Federal Bar Association Passenger Rail Seminar November 15, 2019 - - PowerPoint PPT Presentation

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 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

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

Federal Bar Association – Passenger Rail Seminar November 15, 2019

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 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

• 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 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

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

3

• 1. Rail Saf

il Safety ty Im Impr provem ement A ent Act of 2008 t of 2008 – Pub. L.

• ub. L. No.
• No. 110-432 |

110-432 | Oct October 16, ber 16, 2008 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. PT

PTC Enf C Enforcem cement and Im ent and Implem plementation A entation Act of 2015 t of 2015 – Pub. L.

• Pub. L. No.
• No. 114-73 |

114-73 | Oct October 29, ber 29, 2015 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

Fixing America’s Surf Surfac ace T e Transp ansportation A

• rtation Act – Pub. L.
• Pub. L. No. 114-94 | Decem
• No. 114-94 | December 4,

er 4, 2015 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.

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

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

4

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 See 49 U 49 U.S. S.C.

• C. §

§ 20157 20157a1. .

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

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 See 49 U 49 U.S. S.C.

• C. §

§ 20157 20157i5 and 49 CFR § and 49 CFR § 236. 236.1005. 1005.

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 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

By default, the statutory deadline for full implementation of an FRA-certified and interoperable PTC system was December 31, 2018. See 49 U.S.C. § 20157a1. However, the PTCEI Act also permitted any railroad to request an “alternative schedule and sequence” to complete the full implementation of a PTC system on its required main lines by a deadline that is both as soon as practicable and not later than December 31,

• 2020. See 49 U.S.C. § 20157a2B.
• Lim

Limited ted Scope cope of

• f an

an Alt Alternati rnative Sched edule ule: During the maximum two-year period, a railroad may continue, for example, to test its PTC system, obtain PTC System Certification, achieve interoperability i.e., the ability of the PTC system to control the locomotives of the host railroad and tenant railroads, and fully implement its PTC system.

• FRA

FRA’s Rol

• le: The PTCEI Act required FRA to approve a railroad’s alternative schedule if a

railroad submitted a written notification and demonstrated the railroad met the six statutory criteria necessary to qualify for an alternative schedule under 49 U.S.C. § 20157a3B.

For Discussion Purposes Only. Not the Official Position of FRA or US DOT. 5

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

6

Overview of Statutory Criteria to Qualify for an Alternative Schedule

Criterion 1 Hardware

All PTC System Hardware Installed Consistent with PTCIP

Criterion 2 Spectrum

All Spectrum Acquired (If Applicable) Consistent with PTCIP

Criterion 3 Training

Sufficient Training Completed

Criterion 4 Revenue 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 6

Certified in writing it will be in full compliance with 49 U.S.C. § 20157 on or before the alt. schedule deadline 6

OR See See 49 U 49 U.S. S.C.

• C. §

§ 20157 20157a3Bivi vii.

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 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

Within 90 days to total, FRA must notify the railroad in writing of FRA’s decision, based on the requirements

• f 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 wr written n ten notifi ficati cation

• n

to FRA under 49 U.S.C. § 20157a3.

Please Not 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).

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

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 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

• 4 host

host rai ailr lroads

• ads self-reported that they fully implemented an FRA-

certified and interoperable PTC system on all of their required route miles 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

37 oth

• ther railr

ailroads

• ads demonstrated they met the six robust criteria

necessary 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 the statutory 90-day deadline.

100%

8

See See 49 U 49 U.S. S.C.

• C. §

§ 20157 20157a3C.

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

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 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 As of June 30, 2019

• Statu

Status of Host Railroa

• f Host Railroads’

s’ P PTC-governed Operat governed Operations ions

• As of June 30th, PTC systems were in operation on ~50,

~50,305 305 87% of the ~57,875 required route miles—a 7% increase from December 31, 2018

• In addition, railroads were operating PTC systems in revenue service demonstration

RSD on ~698 ~698 route miles, as of Quarter 2 of 2019

• Statu

Status of PTC System s of PTC System I Interopera teroperability bility

• Host railroads have reported that ~50

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

• 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

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

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 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 As of June 30, 2019

• Tota

tal R l Route M e Miles R les Requ quired ired to to Be Governed by PTC: Be Governed by PTC: ~57, ~57,875 875

• Route Miles Where Host Railro

Route Miles Where Host Railroads’ ads’ Oper Operations Were Gove ations Were Governed by ed by P PTC a TC as of

• f J

June ne 30 30th

th in

in RSD or O

• r Opera

eratio ion: : ~51, 51,003 003

• Remaining Route Mileage That Mu

Remaining Route Mileage That Must be Governed by PTC*: st be Governed by PTC*: ~6, ~6,872 872

*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 T From Their S eir Standpoi andpoint nt a as Hos Host Ra Railroads roads as of June 30 as of June 30th

th

• Class I Railroads’ Remaining Mileage: ~4,807 Route Miles 9% | 4% Progress Since Q1
• Amtrak’s Remaining Mileage: ~1.5 Miles Route Miles .2% | 14.9% Progress Since Q1
• Commuter Railroads’ Remaining Mileage: ~1,970 Route Miles 63% | 12% Progress Since Q1
• Six Other Host Railroads’ Remaining Mileage: ~94 Route Miles 87% | —

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

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 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

Progress by Sector Toward Full PTC System Implementation

12 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

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 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

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

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 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 Based on Railroads’ Annual PTC Progress Reports for 2018

14

See See 49 U 49 U.S. S.C.

