1.........................................................                35                 0        \52\ 1,400
2.........................................................                37                 0             1,460
3.........................................................                38                 0             1,520
4.........................................................                 2                38               840
5.........................................................                 3                38               880
6.........................................................                 5                38               960
7.........................................................                 4                40               960
8.........................................................                 4                42             1,000
9.........................................................                 4                43             1,020
10........................................................                 4                45             1,060
                                                           -----------------------------------------------------
Total.....................................................               136               284            11,100
----------------------------------------------------------------------------------------------------------------

    In addition to the marginal increase, host railroads will face an
additional reporting burden due to the change from annual to biannual
reporting. This analysis accounts for the new burden of 48 hours for
the first three years of a host railroad's reporting and 28 hours for
each subsequent year to account for the changes from annual to biannual
reporting and the expanded content requirements under Sec.
236.1029(h). Table D below shows the new hourly burden under this final
rule for the ten-year period of this analysis.
---------------------------------------------------------------------------

    \53\ 1,680 = (35 host railroad submissions x 48 hours) + (0 host
railroad submissions x 28 hours). This calculation is repeated
throughout this table.

                                 Table D--Ten-Year Host Railroad New Submissions
----------------------------------------------------------------------------------------------------------------
                                                             Number of  host   Number of  host
                                                                railroad          railroad
                           Year                                submissions       submissions        Total new
                                                              with new  48-     with new  28-     hourly burden
                                                               hour burden       hour burden
----------------------------------------------------------------------------------------------------------------
1.........................................................                35                 0        \53\ 1,680
2.........................................................                37                 0             1,752
3.........................................................                38                 0             1,824
4.........................................................                 2                38             1,160
5.........................................................                 3                38             1,208
6.........................................................                 5                38             1,304
7.........................................................                 4                40             1,312
8.........................................................                 4                42             1,368
9.........................................................                 4                43             1,396

10........................................................                 4                45             1,452
                                                           -----------------------------------------------------
    Total.................................................               136               284            14,456
----------------------------------------------------------------------------------------------------------------

    FRA calculated the total additional burden hours for submissions by
multiplying the respective number of submissions with their associated
annual burden for each individual year. The summation of the hourly
burden is multiplied by the fully burdened wage rate of a Professional
and Administrative employee. For purposes of this analysis, FRA uses
the fully burdened rate of $77.47 to calculate both the costs and cost
savings throughout this analysis.\54\ Table E provides the ten-year
cost to the railroad industry associated with the expanded reporting
requirement under Sec.  236.1029(h).
---------------------------------------------------------------------------

    \54\ 2019 Composite Surface Transportation Board (STB)
Professional and Administrative hourly wage rate of $44.27 burdened
by 75-percent ($44.27 x 1.75 = $77.47).

                                                              Table E--Ten-Year Total Costs
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                Total annual
                                                             Total         Total new       Total new      host railroad
                         Year                           marginal  hour    submission    complete  hour  submissions cost     7-Percent       3-Percent
                                                            burden        hour burden       burden             55
--------------------------------------------------------------------------------------------------------------------------------------------------------
1.....................................................           1,400           1,680           3,080          $238,615        $238,615        $238,615
2.....................................................           1,460           1,752           3,212           248,842         232,562         241,594
3.....................................................           1,520           1,824           3,344           259,068         226,280         244,196
4.....................................................             840           1,160           2,000           154,945         126,481         141,797
5.....................................................             880           1,208           2,088           161,763         123,408         143,724
6.....................................................             960           1,304           2,264           175,398         125,056         151,300
7.....................................................             960           1,312           2,272           176,018         117,288         147,412
8.....................................................           1,000           1,368           2,368           183,455         114,246         149,166
9.....................................................           1,020           1,396           2,416           187,174         108,937         147,757
10....................................................           1,060           1,452           2,512           194,611         105,855         149,153
                                                       -------------------------------------------------------------------------------------------------
    Total.............................................          11,100          14,456          25,556         1,979,887       1,518,730       1,754,713
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Note: Table may not sum due to rounding.

    FRA estimates that the total cost to the railroad industry will be
$1.5 million, discounted at 7 percent, or $1.8 million, discounted at 3
percent. In terms of governmental costs associated with the expanded
reporting requirement, including the increase from annual to biannual
reporting, FRA expects it will cost approximately $10,000, over the
ten-year period, to review the additional data railroads will submit in
their Biannual Reports of PTC System Performance (Form FRA F 6180.152).
As FRA considers these additional governmental costs to be de minimis,
they are not included in the economic analysis.
---------------------------------------------------------------------------

    \55\ Total Annual Host Railroad Submissions Cost = Total New
Complete Hour Burden x $77.47.
---------------------------------------------------------------------------

Industry Business Benefits
    Currently 35 host railroads are required to submit an RFA before
changing safety-critical elements of their PTC systems and their PTCSPs
under Sec.  236.1021. FRA estimates that over the next ten years, the
number of PTC-governed host railroads will increase by approximately
14, for a total of 49 host railroads. For purposes of this analysis,
FRA estimates that approximately 1.5 new host railroads are added each
year, beginning in year two.
    Currently, under FRA's existing regulations and without this final
rule, FRA estimates that host railroads would submit 67 annual RFAs to
their PTCSPs that FRA must review and approve before those host
railroads change and improve their PTC systems. Under this final rule,
FRA is permitting host railroads that utilize the same type of PTC
system to submit joint RFAs to their PTCDPs and PTCSPs.\56\
---------------------------------------------------------------------------

    \56\ FRA expects that permitting host railroads to submit joint
RFAs will impact primarily host railroads implementing I-ETMS and E-
ATC because each I-ETMS system is relatively similar and
manufactured by the same set of suppliers, and each E-ATC system is
relatively similar and manufactured by the same set of suppliers.
---------------------------------------------------------------------------

    Table F below shows the number of RFAs to PTCSPs that would be
submitted under the existing regulations compared to the final rule.
Over a ten-year period, FRA estimates that the changes described in
this final rule will result in railroads submitting approximately 590
fewer RFAs.

                                   Table F--Estimated Number of RFAs to PTCSPs
----------------------------------------------------------------------------------------------------------------
                                                                 Approximate
                                                                number of RFAs    Approximate    Total # of RFAs
                                                                to PTCSPs per    number of RFAs     to PTCSPs
                 Current types of PTC systems                     year under     to PTCSPs per      eliminated
                                                                   existing        year under      under final
                                                                 regulations       final rule          rule
----------------------------------------------------------------------------------------------------------------
ACSES II.....................................................                8                8                0
CBTC.........................................................                1                1                0
E-ATC........................................................                5                1                4
ITCS.........................................................                1                1                0
I-ETMS.......................................................               52           \57\ 4               48
                                                              --------------------------------------------------
    Subtotal in Year 1:......................................               67               15               52
----------------------------------------------------------------------------------------------------------------

    FRA estimates the current burden is 160 hours per RFA to a PTCSP
based on the existing RFA content requirements. FRA's simplification of
the content requirements in this final rule will reduce the burden
hours by 50 percent, resulting in 80 burden hours per RFA. Table G
provides the estimated ten-year cost to host railroads based on FRA
simplifying the RFA process under Sec.  236.1021, in this final rule.
---------------------------------------------------------------------------

    \57\ For I-ETMS systems, FRA estimates the total number of
annual RFAs to PTCSPs would be reduced from 52 (under the existing
regulation) to 4 (under the final rule)--i.e., 2 RFAs per year from
the set of railroads whose I-ETMS is certified as a mixed PTC system
and 2 RFAs per year from the set of railroads whose I-ETMS is
certified as a non-vital, overlay PTC system.

