FEDERAL RAILROAD ADMINISTRATION
Positive Train Control and Other Signal Systems
(Title 49 Code of Federal Regulations Parts 235 and 236)
SUPPORTING JUSTIFICATION
RIN 2130-AC95; OMB Control No. 2130-0553
Summary
This submission is a revision to the last approved submission pertaining to Title 49 Code of Federal Regulation Parts 235 and 236 (Positive Train Control and Other Signal Systems), that was approved by the Office of Management and Budget (OMB) on March 14, 2024, which expires March 31, 2027.
The Federal Railroad Administration (hereafter “FRA” or “the Agency”) is publishing a Notice of Proposed Rulemaking (NPRM) revising Part 236 titled Positive Train Control Systems in the Federal Register on October 28, 2024. See 89 FR 85462. FRA plans to respond to any comments received in response to the NPRM in the final rule.
The total number of burden hours previously approved by OMB for this collection is 51,931, and the total number of responses previously approved is 4,567,826.
The total number of burden hours requested is 53,310 hours and the total number of responses requested is 4,567,839.
Program change increased the burden by 1,395 hours and 16 responses.
FRA made adjustments that decreased the burden by 16 hours and 3 responses.
The answer to question 12 itemizes all information collection requirements.
The answer to question 15 itemizes adjustments.
Circumstances that make collection of the information necessary.
Section 20157 of title 49 of the United States Code (U.S.C.) mandates that each Class I railroad, and each entity providing regularly scheduled intercity or commuter rail passenger transportation implement an FRA-certified positive train control (PTC) system on: (1) its main lines over which poison- or toxic-by-inhalation hazardous materials are transported, if the line carries five million or more gross tons of any annual traffic; (2) its main lines over which intercity or commuter rail passenger transportation is regularly provided; and (3) any other tracks the Secretary of Transportation (Secretary) prescribes by regulation or order.1 By law, PTC systems must be designed to prevent certain accidents or incidents, including train-to-train collisions, over-speed derailments, incursions into established work zones, and movements of trains through switches left in the wrong position.2
On November 15, 2021, President Joseph R. Biden signed into law the Infrastructure Investment and Jobs Act (IIJA). Section 22414 of the IIJA establishes the same reporting requirement as FRA's existing regulations, using the same FRA form number (Form FRA F 6180.152) and content requirements, but modifies the statutory reporting cadence to quarterly rather than biannual. On July 25, 2022, OMB approved FRA’s extension request in which FRA modified Form FRA F 6180.152 to align with the statutory quarterly framework. FRA now requires each subject railroad to submit Form FRA F 6180.152 on a quarterly basis. Additionally, in March 2024, FRA standardized the reporting process required by 49 CFR 236.1023(e)(1), (h), and (f) by creating the Errors and Malfunctions Notification Form (Form FRA F 6180.179).
In this NPRM FRA is proposing to amend three sections, 49 CFR 236.1006, 236.1021, and 236.1029, of FRA’s existing PTC regulations pursuant to its specific authority under 49 CFR 1.89 and 49 U.S.C. 20157(g), and its general authority under 49 U.S.C. 20103 to prescribe regulations and issue orders for every area of railroad safety governing PTC systems. Since December 31, 2020, by law, PTC systems have generally governed rail operations on PTC-mandated main lines, which encompass nearly 59,000 route miles today. Through FRA’s oversight and continued engagement with the industry, FRA has found that its existing PTC regulations do not provide sufficient flexibility to railroads to continue operating following certain initialization failures or in cases where a PTC system needs to be temporarily disabled to facilitate repair, maintenance, infrastructure upgrades, or capital projects.
This NPRM proposes to establish parameters and operating restrictions under which railroads may continue to operate safely in certain necessary scenarios when PTC technology is not governing rail operations temporarily. Overall, the proposed amendments would benefit the railroad industry, the public, and FRA by facilitating repairs, maintenance, upgrades, and capital improvements; expanding certain railroad filing requirements; reducing unnecessary costs; and enabling the safe, reliable, and efficient movement of people and goods, while preserving rail safety.
How, by whom, and for what purpose the information is to be used.
FRA’s regulations require that railroads or PTC vendors and suppliers notify FRA of certain PTC system errors and malfunctions.3 For example, railroads must maintain a database of all safety-relevant hazards identified in their PTC Safety Plans (PTCSP) and those that had not previously been identified in their PTCSPs.4 If the frequency of a safety-relevant hazard exceeds the thresholds in a railroad’s PTCSP, or such hazard has not been previously identified in a railroad’s risk analysis, then the railroad must notify FRA of the failure, malfunction, or defective condition that decreased or eliminated the safety functionality of the railroad’s PTC system.5 In addition, FRA’s regulations require PTC vendors and suppliers to notify FRA of any safety-relevant failure, defective condition, or previously unidentified hazard discovered by the vendor or supplier and the identify of each affected and notified railroad.6
The information collected quarterly on FRA F 6180.152 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. Form FRA F 6180.179, Errors, and Malfunctions Notification Form, makes it easier for entities to notify FRA of each applicable failure, malfunction, or defective condition, and for FRA to synthesize and act on the reported failure. Form FRA F 6180.179 is submitted to [email protected] within the same 15-day deadline required under 49 CFR 236.1023(f)(1). The Errors and Malfunctions Notification Form does not change the requirements that each railroad or PTC supplier and vendor currently must follow to notify FRA of each reportable failure, malfunction, or defective condition.7
In the 2024 PTC NPRM, FRA is proposing to improve existing 49 CFR 236.1021(m), which railroads currently utilize to request and obtain FRA’s approval to disable their PTC systems temporarily when necessary to facilitate repair, maintenance, infrastructure upgrades, and capital projects. This NPRM proposes to add paragraph (m)(4) to existing § 236.1021 to focus on this specific type of request for amendment (RFA) to PTC systems (i.e., where a temporary PTC system outage is proposed), as it is different from the other types of RFAs that railroads submit pursuant to § 236.1021 and requires additional FRA oversight. FRA proposes to require railroads to provide additional, essential information in an RFA that seeks to temporarily disable a PTC system, to enable FRA to evaluate more fully the scope, circumstances, and necessity of a proposed temporary outage and properly determine whether granting the request is in the public interest and consistent with railroad safety.
In addition, FRA is proposing to reintroduce a limited, more stringent version of a flexibility, regarding PTC system initialization failures that expired on December 31, 2022.8 The expired regulatory provision previously permitted any train, including individual trains, to keep operating subject to certain restrictions, if the train failed to initialize for any reason prior to the train’s departure from its initial terminal.
FRA’s intention in the NPRM, by proposing to reintroduce a more limited version of this flexibility, is to address system-level outages or failures that result in multiple trains’ PTC system failings to initialize, impacting the trains of the host railroad and often most, if not all, its tenant railroads. Currently, if a PTC system fails to initialize, trains are generally prohibited from operating, which has resulted in situations where passengers could be stranded, and vital freight shipments halted.
3. Extent of automated information collection.
FRA strongly encourages the use of advanced information technology, wherever possible, to reduce paperwork burdens.
FRA developed a standardized, Excel-based Errors and Malfunctions Notification Form FRA F 6180.179, that railroads and PTC vendors and suppliers utilize to satisfy the reporting requirements. Form FRA F 6180.152 is also an Excel-based form.
