Document ID: FRA-2019-0004-0225
Agency: fra
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions,and Approvals
Posted Date: 2019-12-30T05:00Z

[Federal Register Volume 84, Number 249 (Monday, December 30, 2019)]
[Notices]
[Pages 72121-72128]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-28096]

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

[Docket No. FRA-2019-0004-N-20]

Proposed Agency Information Collection Activities; Comment 
Request

AGENCY: Federal Railroad Administration (FRA), U.S. Department of 
Transportation (DOT).

ACTION: Notice of information collection; request for comment.

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SUMMARY: Under the Paperwork Reduction Act of 1995 (PRA) and its 
implementing regulations, FRA is informing the public that FRA proposes 
to make three minor revisions to the Quarterly Positive Train Control 
(PTC) Progress Report Form (Form FRA F 6180.165) and Annual PTC 
Progress Report Form (Form FRA F 6180.166), which the Office of 
Management and Budget (OMB) previously approved on September 24, 2018, 
under its regular processing procedures. In addition, FRA is now 
proposing to require host railroads operating FRA-certified PTC systems 
to submit a Statutory Notification of PTC System Failures (Form FRA F 
6180.177) to fulfill the temporary reporting requirement under the 
Positive Train Control Enforcement and Implementation Act of 2015 
(PTCEI Act), and FRA is proposing an alternative reporting frequency 
and reporting location, as the statutory mandate authorizes FRA to 
establish. Before submitting this revised information collection 
request (ICR) to

[[Page 72122]]

OMB for regular clearance and approval, FRA is soliciting public 
comment on specific aspects of the proposed ICR described below.

DATES: Interested persons are invited to submit comments on or before 
February 28, 2020.

ADDRESSES: Submit written comments on the ICR activities by mail to 
either: Ms. Hodan Wells, Information Collection Clearance Officer, 
Office of Railroad Safety, Regulatory Analysis Division, FRA, 1200 New 
Jersey Avenue SE, Washington, DC 20590; or Ms. Kim Toone, Information 
Collection Clearance Officer, Office of Information Technology, FRA, 
1200 New Jersey Avenue SE, Washington, DC 20590. Commenters requesting 
FRA to acknowledge receipt of their respective comments must include a 
self-addressed stamped postcard stating, ``Comments on OMB Control 
Number 2130-0553,'' and should also include the title of the ICR. 
Alternatively, comments may be emailed to Ms. Wells at 
hodan.wells@dot.gov, or Ms. Toone at b2d9dbdf9cc6dddddcd7f2d6ddc69cd5ddc4. Please refer to 
the assigned OMB control number in any correspondence submitted. FRA 
will summarize comments received in response to this notice in a 
subsequent notice and include them in its information collection 
submission to OMB for approval.

FOR FURTHER INFORMATION CONTACT: Ms. Hodan Wells, Information 
Collection Clearance Officer, Office of Railroad Safety, Regulatory 
Analysis Division, FRA, 1200 New Jersey Avenue SE, Washington, DC 20590 
(telephone: (202) 493-0440); or Ms. Kim Toone, Information Collection 
Clearance Officer, Office of Information Technology, FRA, 1200 New 
Jersey Avenue SE, Washington, DC 20590 (telephone: (202) 493-6132).

SUPPLEMENTARY INFORMATION: 

I. Public Comment Under the PRA

    The PRA, 44 U.S.C. 3501-3520, and its implementing regulations, 5 
CFR part 1320, require Federal agencies to provide 60-days' notice to 
the public to allow comment on information collection activities before 
seeking OMB approval of the activities. See 44 U.S.C. 3506, 3507; 5 CFR 
1320.8-1320.12.
    Specifically, FRA invites interested parties to comment on the 
following ICR regarding: (1) Whether the information collection 
activities are necessary for FRA to properly execute its functions, 
including whether the activities will have practical utility; (2) the 
accuracy of FRA's estimates of the burden of the information collection 
activities, including the validity of the methodology and assumptions 
used to determine the estimates; (3) ways for FRA to enhance the 
quality, utility, and clarity of the information being collected; and 
(4) ways for FRA to minimize the burden of information collection 
activities on the public, including the use of automated collection 
techniques or other forms of information technology. See 44 U.S.C. 
3506(c)(2)(A); 5 CFR 1320.8(d)(1).
    FRA believes that soliciting public comment may reduce the 
administrative and paperwork burdens associated with the collection of 
information that Federal statutes and regulations mandate. In summary, 
FRA reasons that comments received will advance three objectives: (1) 
Reduce reporting burdens; (2) organize information collection 
requirements in a ``user-friendly'' format to improve the use of such 
information; and (3) accurately assess the resources expended to 
retrieve and produce information requested. See 44 U.S.C. 3501.

II. Background on the Quarterly and Annual PTC Progress-Related 
Reporting Requirements

    Under the PTCEI Act, each railroad subject to 49 U.S.C. 20157(a) 
must submit an annual progress report to FRA by March 31, 2016, and 
annually thereafter, until it has fully implemented an FRA-certified 
and interoperable PTC system. 49 U.S.C. 20157(c)(1). The PTCEI Act 
specifically requires each railroad to provide certain information in 
the annual reports regarding its progress toward implementing a PTC 
system, in addition to any other information FRA requests. See id. 
Further, 49 U.S.C. 20157(c)(2) requires FRA to conduct compliance 
reviews at least annually to ensure each railroad is complying with its 
revised PTC Implementation Plan (PTCIP), including any FRA-approved 
amendments. The PTCEI Act requires railroads to provide information to 
FRA that FRA determines is necessary to adequately conduct such 
compliance reviews. 49 U.S.C. 20157(c)(2).
    Accordingly, under its statutory and regulatory authority, FRA 
currently requires, and seeks to continue requiring, each subject 
railroad to submit Quarterly PTC Progress Reports (Form FRA F 6180.165) 
and Annual PTC Progress Reports (Form FRA F 6180.166), until the 
railroad finishes fully implementing an FRA-certified and interoperable 
PTC system on its required main lines. See 49 U.S.C. 20157(c)(1)-(2); 
see also 49 CFR 236.1009(h). Each subject railroad must submit these 
quarterly reports by the due dates in the following table: \1\
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    \1\ As stated on the cover page of the Quarterly PTC Progress 
Report (Form FRA F 6180.165), ``A railroad must submit quarterly 
reports until a PTC system is fully implemented on all required main 
lines under 49 U.S.C. 20157 and 49 CFR part 236, subpart I, 
including a quarterly report for the quarter in which the railroad 
completes full PTC system implementation.'' See 49 U.S.C. 
20157(c)(2).

