Amtrak AmtrakFY11RevisedBudgetand ComprehensiveBusinessPlan3-FINAL

National Railroad Passenger Corporation

AMTRAK

Fiscal Year 2011 Revised Budget and Comprehensive Business Plan

Operating, Capital Programs,

and Debt Service Expense Budget

March 2010, revised June 2011 in accordance with Public Law No. 112-10 “Full Year Appropriations Act.”

FY2011 Budget_Bus Plan REVISED FINAL 06.13.11 v1.doc1 of 80

Table of Contents

Introduction............................................................................................................................... 4 Background........................................................................................................................... 4 Vision and Objectives ........................................................................................................... 5

Amtrak’s Vision................................................................................................................ 5 Corporate Goals & Objectives .......................................................................................... 5

Federal Support..................................................................................................................... 5 Federal Support for FY2011 ............................................................................................. 6

Budget Development ............................................................................................................ 8 Operating Budget Base and New Activities ......................................................................... 9 Capital Budget Processes.................................................................................................... 11

Program and Project Information.................................................................................... 11 Project Ranking............................................................................................................... 11

Risks........................................................................................................................................ 12 Operating Budget .................................................................................................................... 13 FY2011 Key Operating Budget Assumptions ........................................................................ 13

Revenue............................................................................................................................... 13 Expenses ............................................................................................................................. 17

Salaries, Wages, Taxes and Employee Benefits ............................................................. 19 Fuel, Power and Utilities................................................................................................. 20 Other ............................................................................................................................... 21

Capital Budget ........................................................................................................................ 22 ADA Compliance................................................................................................................ 23 Northeast Corridor State of Good Repair (SOGR) ............................................................. 23 Fleet Acquisition Program .................................................................................................. 25

Debt Service and Debt Related Equipment Purchases ........................................................... 26 Principal and Interest .......................................................................................................... 26 Early Buyout Options (EBO).............................................................................................. 26 Operating Cash Requirements ............................................................................................ 27 Sources and Uses of Cash – Budget Basis.......................................................................... 27

Department (Cost Center) Operating and Capital Budgets..................................................... 29 Amtrak Police Department ................................................................................................. 29 Environmental, Health, and Safety ..................................................................................... 41 Finance................................................................................................................................ 45 Government Affairs and Corporate Communications ........................................................ 47 Human Resources, Labor Administration and Diversity Initiatives................................... 49 Information Technology ..................................................................................................... 51 Marketing and Product Development ................................................................................. 54 Mechanical.......................................................................................................................... 60 Office of the General Counsel ............................................................................................ 63 Operations Management ..................................................................................................... 66 Policy and Development ..................................................................................................... 67 Procurement & Materials Management .............................................................................. 69 Real Estate Development.................................................................................................... 72 Transportation ..................................................................................................................... 73 Corporate Common............................................................................................................. 78


Appendix Reports ................................................................................................................... 80

Tables and Charts Table 1 – Summary Federal Funding Request.......................................................................... 7 Chart 2 – Historical General Federal Funding.......................................................................... 8 Table 3 – New Activities and ‘Initiatives’ Impact.................................................................. 10 Table 4 – Profit and Loss Statement ....................................................................................... 13 Table 5 – Summary of Changes in Operating Revenue.......................................................... 15 Chart 6 – Ridership Trends ..................................................................................................... 16 Chart 7 – Ticket, Food and Beverage Revenue Trends .......................................................... 16 Table 8 – Reconciliation of FY11 Operating Expense Budget to FY10 Results.................... 18 Chart 9 – Salaries, Wages, Taxes and Benefits ...................................................................... 19 Chart 10 – Diesel Fuel ............................................................................................................ 20 Chart 11 – Fuel, Power and Utilities....................................................................................... 21 Table 12 – Summary Capital Funding .................................................................................... 22 Table 13 – Summary Capital Funding by Department (millions) .......................................... 22 Table 14 – Northeast Corridor (NEC) State of Good Repair funding plan ............................ 25 Table 15 - Debt Service .......................................................................................................... 26 Table 16 – Leases in Federal Grant for Early Buyout Options............................................... 26 Table 17 – Simple Sources and Uses...................................................................................... 28 Appendices Summary Income Statement by Major Account Summary Income Statement by Department and Major Account Revenue and Expenses by Department Summary Income Statement for Commuter Business Line Summary Income Statement for Commercial Development Business Line Summary Income Statement by Major Account and Activity Labor and Non-Labor Expenses by Department Reconciliation of FY10 Operating Budget to FY09 Operating Forecast Monthly Average and End of Year Headcount by Department Summary Capital Programs FY2011 Capital Budget Ranking Summary Metrics FY2008-FY2011


Introduction

Background The National Railroad Passenger Corporation – Amtrak – is incorporated under the District of Columbia Business Corporation Act (D.C. Code section 29-301 et seq.) in accordance with the provisions of the Rail Passenger Service Act of 1970 (P.L. 91-518). Under the provisions of the Passenger Rail Investment and Improvement Act of 2008 (P.L. 110-432; 49 U.S.C. Section 24301), Amtrak’s Board of Directors was reorganized and expanded to nine members. The company is operated and managed as a for-profit corporation providing intercity rail passenger transportation as its principal business. Congress created Amtrak in 1970 to take over, and independently operate, the nation’s intercity rail passenger services. Prior to this, America’s private freight companies ran passenger rail as required by federal law. Those companies reported that they had operated their passenger rail services without profit for a decade or more. With this in mind, when Amtrak began service on May 1, 1971, more than half of the rail passenger routes then operated by freight railroad companies were eliminated. During fiscal year 2010, Amtrak set a new ridership record, carrying 28,716,857 passengers on up to 305 daily intercity trains – at speeds of up to 150 mph (241 kph) – on more than 21,100 route miles serving 513 communities in 46 states, the District of Columbia and three Canadian provinces. More than 900,000 people also commute every weekday on Amtrak infrastructure or on Amtrak-operated commuter trains around the country under contracts with 15 states and four regional commuter authorities. Amtrak employs over 20,000 persons, of whom more than 16,000 are covered by labor agreements. These employees work in on-board services, maintenance of way, police, station and reservations services, and other support areas. Amtrak collected a record $1.74 billion in ticket revenue in FY2010. In addition to providing the full range of functions and activities required to operate the existing national train system, Amtrak engages in related ancillary business that include:

Operating commuter railroads under contract to their agencies Providing infrastructure access to commuter agencies and freight railroads Performing rail services for other rail operators, both commuter agencies and freight

railroads, on a reimbursable basis Managing and leasing of commercial real estate

When revenues from other sources such as real estate contracts and services for other railroads are included, Amtrak covered 84 percent of its operating costs. In terms of market share, Amtrak now enjoys 69 percent of the combined airline—intercity rail market between Washington, D.C., and New York City. The market share of the New York-Boston corridor increased from 50 percent in FY2009 to 52 percent in FY2010. Amtrak owns the right-of-way of more than 363 route miles in the Northeast Corridor (NEC, which includes Washington, D.C. – New York City – Boston; Philadelphia – Harrisburg; and New Haven, Conn.- Springfield, Mass.) as well as 97 miles in Michigan. Amtrak owns 105 station facilities, and is responsible for the upkeep and maintenance of an additional 181 station facilities and 411 platforms. Amtrak owns 17 tunnels and 1,186 bridges.


Amtrak owns most of the maintenance and repair facilities for the fleet of about 2,600 cars and locomotives (electric and diesel powered). Outside the NEC, Amtrak contracts with freight railroads

for the right to operate over their tracks. The host railroads are responsible for the condition of their tracks and for the coordination of all railroad traffic.

Vision and Objectives The budget is the company’s financial plan that supports the corporation’s vision, goals and objectives to provide the services as outlined above. As such each department’s budget must represent only activities that support Amtrak’s corporate objectives and mission. Budget development must be based upon real requirements, and the numbers must be rational and defensible when compared to actual performance.

Amtrak’s Vision

Amtrak will become America's first intercity travel choice for connections to and between the nation's key metropolitan areas, providing customer-driven, safe,

environmentally-sustainable, energy-efficient and inter-modally linked service to passengers, communities and partners. Through recognized organizational

excellence, Amtrak's diverse and talented team will lead the development and growth of the high speed and intercity rail passenger system in North America.

Corporate Goals & Objectives

In preparing this budget, it was important to be aware of Amtrak’s overriding corporate objectives and to incorporate these, whenever possible, into department level goals for operation and capital projects. We operate to achieve the five main objectives as follows:

1. Safety and Security – Become North America's safest, most secure railroad by creating

collaborative, team-oriented workplace culture that minimizes risks and maximizes passenger and employee safety.

2. Customer Focus – Advance customer service quality by responding to the wants, needs and expectations of our customers in order to improve their experience and maximize passenger and partner satisfaction.

3. Mobility and Connectivity – Improve national mobility and connectivity by growing Amtrak's business through new partnerships, routes and frequencies to increase Ridership system wide.

4. Environment and Energy – Contribute to the nation's environmental health by attracting automobile and air travelers to trains, while improving Amtrak's efficiency and reducing transportation-related carbon emissions and fossil fuel consumption.

5. Organizational Excellence – Attain a standard of organizational excellence by aligning our products, services, processes and culture with stakeholder expectations to improve financial performance and overall business results.

Federal Support


In the FY2010 Grant and Legislative Request in February 2009, Amtrak asked Congress for $1,963 million for Operating, Capital and Debt Service support, not including Amtrak’s Office of the Inspector General. This request assumed a continuation of the existing national network, as Amtrak continues to make progress streamlining the organization, controlling costs, and rebuilding infrastructure and equipment. The FY2010 Appropriation amounted to $1,555 million, $408 million

less than requested, primarily for capital programs (not including a $10 million set-aside for FRA Oversight and the NEC Advisory Commission support). Amtrak submitted a Grant and Legislative Request for FY2010 that included $580 million in federal support for operating expenses and was appropriated $563 million, $17 million less than requested. Passenger revenues were stronger than budgeted, reflecting our commitment to delivering reliable and high quality services that the public desires. Amtrak’s departments remained focused throughout the year on finding productivity improvements and cost reductions to offset inflationary pressures (including new wage rates) as well as consider certain significant events that impacted Amtrak’s operating costs such as the Passenger Rail Investment and Improvement Act of 2008 (PRIIA).

The FY2011 Budget approved by the board of directors in January 2010 requested a level of $2,196 million in Federal funding. An addendum was issued to revise that request to include funding the Fleet Acquisition Program as reported in Amtrak’s Fleet Plan. The revised request of $2,642 million contained an additional $446 million for fleet investments.

Federal Support for FY2011 Amtrak’s Budget for FY2011 as approved by the board of directors in September FY2011 has been revised to accommodate final appropriation levels enacted by Congress in April, 2011. We are experiencing continuing strong ridership, resulting in favorable growth in revenues. Because the federal appropriation decision was made so late in the fiscal year with six months passed, Amtrak can more closely project what the fiscal year end requirements for operating needs may be. As of the close of March 2011 financial reports, we predict an operating subsidy requirement of $506.9 million. As a result, net operating funds projected to be $54.9 million by the end of September 2011 after consideration of the amount appropriated for operating subsidies (see TABLE 4) will be utilized to continue critical capital improvement projects and debt service payments in the absence of adequate federal appropriation for capital investments and debt service needs. The budget includes support from Federal Grants for FY2011 as follows: Operating funding of $562 million; Capital funding of $658 million;

o Before a reduction of $9 million authorized by PRIIA Section 103 at the rate of one half of one percent of capital and debt service for FRA oversight and Section 212 for the NEC Infrastructure and Operations Advisory Commission, netting $649 million for Amtrak capital investment.

o Capital funding for the Fleet Acquisition Program has been removed from the plan except for contractually required progress payments for the acquisition of 130 long distance single level cars that is included in the capital grant.

Funds for debt service principal and interest payments are planned to be $276 million, with $263.5 million funded by federal appropriation and the remainder funded by favorable ticket revenue.

Funds for early buyout are presented in this document to be funded in the Grant Agreement for “Exercise of Equipment Early Buy-Out Options” (DTFRDV-11-G-00003);

Funding from the Department of Homeland Security, separate from annual federal appropriations from the Department of Transportation, in the amount of $22.4 million is also noted.


Amtrak’s “FY2010 “Budget as Appropriated” and this “FY2011 Revised Budget” include support from Federal Grants as follows:

Table 1 – Summary Federal Funding Request

PRIIA Authority

FY2011 Grant Request/Budget

Operating Grant 101(a) 563 592 562

General Federal Capital 101(c) 574 1025 649 219 (b) 144 281 -

Plus amount Retained by FRA from Capital & DS

for Oversight(1) 103 10 10 9

Subtotal DOT Capital Grant 728 1316 658

Other Capital Requests (Fleet Acqu) (2) -

102(a) 264 277 264

Early Buyout Options (4) 28 - Subtotal DOT Debt Service Grant 264 305 264

1,555 2,203 1,474 1,565 2,213 1,483

(2) For comparison purposes, this presentation of the FY2011 Grant Request amount does not include $446 million requested for Fleet acquisition costs.

Amtrak Funding Needs ($millions) excluding Amtrak OIG

(1) Appropriations allow for FRA to deduct .5% for oversight of the capital programs and .5% to fund expenses associated with implementing PRIIA section 212 (NEC Infrastructure and Operations Advisory Commission)

(4) Beginning in FY2011, the Treasury Department will fund Early Buyout Options in a separate grant.

FY2011 Revised Budget

Total Appropriation Requirement

Americans with Disabilities Act Investment

Debt Service (3)

(3) $276 million is scheduled for principal and interest payments. The amount authorized by PRIIA in FY2011 is $288 million. The difference between scheduled and appropriated payments will be funded by favorable ticket revenue.

Total Amtrak Funding Requirement

FY2010 Appropriation

Chart 2 below displays the history of Federal support for Amtrak for operating expenses, capital investment and debt service from FY2008 to FY2011 from annual general appropriations.


Chart 2 – Historical General Federal Funding

-

200

400

600

800

1,000

1,200

1,400

$ millions

Total to Amtrak 1,325 1,488 1,555 1,474

ADA Compliance 144 -

Net Capital to Amtrak 565 653 584 649

Lease Early Buyout Options

Debt Service 285 285 264 263

Retroactive Labor Payments - 75

Amtrak Operating Grant 475 475 563 562

FY08 FY09 FY10 FY11 Revised

Budget/Approp.

Budget Development The Passenger Rail Investment and Improvement Act of 2008 (PRIIA) was passed and signed into law, re-authorizing Amtrak for the next five years. This law requires that Amtrak submit a five year financial plan for Operating and Capital within sixty days of enactment of each year’s annual appropriation. Amtrak prepared a Five Year Financial Plan for the period of FY2011 – 2015 that was delivered on October 1, 2010. Now that a full year Appropriation has been enacted, the FY2011 Comprehensive Business Plan and the FY2011-2015 Five Year Financial Plan must be updated as required. Further, prior to the October, 2011 deadline for submitting requirements for FY2013, we will update the FY2012-2016 Five Year Financial Plan.


Prior to this budget, Amtrak departments and finance staff formulated one year budgets and five year plan documents every year from the ground up. We have adjusted the budget formulation cycle timing and streamlined the effort to publish all of the legislatively required financial planning documents that include: 1) one year budgets due in February each year (FYXX Legislative and Grant Request, Budget and Comprehensive Business Plan) , 2) revisions to the budgets once appropriations are approved (required sixty days after passage of the bill), 3) Five Year Financial Plan due October of each year (FYXX-FYZZ Five Year Financial Plan) and, 4) revisions to the Five Year Financial Plan (required sixty days after passage of the appropriations bill).

The financial tables presented in this Budget document compare the revised FY2011 budget to the FY2010 actual results. Although the Amtrak Office of the Inspector General (OIG) is a part of the National Railroad Passenger Corporation, federal funding is appropriated directly to the OIG and is not a part of this budget. The American Recovery and Reinvestment Act of 2009 (ARRA) awarded Amtrak approximately $1.3 billion to be committed to capital investments and security through February 2011. It is critical that Amtrak keep these projects separate from the capital investment budget presented in this budget. It is also important to note where the investments made from this appropriation impact our operations and services, both positively and negatively as well as revenue and expense accounts for the fiscal year.

Operating Budget Base and New Activities

Consistent with the FY2010 methodology, the FY2011 operating budget segregates costs by Continuing and New Activity. 1. Continuing Activity consists of activity in FY2011 that is consistent with FY2010 activity

including, as necessary, annualized costs of partial year activity and cost inflation or deflation of prior year expenses.


2. New Activity captures costs and revenues of any activity that is wholly or primarily new compared to FY10. This includes changes to service or business methods, new activity and initiatives related to achieving corporate objectives, or new activity necessary to comply with the requirements of either the American Recovery and Reinvestment Act of 2009 (ARRA) or the Passenger Rail Investment and Improvement Act of 2008 (PRIIA). Table 3 below lists the net impact for items categorized by activity in the FY2011 Budget.


Table 3 – New Activities and ‘Initiatives’ Impact $ Thousands

Revenue Expenses NetMetrolink 30,090 20,498 9,593 eTicketing 2,000 - 2,000 Acela WiFi 6,480 - 6,480 Credit Card Commissions on New Revenue - 1,325 (1,325) Subtotal New Revenue Initiatives 38,570 21,823 16,748 Richmond, VA Service 3,474 2,490 984 SSS37047: 2nd Piedmont Frequency 1,048 1,445 (397) High Speed Rail New Department - 7,554 (7,554) New Partnerships - 2,511 (2,511) Partnership Improvements - 350 (350) Subtotal State Partnership Related 4,522 14,350 (9,828) PRIIA Mechanical OTP/CSI Compliance - 2,688 (2,688) PRIIA Engineering 23,000 19,249 3,751 Adjustment to PRIIA Engineering (keep separate) - (4,358) 4,358 Host RR Incentive Payments - 200 (200) Subtotal PRIIA Related 23,000 17,779 5,221 Vacation/Holiday Stimulus Personnel - 275 (275) Superliner Stimulus Maintenance - 767 (767) Amfleet Stimulus Maintenance - 7,722 (7,722) P40 Locomotive Stimulus Maintenance - (1,100) 1,100 Engineering Stimulus - 2,086 (2,086) Virtual Fence Monitoring Cost - 653 (653) Transfer Credits on ARRA Projects - (4,178) 4,178 Subtotal ARRA Related - 6,224 (6,224) Police Department Expansion - 2,349 (2,349) MOW Inventory Security Initiative - 3,066 (3,066) Subtotal Security Related - 5,415 (5,415) Behavior Based Safety Program - (548) 548 Safety Improvement Initiatives - Available - 100 (100) Safety Engineering - 1,110 (1,110) Asbestos Plan - 300 (300) Lifesaver Train (Montana) - 1,000 (1,000) Subtotal Safety Related - 1,962 (1,962) Police Fitness Program - 600 (600) MLOA System - HR - 60 (60) Job Family Structure - HR - 164 (164) Amtrak Leadership Program - 290 (290) Performance Management - HR - 250 (250) Subtotal Heathier Related - 1,364 (1,364) Utility conservation - 152 (152) Fuel Conservation Program - (4,821) 4,821 Green Initiatives - Available - 59 (59) Station Recycling Services - 287 (287) TPDES Storm Water Management Program - 153 (153) Subtotal Green Related - (4,170) 4,170 HSR Training HR - 151 (151) PTC Signal Training - HR - 36 (36) FRA Mandate 237 Safety Training - 143 (143) Safe 2 Safer Human Resources - 20 (20) Subtotal Training Initiatives - 349 (349) IT Cost of expanded network for COO Depts - 470 (470) IT Cost of SAP Center of Excellence (SMA, EIM, etc - 2,433 (2,433) IT Cost related to Commuter Operations - 220 (220) IT Cost related to ADA / PIDS implementation - 1,580 (1,580) IT Outsourcing IBM HW Costs - 5,769 (5,769) IT Outsourcing NTWK, SW and Field Costs - 3,105 (3,105) ITII Transition - 3,417 (3,417) ITII Improvements - 12,071 (12,071) Insourcing AGR Call Center - (82) 82 Subtotal IT Related - 28,984 (28,984) Total Amtrak Budgeted New Activity and Initiatives 66,092 94,080 (27,988)

Capital Budget Processes

Any project included in H.R.1 – American Recovery and Reinvestment Act of 2009 (ARRA) is not included in this budget submission. ARRA projects are monitored and reported separately from the regular capital program that is presented in this budget. Amtrak has set up a distinct project numbering scheme for ARRA projects.

Program and Project Information When planning and documenting capital investment projects, specific information is submitted that enables Amtrak’s compliance with mandatory reports to the Federal Railroad Administration (FRA). In addition, Amtrak conducts a review of the projects according to Generally Accepted Accounting Principles (GAAP) to properly account for operating versus capital costs. The following is a summary and brief description of the information that is required for Capital budget submissions:

Project Scope – A description of what the project is and the intended purpose/objective of the project.

Project Justification – An explanation of why the project is necessary and how performance will be measured.

Funding Sources – The assumed source of funds that will pay for the project. National Environmental Policy Act (NEPA) Codes – Codes that describe the status of

environmental impact of a project. Project Phases – The capital planning process requires that costs be budgeted by phases. This

information is required to conduct a Generally Accepted Accounting Principles (GAAP) review of the projects.

Return on Investment Analyzer – The submissions included a workbook to estimate the return on a capital investment. All “Business Improvement” projects requests were required to have this analysis completed.

Project Outcome and Performance Measures – The submission included a worksheet to input outcomes and performance measures. This is a brief description of major outcome or outcomes anticipated upon completion of the project, and the measurement.

Designating a project as “Technology Project” – Technology projects are defined by the Chief Information Officer as projects whose success is materially dependent on a technology solution or capability.

Projects Starting Beyond FY2011 – Annual costs associated with capital projects that are anticipated to begin some time beyond FY2011 were submitted to produce the five year capital plan.

Program and Project Summaries that contain this information for each item in this budget will be available upon request.

Project Ranking


Amtrak prioritized capital projects with the use of Decision Lens a tool that enables executives to devise a weighted, scored and ranked list of project priorities. Based on the experience of using this new tool for the FY 2010 capital budget, the following process was implemented: Selection criteria were developed by Amtrak executives to ensure that projects would be evaluated consistently. The executives weighted the criteria as to importance to achieving the company’s goals and objectives.

Engineering was designated $350 million as a high priority for Federal funding due to previous commitments for state of good repair.

Projects related to Amtrak’s plan for ADA compliance were also given a high priority for

Federal funding.

For all other projects, a “Review Board” consisting of one representative from each department worked to align each project with the evaluation criteria.

Upon the completion of scoring the projects and investment types, scores were combined and

projects were then sorted in rank order for executive review and approval.

Risks We cannot ignore the possibility that matters beyond our control may alter our current estimate of our needs for capital and operating funding. The unsettled state of the economy and the fluctuations of fuel prices are serious concerns. After fluctuating wildly during fiscal 2008 and 2009, fuel prices remained relatively stable during most of fiscal 2010 but began to rise but as we neared the end of the fiscal year, and are projected to continue to rise throughout fiscal 2011. Similarly, changes in the economic situation, particularly in the Northeast Corridor region could lead to unfavorable results in ridership and revenues. Budgetary issues of some of our state partners could likewise pressure our operating budget needs. Risks that can impact Amtrak’s operating and capital funding needs include:

Economic downturn

Reduced ridership demand due to:

o Continued impact of recession and unemployment levels

o Pricing actions

o Service quality erosion

o Reduction in fuel price per gallon

o Improved performance by competing airlines

Higher cost inflation

Inability of states to fully meet their funding obligations for corridor services as projected and contained in this plan

Higher fuel price per gallon

Major incidents such as:

o Weather related


o Terrorist incident

o Infectious Diseases

Operating Budget Amtrak has an operating budget that is approved to require $561.9 million for operating expenditures not including the Office of the Inspector General. The federal appropriation for operating needs is $561.9 million. As of the period ending March, 2011, the forecasted year end net operating loss is projected to be $506.9 million. As a result, Amtrak will program excess earned revenues in the amount of $54.9 million to supplement the capital programs and cover debt service payments.

Table 4 – Profit and Loss Statement

FY10 FY11 FY11

$ millionsActual Revised Budget

$ %Forecast

$ %

REVENUES:Ticket Revenue 1,702.1 1,767.2 65.1 3.8% 1,829.3 62.1 3.5%Food and Beverage 97.5 104.8 7.3 7.4% 103.3 (1.5) -1.4%

(10.9) -10.4%(1.2) -1.6% (0.8) -1.1%

(11.1) -7.4%(5.9) -12.7%

(16.2) -3.0%

(34.5) -14.5% (9.4) -3.4%(56.1) -6.0%(70.4) -13.2% (1.3) -0.2%(4.0) -15.2%

(165.0) -9.5% (2.1) -0.1%(6.6) -2.5% (5.5) -2.0%

(32.7) -10.9%(5.0) -2.7%

(1.8) -1.6%(47.7) -7.9% (28.8) -4.4%(40.1) -22.6% (3.0) -1.4%

(289.0) -8.1% (10.3) -0.3%(1,075.2) (1,253.3) (178.2) -16.6% (1,195.5) -4.6%

(655.2) (691.4) -5.5% (688.6) -0.4%(419.9) (561.9) (142.0) -33.8% (506.9) -9.8%

(143.1) (54.9) (54.9)

State Supported Train Revenue 174.3 190.6 16.2 9.3% 193.7 3.1 1.6%Subtotal Passenger Related Revenue 1,973.9 2,062.5 88.6 4.5% 2,126.2 63.7 3.1%

Commuter 152.5 163.3 10.8 7.1% 164.9 1.7 1.0%Reimbursable 100.7 104.4 3.7 3.7% 93.5Commercial Development 74.8 73.5 72.7Other Transportation 135.6 150.5 14.9 11.0% 139.4Freight Access Fees and Other 47.0 41.0 45.9 4.9 12.0%

Subtotal Other Revenue 510.5 532.7 22.2 4.4% 516.6Total Operating Revenue 2,484.4 2,595.3 110.9 4.5% 2,642.8 47.5 1.8%

EXPENSES:Salaries 239.1 273.6 264.2Wages & Overtime 941.8 997.8 1,006.0 8.2 0.8%Employee Benefits 534.9 605.3 604.0Employee Related 26.1 30.1 30.7 0.5 1.8%

Salaries, Wages and Benefits 1,741.9 1,906.9 1,904.8Train Operations 262.4 269.0 263.6Fuel, Power, & Utilities 299.7 332.4 347.8 15.4 4.6%Materials 184.2 189.2 196.2 7.0 3.7%Facility, Communication, & Office 178.0 168.1 9.9 5.6% 172.9 4.8 2.9%Advertising and Sales 113.7 115.5 117.4 1.8 1.6%Depreciation 602.5 650.2 621.4Other Non-labor Fees and Services 177.1 217.2 214.2

Total Expenses 3,559.6 3,848.6 3,838.3Operating Loss 57.8

Adj for Non-Cast Depreciation/OPEBs/Impairment 36.2 2.9Net Operating Loss 54.9

Federal Appropriation/PRIIA Authorized 563.0 561.9 561.9

Over/(Under) Federal Support 0.0

Forecast Fav/(Unfav) to

BudgetFY11 Fav/(Unfav) to

FY10

National Railroad Passenger Corporation (Amtrak)Summary Financial

FY10 Actual, & FY11 Budget

FY2011 Key Operating Budget Assumptions

Revenue


Passenger Revenue, including ticket sales, was developed with the assistance of AECOM Consulting. AECOM employs a complex model that takes into account numerous factors such as population

growth, shifts, and preferences, travel industry competition including the price of gasoline, economic conditions, service schedules, and proposed pricing actions.

Ticket Revenue - Amtrak experienced significant growth from 2003 through 2008 with

record ticket revenue of $1.70 billion in FY08. Growth in that period was driven by synergy between favorable market conditions, weakened travel competition, and improved/expanded Amtrak train services. In FY09 the country experienced its most severe economic crisis in a generation, growing unemployment, weakened consumer confidence, and low gasoline prices. These factors combined to reduce both business and leisure travel in FY09 and as a result Amtrak’s ticket revenue fell to $1.56 billion, representing a decrease of $134.3 million (7.9%) compared to FY08. During FY10, despite continued high unemployment and continuing economic uncertainty, Amtrak ticket revenue rebounded to FY08 levels, ending once again at $1.70 billion. This recovery is attributable to continued delivery of quality service, proactive revenue growth actions and modest pricing actions. FY11 growth is expected to continue to be strong.

Food and Beverage Revenue - Amtrak has Food and Beverage operations which

provide consumers with meal options while onboard our trains and is projected to earn revenues of $105 million in FY11.

State Supported Revenue was budgeted in accordance with existing state contracts and projected route performance in those states. Currently, Amtrak has contractual agreements to operate in 15 states. These contracts will account for roughly $174 million of revenue in FY11.

Ancillary Business Revenue, consisting of Commuter, Reimbursable, and Commercial Development revenue was budgeted according to the operating agreements and operating expenses needed to deliver those services.

o Commuter Revenue - In addition to providing 15 states with Amtrak service, we also

partner with the states of Maryland, Florida, Connecticut, Washington and California, to provide commuter services with annual revenue contribution of $163.3 million in FY11.

o Reimbursable Revenue - Amtrak performs reimbursable project work for external state agencies on as needed basis.

o Commercial Development - Amtrak earns revenue from its real estate operations by leasing retail space at its stations, operating parking garages and leveraging its land holdings by partnering with builders.

o Other Revenue - Amtrak leverages its ownership of track in the North East Corridor by leasing the track to freight companies for right of way access. Other revenue sources include resale of electric propulsion to state commuter agencies, commissions from co-branded credit cards, and revenue from other travel partners.


Table 5 – Summary of Changes in Operating Revenue

Summary of Changes from FY10 to FY11$ Millions

FY10 Actual $2,484.4

Changes to Base Activity in FY11

$33.0

$35.0

$8.0

($7.1)

($19.3)

($4.9)$44.8

$2,529.2

New Activity in FY11

$30.1

$23.0

$6.5

$3.5

$2.0

$1.0

$66.1

FY11 Total Budget $2,595.3

Launch of Washington-Richmond route in Virginia (state supported)

Total FY11 New Activity

Increase in revenue from improved on-time performance in compliance with PRIIA Section 207

Launch of second Piedmont frequency in North Carolina (state supported)

Launch of enhanced next generation e-Ticketing channel

New commuter contract

Launch of Wi-Fi on Acela trains

Total FY11 Base Activity

All OtherBase Activity Increase/(Decrease) from Prior Year

Fare increases (+2% average occuring at various intervals throughout the year)

One-time miscellaneous revenue in FY10 not recurring in FY11

Decrease in Commuter revenue primarily due to cancellation of VRE contract

Change in demographics and economic recovery

Service quality improvements - planned improvement in customer satisfaction index scores

Charts 6 and 7 display the trends for Ridership and Ticket Revenue


Chart 6 – Ridership Trends

0.

5.

10.

15.

20.

25.

30.

Millions

Ridership

TOTAL 28.7 27.2 28.7 29.6

Long Distance 4.2 4.2 4.5 4.5

State Supported 13.6 13.0 13.9 14.4

NEC 10.9 10.0 10.4 10.6

FY08 FY09 FY10FY11 Revised

Budget

Chart 7 – Ticket, Food and Beverage Revenue Trends


0.0

500.0

1,000.0

1,500.0

2,000.0

$ Millions

Ticket, Food & Beverage Revenue

Ticket Revenue 1,697.8 1,563.5 1,702.1 1,767.2

Food & Beverage 93.1 92.6 97.5 104.8


Budget

Expenses

Expenses in the budget request were segregated between Base and New Activity. Standardized categories were provided whenever possible and categories were added for special needs. Table 8 contains a crosswalk of expenses from FY10 actual to FY11 budget that differentiates between adjustments to Base Activity and New Activity. There are detailed discussions regarding these changes in the Department narratives later in this document. The amounts in Table 8 do not include depreciation and other non-cash items that are excluded from calculating the federal subsidy requirement.



Table 8 – Reconciliation of FY11 Operating Expense Budget to FY10 Results Expenses

($ Millions)

FY10 Expenses $2,904.3Changes in Base Activity

Inflation of Prior Year $117.6Non-inflationary increase in Employee Benefits primarily due to increased usage of Agreement Health Care $38.0Reduced Transfer Credits due to conclusion of ARRA project activity $9.9Increase in inventory obsolesence provision $12.3Non-inflationary increase in workforce primarily due to lower assumed vacancy rates compared to prior year $8.5Increase in Reimbursable Services (Offset by Incremental Revenue) $5.4Reduction in Commuter expenses primarily due to cancellation of VRE Contract ($13.9)Reduction in IT Outsourced services due to maturation of ITII program ($20.2)Expense Contingency $5.5All Other ($4.5)

Changes to Base Activity $158.7Total FY11 Base Activity Budget $3,063.1

New Activity

Growth Commuter Services $20.5Credit Card Commissions on New Revenue $1.3State Supported Route Washington to Richmond, VA $2.5Second Piedmont Frequency $1.4High Speed Rail New Department $7.6New Partnerships $2.5Partnership Improvements $0.4Total Growth Related Activity $36.2

PRIIA PRIIA Mechanical OTP/CSI Compliance $2.7PRIIA Engineering to improve OTP $19.2Adjustment to PRIIA Engineering ($4.4)Host RR Incentive Payments $0.2Total PRIIA Related $17.8

IT IT Cost of expanded network for COO Depts $0.5Initiatives IT Cost of SAP Center of Excellence (SMA, EIM, etc $2.4

IT Cost related to Commuter Operations $0.2IT Cost related to ADA / PIDS implementation $1.6IT Outsourcing IBM HW Costs $5.8IT Outsourcing NTWK, SW and Field Costs $3.1ITII Outsource Data Center -Transition $3.4ITII Outsource Data Cneter Improvements $12.1Insourcing AGR Call Center ($0.1)Total IT Related $29.0

Impact Vacation/Holiday Stimulus Personnel $0.3of ARRA Return to Service: Superliner Maintenance $0.8Projects Return to Service: Amfleet Maintenance $7.7

Return to Service: P40 Locomotive Maintenance ($1.1)Engineering Maintenance $2.1Virtual Fence Monitoring Cost $0.7Transfer Credits on ARRA Projects ($4.2)Total ARRA Related $6.2

Greener Utility conservation $0.2Fuel Conservation Program ($4.8)Green Initiatives - Available $0.1Station Recycling Services $0.3TPDES Storm Water Management Program $0.2Total Green Related ($4.2)

Safer Behavior Based Safety Program ($0.5)Safety Improvement Initiatives $0.1Safety Engineering $1.1Asbestos Plan $0.3Lifesaver Train (Montana) $1.0Police Department Expansion $2.3MOW Inventory Security Initiative $3.1Total Safety Related $7.4

Healthier Police Fitness Program $0.6MLOA System - HR $0.1Job Family Structure - HR $0.2Amtrak Leadership Program $0.3Performance Management - HR $0.3HSR Training HR $0.2FRA Mandate 237 Safety Training $0.1Total Healthier Related $1.7

Total FY11 New Activity $94.1FY11 Total Operating Expenses Budget $3,157.1

Salaries, Wages, Taxes and Employee Benefits Salaries: Salary increases effective January 2011 were budgeted. The increases, which will be determined and administered through Amtrak’s merit increase program, are budgeted at an average of 3.5%. Individual departments established staffing requirements, including vacancy rate assumptions.

Wages: Wage rates are governed by the new labor agreements that began being ratified in the summer of 2010 and which remain in effect until January 1, 2015. Agreements with all unions follow the same wage increase patterns, and accordingly all unions including those still unratified were budgeted using the terms of the new agreements. Employee Benefits: Employee benefit costs were calculated using total planned payroll expense across all business activity including capital and reimbursable projects. AON Consulting provided actuarial projections for the pension and retirement expense planning. Insurance costs were projected by Amtrak’s Benefit Accounting group, with assistance from AON Consulting, using the projected participation in each plan and the projected costs of those plans. Railroad taxes were planned in accordance with the prevailing tax rates applied to wage and salary budgets.

Chart 9 – Salaries, Wages, Taxes and Benefits

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$300.0

$400.0

$500.0

$600.0

$700.0

$800.0

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$1,000.0

Millions

Salaries, Wages and Benefits

Salaries 212.0 225.7 239.1 273.6

Employee Benefits 500.5 526.5 534.9 605.3

Wages & OT 871.6 887.8 941.8 997.8


Budget


Fuel, Power and Utilities Train Propulsion: Electricity to power electric locomotives operating in the NEC was budgeted in accordance with projected contractual power costs and projected consumption based on the service schedule. Gallon consumption of diesel fuel to power the off-corridor diesel locomotives was planned in accordance with the service schedule and historical per-mile consumption statistics. The price per gallon of diesel fuel was computed using a historic correlation between the price of oil (per barrel), retail gasoline, and diesel fuel. Diesel fuel prices vary by geographic region due to the sourcing, delivery and transportation options available in each area. Overall, the diesel fuel budget averages $2.28 per gallon.

Chart 10 – Diesel Fuel

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st p

er G

allo

n

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$20

$40

$60

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$100

$120

Co

st p

er B

arre

lDiesel Cost Per Gallon $3.29 $1.85 $2.24 $2.28

Cost Per Barrel $116 $62 $77 $83


Budget


Utilities: FY11 utility budgets were developed with the assistance of energy management consultant Advantage IQ (AIQ).

Chart 11 – Fuel, Power and Utilities

$0.0

$50.0

$100.0

$150.0

$200.0

$250.0

$300.0

$350.0

$400.0

Millions

Energy

Diesel 214.3 119.5 147.4 150.8

Propulsion 105.4 100.6 104.1 127.1

Utilities 51.4 50.5 48.1 54.5

FY08 FY09 FY10 FY11 Revised Budget

Other Materials: Materials consumed in the maintenance of track infrastructure and train equipment was budgeted by the Engineering and Mechanical departments according to the work production plans in each department. Occupancy: Rent, Common Area Maintenance, and other occupancy costs were budgeted by the Real Estate department to reflect lease agreement terms in fiscal 2011 and are part of the “Facility, Communications and Office” Account. Casualty Claims: Estimates for casualty claims including employee Federal Employers’ Liability Act (FELA) and passenger liability were developed with actuarial assistance from AON Consulting.


Capital Budget Amtrak receives funds from state and local entities as well as from federal appropriations. The revised total FY11 Capital Budget approved by the Board of Directors (not including debt service) is $1,039.4 million from all sources with $638.5 million from federal appropriations (not including deduction of one half of one percent for FRA oversight), $309.5 million from state and local agencies and other sources, $and $54.9 million from internally generated revenue. This budget exceeds the appropriation by $36.4 million, an overage that will be managed by fiscal year end.