To date, FRA’s PTC expert estimates that 100 percent of required documents have been submitted electronically to the agency.
4. Efforts to identify duplication.
The information collection requirements to our knowledge, are not duplicated elsewhere. Similar data are not available from any other source.
5. Efforts to minimize the burden on small businesses.
The U.S. Small Business Administration (SBA) has authority to regulate issues related to small businesses and stipulates in its size standards that a “small entity” in the railroad industry is a for-profit “line-haul railroad” that has fewer than 1,500 employees, a “short line railroad” with fewer than 500 employees, or a “commuter rail system” with annual receipts of less than seven million dollars. See “Size Eligibility Provisions and Standards,” 13 CFR part 121, subpart A.
The proposed rule would directly apply to all 37 host railroads
subject to 49 U.S.C. 20157—including 7 Class I railroads, 24
intercity passenger railroads or commuter railroads, and 6 Class II
or III, short line, or terminal railroads. FRA understands that only
5 of the current PTC-mandated host railroads are small entities. FRA
estimates that the annualized cost to each host railroad would be
approximately $4,556, discounted at 2 percent. FRA estimates that
the annualized benefit for each host railroad would be $251,341,
discounted at 2 percent. Therefore, the cost per railroad is small
considering the benefits that would accrue.
6. Impact of less frequent collection of information.
The information collected under the proposed revised requirement under § 236.1021(m)(4)—Discontinuances, material modifications, and amendments—will ensure that FRA is provided with the additional, essential information needed when reviewing RFAs that propose to temporarily disable a PTC system. This will enable FRA to evaluate more fully the scope, circumstances, and necessity of a proposed temporary outage and properly determine whether granting the request is in the public interest and consistent with railroad safety.
This information collection activity is essential to effectuate FRA oversight of railroads’ operation of PTC technology under 49 U.S.C. § 20157. By statute, railroads have the burden of collecting, cataloging, and presenting this information in Form FRA F 6180.152.9 By regulation, each railroad or PTC supplier or vendor must notify FRA of each applicable failure, malfunction, or defective condition. Form FRA F 6180.179 does not change this regulatory requirement, but rather standardizes the reporting.
This data enables FRA to actively oversee the performance and reliability of PTC systems. The collection of information serves to meet the congressional mandate in 49 U.S.C. § 20157 and advance the goal of enhancing rail safety nationwide.
7. Special circumstances.
There are no special circumstances.
8. Compliance with 5 CFR 1320.8.
FRA published a NPRM in the Federal Register on October 28, 2024,10 titled Positive Train Control Systems soliciting comments on the proposed rule and its accompanying information collection requirements. FRA will respond to any comments received concerning the proposed rule and its associated collection of information at the final rule stage.
Consultations with representatives of the affected population:
FRA regularly engages with host railroads, tenant railroads, PTC system vendors and suppliers, industry associations, and labor organizations, as part of FRA’s oversight of railroads’ operation of PTC systems on the mandated main lines under 49 U.S.C. 20157 and the other lines where railroads are voluntarily implementing PTC technology.
From November 2023 to February 2024, FRA met with the following four industry associations and their member railroads to discuss the objectives of this NPRM and solicit their feedback: the American Public Transportation Association (APTA), the American Short Line and Regional Railroad Association (ASLRRA), the Association of American Railroads (AAR), and the Commuter Rail Coalition (CRC). Representatives from 35 Class I railroads, commuter and passenger railroads, and short line and regional railroads, attended one or more of the AAR, APTA,11 ASLRRA, and CRC meetings. For the same purpose, FRA also met with ten labor organizations in February 2024.
In general, the four industry associations and 35 railroads strongly supported the three objectives of this NPRM. The labor organizations FRA met with supported FRA’s objective of enabling operations while maintaining rail safety, but they expressed concern that regulatory flexibility might have the unintended consequence of degrading safety or delaying repairs to PTC technology. Accordingly, FRA drafted its proposed requirements and restrictions in 49 CFR 236.1006(b)(6), 236.1021(m)(4), and 236.1029(g) with all feedback in mind and to prioritize rail safety, while also facilitating repairs, maintenance, and infrastructure upgrades, and enabling the safe, reliable, and efficient movement of passengers, commuters, and freight.
9. Payments or gifts to respondents.
There are no monetary payments provided or gifts made to respondents associated with the information collection requirements contained in this regulation.
10. Assurance of confidentiality.
FRA fully complies with all laws pertaining to confidentiality, including the Privacy Act of 1974.
11. Justification for any questions of a sensitive nature.
There are no questions, information, or data of a sensitive nature that would normally be considered private contained in this information collection.
12. Estimate of burden hours for information collected.
The estimates for the respondent universe, annual responses, and average time per responses are based on the experience and expertise of FRA’s Signal Train Control, and Crossings Division.
CFR Section/Subject |
Respondent Universe |
Total Annual Responses (A) |
Average Time per Responses (B) |
Total Annual Burden Hours (C = A * B) |
Total Cost Equivalent
in USD Wage Rates)12 |
PRA Analyses and Estimates |
235.6(c)—Expedited application for approval of certain changes described in this section |
42 |
10 applications |
5.00 |
50.00 |
$4,456.50 |
Modification
of a signal system consisting of the installation, relocation, or
removal of one or more signals, interlocked switches, derails,
movable-point frogs, or electric locks in an existing system
directly associated with the implementation of PTC pursuant to
Subpart I of Part 236, if the modification does not include the
discontinuance or decrease of limits of a signal or train control
system. |
—Copy of expedited application to labor union |
42 |
10 |
30.00 |
5.00 |
$445.65 |
FRA
estimates that one (1) copy of each of the 10 expedited
application requests (with the necessary notice and profile plan)
will be provided to the Headquarters of the Railroad Signalmen’s
Union or BRS (Brotherhood of Railroad Signalmen). |
—Railroad letter rescinding its request for expedited application of certain signal system changes |
42 |
1 |
6.00 |
6.00 |
$534.78 |
FRA
estimates that approximately 1 letter rescinding a request for
expedited application of certain signal system changes will be
made by railroads and sent to FRA. |
—Revised application for certain signal system changes |
42 |
1 |
5.00 |
5.00 |
$445.65 |
FRA estimates that approximately 1 revised application for approval of certain signal system changes that include the required notice, profile plan, and statement will be sent to FRA under §§ 235.5 and 235.9–235.20. |
—Copy of railroad revised application to labor union |
42 |
1 |
30.00 |
0.50 |
$44.57 |
FRA
estimates that 1 copy of the revised application request (with
the necessary notice and profile plan) will be provided to the
Headquarters of the Railroad Signalmen’s Union or
Brotherhood of Railroad Signalmen. |
236.1—Railroad maintained signal plans at all interlockings, automatic signal locations, and controlled points, and updates to ensure accuracy |
700 |
25 |
15.00 |
6.30 |
$561.52 |
As
required for maintenance, plans shall be kept at all
interlockings, automatic signals and controlled points. Plans
shall be legible and correct. |
236.15—Designation of automatic block, traffic control, train stop, train control, cab signal, and PTC territory in timetable instructions |
700 |
10 |
30.00 |
5.00 |
$445.65 |
Automatic
block, traffic control, train stop, train control, cab signal,
and PTC territory shall be designated in timetable instructions.
|
236.18—Software management control plan – New railroads |
2 |
2 |
160.00 |
320.00 |
$28,521.60 |
FRA
estimates that the Class II railroads and Class III railroads
have prepared and adopted a software management control plan.