                                                Table G--Ten-Year Cost of Joint RFAs and Simplified RFAs
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                Hour burden  per     Total annual
                               Year                                   Submissions        submission        cost savings      7-Percent       3-Percent
--------------------------------------------------------------------------------------------------------------------------------------------------------
1................................................................                15                  80          $92,967         $92,967         $92,967
2................................................................                15                  80           92,967          86,885          90,259
3................................................................                15                  80           92,967          81,201          87,630
4................................................................                15                  80           92,967          75,889          85,078
5................................................................                15                  80           92,967          70,924          82,600
6................................................................                15                  80           92,967          66,284          80,194
7................................................................                15                  80           92,967          61,948          77,858
8................................................................                15                  80           92,967          57,895          75,591
9................................................................                15                  80           92,967          54,108          73,389
10...............................................................                15                  80           92,967          50,568          71,251
                                                                  --------------------------------------------------------------------------------------
    Total........................................................               150  ..................          929,670         698,669         816,818
--------------------------------------------------------------------------------------------------------------------------------------------------------

    Overall, FRA expects that simplifying the content requirements for
RFAs to PTCSPs, as well as permitting host railroads utilizing the same
type of PTC system to submit joint RFAs, will result in business
benefits of approximately $6.1 million, discounted at 7 percent, or
$7.2 million, discounted at 3 percent, over the ten-year period of this
analysis.

                               Table H--Total Ten-Year Industry Business Benefits Associated With Revised Sec.   236.1021
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                Cost of joint
                                                                     Current host         RFAs and         Total annual
                               Year                                 railroad costs     simplified  RFA       business        7-Percent       3-Percent
                                                                    (without final     process  (with        benefits
                                                                         rule)           final rule)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1................................................................          $830,505             $92,967         $737,538        $737,538        $737,538
2................................................................           855,296              92,967          762,329         712,457         740,126
3................................................................           867,692              92,967          774,725         676,675         730,253
4................................................................           892,483              92,967          799,516         652,643         731,671
5................................................................           904,879              92,967          811,912         619,404         721,373
6................................................................           929,670              92,967          836,703         596,558         721,747
7................................................................           942,066              92,967          849,099         565,790         711,107
8................................................................           966,857              92,967          873,890         544,215         710,552
9................................................................           979,252              92,967          886,285         515,826         699,642
10...............................................................         1,004,044              92,967          911,077         495,565         698,264
                                                                  --------------------------------------------------------------------------------------
    Total........................................................         9,172,744             929,670        8,243,074       6,116,671       7,202,273
--------------------------------------------------------------------------------------------------------------------------------------------------------

    In addition, FRA's changes to the RFA process will result in
savings for the government, through a reduction in time needed to
review an RFA with the existing contents under 49 CFR 236.1021(d)(1)-
(7). Under the final rule, FRA will review a streamlined RFA with the
more focused information that new paragraph (m)(2) requires.
    Table I below outlines the assumptions FRA used to calculate the
government savings. FRA's estimates assume there will be PTC system
changes that are complex and will require additional time to review, as
well as system changes that are less complex.

                                                   Table I--Government Administrative Cost Assumptions
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                        Average
                           Staff level                              employee  count    Average  hourly   Average  hourly       Fully        Savings per
                                                                        needed             burden             salary      burdened  rate    staff level
--------------------------------------------------------------------------------------------------------------------------------------------------------
GS-15............................................................                 1                  10           $77.75         $136.07          $1,315
GS-14............................................................                 2                 105            62.34          109.10          19,171
GS-13............................................................                 2                 119            49.71           86.99          20,646
                                                                  --------------------------------------------------------------------------------------
    Total........................................................                 5                 234           189.81          332.17          41,132
--------------------------------------------------------------------------------------------------------------------------------------------------------

    Without the final rule, FRA would be required to review and approve
or deny all 67 of the RFAs to PTCSPs that would be submitted annually.
FRA estimates that over the next ten years, the total cost to the
government would be $30.4 million, undiscounted. Table J provides an
overview of the ten-year government burden without this final rule.

                                                           Table J--Ten-Year Government Burden
                                                                  [Without final rule]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                Government  cost
                               Year                                   Submissions      to review  each     Total annual      7-Percent       3-Percent
                                                                                submission            cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
1................................................................                67             $41,132       $2,755,871      $2,755,871      $2,755,871
2................................................................                69              41,132        2,838,136       2,652,463       2,755,471
3................................................................                70              41,132        2,879,268       2,514,864       2,713,986
4................................................................                72              41,132        2,961,533       2,417,493       2,710,222
5................................................................                73              41,132        3,002,665       2,290,719       2,667,829
6................................................................                75              41,132        3,084,930       2,199,512       2,661,088
7................................................................                76              41,132        3,126,062       2,083,027       2,618,028
8................................................................                78              41,132        3,208,327       1,997,985       2,608,664
9................................................................                79              41,132        3,249,460       1,891,215       2,565,153
10...............................................................                81              41,132        3,331,724       1,812,237       2,553,489
                                                                  --------------------------------------------------------------------------------------
    Total........................................................               740             411,324       30,437,976      22,615,387      26,609,802
--------------------------------------------------------------------------------------------------------------------------------------------------------

    Based on the changes to Sec.  236.1021 in this final rule, the
number of RFAs that FRA will review will decrease from 67 to 15 per
year, beginning in the first year. This reduction is the same as seen
in the government savings estimate above. The resulting reduction means
that the new government cost to review the RFAs will be reduced to $6.2
million, undiscounted, over the ten-year period. Table K below outlines
the government costs under the final rule.

                                                         Table K--Ten-Year New Government Burden
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                Government  cost
                               Year                                   Submissions      to review  each     Total annual      7-Percent       3-Percent
                                                                                submission      government cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
1................................................................                15             $41,132         $616,986        $616,986        $616,986
2................................................................                15              41,132          616,986         576,622         599,016
3................................................................                15              41,132          616,986         538,899         581,568
4................................................................                15              41,132          616,986         503,644         564,630
5................................................................                15              41,132          616,986         470,696         548,184
6................................................................                15              41,132          616,986         439,902         532,218
7................................................................                15              41,132          616,986         411,124         516,716
8................................................................                15              41,132          616,986         384,228         501,666
9................................................................                15              41,132          616,986         359,091         487,054
10...............................................................                15              41,132          616,986         335,600         472,868
                                                                  --------------------------------------------------------------------------------------
    Total........................................................               150             411,324        6,169,860       4,636,793       5,420,906
--------------------------------------------------------------------------------------------------------------------------------------------------------

    FRA estimates that its changes to Sec.  236.1021 will result in a
ten-year government savings of approximately $18.0 million, discounted
at 7 percent, or $21.2 million, discounted at 3 percent.

                                                       Table L--Government Administrative Savings
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                       Current
                                                                   government  cost   Government  cost
                                                                      to review           to review        Total annual
                              Year                                   submissions     submissions  (with     government       7-Percent       3-Percent
                                                                    (without final       final rule)         savings
                                                                        rule)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1...............................................................         $2,755,871            $616,986       $2,138,885      $2,138,885      $2,138,885
2...............................................................          2,838,136             616,986        2,221,150       2,075,841       2,156,456
3...............................................................          2,879,268             616,986        2,262,282       1,975,965       2,132,418
4...............................................................          2,961,533             616,986        2,344,547       1,913,849       2,145,592
5...............................................................          3,002,665             616,986        2,385,679       1,820,023       2,119,645
6...............................................................          3,084,930             616,986        2,467,944       1,759,610       2,128,870
7...............................................................          3,126,062             616,986        2,509,076       1,671,904       2,101,312
8...............................................................          3,208,327             616,986        2,591,341       1,613,757       2,106,998
9...............................................................          3,249,460             616,986        2,632,474       1,532,124       2,078,099
10..............................................................          3,331,724             616,986        2,714,738       1,476,638       2,080,621
                                                                 ---------------------------------------------------------------------------------------
    Total.......................................................         30,437,976           6,169,860       24,268,116      17,978,594      21,188,896
--------------------------------------------------------------------------------------------------------------------------------------------------------