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                                            Coverage period        Due dates for quarterly PTC progress reports
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Q1...................................  January 1-March 31......  April 30.
Q2...................................  April 1-June 30.........  July 31.
Q3...................................  July 1-September 30.....  October 31.
Q4...................................  October 1-December 31...  January 31.
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    Each applicable railroad must submit its Quarterly PTC Progress 
Reports on Form FRA F 6180.165 and its Annual PTC Progress Reports on 
Form FRA F 6180.166 on FRA's Secure Information Repository at https://sir.fra.dot.gov. By law, only 35 railroads \2\ (including 32 host 
railroads and 3 tenant-only commuter railroads) are currently required 
to submit Quarterly PTC Progress Reports (Form FRA F 6180.165) and 
Annual PTC Progress Reports (Form FRA F 6180.166).
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    \2\ Currently, 42 railroads are directly subject to the 
statutory mandate to implement a PTC system. However, only 35 
railroads are currently subject to these progress-related reporting 
requirements, given that by law, such reporting requirements no 
longer apply to the 4 host railroads that fully implemented PTC 
systems as of December 31, 2018, and 3 other tenant-only commuter 
railroads that fully implemented their PTC systems to date.
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III. Proposed Revisions to the Quarterly and Annual PTC Progress Report 
Forms

    On September 24, 2018, OMB approved the Quarterly PTC Progress

[[Page 72123]]

Report (Form FRA F 6180.165) and Annual PTC Progress Report (Form FRA F 
6180.166) for a period of 18 months, expiring on March 31, 2020. The 
current Quarterly PTC Progress Report Form and Annual PTC Progress 
Report Form, as approved through March 31, 2020, can be accessed and 
downloaded in FRA's eLibrary at: https://www.fra.dot.gov/eLib/details/L17365 and https://www.fra.dot.gov/eLib/details/L17366, respectively. 
These versions of the forms took into account prior comments from the 
Association of American Railroads (AAR) on behalf of itself and its 
member railroads; the American Public Transportation Association on 
behalf of the Northeast Illinois Commuter Rail System (Metra), the Utah 
Transit Authority, the Tri-County Metropolitan Transportation District 
of Oregon, and the Fort Worth Transportation Authority; and industry 
stakeholders during FRA's public meeting on April 19, 2016. FRA 
published minutes from the public meeting on www.regulations.gov under 
Docket No. FRA 2016-0002-N-17.\3\
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    \3\ For a summary of past oral and written comments and FRA's 
responses to the comments, please see 81 FR 28140 (May 9, 2016); 81 
FR 65702 (Sept. 23, 2016); and 83 FR 39152 (Aug. 8, 2018).
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    Following the 60-day public comment period after this notice is 
published, FRA will request OMB's re-approval of the forms, with the 
three changes described below. First, per the industry's and OMB's 
previous recommendations, FRA has considered ways in which it can phase 
out certain requirements of the Quarterly PTC Progress Report (Form FRA 
F 6180.165) and Annual PTC Progress Report (Form FRA F 6180.166), while 
railroads continue to fully implement their PTC systems on the required 
main lines.
    Although many of the specific reporting requirements are 
statutorily required under 49 U.S.C. 20157(c)(1)(A)-(G), FRA is 
amenable to making certain sections of both forms optional for most 
railroads, at this stage. Specifically, FRA is proposing to make the 
following sections of both the Quarterly PTC Progress Report (Form FRA 
F 6180.165) and Annual PTC Progress Report (Form FRA F 6180.166) 
optional for most railroads: Section 2 (``Update on Spectrum''); 
Section 3.1 (``Locomotive Status''), except the software-related 
narrative section; and Section 3.3 (``Infrastructure/Wayside Status'').
    FRA proposes that those sections would be optional for any railroad 
that previously demonstrated to FRA it had finished acquiring all 
necessary spectrum and installing all PTC system hardware for the 
implementation of its PTC system, consistent with the governing FRA-
approved PTCIP. This would encompass nearly all railroads subject to 
the statutory mandate that are still in the process of fully 
implementing their PTC systems--including the railroads currently field 
testing their PTC systems, conducting revenue service demonstration 
(RSD) or expanding RSD to additional main lines, and conducting 
interoperability testing with their PTC-required tenant railroads--
given that railroads generally needed to finish acquiring spectrum and 
installing PTC system hardware by December 31, 2018, to qualify for and 
obtain FRA's approval of an alternative schedule and sequence by law. 
See 49 U.S.C. 20157(a)(3)(B).
    The only railroads for which the above sections--Sections 2, 3.1, 
and 3.3--would remain mandatory are those railroads that are still in 
the spectrum acquisition or hardware installation 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, and therefore did not need to qualify for or obtain FRA's 
approval of an alternative schedule; (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. In those three cases, 
FRA would still need to obtain updates regarding such railroads' 
progress toward acquiring all necessary spectrum and installing all 
necessary PTC system hardware.
    Second, in Section 4 (entitled ``Installation/Track Segment 
Progress'') of both the quarterly form and the annual form, FRA 
proposes adding a new option to the drop-down menus. Currently, the 
options include only: ``Not Started,'' ``Installing,'' ``Field 
Testing,'' ``Revenue Service Demonstration,'' and ``Operational/
Complete.'' Given that some railroads are beyond the installation 
phase, but not yet at the field testing phase on multiple track 
segments, FRA proposes to add a new option to the drop-down menu, 
specifically labeled, ``Pre-field Testing.'' That way, such railroads 
will not need to select ``Installing'' or ``Field Testing,'' neither of 
which would accurately represent the actual status of a railroad's 
specific track segment. This minor revision to the forms will help 
ensure clearer and more accurate reporting, without imposing an 
additional reporting burden. For consistency with Section 4, FRA also 
proposes to update the corresponding drop-down menu in Section 6 
(entitled ``Update on Interoperability Progress'') of both forms to 
include the same options: ``Not Started,'' ``Installing,'' ``Pre-field 
Testing,'' ``Field Testing,'' ``Revenue Service Demonstration,'' \4\ 
and ``Operational/Complete.''
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    \4\ Previously, the relevant part of the drop-down menu allowed 
a host railroad to indicate only that a tenant railroad was 
generally conducting ``testing,'' without specifying the stage of 
testing.
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    Third, in Section 6 (entitled ``Update on Interoperability 
Progress'') of both the quarterly form and the annual form, FRA 
proposes revising the heading of the last column in the table to state, 
``Current Tenant Interoperability Status,'' instead of ``Current Tenant 
Implementation Status,'' to help ensure proper interpretation. For 
example, at least one commuter railroad has improperly listed the 
status of a Class I tenant railroad's progress toward fully 
implementing a PTC system on the Class I railroad's own main lines (so 
as a host railroad), instead of the Class I railroad's status 
specifically as a tenant railroad on that commuter railroad's required 
main lines. FRA expects that this minor revision might make this 
heading clearer.
    Railroads' submission of Quarterly PTC Progress Reports (Form FRA F 
6180.165) and Annual PTC Progress Reports (Form FRA F 6180.166)--
consistent with the reporting requirements under the PTCEI Act--enables 
FRA to effectively monitor railroads' progress toward fully 
implementing FRA-certified and interoperable PTC systems on the 
approximately 57,855 route miles subject to the statutory mandate. Such 
reporting also enables FRA to identify railroad-specific and industry-
wide obstacles to full PTC system implementation and to provide timely 
technical assistance. Moreover, this reporting framework enables FRA to 
provide the public and Congress with data-driven status reports on 
industry's progress toward implementing this mandated technology on a 
regular basis, which will be especially important throughout 2020, as 
the statutory deadline for most mandated railroads to fully implement 
PTC systems is December 31, 2020.

