Form FRA F 6180.165 FRA F 6180.165 Quarterly PTC Progress Report Form

Positive Train Control and Other Signal Systems

Quarterly PTC Progress Report (Form FRA F 6180.165)

Quarterly PTC Progress Report

OMB: 2130-0553

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OMB Control No. 2130-0553

Quarterly Progress Report Form – Positive Train Control Implementation
To effectively monitor each railroad’s progress implementing a positive train control (PTC) system, the Federal Railroad Administration (FRA) is
requiring the submission of quarterly progress reports on this form, beginning June 30, 2016, under its investigative authorities. See, e.g., 49 U.S.C.
§§ 20107, 20902, 20157(c)(2); 49 CFR § 236.1009(h). A railroad must submit quarterly reports until a PTC system is fully implemented on all its
required main lines under 49 U.S.C. § 20157 and 49 CFR part 236, subpart I, including a quarterly report for the quarter in which the railroad
completes full PTC system implementation.
Quarterly PTC Progress Reports must be submitted electronically to FRA via the FRA Secure Information Repository (SIR) at https://sir.fra.dot.gov.
Key Dates for PTC Implementation Quarterly Progress Reporting:
Period
Coverage Period
Progress Report Due Date
Q1
January 1 – March 31
April 30
Q2
April 1 – June 30
July 31
Q3
July 1 – September 30
October 31
Q4
October 1 – December 31 January 31
General Instructions:
1. References to a railroad’s PTC Implementation Plan (PTCIP) in this form refer to the railroad’s revised PTCIP submitted under the Positive
Train Control Enforcement and Implementation Act of 2015, or the most current amended PTCIP FRA has approved, if any;
2. If a particular category listed in a table does not apply to the railroad’s technology, please indicate “N/A”; and
3. For Sections 2, 4, and 6, please select a “Status” option from the drop-down menus provided.
4. *NEW* – As labeled, Sections 2, 3.1 (not including the software-related narrative section), 3.2, 3.3, and 5 are optional for any railroad that
previously demonstrated to FRA it had finished acquiring all necessary spectrum, installing all PTC system hardware for the implementation
of its PTC system(s), and/or training all employees required to receive training under 49 CFR §§ 236.1041 through 236.1049, consistent with
the governing FRA-approved PTCIP.1 Section 4 is optional only for a railroad that reports in Section 1 of this form that its PTC system is
governing operations, including RSD, on all PTC-mandated route miles.

Name of Railroad or Entity Subject
to 49 U.S.C. § 20157(a):
Railroad Code: Choose or enter code.
Quarterly PTC Progress Report for: Choose quarter.
Date:
These sections are currently mandatory only for railroads that are still in the spectrum acquisition, hardware installation, or employee training phases, which is
the case for certain railroads that, for example: (A) commenced regularly scheduled intercity passenger or commuter rail service after December 31, 2018; (B) are
in the process of constructing new main lines subject to the statutory mandate; or (C) have one or more lines that are subject to a temporary main line track
exception and must still implement a PTC system.
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FRA F 6180.165

OMB Control No. 2130-0553

Quarterly Progress Report Form – Positive Train Control Implementation

1. Summary
Category
Locomotives Fully Equipped and PTC Operable
Installation/Track Segments Completed
Employees Trained
Territories 2 in Revenue Service Demonstration or in PTC Operation
Route Miles in Field Testing 3
Route Miles in Revenue Service Demonstration3
Route Miles in PTC Operation

Cumulative Quantity
Completed to Date

Total Quantity Required
for PTC Implementation

0.0

Provide a narrative summary of overall PTC implementation progress during the applicable quarter:

A territory is an entire installation/track segment as identified in the railroad’s PTCIP (e.g., a track segment, territory, subdivision, district, etc.) consistent with 49
U.S.C. 20157(a)(3)(B)(vi), 49 CFR part 236, subpart I.
3
As applicable, enter the number of route miles where a PTC system is currently undergoing field testing in one row and, in a separate row, the number of route
miles where a PTC system is currently in revenue service demonstration. Railroads must only identify in the “Route Miles in Field Testing” and “Route Miles in
Revenue Service Demonstration” fields any route miles that are still currently undergoing PTC field testing and/or revenue service demonstration. For example, if
field testing is complete and a railroad is operating its PTC system in revenue service demonstration exclusively, a railroad may write “Complete” in the “Route
Miles in Field Testing” fields.
Once a railroad has received written authorization from FRA to operate its PTC system in revenue service (through either provisional operations authorization
under 49 U.S.C. 20157(h)(2) or PTC System Certification under 49 U.S.C. 20157(h)(1), the railroad must identify any route miles where a PTC system is being
operated in revenue service in the “Route Miles in PTC Operation” field. If a railroad is operating the PTC system in revenue service and has completed all field
testing and revenue service demonstration, it may write “Complete” in the “Route Miles in Field Testing” and “Route Miles in Revenue Service Demonstration”
fields.
OMB Approval Granted 06/05/2020
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FRA F 6180.165
2

