FRA F 6180.152 Biannual Report of PTC System Performance

Positive Train Control and Other Signal Systems (Formerly titled Positive Train Control)

Biannual Report of PTC System Performance..xlsx

OMB: 2130-0553

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Overview

PRA Notice
Form Instructions
Form Information
Data (1 of 2)
Data (2 of 2)
Reference Values
Sample Data (1 of 2)
Sample Data (2 of 2)
Regulatory Text


Sheet 1: PRA Notice



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 48 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 Office of Management and Budget (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. 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

Sheet 2: Form Instructions



Form FRA F 6180.152


OMB Control No. 2130-0553

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

See 49 CFR § 236.1029(h) for the complete list of regulatory requirements for railroads' Biannual Reports of PTC System Performance (Form FRA F 6180.152).




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 Biannual Report of PTC System Performance (Form FRA F 6180.152) to FRA by the following 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 of the prior calendar year).
See49 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 railroad is currently subject to an exception under 49 CFR § 236.1006(b)(4) or (5), shall submit the information required under 49 CFR § 236.1029(h)(1) and (2) to each applicable host railroad on a continuous basis.
See49 CFR § 236.1029(h)(4).




General Instructions

1. There are three (3) sheets in this Excel file that must be populated with data for a valid submission: Form Information, Data (1 of 2), and Data (2 of 2).
2. Railroad names should be referenced consistently 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 "Tenant 1" experienced any PTC-related failures or any enforcements during the reporting period on "Segment 1" and "Segment 2," those events should be reported in "Data (1 of 2)," and the scale of operations should be reported in "Data (2 of 2)." See the sheets labeled "Sample Data" in this Excel file for an example of a proper submission.
4. See 49 CFR § 236.1029(h), or the sheet labeled "Regulatory Text," for the complete list of regulatory requirements for railroads' Biannual Reports of PTC System Performance (Form FRA F 6180.152).




Form Information Instructions

Reporting Railroad Name: Enter the name of the host railroad submitting this form.

Reporting Period: Select the applicable reporting period from the dropdown menu.

Confidentiality Requested, If Any: Indicate here if the reporting railroad requests partial or full confidentiality of the form data under 49 CFR § 209.11, or write "N/A."




Data (1 of 2) Instructions

This sheet contains the required performance-related data.

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

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

Subsystem Use the following values to identify the sources or causes of the initialization failures, cut outs, and malfunctions:
- Locomotive
- Wayside
- Communications
- Back Office
- Non-PTC Component
- N/A - Enforcement or Prevented Incident

EventTypeCode 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 = Any enforcements by the PTC system
P = Any specific instances in which the PTC system prevented an accident or incident

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




Data (2 of 2) Instructions

This sheet contains operational data to normalize the frequency of performance-related events and help determine the rate at which they occur.

RailroadName This list shall include the host railroad and any tenant railroad that experienced a performance-related event during the reporting period.

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

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

TotalTrainMiles Enter the total number of PTC-governed train miles during the reporting period for each host railroad and tenant railroad, separated by track segment.




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.gov) or another designated location.


Sheet 3: Form Information


Form FRA F 6180.152
OMB Control No. 2130-0553







Reporting Railroad Name:

Reporting Period:

Confidentiality Requested, If Any:

If applicable, 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 reduce the frequency and rate of initialization failures, cut outs, and malfunctions, such as any actions to correct or eliminate systemic issues and specific problems:













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

Sheet 4: Data (1 of 2)

RailroadName: Enter the railroad name for each event record. This list should include the host railroad and any tenant railroad that has a performance-related event occur over the reporting period. RailroadName TrackSegment: Enter the subdivision name as it appears in the railroad's PTC Implementation Plan. TrackSegment SubsystemOrComponent: Use the following values to categorize which component of the PTC system experienced a performance-related event: - Locomotive - Wayside - Communications - Back Office - Non-PTC - Other Subsystem EventTypeCode: Use the following codes to represent the performance-related event type for each record: 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 incident EventTypeCode TotalEvents: Enter the total number of events during the reporting period for the railroad, subdivision, and event type. TotalEvents

Sheet 5: Data (2 of 2)

RailroadName: Enter the railroad name for each event record. This list should include the host railroad and any tenant railroad that has a performance-related event occur over the reporting period. RailroadName TrackSegment: Enter the subdivision name as it appears in the railroad's PTC Implementation Plan. TrackSegment TotalScheduledInitializations: Enter the total number of scheduled attempts at PTC initialization during the reporting period for each host and tenant railroad and subdivision. TotalScheduledInitializations TotalTrainMiles: Enter the total number of PTC train miles operated during the reporting period for each host and tenant railroad and subdivision. TotalTrainMiles

Sheet 6: Reference Values

EventType Label Description
I Initialization Failure 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.
C Cut Out 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 with authorization), unless the cut out was necessary to exit PTC-governed territory and enter non-PTC territory.
M Malfunction 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.
E Enforcement Any enforcements by the PTC system.
P Prevented Accident or Incident Any specific instances in which the PTC system prevented an accident or incident.