• C. §

§ 20157 20157c1D.

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 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

Pr Practic tical St l Steps f eps for T

• r Tenant R

Railr ilroad ads on s on PT PTC-requir ired M Main in Lin 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

Li Limited Ex ted Except ceptions to ions to the I e Inter teroper perability R bility Requir quirem emen ent:

• 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)

Railroad roads’ s’ P Progress

• gress T

Toward ward Achiev eving Interopera roperabili bility a as of

• f June 30,

30, 201 2019

Gen General R l Rule le: : 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. § 20157a2AiI, a2D,

i3; 49 CFR §§ 236.1003, 236.1006, 236.1011a3.

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

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 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

• Scope of

Scope of Requir quired I ed Inter eroper perab ability ility

• ~117

~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

• Because many railroads operate on multiple host railroads, there are ~239 host

239 host-t

• tena

enant ra railro road re relationships i in t total, in which PTC system interoperability must be achieved by December 31, 2020, according to railroads’ PTCIPs as of October 2019

• Com

Comple lexity ty of

• f Requir

ired Int Interoper perability lity

• 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

• 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

For Discussion Purposes Only. Not the Official Position of FRA or US DOT. 16

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 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

Host Railroads Only

For Discussion Purposes Only. Not the Official Position of FRA or US DOT. 17

Note 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

• r denying a PTC Safety Plan

and request for PTC System Certification.

49 CFR §§ 236.1009j2, 236.1015; see also 49 U.S.C. § 20157h1.

Status of PTC System Certifications Types of PTC System Certifications to Date

Estimated # of PTC Safety Plans Submitted by Month

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 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

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 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

Oversight Focus During the Implementation of PTC Systems

Throughout 2019 and 2020

• Compliance with t

Compliance with the Go e Governin erning PT g PTC I C Implemen plementa tatio tion Plan Plans

• Railroads must implement a PTC system in accordance with the applicable PTCIP i.e., the
• ne that governs implementation on the particular main line. 49 U.S.C. § 20157a2D.
• 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

• Remi

minders: nders:

• 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. § 20157c2.

• FRA may assess $29,192 per violation under 49 U.S.C. § 20157e1─4. FRA has assessed nearly

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

For Discussion Purposes Only. Not the Official Position of FRA or US DOT. 19

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 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

Oversight Focus During the Implementation of PTC Systems

Once the PTC System Is Certified by FRA

• Com

Complian pliance w with th the Go the Governing PT ing PTC Saf C Safety ty Plan Plan and PT and PTC S C Syst stem em Certific Certificatio ion

• 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 ra railro road’s PTC Safety Plan, and  The conditions FRA placed on its PTC System Certification for the specific PTC system at issue.

See See 49 CFR 49 CFR § 236. 236.1009 1009d3, , g. Ex Exce ception ption: Unless the operations are subject to an exception under 49 CFR § 236.1006b, as set forth in the host railroad’s PTC Implementation Plan.

For Discussion Purposes Only. Not the Official Position of FRA or US DOT. 20

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 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

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

• Com

Complian pliance w with th All Applic All Applicab able le T Tech chnic nical R l Requir quirem ements Under 49 CFR P ents Under 49 CFR Part 236, art 236, Subpart I Subpart I

• FRA is authorized to conduct audits to determine whether a railroad is in

compliance with 49 CFR part 236, subpart I. 49 CFR § 236.1009h.

• Reliab

liability and P ility and Perf rform

• rmance of

nce of PT PTC S C Syst stem ems – s – FRA will monit RA will monitor i r implem plementation and entation and certain sy certain syst stem f em failur ilures via r es via railroads’ re required re reporting.

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

For Discussion Purposes Only. Not the Official Position of FRA or US DOT. 21

Planning and Development – 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. PTC System Deployment – 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. PTC Field Testing and Training – 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. PTC System Certification – 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. See 49 U.S.C. § 20157(h)(1); 49 CFR §§ 236.1009(d), 236.1015. Interoperability and Full PTC Operations – 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. § 20157a2AiI, a2D, i3; 49 CFR §§ 236.1003, 236.1006, 236.1011a3. Initial Law Enacted: October 16, 2008 Deadline: December 31, 2018 (unless a railroad obtained FRA’s approval of an alternative schedule, with a deadline not later than December 31, 2020)

22

St Stephanie Anderson ephanie Anderson Attorney-Adviser FRA’s Office of Chief Counsel, Safety Law Division 202 493-0445 Stephanie.Anderson@dot.gov

23