[Federal Register Volume 81, Number 39 (Monday, February 29, 2016)]
[Rules and Regulations]
[Pages 10126-10131]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-04293]
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DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
49 CFR Part 236
[Docket No. FRA-2016-0012, Notice No. 1]
RIN 2130-AC56
Positive Train Control Systems
AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).
ACTION: Final rule.
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SUMMARY: FRA is amending its regulations to address changes in
deadlines for positive train control (PTC) system implementation
required by the Positive Train Control Enforcement and Implementation
Act of 2015. FRA is also making conforming amendments and removing
portions of its PTC regulations that are no longer applicable.
DATES: This final rule is effective April 29, 2016. Petitions for
reconsideration must be received on or before April 19, 2016. Petitions
for reconsideration will be posted in the docket for this proceeding.
Comments on any submitted petition for reconsideration must be received
on or before June 3, 2016.
ADDRESSES: Petitions for reconsideration and comments on petitions for
reconsideration: Any petitions for reconsideration or comments on
[[Page 10127]]
petitions for reconsideration related to Docket No. FRA-2016-0012, may
be submitted by any of the following methods:
Web site: The Federal eRulemaking Portal,
www.regulations.gov. Follow the Web site's online instructions for
submitting comments.
Fax: 202-493-2251.
Mail: Docket Management Facility, U.S. Department of
Transportation, 1200 New Jersey Avenue SE., W12-140, Washington, DC
20590.
Hand Delivery: Room W12-140 on the Ground level of the
West Building, 1200 New Jersey Avenue SE., Washington, DC between 9
a.m. and 5 p.m. Monday through Friday, except Federal holidays.
Instructions: All submissions must include the agency name and
docket number or Regulatory Identification Number (RIN) for this
rulemaking. Note that all petitions received will be posted without
change to www.regulations.gov including any personal information.
Please see the Privacy Act heading in the ``Supplementary Information''
section of this document for Privacy Act information related to any
submitted petitions, comments, or materials.
Docket: For access to the docket to read background documents or
comments received, go to www.regulations.gov or to Room W12-140 on the
Ground level of the West Building, 1200 New Jersey Avenue SE.,
Washington, DC between 9 a.m. and 5 p.m. Monday through Friday, except
Federal holidays.
FOR FURTHER INFORMATION CONTACT: David Blackmore, Office of Technical
Oversight, Railroad Safety Program Manager for Advanced Technology,
Federal Railroad Administration, Mail Stop 25, West Building 3rd Floor,
Room W35-332, 1200 New Jersey Avenue SE., Washington, DC 20590
(telephone: 202-493-1332); or Jason Schlosberg, Trial Attorney, Office
of Chief Counsel, RCC-10, Mail Stop 10, West Building 3rd Floor, Room
W31-207, 1200 New Jersey Avenue SE., Washington, DC 20590 (telephone:
202-493-6032).
SUPPLEMENTARY INFORMATION: FRA is issuing this final rule to amend
certain PTC system implementation deadlines in 49 CFR part 236, subpart
I, to conform with statutory changes made by the Positive Train Control
Enforcement and Implementation Act of 2015, Public Law 114-73, 129
Stat. 576, 582 (Oct. 29, 2015). FRA is also making conforming
amendments and removing portions of its PTC regulations that are no
longer applicable.
I. Background
Under the Railroad Safety Improvement Act of 2008 (RSIA), Public
Law 110-432, 122 Stat. 4854 (Oct. 16, 2008) (codified at 49 U.S.C.
20157), much of the railroad industry had been implementing PTC to meet
a statutory deadline of December 31, 2015. Under defined circumstances,
certain small railroads could also delay PTC system implementation on
locomotives until after December 31, 2015. See 49 U.S.C. 20157(i)(4)
(2008); 49 CFR 236.1006(b)(4).