Table 12 – Summary Capital Funding

($millions) FY09 Actual FY10 ActualFY11 Revised

BudgetFY11 Variance

to FY10Federal General Capital $641.8 $591.3 $658.3 $67.1ADA Compliance Projects(1) $0.0 $18.6 $0.0 ($18.6)

Subtotal General Capital $641.8 $609.8 $658.3 $48.5Less FRA ½ percent General Oversight ($5.0) ($4.6) $0.4Less FRA ½ percent for Section 212 ($5.0) ($4.6) $0.4

Net Capital available to Amtrak $641.8 $599.8 $649.1 $49.3Capital Funding Gap - Manage by year end $25.8Total Capital Funding $641.8 $599.8 $674.9 $49.3Internally Generated Funds $42.1 $42.1State, Local & Other (2) $119.4 $98.1 $322.3 $224.2

Subtotal Internal, State, Local & Other $119.4 $98.1 $364.5 $266.3

Total Capital Program funding to Amtrak $761.2 $698.0 $1,039.4 $315.6

(1) Funds from FY2010 appropriation in the amount of $99.9 million are included in "State, Local & Other" line item for FY11(2) Includes $22.4 million from DHS grants, $45.3 million in FY10 funding, $107.1 million in RRIF loan,$99.9 million from FY10 for ADA, $38.8 million from Long Island Funding, and $29.1 million from New Jersey Transit

Table 13 – Summary Capital Funding by Department (millions) General Federal State, Local & FY 2011

Department Capital Other Funds TotalAmtrak Police Department $1.3 $24.0 $25.3Chief Financial Officer $2.9 $1.9 $4.8Chief Operating Officer ($0.0) $0.0 ($0.0)Engineering $348.8 $119.2 $468.0Environmental $6.8 $0.1 $7.0Information Technology $104.6 $8.5 $113.2Marketing and Product Management $31.4 $8.0 $39.4Mechanical $131.7 $47.3 $179.0Policy and Development $11.3 $8.9 $20.2Procurement $10.3 $0.6 $11.0Real Estate $3.0 $0.0 $3.0Transportation $22.7 $17.5 $40.2ADA Compliance $0.0 $99.9 $99.9Fleet Acquisitions $0.0 $28.4 $28.4Grand Total $674.9 $364.5 $1,039.4


ADA Compliance Amtrak serves 482 rail stations that are required by the ADA to be “readily accessible to and usable by individuals with disabilities, including individuals who use wheelchairs, as soon as practicable”. Amtrak presented an estimate of its needs to the Congress on February 1, 2009, in its report “Intercity Rail Stations Served by Amtrak: A Report on Accessibility and Compliance with the Americans with the Disabilities Act of 1990. This report, which was delivered pursuant to section 219 of the Passenger Rail Investment and Improvement Act of 2008, details the scope of Amtrak’s need and proposes the level of Federal assistance necessary to attain full compliance. Amtrak has requested additional funding for ADA compliance efforts since 2005 and the company will continue to work with Congress in an effort to secure funding and to revise the compliance date. Achieving compliance at all Amtrak-served stations is a complex and resource-intensive challenge that will take several years to complete. Amtrak will work aggressively to achieve compliance at the remaining stations by our goal date of September 30, 2015. As described more fully in Amtrak’s October 27, 2010 supplemental report to Congress regarding the status of the ADA compliance program, Amtrak projects that by the end of 2011 it will have fully complied with its ADA obligations at more than 100 stations. More detailed information about Amtrak’s planned ADA compliance work at specific stations is contained in the document “An Update on Accessibility and Compliance with the Americans with Disabilities Act of 1990“. Two sources of funding have underwritten a significant expansion of Amtrak’s ADA compliance program. Legislation passed in FY2010 required that Amtrak invest $144 million towards this program. ARRA and FY2010 appropriated capital funds have been used to jump-start a program of construction, with combined total of $144 million being spent over the FY2010-FY2011 time period as intended by Congress. The general capital funding to be expended in FY11 is estimated to be $100 million funded by FY10 appropriations made available until December 31, 2011. The greatest challenges to program completion will continue to be:

o Agreements. Gaining agreement among the stakeholders for individual projects continues to be a challenge. To advance progress, those stations for which Amtrak has sole or primary responsibility are advanced to the highest priority while planning and agreements on other stations are advanced.

o Timing. The scheduling of projects is controlled by the design, funding and agreement process. As such, program plans for future years will be advanced as later update reports are developed and released.

o Funding. As the program planning advances and project scopes and designs are advanced for each year of Amtrak’s ADA station compliance program, funding requirements become more clearly defined.

o Linkage to Station Improvement plans. Many jurisdictions that own stations have plans for expansion, modification, and/or investments to create intermodal transportation centers or other commercial development concepts. Incorporation of ADA improvement elements that are Amtrak’s responsibility into other agency plans will require considerable coordination and could complicate the scoping and agreement process.

Northeast Corridor State of Good Repair (SOGR)


While Amtrak is not responsible for the maintenance of most of the national rail infrastructure, it is responsible for the condition and reliability of most of the Northeast Corridor between Boston, New York, and Washington, the Harrisburg and Springfield lines that connect with it, some of the stations

and yard facilities in major urban hubs, and the line it owns in Michigan. The cost of this is substantial. In its report “Northeast Corridor State of Good Repair Spend Plan” (submitted to U.S. DOT in April 2009), Amtrak estimated that the SOGR backlog on Amtrak-owned/operated NEC infrastructure is about $5.5 billion in FY10 dollars. On top of this, the incremental investment needed to maintain infrastructure assets once SOGR has been achieved is estimated to be $330 million per year. It is important to note that Amtrak reprioritizes SOGR spending when necessary to allow it to address safety and operability issues as they arise. A backlog of SOGR should not, therefore, be understood as an accumulation of disintegrating or unsafe structures; rather, it is a list of projects that have passed the end of their useful life but may continue to carry traffic safely, albeit at times with the additional burden of increased maintenance. The infrastructure backlog includes:

more than 200 bridges, most dating to the turn of the last century; Baltimore’s B&P Tunnels dating to the post-Civil War period; many interlockings (junctions and crossovers) that are functionally obsolete; and electric traction systems relying on 1930s-era components

It also includes structural improvements to the NY tunnels and station backlog costs as reported in the February 2009 ADA Accessibility Report. In the April 2009 SOGR report to USDOT, Amtrak estimated that even with adequate funding, resources and additional equipment, it will take a minimum of 15 years to resolve the backlog while still maintaining a reliable level of rail service throughout the necessary construction. Continual under-funding will merely push the completion date out further, as the backlog increases and Amtrak is forced to play “catch-up” year after year. To achieve a 15-year SOGR plan for Amtrak’s infrastructure assets would require an average of $700 million per year – $350 million per year on average for the normalized replacement of assets and $350 million per year on average for addressing the SOGR backlog. Table 14 shows how Amtrak intends to fund these significant infrastructure projects for FY11.


Table 14 – Northeast Corridor (NEC) State of Good Repair funding plan

$millions Federal & Amtrak

Third Party & Special

Grants TotalFederal & Amtrak

Third Party & Special

Grants TotalNortheast Corridor (NEC) ProgramsBridges/Culverts/Tunnels 16.2 2.2 18.4 41.7 4.0 45.7 Facility/Station/Other 20.4 8.3 28.7 25.8 10.2 36.0 Signal Systems 16.7 11.2 27.8 21.7 3.4 25.1 Communication Systems 1.3 - 1.3 0.6 - 0.6 Overhead Catenary and Transmission sy 22.1 1.7 23.8 27.4 2.1 29.5 Substations/Frequency Converters 7.0 1.6 8.6 10.9 2.3 13.1 Track Replacement 117.9 14.1 132.0 138.5 42.1 180.6 Interlocking Renewal 18.1 6.3 24.4 13.9 4.0 17.9 Equipment Purchase/Replacement 19.9 - 19.9 20.0 - 20.0 Freight Railroad Improvements 3.1 - 3.1 2.0 - 2.0 Fire & Life Safety 3.2 31.3 34.4 8.8 29.9 38.7

Subtotal General Approp & Other 245.8 76.6 322.4 311.2 98.0 409.3 ARRA FundsBridges/Culverts/Tunnels 76.2 76.2 50.9 50.9 Facility/Station/Other 36.2 36.2 34.0 34.0 Track 75.9 75.9 10.0 10.0 Security and Life Safety 101.9 101.9 31.6 31.6

Subtotal ARRA Funds 290.1 290.1 126.5 126.5 Total 535.9 76.6 612.5 437.7 98.0 535.8

FY2010 Actual FY2011 Budget

Fleet Acquisition Program To ensure that adequate rolling stock is in place to safely meet operating needs, Amtrak created the “Amtrak Fleet Strategy” published February 2010 and updated in February 2011. In addition to operating requirements and state of good repair needs, this plan identifies “baseline” capacity needs and state of good repair requirements for the fleet and identifies the numbers and types of equipment that will be required to address projected growth on existing and planned services through 2041. In fiscal year 2010, Amtrak completed negotiations and entered into purchase agreements for the delivery of:

130 single-level long-distance cars to replace old Heritage equipment, including 55 baggage, 25 baggage-dormitory, 25 dining and 25 sleeping cars for a total contract price of $298 million between FY2010 and FY2014.

70 electric locomotives to replace and augment locomotives in service on the Northeast Corridor at a total cost of $466 million to be paid starting in FY2011 and ending FY2016.

Amtrak funded approximately $30 million for the first payment due during FY11 for the long-distance single-level cars from favorable revenues earned in FY2010. Subsequent payments will be requested in annual appropriations. The electric locomotive purchase is the subject of a loan application under the Railroad Rehabilitation and Improvement Financing (RRIF) Program provided by the Department of Transportation. The application has been approved and will fund the purchase of the electric locomotives, spare parts, and facilities upgrades for the new equipment designs. Amtrak projects that, once the new locomotives are put into service, improved ticket revenue from more reliable locomotives can fund the debt service payments to repay this loan.


Debt Service and Debt Related Equipment Purchases

Principal and Interest Principal and interest payments for FY11 amount to $276.3 million and are detailed in Table 15 below. $263.5 million is funded by federal grant and the remaining $12.8 million will be covered by favorable ticket revenue. Table 15 also includes a budget of $51.7 million to acquire equipment that is being leased through the exercise of Early Buyout Options.

Table 15 - Debt Service

$ Millions Q1 Q2 Q3 Q4 FY11

Principal 32.4 63.6 38.4 41.1 175.5Interest 27.7 25.4 27.2 20.5 100.8Subtotal Cash P&I 60.1 89.0 65.6 61.6 276.3

Early Buyout Equipment Purchases 28.4 23.3 51.7

Subtotal of Equipment Purchases 0.0 28.4 0.0 23.3 51.7

Total Debt Service 60.1 117.4 65.6 84.9 328.0

EBO - Early Buyout Options

P&I - Principal and Interest

Early Buyout Options (EBO) An Early Buyout Option is a contractual right for Amtrak to terminate a long term lease of equipment, in part or in whole, on favorable terms. The EBO gives Amtrak the rights to a) buy the equipment which is owned by a bank and, separately, to b) pay off the rest of Amtrak’s lease payment obligations to the bank. The EBO occurs at a specified, fixed price, one time only, late in the term of the lease. It is the only right of voluntary pre-payment in the lease. PRIIA Section 205 provides that the Secretary of the Treasury may make agreements to restructure (including repay) Amtrak’s indebtedness, including leases, outstanding as of the date of enactment of PRIIA upon such terms as Treasury deems favorable to the interests of the United States Government. Grant Agreement DTFRDV-11-G-00003 awards Amtrak funds for these purposes, up to the amounts and on the dates shown in Table 16.

Table 16 – Leases in Federal Grant for Early Buyout Options


Lease Name

EBO Notification

Date

EBO Payment

DateEBO Value ($millions)

Trust 93C-C for 14 Superliners 02-Dec-10 03-Jan-11 28.40 Trust 96A-A for 14 GE P-42-DC Single Mode Diesel Locomotives 31-Aug-11 30-Sep-11 23.34 Trust 94B-A for 6 Superliners (file 11B) 02-Dec-11 03-Jan-12 11.92 Trust 94B-C for 8 Superliners 02-Dec-11 03-Jan-12 17.73 Trust 96A-B for 13 GE P-42-DC Single Mode Diesel Locomotives 01-Jun-12 02-Jul-12 20.18 Trust 96-B for 20 GE P-42-DC Single Mode Diesel Locomotives 01-Jun-12 02-Jul-12 30.97 Trust 97D for 50 Amerail Viewliner Passenger Cars 03-May-12 02-Jul-12 44.01 Trust 96A-C for 7 of 98 GE P-42-DC Single Mode Diesel Locomotives 01-Sep-12 01-Oct-12 11.11 Trust 97A for 25 of 98 GE P-2-DC Single Mode Diesel Locomotives 01-Sep-12 01-Oct-12 39.66 Trust 94B-B for 7 Superliners 30-Nov-12 02-Jan-13 13.40 Trust 98C for 107 Superliners 28-Jan-13 29-Mar-13 134.02 Trust 2000 SD-A (2nd closing) for 10 Surfliners 21-Mar-13 19-Jun-13 17.03 Trust 96A-D for 19 of 98 GE P-42-DC Single Mode Diesel Locomotives 01-Jun-13 01-Jul-13 28.70

420.49

Operating Cash Requirements Amtrak attempts to maintain a minimum cash balance of approximately $200 million available to meet operating needs. Management believes this is the lowest amount a company the size of Amtrak – with annual cash receipts from all sources of about $4 billion and cash expenditures of about $4 billion per year – prudently requires to ensure operations continue without an elevated risk of insolvency in a short period of time. The $200 million cash balance equates to an unfavorable spike of 2.5% in total cash flow exposure of $8 billion per year. On a continuing basis, Amtrak’s minimum cash balance is required to cope with peak cash requirements caused by seasonality in revenue, capital expenditures, and debt service. For example, January tends to be one of the lowest revenue months, one of the highest debt service months, and therefore the highest cash utilization month of the year. January requires special cash planning and efforts to ensure an adequate cash balance is available when needed. At the same time, the risk to Amtrak’s cash is exacerbated by the unexpected. This includes, for example, an economic event, equipment failure, other service disruption, or security issue affecting ridership and revenue. Amtrak’s only alternatives are to rely on its operating cash, obtain emergency federal funding, or face insolvency.

Sources and Uses of Cash – Budget Basis Amtrak’s FY2011 Cash flow is based on this budget and the receipt of federal funding of $1,526.2 million during the year. Amtrak continues to have no access to short-term credit lines. The following summarizes Amtrak’s planned source and use of funds for FY2011 based upon this budget assuming funding will be appropriated as presented in this document.


Table 17 – Simple Sources and Uses


Beginning Available Cash (after outstanding payments) 200.0

Uses:Operating Expenses (Net operating loss including

Depreciation & Non-Cash OPEB's (1) 1,253.3

Non-Cash Adjustments (Depre & Non-Cash OPEB's) (691.4) Net Operating Loss 561.9

Capital Expenditures 1,039.4 Debt Service Principal & Interest 276.3 Equipment Lease Buyout 51.7

Total Uses 1,929.3 Sources: FY11 Federal Grants

Operating 561.9 Capital 649.1 Debt Service 263.5 Equipment Lease Buyout 51.7 Subtotal Federal Grants 1,526.2

Third Party and Special Grants (2) 364.5 Capital Program gap 25.8 Debt Service funding gap 12.8

Total Sources 1,929.3

Estimated Ending Cash 200.0 Net change in assets & liabilitiesTotal Cash 200.0

(1) OPEBs - Other Post Retirement Employee Benefits(2) Does not include ARRA funds

$millions

Department (Cost Center) Operating and Capital Budgets

Amtrak Police Department Overview of the Department The Amtrak Police Department is committed to maintaining the safety and security of the rail traveling public, improving the quality of life of Amtrak personnel and safeguarding the trains and rails through Customer-Oriented Policing. This will be accomplished by building partnerships to enhance capacity to protect a nation in transit. The Amtrak Police organization consists of three Divisions:

1. Patrol Division makes up the majority of the department with officers nationwide at more than 30 locations protecting our passengers, employees and assets. The Patrol Division consists of professionally trained sworn police officers who work closely with local, state and federal agencies.

2. The Special Operations Division includes a contingent of sworn Special Agents who

work in concert with police officers to protect Amtrak passengers, employees and assets. This Division has oversight and coordination responsibilities of Amtrak’s nationwide robust and expertly trained explosive detection canine program. Special Operations also includes Amtrak’s Intelligence Unit consisting of contract intelligence analysts and sworn personnel assigned to Joint Terrorism Task Forces (JTTF’s) in New York, Washington, and Chicago.

3. The Corporate Security Division identifies and implements counterterrorism mitigation

strategies in the form of policies, programs and standards to ensure the protection of Amtrak’s employees, passengers, assets and critical infrastructures. This Division collaborates with the Patrol and Special Operations Divisions on counterterrorism and infrastructure protection projects. The Corporate Security function oversees corporate security improvements including security related capital investments.

The Amtrak Police Department total budget request for FY11 is $68.2M representing an increase of $7.3M compared to FY10 actual. The requested headcount by the end of FY11 is 66 management employees, 445 agreement covered employees (16 which are ARRA funded) and 3 canine contractors for a total of 514. Base Activity: The FY11 base budget is $64.7M, an increase of $3.8M over the FY10 actual. A summary of the FY11 changes includes the following:

o Inflation of Prior Year Core including labor contract requirements and management merit increase $1.2M

o Decrease in Salaries due to conversion of special agent positions from management to agreement net of lower vacancy rate assumption in FY11 ($0.8M)

o Increase in Wages and Overtime due to the conversion of special agent positions from management to agreement in FY11 $3.1M


o Increase in Employee Benefits Allocated $2.3M

o Increase in Employee Related Expenses due to expected higher Training Courses and Travel expenses in FY11 $1.5M

o One time FY10 expenses due to unfunded ARRA projects charged to Operating ($2.5M) o Increase in Office Rent for Station Action Team Coordinators, higher consumption of

ammunition and surveillance equipment and higher cellular phone expenses due to anticipated filled vacancies $0.3M

o Decrease in FELA Cost Allocated due to reduction in rate ($0.7M) o Decrease in Professional Fees due to anticipated reduced activity in FY11 ($0.5M)

New Activity:

o Physical fitness standard program, which was established with the ratification of labor agreement in FY07, includes the cost of testing and evaluating Police Department candidates along with incumbent sworn personnel to meet established physical fitness standards $0.6M

o Virtual fence monitoring cost $0.7M o Increase of sworn personnel within the Police Department by 50 positions per year through

FY15 to augment existing staff to protect Amtrak’s passengers, employees and assets. Adding these additional policing resources will provide a blend of customer-oriented policing and robust counter-terrorism efforts. Moreover, the expansion will help fill gaps in coverage, particularly where facilities are shared with other transit and commuter agencies $2.3M

Operating Expense Summary FY09 –FY11: Amtrak Police Department

$ millions

FY09 Actual

FY10 Actual

FY11 Budget $ %

Salaries $8.9 $7.5 $6.9 ($0.6) -7.4%Wages & Overtime $25.2 $26.6 $31.8 $5.2 19.6%Employee Benefits $15.6 $16.3 $19.2 $3.0 18.4%Employee Related $3.5 $1.5 $3.3 ($0.2) -13.8%

Salaries, Wages and Benefits $53.3 $51.9 $61.3 $7.4 14.3%Train Operations $0.1 $0.0 $0.1 $0.0 45.0%Materials $0.0 $0.0 $0.1 $0.0 44.3%Facility, Communication, & Office $2.6 $4.2 $2.7 ($1.6) -36.9%Casualty and Other Claims Total $0.7 $1.2 $0.5 ($0.7) -58.7%Professional Fees $1.3 $1.7 $1.7 $0.0 1.8%Data Processing Services and Supplies $0.0 $0.0 $0.0 $0.0 29.2%Environmental and Safety $0.8 $0.4 $0.4 $0.0 11.4%M of W Services $1.1 $1.3 $1.3 $0.0 0.3%Total Operating Expenses $59.9 $60.9 $68.2 $7.3 12.0%

FY11 Incr/(Decr) vs FY10



FY10 Total Actual $60.9

Changes to Base Activity

$1.2

($0.8)

$3.1

$2.3

$1.5

($2.5)

$0.3

($0.7)

($0.5)

$3.8$64.7

New Activity

$0.6

$0.7

$2.3

$3.5

FY11 Total Budget $68.2

Decrease in FELA Cost Allocated due to reduction in rate

Decrease in Professional Fees due to anticipated reduced activity in FY11

Police Fitness Program - testing and evaluating candidates to meet established physical fitness standards

Virtual Fence Monitoring Cost

Increase in Employee Related Expenses due to expected higher Training Courses and Travel expenses in FY11

One time FY10 expenses due to unfunded ARRA projects charged to Operating

Increase in Office Rent for Station Action Team Coordinators, higher consumption of ammunition and surveillance equipment and higher cellular phone expenses due to anticipated f illed vacancies

Police Department Expansion additional 50 police officers to be hired per year for the next five years

Base Activity Increase/(Decrease) from Prior YearTotal FY11 Base Activity


Inflation of Prior Year Core including labor contract requirements and management merit increase

Decrease in Salaries due to conversion of special agent positions from management to agreement net of lower vacancy rate assumption in FY11Increase in Wages and Overtime due to the conversion of special agent positions from management to agreement in FY11Increase in Employee Benefits Allocated

Capital Projects: Police and Security

Program Title Project GCAPState, Local &

OtherTotal

SECURITY CANINE PROCUREMENT AND TRAINING $0.0 $0.4 $0.4Security Training $0.0 $1.4 $1.4DHS2010 Training and Public Awareness $0.0 $0.1 $0.1

Exercises STATION ACTION PLAN TESTING AND IMPLEMENTATION $0.0 $1.5 $1.5Public Awareness PUBLIC SECURITY AWARENESS PROGRAM $0.0 $1.0 $1.0

SECURITY SYSTEMS - FUTURE DESIGNS $0.0 $0.3 $0.3DHS2010 Planning and Assessments $0.0 $0.3 $0.3STATION ACTION TEAM (SAT) TOOL KIT $0.0 $1.6 $1.6

Infrastructure Protection Station Hardening $0.0 $1.8 $1.8CCTV and Communications $0.0 $2.4 $2.4Bridge and Tunnel - Security Improvements $0.0 $1.8 $1.8AMTRAK POLICE DEPARTMENT PERSONAL PROTECTION E $0.1 $0.4 $0.5SUBSTATION - SECURITY IMPROVEMENTS $0.1 $0.2 $0.3BRIDGE AND TUNNEL - SECURITY IMPROVEMENTS $0.4 $1.8 $2.2CCTV and Communications $0.5 $1.9 $2.3ACCESS CONTROL SYSTEM EXPANSION $0.1 $0.6 $0.7DHS2010 Communications Control Center $0.0 $0.5 $0.5Wilmington Station Camera Initiation $0.1 $0.0 $0.1DHS 2007 TSGP $0.0 $1.4 $1.4DHS2010 Infrastructure Protection $0.0 $0.5 $0.5Intelligence Support Phase II $0.0 $0.7 $0.7Police K9 Expansion $0.0 $1.3 $1.3Security and Protection Interoperability (SPI) $0.0 $1.0 $1.0Special Operations Division Equipment $0.0 $0.5 $0.5DHS2010 Operational Packages $0.0 $0.6 $0.6Amtrak Police Department $1.3 $24.0 $25.3

Safety & Security

Planning & Assessments

Training

Training Program: $2.0M


o Security Canine Procurement and Training - $0.4M: As part of the Transportation Security Administration (TSA) Canine project, free canines, training and reimbursement of operating and equipment costs are being offered through the National Explosive Detection Canine Team Program. TSA will provide free canines and training and $40K per team for five years

for equipment and operating expenses. TSA also provides $500 per year towards refresher training and certifications.

o Security Training - $1.4M: This project involves ongoing counterterrorism training for the Amtrak Police Department and Amtrak Mobile Teams and security training to Amtrak employees through targeted computer based and classroom training. This project will build on the security training efforts funded by the Department of Homeland Security (DHS) in 2006 and 2007.

o DHS 2010 Training and Public Awareness - $0.1M: This project involves the development

of additional content for the avatar tool adding new training scenarios and new content based upon employees specific work environment, position, duties and functions within the company. Amtrak will increase public awareness and participation in security measures by providing messages i.e. printed materials, videos, etc. to be delivered in and around appropriate areas such as the station gates and waiting areas and by providing the tools and instructions for the public to take appropriate action. The goal of this program is to bolster security through knowledge and by engaging the widest possible participation in good security measures.

Exercises Program: $1.5M

o Amtrak is required to conduct exercises to test, analyze and understand strengths and weaknesses in its security systems and protocols and to adjust them accordingly. This program allows the Amtrak Police department, Mobile Teams and Stations Managers to conduct full scale exercises to test and work through station action plans. This program is funded by the Department of Homeland Security (DHS) 2008 Transit Security Grant Program.

Public Awareness Program: $1.0M

o The goal of this program is to improve public safety through knowledge and wider participation in security measures. Amtrak will educate the travelers on train and stations on personal preparedness measures, terrorism awareness, alert and warning systems, state and local emergency plans via various communication channels. The public awareness campaign is critical to achieving improvements in risk communications to passengers regarding appropriate responses to suspicious packages, persons and ambient terrorist risks.

Planning & Assessments Program: $2.2M o Security Systems – Future Designs - $0.3M: - The project involves the creation of a library of

designs for infrastructure protection solutions. Creation of standardized risk designs will provide greater efficiencies to security projects and will also be utilized by Procurement and Engineering departments for future projects. The project includes designs for bridge intrusion detections, and radiological dispersal device (RDD) detections.


o DHS 2010 Planning and Assessments - $0.3M: – This project intends to conduct a follow-up to the previous risk and needs assessment TRAM (Transportation Risk Assessment Methodology) conducted by SAIC and funded by DHS in 2005. In addition Amtrak would like to conduct a security assessment of approximately 100 stations and facilities previously not included in the TRAM study with particular emphasis on infrastructure protection, public awareness, and chemical/biological/radiological/nuclear/explosive (CBRNE) vulnerabilities. The remaining funds will be used to hire a vendor to collect data and documentation, associated with all assessed

o Station Action Team (SAT) Toolkit - $1.6M: - Department of Homeland Security (DHS) funds

will be used to apply the Station Action Team (SAT) tool kit for security assessment and analysis at various stations. The toolkit includes vulnerability assessments, digital mapping of station areas, pedestrian flow modeling studies, emergency response plan assessment and stakeholders relationships to create site specific station action plans. SAT toolkit components assist in identifying, mitigating and managing terrorism risks to employees, passengers and critical infrastructure.

Infrastructure Protection Program: $14.5M o Station Hardening - $1.8M: In support of the company’s counter terrorism efforts, this project

will increase security by designing and installing station hardening systems including new bollards, gateway checkpoints, and protection pillars at top priority stations. Some of the stations might be registered as historic properties which require discussions and negotiations with the State Historic Preservation Offices before upgrades can be completed.

o CCTV and Communications – $4.7M: This initiative comprises of two projects. The objective of

the two projects is to design and install closed-circuit television (CCTV) cameras, conduit, wiring, recorders, monitors and accessories including new capabilities to existing cameras at high priority stations for counter terrorism efforts and increased security surveillance. The first project covers Amtrak stations in LA and San Diego; the second project will address other stations in Amtrak’s western operations, pending final agreement with DHS on the specific locations. The resulting signals can be transmitted to National Communications Center (NCC) or remote locations. Implementation of these projects will lead to remote monitoring capabilities, availability of real-time information and the capability of sharing information with local security stakeholders.

o Bridge and Tunnel Security Improvements - $4.0M: This initiative comprises of two projects with

the objective of installing fencing for controlled access, intrusion detection, motion sensors, security gates and closed-circuit television (CCTV) monitoring capabilities at bridges and tunnels. The first project focuses on 17 critical bridges and tunnels that are critical to operations, whereas the second project focuses on other bridges and tunnels in the national passenger rail system.

o Amtrak Police Department Equipment Purchase - $0.5M: This project involves the purchase of a

list of communication and tactical equipment presented to and approved by DHS for purchase with grant funding (e.g. chemical and explosive detectors, vehicle transport equipment, satellite communication equipment, generators).

o Substation Security Improvements -$0.3M: This project involves the installation of intrusion

detectors, closed-circuit television (CCTV), motion detectors and card readers at Amtrak power substations in the Northeast Corridor stations.

o Access Control System Expansion - $0.7M: This project involves the expansion of access control

systems to additional Amtrak facilities and integrates intrusion detection with alarm monitoring. Current card access system contains over 300 access points throughout the corporation. Goal is to expand card access to larger facilities where key control is difficult due to large number of employees.


o DHS 2010 Communications Control Center $0.5M: This project will support facility and equipment improvements at Amtrak Command Centers to increase capacity for monitoring the

o Wilmington Station Camera Initiation $0.1M: This project will provide CCTV coverage, with

video analytics, of the following areas: main station entrance, station side entrances, ticket office, platforms, emergency generator area, loading dock, elevators to platforms, taxi stand, perimeter fencing along Main Line, passenger waiting area, undersides of main line overpasses, crosswalk from main station garage, and all four exterior sides of building. And also will provide installation of head end of system in racks in Amtrak Police Department office, and provide associated system monitoring and control point equipment.

o DHS 2007 TSGP $1.4M: This project covers Security methods being installed to protect any

egress points with access to critical locations. Includes a variety of hardening activities such as the placement of bollards and pop-up barriers around the perimeter of stations to provide greater standoff and protection from a Vehicle Borne Improvised Explosive Device (VBIED) at all egress locations and entry of the station.

o DHS 2010 Infrastructure Protection $0.5M: This project will allow Amtrak workforce and

contractors to create designs and install equipment necessary to harden stations and rail facilities identified in the DHS funded risk and needs assessments as key intercity rail transportation assets. These hardening measures, such as access control card readers and intrusion detection devices, bollards, fixed and/or retractable barriers, planters, gate checkpoints, lighting and fencing, will prevent or mitigate the effectiveness of terrorist attacks, especially from vehicle born improvised explosive devices (VBIEDs).

Safety & Security Program: $4.1M o Intelligence Support Phase II - $0.7M: This project involves the continuous development and use

of Intelligence unit to provide relevant, focused, and continuous threat assessment that will enable decision-makers to take cogent defensive/protective actions against threats.

o Police K9 Expansion - $1.3M: Amtrak's canine (K-9) teams are part of the company's security

strategy. Currently, Amtrak has 55 canine explosive detection teams and this project involves the expansion of the canine team by 12 teams for a targeted goal of 67 teams by early 2012. Proposed spending also includes refresher training and recertification of legacy K-9 teams.

o Security and Protection Interoperability - $1.0M: This project will enable the company's counter-

terrorism agents and Amtrak Police Department to exchange useful data on demand, in real time across disparate systems, with each other and with law enforcement agencies, transit departments, emergency responders and federal agencies. In 2004 a survey in Interoperable Communications resulted in 94% of cities not having interoperable communications with rail, police, fire and emergency medical response services, essential in responding to incidents.

o Special Operations Division Equipment - $ 0.5M: This project involves the purchase of

communication and tactical equipment (e.g. chemical and explosive detectors, vehicle transport equipment, satellite communication equipment, generators) for Amtrak Police and Security Department and Mobile Team to support its increased counter-terrorism and operational activities pertaining to the intercity passenger rail system.


o DHS 2010 Operational Packages - $ 0.6M: This project is intended to fund a four-person mobile screening team in the New England region. The objective is to add another layer in the systematic ability for Amtrak to protect the national passenger rail system, its passengers, employees and the users of intermodal stations from attack with CBRNE, particularly improvised explosive devices (IEDs). The team would augment surge, counter-surveillance and show of force activities.

Engineering Overview of the Department Amtrak’s Engineering department can be described as an engineering firm and operating/construction company responsible for keeping infrastructure in a state of good repair. That includes maintenance, testing, and inspection of Amtrak’s physical infrastructure, including track, signals, electric traction, tunnels, and bridges on Amtrak owned right of way and stations and facilities along the right of way. The group is responsible for the maintenance and overhaul of roadway machines and equipment used in the operation. In addition to the core maintenance activities, the group is also responsible for developing and executing the plan to bring the infrastructure into a state of good repair, and support reimbursable project activity in conjunction with state and local agencies on and along our right of way. Base Activity: Engineering’s FY11 base budget is $263.6M, an increase of $21.2M over FY10 actual. A summary of the FY11 changes includes the following:

o Inflation of Prior Year including labor contract requirements and management merit increase $5.7M

o Increase in Salaries due to increase in headcount $0.9M o Decrease in paid time over ARRA heads (includes vacation, holiday and other) offset by

reduction in transfer credits ($0.8M) o Decrease in Overtime, FY10 includes additional work related to several major storms

($3.9M) o Increase in Employee Benefits Allocation $5.3M o Decrease in Employee Related expenses, FY10 includes additional travel expenses related to

several major storms ($1.0M) o Increase in Utility expenses $1.1M o One time FY10 expenses due to unfunded ARRA projects charged to Operating ($1.4M) o Decrease in Facility expenses due to anticipated reduced activity in FY11. FY10 includes

charges related to tools and equipment issued to ARRA employees. These charges are offset by capitalized overhead credits. ($2.2M)

o Decrease in FELA allocation due to change in rate ($2.9M) o Increase in professional fees due to late start of contracts in FY10 $3.0M o Decrease in outsourced services due to anticipated lower activity in FY11 ($0.9M) o Decrease in environmental services due to assumed lower consumption in Safety Equipment

in FY11 ($0.6M) o Decrease in capitalized overhead credits due to decrease in capital spending and ARRA

capital projects $15.5M o Increase in Materials due to anticipated higher inventory reserve in FY11 $2.0M o Decrease in costs for Commuter Services (offset by decrease in Commuter Revenue) ($0.1M)


o Increase in costs for Reimbursable Services (offset by increase in Reimbursable Revenue) $0.8M

o Increase in costs for Commercial Development (offset by increase in Commercial Development Revenue) $0.1M

o Other – $0.7M New Activity: New activity in the department totals $16.4M and is primarily driven by on time performance PRIIA requirements and the continuation of stimulus requirements. A summary of the FY11 new activity includes the following:

o Benefits, paid time, and overtime for 151 ARRA heads (Systemically charged to operating which is offset by transfer credits in base activity) $2.1M

o Capitalized overhead credits related to ARRA activity ($2.0M) o Salaries and benefits for additional positions in Operations Improvement, recommended as a

result of an IG review $1.1M o Benefits, paid time, and overtime for 162 heads required to reduce incident response time

necessary to deliver 95% on time performance for Acela trains by 2013 per PRIIA requirements $15.2M

Operating Expense Summary FY09 –FY11: Engineering

$ millionsFY09

ActualFY10 Actual FY11 Budget $ %

Salaries $23.2 $24.8 $27.5 $2.7 10.9%Wages & Overtime $123.5 $134.3 $150.2 $16.0 11.9%Employee Benefits $65.2 $71.4 $85.6 $14.2 19.9%Employee Related $5.0 $5.7 $4.9

Salaries, Wages and Benefits $216.9 $236.2 $268.2 $32.0 13.5%Train Operations $0.1 $0.2 $0.0Fuel, Power, & Utilities $2.3 $8.2 $9.7 $1.4 17.6%Materials $24.0 $20.0 $23.2 $3.2 16.1%Facility, Communication, & Office $19.8 $29.2 $16.4Casualty and Other Claims Total $2.5 $4.5 $1.7Professional Fees $3.2 $6.1 $6.9 $0.7 11.8%Data Processing Services and Supplies $1.3 $2.8 $1.8Environmental and Safety $3.2 $3.8 $3.4M of W Services $27.8 $24.1 $27.7 $3.6 14.9%Financial $2.5 $2.3 $2.5 $0.1 6.3%Pcard Transactions $0.1 $0.2 $0.0Expense Transfers $0.2Indirect Costs Capitalized To P&E $13.6Total Operating Expenses $234.5 $242.5 $280.0 $37.5 15.5%


($0.9) -15.5%

($0.1) -81.4%

($12.7) -43.6%($2.8) -61.5%

($1.1) -38.4%($0.5) -11.9%

($0.1) -79.6%($1.5) ($1.0) ($0.8) -17.9%

($67.8) ($94.2) ($80.6) -14.4%





$5.7

$0.9

($0.8)

($3.9)

$5.3

($1.0)

$1.1

($1.4)

($2.2)

($2.9)

$3.0

($0.9)

($0.6)

$15.5

$2.0

($0.1)

$0.8

$0.1

$0.7

$21.2$263.6

New Activity

$2.1

($2.0)

$1.1

$15.2

$16.4


Salaries and benefits for additional positions in Operations Improvement, recommended as a result of an IG review

Benefits, paid time, and overtime for 162 heads required to reduce incident response time necessary to deliver 95% on time performance for Acela trains by 2013 per PRIIA requirements

Other Base Activity Increase/(Decrease) from Prior YearTotal FY11 Base Activity


Benefits, paid time, and overtime for 151 ARRA heads (Systemically charged to operating which is offset by transfer credits in base activity)

Increase in Salaries due to increase in headcount

Capitalized overhead credits related to ARRA activity

Inflation of prior year including labor contract requirements and management merit increase

Decrease in paid time over ARRA heads (includes vacation, holiday and other) offset by reduction in transfer credits

Decrease in FELA allocation due to change in rate

Increase in profesional fees due to late start of contracts in FY10

Increase in Employee Benefits Allocation

One time FY10 expenses due to unfunded ARRA projects charged to Operating

Decrease in Overtime, FY10 includes additional work related to several major storms

Increase in Utility expenses

Decrease in Facility expenses due to anticipated reduced activity in FY11. FY10 includes charges related to tools and equipment issued to ARRA employees. These charges are offset by capitalized overhead credits.

