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WRITTEN STATEMENT OF JUAN D. REYES III

CHIEF COUNSEL

OFFICE OF CHIEF COUNSEL

FEDERAL RAILROAD ADMINISTRATION

U.S. DEPARTMENT OF TRANSPORTATION

Before the

Committee on Transportation and Infrastructure,

Subcommittee on Railroads, Pipelines, and Hazardous Materials

United States House of Representatives

“Oversight of Positive Train Control Implementation in the United States”

February 15, 2018

Chairman Denham, Ranking Member Capuano, and Members of the Subcommittee:

Thank you for inviting me to discuss the Federal Railroad Administration’s (FRA) oversight 

of positive train control (PTC) implementation in the United States. In light of the recent tragic 

passenger rail incidents, much of the nation’s time and attention has been rightly focused on 

ensuring that all critical safety measures are in place within our nation’s rail system. Safety is the 

FRA’s top priority. Our mission at the FRA is to enable the safe, reliable, and efficient 

movement of people and goods for a strong America, now and in the future. The men and 

women of FRA execute this important mission every day. Under the leadership of Secretary 

Elaine L. Chao, FRA executes this objective through developing and enforcing safety 

regulations, promoting non-regulatory safety activities, investing in rail services and 

infrastructure, facilitating national and regional rail planning, and conducting research and 

development to advance innovative technology solutions.

PTC will represent the most fundamental change in rail safety technologies since the 

introduction of Automatic Train Control in the 1920s. PTC is a processor-based/communicationbased train control system designed to prevent certain train accidents. This technology is capable 

of automatically controlling train speeds and movements should a train operator fail to take 

appropriate action for the conditions at hand. For example, PTC can force a train to a stop before 

it passes a signal displaying a stop indicator, or before diverging on an improperly aligned 

switch, thereby averting a potential collision. 

Currently, 41 railroads are required to implement a PTC system, including 7 Class I freight 

railroads, 30 commuter and intercity passenger railroads including (Amtrak), and 4 short line and 
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terminal railroads.

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 These systems are being implemented on approximately 60,000 miles of the 

140,000-mile railroad network. 

I. Positive Train Control Systems

As first mandated by the Rail Safety Improvement Act of 2008, each Class I railroad and 

each entity providing regularly scheduled, intercity or commuter rail passenger service must 

implement an FRA-certified PTC system on:

• its main line over which 5 million or more gross tons of annual traffic and poison- or 

toxic-by-inhalation hazardous materials are transported, and 

• its main line over which intercity or commuter rail service is regularly provided.

Per Federal statute and regulations, PTC systems must be designed to prevent train-to-train 

collisions, over-speed derailments, incursions into established work zone limits, and the 

movement of a train through a main line switch in the improper position. Railroads are primarily

implementing the following PTC systems in the United States: (1) the Interoperable Electronic 

Train Management System (I-ETMS), which is the predominant system being implemented by 

Class I railroads; (2) the Advanced Civil Speed Enforcement System (ACSES II), which is being 

implemented by most railroads operating on the Northeast Corridor; and (3) Enhanced 

Automatic Train Control (E-ATC), which is being implemented by six intercity passenger or 

commuter railroads. Each of these PTC systems must be interoperable, meaning the locomotives 

of any host railroad and tenant railroad operating on the same main line will communicate with 

and respond to the PTC system, including uninterrupted movements over property boundaries.2 

II. Safety Benefits of PTC Technology

The improvement in safety provided by PTC technology comes with significant costs, both in 

terms of immediate acquisition (industry expenditures will exceed $14 billion for PTC system 

implementation)

3 and increased operations and maintenance costs (estimated at approximately

15-20% of capital costs per year).

 1 For purposes of this total, please note that in instances where a host freight railroad is implementing a PTC system 

solely because of one or more tenant railroads that provide commuter rail transportation on the host railroad’s main 

line, FRA counts that as one railroad. 