On October 29, 2015, the Positive Train Control Enforcement and
Implementation Act of 2015 (PTCEI Act), amended RSIA to extend the PTC
implementation deadline to December 31, 2018, or, alternatively
December 31, 2020, and provide qualifying small railroads with an
additional three years to comply from the dates in FRA's regulation at
49 CFR 236.1006(b)(4)(iii)(B). See Public Law 114-73, 129 Stat. 568,
576-82 (Oct. 29, 2015); 49 U.S.C. 20157(a)(1), (a)(2)(B), (k). Congress
made further amendments in the Fixing America's Surface Transportation
(FAST) Act, which clarified FRA's authority under the PTCEI Act. See
Public Law 114-94, sec. 11315(d), 129 Stat. 1312, 1675 (Dec. 4, 2015)
(codified at 49 U.S.C. 20157(g)).
By statute, and delegation from the Secretary of Transportation,
FRA is required to remove or revise the date-specific deadlines in the
regulations or orders implementing 49 U.S.C. 20157 necessary to conform
with the amendments the PTCEI and FAST Acts made. See 49 U.S.C.
20157(g)(2); 49 CFR 1.89. FRA is not required to make any changes to
its regulations other than changing the dates. 49 U.S.C. 20157(g)(3)
(``Nothing in the Positive Train Control Enforcement and Implementation
Act of 2015, or the amendments made by such Act, shall be construed to
require the Secretary to issue regulations to implement such Act or
amendments''). Accordingly, the only amendments made in this final rule
are the date changes and any necessary conforming amendments.
II. Justification for Final Rule
FRA is issuing this final rule without providing an opportunity for
prior public notice and comment as the Administrative Procedure Act
(APA) normally requires. See 5 U.S.C. 553. The APA authorizes agencies
to dispense with certain notice and comment procedures if the agency
finds for good cause that notice and public procedure are
impracticable, unnecessary, or contrary to the public interest. See 5
U.S.C. 553(b)(3)(B). For example, an ``impracticable'' good cause
situation might be where the federal railroad safety rules should be
amended without delay if FRA determines that the safety of the
traveling public is at stake. Public notice is unnecessary when the
public does not need or benefit from the notice and comment, such as
with a minor or technical amendment.
In this case, FRA finds, for good cause, that notice and public
comment is unnecessary, because the public would not benefit from such
notice. The scope of this regulatory change is very limited; FRA is
merely replacing old statutory deadlines with the new statutory
deadlines and is otherwise making no substantive changes to the
regulations; making conforming amendments; and removing portions of its
PTC regulations that are no longer applicable.
III. Section-by-Section Analysis
Unless otherwise noted, all section references below refer to
sections in title 49 of the Code of Federal Regulations (CFR).
Proposed Amendments to 49 CFR Part 236
Section 236.1005 Requirements for Positive Train Control Systems
Originally, Congress mandated PTC implementation by December 31,
2015. However, the PTCEI Act extended that deadline. In the PTCEI Act,
rather than choosing a single future date, Congress elected to provide
an implementation deadline of December 31, 2018, with an opportunity to
extend the deadline up to December 31, 2020, for those railroads that
qualify. To be eligible for such an extension, a railroad must fulfill
certain statutory conditions and prerequisites and receive FRA
approval.
Because each railroad's implementation deadline may be based on a
variety of currently unfulfilled conditions or prerequisites,
modification of the deadlines in this rule is not merely a simple
replacement of dates in the applicable regulations. To address these
variables, and place the statutory requirements in a regulatory
context, some regulatory explanation and conforming amendments are
required. This rule text includes some of the more explicit
requirements necessary to receive FRA approval for an extension beyond
2018; some of the less definitive prerequisites (i.e., training and
revenue service demonstration requirements under 49 U.S.C.
20157(a)(3)(B)) remain applicable as stated in the legislative text.
FRA intends that all linguistic changes to be
[[Page 10128]]
conforming, to merely incorporate the new statutory deadlines, and not
to include any additional requirements. Therefore, FRA is issuing a
final rule in this proceeding. Even if FRA had issued a proposed rule,
and received comments, FRA could not make any changes without violating
the statute.