OMB Control No. 2130-0553

Quarterly Progress Report Form – Positive Train Control Implementation

2. Quarterly Update on Spectrum (Optional for Most Railroads4)
Area or Location (e.g., county)
That Requires Spectrum, as
Reported in PTCIP 5

Q1 - Status
Choose Status.

Q2 – Status
Choose Status.

Q3 – Status
Choose Status.

Q4 - Status
Choose Status.

Choose Status.

This section is optional for any railroad that previously demonstrated to FRA it had finished acquiring all necessary spectrum, consistent with the governing FRAapproved PTCIP.
5
If the railroad reported in its PTCIP that all necessary spectrum had been acquired and was available for use, or the railroad’s technology does not require the use
of spectrum, please indicate “N/A” in this table.
4

FRA F 6180.165

OMB Approval Granted 06/05/2020
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OMB Control No. 2130-0553

Quarterly Progress Report Form – Positive Train Control Implementation
Provide any additional narrative for Spectrum below:

3. Quarterly Update on Major Milestones
3.1 Locomotive Status (Optional for Most Railroads6)
Category/Installation
Feature

Q1 –
Quantity
Installed

Q2 –
Quantity
Installed

Q3 –
Quantity
Installed

Q4 –
Quantity
Installed

Sum of
Quarterly
Totals

PTCIP Year
End Goal (if
applicable)

Cumulative
Quantity
Installed

Grand
Total
Reported
in PTCIP (if
applicable)

Locomotive (Apparatus) 7
Locomotives with On-board
Computers (e.g., Train
Management Computer)
Installed
Locomotives with PTC Displays
Installed
Locomotives with PTC-Capable
Event Recorders Installed
Locomotives with Locomotive
Radios Installed – Primary
Communications (e.g., 220
MHz radios)
Transponder Readers (e.g., for
non I-ETMS systems)

0
0
0

This section, except the software-related narrative section below, is optional for any railroad that previously demonstrated to FRA it had finished installing all PTC
system hardware for the implementation of its PTC system, consistent with the governing FRA-approved PTCIP.
7
If a particular category listed in this table does not apply to the railroad’s technology, please indicate “N/A.” A railroad may add categories or subcategories in
Appendix A if it wants to provide more detail.
6

FRA F 6180.165

OMB Approval Granted 06/05/2020
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OMB Control No. 2130-0553

Quarterly Progress Report Form – Positive Train Control Implementation
PTC Software: Describe 1) the railroad’s approach to installation of PTC software on its locomotive fleet, and 2) any issues the railroad is
experiencing with installed versions of train management software (e.g., reverting back to previous software versions due to errors in the current
version):

Provide any additional narrative for Locomotive Status below:

3.2 Infrastructure/Back Office Status (Optional for Most Railroads8)
Infrastructure – Back Office Systems
How many physical back office locations are required for PTC operations, as reported in the PTCIP?
How many physical back office locations have been constructed with all necessary equipment
installed?
Are the Back Office Location(s) fully operable with PTC?

Choose Y/N.

Are the Dispatching Location(s) fully operable with PTC?

Choose Y/N.

FRA F 6180.165

OMB Approval Granted 06/05/2020
OMB Approval Expires 06/30/2023

OMB Control No. 2130-0553

Quarterly Progress Report Form – Positive Train Control Implementation
Provide any additional narrative for Infrastructure/Back Office Status below:

3.3 Infrastructure/Wayside Status (Optional for Most Railroads9)
Category/Installation
Feature

Q1 –
Quantity
Installed

Q2 –
Quantity
Installed

Q3 –
Quantity
Installed

Q4 –
Quantity
Installed

Sum of
Quarterly
Totals

PTCIP Year
End Goal 10

Cumulative
Quantity
Installed

Grand
Total
Reported
in PTCIP (if
applicable)

Infrastructure – Wayside Installations (Systemwide) 11
Wayside Interface Units

Communication Towers or
Poles

Switch Position Monitors

Wayside Radios

Base Station Radios

Are all necessary communication backbone utilities (including fiber, copper, ground wiring etc.) installed and ready for operation?