IV. Proposal for a New Mandatory Form--Statutory Notification of PTC 
System Failures (Form FRA F 6180.177)

    Under the Early Adoption provisions in the PTCEI Act, the statutory 
mandate explicitly recognizes that certain PTC system failures (e.g., 
initialization failures, cut outs, and malfunctions) will occur while, 
and even after,

[[Page 72124]]

railroads fully implement FRA-certified and interoperable PTC systems 
on the mandated main lines. See 49 U.S.C. 20157(j)(1)-(4). The PTCEI 
Act temporarily prohibits FRA from imposing or enforcing the 
operational restrictions (e.g., speed restrictions) under FRA's 
regulations governing signal and train control systems (specifically, 
49 CFR 236.567) and FRA's PTC regulations (specifically, 49 CFR 
236.1029), ``provided that such carrier operates at an equivalent or 
greater level of safety than the level achieved immediately prior to 
the use or implementation of its [PTC] system.'' 49 U.S.C. 20157(j)(1).
    This statutory prohibition specifying that ``any railroad . . . 
shall not be subject to the operational restrictions'' under 49 CFR 
236.567 or 236.1029 is in effect from October 29, 2015, to 
approximately December 31, 2021.\5\ See 49 U.S.C. 20157(j)(1). In 
addition, the PTCEI Act established a new reporting requirement that 
applies only during that period and only to PTC systems that FRA has 
certified and have been implemented, including on a subset of a 
railroad's mandated main lines. 49 U.S.C. 20157(j)(4). For example, 
acknowledging the incremental nature of implementation, the PTCEI Act 
required Class I railroads to demonstrate they had ``implemented a 
[PTC] system or initiated revenue service demonstration on the majority 
of [PTC-mandated] territories . . . or route miles that are owned or 
controlled by such carrier[s],'' to qualify for an alternative schedule 
and sequence by law. 49 U.S.C. 20157(a)(3)(B)(vi) (emphasis added).
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    \5\ Specifically, the PTCEI Act states that the Early Adoption 
period ends one year after the last Class I railroad obtains PTC 
System Certification from FRA and finishes fully implementing a PTC 
system on all of its required main lines.
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    As a default, the reporting requirement under 49 U.S.C. 20157(j)(4) 
specifies that when an FRA-certified PTC system ``fails to initialize, 
cuts out, or malfunctions,'' the railroad must submit a notification to 
the appropriate FRA regional office within 7 days of the system 
failure, and the notification must include a description of the safety 
measures the railroad has in place. However, the PTCEI Act also 
authorizes FRA to establish an alternative reporting deadline (instead 
of within 7 days of each occurrence) and an alternative reporting 
location (instead of submitting the notifications to the appropriate 
FRA region). See 49 U.S.C. 20157(j)(4); 49 CFR 1.89.
    To be clear, FRA is authorized to establish only an alternative 
reporting deadline and an alternative reporting location, and the 
statutory mandate does not permit FRA to change either the scope of 
this temporary reporting requirement or the information that must be 
submitted. At multiple industry meetings, FRA proactively sought 
railroads' input regarding possible alternative reporting deadlines and 
locations, focusing on options that would be reasonable and consistent 
with the statutory reporting framework.\6\
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    \6\ For example, FRA solicited input about the statutory 
failure-related reporting requirement at FRA's first PTC symposium 
on June 15, 2018; two of FRA's three PTC collaboration sessions 
during 2019, on February 6, 2019, and October 2, 2019; and several 
AAR PTC Executive Committee meetings, including participation by the 
Class I railroads, Amtrak, Metra, the Southern California Regional 
Rail Authority (Metrolink), and other host railroads subject to the 
statutory mandate.
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    At the industry meetings, FRA and industry stakeholders generally 
reached a consensus about a reasonable alternative for a reporting 
location. Accordingly, FRA proposes that the Statutory Notification of 
PTC System Failures, under 49 U.S.C. 20157(j)(4), must be submitted to 
FRA's headquarters, using an electronic, web-based form, instead of 
notifying each applicable FRA region. Such centralized reporting would 
better enable FRA to aggregate and analyze the required data regarding 
PTC system initialization failures, cut outs, and malfunctions. FRA is 
currently designing and developing a web-based form for the Statutory 
Notification of PTC System Failures (Form FRA F 6180.177), and FRA 
notes that the electronic form will contain fields for the information 
explicitly required under 49 U.S.C. 20157(j)(4) and as described below.
    With respect to the default reporting deadline under the PTCEI Act 
(i.e., within 7 days of each occurrence), many railroads have stressed 
that notifying FRA each time an FRA-certified PTC system fails to 
initialize, cuts out, or malfunctions would be extremely burdensome, 
given the frequency of such occurrences. As an example, one commuter 
railroad reported more than 75 instances of initialization failures, 
cut outs, and malfunctions, during a one-week period in October 2019. 
FRA proposes requiring that a railroad consolidate such information 
prior to submission, rather than notifying FRA within 7 days of each 
occurrence and submitting such data in a piecemeal manner, which could 
occur under the default requirement in 49 U.S.C. 20157(j)(4).
    Acknowledging railroads' concerns about the burdens associated with 
the default reporting frequency under 49 U.S.C. 20157(j)(4), FRA 
proposes instead a two-tiered or bifurcated reporting deadline/
frequency for this temporary reporting requirement, where the reporting 
frequency would depend on whether or not the host railroad has fully 
implemented an FRA-certified and interoperable PTC system on all its 
required route miles. First, if a host railroad is operating an FRA-
certified PTC system but the railroad is still in the process of fully 
implementing the PTC system on its required main lines, FRA proposes 
that such railroads must submit a quarterly notification of the PTC 
system's initialization failures, cut outs, and malfunctions, during 
the ongoing implementation process. Such quarterly notifications would 
be due on the same dates as the Quarterly PTC Progress Reports (Form 
FRA F 6180.165):