To this end, FRA is striking the deadline referenced in Sec.
236.1005(b)(1) and is adding a paragraph (b)(7) to address the new
deadlines the recent legislation mandates.
Paragraph (b)(6) currently states that no new intercity or commuter
rail passenger service shall commence after December 31, 2015, until a
PTC system certified under this subpart has been installed and made
operative. FRA continues to believe this is a clearly necessary
requirement to satisfy the statute and to ensure PTC operations for
railroads commencing new operations after the statutory implementation
deadline. However, per the PTCEI Act, FRA recognizes the need to change
the deadline. Accordingly, FRA is amending paragraph (b)(6) by striking
``2015'' and replacing it with ``2020.'' Since that paragraph only
concerns new rail passenger service commencing after the full
implementation deadline, it is consistent with the PTCEI Act to change
the date to 2020. However, all rail passenger operations commencing
before December 31, 2020, must comply with the implementation deadlines
in the PTCEI Act.
Section 236.1006 Equipping Locomotives Operating in PTC Territory
For the same reasons stated in the analysis of Sec. 236.1005
above, FRA is striking the deadline in Sec. 236.1006(b)(1) and (b)(3).
For purposes of clarity and context, we are replacing the latter change
with a cross-reference to new paragraph Sec. 236.1005(b)(7).
Paragraph (b)(2) references a number of reports that were due in
prior years. Given that this regulation is now stale, it is being
removed.
Paragraph (b)(3) refers to the original deadline that has passed.
Accordingly, FRA is striking the introductory phrase. Since the
remaining text applies at all times, and is no longer limited to the
implementation deadline, FRA does not believe it is necessary to cross-
reference to Sec. 236.1005(b)(7) or otherwise reference a deadline.
In addition to changing the implementation deadline, the PTCEI Act
also provides some flexibility for railroads that may achieve PTC
System Certification earlier than others. The PTCEI Act, codified at 49
U.S.C. 20157(j)(1), provides that until 1 year after the last Class I
railroad achieves PTC System Certification and full PTC system
implementation, each railroad shall comply with the operational
restrictions in 49 U.S.C. 20157(j)(2)-(j)(4) in lieu of those required
under 49 CFR 236.567 and 236.1029. While these statutory provisions are
substantively outside the scope of this rulemaking, FRA recognizes that
paragraph (b)(3) also references Sec. 236.1029. To reduce confusion,
and without making any interpretation or determination about the effect
of the PTCEI Act, FRA is also referencing 49 U.S.C. 20157(j). The
actual applicability at any given time of either 49 U.S.C. 20157(j) or
49 CFR 236.1029 would be determined at a later date in a different
forum.
As previously noted, since the rule was first issued in 2010, FRA
has provided Class II and Class III railroads a limited opportunity to
delay or avoid PTC implementation on certain locomotives in prescribed
circumstances. The PTCEI Act requires this rule to extend those
permissible delays another 3 years from the dates in FRA's regulation
at 49 CFR 236.1006(b)(4)(iii)(B). Accordingly, FRA is merely adding
three years to each date referenced in paragraph (b)(4)(iii)(B).
Section 236.1009 Procedural Requirements
Under the existing regulations, each railroad is required to submit
an annual progress report on each anniversary of its initial PTCIP
filing. Since the statute was amended to require annual submission of
such progress reports by March 31 of each year (see 49 U.S.C.
20157(c)(1)), FRA is amending paragraph (a)(5) to reference that new
progress report deadline and to avoid confusion and potential redundant
submissions. FRA notes, however, that it retains under the existing and
amended statutes and regulations the authority to require more frequent
reporting.
Section 236.1011 PTC Implementation Plan Content Requirements
For the same reasons explained above regarding the amendments to
Sec. 236.1005, FRA is amending the deadline in Sec. 236.1011. Given
that a different deadline, albeit within the statutory limits, may
apply to each railroad, FRA believes a single date in the regulation is
no longer appropriate. Accordingly, the amendments to this section
merely cross-reference to the applicable deadline determined under
Sec. 236.1005(b)(7).