Decrease in Employee Related expenses, FY10 includes additional travel expenses related to several major storms

Increase in Materials due to anticipated higher inventory reserve in FY11

Decrease in Outsourced Services due to anticipated lower activities in FY11

Decrease in environmental services due to assumed lower consumption in Safety Equipment in FY11

Incr in costs for Commercial Development (offset by incr in Commercial Development Revenue)

Decrease in costs for Commuter Services (offset by decrease in Commuter Revenue)

Increase in costs for Reimbursable Services (offset by increase in Reimbursable Revenue)

Decrease in capitalized overhead credits due to decrease in capital spending and ARRA capital projects

Capital Programs: Engineering $in millions


Program Title GCAPState, Local &

OtherTotal

Fire & Life Safety $8.8 $29.9 $38.7Seattle King St. Coach Yard $20.0 $0.0 $20.0Equipment Purchase/Replacement $20.0 $0.0 $20.0Interlocking Renewal $13.9 $4.0 $17.9Track Replacement $153.6 $45.0 $198.5Substations/Frequency Converters $10.9 $2.3 $13.1Overhead Catenary and Transmission systems $27.4 $2.1 $29.5Communication Systems $0.6 $0.0 $0.6Signal Systems $21.9 $3.4 $25.3Facility/Station/Other $25.8 $15.2 $41.0Bridges/Culverts/Tunnels $44.0 $17.3 $61.3Freight Railroad Improvements $2.0 $0.0 $2.0ADA Compliance $0.0 $99.9 $99.9Total Engineering $348.8 $219.2 $568.0

Fire & Life Safety Program $38.7M – (GCAP - $8.8M, State, Local, Other - $29.9)

o 1st Avenue Construction $34.0M – This project is located at First Avenue in Manhattan, New York and consists of reconfiguration of two shafts connecting the East River Tunnels at First Avenue. The inadequate ventilation system is being replaced with high capacity bi-directional fans that will be computer-controlled by remote location. The installation will require relocation and/or replacement of all utilities. The scope of work includes demolition and reconstruction of the two existing Amtrak ventilation structures to house the new fans, the new utility systems, and to provide a new means of tunnel egress. Upon completion, this will allow for safe and efficient evacuation of passengers from the tunnel/track level in case of emergency, while providing adequate fire suppression and ventilation to the affected area.

o Miscellaneous Design & Construction Project $3.6M – This program will provide Amtrak passengers with a better opportunity to survive a catastrophic event in the New York tunnels and Penn Station. It will provide emergency access/egress in the tunnels, providing proper ventilation, removing smoke from the affected areas and improved communication system with radio coverage for the New Jersey and New York City fire departments. This program will also incorporate design features fro passenger equipment and develop procedures to accommodate a wide range of incidents.

o NRT Ventilation Construction $1.0M – This project is located in Weehawken, NJ and consists of the replacement of high capacity bi-directional fans that will be computer-controlled by a remote location.

Seattle King St. Coach Yard $20.0M (GCAP) This program involves upgrades to the Seattle Maintenance Facility and increased capacity to maintain Talgo & Amtrak fleets. The program includes:

o Creation of office space, workstations and restrooms to enable employees to shift from trailers

o Construction of maintenance of equipment building which integrates Talgo's equipment maintenance, material control, back shop and welfare facilities into one building

o Connection of South end of the yard to BNSF main line and connection of wash track to the South end.

o Configure South end to accommodate sanding and fueling operations.

Equipment Purchase/Replacement $20.0M (GCAP) The program involves replacement of existing equipment at the end of its useful service life. The replacement program will increase efficiency, utility and production capacity of the equipment by taking advantage of technological advances within the industry. The scope includes the acquisition of Tie Inserters, Tie Handlers, High Rail vehicles, Track Laying Machine Tie cars, and other Heavy roadway equipment.

Interlocking Renewal $17.9M - (GCAP - $13.9M, State, Local, Other - $4.0M) The scope of this program is to renew track structure within interlocking limits with new advanced technology, turnouts including concrete switch ties, moveable point frogs, and switches. This interlocking renewal projects will move the railroad towards a State of Good Repair by eliminating failures and reducing maintenance costs. Some of the major projects included in the program are Interlocking renewal at Landover, North Penn, Glen, and Grove.

Track Replacement $198.5M - (GCAP - $153.5M, State, Local, Other - $45.0M)


o Track Rail Replacement - Renewal/Construction $64.7M – The goal of these two programs is to repair or replace rail as necessary that is currently not in a state of good repair. There is roughly 1,600 miles of main line track that is 40 to 50 years old. The program will repair or replace, as appropriate, rail that has exceeded horizontal or vertical wear limits, internal defect rates, or surface conditions that are approaching safety limits. New track is also being

constructed as part of funding from state partners for commuter rail improvements. In addition, this program involves joint elimination with continuous welded rail and rail component changes in interlockings. This program will help to reduce maintenance costs and slow orders.

o Tie Replacements $36.0M – This program will replace ties along the North East Corridor which will reduce train delays, track geometry degradation, FRA track defects, and switch failures. This program also involves replacement of defective concrete ties in the New York and North East Divisions due to a shorter service life than initially projected. Defective ties provide insufficient support to the rail which could lead to component and track failure. Replacement of defective ties will reduce maintenance costs and improve on time performance and ride quality.

o Track Laying System $47.5M – This program is for the complete replacement of concrete ties on the New York and Northeast Divisions with the Track Laying Machine (TLM). This is due to a shorter service life than initially projected. This replacement program will reduce maintenance costs, potential slow orders, and provide for an increase in on time performance.

o Track Geometry $17.0M – Surfacing and realignment of 550 miles of track surface as required to meet FRA Track Safety Standards.

o Track Turnouts $12.4M – This program involves the replacement of standard wood turnouts and associated components not currently in state of good repair. Associated components include frogs, switch points, and wood and concrete switch timbers and other track turnout material.

o Track Ballast $5.3M – The scope of this program is to perform work that will bring the ballast assets to a state of good repair. Examples of work performed under the program are replacement through spot undercutting and shoulder cleaning where total replacements are not needed.

o Track Drainage $4.3M – The scope of this program is to renew and replace track drainage assets currently not in a state of good repair. If not corrected, poor drainage will result in slow orders and higher maintenance costs associated with the accelerated degradation of track geometry.

o Deputy Chief Engineer Construction Applications $10.2M – The scope of this project includes the development of the Maximo Work Management System (MWMS) for the Engineering department, development of an infrastructure asset library and the development of the Engineering Personnel System (EPS) and the development of an Enterprise Project Management System (EPM). It also builds on earlier investments in Timberline estimating, Primavera scheduling and document management with the integration of the EAM systems with the EPM and EPS system. During FY11 these systems will continue to be developed and integrated to provide for a seamless flow of information that will assist field and management personnel in the project management in FY11 Engineering Capital Program.

o Other $1.2M – Programs included are: $1.0M - Track Crossing-Road $0.2M - Track Fasteners

Substation/Frequency Converters $13.1M – (GCAP - $10.9M, State, Local, Other - $2.3M)

o Improvements of the Electric Traction–Substations along the NEC $13.1M The replacement and upgrade of substation components such as transformers, breakers, relays are done with the goal of maintaining reliable power to the catenary system. Breakdowns create the possibility of train interruptions and increased service delays. Some of the major projects in the program are:

• $9.1M for substation construction at Ivy City. • $2.3M for frequency converters in Sunnyside Yard, Metuchen, Richmond and

Lamokin • $1.8M for Signal Power Upgrades


Overhead Catenary and Transmission Systems $29.5M (GCAP - $27.4M, State, Local, Other - $2.1M)

o Improvements of the Electric Traction–Catenary along the NEC $20.9M - Program highlights are: $15.3M for the Catenary System Improvements along the Hellgate Line. Elements of

this program will include replacement of components beyond their useful life, and replacement of wire that is beyond the allowable wear percentage.

$5.6M for Hardware Renewal. o Upgrading of Electric Traction-Poles along the NEC $5.8M

Many of the catenary poles are over 90 years old and are beyond their designed service life. Replacement of the poles will provide physical support to the power transmission and catenary systems. Program highlights are: $1.6M for catenary pole upgrades in Perryville subdivision $1.0M for catenary pole upgrades in New York division $0.8M for catenary pole foundation in Baltimore $1.8M for catenary pole foundation upgrade in Holmes to Shore $0.7M for catenary pole foundation upgrade in Zoo to Paoli

o Upgrading of Electric Traction Transmission $2.8M

Communications Systems $0.6M The objective of the program will improve radio communications along the North East Corridor (NEC) and Mid-Atlantic divisions

Signal Systems $25.3M - (GCAP - $21.9M, State, Local, Other - $3.4M)

o Interlocking – Communications & Signals $6.6M - This program will upgrade signal systems at interlockings to eliminate equipment failures and reduce maintenance costs. This program involves conversion of air switch machines to electric machines, automation of manual towers and replacement of obsolete interlocking signal system components.

o Centralized Traffic Control (CETC) Program $11.7M – The major project under this program is the development of a new control center in Philadelphia for $14M.

o Automatic Block Signal (ABS) $6.7M – The scope of the program is to bring ABS assets to a state of good repair. ABS component failures have been identified as a major contributor to train delay. Upgrading of outdated components will result in increased reliability, improved on-time performance and railroad safety.

o Crossings $0.2M – For crossing equipment. o ACSE $0.1M – Upgrades from Washington to New York.

Facility/Station/Other Program $41.0M - (GCAP - $25.8M, State, Local, Other - $15.2M) o Station Upgrades $23.5M - Program highlights are:

• $4.0M for MARC platform improvements at Washington Union Station. Initiation of this project will make the station ADA compliant.

• $2.0M for escalator replacement at New York Penn Station. • $2.0M Platform canopy and stairway improvements on the Baltimore Station

platform. • Other projects below $2.0M and include upgrades to facilities at various stations.

o Sunnyside Yard New Mechanical Facility $5.0M – This program involves upgrade of the mechanical facility at Sunnyside Yard outside of New York Penn Station. This program is 100% funded by external agencies (MTA). Implementation of this project will decrease maintenance cost within Sunnyside Yard.

o Maintenance of Equipment Facilities $4.3M – Upgrades to engineering equipment maintenance facilities at Seattle and Ivy City. Improvements include roof replacements, electrical upgrades and lighting improvements.


o Maintenance of Way Base $6.8M – Upgrades to maintenance of way facilities at Wilmington, Providence, Perryville and Penn Coach Yard.

o Transportation Department Facility $1.4M Bridges/Culverts/Tunnels $61.3M - (GCAP - $44.0M, State, Local, Other - $17.3M)

o Fixed bridges upgrade $11.1M - Main activities include bridge replacement in Branford, CT.

o Tunnels $15.6M - Will cover the expenses for lighting upgrades and installation of emergency power generators to supply electrical power for tunnel ventilation, pumps, and other critical systems

o Major Bridge Special Projects $23.3M – Program highlights are: • Niantic River Bridge Replacement $23.0M • Connecticut Bridge Engineering support and Replacement $0.3M

o Other programs $11.4M • $3.1M for other improvements including bridge ties, fencing and retaining wall. • $0.4M for interlocking structures. • $2.3M for movable bridge improvements. • $1.5M for Retaining wall upgrades in Perryville • $4.1M for Fence and Culvert

Freight Railroad Improvement ($2.0M)

o Deputy Chief Engineer – Leasehold Improvements $2.0M - This scope of this program consists of contributions to host railroads for capital improvements that provide operational benefits for Amtrak, such as Metro North's Shell-at-Grade interlocking improvements.

ADA Compliance ($99.9M) – This investment will provide necessary improvements for multiple stations to improve access for disabled patrons and comply with ADA regulations for numerous stations across the United States. Station candidates are under consideration and would include those with more challenging issues with respect to definition of responsible party and the design/physical requirements to achieve ADA compliance.

Environmental, Health, and Safety Overview of the Department The Amtrak Environmental Health and Safety (EHS) Department performs in three functional areas: Public Health, Environmental and System Safety (including Industrial Hygiene). The Public Health group is responsible for Food and Drug Administration (FDA) food service and sanitation compliance, Environmental Protection Agency (EPA) drinking water compliance, passenger and employee food-borne illness investigations, Sanitation Task Force facility audits, pest control service contract management, Pandemic Flu preparation and FDA food car design.


The Environmental group supports Amtrak facilities and functions by providing both companywide and facility specific compliance guidance. Compliance activities include development and delivery of training programs, permit applications, routine inspections and monitoring, and submittal of required agency reports. The environmental audit and assessment program is a part of the Environmental Management System and is used to identify non-compliance issues and develop corrective actions to prevent these non-compliance issues from re-occurring that could lead to enforcement actions. Amtrak’s Environmental Management System (EMS) is coordinated and led by the Environmental group. EMS helps Amtrak departments address environmental activities through awareness, training and outreach. Monthly interdepartmental meetings are held to discuss environmental issues and set goals for environmental improvements. Performance against goals is also tracked through the EMS. The EMS is also used to support Marketing with environmental criteria for various advertising campaigns. In addition, the Environmental group provides project management for both operating and

capital projects. These projects include remediation of contamination or risk reduction projects. These projects keep Amtrak in compliance with environmental regulations and clean-up requirements and create more valuable property. Amtrak’s Environmental Reserve Schedule, in compliance with GAAP, lists over $70 million in known contamination needing to be remediated over the next 5-15 years. In addition to tracking emissions from the company’s carbon footprint and helping with programs to reduce greenhouse gas emissions, the Environmental group provides support to Marketing and Government Affairs regarding sustainable practices and the environmental attributes of passenger rail travel. The Safety group is responsible for the System Safety program, chemical product evaluation and selection, OSHA compliance, Federal Railroad Administration (FRA) safety compliance, management of Operation Lifesaver program; facility safety audits, employee exposure surveys and controls, safety training program development, and expert OSHA testimony for Claims. In addition, the Safety group includes the Central Reporting Office, responsible for compliance with FRA injury/illness reporting, input and tracking of passenger safety incident reports and Claims support. The total FY11 Budget request is $11.4M representing an increase of $2.3M compared to FY10 actual. The total requested headcount at the end of FY11 is 42 management employees and 3 agreement covered employees. Base Activity: The Environmental Department’s FY11 base budget is $9.9M, an increase of $0.8M over FY10 actual. The FY11 budget is mainly driven by labor costs with a total of $6.0M. The remaining $5.3M of the departmental spending is related to Facilities, Communication & Office, Environmental Projects and Industrial hygiene. A summary of FY11 changes includes the following: o Inflation of Prior Year Core, including labor contract requirements $0.2M o Decrease in Professional Fees assuming lower consulting services related to Cross Functional

Teams Support in FY11 ($0.1M) o Increase in cleanup costs at the Ivy City Yard and Penn Coach Yard. Investigations should be

completed in FY10, with significant cleanup work in FY11 $1.0M o Other ($0.3M) New Activity: A summary of FY11 new activity includes the following: o Contract with Liberty Mutual for cross functional teams to improve work place safety processes

and increase agreement employee and management cooperation $0.1M o Increase in workforce to improve public health and safety - Industrial Hygiene and Public health

coordinators positions $0.2M o Operation Lifesaver Special Train $0.2M o Development of asbestos building plan $0.9M o Climate registry inventory and verification of Greenhouse Gas emissions $0.1M

Operating Expense Summary FY09 –FY11: Environmental


$ millionsFY09

ActualFY10 Actual

FY11 Budget

$ %

Salaries $3.0 $3.3 $3.6 $0.3 8.2%Wages & Overtime $0.2 $0.2 $0.2 ($0.0) -16.6%Employee Benefits $1.8 $1.9 $2.0 $0.1 6.1%Employee Related $0.4 $0.3 $0.3 $0.0 16.6%

Salaries, Wages and Benefits $5.4 $5.6 $6.0 $0.4 7.0%Facility, Communication, & Office $0.4 $0.4 $0.4 $0.0 8.5%Professional Fees $0.5 $0.4 $1.3 $1.0 251.7%Environmental and Safety $2.5 $2.6 $3.4 $0.8 30.9%Expense Transfers $0.0 $0.1 $0.2 $0.1 64.3%Total Operating Expenses $8.8 $9.1 $11.4 $2.2 24.6%


Summary of Changes from FY10 to FY11

$ Millions



$0.2

($0.1)

$1.0

($0.3)

$0.8$9.9

New Activity

$0.1

$0.2

$0.2

$0.9

$0.1

$1.5



Decrease in Professional Fees assuming lower consulting services related to Cross Functional Teams Support in FY11

Other

Inflation of Prior Year Core, including labor contract requirements

Contract with Liberty Mutual for cross functional teams to improve work place safety processes and increase agreement employee and management cooperation


Increase in workforce to improve public health and safety - Industrial Hygiene and Public health coordinators positionsOperation Lifesaver Special Train

Development of asbestos building plan

Climate registry inventory and verification of Greenhouse Gas emissions

Increase in cleanup costs at the Ivy City Yard and Penn Coach Yard. Investigations should be completed in FY10, with significant cleanup work in FY11

FY11 Capital Projects: Environmental Health and Safety $in millions

Program Title Project GCAPState, Local

& OtherTotal

Prevention of Groundwater Contamination $0.3 $0.0 $0.3Heartland Flyer Bio-Diesel Grant $0.0 $0.1 $0.1Ivy City Steam Plant Demolition/Abatement $0.2 $0.0 $0.2Wilmington M of E Facility-PCB/Other Contaminants Remediation $0.4 $0.0 $0.4Cedar Hill Remedation $0.1 $0.0 $0.1Sunnyside Yard Oil/Pcb Remed $2.8 $0.1 $2.9Penn Station Track Remediation $0.3 $0.0 $0.3Asbestos, Lead Paint and Mold Abatements $0.5 $0.0 $0.5Beech Grove Facility - Wastewater Treatment System $2.4 $0.0 $2.4Total Environmental Health and Safety $6.8 $0.1 $7.0

Environmental Risk Reduction

Environmental Remediation Program


Environmental Risk Reduction: $0.4M The goal of the Environmental Risk Reduction program is to use preventive measures to mitigate potential environmental issues. The following projects are being implemented as part of this program:

o Prevention of Groundwater Contamination $0.3M – The objective of this project is to upgrade existing underground tanks and separators which are at the end of their useful life or present a threat to contaminating the groundwater through leakage. The tanks will be upgraded or replaced with aboveground tanks when possible except where prohibited by local regulation or impracticability.

o Heartland Flyer Bio-Diesel Grant $0.1M – This project covers a grant received from the

Federal Railroad Administration (FRA) to use biodiesel blended fuel in the Heartland Flyer, which is operated daily between Fort Worth, TX and Oklahoma City, OK, in lieu of #2 diesel. Biodiesel in its pure (B100) and blended forms (B2, B10, B20, B50) helps reduce a percentage of the harmful locomotive exhaust emissions associated with the utilization of #2 Diesel. In previously conducted static locomotive engine testing, B20 (20% pure bio-fuel and 80% #2 diesel) has illustrated the following reduction in locomotive engine exhaust: hydrocarbons (HC) 10%, carbon monoxide (CO) 10%, particulates 15%, sulfates 20%. Biodiesel requires little to no engine modifications for utilization. Amtrak will operate the Heartland Flyer exclusively with B20 for a period of 12 months. FRA, to the extent possible, will provide oversight and technical support toward the successful completion of the Project.

Environmental Remediation Program: $6.6M Environmental remediation involves cleanup at work sites due to a Court or Administrative Order. In FY11, Amtrak plans to spend $6.6M on environmental remediation projects with proposed spending of $41.5M in FY11-15 to meet Court or ordered clean ups. The various projects being undertaken as part of this program include:

o Ivy City Steam Plant Demolition/Abatement $0.2M – The Ivy City steam plant is in poor condition and some structural elements are beginning to fail. There is the risk that the building could topple and it poses a risk to employees who work nearby. Should there be structure failure prior to abatement, costs could significantly increase.

o Wilmington Facility Remediation $0.4M - This project encompasses remediation of PCB and

other contaminants and initiating erosion control measures at the Wilmington maintenance facility. The soil at the facility is contaminated with PCBs and petroleum. PCBs can be potentially transported offsite via erosion to surrounding surface water bodies, impacting the aquatic life. Amtrak signed a Voluntary Cleanup Agreement (VCA) with Delaware Department of Natural Resources and Environmental Control (DNREC) and is legally obligated to perform this work. Total spending on this project in FY11-15 is projected to be $15.7M.

o Cedar Hill Remediation $0.1M - This project involves removal and backfill of PCB

contaminated soil in some track areas at this CT facility. Soil investigation has been completed and a report summarizing the findings of the investigations is being developed. Remedial action work plan was prepared in FY09 and remediation work will be initiated and completed in FY11. Total spending on the project is $1.7M and is expected to be completed in FY11.


o Sunnyside Yard Oil/PCB Remediation $2.9M – Train operations continuing until the1970's caused polychlorinated biphenyl (PCB) and diesel fuel releases at Sunnyside Yard which

contaminated the subsoil. Amtrak and New Jersey Transit trains (NJT) signed a consent order with the New York State Department of Environmental Conservation (NYSDEC) to cleanup the soil in order to reduce potential PCB exposure to employees. The project involves the continuation of ongoing remediation of contaminated subsoil and groundwater as per NYSDEC orders. The property is divided into 6 Operable Units (OU) for remedial actions and OU's 1 and 2 have been completed. In FY11, remediation work on OU 3 and 4 will be continued and remedial action plan developed and approved for OU 6. Proposed spending on this project in FY11-15 is $10M.

o Penn Station Track Remediation $0.3M – Remediation and track replacement in PCB

contaminated areas to prevent exposure of employees and passengers. Total spending on the project is expected to be $1.6M and is expected to be complete by FY14.

o Asbestos, Lead Paint and Mold Abatements $0.5M - As part of multi year initiative, asbestos,

mold and lead paint will be removed or remediated during construction projects, as they are encountered. Many of the facilities inherited by Amtrak have asbestos containing materials (ACM) and lead based paint. As part of Federal, state and local regulations, ACM must be abated prior to construction or demolition activities. Mold findings have occurred in facilities occupied by Amtrak employees or at Stations with water leak issues.

o Beech Grove Facility – Wastewater Treatment System $2.4M - This project is mandatory as

the City of Beech Grove has ordered Amtrak to terminate the discharge of storm water into city sanitary sewers.

Finance Overview of the Department: The Finance Department is comprised of the CFO Staff, Treasury, Controller (Corporate Accounting, Payroll, Capital Accounting, Accounts Receivable, and Accounts Payable), Financial Analysis, and Financial Planning functions. In addition to the operating costs of these departments, the Finance operating expense budget contains significant costs for the company as a whole that are not directly attributable to any single department. Of the FY11 Finance operating budget of $259.7M, only $42.7M (16.4%) is for departmental costs; the remaining $217.0M (83.6%) is for general Amtrak expenses, most notably the cost of electric power for propulsion of the electric locomotive fleet in the NEC, expenses incurred for ticket sales using credit cards, property and liability insurance, financing related costs, and bank and armored car fees. Base Activity: The FY11 base budget request is $259.7M an increase of $35.2M over the FY10 actual. Nearly all of this increase - $31.4M – is for an increase in electric propulsion power costs. The amount consist of two major components: $22.0M increase in cost of electricity for propulsion of electric locomotives in the NEC due to the renewal of contracts, $9.4M is related to hedging of fuel contracts. The other change is an additional $2.5M of salaries, wages and benefits. New Activity: FY11 budget contains $3.5M of costs from new activity. Credit Card Commissions are expected to increase by $3.0M due to increase in new revenue initiatives.


Finance - Operating Expenses Summary FY09-FY11

$ millionsFY09

ActualFY10 actual FY11 Budget $ %


Salaries, Wages and Benefits $27.5 $29.4 $32.4 $3.1 10.4%Fuel, Power, & Utilities $102.6 $103.2 $134.6 $31.4 30.4%Facility, Communication, & Office $2.5 $2.9 $2.8 ($0.1) -4.4%Advertising and Sales $33.0 $36.7 $39.7 $3.0 8.3%Casualty and Other Claims Total $0.1 $0.2 $0.1 ($0.1) -60.6%Professional Fees $5.3 $6.9 $6.5 ($0.4) -5.7%Data Processing Services and Supplies $0.9 $0.7 $0.9 $0.2 31.6%Financial $37.9 $44.6 $42.8 ($1.8) -4.1%Expense Transfers $0.1 $0.0 $0.0 ($0.0) -100.0%Total Operating Expenses $209.9 $224.5 $259.7 $35.2 15.7%



$ Millions

FY10 Total Forecast $224.5


$4.6

$2.5

$22.0

($4.6)

$7.2

$31.7$256.3

New Activity

$0.5

$3.0

$3.5



Other

Increase in cost of electricity for propulsion of electric locomotives in NEC due to renewal of contracts. Amount excludes increase related to fuel hedges.Decrease in Financial from decrease in exercising lease buy back options offset by an increase in Purchased Insurance



Increase for Salaries,Benefits, Office Expense and Building Maintenance services

Increase in Credit Card Commission, will be offset by increase in revenues

Increase in Salaries, wages and benefits

Finance - FY11 Capital Projects


& Other Total

Install High Efficiency Lighting at Mechanical Fac $1.8 $0.3 $2.1Energy Efficiency Lighting and HVAC Control Project $0.1 $0.0 $0.1

Chicago Union Station - Steam Plant Replacement St $1.1 $0.0 $1.1Financial Management Equipment Pool Committee $0.0 $1.6 $1.6

Total Finance $2.9 $1.9 $4.8 Energy Efficiency $4.8M

o Install high efficiency lighting at Mechanical facilities $2.1M: This project continues the work commenced in FY 2010 to install high efficiency lighting at mechanical facilities and shops. This project will replace old HID lighting fixtures with fluorescent technology that will produce higher quality light at a lower overall cost.


o Lighting and HVAC control $0.1M: Install lighting, heating and HVAC control systems at high usage locations. HVAC at most Amtrak locations is not effectively or centrally

controlled resulting in unnecessary utility expense. This project will facilitate the installation of these control systems that will allow the more efficient use of utility expenses at these major locations. In FY11, installations will occur at high usage locations not covered during FY 2010.

o Chicago Union Station – Steam Plant replacement study $1.1M: Amtrak currently operates a

steam plant at Chicago Union Station that is outdated, inefficient and expensive to operate. It has been decided that Amtrak should shut down the steam plant and convert its building and needs at Chicago Union Station to point-of-use heating and steam systems to eliminate the capital investment needs of the existing steam plant. In FY11, this project will build on the design work accomplished in FY2010 and begin the construction of point-of-use facilities to replace the outdated inefficient steam plant.

Financial Management $1.6M

o Equipment Pool Committee $1.6: This project is to design and develop specifications for and procure standardized next generation corridor equipment. Participants in this effort include Amtrak, various states, FRA, host railroads, equipment manufactures and other operators as appropriate. The committee will determine the types of equipment required for use on routes funded and establish a pool of equipment.

Government Affairs and Corporate Communications Overview of the Department The Government Affairs and Corporate Communications Department is divided into three functional areas: Government Affairs, Corporate Communications and Great American Stations. Government Affairs: Federal grants account for almost half of Amtrak’s overall budget. The Department provides Congress and the Administration with funding requests and documentation required to support the requests, prepares for related hearings before House and Senate Appropriations Committees, and responds to follow-up questions from the Committees. The Department makes annual legislative requests and follows through with appropriate Congressional staff at each stop of the way. When multi-year reauthorization bills are in play, the Department provides Congress and the Administration with information relating to reauthorization proposals, prepares for related hearings before the House Transportation and Infrastructure and Senate Commerce Committees, and responds to follow-up questions from the Committees. The Department educates Congressional staff and advocacy groups who wish to advance Amtrak’s legislative agenda and convenes regular related meetings. It also represents Amtrak at meetings and hearings at all levels of government and regularly meets with local officials in Amtrak communities. The Department responds to external and internal inquiries, provides written responses for the signature of the CEO and Board Members, prepares speeches and presentations, and assists with public officials’ travel arrangements. Corporate Communications: Employee and Customer Communications prepares and issues the Annual Report, produces the monthly Amtrak Ink employee newspaper, produces the annual Amtrak wall calendar, provides content for the on-board Arrive magazine, issues weekly employee advisories, issues service-related customer advisories for posting in stations and on trains. Media Relations responds to media inquiries, prepares news releases and statements, organizes public events, and assists with journalists’ travel arrangements.


Great American Stations: This group creates new content for and maintains the Great American Stations website, an Amtrak project that educates local officials and the public about the benefits of

station improvements and the importance of ADA compliance projects at stations and how Amtrak can help advance such projects. It also performs outreach to station communities, including through two annual “Civic Conversations,” regional conference of local officials and Amtrak officials to discuss station projects. The requested headcount at the end of FY11 is 40. Base Activity: Government Affairs’ FY11 base budget is $6.6M, an increase of $1.2M over FY10 actual. Salaries and benefits typically make up more than 80% of the budget. A summary of FY11 changes includes the following:

o Inflation of Prior Year Core including labor contract requirements $0.1M o Increase in headcount for maintaining and growing relationships with key national and state-

based governmental, transportation, business, labor, environmental, and disability organizations to meet the growing needs of the Corporation’s external partners $0.6M

o Increase in Employee Benefits $0.3M o Other $0.1M

Operating Expense Summary FY09 –FY11: Government Affairs

$ millionsFY09

ActualFY10

ActualFY11

Budget$ %


Salaries, Wages and Benefits $4.3 $4.8 $5.8 $1.1 23.9%Facility, Communication, & Office $0.3 $0.3 $0.4 $0.1 15.6%Advertising and Sales $0.0 $0.0 $0.1 $0.0 138.1%Professional Fees $0.2 $0.3 $0.3 $0.0 10.8%Data Processing Services and Supplies $0.1 $0.0 $0.0 $0.0 13.4%Total Operating Expenses $4.9 $5.4 $6.6 $1.2 21.7%



$ Millions



$0.1

$0.6

$0.3$0.1

$1.2$6.6


Increase in headcount for maintaining and growing relationships with key national and state-based governmental, transportation, business, labor, environmental, and disability organizations to meet the growing needs of the Corporation’s external partners

Other

Base Activity Increase/(Decrease) from Prior Year

Increase in Employee Benefits


Inflation of Prior Year Core including labor contract requirements


Human Resources, Labor Administration and Diversity Initiatives Overview of the Department In August 2010 the Amtrak board of directors formalized and made permanent the changes in the reporting structure between Labor Relations and Human Resources, approving the newly created position of Chief Labor Relations Officer and Assistant Vice President reporting to the Vice President of Human Resources, Labor Administration and Diversity Initiatives on matters related to labor administration. The role of the Human Resources, Labor Administration and Diversity Initiatives department is to partner with managers in developing, implementing and administering strategies that maximize business performance while sustaining an organizational climate that supports workforce inclusion, employee satisfaction and productivity. In order to achieve this objective Human Resources is organized by the following key functions:

o Recruitment and staffing including employment testing and evaluation o Employee Relations and Employee Shared Services o Compensation Management; Retirement Administration; Health and Welfare benefits

administration o HR Technology o Health Services and Employee Wellness; Employee Assistance Programs o Workforce Development Services including training and learning management o Career Management; and Employee Recognition and Services o Diversity Out reach and Initiatives o Dispute Resolution o Strategic Workforce Planning including human capital management, workforce analytics and

succession planning. o Labor Relations negotiates labor contracts with the fourteen unions and two councils

representing Amtrak employees and serves as the final authority in labor contract interpretations, appeals and arbitrations of discipline and grievance cases. It provides research, planning support, training and advice on all matters bearing on management and employee rights under twenty-four labor contracts, and serves as liaison between Amtrak management and system level union leaders in the development, communication, and implementation of company-wide initiatives to improve the business and the satisfaction level of employees.

o Operation Red Block is a union/employee led effort to educate employees in the identification and prevention of drug and alcohol use in the workplace. This is a professionally supported, peer led effort with organized education and prevention activities and committees which include organized labor, employees and management (126 teams, 13 committees usually meeting quarterly).

The FY11 total budget request is $34.9M representing an increase of $3.3M compared to FY10 actual. The total requested headcount at the end of FY11 is 222 management employees, 4 agreement covered employees and 2 training resource employees. This includes a request of 3 management employees to support High Speed Rail training activities. Base Activity: The Human Resources, Labor Administration and Diversity group’s FY11 base budget is $33.8M, an increase of $2.2M over FY10 actual. A summary of FY11 changes includes the following:

o Inflation of Prior Year Core including labor contract requirements $0.6M o Increase in Salaries assuming lower vacancy rate in FY11 than FY10 actual $1.1M


o Increase in Employee Benefits allocated $0.8M

o Decrease in Data Processing & Services related to IT absorbing the annual maintenance cost of Pension Administration and Performance Management Systems ($0.3M)

o Decrease in Professional Fees due to anticipated reduced activity in FY11 ($0.3M) o Other $0.3M

New Activity:

o Safety training in support of the Rail Safety Improvement Act (FRA Mandate 237) $0.1M o Outsourcing and programming required in support of Amtrak's new monitor leave of absence

system $0.1M o Rebuild Amtrak compensation job family structures and career paths for largest business

units $0.2M o Expand Amtrak Leadership Academy to support Human Capital Initiative $0.3M. The

leadership program is designed to address identified competency gaps and provide critical tools required to increase overall operational performance of entry-level managers, intermediate level managers and senior or advanced levels of management. The program will also include managerial coaching to improve performance.

o Implement new Performance Management training to support enhanced performance management process $0.3M

o Three additional management employees and outsourced instructors for High Speed Rail training (training for management employees at Ivy city to work on High Speed Rail Equipment) $0.2M

o Labor Relations – Completion of new wage and rule agreements, as appropriate (open 1/1/10); With HR, let for bid the union employee medical plan disease management program

(1/1/10), and medical plan (2011 or after); Roll-out employee wellness pilot initiative; Develop advanced charging officer training.

o Operation RedBlock – New activity in FY11 and beyond will include: Completion of company-wide, union and executive led communication of Operation

RedBlock (“Blitz”) coincident with 20 year anniversary; Provide additional Critical Assistance Response Employee (CARE) training; Continued roll-out of Youth-in-Workplace (18-29 year olds) activities (complete

surveys, Personal Responsibility, Education and Values Training (PREVENT) and mentorship program).

Operating Expense Summary FY09 –FY11: Human Resources, Labor Administration and Diversity Initiatives

$ millions

FY09 Actual

FY10 Actual

FY11 Budget

$ %

Salaries $14.1 $15.2 $16.9 $1.6 10.7%Wages & Overtime $0.3 $0.3 $0.3 $0.1 29.5%Employee Benefits $7.9 $8.3 $9.1 $0.8 9.6%Employee Related $3.6 $3.6 $3.9 $0.3 7.4%

Salaries, Wages and Benefits $25.9 $27.4 $30.2 $2.8 10.1%Facility, Communication, & Office $1.9 $2.2 $2.6 $0.3 15.4%Advertising and Sales $0.1 $0.1 $0.1 $0.0 22.5%Professional Fees $1.0 $1.3 $1.7 $0.4 34.9%Data Processing Services and Supplies $0.4 $0.4 $0.2 ($0.3) -61.7%M of W Services $0.1 $0.1 $0.1 $0.0 3.4%Total Operating Expenses $29.4 $31.5 $34.9 $3.3 10.5%




$ Millions



$0.6

$1.1

$0.8

($0.3)

($0.3)

$0.3

$2.2$33.7

New Activity

$0.1

$0.1

$0.2

$0.3

$0.3

$0.2

$1.1


Other Base Activity Increase/(Decrease) from Prior YearTotal FY11 Base Activity

Safety training in support of the Rail Safety Improvement Act (FRA Mandate 237)

Decrease in Professional Fees due to anticipated reduced activity in FY11

Increase in Employee Benefits allocated

Decrease in Data Processing & Services related to IT absorbing the annual maintenance cost of Pension Administration and Performance Management Systems

Increase in Salaries assuming lower vacancy rate in FY11 than FY10 actuals

Inflation of Prior Year Core including labor contract requirements

Outsourcing and programming required in support of Amtrak's new monitor leave of absence system

Rebuild Amtrak compensation job family structures and career paths for largest business units

Expand Amtrak Leadership Academy to support Human Capital Initiative

Three management employees and outsourced instructors for High Speed Rail training (training for management employees at Ivy city to work on High Speed Rail Equipment)

Implement new Performance Management training to support enhanced performance management process


Information Technology Overview of the Department: The Information Technology Department (IT) provides the information and technology tools required by the enterprise to safely and reliably provide rail passenger services and meet Amtrak’s business partners’ needs. The department’s mission is to provide IT leadership as part of a high-performing management team that achieves superior business results. IT’s primary goal is to partner with Amtrak’s business units to successfully deliver key strategic initiatives and projects with a focus on business objectives, teamwork, and customer service. The department is organized with three Group Information Officers aligned to support the following areas: Enterprise Resource Planning, Marketing & Product Management, and Operations. There are also four Information Technology Officers aligned to the business and supporting teams for Architecture, Technology Operations, Information Security, and Program Management. The authorized year end headcount in FY11 is 283 in operating and 91 in capital projects. Although the authorized operating headcount will remain unchanged in FY11 there will be some realignment between departments. Base Activity: The FY11 base budget request is $154.3M with initiatives of $29.1M for a total budget request of $183.3M. The budget request is mainly driven by labor costs, communications, and contracted services costs. The FY11 request is an increase of $20.6M over FY10 Actual. A summary of FY11 changes includes the following:


o Adjustment to Salaries for new application support initiative – $3.7M

o Change in Base Employee Benefits & FELA - $2.3M o Changes due to outsourced technology services – ($16.8M) o Increase in Communications (teleconferences, web meetings) - $0.6M o Point of Sale (POS) system support transferred from Marketing - $0.9M o Other and miscellaneous items - $0.8M

New Activity: Amtrak seeks to transform key information technology and telecommunications operations and systems of the company to implement best practices, enhance disaster recovery capabilities, and optimize operations performance. To this end, the IT Department, in conjunction with the Procurement Department, engaged in a significant initiative known as the Information Technology Infrastructure Improvement (ITII) program. This program began in FY08 and will be concluded by FY11. The request for this initiative in FY11 is $12.1M plus $3.4M in FY11 transition costs. In addition we also have a new initiative to increase support for the Operating Departments’ applications and users of SAP (currently HR/Payroll and starting in FY11 SAM). This new initiative is estimated to cost $3.1M which brings the total new initiatives to $29.1M which is distributed as follows:

o Transition costs related to resourcing the data center and network service providers $3.4M o Increased cost for expanded SAP and Operations Departmental applications support $3.1M o Full year expense for 2nd Data Center, increased capacity, and improved service levels

(increase is for second data center to provide disaster recovery, increase of service levels for key stations, operations facilities and headquarter – Gold, Silver Bronze designation, includes both workstations and network connections) - $12.1M

o ADA system support cost - $1.6M o Outsourcing network, software and field expense - $3.1M o Hardware upgrades and replacement for outsource technology contract - $5.8M

Operating Expenses Summary FY09 - FY11: Information Technology

$ millions

FY09 Actual

FY10 Actual

FY11 Budget

$ %

Salaries $21.8 $23.5 $29.2 $5.6 23.8%Wages & Overtime $0.3 $0.3 $0.3 $0.0 2.3%Employee Benefits $12.0 $12.7 $15.6 $2.9 22.7%Employee Related $1.3 $1.6 $1.4 ($0.2) -12.8%

Salaries, Wages and Benefits $35.5 $38.2 $46.5 $8.3 21.7%Facility, Communication, & Office $40.3 $37.2 $35.4 ($1.8) -4.8%Professional Fees $0.7 $0.7 $0.3 ($0.4) -54.2%Data Processing Services and Supplies $79.6 $86.5 $101.1 $14.5 16.8%Total Operating Expenses $156.2 $162.7 $183.3 $20.6 12.7%




FY10 Actual $162.7

Changes to Base Activity$0.0$3.7$2.3

($16.8)$0.6$0.9

$0.8($8.4)

$154.3

New Activity$3.4

$3.1

$1.6

$5.8

$3.1

$12.1

$0.0

$29.1


One time transition costs related to resourcing the data center and network service providers

Full year expense for 2nd data center, increased capacity, and improved service levels


OtherBase Activity Increase/(Decrease) from Prior YearTotal FY11 Base Activity

Change in Base Core Employee Benefits Allocated

Point of Sale (POS) system support transferred from Marketing & Product Management

IT expense related to ADA related systems

IT hardware expense for IBM contract

Outsourcing network, software and field expense

Salary Increases - Lower Vacancy and Increase work scope


Increased expense for expanded SAP and Operations Departmental applications support

Increases in communications (lines, teleconferences, webmeetings)Changes data processing due to outsourced technology services (Increase in New Activity below)

Other

Capital Projects - Information Technology $ in Millions

PROGRAM TITLE GCAP

STATE & LOCAL / OTHER TOTAL

Rail Operations 0.6 1.1 1.7 IT Infrastructure 5.1 2.5 7.5 Amtrak Information Modernization (AIM) 17.6 0.9 18.5 Strategic Asset Mgmt Enterprise (SAM 2.0) 2.5 - 2.5 Enterprise Resource Planning 78.8 4.1 82.9

104.6$ 8.5$ 113.2$ TOTAL INFORMATION TECHNOLOGY Enterprise Resource Planning $82.9M

o Strategic Asset Management Enterprise (SAM) - $82.9M - this project integrates key operational, financial, and human resources business processes and replaces core outdated financial, work management, and other systems. Specific models to be implemented as part of this multi-year project are: all financial applications replacing an outdated mainframe application with SAP financials, procurement, management and maintenance of rolling stock assets, and management and maintenance of infrastructure assets.