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                                                                   Due dates for quarterly notifications of PTC
                                            Coverage period                      system failures
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Q1...................................  January 1-March 31......  April 30.
Q2...................................  April 1-June 30.........  July 31.
Q3...................................  July 1-September 30.....  October 31.
Q4...................................  October 1-December 31...  January 31.
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    For example, this would mean that most host railroads that have 
obtained PTC System Certification to date would submit quarterly 
notifications until January 31, 2021, as most host railroads will be in 
the process of fully implementing FRA-certified and interoperable PTC 
systems on their mandated main lines until December 31, 2020. FRA 
believes that requiring host railroads to submit failure-related 
notifications on a quarterly basis (instead of within 7 days of each 
occurrence) during the implementation process is reasonable, given that 
such

[[Page 72125]]

host railroads are concurrently focusing on activating their FRA-
certified PTC systems on their remaining required main lines and 
achieving interoperability with their tenant railroads by December 31, 
2020. FRA believes that receiving the failure-related data on a 
quarterly basis would still enable FRA to compile and analyze the data 
to understand and monitor the performance and reliability of PTC 
systems over time.
    Second, once a host railroad has fully implemented its FRA-
certified and interoperable PTC system on all its required main lines, 
FRA proposes that the host railroad must submit the Statutory 
Notification of PTC System Failures (Form FRA F 6180.177) monthly, 
instead of quarterly. This is still significantly less burdensome than 
the default reporting deadline under 49 U.S.C. 20157(j)(4)--i.e., 
within 7 days of each discrete occurrence. For example, upon FRA's 
receipt of OMB's approval, each of the four host railroads that fully 
implemented FRA-certified and interoperable PTC systems by December 31, 
2018,\7\ would immediately begin submitting monthly notifications, 
rather than piecemeal notifications within 7 days each time its PTC 
system fails to initialize, cuts out, or malfunctions. FRA proposes 
that the due date for the monthly notification would be the 15th of the 
following month, so, for example, the notification regarding PTC system 
initialization failures, cut outs, and malfunctions during March 2020 
would be due by April 15, 2020, for the subset of host railroads that 
have fully implemented an FRA-certified PTC system.
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    \7\ Metrolink, the North County Transit District, the Port 
Authority Trans-Hudson, and Portland & Western Railroad.
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    The other host railroads subject to the statutory mandate that are 
operating FRA-certified PTC systems but that are still in the process 
of fully implementing their PTC systems (e.g., 6 Class I railroads, 
Amtrak, and the Southeastern Pennsylvania Transportation Authority, as 
of November 1, 2019, and any other host railroad that obtains PTC 
System Certification going forward) would transition from submitting 
the Statutory Notifications of PTC System Failures (Form FRA F 
6180.177) on a quarterly basis to a monthly basis, when they finish 
fully implementing their PTC systems on their required main lines. For 
simplicity, in general, this two-tiered reporting framework would mean 
that most host railroads that have obtained PTC System Certification 
would submit quarterly Statutory Notifications of PTC System Failures 
throughout 2020, and then monthly notifications throughout 2021.\8\
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    \8\ By law, this temporary reporting requirement under 49 U.S.C. 
20157(j)(4) sunsets on approximately December 31, 2021--or more 
specifically, one year after the last Class I railroad obtains PTC 
System Certification from FRA and finishes fully implementing an 
FRA-certified and interoperable PTC system on all its required main 
lines.
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    As noted above, the PTCEI Act authorizes FRA to establish only an 
alternative reporting deadline (instead of within 7 days of each 
occurrence) and an alternative reporting location (instead of 
submitting the notifications to the appropriate FRA region). The 
proposed Statutory Notification of PTC System Failures (Form FRA F 
6180.177) would, by necessity, contain a table in which the host 
railroad would identify the number of times each type of PTC system 
failure identified in the statutory mandate occurred during the 
reporting period: Any failure to initialize, any cut out, and any 
malfunction, as defined below. 49 U.S.C. 20157(j)(4). During FRA's 
industry meetings to date, railroads have requested clarification 
regarding the meaning and scope of these statutory terms. Given that 
