, a Project Evaluation Report and shall include:
• Summary of project description, milestones, and significant features

• Problems and solutions, updated from End-of-Construction Report
• Schedule/budget issues, updated from End-of-Construction Report
• Detailed analysis of problems and issues identified by the end user and the Project Manager
during first 8-9 months of operation, including discussion of design choices that should be
reconsidered for a similar future facility
Lessons learned can consider technical, managerial and process aspects of the project. They will be
discussed and documented as part of the review, and most importantly, applied to future projects to
lead to greater project success.

The 12 Do’s for
Non-Technical Project Managers
1. Solidify your team
2. Always present a united front to contractors
3. Remember the importance of pre/post project meetings
4. Practice meeting preparations – Always start on time and

Always have an agenda
5. Exercise meeting management
6. Never take it personally
7. Accept politics
8. Practice negotiation skills
9. Do use Good Guy/Bad Guy approach
10. Identify major irritants between you and the contractor and
get rid of them
11. Use visual aids
12. Avoid aggravating the contractor
70 The Amtrak Organization

11
PROCUREMENT PROCESS AND COORDINATION

T
he A mtrak Procurement Manual (APM) provides instructions and guidance on how to
prepare for, conduct and conclude solicitations for the procurement of goods and services
at Amtrak. Procedures are furnished to ensure that such goods and services are obtained in
an effective manner and in compliance with Amtrak policies and applicable laws, regulations and
contractual requirements.
As a recipient of Federal Railroad Administration (FRA) grant funds, Amtrak is required to follow
the applicable procurement provisions found at 2 CFR Part 200 that set forth standards for use by
recipients in establishing procedures for the procurement of goods and services with federal funds.
These federal requirements are set forth in the APM, Appendix A.3. All Amtrak procurements
(except those funded exclusively without FRA grant funds) must be in accordance with these federal
requirements. On some occasions, Amtrak may receive grant funds from one or more entities other
than or in addition to the FRA (e.g., other federal agencies, states or transit agencies). On those
occasions, Amtrak must comply with all applicable funding requirements.
Additionally, federal grants typically require that certain clauses must be included in contracts
that utilize federal grant funds. The clauses flow down to all levels of the federal funding chain
beginning with Amtrak. The Amtrak Law Department compiled the FRA flow down clauses into
relevant documents (Supplementary General Provisions for Construction and for Non-Construction
Contracts) and provided those to Amtrak Procurement (copies are set forth in the APM Appendices
A.1 and A.2, respectively).
The flow down clauses are not required in certain contracts entered into by Amtrak with any state
or local government entity, including any regional transportation or transit agency, because the
procurement policies and procedures of these entities are presumed to be consistent with the federal
Part III: Project Administration, Coordination and Reporting 71

11
requirements. Furthermore, FRA flow down clauses are not required in contracts with any private
STAGES
PROCUREMENT
railroad companies because these entities typically own the rights-of-way being improved with
federal financial assistance and have in place existing procedures for carrying out such improvements
to their property.
The Procurement and Materials Management Department (Procurement Department) has overall
responsibility for the procurement process and for compliance with all applicable federal and state
OF A PROJECT
laws and regulations regarding the acquisition of goods and services, including all laws and regulations
relating to the use of public funds for such acquisitions. Each of the following topics is discussed in
greater detail in the APM. Only the Contracting Official or the Contracting Administrator (as each
is defined in the APM) is permitted to communicate with vendors prior to award of the contract.
PROCESS AND COORDINATION
The Procurement Department requires a purchase requisition through either SAP for regular
inventory items or through eTrax for non-inventory items. The Project Manager is responsible for
initiating the procurement process that includes, preparing the scope of work; developing evaluation
criteria; selecting a technical evaluation committee; and participating in a review of bids or proposals.
The Project Manager and the Procurement Department Contracting Administrator assigned to the
project work collaboratively throughout the procurement process, ensuring that proper procurement
requirements are followed. As noted above, these include all applicable requirements of funding
agencies (state and federal). Additionally, these include all Amtrak requirements such as Amtrak’s
policy regarding the use of disadvantaged business enterprises.
The Project Manager alone cannot procure services or obligate expenditures on behalf of Amtrak.
Only the individuals identified in Amtrak policies as having contracting authority are authorized
to sign contracts on behalf of Amtrak (see Delegations of Contracting Authority, Exhibit I of
Amtrak Policy 11.39.0 or APM, Appendix B.1). Most often, the Chief Logistics (previous title - VP
Procurement) is authorized to execute contracts for goods and services. The Project Manager should
work closely with Procurement on determining where the procurement falls within the Delegations
of Contracting Authority.
Figure 11-1 outlines the responsibilities of the Project Manager and Contract Administrator in the
procurement process.
72 Part III: Project Administration, Coordination and Reporting

11
Contracting Administrator (CA) - The CA is a duly Project Manager (PM) - Depending on the nature of the

appointed individual who is subordinate to the CO and contract, Amtrak may designate a PM who will be directly
is responsible for all contractual actions other than those responsible for the daily technical and on-site administration
specified elsewhere in Amtrak’s procedures. of a contract, including monitoring the contractor in its
performance of the contract. The PM may also be referred to
The CA acts as the CO’s business representative and is as the Contracting Official’s Technical Representative (COTR).
responsible for the following:
• preparing and assembling solicitation/contract documents; Typical tasks performed by PMs or their designees in support
• obtaining necessary pre-solicitation approvals; of the contract are as follows:
• Familiarize themselves with all terms and conditions of the
• soliciting bids and proposals; contract, and seek clarification from the CA of any contract
• advertising IFBs and RFPs, where appropriate; provision that is not understood or that is subject to more
• issuing addenda; than one interpretation;
• serving as chairman of pre-bid and pre-proposal • Draft the technical portions of IFBs and RFPs, and chair all
conferences; project review and progress meetings;
• preparing official minutes of pre-bid and pre-proposal • Monitor contract performance to ensure that the technical
conferences; requirements of the contract are satisfactorily executed by
the contractor;
• opening bids/proposals;
• Interpret technical specifications and drawings, and judge
• conducting proposal evaluation and contractor selection the quantity, quality, fitness and acceptability of all parts of
meetings; the work;
• conducting contract negotiation sessions; • Bring to the attention of the contractor all performance
• conducting investigations of bidders’/offerors’ past that is not in compliance with contract requirements,
performance; issue guidance on corrective action necessary to bring
performance in line with contract requirements and
• verifying that any necessary approvals have been secured
thoroughly document all performance problems;
and that the contract is awarded within the limits of the
approvals; • When deficient performance is not corrected, notify the CA
promptly in writing and provide sufficient documentation
• obtaining approvals for award;
for appropriate action;
• managing the non-technical aspects of post-award contract
• Maintain complete records of all actions taken. These
administration, including negotiation of modifications and
records include documentation of all inspections and
supplemental agreements;
should be properly annotated to indicate the contractor’s
• consulting with the Project Manager (PM) to monitor the acknowledgment of any notifications of deficiencies;
contractor’s performance;
• Ensure that the contractor performs no work outside
• managing termination for default or convenience the scope of the contract and complies with Amtrak’s
procedures; requirements and policies;
• consulting with the Supplier Diversity Office on • Inform the CA whenever a condition exists that may call for
Disadvantaged Business Enterprise (DBE) issues; a decision resulting in a change in unit price, total contract
• providing support to attorneys, consultants and in-house price, quantity, quality or delivery schedule;
Amtrak personnel in the event of a claim; and • Make final technical inspection of work and submit
• maintaining all official contract files. appropriate acceptance certificates when the specifications
of the contract have been properly fulfilled;
• Make unannounced spot checks to the job site to verify
compliance with applicable labor standards and contract
provisions. Report the results to the CA for review and
placement in the contract file;
• Develop punch lists prior to job closeout, if required and/or
not performed by the construction manager;
• Maintain control of the schedule and budget; and
• Seek approval for the project, as required. This responsibility
includes drafting and presenting to the approving authority.
Figure 11-1 - Procurement Responsibilities of Project Manager and Contracting Administrator

11
11.1 Request for Proposal (RFP)

STAGES
PROCUREMENT
The RFP is used to procure professional services, operating services, construction, design/build,
equipment/rolling stock, non-construction and/or non-standard items through a formal solicitation
process that typically involves selection based on technical qualifications and price. Generally, for
capital projects, an RFP is used to procure:
OF A PROJECT
• Planning/project development services

• Preliminary design/environmental studies and services
• Final design services
• Construction inspection/construction management services
• High dollar rolling stock/equipment
The RFP document, at a minimum, should consist of the following information:
• Instructions to Offerors
• Background information
• Scope of Work (SOW)
• Proposal requirements
• Proposal format and page limitations
• Method of selection
• Time consideration and requirements
• Criteria for technical evaluation
• Criteria for cost or price evaluation
• Criteria for oral presentation, if known at the time of solicitation
• Amtrak’s relevant contractual documents, including supplementary general provisions and
special provisions
• Equal employment opportunity (EEO) specification
• Disadvantage Business Enterprise (DBE) requirements
The key elements of a successful RFP procurement are the SOW and evaluation criteria. The Project
Manager is responsible for preparing a detailed SOW that outlines the nature of the work and the
level of effort required, as well as the expected results or deliverables. This SOW should be written
in clear, precise language so that vendors may prepare proposals based on a thorough understanding
of the work required. The Project Manager also prepares a set of evaluation criteria (weighted by
relative importance) against which proposals will be evaluated.
The Engineering Department has available, for general use, standardized SOW for various phases
of a project. The Contract Agent, working with the Project Manager, coordinates the RFP process,
including:

11
• Determining contract procurement strategy for all of the phases of the project.

• Deciding if a Request for Information (RFI) or Request for Qualification (RFQ) should
be issued prior to RFP. A RFI typically is used to determine what products or services are
available in the marketplace. An RFQ is a solicitation of interest and qualifications from
vendors to allow Amtrak to pre-qualify products or firms before issuance of an RFP. Given
that 2 CFR Part 200 (applicable to Amtrak through federal requirements) requires full and
open competition, RFIs and RFQs may be appropriate as a means to obtain a short list of
qualified firms in some complex or high dollar value situations. The RFI/RFQ also can be
issued to spur interest within the professional services firms when anticipated response to an
RFP is uncertain, or when the level of interest is minimal. The steps in the process include an
in-house review of the draft RFI/RFQ; advertising for the RFI/RFQ; setting up a selection
committee in the case of an RFQ; evaluating the responses; and, with an RFQ, compiling a
shortlist of qualified firms. The firms on an RFQ shortlist will then be asked to respond to the
request for proposal.
• Preparing the RFP. The Project Manager and Procurement Department Contract Adminis-
trator are jointly responsible for preparing the RFP. The Project Manager’s input includes: a
SOW that clearly defines and describes the nature of the work (including Amtrak’s minimum
requirements), the level of effort required and the anticipated results and/or deliverables; an
estimate of the cost and hours to produce the services and/or product identified in the RFP;
and evaluation criteria against which proposals will be evaluated. The RFP must comply with
DBE requirements, and be reviewed by Amtrak’s Office of Supplier Diversity if the project
is over $10,000 in contract value.
• Advertising and issuing the RFP. The Procurement Department is responsible for issuing and
advertising the RFP, unless an RFI/RFQ has previously been issued and advertised. All so-
licitations exceeding $100,000 in expected value are advertised on the Amtrak Procurement
Portal. Advertisement in publications of general circulation may also be made as necessary,
depending upon the procurement type. All advertisements must indicate the time and date
that responses are to be received by Amtrak. Typically, the response due date is at least seven
days from the date the RFP is issued with the exact period for response depending on the
nature and complexity of the RFP. Before the due date, potential offerors may submit any
questions or request for changes to the RFP to the Contracting Administrator. After internal
evaluation of all questions and requests for changes, the Contracting Administrator issues
responses to all questions and amendments or addenda to the RFP to all potential offerors.
• Organizing pre-proposal conference and site visit. The RFP should state whether a pre-pro-
posal conference and site visit are anticipated during the process. Potential offerors may find
these useful to form answer questions they may have.
• Evaluating proposals. The Project Manager identifies members of the Technical Evaluation
Committee (TEC), who rate proposals according to the evaluation criteria. A supervisory
relationship shall not exist between any two TEC members for any given RFP without a
waiver from the Chief Logistics Officer. The Contracting Administrator is the chairperson of
the TEC as a non-voting member.
• Obtaining Board approval. Certain contracts may require approval by the Board of Directors.

