Quarterly Review Report – 4th Quarter ‘11

Table of Contents Executive Summary ...... 2 Status of ESA Budget and Schedule ...... 2 Highlights and Issues ...... 5 Active Construction Contracts Summary ...... 7 Active Projects – Manhattan ...... 10 Manhattan Tunnels Excavation (CM009) ...... 10 Manhattan Structures Part 1 (CM019) ...... 12 Manhattan – MNR F/A Support (FMM19) ...... 14 GCT Expansion Joint Repairs and Structural Closures (CM002) ...... 15 44th St. Demolition & Construct Fan Plant Structure & 245 Park Ave. Entrance (CM004) ...... 17 50th St. Vent Facility (CM013) ...... 19 Vertical Circulation - Escalators & Elevators (VM014) ...... 21 GCT Concourse & Facilities Fit-Out Early Work (CM014A) ...... 22 Active Projects – Queens ...... 24 Queens Bored Tunnels and Structures (CQ031) ...... 24 Plaza Substation and Queens Structures (CQ032) ...... 26 Northern Boulevard Crossing (CQ039) ...... 28 Harold Structure Part 1 and GO2 Substation (CH053) ...... 30 Harold Structures – Part 2A (CH054A)...... 32 Harold Stage 1 – Amtrak Force Account (FHA01) ...... 34 Harold Early Stage 2 – Amtrak Force Account (FHA02) ...... 36 Harold Stage 1 – LIRR Force Account (FHL01) ...... 38 Harold Early Stage 2 – LIRR Force Account (FHL02) ...... 40 Procure Harold Materials – Stage 2 (VHA/L02) ...... 42 Harold and Point CILs – (VH051 Part 1) ...... 43 Harold Tower Supervisory Control System (VH051 Part 2) ...... 45 Summary of Completed Contracts ...... 47 Contract Packaging Plan – Rev. 9.0 ...... 49 Summary Program Schedule...... 50 Funding and Budget ...... 52 Project Budget Summary (As of Dec 31, 2011) ($ in thousands) ...... 52 Project Funding Status (As of Dec 31, 2011) ...... 53 Status of Project Contingency ...... 54 1st Quarter 2012 - Look Ahead ...... 56 Design ...... 56 Grand Central Terminal ...... 57 Railroad Systems ...... 57 Operational Readiness/LIRR Start Up ...... 57 Construction ...... 57 Budget and Finance ...... 59 Executive Level Project Execution Plan ...... 59 Quality ...... 59 Methods and Procedures ...... 59 Safety ...... 59 Site and Systems Security ...... 59 Real Estate ...... 59 Public Outreach ...... 60 Harold Interlocking – NEC Congestion Relief Project and Regional Investments ...... 61

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Quarterly Review Report – 4th Quarter ‘11

Executive Summary Status of ESA Budget and Schedule BUDGET TOTAL (millions) Budget Awards Invoiced Paid $ 7,328.0 $ 4,663.0 $ 3,582.8 $ 3,396.0

% Budget 64% 49% 46% % Awards 77% 73% Note: The budget and schedule reflect the September 2009 rebaseline as approved by the MTA Board

CONSTRUCTION ONLY Budget Awards* Invoiced Paid (millions) $ 5,570.1 $ 3,433.8 $ 2,407.3 $ 2,257.5

% Budget 62% 43% 41% % Awards 70% 66%

*Awards reflect current contract values. FFGA Sept 09 CONTINGENCY (millions) Baseline Baseline Current $ 855 $424 $452

26 contracts valued at $478.0 million COMPLETED CONTRACTS Queens Instrumentation (CS810) Contracts Completed This Quarter F Interlocking CIH (FHA62) ACTIVE CONTRACTS 21 contracts valued at $2.766 billion Contracts Awarded This Quarter GCT Concourse & Facilities Fit-out Early Work (CM014A)

Manhattan Structures Part 2 (CM012) 55th St Vent Plant Facility (CM013A) 2012 PLANNED AWARDS Loop and T Interlocking CIL (VQ065) Harold Structures Part 3 (CH057) System Packages 1, 2 and 3 PROJECT PROGRESS Total Project Percent Complete 49.0% Design Percent Complete 95.7%*

st Three contracts achieving 60% submittal – Loop Interlocking 1 QTR ‘12 DESIGN WORK PLAN CIL Catenary (FQA65), Amtrak Harold Stage 4-Catenary INCLUDES: (FHA04), LIRR Harold Stage 4-Force Account (FHL04) One contract achieving 90% submittal – Mid-Day Storage Yard Facility (CQ033) Five contracts achieving 100% submittal – Amtrak Harold Stage 2-Force Account (FHA02), Amtrak Harold Stage 3- Force Account (FHA03), Loop Interlocking CIL – Amtrak Force Account (FQA65), Harold Structures Part 3 (CH057), GCT Concourse & Facilities Fit-out PH 2 (CM014B) *Design Percent Complete has been reduced from last quarter’s report due to the adjustment of contract value against work completed.

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Quarterly Review Report – 4th Quarter ‘11

Project Progress Based on Earned Value

Overall % Complete Construction % Complete Soft Cost % Complete Engineering % Complete Engineering + Construction % Complete 100% 100% 100% 100% 100% 100.0% 90% 90% 90% 95.7% 90% 90% 80% 80% 80% 80% 80% 70% 70% 70% 70% 70% 60% 64.5% 60% 60% 60% 64.8% 60% 62.7% 62.4% 50% 50% 50% 50% 50% 48.9% 47.2% 51.2% 40% 40% 40% 40% 40% 43.2% 30% 30% 30% 30% 30% 20% 20% 20% 20% 20% 10% 10% 10% 10% 10% 0% 0% 0% 0% June '09 Plan Actual 0% June '09 Plan Actual June '09 Plan Actual June '09 Plan Actual June '09 Plan Actual Project Budget Engineering + Construction Budget Soft Cost Budget Total Budget Engineering Budget Construction Budget 8,000 8,000 8,000 8,000 8,000 7,328 7,000 7,000 7,000 7,000 7,000 6,000 6,000 6,000 6,000 6,160 6,000 5,570 5,000 5,000 5,000 5,000 5,000 4,724 4,000 Millions 4,000 4,000 4,000 4,000 Millions Millions Millions

Millions 3,992 3,583 3,475 3,000 3,000 3,000 3,000 2,984 3,000 2,407 2,000 2,000 2,000 2,000 2,000 1,000 1,000 1,000 1,000 1,000 1,168 590 517 577 733 599 0 0 0 0 0 Budget June '09 Plan Invoice Invoiced Budget June '09 Plan Invoice Invoiced Budget June '09 Plan Invoice Invoiced Budget June '09 Plan Invoice Invoiced Budget June '09 Plan Invoice Invoiced

Status of Project Funding Total Project Federal Funding Total Federal $2,699 Approved Capital Plan $7,328 Funding Received $1,810

Funded thru 2011 $5,556 Disbursed $1,618

$0 $500 $1,000 $1,500 $2,000 $2,500 $3,000 0 1,000 2,000 3,000 4,000 5,000 6,000 7,000 8,000 Millions Millions

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Quarterly Review Report – 4th Quarter ‘11

East Side Access – Budget & Schedule

$ Billions 9 8.013 8 7.244 7.220 7.328

7 w/o risk reserve 6 5 4 2013 2017 2017

3 - 2017 Apr- Apr- Dec-

2 Mar- 2016 Feb- 2015 Jan Sep- 2016 Completion Completion Completion Completion Completion Completion Completion 1 0 Budget Low Budget High MTA MTA Mar-08 Jul-09 Estimate Estimates

Note: July 2009 values exclude $463M in rolling stock costs, now budgeted elsewhere.

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Quarterly Review Report – 4th Quarter ‘11

Highlights and Issues Safety: . A fatal accident occurred during work on the Manhattan Structures Part 1 (CM019) contract. An investigation is on-going and precautionary measures have been taken to prevent further incidents. As a result, similar work on all ESA contracts were reviewed and work plans adjusted as needed. In addition, MTACC continues work with all contractors to improve safety including an effort to have senior level engagement between owner and contractor. Organization: . During this Quarter, several key changes were made to better organize the Project. A new Deputy Program Executive was brought in who will oversee the 2012 procurements as well as to provide senior level support to major issues as they arise. Recognizing the significance of the work in Harold, a new Harold Manager also joined the senior staff in December. Both of these positions will be direct reports to the Program Executive as shown in the revised organizational chart. Manhattan Construction: . Negotiations were held throughout this period which led to a tentative agreement between MTACC and the Manhattan Tunnel (CM009) and Manhattan Structures Part 1 (CM019) contractor, Dragados-Judlau (DJ), which will result in a significant improvement of the contractor‟s delay and will allow earlier access for future contracts. It is anticipated that this agreement will go to the MTA Board in January. . Physical work under the DJ contracts continued to progress at or better than what is in the revised schedule with GCT caver concrete on-going, excavation of various wyes and crossovers and the start of bench excavation in the WB cavern Schedule: . During this quarter, a series of workshops took place involving the MTACC and ESA staff, LIRR, MNR, the MTA‟s IE and the FTA‟s PMOC towards a revised overall ESA schedule. In addition, Jacobs led an independent peer group in analyzing the on-going construction delays in Harold as well as the impact of the East River Tunnel (ERT) work by AMTRAK. These efforts produced preliminary schedules for the Harold and non- Harold portions of the Project which were distributed in late December. . The scheduling effort will continue into the first quarter with a draft overall schedule to be sent out for comments in mid-January as well as a Jacob‟s peer review of the non- Harold work . Further efforts will include reconciling all stakeholder comments and preparing for a risk assessment Procurement: . The bid for Manhattan Structures 2 & Facilities Fit Out (CM012) contract has been cancelled in order to better address access constraints and interface issues with other contracts. MTACC has conducted further outreach with potential bidders and plan on meeting with potential bidders again in January before reissuing the contract documents.

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Quarterly Review Report – 4th Quarter ‘11

. The RFP process for the Systems Package 1 Facilities Systems - Communications, Controls, Security, Fire Detection, Tunnel Ventilation and Facility Power (CS179) is underway with proposals now due in February . The scope for the 55th St Ventilation Facility (CM013A) was under evaluation this period in conjunction with the potential DJ settlement. A final scope will be issued as an addendum in January with bids to be received in late February. . Contract Award and Notice to Proceed was given to the GCT Concourse & Facilities Fit- Out Early Work (CM014A) contractor and the kick-off meeting was held Construction: . Mining was completed on the first Queens tunnel, Tunnel A, at the end of the December and continued on the Yard lead tunnel. Excavation for that tunnel is expected to be completed in February. . Ground freezing activities began at Northern Blvd. with excavation to start in February . Perini in conjunction with LIRR and AMTRAK continued to ramp up work this period including a significant effort to install signal tower and catenary poles. AMTRAK was also making preparations for the F2 cutover to take place in mid-2012 and LIRR set in place and began wiring the Point CIL. AMTRAK also began preparations for four switches to be installed in the first quarter.

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Quarterly Review Report – 4th Quarter ‘11

Active Construction Contracts Summary Original Current Cost Expenditure Current Budget at Contract Approved Remaining Estimate at % Complete Substantial Completion Budget Award Award Contract Contingency Completion Plan Project Description/ Contractor Status ($M) ($M) ($M) ($M) ($M) ($M) Plan Actual Invoiced NTP Orig Revised Forecast Remarks MANHATTAN / BRONX CM009 - Manhattan Tunnels Contract is on the critical path. DJ and MTA continue Excavations NO 456.3 449.4 428.0 448.4 7.9 456.3 90.9 83.3 373.8 07/10/06 07/10 08/13 08/13 to explore additional opportunities to recover Dragados-Judlau (DJ) schedule. CM019 - Manhattan Structures 1 Contract is on the critical path. DJ and MTA continue Dragados-Judlau (DJ) NO 775.2 756.0 734.0 752.3 16.8 775.2 87.3 71.8 541.0 07/10/06 07/10 08/13 08/13 to explore additional opportunities to recover schedule. FMM19 - Manhattan Force Account NO 31.4 33.1 31.8 29.9 1.5 31.4 N/A 62.0% 17.0 04/01/08 03/12 06/12 11/12 Force Account support for Manhattan construction. Support MNR CM002 - GCT Expansion Joint Work progressing without interruption. Contractor is Replacement and Structural Closures approximately 2 weeks behind schedule. Balance of NO 4.8 4.8 4.5 4.5 0.2 4.8 44.8% 23.3% 1.1 05/09/11 07/12 07/12 07/12 J-Track LLC lost time is expected to be recovered in 2012 during MNR Track Turnout Program. CM004 - 44th St. Demolition & Construct Contract incurring on-going delays due to low Fan Plan Structure & 245 Park Ave. productivity on construction of shaft and foundation NO 45.3 42.8 40.8 41.9 3.4 45.3 99.5% 60.8% 27.0 09/16/09 09/11 09/11 05/12 Entrance walls. YCC working double shifts and Saturdays to Yonkers Contracting Company, Inc. (YCC) mitigate delays. CM013 - 50th St. Vent Facility Contractor did not lose any time in the past month on CCA Civil-Halmar International (CCA) NO 99.1 99.1 94.4 95.0 4.0 99.1 65.6% 45.3% 43.3 01/04/10 06/12 06/12 12/12 the schedule and is currently waiting to hear ESA’s decision on the proposed Milestone 5 schedule. VM014 - Vertical Circulation Contractor has resubmitted the baseline contract (Escalators & Elevators) NO 51.3 51.4 24.2**** 24.2**** 3.4 51.3** TBD 2.0% 2.9 09/27/10 04/15 04/15 04/15 schedule and it is currently under review. Schindler Elevator Corp. CM014A - GCT Concourse & Facilities Fit-Out Early Work NO 46.5 46.5 43.5 43.5 3.0 46.5 0% 0% 0 11/7/11 N/A 04/13 04/13 Contractor commenced pre-construction activities. Yonkers Contracting Company, Inc.

QUEENS CQ031 - Queens Bored Tunnels and Structures *** The revised schedule has been approved for NO 778.5*** 756.8*** 648.9*** 751.8*** 26.6 778.5*** 80.6% 67.3% 514.9*** 09/28/09 09/12 09/12 04/13 monitoring purpose. The progress continues per the Granite-Traylor-Frontier Joint Venture revised schedule. (GTF) CQ032 - Plaza Substation and Queens The contract awarded and Notice to Proceed was Structures NO 162.1 162.1 147.4 147.4 14.7 162.1 2.3% 2.2% 3.3 08/10/11 08/14 N/A 08/14 issued for the work on 08/10/11. Site survey Tutor Perini commenced. CQ039 - Northern Boulevard Crossing The global settlement for delay impacts from slurry Schiavone/ Kiewit, a Joint Venture (SK) NO 101.0 89.2 85.0 89.6 8.9 101.0 63.4% 48.9% 47.0 02/03/10 10/11 08/12 12/12 wall repairs has been reached. The schedule will be adjusted to accommodate CQ032 schedule.