Appendix A to Part 236--Civil Penalties
For the same reasons as previously explained regarding the
amendments to Sec. 236.1005, FRA is amending the deadline dates
referenced in Appendix A. In addition, in the new legislation, Congress
reaffirmed FRA's authority to enforce the requirements of subpart I.
Therefore, FRA has reviewed its related civil penalties guidance found
in Appendix A. Although FRA is currently not suggesting any substantive
changes to the regulations, the agency believes that some clarity is
warranted. And, of course, FRA retains the authority to enforce any
violations of the new legislation or regulations whether or not
explicitly mentioned in Appendix A.
List of Subjects in 49 CFR Part 236
Penalties, Positive Train Control, Railroad safety, Reporting and
recordkeeping requirements.
The Rule
In consideration of the foregoing, FRA hereby amends 49 CFR part
236 as follows:
PART 236--[AMENDED]
0
1. The authority citation for part 236 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20141, 20157,
20301-20303, 20306, 20501-20505, 20701-20703, 21301-21302, 21304; 28
U.S.C. 2461, note; and 49 CFR 1.89.
0
2. In Sec. 236.1005, revise paragraphs (b)(1) introductory text and
(b)(6) and add paragraph (b)(7) to read as follows:
Sec. 236.1005 Requirements for Positive Train Control systems.
* * * * *
(b) PTC system installation--(1) Lines required to be equipped.
Except as otherwise provided in this subpart, each Class I railroad and
each railroad providing or hosting intercity or commuter passenger
service shall progressively equip its lines as provided in its approved
PTCIP such that a PTC system certified under Sec. 236.1015 is
installed and operated by the host railroad on each:
* * * * *
(6) New rail passenger service. No new intercity or commuter rail
passenger service shall commence after December 31, 2020, until a PTC
system certified under this subpart has been installed and made
operative.
(7) Implementation deadlines. (i) Each railroad must complete full
implementation of its PTC system by December 31, 2018.
(ii) A railroad is excepted from paragraph (b)(7)(i) of this
section and
[[Page 10129]]
must complete full implementation of its PTC system by December 31,
2020, or the date specified in its approved alternative schedule and
sequence, whichever is earlier, only if the railroad:
(A) Installs all PTC hardware and acquires all spectrum necessary
to implement its PTC system by December 31, 2018;
(B) Submits an alternative schedule and sequence providing for
implementation of positive train control system as soon as practicable,
but not later than December 31, 2020;
(C) Notifies the Associate Administrator in writing that it is
prepared for review of its alternative schedule and sequence under 49
U.S.C. 20157(a)(3)(B); and
(D) Receives FRA approval of its alternative schedule and sequence.
(iii) If a railroad meets the criteria in paragraph (b)(7)(ii) of
this section, the railroad must adhere to its approved alternative
schedule and sequence and any of its subsequently approved amendments
or required modifications.
* * * * *
0
3. In Sec. 236.1006, revise paragraphs (b)(1) and (3) and
(b)(4)(iii)(B) to read as follows:
Sec. 236.1006 Equipping locomotives operating in PTC territory.
* * * * *
(b) Exceptions. (1) Each railroad required to install PTC shall
include in its PTCIP specific goals for progressive implementation of
onboard systems and deployment of PTC-equipped locomotives such that
the safety benefits of PTC are achieved through incremental growth in
the percentage of controlling locomotives operating on PTC lines that
are equipped with operative PTC onboard equipment. The PTCIP shall
include a brief but sufficient explanation of how those goals will be
achieved, including assignment of responsibilities within the
organization. The goals shall be expressed as the percentage of trains
operating on PTC-equipped lines that are equipped with operative
onboard PTC apparatus responsive to the wayside, expressed as an
annualized (calendar year) percentage for the railroad as a whole.
