would be affected, and if such small entities would be affected what
the impacts on them would be, whether those impacts would be
significant and whether the number of small railroads affected is
substantial, but received no comments on the topic. FRA believes that
no small entities will be affected by changes to the de minimis
provisions and the freight locomotive yard movements exception, and
that therefore the number of small entities affected is not
substantial, and that the impact on them is not significant.
    These five small freight railroads are required to file a PTCIP by
the existing PTC regulations and will be affected by the final rule's
changes in the reporting requirements in Sec.  236.1009. The reporting
requirements will require the railroad to report its progress in
installing PTC, in April 2013, 2014, and 2015, in order to comply with
the statutory deadlines. FRA believes that all railroads implementing
PTC will track this information and compile the information as part of
internal management activities at least as frequently for what is
likely to be a relatively large capital project on every affected
railroad. FRA believes the incremental reporting regulatory burden is
negligible, on the order of forwarding to FRA an email already
generated within a railroad. FRA believes this is not a significant
burden upon the railroads affected.
    Certain other provisions (e.g., Sec.  236.15 (regarding timetable
instructions) and Sec.  236.1015(d)(21) (lists related to locomotives
with failed onboard PTC apparatus, etc.) are minor and should not
create any economic impacts on any regulated entities, large or small
other than paperwork, which is accounted for under V.C. of the
preamble, below; FRA believes these are not a significant burden on
these five small railroads.
    FRA believes that the portions of the rule revising the
requirements at Sec.  234.207 (regarding adjustment, etc. of essential
components), Sec.  234.213 (regarding grounds), Sec.  236.2 (regarding
grounds), and Sec.  236.567 (regarding en route failures) are technical
in nature, and do not create any economic impacts on any regulated
entities, large or small. Likewise, the revised and new relief
provisions at Sec.  236.1029(b), (c), and (g) (which are considered as
clarifying the intent of the original PTC final rule) are not expected
to create economic impacts on any regulated entities, large or small.
    For the reasons summarized above, FRA believes the reporting
requirements will not have a significant impact on a substantial number
of small entities.
2. Certification
    Pursuant to the Regulatory Flexibility Act, 5 U.S.C. 605(b), the
FRA Administrator certifies that this rule will not have a significant
economic impact on a substantial number of small entities.

C. Executive Order 13175

    FRA analyzed this rule in accordance with the principles and
criteria contained in Executive Order 13175 (``Consultation and
Coordination with Indian Tribal Governments'').
    Because this rule does not significantly or uniquely affect tribes
and does not impose substantial and direct compliance costs on Indian
tribal governments, the funding and consultation requirements of
Executive Order 13175 do not apply, and a tribal summary impact
statement is not required.

D. Paperwork Reduction Act

    The information collection requirements in this final rule are
being submitted for approval to the Office of Management and Budget
(OMB) under the Paperwork Reduction Act of 1995, 44 U.S.C. 3501 et seq.
The sections that contain the both the new and current information
collection requirements and the estimated time to fulfill each
requirement are as follows:

----------------------------------------------------------------------------------------------------------------
                                     Respondent        Total annual     Average time per    Total annual burden
          CFR section                 universe          responses           response               hours
----------------------------------------------------------------------------------------------------------------
234.275--Processor-Based         20 Railroads.....  25 letters.......  4 hours..........  100 hours.
 Systems--Deviations from
 Product Safety Plan (PSP)--
 Letters.
235.6--Requests to FRA Regional  38 Railroads.....  500 application    5 hours..........  2,500 hours.
 Administrators for                                  requests.
 Modification of a Signal
 System Related to PTC
 Implementation--Expedited
 Application (New Requirement).
    --PTC Related Modification   38 Railroads.....  500 application    30 minutes.......  250 hours.
     Request--Expedited                              request copies.
     Application--Copies to
     Railroad Union(s) (New
     Requirement).
    --Railroad Rescindment of    38 Railroads.....  25 letters.......  6 hours..........  150 hours.
     Expedited Application--
     Letters (New Requirement).

