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 Federal Bar Association – Passenger Rail Seminar November 15, 2019 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 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 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 ortation 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 . 3

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 Four Most Common PTC Systems: PTC Systems Must Be Implemented on: Interoperable Electronic Train Management System • Main Lines with Regularly Scheduled Intercity • Passenger or Commuter Rail Service; � I-ETMS � • Class I Railroads’ Main Lines with Poison- or Advanced Civil Speed Enforcement System II � ACSES II � • Toxic-by-Inhalation Hazardous Materials; and / Advanced Speed Enforcement System II � ASES II � • Any Additional Lines FRA Prescribes by Enhanced Automatic Train Control � E-ATC � • Regulation or Order Communication Based Train Control � CBTC � • See 49 U See 49 U.S. S.C. C. § § 20157 20157 � a �� 1 � . . 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 20157 � i �� 5 � and 49 CFR § and 49 CFR § 236. 236.1005. 1005. For Discussion Purposes Only. Not the Official Position of FRA or US DOT . 4

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. § 20157 � a �� 1 � . 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. § 20157 � a �� 2 �� B � . Lim Limited ted Scope cope of of 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 ole: 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. § 20157 � a �� 3 �� B � . 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 Overview of Statutory Criteria to Qualify for an Alternative Schedule Criterion 6 Criterion 1 Criterion 2 Criterion 3 Criterion 5 Certified in Hardware Spectrum Training Included writing it will be Criterion 4 in full Alternative compliance with Schedule in PTCIP Revenue Service 49 U.S.C. Demonstration § 20157 on or All PTC System All Spectrum (RSD) before the alt. Sufficient Hardware Acquired (If Deadline as schedule Training Installed Applicable) Soon as deadline Completed Consistent with Consistent with Practicable But PTCIP PTCIP NLT 12/31/2020 Class I Any Other Railroads and Railroad Subject Amtrak to Mandate Met Any Other Initiated RSD or Initiated RSD on Criteria Implemented a OR ONE Required Established by See 49 U See 49 U.S. S.C. C. § § 20157 20157 � a �� 3 �� B �� i ��� vi vii � . PTC System on Territory FRA (i.e., >50% of Substitute Required Criteria) Territories or Route Miles 6 6

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 45 days, FRA Within 90 days must notify the Railroad submits total, FRA must to railroad of any written n wr ten notifi ficati cation on notify the railroad deficiencies that to FRA under 49 in writing of FRA’s would prevent FRA approval and provide U.S.C. decision, based on an opportunity to § 20157 � a �� 3 � . the requirements correct the of the statute. deficiencies. 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). For Discussion Purposes Only. Not the Official Position of FRA or US DOT . 7

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 oads 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 other railr ailroads oads demonstrated they met the six robust criteria • necessary to qualify for an alternative schedule and sequence by law FRA formally approved all alternative schedule and sequence requests, as of March 5, 2019, before the statutory 90-day deadline. For Discussion Purposes Only. 100% Not the Official Position of FRA or US DOT . 8 See See 49 U 49 U.S. S.C. C. § § 20157 20157 � a �� 3 �� C � . 8

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.