the statutory mandate requires railroads to notify FRA any time a PTC 
system ``fails to initialize, cuts out, or malfunctions,'' FRA 
interprets these terms reasonably broadly and in accordance with their 
plain language meaning, to encompass the following, for purposes of 
this temporary reporting requirement:
     Failure to Initialize: Any locomotive or train that 
departs the initial terminal without being governed by a PTC system.
     Cut Out: Any cut out of a PTC system en route, including 
when the PTC system cuts out on its own or a person cuts out the 
system, unless the cut out was necessary to exit PTC-governed territory 
and enter non-PTC territory.
     Malfunction: Any failure of a PTC system, subsystem, or 
component that prevents, or could prevent, the PTC system from 
performing the functions mandated under 49 U.S.C. 20157(i)(5) and 49 
CFR part 236, subpart I.
    The proposed web-based form (Form FRA F 6180.177) would require 
host railroads to identify the number of PTC system initialization 
failures, cut outs, and malfunctions by state and subdivision \9\ to 
enable FRA to closely monitor trends in PTC system reliability 
throughout the country and focus its resources, for example, on any 
areas where such failures are occurring at a high rate. FRA seeks 
comment about this proposed aspect of the information collection. 
Although a categorization of such information by state and subdivision 
is FRA's preference, FRA may modify its approach based on industry's 
comments submitted during the 60-day comment period. Please note, 
however, that absent a breakdown by state and subdivision, FRA would 
require host railroads to identify the number of PTC system 
initialization failures, cut outs, and malfunctions per FRA region,\10\ 
at a minimum. That alternative approach would retain the same minimum 
level of geographical information about where such PTC system failures 
are occurring, as explicitly required under the default reporting 
requirement under 49 U.S.C. 20157(j)(4).
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    \9\ Or any other categorization a host railroad uses in its 
timetables, including district, territory, main line, branch, or 
corridor. FRA recognizes that this specific type of information 
(i.e., a breakdown by state and subdivision) is not required under 
49 U.S.C. 20157(j)(4), and FRA would be collecting such information 
under its general authority under 49 CFR 236.1009(h).
    \10\ For a map outlining FRA's eight regions, please see: 
https://railroads.dot.gov/divisions/regional-offices/regional-offices.
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    Also, based on railroads' input at industry meetings, FRA notes 
that the proposed Statutory Notification of PTC System Failures (Form 
FRA F 6180.177) would additionally require a host railroad to list a 
percentage, demonstrating how the occurrences of PTC system 
initialization failures, cut outs, and malfunctions compare to all 
operations on that host railroad's PTC-governed main lines.\11\ Several 
railroads have commented that, without such a percentage or context, 
the frequency of these failures might otherwise seem high, and a 
percentage would help convey the actual rate of such failures.
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    \11\ FRA recognizes that this specific type of information is 
not required under 49 U.S.C. 20157(j)(4), and FRA would be 
collecting such information under its general authority under 49 CFR 
236.1009(h).
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    In addition, at industry meetings to date, multiple railroads have 
expressed that FRA should not require tenant railroads to submit this 
failure-related information directly to FRA, but via their host 
railroads. Accordingly, FRA proposes that only host railroads subject 
to the statutory mandate (currently 36 host railroads) would submit the 
Statutory Notification of PTC System Failures (Form FRA F 6180.177), 
and these notifications would encompass both a host railroad's and its 
tenant railroads' PTC system initialization failures, cut outs, and 
malfunctions.\12\

[[Page 72126]]

However, FRA seeks comments about how to structure this element of the 
web-based form in a way that would both minimize the reporting burden 
and distinctly represent the number of PTC system initialization 
failures, cut outs, and malfunctions per tenant railroad.
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    \12\ This approach would be consistent with the existing 
regulatory requirement specifying that a tenant railroad must report 
a PTC system failure or cut out to ``a designated railroad officer 
of the host railroad as soon as safe and practicable.'' See 49 CFR 
236.1029(b)(4) (emphasis added).
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    Finally, as noted above, 49 U.S.C. 20157(j)(4) explicitly requires 
a railroad to provide in the notification ``a description of the safety 
measures the affected railroad . . . has in place,'' so the table in 
the web-based Statutory Notification of PTC System Failures (Form FRA F 
6180.177) would contain fields for a host railroad to enter such 
information.

