Federal Bar Association – Passenger Rail Seminar November ... · 11/15/2019 · Imposes new...

F E D E R A L R A I L R O A D A D M I N I S T R A T I O NF E D E R A L R A I L R O A D A D M I N I S T R A T I O N

For Discussion Purposes Only. Not the Official Position of FRA or US DOT.

Federal Bar Association – Passenger Rail SeminarNovember 15, 2019


1. Brief Overview of the Statutory Mandate and Associated Deadlines

2. High-level Overview of the Industry’s Status as of June 30, 2019

3. Major Remaining Elements for the Full Implementation of PTC Systems

4. FRA’s Oversight Focuses During and After Full Implementation

F E D E R A L R A I L R O A D A D M I N I S T R A T I O N

– 49 U.S.C. § 20157

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1. Rail Safety Improvement Act of 2008 – Pub. L. No. 110-432 | October 16, 2008◦ Created the PTC system implementation mandate; and◦ Directed FRA to issue regulations specifying the essential technical functionalities of PTC systems

and the means by which FRA will certify PTC systems. See 49 CFR part 236, subpart I.

2. PTC Enforcement and Implementation Act of 2015 – Pub. L. No. 114-73 | October 29, 2015◦ Extended the deadline from December 31, 2015, to at least December 31, 2018;◦ Requires FRA to conduct at least annual compliance reviews of railroads’ progress;◦ Strengthens FRA’s enforcement authority over timely PTC system implementation;◦ Temporarily prohibits FRA from enforcing aspects of two of FRA’s regulations; and◦ Imposes new railroad reporting requirements.

3. Fixing America’s Surface Transportation Act – Pub. L. No. 114-94 | December 4, 2015◦ Removed FRA’s authority to approve or disapprove revised PTC Implementation Plans PTCIPs

submitted to FRA in January 2016. FRA is still authorized to approve subsequent amendments; and

◦ Prohibits FRA from requiring that PTC systems be fully implemented by December 31, 2018.



7 Class I Railroads, 29 Passenger/Commuter Railroads, and 6 Other Host Railroads

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PTC Systems Must Be Implemented on:• Main Lines with Regularly Scheduled Intercity

Passenger or Commuter Rail Service;• Class I Railroads’ Main Lines with Poison- or

Toxic-by-Inhalation Hazardous Materials; and• Any Additional Lines FRA Prescribes by

Regulation or Order

See 49 U.S.C. § 20157 a 1 .


Four Most Common PTC Systems:• Interoperable Electronic Train Management System

I-ETMS

• Advanced Civil Speed Enforcement System II ACSES II / Advanced Speed Enforcement System II ASES II

• Enhanced Automatic Train Control E-ATC

• Communication Based Train Control CBTC

PTC Systems Must Be Designed to Reliably Prevent:• Train-to-train collisions • Incursions into established work zones

• Over-speed derailments • Movements through switches in the wrong position

See 49 U.S.C. § 20157 i 5 and 49 CFR § 236.1005.


By default, the statutory deadline for full implementation of an FRA-certifiedand interoperable PTC system was December 31, 2018. See 49 U.S.C. § 20157 a 1 .

However, the PTCEI Act also permitted any railroad to request an “alternative scheduleand sequence” to complete the full implementation of a PTC system on its required mainlines by a deadline that is both as soon as practicable and not later than December 31,2020. See 49 U.S.C. § 20157 a 2 B .

• Limited Scope of an Alternative Schedule: During the maximum two-year period, a railroadmay continue, for example, to test its PTC system, obtain PTC System Certification, achieveinteroperability i.e., the ability of the PTC system to control the locomotives of the hostrailroad and tenant railroads , and fully implement its PTC system.

• FRA’s Role: The PTCEI Act required FRA to approve a railroad’s alternative schedule if arailroad submitted a written notification and demonstrated the railroad met the sixstatutory criteria necessary to qualify for an alternative schedule under 49 U.S.C.§ 20157 a 3 B .


