Positive Train Control and Other Signal Systems

Forms and Documents

Document Name	Status
Form FRA F 6180.152 Postive Train Control Form and Instruction	Modified
Form FRA F 6180.177 Statutory Notification of PTC System Failures Form	Modified
Form FRA F 6180.165 Quarterly PTC Progress Report Form	Modified
Form FRA F 6180.166 Annual PTC Progress Report Form Form and Instruction	Modified
PTC 2130-0553_Supporting Justification_NPRM 2020.docx Supporting Statement A	2020-12-18
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 Form and Instruction	Modified
240737	Statutory Notification of PTC System Failures Form	Modified
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: 202012-2130-003
Status: Received in OIRA	Previous ICR Reference No: 202003-2130-005
Agency/Subagency: DOT/FRA	Agency Tracking No:
Title: Positive 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	Date Submitted to OIRA: 12/21/2020

	Requested	Previously Approved
Expiration Date	36 Months From Approved	06/30/2023
Responses	4,567,924	4,568,393
Time Burden (Hours)	49,116	68,373
Cost Burden (Dollars)	0	0

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Abstract: FRA is proposing to revise its regulations governing changes to positive train control (PTC) systems and reporting on PTC system functioning. To enable more effective FRA oversight, FRA proposes to: expand an existing reporting requirement by increasing the frequency from annual to biannual; broaden the reporting requirement to encompass positive performance-related information, not just failure-related information; and require host railroads to utilize a new, standardized Biannual Report of PTC System Performance (Form FRA F 6180.152). This information collection is mandatory, and is a revision to the last approval. 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:
2130-AC75	Proposed rulemaking	85 FR 82400	12/18/2020

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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

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	FRA F 6180.152	Biannual Report of PTC System Performance
Statutory Notification of PTC System Failures	FRA F 6180.177	Statutory Notification of PTC System Failures

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ICR Summary of Burden

	Total Request	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	4,567,924	4,568,393	0	55	-524	0
Annual Time Burden (Hours)	49,116	68,373	0	1,824	-21,081	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: Changing Regulations

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 annual burden of 68,373 hours and 4,568,393 responses, while this updated submission reflects a total annual burden of 49,116 hours and 4,567,924 responses. FRA provided a thorough review of this package and FRA’s latest review has refined the estimates to be more accurate. For example, the estimated changes in the number of responses mainly contributed to the decrease in burden hours.

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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: 12/21/2020

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