**EAC assumes contract options will be exercised ***Does not include Regional Investment (ESA only) **** Current Approved Contract does not include all options and does not include Regional Investment (ESA only) Status Red – Critical Path (CP) Blue – Near Critical (NC) Black – Not Critical (NO)

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Quarterly Review Report – 4th Quarter ‘11

Original Current Cost Expenditure Current Budget at Contract Approved Remaining Estimate at % Complete Substantial Completion Budget Award Award Contract Contingency Completion ($M) ($M) ($M) ($M) ($M) ($M) Actual Invoiced Plan Project Description/ Contractor Status Plan NTP Orig Revised Forecast Remarks HAROLD INTERLOCKING CH053 - Harold Structures Part 1 and Progressing behind schedule. The 12KV electrical GO2 Substation portion is under design review and approval by Amtrak. NO 203.9 144.1 137.3 172.1 28.3 200.2 97.9% 62.3% 108.4 01/01/08 05/10 01/12 02/14 Perini Corp. Contractor is considering progressing ahead of the re- baseline sequence to mitigate schedule delay. CH054A - Harold Structures Part 2A Delay in 12KV re-design controls the project critical Perini Corp. path. The critical section of the 12KV ductbank has been completed for early construction to support the NO 38.3 27.1 21.8 23.5 14.7 38.1 57.9% 52.8% 12.4 08/24/09 12/10 12/10 04/13 installation of the F2 Central Instrumentation House. The remaining portion of the ductbank will be released in phases to mitigate further schedule impacts. FHA01 - Harold Stage 1 –Amtrak Schedule is revised based upon CH053 re-baseline Amtrak Force Account NO 16.8 9.5 9.5 16.8 0.0 16.8 96.8% 69.3% 13.5 06/30/07 09/10 01/12 08/13 schedule. It has slipped due to the delay in design of Catenary, Signal Tower and 12KV in CH053. FHA02 - Harold Early Stage 2 (Partial Progressing behind schedule (early stage 2 - partial Budget Only) – Amtrak budget) since the track works (Line 1 & Line 3) and NO 9.7* 9.7 9.7 9.7 1.3 TBD - - 11.9 12/15/08 12/10 12/10 TBD Amtrak Force Account Traction power works are pushed out to 2nd and 3rd Quarter of 2011. FHL01 - Harold Stage 1 – LIRR Schedule has slipped due to the delay of 48th St. bridge LIRR Force Account NO 22.0 28.8 28.8 20.8 0.9 22.0 100.0% 72.0% 17.2 06/29/07 09/10 10/11 07/13 construction (CH053) and design issues for Signal Tower and G02 substation (Ch053) FHL02 - Harold Early Stage 2 (Partial Progressing behind schedule (early stage 2 - partial Budget Only) – LIRR budget). The track works (Eastward and Westward LI LIRR Force Account NO 7.4* 7.4 7.4 7.4 2.6 TBD - - 13.2 08/17/09 1/11 01/11 TBD PASS) are rescheduled to March and May 2011. This delay does not impact the overall FHL02 substantial completion. VHA02 - Procure Harold Material Stage 2 – Amtrak NO 13.2 13.2 6.0 11.2* 0.6 13.2 84.0% 84.0% 2.3 01/09 01/12 05/12 07/12 Progressing on schedule. Amtrak Force Account VHL02 - Procure Harold Material Stage 2 – LIRR NO 29.0 26.2 6.0 15.8** 5.1 24.6 64% 64% 8.7 01/09 08/13 08/13 08/13 Progressing on schedule. LIRR Procurement VH051 (Part 1) - Harold and Point CILs Deliveries of CILs have slipped but will not impact ESA NO 30.8 30.9 25.8 26.0 1.1 30.8 66.5% 30.0% 6.7 05/11/09 06/12 06/12 TBD Ansaldo STS USA, Inc. (ASTS) project end date. VH051 (Part 2) - Harold Tower Progressing behind schedule due to the delay in Supervisory Control System NO 8.1 7.1 5.4 7.1 0.1 8.1 54.0% 62.0% 4.3 02/03/09 08/10 08/10 12/12 processing the FHACS change order but will not impact ARINC, Inc. ESA project end date.

* Current Budget does not include full budget **Partial Award Only Status Red – Critical Path (CP) Blue – Near Critical (NC) Black – Not Critical (NO)

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Quarterly Review Report – 4th Quarter ‘11

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Quarterly Review Report – 4th Quarter ‘11

Active Projects – Manhattan

Manhattan Tunnels Excavation (CM009) Oct, Nov, Dec ‘11 C

Contractor: Dragados/Judlau (DJ) LONP#:: 8 onstruction Construction Manager: Mike Pujdak FTA Grant: NY-03-0344 Description: The Manhattan tunnels excavation contract includes procurement of two 22 foot diameter rock tunnel boring machines (TBM), installation of temporary utilities, excavation of chambers and wyes, TBM (4 drives) excavation of approximately 25,000 linear feet (lf) of

tunnels and final concrete lining of 11,600 lf of the running tunnels.

Eastbound Cavern Bench Drilling. EB-2 Tunnel Rockbolt Installation.

Schedule and Cost Progress: Milestones CM009* Tunnel Concreting Original Current Oct 2011 Cum % Milestones Baseline Baseline Location Total (CY) (LF) (LF) Complete (Approved (Approved Actual L302 UL EB (1+30 to 11+94) - Invert 1,064 0 1,064 100 # Description Plan) Plan) /Forecast L302 UL EB (1+30 to 11+94) – Arch 1,064 31 31 3 N/A Advertise (RFP) 01/06 01/06 01/06 (A) L303 UL WB (1+30 to 11+94) - Invert 1,064 0 1,064 100 L303 UL WB (1+30 to 11+94) - Arch 1,064 984 1,064 92 N/A NTP 07/10/06 07/10/06 07/10/06 (A) EB4 (1065 to 1047+70) - Invert 1,598 207 1,598 100 EB4 (1065+06 to 1047+70) - Arch 1,598 0 0 0 N/A Start Tunnel Mining 09/04/07 09/25/07 09/25/07 (A) . Installation of PVC membrane, geodrains and rebars are Complete Final Drive at Lower N/A 03/31/09 06/04/10 06/02/10 (A) ongoing in L302 (tail tunnel) L303 and GCT 5 to GCT 3 Level (Robbins) . Excavation continued in GCT3 West Wye, which had another N/A Complete Final Drive #4 (SELI) 02/24/09 05/26/11 06/10/11 (A) th 2,540 BCY excavated in the 4 Quarter (4,012 of 4,713 BCY 6A Substantial Completion 07/08/10 08/31/13 08/31/13 done, 85% complete) 7A Final Completion 11/08/10 01/31/14 01/31/14 Schedule: Schedule Progress 4th Quarter Cumulative MTA and DJ agreed upon new milestone dates. DJ submitted a new re-baselined schedule which is under review. MTA and DJ continue Cost Expenditure Plan Actual Plan Actual to work together to optimize the work plan and provide phased Percent Complete** 3.5 0.7 90.9 83.3 turnovers to areas using additional access points. *Milestones reflects combine CM009/CM019 Rebaseline schedule **Curve redesigned based on Original Baseline, Current Baseline and Actual Cost: Contract Costs ($000) as of 12/31/11 Costs will be updated as required based upon acceptance of new F/A baseline schedule and determination of scope transfers. Current CM009 Support Total Budget increased due to transfer from contract Manhattan Tunnels Budget at Award 449,351 4,041 453,392 Excavation – NYCT F/A (FMT09) for costs incurred for revised blast Current Budget 456,325 2,793 459,118 induced vibration limits imposed by NYCT. Original Award 427,954 2,597 430,551 Contract Modifications: As of 12/31/11, thirty four modifications, for a total of $20,467,318 Approved Changes 20,467 0 20,467 have been executed including the scope transfers. Current Contract Value 448,421 2,597 451,018 Critical Issues: Invoiced Amount 373,785 1,227 375,012 . ESA is working with DJ to optimize the schedule and establish new turnover points to follow on contracts Estimate at Completion 456,325 2,793 459,118

. Finalizing negotiations on potential scope transfers

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Quarterly Review Report – 4th Quarter ‘11

Coordination Required Real Estate: All properties and easements are secured for tunnel MOU: N/A construction. MTA sent mailings to owners regarding contract NTP, Permits: The contractor is responsible for securing the following: zones of influence, pre-construction survey, instrumentation, and monitoring. 1. Blasting Permit – FDNY: Permit received 2. Water Discharge Permit – NYCDEP: Permit received nd Railroad Agencies: Flagging and access protection are being 3. Lane Closure Permits – NYCDOT: Permit received for 2 Ave. and provided by MNR and NYCT. Northern Blvd.

Progress (CM009) 450 100% Rebaseline Substantial Completion Original Baseline 8/31/13 400 90%

Current Baseline Rebaseline Baseline curve is under 80% 350 review. Actual Plan curve will be rebaselined after 70% 300 completion of review process. 60% 250 50%

Millions 200 40% 150 30% 100 20%

50 10%

0 0% Jun-06 Oct-06 Feb-07 Jun-07 Oct-07 Feb-08 Jun-08 Oct-08 Feb-09 Jun-09 Oct-09 Feb-10 Jun-10 Oct-10 Feb-11 Jun-11 Oct-11 Feb-12 Jun-12 Oct-12 Feb-13 Jun-13

Safety . Continued ongoing safety walk-thru of sites to reinforce best practices with Safety Statistics* Management/Supervision (Cumulative Incidents per 200,000 work-hours) . Recognizing the adverse trend in accidents, DJ has briefed the MTA with the Project Contract BLS** (’10) actions they are taking to improve their safety culture. These actions include Lost Time more senior management involvement and field supervision accountability. To 2.83 3.26 2.20 Accidents reinforce this emphasis, the ESA Construction Management team accompanies the DJ project management group on weekly, on-site job surveys. These job *The project performance statistics are based on construction surveys continue. hours only . ESA Safety will monitor DJ‟s 5 module – management/worker training plan **Bureau of Labor Statistics/National Industry Average and provide assistance where requested to improve the hazard recognition and control skills of their field management. DJ held the initial meeting to re-start the process in early November and is continuing.

Site Map

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Quarterly Review Report – 4th Quarter ‘11

Manhattan Structures Part 1 (CM019) Oct, Nov, Dec ‘11 Contractor: Dragados-Judlau (DJ) Construction Manager: Mike Pujdak FTA Grant: NY-03-0344

Description: Excavation and lining Construction of four tunnel drives, shafts, escalator wellways, air plenums, cross-passages, and caverns mainly under Grand Central Terminal

(GCT).

GCT 12 Initial Shotcrete. Concrete Arch & Invert Poured.

Schedule and Cost

Progress: Milestones CM019* CY - Cubic Yard Milestones Original Current Shafts & Escalators Excavation Baseline Baseline Location Total (CY) Nov 2011 (CY) Cum (CY) % Complete Description (Approved (Approved Actual Shaft 5 1,695 0 1,334 79 # Shaft 4 4,389 0 4,389 100 Plan) Plan) /Forecast Access tunnel # 4 536 0 536 100 N/A Advertise (RFP) 01/06 01/06 01/06 (A) Shaft 3 3,533 0 3,533 100 Access tunnel # 3 920 0 920 100 N/A NTP 07/10/06 07/10/06 07/10/06 (A) Shaft 2 1,424 0 1,424 100 N/A Start Tunnel Mining 09/04/07 09/25/07 09/25/07 (A) Access tunnel # 2 1,019 0 891 87 Complete Final Drive at Lower Shaft 1 1,600 0 574 36 N/A 03/31/09 06/04/10 06/02/10 (A) Access tunnel # 1 6,600 0 6,270 95 Level (Robbins) WW 4 & Slope 4,138 0 4,138 100 WW 3 & Slope 4,857 0 4,650 96 N/A Complete Final Drive #4 (SELI) 02/24/09 05/26/11 06/10/11 (A) WW 2 & Slope 4,851 0 4,438 91 6A Substantial Completion 07/08/10 08/31/13 08/31/13 WW 1 & Slope 5,213 1,976 4,399 84 7A Final Completion 11/08/10 01/31/14 01/31/14 1. Continued Westbound Cavern arch concreting operation (22 of 23 pours completed) Schedule Progress 4th Quarter Cumulative 2. Began Eastbound Cavern arch concreting operation (2 of 23 pours completed) Cost Expenditure Plan Actual Plan Actual 3. Continued T404/T403 cheek excavation & completed GCT 4 Percent Complete** 5.7 4.8 87.3 71.8 crossover excavation * Milestones reflects combine CM009/CM019 Rebaseline schedule 4. Completed temporary connections between east cavern and west **Curve redesigned based on Original Baseline, Current Baseline and Actual cavern Contract Costs ($000) as of 12/31/11 5. Completed Wellway #4 arch concreting and continue waterproofing CM019 F/A Support** Total in Wellway # 3 & 2 Budget at Award 756,020 - 756,020 6. Continued excavation in Wellway #1 (1,743 BCY of 3,657 BCY Current Budget** 775,191 - 775,191 completed in 4th Quarter with 464 BCY previously excavated, 72% complete) Original Award 734,000 - 734,000 Schedule: Approved Changes 18,347 - 18,347 MTA and DJ agreed upon new milestone dates. DJ submitted a new Current Contract Value 752,347 - 752,347 Invoiced Amount 540,987 - 540,987 re-baselined schedule on 01/16/12, which is under review. MTA and DJ continue to work together to optimize the work plan and provide Estimate at Completion 775,191 - 775,191 phased turnovers to areas using additional access points. * Force Account costs are reported on the FMM19 summary page. Contract Modifications: As of 12/31/11, forty eight modifications for a **Includes $234M total of $18,347,328 have been executed. Cost: The contract was awarded for $499 million. The balance of the Critical Issues: contract was authorized in Feb ‟11 which increased the contract value 1. ESA is working with DJ to optimize the schedule and establish to $751 million. The option is $234 million for the construction of the new turnover points to follow on contracts Main Cavern and GCT 1/2 Interlocking Bench Excavation along 2. Finalizing negotiations on potential scope transfers connecting tunnels. Costs will be updated as required based upon acceptance of new baseline schedule and determination of scope transfers. The Current Budget was decreased to reflect the transfer of the 38th St. Vent Plant lining to Manhattan Structures 2 & Facilities Fit Out (CM012) ($10.4 M) and a transfer to the GEC to fund a design change ($1.0 M) leading to a cost savings to CM019 ($3.5 M).

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Quarterly Review Report – 4th Quarter ‘11

Coordination Required Real Estate: All properties and easements are secured. Permits: The contractor is responsible for securing the following:

Railroad Agencies: Flagging and access and protection are being provided . Blasting Permit – FDNY: Permit received. by MNR and NYCT. . Lane Closure Permits – NYCDOT: Permit received for Park Ave utility work. MOU: N/A.

Progress (CM019) 800 100% Original Baseline Rebaseline Substantial Completion 90% 700 8/31/13 Current Baseline 80% Rebaseline Baseline curve is under 600 Actual review. Plan curve will be rebaselined after 70% completion of review process. 500 60%

400 50% Millions 40% 300 30% 200 20% 100 10%

0 0% Apr-08 Jul-08 Oct-08 Jan-09 Apr-09 Jul-09 Oct-09 Jan-10 Apr-10 Jul-10 Oct-10 Jan-11 Apr-11 Jul-11 Oct-11 Jan-12 Apr-12 Jul-12 Oct-12 Jan-13 Apr-13 Jul-13 Month/Year Safety . A fatality occurred involving the placement of shotcrete. MTACC Safety Statistics* suspended similar work, reviewed work procedures and had DJ retrain (Cumulative Incidents per 200,000 work-hours) employees before starting again Project Contract BLS** (’10) . Ongoing safety walk-thru of sites continues and the contractor continues to improve ventilation capacities Lost Time Accidents 2.83 2.85 2.20 . Recognizing the adverse trend in accidents, DJ has provided MTA with a *The project performance statistics are based on construction hours only plan they are implementing to improve the safety culture on the project **Bureau of Labor Statistics/National Industry Average . ESA Safety will monitor DJ‟s management/worker 5 module training plan and provide assistance where requested to improve the hazard recognition and control skills of their field management and supervision. DJ has reorganized the program and held the initial meeting in early November. To reinforce this emphasis, the ESA Construction Management team accompanies the DJ project management group on weekly, on-site job surveys.