Results

    This final rule will reduce the burden on railroads while not
adversely affecting railroad safety. To oversee the performance and
reliability of railroads' PTC systems, FRA is expanding the reporting
requirement under 49 CFR 236.1029(h), as described above. FRA estimates
that the total ten-year industry cost associated with the expanded
reporting requirement under Sec.  236.1029(h) will be $1.5 million,
discounted at 7 percent, or $1.8 million, discounted at 3 percent.
    Although FRA is expanding that reporting requirement, this final
rule reduces the regulatory and administrative burden on host railroads
overall. For example, the simplification of RFAs to PTCSPs will reduce
the number of burden hours per RFA. Also, FRA is permitting host
railroads that utilize the same type of PTC system to submit joint RFAs
to their PTCDPs and PTCSPs, thus reducing the number of RFAs railroads
must submit in the future.
    During the ten-year period in FRA's analysis, FRA expects that its
changes will result in business benefits for the railroad industry of
$6.1 million, discounted at 7 percent, or $7.2 million, discounted at 3
percent. In addition, during the same period, FRA expects that these
changes will produce government savings amounting to $18.0 million,
discounted at 7 percent, or $21.2 million, discounted at 3 percent.
    FRA estimates that the total net benefits associated with this
final rule will be $22.6 million, discounted at 7 percent, or $26.6
million, discounted at 3 percent. The annualized cost savings will be
$3.2 million, discounted at 7 percent, or $3.1 million, discounted at 3
percent.

                                                          Table M--Total Ten-Year Net Benefits
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                          Total industry       Total
                          Year                               business       government    Total industry     Total net       7-Percent       3-Percent
                                                             benefits         savings          costs         benefits
--------------------------------------------------------------------------------------------------------------------------------------------------------
1.......................................................        $737,538      $2,138,885        $238,615      $2,637,808      $2,637,808      $2,637,808
2.......................................................         762,329       2,221,150         248,842       2,734,637       2,555,736       2,654,988
3.......................................................         774,725       2,262,282         259,068       2,777,939       2,426,359       2,618,474
4.......................................................         799,516       2,344,547         154,945       2,989,118       2,440,011       2,735,466
5.......................................................         811,912       2,385,679         161,763       3,035,828       2,316,019       2,697,294
6.......................................................         836,703       2,467,944         175,398       3,129,249       2,231,111       2,699,318
7.......................................................         849,099       2,509,076         176,018       3,182,157       2,120,406       2,665,007
8.......................................................         873,890       2,591,341         183,455       3,281,776       2,043,725       2,668,384
9.......................................................         886,285       2,632,474         187,174       3,331,585       1,939,013       2,629,984
10......................................................         911,077       2,714,738         194,611       3,431,204       1,866,348       2,629,732
                                                         -----------------------------------------------------------------------------------------------
    Total...............................................       8,243,074      24,268,116       1,979,887      30,531,303      22,576,536      26,636,455
--------------------------------------------------------------------------------------------------------------------------------------------------------
Annualized..............................................  ..............  ..............  ..............  ..............       3,214,391       3,122,605
--------------------------------------------------------------------------------------------------------------------------------------------------------

B. Regulatory Flexibility Act and Executive Order 13272; Regulatory
Flexibility Certification

    The final rule will apply to all host railroads subject to 49
U.S.C. 20157, including, in relevant part, five Class II or III, short
line, or terminal railroads, and 23 intercity passenger railroads or
commuter railroads. FRA has determined that one of these railroads is
considered a small entity based on revenue and employee size.
Therefore, FRA has determined that this final rule will have an impact
on a substantial number of small entities (one affected small entity
out of one applicable small entity).
    However, FRA has determined that the impact on the small entity
affected by the final rule will not be significant as the costs are
minimal and the business benefits of this rule outweigh the costs.
Therefore, the impact on the small entity will be positive, taking the
form of business benefits that are greater than any new costs imposed
on the entity.
    For the railroad industry over a ten-year period, FRA estimates
that issuing the final rule will result in new costs of

$1.5 million, discounted at 7 percent, and $1.8 million, discounted at
3 percent. FRA estimates that $37,852 (discounted at 7 percent) and
$43,212 (discounted at 3 percent) of the total costs associated with
implementing the final rule will be borne by a small entity. Therefore,
less than three percent of the final rule's total costs will be borne
by a small entity. Additionally, FRA estimates that the final rule will
result in business benefits of $149,474, discounted at 7 percent, and
$173,983, discounted at 3 percent, for the small entity impacted by
this final rule. In total, for the ten-year period of this analysis,
the final rule will result in a net benefit of $111,623, discounted at
7 percent, and $130,770, discounted at 3 percent, for a small entity.
    Consistent with the findings in FRA's initial regulatory
flexibility analysis, and the lack of any comments received on it, the
Administrator of FRA hereby certifies that this final rule will not
have a significant economic impact on a substantial number of small
entities.

C. Paperwork Reduction Act

    The information collection requirements in this final rule are
being submitted for approval to OMB under the Paperwork Reduction Act
of 1995, 44 U.S.C. 3501, et seq. Please note that any new or revised
requirements, as adopted in the final rule, are marked by asterisks (*)
in the table below. The sections that contain the current and new
information collection requirements under OMB Control No. 2130-0553
\58\ and the estimated time to fulfill each requirement are as follows:
---------------------------------------------------------------------------

    \58\ See also 84 FR 72121 (Dec. 30, 2019) (60-day ICR notice);
85 FR 15022 (Mar. 16, 2020) (30-day ICR notice); 85 FR 82400 (Dec.
18, 2020) (NPRM). On June 5, 2020, OMB approved the revised ICR,
entitled ``PTC and Other Signal Systems,'' under OMB Control No.
2130-0553, for a period of three years, expiring on June 30, 2023.
---------------------------------------------------------------------------

---------------------------------------------------------------------------

    \59\ The burdens associated with Forms FRA F 6180.165 (Quarterly
PTC Progress Reports) and FRA F 6180.166 (Annual PTC Progress
Reports) have been completed. By law, railroads' final Quarterly PTC
Progress Reports were due on January 31, 2021, and railroads' final
Annual PTC Progress Reports were due on March 31, 2021. See 49
U.S.C. 20157(c)(1), (2).
    \60\ The dollar equivalent cost is derived from the 2019 STB
Full Year Wage A&B data series using the appropriate employee group
hourly wage rate that includes a 75-percent overhead charge. For
Executives, Officials, and Staff Assistants, this cost amounts to
$120 per hour. For Professional/Administrative staff, this cost
amounts to $77 per hour.
    \61\ The temporary Statutory Notification of PTC System Failures
(Form FRA F 6180.177) expires on approximately December 31, 2021,
per 49 U.S.C. 20157(j).
    \62\ In response to a public comment, FRA revised the average
time per submission from 12 hours, as estimated in the NPRM, to 48
hours. In addition, for the applicable three-year period for PRA
purposes, FRA revised the number of annual responses from 76 to 73,
which aligns with the economic estimates in this final rule,
including the assumption that each year 1.5 additional PTC-governed
railroads will submit these biannual reports.