Sheet 7: Sample Data (1 of 2)

RailroadName: Enter the railroad name for each event record. This list should include the host railroad and any tenant railroad that has a performance-related event occur over the reporting period. RailroadName TrackSegment: Enter the subdivision name as it appears in the railroad's PTC Implementation Plan. TrackSegment SubsystemOrComponent: Use the following values to categorize which component of the PTC system experienced a performance-related event: - Locomotive - Wayside - Communications - Back Office - Non-PTC - Other Subsystem EventTypeCode: Use the following codes to represent the performance-related event type for each record: 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 incident EventTypeCode TotalEvents: Enter the total number of events during the reporting period for the railroad, subdivision, and event type. TotalEvents
Host 1 Segment 1 Locomotive I 20
Host 1 Segment 1 Locomotive C 15
Host 1 Segment 1 N/A - Enforcement or Prevented Event E 2
Host 1 Segment 1 Communications M 42
Host 1 Segment 1 Wayside M 12
Host 1 Segment 1 Back Office C 4
Host 1 Segment 1 Non-PTC Component C 2
Host 1 Segment 2 Locomotive M 12
Host 1 Segment 2 Communications I 45
Host 1 Segment 2 Communications M 37
Host 1 Segment 2 Non-PTC Component I 4
Host 1 Segment 3 N/A - Enforcement or Prevented Event P 1
Host 1 Segment 3 N/A - Enforcement or Prevented Event E 3
Host 1 Segment 3 Communications M 5
Host 1 Segment 3 Communications I 3
Tenant 1 Segment 1 Locomotive I 18
Tenant 1 Segment 1 Back Office C 15
Tenant 1 Segment 2 Locomotive I 3
Tenant 1 Segment 2 N/A - Enforcement or Prevented Event E 1
Tenant 2 Segment 1 Locomotive I 6
Tenant 2 Segment 1 Back Office C 3
Tenant 2 Segment 1 Non-PTC Component M 10
Tenant 3 Segment 3 Back Office C 2

Sheet 8: Sample Data (2 of 2)

RailroadName: Enter the railroad name for each event record. This list should include the host railroad and any tenant railroad that has a performance-related event occur over the reporting period. RailroadName TrackSegment: Enter the subdivision name as it appears in the railroad's PTC Implementation Plan. TrackSegment TotalScheduledInitializations: Enter the total number of scheduled attempts at PTC initialization during the reporting period for each host and tenant railroad and subdivision. TotalScheduledInitializations TotalTrainMiles: Enter the total number of PTC train miles operated during the reporting period for each host and tenant railroad and subdivision. TotalTrainMiles
Host 1 Segment 1 15000 800100
Host 1 Segment 2 14000 720205
Host 1 Segment 3 900 440004
Tenant 1 Segment 1 1000 50015
Tenant 1 Segment 2 800 45123
Tenant 2 Segment 1 500 15000
Tenant 3 Segment 3 200 9305

Sheet 9: Regulatory Text



Form FRA F 6180.152

OMB Control No. 2130-0553







49 CFR § 236.1029(h) -- Biannual Report of PTC System Performance







(h) Biannual Report of PTC System Performance. (1) Each host railroad subject to 49 U.S.C. 20157 or this subpart shall electronically submit a Biannual Report of PTC System Performance on Form FRA F 6180.152, containing the following information for the applicable reporting period, separated by the host railroad, each applicable tenant railroad, and each PTC-governed track segment (e.g., territory, subdivision, district, main line, branch, or corridor), consistent with the railroad’s PTC Implementation Plan:

(i) The total number of PTC system initialization failures, and subtotals identifying the number of initialization failures where the source or cause was the onboard subsystem, wayside subsystem, communications subsystem, back office subsystem, or a non-PTC component;
(ii) The total number of PTC system cut outs, and subtotals identifying the number of cut outs where the source or cause was the onboard subsystem, wayside subsystem, communications subsystem, back office subsystem, or a non-PTC component;
(iii) The total number of PTC system malfunctions, and subtotals identifying the number of malfunctions where the source or cause was the onboard subsystem, wayside subsystem, communications subsystem, back office subsystem, or a non-PTC component;
(iv) The number of enforcements by the PTC system;
(v) The number of specific instances in which the PTC system prevented an accident or incident;
(vi) The number of scheduled attempts at initialization of the PTC system; and
(vii) The number of train miles governed by the PTC system.

(2) A host railroad’s Biannual Report of PTC System Performance (Form FRA F 6180.152) shall also include a summary of any actions the host railroad and its tenant railroads are taking to reduce the frequency and rate of initialization failures, cut outs, and malfunctions, such as any actions to correct or eliminate systemic issues and specific problems.

(3) Each host railroad shall electronically submit a Biannual Report of PTC System Performance (Form FRA F 6180.152) to FRA by the following 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 of the prior calendar year).

(4) Each tenant railroad that operates on a host railroad’s PTC-governed main line(s), unless the tenant railroad is currently subject to an exception under § 236.1006(b)(4) or (5), shall submit the information required under paragraphs (h)(1) and (2) of this section to each applicable host railroad on a continuous basis.

(5) Any railroad operating a PTC system classified under FRA Type Approval Nos. FRA-TA-2010-001 or FRA-TA-2013-003 must begin submitting the metric required under paragraph (h)(1)(iv) not later than January 31, 2023.
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