Strategic Asset Management (SAM 2.0) $2.5M

o Strategic Asset Mgmt (SAM 2.0) - $2.5M - This project is the follow on to SAM 1A that addresses a number of enhancements the project team has identified that will improve the functionality of R1a as well as identify next steps that will leverage the first phase across operations. There is a significant risk that many of the resources on the team would not be available if the project were stopped and restarted. The next phase focuses on Enterprise Asset Management and the delivery of Operations Transparency. Taken together they offer integration of many critical systems and processes that will focus on removing barriers between department and delivering value to our customers.

Amtrak Information Modernization $18.5M


o Reservations Ecosystem Next Generation - $15.2M - the purpose of this project is to replace and modernize the reservation, ticket, sales, and train operations systems. This involves the re-write of the Arrow reservation system to a modern platform for reservations, sales, and

o Enterprise Data Warehouse - $3.3M - The Enterprise Data Warehouse (EDW) Program, Phase 2, continues to build upon the accomplishments of the Enterprise Data Access & Availability (EDA&A) Program. New functionality will be developed to enhance “CSPMI – One Stop”, BOD Dashboard and COO Dashboard applications. Each project within the program involves expansion of the EDW with the new subject areas and development of business intelligence components in support of reporting and trend analysis.

IT Infrastructure $7.5M

o This is an ongoing program to refresh and expand the IT core infrastructure to ensure reliability standards are met, including network, servers, and workstations. The scope for FY11 includes: refresh network, servers, and storage infrastructure not covered by the new outsource contract; refresh workstations on a three year cycle; acquire hardware to stage in field to improve response time to failures; and replace key IT equipment used in field system and Quik-Trak kiosks. Projects included on this program are: PC and field systems state of good repair, application server and storage state of good repair, network redesign and expansion, and application/network service level monitoring and reporting.

Other Programs $1.7M

o Migration or Replacement of Labor Management System Application - $1.7M - modernizes and replaces an obsolete scheduling and pay calculation system used for On Board Services and Train and Engine crew management. The replacement provides an integrated, flexible, rules driven and maintainable capability. By implementing a modern solution that integrates with SAP and other transportation systems, this project will reduce the risk of dependence upon obsolete technology and loss of institutional knowledge.

Marketing and Product Development

Overview of the Department Marketing and Product Development (M&PD) drives Amtrak ridership, ticket revenue, and market share through integrated marketing and sales capabilities and a constant focus on increasing customer satisfaction through targeted product and service improvements. Major departmental functions include sales distribution, customer service, marketing and sales promotion, food & beverage service delivery, market research/analysis, pricing/revenue management, and route-level product management. M&PD budgeted headcount at the end of FY11 is 1,265 (277 management, 988 agreement), with operating expenses of $286.0M. Major operating expense drivers of the department include advertising and promotional costs, contract management and provisioning costs for Food & Beverage service, wages and benefits for the reservation/sales call centers, and departmental salaries. These four categories comprise approximately 90% of the total departmental budget.


Meeting the new customer satisfaction and route performance targets mandated by PRIIA in Section 207 and route performance improvement plans in Section 210 will be supported by the Product Development, Market Research & Analysis, and Product Planning & Business Strategy groups in collaboration with the Operations department and Policy & Development. Targeted metrics as defined under PRIIA Section 207 for financial/operating, On Time Performance, train delays, and customer satisfaction will be the focus of management actions to improve and expand passenger rail services. Further, M&PD will continue to support in depth customer research program implemented in FY10 to evaluate the customer experience and assess customer expectations. This program will

enable more comprehensive product development based on up to date extensive qualitative and quantitative data gathered in five discreet research areas. Continued investments to leverage marketing capabilities will be critical to meeting top line objectives; these will focus on building loyalty (increasing repeat ridership) from the existing customer base and stimulating trial to attract new riders from competing travel modes. Maintaining Amtrak’s air/rail market share in the NEC above 60% in the Washington-New York market and above 50% in the New York-Boston market will remain a key objective, as well as building market share of total trips in high frequency corridors outside of the NEC. Key M&PD advances will include greater sophistication in the use of electronic direct-to-customer communications, through targeted online interactions, and the development of integrated brand marketing campaigns that communicate the benefits of rail travel across digital, print, broadcast, and entertainment/events/sports marketing venues. Decision support capabilities in Pricing/Revenue Management and Market Research/Analysis will continue to play a critical role in guiding the application of marketing resources. Base Activity: Marketing’s FY11 base budget is $286.1M, an increase of $9.0M over FY10 actual. A summary of FY11 changes includes the following:

o Inflation of prior year including labor contract requirements and management merit increase $3.0M

o Increase in Salaries due to increase in head count $3.5M o Decrease in Wages due to settlement paid in FY10. Decrease in Overtime, FY10 includes

greater than projected call handling time driven by inclement weather conditions, high projected passenger travel and unexpected VRU decline performance ($3.7M)

o Increase in employee benefits allocated $2.4M o Increase in Employee Related Expenses due to anticipated higher activity in FY11 $0.3M o Increase in Food and Beverage cost offset by increase in Food and Beverage revenue $1.3M o Increase in printing cost related to incremental national dining car menus and increase in rent

expenses $0.3M o Increase in Communication expenses, RSO Watts cost per minute in FY10 lower than

expected $0.7M o Decrease in FELA allocation due to decrease in rates ($1.0M) o Increase in Professional Fees due to anticipated higher activity in FY11 $2.3M o Increase in data processing due to anticipated higher activity in FY11 $0.6M o Decrease in Passenger Inconvenience to account for systemic improvements ($0.3M) o Decrease in costs for Reimbursable Services (offset by increase in Reimbursable Revenue)

($0.1M) o Other ($0.4M)

New Activity: The FY11 new activity budget is:

o Increase in labor and benefits due to Insourcing of Amtrak Guest Rewards program call center support $1.9M net of

o Reduction in professional fees due to Insourcing of Amtrak Guest Rewards program call center support ($2.1M)


Operating Expense Summary FY09 –FY11: Marketing & Product Development

$ millions

FY09 Actual

FY10 Actual

FY11 Budget

$ %


Salaries, Wages and Benefits $81.9 $86.6 $92.9 $6.4 7.4%Train Operations $81.5 $82.9 $85.2 $2.3 2.7%Fuel, Power, & Utilities $0.6 $0.6 $0.7 $0.1 12.9%Materials $0.0 $0.0 $0.0 ($0.0) -53.6%Facility, Communication, & Office $10.1 $10.2 $11.3 $1.0 10.2%Advertising and Sales $70.1 $76.0 $75.6 ($0.4) -0.5%Casualty and Other Claims Total $0.8 $1.4 $0.5 ($0.9) -66.9%Professional Fees $12.7 $13.9 $14.2 $0.3 2.0%Data Processing Services and Supplies $0.3 $0.4 $1.0 $0.6 133.6%Environmental and Safety $0.0 $0.1 $0.0 ($0.1) -71.0%M of W Services $0.5 $0.5 $0.5 $0.0 0.5%Passenger Inconvenience $4.6 $4.5 $4.2 ($0.3) -6.3%Total Operating Expenses $263.0 $277.1 $286.0 $9.0 3.2%



$ MillionsFY10 Total Actual $277.1


$3.0

$3.5

($3.7)

$2.4

$0.3

$1.3

$0.3

$0.7

($1.0)

$2.3

$0.6

($0.3)

($0.1)

($0.4)

$9.0$286.1

New Activity

$1.9

($2.0)

($0.1)


Decrease in Passenger Inconvenience to account for systemic improvements

Increase in employee benefits allocated

Increase in Communication expenses, RSO Watts cost per minute in FY10 lower than expected


Increase in data processing due to anticipated higher activity in FY11

Increase in Salaries due to increase in headcount

Decrease in Wages due to settlement paid in FY10. Decrease in Overtime, FY10 includes greater than projected call handling time driven by inclement weather conditions, high projected passenger travel and unexpected VRU decline performance

Increase in Food and Beverage cost offset by increase in Food and Beverage revenue

Increase in printing cost related to incremental national dining car menus and increase in rent expenses

Other


Increase in labor and benefits due to Insourcing of Amtrak Guest Rewards program call center support


Reduction in professional fees due to Insourcing of Amtrak Guest Rewards program call center support

Decrease in FELA allocation due to decrease in rates

Decrease in costs for Reimbursable Services (offset by increase in Reimbursable Revenue)

Increase in Professional Fees due to anticipated higher activity in FY11

Increase in Employee Related Expenses due to anticipated higher activity in FY11


Capital Projects: Marketing & Product Development $ in Millions

Program Title Project GCAPState, Local &

OtherTotal

WiFi for Caltrans Pacific Surfliner 0.0 2.5 2.5Northern California Wi-Fi 0.0 3.8 3.8Call Center Technology Eff iciencies Program 0.6 0.0 0.6j ( ) ( )

Facilities and Infrastructure

Misc. Facilities and Infrastructure Projects 0.1 0.1 0.2

On-Board WiFi - Systemwide 8.6 0.0 8.6POS/Eatec Upgrade 7.4 0.5 7.9

E-Commerce Amtrak.com Enhancements & Upgrades 1.3 0.0 1.3

Pricing Service Fees - Phase 2 0.5 0.0 0.5Quik Trak Quik Trak Enhancements 0.5 1.2 1.7

e-Ticketing Amtrak E-Ticketing Initiative 12.4 0.0 12.4

Marketing and Product Management $31.4 $8.0 $39.4

Info Tech - Marketing

Call Center

Info Tech Program $6.3M

o WiFi for Caltrans Pacific Surfliner - $2.5M - The project will outfit Amtrak and state partner Pacific Surfliner trains with an on-board Wi-Fi solution. This will be accomplished by installing a communications control unit on every train set along with wireless access points in every car. This solution enables the broadcast of a Wi-Fi signal throughout the train and communicates with the Internet via the existing cellular network operated by the major cellular carriers. In addition to providing Internet access, the network will serve as a platform for other passenger services, and business services (e.g., support for on board data communications for systems such as eTicketing and Point-of-Sale with Amtrak’s corporate network).

o Northern California WiFi - $3.8M - The project will outfit Amtrak and state partner, Capital Corridor, and San Joaquin trains with an on-board Wi-Fi solution. This will be accomplished by installing a communications control unit on every train set along with wireless access points in every car. This solution enables the broadcast of a Wi-Fi signal throughout the train and communicates with the Internet via the existing cellular network operated by the major cellular carriers. In addition to providing Internet access, the network will serve as a platform for other passenger services, and business services (e.g., support for on board data communications for systems such as eTicketing and Point-of-Sale with Amtrak’s corporate network).

Call Center Program $0.6M The Call Center program involves upgrades to call center operations to reduce average talk times and lower call agent volume.

o Call Center Technology Efficiencies Program - $0.6M: Call Centers need improvements to the technology platform and business processes to remain competitive and to meet/exceed customer expectations. This program will make investments in several new call center systems that will reduce agent staffing requirements due to lowered agent call volume and/or call handling time. Improvements to the call centers include: Enhancements to the Automated Customer Notification System (ACN), which

provides automated call-backs to inform customers of schedule changes, service disruption, etc. This piece of the project will prevent Amtrak from having to dedicate resources for manual call backs to customers regarding train delays, cancellations, or other issues. This application currently operates on a prototype platform which limits the application’s capabilities and stability.


Enhancements to the customer relations system (Remedy) that will improve the functionality of the application, which was originally installed in FY06 –FY07.

Voice Response Unit (VRU) enhancements, which are implemented with the goal of retaining greater numbers of calls in the Julie/VRU system so call center agents can focus on the most complex calls. When customers opt to transfer from the VRU to an agent, these enhancements will allow more customer information to be automatically transmitted to the agent.

Automated Call Distributor (ACD) System and Server Upgrades - Replace support servers for ACD platform in the call centers. Existing servers are approaching end of life and need to be replaced.

Reporting Enhancements - Develop reports from the existing reporting platform that will provide supervisors, managers and directors with a wide range of customizable reports. This will allow management to review daily performance in a more efficient manner.

Technology and Business Process Assessments to assess current call center operations and develop a roadmap for future technological or business process changes.

Facilities & Infrastructure $0.2M

o Amtrak plans to spend $0.2M in FY11 for improving facilities and upgrading infrastructure at various locations. Projects included in this program are: BWI Airport PIDS and ARAMARK Food & Beverage Investment.

On-Board Program $16.5M

o Point of Sale System - $7.9M: The objective of the project is to implement an integrated system which will automate and streamline the management of the food and beverage operations processes end-to-end. The project builds on the prior implementation of the back office systems that replace EATEC, which includes the Food & Beverage Management System and Warehouse Inventory Management System, integrating Point of Sale with these back office system components. Amtrak's on board Food & Beverage processes are labor intensive and paper based. They focus on inventory controls rather than sales and the delivery of good customer service. The current process requires the Lead Service Attendant to calculate inventory by completing paper forms at the beginning and end of each trip which is time consuming and has a high potential for data inaccuracies. This process does not provide real-time information for management to make fact-based decisions and forecast revenue estimates accurately. Installation of the Point of Sale devices, along with the integration of systems and processes, will reduce the current use of manual processes through the entire workflow, reduce the number of employees and time required to complete the tasks, and reduce inaccuracies, errors and fraud related to on-board sales and inventory management.

o WiFi System wide - $8.6M: make train travel a very attractive option for travelers as they see travel time as an opportunity. This project builds on the Acela WiFi rollout by extending the installation of WiFi networks to trains system-wide. The effort will begin by modifying the Acela design as required for implementation on the corridor and long distance fleets. In addition to providing Internet access, the network will serve as a platform for other passenger services (e.g. movies, news, and games) and business services (e.g., on board system communications with Amtrak’s corporate network). In FY11, the design for WiFi will begin for the Regional trains and progress into other routes in future years. Deployment of WiFi on Amtrak train fleets will to work or relax; thus making Amtrak trains by far the most enjoyable way to travel.

E-Commerce Program $1.3M


o Amtrak.com Enhancements & Upgrades - $1.3M: This project provides for the design and development of software releases to upgrade the Amtrak.com website, which accounts for almost 50% of total ticket sales. The updated Amtrak.com website will facilitate learning and booking for customers, increase visibility of fare options and promotions, and stimulate

additional “channel shift” to reduce Call Center costs. These enhancements support operations, state partners, legal mandates, security and internal stakeholders on a national and regional level.

Pricing $0.5M

o Service Fees - $0.5M - The goal of the Service Fee project is to build "service fee" functionality on two levels - one that applies service fees based on the channel utilized to perform a specified transaction, and one that applies fees based on itinerary components within the reservation that meet pre-defined conditions.

Quik-Trak Program $1.7M

o Currently Amtrak owns and operates 330 Quik-Trak kiosks across the country. These machines currently account for 40% of ticketed revenue annually. These machines are utilized by customers to book travel and contain information (up to the minute train schedules and availability) based on the operational plans which comes from a static timetable.

o This program covers enhancements to the Quik-Trak machines to improve customer experience, increase customer satisfaction and also improve the machines’ efficiency and reliability. The enhancements include: Installation of advanced bar code imaging scanners to allow systems to interact with

passenger PDA’s Alignment of Quik-Trak screen look and feel with the re-launched Amtrak.com Improvement of remote monitoring capabilities to enhance kiosk management system Introduction of foreign language capabilities to Quik-Trak Development of a dynamic availability display

o Deferral of the program risks imposing additional costs and potential delays to the e-Ticketing program, continued difficulty in maintaining kiosk availability, and losing synergy between the kiosks and Amtrak.com.

E-Ticketing Program $12.4M The focus of the e-Ticketing program is to remove manual intervention in the ticketing process and improve productivity and efficiency leading to cost savings for the company.

o e-Ticketing ($12.4M) - This project will transform ticket validation and revenue accounting from a paper based system to an electronic one. The proposed business model provides customers with Print-at-Home ticketing, and introduces a Conductor Handheld Device to automate onboard ticket validation and revenue collection processes. This initiative will also develop new self-service capabilities for customers on interactive distribution channels (e.g., Amtrak.com, Quik-Trak); such as providing customers with the ability to make changes to their bookings prior to their journey or en route. Once implemented, this will reduce costs, increase sales, improve the customer experience, and address NTSB recommendations to improve accuracy of passenger manifest.

Miscellaneous $0.7M

o Employee Identity Protection – Rail Pass Automation ($0.7M) – This project will build requirements to automate the issuance, maintenance and the use of the Rail Travel Privileged (RTPC) used for Pass Rider travel throughout the Amtrak system. RTPC allows Amtrak Pass Riders to travel throughout the Amtrak system for free or at reduced fare. The system that currently issues RTPC is a manual, paper-based system that uses the media production equipment at the end of its useful life. Currently, the RTPD pass user must communicate their social security number to book pass travel through call centers, stations and enter the number at Quik-Trak machines. This potentially poses an identity theft risk to the pass user. This project will eliminate the social security number from the system in favor of pass cards that contain unique numbers for each pass card holder.


Mechanical Overview of the Department The Mechanical Department is responsible for the maintenance, repair and upgrade of all of Amtrak’s rolling stock (cars and locomotives). With a labor force of approximately 4,900 employees who are located at eleven (11) major terminals and three (3) back shops throughout the Amtrak system, this department cleans, maintains, repairs, modifies and overhauls the fleet of cars and locomotives to provide daily service to our passengers. Our staff of engineers also provides process expertise as well as technical assistance with the design and procurement of new equipment and the upgrading of existing rolling stock. Base Activity: The FY11 base budget request is $514.1M for existing operations and $8.8M for new initiatives and stimulus equipment returned to service for a total of $522.9M. The budget provides funding for:

o Core operations of equipment turnaround servicing and inspection o Operation and maintenance of our Mechanical facilities across the Amtrak system o Preventive maintenance and mandatory FRA required inspections on the cars and

locomotives

A summary of FY11 changes includes the following:

o Inflation of prior year Salary, Wages and labor contracts - $10.6M o Salary Increases - $1.8M o Wages & OT (Net of Inflation and Initiatives) - (1.8M) o Change in Base Employee Benefits & FELA - $4.8M o Decrease in transfer credits due to decrease of capital work including ARRA projects –

$2.0M o Materials – ($4.9M) o Change in Fuel, Power and Utilities - $1.3M o Change in Facility, Communication and Office – ($1.8M) o Other and miscellaneous – ($0.2M)

New Activity: The major driving force of the increased operating budgets for FY11 and beyond, are the costs for the maintenance and inspections for rolling stock passenger cars that are being returned from storage to revenue service as part of the ARRA grant. The increase of $7.7M will fund these maintenance costs and $0.6M is for the maintenance and inspections of the additional cars and locomotives required to extend new service to the state of Virginia. Also included is $2.7M to meet PRIIA mandated OTP and CSI targets. A summary of FY11 changes includes the following:

o Service Inspections and Maintenance of ARRA restored equipment - $7.7M o Cost for new Virginia state supported services - $0.6M o Cost to meet PRIIA mandated OTP and CSI targets - $2.7M o Transfer credits related to capital work – ($2.1M)


Operating Expense Summary FY09 –FY11: Mechanical

$ millions

FY09 ActualFY10

ActualFY11

Budget$ %

Salaries $29.5 $31.2 $34.1 $2.9 9.2%Wages & Overtime $177.3 $187.3 $198.1 $10.8 5.7%Employee Benefits $100.8 $110.0 $123.3 $13.2 12.0%Employee Related $2.3 $2.5 $2.5 $0.0 1.7%Salaries, Wages and Benefits $310.0 $331.0 $357.9 $26.9 8.1%Train Operations $0.1 $0.1 $0.1 $0.0 51.8%Fuel, Power, & Utilities $9.6 $23.3 $25.6 $2.3 10.0%Materials $151.3 $145.0 $145.2 $0.2 0.2%Facility, Communication, & Office $14.2 $18.5 $16.9 ($1.7) -9.1%Casualty and Other Claims Total $5.0 $8.4 $3.2 ($5.1) -61.5%Professional Fees $1.6 $3.6 $3.5 ($0.1) -2.6%Data Processing Services and Supplies $1.8 $0.2 $0.4 $0.2 123.2%Environmental and Safety $4.7 $5.0 $4.8 ($0.2) -3.0%M of W Services $0.8 $0.8 $0.8 $0.0 2.7%Financial $0.2 $0.2 $0.1 ($0.1) -60.5%Other Expenses $0.0 $0.0 ($2.0) ($2.0) - Indirect Costs Capitalized To P&E ($28.3) ($33.8) ($33.7) $0.1 -0.3%Total Operating Expenses $471.0 $502.3 $522.9 $20.6 4.1%



FY10 Actual $502.3


$10.6

$1.8

($1.8)

$9.8

($5.0)

$2.0

($4.9)

($1.9)

$1.9

$1.3

($1.8)

($0.2)

$11.8

$514.1

New Activity$7.7

$0.6

$2.7

($2.1)

($0.1)

$8.8




Fuel Power & Utilities AIQ related allocation from Transportation Dept.

Facility, Communication, & Office

PRIIA OTP / CSI Target Compliance

Service, Inspections, and Maintenance of rolling stock restored to fleet with ARRA investment

M of E Materials - Material Transfer (KPMG Entry Acct - 520521)

Change in Base Transfer Credits (Shop Overhead allocated)

Other


Wages & Overtime - Material Transfer (KPMG Entry Acct - 500026)


Cost to service and maintain rolling stock for new state-supported routes in Virginia (Richmond)

Transfer Credits (Shop Overhead allocated)

Other

Change in Base Core FELA Allocated

M of E Materials

Wages & OT (Net of Inflation and Initiatives)




Capital Programs: Mechanical

$ in millions

PROGRAM TITLE GCAP


PASSENGER CAR $102.2 $27.8 $130.0LOCOMOTIVE $21.6 $16.6 $38.2ACQUISITIONS $0.0 $28.4 $28.4FACILITY IMPROVEMENTS $4.3 $0.9 $5.2MECHANICAL IT PROJECTS $1.5 $0.3 $1.7GENERAL SAFETY AND RELIABILITY $2.2 $1.7 $3.9

TOTAL MECHANICAL $131.7 $75.7 $207.4 PASSENGER CAR PROGRAMS $130.0M

o Amtrak will invest $130.0M in FY11 in a passenger car program which involves the various levels of overhauls that range from mandatory maintenance to complete equipment overhauls, reconfigurations and conversions of equipment, and modifications required by statutes including American Disability Act (ADA) and the Federal Railroad Administration (FRA). The equipment to be overhauled includes Acela trainsets, Amfleet, Superliners, Viewliner, Heritage and Horizon/Surfliner and encompasses various configurations including diner, café/club, lounge, sleeper, passenger coach, baggage and cab cars.

o This program will enable Amtrak to maintain equipment in a state of good repair, to bring the assets to current Amtrak standards, improve reliability and availability of equipment and improve overall customer experience, comply with applicable federal regulations and mitigate equipment failures which result in customer discomfort and inconvenience.

LOCOMOTIVE PROGRAMS $38.2M

o In FY11 Amtrak plans to spend $38.2M in locomotive programs which involves the various levels of overhaul for electric locomotives (AEM-7 DC, AEM-7 AC, F-40 and HHP-8) and Life Cycle Progressive Maintenance (LCPM) for diesel locomotives, updates and modifications required by federal agencies including Transportation Safety Administration (TSA), Environmental Protection Agency (EPA) and Federal Railroad Administration (FRA).

o This program will enable Amtrak to bring the locomotive fleet to a state of good repair, increase locomotive reliability and availability, extend the useful life of the locomotive, comply with applicable federal regulations, mitigate future expenses associated with an aging fleet.

ACQUISITIONS $28.4M

o In FY11 Amtrak plans to invest $28.4M in a multi-year plan to acquire 130 single-level long-distance cars to replace old Heritage equipment including 55 baggage, 25 baggage-dormitory, 25 dining, and 25 sleeping cars. The project will enable Amtrak to standardize equipment nationally, increase maintenance efficiency, increase equipment availability and position the company for future corridor business.

FACILITY IMPROVEMENTS $5.2M

o In FY11 Amtrak plans to invest $5.2M for facility improvements by spending $3.6M on modernization and repairs for various Safety and Inspections (S&I) division facilities and $1.6M on overhaul and High Speed Rail (Acela) facilities. The work to be performed ranges from routine normal repairs/improvements such as paving repairs, resurfacing of parking lots and walkways to major plant/facility overhauls. The project will enable Amtrak to comply with the Code of Federal Regulations (CFR49) Parts 229 and 238, to bring the facilities to a state of good repair, increased operations safety, reduced employee injuries, reduce operating costs, and improve assets safeguarding initiatives.


MECHANICAL TECHNOLOGY PROJECTS $1.7M

o The Mechanical Department will be investing $1.7M in FY11 to continue its support of two applications: Work Management Systems and Locomotive Health Monitoring & Analysis System. The investment is expected to improve the ability to schedule and monitor mandatory rolling stock maintenance, eliminate cumbersome manual processes and improve reliability and performance of the AEM-7 locomotive fleet. The following work will be performed in the upcoming year: Work Management System $1.0M: involves deepening the functionality of the

system by adding critical peripheral interfaces to new and complex applications. These applications include but are not limited to interfaces to rolling stock self reporting applications such as MEAPS and TCD, the envisioned replacement for the Operations Management System (OMS) component of Arrow, and GPS-based rolling stock equipment locaters. Even as Amtrak moves forward with the SAM initiative, which includes the implementation of Maximo, the Mechanical Department will continue to add WMS functionality that is transferable to other platforms. In addition these specific initiatives will be completed:

Implement a Fuel Management System (both hardware and software)

onboard the locomotive fleet and at fuel dispensing facility locations to support fuel conservation efforts.

Develop a mobile application to assist with activities related to serialized

component movement, inspections, shop scheduling and Mechanical yard control activities.

Locomotive Health Monitoring & Analysis System $0.7M: involves the purchase and installation of a wireless data transfer system and machinery alert with advisory analysis on all AEM-7 AC locomotives. The equipment will enable real time continuous monitoring of the system while the locomotives are in operation.

GENERAL SAFETY AND RELIABILITY PROGRAMS $3.9M

o General Safety and Reliability programs consist of various projects geared towards passenger car safety measures that are associated with the equipment. The projects are expected to improve customer service, mitigate operating costs, improve operation efficiencies, compliance with the Rail Safety Improvements Act of 2008 (RSIA) and improve the safety of Amtrak’s rolling stock equipment. In FY11 the department will invest $3.9M in the following projects:

Locomotive Video Cameras/Train Communications $3.3M: involves the purchase and installation of a digital video recording system on every passenger locomotive in the fleet and 23 work locomotives. This project supports Amtrak’s Train Communication Data (TCD) strategy.

Engineering Modification Project $0.5M: involves funding for modification work on rolling stock equipment that is not scheduled for capital overhaul and will be performed at divisional facilities.

Cracked Wheel Detector $0.1M: purchase of equipment to detect cracks and faults in wheels that will allow for replacement prior to wheel failure.

Office of the General Counsel Overview of the Department


The Amtrak Law department is responsible for supporting virtually every aspect of Amtrak’s business. Every member of the department works to achieve four goals: 1) To ensure the company’s

compliance with all applicable laws; 2) To minimize risks to the company; 3) To protect corporate assets; and 4) To assist the company to achieve its business and financial objectives. The Amtrak Law department consists of three organizational or budget entities and seven functional or operational groups. The three budget organizations are the General Counsel, the Office of the Corporate Secretary, and Corporate & Litigation Support; the seven functional/operational groups include: two corporate practice groups (one for real estate, procurement and some engineering matters, and a second for the company’s host railroad relations, state-supported and commuter services and environmental matters); a general litigation, employment and labor practice group; a claims management, adjustment and litigation group; Corporate and Litigation Support (the company’s document management, including FOIA, program and all legal assistants); the Corporate Secretary’s office; and the General Counsel’s office (overall management). The General Counsel Budget entity includes the two corporate practice groups, the litigation, employment and labor practice group and claims litigation and adjustment practice group. The groups in this entity advise management on all corporate, commercial, contractual, real estate, financial, statutory and regulatory matters and transactions. Responsibilities include review, negotiation and interpretation of contracts, management and protection of Amtrak’s intellectual property portfolio, and compliance with statutory and regulatory requirements. In addition, the litigation, employment and labor group manages all non-claims (i.e., injuries to Amtrak employees or passengers) litigation and outside counsel engaged to represent the company, all employment complaints against the company, provides labor law advice and manages the company’s internal disciplinary proceedings for agreement employees. Finally, within this entity is the Claims group which manages all personal injury and wrongful death claims against the corporation and employee claims filed under the Federal Employers’ Liability Act (FELA). Primary responsibilities include investigation of accidents, preservation of evidence, litigation management and support, evaluation of claims, settlement negotiations, trial support, management of outside counsel, review and approval of outside counsel and expert fees, and advice matters ranging from risk management to health and safety issues. Corporate Secretary: The Corporate Secretary’s office supports the Amtrak Board of Directors and serves as liaison between management and the Board of Directors. The Corporate Secretary works with the President & CEO and the Board to schedule and prepare for Board of Directors meetings, supports the scheduling and related travel of Board members for Amtrak-related activities, and manages the coming-on-board and orientation of new Board members. The Corporate Secretary also advises the Board of Directors on matters of corporate governance under the company’s articles of incorporation, bylaws and Board resolutions. Corporate & Litigation Support: This group administers the Law departments’ legal assistants, the company’s document management (retention and destruction) program including the Law department’s litigation and advice files, Reprographics Center, the company’s FOIA responsibilities, the law library, immigration matters relating to company employees, and assists in litigation support. In addition, this group is responsible for supporting the General Counsel in developing and monitoring the department’s budget. The Law department’s request for increased resources is for additional personnel and for outside counsel costs. The drivers of this request for additional funds are three-fold:


First and most immediate is the need to increase capacity in the department’s corporate groups and their resources (all railroad service operations transactions, procurement, real estate and intellectual property) and in the Claims group in order to meet the current level of demand for legal support. The corporate practice has been and remains understaffed and has had increasingly to rely on contract lawyers to meet our clients’ needs—an expedient strategy to meet short term work requirements but not one which invests long term in the department. The department’s current staff is materially below

its “authorized” level. The objective is to achieve full staffing and add one or two additional lawyers in the years FY11-14. Likewise, the Claims group has been staffed significantly below its past and authorized levels. In addition to the current claims and personal injury litigation requirements, the department is facing new responsibilities and concerns such as the Medicare reporting and trust requirements that went into effect July 1, 2009 and evidence and “chain of custody” challenges developing as a result of the company’s use of cameras on locomotives (and elsewhere). These increased requirements mandate additional personnel resources.

Second, new attorney resources with five or more years of experience are needed to leverage the experience and expertise of the current - and largely very experienced - corporate practice legal staff. Simply stated, every single one of the experienced lawyers (many with over 10 years of Amtrak experience) can do three to five times the work they are currently doing with the additional resource of one to two new attorneys. Currently, we are simply not leveraging this Law department resource to give our clients more attention sooner.

Third, the new corporate attorney resources and new Claims adjustor positions requested are needed for succession planning and development. With the leaders and a number of other attorneys in those practice groups approaching retirement age, it is necessary to not only have to groom new managers but, also, have to start building the new generation of Amtrak legal department lawyers. The FY11 total budget request is $63.3M compared to $51.1M in the FY10 actual. The authorized headcount in FY10 is 143 and four new positions are requested in FY11 which brings the total headcount to 147. Base Activity: Legal department’s FY11 base budget is $63.3M, an increase of $12.2M over FY10 actual. A summary of FY11 changes includes the following:

o Inflation of Prior Year Core including management merit increase and contract labor requirements $0.5M

o Increase in Salaries due to increase in workforce and assuming lower vacancy rate in FY11 than FY10 actual $1.2M

o Increase in employee benefits allocated $0.8M o Increase in Casualty and Other Claims due to anticipated higher case load and claims in FY11

$2.7M o Increase in Professional Fees due to assumption in higher demand of legal support in FY11

$6.9M o Other $0.1M

Operating Expense Summary FY09 –FY11: Legal

$ millionsFY09


Salaries $10.4 $11.2 $12.8 $1.6 14.5%Employee Benefits $5.7 $6.0 $6.7 $0.8 13.0%Employee Related $0.4 $0.5 $0.5 $0.0 3.6%

Salaries, Wages and Benefits $16.5 $17.6 $20.0 $2.4 13.7%Facility, Communication, & Office $1.3 $1.4 $1.6 $0.2 15.1%Casualty and Other Claims Total $8.7 $7.2 $10.0 $2.8 38.9%Professional Fees $32.8 $24.8 $31.7 $6.9 28.0%Environmental and Safety $0.2 $0.1 $0.0 ($0.1) -100.0%Total Operating Expenses $59.6 $51.1 $63.3 $12.2 24.0%






$0.5

$1.2

$0.8$2.7

$6.9

$0.1$12.2$63.3


Increase in Salaries due to increase in workforce and assuming lower vacancy rate in FY11 than FY10 actuals

Increase in employee benefits allocated

OtherBase Activity Increase/(Decrease) from Prior YearTotal FY11 Base Activity

Inflation of Prior Year Core including management merit increase and contract labor requirements

Increase in Casualty and Other Claims due to anticipated higher case load and claims in FY11

Increase in Professional Fees due to assumption in higher demand of legal support in FY11

Operations Management Overview of the Department Operations Management consists of the Chief Operating Officer (COO) and a small support staff that coordinates with and provides administrative and policy support to the functional departments which comprise the vast majority of Amtrak’s employees and operations, including Transportation (train operations), Engineering (track and infrastructure maintenance and improvement), Mechanical (rolling stock maintenance and improvement), Environmental Health & Safety, and Police & Security. The FY10 staffing level of eight employees consists of the COO, Sr. Executive Assistant, a staff of five that provide financial, policy, program management and administrative oversight to the operating groups, and a Deputy for Reliability-Centered Maintenance (RCM). Reliability-Centered Maintenance is an analytical methodology for developing or reviewing a scheduled maintenance program that will realize inherent reliability levels of complex systems and equipment while taking into account safety, operational and economic failure consequences. Reliability-Centered Maintenance is designed to increase equipment availability and reliability, and to improve the effectiveness of the Corporation's maintenance investment. Amtrak began the RCM Program with analysis of maintenance requirements for the High Speed Acela in June of 2006 and has since expanded the program to all rolling stock. The program has been further expanded to include a variety of maintenance process improvements including the use of standardized maintenance procedures and more disciplined shop supervision. Amtrak engages a consultant, The McHenry Management Group, to assist in RCM analysis and program design. Base Activity: The FY11 budget request is $9.3M compared to the FY10 actual of $9.2M. No new activity is planned in FY11 as compared to FY10. Operating Expense Summary FY09 – FY11: Operations Management

$ millionsFY09


Salaries $0.9 $1.0 $1.2 $0.1 14.9%Employee Benefits $0.5 $0.5 $0.6 $0.1 13.7%Employee Related $0.0 $0.1 $0.1 ($0.0) -8.6%

Salaries, Wages and Benefits $1.4 $1.6 $1.8 $0.2 13.6%Facility, Communication, & Office $0.1 $0.1 $0.2 $0.0 28.2%Professional Fees $6.9 $7.4 $7.3 ($0.1) -1.1%Total Operating Expenses $8.4 $9.2 $9.3 $0.2 1.9%




FY10 Actual $9.2


$0.2

($0.1)

$0.2

$9.3

New Activity

$0.0




None


Decrease in total Professional Fees (management fees for RCM increased $0.1M)

Increase Salary & Benefits

Policy and Development Overview of the Department Amtrak’s Policy and Development Department was newly formed in April of 2009. It evolved from the former Strategic Partnerships department, which managed the long-term external relationships for the company with states, commuter agencies, and station owners. The new Policy and Development department expands on that role and assumes corporate policy planning and business development functions. The department will create and propagate strategic policies throughout the company that support Amtrak’s corporate objectives. The department’s mission stems from the enactment of the Passenger Rail Improvement and Reinvestment Act of 2008 (Public Law 110-432, or PRIIA) and the enactment of the American Recovery and Investment Act of 2009 (ARRA) with a new Federal commitment to high-speed and intercity passenger rail. The department’s role is to lead Amtrak’s effort in seizing this opportunity to simultaneously help stimulate our economy and provide safer, greener, and healthier mobility for the nation. Base Activity: The department’s main focus in FY11 is to continue with and further expand on the work begun in FY10. Since most of the work in FY11 is now considered part of the department’s regular operation, the majority of previous FY10 “New Activity” initiatives and related adjustments have been rolled into the FY11 base budget. Total FY11 Budget is $16.6M. Policy & Development’s request for Professional Fees reflects a recognition that several PRIIA Sections (Section 209, State Pricing Methodology; Section 211, Northeast Corridor State-of-Good-Repair Plan; Section 212, NEC Infrastructure and Operations Improvements; Section 224, Passenger Rail Service Studies; Section 305, Next Generation Corridor Equipment Pool) require additional planning and design work to not only fulfill the letter of the law, but to also carry out Amtrak’s mission to provide efficient and effective intercity passenger rail mobility in the future. Thus, while we see an increase in “New Activity” related Professional Fees of $1.2M, the department is seeking a base level in the same account of $3.7M to support work on these requirements and to continue studies and other work begun in FY10. A summary of FY11 changes includes the following:

Inflation of Prior Year Core including management merit increase - $0.2M


Increase in work force due to increase policy, planning, and partnership development efforts - $1.2M

Changes to Employee Benefits - $0.7M Change to base in Professional Fees – $1.6M

Support legislative mandates (PRIIA Sec. 209, 211, 305) Washington Terminal Study and Commuter RFP Support NEC Capital Project and Moynihan Development, NEC Master Plan

Increased cost of reimbursable services - $0.2M New Activity: The FY11 headcount will fully staff at 60 positions which will complete the department’s ability to lead Amtrak’s corporate policy planning and development efforts. The year end FY10 new hires will support regional offices and provide geographically focused analytical and planning capabilities. Also, Amtrak’s market competitiveness will be strengthened by adding a dedicated southern region with a new AVP to lead business development efforts in the South, and by providing the bandwidth to respond to for-profit commuter operating and other new service opportunities. The positions and directly related expenses will increase the FY11 budget by $1.7M. In FY11, the department will engage in new activities related to new partnerships and partnership improvement. Professional Fee support for HSR Development in various parts of the country, as well as monies for the development and implementation of state and commuter satisfaction studies and related materials, is reflected in the requested amount of $1.2M.