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                Total annual
     CFR section/subject \59\           Respondent universe         Total annual  responses        Average time per       Total annual     dollar cost
                                                                                response           burden hours   equivalent \60\
--------------------------------------------------------------------------------------------------------------------------------------------------------
235.6(c)--Expedited application    42 railroads................  10 expedited applications...  5 hours.................              50           $3,850
 for approval of certain changes
 described in this section.
    --Copy of expedited            42 railroads................  10 copies...................  30 minutes..............               5              385
     application to labor union.
    --Railroad letter rescinding   42 railroads................  1 letter....................  6 hours.................               6              462
     its request for expedited
     application of certain
     signal system changes.
    --Revised application for      42 railroads................  1 application...............  5 hours.................               5              385
     certain signal system
     changes.
    --Copy of railroad revised     42 railroads................  1 copy......................  30 minutes..............              .5               39
     application to labor union.
236.1--Railroad maintained signal  700 railroads...............  25 plan changes.............  15 minutes..............             6.3              485
 plans at all interlockings,
 automatic signal locations, and
 controlled points, and updates
 to ensure accuracy.
236.15--Designation of automatic   700 railroads...............  10 timetable instructions...  30 minutes..............               5              385
 block, traffic control, train
 stop, train control, cab signal,
 and PTC territory in timetable
 instructions.
236.18--Software management        2 railroads.................  2 plans.....................  160 hours...............             320           24,640
 control plan--New railroads.
236.23(e)--The names,              700 railroads...............  2 modifications.............  1 hour..................               2              154
 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 departures..  5 seconds...............           6,337          487,949
 departure test results.
236.905(a)--Railroad Safety        2 railroads.................  2 RSPPs.....................  40 hours................              80            6,160
 Program Plan (RSPP)--New
 railroads.
236.913(a)--Filing and approval    742 railroads...............  1 joint plan................  2,000 hours.............           2,000          240,000
 of a joint Product Safety Plan
 (PSP).
    (c)(1)--Informational filing/  742 railroads...............  0.5 filings/approval          50 hours................              25            1,925
     petition for special                                         petitions.
     approval.
    (c)(2)--Response to FRA's      742 railroads...............  0.25 data calls/documents...  5 hours.................               1               77
     request for further data
     after informational filing.
    (d)(1)(ii)--Response to FRA's  742 railroads...............  0.25 data calls/documents...  1 hour..................            0.25               19
     request for further
     information within 15 days
     after receipt of the Notice
     of Product Development
     (NOPD).
    (d)(1)(iii)--Technical         742 railroads...............  0.25 technical consultations  5 hours.................             1.3              100
     consultation by FRA with the
     railroad on the design and
     planned development of the
     product.
    (d)(1)(v)--Railroad petition   742 railroads...............  0.25 petitions..............  1 hour..................            0.25               19
     to FRA for final approval of
     NOPD.
    (d)(2)(ii)--Response to FRA's  742 railroads...............  1 request...................  50 hours................              50            3,850
     request for additional
     information associated with
     a petition for approval of
     PSP or PSP amendment.
    (e)--Comments to FRA on        742 railroads...............  0.5 comments/letters........  10 hours................               5              385
     railroad informational
     filing or special approval
     petition.
    (h)(3)(i)--Railroad amendment  742 railroads...............  2 amendments................  20 hours................              40            3,080
     to PSP.
    (j)--Railroad field testing/   742 railroads...............  1 field test document.......  100 hours...............             100            7,700
     information filing document.