Therefore, only new, or existing Class II and Class III railroads
that become subject to this requirement would be affected. |
236.23(e)—The names, indications, and aspects of roadway and cab signals shall be defined in the carrier’s Operating Rule Book or Special Instructions. Modifications shall be filed with FRA within 30 days after such modifications become effective |
700 |
2 |
1.00 |
2.00 |
$178.26 |
The
names, indications, and aspects of roadway and cab signals shall
be defined in the carrier's Operating Rule Book or Special
Instructions. Modifications shall be filed with the FRA within
thirty days after such modifications become effective. |
236.587(d)—Certification and departure test results |
742 |
4,562,500 |
5.00 |
6,336.81 |
$564,799.88 |
Whoever
performs the departure test shall certify in writing that such
test was properly performed. The certification and the test
results shall be posted in the cab of the locomotive and a copy
of the certification and test results left at the test location
for filing in the office of the supervisory official having
jurisdiction. |
236.905(a)—Railroad Safety Program Plan (RSPP)—New railroads |
2 |
2 |
40.00 |
80.00 |
$7,130.40 |
The
RSPP must establish the minimum Product Safety Plan (PSP)
requirements that will govern the development and implementation
of all products subject to this subpart, consistent with the
provisions contained in § 236.907. |
236.913(a)—Filing and approval of a joint Product Safety Plan (PSP) |
742 |
1 |
2,000.00 |
2,000.00 |
$236,920.00 |
A
PSP must be prepared for each product covered by this subpart. A
joint PSP must be prepared when: |
—(c)(1) Informational filing/petition for special approval |
742 |
0.5 |
50.00 |
25.00 |
$2,228.25 |
Not
less than 180 days prior to planned use of the product in revenue
service as described in the PSP or PSP amendment, the railroad
shall submit an informational filing to the Associate
Administrator for Safety, FRA. |
—(c)(2) Response to FRA’s request for further data after informational filing |
742 |
0.25 |
5.00 |
1.25 |
$111.41 |
FRA
estimates that it will request further information in
approximately 0.25 instances under the above requirement. |
—(d)(1)(ii) Response to FRA’s request for further information within 15 days after receipt of the Notice of Product Development (NOPD) |
742 |
0.25 |
1.00 |
0.25 |
$22.28 |
Within
15 days of receipt of the Notice of Product Development, the
Associate Administrator for Safety either acknowledges receipt,
or acknowledges and requests more information. |
—(d)(1)(iii) Technical consultation by FRA with the railroad on the design and planned development of the product |
742 |
0.25 |
5.00 |
1.25 |
$111.41 |
If
FRA concludes the Notice of Product Development contains
sufficient information, the Associate Administrator for Safety
determines the extent and nature of the assessment and review
necessary for final product approval. FRA may convene a
technical consultation as necessary to discuss issues related to
the design and planned development of the product. |
—(d)(1)(v) Railroad petition to FRA for final approval of NOPD |
742 |
0.25 |
1.00 |
0.25 |
$22.28 |
Within
30 days of receipt of the petition for final approval, the
Associate Administrator for Safety either acknowledges receipt or
acknowledges receipt and requests more information. |
—(d)(2)(ii) Response to FRA’s request for additional information associated with a petition for approval of PSP or PSP amendment |
742 |
1 |
50.00 |
50.00 |
$4,456.50 |
Within
60 days of receipt of the petition for approval, FRA either
acknowledges receipt, or acknowledges receipt and requests more
information. |
—(e) Comments to FRA on railroad informational filing or special approval petition |
742 |
0.5 |
10.00 |
5.00 |
$445.65 |
Interested
parties may submit to FRA information and views pertinent to
FRA’s consideration of an informational filing or petition
for approval. |
—(h)(3)(i) Railroad amendment to PSP |
742 |
2 |
20.00 |
40.00 |
$3,565.20 |
A
railroad may submit an amendment to a PSP at any time in the same
manner as the initial PSP. |
—(j) Railroad field testing/information filing document |
742 |
1 |
100.00 |
100.00 |
$8,913.00 |
Field
testing of a product may be conducted prior to approval of a PSP
by the submission of an informational filing by a railroad. The
FRA will arrange to monitor the tests based on the information
provided in the filing. |
236.917(a)—Railroad retention of records: results of tests and inspections specified in the PSP |
13 |
13 |
160.00 |
2,080.00 |
$185,390.40 |
A
railroad must maintain at a designated office on the railroad:
(i) For the life cycle of the product, adequate documentation to
demonstrate that the PSP meets the safety requirements of the
railroad’s RSPP and applicable standards in this subpart,
including the risk assessment; (ii) An Operations and Maintenance
Manual, pursuant to § 236.919; and (iii) Training records
pursuant to § 236.923(b). Results of inspections and tests
specified in the PSP must be recorded as prescribed in §
236.110. Contractors of the railroad must maintain at a
designated office training records pursuant to §236.923(b). |
—(b) Railroad report that frequency of safety-relevant hazards exceeds threshold set forth in PSP |
13 |
1 |
40.00 |
40.00 |
$3,565.20 |
After
the product is placed in service, the railroad must maintain a
database of all safety-relevant hazards as set forth in the PSP
and those that had not been previously identified in the PSP.
|
—(b)(3) Railroad final report to FRA on the results of the analysis and countermeasures taken to reduce the frequency of safety-relevant hazards |
13 |
1 |
10.00 |
10.00 |
$891.30 |
A
railroad must provide a final report to the FRA Director, Office
of Safety Assurance and Compliance, on the results of the
analysis and countermeasures taken to reduce the frequency of the
safety-relevant hazard(s) below the threshold set forth in the
PSP when the problem is resolved. |
236.919(a)—Railroad Operations and Maintenance Manual (OMM) |
13 |
1 |
40.00 |
40.00 |
$3,565.20 |
A
railroad must catalog and maintain all documents as specified in
the PSP for the installation, maintenance, repair, modification,
inspection, and testing of the product and have them in one
Operations and Maintenance Manual, readily available to persons
required to perform such tasks and for inspection by FRA and FRA
certified state inspectors. |
—(b) Plans for proper maintenance, repair, inspection, and testing of safety-critical products |
13 |
1 |
40.00 |
40.00 |
$3,565.20 |
Plans
required for proper maintenance, repair, inspection, and testing
of safety-critical products must be adequate in detail and must
be made available for inspection by FRA and FRA certified state
inspectors where such products are deployed or maintained. They
must identify all software versions, revisions, and revision
dates. Plans must be legible and correct. |
—(c) Documented hardware, software, and firmware revisions in OMM |
13 |
1 |
40.00 |
40.00 |
$3,565.20 |
Hardware,
software, and firmware revisions must be documented in the
Operations and Maintenance Manual according to the railroad’s
configuration management control plan and any additional
configuration/revision control measures specified in the
PSP. |
236.921 and 923(a)—Railroad Training and Qualification Program |
13 |
1 |
40.00 |
40.00 |
$3,565.20 |
Employers
must establish and implement training and qualification programs
for products subject to this subpart. These programs must meet
the minimum requirements set forth in the PSP and in §§
236.923 through 236.929 as appropriate, for the following
personnel: (1) through (4) of this section. |
236.923(b)—Training records retained in a designated location and available to FRA upon request |
13 |
350 |
10.00 |
58.33 |
$5,198.95 |
Employers
shall retain records which designate persons who are qualified
under this section until new designations are recorded or for at
least one year after such persons leave applicable service. These
records shall be kept in a designated location and be available
for inspection and replication by FRA and FRA-certified State
inspectors. |
236.1001(b)—A railroad’s additional or more stringent rules than prescribed under 49 CFR part 236, subpart I |
38 |
1 |
40.00 |
40.00 |
$4,738.40 |
Each
railroad may prescribe additional or more stringent rules, and
other special instructions, that are not inconsistent with this
subpart. |
236.1005(b)(4)(i)–(ii)—A railroad’s submission of estimated traffic projections for the next 5 years, to support a request, in a PTCIP or an RFA, not to implement a PTC system based on reductions in rail traffic |
The estimated paperwork burden for this requirement is included under §§ 236.1009(a) and 236.1021.
