Positive Train Control
Allison I. Fultz
Kaplan Kirsch & Rockwell LLP
Washington, DC
2010 LEGAL AFFAIRS SEMINAR
February 23, 2010
Overview
PTC Implementation – IMPORTANT DATES:
January 15, 2010 – Final Rule issued
March 16, 2010 – Final Rule goes into effect
April 16, 2010 – PTC Implementation Plan Deadline
December 31, 2015 – PTC Implementation Deadline
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Overview
Rail Safety Improvement Act of 2008 (RSIA)
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Mandates comprehensive operational and physical improvements
Broadens power of USDOT/Federal Railroad Administration (FRA) and
Surface Transportation Board (STB)
Rulemaking to implement legislation is well underway – legislation sets
out strict timetables
RSIA, Sec. 104: Positive Train Control (PTC) technology (49 U.S.C. §
20157)
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Overview
Impetus for legislation • Freight and passenger operations share track and corridors
• Precursors to current technology – 1920s–1960s
• Recent technical advances
• Recent incidents involving collision of passenger trains with
freight trains or interference with track
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General
RSIA, Sec. 104 (codified at 49 U.S.C. § 20157)
• Positive Train Control (PTC) is technology designed to prevent
collisions and other incidents by automatically detecting and
controlling the movement of trains
• Definition (49 U.S.C. § 20157(i)(3)): a system designed to prevent
train-to-train collisions, over-speed derailments, incursions into
established work zone limits, and the movement of a train through a
switch left in the wrong position
• Implementing regulations at 49 C.F.R. Parts 229, 234, 235 and 236
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General
HOW IT WORKS
Key components:
• Equipment on locomotive cars
detects position and relation to
other objects
• Equipment at control center –
broadcasts authority for train
movements
• Wayside interface units
• Wireless data line between train and
control center
Illustration available at:
www.volpe.dot.gov/safety/crashavoid.h
tml
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General
When (49 U.S.C § 20157(a)(1); C.F.R. § 236.1005(b)(1)):
• Progressively, according to PTCIP submitted by April 16, 2010
• Complete implementation by December 31, 2015
Who (49 U.S.C § 20157(a)(1)):
• Class I freight carriers
• Each railroad providing or hosting regularly scheduled
• Intercity passenger service (Amtrak)
• Commuter passenger service
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General
Where:
• On each main line over which any quantity of poisonous by
inhalation (PIH) material is transported (49 U.S.C. §
20157(a)(1)(B); 49 C.F.R. § 236.1005(b)(i))
• On each main line used for regularly provided intercity or
commuter passenger service, subject to limited exceptions
Main line definition:
• Freight: a segment or route of railroad tracks over which 5
million or more gross tons of railroad traffic is transported
annually (RSIA Sec. 104(i)(2), codified at 49 U.S.C. §
20157(i)(2))
• Passenger: all intercity and commuter passenger lines
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General
Main line track exceptions
• Only available to passenger intercity or commuter passenger
railroads, or freight railroads conducting joint passenger and freight
operation over the same segment of track (49 C.F.R. § 1019(a))
• Specific segments of track may be designated as “not main line” (49
C.F.R. § 1019(a))
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General
Regulatory progress:
• DOT required to issue regulations governing PTC technology (49 U.S.C.
§ 20157(g))
• Notice of proposed rulemaking (NPRM) - July 21, 2009 (74 Fed. Reg.
35950)
• FRA public hearing on proposed rule - Aug. 13, 2009
• Final rule - January 15, 2010 (75 Fed. Reg. 2598) – effective March 16,
2010
• FRA seeks further comment on specific issues DOT must report to
Congress by December 31, 2012 on progress of PTC implementation
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General
Immediate next steps:
• PTC Implementation Plan due to FRA no later than April 16, 2010
• Must describe where and how railroad will install PTC systems
• Each railroad must –
• Define circumstances
• Describe risks
• Propose PTC elements
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Technical Requirements
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Interoperability (49 U.S.C. § 20157(i)(1))
Address areas of greater risk prior to areas of lesser risk (49 U.S.C.