Site Map

GCT Main Cavern Excavation Progress

Shafts are for elevators Wellways are for escalators

Quarterly Report (Oct, Nov, Dec „11) - East Side Access (PM 3.2.098750) 13

Quarterly Review Report – 4th Quarter ‘11

Manhattan – MNR F/A Support (FMM19) Oct, Nov, Dec ‘11

Contractor: Metro-North Railroad Construction Construction Manager: Fred Atiles FTA Grant: NY-03-0344

Description: MNR Railroad resources in support of the Manhattan contracts CM019, CM008A, CM004, FM216, CM013, and CM002. These resources include both direct and indirect labor, flagging, project management, work train support, load inspection, rail cars inspection and repair, and track outages.

Track Drain Replacement by CM002 Contract. Column Opening for Firestopping Installation.

Schedule and Cost Progress: Contract Costs ($000) as of 12/31/11 1. MNR continued to provide flagman protection outside of FMM19 F/A Support Total Madison Yard envelope during the day and at night shifts Budget at Award 33,124 - 33,124 Current Budget 31,424 - 31,424 2. MNR continued to provide support to Manhattan Structures (CM019) for blasting operations Original Award 31,819 - 31,819 3. MNR continued to provide flagman support and track Approved Changes - - - outages to Yonkers Contracting on Tracks #11 and #13 Current Contract Value 29,927 - 29,927 4. MNR will provide track outages and flagging protection to Invoiced Amount 16,998 - 16,998 support GCT Expansion Joint Replacement & Structural Estimate at Completion 31,424 - 31,424 Closures (CM002)

Schedule: Scheduled to continue support of CM019, CM004, CM013, CM002 and General Condition‟s contracts. Cost: Project is trending under budget. However, no change to EAC is being made at this time. Further review will take place upon final completion of FM216 and review of CM002 needs. Contract Modification: As of 12/31/11, zero modifications have been executed. Critical Issues: None.

Quarterly Report (Oct, Nov, Dec „11) - East Side Access (PM 3.2.098750) 14

Quarterly Review Report – 4th Quarter ‘11

GCT Expansion Joint Repairs and Structural Closures (CM002) Oct, Nov, Dec ‘11

Construction Contractor: J-Track LLC Construction Manager: Larry Nigro FTA Grant: Description: Tracks 33 thru 42: GCT expansion joint replacement, column fire stopping, structural closures at the Madison Yard Suburban Roof Level and track drain replacement.

Expansion Joint TJ2B Concrete Pour Completed. Applying Flex-Con Bonding Agent and Cleaning Existing Concrete.

Schedule and Cost Progress: Milestones CM002 1. Track 41: Completed 75% of column firestopping along Current Milestone Actual/ TA Crash Wall. Completed expansion joint replacement at Original Baseline Forecast TJ5 and TJ6. Baseline (Approved # Description (Approved Plan) Plan) 2. Completed Work To Date: Tracks 93, 94, 33, 34, 35 and N/A Advertise (IFB) 01/25/11 01/25/11 01/25/11 (A) 40 N/A NTP 05/09/11 05/09/11 05/09/11 (A) Schedule: Approximately two weeks have been lost due to the 1 Substantial Completion 07/02/12 07/02/12 07/16/12 unavailability of track outages from MNR per schedule and 2 Final Completion 08/21/12 08/21/12 09/14/12 lower than expected productivity on Track 41. th Schedule Progress 4 Quarter Cumulative Cost: Budget reflects the award amount. As of 12/31/11, one Cost Expenditure Plan Actual Plan Actual modification for zero dollars has been executed. Percent Complete 40.4 17.5 44.8 23.3 Critical Issues: Made up approximately one week during embargo period. Balance of lost time is expected to be recovered Contract Costs ($000) as of 12/31/11 in 2012 during MNR Track Turnout Program. CM002 F/A Support Total Budget at Award 4,772 - 4,772 Current Budget 4,772 - 4,772

Original Award 4,545 - 4,545 Approved Changes - - - Current Contract Value 4,545 - 4,545 Invoiced Amount 1,117 - 1,117

Estimate at Completion 4,772 - 4,772

* Force account costs are reported on the FMM19 summary page.

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Quarterly Review Report – 4th Quarter ‘11

Coordination Required Real Estate: None Permits: Construction Railroad Agencies: MNR MOU: Amended with existing MNR MOU

Progress (CM002) 5 100%

4 Original Baseline 90% Current Baseline 80% 4 Actual 70% 3 60% 3 50% 2

Millions 40% 2 30%

1 20%

1 10%

0 0% Jul-11 Aug-11 Sep-11 Oct-11 Nov-11 Dec-11 Jan-12 Feb-12 Mar-12 Apr-12 May-12 Jun-12 Jul-12 Aug-12 Month/Year

Safety . Safety submittals completed Safety Statistics* . Tool Box Meetings are being held on a daily basis (Cumulative Incidents per 200,000 work-hours) . All required PPE is being enforced with contractor‟s compliance Project Contract BLS** (’10) . The work is primarily conducted during non-rush hours and the Lost Time 2.83 0.00 2.20 small platform incursions are well barricaded so the Metro North Accidents passengers are protected by isolation in time and space *The project performance statistics are based on construction hours only **Bureau of Labor Statistics/National Industry Average

Site Map

Quarterly Report (Oct, Nov, Dec „11) - East Side Access (PM 3.2.098750) 16

Quarterly Review Report – 4th Quarter ‘11

44th St. Demolition & Construct Fan Plant Structure & 245 Park Ave. Entrance (CM004) Oct, Nov, Dec ‘11 Contractor: Yonkers Contracting Company, Inc. (YCC) Construction Manager: Daniel Connor FTA Grant: ARRA Stimulus Funds NY-36-0002 Description: 47 E. 44th Street: Remove hazardous material, demolish existing Construction building, perform soil and rock excavation. Construct shell of new building. Frame and partially fit out new building. 245 Park Avenue Entrance: Conduct environmental abatement and demolition; construct new foundations, walls and supports, furnish and install escalator. Install architectural finishes, plumbing, fire protection, HVAC, lighting, power, fire alarm, and communication systems. Wall Finishes at 245 Park Ave. On-going Rock Excavation in Shaft.

Schedule and Cost Progress: 44th Street Vent Plant Milestones CM004 th 1. Continued placement of concrete for foundation walls at 44 St. Original Current 85.7% of total foundation concrete has been placed to date. Milestone Baseline Baseline Actual/ 2. Continued excavation for 2nd Lift (EL296 to EL292). 85% of (Approved (Approved Forecast excavation to 2nd lift is complete. # Description Plan) Plan) 3. Continued preparation for re-framing of UA wall in elevator N/A Advertise (IFB) 12/11/08 12/11/08 12/11/08 (A) vestibule area N/A NTP 09/16/09 09/16/09 09/16/09 (A) Progress: 245 Park Avenue Entrance Complete South End of N/A 05/28/10 05/28/10 10/5/11(A) 1. Continued installation of wall finishes in staircase and cross passage Platform E 2. Continued installation of ceiling assembly in lobby Complete Rock Excavation & N/A 06/01/11 06/01/11 02/3/12 3. Continued installation on louver/storefront supports in lobby Shaft Construction at 44th St. Substantial Completion of 4. Continued mechanical, electrical & plumbing finish work at 245 1A 09/16/11 09/23/11† 05/18/12 Park Ave 245 Park Ave. Schedule: Contractor is experiencing on-going delays in construction of Substantial Completion of † 1 th 09/16/11 09/23/11 05/18/12 foundation & shaft walls. Security design changes at 245 Park Ave. 44 St. Vent Plant and extensive design changes at 44th St. will add to delays. On-going 2 Final Completion-44th St. 12/16/11 12/23/11 08/16/12 th delays due to provision of 47 St CPW for MNR passenger will th Schedule Progress 4 Quarter Cumulative continue to affect completion of entrance facility. CM team is Cost Expenditure Plan Actual Plan Actual coordinating with MNR for force account finish work to prevent delays Percent Complete** 4.7 15.8 99.5 60.8 in opening of entrance facilities. **Curve redesigned based on Original Baseline, Current Baseline and Actual Cost: †MODS pending to be issued will extend the SC & FC by about 80 work days. Project budget was increased by $2.5M to cover cost overruns th due to extensive design changes at 245 Park Ave and 44 St. Contract Costs ($000) as of 12/31/11 Contract Modifications: As of 12/31/11, thirty nine modifications have CM004 FA Support* Total been executed for $1,152,086. Seven have been negotiated for Budget at Award 42,803 - 42,803 $1,332,964 awaiting issuance of MOD. 80 work days of time extension Current Budget 45,303 - 45,303 (42 of which are compensable) are expected to be negotiated for drilling obstructions and structural steel re-design. Original Award 40,765 - 40,765 Critical Issues: Approved Changes 1,152 - 1,152 1. Extensive design changes at 44th St. will delay the contract. YCC Current Contract Value 41,917 - 41,917 Invoiced Amount 26,988 - 26,988 was instructed to commence procurement of long lead items to mitigate delays. Estimate at Completion 45,303 - 45,303 2. The temporary access to 47th St. CPW for MNR passengers is * Force Account costs are reported on the FMM19 summary page. causing on-going delays in completion of work at 245 Park Ave. entrance. YCC has been advised to adjust shift times to 4. Re-design for inclusion of gantry crane in the Vent plant building accommodate MNR‟s passenger train moves. for access to future contracts has a potential of delaying the th 3. On-going delays in the placement of foundation & shaft walls are completion of 44 St. Vent Plant. GEC & CM are currently affecting the critical path for completion of work at 44th St. YCC determining feasibility. has elected to overlap concrete placements to mitigate delays. 5. Inclusion of line drilling of shaft perimeter to EL255 (From EL282) as a scope transfer from CM009/CM019 has a potential of delaying the contract. CM to determine feasibility. Quarterly Report (Oct, Nov, Dec „11) - East Side Access (PM 3.2.098750) 17

Quarterly Review Report – 4th Quarter ‘11

Coordination Required Real Estate: 47 E.44th St. acquired and vacated; NYC Planning Permits: Contractor acquired all demolition, construction, Commission approved 245 Park Ave. change of use in Plaza area. sidewalk and MPT (lane closing -DOT) permits. Railroad Agencies: MNR and LIRR. MOU: MOU with MNR executed.

Progress (CM004) 100% 40

Original Baseline 90% 35 Current Baseline 80% 30 Actual 70%

25 60%

20 50%

Millions 40% 15 30% 10 20%

5 10%

0 0% Sep-09 Nov-09 Jan-10 Mar-10 May-10 Jul-10 Sep-10 Nov-10 Jan-11 Mar-11 May-11 Jul-11 Sep-11 Nov-11 Jan-12 Month/Year

Safety . Continued ongoing safety walk-thru of sites Safety Statistics* (Cumulative Incidents per 200,000 work-hours) . Work continues with only minor disturbances to neighbors in some Project Contract BLS** (’10) very congested work site areas in Manhattan Lost Time Accidents 2.83 5.13 2.20 . There was one (1) LTA this quarter and the contract rate is trending *The project performance statistics are based on construction hours only downward **Bureau of Labor Statistics/National Industry Average . Additional efforts will be made in the next quarter to try and reduce the LTA rate further

Site Map ...... North st st st st st st st rd th th th th th nd 43 44 45 46 47 48 42

44th St. Vent Plant Facility

Park Avenue

245 Park Ave. Entrance

Quarterly Report (Oct, Nov, Dec „11) - East Side Access (PM 3.2.098750) 18

Quarterly Review Report – 4th Quarter ‘11

50th St. Vent Facility (CM013) Oct, Nov, Dec ‘11

Construction Contractor: CCA Civil-Halmar International Construction Manager: Vincent Monaco FTA Grant: NY-03-0344 Description: Construct 50th St. Ventilation Facility. Work includes: building demolition including environmental abatement, termination of utility connections; foundation excavation and lining; shaft and tunnel excavation and lining; and construction of new ventilation building structure and vertical utility shaft.

Ventilation Shaft Cover & Crane in Place and Blasting Resumed. Weld Steel Clips for Vertical Utility Chase Installation at 300 Park.

Schedule and Cost Progress: Milestones CM013 Original Current 1. Rock support and shotcrete installation for the Service Tunnel Milestone Actual/ Baseline Baseline and Vent Plant are complete; these two operations for the Vent Forecast Shaft are ongoing. The Vent Plant excavation has reached ~60 # Description (Approved Plan) (Approved Plan) ft. below street level; the shaft has reached ~30 ft. below N/A Advertise (IFB) 07/09 07/09 07/09 (A) concourse level, or ~99 ft. from the street. N/A NTP 01/04/10 01/04/10 01/04/10 (A) 2. The Vent Shaft cover and crane are in place and controlled 2 Installation of Street Decking 11/17/10 11/19/10 11/06/10 (A) blasting has been ongoing. Excavation of the Compactor Pit is 300 Park Independent Wall 1 12/15/10 02/06/11 04/29/11 (A) complete. & Site Access 3. Opening pockets on the 300 Park Ave building to weld the steel 3 Substantial Completion 06/01/12 06/06/12 12/11/12 clips which will support the steel for Vertical Utility Chase, is 4 Final Completion 09/04/12 09/09/12 02/19/13 ongoing th Schedule Progress 4 Quarter Cumulative

4. Installation of Ventilation System to support the Vent Shaft and Cost Expenditure Plan* Actual Plan Actual

Service Tunnel is ongoing Percent Complete** 7.7 3.2 65.6 45.3 **Curve redesigned based on Original Baseline, Current Baseline and Actual Schedule: The shaft excavation, rock support and shotcrete Contract Costs ($000) as of 12/31/11 installation have been scheduled to 3 shifts per day, 7 days a week to F/A

minimize the current delay to the major milestones of the project. A CM013 CMR13*** Support Total MOD has been prepared and is currently being executed by MTACC Budget at Award 99,073 24,000 - 123,073 for early passenger and vehicular access to the shaft. Current Budget 99,073 24,500 - 123,573

Cost: As of 12/31/11, seventeen modifications for a total of Original Award 94,355 24,000 - 118,355 $689,546 have been executed** and the project is currently on Approved Changes 689 0 - 689 budget. Current Contract Value 95,045 24,000 - 119,045

Invoiced Amount 43,269 22,745 - 66,014 Critical Issues: 1. MTA is introducing a new Milestone #5 into the schedule to Estimate at Completion 99,073 24,500 - 123,573 allow vehicular and passenger access to the tunnel through the **A modification of $841,083 for Roosevelt Island Ventilation Building funded by Homeland Security is not vent shaft. Once approved, the existing delay to Milestones 3 and included in the Current Contract Value 4 (Substantial and Final Completion) will not be as critical. ***Work performed by Property Owner (Tishman Speyer Properties LP)

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Quarterly Review Report – 4th Quarter ‘11

Coordination Required Real Estate: All properties and easements are secured/evacuated; currently Permits: The contractor is responsible for securing the following: awaiting a tax lot merger Blasting Permit FDNY, Lane Closure Permits (secured) – NYCDOT, Railroad Agencies: MNR Building Permits – NYC Buildings and Asbestos permits (secured) – MOU: NYCDOT MOA executed, 437 Madison MOU executed, 300 Park 300 Park Ave demo permit DOB (secured) – FDNY Blasting permit MOU executed, NYCDEP / MNR executed. (secured) – Vertical Utility Chase installation DOB (secured) and scaffold permit (secured)

Progress (CM013)

100% 90 90% Original Baseline 80 Current Baseline 80% 70 Actual 70% 60 60%

50 50%

Millions 40 40%

30 30%

20 20%

10 10%

0 0% Jan-10 Mar-10 May-10 Jul-10 Sep-10 Nov-10 Jan-11 Mar-11 May-11 Jul-11 Sep-11 Nov-11 Jan-12 Mar-12 May-12 Jul-12 Sep-12

Safety Month/Year . Continued ongoing safety walk-thru of sites Safety Statistics* (Cumulative Incidents per 200,000 work-hours) . Excavation, rock support and shotcrete installation are ongoing with Project Contract BLS** (’10) upgrades in the shotcrete work plans Lost Time Accidents 2.83 1.85 2.20 . The FDNY has approved the blasting plan and magazines for emergency storage of blasting material *The project performance statistics are based on construction hours only **Bureau of Labor Statistics/National Industry Average

Site Map

Quarterly Report (Oct, Nov, Dec „11) - East Side Access (PM 3.2.098750) 20

Quarterly Review Report – 4th Quarter ‘11

Vertical Circulation - Escalators & Elevators (VM014) Oct, Nov, Dec ‘11

Contractor: Schindler Elevator Corporation Construction Construction Manager: Doug Tilden FTA Grant: NY-03-0344/ Freedom Grant NY-57-X018-00 Description: The base scope includes the fabrication and installation of 17 elevators and 45 escalators for the Concourse, Caverns, 44th and 50th St. Ventilation Facilities, and MNR facilities. Options exist for an additional five elevators and two escalators.