Choose Y/N.

This section is optional for any railroad that previously demonstrated to FRA it had finished installing all PTC system hardware for the implementation of its PTC
system, consistent with the governing FRA-approved PTCIP.
10
Unlike the heading in table 3.1, this heading is not qualified with “(if applicable)” because each railroad was required to provide year-end goals for these
particular hardware categories under the PTC Enforcement and Implementation Act of 2015.
11
If a particular category listed in this table does not apply to the railroad’s technology, please indicate “N/A.” A railroad may add categories or subcategories in
Appendix A if it wants to provide more detail.
9

FRA F 6180.165

OMB Approval Granted 06/05/2020
OMB Approval Expires 06/30/2023

OMB Control No. 2130-0553

Quarterly Progress Report Form – Positive Train Control Implementation
Provide any additional narrative for Infrastructure/Wayside Status below:

4. Installation/Track Segment Progress – Current Status12 (Optional for Some Railroads13)
Segment Identification

Q1 Status – Current status Q2 Status – Current status Q3 Status – Current status Q4 Status – Current status
of installation/track
of installation/track
of installation/track
of installation/track
segment
segment
segment
segment
Choose Status.

Choose Status.

For passenger rail operations, this information should be further segregated into those routes where it is a host or tenant.
This section is optional for a railroad that reports in Section 1 (“Summary”) that its PTC system is governing operations, including RSD, on all PTC-mandated
route miles, consistent with the governing FRA-approved PTCIP.
14
Segment identification should be consistent with installation segments as listed in the railroad’s PTCIP (e.g., by track segment, territory, subdivision, district,
etc.).
13

FRA F 6180.165

OMB Approval Granted 06/05/2020
OMB Approval Expires 06/30/2023

OMB Control No. 2130-0553

Quarterly Progress Report Form – Positive Train Control Implementation
Segment Identification

Choose Status.

If a railroad has more segments where PTC will be implemented, please use the additional rows provided in Appendix B.

Provide any additional narrative for Installation/Track Segment Status below:

FRA F 6180.165

OMB Approval Granted 06/05/2020
OMB Approval Expires 06/30/2023

OMB Control No. 2130-0553

Quarterly Progress Report Form – Positive Train Control Implementation

5. Quarterly Update on Employee Training (Optional for Most Railroads15)
Employee Category 16

Q4 – #
Q3 – #
Q2 – #
Q1 – #
Employees Employees Employees Employees
Trained
Trained
Trained
Trained

Employees who Install, Maintain,
Repair, Modify, Inspect, and Test the
PTC System
Employees who Dispatch Train
Operations
Train and Engine (Operations)
Employees

Sum of
Quarterly
Totals

PTCIP
Year End
Goal

Cumulative
# of
Employees
Trained

Grand
Total
Reported
in PTCIP

0
0

Roadway Worker Employees

Direct Supervisors of the Above
Employees

Provide any additional narrative for Employee Training below:

This section is optional for any railroad that previously demonstrated to FRA it had finished training all employees required to receive PTC training under 49 CFR
§§ 236.1041 through 236.1049, consistent with the governing FRA-approved PTCIP.
16
See 49 CFR § 236.1041(a).

FRA F 6180.165

OMB Approval Granted 06/05/2020
OMB Approval Expires 06/30/2023

OMB Control No. 2130-0553

Quarterly Progress Report Form – Positive Train Control Implementation

6. Quarterly Update on Interoperability Progress and Other Formal Agreements
This section is provided to help railroads describe interoperability information. Please provide any additional information (e.g., an appendix) as
appropriate.
Required content:
• For host railroads: provide updates to any agreements and key milestones for all tenant operations
• For tenant railroads: provide updates to any agreements and key milestones for all operations over tracks hosted by another railroad
Host and Tenant Railroads: Provide a general update on interoperability in the textbox below:

Host Railroads Only: For each tenant, provide additional tenant information below:
Estimated Quantity of
Tenant Identification
Tenant Rolling Stock to be
Equipped with PTC

Scheduled Completion
Date for
Interoperability Testing

Current Tenant
Interoperability Status
Choose Status.
Choose Status.
Choose Status.
Choose Status.