2 See Title 49 United States Code (U.S.C.) § 20157(a)(2)(A)(i)(I), (a)(2)(D), (i)(3); Title 49 Code of Federal

Regulations (CFR) §§ 236.1003, 236.1011(a)(3). 3 See Association of American Railroads, Positive Train Control, at 2 (March 2017), 

https://www.aar.org/BackgroundPapers/Positive%20Train%20Control.pdf.
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III. Legislative History

A. Rail Safety Improvement Act of 2008 

On October 16, 2008, the Rail Safety Improvement Act of 2008 (RSIA) was enacted, 

establishing the PTC system implementation mandate and the original December 31, 2015 

deadline.4 As directed by RSIA, FRA issued regulations specifying the essential technical 

functionalities of PTC systems and FRA PTC certification criteria.

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B. Positive Train Control Enforcement and Implementation Act of 2015

Approximately two months before the original PTC implementation deadline of December 

31, 2015, the House and Senate overwhelmingly passed the Positive Train Control Enforcement 

and Implementation Act of 2015 (PTCEI Act). The legislation was signed into law on October 

29, 2015.6

 The PTCEI Act extended the deadline for full implementation of PTC systems from 

December 31, 2015, to at least December 31, 2018. 

The PTCEI Act requires FRA to grant a railroad a deadline extension to a date no later than 

December 31, 2020, if a railroad submits a written request for an extension that demonstrates it

has met the statutory criteria7 under 49 U.S.C. § 20157(a)(3)(B):

• Hardware – Installed, by December 31, 2018, all PTC system hardware required for 

system implementation consistent with railroad’s PTC Implementation Plan (PTCIP);

• Spectrum – Acquired, by December 31, 2018, all spectrum necessary for implementation 

of the railroad’s PTC system;

• Employee Training – Completed the employee training required under 49 CFR part 236, 

subpart I for all applicable personnel in any territory, or segment thereof, where the PTC 

system is currently being operated in revenue service demonstration (RSD) or revenue 

service;

• Advanced Testing and/or Implementation: 

o For Class I railroads and Amtrak, the railroad has implemented a PTC system or 

initiated FRA-approved RSD on the majority of territories (e.g., subdivisions or 

districts) or route miles the railroad owns or controls that are required to have 

operations governed by a PTC system; 

 4 Pub. L. No. 110-432, § 104(a), 122 Stat. 4848 (Oct. 16, 2008). 5 See 49 CFR part 236, subpart I. 6 Pub. L. No. 114-73, 129 Stat. 568, 576–82 (Oct. 29, 2015), amending 49 U.S.C. § 20157. 7 See 49 U.S.C. § 20157(a)(3)(A)–(D); 49 CFR § 1.89.
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o For other railroads (i.e., not Class I railroads or Amtrak), the railroad has initiated 

FRA-approved RSD on at least one territory that is required to have operations 

governed by a PTC system, or met any other criteria established by FRA;

• Included in its PTCIP an alternative schedule and sequence for implementing a PTC 

system as soon as practicable, but no later than December 31, 2020; and

• Certified to FRA in writing that it will be in full compliance with 49 U.S.C. § 20157 on 

or before the deadline in its proposed alternative schedule and sequence.8

Among other requirements, the PTCEI Act also required each railroad subject to the statutory 

mandate to submit a Revised PTCIP to FRA by January 27, 2016, and mandated that FRA 

conduct reviews, at least annually, to ensure that each railroad is complying with its PTCIP, 

including any FRA-approved amendments.9

 

C. Fixing America’s Surface Transportation Act 

Following enactment of the PTCEI Act, FRA encouraged railroads to fully implement PTC 

systems by December 31, 2018, despite the statutory provision that allows an extension up to 24 

additional months. However, the Fixing America’s Surface Transportation (FAST) Act 

subsequently enacted on December 4, 2015, explicitly prohibits FRA from requiring a railroad to 

submit a PTCIP with a December 31, 2018, deadline for full PTC system implementation.