|
|||||
236.1005(b)(4)(iii)—A railroad’s request for a de minimis exception, in a PTCIP or an RFA, based on a minimal quantity of PIH materials traffic |
7 |
1 |
40.00 |
40.00 |
$3,565.20 |
A
railroad may request review of the requirement to install a PTC
system on a track segment where a PTC system is otherwise
required by this section, but has not yet been installed, based
upon the presence of a minimal quantity of PIH materials traffic.
|
—(b)(5) A railroad’s request to remove a line from its PTCIP based on the sale of the line to another railroad and any related request for FRA review from the acquiring railroad |
The estimated paperwork burden for this requirement is included under §§ 236.1009(a) and 236.1021.
|
|||||
—(g)(1)(i) A railroad’s request to temporarily reroute trains not equipped with a PTC system onto PTC-equipped tracks and vice versa during certain emergencies |
38 |
45 |
8.00 |
360.00 |
$32,086.80 |
A
train equipped with a PTC system as required by this subpart may
be temporarily rerouted onto a track not equipped with a PTC
system and a train not equipped with a PTC system may be
temporarily rerouted onto a track equipped with a PTC system as
required by this subpart. |
—(g)(1)(ii) A railroad’s written or telephonic notice to FRA of the conditions necessitating emergency rerouting and other required information under 236.1005(i) |
38 |
45 |
2.00 |
90.00 |
$8,021.70 |
The
railroad provides written or telephonic notification to the
applicable SMT of the information listed in paragraph (i) within
one business day of the beginning of the rerouting made in
accordance with this paragraph; and (iii) the conditions under
paragraph (j) of this section are followed. |
—(g)(2) A railroad’s temporary rerouting request due to planned maintenance not exceeding 30 days |
38 |
720 |
8.00 |
5,760.00 |
$513,388.80 |
A
railroad my submit a temporary rerouting request in the event
planned maintenance that would prevent usage of the regularly
used track if: (i) the maintenance period does not to exceed 30
days; (ii) a request is filed with the applicable Regional
Administrator in accordance with paragraph (i) of this section no
less than 10 days prior to the planned rerouting; and (iii) the
conditions contained in paragraph (j) of this section are
followed. |
—(h)(1) A response to any request for additional information from FRA, prior to commencing rerouting due to planned maintenance |
38 |
10 |
2.00 |
20.00 |
$1,782.60 |
For
the purposes of paragraph (g)(2) of this section, the rerouting
request shall be self-executing unless the applicable SMT
responds with a notice disapproving of the rerouting or providing
instructions to allow rerouting. Such instructions may include
providing additional information to the SMT or Associate
Administrator prior to the commencement of rerouting. Once the
SMT responds with a notice under this paragraph, no rerouting may
occur until the SMT or Associate Administrator provides his or
her approval. |
—(h)(2) A railroad’s request to temporarily reroute trains due to planned maintenance exceeding 30 days |
38 |
160 |
8.00 |
1,280.00 |
$114,086.40 |
In
the event the temporary rerouting described in paragraph (g)(2)
of this section is to exceed 30 consecutive calendar days: (i)
The railroad shall provide a request in accordance with
paragraphs (i) and (j) of this section with the Associate
Administrator no less than 10 business days prior to the planned
rerouting; and (ii) The rerouting shall not commence until
receipt of approval from the Associate Administrator. |
236.1006(b)(4)(iii)(B)—A progress report due by December 31, 2020, and by December 31, 2022, from any Class II or III railroad utilizing a temporary exception under this section |
This
was a temporary regulatory provision which has now expired
therefore the estimated paperwork burden is no longer applicable.
|
|||||
—(b)(5)(vii) A railroad’s request to utilize different yard movement procedures, as part of a freight yard movements exception— |
The
estimated paperwork burden for this requirement is included under
§§ 236.1015 and 236.1021.
|
|||||
—(b)(6) Establishing a new exception to permit non-revenue passenger equipment to operate to maintenance facilities or yards, without being governed by PTC technology, under certain conditions (*New proposed provision*) |
There is no paperwork burden requirement associated with this proposed provision.
|
|||||
236.1007(b)(1)—For any high-speed service over 90 miles per hour (mph), a railroad’s PTC Safety Plan (PTCSP) must additionally establish that the PTC system was designed and will be operated to meet the fail-safe operation criteria in Appendix C |
The
estimated paperwork burden for this requirement is included under
§§ 236.1015 and 236.1021.