11
• Awarding contract. The Contracting Administrator completes a staff summary (if needed),
STAGES
PROCUREMENT
obtains approval for the contract amount, obtains approval of the Contracting Official and
ensures that the contract is formally executed. After execution, a kick-off meeting is jointly
organized and chaired by the Project Manager and Contracting Administrator. At the kick-off
meeting, a formal notice to proceed is usually issued. The agenda should include items such
as: project organization structure; communications protocol, construction schedule including
sequence of critical work; change order process; track outage procedures; Amtrak provided
OF A PROJECT
resources/equipment; invoicing criteria; and deliverables, due dates and key milestones.
11.2 Invitation for Bid (IFB)

It is highly unlikely that Amtrak’s Engineering will procure through the Invitation for Bid (IFB)
process. The IFB process is generally used for procurements that are based on detailed specifications,
are not complex and leave little uncertainty to the bidder. This may apply, at the professional
discretion of the Project Manager and Contracting Administrator, for some construction, design/
build or equipment/rolling stock procurement work. A contract is awarded to the lowest responsive
and responsible bidder. IFB’s are not subject to negotiation or change subsequent to bid opening
and prior to execution.
The steps in the IFB process are similar to the RFP process, but given that IFB’s are rarely used
for Amtrak Engineering Procurements, the Project Manager will need to work closely with the
Contracting Administrator in any situation in which an IFB is warranted.
11.3 Amtrak Force Account

“Force account” refers to the use of either Amtrak or other agency personnel (or forces) to design and/
or construct a project, as opposed to the use of outside, professional services or contractors. Amtrak
forces are typically used for small design and construction inspection projects. Outside agency forces
(such as CDOT, utilities, Norfolk Southern, etc.) are used on projects that involve shared facilities
such as right-of-way, stations, grade crossings or utility work involving Amtrak properties or projects.
Before outside agency force account activity begins, agreements must be reached or permits issued
that protect the interests of all parties concerned.
For federally funded projects, a force account plan is needed at the time of grant application. The
Project Manager must identify as early as possible the work requirements for force accounts and
consult with the in-house forces or outside agencies on the scope, schedule, budget and procedures
for such work.
The Project Manager’s responsibilities include:
• Develop justification for using force account personnel

• Define scope of work
• Develop independent cost estimate

11
• Negotiate/establish cost estimate

• Develop force account agreement
• Obtain approvals for agreement
• Allocate for internal force account
• Organize kick-off meeting
• Provide ongoing coordination of force account work
For outside agencies’ force account agreements, there are three types of binding contracts between
Amtrak and other agencies: the force account agreement, the utility agreement and the permit.
• Force account agreements allow Amtrak to reimburse other agencies for Amtrak work on
their property or Amtrak property; sometimes force account agreements allow Amtrak
contractors to enter or construct on other agencies’ property.
• Utility agreements allow Amtrak and its contractors to use agencies such as electric utilities,
water authorities and gas companies to perform relocations and/or abandonment’s on or near
Amtrak property.
• Permits allow entities such as ConEdison to enter upon, use or occupy Amtrak-owned property
to perform work related to their agencies, or to relocate utilities to allow construction.
Force account work may require labor clearance, which may require several months for approval.
The labor clearance determination must be made prior to advertisement for bid.
11.4 Emergency Procurements

Although Amtrak is required to conduct its procurement operation in accordance with strict
guidelines, situations may occur that require immediate action that does not allow time to adhere to
established procedures. Under these circumstances, the Amtrak by-laws have made provisions for
the President and CEO to authorize emergency measures “...if the President and CEO determines
that an emergency exists, which will seriously interrupt public transportation service or create a
serious risk to health or safety or cause Amtrak or the State to lose a significant amount of money
or significantly jeopardize the assets of Amtrak and action needs to be taken in advance of the next
Board meeting...”
When emergency procurement action is necessary, the Project Manager must contact the Chief
Logistics Officer, who will determine where the authority resides to approve the requested emergency
action and assist in taking the appropriate actions.
11.5 Sole or Single Source Procurement

Amtrak policy to acquire products and services through a competitive process to the maximum
practical extent. However, contracting without competition may be permitted pursuant to the Sole/
Single Source Procurement Policy (11.47.0).

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12
PERMITS AND APPROVALS

E
ngineering capital projects must comply with federal environmental regulations, as well
as state laws that implement federal programs. Amtrak is specifically exempt from state
and local building, zoning, similar or related codes and laws. It is at the Project Manager’s
discretion to voluntarily pursue the local permits. As part of the project definition process, the Project
Manager should consult with his/her direct supervisor, Environment and Sustainability Group under
the General Counsel Department and Historic Senior Preservation Specialist to determine what
permits and environmental documents will be required to schedule the environmental review and
permitting process so that design and construction can proceed without delays. Major modifications
to the project should be reviewed to see whether they have any effect on permit requirements. For any
work performed by Engineering, the Project Manager should coordinate with the appropriate state
agencies to determine specific requirements. Project Managers, with assistance from professional
services firm, are responsible for conducting a thorough due diligence to determine what permits
would be required for the project.
Each permit will bring its unique impact to starting project activities, so each permit should be
individually identified in the project schedule, including sub activities for planning, submittal, approval,
inspections and inspection approvals. Each of these activities has predecessors and successors to be
linked in the schedule. In fact, most are linked to key project milestones. Also, there are associated
costs with these activities that need to be included in the estimate. A determination needs to be
made whether the activity cost is direct to the project or an in-direct, or soft charge, which does not
apply to the project budget. Once baselined, progress of the permit approvals should be monitored
closely for scope, schedule and budget impacts. A good technique is to list them individually on the
Watch Item list for periodic assessment and consideration of elevating to the Project Risk Register.
As an example, a permit may require significant additional environmental protection than initially
planned or retaining of a portion of a building that was to be demolished. These types of changes
driven by permit approvals need to be identified as early as possible in the project. Any commitments

12
made as a result of permitting or other approvals must be tracked for compliances and execution, as
PERMITSOF
STAGES
appropriate, for the remainder of the project.
The Project Manager is responsible for the timely completion of environmental studies and for
obtaining permits and approvals; in most cases the environmental studies and preparation of permits
will be performed by an environmental firm in coordination with the Project Manager, Environment
and Sustainability Group under the General Counsel Department and the federal, state and local
AND
agencies involved. This chapter covers building, environmental and other permits. Information on
environmental assessments, environmental impact statements, historic preservation regulations and
A PROJECT
other environmental investigations is provided in Chapter 5, Preliminary Design.

APPROVALS
12.1 Building Permits

Typically, Amtrak is exempt from local requirements but may choose to pursue it at its discretion.
Should Engineering choose to voluntarily submit to local jurisdiction, the Law Department requires
that any applications or correspondence with the authorities must specify that Amtrak is legally
exempt but is voluntarily submitting to jurisdiction for this event only, and that Amtrak reserves
its rights to assert its exemptions in the future. Consult with the Law Department for more details.
For properties that Amtrak does not own, lease agreements for Amtrak’s use of specific stations
or other facilities may require formal review by local authorities. Coordinate with the Real Estate
Department to verify whether there are such requirements.
12.2 Environmental Approvals

Depending on its size, scope, location and components, an Amtrak project may need to receive a
variety of permits and certifications from federal and/or state environmental agencies before certain
design, construction and operation activities can proceed. Because a long lead time is required to
gather information, prepare and complete specific analyses and review with public agencies and/or
the general public, early initiation of permitting activities is critical to keeping a project on schedule.
The permitting process should be initiated as early as possible to avoid delays. For example, typical
timeframes for permits include:
• A riparian (tidally impacted river bank, lake shore or sea shore) or wetlands issue may take
6-12 months or longer to resolve, depending on the particular project or agency involved.
• Some permits or approvals require pre-application conferences, public notices and/or public
hearings.
• Some permits must be approved 60 or 90 days prior to work commencing. Project Managers
will need to check with federal and/or state requirements.
• Some States may require public notice of the proposed issuance of a draft permit and, if there
is significant public interest, conduct a public hearing.

12
Following is an overview of the potential environmental permits (limited) that may be required on
PERMITS AND APPROVALS

Engineering projects. It is the Project Manager’s responsibility to check with the state where the
project is taking place for all appropriate environmental permits required for the project. Unless
otherwise noted, the Project Manager, with assistance from professional services firm, is responsible
for the permit application.
• Stormwater Discharge Associated with Construction Activities: The permit regulates the
discharge or potential discharge of stormwater into waters from construction activities,
including clearing and grubbing, grading and excavation activities.
• Control Apparatus Equipment Permit to Construct/Install/Alter; Certificate to Operate: The
permit regulates equipment that emits or controls emission of substances into the air.
• Coastal Area Facility Review Act Permit (CAFRA): The permit regulates the construction of
major industrial, transportation and energy-related facilities in the coastal area, including all
riparian, wetland and tideland acreage.
• Waterfront Development Permit (includes Water Quality Certificate): The permit regulates
the construction, alteration, repair or replacement of docks, wharves, piers, bulkheads,
bridges, pipelines, cables and pilings; the dredging or removing of sand or other materials
from lands under all tidal waters; and limited upland construction adjacent to tidal waters in
many counties.
• Wetlands Permit: The permit regulates the excavation, dredge, fill or erection of structures on
coastal wetlands.
• Freshwater Wetlands Permit/Open Water Fill Permit: The permit regulates most activities in
and around freshwater wetlands, such as removal, excavation, drainage, driving of pilings or
placing of obstructions.
• Stream Encroachment Permit: The permit regulates the construction, installation or alteration
of any structure or permanent fill along, in or across the channel or flood plain of any stream
and the alteration of the flood plain or stream.
• Sewer Systems Permit: The permit regulates the construction, installation, modification or
operation of a sewer system extension including interceptors, collectors, force mains and
pump stations. This permit is required for all construction, which extends an existing sewer
system.
• Disruption of Solid Waste Permit: The permit is required prior to approval of any construction
or excavation activity on or in a closed or existing solid waste land disposal area.
• Well Drilling Permit: The permit regulates the drilling and construction of wells.
Additionally, depending on project location especially for navigable waterways or various wetlands
may require the involvement of federal agencies such as the U.S. Army Corps of Engineers, U.S.
Coast Guard or Federal Aviation Administration (FAA). These organizations must be consulted to
obtain exact requirements and procedures governing projects such as changes to fresh or salt water
wetlands and construction along or over navigable waterways. Federal approval may be required
from the FAA or Federal Communications Commission for construction or alteration of radio

12
towers. Project Managers are responsible for conducting thorough due diligence to determine what
PERMITSOF
STAGES
federal permits may be needed for the project.
12.3 Other Permits

A review of the project area and location is necessary to determine other permits that may be
required. This review provides a general understanding of the project site in its regional setting,
AND
identifies the jurisdictional organizations that may impact project implementation and identifies
specific permit issues, which may arise due to project location.
A PROJECT
Categories for permits are:

APPROVALS
• Property-related permits: Consult with the Real Estate Development Department to

determine potential permits that may be required prior to construction.
• Permits to improve other railroad or transit authority property: Improvements on other
railroads or transit properties (Metro-North Railroad, NJ Transit, PATH, Norfolk Southern,
etc.) require a temporary license agreement permitting entry on the property by Amtrak (its
agent, subcontractors and employees) to perform site surveys, soil borings and construction
activities in accordance with the terms and conditions of each permit. Operations must not
interfere with railroad or transit property operations or facilities. The railroad or transit
authority may need to provide flag service and protection at Amtrak’s expense.
• Special zoning district permits: Certain areas may be under the jurisdiction of regional
zoning authorities. It is necessary to determine the exact jurisdictional boundaries of these
organizations and whether the provisions of their charters give them zoning overview
capability. Amtrak must coordinate the approval process, when required.
• Regional sewer/health authority permits: Regional sewer authorities and some regional
health commissions also have jurisdiction over certain areas. In addition, municipal utility
authorities that have been established in lieu of municipal public works departments may fall
into this category. Permits and approvals from these regional authorities may be required for
such components as stack vents, equipment exhausts and sanitary sewer discharge.