    --RR Submission of           38 Railroads.....  13 submission/     5 hours..........  65 hours.
     (Revised) Application                           applications.
     completed under Sections
     235.5 and 235.9-235.20
     (New Reqmnt).
    --Revised Application        38 Railroads.....  13 copies........  30 minutes.......  7 hours.
     Copies to Railroad
     Union(s) (New Requirement).
236.15--Timetable Instructions-- 38 Railroads.....  13 timetable       1 hour...........  13 hours.
 Designation of Positive Train                       Instructions.
 Control (PTC) Territory in
 Instructions (Revised
 Requirement).
236.18--Software Mgmt Control    184 Railroads....  184 plans........  2,150 hours......  395,600 hours.
 Plan--.
    --Updates to Software Mgmt.  90 Railroads.....  20 updates.......  1.50 hours.......  30 hours.
     Control Plan.
236.905--Updates to RSPP.......  78 Railroads.....  6 plans..........  135 hours........  810 hours.
    --Response to Request For    78 Railroads.....  1 updated doc....  400 hours........  400 hours.
     Additional Info.
    --Request for FRA Approval   78 Railroads.....  1 request/         400 hours........  400 hours.
     of RSPP Modification.                           modified RSPP.
236.907--Product Safety Plan     5 Railroads......  5 plans..........  6,400 hours......  32,000 hours.
 (PSP)--Dev.
236.909--Minimum Performance
 Standard.
    --Petitions For Review and   5 Railroads......  2 petitions/PSP..  19,200 hours.....  38,400 hours.
     Approval.
    --Supporting Sensitivity     5 Railroads......  5 analyses.......  160 hours........  800 hours.
     Analysis.
236.913--Notification/           6 Railroads......  1 joint plan.....  25,600 hours.....  25,600 hours.
 Submission to FRA of Joint
 Product Safety Plan (PSP).
    --Petitions For Approval/    6 Railroads......  6 petitions......  1,928 hours......  11,568 hours.
     Informational Filings.
    --Responses to FRA Request   6 Railroads......  2 documents......  800 hours........  1,600 hours.
     For Further Info. After
     Informational Filing.
    --Responses to FRA Request   6 Railroads......  6 documents......  16 hours.........  96 hours.
     For Further Info. After
     Agency Receipt of Notice
     of Product Development.
    --Consultations............  6 Railroads......  6 consults.......  120 hours........  720 hours.
    --Petitions for Final        6 Railroads......  6 petitions......  16 hours.........  96 hours.
     Approval.
    --Comments to FRA by         Public/RRs.......  7 comments.......  240 hours........  1,680 hours.
     Interested Parties.
    --Third Party Assessments    6 Railroads......  1 assessment.....  104,000 hours....  104,000 hours.
     of PSP.
    --Amendments to PSP........  6 Railroads......  15 amendments....  160 hours........  2,400 hours.
    --Field Testing of Product-- 6 Railroads......  6 documents......  3,200 hours......  19,200 hours.
     Info. Filings.
236.917--Retention of Records.
    --Results of tests/          6 Railroads......  3 documents/       160,000 hrs.;      360,000 hours.
     inspections specified in                        records.           160,000 hrs.;
     PSP.                                                               40,000 hrs.
    --Report to FRA of           6 Railroads......  1 report.........  104 hours........  104 hours.
     Inconsistencies with
     frequency of safety-
     relevant hazards in PSP.
236.919--Operations &
 Maintenance Man.
    --Updates to O & M Manual..  6 Railroads......  6 updated docs...  40 hours.........  240 hours.
    --Plans For Proper           6 Railroads......  6 plans..........  53,335 hours.....  320,010 hours.
     Maintenance, Repair,
     Inspection of Safety-
     Critical Products.
    --Hardware/Software/         6 Railroads......  6 revisions......  6,440 hours......  38,640 hours.
     Firmware Revisions.
236.921--Training Programs:      6 Railroads......  6 Tr. Programs...  400 hours........  2,400 hours.
 Development.
    --Training of Signalmen &    6 Railroads......  300 signalmen; 20  40 hours; 20       12,400 hours.
     Dispatchers.                                    dispatchers.       hours.
236.923--Task Analysis/Basic     6 railroads......  6 documents......  720 hours........  4,320 hours.
 Requirements: Necessary
 Documents.
    --Records..................  6 railroads......  350 records......  10 minutes.......  58 hours.
----------------------------------------------------------------------------------------------------------------
                                           Subpart I--New Requirements
----------------------------------------------------------------------------------------------------------------
236.1001--RR Development of      38 railroads.....  3 rules..........  80 hours.........  240 hours.
 More Stringent Rules Re: PTC
 Performance Stds.
236.1005--Requirements for PTC
 Systems
    --RR Request for Relief to   38 railroads.....  27 relief          64 hours.........  1,728 hours.
     Install PTC System.                             requests.
    --Temporary Rerouting:       38 railroads.....  47 requests......  8 hours..........  376 hours.
     Emergency Requests.
    --Written/Telephonic         38 railroads.....  47 notifications.  2 hours..........  94 hours.
     Notification to FRA
     Regional Administrator.
    --Temporary Rerouting        38 railroads.....  720 requests.....  8 hours..........  5,760 hours.
     Requests Due to Track
     Maintenance.
    --Temporary Rerouting        38 railroads.....  361 requests.....  8 hours..........  2,888 hours.
     Requests That Exceed 30
     Days.
236.1006--Requirements for
 Equipping Locomotives
 Operating in PTC Territory.
    --PTC Progress Reports.....  38 railroads.....  35 reports.......  16 hours.........  560 hours.
236.1007--Additional
 Requirements for High Speed
 Service.
    --Required HSR-125           38 railroads.....  3 documents......  3,200 hours......  9,600 hours.
     Documents with approved
     PTCSP.