Rendering of New Escalators.

Schedule and Cost Progress: Milestones VM014 1. The contractor has completed the “Phase I – Engineering Milestones Original Current Services” (initial six months) of their contract during which the Baseline Baseline Actual/ contractor assigned two full-time engineering specialists to the # Description (Approved (Approved Forecast ESA Project office Plan) Plan) 2. The contractor is now engaged in the Phase II – Fabrication N/A Advertise (IFB) 12/09 12/09 01/10 (A) work which includes the submittal of shop drawings and the N/A Notice of Award 09/23/10 09/23/10 09/23/10 (A) actual fabrication of the escalators and elevators N/A NTP 09/27/10 09/27/10 09/27/10 (A) 3. The PMT continued to work with the contractor and the GEC to resolve numerous interfaces in the GCT Concourse and N/A Substantial Completion 04/29/15 04/29/15 04/29/15 Facilities Fit-Out (CM014B), and Manhattan Structures Part I N/A Final Completion 07/29/15 07/29/15 07/29/15 (CM019) contract documents th Schedule Progress 4 Quarter Cumulative Schedule: The contractor has resubmitted their baseline contract schedule and detailed cost breakdown. Both were accepted by the Cost Expenditure Plan Actual Plan Actual CM. PMT Project Controls is currently working with the contractor Percent Complete to update their contract schedule and detailed cost breakdown to Phase I -Engineering 100.0 100.0 1.0 1.0 reflect current project status. Phase II - Fabrication 10.0 10.0 TBD 2.0 Cost: Contract was awarded under budget. Options exist that when Phase III - Installation 0.0 0.0 N/A N/A exercised could increase the contract value to $47.8 million. Phase IV – Interim Maint. 0.0 0.0 N/A N/A Contract Modifications: As of 12/31/11, two modifications have been executed with no dollar value. Two contract options were Contract Costs ($000) as of 12/31/11 executed for Installation of Fire Protection in Cavern Escalators Regional F/A totaling $92,000 and a Regional Investment option was executed for VM014 Total Investment** Support Phase II – Fabrication of 45th St. Cross Passageway Elevator totaling $245,794. These options are included in the Original Award. Budget at Award 51,406 2,724 - 54,130 Critical Issues: None. Current Budget 51,305 2,589 - 54,029

Original Award* 24,170 246 - 24,416 Approved Changes 0 - - 0 Current Contract Value 24,170 246 - 24,416 Invoiced Amount 2,889 - - 2,889

Estimate at Completion 51,305 2,724 - 54,029 *Original Award is for Phase I (Engineering and Design Services) and Phase II (Fabrication of escalators and elevators) only **Not included as part of the FFGA Budget. The 45th St. CPW elevator is funded by Freedom Grant. Work must be progressed concurrently with ESA construction.

Coordination Required Real Estate: N/A Permits: N/A Railroad Agencies: MNR and LIRR MOU: N/A

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Quarterly Review Report – 4th Quarter ‘11

GCT Concourse & Facilities Fit-Out Early Work (CM014A) Oct, Nov, Dec ‘11

Construction Contractor: Yonkers Contracting Company, Inc. Construction Manager: Edward McCabe FTA Grant: NY-03-0344 Description: Fit-out of lower portion of new LIRR concourse located in the lower level of GCT, Construction of south sub-station facility, fit-out of shaft 2, procurement of electrical equipment for north substation & unit substations, Construction & fit-out of Terminal Management Center (TMC) & Construction of certain rooms adjacent to south substation & TMC.

Schedule and Cost Progress: Milestones CM014A 1. CPR issued for Short Loop/Burma Road re-design, new specification Current section 01190 (shipping + transportation), revised specification Milestone Original Baseline Actual/ section 013330 (submittal procedure), 01572 (construction noise + Baseline (Approved Forecast vibration control) & added authorized rep‟s language # Description (Approved Plan) Plan) 2. Continued receiving and review of pre-construction submittals N/A Advertise (IFB) N/A 03/15/11 04/01/11 (A) Schedule: YCC is currently in the process of completing their baseline N/A NTP N/A 11/07/11 (A) 11/07/11 (A) schedule. 1 Substantial Completion N/A 04/25/13 04/25/13 Cost: Project is currently within budget. 2 Final Completion N/A 07/24/13 07/24/13 th Schedule Progress Critical Issues: 4 Quarter Cumulative 1) CM team is reviewing electrical changes for timely modification Cost Expenditure Plan* Actual Plan Actual process of short loop re-design Percent Complete** 0.0 0.0 0.0 0.0 **Curve redesigned based on Original Baseline, Current Baseline and Actual Contract Costs ($000) as of 12/31/11 CM014A Total Budget at Award 46,547 46,547 Current Budget 46,547 46,547

Original Award 43,502 43,502 Approved Changes 0 0 Current Contract Value 43,502 43,502 Invoiced Amount 0 0

Estimate at Completion 46,547 46,547

Coordination Required Real Estate: None Permits: Construction Railroad Agencies: LIRR (MNR for work within 43rd st. parking garage) MOU: None

Site Map

Quarterly Report (Oct, Nov, Dec „11) - East Side Access (PM 3.2.098750) 22

Quarterly Review Report – 4th Quarter ‘11

Quarterly Report (Oct, Nov, Dec „11) - East Side Access (PM 3.2.098750) 23

Quarterly Review Report – 4th Quarter ‘11

Active Projects – Queens

Queens Bored Tunnels and Structures (CQ031) Oct, Nov, Dec ‘11

Contractor: Granite-Traylor-Frontier Joint Venture Construction FTA Grant: NY-03-0344/ARRA Stimulus Funds NY-36-0002 Construction Manager: Neal O'Connor Description: Construct three revenue tunnels and one non-revenue tunnel beneath Sunnyside Yard and Harold Interlocking. Construction includes the following; complete main open-cut excavation (from CQ028), procurement and assembly of two pressurized face tunnel-boring machines and ancillary equipment, tunnel excavation, installation of a one-pass pre-cast concrete tunnel liner, installation of ground treatment along the alignment to support tunnel construction, underpinning bridge piers and LIRR mainline structures, construction of an Amtrak access road, and construction of exit/ventilation structures (below-ground) and TBM reception pit, environmental monitoring, water quality sampling and elevation.

TBM Mining through Jet Grout Block. Placing Concrete Using a Telebelt Conveyor.

Schedule and Cost Progress: Milestones CQ031 1. Continued Yard Lead TBM mining and advanced 3,232 ft from the Original Current Launch Shaft (75% completed to date). The scheduled Baseline Baseline intervention at Yard Lead Emergency Exit Safe Haven was Milestones (Approved (Approved Actual/ complete and TBM continued mining under Loop Tracks. # Description Plan) Plan) Forecast 2. Completed TBM A mining. Breakthrough occurred 12/22. Began N/A NTP 09/28/09 09/28/09 09/28/09 (A) disassembly of TBM. 3. Continued prep work of Tunnel D and B/C TBM Launch area 1 Temporary TBM Substation 09/27/10 09/27/10 09/26/10 (A) 4. Completed concrete cut and cover for the Yard Lead Approach N/A Begin Yard Lead Mining 02/24/11 02/24/11 05/18/11 (A) Structure. Yard Lead Reception Pit is ready for TBM. Continued 4 Complete Tunnels 03/04/12 03/04/12 07/12/12 installation of waterproofing & began installing parapet walls for 7 Substantial Completion 09/26/12 09/26/12 04/16/13 the Yard Lead Approach Structure. Continued construction of C08 8 Final Completion 01/24/13 01/24/13 08/02/13 Substation. Schedule Progress 4th Quarter Cumulative 5. Completed installing secant guide walls and commenced timber lagging west of pier 5 for Westbound Bypass Structure Cost Expenditure Plan Actual Plan Actual 6. Completed installing 54” RCP sewer at 43rd Street Percent Complete** 4.8 9.2 80.6 67.3 th 7. Completed installation of mini-piles at 39 St. Bridge Pier 1S. **Curve redesigned based on Original Baseline, Current Baseline and Actual rd Continued excavation of Yard Lead Emergency Exit to 3 Level Contract Costs ($000) as of 12/31/11 bracing CQ031 Regional F/A Total 8. GM Bridge underpinning and installation of Amtrak Access Road ESA Only Investment** Support Completed Budget at Award 756,763 - 22,677 779,440 Schedule: YL Tunnel excavation continued at approximately the planned rate, and the A Tunnel is ahead of schedule. The revised Current Budget*** 778,484 10,641 25,787 814,912

Westbound Bypass alignment has been issued. The Westbound Original Award 648,884 10,317 25,787 684,988 Bypass realignment mitigates some of the impact of the Bypass on the Approved Changes 102,951 324 - 103,275 critical path. ESA continued to closely monitor the progressed Current Contract Value 751,835 10,641 25,787 788,263 schedule and assess the interface requirements for follow-on contractors. The construction of Westbound Bypass remains the Invoiced Amount 514,935 10,641 16,820 542,396 critical path to Substantial Completion. Estimate at Completion 778,484 10,641 25,787 814, 912 Cost: As of 12/31/11, forty nine modifications for a total of $103,275,738 including $324,392 in Regional Investment have been **Not included as part of the FFGA Budget. Work must be built concurrently with ESA construction pursuant to an agreement with Amtrak. executed. This includes the option work of $58,400,000 for the construction of the Yard Lead Approach and other structures. CQ031 ***The Current Budget includes funds for scope moved from Plaza Substations & Queens ESA budget increased due to scope move from CQ032 to CQ031 for Structures (CQ032) to CQ031. This work has not been executed. Yard Lead Emergency Exit, vent structure, the B13 Substation, and additional funding for slurry wall repairs. Critical Issues: The resolution to Westbound Bypass is critical to the project completion.

Quarterly Report (Oct, Nov, Dec „11) - East Side Access (PM 3.2.098750) 24

Quarterly Review Report – 4th Quarter ‘11

Coordination Required Real Estate: All Real Estate has been acquired and tenants Permits: A FDNY blasting permit was and the water discharge permit were are being relocated. obtained. Long Island Well Permit has been obtained

Railroad Agencies: Amtrak, LIRR, NYAR. MOU: Amtrak Project Initiative and Permit to Enter obtained.

Progress Curve (CQ031)

728 100%

691 Original Baseline 655 90%

619 Current Baseline 582 80% Actual 546

510 70%

473

437 60%

400

364 50%

328 Millions 291 40%

255

218 30%

182

146 20%

109

73 10%

36

- 0% 11 11 11 11 11 11 11 11 11 11 09 10 12 09 10 10 11 12 11 09 10 10 10 10 12 12 12 09 10 09 10 10 10 12 12 12 10 12 ------Jul Jul Jul Oct Oct Oct Apr Jan Jan Apr Feb Mar Jun Jan Apr Mar Mar Feb Jun Sep Feb Jun Dec Sep Dec Sep Dec Nov Sep May Aug Nov Nov Aug May Aug May Aug

Safety . Continued ongoing safety walk-thru of sites Safety Statistics* . Continuing reviews of the segment liner delivery operation (Cumulative Incidents per 200,000 work-hours) Project Contract BLS** (‘10) Lost Time Accidents 2.83 2.57 2.20 *The project performance statistics are based on construction hours only **Bureau of Labor Statistics/National Industry Average

Site Map Yard Lead Approach Structure

B13 Power Substation Tunnel A, B/C, D

Slurry Plant Yard Lead Emergency Exit ESA Queens Project Office TBM Launch Shaft

B12 Power Substation

QueensAccess to Yard Lead Trench Manhattan Tunnels Manhattan

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Quarterly Review Report – 4th Quarter ‘11

Plaza Substation and Queens Structures (CQ032) Oct, Nov, Dec ‘11

Contractor: Tutor Perini Construction FTA Grant: NY-03-0344 Construction Manager: Alvaro Buendia Description: Structural and architectural rehabilitation to existing facilities along existing 63rd St. Tunnel. Construction of Plaza Interlocking below grade facilities for Mainline Traction Power Substation C06, Facility Power Substation B11, ventilation, signal, emergency power, mechanical and communication rooms. Construction of Mid-Day Storage Yard Traction Power Substation. Construction of above grade Plaza Bulk Facility Power Substation (B10) and Yard Lead Service Building. Installation of ConEd Manholes and conduits for permanence power services. Construction of miscellaneous site work in preparation for Mid-Day Storage Yard.

Excavation Behind the Slurry Wall. Lead Based Paint Abatement Prep at Roosevelt Island Facility.