13
PROJECT MONITORING, CONTROLS AND REPORTING

T
hroughout the course of a project, the Project Manager is ultimately responsible for
developing, refining and adhering to the project schedule, budget, and scope; monitoring
the progress of the project and project contractors in relation to schedule, budget forecast
and contract scope; and reporting to his/her supervisor and other Amtrak departments through
various prescribed reports. Any change to schedule, budget or scope must be managed through in
accordance with the Change Control Request Procedure. These changes, the causes, and corrective
actions must be included in the reporting. Earned Value techniques for calculating Cost Performance
Index (CPI), Schedule Performance Index (SPI) and forecasting Estimate-to-Complete (ETC) and
Estimate-at-Complete (EAC) are critical in determining the potential for the future budget or
schedule opportunities and risks.
One of the important project controls tools for cost and schedule control is the Work Breakdown
Structure (WBS), a hierarchical structure that breaks down the scope of the project deliverables
into manageable components for design and construction. Figure 13-1 provides a simplified WBS by
phases into deliverables for a project. The standard WBS shall be adopted for an Engineering project
and the recommended WBS is suggested for the Project Manager to use.

13
PROJECTOF
STAGES
Project
STANDARD WBS
1 2 3 4 5
Planning & Preliminary Testing & Management &
Conceptual Final Design Construction
Design Commissioning Adminstration
Development
MONITORING,
1.1 2.1 3.1 4.1 5.1
Preliminary Real Estate Owner Project

A PROJECT CONTROLS AND REPORTING
Planning Final Design Furnished Management &

Design Aquisition
Studies Equipment Controls
1.2 2.2 3.2 4.2 5.2

Environmental Design Quality Integrated Procurement &
Environmental Clearance & Assurance & Utility Testing & Contract
RECOMMENDED WBS
Studies Permitting Control Relocation Start-Up Administration
3.3 4.3 5.3
Concept Safety & Configuration

Construction & Records
Developement Certification
Management
3.4 5.4
Construction Project
Quality Assurance Communications
& Control
3.5
Construction
Safety
Management
PLANNING ENGINEERING
Figure 13-1 – Work Breakdown Structure - Maintenance
This chapter discusses the Project Manager’s overall responsibilities relating to monitoring and
reporting schedule, budget and project progress to internal and external stakeholders; WebWEE;
processing contractor invoices and change orders and claims and claims avoidance.
13.1 Schedules
Project schedules guide the development of the project itself; provide other departments and man-
agers with information on the impact of the project on their activities; and provide a method of mea-
suring actual against scheduled progress. It also provides Project Sponsors and other departments
with an accurate budgetary forecast at any point throughout the duration of the project and provides
Project Managers with near and future resource demands. The Project Manager is responsible for
developing and disseminating a project schedule in coordination with in-house and contractor team
members, and then for reviewing and updating progress, including periodic review of Schedule Per-
formance Index (SPI) and comparison of the amount of actual work completed and the budget spent.

13
Depending on project complexity, project schedules can range from simple bar charts indicating

major milestones, to elaborate CPM (critical path method) or other computer-generated schedules
showing overlapping and interrelated project activities and critical path relationships. The schedule
shall be created and updated using Primavera. As a project progresses from preliminary to final
design, and then into construction, equipment procurement and start-up, each phase should generate
progressively more accurate and detailed schedule information. Plans for updating the schedule are
defined in the Schedule Management Plan.
In the early stages of a project (planning and feasibility study), there are many unanswered ques-
tions and uncertainties to develop a detail schedule. At this stage, the Project Manager will define
initial standardized milestones outlined in the Schedule Management Plan. Typical (and limited)
standardized milestones are start design; complete 30%, 60%, 90%, 100% and IFB design; and start
and complete construction. As additional information becomes known, such as when a design con-
tractor is on board, the schedule should be refined. The schedule should be examined regularly and
updated at the end of 30%, 60% and 90% design stages.
The product of final design (100% design) should include a generalized construction schedule with
milestones and possibly staging requirements. After the construction phase begins, the contractor
and Construction Manager will further define the schedule with details of the construction, testing
and closeout activities.
The schedule shall be detailed, correlate with the work plan described in the scope of work and
organized based on the tasks and major elements of the project. The schedule shall identify all
activities and milestones associated with the Contract’s scope of work. Any change to the schedule
baseline must be managed through a Change Control Request Procedure.
The schedule shall be developed using Project Primavera 6.0 (P6) or latest edition. A baseline
of the schedule shall be maintained at each major update. Progress shall be reported relative to
the baseline schedule. The format of the schedule shall include bar chart plots and shall show, at
minimum, columns for:
• Activity ID
• Activity Description
• Work Breakdown Structure (WBS) Code
• Original Duration
• Early Start, Late Start, Early Finish and Late Finish
• Actual Start and Actual Finish
• Total Floats
The Project Manager is responsible for ensuring schedule specification requirements are part of the
Request for Proposal (RFP) for professional services firm and Invitation for Bid (IFB) for construc-
tion contracts. It is very important for the Project Manager to enforce the schedule specification

13
requirements are met for both professional services and construction contracts. Releases for invoice
PROJECTOF
STAGES
and/or payment request application should be tied to adhering to this contract requirement.
As part of the contract requirement, professional services firm and construction contractors shall
submit a baseline Progress Schedule and a Monthly Progress Schedule update once the baseline
is approved. The Progress Schedule shall include all current information as of the status date. The
Progress Schedule submittal shall be accompanied by a Schedule Status Report. This narrative
MONITORING,
report shall describe activities completed and progressed during the report period, activities planned
for the forthcoming report period, potential issues, time impact analysis as required and actions
required to correct any negative float (actual or predicted). The report shall include an explanation
of potential delays and problems, their estimated impact on performance and their estimated impact
on the contract completion date. In addition, alternatives for possible schedule recovery, complete
with a narrative rationale, to mitigate any potential delay shall be included for consideration. The
Schedule Status Report shall be included in the Monthly Report. No invoice will be accepted for
payment if there is not a current approved Progress Schedule in place.
Timely progress reporting and review by the Project Manager will be critical in avoiding schedule
slippage or delays, which will be detrimental to the schedule given the objectives of the project. At
minimum, the Schedule Status Report shall include the following:
• Professional services firm’s transmittal letter

• Description of problem areas
• Current and anticipated delays
• Cause of a delay
• Corrective action and schedule adjustments to correct a delay
• Time impact analysis/Impact of the delay on other activities, milestones and completion dates
• Forecasts of schedule performance
• Pending items and status thereof, regarding the following requirements
–– Permits
–– Change Orders
–– Time extensions
–– Interim Milestone Dates and Contract Completion Dates Status
• Discussion of critical path for month and any changes to critical path since the last report
• Progress during the period and plans for the project in the forthcoming period
A schedule found to be unsatisfactory, or otherwise not in compliance with Contract documents,

shall be returned and revised by the professional services firm and/or construction contractors. Re-
submittals shall conform to the same requirements as original submittals.

13
13.2 Budgets and Cost Estimates

Accurate project budgets are essential to the planning and funding of capital and production projects
at Amtrak. Project budgets, like schedules, need to be developed early in the life of a project. Project
cost estimates are required for capital programming and grant applications, then updated and refined
as more accurate information is developed during the course of design and construction.
Budgets should include all major cost elements such as design and construction management con-
tractor services, force account efforts, property acquisition, construction, equipment, administration
and contingency. As budgets are updated during the course of a project, the backup calculations and
sources of information should be documented and placed in the project file. Project reporting should
include budget performance, CPI and analysis of contingency reserve.
Any change to the Budget baseline must be managed through an Integrated Change Control process.
Controlling costs due to change is imperative and can be minimized by:
• Influencing the factors that create change

• Acting on change requests in a timely manner
• Managing change as it occurs
• Preventing unapproved changes
Engineering Cost Estimating Department uses Hard Dollar Estimating Software, a professional cost
estimating tool used in many industries and in particular construction projects, to develop expected
project costs organized by the project WBS. Force account labor (trackman, ET lineman, CS signal
maintainer, etc.) is detailed in every estimate to show what resources will be required to perform the
work along with their associated costs. Hard Dollar enables the user to create and maintain a custom
resource rate library to house all of our labor craft, material and owned equipment rates.
Chapter 16 provides guidelines to help a Project Manager develop the initial cost estimates required
for budgeting purposes.
13.3 Progress Reports

The Project Manager is responsible for assuring that he/she receives timely progress reports from
the project contractor(s), and for distributing this information in various formats within Amtrak, to
supervisors and other interested departments. In the case of both design and construction services,
progress reports should be submitted monthly, accompanying invoices, and are a prerequisite for
payment. For projects performed by our own force account, Project Managers should request
monthly progress from the Functional Managers(s).
Professional Services Progress Reports

A progress report communicates the status of a project compared with a standard or norm and
indicates budgeted versus actual expenditures. A progress report typically should contain:

13
• An Executive/Highlight Summary of the work effort *

PROJECTOF
STAGES
• Project Progress
–– Activities Completed*
–– Activities Started/Ongoing*
–– Activities Schedule for Following Month
• Critical Issues/Problems Areas/Delays (including problems that may require a change in
MONITORING,
scope, budget or schedule and problem resolution deadlines)*

• Budget/contract information (extras, shortfalls, etc.)