Operating Expense Summary FY09 – FY11: Policy and Development

$ millions

FY09 ActualFY10

ActualFY11

Budget$ %

Salaries $3.7 $4.5 $7.0 $2.5 56.6%Employee Benefits $2.0 $2.4 $3.7 $1.3 53.3%Employee Related $0.3 $0.5 $0.6 $0.1 22.4%

Salaries, Wages and Benefits $5.9 $7.4 $11.3 $3.9 53.2%Facility, Communication, & Office $0.2 $0.3 $0.4 $0.1 40.9%Professional Fees $2.5 $2.0 $4.8 $2.8 141.4%Data Processing Services and Supplies $0.1 $0.1 $0.1 ($0.0) -21.9%Total Operating Expenses $8.9 $9.8 $16.6 $6.8 68.9%




FY10 Actual $9.8


$0.2

$1.2

$0.7

$1.6

$0.2

$0.0

$3.9

$13.7

New Activity

$2.5

$0.4

$2.9



Salary Increases - Full staffing level to be achieved

Increase in costs for Reimbursable Services (offset by increase in Reimbursable Revenue)

Other




Partnership Improvements

Professional Fees

New Partnership and Planning Initiatives


Capital Projects: Policy and Development $ in Millions

Program Title GCAP

STATE, LOCAL & OTHER TOTAL

Station Development & ADA Requirements 0.1 0.0 0.1Reimbursable Commuter Projects 0.0 6.8 6.8Stations Program 1.2 0.0 1.2Host Railroad 10.1 2.1 12.2

$11.3 $8.9 $20.2Total Policy & Development Host Railroad $12.2M Amtrak will spend $12.2M in this program in FY11.

o Double Tracking in Carlsbad - $12.2M: This project is an extension of present main line track resulting in an additional 2 miles of double track and a universal crossover at CP Farr. This will eliminate most of the congestion delays for this segment of railroad, improve schedule reliability and on time performance, increase capacity and operational flexibility. Additionally, it will increase passenger train speeds to 90MPH.

Stations Programs $1.2M Amtrak will spend $1.2M in this program in FY11in the following multi-year projects:

o Design Improvements at Washington Terminal - $0.5M: The project involves a study of the Washington Union Terminal (WUT) to advance improvements critical to mitigating congestion at WUT. The improvements will reduce delays, improve OTP and allow services increases, resulting in improved regional mobility and accessibility and improved relationships with key partners and stakeholders (Amtrak, VRE and MARC).

o Sacramento Valley Station Service Tunnel - $0.7M: This project is Amtrak’s incremental cost for a new service tunnel at the Sacramento Valley station in Sacramento, CA. The current station has reached its capacity and a freight by-pass track is needed to decrease delays and increase OTP. Amtrak is committed to spending $2.7M towards this initiative.

Joint Benefit Program $6.8M Amtrak will spend $6.8M on contractual obligation by assessing for joint benefit process in FY11 as follows:

o Maryland Area Regional Commuter (MARC) – $6.1M o Virginia Railway Express (VRE) – $0.7M

Procurement & Materials Management Overview of the Department:


The department consists of two distinct functional areas: Procurement and Materials Management. Procurement is tasked with developing and managing optimal purchasing processes for all capital and operating parts, components and end items for rolling stock, maintenance of way and equipment consumption as well as bidding and contracting for all other outside services and commodities. The

Material Management group operates supply chain activity such as warehousing, transportation and logistics, and inventory planning, management, and control. In addition, this department manages all administrative functions at the corporate offices including mail communications, reprographics center, facility management, construction and space planning. The FY11 total budget request is $32.8M compared to $29.4M for FY10. The FY11 budgeted headcount is 489 (149 management positions, 312 agreement covered positions, 11 reimbursable positions and 17 stimulus related positions), and represents an increase of 1 management position compared to FY10 actual. Base Activity: The FY11 base budget request is $29.8M and it is mainly driven by labor cost, facility expenses and a credit for capitalized overhead expenses. The FY11 base core operating request, as compared to FY10 actual has increased by $.04M. This increase is primarily due to:

o Inflation of prior year including labor contract requirements, changes in vacancy rate assumptions and related employee benefits and FELA allocations $1.6M

o Increase in capitalized overhead transfer credits from decrease in stimulus activity ($1.5M) o Other ($0.2M)

New Activity: Create 41 positions to enhance Security and accountability of materials at the maintenance of way and gang bases. The addition cost related to the increased positions is $3.1M.

Procurement & Materials Management: Operating Expenses Summary FY10-FY11

$ millionsFY09


Salaries $10.1 $10.9 $11.6 $0.7 6.4%Wages & Overtime $15.1 $15.6 $17.8 $2.2 14.2%Employee Benefits $12.5 $13.4 $15.5 $2.1 15.4%Employee Related $0.6 $0.7 $0.8 $0.1 11.9%

Salaries, Wages and Benefits $38.2 $40.5 $45.6 $5.0 12.5%Fuel, Power, & Utilities $0.3 $0.3 $0.3 $0.0 12.5%Materials $0.2 $0.3 $0.2 ($0.1) -41.1%Facility, Communication, & Office $4.4 $5.0 $5.6 $0.6 12.1%Advertising and Sales $0.1 $0.1 $0.1 ($0.1) -48.2%Casualty and Other Claims Total $0.4 $0.7 $0.3 ($0.4) -59.7%Professional Fees $2.0 $2.4 $2.1 ($0.3) -11.2%Data Processing Services and Supplies $0.7 $0.5 $0.9 $0.4 74.6%Environmental and Safety $0.1 $0.1 $0.1 $0.0 29.6%M of W Services $0.2 $0.7 $0.4 ($0.3) -39.4%Expense Transfers $0.0 $0.0 $0.0 ($0.0) -100.0%Indirect Costs Capitalized To P&E ($16.8) ($21.2) ($22.7) ($1.5) 7.1%Total Operating Expenses $29.9 $29.4 $32.8 $3.4 11.6%






$1.0

Increase in Benefit costs $1.0

$0.6

Decrease in FELA allocation due to a change in the rate ($0.4)

($0.3)

$0.4

($1.5)

($0.3)

($0.2)

$0.4$29.8

New Activity

$1.9

$1.1

$3.1


FY11 Operating Expense Budget

Decrease in professional fees

Increase in Data Processing

Increase in Facility/Office Expense due primarily to increase activity in Warehouse and Storage and Other Building and Space Rent

Chief Logistics Officer

Benefit costs for 41 heads to enhance Security and accountability of materials at the maintenance of way and gang bases.



Salaries and Wages for 41 heads to enhance Security and accountability of materials at the maintenance of way and gang bases.

Other

Increase in Material Stores allocation

Decrease in Maintenance of Way Services


Procurement – Capital Projects


& Other TotalFacility Purchases and Improvements Mat Handling Equp Facilities State Of Good Repair $0.7 $0.0 $0.7Equipment and Tool Purchases Vehicle Replacement $9.7 $0.6 $10.3

Procurement $10.4 $0.6 $11.0 Facility Purchases and Improvements $0.7M

o Material handling equipment facilities state of good repair, $0.7M to replace and upgrade material handling equipment at Materials Management warehousing facilities system wide. Equipment being replaced is generally beyond its useful life (8-10 years) and beyond economical repair. FY11 request is for 5 stackers, 14 forklifts, 3 material utility carts, 1 floor scrubber, 1 battery replacement and 1 scissors lift.

Equipment and Tool Purchases $10.3M


o Vehicle Replacement, $10.3M to replace heavy duty work vehicles. The vehicles recommended for replacement were chosen based on age, mileage, overall condition, or increased maintenance costs.

Real Estate Development Overview of the Department: The Real Estate Development department has responsibility for all Amtrak owned, leased and licensed real estate used for railroad, corporate and commercial revenue generating purposes. The Department consists of 26 real estate professionals and their support staff. The department’s functions are grouped into two primary areas:

Revenue Production: Revenue is generated through property development; leasing of Amtrak owned real estate and fiber optic capacity in stations and along the right-of-way; advertising in stations along the right-of-way and on-board trains, management of parking facilities; retail leases in stations; special events in stations and filming; pipe and wire occupations along the right-of-way, automated teller machines, vending machines and pay phones in stations, and the sale of excess property.

Operations support: Includes enforcement of all terms of leases for Amtrak-owned property; acquisition, negotiation, and management of leases for Amtrak occupied properties; purchase of property required for Amtrak operations; management of office space; joint development and use of stations with commuter agencies; coordination with federal, state and local agencies in development projects; management of maps and title information; provide general real estate services to Amtrak operating departments.

The department manages in excess of:

o 875 real estate leases, licenses, easements and management agreements o 190 retail leases o 160 telecommunication agreements o 2,300 pipe & wire agreements o 500 requests for property maps, plans, descriptions per year

The FY11 total budget request is $10.M representing an increase of ($1.0M) compared to the total FY10 actual of $9.0M. The authorized headcount is 26 for FY10 and FY11. Base Activity: The FY11 base budget request is $10.0M and it is mainly driven by labor cost and the 30th Street Station garage operating expenses. The FY11 base operating request, as compared to FY10 actual has increased by $1.0M. This increase is primarily due to increase in Professional fees. New Activity: No budget for new activity is requested for FY11.


Real Estate - Operating Expenses Summary FY09-FY11

$ millionsFY09


Salaries $2.0 $2.2 $2.3 $0.1 3.9%Wages & Overtime $0.1 $0.1 $0.2 $0.0 3.6%Employee Benefits $1.1 $1.3 $1.3 ($0.0) -3.3%Employee Related $0.0 $0.1 $0.1 $0.0 17.4%

Salaries, Wages and Benefits $3.4 $3.8 $3.9 $0.1 1.6%Fuel, Power, & Utilities $0.3 $0.2 $0.3 $0.0 19.1%Facility, Communication, & Office $3.3 $3.1 $3.2 $0.1 4.1%Professional Fees $2.0 $1.5 $2.3 $0.8 52.5%Financial $0.2 $0.3 $0.3 $0.0 0.0%Total Operating Expenses $9.2 $9.0 $10.0 $1.0 11.5%





$0.1

$0.8

$0.1

$1.0$10.0

Increase in profesional fees

Corp Real Estate

FY11 Operating Expense Budget


Other


Real Estate - Capital Projects


& Other TotalPhiladelphia-30th St.

Station 30th Street Station - Understreet Garage Reconstruction $3.0 $0.0 $3.0Real Estate $3.0 $0.0 $3.0

Philadelphia – 30th Street Station Garage Repairs $3.0M

o This is a continuing project and involves the permanent replacement of deteriorated structural columns, beams and surface decking of the understreet parking facility below 30th Street Station, Philadelphia, PA. The work also includes remedying the water infiltration problems throughout the facility. Additional scope will include sandblasting, inspecting, replacing and painting the structural steel below the North Parking Deck (NPD) that has not already been improved or replaced.

Transportation Overview of the Department


The Transportation Department consists of six operating divisions, one customer service division and six support areas including: System Operations (CNOC), Risk and Emergency Preparedness Management, Host Railroads, Safety and Operating Rules Compliance, Service Delivery and Operations Management groups. The department has 8,764 budgeted headcount, including 648 management, 107 ARASA-OBS and Mechanical and 8,009 agreement employees. Transportation is responsible for providing a safe, comfortable and on-time national rail passenger service as well as developing train consists, schedules and dispatching of trains for Amtrak and five Commuter agencies. It has the responsibility for all operations, maintenance and staffing for Amtrak and non-Amtrak owned Stations and management of 23 host railroad contracts. Crew Management and Scheduling (CNOC) create cost efficient crew couplets to support train operations. Transportation’s funding request is largely based on the number of train miles in the timetable, train schedules and the equipment consist book. Salaries, labor and benefits comprise 66% of our FY11 Operating expenses, other major cost categories are train fuel, host railroad payments, connecting transportation services, utilities, station/facilities costs and crew costs. Base Activity: Transportation’s FY11 base budget is $1,353.5M and new initiatives of $17.5M with a total budget of $1,371.0M for a total increase over FY10 Actual of $49.5M. Labor, benefits and FELA are the driving factors in the base increase from FY10 to FY11. Reductions include the cancellation of the VRE contract, which will be a reduction of 72 positions, and transfer of utilities from Transportation to Engineering and Mechanical Departments. A summary of FY11 changes includes the following:

Inflation of Prior Year base including labor agreement - $34.4M Salary Increases - Lower Vacancy and Increase work scope - $3.9M Wages & OT (Net of Inflation and Initiatives) - $4.6M Wages & OT Labor Budget Efficiencies - ($9.5M) Change in Base Employee Benefits & FELA - $8.1M Change in Base Transfer Credits - $0.8M Net Transfer of Utilities to Engineering and Mechanical Departments – ($9.8M) Professional Fees & Services – ($1.4M) Increased Station Rent San Diego and Washington Union Station – $1.0M Facilities Office & Communications - $4.3M Host RR Increases per American Association of Railroads Indices for FY11 - $2.8M On Board Service - Crew Layover, Meals and Transportation - $1.6M Commuter Services (corresponding increase in Commuter Revenue) - $0.2M Commuter Services VRE Cancellation (corresponding decrease in Commuter Revenue )

- ($9.6M) Other and Miscellaneous – $0.7M

New Activity: Transportation has included ten initiatives in the FY11 Plan that will add $17.5M to FY11 operating expenses. The largest increase is the inclusion of the new Metrolink contract effective July 1, 2010, which is anticipated to increase headcount by 148 positions. Other initiatives include reduction in diesel fuel consumption, projects that focus on a Safer, Healthier, and Greener Amtrak, including an expanded recycling program, as well as new train services annualized in FY11 (Virginia and Washington State). The new services started in FY10 adding 47 to the headcount. There are funds to improve OTP and meet the PRIIA requirements for OTP and CSI metrics. A summary of FY11 changes includes the following:


Cost for New Virginia State Supported Services (Richmond) - $1.9M PRIIA requirements and Host Railroad related - $0.2M Reduction in Diesel Fuel Consumption – ($4.8M) Green Initiatives (recycling) - $0.3M NC State Supported Station Staffing - $1.5M Metrolink Contract Cost (revenue of $30.1M in FY11) - $18.6M Other – ($0.2M)

Operating Expense Summary FY09 –FY11: Transportation

$ millions

FY09 Actual

FY10 ActualFY11

Budget$ %

Salaries $60.5 $66.4 $74.4 $8.0 12.0%Wages & Overtime $509.0 $534.3 $560.2 $25.8 4.8%Employee Benefits $254.5 $249.8 $273.3 $23.5 9.4%Employee Related $8.1 $9.3 $9.6 $0.4 4.1%Salaries, Wages and Benefits $832.1 $859.8 $917.5 $57.7 6.7%Train Operations $163.7 $178.6 $184.8 $6.2 3.5%Fuel, Power, & Utilities $152.2 $161.8 $159.5 ($2.3) -1.4%Materials $29.4 $28.4 $23.3 ($5.1) -18.0%Facility, Communication, & Office $52.0 $52.6 $58.4 $5.9 11.2%Advertising and Sales $0.1 $0.1 $0.2 $0.1 86.2%Casualty and Other Claims Total $13.7 $23.4 $9.6 ($13.8) -59.0%Professional Fees $4.2 $8.1 $7.0 ($1.2) -14.5%Data Processing Services and Supplies $0.7 $0.1 $0.5 $0.4 404.9%Environmental and Safety $2.0 $1.6 $2.6 $1.1 67.5%M of W Services $3.4 $4.5 $3.6 ($0.9) -19.0%Passenger Inconvenience $7.2 $6.1 $6.6 $0.5 8.9%Financial $0.4 $0.5 $0.4 ($0.1) -12.3%Pcard Transactions $0.0 $0.0 $0.0 ($0.0) -93.8%Other Expenses $0.0 $0.0 $0.3 $0.3 n/aIndirect Costs Capitalized To P&E ($2.3) ($4.1) ($3.3) $0.8 -19.5%Total Operating Expenses $1,259.0 $1,321.5 $1,371.0 $49.6 3.8%




FY10 Actual $1,321.5

Changes to Base Activity$34.4

$3.9

$4.6

($9.5)

$22.9

($14.8)

$0.8

($9.8)

($1.4)

$4.3

$1.0

$2.8

$1.6

$0.2

($9.6)

$0.7

$32.0$1,353.5

New Activity$1.9

$0.2

($4.8)

$0.3

$1.5

$18.6

($0.2)

$17.5

FY11 Total Budget $1,371.0

Wages & OT Labor Budget Efficiencies

Increase cost for new state supported Virginia services (Richmond)

Host Railroad Increases per American Association of Railroads indices for FY11 and Schedule Adherence

Fuel Power & Utilities - AIQ Transfers to Engineering & Mechanical

Green Initiatives - Expanded Recycling Program

North Carolina state supported station staffing

PRIIA requirements - Host railroads

Other

Other


Change in Base Transfer Credits

Increased Station rent San Diego and Washington Union Station

Professional Fees & Services

Commuter Services (offset by increase in Commuter Revenue)

Metrolink Contract



Change in Base Core FELA Allocated



Cancellation of VRE contract

On Board Service - Crew Layover, Meals and Transportation

Facilities Office & Communications

Reduce diesel fuel gallons consumption


Wages & OT (Net of Inflation and Initiatives)

Capital Projects: Transportation

$ in Millions

PROGRAM TITLE GCAP


Transportation Rolling Stock Mods 0.3 0.0 0.3

Station and Facility Improvements 19.0 17.3 36.2

Training and Performance Tracking 0.3 - 0.3

System/Business Application Improvement 3.2 0.2 3.4 22.7$ 17.5$ 40.2$ TOTAL TRANSPORTATION

Transportation Rolling Stock Mods: $0.3M

o Surfliner Car Modifications - $0.1M: This project will build upon passenger baggage and bicycle storage as well as ADA seating. This modification will install larger baggage racks and new bike rakes for 7 bicycles on the Surfliner cars. Existing ADA seating will be relocated to the front of the car including window seating allowing for easier access to ADA seating.

o GE Event Recorders - $0.2M: This project will fund the software upgrade for the General Electric P-42 locomotive's event recorders. The new IFC software/configuration files will add kwh data to the PCM.


Station and Facility Improvements Program: $36.2M

o Support Equipment -$3.7M: This is an annual request. Equipment for the 600+ stations to provide the best possible service to our passengers, comply with all applicable ADA regulations, and minimize operational expenses through use of common equipment. This equipment includes items such as radios, tractors, people movers, baggage floats, self-service luggage carts, tugs, and wheelchairs.

o NYP Station Improvements -$3.2M: This is a continuing project. This project will improve customer service by addressing the station facilities and amenities as well as safety and ADA issues, including public restroom renovation and replace HVAC units, replace 3 sets of entrance doors, upgrade Station PA system, platform painting, tactile edging replacement, general station painting, install stairway treading, increase ACELA seating areas by 200 seats, and replace counter work areas.

o Chicago Union Station Improvements - $25.3M: This is a multi-year project. Project will relocate CUS Metropolitan Lounge to historical building, renovate the coach boarding lounge, convert lounge G to public restrooms, install 72 sets of historical building entry doors, install induction lighting, restoration of historical building façade, install a new HVAC for the great hall and the 2nd and 3rd floors of the station, replace 12 escalators, replace tactile edging along the platforms, renovate pedway, install historical building sprinkler system, replace both exterior and interior windows throughout the 2nd of 8th floors throughout the historical building, and modernize elevators (4 passenger, 2 freight), and perform environmental remediation work, which will include lead based paint and asbestos removal on upper floors.

o Purchase of Wheel Chair Lifts - $0.6M: This is a continuing project. Involves the compliance with ADA requirements by covering costs of sheds, site surveys, site preparations, wheelchair lifts

o Station Signage - $0.9M: In many locations Amtrak has outdated, worn and faded static signage, much of which is not ADA compliant. This project will install platform display kiosk on state supported routes in California, Michigan, New York and Maine as well as updating static signage on the following routes including Empire Builder, California Zephyr. Southwest Chief and Coast Starlight.

o Customs Vancouver Station Improvements - $0.2M: Carryover payment of late FY10 invoice.

o Fuel Tank Management System - $0.5M: This project will standardize the fuel tank management and monitoring systems at ten storage facilities, Albany, Los Angeles, New Haven, New Orleans, Oakland, Philadelphia, Sunnyside and Wilmington. Amtrak will be able to automate inventory management, conduct business inventory reconciliation, collect metered input and output, and prepare comprehensive reconciliation with in-tank inventories and issues.

o PSCC Fire Alarm System - $0.6M: Replacement of HVAC control systems, fire panels and electrowriter system in the Penn Station Central Control (PSCC) building in New York.

o Station Emergency Improvements - $1.6M - This project will fund a variety of improvements as a result of unforeseen operation and disaster events. Improvements will include restroom renovations, HVAC replacements, and window and door replacements, phone system upgrades, fencing installations, roof and canopy replacements, platform renovations, roadway asphalt paving, ticket counter replacements, elevator and escalator renovations, shelter construction, electrical and plumbing upgrades, and furniture and equipment purchases.

Training and Performance Tracking $0.3M


o Transportation Department Review System (TDRS) - $0.3M: This project continues the introduction of tools for the management of the Transportation Department workforce. It will continue the work started in FY06 on the development of new subsystems and enhancements to existing components of TDRS. The TDRS project is a multi-year effort to: upgrade the

existing system with significant new functionality, bring the varied versions of technology up to current standards, and significantly enhance the reporting capabilities.

System/Business Application Improvement Program $3.4M

o Train Equipment Management System (TEMS) - $1.3M: This is a continuing project. This is a comprehensive project designed to automate the paper process of equipment and train creation, manipulation and management. TEMS consists of 4 phases: 1) Consist Tracking; 2) Yard Control Reporting; 3) System Fleet Status Reporting; 4) Capacity Planning. All of these systems will be driven off data that is maintained in Operations Management System. FY10 will complete Phase 2 and Phase

o Rail Incident Management System - $1.6M: This is a continuing project. The project goal is to obtain a commercial, off the shelf (COTS) software package to be used on an enterprise basis across Amtrak. The system will allow Amtrak to create incident procedures, create and execute drills for practice, and internally measure our performance at the conclusion of an incident. It will be designed so that it can handle multiple, simultaneous incidents ranging from simple incidents only requiring documentation to large corporate wide disasters.

o Locomotive Train Simulator Upgrades - $0.3M: This project will fund fuel conservation software which is part of the Fuel Conservation initiative. Modifications consist of: replacing the existing NET-SIM brake controller with one provided by Amtrak, adding an Aspect Display Unit for Cab Signals, and replacing the NET-SIM software with the software currently used on our full motion simulator. Once these modifications are completed, the NET-SIM can be used to run the same simulations/scenarios as Amtrak’s current full motion simulator, without motion.

o Conductor Certification - $0.1M: Ongoing activity to comply with PRIIA requirements for certifications.

Corporate Common Overview of the Department: The Corporate Common responsibility center is for accounting for transactions that are not directly attributable to a specific department and therefore must be allocated, as well as depreciation and accounting transactions that relate to the subsidiaries. The major types of expenses included in Corporate Common are:

o Employee Benefits o Claims Insurance including FELA o Depreciation & Amortization o Subsidiary Accounting transactions

Employee Benefits are expected to cost $615.0M in FY11, although $41.3M of that total is for post-retirement benefits that do not use current year funding. The benefit costs are allocated to the functional departments. Claims Insurance is expected to exceed $33.4M and is likewise allocated to the departments. Depreciation and amortization is expected to cost $630.8M, although the vast majority is a non-cash expense that does not impact current year operating funding. Base Activity:


The FY11 base budget is $664.2 M and is mainly driven by estimated management merit increases for total Amtrak, depreciation, and insurance claims that are not allocated to the departments. The

FY11 base operating request, as compared to FY10 actual, has increased by $54.9M. This increase is primarily due to:

o Increase in employee benefit cost primarily due to increased cost of Amplan health insurance to reflect increase in medical claims, and increase in Railroad retirement taxes to reflect increased labor cost $53.3M

o Decrease in non-cash post retirement benefits ($10.2)M o Increase in credits for benefit cost allocated to the departments ($43.4M) o Increase in depreciation expenses $45.1M o Decrease in Insurance Claims - FELA ($0.1M) o Reduction in credits for wreck repair accruals due to decrease in Stimulus activity $10.2M

New Activity: New activity in FY11 includes a reduction of ($0.7M) in insurance claims due to the implementation of the “Safe to Safer” program. Corporate Common: Operating Expenses Summary FY09-FY11

$ millionsFY09


Corporate Benefits - Cash $533.0 $561.8 $615.0 $53.3 10.0%Post Retirement Benefits - Non Cash $43.0 $51.5 $41.3 ($10.2) -23.8%Benefits Allocated to Departments ($566.7) ($612.9) ($656.3) ($43.4) 7.1%Net Benefit Cost to Corp Common $9.2 $0.3 $0.0 ($0.3) -100.0%Net Claims Insurance Cost to Corp Common $17.4 $33.5 $33.4 ($0.1) -0.3%Depreciation & Amortization $555.2 $585.7 $630.8 $45.1 7.7%

Total Operating Expenses $567.9 $609.3 $664.2 $54.9 9.0%


Total Other - Primarily reduction in credits for wreck repair accruals ($14.0) ($10.3) ($0.0) $10.2 -99.7%


$ Millions



$53.3

($10.2)

($43.4)

$45.1

($0.3)

($0.1)

$10.2

$2.4

$55.6$664.8

New Activity

($0.7)

($0.7)




Decrease in Passenger claims and Other claims related to Safe to Safer program

Increase in credits for benefits cost allocation to the departments

Other

Decrease in non-cash post retirement benefits

Increase in employee benefit cost primarily due to increased cost of Amplan health insurance to reflect increase in medical claims, and increase in Railroad retirement taxes to reflect increased labor cost

Net increase in Depreciation/Amortization

Net Benefit Cost to Corp Common

Decrease in Net Insurance Claims - FELA

Reduction in credits for wreck repair accruals due to increase in Stimulas activity



National Railroad Passenger Corporation

AMTRAK

Fiscal Year 2011 Comprehensive Business Plan

Operating, Capital Programs, and Debt Service Expense Budget

Appendix Reports Summary Income Statement by Major Account Summary Income Statement by Department and Major Account Revenue and Expenses by Department Summary Income Statement for Commuter Business Line Summary Income Statement for Commercial Development Business Line Summary Income Statement by Major Account and Activity Labor and Non-Labor Expenses by Department Reconciliation of FY11 Operating Budget to FY10 Results Monthly Average and End of Year Headcount by Department Summary Capital Programs FY2011 Capital Budget Ranking Summary Metrics FY2009-FY2011

FY09 FY10 FY11

$ millionsActual Actual Revised Budget

$ %

REVENUES:Passenger Related:

Ticket Revenue 1,563.5 1,702.1 1,767.2 65.1 3.8%Food and Beverage 92.6 97.5 104.8 7.3 7.4%State Supported Train Revenue 157.4 174.3 190.6 16.2 9.3%

Total Passenger Related Revenue 1,813.5 1,973.9 2,062.5 88.6 4.5%Commuter 147.3 152.5 163.3 10.8 7.1%Reimbursable 100.9 100.7 104.4 3.7 3.7%Commercial Development 76.6 74.8 73.5 (1.2) -1.6%Other Transportation 144.2 135.6 150.5 14.9 11.0%Freight Access Fees and Other 43.1 47.0 41.0 (5.9) -12.7%

Total Other Revenue 512.1 510.5 532.7 22.2 4.4%Total Operating Revenue 2,325.6 2,484.4 2,595.3 110.9 4.5%

EXPENSES:Salaries, Wages and Benefits:

Salaries 225.7 239.1 273.6 (34.5) -14.5%Wages & Overtime 887.8 941.8 997.8 (56.1) -6.0%Employee Benefits 526.5 534.9 605.3 (70.4) -13.2%Employee Related 27.7 26.1 30.1 (4.0) -15.2%

Salaries, Wages and Benefits 1,667.7 1,741.9 1,906.9 (165.0) -9.5%Train Operations 245.7 262.4 269.0 (6.6) -2.5%Fuel, Power, & Utilities 272.8 299.7 332.4 (32.7) -10.9%Materials 183.9 184.2 189.2 (5.0) -2.7%Facility, Communication, & Office 162.5 178.0 168.1 9.9 5.6%Advertising and Sales 106.2 113.7 115.5 (1.8) -1.6%Casualty and Other Claims Total 49.0 58.1 59.7 (1.6) -2.7%Depreciation 575.7 602.5 650.2 (47.7) -7.9%Amort of Gain On Sale/Leaseback (13.1) (9.4) (12.2) 2.8 -29.9%Professional Fees 77.9 82.5 94.4 (12.0) -14.5%Data Processing Services and Supplies 86.3 91.6 107.7 (16.1) -17.5%Environmental and Safety 17.4 11.9 12.8 (0.9) -7.4%Maintenance of Way Services 35.0 32.6 34.4 (1.8) -5.6%Passenger Inconvenience 11.8 10.6 10.8 (0.2) -2.2%Financial 39.2 48.8 46.5 2.2 4.6%Other Expenses (0.6) 1.2 3.3 (2.1) -174.4%Indirect Costs Capitalized To P&E (115.1) (150.7) (140.2) (10.5) 7.0%

Total Expenses 3,402.1 3,559.6 3,848.6 (289.0) -8.1%Operating Income (Loss) (1,076.5) (1,075.2) (1,253.3) (178.2) -16.6%

Other (Income) and Expense:Interest Income (65.5) (34.6) (55.6) 21.0 60.6%Interest Expense 175.4 135.5 135.1 0.4 0.3%

Other Expense - Net 109.9 100.9 79.5 21.4 21.2%

Project Expenses 86.3 142.3 47.7 94.5 66.4%

Net Income or (Loss) (1,272.7) (1,318.3) (1,380.5) (62.2) -4.7%

Adj for Depreciation, OPEBs, PRJ & Interest 814.9 898.4 818.7 79.7 8.9%Adjusted Income or (Loss) (457.8) (419.9) (561.9) (142.0) -33.8%

Federal Appropriation 475.0 563.0 561.9

Over/(Under) Appropriation (17.2) (143.1) 0.0

FY11 Fav/(Unfav) to FY10

National Railroad Passenger Corporation (Amtrak)Summary Income Statement by Major Accounts - Excluding Office of the Inspector General

FY11 Operating Budget

Appendix

National Railroad Passenger Corporation (Amtrak)Summary Income Statement by Department and Major Account


$ millions Revenue Transportation Mechanical Engineering


Ticket Revenue 1,767.2 0.0 0.0 0.0Food and Beverage 104.8 0.0 0.0 0.0State Supported Train Revenue 190.6 0.0 0.0 0.0

Total Passenger Related Revenue 2,062.5 0.0 0.0 0.0Commuter 0.0 163.3 0.0 0.0Reimbursable 0.0 0.4 10.8 93.2Commercial Development 0.0 0.0 0.0 0.0Other Transportation 140.9 0.0 0.0 0.0Freight Access Fees and Other 27.9 0.0 0.0 0.0

Total Other Revenue 168.9 163.6 10.8 93.2Total Operating Revenue 2,231.4 163.6 10.8 93.2


Salaries 0.0 74.3 34.1 27.5Wages & Overtime 0.0 558.3 200.0 150.2Employee Benefits 0.0 272.4 124.2 85.6Employee Related 0.0 9.6 2.5 4.9

Salaries, Wages and Benefits 0.0 914.6 360.9 268.2Train Operations 0.0 184.8 0.1 0.0Fuel, Power, & Utilities 0.0 159.5 25.6 9.7Materials 0.0 23.0 145.5 23.2Facility, Communication, & Office 0.0 58.4 16.9 16.4Advertising and Sales 0.0 0.2 0.0 0.0Casualty and Other Claims Total 0.0 9.6 3.3 1.7Depreciation 0.0 0.0 0.0 0.0Amort of Gain On Sale/Leaseback 0.0 0.0 0.0 0.0Professional Fees 0.0 7.0 3.5 6.9Data Processing Services and Supplies 0.0 0.5 0.4 1.8Environmental and Safety 0.0 2.6 4.8 3.4Maintenance of Way Services 0.0 3.6 0.8 27.7Passenger Inconvenience 0.0 6.6 0.0 0.0Financial 0.0 0.4 0.1 2.5Other Expenses 0.0 0.3 (2.0) (0.8)Indirect Costs Capitalized To P&E 0.0 (3.3) (33.7) (80.6)

Total Expenses 0.0 1,367.8 526.1 280.0Operating Income (Loss) 2,231.4 (1,204.1) (515.4) (186.8)

Other (Income) and Expense:Interest Income 0.0 0.0 0.0 0.0Interest Expense 0.0 0.0 0.0 0.0

Other Expense - Net 0.0 0.0 0.0 0.0

Project Expenses 0.0 0.0 35.5 0.0

Net Income or (Loss) 2,231.4 (1,204.1) (550.9) (186.8)

Adj for Depreciation, OPEBs, PRJ & Interest 0.0 0.0 35.5 0.0Adjusted Income or (Loss) 2,231.4 (1,204.1) (515.4) (186.8)

Appendix



$ millionsREVENUES:

Passenger Related:Ticket RevenueFood and BeverageState Supported Train Revenue

Total Passenger Related RevenueCommuterReimbursableCommercial DevelopmentOther TransportationFreight Access Fees and Other

Total Other RevenueTotal Operating Revenue


SalariesWages & OvertimeEmployee BenefitsEmployee Related

Salaries, Wages and BenefitsTrain OperationsFuel, Power, & UtilitiesMaterialsFacility, Communication, & OfficeAdvertising and SalesCasualty and Other Claims TotalDepreciationAmort of Gain On Sale/LeasebackProfessional FeesData Processing Services and SuppliesEnvironmental and SafetyMaintenance of Way ServicesPassenger InconvenienceFinancialOther ExpensesIndirect Costs Capitalized To P&E

Total ExpensesOperating Income (Loss)

Other (Income) and Expense:Interest IncomeInterest Expense

Other Expense - Net

Project Expenses

Net Income or (Loss)

Adj for Depreciation, OPEBs, PRJ & InterestAdjusted Income or (Loss)

EHS RCM Operations Staff

Total Operations

Departments

0.0 0.0 0.0 0.00.0 0.0 0.0 0.00.0 0.0 0.0 0.00.0 0.0 0.0 0.00.0 0.0 0.0 163.30.0 0.0 0.0 104.30.0 0.0 0.0 0.00.0 0.0 0.0 0.00.0 0.0 0.0 0.00.0 0.0 0.0 267.60.0 0.0 0.0 267.6

3.6 0.0 1.2 140.70.2 0.0 0.0 908.72.0 0.0 0.6 484.70.3 0.0 0.0 17.46.0 0.0 1.8 1,551.50.0 0.0 0.0 184.90.0 0.0 0.0 194.80.0 0.0 0.0 191.70.4 0.0 0.2 92.30.0 0.0 0.0 0.20.0 0.0 0.0 14.60.0 0.0 0.0 0.00.0 0.0 0.0 0.01.3 7.3 0.0 26.00.0 0.0 0.0 2.73.4 0.0 0.0 14.20.0 0.0 0.0 32.10.0 0.0 0.0 6.60.0 0.0 0.0 3.00.2 0.0 0.0 (2.3)0.0 0.0 0.0 (117.6)

11.4 7.4 2.0 2,194.6(11.4) (7.4) (2.0) (1,927.1)

0.0 0.0 0.0 0.00.0 0.0 0.0 0.00.0 0.0 0.0 0.0

0.0 0.0 0.0 35.5

(11.4) (7.4) (2.0) (1,962.6)

0.0 0.0 0.0 35.5(11.4) (7.4) (2.0) (1,927.1)

Appendix



$ millionsREVENUES:









Other Expense - Net

Project Expenses



FinanceReal

Estate

Procurement and Matl

MgmtCorporate Common

Chief Financial Officer

Police & Security Division

0.0 0.0 0.0 0.0 0.0 0.00.0 0.0 0.0 0.0 0.0 0.00.0 0.0 0.0 0.0 0.0 0.00.0 0.0 0.0 0.0 0.0 0.00.0 0.0 0.0 0.0 0.0 0.00.0 0.0 0.0 0.0 0.0 0.10.0 68.2 0.0 0.0 68.2 0.00.0 0.0 0.0 0.0 0.0 0.00.0 0.0 0.0 0.0 0.0 0.00.0 68.2 0.0 0.0 68.2 0.10.0 68.2 0.0 0.0 68.2 0.1

