Postive Train Control

Forms and Documents

Document Name	Status
Form FRA F 6180.165 Quarterly PTC Progress Report Form and Instruction	New
Form FRA F 6180.166 Annual PTC Progress Report Form Form and Instruction	New
Aug. 8, 2018, FR Notice (30-Day).pdf Supplementary Document	2018-08-08
PTC 2130-0553R3.doc Supporting Statement A	2018-09-24
May 10, 2018, FR Notice (60-Day).pdf Supplementary Document	2018-08-06
Annual and Quarterly PTC Progress Reports Letter (Clean 2-16-16) sli saa BB__edits - OMB 3-10 (Redline 3-16).doc Supplementary Document	2016-03-16
Quarterly and Annual PTC Progress Reports Letter (Clean 2-16-16) sli saa BB__edits.doc Supplementary Document	2016-03-10
FAST Act.pdf Supplementary Document	2015-12-28
Section 1302 of Surface Transportation Extension Act of 2015.doc Supplementary Document	2015-12-28
49 CFR 236 (PTC).doc Supplementary Document	2014-08-07
49 CFR 229 (229.135).doc Supplementary Document	2010-01-15
49 U.S.C. 20103.doc Supplementary Document	2008-05-07
49 U.S.C. 20502.doc Supplementary Document	2008-05-07
49 CFR 1.49a.doc Supplementary Document	2008-05-07
49 CFR 234 (234.275).doc Supplementary Document	2008-05-07

IC Document Collections

IC ID	Document Title	Status
26490	Postive Train Control	Modified
232551	Quarterly PTC Progress Report Form and Instruction	New
232550	Annual PTC Progress Report Form Form and Instruction	New

ICR Details

OMB Control No: 2130-0553	ICR Reference No: 201808-2130-001
Status: Historical Active	Previous ICR Reference No: 201708-2130-002
Agency/Subagency: DOT/FRA	Agency Tracking No:
Title: Postive Train Control
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 09/24/2018
	Date Received in OIRA: 08/31/2018
Terms of Clearance: This collection has been approved for a period of 18 month. Upon resubmittal, the collection’s requirements and burden estimates shall be reevaluated in light of further PTC deployment.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2020	36 Months From Approved	09/30/2018
Responses	147,526	0	147,738
Time Burden (Hours)	2,728,528	0	3,124,202
Cost Burden (Dollars)	0	0	0

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Abstract: This information collection is mandatory, and is a revision to the last approval. The revision pertains to both the PTC Quarterly Progress Report, and the Annual PTC Progress Report. The revision involves the capture of additional information requested by Congress from the 41 affected PTC railroads (8 Class I; 4 Class II; 29 commuter) .The reporting and recordkeeping information collected is used by FRA to ensure new or novel signal and train control technologies meet proposed performance standards and work as intended in the U.S. rail environment. See 83 FR 39152 for revision information concerning the two PTC forms. Under 49 U.S.C. m § 20157, as amended by the Positive Train Control Enforcement and Implementation Act of 2015 (PTCEI Act), FRA must conduct compliance reviews. To effectively monitor the industry’s implementation of PTC systems, FRA requires each subject railroad to submit quarterly(and annual reports on its implementation progress as well as other information required under Part 236 such as PTC training data. Information collected is also on an occasional basis as well as quarterly and annually..

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Authorizing Statute(s): US Code: 49 USC 20157 Name of Law: Implementation of Positive Train Control Systems
  

Citations for New Statutory Requirements: PL: Pub.L. 114 - 73 1302 Name of Law: Surface Transportation Extension Act of 2015

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 21815	05/10/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 39152	08/08/2018
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 3

IC Title	Form No.	Form Name
Quarterly PTC Progress Report	FRA F 6180.165	Quarterly Positive Train Control (PTC) Progress Report Form
Annual PTC Progress Report Form	FRA F 6180.166	Annual Positive Train Control (PTC) Progress Report Form
Postive Train Control

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	147,526	147,738	0	0	-212	0
Annual Time Burden (Hours)	2,728,528	3,124,202	0	254	-395,928	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: As noted in the Summary on page 1 of this document, the total burden for this information collection revision has decreased by a total 395,674 hours and 212 responses from the last approved submission. The decrease in burden is due to both program changes and adjustments. As detailed at the end of the Summary on page 1, there are five (5) changes that FRA is making to the information collections associated with the two PTC Forms: (1) Form FRA F 6180.165, Quarterly Positive Train Control (PTC) Progress Report, and (2) Form FRA F 6180.166, Annual Positive Train Control (PTC) Progress Report. The program changes to these two forms as shown in first table provided in the answer to question number 15 of the attached Supporting Justification increased the burden by 254 hours. Adjustments shown in the second table provided in answer to question number 15 of the attached Supporting Justification decreased the burden by 395,928 hours, and decreased the number of responses by 212 from the last approved submission. The current inventory for this submission shows a total burden of 3,124,202 hours and 147,738 responses, while the present submission exhibits a total of 2,728,528 hours and 147,526 responses. Hence, there is a burden decrease of 395,674 hours and a decrease of 212 responses. There is no change in cost to respondents from the previous submission. FRA is requesting a three-year approval for this revised submission.

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Annual Cost to Federal Government: $2,736,101

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 08/31/2018

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