Choose Status.

Choose Status.
Choose Status.

FRA F 6180.165

OMB Approval Granted 06/05/2020
OMB Approval Expires 06/30/2023

OMB Control No. 2130-0553

Quarterly Progress Report Form – Positive Train Control Implementation
Tenant Identification

Estimated Quantity of
Tenant Rolling Stock to be
Equipped with PTC

Scheduled Completion
Date for
Interoperability Testing

Current Tenant
Interoperability Status
Choose Status.
Choose Status.
Choose Status.

Choose Status.
Choose Status.
Choose Status.

Choose Status.

Choose Status.
Choose Status.
Choose Status.

Choose Status.
Choose Status.
Choose Status.
Choose Status.

Choose Status.

Choose Status.
Choose Status.
Choose Status.

Choose Status.
Choose Status.

Choose Status.
Choose Status.
Choose Status.

FRA F 6180.165

OMB Approval Granted 06/05/2020
OMB Approval Expires 06/30/2023

OMB Control No. 2130-0553

Quarterly Progress Report Form – Positive Train Control Implementation

Public reporting burden for this information collection is estimated to average 23.22 hours per response, including the time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of
information. According to the Paperwork Reduction Act of 1995, a federal agency may not conduct or sponsor, and a person is not required
to respond to, nor shall a person be subject to a penalty for failure to comply with, a collection of information unless it displays a currently
valid OMB control number. The valid OMB control number for this information collection is 2130-0553. All responses to this collection of
information are mandatory. Send comments regarding this burden estimate or any other aspect of this collection, including suggestions for
reducing this burden to OMB’s Office of Information and Regulatory Affairs, Attn: FRA OMB Desk Officer.

FRA F 6180.165

OMB Approval Granted 06/05/2020
OMB Approval Expires 06/30/2023

OMB Control No. 2130-0553

Quarterly Progress Report Form – Positive Train Control Implementation

Appendix A: Additional Rows for Quarterly Update on Major Milestones
Category/Installation
Feature

Q1 –
Quantity
Installed

Q2 –
Quantity
Installed

Q3 –
Quantity
Installed

Q4 –
Quantity
Installed

Sum of
Quarterly
Totals

PTCIP Year
End Goal (if
applicable)

Cumulative
Quantity
Installed

Grand
Total
Reported
in PTCIP (if
applicable)

0
0
0

0
0

0
0
0

FRA F 6180.165

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OMB Control No. 2130-0553

Quarterly Progress Report Form – Positive Train Control Implementation

Appendix B: Additional Rows for Installation/Track Segment Progress – Current Status
Segment Identification

FRA F 6180.165

Choose Status.

OMB Approval Granted 06/05/2020
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OMB Control No. 2130-0553

Quarterly Progress Report Form – Positive Train Control Implementation
Segment Identification

FRA F 6180.165

Choose Status.

OMB Approval Granted 06/05/2020
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OMB Control No. 2130-0553

Quarterly Progress Report Form – Positive Train Control Implementation
Segment Identification

FRA F 6180.165

Choose Status.

OMB Approval Granted 06/05/2020
OMB Approval Expires 06/30/2023

OMB Control No. 2130-0553

Quarterly Progress Report Form – Positive Train Control Implementation
Segment Identification

FRA F 6180.165

Choose Status.

OMB Approval Granted 06/05/2020
OMB Approval Expires 06/30/2023

OMB Control No. 2130-0553

Quarterly Progress Report Form – Positive Train Control Implementation
Segment Identification

Choose Status.

FRA F 6180.165

OMB Approval Granted 06/05/2020
OMB Approval Expires 06/30/2023

OMB Control No. 2130-0553

Quarterly Progress Report Form – Positive Train Control Implementation
Segment Identification

Choose Status.

FRA F 6180.165

Choose Status.

OMB Approval Granted 06/05/2020
OMB Approval Expires 06/30/2023

OMB Control No. 2130-0553

Quarterly Progress Report Form – Positive Train Control Implementation
Segment Identification

FRA F 6180.165

Choose Status.

OMB Approval Granted 06/05/2020
OMB Approval Expires 06/30/2023

File Type	application/pdf
Author	Chang, Joyce
File Modified	2020-12-18
File Created	2020-03-02