    --Requests to Use Foreign    38 railroads.....  2 requests.......  8,000 hours......  16,000 hours.
     Service Data.
    --PTC Railroads Conducting   38 railroads.....  3 documents......  3,200 hours......  9,600 hours
     Operations at More than
     150 MPH with HSR-125
     Documents.
    --Requests for PTC Waiver..  38 railroads.....  1 request........  1,000 hours......  1,000 hours.
236.1009--Procedural
 Requirements.
    --Host Railroads Filing      38 Railroads.....  1 PCTIP; 20 RFAs.  535 hours; 320     6,935 hours.
     PTCIP or Request for                                               hours.
     Amendment (RFAs).
    --Jointly Submitted PTCIPs.  38 Railroads.....  5 PTCIPs.........  267 hours........  1,335 hours.
    --Notification of Failure    38 Railroads.....  1 notification...  32 hours.........  32 hours.
     to File Joint PTCIP.
    --Comprehensive List of      38 Railroads.....  1 list...........  80 hours.........  80 hours.
     Issues Causing Non-
     Agreement.
    --Conferences to Develop     38 Railroads.....  1 conf. calls....  60 minutes.......  1 hour.
     Mutually Acceptable PCTIP.
    --Annual Implementation      38 Railroads.....  38 reports + 38    8 hours + 60       2,584 hours.
     Status Report.                                  reports.           hours.
    --Type Approval............  38 Railroads.....  2 Type Appr......  8 hours..........  16 hours.
    --PTC Development Plans      38 Railroads.....  20 Ltr. + 20 App;  8 hrs/1600 hrs.;   44,960 hours.
     Requesting Type Approval.                       2 Plans.           6,400 hours.
    --Notice of Product Intent   38 Railroads.....  3 NPI; 1 IP......  1,070 + 535 hrs..  3,745 hours.
     w/PTCIPs (IPs).
    --PTCDPs with PTCIPs (DPs +  38 Railroads.....  1 DP.............  2,135 hours......  2,135 hours.
     IPs).
    --Updated PTCIPs w/PTCDPs    38 Railroads.....  1 IP; 1 DP.......  535 + 2,135 hrs..  2,670 hours.
     (IPs + DPs).
    --Disapproved/Resubmitted    38 Railroads.....  1 IP + 1 NPI.....  135 + 270 hrs....  405 hours.
     PTCIPs/NPIs.
    --Revoked Approvals--        38 Railroads.....  1 IP + 1 DP......  135 + 535 hrs....  670 hours.
     Provisional IP/DP.
    --PTC IPs/PTCDPs Still       38 Railroads.....  1 IP + 1 DP......  135 + 535 hrs....  670 hours.
     Needing Rework.
    --PTCIP/PTCDP/PTCSP Plan     38 Railroads.....  1 document.......  8,000 hours......  8,000 hours.
     Contents--Documents
     Translated into English.
    --Requests for               38 Railroads.....  38 ltrs; 38 docs.  8 hrs.; 800 hrs..  30,704 hours.
     Confidentiality.
    --Field Test Plans/          38 Railroads.....  190 field tests;   800 hours........  153,600 hours.
     Independent Assessments--                       2 assessments.
     Req. by FRA.
    --FRA Access: Interviews     38 Railroads.....  76 interviews....  30 minutes.......  38 hours.
     with PTC Wrkrs..
    --FRA Requests for Further   38 Railroads.....  8 documents......  400 hours........  3,200 hours.
     Information.
236.1011-PTCIP Requirements--    7 Interested       1 rev.; 40 com...  143 + 8 hrs......  463 hours.
 Comment.                         Groups.
236.1015--PTCSP Content
 Requirements & PTC System
 Certification.
    --Non-Vital Overlay........  38 Railroads.....  3 PTCSPs.........  16,000 hours.....  48,000 hours.
    --Vital Overlay............  38 Railroads.....  28 PTCSPs........  22,400 hours.....  627,200 hours.
    --Stand Alone..............  38 Railroads.....  1 PTCSP..........  32,000 hours.....  32,000 hours.
    --Mixed Systems--Conference  38 Railroads.....  3 conferences....  32 hours.........  96 hours.
     with FRA regarding Case/
     Analysis.
    --Mixed Sys. PTCSPs (incl.   38 Railroads.....  1 PTCSP..........  28,800 hours.....  28,800 hours.
     safety case).
    --FRA Request for            38 Railroads.....  19 documents.....  3,200 hours......  60,800 hours.
     Additional PTCSP Data.
    --PTCSPs Applying to         38 Railroads.....  19 PTCSPs........  3,200 hours......  60,800 hours.
     Replace Existing Certified
     PTC Systems.
    --Non-Quantitative Risk      38 Railroads.....  19 assessment....  3,200 hours......  60,800 hours.
     Assessments Supplied to
     FRA.
236.1017--PTCSP Supported by     38 Railroads.....  1 assessment.....  8,000 hours......  8,000 hours.
 Independent Third Party
 Assessment.
    --Written Requests to FRA    38 Railroads.....  1 request........  8 hours..........  8 hours.
     to Confirm Entity
     Independence.
    --Provision of Additional    38 Railroads.....  1 document.......  160 hours........  160 hours.
     Information After FRA
     Request.
    --Independent Third Party    38 Railroads.....  1 request........  160 hours........  160 hours.
     Assessment: Waiver
     Requests.
    --RR Request for FRA to      38 Railroads.....  1 request........  32 hours.........  32 hours.
     Accept Foreign Railroad
     Regulator Certified Info.
236.1019--Main Line Track
 Exceptions.
    --Submission of Main Line    38 Railroads.....  36 MTEAs.........  160 hours........  5,760 hours.
     Track Exclusion Addendums
     (MTEAs).
    --Passenger Terminal         38 Railroads.....  19 MTEAs.........  160 hours........  3,040 hours.
     Exception--MTEAs.
    --Limited Operation          38 Railroads.....  19 plans.........  160 hours........  3,040 hours.
     Exception--Risk Mit.
    --Ltd. Exception--Collision  38 Railroads.....  12 analyses......  1,600 hours......  19,200 hours.
     Hazard Anal.
    --Temporal Separation        38 Railroads.....  11 procedures....  160 hours........  1,760 hours.
     Procedures.
236.1021--Discontinuances,       38 Railroads.....  19 RFAs..........  160 hours........  3,040 hours.
 Material Modifications,
 Amendments--Requests to Amend
 (RFA) PTCIP, PTCDP or PTCSP.
    --Review and Public Comment  7 Interested       7 reviews + 20     3 hours; 16 hours  341 hours.
     on RFA.                      Groups.            comments.
236.1023--PTC Product Vendor     38 Railroads.....  38 lists.........  8 hours..........  304 hours.
 Lists.
    --RR Procedures Upon         38 Railroads.....  38 procedures....  16 hours.........  608 hours.
     Notification of PTC System
     Safety-Critical Upgrades,
     Rev., Etc.
    --RR Notifications of PTC    38 Railroads.....  142 notification.  16 hours.........  2,272 hours.
     Safety Hazards.
    --RR Notification Updates..  38 Railroads.....  142 updates......  16 hours.........  2,272 hours.