|
|||||
—(c) An HSR-125 document accompanying a host railroad’s PTCSP, for operations over 125 mph |
38 |
1 |
3,200.00 |
3,200.00 |
$379,072.00 |
In
addition to the requirements of paragraphs (a) and (b) of this
section, a host railroad that conducts a freight or passenger
operation at more than 125 miles per hour shall have an approved
PTCSP accompanied by a document (“HSR-125”)
establishing that the system complies with (1) through (2) of
this section. |
—(c)(1) A railroad’s request for approval to use foreign service data, prior to submission of a PTCSP |
38 |
0.33 |
8,000.00 |
2,640.00 |
$235,303.20 |
FRA
estimates that approximately one request every three years to use
foreign service data before submittal of the PTCSP will be made
under the above requirement. |
—(d) A railroad’s request in a PTCSP that FRA excuse compliance with one or more of this section’s requirements |
38 |
1 |
1,000.00 |
1,000.00 |
$118,460.00 |
In
addition to the requirements of paragraphs (a) through (c) of
this section, a host railroad that conducts a freight or
passenger operation at more than 150 miles per hour, which is
governed by a Rule of Particular Applicability, shall have an
approved PTCSP accompanied by an HSR-125 developed as part of an
overall system safety plan approved by the Associate
Administrator. |
236.1009(a)(2)—A PTCIP if a railroad becomes a host railroad of a main line requiring the implementation of a PTC system, including the information under 49 U.S.C. 20157(a)(2) and 49 CFR 236.1011 |
264 |
1 |
535.00 |
535.00 |
$63,376.10 |
After
April 16, 2010, a host railroad shall file: (i) a PTCIP if it
becomes a host railroad of a main line track segment for which it
required to implement and operate a PTC system in accordance with
§ 236.1005(b); or (ii) a request for amendment (“RFA”)
of its current and approved PTCIP in accordance with §
236.1021 if it intends to: (A) initiate a new category of service
(i.e., passenger or freight); or (B) add, subtract, or otherwise
materially modify one or more lines of railroad for which
installation of a PTC system is required. |
—(a)(3) Any new PTCIPs jointly filed by a host railroad and a tenant railroad |
264 |
1 |
267.00 |
267.00 |
$31,628.82 |
The
host and tenant railroad(s) shall jointly file PTCIP that
addresses shared track: (i) if the host railroad is required to
install and operate a PTC system on a segment of its track; and
(ii) if the tenant railroad that shares the same track segment
would have been required to install a PTC system if the host
railroad had not otherwise been required to do so. |
—(b)(1) A host railroad’s submission, individually or jointly with a tenant railroad or PTC system supplier, of an unmodified Type Approval |
264 |
1 |
8.00 |
8.00 |
$713.04 |
An unmodified Type Approval previously issued by the Associate Administrator in accordance with § 236.1013 or § 236.1031(b) with its associated docket number. |
—(b)(2) A host railroad’s submission of a PTCDP with the information required under 49 CFR 236.1013, requesting a Type Approval for a PTC system that either does not have a Type Approval or has a Type Approval that requires one or more variances |
264 |
1 |
2,000.00 |
2,000.00 |
$178,260.00 |
A
PTCDP requesting a Type Approval for: (i) a PTC system that does
not have a Type Approval; or (ii) a PTC system with a previously
issued Type Approval that requires one or more variances. |
—(d) A host railroad’s submission of a PTCSP |
The estimated paperwork burden for this requirement is included under § 236.1015.
|
|||||
—(e)(3) Any request for full or partial confidentiality of a PTCIP, Notice of Product Intent (NPI), PTCDP, or PTCSP |
38 |
10 |
8.00 |
80.00 |
$7,130.40 |
Each
filing referenced in this section may include a request for full
or partial confidentiality in accordance with § 209.11 of
this chapter. If confidentiality is requested as to a portion of
any applicable document, then in addition to the filing
requirements under § 209.11 of this chapter, the person
filing the document shall also file a copy of the original
un-redacted document, marked to indicate which portions are
redacted in the document’s confidential version without
obscuring the original document’s contents. |
—(h) Any responses or documents submitted in connection with FRA’s use of its authority to monitor, test, and inspect processes, procedures, facilities, documents, records, design and testing materials, artifacts, training materials and programs, and any other information used in the design, development, manufacture, test, implementation, and operation of the PTC system, including interviews with railroad personnel |
38 |
36 |
4.00 |
144.00 |
$12,834.72 |
The
Associate Administrator, or that person’s designated
representatives, shall be afforded reasonable access to monitor,
test, and inspect processes, procedures, facilities, documents,
records, design and testing materials, artifacts, training
materials and programs, and any other information used in the
design, development, manufacture, test, implementation, and
operation of the system, as well as interview any personnel: (1)
through (2) of this section. |
—(j)(2)(iii) Any additional information provided in response to FRA’s consultations or inquiries about a PTCDP or PTCSP |
38 |
1 |
400.00 |
400.00 |
$35,652.00 |
If
FRA has not approved, approved with conditions, or denied the
PTCDP or PTCSP within the 60-day or 180-day window, as
applicable, FRA will provide the submitting party with a
statement of reasons as to why the submission has not yet been
acted upon and a projected deadline by which an approval or
denial will be issued, and any further consultations or inquiries
will be resolved. |
236.1011(a)–(b)—PTCIP content requirements |
The estimated paperwork burden for this requirement is included under §§ 236.1009(a) and (e) and 236.1021.
|
|||||
—(e) Any public comment on PTCIPs, NPIs, PTCDPs, and PTCSPs |
38 |
2 |
8.00 |
16.00 |
$1,426.08 |
Upon
receipt of a PTCIP, NPI, PTCDP, or PTCSP, FRA posts on its public
website notice of receipt and reference to the public docket in
which a copy of the filing has been placed. FRA may consider any
public comment on each document to the extent practicable within
the time allowed by the law and without delaying implementation
of PTC systems. |
236.1013—PTCDP and NPI content requirements |
The
estimated paperwork burden for this requirement is included under
§§ 236.1009(b), (c), and (e) and 236.1021.
|
|||||
236.1015—Any new host railroad’s PTCSP meeting all content requirements under 49 CFR 236.1015 |
264 |
1 |
8,000.00 |
8,000.00 |
$713,040 |
This
section sets forth PTC Safety Plan (PTCSP) content requirements
and what each railroad must do to receive a PTC System
Certification. Each PTCSP must address railroad-specific
implementation issues associated with the PTC system identified
by the submitted Type Approval. Each PTCSP must include a risk
assessment. FRA uses this information as a basis to confirm
compliance with the appropriate performance standard. |
—(g) A PTCSP for a PTC system replacing an existing certified PTC system |
38 |
0.33 |
3,200.00 |
1,056.00 |
$94,121.28 |
If a
PTCSP applies to a system designed to replace an existing
certified PTC system, the PTCSP will be approved provided that
the PTCSP establishes with a high degree of confidence that the
new system will provide a level of safety not less than the level
of safety provided by the system to be replaced. |
—(h) A quantitative risk assessment, if FRA requires one to be submitted |
38 |
0.33 |
800.00 |
264.00 |
$23,530.32 |
When
reviewing the issue of the potential data errors, the PTCSP must
include a careful identification of each of the risks and a
discussion of each applicable mitigation. |
236.1017(a)—An independent third-party assessment, if FRA requires one to be conducted and submitted |
38 |
0.33 |
1,600.00 |
528.00 |
$62,546.88 |
The
PTCSP must be supported by an independent third-party assessment
when the Associate Administrator concludes that it is necessary
based upon the criteria set forth in § 236.913, with the
exception that consideration of the methodology used in the risk
assessment (§ 236.913(g)(2)(vii)) shall apply only to the
extent that a comparative risk assessment was required. |
—(b) A railroad’s written request to confirm whether a specific entity qualifies as an independent third party |
