F E D E R F E D E R A L R A A L R A I L R I L R O A D O A D A D M I N A D M I N I S T R I S T R A 

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PTC Collaboration Session 

Second of Six in 2019 and 2020

To	promote	information‐sharing,	

best	practices,	and	collaboration	

between	FRA	and	industry

June 5, 2019
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Topics For Discussion

• Industry’s PTC Status as of March 31, 2019 & Self-reported C• FRA’s PTC Organization• FRA’s Interoperability Initiatives• PTC Safety Plans – Content Streamlining• PTC System Breakout Groups & Debriefs• Q&A
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Overview of Progress Toward Full Implem

As of March 31, 2019

• Status of Host Railroads’ PTC-governed Operations

o As of March 31st, PTC systems were in operation on ~48,048 (83%

required route miles—a 3% increase from December 31, 2018

o In addition, 9 commuter railroads were operating PTC systems in r

demonstration (RSD) on ~341.5 route miles, as of Quarter 1 of 20

• Status of PTC System Interoperability 

o Host railroads have reported that ~38 tenant railroads have achiev

interoperability—i.e., 17% of the 227 required host-tenant railroad 

o Also, as of March 31st, host railroads reported that 87 additional te

were currently conducting interoperability testing and 74 were in th

phase
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Remaining Main Lines Where PTC Must be 

As of March 31, 2019

• Total Route Miles Required to Be Governed by PTC: 57,875

• Route Miles Where Host Railroads’ Operations Were Gover

of March 31 (in RSD or Operation): ~48,389

• Remaining Route Mileage That Must be Governed by PTC*: 

*Subtracting route miles where host railroads’ operations were governed by a conditionally ceprovisional PTC operations, or in RSD as of March 31st

From Their Standpoint as Host Railroads (as of Marc

o Class I Railroads’ Remaining Mileage: ~6,930 Route Miles (13%)o Amtrak’s Remaining Mileage: ~136 Route Miles (15%)o Commuter Railroads’ Remaining Mileage: ~2,326 Route Miles (75%)o Six Other Host Railroads’ Remaining Mileage: ~94 Route Miles (87%)
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Progress by Sector Toward Full PTC System Impl

Based on Railroads’ Self-reported Progress and PTC Implementation Plans as of March 3

See	https://www.fra.dot.gov/ptc for	the	full	set	o

infographics	summarizing	progress	as	of	Quarter

of	2019
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Railroads’ Self-reported Challenge

Based on Railroads’ Annual PTC Progress Reports for 2018
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• Karl Alexy – Deputy Associate Administrator, Railroad Safety • Carolyn Hayward-Williams – Director, Technical Oversight, Rail• Gabe Neal – Acting Staff Director – PTC/S&TC Division

Deputy Staff Director – PTC 

• Calvin Viser – Sr. PTC Specialist – West

Acting PTC Specialist R4

• Billy Bennett – PTC Specialist R5

FRA PTC Organization Changes
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Practical Steps for Tenant Railroads on PTC-required Main Lines:• Equip controlling locomotives and/or cab cars with onboard PTC hardware and software;• Comply with the host railroad’s PTC Implementation Plan and PTC Safety Plan; and• Conduct all necessary PTC system interoperability testingLimited Exceptions to the Interoperability Requirement:• Certain limited Class II or Class III railroad operations (only in the case of 4 or fewer 

unequipped movements per day), under 49 CFR § 236.1006(b)(4) and (c);

• Certain freight switching movements in or near yards, under 49 CFR § 236.1006(b)(5); and

• Operations during certain system failure scenarios (until ~December 31, 2021), under 49 

U.S.C. § 20157(j)

Brief Overview of Interoperability Requi

Railroads

Interoper

General Rule: Any train that operates on a main line subject to the mandate—in

operated by foreign power and tenant railroads—must be governed by a PTC sys

uninterrupted movements over property boundaries. 
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FRA’s Observation of Interoperability Cha

• Scope of Required Interoperability 

o ~101 distinct tenant freight and passenger railroads operate on PTC mo Because many railroads operate on multiple host railroads, there are ~

railroad relationships in which PTC system interoperability must be achDecember 31, 2020 

• Complexity of Required Interoperability 

o Although railroads are primarily implementing 4 types of PTC systems, 

some cases implementing PTC systems of the same type in different m

variances in design, functionality, and operation), requiring additional te

configuration management 

o In some cases, 2 different types of PTC systems will be operated conc

main line, or portion thereof, adding to the complexity of interoperability
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FRA’s Past Interoperability Initiativ

• June and July 2018 – Focus on Interoperability During Symposi

o FRA provided an overview of the various statutory and regulatory interoperability 

including any exceptions, and best practices for interoperability testing between h

tenant railroads

o These presentations are available in FRA’s eLibrary at 

https://www.fra.dot.gov/eLib/Find#p1_z5_gD_kPTC%20Symposium%20June%202018 https://www.fra.dot.gov/eLib/details/L19578#p1_z5_gD_lOP_y2018_m7

• July 2018 – Written Guidance 

o FRA issued a revised and simplified guidance document that addresses interope

responsibilities of a host railroad and its tenant railroads with respect to a host ra

Plan and FRA’s certification of PTC systems

o Revised PTC Guidance Regarding Interoperability Testing, Operations and Maintenance 

Certification Responsibilities is available at https://www.fra.dot.gov/eLib/details/L19583#
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FRA’s Current Interoperability Initiati

• November 2018 to Present – FRA engaged with each Class I railroad and seve

help validate the list of PTC-required tenant railroads and ensure the accuracy of host raPTC Implementation Plans

• April 2019 – FRA sent a letter to each freight, non-Class I tenant railroad that operate

PTC main lines (based on host railroads’ PTC Implementation Plans) to emphasize the iachieving interoperability in a timely manner and to invite them to meet in Washington, D

• May 21st to Early August 2019 – The FRA Administrator and PTC staff plan to 

with each freight, non-Class I tenant railroad in Washington, DC

o Purposes: Offer technical assistance and discuss any challenges tenant railroad

experiencing with respect to PTC system implementation; tenant railroads’ progrestrategies for completing any PTC system hardware and software installation and achieve interoperability
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FRA’s Engagement with Industry Gro

Safety Plans

• Safety Plan Comment and Condition Resolution

• As we close out the comments, the railroads must submit 

• Submission of the spreadsheets• Include corrections in your revised Safety Plans

• PTC System Baselining Efforts

• BNSF is working with FRA on a streamlined I-ETMS Safe

• This will apply to those that have a certified system and have previou

PTCSP

• PNWR/TriMet, in coordination with the E-ATC working gro

with FRA on a baseline E-ATC Safety Plan

• I-ETMS Mixed System Safety Plan

• BNSF, supported by AAR, is working with FRA on an I-ET

System Safety Plan
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Safety Plan Streamlining

• Safety Plan contents must be compliant with 49 CFR § 236• Be mindful of requirements, as many content areas requir

description, for example:

• V&V Processes• Training Plan • Test Procedures and Equipment• Additional Warnings• Configuration Control• And a further 9 others

• References to key documents, such as Development Plan

Approvals, may be used (rather than included)

• Please note that FRA may request a copy of the full docum

needed, for example, the O&M Manual or the Training Plan
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Break-Out Sessions & Debrief

• E-ATC (Room 6)• ACSES II and ACES II (Room 7)• I-ETMS and ITC (Oklahoma Room)