236.917(a)--Railroad retention of  13 railroads with PSP.......  13 PSP safety results.......  160 hours...............           2,080          160,160
 records: Results of tests and
 inspections specified in the PSP.
    (b)--Railroad report that      13 railroads................  1 report....................  40 hours................              40            3,080
     frequency of safety-relevant
     hazards exceeds threshold
     set forth in PSP.
    (b)(3)--Railroad final report  13 railroads................  1 report....................  10 hours................              10              770
     to FRA on the results of the
     analysis and countermeasures
     taken to reduce the
     frequency of safety-relevant
     hazards.
236.919(a)--Railroad Operations    13 railroads................  1 OMM update................  40 hours................              40            3,080
 and Maintenance Manual (OMM).
    (b)--Plans for proper          13 railroads................  1 plan update...............  40 hours................              40            3,080
     maintenance, repair,
     inspection, and testing of
     safety-critical products.
    (c)--Documented hardware,      13 railroads................  1 revision..................  40 hours................              40            3,080
     software, and firmware
     revisions in OMM.
236.921 and 923(a)--Railroad       13 railroads................  1 program...................  40 hours................              40            3,080
 Training and Qualification
 Program.
236.923(b)--Training records       13 railroads................  350 records.................  10 minutes..............              58            4,466
 retained in a designated
 location and available to FRA
 upon request.
Form FRA F 6180.177--Statutory     38 railroads................  144 reports/forms...........  1 hour..................             144           11,088
 Notification of PTC System
 Failures (Under 49 U.S.C.
 20157(j)(4)) \61\.
236.1001(b)--A railroad's          38 railroads................  1 rule or instruction.......  40 hours................              40            4,800
 additional or more stringent
 rules than prescribed under 49
 CFR part 236, subpart I.
--------------------------------------------------------------------------------------------------------------------------------------------------------
236.1005(b)(4)(i)-(ii)--A          The burden is accounted for under 49 CFR 236.1009(a) and 236.1021.
 railroad's submission of
 estimated traffic projections
 for the next 5 years, to support
 a request, in a PTCIP or an RFA,
 not to implement a PTC system
 based on reductions in rail
 traffic.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    (b)(4)(iii)--A railroad's      7 Class I railroads.........  1 exception request.........  40 hours................              40            3,080
     request for a de minimis
     exception, in a PTCIP or an
     RFA, based on a minimal
     quantity of PIH materials
     traffic.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    (b)(5)--A railroad's request   The burden is accounted for under 49 CFR 236.1009(a) and 236.1021.
     to remove a line from its
     PTCIP based on the sale of
     the line to another railroad
     and any related request for
     FRA review from the
     acquiring railroad.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    (g)(1)(i)--A railroad's        38 railroads................  45 rerouting extension        8 hours.................             360           27,720
     request to temporarily                                       requests.
     reroute trains not equipped
     with a PTC system onto PTC-
     equipped tracks and vice
     versa during certain
     emergencies.
    (g)(1)(ii)--A railroad's       38 railroads................  45 written or telephonic      2 hours.................              90            6,930
     written or telephonic notice                                 notices.
     of the conditions
     necessitating emergency
     rerouting and other required
     information under
     236.1005(i).
    (g)(2)--A railroad's           38 railroads................  720 requests................  8 hours.................           5,760          443,520
     temporary rerouting request
     due to planned maintenance
     not exceeding 30 days.
    (h)(1)--A response to any      38 railroads................  10 requests.................  2 hours.................              20            1,540
     request for additional
     information from FRA, prior
     to commencing rerouting due
     to planned maintenance.
    (h)(2)--A railroad's request   38 railroads................  160 requests................  8 hours.................           1,280           98,560
     to temporarily reroute
     trains due to planned
     maintenance exceeding 30
     days.
236.1006(b)(4)(iii)(B)--A          262 railroads...............  5 reports...................  16 hours................              80            6,160
 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.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    (b)(5)(vii)--A railroad's      The burden is accounted for under 49 CFR 236.1015 and 236.1021.
     request to utilize different
     yard movement procedures, as
     part of a freight yard
     movements exception.
--------------------------------------------------------------------------------------------------------------------------------------------------------
236.1007(b)(1)--For any high-      The burden is accounted for under 49 CFR 236.1015 and 236.1021.
 speed service over 90 miles per
 hour (mph), a railroad's PTC
 Safety Plan (PTCSP) must
 additionally establish that the
 PTC system was designed and will
 be operated to meet the fail-
 safe operation criteria in
 Appendix C.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    (c)--An HSR-125 document       38 railroads................  1 HSR-125 document..........  3,200 hours.............           3,200          384,000
     accompanying a host
     railroad's PTCSP, for
     operations over 125 mph.
    (c)(1)--A railroad's request   38 railroads................  0.3 requests................  8,000 hours.............           2,667          205,359
     for approval to use foreign
     service data, prior to
     submission of a PTCSP.
    (d)--A railroad's request in   38 railroads................  1 request...................  1,000 hours.............           1,000          120,000
     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.....................  535Note:................             535           64,200
 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           32,040
     jointly filed by a host
     railroad and a tenant
     railroad.
    (b)(1)--A host railroad's      264 railroads...............  1 document..................  8 hours.................               8              616
     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          154,000
     submission of a 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.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    (d)--A host railroad's         The burdens are accounted for under 49 CFR 236.1015.
     submission of a PTCSP.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    (e)(3)--Any request for full   38 railroads................  10 confidentiality requests.  8 hours.................              80            6,160
     or partial confidentiality
     of a PTCIP, Notice of
     Product Intent (NPI), PTCDP,
     or PTCSP.
    (h)--Any responses or          38 railroads................  36 interviews and documents.  4 hours.................             144           11,088
     documents submitted in
     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    38 railroads................  1 set of additional           400 hours...............             400           30,800
     information provided in                                      information.
     response to FRA's
     consultations or inquiries
     about a PTCDP or PTCSP.
--------------------------------------------------------------------------------------------------------------------------------------------------------
236.1011(a)-(b)--PTCIP content     The burdens are accounted for under 49 CFR 236.1009(a) and (e) and 236.1021.
 requirements.
--------------------------------------------------------------------------------------------------------------------------------------------------------
(e)--Any public comment on         38 railroads................  2 public comments...........  8 hours.................              16            1,232
 PTCIPs, NPIs, PTCDPs, and PTCSPs.
--------------------------------------------------------------------------------------------------------------------------------------------------------
236.1013, PTCDP and NPI content    The burdens are accounted for under 49 CFR 236.1009(b), (c), and (e) and 236.1021.
 requirements.
--------------------------------------------------------------------------------------------------------------------------------------------------------
236.1015--Any new host railroad's  264 railroads...............  1 PTCSP.....................  8,000 hours.............           8,000          616,000
 PTCSP meeting all content
 requirements under 49 CFR
 236.1015.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    (g)--A PTCSP for a PTC system  38 railroads................  0.3 PTCSPs..................  3,200 hours.............           1,067           82,159
     replacing an existing
     certified PTC system.
    (h)--A quantitative risk       38 railroads................  0.3 assessments.............  800 hours...............             267           20,559
     assessment, if FRA requires
     one to be submitted.
236.1017(a)--An independent third- 38 railroads................  0.3 assessments.............  1,600 hours.............             533           63,960
 party assessment, if FRA
 requires one to be conducted and
 submitted.
    (b)--A railroad's written      38 railroads................  0.3 written requests........  8 hours.................               3              231
     request to confirm whether a
     specific entity qualifies as
     an independent third party.
    --Further information          38 railroads................  0.3 sets of additional        20 hours................               7              539
     provided to FRA upon request.                                information.
    (d)--A request not to provide  38 railroads................  0.3 requests................  20 hours................               7              539
     certain documents otherwise
     required under Appendix F
     for an independent, third-
     party assessment.
    (e)--A request for FRA to      38 railroads................  0.3 requests................  32 hours................              11              847
     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       38 railroads................  1 MTEA......................  160 hours...............             160           12,320
 passenger terminal main line
 track exception (MTEA).
    (c)(1)--A request for a        38 railroads................  1 request and/or plan.......  160 hours...............             160           12,320
     limited operations exception
     (based on restricted speed,
     temporal separation, or a
     risk mitigation plan).
    (c)(2)--A request for a        10 railroads................  1 request...................  160 hours...............             160           12,320
     limited operations exception
     for a non-Class I, freight
     railroad's track.
    (c)(3)--A request for a        7 railroads.................  1 request...................  160 hours...............             160           12,320
     limited operations exception
     for a Class I railroad's
     track.
    (d)--A railroad's collision    38 railroads................  0.3 collision hazard          50 hours................              17            1,309
     hazard analysis in support                                   analysis.
     of an MTEA, if FRA requires
     one to be conducted and
     submitted.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    (e)--Any temporal separation   The burdens are accounted for under 49 CFR 236.1019(c)(1).
     procedures utilized under
     the 49 CFR
     236.1019(c)(1)(ii) exception.
--------------------------------------------------------------------------------------------------------------------------------------------------------
236.1021(a)-(d)--Any RFA to a      38 railroads................  10 RFAs.....................  160 hours...............           1,600          123,200
 railroad's PTCIP or PTCDP.
    (e)--Any public comments, if   5 interested parties........  10 RFA public comments......  16 hours................             160           12,320
     an RFA includes a request
     for approval of a
     discontinuance or material
     modification of a signal or
     train control system and a
     Federal Register notice is
     published.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    (l)--Any jointly filed RFA to  The burdens are accounted for under 49 CFR 236.1021(a)-(d) and (m).
     a PTCDP or PTCSP (* Note:
     This is a new proposed
     paragraph to authorize host
     railroads to file joint RFAs
     in certain cases, but such
     RFAs are already required
     under FRA's existing
     regulations*).
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (m)--Any RFA to a railroad's   38 railroads................  15 RFAs.....................  80 hours................         1,200 s           92,400
     PTCSP (* Note: Revised
     requirement. This is a new
     proposed paragraph with a
     simplified process governing
     RFAs to PTCSPs*).
236.1023(a)--A railroad's PTC      38 railroads................  2 updated lists.............  8 hours.................              16            1,232
 Product Vendor List, which must
 be continually updated.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    (b)(1)--All contractual        The burdens are accounted for under 49 CFR 236.1015 and 236.1021.
     arrangements between a
     railroad and its hardware
     and software suppliers or
     vendors for certain
     immediate notifications.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    (b)(2)-(3)--A vendor's or      10 vendors or suppliers.....  10 notifications............  8 hours.................              80            6,160
     supplier's notification,
     upon receipt of a report of
     any safety-critical failure
     of its product, to any
     railroads using the product.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    (c)(1)-(2)--A railroad's       The burdens are accounted for under 49 CFR 236.1015 and 236.1021.
     process and procedures for
     taking action upon being
     notified of a safety-
     critical failure or a safety-
     critical upgrade, patch,
     revision, repair,
     replacement, or
     modification, and a
     railroad's configuration/
     revision control measures,
     set forth in its PTCSP.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    (d)--A railroad's submission,  38 railroads................  2.5 notifications...........  16 hours................              40            3,080
     to the applicable vendor or
     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  38 railroads................  38 database updates.........  16 hours................             608           46,816
     all safety-relevant hazards,
     which must be maintained
     after the PTC system is
     placed in service.
    (e)(1)--A railroad's           38 railroads................  8 notifications.............  8 hours.................              64            4,928
     notification to the vendor
     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      38 railroads................  1 update....................  8 hours.................               8              616
     about any and all subsequent
     failures.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    (f)--Any notifications that    The burdens are accounted for under 49 CFR 236.1023(e), (g), and (h).
     must be submitted to FRA
     under 49 CFR 236.1023.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    (g)--A railroad's and          38 railroads................  0.5 reports.................  40 hours................              20            1,540
     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 or suppliers.....  20 reports..................  8 hours.................             160           12,320
     supplier's reports of any
     safety-relevant failures,
     defective conditions,
     previously unidentified
     hazards, recommended
     mitigation actions, and any
     affected railroads.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    (k)--A report of a failure of  The burdens are accounted for under 49 CFR 236.1023(e), (g), and (h) and 49 CFR part 233.
     a PTC system resulting in a
     more favorable aspect than
     intended or other condition
     hazardous to the movement of
     a train, including the
     reports required under part
     233.
--------------------------------------------------------------------------------------------------------------------------------------------------------
236.1029(b)(4)--A report of an en  150 host and tenant           1,000 reports...............  30 minutes..............             500           38,500
 route failure, other failure, or   railroads.
 cut out to a designated railroad
 officer of the host railroad.
    (h)--Form FRA F 6180.152--     38 railroads................  73 reports..................  48 hours................           3,504          269,808
     Biannual Report of PTC
     System Performance (*Revised
     requirement and new form *)
     \62\.
--------------------------------------------------------------------------------------------------------------------------------------------------------
236.1033--Communications and       The burdens are accounted for under 49 CFR 236.1009 and 236.1015.
 security requirements.
--------------------------------------------------------------------------------------------------------------------------------------------------------
236.1035(a)-(b)--A railroad's      38 railroads................  10 requests.................  40 hours................             400           30,800
 request for authorization to
 field test an uncertified PTC
 system and any responses to
 FRA's testing conditions.
--------------------------------------------------------------------------------------------------------------------------------------------------------
236.1037(a)(1)-(2)--Records        The burdens are accounted for under 49 CFR 236.1009 and 236.1015.
 retention.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    (a)(3)-(4)--Records retention  The burdens are accounted for under 49 CFR 236.1039 and 236.1043(b).
--------------------------------------------------------------------------------------------------------------------------------------------------------
    (b)--Results of inspections    38 railroads................  800 records.................  1 hour..................             800           61,600
     and tests specified in a
     railroad's PTCSP and PTCDP.
    (c)--A contractor's records    20 contractors..............  1,600 records...............  10 minutes..............             267           20,559
     related to the testing,
     maintenance, or operation of
     a PTC system maintained at a
     designated office.