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Overview of Statutory Criteria to Qualify for an Alternative Schedule

Criterion 1Hardware

All PTC System Hardware Installed

Consistent with PTCIP

Criterion 2Spectrum

All Spectrum Acquired (If Applicable)

Consistent with PTCIP

Criterion 3Training

Sufficient Training

Completed

Criterion 4Revenue Service Demonstration

(RSD)

Class I Railroads and

Amtrak

Initiated RSD or Implemented a PTC System on

>50% of Required

Territories or Route Miles

Any Other Railroad Subject to Mandate

Initiated RSD on ONE Required

Territory

Met Any Other Criteria

Established by FRA (i.e., Substitute Criteria)

Criterion 5 Included

Alternative Schedule in PTCIP

Deadline as Soon as

Practicable But NLT 12/31/2020

Criterion 6Certified in

writing it will be in full

compliance with 49 U.S.C.

§ 20157 on or before the alt.

schedule deadline

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ORSee 49 U.S.C. § 20157 a 3 B i vii .


Within 90 days total, FRA must

notify the railroad in writing of FRA’s decision, based on the requirements

of the statute.

Within 45 days, FRA must notify the railroad of any

deficiencies that would prevent FRA

approval and provide an opportunity to

correct the deficiencies.

Railroad submits written notification

to FRA under 49 U.S.C.

§ 20157 a 3 .

Please Note: By law, the December 31, 2018, deadline was automatically extended until the date on which FRA approved or denied a railroad’s alternative schedule, if the decision date was after December 31, 2018. If FRA approved the alternative schedule, the deadline is the date specified in the railroad’s alternative schedule, which may be no later than December 31, 2020. 49 U.S.C. § 20157(a)(3)(D).

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• 4 host railroads self-reported that they fully implemented an FRA-certified and interoperable PTC system on all of their required routemiles by December 31, 2018

− Metrolink Southern California− North County Transit District Southern California− PATH New York / New Jersey− Portland & Western Railroad Portland Metropolitan Area

• 37 other railroads demonstrated they met the six robust criterianecessary to qualify for an alternative schedule and sequence by law

For Discussion Purposes Only. Not the Official Position of FRA or US DOT. 8

FRA formally approved all alternative schedule

and sequence requests, as of March

5, 2019, before thestatutory 90-day

deadline.

100%8 See 49 U.S.C. § 20157 a 3 C .


Please See https://www.fra.dot.gov/ptc for Summaries and Infographics.


As of June 30, 2019

• Status of Host Railroads’ PTC-governed Operations

o As of June 30th, PTC systems were in operation on ~50,305 87% of the ~57,875 required route miles—a 7% increase from December 31, 2018

o In addition, railroads were operating PTC systems in revenue service demonstration RSD on ~698 route miles, as of Quarter 2 of 2019

• Status of PTC System Interoperability

o Host railroads have reported that ~50 tenant railroads have achieved PTC system interoperability—i.e., 22% of the required host-tenant railroad relationships

o Also, as of June 30th, host railroads reported that 95 additional tenant railroads were currently conducting interoperability testing and 60 were in the installation phase

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As of June 30, 2019

• Total Route Miles Required to Be Governed by PTC: ~57,875

• Route Miles Where Host Railroads’ Operations Were Governed by PTC as of June 30th in RSD or Operation : ~51,003

• Remaining Route Mileage That Must be Governed by PTC*: ~6,872*Subtracting route miles where host railroads’ operations were governed by a conditionally certified PTC system, in provisional PTC operations, or in RSD as of June 30th

From Their Standpoint as Host Railroads as of June 30th

o Class I Railroads’ Remaining Mileage: ~4,807 Route Miles 9% | 4% Progress Since Q1o Amtrak’s Remaining Mileage: ~1.5 Miles Route Miles .2% | 14.9% Progress Since Q1o Commuter Railroads’ Remaining Mileage: ~1,970 Route Miles 63% | 12% Progress Since Q1o Six Other Host Railroads’ Remaining Mileage: ~94 Route Miles 87% | —