Schedule and Cost Progress: Milestones CQ032 th rd th 1. Completed site survey at 12 St., 23 St., & 29 St. vent Original Current facilities and asbestos sampling at existing facilities Baseline Baseline 2. Mobilized to Roosevelt Island facility and commenced temporary Milestones (Approved (Approved Actual/ lighting and power wiring # Description Plan) Plan) Forecast 3. Commenced asbestos abatement, fence installation and N/A NTP 8/10/11(A) N/A 8/10/11(A) demolished existing bollards at Roosevelt Island Facility 4. Mobilized to Vernon Blvd facility and installed construction 1 Complete B10 Substation 6/10/13 N/A 06/19/13 fence and continued installation of temporary lighting and power 2 Turnover YL Track 6/20/13 N/A 06/10/13 Complete C06 Substation 5. Continued transmission of required submittals prior to field 3 9/8/13 N/A 09/06/13 activity area 6. Completed excavation behind the slurry wall at B10 Substation 5 Complete C07 Substation 6/5/14 N/A 06/13/14 area 6 Substantial Completion 8/14/14 N/A 08/22/14 7 Final Completion 11/12/14 N/A 11/20/14 Schedule: The contractor is incorporating comments on the baseline schedule. There is no change to overall schedule. Schedule Progress 4th Quarter Cumulative Cost: The contract was awarded within budget. A revision of Cost Expenditure Plan Actual Plan Actual Detailed Cost Breakdown Structure was submitted for approval. One Percent Complete 1.6 1.2 2.3 2.2 modification has been executed for zero dollar value. Contract Costs ($000) as of 12/31/11 Critical Issues: Coordinate with CQ039 contractor to allow early CQ032 F/A Support Total access for commencement of B10 Substation construction this year. The original contract Access Restraint to begin the work is on Budget at Award 162,114 174 162,288 08/24/12. The early completion of the B10 Substation will facilitate Current Budget 162,114 174 162,288 risk mitigation to the overall ESA program. Original Award 147,377 - 147,377 Approved Changes - - - Current Contract Value 147,377 - 147,377 Invoiced Amount 3,303 - 3,303

Estimate at Completion 162,114 174 162,288

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Quarterly Review Report – 4th Quarter ‘11

Progress Curve (CQ032) 147 100%

133 90% Current Baseline

118 Original Baseline 80%

Actual 103 70%

88 60%

74 50% Millions 59 40%

44 30%

29 20%

15 10%

0 0% 11 11 11 11 11 12 12 13 13 14 12 13 14 11 12 13 14 12 12 12 13 13 13 14 14 14 12 13 14 12 12 12 13 13 13 14 14 14 12 13 14 ------Jul Jul Jul Jul Oct Oct Oct Oct Jan Apr Jan Apr Jan Apr Mar Mar Mar Sep Dec Feb Jun Feb Jun Feb Jun Nov Sep Sep Sep Dec Dec Aug Nov Nov Nov May Aug May Aug May Aug

Safety

. Initial submittals and Safe Work Plans have been completed Safety Statistics* (Cumulative Incidents per 200,000 work-hours) . Environmental and Safety surveys have indicated some minor lead- Project Contract BLS**(‘10) based paint exposure. This will be remediated before work starts in each location. Lost Time Accidents 2.83 0.00 2.20 *The project performance statistics are based on construction hours only **Bureau of Labor Statistics/National Industry Average

Site Map CQ032 – Plaza Substations and Queens Structures

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Quarterly Review Report – 4th Quarter ‘11

Northern Boulevard Crossing (CQ039) Oct, Nov, Dec ‘11 Contractor: Schiavone/Kiewit, a Joint Venture (SK) Construction Construction Manager: Philip Stummvoll FTA Grant: NY-03-0344 Description: Construct mined tunnel under Northern Boulevard, the IND underground subway and the BMT elevated subway. The work includes: 1) Ground improvement/freezing; 2) Underpinning BMT foundations; 3) Complete excavation and support existing slurry walls; 4) Geotechnical instrumentation/monitoring; 5) Sequential tunnel excavation and initial support; and 6) Final structural lining and invert.

Installing Waterproofing for Center Invert Slab Pour. Cutting Off the North Diagonal Bracing from Level 5.

Schedule and Cost Progress: Milestones CQ039 Original Current 1. Completed Early Access Chamber and installation of freeze Baseline Baseline pipes. The ground freeze commenced on November 28th, 2011. Milestones (Approved (Approved Actual/ 2. Completed waterproofing for Plaza Invert Slab and continued # Description Plan) Plan) Forecast installation of Vertical element. Concrete slab will be N/A NTP 02/03/10 02/03/10 02/03/10 (A) constructed in a second phase after completion of tunnel final Complete BMT N/A 09/26/10 09/26/10 11/21/10 (A) lining. Underpinning Completion of Access 3. Commenced installation of tunnel access ramp for the first drift N/A 10/28/10 12/31/10 10/14/10(A) of sequential excavation Chamber N/A Begin Ground Freezing 10/15/10 08/30/11 11/29/11(A) Schedule: The contractor delayed commencement of ground 1 Substantial Completion 10/05/11 08/01/12 12/03/12 freezing because an additional horizontal freeze pipe was required. 2 Final Completion 02/04/12 11/30/12 03/20/13 The mitigation plan was re-submitted to demonstrate the revised recovery plan. Schedule Progress 4th Quarter Cumulative Cost: As of 12/31/11, eleven modifications for a total of $4,699,540 Cost Expenditure Plan Actual Plan Actual have been executed. Current budget increased due to Plaza Invert Percent Complete** 17.1 0.6 63.4 48.9 Slab scope transfer from Plaza Substation & Queens Structures * Curve redesigned based on Original Baseline, Current Baseline and Actual (CQ032) and to fund the global settlement reached with the contractor. Contract Costs ($000) as of 12/31/11 CQ039 F/A Support Total Critical Issues: Budget at Award 89,245 1,245 90,490 . Looking to optimize excavation sequence to make up time . Current Budget** 101,037 1,188 102,225 Potential DSC related to rock elevation impacted schedule this period Original Award 84,950 200 85,150 Approved Changes 4,699 0 4,699 Current Contract Value 89,649 200 89,849 Invoiced Amount 46,993 62 47,055

Estimate at Completion 101,037 1,188 102,225 **The Current Budget includes funds for scope moved from Plaza Substations & Queens Structures (CQ032) to CQ039. This work has not been executed.

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Quarterly Review Report – 4th Quarter ‘11

Coordination Required Real Estate: N/A Permits: Lane closure (DOT) was obtained by contractor. Railroad Agencies: The preliminary design is approved by NYCT. MOU: N/A Instrumentation and monitoring are being coordinated with NYCT. The General Order for BMT underpinning load transfer was obtained.

Progress Curve (CQ039)

98 100%

88 90%

Original Baseline 78 80% Current Baseline

68 70% Actual

59 60%

49 50%

Millions 39 40%

29 30%

20 20%

10 10%

0 0% 11 11 11 11 11 11 11 11 10 12 11 11 10 12 10 12 11 10 12 11 12 10 12 10 10 12 10 12 10 10 12 12 10 12 ------Jul Jul Jul Apr Oct Oct Oct Jan Apr Apr Mar Jun Jun Jan Jun Feb Sep Nov Dec Feb Mar Feb Mar Aug Nov Dec Nov Aug Sep Aug Sep May May May

Safety . Focused blasting was approved by the FDNY and Safety Statistics* successfully completed (Cumulative Incidents per 200,000 work-hours) . Continue ongoing safety walk-thru of sites . After passing the final FDNY inspections and being Project Contract BLS** (‘10) permitted, the freeze plant is running successfully to freeze Lost Time Accidents 2.83 6.08 2.20 the support arch for Northern Blvd. This should be complete by the end of January. *The project performance statistics are based on construction hours only . A concerted safe work plan review with the contractor is **Bureau of Labor Statistics/National Industry Average ongoing prior to the start of the sequential excavation for the Northern Blvd crossing . A senior level meeting will be held in the next quarter with the contractor to discuss additional initiatives to reduce the contract long term accident rate

Site Map

Queens Access to Manhattan Tunnels

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Quarterly Review Report – 4th Quarter ‘11

Harold Structure Part 1 and GO2 Substation (CH053) Oct, Nov, Dec ‘11 Construction Construction Contractor: Perini Corp. Construction Manager: Ken Mattura FTA Grant: NY-03-0344/ NY-95-X025 Description: Construct various civil infrastructure elements at Harold Interlocking and expand the existing LIRR Amtrak Right of Way for the future TBM tunnels and Mainline track diversions including the design, and installation of a pre-fabricated substation and installation of new signal towers and catenary structures by replacing the existing structures.

12kV Ductbank DB502A into Manhole 1C-1D. G02 Substation Cable Installation.

Schedule and Cost Progress: Milestones CH053* 1. Completed installation of signal towers 22-32 and wire transfer to Original Current Milestones existing Signal Tower 25 to allow Tunnel A mining to continue Baseline Baseline Actual/ along Sunnyside Yard # Description (Approved Plan) (Approved Plan) Forecast 2. Continued internal wiring and equipment testing for G02 N/A NTP 01/01/08 01/01/08 01/01/08 (A) Substation. Pulled positive traction power cables and performed Beneficial Occupancy testing on Low Voltage Service. 1 12/16/08 01/01/11 02/20/13 3. Contractor installed two bridge Super Structure Steel and poured Harold Access Bridge (HAB) concrete for Westbound Bypass Bridge from East Abutment to New G02 Substation 3 08/14/09 04/15/11 03/26/13 Pier 1 Complete 4. Continued construction of ML4 Abutment Center Pier 7 Substantial Completion 05/05/10 01/16/12 02/19/14 5. Performed Pile load test for Westbound Bypass Bridge West 8 Final Completion 09/02/10 04/15/12 05/18/14 Abutment. Began installing sheeting for foundation piles. rd 6. Contractor cleared, grubbed & graded area east of 43 Street Schedule Progress 4th Quarter Cumulative 7. Installed catenary steel structures and signal towers and continued Cost Expenditure Plan* Actual Plan Actual installation of catenary foundations as part of Harold Interlocking signal line relocation Percent Complete** 13.7 2.1 97.9 62.3 8. Continued installation of EMH-1A and EHM-6B as part of the 12 * Re-baseline schedule is conditionally approved assuming a substantial completion date of January 2012 kV ductbank relocation **Curve redesigned based on Original Baseline, Current Baseline and Actual Schedule: Contractor is progressing toward the re-baseline sequence to mitigate schedule delay. The re-baseline schedule is being Contract Costs ($000) as of 12/31/11 updated to include design completion of the 12 kV and MP5 drawing F/A packages and the installation in coordination with the ERT Work. CH053 LIRR Costs Support Total Budget at Award 144,144 2,000 18,212 164,356 Cost: The design issues with the Amtrak catenary poles and foundations as well as the 12 kV ductbank are nearing resolution. Current Budget 203,885 2,000 28,605 234,490

Quantity take-offs are being compiled, and will be used to prepare a Original Award 137,280 2,000 28,605 167,885 revised forecast to capture the poles associated with Mainline Package 5. A revised Estimate at Completion is being prepared. The Approved Changes 34,804 0 0 34,804 budget was increased by $12M to fund pending modifications. Current Contract Value 172,084 2,000 28,605 202,689 Contract Modifications: As of 12/31/11, sixty six modifications for Invoiced Amount 108,449 0 21,038 129,487 a total of $34,804,112 have been executed. Estimate at Completion 203,885 2,000 28,605 234,490 Critical Issues: 1. Complete installation of the new signal towers. The relocation is critical to the Queens Tunnel mining and forthcoming signal and communication work. 2. Obtain approval and progress the installation of the MP5 package. The installation of new structures is critical to interfaces with Queens Bored Tunnels and Structures (CQ031). 3. Continue to progress the 12 kV ductbank

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Quarterly Review Report – 4th Quarter ‘11

Coordination Required Real Estate: All easements have been secured. Permits: Pre-award reviews and approvals have been obtained from NYCDOT and NYCDEP. Relevant permit have been obtained by the Railroad Agencies: LIRR and Amtrak will provide contractor. Amtrak Entry Permit was approved. flagging protection and perform required support work. MOU: Amtrak labor clearance was obtained. LIRR and Amtrak force account agreements were signed. Project Initiative (PI) with Amtrak signed. Con Ed: Provide inspection services.

Progress Curve (CH053) 174 100%

157 90% Original Baseline

139 80% Current Baseline

122 Actual 70%

104 60%

87 50% Millions

70 40%

52 30%

35 20%

17 10%

0 0% 11 11 11 11 11 11 11 11 11 11 11 08 08 09 09 10 10 12 11 08 08 08 09 09 09 10 10 10 08 08 09 09 10 10 08 09 10 08 08 09 09 10 10 08 09 10 08 09 10 ------Jul Jul Jul Jul Oct Apr Apr Oct Apr Oct Apr Oct Jan Jun Jan Jan Jan Jan Feb Mar Mar Mar Mar Jun Jun Jun Aug Sep Nov Dec Feb Feb Feb Sep Nov Dec Sep Nov Dec Sep Nov Dec May Aug Aug Aug May May May

Safety

. Continue ongoing safety walk-thru of sites Safety Statistics* (Cumulative Incidents per 200,000 work-hours) . The GO2 substation is nearing completion Project Contract BLS**(‘10) . More signal and catenary tower replacements are proceeding to Lost Time Accidents 2.83 1.69 2.20 reinforce the surface infrastructure above the Queens tunnel paths and upgrade to more stringent weather resistance standards *The project performance statistics are based on construction hours only **Bureau of Labor Statistics/National Industry Average

Site Map

Quarterly Report (Oct, Nov, Dec „11) - East Side Access (PM 3.2.098750) 31

Quarterly Review Report – 4th Quarter ‘11

Harold Structures – Part 2A (CH054A) Oct, Nov, Dec ‘11

Contractor: Perini Corp. Construction Construction Manager: Garth Lawrence FTA Grant: NY-03-0344/ARRA Stimulus Funds NY-36-0002 Description: Construct various civil infrastructure elements at Harold Interlocking and expand the existing LIRR and Amtrak Right of Way for the future TBM tunnels and Main-line track diversions including: 1) the construction of retaining walls, 2) Track D TBM reception pit, 3) AC traction power duct bank, 4) access road work, 5) demolition of existing Catenary

Foundations, 6) procurement of two signal bridges, and 7) other utility relocations and adjustments.

A-1 Cable Termination. Delivery of Signal Bridge E32 and E34.

Schedule and Cost Progress: Milestones CH054A 1. Signal Bridge E34 and Signal Bridge E32 are fabricated Original Current and delivered Milestones Approved Approved 2. Completed installation of power supply for the (Approved (Approved Actual/ transformers for the Amtrak (A-1) and Con-Ed feeder for # Description Plan) Plan) Forecast Amtrak (A-1) F-Interlocking power upgrade 3. Excavated test pits for foundations of signal bridge 11 N/A NTP 08/24/09 08/24/09 08/24/09 (A) 4. Surveyed sub-surface utilities west of Substation #44 2 Retaining Wall THOM S1/S2 05/26/10 05/26/10 12/21/10 (A) 5. Maintain access road along Skillman Ave and performed N/A Complete 12KV relocation 12/07/10 12/07/10 02/28/13 erosion control along Loop 1 3 Substantial Completion 12/21/10 12/21/10 04/29/13 6. Supported LIRR with installation of Point CIL 4 Final Completion 03/21/11 03/21/11 07/31/13 7. Procured force account materials under allowance budget th Schedule: The CH054A contract anticipates delays to Schedule Progress 4 Quarter Cumulative

Substantial Completion due to the re-design of the 12 kV Cost Expenditure Plan Actual Plan Actual feeder ductbank which controls the critical path of the CH054A Percent Complete** 7.3 2.3 57.9 52.8 contract and delays from the relocation of the Harold Structure **Curve redesigned based on Original Baseline, Current Baseline and Actual Part 1 and GO2 Substation (CH053) catenary structures. This is a forecasted progress curve The critical section of the 12 kV ductbank has been completed to support the intermediate milestone for installation of the F2 Contract Costs ($000) as of 12/31/11 Central Instrumentation House. The complete 12 kV ductbank CH054A F/A Support Total design was issued in August, and the construction will Budget at Award 27,067 3,199 30,266 commence in the first quarter of 2012. The contractor plans to mitigate the schedule impact by Current Budget 38,311 3,277 41,588 increasing manpower and number of crews. Weekday night shift and weekend shift work is also being considered to reduce Original Award 21,778 2,978 24,756 overall construction duration. The plan curve is updated to Approved Changes 1,637 0 1,637 demonstrate the estimate at completion. Current Contract Value 23,496 3,277 26,773 Cost: The Current Budget was increased by $9M to fund Invoiced Amount 12,358 1,682 14,040 pending modifications. Estimate at Completion 38,311 3,277 41,588 Contract Modifications: As of 12/31/11, seventeen modifications for a total of $1,719,206 have been executed. Critical Issues: Availability of track outages and railroad protection personnel are required for the storm sewer relocation and 12 kV ductbank installations. This work schedule shall be coordinated with East River Tunnel Outages.

