Annual PTC Progress Report				[Year][Railroad Name]	[Docket Number]The Annual Positive Train Control (PTC) Progress Report is due by March 31st of each year until full PTC system implementation is completed.  The Annual PTC Progress Report must cover the railroad’s implementation efforts and progress from the directly previous calendar year, and must be submitted electronically to the Federal Railroad Administration (FRA) via the FRA Secure Information Repository at https://sir.fra.dot.gov.  

**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, and/or training all employees required to receive PTC training under 49 CFR §§ 236.1041 through 236.1049, consistent with the governing FRA-approved PTCIP.[footnoteRef: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. [1:  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.] 

**Name of Railroad or Entity Subject to 49 U.S.C. § 20157(a):**  Click here to enter railroad name.

**Railroad Code:** Choose railroad code.

**Annual PTC Implementation Progress Report for:**Choose the applicable year.

**PTCIP Version Number on File with FRA (basis for goals stated):**Click here to enter PTCIP Version Number.

**Date of Submission:**Click here to enter a date.

Contents1.	Summary	42.	Annual Update on Spectrum (Optional for Most Railroads)	53.	Annual Update on Major Installations	63.1.	Locomotive Status (Optional for Most Railroads)	63.2.	Infrastructure/Back Office Status (Optional for Most Railroads)	73.3.	Infrastructure/Wayside Status (Optional for Most Railroads)	84.	Installation/Track Segment Progress (Optional for Some Railroads)	95.	Annual Update on Employee Training (Optional for Most Railroads)	106.	Annual Update on Interoperability Progress and Other Formal Agreements	117.	Progress on Implementation Schedule/Milestones	128.	Summary Update of Challenges/Risks	129.	Annual Update for Intercity or Commuter Rail Passenger Transportation (if applicable)	1310.	Estimated PTC Safety Plan (PTCSP) Submission Date (if not already submitted)	1311.	Testing and Integration Efforts (if applicable, laboratory, integration, and revenue service demonstration)	13

## 1. **Summary**

Provide a narrative summary of overall PTC implementation progress during the preceding calendar year (January 1 to December 31):

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## 2. **Annual Update on Spectrum (Optional for Most Railroads[footnoteRef:3])** [3:  This section is optional for any railroad that previously demonstrated to FRA it had finished acquiring all necessary spectrum, consistent with the governing FRA-approved PTCIP.] 

**†**Note: To add rows for additional spectrum areas or locations, click on the blue “+” symbol at the bottom right-hand corner.  Please be sure to first click anywhere inside the table to activate this function.

If this function is unavailable for your document, please manually add additional rows.

Describe the basis for how the railroad is determining that the acquired spectrum is available for use by PTC radios (e.g., ensuring non-interference with other radios), and provide any additional narrative for Spectrum below:

## 3. **Annual Update on Major Installations**

### 3.1. Locomotive Status (Optional for Most Railroads[footnoteRef:5]) [5:  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.] 

**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 Railroads[footnoteRef:7]) [7:  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.] 

Provide any additional narrative for Infrastructure/Back Office Status below:

### 3.3. Infrastructure/Wayside Status (Optional for Most Railroads[footnoteRef:8]) [8:  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.] 

Provide any additional narrative for Installation/Wayside Status below:

## 4. **Installation/Track Segment Progress[footnoteRef:11] (Optional for Some Railroads[footnoteRef:12])** [11:  For passenger rail operations, this information should be further segregated into those routes where it is a host or tenant.]  [12:  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.] 

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Note: To add additional rows, click on the blue “+” symbol at the bottom right-hand corner.  Please be sure to first click anywhere inside the table to activate this function.

If this function is unavailable for your document, please manually add additional rows.

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

## 5. **Annual Update on Employee Training (Optional for Most Railroads[footnoteRef:15])** [15:  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.] 

Provide any additional narrative for Employee Training below:

## 6. **Annual 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:

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Note: To add additional rows, click on the blue “+” symbol at the bottom right-hand corner.  Please be sure to first click anywhere inside the table to activate this function.

If this function is unavailable for your document, please manually add additional rows.

## 7. **Progress on Implementation Schedule/Milestones**

Describe the extent to which the railroad or other entity is not complying with the implementation schedule it provided in its PTCIP:

## 8. **Summary Update of Challenges/Risks**

Provide any update to the summary of remaining technical, programmatic, operational, or other challenges that the railroad or other entity provided in its PTCIP, including challenges with availability of public funding, interoperability, spectrum, software, permitting, and testing, demonstration, and certification.  Also, identify any risks that might cause the railroad to miss its schedule milestones (e.g., funding, technology, agreements):

## 9. **Annual Update for Intercity or Commuter Rail Passenger Transportation (if applicable)**

If this section is not applicable to your railroad, please write “N/A.”

For each entity providing regularly scheduled intercity or commuter rail passenger transportation, provide a description of the resources identified and allocated to implement a PTC system:

## 10. **Estimated PTC Safety Plan (PTCSP) Submission Date (if not already submitted)**

If this section is not applicable to your railroad, please write “N/A.”

Provide any additional narrative for PTCSP Submission below:

## 11. **Testing and Integration Efforts (if applicable, laboratory, integration, and revenue service demonstration)**

Provide an update on testing and integration efforts below:

Public reporting burden for this information collection is estimated to average 40.12 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.  

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