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Progress by Sector Toward Full PTC System Implementation

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Based on Railroads’ Self-reported Progress and PTC Implementation Plans as of June 30, 2019

See https://www.fra.dot.gov/ptc for the full set of infographics summarizing progress as of Quarter 2 of 2019


Under 49 U.S.C. § 20157 and 49 CFR Part 236, Subpart I


Based on Railroads’ Annual PTC Progress Reports for 2018

14See 49 U.S.C. § 20157 c 1 D .


Practical Steps for Tenant Railroads on PTC-required Main Lines:

• Equip controlling locomotives and/or cab cars with onboard PTC hardware and software;

• Comply with the host railroad’s PTC Implementation Plan and PTC Safety Plan; and

• Conduct all necessary PTC system interoperability testing

Limited Exceptions to the Interoperability Requirement:

• Certain limited Class II or Class III railroad operations (only in the case of 4 or fewer unequipped movements per day), under 49 CFR § 236.1006(b)(4) and (c);

• Certain freight switching movements in or near yards, under 49 CFR § 236.1006(b)(5); and

• Operations during certain system failure scenarios (until ~December 31, 2021), under 49 U.S.C. § 20157(j)

Railroads’ Progress Toward Achieving Interoperability as of June 30, 2019

General Rule: Any locomotive or train that operates on a main line subject to the mandate—including those operated by foreign power and tenant railroads—must be governed by a PTC system, including uninterrupted movements over property boundaries. See, e.g., 49 U.S.C. § 20157 a 2 A i I , a 2 D , i 3 ; 49 CFR §§ 236.1003, 236.1006, 236.1011 a 3 .

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• Scope of Required Interoperability

o ~117 distinct railroads are implementing PTC systems, including host and tenant railroads

→~81 are tenant-only railroads at least 37 of which are commonly owned by 6 corporations

o Because many railroads operate on multiple host railroads, there are ~239 host-tenant railroad relationships in total, in which PTC system interoperability must be achieved by December 31, 2020, according to railroads’ PTCIPs as of October 2019

• Complexity of Required Interoperability o Multiple railroads are implementing PTC systems of the same type in different manners e.g.,

variances in design, functionality, and operation , requiring gap analyses, additional testing, and configuration management

o In some cases, 2 different types of PTC systems will be operated concurrently on a single main line, or portion thereof, adding to the complexity of interoperability


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Host Railroads Only


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Note: All remaining required PTC Safety Plans must be submitted to FRA by ~June 2020.

FRA’s regulations provide for a minimum 180-day review period prior to FRA approving or denying a PTC Safety Plan and request for PTC System Certification.

49 CFR §§ 236.1009 j 2 , 236.1015; see also 49 U.S.C. § 20157 h 1 .

Status of PTC System Certifications

Types of PTC System Certifications to Date

Estimated # of PTC Safety Plans Submitted by Month


Oversight Focus During the Implementation of PTC Systems Throughout 2019 and 2020

• Compliance with the Governing PTC Implementation Planso Railroads must implement a PTC system in accordance with the applicable PTCIP i.e., the

one that governs implementation on the particular main line . 49 U.S.C. § 20157 a 2 D . o Railroads must comply with the specific schedule and risk-based track segment

sequence, including the railroad’s schedule for: Field Testing and Revenue Service Demonstration Achieving Interoperability with Each Tenant Railroad, as Specified Submission of a PTC Safety Plan Host Railroads Only Activation of a PTC System on All Route Miles or Remaining Route Miles

• Reminders: o By statute, FRA must conduct compliance reviews at least once per year to determine whether railroads are

adhering to their PTCIPs, including completing interim milestones. 49 U.S.C. § 20157 c 2 . o FRA may assess $29,192 per violation under 49 U.S.C. § 20157 e 1 ─ 4 . FRA has assessed nearly

$400,000 in civil penalties since 2017 for railroads’ schedule-related violations.