    --Manufacturer's Report of   5 System           5 reports........  400 hours........  2,000 hours.
     Investigation of PTC         Suppliers.
     Defect.
    --PTC Supplier Reports of    5 System           142 reports + 142  16 hours + 8       3,408 hours.
     Safety Relevant Failures     Suppliers.         rpt. copies.       hours.
     or Defective Conditions.
236.1029--Report of On-Board     38 Railroads.....  836 reports......  96 hours.........  80,256 hours.
 Lead Locomotive PTC Device
 Failure.
    --Submission by RR of Order  38 Railroads.....  1 Order..........  3,200 hours......  3,200 hours.
     of Particular Availability
     with an Alternative System
     Failure Procedure to FRA
     (New Requirement).
    --Notice to FRA at least 7   38 Railroads.....  76 planned         10 hours.........  1,900 hours.
     days in Advance of Planned                      notices + 114
     Disabling of PTC System                         unplanned
     Service and                                     notices.
     Contemporaneous Notice for
     Unplanned Disabling of PTC
     System Service (New
     Requirement).
    --Annual Report of PTC       38 Railroads.....  38 reports.......  20 hours.........  760 hours.
     System Failures (New
     Requirement).
236.1031--Previously Approved
 PTC Systems.
    --Request for Expedited      38 Railroads.....  3 REC Letters....  160 hours........  480 hours.
     Certification (REC) for
     PTC System.
    --Requests for               38 Railroads.....  3 requests.......  1,600 hours......  4,800 hours.
     Grandfathering on PTCSPs.
236.1035--Field Testing          38 Railroads.....  190 field test     800 hours........  152,000 hours.
 Requirements.                                       plans.
    --Relief Requests from       38 Railroads.....  38 requests......  320 hours........  12,160 hours.
     Regulations Necessary to
     Support Field Testing.
236.1037--Records Retention.
    --Results of Tests in PTCSP  38 Railroads.....  836 records......  4 hours..........  3,344 hours.
     and PTCDP.
    --PTC Service Contractors    38 Railroads.....  18,240 records...  30 minutes.......  9,120 hours.
     Training Records.
    --Reports of Safety          38 Railroads.....  4 reports........  8 hours..........  32 hours.
     Relevant Hazards Exceeding
     Those in PTCSP and PTCDP.
    --Final Report of            38 Railroads.....  4 final reports..  160 hours........  640 hours.
     Resolution of
     Inconsistency.
236.1039--Operations &           38 Railroads.....  38 manuals.......  250 hours........  9,500 hours.
 Maintenance Manual (OMM):
 Development.
    --Positive Identification    38 Railroads.....  114,000 i.d.       1 hour...........  114,000 hours.
     of Safety-critical                              components.
     components.
    --Designated RR Officers in  38 Railroads.....  76 designations..  2 hours..........  152 hours.
     OMM. regarding PTC issues.
236.1041--PTC Training Programs  38 Railroads.....  38 programs......  400 hours........  15,200 hours.
236.1043--Task Analysis/Basic    38 Railroads.....  38 evaluations...  720 hours........  27,360 hours.
 Requirements: Training
 Evaluations.
    --Training Records.........  38 railroads.....  560 records......  10 minutes.......  93 hours.
236.1045--Training Specific to   38 Railroads.....  32 trained         20 hours.........  640 hours.
 Office Control Personnel.                           employees.
236.1047--Training Specific to   38 Railroads.....  7,600 trained      3 hours..........  22,800 hours.
 Loc. Engineers & Other                              conductors.
 Operating Personnel.
    --PTC Conductor Training...  38 Railroads.....  7,600 trained      3 hours..........  22,800 hours.
                                                     conductors.
----------------------------------------------------------------------------------------------------------------