• Schedule Summary including schedule information and key deliverables*
• Progress Photos (if necessary)
Other items, as listed below, should be included in the report as an attachment:
• Detail Cost Report

• Detail Schedule Report
• Request for Information (RFI) Log, if available
• Submittal Log, if available
• Notice of Proposed Change (NPC) Log, if available
• Change Order Log
• Monthly Meeting Log (information on meetings held and work accomplished during the
reported time period)
• Document Control Log
• DBE/SBE/MBE/WBE Report, if required
• Decisions Log
• Risk Register
• Issues Log
“*” To be included in the Chief Engineer’s Monthly Report
On major projects, regularly scheduled project meetings, involving key team members, should be
established to coordinate design or construction team effort. The Project Manager is responsible for
coordinating progress meetings and ensuring follow-through on action items.
The three common types of project progress reports are:
• Project Status Report (Chief Engineer’s Monthly Report)

• Contractor Monthly Project Status Report
• FRA Quarterly Progress Report

13
Engineering Project Reporting System

The Engineering Department has established an online Web Work Element Explorer (WebWEE)
system that allows all Project Managers to update project information on a daily basis. This allows
the project management community to assemble, in one system, as much information as possible
on each project and allows customized reports to be produced for other Amtrak departments. The
Project Manager is responsible for updating information on his/her projects, on a monthly basis, at
a minimum.
This online reporting system contains information on project name and description, current phase,
baseline budget, schedule, milestones, completion date(s), monthly accomplishments, change or-
der(s), outstanding issues and funding data. It provides screens for input to the FRA Quarterly Prog-
ress Report, Project Status Report (Chief Engineer’s Report), and for additional notes on the project.
Instructions for access to and use of the system are found on the Amtrak Intranet.
13.4 Web Work Element Explorer (WebWEE)

WebWEE is an in-house accounting tool that captures and records project charges and expenses
against established budgets and funding for all Amtrak capital projects. It allows Amtrak to allocate
funds, collect costs, bill third parties and produce project financial reports. It provides timely data to
Project Managers, features online capabilities and helps a Project Manager to monitor project budgets.
The initial loading of information into the system is accomplished during the Project Initiation
process. The Project Manager works with the Engineering Planning and Budgeting staff to set up
the project budgets, by WBS and phase that are required for input into the system. The Project
Manager should review the WebWEE project information periodically, and update the project
information as necessary. Allowable adjustments include moving budgets from one WBS to another,
updating project progress, etc. Earned Value Management metrics are reported in WebWEE – [Cost
Performance Index (CPI) and Schedule Performance Index (SPI)]. CPI and SPI provide integrated
status on schedule and budget. Rules for reporting earned value, such as percent complete, are
defined in schedule and cost management plans.
The Engineering Planning and Budgeting Department can provide guidelines on use of the WebWEE
system and the required Project Manager input.
13.5 Professional Services Contractor Invoices and Payments

The Project Manager is responsible for reviewing and approving professional services firm invoices
prior to processing. The following review techniques and procedures for monthly professional
services firm and sub-contractor invoice processing are appropriate during the entire life of any
project providing goods or services.
Professional services firm should submit at least two copies of their monthly invoices, one for
submittal to Accounts Payable via eTrax and one for the Project Manager and files. Invoices should

13
be submitted monthly within 15 working days of the end of the calendar month. This schedule allows
PROJECTOF
STAGES
for immediate identification, acknowledgment and attention to problems and tight, monthly control
and monitoring of project budgets and schedules.
Professional services firm and/or sub-contractor monthly invoices should include the following:
• Cover letter clearly stating project name, contractor name, client name, contract number,
MONITORING,
purchase order number and request for payment under the invoice
• Copy of contractor’s monthly status/progress reports for billing period
• Proper Invoice, including summaries of design/construction tasks, payroll tabulations, expense

reports and receipts, certified payrolls (if required)
• Current project schedule
• Project photographs (if applicable)
The Project Manager thoroughly checks the following before approving the invoice and forwarding
it to Accounts Payable:
• Continuity of numbers from previous billings; accurate math

• Documentation (such as staff timesheets, receipts, subcontractor billings) of all expenses
listed
• Hourly wages and titles of all persons billing time to the project and legitimacy of overtime,
if authorized (considerations include percent of task budget billed compared with percent of
task work completed and use of personnel with skills commensurate with the task)
• Legitimacy of direct expenses, such as minor reproduction costs, travel, lodging and meals
• Eligibility of expenses relative to approved project scope
Except for where non-professional services are involved, detailed labor, overhead, and direct expense
charges should also be provided and reviewed for second- and third-tier sub-contractors.
The Project Manager should never recommend incorrect monthly invoices for processing. It is the
responsibility of the Project Manager to ensure that all major charges for the month being invoiced
are included or identified every billing period. This is the key to project budget monitoring and
control. However, the Project Manager has some latitude in approval, depending on the terms of the
contract. If only a single item is questioned and the resolution may be lengthy, approval can be given
for the rest of the invoice. The Project Manager should draw a line through the questionable billing
amount, place a new number underneath and attach a memo to Accounts Payable explaining the
action. The professional services firm is also copied. When the matter is resolved, the professional
services firm should acknowledge the corrected amount or be paid the original additional amount
on a subsequent bill.
Once an invoice has been deemed complete and accurate, the Project Manager approves the
receiving report and arranges for approval by Amtrak management empowered to release the funds.

13
With approval by the Project Manager, Accounts Payable is able to process the invoice in a manner

consistent with contract requirements. All supporting documentation and copies of approved
invoices are to be filed in departmental project files and only an approved original invoice forwarded
for processing.
All payments are subject to a final audit. No questionable or unauthorized services or expenses
should be paid for up front with the intention of future invoice adjustments. All such issues should
be resolved before payment is processed.
Project and Program Procedures provides additional information on processing invoices.
13.6 Change Orders

Requests for change orders arise primarily when a contract changes scope or when the effort required
for the original contract is underestimated. To request a change order, the professional services firm,
construction contractor or equipment supplier must submit a detailed explanation of the reasons for
and costs associated with the change order request.
Amtrak analyzes each request to determine a basis for negotiation by the Procurement Department
and the availability of project funding. Change Control Procedure describes the process for analyz-
ing the impact of individual changes requests and the approval process, including the identification
of a Change Control Board (CCB). A log of all change requests and their status is maintained for
the project.
The Project Manager is responsible for analyzing the cost of the change order request and submitting
it to the Procurement Department. The analysis includes a comparison of estimated additional
man-hours, costs and fees with the requirements of the original contract. This serves as a basis for
negotiation with the contractor as well as justification that the price is fair and reasonable, in terms
of both cost and work time.
Once a negotiated settlement is reached, the Project Manager, in conjunction with the Contract
Administrator, must submit formal documentation for the proposed change to the Procurement
Department. This change order package should include:
• A cover sheet summarizing the need for the change and pertinent details of the negotiation
• A copy of the price proposal and any possible time impacts
• The independent engineer’s estimate and analysis of submitted price proposal
• Any other necessary information, such as time and material records, invoices, subcontractor
quotations
Appropriate financial adjustments must also be made to related contract documents, such as purchase
orders, funding form and budget forms, if required. If the contract has been Board approved, the
Project Manager should confirm that the change order execution will not exceed the authorized
approved contract limit.

13
Major changes of scope and/or revisions to task budgets within a set contract amount are not
PROJECTOF
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permitted without the processing of a formal “no-cost” change order and are subject to approval by
the Procurement Department.
Change orders cannot be implemented until the Procurement Department Contract Administrator
is satisfied and a written authorization to proceed is sent to the professional services firm. In selected
cases, a Letter of Intent or directive letter may be issued to avoid costly project delays or unnecessary
MONITORING,
cost increases.
The Contract Administrator is responsible for ensuring that change orders, back-up documentation,
applicable engineer estimates, cost analysis, descriptions and any other related information are
included in the contract file as the permanent record.
The Project Manager is responsible for ensuring the project baselines for scope, schedule and budget
are updated to reflect approved change requests.
13.7 Claims and Claims Avoidance

A claim is an assertion by any individual or organization providing work (services, equipment,
materials, etc.) that they have not been fairly compensated (money or time). Such an assertion can
be related to work performed either within or outside the scope of an existing contract. Claims are
typically resolved through negotiations between the two parties and result in the execution of a
formal change order modifying an existing contract.
Claims Avoidance for Design Services Contracts

In order to minimize claims for extra compensation by professional services firm, a well-written,
clearly defined scope of work is essential. The scope of work should delineate what is expected of
the professional services firm and provide a detailed list of the required deliverables. The scope
of work should be included in the original Request for Proposal (RFP) and the final contract. A
standardized RFP has been developed, but it should be reviewed in depth to ensure that it covers
project-specific issues.
In addition, to avoid design claims, Project Managers are responsible for monitoring the professional
services firm’s work to ensure that it is on schedule and within budget. Monitoring should include:
• Regularly scheduled project meetings

• Reviews of design plans and specifications by Subject Matter Experts
• Careful review of design cost estimates and invoices
• Periodic attendance of the professional service firm’s project team meetings
• A spot check of calculations related to design deliverables

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The Project Manager is responsible for ensuring that Engineering does not request extra work of the

professional services firm unless the work is authorized and budgeted for. The Project Manager is
also responsible for ensuring that the professional services firm honors only those requests that are
submitted in writing and authorized by the Contract Administrator. The Project Manager must also
provide appropriate notification to the professional services firm, Contract Administrator and senior
staff when schedule, cost or quality of work is inconsistent with contract requirements.
Claims Avoidance for Construction Services Contracts

Claims encountered during the construction phase are especially onerous. Construction work
performed as a change order will typically cost more than originally bid contract work. In addition,
numerous change orders executed over the life of a construction job may provide a contractor with
ample justification to support an even larger collateral claim for schedule delays, owner interference,
faulty design documents, etc.
Almost all change orders fall into three major categories:
• Design error
• Unforeseen site conditions
• Owner-initiated changes
Design errors must be eliminated to the maximum extent possible during the design process. Care
must also be taken to ensure that the design can be built. In general, materials and methods should
be time proven, underground conditions should be thoroughly investigated, drawings should be
checked and double-checked for proper coordination of trades and a thorough constructability
review should be conducted by either in-house or external Construction Management staff. Issues
raised during the bidding process, relative to the design, should be resolved before bids are accepted.
Changes related to unforeseen site conditions for new construction (generally involving underground
features) usually can be avoided by a thorough investigation of subsurface conditions. There are
methods available to search for underground tanks, subsurface contamination and utilities. Change
orders to remove unsuitable materials, contaminated soil, rock and unknown concrete structures
are especially expensive. In almost all cases, these can be identified before bidding with a thorough
boring and sampling program. In rehabilitation work, it is more difficult to identify what may lie
behind walls and under floors. It is often impractical to partially demolish the structure to determine
all of the existing conditions. Nevertheless, careful review of as-built drawing files, discussions with
long-time company employees, careful mapping of utilities both inside the building and underground
and carefully worded specifications and drawings can minimize unforeseen site claims during
rehabilitation projects.
Owner-initiated changes should be implemented only when it is in the best interest of Engineering
and Engineering can reach an agreement with the contractor on contract price and time impacts
before authorizing the work. The Project Manager should attempt to avoid internally initiated
changes to construction contracts whenever possible.

13
Although the above three categories include most of the changes encountered during a typical
PROJECTOF
STAGES
construction project, there are several other types of changes that the Project Manager should be
able to avoid with careful planning and attention to detail. These include changes related to:
• Maintaining operations
• Narrow interpretation of plans and specifications
• Excessively rigid specifications
MONITORING,
• Vague requirements
Extensive discussions and written agreements are necessary to ensure there is agreement between
the Project Manager and the Maintenance, Mechanical and Transportation Departments regarding
maintaining and operating the railroad during construction. These agreements can be sign-offs
obtained during the design review process, Memoranda of Record or minutes of meetings. The
important point is that these departments’ staff must understand exactly what the project is and how
it will impact the maintenance of operations. Stakeholder requirements, especially the requirements
of end users, should be clearly and accurately captured. The Project Manager also needs to ensure
that specifications are reasonable and clear. Various contingencies that may occur during the
construction should be covered in the construction documents, perhaps using bid allowances or
options. In many cases, using unit pricing can take care of unforeseen site conditions or contingencies
during construction.
If it is not possible to avoid claims, it is often possible to hold them to a minimum and to resolve
them as they arise. The Project Manager must coordinate closely with the Construction Manager
and Contract Administrator to resolve all disputes in as timely a manner as possible. Project and
construction meetings are a proper forum for identifying, listing and resolving all potential changes.
The earlier an issue is negotiated and settled, the less it is likely to cost.