V. Overview of Information Collection

    FRA will submit this ICR to OMB for regular clearance as required 
by the PRA.
    Type of Request: Revision of a currently approved information 
collection.
    Title: Positive Train Control and Other Signal Systems (including 
the Quarterly Positive Train Control Progress Report, the Annual 
Positive Train Control Progress Report, and the Statutory Notification 
of Positive Train Control System Failures).\13\
---------------------------------------------------------------------------

    \13\ FRA makes a technical correction to the title of OMB 
Control Number 2130-0553.
---------------------------------------------------------------------------

    OMB Control Number: 2130-0553.
    Form(s): FRA F 6180.165, FRA F 6180.166, and FRA F 6180.177.
    Affected Public: Businesses.
    Frequency of Submission: On occasion (depending on the specific 
reporting requirement).
    Respondent Universe: 35 railroads \14\ (including 32 host railroads 
and 3 tenant-only commuter railroads) for the Quarterly PTC Progress 
Report (Form FRA F 6180.165) and Annual PTC Progress Report (Form FRA F 
6180.166); 36 host railroads for the Statutory Notification of PTC 
System Failures (Form FRA F 6180.177); and varies for other information 
collections under OMB Control No. 2130-0553, as noted in the table 
below.
---------------------------------------------------------------------------

    \14\ Currently, 42 railroads are directly subject to the 
statutory mandate to implement a PTC system. However, only 35 
railroads are currently subject to these progress-related reporting 
requirements, given that by law, such reporting requirements no 
longer apply to the 4 host railroads that fully implemented PTC 
systems as of December 31, 2018, and 3 other tenant-only commuter 
railroads that fully implemented their PTC systems to date.
---------------------------------------------------------------------------

    Respondent Burden:

----------------------------------------------------------------------------------------------------------------
                                                                                                   Total annual
     CFR section/subject          Respondent      Total annual     Average time    Total annual     dollar cost
                                   universe        responses       per response    burden hours     equivalent
----------------------------------------------------------------------------------------------------------------
235.6(c)--Expedited            42 railroads...  10 expedited     5 hours........              50           3,800
 application for approval of                     applications.
 certain changes described in
 this section.
--Copy of expedited            42 railroads...  10 copies......  30 minutes.....               5             380
 application to labor union.
--Railroad letter rescinding   42 railroads...  1 letter.......  6 hours........               6             456
 its request for expedited
 application of certain
 signal system changes.
--Revised application for      42 railroads...  1 application..  5 hours........               5             380
 certain signal system
 changes.
--Copy of railroad revised     42 railroads...  1 copy.........  30 minutes.....              .5              38
 application to labor union.
236.1--Railroad maintained     700 railroads..  25 plan changes  15 minutes.....             6.3             479
 signal plans at all
 interlockings, automatic
 signal locations, and
 controlled points, and
 updates to ensure accuracy.
236.15--Designation of         700 railroads..  10 timetable     30 minutes.....               5             380
 automatic block, traffic                        instructions.
 control, train stop, train
 control, cab signal, and PTC
 territory in timetable
 instructions.
236.18--Software management    2 railroads....  2 plans........  160 hours......             320          24,320
 control plan--New railroads.
236.23(e)--The names,          700 railroads..  2 modifications  1 hour.........               2             152
 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.
236.587(d)--Certification and  742 railroads..  4,562,500 train  5 seconds......           6,337         481,612
 departure test results.                         departures.
236.905(a)--Railroad Safety    2 railroads....  2 RSPPs........  40 hours.......              80           6,080
 Program Plan (RSPP)--New
 railroads.
236.913(a)--Filing and         742 railroads..  1 joint plan...  2,000 hours....           2,000         230,000
 approval of a joint Product
 Safety Plan (PSP).
(c)(1)--Informational filing/  742 railroads..  .5 filings/      50 hours.......              25           1,900
 petition for special                            approval
 approval.                                       petitions.
(c)(2)--Response to FRA's      742 railroads..  .25 data calls/  5 hours........          1 hour              76
 request for further data                        documents.
 after informational filing.
(d)(1)(ii)--Response to FRA's  742 railroads..  .25 data calls/  1 hour.........             .25              19
 request for further                             documents.
 information within 15 days
 after receipt of the Notice
 of Product Development
 (NOPD).
(d)(1)(iii)--Technical         742 railroads..  .25 technical    5 hours........        1.3 hour              99
 consultation by FRA with the                    consultations.
 railroad on the design and
 planned development of the
 product.
(d)(1)(v)--Railroad petition   742 railroads..  .25 petitions..  1 hour.........             .25              19
 to FRA for final approval of
 NOPD.
(d)(2)(ii)--Response to FRA's  742 railroads..  1 request......  50 hours.......              50           3,800
 request for additional
 information associated with
 a petition for approval of
 PSP or PSP amendment.
(e)--Comments to FRA on        742 railroads..  .5 comments/     10 hours.......               5             380
 railroad informational                          letters.
 filing or special approval
 petition.
(h)(3)(i)--Railroad amendment  742 railroads..  2 amendments...  20 hours.......              40           3,040
 to PSP.
(j)--Railroad field testing/   742 railroads..  1 field test     100 hours......             100           7,600
 information filing document.                    document.
236.917(a)--Railroad           13 railroads     13 PSP safety    160 hours......           2,080         158,080
 retention of records:          with PSP.        results.
 results of tests and
 inspections specified in the
 PSP.
(b)--Railroad report that      13 railroads...  1 report.......  40 hours.......              40           3,040
 frequency of safety-relevant
 hazards exceeds threshold
 set forth in PSP.
(b)(3)--Railroad final report  13 railroads...  1 report.......  10 hours.......              10             760
 to FRA on the results of the
 analysis and countermeasures
 taken to reduce the
 frequency of safety-relevant
 hazards.
236.919(a)--Railroad           13 railroads...  1 OMM update...  40 hours.......              40           3,040
 Operations and Maintenance
 Manual (OMM).
(b)--Plans for proper          13 railroads...  1 plan update..  40 hours.......              40           3,040
 maintenance, repair,
 inspection, and testing of
 safety-critical products.
(c)--Documented hardware,      13 railroads...  1 revision.....  40 hours.......              40           3,040
 software, and firmware
 revisions in OMM.
236.921 and 923(a)--Railroad   13 railroads...  1 program......  40 hours.......              40           3,040
 Training and Qualification
 Program.
236.923(b)--Training records   13 railroads...  350 records....  10 minutes.....              58           4,408
 retained in a designated
 location and available to
 FRA upon request.
Form FRA F 6180.165--          35 railroads...  140 reports/     23.22 hours....           3,251         247,076
 Quarterly PTC Progress                          forms.
 Report Form (49 U.S.C.
 20157(c)(2)).