10 As 

such, the FAST Act authorizes a railroad to submit a plan for implementation with the only 

deadline being December 31, 2020. If a railroad meets all statutory criteria required for a 

deadline extension, the PTCEI Act requires the Department to approve a railroad’s request for an 

extension to complete full PTC system implementation as soon as practicable but no later than 

December 31, 2020. The FAST Act also removed FRA’s authority to approve or disapprove the 

PTCIPs submitted to FRA in January 2016 pursuant to the PTCEI Act.11

IV. Enforcement of the PTC Implementation Mandate

A. Future PTC Enforcement Actions

FRA is authorized to assess monetary civil penalties against any railroad that fails to 

implement a PTC system by the applicable statutory deadline.12 FRA may not assess a civil 

penalty against a railroad that fails to implement a PTC system by December 31, 2018, but 

 8 49 U.S.C. § 20157(a)(3)(B)(i)–(vii); 49 CFR § 1.89. 9 49 U.S.C. § (a)(1)–(2), (c)(2). 10 Pub. L. No. 114-94, § 11315(d), 129 Stat. 1312, 1675 (Dec. 4, 2015), amending 49 U.S.C. § 20157(g). 11 See 49 U.S.C. § 20157(g)(4)(A)(i)–(ii). 12 49 U.S.C. § 20157(e); 49 CFR §§ 1.89, 236.1005(b)(7).
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obtains an extension to the December 31, 2018 deadline to a date no later than December 31, 

2020.

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In general, FRA’s civil penalty schedule recommends, as guidance, a $16,000 civil penalty 

for a railroad’s failure to timely complete PTC system implementation on a track segment where 

a PTC system is required.14 For any violation of a Federal rail safety statute, regulation, or order 

under FRA’s authority, however, the statutory minimum civil penalty FRA may assess is $853, 

and the ordinary statutory maximum civil penalty is $27,904.15 FRA may assess a civil penalty 

for each day the non-compliance continues, but FRA may elect to take enforcement action on a 

one-time basis or each month, quarter, year, or other interval of time during which the noncompliance continues.16

With respect to future enforcement action, FRA is currently considering all options, within 

the framework established by Congress, and will determine what type of enforcement action will 

be most effective and appropriate under the circumstances, in order to ensure such action 

compels a railroad to fully implement its PTC system as efficiently and safely as possible.

B. Past PTC Enforcement Actions

As mandated by the PTCEI Act, beginning calendar year 2016, FRA must conduct 

compliance reviews at least annually to verify whether each railroad is complying with its 

PTCIP.17 FRA is authorized to assess civil penalties against any railroad that fails to complete 

the end-of-year implementation milestones the railroad established in its PTCIP, including the 

railroad’s end-of-2016 and end-of-2017 milestones for PTC hardware installation, spectrum 

acquisition, and employee training.18 

Twelve Closed Cases and Two Open Cases 

For the first time since the RSIA, in June and July 2017, FRA issued Notices of Probable 

Violation against (i) seven railroads that failed to complete hardware installation milestones they 

scheduled to complete during calendar year 2016 in their PTCIP19 and (ii) seven railroads that 

failed to submit a timely Annual PTC Progress Report (Form FRA F 6180.166, OMB Control 

 13 See 49 U.S.C. § 20157(a)(3)(A)–(D) (describing the extension request process and the revised deadlines). 14 See 49 CFR part 236, appendix A, subpart I. 15 See 82 Fed. Reg. 16127 (Apr. 3, 2017). 16 See 49 U.S.C. § 21301(a). 17 49 U.S.C. § 20157(c)(2). 18 49 U.S.C. § 20157(a)(2)(D), (e)(2). 19 See 49 U.S.C. § 20157(a)(2)(D), (e)(2). 
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No. 2130-0553) to FRA by the statutory March 31, 2017, deadline.