14
COORDINATING WITH OTHER DEPARTMENTS/AGENCIES

D
uring the planning, design and construction of a project, a Project Manager will need
to coordinate with various departments within Amtrak, outside agencies and project
stakeholders. Coordination with a number of these departments and stakeholders is
covered in other chapters and should be referenced as needed:
Funding Sources and Agency Requirements Chapter 3

Project Management During Preliminary Design Chapter 5
Procurement Process & Coordination Chapter 11
Permits and Approvals Chapter 12
Design Review Process Chapter 15
This chapter identifies additional departments and agencies that the Project Manager may need to
interface within the course of a project. All projects exist due to a business need. The representatives
from the business lines are best suited to ensure the completed project achieves the business need.
In addition to the departments detailed in this chapter, the Project Manager should identify and
coordinate with the relevant stakeholder(s) from the four Amtrak business lines: NEC Operations,
Long Distance Services, State Supported Services and NEC Infrastructure and Investment
Development.
Other agencies or departments will complete activities that should be represented in the Project
Schedule. For example, results of community outreach and real estate acquisition have direct impact
to Preliminary Design outcomes. By identifying these activities in the Project Schedule as successors
to the Preliminary Design, design criteria will be more accurate and reduce risk for design change.

14
14.1 Planning and Budget

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COORDINATING
The Planning and Budget Department of the Engineering Division is responsible for carrying out
the capital programming activities that precede project approval and funding; preparing grant
applications to federal and state funding agencies; initiating funding in WebWEE; providing general
grant compliance administration; gathering information and submitting the ongoing reports required
once a grant is received; and assuring that Engineering complies with the requirements of the grant.
OF A PROJECT
Responsibilities during the capital programming process are:
• The Project Manager is responsible for preparing adequate project definition documentation
for a project to be submitted for capital programming, including scope, budget, cash flow
projections, schedule and other information.
WITH OTHER DEPARTMENTS/AGENCIES
• Planning and Budget is responsible for consulting with internal and external stakeholders
including Technical Disciplines, Construction, Maintenance, Operation Improvements
and other operating departments during the programming phase to ensure that adequate
information is available to make Engineering capital investment decisions and is responsible
for developing annual and five-year capital programs.
• Business Improvement is responsible for ensuring that annual goals are communicated
throughout Engineering through the strategic planning process, leading to the establishment
of priorities for capital projects and programs.
• Engineering Budget and Planning is responsible for issuing annual budget instructions and
developing the operating budgets.
All of the above individuals or departments are responsible for ensuring that obligation schedules
are prepared for inclusion in the annual consolidated budget.
Additional information on the Planning and Budget Department and various funding sources is
found in Chapter 3.
14.2 Government Affairs (State)

Amtrak’s Office of Government Affairs (State) under the Government Affairs and Corporate
Communications Department serves as the liaison between Engineering and community groups
and is responsible for all contact with elected officials, community and neighborhood organizations,
advisory committees, county transportation groups and regional or special interest groups. The
primary function of this office is to act as the liaison for the Corporation on state and local issues,
primarily to generate public and political support for intercity passenger rail.
All federal and state-funded capital improvements projects require a community information/
community participation process of some nature. In these projects, an Office of Government Affairs
representative is assigned to the project team at the earliest stage of a project; the earlier the
involvement, the better the opportunity for anticipating potential concerns of the community and
for planning how to address those concerns. Elements of a community information plan typically

14
include mailings, newsletters, community presentations and meetings with advisory groups and

public officials.
The Project Manager generally is responsible for:
• Coordinating with the Office of Government Affairs at project inception

• Helping to develop a community outreach plan/program and/or stakeholder/third party
coordination plan, if required
• Participating in public meetings and presentations as the technical expert on the project
• Keeping the Office of Government Affairs updated and informed of project progress,
problems, milestones and key decision points
The Office of Government Affairs representative is responsible for:
• Preparing and coordinating the execution of a community outreach plan/program and/or

stakeholder/third party coordination plan, if required
• Establishing and maintaining contact with the public and the public’s various representatives
• Arranging for meetings and presentations
• Writing a memo of record for each meeting summarizing the concerns voiced and the follow-
up required
• Serving as the liaison for any agency or public advisory committees (scheduling meetings,
drafting minutes and coordinating follow-up and status reports)
• Apprising project management of sensitive local issues raised by the community, public
officials and advisory groups
• Coordinating a response, in accordance with the Project Manager, to issues raised by external
contacts
• Responding to all inquiries about the project made by the public, advisory groups or public
officials and coordinating the responses with the Project Manager on all issues; documenting
all inquiries and forwarding a copy to the Project Manager
• Maintaining an ongoing record of the public’s interest in the project
• Offering advice relative to investigations responding to specific local concerns
14.3 Communications
Because many Engineering projects are of interest to the public, Project Managers must know how
and when to release information to the media. The Office of Communications, under the Government
Affairs and Corporate Communications Department, which publicizes projects as required and
responds to all media inquiries, is an important resource in generating positive publicity for a project.
Project Managers should contact the office early in project planning, identifying them as the project
contact so that questions/inquiries can be referred for timely response to the media. This office’s
primary function is to promote enterprise-wide communication to educate employees, the public

14
and representatives of the media about Amtrak operations through multiple channels including
STAGES
COORDINATING
earned media, social media and internal sources.
In addition to responding to the media, the Office of Communications:
• Publicizes a project’s special events, such as contract signing, groundbreaking, equipment

delivery, completion ceremony, grand opening or service initiation
OF A PROJECT
• Distributes newsletter articles on trains or develops a special newsletter or brochure, as

necessary
• Issues press releases and stages press briefings for various phases of project
• Photographs projects for media purposes
• Handles all media requests to photograph or film projects or gain access to Amtrak property
If contacted directly by the media, the Project Manager should immediately refer the call to the
Office of Communications. The Project Manager should never respond directly to media inquiries
unless otherwise instructed by the Office of Communications.
14.4 Office of Finance & General Counsel and Corporate Secretary Administration
Insurance risk management involves ensuring all assets and projects to properly protect Engineering
from exposure to loss. Amtrak has a comprehensive Enterprise Risk Management Policy and
Instruction Manual 1.8.0 in place to minimize our exposure to risk. The Project Manager should
involve the Office of Treasury Services under the Finance Department in project reviews as
outlined in Project and Program Procedures. Topics of interest to Risk Management and Claims
Administration for a project include:
• Alteration of the use of facilities

• New construction/new locations (including Amtrak work on other railroads and transit
properties)
• Services provided by outside contractors
• Contracts, permits and lease agreements
• Insurance
The Project Manager should consult with the Office of Treasury Service early in the project design
phases to determine potential exposures and appropriate actions that will minimize risk and/or
losses. The Office of Treasury Service determines which projects warrant attention.
The Project Manager will work with Engineering Planning and Budgeting, who will work with
Finance on pre-bill and invoicing for third party projects. This will include dispute resolutions.
The SAP system, including WebWEE, is the financial system of record. Tools such as WebWEE and
SAP BPC can be used for providing data for reporting progress performance.

14
14.5 Real Estate Development

Real Estate Development provides the lead for real estate asset development assessments and over-
sight of asset improvement programs on a nationwide basis. These activities include real property
asset management (lease administration, space inventory management, facility planning and de-
velopment) to allow comprehensive oversight and implementation of processes to ensure the most
efficient utilization of Amtrak’s owned and leased property in support of Amtrak’s corporate goals.
The Project Manager is responsible for confirming Amtrak’s property rights (fee ownership,
easement, lease, etc.) and identifying, as early as possible, potential property acquisitions associated
with a project. It is essential that necessary properties not already owned or otherwise legally
controlled by Amtrak be obtained in a timely, orderly and legal manner prior to the award of the
construction contract. Federally assisted construction projects are subject to the legal requirements
of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970. All costs
associated with property acquisition must be borne by the project.
Because property acquisition is considered a long lead item, early action is required and usually
involves the following activities, which take place during the site selection phase of a project:
• Identification of desired properties

• Development of a “firm and sound” estimate (the Project Manager requests that the Real
Estate Department develop an in-house estimate for property acquisition) and a third party
appraisal may be secured at this time
• Development of a project budget for property acquisition
Once the project is approved and funded, the actual property acquisition process begins, comprising
the following basic steps:
• Detailed identification of properties to be acquired, maps and plans prepared by the Project
Manager, professional services firm, surveyors, etc.
• Selection of a third party appraisal and receipt of the appraised amount
• Negotiation of a purchase and sale contract
• Initial deed research as part of survey work
• Title report by outside companies
• Notification to owners for access to property for surveying, soil testing and other work deemed
necessary as allowed by the purchase and sale contract
• Environmental testing and report by consultants
• Environmental report review by Amtrak’s Environmental and Sustainability Group
• If no Amtrak and a property owner are unable to reach agreement and Amtrak complies
with the applicable statutory requirements (49 U.S.C. §24311), Amtrak may proceed with
condemnation of the property

14
• Preparation of relocation plan and subsequent relocation by respective State Department of

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COORDINATING
Transportation
• Securing Amtrak Board approval (the timing of Board approval varies with the specific
nature of the project, i.e., number of parcels required). Board approval would be part of the
project approval and should already be in place at this time
• Securing of ownership of property through negotiated agreement or condemnation
OF A PROJECT
proceedings prepared and/or approved by an Amtrak attorney
Amtrak has agreements with all occupying utilities, which specify relocation fees and/or other
particulars. The Project Manager must check with the Real Estate Development to determine utility
locations within a project area and to verify required actions. Real Estate Development will review
pertinent documents to determine any rights Amtrak may have to demand cancellation or relocation
of the utility.
14.6 Northeast Corridor Infrastructure and Investment Development (NEC IID)

NEC IID is responsible for managing and maximizing the value of Amtrak’s nationwide infrastructure,
stations and other facilities and is the source of a number of engineering projects.
The Project Manager from Engineering will work with NEC IID planning on the following tasks:
• Any communications with the Northeast Corridor Infrastructure and Operating Advisory
Commission (NEC Commission) regarding project activities.
• Projects resulting from short-term, long-term and future comprehensive infrastructure
investment programs and service plans to accommodate projected train volume, travel time
and reliability goals of all NEC users of Amtrak infrastructure.
• Conduct feasibility study and collaborate with Engineering to develop concepts for station
and facilities in coordination with business lines and commuter users to determine necessary
interface with railroad infrastructure and to ensure such facilities are sized to accommodate
projected needs.
• Develop and coordinate the publication of the annual NEC Capital Plan and related Capital
Program.
• Coordinate the development and refinement of NEC infrastructure and capital investments
with and among Amtrak Engineering, the operating business line and other users to ensure
alignment with the goals and objectives set forth in the strategic plan and recommendations
of the Northeast Corridor Commission, and others.
• Train slot planning for Amtrak infrastructure with the operating business lines and other users
for both existing and new services through network simulation modeling and development of
future train schedules.
• Develop and facilitate plans for the efficient operation and expansion of the Northeast
Corridor/Harmonize state and local project initiatives and agreements affecting NEC Assets.