38 |
0.33 |
8.00 |
2.64 |
$235.30 |
If a
PTC system is to undergo an independent assessment in accordance
with this section, the host railroad may submit to the Associate
Administrator a written request that FRA confirm whether a
particular entity would be considered an independent third party
pursuant to this section. |
—Further information provided to FRA upon request |
38 |
0.33 |
20.00 |
6.60 |
$588.26 |
The
request should include supporting information identified in
paragraph (c) of this section. FRA may request further
information to make a determination or provide its determination
in writing. |
—(d) A request not to provide certain documents otherwise required under Appendix F for an independent, third-party assessment |
38 |
0.33 |
20.00 |
6.60 |
$588.26 |
The
independent third-party assessment must, at a minimum, consist of
the activities and result in the production of documentation
meeting the requirements of Appendix F to this part, unless
excepted by this part or by FRA order or waiver. |
—(e) A request for FRA to accept information certified by a foreign regulatory entity for purposes of 49 CFR 236.1017 and/or 236.1009(i) |
38 |
0.33 |
32.00 |
10.56 |
$941.21 |
Information
provided that has been certified under the auspices of a foreign
railroad regulatory entity recognized by the Associate
Administrator may, at the Associate Administrator’s
discretion, be accepted as having been independently
verified. |
236.1019(b)—A request for a passenger terminal main line track exception (MTEA) |
38 |
1 |
160.00 |
160.00 |
$14,260.80 |
FRA
will consider an exception in the case of trackage used
exclusively as yard or terminal tracks by or in support of
regularly scheduled intercity or commuter passenger service where
the MTEA describes in detail the physical boundaries of the
trackage in question and its use and characteristics (including
track and signal charts) as descripted by this section. |
—(c)(1) A request for a limited operations exception (based on restricted speed, temporal separation, or a risk mitigation plan) |
38 |
1 |
160.00 |
160.00 |
$14,260.80 |
FRA
will consider an exception in the case of a track segment used
for limited operations (at speeds not exceeding those permitted
under 236.0 of this part) and described by this section. |
—(c)(2) A request for a limited operations exception for a non-Class I, freight railroad's track |
10 |
1 |
160.00 |
160.00 |
$14,260.80 |
Passenger
service is operated on a segment of track of a freight railroad
that is not a Class I railroad on which less than 15 million
gross tons of freight traffic is transported annually (and
follows the conditions described in this section). |
—(c)(3) A request for a limited operations exception for a Class I railroad’s track |
7 |
1 |
160.00 |
160.00 |
$14,260.80 |
Not
more than four passenger trains per day are operated on a segment
of track of a Class I freight railroad on which less than 15
million gross tons of freight traffic is transported
annually. |
—(d) A railroad’s collision hazard analysis in support of an MTEA, if FRA requires one to be conducted and submitted |
38 |
0.33 |
50.00 |
16.50 |
$1,470.65 |
A
limited operations exception under paragraph (c) is subject to
FRA review and approval. FRA may require a collision hazard
analysis to identify hazards and may require that specific
mitigations be undertaken. Operations under any such exception
shall be conducted subject to the terms and conditions of the
approval. Any main line track exclusion is subject to periodic
review. |
—(e) Any temporal separation procedures utilized under the 49 CFR 236.1019(c)(1)(ii) exception |
The estimated paperwork burden for this requirement is included under § 236.1019(c)(1).
|
|||||
236.1021(a)–(d)—An RFA to a railroad’s PTCIP or PTCDP |
38 |
10 |
160.00 |
1,600.00 |
$142,608.00 |
(a)
No changes, as defined by this section, may be made to a PTCIP or
PTCDP unless: |
—(e) Any public comments, if an RFA includes a request for approval of a discontinuance or material modification of a signal or train control system and a Federal Register notice is published |
5 |
10 |
16.00 |
160.00 |
$14,260.80 |
If
the RFA includes a request for approval of a discontinuance or
material modification of a signal or train control system, FRA
will publish a notice in the Federal Register of the application
and will invite public comment in accordance with part 211 of
this chapter. |
—(l) Any jointly filed RFA to a PTCDP or PTCSP |
The
burden for this requirement is included under §
236.1021(a)―(d) and (m).
|
|||||
—(m) Any RFA to a railroad’s PTCSP |
38 |
15 |
80.00 |
1,200.00 |
$106,956.00 |
No
changes, as specified under paragraphs (h)(3) or (4) of this
section, may be made to an FRA-certified PTC system or an
FRA-approved PTCSP unless the host railroad first complies with
the process outlined in (1) through (2) of this section. |
—(m)(4) Any RFA to a railroad’s PTC system that involves a proposed temporary PTC system outage (*New proposed provision*) |
38 |
15 |
90.00 |
1,350.00 |
$159,921.00 |
A railroad must submit an RFA involving a proposed temporary outage of PTC technology to FRA for review and approval.
FRA estimates, after careful review, that it will take a railroad 90 hours to complete each RFA. |
—(m) A railroad’s revised RFA , if needed |
38 |
1 RFA |
45.00 |
45.00 |
$5,330.70 |
A railroad is prohibited from making changes to its PTC system or disabling or discontinuing its PTC system, unless it first submits an RFA to FRA and obtains approval, and in some cases revisions are necessary.
FRA estimates, after careful review, that it will take a railroad 45 hours to complete a revised RFA. |
236.1023(a)—A railroad’s PTC Product Vendor List, which must be continually updated |
38 |
2 |
8.00 |
16.00 |
$1,426.08 |
Each
railroad implementing a PTC system on its property shall
establish and continually update a PTC Product Vendor List
(PTCPVL) that includes all vendors and suppliers of each PTC
system, subsystem, component, and associated product, and process
in use system wide. The PTCPVL shall be made readily available
to FRA upon request. |
—(b)(1) The railroad shall specify within its PTCSP all contractual arrangements between a railroad and its hardware and software suppliers or vendors for certain immediate notifications |
The estimated paperwork burden for this requirement is included under §§ 236.1015 and 236.1021.
|
|||||
—(b)(2)–(3) A vendor’s or supplier’s notification, upon receipt of a report of any safety-critical failure of its product, to any railroads using the product |
10 |
10 |
8.00 |
80.00 |
$7,130.40 |
The
notification from a supplier to any railroad shall include
explanation from the supplier of the reasons for such
notification, the circumstances associated with the failure, and
any recommended mitigation actions to be taken pending
determination of the root cause and final corrective
actions. |
—(c)(1)–(2) A railroad’s process and procedures for taking action upon being notified of a safety-critical failure or a safety-critical upgrade, patch, revision, repair, replacement, or modification, and a railroad's configuration/revision control measures, set forth in its PTCSP |
The estimated paperwork burden for this requirement is included under §§ 236.1015 and 236.1021.
|
|||||
—(d) A railroad’s submission, to the applicable vendor or supplier, of the railroad’s procedures for action upon notification of a safety-critical failure, upgrade, patch, or revision to the PTC system and actions to be taken until it is adjusted, repaired, or replaced |
38 |
2.50 |
16.00 |
40.00 |
$3,565.20 |
The
railroad shall provide to the applicable vendor or supplier the
railroad’s procedures for action upon notification of a
safety critical failure, upgrade, patch, or revision for the PTC
system, subsystem, component, product, or process, and actions to
be taken until the faulty system, subsystem, or component has
been adjusted, repaired, or replaced. |
—(e) A railroad’s database of all safety-relevant hazards, which must be maintained after the PTC system is placed in service |
38 |
38 updates |
16.00 |
608.00 |
$54,191.04 |
After
the product is placed in service, the railroad shall maintain a
database of all safety-relevant hazards as set forth in the PTCSP
and those that had not previously been identified in the PTCSP.