16.3 2.3 11.6 0.0 30.1 6.94.7 0.2 17.8 (11.5) 11.2 31.8

11.1 1.3 15.5 (0.0) 27.9 19.20.4 0.1 0.8 0.0 1.3 3.3

32.4 3.9 45.6 (11.5) 70.4 61.30.0 0.0 0.0 0.0 0.0 0.1

134.6 0.3 0.3 0.1 135.2 0.00.0 0.0 0.2 (3.3) (3.1) 0.12.8 3.2 5.6 8.1 19.8 2.7

39.7 0.0 0.1 0.0 39.8 0.00.1 0.0 0.3 33.4 33.8 0.50.0 0.0 0.0 642.9 642.9 0.00.0 0.0 0.0 (12.2) (12.2) 0.06.5 2.3 2.1 (0.6) 10.4 1.70.9 0.0 0.9 0.0 1.7 0.00.0 0.0 0.1 (2.0) (1.9) 0.40.0 0.0 0.4 0.0 0.4 1.30.0 0.0 0.0 0.0 0.0 0.0

42.8 0.3 0.0 0.0 43.1 0.00.0 0.0 0.0 9.1 9.1 0.00.0 0.0 (22.7) (0.0) (22.7) 0.0

259.7 10.0 32.8 664.2 966.8 68.2(259.7) 58.2 (32.8) (664.2) (898.5) (68.1)

(55.6) 0.0 0.0 0.0 (55.6) 0.0135.1 0.0 0.0 0.0 135.1 0.079.5 0.0 0.0 0.0 79.5 0.0

0.0 0.0 0.0 0.0 0.0 11.6

(339.3) 58.2 (32.8) (664.2) (978.1) (79.7)

79.5 0.0 0.0 684.2 763.7 11.6(259.7) 58.2 (32.8) 20.0 (214.3) (68.1)

Appendix



$ millionsREVENUES:









Other Expense - Net

Project Expenses



CEO Marketing IT HR

0.0 0.0 0.0 0.00.0 0.0 0.0 0.00.0 0.0 0.0 0.00.0 0.0 0.0 0.00.0 0.0 0.0 0.00.0 0.0 0.0 0.00.0 0.0 0.0 0.00.0 0.0 0.0 0.00.0 11.2 0.0 0.00.0 11.2 0.0 0.00.0 11.2 0.0 0.0

0.8 24.0 29.2 16.90.0 36.7 0.3 0.30.3 30.9 15.6 9.10.1 1.4 1.4 3.91.2 92.9 46.5 30.20.0 85.2 0.0 0.00.0 0.7 0.0 0.00.0 0.0 0.0 0.00.1 11.3 35.4 2.60.0 75.6 0.0 0.10.0 0.5 0.0 0.00.0 0.0 0.0 0.00.0 0.0 0.0 0.00.0 14.2 0.3 1.70.0 1.0 101.1 0.20.0 0.0 0.0 0.00.0 0.5 0.0 0.10.0 4.2 0.0 0.00.0 0.0 0.0 0.00.0 0.0 0.0 0.00.0 0.0 0.0 0.01.4 286.0 183.3 34.9

(1.4) (274.8) (183.3) (34.9)

0.0 0.0 0.0 0.00.0 0.0 0.0 0.00.0 0.0 0.0 0.0

0.0 0.0 0.6 0.0

(1.4) (274.8) (184.0) (34.9)

0.0 0.0 0.6 0.0(1.4) (274.8) (183.3) (34.9)

Appendix



$ millionsREVENUES:









Other Expense - Net

Project Expenses



Policy & Development

General Counsel

High Speed Rail

Government Affairs

Total Corporate

0.0 0.0 0.0 0.0 0.00.0 0.0 0.0 0.0 0.00.0 0.0 0.0 0.0 0.00.0 0.0 0.0 0.0 0.00.0 0.0 0.0 0.0 0.00.0 0.0 0.0 0.0 0.10.0 0.0 0.0 0.0 68.20.0 0.0 0.0 0.0 0.00.0 0.0 0.0 0.0 11.20.0 0.0 0.0 0.0 79.50.0 0.0 0.0 0.0 79.5

7.0 12.8 2.0 3.7 133.3(0.0) 0.0 0.0 0.0 80.33.7 6.7 1.1 1.9 116.40.6 0.5 0.0 0.2 12.8

11.3 20.0 3.1 5.8 342.80.0 0.0 0.0 0.0 85.30.0 0.0 0.0 0.0 135.90.0 0.0 0.0 0.0 (3.0)0.4 1.6 1.0 0.4 75.30.0 0.0 0.0 0.1 115.6

(0.0) 10.0 0.0 0.0 44.70.0 0.0 0.0 0.0 642.90.0 0.0 0.0 0.0 (12.2)4.8 31.7 2.5 0.3 67.60.1 0.0 1.0 0.0 105.10.0 0.0 0.0 0.0 (1.4)0.0 0.0 0.0 0.0 2.30.0 0.0 0.0 0.0 4.20.0 0.0 0.0 0.0 43.10.0 0.0 0.0 0.0 9.10.0 0.0 0.0 0.0 (22.7)

16.6 63.3 7.6 6.6 1,634.6(16.6) (63.3) (7.6) (6.6) (1,555.1)

0.0 0.0 0.0 0.0 (55.6)0.0 0.0 0.0 0.0 135.10.0 0.0 0.0 0.0 79.5

0.0 0.0 0.0 0.0 12.2

(16.6) (63.3) (7.6) (6.6) (1,646.8)

0.0 0.0 0.0 0.0 775.9(16.6) (63.3) (7.6) (6.6) (870.9)

Appendix



$ millionsREVENUES:









Other Expense - Net

Project Expenses



Corporate Entries

Subsidiaries & Elimination Total Amtrak

0.0 0.0 1,767.20.0 0.0 104.80.0 0.0 190.60.0 0.0 2,062.50.0 0.0 163.30.0 0.0 104.40.0 5.3 73.50.0 9.6 150.50.0 1.9 41.00.0 16.7 532.70.0 16.7 2,595.3

(0.4) 0.0 273.6(2.6) 11.5 997.84.2 0.0 605.3

(0.1) 0.0 30.11.1 11.5 1,906.9

(1.1) 0.0 269.0(0.6) 2.2 332.4(0.5) 1.1 189.2(0.3) 0.7 168.1(0.2) 0.0 115.50.0 0.4 59.70.0 7.2 650.20.0 0.0 (12.2)

(0.1) 0.9 94.4(0.1) 0.0 107.70.0 0.0 12.80.0 0.0 34.40.0 0.0 10.8

(0.1) 0.5 46.55.6 (9.1) 3.30.1 0.0 (140.2)3.9 15.5 3,848.6

(3.9) 1.3 (1,253.3)

0.0 (0.1) (55.6)0.0 0.0 135.10.0 (0.1) 79.5

0.0 0.0 47.7

(3.9) 1.4 (1,380.5)

0.0 7.2 818.7(3.9) 8.5 (561.9)

Appendix

Revenue Expenses Profit/(Loss)

Base New Total Base New Total Base New TotalActivity Activity Activity Activity Activity Activity Activity Activity Activity

Passenger Revenue - No Specific Dept 2,195.4 36.0 2,231.4 0.0 0.0 0.0 2,195.4 36.0 2,231.4Transportation 133.5 30.1 163.6 1,350.2 17.5 1,367.8 (1,216.7) 12.6 (1,204.1)Mechanical 10.8 0.0 10.8 517.3 8.8 526.1 (506.5) (8.8) (515.4)Engineering 93.2 0.0 93.2 263.6 16.4 280.0 (170.5) (16.4) (186.8)Environmental, Health, and Safety 0.0 0.0 0.0 9.9 1.5 11.4 (9.9) (1.5) (11.4)Reliability Centered Maintenance 0.0 0.0 0.0 7.4 0.0 7.4 (7.4) 0.0 (7.4)Operations Staff 0.0 0.0 0.0 2.0 0.0 2.0 (2.0) 0.0 (2.0)Total Operations Departments 237.5 30.1 267.6 2,150.4 44.2 2,194.6 (1,912.9) (14.1) (1,927.1)Finance 0.0 0.0 0.0 256.3 3.5 259.7 (256.3) (3.5) (259.7)Real Estate 68.2 0.0 68.2 10.0 0.0 10.0 58.2 0.0 58.2Procurement and Materials Management 0.0 0.0 0.0 29.8 3.1 32.8 (29.8) (3.1) (32.8)Corporate Common 0.0 0.0 0.0 (19.4) (0.7) (20.0) 19.4 0.7 20.0Chief Financial Officer 68.2 0.0 68.2 276.7 5.9 282.6 (208.4) (5.9) (214.3)Police & Security Division 0.1 0.0 0.1 64.7 3.5 68.2 (64.6) (3.5) (68.1)CEO 0.0 0.0 0.0 1.4 0.0 1.4 (1.4) 0.0 (1.4)Marketing 11.2 0.0 11.2 286.1 (0.1) 286.0 (274.9) 0.1 (274.8)IT 0.0 0.0 0.0 154.3 29.1 183.3 (154.3) (29.1) (183.3)HR 0.0 0.0 0.0 33.8 1.1 34.9 (33.8) (1.1) (34.9)Policy & Development 0.0 0.0 0.0 13.7 2.9 16.6 (13.7) (2.9) (16.6)General Counsel 0.0 0.0 0.0 63.3 0.0 63.3 (63.3) 0.0 (63.3)High Speed Rail Department 0.0 0.0 0.0 0.0 7.6 7.6 0.0 (7.6) (7.6)Government Affairs 0.0 0.0 0.0 6.6 0.0 6.6 (6.6) 0.0 (6.6)Total Corporate 79.5 0.0 79.5 900.5 49.9 950.4 (821.0) (49.9) (870.9)Corporate Entries 0.0 0.0 0.0 3.9 0.0 3.9 (3.9) 0.0 (3.9)Subsidiaries & Elimination 16.7 0.0 16.7 8.2 0.0 8.2 8.5 0.0 8.5Total Amtrak Excluding OIG 333.8 30.1 363.9 3,063.1 94.1 3,157.1 (2,729.3) (64.0) (2,793.3)Operating Subsidy Requirement 2,529.2 66.1 2,595.3 3,063.1 94.1 3,157.1 (533.9) (28.0) (561.9)

Depreciation 0.0 650.2 0.0 650.2 (650.2) 0.0 (650.2)OPEB's 0.0 41.3 0.0 41.3 (41.3) 0.0 (41.3)Non-Cash Expenses 0.0 691.4 0.0 691.4 (691.4) 0.0 (691.4)

Project Expenses 0.0 47.7 0.0 47.7 (47.7) 0.0 (47.7)

Interest Expense, net of Interest Income 0.0 79.5 0.0 79.5 (79.5) 0.0 (79.5)

Net Loss Including Non-Cash and Project 2,529.2 66.1 2,595.3 3,881.7 94.1 3,975.8 (1,352.6) (28.0) (1,380.5)

National Railroad Passenger Corporation (Amtrak)Revenue and Expenses by Department - Excluding the Office of the Inspector General


Appendix 8

FY10 FY11$ millions Actual Budget $ %

REVENUES:Commuter 152.5 163.3 10.8 7.1%

Total Operating Revenue 152.5 163.3 10.8 7.1%


Salaries 7.6 9.6 (2.0) -26.1%Wages & Overtime 49.1 58.1 (9.0) -18.3%Employee Benefits 24.4 23.0 1.4 5.5%Employee Related 1.0 0.4 0.5 55.7%

Salaries, Wages and Benefits 82.1 91.2 (9.1) -11.1%Train Operations 0.3 0.3 0.0 6.7%Fuel, Power, & Utilities 6.7 8.4 (1.7) -26.1%Materials 15.1 9.7 5.4 35.7%Facility, Communication, & Office 5.4 5.8 (0.4) -7.8%Casualty and Other Claims Total 1.4 1.7 (0.3) -20.8%Professional Fees 1.1 1.0 0.1 7.8%Environmental and Safety 0.6 0.6 (0.0) -6.4%Maintenance of Way Services 3.4 2.3 1.0 31.0%Passenger Inconvenience 0.1 0.0 0.1 90.5%Financial 0.2 2.1 (1.9) -848.4%Other Expenses 0.2 2.4 (2.3) NMIndirect Costs Capitalized To P&E 0.8 0.5 0.3 33.6%

Total Expenses 117.4 126.3 (8.8) -7.5%

Operating Income (Loss) 35.1 37.0 2.0 -5.6%

Notes:FY10 includes 9 months of VRE and 3 months of MetrolinkFY11 includes a full year of Metrolink


National Railroad Passenger Corporation (Amtrak)Commuter Income Statement by Major Accounts


Appendix

FY10 FY11$ millions Actual Budget $ %


Commercial Development 74.8 73.5 (1.2) -1.6%Total Operating Revenue 74.8 73.5 (1.2) -1.6%


Salaries 2.2 2.3 (0.1) -2.9%Wages & Overtime 0.7 0.9 (0.2) -25.2%Employee Benefits 1.6 1.6 (0.0) -1.8%Employee Related 0.1 0.1 (0.0) -12.0%

Salaries, Wages and Benefits 4.6 4.9 (0.3) -6.0%Fuel, Power, & Utilities 0.3 0.5 (0.3) -91.4%Facility, Communication, & Office 3.1 3.3 (0.1) -3.9%Professional Fees 1.5 2.3 (0.8) -52.5%Financial 0.4 0.4 0.0 10.0%Indirect Costs Capitalized To P&E 0.3 0.3 (0.0) -1.0%

Total Expenses 10.2 11.7 (1.4) -13.8%Operating Income (Loss) 64.5 61.9 (2.6) 4.1%


National Railroad Passenger Corporation (Amtrak)Commercial Development Income Statement by Major Accounts


Appendix

Base New FY11$ millions Activity Activity Budget


Ticket Revenue 1,700.0 67.2 1,767.2Food and Beverage 104.8 0.0 104.8State Supported Train Revenue 175.8 14.7 190.6

Total Passenger Related Revenue 1,980.6 81.9 2,062.5Commuter 133.2 30.1 163.3Reimbursable 104.4 0.0 104.4Commercial Development 73.5 0.0 73.5Other Transportation 150.5 0.0 150.5Freight Access Fees and Other 41.0 0.0 41.0

Total Other Revenue 502.6 30.1 532.7Total Operating Revenue 2,483.3 112.0 2,595.3


Salaries 266.9 6.7 273.6Wages & Overtime 953.1 44.8 997.8Employee Benefits 581.8 23.5 605.3Employee Related 29.3 0.8 30.1

Salaries, Wages and Benefits 1,831.1 75.7 1,906.9Train Operations 263.8 5.2 269.0Fuel, Power, & Utilities 340.5 (8.1) 332.4Materials 184.6 4.6 189.2Facility, Communication, & Office 182.3 (14.2) 168.1Advertising and Sales 105.4 10.1 115.5Casualty and Other Claims Total 58.5 1.2 59.7Depreciation 650.2 0.0 650.2Amort of Gain On Sale/Leaseback (12.2) 0.0 (12.2)Professional Fees 79.9 14.5 94.4Data Processing Services and Supplies 58.2 49.5 107.7Environmental and Safety 11.6 1.2 12.8Maintenance of Way Services 34.5 (0.1) 34.4Passenger Inconvenience 10.8 0.0 10.8Financial 44.5 2.1 46.5Other Expenses 2.9 0.4 3.3Indirect Costs Capitalized To P&E (135.9) (4.3) (140.2)

Total Expenses 3,710.7 137.9 3,848.6Operating Income (Loss) (1,227.4) (25.9) (1,253.3)

Other (Income) and Expense:Interest Income (55.6) 0.0 (55.6)Interest Expense 135.1 0.0 135.1

Other Expense - Net 79.5 0.0 79.5

Project Expenses 47.7 0.0 47.7

Net Income or (Loss) (1,354.6) (25.9) (1,380.5)

Adj for Depreciation, OPEBs, PRJ & Interest 818.7 0.0 818.7Adjusted Income or (Loss) (536.0) (25.9) (561.9)

National Railroad Passenger Corporation (Amtrak)Summary Income Statement by Major Account and Activity - Excluding

Office of the Inspector GeneralFY11 Operating Budget

Page 1

FY10 FY11 FY10 FY11 FY10 FY11Actual Budget $ % Actual Budget $ % Actual Budget $ %

Transportation 857.3 914.6 (57.3) -6.7% 461.2 453.2 8.1 1.7% 1,318.6 1,367.8 (49.2) -3.7%Mechanical 333.5 360.9 (27.3) -8.2% 171.6 165.3 6.3 3.7% 505.1 526.1 (21.0) -4.2%Engineering 236.2 268.2 (32.0) -13.5% 6.2 11.8 (5.5) -88.7% 242.5 280.0 (37.5) -15.5%Environmental, Health, and Safety 5.6 6.0 (0.4) -7.0% 3.5 5.4 (1.9) -52.8% 9.1 11.4 (2.2) -24.6%RCM 0.0 0.0 (0.0) -73.3% 7.2 7.4 (0.1) -1.8% 7.2 7.4 (0.1) -1.9%Operations Staff 1.6 1.8 (0.2) -12.9% 0.3 0.2 0.2 50.2% 1.9 2.0 (0.0) -1.8%Operating Departments 1,434.3 1,551.5 (117.2) -8.2% 650.2 643.1 7.0 1.1% 2,084.5 2,194.6 (110.2) -5.3%Finance 29.4 32.4 (3.1) -10.4% 195.1 227.3 (32.1) -16.5% 224.5 259.7 (35.2) -15.7%Real Estate 3.8 3.9 (0.1) -1.6% 5.2 6.2 (1.0) -18.7% 9.0 10.0 (1.0) -11.5%Procurement and Matl Mgmt 40.5 45.6 (5.0) -12.5% (9.3) (12.7) 3.5 -37.4% 31.2 32.8 (1.6) -5.0%Corporate Common (64.2) (52.7) (11.5) 17.9% 6.8 32.7 (25.8) -378.8% (57.4) (20.0) (37.3) 65.1%Chief Financial Officer 9.5 29.2 (19.6) -206.2% 197.9 253.4 (55.5) -28.0% 207.4 282.6 (75.1) -36.2%Police & Security 51.9 61.3 (9.4) -18.2% 9.0 6.9 2.2 23.9% 60.9 68.2 (7.3) -12.0%CEO 0.9 1.2 (0.4) -43.8% 0.2 0.1 0.1 47.8% 1.1 1.4 (0.3) -25.1%Marketing 86.6 92.9 (6.4) -7.4% 190.5 193.1 (2.6) -1.4% 277.1 286.0 (9.0) -3.2%IT 38.2 46.5 (8.3) -21.7% 124.3 136.8 (12.5) -10.1% 162.5 183.3 (20.8) -12.8%HR 27.4 30.2 (2.8) -10.1% 4.1 4.7 (0.6) -13.5% 31.5 34.9 (3.3) -10.5%Policy & Development 7.4 11.3 (3.9) -52.2% 2.4 5.3 (2.9) -120.8% 9.8 16.6 (6.8) -68.9%General Counsel 17.6 20.0 (2.4) -13.7% 34.2 43.3 (9.1) -26.5% 51.8 63.3 (11.5) -22.2%High Speed Rail Department 0.0 3.1 (3.1) NM 0.0 4.5 (4.5) NM 0.0 7.6 (7.6) NMGovernment Affairs 4.8 5.8 (1.1) -22.2% 0.7 0.8 (0.1) -18.1% 5.4 6.6 (1.2) -21.7%

Total Corporate Departments 244.2 301.5 (57.3) -23.5% 563.4 648.8 (85.5) -15.2% 807.6 950.4 (142.8) -17.7%Corporate Entries 0.0 1.1 (1.1) #DIV/0! 0.0 2.8 (2.8) #DIV/0! 0.0 3.9 (3.9) #DIV/0!Subsidiaries & Elimination 10.6 11.5 (0.8) -7.9% 1.6 (3.2) 4.9 299.6% 12.2 8.2 4.0 32.9%Total Amtrak Department Expenses 1,689.2 1,865.6 (176.4) -10.4% 1,215.1 1,291.5 (76.4) -6.3% 2,904.3 3,157.1 (252.8) -8.7%

Depreciation 0.0 602.5 650.2 (47.7) 602.5 650.2 (47.7)Post-Retirement Benefits 52.7 41.3 11.5 21.8% 0.0 52.7 41.3 11.5 21.8%Total Non-Cash Expenses 52.7 41.3 11.5 21.8% 602.5 650.2 (47.7) -7.9% 655.2 691.4 (36.2) -5.5%

Project Expenses 0.0 0.0 0.0 142.3 47.7 94.5 66.4% 142.3 47.7 94.5 66.4%

Interest Expense, net of Interest Income 100.9 79.5 21.4 21.2% 100.9 79.5 21.4 21.2%

Grand Total Expenses 1,741.9 1,906.9 (165.0) -9.5% 2,060.8 2,068.9 (8.1) -0.4% 3,802.7 3,975.8 (173.1) -4.6%

National Railroad Passenger Corporation (Amtrak)Labor and Non-Labor Expenses by Department



Labor & Benefit ExpensesFY11 Fav/(Unfav) to FY10 FY11 Fav/(Unfav) to FY10

Non-Labor Expenses Total Expenses

($ Millions)Net

Revenue Expenses Income/(Loss)

FY10 Base Activity $2,484.4 $2,904.3 ($419.9)Changes in Base Activity

Change in demographics and economic recovery $35.0 $35.0Service quality improvements - planned improvement in customer satisfaction index scores $8.0 $8.0One-time miscellaneous revenue in FY10 not recurring in FY11 ($7.1) ($7.1)Inflation of Prior Year $33.0 $117.5 ($84.5)Non-inflationary increase in Employee Benefits primarily due to increased usage of Agreement Health Care $38.0 ($38.0)Reduced Transfer Credits due to conclusion of ARRA project activity $12.4 ($12.4)Increase in inventory obsolesence provision $12.3 ($12.3)Non-inflationary increase in workforce primarily due to lower assumed vacancy rates compared to prior year $8.5 ($8.5)Increase in Reimbursable Services $5.4 ($5.4)Reduction in Commuter revenue and expenses primarily due to cancellation of VRE Contract ($19.3) ($13.9) ($5.4)Reduction in IT Outsourced services due to maturation of ITII program ($20.3) $20.3All Other ($4.9) ($1.3) ($3.5)

Changes to Base Activity $44.8 $158.8 ($114.0)Total FY11 Base Activity Budget $2,529.2 $3,063.1 ($533.9)

New Activity

Growth Commuter Services $30.1 $20.5 $9.6Credit Card Commissions on New Revenue $1.3 ($1.3)State Supported Route Washington to Richmond, VA $3.5 $2.5 $1.0Second Piedmont Frequency $1.0 $1.4 ($0.4)High Speed Rail New Department $7.6 ($7.6)New Partnerships $2.5 ($2.5)Partnership Improvements $0.4 ($0.4)Total Growth Related Activity $34.6 $36.2 ($1.6)

PRIIA PRIIA Engineering OTP Compliance $23.0 $14.9 $8.1PRIIA Mechanical OTP/CSI Compliance $2.7 ($2.7)Host RR Incentive Payments $0.2 ($0.2)Total PRIIA Related $23.0 $17.8 $5.2

IT Launch of Wi-Fi on Acela trains $6.5 $6.5Initiatives Launch of enhanced next generation e-Ticketing channel $2.0 $2.0

IT Cost of expanded network for COO Depts $0.5 ($0.5)IT Cost of SAP Center of Excellence (SMA, EIM, etc $2.4 ($2.4)IT Cost related to Commuter Operations $0.2 ($0.2)IT Cost related to ADA / PIDS implementation $1.6 ($1.6)IT Outsourcing IBM HW Costs $5.8 ($5.8)IT Outsourcing NTWK, SW and Field Costs $3.1 ($3.1)ITII Transition $3.4 ($3.4)ITII Improvements $12.1 ($12.1)Insourcing AGR Call Center ($0.1) $0.1Total IT Related $8.5 $29.0 ($20.5)

Impact Vacation/Holiday Stimulus Personnel $0.3 ($0.3)of ARRA Superliner Stimulus Maintenance $0.8 ($0.8)Projects Amfleet Stimulus Maintenance $7.7 ($7.7)

P40 Locomotive Stimulus Maintenance ($1.1) $1.1Engineering Stimulus $2.1 ($2.1)Virtual Fence Monitoring Cost $0.7 ($0.7)Transfer Credits on ARRA Projects ($4.2) $4.2Total ARRA Related $6.3 ($6.3)

Greener Utility conservation $0.2 ($0.2)Fuel Conservation Program ($4.8) $4.8Green Initiatives - Available $0.1 ($0.1)Station Recycling Services $0.3 ($0.3)TPDES Storm Water Management Program $0.2 ($0.2)Total Green Related ($4.2) $4.2

Safer Behavior Based Safety Program ($0.5) $0.5Safety Improvement Initiatives $0.1 ($0.1)Safety Engineering $1.1 ($1.1)Asbestos Plan $0.3 ($0.3)Lifesaver Train (Montana) $1.0 ($1.0)Police Department Expansion $2.3 ($2.3)MOW Inventory Security Initiative $3.1 ($3.1)Total Safety Related $7.4 ($7.4)

Healthier Police Fitness Program $0.6 ($0.6)MLOA System - HR $0.1 ($0.1)Job Family Structure - HR $0.2 ($0.2)Amtrak Leadership Program $0.3 ($0.3)Performance Management - HR $0.3 ($0.3)HSR Training HR $0.2 ($0.2)FRA Mandate 237 Safety Training $0.1 ($0.1)Total Healthier Related $1.7 ($1.7)

Total FY11 New Activity $66.1 $94.1 ($28.0)FY11 Total Operating Expenses Budget $2,595.3 $3,157.2 ($561.9)

Reconcilation of FY11 Operating Budget to FY10 Results

Exempt Non-Exempt Total Exempt Non-Exempt TotalExempt ARASA Total Full TimePart Time Total Contractors Interns Headcount Exempt ARASA Total Full TimePart Time Total Contractors Interns Headcount

Transportation 649 184 833 7,940 - 7,940 - - 8,773 669 200 869 7,939 38 7,976 - - 8,845 Mechanical 382 - 382 4,087 - 4,087 - 4 4,472 398 7 405 4,252 - 4,252 - - 4,657 Engineering 373 - 373 3,100 - 3,100 - 9 3,483 444 176 620 3,173 - 3,173 5 - 3,798 EHS 38 1 39 4 - 4 - 0 43 40 1 41 3 - 3 - - 44 Operations Staff 7 - 7 - - - - - 7 8 - 8 - - - - - 8 Operating Departments 1,449 185 1,634 15,131 - 15,131 - 13 16,777 1,559 384 1,943 15,367 38 15,404 5 - 17,352 Finance 164 - 164 101 - 101 - - 265 184 - 184 89 - 89 - - 273 Real Estate 23 - 23 3 - 3 - - 26 23 - 23 3 - 3 - - 26 Procurement and Matl Mgmt 144 - 144 302 - 302 - - 447 150 22 173 316 - 316 - - 489 Corporate Common - - - - - - - - - - - - - - - - - - Chief Financial Officer 331 - 331 407 - 407 - - 738 357 22 380 408 - 408 - - 788 Police & Security Division 71 - 71 344 - 344 - 0 415 60 - 60 406 - 406 4 - 470 CEO 4 - 4 - - - - - 4 4 - 4 - - - - - 4 Marketing 244 3 247 987 - 987 - 0 1,234 269 4 273 549 473 1,023 - - 1,296 IT 305 - 305 5 - 5 - 1 311 334 - 334 6 - 6 5 - 345 HR 211 - 211 3 - 3 - 0 214 216 - 216 3 1 4 - 1 221 Policy & Development 42 - 42 - - - - 1 43 57 - 57 - - - - - 57 General Counsel 124 - 124 - - - - 0 124 140 - 140 - - - - - 140 High Speed Rail Dept - - - - - - - - - - - - - - - - - - Government Affairs 32 - 32 0 - 0 - 0 32 40 - 40 - - - - - 40 Total Corporate 1,363 3 1,366 1,745 - 1,745 - 3 3,115 1,477 26 1,503 1,373 474 1,847 9 1 3,360 Total Amtrak 2,812 188 3,000 16,876 - 16,876 - 16 19,892 3,036 410 3,446 16,740 512 17,251 14 1 20,712

Exempt Non-Exempt Total Exempt Non-Exempt TotalExempt ARASA Total Full TimePart Time Total Contractors Interns Headcount Exempt ARASA Total Full TimePart Time Total Contractors Interns Headcount

Transportation 670 186 856 7,961 - 7,961 - - 8,817 669 200 869 8,026 37 8,063 - - 8,932 Mechanical 377 - 377 4,057 - 4,057 - 6 4,440 398 7 405 4,252 - 4,252 - - 4,657 Engineering 377 - 377 3,112 - 3,112 - 12 3,501 444 176 620 3,173 - 3,173 5 - 3,798 EHS 38 1 39 3 - 3 - - 42 40 1 41 2 - 2 - - 43 Operations Staff 7 - 7 - - - - - 7 8 - 8 - - - - - 8 Operating Departments 1,469 187 1,656 15,133 - 15,133 - 18 16,807 1,559 384 1,943 15,453 37 15,490 5 - 17,438 Finance 164 - 164 102 - 102 - - 266 186 - 186 89 - 89 - - 275 Real Estate 23 - 23 3 - 3 - - 26 23 - 23 3 - 3 - - 26 Procurement and Matl Mgmt 150 - 150 308 - 308 - - 458 150 22 173 318 - 318 - - 491 Corporate Common - - - - - - - - - - - - - - - - - - Chief Financial Officer 337 - 337 413 - 413 - - 750 359 22 381 411 - 411 - - 792 Police & Security Division 59 - 59 345 - 345 - - 404 61 - 61 434 - 434 4 - 498 CEO 3 - 3 - - - - - 3 4 - 4 - - - - - 4 Marketing 250 3 253 974 - 974 - - 1,227 267 4 271 525 459 984 - - 1,255 IT 307 - 307 6 - 6 - 2 315 335 - 335 6 - 6 5 - 346 HR 219 - 219 3 - 3 - - 222 215 - 215 3 1 4 - 1 220 Policy & Development 47 - 47 - - - - 1 48 57 - 57 - - - - - 57 General Counsel 129 - 129 - - - - 1 130 143 - 143 - - - - - 143 High Speed Rail Dept - - - - - - - - - - - - - - - - - - Government Affairs 31 - 31 1 - 1 - 1 33 40 - 40 - - - - - 40 Total Corporate 1,382 3 1,385 1,742 - 1,742 - 5 3,132 1,481 26 1,507 1,378 460 1,838 9 1 3,356 Total Amtrak 2,851 190 3,041 16,875 - 16,875 - 23 19,939 3,040 410 3,450 16,831 497 17,328 14 1 20,794

National Railroad Passenger Corporation (Amtrak)Monthly Average and End of Year Headcount by Department


FY10 End of Year Headcount Budget as Appropriated FY11 End of Year Headcount Budget

FY11 Average Monthly Headcount BudgetFY10 Average Monthly Headcount

Appendix

$ MillionsFederal & Amtrak

Third Party & Special Grants Total

Federal & Amtrak


Federal & Amtrak


InfrastructureBridges/Culverts/Tunnels $44.05 $17.30 $61.35 $16.20 $2.21 $18.41 $27.85 $15.09 $42.94Facility/Station/Other $25.78 $15.21 $40.99 $20.35 $11.82 $32.17 $5.43 $3.39 $8.82Communication & Signals $22.48 $3.43 $25.91 $18.37 $11.16 $29.53 $4.11 ($7.73) ($3.62)Electric Traction $38.23 $4.37 $42.59 $29.09 $3.27 $32.36 $9.13 $1.09 $10.23Track $187.50 $48.98 $236.48 $170.10 $21.91 $192.01 $17.40 $27.07 $44.47Freight Railroad Improvements $2.00 $0.00 $2.00 $3.11 $0.00 $3.11 ($1.11) $0.00 ($1.11)Fire & Life Safety $8.77 $29.94 $38.71 $3.16 $31.27 $34.43 $5.61 ($1.33) $4.28ADA Compliance $0.00 $99.95 $99.95 $18.55 $0.00 $18.55 ($18.55) $99.95 $81.40Other $20.00 $0.00 $20.00 $7.48 ($0.00) $7.48 $12.52 $0.00 $12.52Subtotal Infrastructure $348.79 $219.18 $567.97 $286.40 $81.65 $368.06 $62.39 $137.53 $199.92

FleetAcquisitions $0.00 $28.39 $28.39 $0.89 $2.12 $3.01 ($0.89) $26.27 $25.38Passenger Cars $98.11 $26.94 $125.05 $72.31 ($0.10) $72.20 $25.81 $27.04 $52.85Locomotives $20.30 $16.43 $36.73 $26.53 $0.02 $26.55 ($6.23) $16.40 $10.17Wrecks $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00Facility Improvements $4.29 $0.90 $5.19 $10.63 $0.60 $11.23 ($6.34) $0.30 ($6.04)Non Passenger Equipment $4.05 $0.47 $4.52 $3.67 $0.00 $3.67 $0.38 $0.47 $0.86Mechanical IT Projects $1.45 $0.28 $1.73 $2.25 $0.00 $2.25 ($0.80) $0.28 ($0.52)Mandatory Projects $1.32 $0.58 $1.90 $1.66 $0.00 $1.66 ($0.34) $0.58 $0.24General Safety & Reliability Projects $2.19 $1.71 $3.91 $8.67 $0.00 $8.67 ($6.48) $1.71 ($4.77)Subtotal Fleet $131.73 $75.70 $207.42 $126.62 $2.64 $129.26 $5.11 $73.06 $78.17

Other DepartmentsInformation Technologies $104.62 $8.53 $113.15 $121.78 $0.00 $121.78 ($17.15) $8.53 ($8.62)Chief Financial Officer $2.90 $1.93 $4.83 $4.34 $0.13 $4.47 ($1.44) $1.80 $0.36Human Resources $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00Real Estate $3.00 $0.00 $3.00 $0.29 $0.00 $0.29 $2.71 $0.00 $2.71Marketing & Product Mgmt. $31.36 $8.03 $39.39 $25.55 $6.50 $32.05 $5.81 $1.53 $7.34Procurement $10.35 $0.64 $10.99 $4.67 $0.00 $4.67 $5.68 $0.64 $6.32Operations Staff ($0.03) $0.00 ($0.03) $1.03 $0.00 $1.03 ($1.06) $0.00 ($1.06)

Policy and Development $11.34 $8.86 $20.20 $2.58 $0.03 $2.61 $8.76 $8.83 $17.58Environmental Health $6.84 $0.15 $6.98 $6.69 $0.03 $6.73 $0.14 $0.11 $0.26Police & Security $1.31 $23.99 $25.29 $3.00 $8.13 $11.13 ($1.69) $15.85 $14.16Transportation $22.71 $17.46 $40.17 $16.86 $0.00 $16.86 $5.84 $17.46 $23.31Audit Adjustments $0.00 $0.00 $0.00 $0.00 ($0.98) ($0.98) $0.00 $0.98 $0.98Subtotal Other Departments $194.39 $69.59 $263.98 $186.80 $13.84 $200.64 $7.59 $55.75 $63.34

Total $674.91 $364.47 $1,039.38 $599.82 $98.14 $697.96 $75.09 $266.33 $341.42

FY11 Grant Request/Capital Budget FY10 Actual Change from FY10 Actual

National Railroad Passenger Corporation (Amtrak)Summary Capital Programs

Amtrak Revised FY 11 Capital Program by Project

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Reset FY 11 Ranking and Capital Program Total

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Project # Project Title Department Federal General Capital (GCAP)

State Local and Other Total

Cumulative GCAP

1 PRJ20045006 BGMS IN228.47 TRAIL CREEK - PINIONS/STRUCTURAL UPG Engineering 0.250 - 0.250 0.250 2 PRJ20075010 BGMS CT122.65 SHAW`S COVE-ELECTRICAL/MECHANICAL DR Engineering 0.340 - 0.340 0.590 3 PRJ20105008 BGMS NJ006.10 PORTAL-EMERGENCY GEN/DRV BOX INST Engineering 0.120 - 0.120 0.710 4 PRJ20105024 BGUG NY015.73 PELHAM BAY- PEINION BEARING UPGRADE Engineering 0.225 - 0.225 0.935 5 PRJ20105069 BGUG DE024.69 SHELLPOT CREEK - BRIDGE UPGRADES Engineering 0.500 - 0.500 1.435 6 PRJ20115074 BGMS NY010.20 SPUYTEN DUYVIL - BRIDGE UPGRADES Engineering 0.200 - 0.200 1.635 7 PRJ20105010 BGTI NY011.40 BRONX RIVER BRG - BRG TIMBERS TK 1/2 Engineering 0.600 - 0.600 2.235 8 PRJ20105011 BGTI PA058.16 PENNSYLVANIA AVE-BRG TIMBERS TK 3 Engineering 0.150 - 0.150 2.385 9 PRJ20115075 BGTI LA002.87 METRAIRIE RELIEF CANAL - REPLACE BRI Engineering 0.300 - 0.300 2.685