14
• The results of feasibility studies and Project-level National Environmental Policy Act

(NEPA) investigations and other environmental studies related to the formulation of major
program development initiatives/Assess and develop mitigation program and strategies in
coordination with Amtrak’s Law Department and state and federal agencies.
• Requirements based on mitigation strategies to climate and environmental factors affecting
the NEC in coordination with Amtrak’s Law Department and state and federal agencies.
The Project Manager works with NEC IID Management Service on the following activities:
• Resolution of planning, organization, restructuring, financial and business management issues.

• Corporate-sponsored cross-departmental initiatives.
14.7 Other Operation Departments

The Project Manager works with the Operating business lines, Transportation and System Operations
on the definition of functional requirements. In general, members of these departments are important
stakeholders in the project. These Departments could also be the end users of the final product of
the project.

15
DESIGN REVIEW PROCESS

T
he Design Review Process (DRP) is one of the most important tasks for the Project Manager
on a project. The DRP is the application of quality control systems, reviews and inspections
throughout all phases (design, procurement, construction, testing and warranty) of a project
so the completed project adheres to design plans, budget and schedule. In this process, reviews
and approvals from end users, subject matter experts, technical experts, stakeholders and other
departments is achieved, while keeping everyone one in the loop on the project’s progress. This
process ensures quality control has been established through use of directives, oversight, and auditing.
The DRP is instrumental in delivering quality to Amtrak customers in terms of safety, reliability,
performance and cost-effective operations and maintenance. Adequate project budget and time
must be included in the schedule for each phase of the project for the DRP. A well-managed and
well-executed DRP will ensure project requirements are met and project objectives are achieved.
The DRP is critical to the success of the project. The Project Manager is responsible for coordinating
the process, ensuring that requirements are addressed as part of the design and ensuring that
additional requirements are not introduced.
This chapter provides a brief overview of the design review process for capital and non-capital
projects in the Engineering Department. Details can be found in the Project and Program Procedures.
15.1 Engineering Procedures

The DRP assists the Project Manager, in a methodical way and on a continuing basis, the high
standards of operation, technical design and/or application, interdepartmental coordination, budget,
schedule and other elements essential to the successful completion of a project. Because the output
of the DRP is construction contract documents with legal implications, it is imperative that the design
is complete and accurate. Any errors or omissions may expose Engineering to risk.

15
During project definition, the DRP involves the end user in exploring and evaluating project
STAGES
DESIGN REVIEW
alternatives, defining design objectives and criteria and developing a clear definition of the work to
be done.
During design, the DRP generally takes the form of design reviews and approvals by end users,
technical experts, subject matter experts, technical discipline and department heads. Design review
should cover the following fundamentals:
OF A PROJECT
• Quality of design
• Building code compliance
• Identification of errors or omissions
• Meeting operational and functional objectives, including safety
PROCESS
• Maintaining costs within budget

• Constructability
• Bid-ability
• Cost-effectiveness
• Compatibility with interfacing projects/operations
• Compliance of final construction documents with design criteria
• Conformance to relevant Amtrak Specifications and Standards
During construction, the DRP should verify, through field testing and inspection, that:
• Equipment, supplies and construction work performed complies with the contract documents
• Changes or modifications are approved and documented
• All equipment is tested throughout development, manufacture and installation
• Problems are detected early and positive corrective action is instituted
• The completed project meets operability and maintainability requirements
15.2 Advisory Committees

Project Managers should consider establishing a project technical advisory committee (TAC) to
provide overall input and review. Reviews are generally carried out by distributing documents and
information in memo form, although at times review workshops are held. For review workshops, the
Project Manager, with assistance from a professional services firm, if available, should keep a record
of attendance and discussion. Details on the membership and responsibilities of these committees
can be found in the Project and Program Procedures.

15
15.3 Post-Construction Review Process
DESIGN REVIEW PROCESS

During Post Construction, the process should also include an analysis of problems encountered
during a project and corrective actions taken, as well as a discussion of issues that might, in hindsight,
have been resolved differently, so that others can learn from the experience.
This information is provided in a Lessons Learned Report, which involves input from the end user.
The Lessons Learned Report is prepared within 60 days after the project has been put in use. The
Project and Program Procedures provides additional information on this report.

16
GUIDELINES FOR ESTIMATING COSTS

A
t various stages of a project, a Project Manager will need to develop a project budget that
includes cost estimates for design, construction management, administrations, force account
labor, property acquisition, construction, equipment and contingency for project grant
applications. These initial project budgets will be included in the project definition documents, and
will be used to verify or validate bid costs. The method, calculations and supporting information used
to arrive at a cost estimate will be documented and become part of the project file. The contingency
should be applied accordingly based on the stage of the project.
It is important to keep in mind that some projects do not require a design phase, begin with minimal
planning and go straight to execution. For these types of projects, construction estimates are still
required prior to work commencing. It is important to note that for projects that are funded by an
outside entity (i.e., states, cities, DOT’s, freight railroads, etc.), the Project Manager may be involved
with the estimate presented for or as part of an agreement. In these cases, the Project Manager
should consult Finance to validate that they are using the proper overhead rates that will be billed
to the outside entity.
The initial cost estimates developed as part of the project budget are typically completed as a Rough
Order of Magnitude. As planning progresses with fewer assumptions in regards to scope, time and
resources, a budgetary estimate can be completed. When the project scope is fully defined and the
work breakdown structure is completed, a detailed estimate can be completed. This progression to
the most accurate estimate directly aligns with progression during the design phase. Additionally, as
depicted in paragraph 16.4, contingency reserves are adjusted as estimates become more accurate.
Project Managers should be prepared to complete a detailed estimate for each change request or
change order during project execution.

16
16.1 Cost Estimates for Design and Construction Management Services

STAGES
GUIDELINES
The Project Manager is responsible for developing the initial design and construction management
cost estimate. This estimate is prepared very early in the project, which is required for budgeting and
planning and can be used for grant applications. The Project Manager is also required to provide a
design cost estimate to the Procurement Department as part of the information needed for the RFP
for design, and similarly a construction management cost estimate as part of the information for the
OF AFOR
RFP for construction management.
There are a number of ways to estimate design and construction management costs. Most Project
Managers use one or a combination of the following methods.
PROJECT
Costs Estimated as a Percentage of Construction Costs

ESTIMATING COSTS
In the past, a percentage of the construction cost was widely used to estimate design costs for the
preparation of drawings, specifications and other contract documents necessary for the construction
of Engineering projects. This method can be used for very rough, order-of-magnitude estimates.
The guidelines provided below should be utilized with caution and Project Managers should verify
their validity based on Engineering’s recent past experience on similar projects.
Currently used guidelines for estimating design and construction management costs for Engineering
projects, as a percentage of construction cost, are:
• Preliminary design (new construction): 3 to 5% of construction cost

• Preliminary and final design (new construction): 5 to 9% of construction cost
• Preliminary and final design (rehabilitation): 8 to 11% of construction cost
• Construction phase services: 1 to 4% of construction cost
• Construction management: 4 to 7% of construction cost
• Project management and administration: 1 to 4% of construction cost
Some additional services that can increase the design and CM costs are:
• Feasibility studies
• Field investigations and engineering data collection
• Geotechnical engineering
• Toxic and hazardous waste evaluations
• Environmental evaluations
• Environmental assessments and impact statements
• Value engineering
• Safety engineering

16
• Construction inspection services

• Construction surveying support
• Arranging for the testing of materials and equipment
• Assistance in start-up and operation of facilities
• Preparation of operation and maintenance manuals
• Operational assistance
• Historic preservation investigations/requirements
When planning the design phase of the project, these services should be documented in the project
scope, captured in the work breakdown structure and estimated accordingly.
Costs Estimated by Number of Drawings (Design Only)

A cost estimate can be arrived at by developing a list of potential drawings required to construct an
engineering project and computing the cost using a typical average hourly rate determined by recent
contracts multiplied by number of drawings required to construct.
Costs Estimated by Labor Effort per Task

A more refined cost estimate can be arrived at by listing the tasks in the scope of work, estimating
the number of hours required to complete each task and computing the cost using a typical average
hourly rate determined by recent contracts.
Costs Estimated by Comparison with Similar Recent Amtrak Projects

Project Managers can look at similar recent Engineering projects to estimate the design and
construction management costs of their project or to verify estimates arrived at through other
methods. Other Project Managers and the Project Manager’s supervisor are also sources of
information regarding design cost estimates.
16.2 Cost Estimates for Equipment

The Project Manager is responsible for obtaining accurate, comprehensive cost estimates for
equipment procurements. A solid cost estimate prepared at the beginning of the project eliminates
the need to secure additional funding or approvals after the procurement has been initiated.
Following are some of the sources that can be used to establish equipment cost estimates:
• American Public Transit Association (APTA)

• Trade magazines
• Product vendor quotations
• Other transit agencies

16
• Previous purchases factored to reflect inflation and market demand

STAGES
GUIDELINES
Equipment cost estimates must factor in a cost escalation based on the time the equipment is
expected to be ordered.
16.3 Cost Estimates for Construction

OF AFOR
The Project Manager is responsible for preparing construction cost estimates for physical
improvements to Engineering infrastructure, facilities and properties. These estimates should reflect
the average estimated cost of construction, not the anticipated low bid. Typically, the Project Manager
PROJECT
develops preliminary construction cost estimates early in the project for capital budgeting and grant
purposes and professional services firm develop more refined construction cost estimates as part of
the design scope of work and bid package preparation.
ESTIMATING COSTS
In early work, construction cost estimates may be based on rough parameters, such as total square
footage of structure or total linear footage of railway. As design work progresses, and as the indi-
vidual construction elements are designed and finalized, the estimates will become more detailed
and accurate.
Following are some of the sources that can be used to establish construction cost estimates when
work will be performed by a third party:
• R.S. Means Company

• F.W. Dodge
• Department of Transportation
• American Railway Engineering Association
• Amtrak, for historical information on completed projects
• Hard Dollar Estimating Software
The above sources, particularly Means and Dodge, provide details on labor rates and productivity as
well as material costs, which are especially useful in preparing change orders and negotiating with
contractors. Specific adjustments and allowances for pricing should be made for each project and
should be based on the following considerations:
• Project complexity
• Supply/demand for contractor’s services and for materials
• Individual construction contract specifications
• Change Order work
When planning for Engineering construction projects that consist of typical standard railroad
construction activities that will be performed by Amtrak union forces (i.e., joint elimination, tie
replacement, surfacing, air break switches, etc.), a Project Manager can reference the actual unit cost

16
data in WebWEE that provides an average, minimum and maximum unit cost for these standard

activities. It is important to remember that not all projects are created equal and construction costs
can significantly vary in the Amtrak railroad environment depending on site conditions. Some
of the conditions that a Project Manager should consider when developing an estimate include
number of tracks at location of work, constraints of construction productivity due to track geometry,
potential station platforms, under-grade bridges, general train traffic density of location, electrified
or non-electrified track, type of track outage required or available, time of year weather conditions,
division versus production forces performing the work, etc. The costs are given in ranges, as different
conditions and parameters govern the final actual cost of any project. Outside of these standard
activities, it is recommended that a Project Manager consult with the Engineering Estimating Group
to develop an estimate for the project.
16.4 Contingencies
Cost contingencies provide reserve against the risk of cost increase during the development of the
project. These contingencies must be separately identified in the project’s financial plan and included
in the cost estimates. Contingencies can be established as a specific amount or as a percentage of a
budget estimate (or both). As a project moves through the engineering and design processes, cost
increases due to the refinement of design are less likely and, consequently, the contingency should
be reduced.
Typical working targets for total contingencies are as follows:
• Project Planning Phase – 30 to 40% of project cost

• Entry into Preliminary Design Phase – 30 to 35% of project cost
• Entry into Final Design Phase – 20% of project cost
• Construction Award Phase – 15% of project cost
• Construction Award Phase (Alternative Project Delivery Method) – 10% of project cost
• Projects with no Design – up to 30% of project cost
The Project Manager is responsible for applying an appropriate range of contingencies based on a
project being either new construction or rehabilitation.