|
—(e)(1) A railroad’s notification to the vendor or supplier and FRA if the frequency of a safety-relevant hazard exceeds the threshold set forth in the PTCDP and PTCSP, and about the failure, malfunction, or defective condition that decreased or eliminated the safety functionality—Form FRA F 6180.179—Errors and Malfunctions Notification |
38 |
8 |
7.50 |
60.00 |
$5,347.80 |
If
the frequency of the safety-relevant hazard exceeds the
thresholds set forth in the PTCSP, or has not been previously
identified in the appropriate risk analysis, the railroad must:
|
—(e)(2) Continual updates about any and all subsequent failures |
38 |
1 |
8.00 |
8.00 |
$713.04 |
The
railroad must keep the applicable vendor or supplier and FRA
apprised on a continual basis of the status of any and all
subsequent failures. |
—(f) Any notifications that must be submitted to FRA under 49 CFR 236.1023 |
The estimated paperwork burden for this requirement is included under § 236.1023(e)(1), (g), and (h)(1)(2).
|
|||||
—(g) A railroad’s and vendor’s or supplier’s report, upon FRA request, about an investigation of an accident or service difficulty due to a manufacturing or design defect and their corrective actions |
38 |
0.50 |
40.00 |
20.00 |
$1,782.60 |
Whenever
any investigation of an accident or service difficulty report
shows that a PTC system or product is unsafe because of a
manufacturing or design defect, the railroad and its vendor
shall, upon request of the Associate Administrator, report to the
Associate Administrator the results of its investigation and any
action taken or proposed to correct that defect. |
—(h) A PTC system vendor’s or supplier’s reports of any safety-relevant failures, defective conditions, previously unidentified hazards, recommended mitigation actions, and any affected railroads—Form FRA F 6180.179—Errors and Malfunctions Notification |
10 |
20 |
7.50 |
150.00 |
$13,370 |
PTC
system and product suppliers and vendors shall promptly report
any safety relevant failures or defective conditions, previously
unidentified hazards, and recommended mitigation actions in their
PTC system, subsystem, or component to each railroad using the
product. |
—(k) A report of a failure of a PTC system resulting in a more favorable aspect than intended or other condition hazardous to the movement of a train, including the reports required under part 233 |
The estimated paperwork burden for this requirement is included under § 236.1023 (e)(1), (g), and (h)(1)(2) and 49 CFR 233.7.
|
|||||
236.1029(b)(4)—A report of an en route failure, other failure, or cut out to a designated railroad officer of the host railroad |
150 |
1,000 |
30.00 |
500.00 |
$44,565 |
Except
as provided in paragraphs (c) and (g) of this section, where a
controlling locomotive that is operating in, or is to be operated
within, a PTC-equipped track segment experiences PTC system
failure or the PTC system is otherwise cut out while en route
(i.e., after the train has departed its initial terminal), the
train may only continue in accordance as described under
paragraphs (1) through (6) of this section. |
—(g) Reintroducing a flexibility regarding initialization failures that previously expired in December 2022, and establishing operating restrictions under which railroads may continue to operate safely when a PTC system fails to initialize (*New proposed requirement*) |
In this proposed provision, there is no paperwork requirement. However, under an existing regulation, FRA requires host railroads operating FRA-certified PTC systems to submit Quarterly Reports of PTC System Performance, using Form FRA F 6180.152, under 49 U.S.C. 20157(m) and 49 CFR 236.1029(h). These reports include information about railroads’ initialization failures.
|
|||||
—(h) Form FRA F 6180.152—Report of PTC System Performance |
38 |
148 |
32.00 |
4,736.00 |
$422,119.68 |
Each
railroad shall provide FRA with a report of the number of PTC
failures that occurred during the reporting period. The report
shall identify failures by category, including but not limited to
locomotive, wayside, communications, and back-office system
failures. The report shall also include positive
performance-related information, including about the technology’s
positive impact on rail safety. |
236.1031(a)–(d) — A railroad's Request for Expedited Certification |
FRA anticipates that there will be zero requests for expedited certification during this 3-year ICR.
|
|||||
236.1033—Communications and security requirements |
The estimated paperwork burden for this requirement is included under §§ 236.1009 and 236.1015.
|
|||||
236.1035(a)–(b)—A railroad’s request for authorization to field test an uncertified PTC system and any responses to FRA’s testing conditions |
38 |
10 |
40.00 |
400.00 |
$35,652.00 |
Before
any field testing of an uncertified PTC system, or a product of
an uncertified PTC system, or any regression testing of a
certified PTC system is conducted on the general rail system, the
railroad requesting the testing must provide a complete
description of the PTC system as described under paragraphs (1)
through (7) of this section. Furthermore, FRA may impose
additional testing conditions for the safety of train
operations. |
236.1037(a)(1)–(2)—Records retention |
The estimated paperwork burden for this requirement is included under §§ 236.1009 and 236.1015.
|
|||||
—(a)(3)–(4) Records retention |
The estimated paperwork burden for this requirement is included under §§ 236.1039 and 236.1043(b).
|
|||||
—(b) Results of inspections and tests specified in a railroad’s PTCSP and PTCDP |
38 |
800 |
1.00 |
800.00 |
$71,304.00 |
Results
of inspections and tests specified in the PTCSP and PTCDP must be
recorded pursuant to § 236.110. |
—(c) A contractor’s records related to the testing, maintenance, or operation of a PTC system maintained at a designated office |
20 |
1,600 |
10.00 |
266.67 |
$23,768.30 |
Each
contractor providing services relating to the testing,
maintenance, or operation of a PTC system required to be
installed under this subpart shall maintain at a designated
office training records required under §236.1039(b). |
—(d)(3) A railroad’s final report of the results of the analysis and countermeasures taken to reduce the frequency of safety-related hazards below the threshold set forth in the PTCSP |
38 |
8 |
160.00 |
1,280.00 |
$114,086.40 |
The
railroad shall provide a final report when the inconsistency is
resolved to FRA, on the results of the analysis and
countermeasures taken to reduce the frequency of the
safety-relevant hazard(s) below the threshold set forth in the
PTCSP and PTCDP. |
236.1039(a)–(c), (e)—A railroad’s PTC Operations and Maintenance Manual (OMM), which must be maintained and available to FRA upon request |
38 |
2 |
10.00 |
20.00 |
$1,782.60 |
The
railroad shall catalog and maintain all documents as specified in
the PTCDP and PTCSP for the installation, maintenance, repair,
modification, inspection, and testing of the PTC system and have
them in one Operations and Maintenance Manual, readily available
to persons required to perform such tasks and for inspection by
FRA and FRA-certified State inspectors as described under
paragraphs (b), (c), and (e) of this section. |
—(d) A railroad’s identification of a PTC system’s safety-critical components, including spare equipment |
38 |
1 |
1.00 |
1.00 |
$89.13 |
Safety-critical
components, including spare equipment, must be positively
identified, handled, replaced, and repaired in accordance with
the procedures specified in the PTCDP and PTCSP. |
236.1041(a)–(b) and 236.1043(a)—A railroad’s PTC Training and Qualification Program (i.e., a written plan) |
38 |
2 |
10.00 |
20.00 |
$1,782.60 |
Employers
shall establish and implement training and qualification programs
for PTC systems subject to this subpart. These programs must meet
the minimum requirements set forth in the PTCDP and PTCSP in §§
236.1039 through 236.1045, as appropriate. |
236.1043(b)—Training records retained in a designated location and available to FRA upon request |
150 |
150 |
1.00 |
150.00 |
$13,369.50 |
Employers
must retain records which designate persons who are qualified
under this section until new designations are recorded or for at
least one year after such persons leave applicable service. These
records shall be kept in a designated location and be available
for inspection and replication by FRA and FRA-certified State
inspectors. |
Total13 |
742 railroads and 10 vendors |
4,567,839 |
N/A |
53,310 |
$5,014,420 |
|
13. Estimate of total annual costs to respondents.
There will be no additional cost burden to respondents beyond the burden listed in FRA’s answer to question number 12 and those customary and usual expenses associated with normal daily business operations.