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Quarterly Review Report – 4th Quarter ‘11

Coordination Required Real Estate: All work on railroad property or in Permits: NYCDOT permits needed. Water discharge permit (DEP) needed. city streets. MOU: Obtained Project Initiative and Permit to Enter from Amtrak. Railroad Agencies: Amtrak and LIRR.

Progress Curve (CH054A)

23 100%

21 90% Original Baseline

19 Current Baseline 80%

16 Actual 70%

14 60%

12 50% Millions

9 40%

7 30%

5 20%

2 10%

0 0% 11 11 11 11 11 11 11 11 11 11 09 09 10 10 12 12 10 11 12 13 11 09 10 12 10 10 10 12 12 12 09 10 12 09 09 10 10 10 12 12 12 10 12 ------Jul Jul Jul Jul Oct Oct Oct Apr Oct Jan Jan Apr Feb Mar Jun Jan Apr Jan Mar Mar Feb Jun Sep Feb Jun Dec Sep Dec Sep Dec Nov Sep Dec May Aug Nov Nov Nov Aug May Aug May Aug

Safety . No major safety issues or injuries reported for this month Safety Statistics* (Cumulative Incidents per 200,000 work-hours) . The LTA rate is declining as job hours accumulate and work progresses without incidents Project Contract BLS** (‘10) . Continue safety walk-thru of work sites Lost Time Accidents 2.83 3.16 2.20 . Confined/enclosed space hazard controls are being followed effectively *The project performance statistics are based on construction by the contractor‟s workforce in all manhole, sewer excavation and hours only installation work **Bureau of Labor Statistics/National Industry Average

Site Map

12KV ductbank line Retaining Wall 43-S1

Sewer Line

Retaining Walls THOM-S1 and THOM-S2

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Quarterly Review Report – 4th Quarter ‘11

Harold Stage 1 – Amtrak Force Account (FHA01) Oct, Nov, Dec ‘11

Contractor: Amtrak Construction Construction Manager: Peter Malvese FTA Grant: N/A Description: Install one track crossover (723); Relocate catenary and signal power at several locations, perform modifications and removal of poles; Third-rail installation; Signal infrastructure installation, cable pulls, tie-ins, testing and cut-over of the 723 crossover incorporating changes to “F” Interlocking and software and hardware modification for the Penn Station Central Control (PSCC); Clear debris and other incidentals from the Amtrak Maintenance-of-Way Yard; electrical traction relocations in support of the CH053, 54A and CQ031 civil work.

Signal Wire Measurements for the New Signal Towers. Installing Signal Wires at the New Tower 30.

Schedule and Cost Progress: Milestones FHA01 1. Completed Amtrak signal power wire transfer and cutover Milestones Current from Substation 44 to Tower 25 Baseline Actual/ Original Baseline (Approved 2. Completed removal of existing wire and seven (7) signal # Description Forecast towers (Tower 17/18/19/20/21/22/23) (Approved Plan) Plan) N/A 100% Design 11/19/07 11/19/07 11/19/07 (A) 3. Continued supporting Catenary/Signal Tower installations N/A Commence Stage 1 06/30/07 06/30/07 06/30/07 (A) for Subset A & C and Main Line N/A Cutover Switch O1/O2 04/13/08 08/10/08 10/05/08 (A) 4. Began installing Amtrak signal power cable and ground wire N/A Compl. 68 Spur Track 09/15/09 05/01/10 09/06/10 (A) from Tower 25 to Tower 32 N/A Compl. Signal Power Cable 04/15/09 09/20/10 01/19/12 N/A Substantial Completion 09/30/10 01/03/12 08/13/13 Schedule: The Signal Tower and Catenary work continues to drive the substantial completion date. Schedule Progress 4th Quarter Cumulative Cost: As of 12/31/11, one modification for a total of $1,500,000 Cost Expenditure Plan Actual Plan Actual has been executed. Costs are within the current budget and it is Percent Complete** 7.3 2.3 96.8 69.3 expected that the contract will be completed within or below **Curve redesigned based on Original Baseline, Current Baseline and Actual budget. Contract Costs ($000) as of 12/31/11 Critical Issues: None Stage 1 Total Budget at Award 9,500 9,500 Current Budget 16,825 16,825

Original Award 9,500 9,500 Approved Changes 1,500 1,500 Current Contract Value 16,825 16,825 Invoiced Amount 13,503 13,503

Estimate at Completion 16,825 16,825

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Quarterly Review Report – 4th Quarter ‘11

Progress Curve (FHA01)

100% 16 90% Original Baseline 14 Current Baseline 80%

12 Actual 70%

10 60%

50% 8

Millions 40% 6 30% 4 20%

2 10%

0 0% May-07 Jul-07 Sep-07 Nov-07 Jan-08 Mar-08 May-08 Jul-08 Sep-08 Nov-08 Jan-09 Mar-09 May-09 Jul-09 Sep-09 Nov-09 Jan-10 Mar-10 May-10 Jul-10 Sep-10 Nov-10 Jan-11 Mar-11 May-11 Jul-11 Sep-11 Nov-11 Jan-12 Month/Year

Coordination Required Real Estate: None required. Permits: None required. MOU: Amtrak Force Account Agreement has been signed. Railroad Agencies: LIRR and Amtrak.

Site Map

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Quarterly Review Report – 4th Quarter ‘11

Harold Early Stage 2 – Amtrak Force Account (FHA02) Oct, Nov, Dec ‘11 Construction Contractor: Amtrak Construction Manager: Peter Malvese FTA Grant: N/A Description: Convert air switches 735, 737, 741, and 743 from air to electric; Install new electric switch machines; Install temporary signal case, cable pulls, tie-ins, testing and cut-over switches; Install signal troughs, pull boxes, 9-ways/conduits, and case foundations

for F1 and F2 Central Instrument Houses (CIH).

Installing Pull Box for F2B Signal Case. Install Conduits North of Line 3 for 747 and 749 Switches.

Schedule and Cost Progress: Milestones Early FHA02 1. Completed final track shift and re-alignment for Line 1 Original Current and Line 3 Milestones Baseline Baseline Actual/ 2. Completed installation of additional troughs and pull (Approved (Approved Forecast boxes between Line 3 and EWD LI Pass track for the # Description Plan) Plan) switch point protections N/A Commence Early Stage 2 12/15/08 12/15/08 12/15/08 (A) 3. Installed four (4) (2EB/4EB/1E25/3E25) signal cases and N/A Cutover Switch Machine-741 06/13/09 06/13/09 06/06/09 (A) leg foundations for the F2SM1 snow melter case N/A Cutover Switch Machine-743 06/21/09 06/21/09 06/20/09 (A) 4. Continued installing conduits crossing Line 1 and Line 3 N/A Cutover Switch Machine-735 07/11/09 07/11/09 05/30/09 (A) tracks to signals/switches for F2-CIH N/A Cutover Switch Machine-737 07/18/09 07/18/09 06/14/09 (A) N/A Install F2 CIH 10/15/10 10/15/10 04/02/11 (A) Project Initiative (P.I.) Status: N/A Track Alignment – Line 1 & 3 08/15/10 08/15/10 12/16/11 (A) ESA continued working with Amtrak Communication & N/A Complete Early Stage 2 12/30/10 12/30/10 TBD Signal to finalize the estimate and schedule. Track/3rd Rail Schedule Progress 4th Quarter Cumulative /Electric Traction (ET) concurred with the estimate and schedule. Cost Expenditure Plan Actual Plan Actual Percent Complete** - - - - The P.I. for ET Catenary will be issued separately since the To be updated after PI is approved ET Catenary design was completed in December 2011. **Curve redesigned based on Original Baseline, Current Baseline and Actual Schedule: Contract Costs ($000) as of 12/31/11 Four switches (turnouts – 771 E/W and 747 E/W) are Early Stage 2 F/A Support Total scheduled for February / March 2012. Budget at Award** 9,706 - 9,706 Cost: Current Budget** 9,706 - 9,706 Additional work is being authorized. Negotiations in progress with Amtrak to increase the P.I. to cover the cost of FHA02. Original Award 9,706 - 9,706 Critical Issues: None. Approved Changes - - - Current Contract Value 9,706 - 9,706 Invoiced Amount*** 11,878 - 11,878

Estimate at Completion TBD - TBD **Note: Stage 2 partial budget (early work only) ***Note: P.I. value under negotiation

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Quarterly Review Report – 4th Quarter ‘11

Progress Curve (FHA02)

To be updated after PI is approved.

Coordination Required Real Estate: None required. Permits: None required. MOU: Amtrak Force Account Agreement has been signed. Railroad Agencies: LIRR and Amtrak.

Site Map

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Quarterly Review Report – 4th Quarter ‘11

Harold Stage 1 – LIRR Force Account (FHL01) Oct, Nov, Dec ‘11

Contractor: LIRR Construction Construction Manager: Peter Malvese FTA Grant: NY-03-0344 Description: Install eight track switches into the existing signal system; remove two switches; Install signal infrastructure in preparation of Stage 2 (Harold and Point CILs); Reroute signal power cables: Install third rail for new switches & track. Pull traction power cables from G02 Substation final manholes to Harold Main Line tracks; Energize and commission the relocated G02 Substation installed by CH053. Install and relocate signal and communications cables. Cut and throw Main Line 4 and relocated Main Line 2 upon CH053 expanding the South ROW East of 43rd Street.

Install Conduits at North of GO2 Substation. Install 3rd Rail Conduits Crossing ML1 and ML3 Tracks.

Schedule and Cost Progress: Milestones FHL01 1. Relocated 3rd rail power cables for supporting the 12 kV duct Original Current Milestones bank work at Substation 44 Baseline Baseline Actual/ (Approved (Approved Forecast Schedule: # Description Plan) Plan) The LIRR signal towers are planned for January „12 delivery and N/A 100% Design 06/07 06/07 07/07 (A) the LIRR signal power relocation is planned for April „12. N/A Begin Stage 1 06/29/07 06/29/07 06/29/07 (A) The Electric Traction power work for G02 substation is N/A Install 823 Switches 01/25/08 03/20/10 08/21/10 (A) rescheduled to 3rd Quarter of 2012 due to the impact of the 12 kV N/A Cutover 865 Switch 03/01/09 10/16/10 10/16/10 (A) duct bank. N/A Compl. Signal Power Cable 07/15/09 09/20/10 04/23/12 Operate 821 & 823 N/A Cost: Switches 02/15/10 03/05/11 03/05/13 The contract is expected to be completed within the current budget. N/A Substantial Completion 09/30/10 10/10/11 07/22/13

th Schedule Progress 4 Quarter Cumulative Critical Issues: Cost Expenditure Plan Actual Plan Actual The cutover of 821 and 823 switches is rescheduled to March 2013 Percent Complete** 10.5 2.5 100.0 72.0 since the design of the Amtrak signal tower and catenary is **Curve redesigned based on Original Baseline, Current Baseline and Actual delayed. Contract Costs ($000) as of 12/31/11 Stage 1 F/A Support Total Budget at Award 28,781 - 28,781 Current Budget 21,972 - 21,972

Original Award 28,781 - 28,781 Approved Changes - - - Current Contract Value 20,782 - 20,782 Invoiced Amount 17,190 - 17,190

Estimate at Completion 21,972 - 21,972

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Quarterly Review Report – 4th Quarter ‘11

Progress Curve (FHL01)

130% 120% 25 Orginal Baseline 110%

Current Baseline 100% 20 90% Actual 80% 70% 15 60%

Millions 50% 10 40% 30% 5 20% 10% 0 0% Jun-07 Aug-07 Oct-07 Dec-07 Feb-08 Apr-08 Jun-08 Aug-08 Oct-08 Dec-08 Feb-09 Apr-09 Jun-09 Aug-09 Oct-09 Dec-09 Feb-10 Apr-10 Jun-10 Aug-10 Oct-10 Dec-10 Feb-11 Apr-11 Jun-11 Aug-11 Oct-11 Dec-11 Month/Year

Coordination Issues Real Estate: None required. MOU: Amtrak Force Account Agreement signed. LIRR Force Railroad Agencies: LIRR and Amtrak. Account Agreement signed.

Permits: None required.

Site Map

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Quarterly Review Report – 4th Quarter ‘11

Harold Early Stage 2 – LIRR Force Account (FHL02) Oct, Nov, Dec ‘11 Construction Contractor: LIRR Construction Manager: Peter Malvese FTA Grant: NY-03-0344 Description: Advanced signal work for Stage 2 including cable trough, conduit and pull box installations, located in Point Interlocking and the West End of Harold Interlocking. Scope includes signal training for 4th signal gang.

Installing Track Panels for PW2 Track Re-Construction. Perform Continuous Welded Rail on EWD LI Passenger Track.

Schedule and Cost Progress: Milestones FHL02 1. Completed installation of temporary pedestal signals, Original Current conduits and cables for new signal bridge 23 and 11 Milestones Baseline Baseline Actual/ 2. Completed PW2 Track reconstruction work (Approved (Approved Forecast # Description Plan) Plan) 3. Continued installation of communication conduits and N/A Commence Stage 2 08/17/09 08/17/09 08/17/09 (A) pull boxes for the new Point CIL at Thomson Ave N/A Compl. Trough - Point CIL 03/03/10 03/03/10 05/15/10 (A) 4. Continued pulling signal cables, point checking, and Compl. Trough - H4 CIL N/A break-down testing for the new Point CIL (Early Work) 10/28/10 10/28/10 08/04/10 (A) 5. Continued circuit revision tie-in at the existing Point N/A Complete. Early Stage 2 01/30/11 01/30/11 TBD

CIL th Schedule Progress 4 Quarter Cumulative 6. Continued installation of HTSCS (Harold Tower Cost Expenditure Plan Actual Plan Actual Supervisory Control System) furniture and server Percent Complete** - - - - connection in temporary signal trailer To be updated after MOU (part 3) is approved Schedule: **Curve redesigned based on Original Baseline, Current Baseline and Actual The Continuous Welded Rail (CWR) on EWD LI Passenger Contract Costs ($000) as of 12/31/11 Track is scheduled for completion in January 2011. Early Stage 2* Signal Training Total Cost: Budget at Award 7,351 3,429 10,780 Stage 2 MOU (part 3) is circulated for approval. Once MOU Current Budget 7,351 3,429 10,780 is approved, the numbers in “Cost table” will be updated. Original Award 7,351 3,429 10,780

Approved Changes - - - Critical Issues: None Current Contract Value 7,351 3,429 10,780 Invoiced Amount** 10,369 2,730 13,099

Estimate at Completion TBD 2,730 TBD *Note: Stage 2 partial budget (early work only) **Note: MOU value under negotiation. Once MOU is signed off, the curve will be revised.

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Quarterly Review Report – 4th Quarter ‘11

Progress Curve (FHL02)

To be updated after MOU (part 3) is approved.

Coordination Issues Real Estate: None required. MOU: Amtrak Force Account Agreement signed. LIRR Force Railroad Agencies: LIRR and Amtrak. Account Agreement signed. Permits: None required.