* * * * *
(3) A train controlled by a locomotive with an onboard PTC
apparatus that has failed en route is permitted to operate in
accordance with 49 U.S.C. 20157(j) or Sec. 236.1029, as applicable.
(4) * * *
(iii) * * *
(B) To the extent any movement exceeds 20 miles in length, such
movement is not permitted without the controlling locomotive being
equipped with an onboard PTC system after December 31, 2023, and each
applicable Class II or III railroad shall report to FRA its progress in
equipping each necessary locomotive with an onboard PTC apparatus to
facilitate continuation of the movement. The progress reports shall be
filed not later than December 31, 2020 and, if all necessary
locomotives are not yet equipped, on December 31, 2022.
* * * * *
0
4. In Sec. 236.1009, revise paragraph (a)(5) to read as follows:
Sec. 236.1009 Procedural Requirements.
(a) * * *
(5) Each railroad filing a PTCIP shall report annually, by March 31
of each year, and until its PTC system implementation is complete, its
progress towards fulfilling the goals outlined in its PTCIP under this
part, including progress towards PTC system installation pursuant to
Sec. 236.1005 and onboard PTC apparatus installation and use in PTC-
equipped track segments pursuant to Sec. 236.1006, as well as
impediments to completion of each of the goals.
* * * * *
0
5. In Sec. 236.1011, revise paragraphs (a)(6)(ii), (a)(7), and (b)(3)
to read as follows:
Sec. 236.1011 PTC Implementation Plan content requirements.
(a) * * *
(6) * * *
(ii) The schedule to equip that rolling stock by the applicable
deadline under Sec. 236.1005(b)(7);
* * * * *
(7) The number of wayside devices required for each track segment
and the installation schedule to complete wayside equipment
installation by the applicable deadline under Sec. 236.1005(b)(7);
* * * * *
(b) * * *
(3) Nothing in this paragraph shall be construed to create an
expectation or requirement that additional rail lines beyond those
required to be equipped by this subpart must be equipped or that such
lines will be equipped during the period of primary implementation
ending on the applicable deadline under Sec. 236.1005(b)(7).
* * * * *
0
5. In Appendix A to part 236:
0
a. Revise footnote 1;
0
b. Add footnote 2; and
0
a. Under Subpart I--Positive Train Control Systems, revise the entries
for Sec. Sec. 236.1005, 236.1006, 236.1007, 236.1009, 236.1011,
236.1019, 236.1029, 236.1035, and 236.1039.
The revisions and addition read as follows:
[[Page 10130]]
Appendix A to Part 236--Civil Penalties 1 2
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\1\ A penalty may be assessed against an individual only for a
willful violation. The Administrator reserves the right to assess a
civil penalty of up to $105,000 per day for any violation where
circumstances warrant. See 49 CFR part 209, Appendix A.
\2\ Each plan has numerous conditions and requirements with
varying degrees of importance or impact. Thus, a single recommended
civil penalty amount for a violation for failure to adhere to each
plan or condition is not advisable or warranted. When a violation of
a plan or condition is found, FRA may consider a variety of factors
to determine the appropriate civil penalty to assess, including any
underlying or related violation.
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Willful
Section Violation violation
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* * * * * * *
Subpart I--Positive Train Control
Systems
236.1005 Positive Train Control System
Requirements:
Failure to timely complete PTC 16,000 25,000
system installation on track
segment where PTC is required......
Commencement of revenue service 16,000 25,000
prior to obtaining PTC System
Certification......................
Failure of the PTC system to perform 5,000 7,500
a safety-critical function required
by this section....................
Operating outside the limits of an 15,000 25,000
approved de minimis exception......
Failure to integrate a hazard 15,000 25,000
detector...........................
Non-compliant event recorder........ 2,500 5,000
Failure of event recorder........... 2,500 5,000
Failure to provide notice, obtain 5,000 7,500
approval, or follow a condition for
temporary rerouting when required..
Exceeding the allowed percentage of 5,000 7,500
controlling locomotives operating
out of an initial terminal after
receiving a failed initialization..