20 Twelve railroads have paid 

or, at a minimum, agreed to pay the civil penalty amount and the other two cases are still being 

negotiated with the railroads.

V. FRA Efforts to Urge Timely Implementation of PTC Systems

A. Outreach

During calendar year 2017, FRA continued to take action to ensure that railroads implement 

PTC systems in a timely and safe manner. For example, FRA sent letters of concern to railroads 

and certain state officials regarding certain railroads’ failure to complete end-of-2016 hardware 

installation milestones21 and railroads that had installed less than 50 percent of all hardware 

required for their PTC systems as of December 31, 2016.22 FRA sent letters to the state 

departments of transportation (DOT) of Illinois, Indiana, Maryland, New Jersey, Tennessee, and 

Texas and the state DOTs and state governors of California, Florida, Indiana, Maryland, 

Massachusetts, New Jersey, New Mexico, New York, Tennessee, and Texas.

On December 27, 2017, ahead of the one-year deadline for PTC implementation, Secretary 

Chao issued a letter, to all Class I railroads, intercity passenger railroads, and commuter 

railroads, stressing the urgency and importance of safely implementing PTC systems in the 

upcoming year and meeting the statutory deadline. Since December 2017, FRA leadership met 

with the executive leadership and technical teams of each railroad subject to the statutory 

mandate to help ensure PTC systems are being implemented as efficiently as possible, discuss 

any challenges the railroads continue to experience, and the railroads’ plans for compliance with 

the statutory mandate.

In addition, FRA continues to provide technical assistance throughout all phases of PTC 

development and implementation by providing lessons learned guidance and other technical 

 20 See 49 U.S.C. § 20157(c)(1), (e)(1); 49 CFR § 236.1009(a)(5). 21 The recipients of letters about missed end-of-2016 milestone were: Amtrak; Belt Railway Company of Chicago; 

BNSF Railway; Canadian National Railway; Canadian Pacific Railway; Capital Metropolitan Transportation 

Authority; CSX Transportation, Inc.; Kansas City Southern Railway; Maryland Area Regional Commuter; Nashville 

Regional Transportation Authority / Nashville and Eastern Railroad; New Jersey Transit; Norfolk Southern Railway; 

Northeast Illinois Regional Commuter Railroad (Metra); Northern Indiana Commuter Transportation District; 

Terminal Railroad Association of St. Louis; and Union Pacific Railroad. 22 The recipients of letters about lack of hardware installation progress were: Altamont Corridor Express; Belt 

Railway Company of Chicago; Canadian National Railway; Capital Metropolitan Transportation Authority; Central 

Florida Rail Corridor; Denton County Transportation Authority; Long Island Rail Road; Maryland Area Regional

Commuter; Massachusetts Bay Transportation Authority; Metro-North Commuter Railroad; Nashville Regional 

Transportation Authority / Nashville and Eastern Railroad; New Jersey Transit; New Mexico Rail Runner Express; 

Northern Indiana Commuter Transportation District; South Florida Regional Transportation Authority; Trinity 

Railway Express; and Terminal Railroad Association of St. Louis.
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assistance through quarterly meetings with high-risk commuter railroads to help address their 

issues with implementing PTC systems. FRA participates, in and provides technical support to,

several industry working groups, including the Association of American Railroad’s ACSES II 

Working Group, the American Public Transportation Association’s (APTA) I-ETMS Working 

Group for commuter railroads, and the railroad-led E-ATC Working Group. 

In support of PTC Research and Development (R&D), FRA has provided technical support 

for railroads’ development of their PTC systems, including I-ETMS, ACSES II, E-ATC, and the 

Incremental Train Control System. In addition, in cooperation with individual railroads, as well 

as APTA, AAR, and the American Short Line and Regional Railroad Association committees, 

FRA is supporting, through a combination of funding and technical support, approximately 10 

PTC-related research projects.

