Postive Train Control and Other Signal Systems

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form FRA F 6180.177 Statutory Notification of PTC System Failures	Form	New	Available
Form FRA F 6180.165 Quarterly PTC Progress Report	Form	Modified	Available
Form FRA F 6180.166 Annual PTC Progress Report Form	Form and Instruction	Modified	Available
PTC and Other Signal Systems FRN 30-Day .pdf	Supplementary Document	Uploaded 2020-03-16	Available
PTC and Other Signal Systems FRN 60-Day .pdf	Supplementary Document	Uploaded 2020-03-16	Available
PTC 2130-0553_Supporting Justification.docx	Supporting Statement A	Uploaded 2020-03-16	Available
FAST Act.pdf	Supplementary Document	Uploaded 2015-12-28	Available
Section 1302 of Surface Transportation Extension Act of 2015.doc	Supplementary Document	Uploaded 2015-12-28	Available
49 CFR 236 (PTC).doc	Supplementary Document	Uploaded 2014-08-07	Available
49 CFR 229 (229.135).doc	Supplementary Document	Uploaded 2010-01-15	Available
49 U.S.C. 20103.doc	Supplementary Document	Uploaded 2008-05-07	Available
49 U.S.C. 20502.doc	Supplementary Document	Uploaded 2008-05-07	Available
49 CFR 1.49a.doc	Supplementary Document	Uploaded 2008-05-07	Available
49 CFR 234 (234.275).doc	Supplementary Document	Uploaded 2008-05-07	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
26490	Postive Train Control		Modified
240737	Statutory Notification of PTC System Failures	Form	New
232551	Quarterly PTC Progress Report	Form	Modified
232550	Annual PTC Progress Report Form	Form and Instruction	Modified

ICR Details

OMB Control No: 2130-0553	ICR Reference No: 202003-2130-005
Status: Active	Previous ICR Reference No: 201809-2130-003
Agency/Subagency: DOT/FRA	Agency Tracking No:
Title: Postive Train Control and Other Signal Systems
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 06/05/2020
	Date Received in OIRA: 03/19/2020
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2023	36 Months From Approved	06/30/2020
Responses	4,568,393	0	147,526
Time Burden (Hours)	68,373	0	2,728,528
Cost Burden (Dollars)	0	0	0

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Abstract: This information collection is mandatory, and is a revision to the last approval. FRA is requesting the re-approval of the Quarterly Positive Train Control (PTC) Progress Reports (Form FRA F 6180.165) and Annual PTC Progress Reports (Form FRA F 6180.166) with changes. Additionally, FRA is proposing a new web-based form—Statutory Notification of PTC System Failures (Form FRA F 6180.177) to fulfill the temporary reporting requirement under the Positive Train Control Enforcement and Implementation Act of 2015 (PTCEI Act). 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 US rail environment. Under 49 U.S.C. m §20157, as amended by the PCEI Act. To effectively monitor the industry’s implementation of PTC systems, FRA requires each subject railroad to submit these forms as well as other information collection required under Part 236. Information collected is also on an occasional basis as well as monthly, 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:
	84 FR 72121	12/30/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 15022	03/16/2020
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 4

table that charts list of burden

IC Title	Form No.	Form Name
Quarterly PTC Progress Report	FRA F 6180.165	Quarterly PTC Progress Report Form
Annual PTC Progress Report Form	FRA F 6180.166	Annual PTC Progress Report Form
Postive Train Control
Statutory Notification of PTC System Failures	FRA F 6180.177	Statutory Notification of PTC System Failures

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ICR Summary of Burden

table that charts list 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	4,568,393	147,526	0	190	4,420,677	0
Annual Time Burden (Hours)	68,373	2,728,528	0	190	-2,660,345	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: Currently, the OMB inventory for this collection of information shows a total burden of 2,728,528 hours and 147,526 responses, while this updated submission reflects a total burden of 68,373 hours and 4,568,393 responses. FRA provided a thorough review of this package and determined many of our initial figures were based on rough estimates and in some cases, were not accounted for (e.g., section 236.587(d) which resulted the addition of close to 4.6 million responses). Additionally, we realized some of the estimates were double counted and others were outdated. Moreover, other estimates were not Paperwork Reduction Act (PRA) requirements, thus leading to the increased figures, which were substantially decreased accordingly in this submission. Thus, our latest review has refined our estimates to be more accurate. The two tables in the Supporting Statement provide specific information on the review of any that have changed.

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Annual Cost to Federal Government: $2,648,733

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? No

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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: 03/19/2020

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