[[Page 72127]]

 
Form FRA F 6180.166--Annual    35 railroads...  35 reports/      40.12 hours....           1,404         106,704
 PTC Progress Report Form (49                    forms.
 U.S.C. 20157(c)(1) and 49
 CFR 236.1009(a)(5)).
Form FRA F 6180.177--          36 railroads...  190 reports/     1 hour.........             190          14,440
 Statutory Notification of                       forms.
 PTC System Failures (*New
 Form* Under 49 U.S.C.
 20157(j)(4)).
236.1001(b)--A railroad's      36 railroads...  1 rule or        40 hours.......              40           4,600
 additional or more stringent                    instruction.
 rules than prescribed under
 49 CFR part 236, subpart I.
236.1005(b)(4)(iii)--A         7 Class I        1 exception      40 hours.......              40           3,040
 railroad's request for a de    railroads.       request.
 minimis exception, in a
 PTCIP or an RFA, based on a
 minimal quantity of PIH
 materials traffic.
(g)(1)(i)--A railroad's        36 railroads...  45 rerouting     8 hours........             360          27,360
 request to temporarily                          extension
 reroute trains not equipped                     requests.
 with a PTC system onto PTC-
 equipped tracks and vice
 versa during certain
 emergencies.
(g)(1)(ii)--A railroad's       36 railroads...  45 written or    2 hours........              90           6,840
 written or telephonic notice                    telephonic
 to the applicable FRA                           notices.
 Regional Administrator of
 the conditions necessitating
 emergency rerouting and
 other required information
 under 236.1005(i).
(g)(2)--A railroad's           36 railroads...  720 requests...  8 hours........           5,760         437,760
 temporary rerouting request
 due to planned maintenance
 not exceeding 30 days.
(h)(1)--A response to any      36 railroads...  10 requests....  2 hours........              20           1,520
 request for additional
 information from the FRA
 Regional Administrator or
 Associate Administrator,
 prior to commencing
 rerouting due to planned
 maintenance.
(h)(2)--A railroad's request   36 railroads...  160 requests...  8 hours........           1,280          97,280
 to temporarily reroute
 trains due to planned
 maintenance exceeding 30
 days.
236.1006(b)(4)(iii)(B)--A      36 railroads...  5 reports......  16 hours.......              80           6,080
 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.
236.1007(c)--An HSR-125        36 railroads...  1 HSR-125        3,200 hours....           3,200         368,000
 document accompanying a host                    document.
 railroad's PTCSP, for
 operations over 125 mph.
(c)(1)--A railroad's request   36 railroads...  1 request......  8,000 hours....           8,000         608,000
 for approval to use foreign
 service data, prior to
 submission of a PTCSP.
(d) (formerly (e))--A          36 railroads...  1 request......  1,000 hours....           1,000         115,000
 railroad's request in a
 PTCSP that FRA excuse
 compliance with one or more
 of this section's
 requirements.
236.1009(a)(2)--A PTCIP if a   264 railroads..  1 PTCIP........  535 hours......             535          61,525
 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.
(a)(3)--Any new PTCIPs         264 railroads..  1 joint PTCIP..  267 hours......             267          30,705
 jointly filed by a host
 railroad and a tenant
 railroad.
(b)(1)--A host railroad's      264 railroads..  1 document.....  8 hours........               8             608
 submission, individually or
 jointly with a tenant
 railroad or PTC system
 supplier, of an unmodified
 Type Approval.
(b)(2)--A host railroad's      264 railroads..  1 PTCDP........  2,000 hours....           2,000         152,000
 submission of a PTC
 Development Plan (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.
(e)(3)--Any request for full   42 railroads...  10               8 hours........              80           6,080
 or partial confidentiality                      confidentialit
 of a PTCIP, Notice of                           y requests.
 Product Intent (NPI), PTCDP,
 or PTCSP.
(h)--Any responses or          36 railroads...  36 interviews    4 hours........             144          10,944
 documents submitted in                          and documents.
 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.
(j)(2)(iii)--Any additional    36 railroads...  20 documents...  400 hours......           8,000         608,000
 information provided in
 response to FRA's
 consultations or inquiries
 about a PTCDP or PTCSP.
236.1011(e)--Any public        36 railroads...  2 public         8 hours........              16           1,216
 comment on PTCIPs, NPIs,                        comments.
 PTCDPs, and PTCSPs.
236.1015--Any new host         264 railroads..  1 PTCSP........  8,000 hours....           8,000         608,000
 railroad's PTCSP meeting all
 content requirements under
 49 CFR 236.1015.
(g)--A PTCSP for a PTC system  36 railroads...  1 PTCSP........  3,200 hours....           3,200         243,200
 replacing an existing
 certified PTC system.
(h)--A quantitative risk       36 railroads...  1 assessment...  3,200 hours....           3,200         243,200
 assessment, if FRA requires
 one to be submitted.
236.1017(a)--An independent    21 railroads...  1 assessment...  1,600 hours....           1,600         184,000
 third-party assessment, if
 FRA requires one to be
 conducted and submitted.
(b)--A railroad's written      21 railroads...  1 written        8 hours........               8             608
 request to confirm whether a                    request.
 specific entity qualifies as
 an independent third party.
--Further information          21 railroads...  1 set of         20 hours.......              20           1,520
 provided to FRA upon request.                   additional
                                                 information.
(d)--A request not to provide  21 railroads...  1 request......  20 hours.......              20           1,520
 certain documents otherwise
 required under Appendix F
 for an independent, third-
 party assessment.
(e)--A request for FRA to      21 railroads...  1 request......  32 hours.......              32           2,432
 accept information certified
 by a foreign regulatory
 entity for purposes of 49
 CFR 236.1017 and/or
 236.1009(i).
236.1019(b)--A request for a   37 railroads...  1 MTEA.........  160 hours......             160          12,160
 passenger terminal main line
 track exception (MTEA).
(c)(1)--A request for a        37 railroads...  1 request and/   160 hours......             160          12,160
 limited operations exception                    or plan.
 (based on restricted speed,
 temporal separation, or a
 risk mitigation plan).
236.1021(a)-(d)--Any request   36 railroads...  10 RFAs........  160 hours......           1,600         121,600
 for amendment (RFA) to a
 railroad's PTCIP, PTCDP, and/
 or PTCSP.
(e)--Any public comments, if   5 interested     10 RFA public    16 hours.......             160          12,160
 an RFA includes a request      parties.         comments.
 for approval of a
 discontinuance or material
 modification of a signal or
 train control system and a
 Federal Register notice is
 published.
236.1023(a)--A railroad's PTC  36 railroads...  2 updated lists  8 hours........              16           1,216
 Product Vendor List, which
 must be continually updated.