AA Alternative Analysis LONP Letter of No Prejudice
ABREVIATIONS AND ACRONYMS

ADA Americans with Disabilities Act MIS Major Investment Study
A&E Architectural and Engineering MPC Major Capital Project
AREMA American Railway Engineering and MPO Metropolitan Planning Organization
Maintenance Association NCR Non-Conformance Reports
CA Contract Administrator NEPA National Environmental Policy Act
CE Categorical Exclusion NTI National Transit Institute
CII Construction Industry Institute NTP Notice to Proceed
CM Construction Manager OFE Owner Furnished Equipment
CMAR Construction Manager At-Risk OSHA Occupational Safety and Health
CPM Critical Path Method Administration
CR Constructability Review O&M Operations and Maintenance
CSI Construction Specifications Institute PMI Project Management Institute
CVS Certified Value Specialist PMO Program Management Office
D/B Design/Build PMP Project Management Plan
D/B/B Design/Bid/Build PDR Project Definition Report
DBE Disadvantaged Business Enterprise QA/QC Quality Assurance/Quality Control
DBOM Design/Build/Operate/Maintain RE Resident Engineer
DBOM/F Design Build Operate Maintain/ RFC Request for Change
Finance RFI Request for Information
DEIS Draft Environmental Impact Statement RFP Request for Proposal
DOT Department of Transportation RFQ Request for Qualifications
E&O Errors and Omissions ROD Record of Decision
EA Environmental Assessment ROW Right-of-Way
EE Environmental Evaluation RR Railroad
EIS Environmental Impact Statement RSD Revenue Service Date (formerly
EV Earned Value Revenue Operation Date)
FEIS Final Environmental Impact Statement SAVE Society of American Value Engineers
FONSI Finding of No Significant Impact SOW Scope of Work
FAA Federal Aviation Administration T&M Time and Material
FRA Federal Railroad Administration VE Value Engineering
FTA Federal Transit Administration WBS Work Breakdown Structure
113
Addendum (Addenda – plural) bidder does not accept award of the contract,
APPENDIX GLOSSARY
A modification of a solicitation (IFB or RFP). the bidder is liable for the amount of loss suf-
fered by Amtrak. Such loss may be partially or
Advertisement completely recovered by Amtrak by exercising
Classified advertisement placed in a general- its rights against the surety.
ly distributed publication notifying the public
and interested contractors of forthcoming so- Bid Protest
licitations. Bidder/Offeror challenges the appropriateness
of a contract award decision. Amtrak does not
Allowable Cost have a formal bid protest procedure.
A direct or indirect cost which, by its nature,
may be reimbursable to a cost-based contract Bidder
and/or change order in accordance with ap- Any individual, firm, partnership, corporation
plicable Federal Acquisition Regulations – 48 or combination thereof submitting a bid for
CFR 31.201-2. goods or services in response to an Invitation
for Bids.
Amendment
A modification of the terms of a contract which, Capital Equipment
although within the general scope of a contract, Any equipment having a useful life of at least
must be executed by both Amtrak and the con- one year, including rolling stock and all other
tractor. (See Contract Modification.) such property.
Architect/Engineer (A/E) Change Order

The person lawfully licensed to practice ar- A written order signed by the Vice President
chitecture or engineering or an entity lawfully of Procurement and Materials Management or
practicing architecture and/or engineering iden- a duly authorized representative and the con-
tified as such in separate correspondence. The tractor and issued to the contractor amending
A/E may be a person or entity under contract the contract documents. (See Contract Modifi-
to Amtrak for architectural and/or engineering cations.)
services or a person employed by Amtrak.
Change Request
Award A document submitted by the contractor to
Amtrak’s approval of a bid or proposal, and Amtrak specifying a proposed change to the
written notice of such approval to the tenderer contract documents.
of the successful bid or proposal.
Construction Manager
Bid That entity, if any, awarded a contract by
An offer to provide goods or services submit- Amtrak for construction management services.
ted on a bid form including a list of bid items
and charges. Consultants
As defined in Amtrak’s Consultant Services
Bid Bond Policy (P/I 1.6.0), consultants are individuals
The purpose of the Bid Bond, which is submit- or organizations that provide services or assis-
ted with a bid, is to indemnify Amtrak in the tance in the area of organizational structure,
event the successful bidder refuses to enter policy development, strategy and corporate
into a contract after award. If the successful direction, operations or maintenance man-
115
agement, or the identification and analysis of Contract Time

STAGES
APPENDIX
areas within Amtrak requiring improvements. The amount of time as set forth in the Contract
Contracts for consultants define a deliverable for completion of the Contract, including any
product for which the consultant is contractu- authorized amendments thereto; also referred
ally responsible. to as Period of Performance.
Contract Contracting Administrator (CA)

OFGLOSSARY
An agreement between parties in which a Duly appointed member of the Procurement

promise to pay is made in exchange for the fur- Department who is subordinate to the Con-
A PROJECT
nishing of goods or services. tracting Official and is responsible for all con-
tractual actions other than those reserved to
Contract Documents the Contracting Official.
Consists of the Contract and all other docu-
ments specifically identified and incorporated Contracting Official (CO)
therein. The Contract Documents may include: The Vice President of Procurement and Ma-
General Provisions; Supplementary General terials Management or such person as may be
Provisions; the Pricing Schedule; Drawings; authorized in writing by Amtrak to execute,
Specifications; Contract Modifications; and any administer and make changes to the Contract
other documents identified as Contract Docu- and to make related determinations and find-
ments in the Contract. Unless specifically iden- ings on behalf of Amtrak. This includes a duly
tified in the Contract, the Contract Documents appointed successor or an authorized represen-
do not include solicitation documents (e.g., tative of the Contracting Official acting within
RFPs, IFBs, Contractor’s bid or proposal, etc.). the limits of his/her authority. He/she assumes
no personal liability under the Contract.
Contract Drawings
The plans, elevations, cross-sections, supple- Contracting Official’s Technical Representa-
mental drawings and details included or re- tive (COTR)
ferred to in the specifications which have been That Amtrak representative designated by the
approved by Amtrak, which show the dimen- Contracting Official to handle one or more
sions, character and details of the work to be technical administrative functions, as set forth
performed. in the contract or separate correspondence
from Amtrak. (Also known as the Project
Contract Modifications Manager.)
Any written alteration in the specifications,
price, delivery date, contract period, quanti- Contractor
ty or other contract provision of an existing The person or organization identified as having
contract, accomplished by unilateral action in been awarded a contract in the contract docu-
accordance with a contract provision or by a ments. Contractor means the contractor or its
mutual action of the parties to the contract. A authorized representative.
Contract Modification is: (a) a written amend-
ment to the Contract signed by both parties; or Cost Analysis
(b) a Change Order issued by the Contracting A detailed review and evaluation of the sep-
Official. arate cost elements and proposed profit of a
vendor’s cost or pricing data and the judgmen-
tal factors applied in estimating the costs. A
116
cost analysis is generally conducted to form an tools and apparatus necessary for the proper
APPENDIX GLOSSARY
opinion on the degree to which the proposed and acceptable completion of the project.
cost, including profit, represents what the per-
formance of the contract should cost, assuming Facility
reasonable economy and efficiency. Those structures, buildings, and property that
are to be erected, renovated, reconditioned, re-
Days modeled or removed under the project.
As used in the contract documents, “Days”
shall be understood to mean calendar days, un- Federal Acquisition Regulations (FAR)
less otherwise designated. The regulations that govern procurements by
federal government agencies. Amtrak is sub-
Design Specifications ject to certain (but not all) of these regulations
Specifications based on the design of a prod- when federal grant funds are utilized for a pro-
uct or service. Typical design specifications may curement.
include dimensions, materials used, commonly
and competitively available components, and Federal Requirements
non-proprietary methods of manufacturing. Federal regulations to which Amtrak is subject
via its grant agreement with the FRA. They set
Direct Cost forth standards for the procurement of goods
The cost that can be identified specifically with and services with federal funds. The require-
a particular cost objective. ments are set forth in 49 CFR 19.40 – 19.48
(with exception of 19.44 (b)). (See Appendix
Disadvantaged Business Enterprise (DBE) A.3)
Small business concern owned and controlled
by “socially and economically disadvantaged Force Majeure
individuals” (as that term is defined in 49 CFR An unforeseeable event that results in an ex-
Part 26). cusable delay in the performance of contract
obligations; protects the party from sanctions
Emergency for late performance.
A condition existing when the public exigen-
cy requires the immediate delivery of goods or Federal Railroad Administration (FRA)
services. Such conditions may also cause sig- Federal grantor providing financial assistance
nificant inconveniences to the public, i.e., ser- and operational oversight to Amtrak.
vice delays, hazardous conditions or danger to
property. General Provisions
Part of the contract documents. These provi-
End User Department sions set forth the rights and responsibilities
The term used for any department within Am- of the contracting parties and are generally
trak that initiates a request for procurement standard in all contracts of a specific type (e.g.,
action and that will ultimately benefit from the construction).
goods or services acquired. (Also known as the
Requesting Department.) Grantee
Amtrak as a recipient of an outside source of
Equipment funds, most notably from the FRA.
All machinery, together with the necessary
supplies for upkeep and maintenance, and also
117
Independent Contractor Offer