14. Estimate of Cost to Federal Government.
The following table shows the estimated average annual cost to the Federal government to review all the required documents and conduct the external audits associated with this information collection.
Resources |
Pay Grade |
Annual-Average Wage Rate14 |
Number of Employees |
Percent Share of Time Use |
Total Wages (Wages * 1.75 of Overhead Cost) |
Division Staff Director |
GS-15 |
176,458.00 |
1 |
25 |
77,200.00 |
Deputy Staff Director |
GS-14 |
150,015.00 |
1 |
10 |
26,253.00 |
PTC Senior Test and Plan Monitors |
GS-14 |
150,015.00 |
1 |
85 |
223,147.00 |
PTC Regional Specialists |
GS-13 |
121,473.00 |
7 |
85 |
1,264,838.00 |
PTC Safety Specialist at Headquarter |
GS-12 |
106,759.00 |
1 |
25 |
46,707.00 |
Electronic Engineer |
GS-14 |
150,015.00 |
2 |
25 |
131,263.00 |
FRA F 610.152 – shift from biannual to quarterly review |
|
|
1000.00 |
||
Estimated Average Annual Cost to Government |
|
|
|||
Program change government costs.
The following table shows the estimated average annual cost to the Federal government for FRA to review and approve railroads’ RFAs that involve temporary outages of PTC technology, under 49 CFR 236.1021(m)(4).
Resources |
Pay Grade/ Location |
Hourly Wage Rate15 |
Number of Employees |
Number of Hours per RFA |
Estimated number of RFAs per Year |
Total Wages (Wages * 1.75 of Overhead Cost) |
Railroad Safety Specialist |
GS-13 All locations |
98.77 |
1 |
6 |
15 |
8,889 |
Railroad Safety Specialist |
GS-14 All locations |
116.71 |
1 |
3 |
15 |
5,252 |
Railroad Safety Specialist |
GS-14 All locations |
116.71 |
1 |
2 |
15 |
3,501 |
Railroad Safety Specialist Supervisor |
GS-15 DC Metro |
147.96 |
1 |
1 |
15 |
2,219 |
Railroad Safety Specialist Senior Executive |
DC Metro |
175.00 |
1 |
1 |
15 |
2,625 |
Attorney |
GS-15 DC Metro |
|
1 |
2 |
15 |
4,439 |
Estimated Average Annual Cost to Government |
|
15 |
15 |
$26,926 |
||
Total annual government cost = $1,770,408.00 + RFA reporting requirement $26,926 = $1,797,334.
15. Explanation of program changes and adjustments.
Currently, the OMB inventory for this collection of information shows a total annual burden of 51,931 hours and 4,567,826 responses, while this updated submission reflects an estimate of a total burden of 53,310 hours and 4,567,839 responses.
The tables below provide specific information on the review of any of the estimates that have changed.
Table for Program Change
CFR Section/Subject |
Total Annual Responses |
Total Annual Burden Hours |
PRA Analyses and Estimates |
||||
Previous Submission |
Current Submission |
Difference |
Previous Submission |
Current Submission |
Difference |
|
|
236.1021(m)(4)—Any RFA to a railroad’s PTC system that involves a proposed temporary PTC system outage (*New proposed provision*) |
0 |
15.00
RFAs |
15.00 RFAs |
0 |
1,350.00 hours |
1,350.00 hours |
The increase in paperwork burden is due to a new proposed provision. |
—(m) A railroad’s revised FRA, if needed |
0 |
1.00
revised RFA |
1.00 revised RFA |
0 |
45.00 hours |
45.00 hours |
The increase in paperwork burden is due to a new proposed provision. |
Program changes above would increase the burden by 1,395 hours and by 16 responses from the last approved submission.
Table for Adjustments
Adjustments above decreased the burden by 16 hours and decreased the number of responses by 3 from the last approved submission.
16. Publication of results of data collection.
FRA does not plan to tabulate or publish the responses.
17. Approval for not displaying the expiration date for OMB approval.
FRA is not seeking approval to not display the expiration date.
18. Exception to certification statement.
No exceptions are taken at this time.
1 Rail Safety Improvement Act of 2008, Pub. L. No. 110-432, 104(a), 122 Stat. 4848 (Oct. 16, 2008), as amended by the Positive Train Control Enforcement and Implementation Act of 2015 (PTCEI Act), Pub. L. No. 114-73, 129 Stat. 568, 576–82 (Oct. 29, 2015), and the Fixing America’s Surface Transportation Act, Pub. L. No. 114-94, section 11315(d), 129 Stat. 1312, 1675 (Dec. 4, 2015), codified as amended at 49 U.S.C. 20157. See also Title 49 Code of Federal Regulations (CFR) part 236, subpart I.
2 49 U.S.C. 20157(g)(1), (i)(5); 49 CFR 236.1005 (setting forth the technical specifications).
3 See 49 CFR 236.1023.
4 49 CFR 236.1023(e).
5 49 CFR 236.1023(e)(1).
6 49 CFR 236.1023(h)(2).
7 See, e.g., 49 CFR 236.1023(e), (h), and (f).
8See 49 CFR 236.1029(g)(2).
10FR 89 85462
11 In addition to FRA’s meeting with APTA, FRA met with the following two user groups in February 2024, as coordinated through APTA: the Enhanced Automatic Train Control (E-ATC) User Group and the Interoperable Electronic Train Management System (I-ETMS) User Group.
12 The dollar equivalent cost is derived from the 2023 Surface Transportation Board Full Year Wage A&B data series using the employee group 200 (Professional & Administrative) hourly wage rate of $50.93 and group 100 (Executives, Officials, & Staff Assistants) hourly wage rate of $67.69 The total burden wage rate (Straight time plus 75%) used in the table is $89.13 ($50.93 x 1.75 = $89.13), and $118.46 ($67.69 x 1.75 = $118.46).
13Totals may not add up due to rounding.
14 The annual average wage rates used in this table are derived from the 2023 Office of Personnel Management. The average wage, step 5, was used as a midpoint. Wages were considered at the burdened wage rate by multiplying the actual wage rate by an overhead cost of 75 percent.
15 The hourly wage rates used in this table are derived from the 2023 Office of Personnel Management wage rates were used. Wages were considered at the burdened wage rate by multiplying the actual wage rate by an overhead cost of 75 percent (or times 1.75). A median grade step of 5 was used for all localities.
| File Type | application/vnd.openxmlformats-officedocument.wordprocessingml.document |
| File Title | 2130-0553_PTC-SuppJustification_Renewal |
| Author | frauser1 |
| File Modified | 0000-00-00 |
| File Created | 2024-10-29 |