10 PRJ20065972 BGUG NY159.26 EDISON AVE/NY159.87 LIBERTY ST-STEEL Engineering 0.300 - 0.300 2.985 11 PRJ20075017 BGSG MID-ATLANTIC NORTH - SIGNAL BRIDGE UPGRADES Engineering 0.050 - 0.050 3.035 13 PRJ20085009 BGUG PA008.73 MUCKINPATES CREEK - PARAPET WALL REP Engineering 0.125 - 0.125 3.160 14 PRJ20085178 BGUG PA080.12 MARGARET/PA080.22 ORTHODOX-RETAINING Engineering 0.150 - 0.150 3.310 15 PRJ20095004 BGMS CT132.16 MYSTIC RIVER - BRIDGE CTRL DRIVE UPG Engineering 0.200 - 0.200 3.510 16 PRJ20095005 BGMS IL466.20 SOUTH BRANCH - BRIDGE REHABILITATION Engineering 0.290 - 0.290 3.800 17 PRJ20095010 BGUG ALBANY LINE - TIMBER DECK REPLACEMENTS Engineering 0.150 - 0.150 3.950 18 PRJ20095011 BGUG CT073.97 JAMES STREET - BRIDGE UPGRADES Engineering 0.050 - 0.050 4.000 19 PRJ20095013 BGUG CT082.00 BRANFORD RIVER - ABUTMENT/PIER RESTO Engineering 0.200 - 0.200 4.200 20 PRJ20095017 BGUG CT130.63 NOANK COVE - ABUTMENT/PIER RESTORATI Engineering 0.163 - 0.163 4.363 21 PRJ20095021 BGUG MI192.33 ST. JOSEPH RIVER - PIN REHABILITATIO Engineering 0.030 - 0.030 4.393 22 PRJ20095023 BGUG NJ019.13 RAHWAY RIVER - PARAPET WALL UPGRADES Engineering 0.050 - 0.050 4.443 23 PRJ20095028 BGUG NY135.82 STONEY POINT - BALLAST DECK CONVERSI Engineering 0.500 - 0.500 4.943 24 PRJ20095029 BGUG PA004.06 52ND ST - A & B EAST END BACKWALL UP Engineering 0.150 - 0.150 5.093 25 PRJ20095030 BGUG PA035.27 SOUTH BAILEY RD-REPL TIMBER BALLAST Engineering 0.250 - 0.250 5.343 26 PRJ20095032 BGUG PA081.69 KENSINGTON AVE - BRIDGE UPGRADES Engineering 0.200 - 0.200 5.543 27 PRJ20105013 BGUG CT107.94 DUCK RIVER - BRIDGE ABUTMENT UPGRADE Engineering 0.094 - 0.094 5.637 28 PRJ20105016 BGUG CT131.90 BENNETT`S COVE - ABUTMENT UPGRADE Engineering 0.030 - 0.030 5.667 29 PRJ20105021 BGUG MD093.97 COLLINGTON AVE-BRIDGE DECK REPLACEME Engineering 0.300 - 0.300 5.967 30 PRJ20105028 BGUG PA016.94 STREAM - LINER INSTALLATION Engineering 0.150 - 0.150 6.117 31 PRJ20115072 BGUG PA038.44 3RD AVE - MASONARY UPGRADES Engineering 0.300 - 0.300 6.417 32 PRJ20115076 BGUG PHILADELPHIA TO NEW YORK - UNDERGRADE BRIDGE Engineering 0.300 - 0.300 6.717 33 PRJ20115077 SYS NORTHEAST CORRIDOR - MAJOR BRIDGE AND TUNNEL D Engineering 0.500 - 0.500 7.217 34 PRJ20115078 BGUG PA037.88 N CHESTER ST - COLUMN BASES STABILIZ Engineering 0.125 - 0.125 7.342 35 PRJ20115079 BGUG PA047.53 STREAM - PRESSURE POINT/INSTALL PAVI Engineering 0.125 - 0.125 7.467 36 PRJ20115105 BGUG PA023.57 STREAM - PRESSURE POINT/INSTALL PAVI Engineering 0.125 - 0.125 7.592 37 PRJ20115106 BGUG DE027.00 ORANGE STREET - REPLACE SUPERSTRUCTU Engineering 0.200 - 0.200 7.792 38 PRJ20075075 CULV HARRISBURG LINE - CULVERTS UPGRADES Engineering 0.150 - 0.150 7.942 39 PRJ20075221 TUN WASHINGTON FIRST STREET TUNNEL-VENTILATION ANA Engineering 0.500 - 0.500 8.442

6 of 31 CONFIDENTIAL PREDECISIONAL INFORMATION


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Cumulative GCAP

40 PRJ20085163 TUN BALTIMORE TUNNELS - FIRE PROTECTION STANDPIPE Engineering 0.050 - 0.050 8.492 41 PRJ20115088 SAFE New York Empire Line Overbuild Ventilation Ce Engineering 0.050 - 0.050 8.542 42 PRJ20115102 TUN B&P TUNNEL - TUNNEL REPLACMENT PRELIMINARY DES Engineering 1.000 - 1.000 9.542 43 PRJ20115103 TUN BALTIMORE TUNNELS - TUNNEL IMPROVEMENTS Engineering 0.300 - 0.300 9.842 44 PRJ20085193 WALL CHICAGO 14TH ST YARD - RETAINING WALL REPLACE Engineering 0.250 - 0.250 10.092 45 PRJ20095120 WALL PA013.70 TO PA013.79 - PRESSURE POINT WALL Engineering 0.150 - 0.150 10.242 46 PRJ20095122 WALL SOUTHWEST CORRIDOR MA224.25-WALL/SPANDREL BEA Engineering - 0.300 0.300 10.242 47 PRJ20115104 WALL BOSTON TO NEW HAVEN - RETAINING WALL UPGRS Engineering 0.250 - 0.250 10.492 49 PRJ20055942 MOFE RENSELLEAR, NY M/E - REPLACE BOILER Engineering 0.050 - 0.050 10.542 50 PRJ20095058 MOFE CHICAGO YARDS - FACILITIES UPGRADE Engineering 1.000 - 1.000 11.542 51 PRJ20115084 MOFE AMTRAK SYSTEM - WAYSIDE POWER CABINET MODIFIC Engineering 0.200 - 0.200 11.742 52 PRJ20115107 MOFE LOS ANGELES - ELECTRICAL SWITCH GEAR UPGRADES Engineering 0.500 - 0.500 12.242 53 PRJ20075119 MOFW PROVIDENCE M/W BASE-YD/ROADWAY LIGHTING Engineering 0.065 - 0.065 12.307 54 PRJ20085076 MOFW IVY CITY - B&B BLD REPLACE ROOF/FURNACE/AC/OF Engineering 0.500 - 0.500 12.807 55 PRJ20095092 SUB MID-ATLANTIC DIVISION SUBSTATION - ROOF REPLAC Engineering 0.175 - 0.175 12.982 56 PRJ20105045 MOFW PROVIDENCE M/W BASE - HVAC UPGRADE Engineering 0.380 - 0.380 13.362 57 PRJ20115085 MOFW MID-ATLANTIC DIVISION - MOFW FACILITY UPGRADE Engineering 0.250 - 0.250 13.612 58 PRJ20115115 Midway\Groton – Land and Building Purchase Engineering 4.150 - 4.150 17.762 59 PRJ20045164 STA 30TH STREET STATION - ESCALATOR REPLACEMENT PR Engineering 0.250 - 0.250 18.012 60 PRJ20055586 STA 30TH STREET STATION - PLATFORM IMPROVEMENTS Engineering 0.150 - 0.150 18.162 61 PRJ20075146 STA BALTIMORE, MD STATION - WAITING RM/LOBBY/CONCO Engineering 0.050 - 0.050 18.212 62 PRJ20075156 STA WASH TERM - EMERGENCY/UPPER LEVEL PLATFORMS ST Engineering 0.230 - 0.230 18.442 63 PRJ20075261 STA BWI STATION - REPLACE NORTHBOUND PLATFORM Engineering - 1.500 1.500 18.442 64 PRJ20085098 STA AMTRAK SYSTEM - DESIGN ADA/STATION IMPROVEMENT Engineering 0.500 - 0.500 18.942 65 PRJ20085105 STA NEW CARROLLTON STATION - HVAC UPGRADES Engineering 0.020 - 0.020 18.962 66 PRJ20115092 STA CHICAGO STATION - STATION TRACK VENTILATION DE Engineering 0.050 - 0.050 19.012 67 PRJ20115093 STA NY DIVISION SEPTA STATIONS-PLATFORM UPGRS Engineering 0.075 - 0.075 19.087 68 PRJ20115094 STIP WASHINGTON TERM & IVY CITY-FACILITY ELECTRICA Engineering 0.500 - 0.500 19.587 69 PRJ20065390 WASHINGTON TERMINAL - ELECTRICAL UPGRADE Engineering 0.600 - 0.600 20.187 70 PRJ20075271 TOWR DOCK I/L TOWER - ELECTRICAL DISTRIBUTION EQUI Engineering 0.360 - 0.360 20.547 71 PRJ20095159 TOWR MID-ATLANTIC DIVISION - TOWER UPGRADES Engineering 0.350 - 0.350 20.897 72 PRJ20075002 ABS LEAMAN TO HOLLAND - SIGNAL SYSTEM UPGRADES Engineering 0.115 - 0.115 21.012 73 PRJ20095051 HAZH SPRINGFIELD LINE - HOT BOX DETECTOR REPLACEME Engineering 0.101 - 0.101 21.112 74 PRJ20105035 HAZH HELLGATE LINE - HOT BOX DETECTOR REPLACEMENT Engineering 0.100 - 0.100 21.212 75 PRJ20105038 HAZH NEW ENGLAND DIV MP 208.7 - HOT BOX DETECTOR R Engineering - 0.250 0.250 21.212 76 PRJ20115073 ABS WASHINGTON TO NEW YORK-CONVERT TK CIRCUITS TO Engineering 0.250 - 0.250 21.462 77 PRJ20115080 CABF WAS TO NEW YORK-INSTALL REDUNDANT COMM CBL Engineering 3.984 - 3.984 25.446 78 PRJ20095003 ACSE WASHINGTON TO NEW YORK - ACSES UPGRADES Engineering 0.125 - 0.125 25.571



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Cumulative GCAP

79 PRJ20115087 PTC MICHIGAN LINE - ITCS INSTALLATION WAYSIDE Engineering - - - 25.571 80 PRJ20065467 INT MICHIGAN DISTRICT - SIGNAL UPGRADES TO WAYSIDE Engineering 0.072 - 0.072 25.643 81 PRJ20075096 INT LEAMAN INTERLOCKING - WIRE CIH Engineering 0.085 - 0.085 25.728 82 PRJ20075105 INT VIEW INTERLOCKING - UPGRADE TO MICROLOK 2 Engineering 0.150 - 0.150 25.878 83 PRJ20095055 INT PHILADELPHIA SUBDIVISION - INTERLOCKING RTU UP Engineering - - - 25.878 84 PRJ20105023 BGUG NY015.73 PELHAM BAY- BRIDGE POSITION SENSOR Engineering 0.009 - 0.009 25.887 85 PRJ20105043 INT SOUTH BAY INTERLOCKING - UPGRADE TO MICROLOK 2 Engineering - 0.250 0.250 25.887 86 PRJ20105053 SWHT BALDWIN INTERLOCKING - SWITCH HEATER INSTALLA Engineering 0.050 - 0.050 25.937 87 PRJ20105055 SWHT LANDLITH INTERLOCKING - SWITCH HEATER INSTALL Engineering 0.010 - 0.010 25.947 88 PRJ20095123 XING CT123.01 GOV WINTHROP BLVD-CROSSING EQUIPMENT Engineering 0.200 - 0.200 26.147 89 PRJ20075123 RAD NEW ENGLAND DIVISION - REPLACE BASE STATIONS Engineering 0.020 - 0.020 26.167 90 PRJ20085082 RAD NEW YORK DIVISION - RADIO BASE STATION REPLACE Engineering 0.250 - 0.250 26.417 91 PRJ20085083 RAD MID-ATLANTIC DIVISION - RADIO BASE STATION REP Engineering 0.035 - 0.035 26.452 92 PRJ20105046 RAD AMTRAK ENGINE FLEET - RADIO CIRCUIT BOARD REPL Engineering 0.086 - 0.086 26.538 93 PRJ20085198 CAT BOSTON MP 218-220 - CATENARY WIRE INSTALLATION Engineering 0.750 - 0.750 27.288 94 PRJ20115086 POLE ZOO TO PAOLI - CATENARY STRUCTURE REPLACEMENT Engineering 0.700 - 0.700 27.988 95 PRJ20115098 TRN MID-ATLANTIC DIV-TRANSMISSION BRKER INSTALLATI Engineering 0.250 - 0.250 28.238 96 PRJ20115099 TRN NORTHEAST CORRIDOR - ELECTRIC TRACTION RELAY S Engineering 0.600 - 0.600 28.838 97 PRJ20115100 TRN SUB 42 TO SUB 44 - REPLACE 12KV CABLE/CONDUIT Engineering 0.800 - 0.800 29.638 98 PRJ20115101 TRN AVENUE TO CARROLL - STATIC WIRE INSTALLATION Engineering 0.425 - 0.425 30.063 99 PRJ20115083 FREQ METUCHEN STATION - GENERATING CAPACITY INCREA Engineering 0.500 - 0.500 30.563

100 PRJ20115089 SIGP BALTIMORE SUB 20 - SIGNAL POWER UPGRADES Engineering 0.450 - 0.450 31.013 101 PRJ20115090 SIGP LANDOVER SUB 24-REPLACE 352 SIG PWR CIRCUIT B Engineering 0.200 - 0.200 31.213 102 PRJ20115091 SIGP FULTON INTERLOCKING-REPLACE 352 SIG PWR CIRCU Engineering 0.200 - 0.200 31.413 103 PRJ20105106 SWHT WASHINGTON TERMINAL - SWITCH HEATER INSTALLAT Engineering 0.150 - 0.150 31.563 104 PRJ20105107 SUB BALTIMORE SUBDIV - SUBSTATION RENEWAL, B&F, SI Engineering 0.300 - 0.300 31.863 105 PRJ20105108 SUB PERRYVILLE SUBDIV - SUBSTATION RENEWAL, B&F, S Engineering 0.300 - 0.300 32.163 106 PRJ20115097 SUB NEW YORK DIVISION - SUBSTATION TRANSFORMER INS Engineering 0.300 - 0.300 32.463 107 PRJ20105032 BLST SHORE TO N. PHIL - SYSTEM UNDERCUTTING TRACK Engineering 2.700 - 2.700 35.163 108 PRJ20075204 TKAP ENFIELD, CT - CLEARANCE/IMPACT/LOAD DETECTORS Engineering 0.320 - 0.320 35.483 109 PRJ20085146 TKAP NJ008.50 DOCK BRIDGE - MITRE RAIL REPLACEMENT Engineering 0.300 - 0.300 35.783 110 PRJ20085147 TKAP NJ006.10 PORTAL BRIDGE - MITRE RAIL REPLACEME Engineering 1.300 - 1.300 37.083 111 PRJ20095131 RAIL GROVE TO BOWIE - RAIL RENEWAL TRACK 3 Engineering 1.050 - 1.050 38.133 113 PRJ20115113 TIES NEW ENGLAND DIVISION - WOOD TIE PROGRAM Engineering 1.000 - 1.000 39.133 114 PRJ20115109 STIP SPRINGFIELD LINE - DOUBLE TRACK Engineering - 10.000 10.000 39.133 115 PRJ20115110 TKRH MEMPHIS, TN - STATION TRACK UPGRADES Engineering 1.000 - 1.000 40.133 116 PRJ20115111 TLS NEW YORK DIVISION - CONCRETE TIE REPLACEMENT Engineering 29.698 - 29.698 69.830 117 PRJ20115112 TLS NEW ENGLAND DIVISION - CONCRETE TIE REPLACEMEN Engineering 17.850 - 17.850 87.680



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Cumulative GCAP

118 PRJ20095149 TURN TRENTON STATION - TURNOUT RENEWAL Engineering - - - 87.680 119 PRJ20105064 TURN GROTON/PALMER`S COVE - INSTALL 2 #10 TURNOUTS Engineering 0.051 - 0.051 87.731 120 PRJ20105102 TURN SOUTH BAY INTERLOCKING - TURNOUT REPLACEMENT Engineering - 0.480 0.480 87.731 121 PRJ20115114 EQIR THEATER CAR CONVERSION Engineering 0.500 - 0.500 88.231 122 PRJ20105074 SAFE EMPIRE LINE - PARK OVERBUILD VENTILATION STUD Engineering 0.050 - 0.050 88.281 123 PRJ20095118 WALL LANDLITH TO WEST YEARD - HANDRAIL REPLACEMENT Engineering 0.013 - 0.013 88.294 124 PRJ20115119 MOFE SOUTH HAMPTON ST YEARD - CAR WASH UPGRADES Engineering 0.070 - 0.070 88.364 125 PRJ20115118 TOWR NEW ENGLAND DIVISION - TOWER UPGRADES Engineering 0.080 - 0.080 88.444 126 PRJ20085139 SUB HACKENSACK SUB 42 - AIR BREAK SWITCH REPLACEMENT Engineering 0.120 - 0.120 88.564 127 PRJ20115082 FEN WILMINGTON SUBDIV - INSTALL SECURITY FENCE Engineering 0.140 - 0.140 88.704 128 PRJ20105029 BGUG PA080.92 FRANKFORD CREEK - BENCH WALL UPGRADES Engineering 0.136 0.014 0.150 88.841 129 PRJ20115121 MOFE IVY CITY - TK 23 INSPECTION PIT PLATFORM REPLACEME Engineering 0.200 - 0.200 89.041 130 PRJ20105082 INRL ZOO TO 44TH ST - INTERLOCKING RECONFIGURATION Engineering 0.250 - 0.250 89.291 131 PRJ20115120 DRAIN POST ROAD NY196.10 - TRACK WASHOUT REPLACEMENTEngineering 1.500 - 1.500 90.791 133 PRJ20115125 STA Schenectady, NY – Station Upgrades Engineering - 0.032 0.032 90.791 134 PRJ20115122 TKRN Philadelphia to Trenton – Track Upgrades Engineering - 0.465 0.465 90.791

1 135 PRJ20020159B SYS FY-2006 LIFE SAFETY - DESIGN/CONSTRUCTION SUPPORT Engineering 0.113 0.113 0.225 90.903 2 136 PRJ20020160B SYS FY-2006 LIFE SAFETY - PROJECT MANAGEMENT Engineering 0.437 0.437 0.873 91.340 3 137 PRJ20020165B TUN NEW YORK NRT - VENTILATION SHAFT CONSTRUCTION Engineering - 1.023 1.023 91.340 4 138 PRJ20020179A TUN NEW YORK ERT - 1ST AVE VENTILATION SHAFT DESIGN Engineering - 21.034 21.034 91.340 5 139 PRJ20020179B TUN NEW YORK ERT - 1ST AVE VENTILATION SHAFT DESIGN Engineering 6.500 6.500 13.000 97.840 6 140 PRJ20045524A CETC PENN STATION NY - SCADA PHASE II Engineering - 0.833 0.833 97.840 7 141 PRJ20045524B CETC PENN STATION NY - SCADA PHASE II Engineering 1.667 - 1.667 99.507 8 142 PRJ20045525B EQIM ROLLING STOCK EQUIPMENT-INTERIOR BRAKE RELEASE Mechanical 0.004 - 0.004 99.510 11 145 PRJ20115003A TUN NY TUNNELS-TUNNEL STANDPIPE INSTALLATION (PHASE 3/ Engineering - 13.129 13.129 99.510 12 146 PRJ20035905 LSHD SHELL AT GRADE - INTERLOCKING RECONFIGURATION Engineering 2.000 - 2.000 101.510 13 147 PRJ20045059 BGUG MD060.07 SUSQUEHANNA - PIN STABILIZATION PHASE IV Engineering 0.250 - 0.250 101.760 14 148 PRJ20045171 STA BALTIMORE STATION - WINDOW UPGRADES PHASE II Engineering - 0.500 0.500 101.760 15 149 PRJ20045238 BGMS CT116.74 NIANTIC RIVER - BRIDGE REPLACEMENT Engineering 23.000 - 23.000 124.760 17 151 PRJ20045338 CATC NEW ENGLAND DIVISION OVERHEAD BRG - CATENARY UP Engineering 0.300 - 0.300 125.060 18 152 PRJ20045512 APP ENGINEERING ASSET INFORMATION CENTER - DEVELOPME Engineering 1.515 - 1.515 126.575 20 154 PRJ20055003 BGTI STRUCTURES - BRIDGE TIE DESIGN Engineering 0.200 - 0.200 126.775 21 155 PRJ20055016 MOFE SSYD - CONSOLIDATED MAINTAINCE FACILITY CONSTRUCEngineering - 5.000 5.000 126.775 22 156 PRJ20055108 CETC PHILADELPHIA-NEW CTRL CENTER CONSOLIDATION OF N Engineering 11.433 - 11.433 138.208 23 157 PRJ20055110 INT DOCK INTERLOCKING - INTERLOCKING RENEWAL C&S/ET Engineering 1.500 1.500 3.000 139.708 24 158 PRJ20055206 SUB SOUTHAMPTON SUBSTATION - SUBSTATION DESIGN Engineering 0.050 - 0.050 139.758 25 159 PRJ20055300 APP ENGINEERING ENTERPRISE ASSET MANAGEMENT SYSTEM Engineering 7.889 - 7.889 147.647 26 160 PRJ20055332 INRL UNION/MERCK/ROADS INTERLOCKING-INTERLOCKING REN Engineering 4.250 4.000 8.250 151.897



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Cumulative GCAP

27 161 PRJ20055407 XINR HARRISBURG LINE - GRADE CROSSING ELIMINATION Engineering 0.050 - 0.050 151.947 28 162 PRJ20055553 INTB MID-ATLANTIC NORTH - INTERLOCKING LIGHTING UPGRAD Engineering 0.013 - 0.013 151.960 29 163 PRJ20055572 TURN MID-ATLANTIC DIVISION - INTERLOCKING STEEL RENEWA Engineering 3.700 - 3.700 155.660 30 164 PRJ20055585 STA 30TH STREET STATION - ELECTRICAL UPGRADES Engineering 0.650 - 0.650 156.310 31 165 PRJ20055590 STA BALTIMORE STATION - HVAC UPGRADES Engineering - 0.100 0.100 156.310 32 166 PRJ20055610 SUB HARRISBURG LINE - INSTALL 12KV BREAKERS 8 SUBSTATIOEngineering 0.800 - 0.800 157.110 33 167 PRJ20055649 TURN WASHINGTON TERMINAL - TURNOUT RENEWAL Engineering 0.700 - 0.700 157.810 34 168 PRJ20055723 RAIL NEW YORK DIV EAST - JOINT ELIMINATION Engineering 0.100 - 0.100 157.910 35 169 PRJ20055725 TURN NEW YORK WEST - INTERLOCKING STEEL RENEWAL Engineering 0.300 0.300 0.600 158.210 36 170 PRJ20055747 TIES ALBANY LINE - TIMBER PROGRAM Engineering 0.150 - 0.150 158.360 37 171 PRJ20055750 TIES NEW YORK DIV EAST - TIE/TIMBER PROGRAM Engineering 0.300 0.300 0.600 158.660 38 172 PRJ20055755 TIES SUNNYSIDE YARD - WOOD TIE INSTALLATION Engineering 0.075 - 0.075 158.735 39 173 PRJ20055821 CAT NEW ENGLAND DIV-DOUBLE MESSENGER CLAMPS HARDW Engineering - 0.200 0.200 158.735 40 174 PRJ20055825 CULV NEW ENGLAND DIVISION - CULVERT UPGRADES Engineering 0.250 - 0.250 158.985 41 175 PRJ20055826 DRAN NEW ENGLAND DIVISION - DRAINAGE IMPROVEMENTS Engineering 0.600 - 0.600 159.585 42 176 PRJ20055829 FEN NEW ENGLAND DIVISION - INSTALL R/W FENCE Engineering 0.090 0.000 0.090 159.675 43 177 PRJ20055844 TIES NEW ENGLAND DIVISION - WOOD TIE PROGRAM Engineering 2.500 - 2.500 162.175 44 178 PRJ20055863 EQIR SYSTEM TRACK - EQUIPMENT HEAVY OVERHAULS Engineering 3.000 - 3.000 165.175 45 179 PRJ20055870 POLE NEW YORK DIVISION - CATENARY POLE UPGRADES Engineering 0.500 0.500 1.000 165.675 46 180 PRJ20055924 STA 30TH STREET STATION - INTERIOR IMPROVEMENTS Engineering 0.529 - 0.529 166.204 47 181 PRJ20055940 APP PROJECT MGT SYS - ENTERPRISE PROJECT PORTFOLIO MGEngineering 0.650 - 0.650 166.854 48 182 PRJ20055947 TIES NEW YORK DIVISION-CONCRETE TIE REPL Engineering 4.500 - 4.500 171.354 49 183 PRJ20063300 SEATTLE MAINT FACILITY UPGRADE Engineering 20.000 - 20.000 191.354 50 184 PRJ20065015 APP ENGINEERING - INFORMATION PORTAL Engineering 0.100 - 0.100 191.454 51 185 PRJ20065020 BGMS CT106.89 CONNECTICUT RIVER - BRIDGE REPLACEMENT Engineering 0.250 - 0.250 191.704 53 187 PRJ20065114 CAT HELLGATE LINE - CATENARY SYSTEM IMPROVEMENTS Engineering 15.347 - 15.347 207.051 54 188 PRJ20065119 CAT OAK TO BUSH - CATENARY HARDWARE RENEWAL Engineering 0.150 - 0.150 207.201 57 191 PRJ20065172 INT SIGNALS - FUTURE DESIGN Engineering 0.440 - 0.440 207.641 59 193 PRJ20065240 RAIL NEW ENGLAND DIVISION - JOINT ELIMINATION Engineering 1.900 - 1.900 209.541 60 194 PRJ20065244 RAIL NEW YORK DIV EAST - INSULATED JOINT REPLACMENT Engineering 0.060 0.060 0.120 209.601 61 195 PRJ20065359 TIES MID-ATLANTIC DIVISION - TIE/TIMBER PROGRAM Engineering 7.000 - 7.000 216.601 62 196 PRJ20065399 TURN DOCK INTERLOCKING - TURNOUT RENEWAL Engineering 1.250 1.250 2.500 217.851 63 197 PRJ20065409 TURN NEW YORK EAST - INTERLOCKING STEEL RENEWAL Engineering 0.350 0.350 0.700 218.201 64 198 PRJ20065416 TURN TOWER ONE - INTERLOCKING STEEL RENEWAL Engineering 0.150 - 0.150 218.351 65 199 PRJ20065442 GEOM MID-ATLANTIC/NEW ENGLAND DIV-SURFACING PROGRAMEngineering 10.000 - 10.000 228.351 66 200 PRJ20065443 GEOM NEW YORK DIVISION - SURFACING PROGRAM Engineering 2.900 2.900 5.800 231.251 67 201 PRJ20065454 RAIL NEW YORK DIV WEST - JOINT ELIMINATION Engineering 0.500 0.500 1.000 231.751 68 202 PRJ20065456 STA PENN STATION NEW YORK - FACILITIES UPGRADES Engineering 0.650 - 0.650 232.401



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2011



Cumulative GCAP

69 203 PRJ20073300 STA WASHINGTON UNION STATION - MARC PLATFORM IMPROVEEngineering - 4.000 4.000 232.401 70 204 PRJ20073302 STA BALTIMORE STATION-PLATFORM CANOPY/STAIRWAY IMPR Engineering - 2.000 2.000 232.401 71 205 PRJ20073305 STA BWI STATION - ELEVATOR INSTALLATION Engineering - 0.200 0.200 232.401 72 206 PRJ20075020 BGTI NEW ENGLAND DIV - BRIDGE TIMBER REPLACEMENT Engineering 0.250 - 0.250 232.651 74 208 PRJ20075026 BGUG CT107.35 LIEUTENANT RIVER - SCOUR PROTECTION Engineering 0.200 - 0.200 232.851 75 209 PRJ20075040 BLST NEW YORK DIVISION - VACUUM TRAIN PROGRAM Engineering 0.150 0.150 0.300 233.001 76 210 PRJ20075041 BLST WASHINGTON TO NEW YORK-SYSTEM UNDERCUTTING PR Engineering 1.100 - 1.100 234.101 77 211 PRJ20075049 CAT DAVIS TO BACON - CATENARY HARDWARE RENEWAL Engineering 0.100 - 0.100 234.201 78 212 PRJ20075055 CAT LINCOLN TO COUNTY - CATENARY HARDWARE RENEWAL T Engineering 0.200 0.200 0.400 234.401 79 213 PRJ20075056 CAT MORRIS TO HOLMES - CATENARY HARDWARE RENEWAL Engineering 0.100 0.100 0.200 234.501 80 214 PRJ20075061 CAT PENN STATION NEW YORK-CATENARY HARDWARE RENEW Engineering 0.175 - 0.175 234.676 81 215 PRJ20075068 CAT WINANS TO GROVE - CATENARY HARDWARE RENEWAL TRAEngineering 0.175 - 0.175 234.851 82 216 PRJ20075069 CAT WOOD INTERLOCKING - CATENARY HARDWARE RENEWAL Engineering 0.175 - 0.175 235.026 83 217 PRJ20075072 CETC PSCC NEW YORK - COMPUTER HARDWARE/SOFTWARE U Engineering 0.138 0.138 0.275 235.163 84 218 PRJ20075076 CULV MICHIGAN DISTRICT - CULVERTS UPGRADES Engineering 0.060 - 0.060 235.223 85 219 PRJ20075077 DRAN MID-ATLANTIC DIVISION - DRAINAGE IMPROVEMENTS Engineering 2.000 - 2.000 237.223 86 220 PRJ20075080 EQIR TRACK MAINTENANCE VEHICLES-EQUIPMENT ACQUISITIO Engineering 16.237 - 16.237 253.460 88 222 PRJ20075089 INRL NORTH PENN INTERLOCKING - INTERLOCKING RENEWAL Engineering 0.700 - 0.700 254.160 91 225 PRJ20075112 MOFE IVY CITY - S&I BUILDING LIGHTING IMPROVEMENTS Engineering 0.300 - 0.300 254.460 92 226 PRJ20075114 MOFW MIDWAY - ROOF REPLACEMENT Engineering 0.600 - 0.600 255.060 93 227 PRJ20075125 RAIL ALBANY LINE - INSULATED JOINT RENEWAL Engineering 0.080 - 0.080 255.140 94 228 PRJ20075129 RAIL NEW ENGLAND DIVISION - CURVE PATCH RAIL REPLACEME Engineering 0.250 - 0.250 255.390 95 229 PRJ20075130 RAIL NEW YORK TO NEWARK, NJ - CURVE PATCH RAIL Engineering 0.600 - 0.600 255.990 96 230 PRJ20075131 RAIL WASHINGTON TO NEW YORK-CURVE PATCH RAIL REPLACEEngineering 0.900 - 0.900 256.890 97 231 PRJ20075135 SIGP HARRISBURG LINE - SIGNAL POWER UPGRADES Engineering 0.175 - 0.175 257.065 98 232 PRJ20075147 STA CENTRAL DIVISION-STATION UPGRADES INCLUDING ADA Engineering 1.775 - 1.775 258.840 99 233 PRJ20075150 STA PENN STATION NEW YORK - ELEVATOR REPLACMENT Engineering 0.680 0.680 1.360 259.520

100 234 PRJ20075151 STA PENN STATION NEW YORK - ESCALATOR REPLACEMENT Engineering 1.000 1.000 2.000 260.520 101 235 PRJ20075158 STA WASHINGTON UNION STATION - PLATFORM IMPROVEMENT Engineering 0.750 - 0.750 261.270 102 236 PRJ20075159 STA WESTERN DIVISION - STATION IMPROVEMENTS Engineering 1.000 - 1.000 262.270 104 238 PRJ20075173 SUB MID-ATLANTIC DIV-PROTOTYPE CIRCUIT BREAKERS INSTAL Engineering 0.270 - 0.270 262.540 105 239 PRJ20075174 SUB MID-ATLANTIC SOUTH - SUBSTATION CONTROL HOUSE UPGEngineering 0.200 - 0.200 262.740 108 242 PRJ20075189 SYS ELECTRIC TRACTION - ET SYSTEM STANDARDS Engineering 0.130 - 0.130 262.870 109 243 PRJ20075190 SYS ELECTRIC TRACTION DESIGN REVIEW Engineering 0.500 - 0.500 263.370 110 244 PRJ20075193 SYS STRUCTURES FACILITIES - FUTURE DESIGN Engineering 2.000 - 2.000 265.370 111 245 PRJ20075194 SYS TRACK - FUTURE DESIGN Engineering 0.460 - 0.460 265.830 112 246 PRJ20075202 TIES NEW YORK DIVISION WEST - TIE/TIMBER PROGRAM Engineering 2.000 2.000 4.000 267.830 113 247 PRJ20075222 TURN "JO" INTERLOCKING - TURNOUT RENEWAL Engineering 1.040 1.040 2.080 268.870



$ Millions


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Cumulative GCAP

114 248 PRJ20075228 TURN SPRINGFIELD LINE - INTERLOCKING STEEL RENEWAL Engineering 0.200 - 0.200 269.070 116 250 PRJ20075234 XINR MICHIGAN LINE - REPLACE CROSSING PANNELS Engineering 0.350 - 0.350 269.420 117 251 PRJ20075246 INRL ATGLEN INTERLOCKING - INTERLOCKING RENEWAL Engineering 3.500 - 3.500 272.920 118 252 PRJ20075254 RAIL MID-ATLANTIC DIVISION - JOINT ELIMINATION Engineering 1.600 - 1.600 274.520 119 253 PRJ20075257 SIGP SEVERN TO BOWIE - SIGNAL POWER UPGRADES Engineering 0.500 - 0.500 275.020 120 254 PRJ20075259 STA 30TH STREET STATION - HVAC REPLACEMENT Engineering 0.350 - 0.350 275.370 121 255 PRJ20075262 STA PENN STATION NEW YORK - PLATFORM UPGRADES 1 THRU Engineering 0.300 - 0.300 275.670 122 256 PRJ20075263 STA WASHINGTON TERMINAL - INTERIOR IMPROVEMENTS Engineering 0.150 - 0.150 275.820 124 258 PRJ20075267 TIES B&P TUNNEL - BLOCK TIE/RAIL RENEWAL Engineering 2.300 - 2.300 278.120 125 259 PRJ20075268 TIES NEW ENGLAND DIVISION - CONCRETE TIE REPLACEMENT Engineering 4.000 - 4.000 282.120 126 260 PRJ20075269 TKRH PENN STATION NEW YORK - 1X/5A TRACK REPLACEMENT Engineering 0.200 - 0.200 282.320 127 261 PRJ20075273 TURN MID-ATLANTIC DIVISION - TURNOUT REPLACEMENT Engineering 2.000 - 2.000 284.320 128 262 PRJ20075278 XINR HARRISBURG LINE - PRIVATE GRADE CROSSING ELIMINAT Engineering 0.250 - 0.250 284.570 129 263 PRJ20075286 STA NEWARK, NJ STATION - PLATFORM/DRAINAGE/COMM DESIGEngineering - - - 284.570 130 264 PRJ20085003 ABS PARK TO LEAMAN - WIRE SIGNAL HOUSES FOR 261 Engineering 1.525 - 1.525 286.095 131 265 PRJ20085004 BGMS STRUCTURES - MOVABLE BRIDGE COMPONENT DESIGN Engineering 0.100 - 0.100 286.195 132 266 PRJ20085005 BGTI MID-ATLANTIC PA013.42/DE025.73 - BRG TIMBER REPLACEMEngineering 1.600 - 1.600 287.795 133 267 PRJ20085010 BGUG NEW ENGLAND DIV- BLST DECK BRG BALLAST RETAINER Engineering 0.100 - 0.100 287.895 135 269 PRJ20085021 BLST NEW ENGLAND DIVISION - SPOT UNDERCUTTING PROGRA Engineering 1.000 - 1.000 288.895 136 270 PRJ20085029 CAT SOUTH PENN INTERLOCKING - CATENARY HARDWARE REN Engineering 0.200 - 0.200 289.095 137 271 PRJ20085033 CAT MIDWAY TO FAIR - CATENARY HARDWARE RENEWAL TRAC Engineering 0.175 - 0.175 289.270 138 272 PRJ20085036 CAT BALTIMORE SUBDIV - KOUPLER SECTION BREAK REPLACEMEngineering 0.100 - 0.100 289.370 139 273 PRJ20085038 CAT ELMORA TO UNION - CATENARY HARDWARE RENEWAL TRA Engineering 0.065 0.065 0.130 289.435 142 276 PRJ20085046 FAST PSNY/PORTAL - HIGH DEGREE CRV PLATE/FASTENER REN Engineering 0.150 - 0.150 289.585 143 277 PRJ20085052 FREQ METUCHEN FREQUENCY CONVERTER - EQUIPMENT UPG Engineering 0.500 0.500 1.000 290.085 144 278 PRJ20085054 FREQ RICHMOND FREQUENCY CONVERTER - EQUIPMENT UPGREngineering 0.125 0.125 0.250 290.210 145 279 PRJ20085055 FREQ SUNNYSIDE YARD - CAPACITOR UPGRADE Engineering 0.250 0.250 0.500 290.460 146 280 PRJ20085063 INT ATTLEBRO - M3 SWITCH MACH REPLACEMENT Engineering - 0.250 0.250 290.460 149 283 PRJ20085080 POLE HOLMES TO SHORE - CATENARY POLE FOUNDATION UPG Engineering 0.900 0.900 1.800 291.360 151 285 PRJ20085085 RAIL SPRINGFIELD LINE - INSULATED JOINT RENEWAL Engineering 0.040 - 0.040 291.400 152 286 PRJ20085086 RAIL NEW ENGLAND DIVISON - INSULATED JOINT REPLACEMEN Engineering 0.200 - 0.200 291.600 153 287 PRJ20085087 RAIL NEW YORK DIV EAST - JOINT ELIMINATION Engineering 0.080 0.080 0.160 291.680 154 288 PRJ20085092 SIGP PRINCETON TO FAIR - SIGNAL POWER UPGRADES Engineering 0.125 0.125 0.250 291.805 155 289 PRJ20085096 STA WASHINGTON TERMINAL - WATER PRESSURE IMPROVEMENEngineering 0.100 - 0.100 291.905 156 290 PRJ20085114 SUB PENN INTERLOCKING - INTERLOCKING RATIONALIZATION Engineering 0.120 - 0.120 292.025 157 291 PRJ20085123 SUB NEW ENGLAND DIV - SUBSTATION LIGHTING UPGRADES Engineering 0.200 - 0.200 292.225 158 292 PRJ20085126 SUB ELECTRIC TRACTION SUBSTATION - RELAY UPGRADES Engineering 0.100 - 0.100 292.325 159 293 PRJ20085129 SUB BOSTON TO RHODE ISLAND-SUBSTATION 60 HZ REMOTE C Engineering - 0.500 0.500 292.325