Site Map

Early Stage 2 Trough Line

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Quarterly Review Report – 4th Quarter ‘11

Procure Harold Materials – Stage 2 (VHA/L02) Oct, Nov, Dec ‘11

Contractor: Various FTA Grant: ARRA Stimulus Funds NY-36-0002 (Only Procurement Construction Manager: Peter Malvese VHL02) Description: Procure LIRR and Amtrak Force Account material in support of Stage 2 construction. LIRR will manage and operate the project warehouse with ESA oversight. Example of materials include: Track - switches, rail, concrete ties and ballast; Third- Rail & Power – rail, cables, boards, brackets, wire, power connectors, bus bar; Signal Equipment – switch machines, cables, signals, relays, motor generators, heaters, troughs, impedance bonds; and Structures – signal bridges, retaining walls etc.; Communications – equipment, wire, cables, and poles.

Materials at Warehouse Storage Area.

Schedule and Cost

Status: Amtrak – VHA02 – Budget Summary (12/31/11) Harold Stage 2 Percent 1. Delivered Amtrak 7 switches with hollow ties Awarded PO Procurement Estimate at to Queens St. Warehouse Material Budget Value to Date Completed Completion 2. Continued to review revised bill of materials Signals 6,074,955 5,152,643 86% 6,074,955 for VHA/L02, and create requisitions to Track 3,434,215 2,968,019 86% 3,434,215 support the construction schedule for 2012 Third Rail 491,632 491,632 100% 491,632 3. Continued VHA/L02 materials procurement for DC Traction 431,615 431,615 100% 431,615 signal, track, third rail, electrical traction/catenary activities Communication 126,716 0 0% 126,716 Catenary 553,007 443,998 80% 553,100 Cost: Table shows value of awards to date. An overall VHL02 savings is expected due to large Elec. Traction 2,106,948 1,677,415 80% 2,106,948 scale advance procurement for Stage 2 materials. Totals 13,219,087 11,165,322 84% 13,219,181 The budget of VHL02 was increased to purchase two motor generators for Harold signal power LIRR – VHL02 – Budget Summary (12/31/11) separation. Harold Stage 2 Percent Critical Issues: None. Awarded PO Procurement Estimate at Material Budget Value to Date Completed Completion Signals 11,744,076 6,074,050 84% 7,288,860 Track 8,300,639 7,905,900 95% 8,300,639 Third Rail 1,965,065 1,846,050 94% 1,965,065 Communication 2,850,950 0 0% 2,850,950 Subtotals 24,860,730 15,826,000 78% 20,405,514 Motor Generators 4,176,157 0 0% 4,176,157 Totals 29,036,887 15,826,000 64% 24,581,671

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Quarterly Review Report – 4th Quarter ‘11

Harold and Point CILs – (VH051 Part 1) Oct, Nov, Dec ‘11

Contractor: Ansaldo STS USA, Inc. (ASTS) Construction Construction Manager: Chuck Miller FTA Grant: NY-03-0344 Description: This includes the procurement of seven Harold Interlocking Central Instrument Locations (CILs) and one Point Interlocking CIL and the purchase of a fully operational Vital Microprocessor-Based Interlocking Control System for the referenced interlockings. This system will operate the new Harold Interlocking configuration and eventually connect to the new GCT tunnels.

POINT Battery Hut Exterior. POINT CIL Interior.

Schedule and Cost Progress: Milestones VH051 (Part 1) 1. H4 CIL hardware has been installed. Change to software due to 843 Original Current Switch must still be made. Milestones Baseline Baseline Actual/ 2. H3 CIL manufacturing is in progress (Approved (Approved Forecast # Description 3. Submittals for CIL locations H3, H4, H5 and H6 continue to be Plan) Plan) cycled for review and approval N/A NTP 05/11/09 05/11/09 05/11/09 (A) 1 Compl. POINT CIL set 06/30/10 06/30/10 11/06/11 (A) 4. LIRR continues testing of the Communication and Synch boards. 4 Compl. H4 CIL 04/26/11 04/26/11 04/24/12 Testing has progressed satisfactorily and will continue until POINT cutover which is scheduled for the first quarter of 2013. 5 Compl. H5 CIL 05/26/11 05/26/11 11/08/12 6 Compl. H6 CIL 07/26/11 07/26/11 01/17/13

7 Compl. 30 Loc Hut 07/26/11 07/26/11 01/14/13 Schedule: The schedule at right reflects current delivery dates. The 8 Compl. H1 CIL 10/26/11 10/26/11 05/13/13 schedule progress table will be updated to reflect dates as per the 8 Compl. H2 CIL 10/26/11 10/26/11 05/27/13 Milestone Update change order. 8 Compl. H3 CIL 10/26/11 10/26/11 08/14/12 Cost: The project is currently within budget. As of 12/31/11, two 9 Substantial Completion 06/25/12 06/25/12 TBD contract modifications have been executed for $186,514. Two pending 10 Final Completion 07/25/12 07/25/12 TBD change orders, milestone updates and engineering changes (including th the 843 Switch work), in the amount of $1,628,638 are in process. Schedule Progress 4 Quarter Cumulative

Cost Expenditure Plan Actual Plan Actual Critical Issues: Percent Complete** 28.2 4.0 66.5 30.0 1. Receipt of the LIRR and GEC review comments of the ASTS submittals on time is critical to progress the work. The design is **Curve redesigned based on Original Baseline, Current Baseline and Actual dependent on the incorporation of the comments in order for ASTS to Contract Costs ($000) as of 12/31/11 meet the current delivery schedules. The GEC is still in the process of attempting to mitigate delays in furnishing responses by bolstering VH051-1 F/A Support Total its signal design team and targeting submittals which may affect the Budget at Award 30,891 - 30,891 H4 delivery. Current Budget 30,753 - 30,753 2. ARINC‟s work on the FHACS and expedited delivery of the equipment are necessary to mitigate any further delays to the CIL Original Award 25,840 - 25,840 delivery and, subsequently, the cut-over dates. Amtrak and LIRR Approved Changes 186 - 186 support are also required for hub rack builds and acceptance of the Current Contract Value 26,026 - 26,026 staging and cut-over plans. Invoiced Amount 6,694 - 6,694

Estimate at Completion 30,753 - 30,753

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Quarterly Review Report – 4th Quarter ‘11

Progress Curve (VH051 Part 1) 100%

24 90% Original Baseline 21 Current Baseline 80%

18 Actual 70%

60% 15

50% 12

Millions 40% 9 30% 6 20%

3 10%

0 0% Apr-09 Jun-09 Aug-09 Oct-09 Dec-09 Feb-10 Apr-10 Jun-10 Aug-10 Oct-10 Dec-10 Feb-11 Apr-11 Jun-11 Aug-11 Oct-11 Dec-11 Feb-12 Apr-12 Jun-12 Aug-12 Oct-12 Month/Year

Coordination Issues Real Estate: N/A Permits: N/A Railroad Agencies: LIRR/ Amtrak MOU: LIRR Force Account MOU signed.

Site Map PROPOSED STAGE 2 CONSTRUCTION AREAS

CILs Locations at Harold H3, H2, H1 CILs

F1 CIL

F2 CIL H4, H5, H6 CILs

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Quarterly Review Report – 4th Quarter ‘11

Harold Tower Supervisory Control System (VH051 Part 2) Oct, Nov, Dec ‘11 Contractor: ARINC, Inc. Construction Construction Manager: Chuck Miller FTA Grant: NY-03-0344 Description: This procurement contract requires purchase of a fully operational Harold Tower Supervisory Control System (HTSCS) for control of signals at Harold and Point Interlocking.

HTSCS Temporary Trailer at 39th St.

Schedule and Cost Milestones VH051 (Part 2) Progress: Original Current 1. ARINC continues to progress the work on the F Interlocking Milestones Baseline Baseline Actual/ Harold Interlocking Alternate Control System (FHACS) as (Approved (Approved Forecast well as to support changes required by the modification of the # Description Plan) Plan) F Interlocking sequencing effort N/A Advertise 03/27/08 03/27/08 03/27/08 (A) 2. Approximately 99% of the FHACS hardware has been received by ARINC N/A NTP 02/03/09 02/03/09 02/03/09 (A) Delivery of HTSCS Control 1 03/16/10 03/16/10 10/08/10 (A) Schedule: The milestone progress table at right has been revised System to reflect the addition of the FHACS work. Revisions caused by 2 Delivery of FHACS - - 03/09/12 the retention of 843 Switch through Stage 2I, ERT repair work, 4 Substantial Completion 08/24/10 08/24/10 12/31/12 available railroad cut-over support and the updating of the Code 5 Final Completion 05/03/12 05/03/12 11/23/13 Charts may further impact the schedule. The FHACS Factory th Acceptance Test has been scheduled for Feb „12 and system Schedule Progress 4 Quarter Cumulative delivery targeted for Mar „12. Cost Expenditure Plan Actual Plan Actual Percent Complete** 0.0 8.0 54.0 62.0 Cost: As of 12/31/11, four contract modifications have been **Curve redesigned based on Original Baseline, Current Baseline and Actual executed for a total of $1,776,701, with two pending changes in the amount of $63,000; ARINC‟s effort associated with retaining the 843 Switch through several additional sub-stages and the Contract Costs ($000) as of 12/31/11 updating of the Code Charts. VH051-2 F/A Support Total Budget at Award 7,061 - 7,061 Critical Issues: Current Budget 8,091 - 8,091 1. The critical plan is being maintained which tests GATE Original Award 5,354 - 5,354 Interlocking initially, exercising the control system and performing the cut-over on a small interlocking to prepare for Approved Changes 1,776 - 1,776 the transition to F2 and F1 Interlockings Current Contract Value 7,131 - 7,131 Invoiced Amount 4,344 - 4,344 2. The availability of Amtrak project management resources is a critical element to the successful completion of the temporary Estimate at Completion 8,091 - 8,091 work. The management support now being provided (signal, **The budget includes funds for options construction and track) should result in continued progress towards meeting the scheduled cut-over dates.

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Quarterly Review Report – 4th Quarter ‘11

Progress Curve (VH051 Part 2) 100% 7

Current Baseline 90% 6 Original Baseline 80%

Actual 5 70%

60% 4 50%

Millions 3 40%

30% 2

20% 1 10%

0 0% Mar-09 Jun-09 Sep-09 Dec-09 Mar-10 Jun-10 Sep-10 Dec-10 Mar-11 Jun-11 Sep-11 Dec-11 Mar-12 Jun-12 Sep-12 Dec-12

Month/Year

Coordination Issues Real Estate: N/A Permits: N/A Railroad Agencies: LIRR. MOU: LIRR Force Account MOU signed.

Site Map PROPOSED STAGE 2 CONSTRUCTION AREAS

CILs Locations at Harold H3, H2, H1 CILs

F1 CIL

F2 CIL H4, H5, H6 CILs

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Quarterly Review Report – 4th Quarter ‘11

Summary of Completed Contracts Substantial Completion Plan Original Budget at Project Description/ Contractor NTP Orig Revised Actual Award ($M) Final Budget Manhattan / Bronx CM001 – Highbridge Yard 09/05/01 04/15/03 04/15/03 12/04/03 80.1 75.6 Highbridge Yard Contractors CM008 - Madison Yard Site Clearance 03/09/09 06/02/10 04/10/11 04/10/11 40.9 42.7 Gramercy Group, Inc. CM016 – Manhattan Approach Tunnels Excavation 02/23/04 08/20/04 08/20/04 08/18/04 11.8 11.1 Kiewit Constructors, Inc. CM017 – GCT East Yard Remediation 01/06/03 10/3/03 10/3/03 09/26/03 2.2 1.8 Tully Environmental Inc. FMM02 – GCT East Yard Track & Signal Modifications 12/01/02 12/09 12/09 12/08 58.7 26.8 MNR F/A FM216 – MNR Traction Power MODs & 13.2 kV Loop 09/25/08 06/30/10 06/30/10 06/30/10 14.5 17.0 TC Electric CS770 – GCT Flat Cars Procurement 11/17/08 02/09 03/09 03/09 2.4 2.3 J-Track, LLC CS780 – Madison Yard Preparation 05/14/08 12/08 04/09 09/09 4.4 4.9 T. Moriarty and Sons, Inc. CS790 – GCT Protection Works 10/23/08 10/09 09/10 10/08/10 12.8 13.0 Ad-Tech Enterprises CS800 – GCT Instrumentation 06/28/08 06/09 09/09 09/09 7.1 7.5 Wang Technology, LLC. VM022 – MNR Locomotives 12/01/02 01/09 01/09 05/11/09 5.8 5.5 Brookville Equipment Corp. QUEENS CQ025 – Demolition of Superior Reed Bldg and Preparation of Yard A 11/05/02 07/02/03 09/15/03 09/15/03 5.3 5.6 Tully Environmental, Inc. CQ026 – Open Cut Excavation at Bellmouth 10/07/02 09/07/03 11/25/03 11/25/03 16.8 18.7 Kiewit Construction, Inc. CQ027 – Arch St Yard and Shop Facility 07/09/02 06/28/04 11/30/04 12/31/04 77.1 77.1 Slattery Skanska/Edwards & Kelcey CQ028 – Queens Open-Cut Excavation* 04/27/06 04/15/08 10/22/08 06/08 121.5 62.8 Pile Foundation Construction Co., Inc. CQE28-01 – Emergency Work Civil/Structural 06/08 10/09 10/09 12/09 6.5 8.0 Railroad Construction Co., Inc. CQE28-02 – Queens Emergency Work – Environmental 07/14/08 08/09 01/10 02/10 8.8 2.9 Impact Environmental Consulting, Inc. FQA36 – Arch Street Yard Access – Amtrak 11/14/04 09/01/05 06/23/06 06/23/06 3.8 3.4 Amtrak F/A FQL36 – Arch Street Yard Access – LIRR 11/14/04 09/01/05 06/23/06 06/23/06 8.3 4.9 LIRR F/A FQL35 – Wood Interlocking – LIRR 07/05 10/08 10/08 11/08 26.9 27.2 LIRR F/A VH055 – Switch Exchange System (Procurement) 12/20/02 06/27/04 05/29/05 09/30/05 17.7 17.2 Plasser American Corp. VHA01 – Procure Harold Materials – Stage 1 Amtrak 06/06/06 07/08 09/29/10 09/09 5.1 5.2 Various VHL01 – Procure Harold Materials – Stage 1 LIRR 06/26/07 01/09 03/10 09/09 8.3 8.3 Quarterly Report (Oct, Nov, Dec „11) - East Side Access (PM 3.2.098750) 47

Quarterly Review Report – 4th Quarter ‘11

Substantial Completion Plan Original Budget at Project Description/ Contractor NTP Orig Revised Actual Award ($M) Final Budget Various CS099 – Advanced Procurement of 3rd Party Materials 03/10 03/11 03/11 03/11 37.9 17.2 Various CS810 – Queens Instrumentation 05/06/09 05/10 05/11 09/11 3.0 3.1 Wang Technology FHA62 – F Interlocking CIH 09/11/08 08/10 07/11 08/11 8.2 8.2 Amtrak Force Account Total 595.9 478.0 *This contract was defaulted

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Quarterly Review Report – 4th Quarter ‘11

Contract Packaging Plan – Rev. 9.0

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Quarterly Review Report – 4th Quarter ‘11

Summary Program Schedule

Page 1 of 2

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Quarterly Review Report – 4th Quarter ‘11

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Quarterly Review Report – 4th Quarter ‘11

Funding and Budget Project Budget Summary (As of Dec 31, 2011) ($ in thousands)

FFGA Current Awarded Paid Component Budget Budget Value To Date EAC EIS & Engineering $486,270 $589,668 $570,364 $550,302 $589,668 Construction 4,441,776 5,570,139 3,433,753 2,257,519 5,570,139 Contracts Awarded 1,838,859 3,711,267 N/A N/A Contracts To Be Awarded 2,602,917 1,858,872 N/A N/A OCIP* 250,000 190,853 112,942 97,580 190,853 Management** 475,652 609,023 444,127 390,588 609,023 Real Estate 165,000 166,318 101,853 99,988 166,318 Rolling Stock*** 531,202 202,000 0 0 202,000 Total $6,349,900 $7,328,000 $4,663,038 $3,395,977 $7,328,000 Rolling Stock Reserve 463,000 Total with Rolling Stock Reserve $7,791,000 Funded thru 2011 $5,555,571 Balance of Funds $2,235,429 * OCIP budget does not include $84 million paid with surety funds that are not includes in the project budget. **FFGA budget includes General Conditions (GC). GC Costs were subsequently moved to construction.