B. Grant Funding and Financial Assistance

Since 2009, FRA awarded approximately $728 million in grant funding to support railroads’ 

implementation of PTC systems. FRA staff also supported the Federal Transit Administration 

with its evaluation and selection of approximately $197 million in PTC grant funds to 17 

commuter and intercity passenger railroads and state and local governments for installation of 

PTC systems, which were announced on May 31, 2017. The sources of the approximately $925 

million in grant funding are:

• $475 million from FRA’s High-Speed Intercity Passenger Rail Grant Program;

• $86 million from FRA’s Railroad Safety Technology Grant Program; 

• $51 million in American Recovery and Reinvestment Act grant funding to Amtrak;

• $116 million in annual capital grant funding to Amtrak (as of November 2017); and 

• $197 million in FAST Act funding.

PTC implementation is also an eligible project cost under both the Transportation and 

Infrastructure Finance and Innovation Act (TIFIA) and the Railroad Rehabilitation and 

Improvement Financing (RRIF) loan programs. The Department’s Build America Bureau signed 

two loans, $162 million TIFIA and $220 million RRIF, with the Massachusetts Bay 

Transportation Authority on December 8, 2017, which provide $382 million for PTC system 

implementation. In May 2015, the Department issued a $967 million RRIF loan to the 

Metropolitan Transportation Authority for the implementation of PTC systems on the MetroNorth Commuter Railroad and Long Island Rail Road.
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Approximately $31 billion is currently available for lending under the RRIF program. 

Lending authority under the TIFIA program is approximately $22 billion; however, this figure is 

subject to available subsidy budget authority and the levels of risk associated with future loans.

In considering the loans for PTC-related projects, a total amount of $1.349 billion has been 

obligated since 2011.

C. PTC Staffing and Personnel

FRA staffing to support railroads’ implementation of PTC systems consists of both full-time 

civil service government positions and contractor support. Dedicated civil service positions total 

15, including a staff director, PTC specialists, a project manager, a senior scientific technical 

advisor, an engineer, a transportation analyst, and a trial attorney. In addition, there are 6 civil 

service positions providing part-time support to address specific issues. Two PTC positions are 

currently open; recruitment is in process, but the unique expertise and skills needed are difficult

to find. 

FRA understands that throughout 2018, there will be an increase in railroads’ requests for 

FRA approval of Requests for Amendments to PTCIPs, to conduct PTC field testing and conduct 

revenue service demonstration, and thereafter more railroads will submit PTC Safety Plans to 

FRA for review and approval, in order to obtain PTC System Certification. To address these 

needs in a manner that supports accelerated implementation timelines, FRA has increased its 

PTC workforce through hiring and training, and initiated two contracts to provide additional 

technical assistance. 

VI. Railroads’ Progress Towards Meeting Statutory Deadline

FRA interprets “full implementation” to mean that an FRA-certified,23 interoperable PTC 

system—including all hardware, software, and other components—has been fully installed and is 

in operation on all route miles required to have operations governed by a PTC system under 49 

U.S.C. § 20157.24 Full implementation requires that all controlling locomotives shall be 

equipped with a fully operative and functioning onboard PTC apparatus, including the 

 23 To date, based on these railroads’ PTC Safety Plans, FRA has issued conditional PTC System Certification for the 

I-ETMS systems of BNSF Railway, Canadian Pacific Railway, CSX Transportation, Inc., Norfolk Southern 