[[Page 72128]]

 
(b)(2)-(3)--A vendor's or      10 vendors.....  .5               8 hours........               4             304
 supplier's notification,                        notifications.
 upon receipt of a report of
 any safety-critical failure
 of its product, to any
 railroads using the product.
(d)--A railroad's submission,  36 railroads...  2.5              16 hours.......              40           3,040
 to the applicable vendor or                     notifications.
 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.
(e)--A railroad's database of  36 railroads...  36 database      16 hours.......             576          43,776
 all safety-relevant hazards,                    updates.
 which must be maintained
 after the PTC system is
 placed in service.
(e)(1)--A railroad's           36 railroads...  .5               8 hours........               4             304
 notification to the vendor                      notifications.
 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.
(e)(2)--Continual updates      36 railroads...  .5 updates.....  8 hours........               4             304
 about any and all subsequent
 failures.
(g)--A railroad's and          36 railroads...  .5 reports.....  40 hours.......              20           1,520
 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.
(h)--A PTC system vendor's or  10 vendors.....  .5 reports.....  8 hours........               4             304
 supplier's reports of any
 safety-relevant failures,
 defective conditions,
 previously unidentified
 hazards, recommended
 mitigation actions, and any
 affected railroads.
236.1029(b)(4)--A report of    36 railroads...  1,000 reports..  30 minutes.....             500          38,000
 an en route failure, other
 failure, or cut out to a
 designated railroad officer
 of the host railroad.
(h)--An annual report of PTC   36 railroads...  36 reports.....  8 hours........             288          21,888
 system failures due April
 16th each year after a
 railroad's applicable
 deadline for full PTC system
 implementation.
236.1031(a)-(d)--A railroad's  36 railroads...  1 REC letter +   8 hours........               8             608
 Request for Expedited                           supporting
 Certification (REC).                            documentation.
236.1035(a)-(b)--A railroad's  36 railroads...  10 requests....  40 hours.......             400          30,400
 request for authorization to
 field test an uncertified
 PTC system and any responses
 to FRA's testing conditions.
236.1037(b)--Results of        36 railroads...  800 records....  1 hour.........             800          60,800
 inspections and tests
 specified in a railroad's
 PTCSP and PTCDP.
(c)--A contractor's records    36 railroads...  1,600 records..  10 minutes.....             267          20,292
 related to the testing,
 maintenance, or operation of
 a PTC system maintained at a
 designated office.
(d)(3)--A railroad's final     36 railroads...  .5 final         160 hours......              80           6,080
 report of the results of the                    reports.
 analysis and countermeasures
 taken to reduce the
 frequency of safety-related
 hazards below the threshold
 set forth in the PTCSP.
236.1039(a)-(c), (e)--A        36 railroads...  2 OMM updates..  10 hours.......              20           1,520
 railroad's PTC Operations
 and Maintenance Manual
 (OMM), which must be
 maintained and available to
 FRA upon request.
(d)--A railroad's              36 railroads...  1 identified     1 hour.........               1              76
 identification of a PTC                         new component.
 system's safety-critical
 components, including spare
 equipment.
236.1041(a)-(b) and            36 railroads...  2 programs.....  10 hours.......              20           1,520
 236.1043(a)--A railroad's
 PTC Training and
 Qualification Program (i.e.,
 a written plan).
236.1043(b)--Training records  36 railroads...  500 PTC          1 minute.......               8             608
 retained in a designated                        training
 location and available to                       records.
 FRA upon request.
    Total....................  N/A............  4,568,393        N/A............          68,373       5,533,356
                                                 responses.
----------------------------------------------------------------------------------------------------------------

    Total Estimated Annual Responses: 4,568,393.
    Total Estimated Annual Burden: 68,373 hours.
    Total Estimated Annual Burden Hour Dollar Cost Equivalent: 
5,533,356.15.15 16
---------------------------------------------------------------------------

    \15\ The dollar equivalent cost is derived from the Surface 
Transportation Board's Full Year Wage A&B data series using the 
appropriate employee group hourly wage rate that includes a 75-
percent overhead charge.
    \16\ Form FRA F 6180.177: This temporary reporting requirement 
would expire by law on approximately December 31, 2021, as further 
explained in Section IV of this notice. See 49 U.S.C. 20157(j).
---------------------------------------------------------------------------

    Under 44 U.S.C. 3507(a) and 5 CFR 1320.5(b) and 1320.8(b)(3)(vi), 
FRA informs all interested parties that it may not conduct or sponsor, 
and a respondent is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number.

    Authority:  44 U.S.C. 3501-3520; 49 U.S.C. 20157.

Brett A. Jortland,
Acting Chief Counsel.
[FR Doc. 2019-28096 Filed 12-27-19; 8:45 am]
BILLING CODE 4910-06-P