    (d)(3)--A railroad's final     38 railroads................  8 final reports.............  160 hours...............           1,280           98,560
     report of the results of the
     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            38 railroads................  2 OMM updates...............  10 hours................              20            1,540
 railroad's PTC Operations and
 Maintenance Manual (OMM), which
 must be maintained and available
 to FRA upon request.
    (d)--A railroad's              38 railroads................  1 identified new component..  1 hour..................               1               77
     identification of a PTC
     system's safety-critical
     components, including spare
     equipment.
236.1041(a)-(b) and 236.1043(a)--  38 railroads................  2 programs..................  10 hours................              20            1,540
 A railroad's PTC Training and
 Qualification Program (i.e., a
 written plan).
236.1043(b)--Training records      150 host and tenant           150 PTC training record       1 hour..................             150           11,550
 retained in a designated           railroads.                    databases.
 location and available to FRA
 upon request.
                                  ----------------------------------------------------------------------------------------------------------------------
    Total........................  N/A.........................  4,567,897 responses.........  N/A.....................          50,969        4,250,307
--------------------------------------------------------------------------------------------------------------------------------------------------------

    All estimates include the time for reviewing instructions;
searching existing data sources; gathering or maintaining the needed
data; and reviewing the information. For information or a copy of the
paperwork package submitted to OMB, contact Ms. Hodan Wells,
Information Collection Clearance Officer, at<PHONE_NUMBER>.
    Organizations and individuals desiring to submit comments on the
collection of information requirements should direct them via email to
Ms. Wells at<EMAIL_ADDRESS>    OMB is required to make a decision concerning the collection of
information requirements contained in this rule between 30 and 60 days
after publication of this document in the Federal Register. Therefore,
a comment to OMB is best assured of having its full effect if OMB
receives it within 30 days of publication. FRA is not authorized to
impose a penalty on persons for violating information collection
requirements that do not display a current OMB control number, if
required.

D. Federalism Implications

    Executive Order 13132, ``Federalism,'' requires FRA to develop an
accountable process to ensure ``meaningful and timely input by State
and local officials in the development of regulatory policies that have
federalism implications.'' See 64 FR 43255 (Aug. 10, 1999). ``Policies
that have federalism implications'' are defined in the Executive Order
to include regulations having ``substantial direct effects on the
States, on the relationship between the national government and the
States, or on the distribution of power and responsibilities among the
various levels of government.'' Id. Under Executive Order 13132, the
agency may not issue a regulation with federalism implications that
imposes substantial direct compliance costs and that is not required by
statute, unless the Federal government provides the funds necessary to
pay the direct compliance costs incurred by State and local governments
or the agency consults with State and local government officials early
in the process of developing the regulation. Where a regulation has
federalism implications and preempts State law, the agency seeks to
consult with State and local officials in the process of developing the
regulation.
    FRA has analyzed this final rule under the principles and criteria
contained in Executive Order 13132. FRA has determined this final rule
will not have a substantial direct effect on the States or their
political subdivisions; on the relationship between the Federal
government and the States or their political subdivisions; or on the
distribution of power and responsibilities among the various levels of
government. In addition, FRA has determined this final rule does not
impose substantial direct compliance costs on State and local
governments. Therefore, the consultation and funding requirements of
Executive Order 13132 do not apply.
    This final rule could have preemptive effect by the operation of
law under a provision of the former Federal Railroad Safety Act of
1970, repealed and recodified at 49 U.S.C. 20106. Section 20106
provides that States may not adopt or continue in effect any law,
regulation, or order related to railroad safety or security that covers
the subject matter of a regulation prescribed or order issued by the
Secretary of Transportation (with respect to railroad safety matters)
or the Secretary of Homeland Security (with respect to railroad
security matters), except when the State law, regulation, or order
qualifies under the ``essentially local safety or security hazard''
exception to section 20106.
    FRA has analyzed this final rule in accordance with the principles
and criteria contained in Executive Order 13132. As explained above,
FRA has determined that this final rule has no federalism implications,
other than the possible preemption of State laws under Federal railroad
safety statutes, specifically 49 U.S.C. 20106. Accordingly, FRA has
determined that preparation of a federalism summary impact statement
for this final rule is not required.

E. International Trade Impact Assessment

    The Trade Agreements Act of 1979 prohibits Federal agencies from
engaging in any standards or related activities that create unnecessary
obstacles to the foreign commerce of the United States. Legitimate
domestic objectives, such as safety, are not considered unnecessary
obstacles. The statute also requires consideration of international
standards and where appropriate, that they be the basis for U.S.
standards. This final rule is purely domestic in nature and is not
expected to affect trade opportunities for U.S. firms doing business
overseas or for foreign firms doing business in the United States.

F. Environmental Impact

    FRA has evaluated this final rule consistent with the National
Environmental Policy Act (NEPA; 42 U.S.C. 4321, et seq.), the Council
of Environmental Quality's NEPA implementing regulations at 40 CFR
parts 1500-1508, and FRA's NEPA implementing regulations at 23 CFR part
771, and determined that it is categorically excluded from
environmental review and therefore does not require the preparation of
an environmental assessment (EA) or environmental impact statement
(EIS). Categorical exclusions (CEs) are actions

identified in an agency's NEPA implementing regulations that do not
normally have a significant impact on the environment and therefore do
not require either an EA or EIS. See 40 CFR 1508.4. Specifically, FRA
has determined that this final rule is categorically excluded from
detailed environmental review pursuant to 23 CFR 771.116(c)(15),
``Promulgation of rules, the issuance of policy statements, the waiver
or modification of existing regulatory requirements, or discretionary
approvals that do not result in significantly increased emissions of
air or water pollutants or noise.''
    The purpose of this rulemaking is to revise FRA's PTC regulations
to reduce unnecessary costs and facilitate innovation, while improving
FRA's oversight. This final rule does not directly or indirectly impact
any environmental resources and will not result in significantly
increased emissions of air or water pollutants or noise. Instead, the
final rule is likely to result in safety benefits. In analyzing the
applicability of a CE, FRA must also consider whether unusual
circumstances are present that would warrant a more detailed
environmental review. See 23 CFR 771.116(b). FRA has concluded that no
such unusual circumstances exist with respect to this regulation, and
the final rule meets the requirements for categorical exclusion under
23 CFR 771.116(c)(15).
    Pursuant to Section 106 of the National Historic Preservation Act
and its implementing regulations, FRA has determined this undertaking
has no potential to affect historic properties. See 16 U.S.C. 470. FRA
has also determined that this rulemaking does not approve a project
resulting in a use of a resource protected by Section 4(f). See
Department of Transportation Act of 1966, as amended (Pub. L. 89-670,
80 Stat. 931); 49 U.S.C. 303.