$ Millions


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Cumulative GCAP

160 294 PRJ20085137 SUB MID-ATLANTIC SOUTH - SUBSTATION AS BUILT DOCUMENTAEngineering 0.050 - 0.050 292.375 161 295 PRJ20085141 SYS STRUCTURES BRIDGES/TUNNELS/WALLS - FUTURE DESIGN Engineering 0.800 - 0.800 293.175 162 296 PRJ20085142 SYS C&S LANCASTER SHOP EQUIPMENT PURCHASE/UPGRADE Engineering 0.500 - 0.500 293.675 163 297 PRJ20085143 TIES NEW YORK NORTH RIVER TUNNELS-TIE/TIMBER REPLACEMEngineering 2.000 2.000 4.000 295.675 164 298 PRJ20085145 TIES MID-ATLANTIC DIVISION - CONCRETE TIES REPLACEMENT Engineering 3.239 - 3.239 298.914 165 299 PRJ20085148 TKRH HELLGATE LN MP 9 TO 6-WOOD TIE/RAIL REPLACEMENT T Engineering 5.000 - 5.000 303.914 166 300 PRJ20085169 TURN MICHIGAN DISTRICT - TURNOUT REPLACEMENT Engineering 0.200 - 0.200 304.114 167 301 PRJ20085182 TIES NEW ORLEANS, LA - WOOD TIE REPLACEMENT Engineering 0.100 - 0.100 304.214 168 302 PRJ20085184 TKAP NORTHEAST CORRIDOR-WAYSIDE DETECTOR COMMUNIC Engineering 0.250 - 0.250 304.464 169 303 PRJ20085187 GEOM MICHIGAN DISTRICT - SURFACING PROGRAM Engineering 0.500 - 0.500 304.964 172 306 PRJ20085196 STA LANCASTER, PA STATION - STATION IMPROVEMENTS Engineering 0.800 0.200 1.000 305.764 173 307 PRJ20095000 3RD NEW YORK EAST RIVER TUNNEL/HAROLD - REPLACE 3RD R Engineering - 0.150 0.150 305.764 176 310 PRJ20095006 BGMS NJ006.10 PORTAL - RAIL LIFTER REPLACEMENT Engineering 0.050 0.050 0.100 305.814 177 311 PRJ20095012 BGUG CT080.59 BRANFORD BRIDGE REPLACMENT US RT1 Engineering - 3.000 3.000 305.814 181 315 PRJ20095020 BGUG MA220.42 MOTHER BROOK - TK 3 BALLAST DECK CONVER Engineering - 0.635 0.635 305.814 184 318 PRJ20095033 CAT HOLLY INTERLOCKING - CATENARY HARDWARE RENEWAL Engineering 0.200 - 0.200 306.014 185 319 PRJ20095034 CAT HOOK TO HOLLY - CATENARY HARDWARE RENEWAL Engineering 0.300 - 0.300 306.314 186 320 PRJ20095036 CAT PAOLI TO FRAZER - CATENARY HARDWARE RENEWAL Engineering 0.600 - 0.600 306.914 187 321 PRJ20095040 CULV ADAMS SUBDIV - CULVERT UPGRADES Engineering 0.250 - 0.250 307.164 188 322 PRJ20095045 FEN BALTIMORE SUBDIV - INSTALL SECURITY FENCE Engineering 3.100 - 3.100 310.264 190 324 PRJ20095048 FEN WASHINGTON UNION TERM - INSTALL SECURITY FENCE Engineering 0.090 - 0.090 310.354 191 325 PRJ20095052 INRL GROVE INTERLOCKING - INTERLOCKING RENEWAL Engineering 1.150 - 1.150 311.504 193 327 PRJ20095054 INT BALTIMORE SUBDIV - CHRYSLER RTU'S REPLACEMENT Engineering 0.025 - 0.025 311.529 194 328 PRJ20095063 MOFW PERRYVILLE M/W BASE - FACILITY UPGRADES Engineering 0.200 - 0.200 311.729 195 329 PRJ20095064 MOFW PROVIDENCE M/W BASE - HEADQUARTER UPGRADES Engineering 0.250 - 0.250 311.979 196 330 PRJ20095067 MOFW WILMINGTON M/W BASE - FACILITY UPGRADES Engineering 0.200 - 0.200 312.179 197 331 PRJ20095069 POLE BALTIMORE SUBDIV - CATENARY POLE UPGRADES Engineering 0.791 - 0.791 312.970 198 332 PRJ20095070 POLE PERRYVILLE SUBDIV - CATENARY POLE UPGRADES Engineering 1.552 - 1.552 314.522 199 333 PRJ20095071 RAD PENN STATION NEW YORK - POLICE RADIO REPEATER UPG Engineering 0.075 - 0.075 314.597 200 334 PRJ20095073 RAIL MID-ATLANTIC DIVISION - INSULATED JOINT REPLACEMENT Engineering 0.310 - 0.310 314.907 201 335 PRJ20095075 SIGP GRACE TO OAK - SIGNAL POWER SYSTEM UPGRADES Engineering 0.300 - 0.300 315.207 202 336 PRJ20095081 STA HARRISBURG LINE STATIONS - STATION IMPROVEMENTS Engineering 0.450 - 0.450 315.657 203 337 PRJ20095087 STIP RIDOT S COUNTY COMMUTER SERVICE-INFRASTRUCTURE Engineering - 16.000 16.000 315.657 204 338 PRJ20095090 SUB HAMILTON SUBSTATION - DESIGN/CONSTRUCTION Engineering 0.400 0.400 0.800 316.057 205 339 PRJ20095094 SUB NEW ENGLAND DIVISION - SUBSTATION UPGRADES Engineering 0.320 - 0.320 316.377 207 341 PRJ20095102 TIES NEW ENGLAND DIVISION - HEADBLOCK TIE REPLACEMENT Engineering 0.300 - 0.300 316.677 208 342 PRJ20095103 TIES WILMINGTON MOFE FACILITY - TIE/TIMBER REPLACEMENT Engineering 0.475 - 0.475 317.152 209 343 PRJ20095106 TKRH UNION I/L NJT CONNECTION - INSTALL RAIL/TIES Engineering 1.490 1.490 2.979 318.642



$ Millions


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Cumulative GCAP

212 346 PRJ20095121 WALL PERRYVILLE SUBDIV - RETAINING WALL UPGRADES Engineering 0.150 - 0.150 318.792 214 348 PRJ20095127 RAIL MICHIGAN DISTRICT - RAIL RENEWAL Engineering 4.000 - 4.000 322.792 215 349 PRJ20095129 XINR RENSSELAER YARD - CROSSING REPLACEMENT Engineering 0.100 - 0.100 322.892 217 351 PRJ20095137 INT NEW ENGLAND DIVISION - INTERLOCKING RTU UPGRADES Engineering 0.352 - 0.352 323.244 218 352 PRJ20095138 SUB UNION SUB 25A - SUBSTATION RELOCATION Engineering 0.700 - 0.700 323.944 219 353 PRJ20095139 DRAN SPRINGFIELD LINE - DRAINAGE IMPROVEMENTS DESIGN Engineering 0.200 - 0.200 324.144 220 354 PRJ20095140 CAT PHILADELPHIA ET TRANING FACILITY - UPGRADES Engineering 0.150 - 0.150 324.294 221 355 PRJ20095141 SUB MID-ATLANTIC DIVISION - BATTERY/CHARGER RENEWAL Engineering 0.100 - 0.100 324.394 222 356 PRJ20095143 TIES HELLGATE/EMPIRE - TIE/TIMBER RENEWAL Engineering 0.200 - 0.200 324.594 223 357 PRJ20095145 TURN HELLGATE/EMPIRE - INTERLOCKING STEEL Engineering 0.100 - 0.100 324.694 224 358 PRJ20095151 STA LANCASTER, PA STATION - C&S TRAINING FACILITY UPGRA Engineering 0.250 - 0.250 324.944 225 359 PRJ20095152 STA 30TH STREET STATION - ELEVATOR REPLACEMENT Engineering 0.500 - 0.500 325.444 230 364 PRJ20115005 TKRH CENTRAL DIVISION – TRACK REHABILITATION Engineering 3.700 - 3.700 329.144 235 369 PRJ20103202 ADA Compliance Engineering - 99.947 99.947 329.144 422 370 PRJ20095154 INRL BRIDGE INTERLOCKING - INTERLOCKING RENEWAL Engineering 0.300 - 0.300 329.444 424 372 PRJ20095158 INT CHICAGO HARRISON ST - SWITCH MACHINE UPGRADE Engineering - 1.044 1.044 329.444 426 374 PRJ20105004 WALL ZOO INTERLOCKING - BALLAST RETAINER UPGRADES Engineering 0.400 - 0.400 329.844 428 376 PRJ20105009 BGMS NJ008.50 DOCK BRG-UPGR CTRL LINE/EMGY BCKUP ENG/ Engineering 0.540 - 0.540 330.384 430 378 PRJ20105014 BGUG CT118.92 JORDAN`S COVE BRIDGE - SLOPE STABILIZATIO Engineering 0.400 - 0.400 330.784 437 385 PRJ20105030 BGUG RI149.47 PAWCATUCK RIVER - STRUCTURAL STEEL UPGR Engineering 0.175 - 0.175 330.959 438 386 PRJ20105031 BGUG RI150.59 PAWCATUCK RIVER - STRUCTURAL STEEL UPGR Engineering 0.200 - 0.200 331.159 448 396 PRJ20105049 SAFE NEW YORK EMPIRE LINE OVERBUILD - LIGHTING UPGRS Engineering 0.340 - 0.340 331.499 449 397 PRJ20105050 STA 30TH STREET STATION - CHILLER REPLACEMENT Engineering 0.500 - 0.500 331.999 451 399 PRJ20105052 STA ADAMS SUBDIVISION - NJT PLATFORM UPGRADES Engineering 0.090 - 0.090 332.089 452 400 PRJ20105056 TIES BOSTON SUBDIVISION - TIE/TIMBER PROGRAM Engineering 1.200 - 1.200 333.289 453 401 PRJ20105058 TKAP WASHINGTON TO BOSTON - RAIL LUBICATOR REPLACEME Engineering 0.400 - 0.400 333.689 455 403 PRJ20105061 TUN EMPIRE TUNNEL - LIGHTING UPGRADES Engineering 0.132 - 0.132 333.821 456 404 PRJ20105062 TUN EMPIRE TUNNEL - SHAFT HOUSE ELECTRICAL UPGR Engineering 0.100 - 0.100 333.921 462 410 PRJ20105077 EQIR ADVANCED TECHNOLOGY TRACK INSPECTION SYSTEM Engineering 0.300 - 0.300 334.221 464 412 PRJ20105080 GEOM AMTRAK SYSTEM - MUD SPOT ELIMINATION Engineering 0.260 - 0.260 334.481 465 413 PRJ20105081 GEOM AMTRAK SYSTEM - SURFACING PROGRAM DEVELOPMEN Engineering 0.400 - 0.400 334.881 466 414 PRJ20105084 RAIL HELLGATE/EMPIRE - RAIL RENEWAL Engineering 1.750 - 1.750 336.631 467 415 PRJ20105086 RAIL NEW YORK DIV WEST - INSULATED JOINT REPLACEMENT Engineering 0.200 - 0.200 336.831 469 417 PRJ20105088 RBED AMTRAK SYSTEM - ROADBED STABILITY UPGRADES Engineering 0.200 - 0.200 337.031 470 418 PRJ20105091 STIP NEW YORK EAST RIVER TUNNELS-RAIL/TIE REPL LINE 1/2 Engineering 0.750 - 0.750 337.781 471 419 PRJ20105092 STIP NEW YORK EAST RIVER TUNNELS-RAIL/TIE REPL LINE 3/4 Engineering - 3.500 3.500 337.781 472 420 PRJ20105094 TIES NEW ENGLAND DIVISION - TIMBER PROGRAM Engineering 0.380 - 0.380 338.161 473 421 PRJ20105095 TURN ADVANCED TECHNOLOGY TURNOUT DEVELOPMENT/DES Engineering 0.350 - 0.350 338.511



$ Millions


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Cumulative GCAP

474 422 PRJ20105096 TURN BOSTON SUBDIVISION (MBTA) - INTERLOCKING STEEL RE Engineering - 0.600 0.600 338.511 475 423 PRJ20105099 TURN NEW ENGLAND DIV - TURNOUT REPLACEMENT Engineering 0.300 - 0.300 338.811 476 424 PRJ20105103 TURN SOUTHAMPTON ST YARD BOSTON - TURNOUT REPLACEM Engineering 0.450 - 0.450 339.261 477 425 PRJ20105104 TURN TOWER ONE - TURNOUT REPLACEMENT Engineering - 1.520 1.520 339.261 478 426 PRJ20105105 XINR NEW ENGLAND DIVISION - CROSSING UPGRADES Engineering 0.250 - 0.250 339.511 480 428 PRJ20115009 RAD OFF NORTHEAST CORRIDOR - RADIO BASE STATION REPLAEngineering 0.100 - 0.100 339.611 489 437 PRJ20115019 SAFE ELECTRIC TRACTION - PURCHASE VOLTAGE SENSING DEVEngineering 0.500 - 0.500 340.111 492 440 PRJ20115022 INRL WOOD INTERLOCKING - INTERLOCKING RENEWAL Engineering 3.300 - 3.300 343.411 497 445 PRJ20115029 SUB WAVERLY SUB 40 - BRKR/LIGHTING/FENCE/BAT CHGR Engineering 0.300 - 0.300 343.711 499 447 PRJ20115031 SUB KEARNY SUB 41 - VACUUM BREAKER INSTALLATION Engineering 0.100 - 0.100 343.811 500 448 PRJ20115032 SUB SUNNYSIDE YARD SUB 44 - SUBSTATION IMPROVEMENTS Engineering 0.320 - 0.320 344.131 501 449 PRJ20115033 SUB PENN STATION SUB 43 31ST - SUBSTATION IMPROVEMENTSEngineering 0.100 - 0.100 344.231 502 450 PRJ20115034 SUB PENN STATION SUB 43 7TH AVE - SUBSTATION IMPROVEME Engineering 0.100 - 0.100 344.331 504 452 PRJ20115036 SUB MILLSTONE SUB 37 - SUBSTATION IMPROVEMENTS Engineering 0.375 - 0.375 344.706 505 453 PRJ20115037 SUB MONMOUTH SUB 36 - SUBSTATION IMPROVEMENTS Engineering 0.330 - 0.330 345.036 506 454 PRJ20115038 SUB PRINCETON SUB 35 - SUBSTATION IMPROVEMENTS Engineering 0.340 - 0.340 345.376 507 455 PRJ20115039 SUB MORRISVILLE SUB 34 - SUBSTATION IMPROVEMENTS Engineering 0.250 - 0.250 345.626 508 456 PRJ20115041 SUB CORNWELLS SUB 32 - SUBSTATION IMPROVEMENTS Engineering 0.200 - 0.200 345.826 517 465 PRJ20115058 CAT BOWIE INTERLOCKING - CATENARY HARDWARE RENEWAL Engineering 0.375 - 0.375 346.201 521 469 PRJ20115063 STA 30TH STREET STATION - FIRE PUMP REPLACEMENT Engineering 0.150 - 0.150 346.351 522 470 PRJ20115070 SAFE EAST RIVER TUNNELS LINE 1/2-INSTALL FIRE EXTINGUISH Engineering 0.175 - 0.175 346.526 524 472 PRJ20115071 SAFE EAST RIVER TUNNELS LINE 3/4-INSTALL FIRE EXTINGUISH Engineering - 0.175 0.175 346.526 525 473 PRJ20115064 STA 30TH STREET STATION - ENERGY/H20 MANAGEMENT SYS Engineering 0.200 - 0.200 346.726 530 478 PRJ20115025 SWHT SHORE LINE (NED) - SWITCH HEATER IMPROVEMENTS Engineering 0.750 - 0.750 347.476 532 480 PRJ20115040 SUB EDGELY SUB 33 - SUBSTATION IMPROVEMENTS Engineering 0.370 - 0.370 347.846 535 483 PRJ20115044 TRN GUNPOW TO RIVER - 119 TRANSMISSION HARDWARE AND Engineering 0.700 - 0.700 348.546 541 489 PRJ20115061 STA 30TH STREET STATION - HVAC ELECTRICAL/CTRL UPGR Engineering 0.600 - 0.600 349.146 236 490 PRJ20097422 Equipment Acquisitions Mechanical - 28.390 28.390 349.146 237 491 PRJ20113044 WiFi - Systemwide Marketing & Product Mgmt 8.572 - 8.572 357.718 238 492 PRJ20082575 Strategic Asset Mgmt Enterprise (SAM) Information Technology 78.587 4.013 82.600 436.305 239 493 PRJ20107207 CUS Imrpovements Transportation 8.427 16.873 25.300 444.732 240 494 PRJ20067405 Acela Upgrades & Modifications Mechanical 1.149 1.826 2.975 445.880 242 496 PRJ20073062 Amtrak E-Ticketing Initiative Marketing & Product Mgmt 12.400 - 12.400 458.280 243 497 PRJ20080013 30th Street Station - Understreet Garage Reconstru Real Estate 3.000 - 3.000 461.280 244 498 PRJ20037007 SUNNYSIDE YARD OIL/PCB REMED Environmental 2.805 0.072 2.877 464.085 245 499 PRJ20037006 Penn Station Track Remediation Environmental 0.300 - 0.300 464.385 246 500 PRJ20037000 Asbestos, Lead Paint and Mold Abatements Environmental 0.490 - 0.490 464.875 247 501 PRJ20097007 WILMINGTON MOFE FACILITY-PCB/OTHER CONTAMINANTS RE Environmental 0.355 0.003 0.358 465.230



$ Millions


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Cumulative GCAP

248 502 PRJ20117010 Prevention of Groundwater Contamination Environmental 0.314 - 0.314 465.544 249 503 PRJ20077016 Cedar Hill Remedation Environmental 0.060 0.002 0.063 465.604 250 504 PRJ20107405 Acela Overhaul Mechanical 9.205 8.195 17.400 474.809 251 505 PRJ20047419 AEM-7 DC Locomotive Overhaul Mechanical 1.800 - 1.800 476.609 252 506 PRJ20067402 AEM-7 AC Locomotive Overhauls Mechanical 5.473 0.247 5.720 482.082 254 508 PRJ20057407 HHP-8 Locomotive Overhaul Mechanical 0.708 0.007 0.715 482.790 255 509 PRJ20097417 CAB CAR OVERHAUL - LEVEL 1 Mechanical 2.180 - 2.180 484.970 256 510 PRJ20107205 NYP Penn Station Improvements Transportation 3.148 0.019 3.167 488.119 257 511 PRJ20082501 Rail Incident Management System Transportation 1.600 - 1.600 489.719 258 512 PRJ20082564 AMFLEET I COACH OVERHAUL LEVEL 1 Mechanical 23.545 - 23.545 513.264 259 513 PRJ20077405 Amfleet I Café/Club Overhaul Mechanical 4.825 - 4.825 518.089 260 514 PRJ20097421 Diesel Locomotive LCPM Mechanical 12.259 16.173 28.432 530.348 261 515 PRJ20097405 HORIZON COACH OVERHAUL - LEVEL 2 Mechanical 8.575 - 8.575 538.923 262 516 PRJ20067401 Talgo Equipment Modifications Mechanical 0.700 - 0.700 539.623 263 517 PRJ20082524 Auto Carrier Modifications Mechanical 0.376 0.324 0.700 539.999 264 518 PRJ20047440 Amfleet II Coach Overhaul Level 1 Mechanical 9.045 - 9.045 549.044 266 520 PRJ20067411 Viewliner Sleeper - Overhaul Mechanical 6.720 - 6.720 555.764 267 521 PRJ20097410 Surfliner Cab Car Overhaul Mechanical 0.500 - 0.500 556.264 268 522 PRJ20097404 Surfliner Coach Overhaul Mechanical 1.470 - 1.470 557.734 269 523 PRJ20097413 Surfliner Custom Coach Overhaul Mechanical 0.500 - 0.500 558.234 270 524 PRJ20097414 Surfliner Café Overhaul Mechanical 0.500 - 0.500 558.734 271 525 PRJ20099606 PURCHASE OF WHEEL CHAIR LIFTS Transportation 0.546 0.004 0.550 559.280 272 526 PRJ20057422 Superliner 1 Coach Overhaul Mechanical 7.188 8.932 16.120 566.469 273 527 PRJ20037429 Superliner I Sleeper Overhaul - Level 3 Mechanical (0.522) 8.022 7.500 565.947 274 528 PRJ20057418 Superliner 1 Lounge Overhauls Mechanical 2.272 - 2.272 568.219 275 529 PRJ20037436 Superliner II Coach Overhaul Mechanical 5.855 - 5.855 574.074 276 530 PRJ20037434 Superliner II Sleeper Overhaul Mechanical 1.089 - 1.089 575.163 277 531 PRJ20037438 Superliner II Trans Sleeper Dorm Overhaul Mechanical 3.630 - 3.630 578.793 278 532 PRJ20037435 Superliner II Lounge Overhaul Mechanical (0.004) 0.004 - 578.790 279 533 PRJ20037437 Superliner II Diner Overhaul Mechanical 0.951 (0.001) 0.950 579.740 280 534 PRJ20079876 Superliner Diner Lounge Overhaul Mechanical 3.440 - 3.440 583.180 281 535 PRJ20097407 Horizon Café Overhaul Mechanical 1.025 - 1.025 584.205 282 536 PRJ20077406 Locomotive Video Cameras/Train Communications Mechanical 1.047 2.253 3.300 585.253 283 537 PRJ20097415 RELIABILITY CENTER IMPROVEMENTS Mechanical 0.500 - 0.500 585.753 284 538 PRJ20082566 Locomotive Health Monitoring & Analysis System Mechanical 0.662 0.038 0.700 586.415 285 539 PRJ20103100 Reservation Ecosystem Next Generation Program Information Technology 14.191 1.009 15.200 600.606 286 540 PRJ20047402 LOCOMOTIVE MANDATORY PROGRAMS Mechanical 1.319 0.181 1.500 601.925 288 542 PRJ20049801 Support Equipment Transportation 3.313 0.357 3.670 605.238



$ Millions


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Cumulative GCAP

289 543 PRJ20073301 MARC Jt Benefit Projects Policy and Development - 6.086 6.086 605.238 290 544 PRJ20079857 POS/Eatec Upgrade Marketing & Product Mgmt 7.354 0.500 7.854 612.592 291 545 PRJ20047401 Car Mandatory Programs Mechanical 0.005 0.395 0.400 612.597 292 546 PRJ20033116 Work Management System Mechanical 0.957 0.243 1.200 613.554 293 547 PRJ20103048 Commissary Facility Projects Marketing & Product Mgmt - 0.015 0.015 613.554 294 548 PRJ20043090 Vehicle Replacement Procurement 9.687 0.640 10.327 623.241 295 549 PRJ20097423 Engineering Modification Project Mechanical 0.410 0.090 0.500 623.651 296 550 PRJ20059816 Station Signage Transportation 0.911 0.008 0.919 624.562 297 551 PRJ20103049 Food & Beverage Support Equipment Marketing & Product Mgmt - 0.039 0.039 624.562 298 552 PRJ20093301 STATION DEVELOPMENT AND ADA REQUIREMENTS Policy and Development - 0.076 0.076 624.562 299 553 PRJ20103246 Station Hardening Amtrak Police Department - 1.801 1.801 624.562 300 554 PRJ20080016 Migration/Replacement LMS Application Information Technology/TRANSP 0.627 1.073 1.700 625.189 301 555 PRJ20082601 SECURITY CANINE PROCUREMENT AND TRAINING Amtrak Police Department - 0.428 0.428 625.189 302 556 PRJ20103245 Police K9 Expansion Amtrak Police Department - 1.250 1.250 625.189 303 557 PRJ20103054 Employee Identity Protection – Rail Pass Automatio Marketing & Product Mgmt - (0.002) (0.002) 625.189 304 558 PRJ20099605 CCTV and Communications Amtrak Police Department 0.470 1.879 2.349 625.659 305 559 PRJ20103243 CCTV and Communications Amtrak Police Department - 2.401 2.401 625.659 307 561 PRJ20099610 BRIDGE AND TUNNEL - SECURITY IMPROVEMENTS Amtrak Police Department 0.444 1.774 2.218 626.103 308 562 PRJ20103242 Bridge and Tunnel - Security Improvements Amtrak Police Department - 1.801 1.801 626.103 309 563 PRJ20103050 Commissary Support Vehicles Marketing & Product Mgmt - - - 626.103 310 564 PRJ20037428 Baggage Car Overhaul Mechanical 3.677 0.148 3.825 629.780 311 565 PRJ20073303 VRE Jt Benefit Projects Policy and Development - 0.690 0.690 629.780 312 566 PRJ20117206 Passenger Information Systems Transportation - - - 629.780 313 567 PRJ20099616 Security Training Amtrak Police Department - 1.450 1.450 629.780 314 568 PRJ20099601 ACCESS CONTROL SYSTEM EXPANSION Amtrak Police Department 0.141 0.563 0.703 629.921 317 571 PRJ20093094 MAT HANDLING EQUP FACILITIES STATE OF GOOD REPAIR Procurement 0.661 - 0.661 630.582 318 572 PRJ20077401 High Speed Facility Mechanical 0.195 0.005 0.200 630.776 319 573 PRJ20047413 S&I/Running Repair - NY Mechanical 0.950 - 0.950 631.726 320 574 PRJ20107203 Club Acela Modifications Transportation 0.003 - 0.003 631.729 321 575 PRJ20113222 Sacramento Valley Station – Service Tunnel Policy and Development (0.330) - (0.330) 631.399 322 576 PRJ20103244 Security and Protection Interoperability (SPI) Amtrak Police Department - 1.000 1.000 631.399 323 577 PRJ20093001 CHICAGO UNION STATION - STEAM PLANT REPLACEMENT ST Chief Financial Officer 1.050 0.000 1.050 632.449 324 578 PRJ20103004 Install High Efficiency Lighting at Mechanical Fac Chief Financial Officer 2.184 (0.084) 2.100 634.633 325 579 PRJ20099612 AMTRAK POLICE DEPARTMENT PERSONAL PROTECTION EQUIP Amtrak Police Department 0.104 0.417 0.521 634.737 327 581 PRJ20103221 Surfliner Route - Carlsbad Double Track Policy and Development 10.117 2.057 12.174 644.853 328 582 PRJ20099615 STATION ACTION PLAN TESTING AND IMPLEMENTATION Amtrak Police Department - 1.500 1.500 644.853 329 583 PRJ20099617 STATION ACTION TEAM (SAT) TOOL KIT Amtrak Police Department - 1.638 1.638 644.853 330 584 PRJ20099611 SUBSTATION - SECURITY IMPROVEMENTS Amtrak Police Department 0.050 0.201 0.251 644.903



$ Millions


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Cumulative GCAP

331 585 PRJ20047414 SI Running Repair-South Mechanical 0.714 0.036 0.750 645.617 332 586 PRJ20069803 Train Equipment Management System Transportation 1.138 0.162 1.300 646.755 333 587 PRJ20103241 Special Operations Division Equipment Amtrak Police Department - 0.500 0.500 646.755 334 588 PRJ20099607 SECURITY SYSTEMS - FUTURE DESIGNS Amtrak Police Department - 0.300 0.300 646.755 335 589 PRJ20047415 SI Running Repair-WAS Mechanical 0.500 - 0.500 647.255 336 590 PRJ20103047 ARAMARK Food & Beverage Investment Marketing & Product Mgmt 0.082 (0.000) 0.082 647.337 337 591 PRJ20103053 Call Center Technology Efficiencies Program Marketing & Product Mgmt 0.618 (0.068) 0.550 647.955 339 593 PRJ20047416 SI Running Repair-Central Mechanical 0.463 0.137 0.600 648.419 340 594 PRJ20080115 PC and Field Sys State of Good Repair Information Technology 3.991 0.009 4.000 652.410 341 595 PRJ20103042 Amtrak.com Enhancements & Upgrades Marketing & Product Mgmt 1.301 - 1.301 653.710 343 597 PRJ20047417 SI Running Repair-West Mechanical 0.750 - 0.750 654.460 344 598 PRJ20079891 QUIK TRAK ENHANCEMENTS Marketing & Product Mgmt 0.555 1.144 1.699 655.015 347 601 PRJ20113221 Design Improvements at Washington Terminal Policy and Development 0.500 - 0.500 655.515 348 602 PRJ20099614 PUBLIC SECURITY AWARENESS PROGRAM Amtrak Police Department - 1.015 1.015 655.515 349 603 PRJ20093002 CREDIT CARD INTERCHANGE REDUCTION COSTS Chief Financial Officer (0.300) - (0.300) 655.215 350 604 PRJ20103001 Lighting and HVAC Control Project Chief Financial Officer 0.101 0.004 0.105 655.316 351 605 PRJ20100005 Ivy City Steam Plant Demolition/Abatement Environmental 0.159 - 0.159 655.475 353 607 PRJ20103055 Reservation Systems Next Generation - Stations & C Marketing & Product Mgmt (0.083) - (0.083) 655.392 354 608 PRJ20080112 Appl Server and Storage - State of Good Repair Information Technology - 0.021 0.021 655.392 356 610 PRJ20047422 Wilmington Facility Improvements Mechanical 0.014 0.186 0.200 655.406 357 611 PRJ20047436 Beech Grove Shops Facility Improvement Mechanical (0.004) 0.004 - 655.402 359 613 PRJ20047444 Bear Facility Improvements Mechanical (0.017) 0.017 - 655.385 360 614 PRJ20103117 Train Communication Enterprise (TCE) Service Imple Information Technology (0.041) - (0.041) 655.344 361 615 PRJ20103114 CLAIMS Enhancements Information Technology - 0.038 0.038 655.344 362 616 PRJ20090015 OPERATIONS DEPARTMENT - CONSOLIDATED DASHBOARD Chief Operating Officer (0.033) - (0.033) 655.312 364 618 PRJ20082542 SAP Employee Information Mgmt (EIM) Information Technology 0.157 - 0.157 655.468 369 623 PRJ20107012 Heartland Flyer Bio-Diesel Grant Environmental - 0.071 0.071 655.468 378 632 PRJ20097017 BEECH GROVE FACILITY - WASTEWATER TREATMENT SYS RE Environmental 2.350 - 2.350 657.818 381 635 PRJ20103101 Company Wide Application Integration Information Technology 0.218 (0.047) 0.171 658.036 382 636 PRJ20117201 Station Emergency Improvements Transportation 1.411 0.009 1.420 659.448 383 637 PRJ20103116 Employee Communications Portal Information Technology - (0.008) (0.008) 659.448 385 639 PRJ20103041 Timetable Automation Marketing & Product Mgmt 0.109 - 0.109 659.557 390 644 PRJ20080114 Network Redesign and Expansion Information Technology 1.066 2.437 3.503 660.622 403 657 PRJ20113103 Enterprise Data Warehouse Information Technology 3.265 - 3.265 663.887 404 658 PRJ20103107 Enterprise Project Accounting Management Information Technology 0.067 0.049 0.116 663.954 406 660 PRJ20103110 Marketing & Product Mgtm Information & Reporting Information Technology - (0.062) (0.062) 663.954 407 661 PRJ20113245 Intelligence Support Phase II Amtrak Police Department - 0.704 0.704 663.954 409 663 PRJ20093115 IT Service Reliability Monitoring Information Technology 0.001 (0.000) 0.001 663.955



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421 675 PRJ20113049 Service Fees - Phase 2 Marketing & Product Mgmt 0.493 - 0.493 664.448 677 PRJ20103010 Equipment Pool Committee Chief Financial Officer - 1.575 1.575 664.448 680 PRJ20113250 DHS2010 Operational Packages Amtrak Police Department - 0.600 0.600 664.448 681 PRJ20113251 DHS2010 Communications Control Center Amtrak Police Department - 0.500 0.500 664.448 682 PRJ20113252 DHS2010 Infrastructure Protection Amtrak Police Department - 0.500 0.500 664.448 683 PRJ20113253 DHS2010 Planning and Assessments Amtrak Police Department - 0.300 0.300 664.448 684 PRJ20113254 DHS2010 Training and Public Awareness Amtrak Police Department - 0.100 0.100 664.448 685 PRJ20117405 Amfleet II Diner Overhaul Level 1 Mechanical 1.855 - 1.855 666.303 686 PRJ20080096 Electric Locomotive Replacement Mechanical - 107.150 107.150 666.303 687 PRJ20097419 SUPERLINER I LOUNGE OVERHAUL - LEVEL 1 Mechanical 0.440 - 0.440 666.743 688 PRJ20107421 Superliner II Sleeper Overhaul – Level 1 Mechanical 0.440 - 0.440 667.183 689 PRJ20117406 Superliner II Coach Overhaul Mechanical 0.880 - 0.880 668.063 690 PRJ20097204 LOCOMOTIVE/TRAIN SIMULATOR UPGRADES Transportation 0.305 - 0.305 668.368 691 PRJ20107215 Conductor Certification Transportation 0.127 0.007 0.133 668.495 692 PRJ20107221 CETC/On Time Performance Support Project Transportation 0.025 - 0.025 668.520 693 PRJ20069805 TDRS Transportation 0.250 - 0.250 668.770 694 PRJ20107209 Customs/Vancouver Station Improvements Transportation 0.165 - 0.165 668.935 695 PRJ20107224 Fuel Tank Management System Transportation 0.450 - 0.450 669.385 696 PRJ20107225 PSCC Fire Alarm System Panel Transportation 0.601 - 0.601 669.986 697 PRJ20107202 Surfliner Car Modifications Transportation 0.124 0.026 0.150 670.110 698 PRJ20117207 GE Event Recorders Transportation 0.165 - 0.165 670.275

PRJ20113255 Wilmington Station Camera Initiation Amtrak Police Department 0.100 - 0.100 670.375 PRJ20112575 SAM 2.0 Information Technology 2.500 - 2.500 672.875

PRJ20082504 SAFETY INFORMATION SYSTEM REPLACEMENT Information Technology (0.005) - (0.005) 672.870 PRJ20103213 30th St. Station - food court improvements Real Estate - 0.003 0.003 672.870 PRJ20093080 Acela WiFi Marketing & Product Mgmt - 0.034 0.034 672.870 PRJ20073080 Passenger Information Display Systems (PIDS) Demon Marketing & Product Mgmt 0.001 - 0.001 672.871 PRJ20079850 Customer Services Quality Assurance Program Marketing & Product Mgmt - 0.016 0.016 672.871 PRJ20093079 Passenger Information Display Signs (MARC) Marketing & Product Mgmt - (0.008) (0.008) 672.871 PRJ20103076 eWorkforce Management (eWFM) Upgrades Marketing & Product Mgmt (0.067) - (0.067) 672.805 PRJ20082555 DHS 2007 TSGP Amtrak Police Department - 1.363 1.363 672.805 PRJ20037011 Beech Grove Pollution Prevention Environmental 0.000 - 0.000 672.805 PRJ20097003 New York Division Hazardous Material Storage Environmental 0.002 - 0.002 672.806 PRJ20057408 Amfleet I Coach Overhaul Level 3 Mechanical (0.000) - (0.000) 672.806 PRJ20057423 Amfleet II Coach Overhaul Level 3 Mechanical (0.002) - (0.002) 672.805 PRJ20067400 F40 Cab/Baggage Locomotive Overhauls Mechanical - 0.060 0.060 672.805 PRJ20067417 Superliner 1 Diner Overhauls Mechanical - 0.331 0.331 672.805 PRJ20079871 SUPERLINER I SLEEPER OVERHAUL Mechanical (0.000) - (0.000) 672.805



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PRJ20097418 SUPERLINER II DINER OVERHAUL - LEVEL 1 Mechanical (0.000) - (0.000) 672.805 PRJ20107406 Superliner II Trans Sleeper Dorm Overhaul Mechanical - 0.001 0.001 672.805 PRJ20067420 Heritage Diner Overhauls Mechanical - 0.009 0.009 672.805 PRJ20082523 CRACKED WHEEL DETECTOR Mechanical - 0.102 0.102 672.805 PRJ20082507 MOBILE DATA MANAGEMENT Mechanical (0.166) - (0.166) 672.639 PRJ20117407 Amtrak/MARC Joint Program-WAS Mechanical - 0.724 0.724 672.639 PRJ20113053 Northern California Wi-Fi Marketing & Product Mgmt - 3.750 3.750 672.639

Grand Total 672.64 469.66 1,142.29


FY09 FY10 FY11

Actual ActualRevised

Budget/Goal

KPIsRASM - Core Revenue per Seat Mile (a) $0.151 $0.160 $0.167CASM - Core Expenses per Seat Mile (b) $0.204 $0.207 $0.221Core (NTS) Cost Recovery Ratio (c) $0.742 77.5% 75.5%Ridership (000's) 27,167 28,717 29,551 Passenger Miles per total core employee (000's) (d) 29 31 31 On-Time Performance (Endpoint) 80.4% 79.4% 85.0%Customer Satisfaction Index 82 82 84Safety Ratio 1.6 1.9 - Host Railroad Performance (e) 1,044 934 900

Other IndicatorsSeat Miles (000's) 12,060,661 12,386,295 12,389,136 Passenger Miles (000's) 5,897,509 6,332,074 6,477,584 Train Miles (000's) 37,150 37,439 37,477 Average Load Factor 48.9% 51.1% 52.3%Core diesel gallons per train mile (f) 2.2 2.3 2.3Seat Miles per total core employee (000's) (g) 60 62 59 Customer Injuries 1,966 1,814 n/aEquipment - % of Units out of Service: Locomotive Fleet 17.2% 17.0% n/a Passenger Fleet 13.3% 11.7% n/aUnadjusted Ticket Revenue ($000's) $1,599,468 $1,742,991 $1,809,648Average Ticket Yield $0.2712 $0.2753 $0.2794Average Ticket Price $58.88 $60.70 $61.24Core Revenue per Train Mile (h) $53.86 $57.60 $60.15Core Expenses per Train Mile (i) $69.63 $72.14 $79.22Total Operating Ratio (j) 1.51 1.50 1.52 Total Cost Recovery Ratio (k) 66.3% 66.8% 65.7%Average cost per gallon of diesel (l) $1.85 $2.24 $2.28

F&B Metrics(3)Total F&B Revenue (000's) $8,535 $7,135 ($500)Total F&B Expenses (000's) $22,794 $19,422 ($64)F&B Contribution/(Loss) (000's) ($14,259) ($12,287) ($565)F&B Cost Recovery Ratio 37% 37% -2%F&B Revenue per Rider $4.93 $4.14 ($0.50)F&B Cost per Rider $13.17 $11.28 $0.56

Notes:(a) This is calculated as NTS Total Core Revenue divided by Available Seat Miles to be consistent with the KPI's.(b) This is calculated as NTS Total Core Expense less Depreciation and non-cash OPEB's divided by Available Seat Miles.(c) This is calculated as RASM divided by CASM.(d) Average monthly Passenger Miles divided by year-end headcount.(e) Average monthly minutes of delay per ten thousand Train Miles.(f) This is calculated as Total Diesel Gallons excluding those used for commuter services. FY08 figure differs from that contained in the FY09 Audited

Metrics submitted as part of the Monthly Performance Report(g) Average monthly Seat Miles divided by year-end headcount.(h) This is calculated as Total Core Revenue divided by Total Train Miles.(i) This is calculated as Total Core Expense less Depreciation and non-cash OPEB's divided by Total Train Miles.(j) This is calculated as Total Operating Expenses by Total Operating Revenue.(k) This is calculated as Total Operating Revenue divided by Total Operating Expenses.(l) This includes net Fuel Hedge.(1) Unless otherwise noted, FY08 statistics are from the FY09 Audited Metrics submitted as part of the Monthly Performance Report.(2) Variances may not foot due to rounding.

Summary MetricsFY09 - FY11 Summary Metrics

Appendix

Amtrak AmtrakFY11RevisedBudgetand ComprehensiveBusinessPlan3-FINAL

Documents

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