    All estimates include the time for reviewing instructions;
searching existing data sources; gathering or maintaining the needed
data; and reviewing the information. Pursuant to 44 U.S.C.
3506(c)(2)(B), FRA solicits comments concerning: Whether these
information collection requirements are necessary for the proper
performance of the functions of FRA, including whether the information
has practical utility; the accuracy of FRA's estimates of the burden of
the information collection requirements; the quality, utility, and
clarity of the information to be collected; and whether the burden of
collection of information on those who are to respond, including
through the use of automated collection techniques or other forms of
information technology, may be minimized. For information or a copy of
the paperwork package submitted to OMB, contact Mr. Robert Brogan,
Information Clearance Officer, Office of Safety, at<PHONE_NUMBER>, or
Ms. Kimberly Toone, Office of Information Technology, at<PHONE_NUMBER>,
or via email at the following addresses<EMAIL_ADDRESS>
<EMAIL_ADDRESS>    Organizations and individuals desiring to submit comments on the
collection of information requirements should direct them to the Office
of Management and Budget, Office of Information and Regulatory Affairs,
Washington, DC 20503, Attention: FRA Desk Officer. Comments may also be
sent via email to the Office of Management and Budget at the following
address<EMAIL_ADDRESS>    OMB is required to make a decision concerning the collection of
information requirements contained in this final rule responding to
petitions for reconsideration 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 cannot impose a penalty on persons for violating information
collection requirements which do not display a current OMB control
number, if required. FRA intends to obtain current OMB control numbers
for any new information collection requirements resulting from this