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Oversight Focus During the Implementation of PTC SystemsOnce the PTC System Is Certified by FRA

• Compliance with the Governing PTC Safety Plan and PTC System Certification

o A host railroad and any other railroads that operate on the host railroad’s main lines subject to the statutory mandate must also comply with:

All applicable provisions of the host railroad’s PTC Safety Plan, and The conditions FRA placed on its PTC System Certification for the specific PTC system at issue.

See 49 CFR § 236.1009 d 3 , g .

Exception: Unless the operations are subject to an exception under 49 CFR § 236.1006 b , as set forth in the host railroad’s PTC Implementation Plan.


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Oversight Focus Both During & After the Full Implementation of PTC Systems

• Compliance with All Applicable Technical Requirements Under 49 CFR Part 236, Subpart I

o FRA is authorized to conduct audits to determine whether a railroad is in compliance with 49 CFR part 236, subpart I. 49 CFR § 236.1009 h .

• Reliability and Performance of PTC Systems – FRA will monitor implementation and certain system failures via railroads’ required reporting.

o See, e.g., 49 U.S.C. § 20157 c , j ; 49 CFR §§ 236.1023, 236.1029 h .


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PlanningandDevelopment – The railroad submitted: (1) a PTCIP, including a precise list of the main lines on which a PTC system will be implemented, its schedule and risk-based sequence, and all other information required under 49 U.S.C. § 20157(a)(1)–(2), 49 CFR § 236.1011, and, if applicable, 49 CFR § 236.1021; and (2) a PTC Development Plan meeting all requirements under 49 CFR § 236.1013, and/or the necessary documentation under 49 CFR § 236.1009(b)–(c), including for any variances to an FRA-issued Type Approval.

PTCSystemDeployment – The PTC system—including all hardware, software, and other components—has been fully installed on all controlling locomotives and any other necessary rolling stock, in the back office, and on the wayside of all route miles subject to 49 U.S.C. § 20157 and as set forth in the PTCIP. In addition, all spectrum necessary for the PTC system has been acquired and is available for use.

PTCField TestingandTraining – The railroad obtained FRA’s approval to conduct field testing of its PTC system, and subsequently, to conduct advanced field testing, known as revenue service demonstration (RSD). All field testing, including RSD, has been satisfactorily completed. Also, the railroad established and implemented its PTC training program under 49 CFR §§ 236.1041–236.1043 and trained all personnel required under 49 CFR §§ 236.1041–236.1049.

PTCSystemCertification – The host railroad submitted its PTC Safety Plan to FRA meeting the requirements of 49 CFR § 236.1015 and obtained PTC System Certification from FRA. See49 U.S.C. § 20157(h)(1); 49 CFR §§ 236.1009(d), 236.1015.

InteroperabilityandFullPTCOperations – All operations of the host railroad and each required tenant railroad are governed by an FRA-certified and interoperable PTC system on all route miles subject to the statutory mandate (except as otherwise permitted under 49 CFR § 236.1006(b)). Interoperability means the locomotives operating on the same main line are able to communicate with and respond to the PTC system, including uninterrupted movements over property boundaries. See, e.g., 49 U.S.C. § 20157 a 2 A i I , a 2 D , i 3 ; 49 CFR §§ 236.1003, 236.1006, 236.1011 a 3 .

InitialLawEnacted:October16,2008

Deadline:December31,2018(unlessarailroadobtainedFRA’s

approvalofanalternativeschedule,withadeadline notlater

thanDecember31,2020)

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Stephanie AndersonAttorney-Adviser

FRA’s Office of Chief Counsel, Safety Law Division202 493-0445

[email protected]

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