Biannual Report of PTC System Performance

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[Proposed] Form FRA F 6180.152
OMB Control No. 2130-0553

Biannual Report of Positive Train Control (PTC) System Performance
Public reporting burden for this information collection is estimated to average 12 hour 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 FRA's Information Collection Clearance Officer via e-mail ([email protected])
or telephone (202-493-0440). In any comments, please reference OMB Control No. 2130-0553, Docket No.
FRA-2019-0075, and Regulation Identifier No. 2130-AC75.

OMB Approval Granted XX/XX/XXXX
OMB Approval Expires XX/XX/XXXX

Form Instructions for the Biannual Report of PTC System Performance (Form FRA F

See 49 CFR § 236.1029(h) for the complete list of regulatory requirements for railroads' Biannual Reports of PTC System Pe

Reporting Deadlines Under 49 CFR § 236.1029(h)
- Host Railroads: Each host railroad subject to 49 U.S.C. § 20157 or 49 CFR part 236, subpart I, shall electronically submit a
6180.152) to FRA by the following due dates: July 31 (covering the period from January 1 to June 30), and January 31 (cov
calendar year). See 49 CFR § 236.1029(h)(3).
- Tenant Railroads: Each tenant railroad that operates on a host railroad’s PTC-governed main line(s), unless the tenant ra
236.1006(b)(4) or (5), shall submit the information required under 49 CFR § 236.1029(h)(1) and (2) to each applicable host
January 1 to June 30) and by January 15 (for the report covering the period from July 1 to December 31 of the prior calend

General Instructions
1. There are three (3) sheets in this Excel file that must be populated with data for a valid submission: Form Information, D
2. Railroad names should be consistently referenced throughout this form.
3. The data in sheets "Data (1 of 2)" and "Data (2 of 2)" should correspond with each other. For example, if PTC-governed
enforcements during the reporting period on "Segment1" and "Segment2," those events should be reported in "Data (1 of
of 2)." See the sheets labeled "Sample Data" in this Excel file for an example of a proper submission.

Form Information Instructions
Reporting Railroad Name:
Reporting Period:
Confidentiality Requested, If Any:
Data (1 of 2) Instructions
This sheet contains the required performance-related data.
RailroadName

TrackSegment

SubsystemOrComponent

EventTypeCode

TotalEvents

Data (2 of 2) Instructions
This sheet contains operational data to normalize the frequency of performance-related events and help determine the ra
RailroadName
TrackSegment
TotalScheduledInitializations
TotalTrainsOperated
TotalTrainMiles
Submission Instructions
When finished updating the Excel file with the data associated with the reporting period, save the file.

Submit the completed, saved Excel file electronically to FRA, via FRA's Secure Information Repository (https://sir.fra.dot.go

[Proposed] Form FRA F 6180.152
OMB Control No. 2130-0553

r the Biannual Report of PTC System Performance (Form FRA F 6180.152)

he complete list of regulatory requirements for railroads' Biannual Reports of PTC System Performance (Form FRA F 6180.152).

9 CFR § 236.1029(h)
ilroad subject to 49 U.S.C. § 20157 or 49 CFR part 236, subpart I, shall electronically submit a Biannual Report of PTC System Performance
wing due dates: July 31 (covering the period from January 1 to June 30), and January 31 (covering the period from July 1 to December 31 o
36.1029(h)(3).
nt railroad that operates on a host railroad’s PTC-governed main line(s), unless the tenant railroad is currently subject to an exception und
bmit the information required under 49 CFR § 236.1029(h)(1) and (2) to each applicable host railroad by July 15 (for the report covering th
anuary 15 (for the report covering the period from July 1 to December 31 of the prior calendar year). See 49 CFR
§ 236.1029

n this Excel file that must be populated with data for a valid submission: Form Information, Data (1 of 2), and Data (2 of 2).
onsistently referenced throughout this form.
of 2)" and "Data (2 of 2)" should correspond with each other. For example, if PTC-governed "Tenant1" experienced PTC-related failures or
rting period on "Segment1" and "Segment2," those events should be reported in "Data (1 of 2)," and the scale of operations should be rep
"Sample Data" in this Excel file for an example of a proper submission.

s
Enter the name of the host railroad submitting this form.
Select the applicable reporting period from the dropdown menu.

Indicate here if the reporting railroad requests partial or full confidentiality of the form data under 49 CFR § 209.11, or write "N

ed performance-related data.