G. Executive Order 12898 (Environmental Justice)

    Executive Order 12898, ``Federal Actions to Address Environmental
Justice in Minority Populations and Low-Income Populations,'' and DOT
Order 5610.2B, dated November 18, 2020, require DOT agencies to
consider environmental justice principles by identifying and
addressing, as appropriate, disproportionately high and adverse human
health or environmental effects of their programs, policies, and
activities on minority populations and low-income populations. The DOT
Order instructs DOT agencies to address compliance with Executive Order
12898 and requirements within the DOT Order in rulemaking activities,
as appropriate. FRA has evaluated this final rule and has determined it
will not cause disproportionately high and adverse human health and
environmental effects on minority populations or low-income
populations.

H. Unfunded Mandates Reform Act of 1995

    Under section 201 of the Unfunded Mandates Reform Act of 1995 (Pub.
L. 104-4, 2 U.S.C. 1531), each Federal agency ``shall, unless otherwise
prohibited by law, assess the effects of Federal regulatory actions on
State, local, and tribal governments, and the private sector (other
than to the extent that such regulations incorporate requirements
specifically set forth in law).'' Section 202 of the Act (2 U.S.C.
1532) further requires that ``before promulgating any general notice of
proposed rulemaking that is likely to result in promulgation of any
rule that includes any Federal mandate that may result in the
expenditure by State, local, and tribal governments, in the aggregate,
or by the private sector, of $100,000,000 or more (adjusted annually
for inflation) in any 1 year, and before promulgating any final rule
for which a general notice of proposed rulemaking was published, the
agency shall prepare a written statement'' detailing the effect on
State, local, and tribal governments and the private sector. This final
rule will not result in the expenditure, in the aggregate, of
$100,000,000 or more (as adjusted annually for inflation) in any one
year, and thus preparation of such a statement is not required.

I. Energy Impact

    Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use,'' requires
Federal agencies to prepare a Statement of Energy Effects for any
``significant energy action.'' 66 FR 28355 (May 22, 2001). FRA has
evaluated this final rule under Executive Order 13211 and determined
that this final rule is not a ``significant energy action'' within the
meaning of Executive Order 13211.

List of Subjects in 49 CFR Part 236

    Penalties, Positive train control, Railroad safety, Reporting and
recordkeeping requirements.

    In consideration of the foregoing, FRA is amending 49 CFR part 236,
as follows:

PART 236--RULES, STANDARDS, AND INSTRUCTIONS GOVERNING THE
INSTALLATION, INSPECTION, MAINTENANCE, AND REPAIR OF SIGNAL AND
TRAIN CONTROL SYSTEMS, DEVICES, AND APPLIANCES--

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.  236.1003 amend paragraph (b) by adding the definitions of
``Cut out,'' ``Initialization failure,'' and ``Malfunction'' in
alphabetical order to read as follows:

Sec.  236.1003  Definitions.

* * * * *
    (b) * * *
    Cut out means any disabling of a PTC system, subsystem, or
component en route (including when the PTC system cuts out on its own
or a person cuts out the system with authorization), unless the cut out
was necessary to exit PTC-governed territory and enter non-PTC
territory.
* * * * *
    Initialization failure means any instance when a PTC system fails
to activate on a locomotive or train, unless the PTC system
successfully activates during a subsequent attempt in the same location
or before entering PTC-governed territory. For the types of PTC systems
that do not initialize by design, a failed departure test is considered
an initialization failure for purposes of the reporting requirement
under Sec.  236.1029(h), unless the PTC system successfully passes the
departure test during a subsequent attempt in the same location or
before entering PTC-governed territory.
* * * * *
    Malfunction means any instance when a PTC system, subsystem, or
component fails to perform the functions mandated under 49 U.S.C.
20157(i)(5), this subpart, or the applicable host railroad's PTCSP.
* * * * *

0
3. Amend Sec.  236.1021 by:
0
a. Revising paragraphs (a), (c), (d) introductory text, and (d)(4);
0
b. Removing paragraph (d)(7); and
0
c. Adding paragraphs (l) and (m).
    The revisions and additions read as follows:

Sec.  236.1021  Discontinuances, material modifications, and
amendments.

    (a) No changes, as defined by this section, to a PTCIP or PTCDP may
be made unless:
    (1) The railroad files a request for amendment (RFA) to the
applicable PTCIP or PTCDP with the Associate Administrator; and
    (2) The Associate Administrator approves the RFA.
* * * * *
    (c) In lieu of a separate filing under part 235 of this chapter, a
railroad may request approval of a discontinuance or material
modification of a signal or train control system by filing an RFA to
its PTCIP or PTCDP with the Associate Administrator.
    (d) FRA will not approve an RFA to a PTCIP or PTCDP unless the
request includes:
* * * * *
    (4) The changes to the PTCIP or PTCDP, as applicable;
* * * * *
    (l) Any RFA to a PTCDP or PTCSP pursuant to this section may be
submitted jointly with other host railroads utilizing the same type of
PTC system. However, only host railroads with the same PTC System
Certification classification under Sec.  236.1015(e) may jointly file
an RFA to their PTCSPs. Any joint RFA to multiple host railroads'
PTCSPs must include the information required under paragraph (m) of
this section. The joint RFA must also include the written confirmation
and statement specified under paragraphs (m)(2)(iii) and (iv) of this
section from each host railroad jointly filing the RFA.
    (m) No changes, as specified under paragraph (h)(3) or (4) of this
section, may be made to an FRA-certified PTC system or an FRA-approved
PTCSP unless the host railroad first complies with the following
process:
    (1) The host railroad revises its PTCSP to account for each
proposed change to its PTC system and summarizes such changes in a
chronological table of revisions at the beginning of its PTCSP;
    (2) The host railroad electronically submits the following
information in an RFA to the Director of FRA's Office of Railroad
Systems and Technology:
    (i) A summary of the proposed changes to any safety-critical
elements of a PTC system, including a summary of how the changes to the
PTC system would affect its safety-critical functionality, how any new
hazards have been addressed and mitigated, whether each change is a
planned change that was previously included in all required analysis
under Sec.  236.1015 or an unplanned change, and the reason for the
proposed changes, including whether the changes are necessary to
address or resolve an emergency or urgent issue;
    (ii) Any associated software release notes;
    (iii) A confirmation that the host railroad has notified any
applicable tenant railroads of the proposed changes, any associated
effect on the tenant railroads' operations, and any actions the tenant
railroads must take in accordance with the configuration control
measures set forth in the host railroad's PTCSP;
    (iv) A statement from a qualified representative of the host
railroad, verifying that the modified PTC system would meet all
technical requirements under this subpart, provide an equivalent or
greater level of safety than the existing PTC system, and not adversely
impact interoperability with any tenant railroads; and
    (v) Any other information that FRA requests; and
    (3) A host railroad shall not make any changes, as specified under
paragraph (h)(3) or (4) of this section, to its PTC system until the
Director of FRA's Office of Railroad Systems and Technology approves
the RFA.
    (i) FRA will approve, approve with conditions, or deny the RFA
within 45 days of the date on which the RFA was filed under paragraph
(m)(2) of this section.
    (ii) FRA reserves the right to notify a railroad that changes may
proceed prior to the 45-day mark, including in an emergency or under
other circumstances necessitating a railroad's immediate implementation
of the proposed changes to its PTC system.
    (iii) FRA may require a railroad to modify its RFA or its PTC
system to the extent necessary to ensure safety or compliance with the
requirements of this part.
    (iv) Following any FRA denial of an RFA, each applicable railroad
is prohibited from making the proposed changes to its PTC system until
the railroad both sufficiently addresses FRA's questions, comments, and
concerns and obtains FRA's approval. Consistent with paragraph (l) of
this section, any host railroads utilizing the same type of PTC system,
including the same certification classification under Sec.
236.1015(e), may jointly submit information to address FRA's questions,
comments, and concerns following any denial of an RFA under this
section.

0
4. Amend Sec.  236.1029 by revising paragraph (h) to read as follows:

Sec.  236.1029  PTC system use and failures.