STAGES
APPENDIX
As defined in P/I 1.6.0, an independent con- A promise to provide goods or services ac-
tractor is an individual retained on a tempo- cording to specified terms and conditions in
rary basis to perform work under the supervi- exchange for material compensation. May take
sion of an Amtrak manager. This work may be the form of a bid or proposal.
professional or clerical in nature. However, the
distinguishing feature from either a Consultant Offeror
OFGLOSSARY
or Professional Services Contract is that the in- Any individual, firm, partnership, corporation
dividual’s work is administered and monitored or combination thereof submitting a proposal
A PROJECT
by an Amtrak manager. (See also P/I 7.13.1.) for goods, services or work in response to a Re-
quest for Proposals.
Invitation for Bids (IFB)
A method of procurement used to solicit sealed Overhead or Indirect Costs
bids where a firm, fixed price contract is to be The costs that are generally associated with or
awarded to the lowest responsive and respon- attributed to the operating of a business and
sible bidder. which may be allocated to one or several cost
pools identified as General and Administra-
Lowest Responsible Bidder tive, Labor Fringes & Benefits, etc.
The bidder who is eligible to be awarded a
contract because its bid in unit price, total cost Payment Bond
or value per dollar is lower than any other bid A payment bond (sometimes known as a labor
submitted for consideration, and who is a re- and material payment bond) ensures payment
sponsible contractor. by the prime contractor as required by law of
all subcontractors supplying labor and material
Negotiation in the performance of work under a contract.
Mutual discussion concerning the terms of a
transaction or agreement between a purchaser Performance Bond
and supplier. A performance bond ensures the completion
of the project by the contractor guaranteeing
Notice of Award that if it defaults, the bonding company will
A letter issued to the successful bidder/offeror step in and finish the work.
stating that its bid/proposal has been accepted
for contract. The letter requests the signature Performance Specifications
of the bidder/offeror on the contract docu- Specifications based on the function and per-
ments, as well as other requirements within a formance of a product or service under speci-
prescribed period of time. The notice of award fied conditions, preferably conditions that can
serves as notification only and is not contractu- be reproduced for testing purposes. Perfor-
ally binding, nor does it authorize the awardee mance specifications may include useful life,
to buy materials or commence work. reliability in terms of average intervals be-
tween failure, and capacity.
Notice to Proceed
A written notice from Amtrak to the contrac- Pre-Bid or Pre-Proposal Conference
tor to perform work, provide a service or deliv- A conference featuring representatives of the
er materials as prescribed in the contract. Procurement Department and the User De-
partment, to discuss questions and concerns
118
raised by the prospective bidders/offerors re- out indicates that required services or work
APPENDIX GLOSSARY
garding the preparation of their bids/proposals. have been provided and full payment has been
made. Contract closeout does not necessarily
Pre-Construction Meeting mean that the contractor is released from any
A meeting with the contractor and Amtrak af- claim which Amtrak may have for negligence,
ter awarding the contract and before beginning malpractice and breach of contract.
construction.
Project Manager (PM)
Price Analysis The person delegated the authority to act on
The process of examining and evaluating the behalf of the requesting department for the
reasonableness of a bidder’s/offeror’s price daily technical administration of a contract
without evaluation of the separate cost ele- including the monitoring of the contractor’s
ments and proposed profit, usually by compar- performance in accordance with the contract.
ing the price to verifiable data such as a pub- (Also known as the COTR.)
lished price list or previous purchases.
Proposal
Procurement An Offeror’s response to a Request for Pro-
Procurement and Materials Management De- posal that describes the goods or services be-
partment. ing offered by a prospective vendor. Typically
submitted as two separate proposals, technical
Professional Services and price.
As defined in P/I 1.6.0, professional services
are performed by individuals or organizations Purchase Order
that provide services of a technical or intellec- A type of contractual agreement in which a
tual nature within the field of finance, account- promise to pay is offered in exchange for goods
ing, architecture, land surveys, professional or services.
engineering, law, medicine, computer program-
mer/support, advertising and communication, Purchase Requisition
etc. Contracts for professional services define a A hardcopy or electronic document used to
deliverable product for which the contractor is initiate the procurement process that contains:
contractually responsible. descriptions, technical specifications and cost
estimates of the intended purchase; and autho-
Progress Payments rizing approvals of the appropriate officials.
Reimbursements for costs incurred by a con-
tractor at a percentage or stage of completion Request for Information (RFI)
of the work. These payments are generally used A formal request to determine what type of
when the contract requires an extended period products/services are available in the market-
of time for completion of the work. place when a large or complicated purchase
is being considered and the potential pool of
Progress Reports suppliers must be pre-qualified. (Sometimes
Periodic reporting of progress relating to spe- used interchangeably with Request for Qual-
cific requirements set forth in the contract. ifications.)
Project Closeout Request for Proposals (RFP)

The process, whereby closure of the contract A method of procurement used to solicit tech-
with the contractor is consummated. The close- nical and price proposals that are jointly con-
119
sidered for the basis of award. Contract award Shop Drawings

STAGES
APPENDIX
is based on offerors’ rating on various evalua- Copies of original drawings submitted to Am-
tion factors listed in the solicitation. trak by or through the contractor, subcontrac-
tor or any lower tier subcontractor pursuant
Request for Qualifications to the work, showing in detail: the fabrication
A formal request to solicit statements of inter- and assembly of a product or equipment; the
est and firm qualifications to allow Amtrak to installation (that is, the form, fit and attach-
OFGLOSSARY
pre-qualify products or firms. (Sometimes used ment details) of product or equipment; set-up
interchangeably with Request for Informa- of product or equipment with instruments for
A PROJECT
tion.) testing; function of the product or equipment;

and breakdown of product or equipment to its
Request for Quotations lowest level of repairable/replaceable parts.
A less formal method of soliciting competitive
prices from potential vendors using the tele- Single Source
phone, facsimile, email or written transmittal. Single sourcing exists when only one vendor is
This form of solicitation may be used when the chosen although several are available. (See P/I
requirement is for small dollar procurement 11.47.0)
(less than $100,000). This method may also be
used for procurements of $100,000 or greater Site Visit
when the use of a formal Request for Propos- An Amtrak-conducted tour of a project site to
als (RFP) or Invitation for Bids (IFB) is not acquaint prospective bidders/offerors with the
feasible due to extenuating circumstances such existing conditions at the site of the proposed
as an Amtrak emergency situation. work.
Retainage Small Dollar Procurements

Withholding of a portion of undisputed Acquisition of goods or services that cost less
amounts invoiced to Amtrak for services per- than $100,000.
formed. Upon satisfactory completion of all
services, Amtrak shall pay the retained portion Small Dollar Procurement Procedures
of each invoice. Those relatively simple and informal procure-
ment methods used to make small dollar pro-
Revision curement purchases.
An architectural/engineering change to a proj-
ect drawing. Revisions may be issued during Sole Source
the solicitation stage and/or the construction Determined as the one and only source avail-
stage of the project. able. Sole sourcing exists when only one source
of supply is available. (See P/I 11.47.0)
Scope of Work
Complete description clearly defining the sup- Sole Source Contract
plies or services being procured either through A contract for the acquisition of goods or ser-
performance specifications setting forth the vices from the only contractor/ vendor avail-
minimum acceptable performance standards able to provide the goods or services. A type
expected of the end product or through a de- of non-competitive contract. (See P/I 11.47.0)
scription of tasks to be performed. (May also
be referred to as the Statement of Work.)
120
Solicitation Technical Evaluation Committee (TEC)
APPENDIX GLOSSARY
A purchasing entity’s request for offers, includ- The committee whose duties include evaluation
ing a Request for Quotations, an Invitation for and rating of technical proposals and selection
Bids or a Request for Proposals. of a contractor.
Specifications Technical Data

The portion of the Contract Documents con- Written, typed or printed material prepared by
sisting of the written requirements for materi- the contractors, subcontractors, vendors, suppli-
als, equipment, systems, standards and work- ers or others, whether or not copyrighted, and
manship for the project, and performance of submitted in response to the requirements set
related services. forth in the contract documents. Technical data
may include, but are not limited to, product
Statement of Work (SOW) data, shop drawings, pictorial representations,
Complete description clearly defining the reports, schedules, studies and assessments.
goods or services being procured either through
performance specifications setting forth the Technical Evaluation
minimum acceptable performance standards Conducted by a technical evaluation commit-
expected of the end product or through a de- tee in accordance with the evaluation criteria
scription of tasks to be performed. (May also as established in the solicitation documents.
be referred to as the Scope of Work.)
Technical Provisions (Specifications)
Subcontractor The Technical Provisions are specific require-
Any party that takes portions of a contract ments setting forth the technical material,
from the prime contractor or another subcon- methods and provisions pertaining to the con-
tractor for the performance of some portion of tract.
the prime contractor’s work under the original
contract. U.S. Department of Transportation (USDOT)
U.S. Department of Transportation means the
Supplemental Agreement Secretary of the U.S. Department of Transpor-
A written bilateral document that amends tation, and other persons who may at the time
the contract to cause a change in the scope of be acting in the capacity of the Secretary, or
the contract. If a change would be outside the an authorized representative or other persons
scope of work either in nature or magnitude otherwise authorized to perform the functions
but there is sufficient justification to award the to be performed by USDOT, including repre-
change to the original contractor, a Supple- sentatives of the Federal Railroad Administra-
mental Agreement is required. (See also Con- tion (FRA).
tract Modification.)
Supplementary General Provisions for

Non-Construction [or Construction] Contracts.
Mandatory provisions that must be incorporat-
ed into all contracts where funding is provid-
ed by the FRA under its grant agreement with
Amtrak.
121
Contact information
A.J. Nayee
Deputy Chief Engineer
Amtrak Engineering Program Management Office
2955 Market Street, 30th Street Station, 4S-030, Philadelphia, PA 19104
Phone: 215-349-1708 Email: aj.nayee@amtrak.com
Amtrak is a registered service mark of the National Railroad Passenger Corporation.

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Amtrak Engineering

Project Management Manual

Ashok J. Nayee Rodrigo Bitar

Alfred J. Cloutier William S. Bates

Andrew J. Keefe Mark R. Donovan

Keith Holt Cassim Mamoon

Revision Date Description

Revision 1 March 2016 First publication.

PART I: PROJECT MANAGEMENT OVERVIEW

CHAPTER 1. THE AMTRAK ORGANIZATION

CHAPTER 2. PROJECT, PROGRAM AND PROJECT & PROGRAM MANAGEMENT

CHAPTER 3. FUNDING SOURCES AND AGENCY REQUIREMENTS

PART II: STAGES OF A PROJECT

CHAPTER 4. PROJECT MANAGEMENT DURING PLANNING

CHAPTER 5. PROJECT MANAGEMENT DURING PRELIMINARY DESIGN

CHAPTER 6. VALUE ENGINEERING AND OTHER VALUE-ADDED PROGRAMS

CHAPTER 7. PROJECT MANAGEMENT DURING FINAL DESIGN

CHAPTER 8. PROJECT MANAGEMENT DURING CONSTRUCTION

CHAPTER 9. PROJECT MANAGEMENT DURING COMMISSIONING

PART III: PROJECT ADMINISTRATION, COORDINATION AND REPORTING

CHAPTER 11. PROCUREMENT PROCESS AND COORDINATION

CHAPTER 12. PERMITS AND APPROVALS

CHAPTER 13. PROJECT MONITORING, CONTROLS AND REPORTING

CHAPTER 14. COORDINATION WITH OTHER DEPARTMENTS/AGENCIES

Table of Contents vii

CHAPTER 15. DESIGN REVIEW PROCESS

CHAPTER 16. GUIDELINES FOR ESTIMATING COSTS

Abbreviations and Acronyms.......................................................................................113

viii Table of Contents

Using the Manual

How the Manual is Organized

Documents for Additional Information

Sources and Acknowledgments

1. Set a clear project goal

2. Determine the project objectives

3. Establish check points, activities relationships and time estimate

4. Draw a picture of the project schedule

5. Direct people individually and as a project team

6. Reinforce the commitment and excitement of the project team

7. Keep everyone connected with the project

8. Build agreements that vitalize team members

9. Empower yourself and others on the project team

10. Encourage risk-taking and creativity

xii The Amtrak Organization

THE AMTRAK ORGANIZATION

1.1 Amtrak Goals, Vision and Mission

Amtrak’s current goals focus on three key themes:

Part I: Project Management Overview 1

1.2 Amtrak Services

1.3 Board of Directors

Mr. Joseph H. Boardman Mr. Christopher R. Beall

Mr. Anthony R. Coscia Ms. Yvonne Brathwaite Burke

2 Part I: Project Management Overview

THE AMTRAK ORGANIZATION

Mr. Albert DiClemente Mr. Jeffrey R. Moreland

1.4 Amtrak Organization

• Corporate Research and Strategy • Marketing and Sales

• Finance • Human Capital

• Northeast Corridor Infrastructure and • Information Technology

The mission or role for each department is briefly discussed below.

Part I: Project Management Overview 3

Emergency Management and Corporate Security: Lead an integrated enterprise-wide emergency

4 Part I: Project Management Overview

THE AMTRAK ORGANIZATION