Railway, Southern California Regional Rail Authority (Metrolink), and Union Pacific Railroad, and for Amtrak’s 

and the Southeastern Pennsylvania Transportation Authority’s ACSES II systems. 24 The PTCEI Act recognizes that certain PTC system failures (e.g. initialization failures, cut outs, and malfunctions) 

will occur during the period specified in the statute, but a railroad must both operate at an equivalent or greater level 

of safety than the level of safety achieved immediately prior to the use or implementation of the PTC system and 

comply with certain safety measures during any PTC system failures. See 49 U.S.C. § 20157(j).
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controlling locomotives of each railroad subject to the statutory mandate and each tenant railroad 

operating on a PTC-equipped track segment, except for a railroad’s controlling locomotives that 

qualify for an exception under 49 CFR § 236.1006. The statutory mandate and FRA’s 

implementing regulations also require a PTC system to be interoperable, meaning the 

locomotives of any host railroad and tenant railroad operating on the same main line will 

communicate with and respond to the PTC system, including uninterrupted movements over 

property boundaries.25

Under this definition of “full implementation,” FRA anticipates that few, if any, of the 41 

railroads currently subject to the statutory mandate will have fully implemented a PTC system by 

December 31, 2018. Some railroads, most notably BNSF Railway, Union Pacific Railroad, 

Southeastern Pennsylvania Transportation Authority, and the Southern California Regional Rail 

Authority (Metrolink), will have an FRA-certified PTC system in operation on their own 

locomotives on all route miles required under 49 U.S.C. § 20157, on or before December 31, 

2018. However, it is unlikely that all controlling locomotives of tenant railroads operating on 

these PTC-equipped railroad properties will be capable of operating with the host railroad’s PTC 

system by that date. 

VII. Challenges 

During FRA’s meetings with the leadership of the 41 railroads subject to the statutory 

mandate, railroads commonly conveyed the following ongoing challenges:

• There is a limited number of PTC system vendors and suppliers, all of which are 

significantly resource-constrained and serving all 41 railroads and their tenant railroads;

• As reliability and stability of PTC systems is still immature, railroads are experiencing 

significant technical issues with both PTC system hardware and PTC system software 

that often take considerable time to diagnose and resolve, impacting current operations;

• Host railroads noted that many tenant railroads that operate on main lines requiring PTC 

system implementation have made variable, and often unknown, progress equipping 

locomotives with operational PTC technology, while some tenant railroads report that 

their host railroads are not providing opportunity for testing;

• Railroads have only recently begun testing PTC systems for interoperability; 

 25 See 49 U.S.C. § 20157(a)(2)(A)(i)(I), (a)(2)(D), (i)(3); 49 CFR §§ 236.1003, 236.1011(a)(3).
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• Many commuter railroads stated that negotiating legal agreements with certain vendors 

and suppliers often took multiple years to complete, given various insurance, liability, 

and State law issues; and

• Railroads noted concern about FRA’s approval review and approval cycle, given the 

surge in submissions requiring FRA approval in 2018. 

VIII. Conclusion

PTC implementation is a top priority of the Department and FRA. Railroads’ successful

implementation of PTC systems is an important safety initiative for FRA. It is also an important 

innovation for the future of rail transportation. Given the complexity of these systems, it is 

imperative that railroads, suppliers, and governing bodies prioritize and focus their attention on 

meeting this year’s Congressional deadline. Over the last ten weeks, FRA leadership and PTC 

technical staff have conferred with all 41 PTC railroads individually, with the vast majority of 

these meetings occurring in-person here in Washington. FRA has engaged in candid dialogue 

with these railroads for several years, but the recent meetings have allowed each railroad’s 

leadership to share PTC lessons learned, obstacles overcome and still remaining, and plans to 

either comply with the mandate or qualify for an extension by December 31, 2018. Many of the 

railroads have expressed optimism about meeting this year’s deadline. Yet, FRA acknowledges 

that challenges remain for railroads and their suppliers.

FRA believes that the railroads are prioritizing PTC implementation and that, with limited 

exceptions, a majority of the 41 railroads subject to the mandate will be able to comply with the 

statutory requirements for an extension by the end of this calendar year.

I appreciate the committee’s interest in our Nation’s infrastructure and, particularly, your 

assistance to the FRA in ensuring railroads implement this rail-safety technology in a timely 

manner in accordance with the laws and extensions enacted by Congress.

Thank you, Mr. Chairman, for the opportunity to testify. I am happy to answer any questions.