* * * * *
    (h) Biannual Report of PTC System Performance. (1) Each host
railroad subject to 49 U.S.C. 20157 or this subpart shall
electronically submit a Biannual Report of PTC System Performance on
Form FRA F 6180.152, containing the following information for the
applicable reporting period, separated by the host railroad, each
applicable tenant railroad, and each PTC-governed track segment (e.g.,
territory, subdivision, district, main line, branch, or corridor),
consistent with the railroad's PTC Implementation Plan:
    (i) The total number of PTC system initialization failures, and
subtotals identifying the number of initialization failures where the
source or cause was the onboard subsystem, wayside subsystem,
communications subsystem, back office subsystem, or a non-PTC
component;
    (ii) The total number of PTC system cut outs, and subtotals
identifying the number of cut outs where the source or cause was the
onboard subsystem, wayside subsystem, communications subsystem, back
office subsystem, or a non-PTC component;
    (iii) The total number of PTC system malfunctions, and subtotals
identifying the number of malfunctions where the source or cause was
the onboard subsystem, wayside subsystem, communications subsystem,
back office subsystem, or a non-PTC component;
    (iv) The total number of enforcements by the PTC system;
    (v) The number of enforcements by the PTC system in which an
accident or incident was prevented;
    (vi) The number of scheduled attempts at initialization of the PTC
system; and
    (vii) The number of train miles governed by the PTC system.
    (2) A host railroad's Biannual Report of PTC System Performance
(Form FRA F 6180.152) shall also include a summary of any actions the
host railroad and its tenant railroads are taking to reduce the
frequency and rate of initialization failures, cut outs, and
malfunctions, such as any actions to correct or eliminate systemic
issues and specific problems.
    (3) Each host railroad shall electronically submit a Biannual
Report of PTC System Performance (Form FRA F 6180.152) to FRA by the
following due dates: July 31 (covering the period from January 1 to
June 30), and January 31 (covering the period from July 1 to December
31 of the prior calendar year).
    (4) Each tenant railroad that operates on a host railroad's PTC-
governed main line(s), unless the tenant railroad is currently subject
to an exception under

Sec.  236.1006(b)(4) or (5), shall submit the information required
under paragraphs (h)(1) and (2) of this section to each applicable host
railroad on a continuous basis.
    (5) Any railroad operating a PTC system classified under FRA Type
Approval Nos. FRA-TA-2010-001 or FRA-TA-2013-003 must begin submitting
the metric required under paragraph (h)(1)(iv) of this section not
later than January 31, 2023.

    Issued in Washington, DC.
Amitabha Bose,
Deputy Administrator.
[FR Doc. 2021-15544 Filed 7-26-21; 8:45 am]
BILLING CODE 4910-06-P


[Federal Register Volume 78, Number 87 (Monday, May 6, 2013)]
[Notices]
[Pages 26338-26339]
[FR Doc No: 2013-10642]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. IC13-11-000]

Commission Information Collection Activities (FERC-539); Comment
Request

AGENCY: Federal Energy Regulatory Commission, Energy.

ACTION: Comment request.

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SUMMARY: In compliance with the requirements of the Paperwork Reduction
Act of 1995, 44 U.S.C. 3507(a)(1)(D), the Federal Energy Regulatory
Commission (Commission or FERC) is submitting the information
collection FERC-539, Gas Pipeline Certificates: Import/Export Related,
to the Office of Management and Budget (OMB) for review of the
information collection requirements. Any interested person may file
comments directly with OMB and should address a copy of those comments
to the Commission as explained below. The Commission issued a Notice in
the Federal Register (78 FR 12747, 02/25/2013) requesting public
comments. FERC received no comments on the FERC-539 and is making this
notation in its submittal to OMB.

DATES: Comments on the collection of information are due by June 5,
2013.

ADDRESSES: Comments filed with OMB, identified by the OMB Control No.
1902-0062, should be sent via email to the Office of Information and
Regulatory Affairs<EMAIL_ADDRESS>Attention: Federal Energy
Regulatory Commission Desk Officer. The Desk Officer may also be
reached via telephone at<PHONE_NUMBER>.
    A copy of the comments should also be sent to the Federal Energy
Regulatory Commission, identified by the Docket No. IC13-11-000, by
either of the following methods:
     eFiling at Commission's Web site: http://www.ferc.gov/docs-filing/efiling.asp.
     Mail/Hand Delivery/Courier: Federal Energy Regulatory
Commission, Secretary of the Commission, 888 First Street NE.,
Washington, DC 20426.
    Instructions: All submissions must be formatted and filed in
accordance with submission guidelines at: http://www.ferc.gov/help/submission-guide.asp. For user assistance contact FERC Online Support
by email at<EMAIL_ADDRESS>or by phone at:<PHONE_NUMBER>
(toll-free), or<PHONE_NUMBER> for TTY.
    Docket: Users interested in receiving automatic notification of
activity in this docket or in viewing/downloading comments and
issuances in this docket may do so at http://www.ferc.gov/docs-filing/docs-filing.asp.

FOR FURTHER INFORMATION CONTACT: Ellen Brown may be reached by email at
<EMAIL_ADDRESS>by telephone at<PHONE_NUMBER>, and by fax at
(202) 273-0873.

SUPPLEMENTARY INFORMATION:

    Title: Gas Pipeline Certificates: Import/Export Related.
    OMB Control No.: 1902-0062.
    Type of Request: Three-year extension of the FERC-539 information
collection requirements with no changes to the current reporting
requirements.
    Abstract: Section 3 of the Natural Gas Act (NGA) \1\ provides, in
part, that ``. . . no person shall export any natural gas from the
United States to a foreign country or import any natural gas from a
foreign country without first having secured an order from the
Commission authorizing it to do so.'' The 1992 amendments to Section 3
of the NGA concern importation or exportation from/to a nation which
has a free trade agreement with the United States and requires that
such importation or exportation: (1) Shall be deemed to be a ``first
sale'' (i.e. not a sale for a resale) and (2) shall be deemed to be
consistent with the public interest. Applications for such importation
or exportation should be granted without modification or delay.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 717-717w.
---------------------------------------------------------------------------

    Type of Respondents: Facilities proposing to import or export
natural gas.
    Estimate of Annual Burden: \2\ The Commission estimates the total
Public Reporting Burden for this information collection as:
---------------------------------------------------------------------------

    \2\ The Commission defines burden as the total time, effort, or
financial resources expended by persons to generate, maintain,
retain, or disclose or provide information to or for a Federal
agency. For further explanation of what is included in the
information collection burden, reference 5 Code of Federal
Regulations 1320.3.

                           FERC-539--Gas Pipeline Certificates: Import/Export Related
----------------------------------------------------------------------------------------------------------------
                                                 Number of                       Average burden
            Number of respondents              responses per   Total number of     hours per     Estimated total
                                                 respondent       responses         response      annual burden
(A)                                                      (B)    (A) x (B) = (C)            (D)                (C) x (D)
----------------------------------------------------------------------------------------------------------------
7...........................................               1                7               12               84
----------------------------------------------------------------------------------------------------------------

    The total estimated annual cost burden to respondents is $5,880 [84
hours * $70/hour \3\ = $5,880].
---------------------------------------------------------------------------

    \3\ Average salary (per hour) plus benefits per full-time
equivalent employee.
---------------------------------------------------------------------------

    Comments: Comments are invited on: (1) Whether the collection of
information is necessary for the proper performance of the functions of
the Commission, including whether the information will have practical
utility; (2) the accuracy of the agency's estimate of the burden and
cost of the collection of information, including the validity of the
methodology and assumptions used; (3) ways to enhance the quality,
utility and clarity of the information collection; and (4) ways to
minimize the burden of the collection of information on those who are
to respond, including the use of automated collection techniques or
other forms of information technology.

    Dated: April 30, 2013.
Kimberly D. Bose,
Secretary.
[FR Doc. 2013-10642 Filed 5-3-13; 8:45 am]
BILLING CODE 6717-01-P