236.1006 Equipping locomotives operating
in PTC territory:
Failure to adhere to a PTCIP........ (\2\) (\2\)
Operating in PTC territory a 15,000 25,000
controlling locomotive without a
required and operative PTC onboard
apparatus..........................
Operating with a PTC onboard 15,000 25,000
apparatus that is not functioning
in accordance with the applicable
PTCSP..............................
Failure to report as prescribed by 5,000 7,500
this section.......................
Non-compliant operation of 15,000 25,000
unequipped trains in PTC territory.
Failure to equip locomotives in 15,000 25,000
accordance with the applicable
PTCIP..............................
Failure to comply with conditions of (\2\) (\2\)
a yard movement exception..........
Improper arrangement of the PTC 2,500 5,000
system onboard apparatus...........
Engineer performing prohibited 5,000 7,500
duties.............................
236.1007 Additional requirements for
high-speed service:
Installing or operating a PTC system 15,000 25,000
without the required safety-
critical functional attributes of a
block signal system................
Operation of passenger trains at 15,000 25,000
speed equal to or greater than 60
mph on non-PTC-equipped territory
where required.....................
Operation of freight trains at speed 15,000 25,000
equal to or greater than 50 mph on
non-PTC-equipped territory where
required...........................
Failure to fully implement incursion 5,000 7,500
protection where required..........
236.1009 Procedural requirements:
Failure to file PTCIP when required. 5,000 7,500
Failure to amend PTCIP when required 5,000 7,500
Failure to obtain Type Approval when 5,000 7,500
required...........................
Failure to update NPI............... 5,000 7,500
Operation of PTC system without 16,000 25,000
system certification...............
Failure to comply with FRA condition (\2\) (\2\)
or modification....................
Failure to report as required....... 5,000 7,500
Failure to provide FRA access....... 10,000 16,000
236.1011 PTCIP content requirements:
Failure to install a PTC system as 11,000 16,000
required...........................
Failure to maintain a PTCIP as (\2\) (\2\)
required...........................
* * * * * * *
236.1019 Main line track exceptions:
Operations conducted in non- 16,000 25,000
compliance with the passenger
terminal exception.................
Operations conducted in non- 16,000 25,000
compliance with the limited
operations exception...............
Failure to request modification of 11,000 16,000
the PTCIP or PTCSP when required...
Operations conducted in violation of 16,000 25,000
(c)(2).............................
Operations conducted in violation of 25,000 25,000
(c)(3).............................
[[Page 10131]]
* * * * * * *
236.1029 PTC system use and en route
failures:
Failure to determine cause of PTC 5,000 7,500
system component failure without
undue delay........................
Failure to adjust, repair, or 5,000 7,500
replace faulty PTC system component
without undue delay................
Failure to take appropriate action 15,000 25,000
pending adjustment, repair, or
replacement of faulty PTC system
component..........................
PTC territory operation with an 5,000 7,500
inoperative PTC onboard apparatus..
Interference with the normal 15,000 25,000
functioning of safety-critical PTC
system.............................
* * * * * * *
236.1035 Field testing requirements:
Field testing without authorization 10,000 20,000
or approval........................
Failure to comply with FRA condition (\2\) (\2\)
* * * * * * *
236.1039 Operations and Maintenance
Manual:
Failure to implement and maintain 3,000 6,000
Operations and Maintenance Manual
as required........................
Failure to make Operations and 10,000 16,000
Maintenance Manual available to FRA
when required......................
Failure to make Operations and 15,000 25,000
Maintenance Manual available to
persons required to performed the
required tasks.....................
Amends Operations and Maintenance 5,000 10,000
Manual without FRA approval........
* * * * * * *
------------------------------------------------------------------------
Issued in Washington, DC, on February 23, 2016.
Sarah Feinberg,
Administrator.
[FR Doc. 2016-04293 Filed 2-26-16; 8:45 am]
BILLING CODE 4910-06-P