§ 20157(a)(2))
Once a railroad’s plan is approved, it must be phased in
progressively (49 C.F.R. § 236.1005(b)(1)) – not all at once, as
close to Dec. 31, 2015 as possible
Subparts A through G of 49 C.F.R. Part 236 continue to apply
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Technical Requirements
Each PTC system must reliably and functionally prevent: (49 C.F.R. §
236.1005)
• train-to-train collisions
• overspeed derailments
• incursions into established work zones
• Movement of a train through a main line switch in the improper
position
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Technical Requirements
PTC system requirements, cont’d (49 C.F.R. § 236.1005) – system
must:
• Include safety-critical integration of all authorities and indications of
a wayside or cab signal system
• Provide an appropriate warning or enforcement in response to
authority or hazard detection
• Limit the speed of passenger trains to 59 mph and freight trains to
49 mph in areas without broken rail detection or equivalent
safeguards
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Technical Requirements
Submittals:
• PTC Implementation Plan (PTCIP) (49 C.F.R. § 236.1011)
• PTC Development Plan (PTCDP) and Type Approval (49 C.F.R. §
236.1013) - Components
• PTC Safety Plan (PTCSP) (49 C.F.R. § 236.1015) – Procedures
• PTCDP and PTCSP need not be submitted simultaneously with
PTCIP
• FRA may require independent third-party verification and validation
of product safety plan (49 C.F.R. § 236.1017; 49 C.F.R. § 236.913)
PTC applications – public docket (49 C.F.R. § 236.1011(e))
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Technical Requirements
Host railroad (49 C.F.R. § 236.1003(b)
Safe State/fail safe (49 C.F.R. § 236.1003(b))
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PTC & Passenger Operations
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Requirements
No new intercity or passenger rail service may commence after Dec.
31, 2015, until a PTC system has been certified, installed and made
operative (49 C.F.R. § 236.1005(b)(6))
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PTC & Passenger Operations
Requirements, cont’d.
Joint submission of PTCIP (49 C.F.R. § 236.1009(a)(3))
• If host railroad is required to install and operate a PTC system on a
segment of its track; and
• If tenant railroad that shares the same track segment would have
been required to install a PTC system if the host railroad had not
otherwise been required to do so
Civil penalties may apply if freight and passenger operators fail to
reach agreement on joint filing (49 C.F.R. Part 236, Appendix A)
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PTC & Passenger Operations
Main Line Track Exceptions
49 C.F.R. § 236.1019
File main line track exclusion addendum (MTEA) to railroad’s PTCIP
• Passenger terminal exception (49 C.F.R. § 236.1019(b))
• Limited operations exception (49 C.F.R. § 236.1019(c))
• FRA may grant exception where passenger and freight
operations are temporally separated, among other criteria
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Federal Preemption
49 C.F.R. § 236.0(i)(1) – Final rule preempts any state law, regulation,
or order covering the same subject matter, except an additional or
more stringent law, regulation or order that is
• necessary to eliminate or reduce an essentially local safety or
security hazard;
• is not incompatible with a law, regulation or order of the United
States Government and
• that does not impose an unreasonable burden on interstate
commerce.
49 C.F.R. § 236.0(i)(2) – Final rule establishes a federal standard of
care for railroad signal and train control systems
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HSR & PTC
Intersection with high-speed rail (HSR) requirements (49 C.F.R. §
236.1007)):
• As of Dec. 31, 2015, the method of protecting HSR operations will
be through the use of PTC. 49 CFR § 236.0(d)(2).
• Defines high-speed operations as those exceeding 80 mph.
• Specific requirements apply:
• Freight operation above 50 mph; passenger operation above 60
mph
• Freight or passenger operation above 90 mph
• Freight or passenger operation above 125 mph
• Freight or passenger operation above 150 mph
• Amtrak relief
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Observations
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Effects of “the pressure of the time”
Solicitation of further comments – no timetable announced
FRA discretion
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Implementation Costs
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FRA has estimated cost to freight railroads alone of implementing
PTC at $2.3 – 5 billion
Public policy decision (75 Fed. Reg. 2602)
No funding for PTC proposed in either House or Senate version of
transportation reauthorization.
FRA has determined - no direct compliance costs on state and local
governments (75 Fed. Reg. 2696)
Class I view - cost of PTC is weighted disproportionately toward
Class I carriers, with little impact on Class II and III railroads. (75
Fed. Reg. 2612)
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Policy Collisions
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Freights – leverage
Public agencies – no funding source for PTC-related improvements
No Congressional proposal for funding
Shared use of corridors by freight and passenger providers
Implementation of HSR on shared corridors
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Practical Considerations
Shared use – presence of passenger service on joint use corridor will
not absolutely trigger PTC
Dispute resolution
• no mechanism in final rule – use STB non-binding mediation and
plug result in at FRA?
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QUESTIONS?
Allison I. Fultz
Charles A. Spitulnik
Kaplan Kirsch & Rockwell LLP
Washington, DC
(202) 955-5600
afultz@kaplankirsch.com
www.kaplankirsch.com
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