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Quarterly Review Report – 4th Quarter ‘11

Project Funding Status (As of Dec 31, 2011) ($ in Millions)

Total Budget (exclusive of financing costs) $7,328.0 MTA Capital Programs Budget Funding Federal Local New Starts Other New Starts ARRA 1995-1999 $ 7.7 $ 45.7 0 0 $ 112.0 2000-2004 1,560.5 591.1 0 28.8 940.6 2005-2009 2,655.8 1799.9 195.4 37.9 622.6 2010-2014 2,954.0 0 0 0 2,954.0 Total $7,328.0 $2,436.7 195.4 66.7 $4,629.2 *Totals may not add due to rounding. Value of Contract Awards $4,663.0 . Federal Share of Contract Awards 1,810.3 38.8% . Local Share of Contract Awards 2,852.7 61.2% Value of Finance Charges Incurred (based on prorated share) $230.9 million

Summary of Federal Grants Received (FFGA) FTA Obligation Grant No. Award Date FFY Amount Disbursement NY-03-0344 22-Jun-99 1998 $19.9 $19.9 1999 23.8 23.8 NY-03-0344-01 25-Apr-00 2000 2.0 2.0 NY-03-0344-02 14-May-01 2001 7.9 7.9 NY-03-0344-03 13-Jun-02 2002 14.6 14.6 NY-03-0344-04 05-Aug-03 2003 13.3 13.3 NY-03-0344-05 21-Sep-04 2004 73.8 73.8 NY-03-0344-06 10-May-05 2005 65.2 65.2 NY-03-0344-07 27-Jan-06 2005 34.0 34.0 NY-03-0344-08 21-Dec-06 2006 333.2 333.2 NY-03-0344-09 01 Aug 07 2007 300.0 300.0 NY-03-0344-10 11 Aug 08 2008 210.7 210.7 NY-36-0002 (ARRA) 01-Mar-10 2009 195.4 195.4 NY-03-0344-11 23-Sep-10 2009 207.5 207.5 NY-03-0344-12 20-Sep-11 2011 246.9 66.2 Subtotal ESA New Starts Grants $1,748.3 $1,567.6 NY-90-X467 (MNR&LIRR) 29-Mar-02 2002 15.2 15.2 NY-03-0395 (LIRR) 20-Feb-02 2002 7.5 7.5 NY-03-0406 (MNR) 12-May-03 2003 5.0 5.0 NY-90-X489 (MNR) 08-Aug-03 2003 1.1 1.1 NY-03-0427 (LIRR) 01-Mar-05 2005 2.0 2.0 NY-05-0108 (LIRR) 27-Jun-06 2006 2.7 2.7 NY-05-0109 (LIRR) 24 Jul -07 2007 5.8 5.8 NY-95-X002 ESA (CMAQ) 14-Sep-07 2007 6.6 6.6 NY-95-X009 ESA (CMAQ) 13-Jan-09 2008 2.3 2.3 NY-95-X015 ESA (CMAQ) 22-Sep-09 2009 2.3 2.3 NY-95-X025 ESA (CMAQ) 23-Sep-10 2010 11.6 0 Subtotal Non-New Starts Grants $62.0 $50.4 Total All Grants $1,810.3 $1,618.0

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Quarterly Review Report – 4th Quarter ‘11

Status of Project Contingency Status of Project Contingency ($M) Sept. '09 3rd Qtr ’11 4th Qtr ’11 Current Baseline Balance Drawdown Contingency %* AFI Harold $11.5 11.0 0 11.0 Manhattan 43.8 51.4 0 51.4 Queens 22.5 7.2 0 7.2 Systems 31.1 54.8 0 54.8 Total AFI $108.9 124.4 0 124.4 7.6% AWO (MODS) Harold $61.1 78.2 (10.6) 67.6 Manhattan 86.3 74.9 (0.2) 74.7 Queens 61.4 59.0 (1.4) 57.6 Systems 32.6 33.2 0 33.2 Construction Contingency 0.0 13.8 (3.1) 10.7 Total AWO (MODS) $241.40 259.1 (15.3) 243.8 8.3% Engineering 6.7 10.2 6.2 16.4 OCIP 18.3 18.3 0 18.3 Real Estate 33.8 33.8 0 33.8 Rolling Stock 15.3 15.3 0 15.3 Soft Cost 74.1 77.6 6.2 83.8 Total $424.4 461.1 (9.1) 452.0 * AFI % calculation represents the current value of AFI contingency as a percent of total unawarded construction. AWO (MODS) % calculation is the current value of contingency as a percent of total active/unawarded work to go for that category Value include both third party and force account (direct + indirect) contingency Notes:

Contingency Drawdown ($ in Millions) September 2009 Baseline 424.4 Third Quarter ’11 Balance: 461.1 Fourth Quarter ’11 Adjustments: Executed Modifications CM013 – 50th Street Vent Plant (0.1) CM004 – 44th St Vent Plant & 245 Park Ave Entrance (0.1) CH053 - Harold Structures Part I (2.9) GEC (1.9) CQ031 - Queens Bored Tunnels and Structures (0.2) CQ039 - Northern Blvd Crossing (0.2) Revised Estimate to Complete Concrete Testing revised EAC (0.4) VH051A/VH051B - Contingency Reassigned to Future Options (4.5) VQ066 - Force Account Warehouse Increased EAC (2.1) Access and Protection Increased EAC (6.0) Signal Bridge Repackaging (0.2) CM013R - Manhattan Building Improvements Revised EAC (0.5) Favorable Systems Testing & Commissioning Estimate 10.5 GEC Design Budget Increased EAC (0.5) Total Fourth Quarter ’11 Adjustments: (9.1) Total 452.0

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Quarterly Review Report – 4th Quarter ‘11

Construction Contingency Change from Last Quarter ($ in Millions) Third Quarter ’11 Balance: 13.8 October ’11 Concrete Testing Revised EAC (0.4) October ’11 Total 13.4 November ’11 VQ066 – Force Account Warehouse Revised EAC (2.1) CM013R - Manhattan Building Improvements Revised EAC (0.5) Access and Protection Adjustments Revised EAC (3.4) VHL02 – Harold Materials Stage 2 - LIRR Revised EAC 1.6 November ’11 Total 8.9 December ’11 FSL00 – Systems Testing and Commissioning Revised EAC 10.5 General Engineering Consultant Revised EAC (8.7) December ’11 Total 10.7

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Quarterly Review Report – 4th Quarter ‘11

1st Quarter 2012 - Look Ahead

Design Active Design Packages Table Next Design Milestone Contract Description Start & Date Comments Manhattan CM014B GCT Concourse & Facilities 100%

Fit-Out 06/12 CM015 48th Street Entrance 30% N/A 05/12 Queens CQ033 Mid-Day Storage Yard 90% 60% submittal received 10/11. N/A 02/12 FQA65 Loop Interlocking CIL – 100% N/A Amtrak F/A 02/12 Harold CH057 Harold Structures Part 3A 100% N/A 04/12 CH058 Harold Structures Part 3B 90% N/A 06/12 CH059 Harold Structures Part 4 60% N/A 04/12 FHA02 Harold Stage 2 60% N/A Amtrak Catenary 02/12 FHA03 Harold Stage 3 Amtrak F/A 100% N/A 02/12 FHA03 Harold Stage 3 60% N/A Amtrak Catenary 03/12 FHL03 Harold Stage 3 LIRR F/A 100% N/A 02/12 FHA04 Harold Stage 4 60% 30% submittal received 01/12. N/A Amtrak F/A 04/12 FHL04 Harold Stage 4 60% 30% submittal received 01/12. N/A LIRR F/A 04/12

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Quarterly Review Report – 4th Quarter ‘11

Grand Central Terminal . Advance the GCT Concourse and Facilities Fit Out (CM014B) contract documents . Resolve the Vertical Circulation – Escalators & Elevators (VM014) technical and design interface issues within the GCT Concourse and Facilities Fit Out (CM014B) contract documents . Advance the 48th St. Entrance (CM015) design work . Continue the Vertical Circulation – Escalators & Elevators (VM014) technical and design interface within the 48th Street Entrance (CM015) Railroad Systems . Finalize the incorporation of the revised 250Hz approach in the final tunnel signal design . Update Tunnel Simulation to incorporate refinement of Tunnel Signal Design . Develop mitigations for System Schedule Risks . Provide support for the Systems Package 1 Facilities Systems - Communications, Controls, Security, Fire Detection, Tunnel Ventilation and Facility Power (CS179) procurement Operational Readiness/LIRR Start Up . Working with LIRR ESA/SP and LIRR Task Groups on determining supporting activities for all Operational Tasks . Finalizing the review of the scheduling of ESA / LIRR Operational Readiness tasks for inclusion in the Integrated Project Schedule . Revising Operations and Maintenance Plan – Volume 1 (Train Operations) . Continuing to develop Room Data materials for facilities and locations as part of the Asset Inventory process . Continuing development of data templates and management process for developing the Corporate Asset Management Plan (CAMS) with LIRR . Working with LIRR on development of supporting materials for utilizing a Cab Simulator to support instruction and qualifying of LIRR train and engine crews Construction . Manhattan Tunnels Excavation (CM009) – Complete Tail track L303 and L302 arch concreting . Manhattan Structures Part 1 (CM019) – Commence TT1 Bench excavation, commence GCT 1/2 EB Benching, continue Westbound and Eastbound Cavern concrete pours, commence Westbound Bench II blasting . 44th St. Demolition & Construct Fan Plant Structure & 245 Park Ave. Entrance (CM004) – Complete construction of shaft collar and foundation walls at 44th St. Continue final finishes at 245 Park Ave. and platform E.

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Quarterly Review Report – 4th Quarter ‘11

. 50th St. Ventilation Facility (CM013) – Continue rock excavation (controlled blasting), rock support and shotcrete installation for the ventilation shaft. Opening the pockets to install steel clips for Vertical Utility Chase and also shotcrete installation in Madison Yard, in the UA Wall area. Installation of the Ventilation System for Vent shaft and Service Tunnel is ongoing. . Vertical Circulation - Escalators & Elevators (VM014) – Continue development of the fabrication and installation schedule for the project‟s escalators and elevators . GCT Expansion Joint Replacement and Structural Closures (CM002) – Complete expansion joint replacement, column firestopping, drain replacement and opening modification closures at Track 41 . GCT Concourse & Facilities Fit-Out Early Work (CM014A) – Complete pre-construction activities and commence construction work. . Queens Bored Tunnels and Structures (CQ031) – Continue TBM mining for Yard Lead and continue assembly TBM for Tunnel A. Continue installation of Yard Lead Approach Structure. Commence mining A-TBM. . Northern Boulevard Crossing (CQ039) – Complete installation of Early Access Chamber concrete slab and freeze pipes at Level 6 and Level 7 . Plaza Substation and Queens Structures (CQ032) - Mobilized on 63rd St. Tunnel existing facilities and commenced asbestos abatement upon Access Restraint 4 . LIRR Harold Stage 1 (FHL01) – Begin installation of electrical traction duct at G02 substation and signal power cables . LIRR Harold Stage 2 (FHL02) – Install Point CIL and begin pulling express cable and circuit revision for Point CIL cutover and continue installation of trough, pull box, snow melter cases at various locations . Amtrak Harold Stage 1 (FHA01) – Complete demolition of catenary structures at Loop (Subset J & K) and begin pulling signal power cable . Amtrak Harold Stage 2 (FHA02) – Install F1 CIH and begin pulling and terminating cables for F2 CIH . Harold and Point CILs (VH051 Part 1) – ASTS will work on software updates and prepare H3 for wiring. Update H4 software. . Harold Tower Supervisory Control System (VH051 Part 2) – Design work continuing on the FHACS. Coordination meetings are underway with Amtrak, LIRR and ESA to plan the installation, test and cut-over of the local control systems and instrument houses. Changes to the graphics may be required due to changes to the new F2 Interlocking sequencing and staging. Factory Test is currently scheduled for February 27, 2012; however, work on the re-sequencing of „F‟ may result in a 2-3 week slippage.

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Quarterly Review Report – 4th Quarter ‘11

Budget and Finance . Update Project commitment plan based on the revised repackaging plan and IPS Executive Level Project Execution Plan . Complete review and revision of Risk Management Plan . Review and respond to FTA comments on the Project Management Plan (Rev 8) . Continue to review MTACC procedures for consistency with ESA processes Quality . Schedule audit of the GEC Quality Assurance and Quality Control process . Continue the review of all programmatic documents that incorporate new processes or enhance existing processes . Refine as-built information process and implement tracking of information and revised design drawings Methods and Procedures . Continue to facilitate the review of critical procedures Safety . Continue performing oversight of contractor‟s safety and security activities including protection of public exposures as more contracts have sites adjacent to streets and public areas. . Implement ESA Safety Team‟s requirements and adjustments to expanding field conditions and new contracts. . Project safety staff will continue joint inspections with the FDNY to minimize potential fire hazards under Grand Central Terminal and at the Queens soft ground tunnel operation. FDNY will be given a presentation on the design and operations of the soft ground TBM‟s “pressurized” cutter head assembly. Site and Systems Security . Conduct security assessment in Queens to advise of controls and fencing as a result of the TBM Tunnel A breakthrough . Schedule FDNY site visit and safety assessment of soft ground tunneling in Queens . Meet with GEC to verify outstanding contract packages that have not completed system safety security analysis Real Estate . Requested metes and bounds survey in order to file application package for merger of Queens 43rd St. tax lots Harold Structure Part 1 and GO2 Substation (CH053) and Queens Bored Tunnels and Structures (CQ031) . Continued meeting with Vornado Realty Trust, one of the new owners of 280 Park Avenue, and its architect to discuss the project‟s need for an ADA elevator in its plaza

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Quarterly Review Report – 4th Quarter ‘11

and to reconfigure its service entrances to facilitate 415 Madison Avenue as the design progresses . Continued requesting access to 335 Madison Avenue for the project‟s surveyors and appraisers the 335 Madison Avenue in order to progress the design of the SMO/TMC elevator connection and the ESA Concourse/Biltmore Passage elevator connection Public Outreach . Meet with NYCHA representatives to provide details regarding Plaza Substation & Queens Structures (CQ032) at Vernon Boulevard Facility . Draft new Complaints Process Project Instructions, complete transition and begin using the new Complaints Database . Continue to work with MTA Legal on finalizing Vernon Boulevard Facility transfer agreement

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Quarterly Review Report – 4th Quarter ‘11

Harold Interlocking – NEC Congestion Relief Project and Regional Investments

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Quarterly Review Report – 4th Quarter ‘11

Harold Interlocking-NEC Congestion Relief Project Summary of Budget and Funding

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Quarterly Review Report – 4th Quarter ‘11

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