Enter the railroad name for each event. This list should include the host railroad and any tenant railroad that experienced any
related events (including initialization failures, cut outs, malfunctions, and intended enforcements) during the reporting period

Enter the PTC-governed track segment (e.g., territory, subdivision, district, main line, branch, or corridor), as it appears in the r
Implementation Plan.
Use the following values to identify the sources or causes of the initialization failures, cut outs, and malfunctions:
- Locomotive Subsystem
- Wayside Subsystem
- Communications Subsystem
- Back Office Subsystem
- Non-PTC Component

Use the following codes to represent the types of performance-related events that occurred during the reporting period:
I = Initialization Failures
C = Cut Outs
M = Malfunctions
E = Intended enforcements by the PTC system and any other instances in which the PTC system prevented an accident or incid

Enter the total number of each type of performance-related event that occurred during the reporting period, separated by rail
segment.

al data to normalize the frequency of performance-related events and help determine the rate at which they occur.

This list shall include the host railroad and any tenant railroad that experienced a performance-related event during the repor

Enter the PTC-governed track segments (e.g., territory, subdivision, district, main line, branch, or corridor), as it appears in the
Implementation Plan.

Enter the total number of scheduled attempts at PTC system initialization during the reporting period for each host railroad an
railroad, separated by track segment.

Enter the total number of PTC-governed trains operated during the reporting period for each host railroad and tenant railroad
track segment.

Enter the total number of PTC-governed train miles during the reporting period for each host railroad and tenant railroad, sep
segment

xcel file with the data associated with the reporting period, save the file.

Excel file electronically to FRA, via FRA's Secure Information Repository (https://sir.fra.dot.gov) or another designated location.

Reporting Railroad Name:
Reporting Period:
Confidentiality Requested, If Any:
Provide a statement justifying the
request for nondisclosure and referring
to the specific legal authority claimed*:

Summary of any actions the host
railroad and its tenant railroads are
taking to continually improve the
performance and reliability of the PTC
system:

*If a railroad requests partial or full confidentiality of this form, the railroad must also satisfy the other requiremen
the requirements under § 209.11(d) regarding labeling, redactions, and multiple versions, if applicable.

[Proposed] Form FRA F 6180.152
OMB Control No. 2130-0553

or full confidentiality of this form, the railroad must also satisfy the other requirements under 49 CFR § 209.11, including
.11(d) regarding labeling, redactions, and multiple versions, if applicable.

RailroadName

TrackSegment

SubsystemOrComponent

EventTypeCode

TotalEvents

RailroadName

TrackSegment

TotalScheduledInitializations

TotalTrainsOperated

TotalTrainMiles

EventType
I

Label
Initialization Failure

C

Cut Out

M

Malfunction

E

Intended Enforcement

Description
Any instance when a PTC system fails to activate on a locomotive or train,
unless the PTC system successfully activates during a subsequent attempt
in the same location or before entering PTC territory. For the types of
PTC systems that do not initialize by design, a failed departure test is
considered an initialization failure for purposes of the reporting
requirement under § 236.1029(h), unless the PTC system successfully
passes the departure test during a subsequent attempt in the same
location or before entering PTC territory.
Any disabling of a PTC system, subsystem, or component en route,
including when the PTC system cuts out on its own or a person cuts out
the system, unless the cut out was necessary to exit PTC-governed
territory and enter non-PTC territory.
Any instance when a PTC system, subsystem, or component fails to
perform the functions mandated under 49 U.S.C. 20157(i)(5), 49 CFR part
236, subpart I, or the applicable host railroad’s PTC Safety Plan.
Any intended enforcements by the PTC system and any other instances in
which the PTC system prevented an accident or incident.

RailroadName
Host1
Host1
Host1
Host1
Host1
Host1
Host1
Host1
Host1
Host1
Host1
Tenant1
Tenant1
Tenant1
Tenant1
Tenant2
Tenant2
Tenant2

TrackSegment
Segment1
Segment1
Segment1
Segment1
Segment1
Segment1
Segment1
Segment2
Segment2
Segment2
Segment2
Segment1
Segment1
Segment2
Segment2
Segment1
Segment1
Segment1

SubsystemOrComponent
Locomotive Subsystem
Locomotive Subsystem
N/A - Intended Enforcement
Communications Subsystem
Wayside Subsystem
Back Office Subsystem
Non-PTC Component
Locomotive Subsystem
Communications Subsystem
Communications Subsystem
Non-PTC Component
Locomotive Subsystem
Back Office Subsystem
Locomotive Subsystem
N/A - Intended Enforcement
Locomotive Subsystem
Back Office Subsystem
Non-PTC Component

EventTypeCode
I
C
E
M
M
C
C
M
I
M
I
I
C
I
E
I
C
M

TotalEvents
20
15
4
42
12
4
2
12
45
37
4
18
15
3
4
6
3
10

RailroadName
Host1
Host1
Tenant1
Tenant1
Tenant2

TrackSegment
Segment1
Segment2
Segment1
Segment2
Segment1

TotalScheduledInitializations
TotalTrainsOperated
TotalTrainMiles
15000
7040
800100
14000
6800
720200
1000
750
50000
800
600
45000
500
350
15000