rulemaking action prior to the effective date of this final rule. The
OMB control number, when assigned, will be announced by separate notice
in the Federal Register.

E. Federalism Implications

    Executive Order 13132, ``Federalism'' (64 FR 43255, Aug. 10, 1999),
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.'' ``Policies
that have federalism implications'' are defined in the Executive Order
to include regulations that have ``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.'' 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 rule in accordance with the principles and
criteria contained in Executive Order 13132. If adopted, this rule
would not have a substantial direct effect on the States, on the
relationship between the Federal government and the States, or on the
distribution of power and responsibilities among the various levels of
government. FRA has also determined that this rule would not impose
substantial direct compliance costs on State and local governments.
Therefore, the consultation and funding requirements of Executive Order
13132 do not apply.
    However, this rule could have preemptive effect by operation of law
under 49 U.S.C. 20106 (Section 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 ``local safety or security hazard'' exception to Section
20106.
    In sum, FRA has analyzed this rule in accordance with the
principles and criteria contained in Executive Order 13132. As
explained above, FRA has determined that this rule has no federalism
implications, other than the possible preemption of State laws under
Section 20106. Accordingly, FRA has determined that preparation of a
federalism summary impact statement for this rule is not required.

F. Environmental Impact

    FRA has evaluated this rule in accordance with its ``Procedures for
Considering Environmental Impacts'' (FRA's Procedures) (64 FR 28545,
May 26, 1999) as required by the National Environmental Policy Act (42
U.S.C. 4321 et seq.), other environmental statutes, Executive Orders,
and related regulatory requirements. FRA has determined that this
action is not a major FRA action (requiring the preparation of an
environmental impact statement or environmental assessment) because it
is categorically excluded from detailed environmental review pursuant
to section 4(c)(20) of FRA's Procedures. 64 FR 28547, May 26, 1999. In
accordance with section 4(c) and (e) of FRA's Procedures, the agency
has further concluded that no extraordinary circumstances exist with
respect to this final rule that might trigger the need for a more
detailed environmental review. As a result, FRA finds that this rule is
not a major Federal action significantly affecting the quality of the
human environment.

G. Unfunded Mandates Reform Act of 1995

    Pursuant to 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 the
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) [currently $140,800,000] 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. FRA is publishing this final rule
to provide additional flexibility in standards for the development,
testing, implementation, and use of PTC systems for railroads mandated
by RSIA to implement PTC systems. The RIA provides a detailed analysis
of the costs and benefits of the final rule. This analysis is the basis
for determining that this rule will not result in total expenditures by
State, local, or tribal governments, in the aggregate, or by the
private sector of $140,800,000 or more in any one year. The costs
associated with this final rule are reduced accident reduction from an
existing rule.

H. Energy Impact

    Executive Order 13211 requires Federal agencies to prepare a
Statement of Energy Effects for any ``significant energy action.'' See
66 FR 28355 (May 22, 2001). Under the Executive Order a ``significant
energy action'' is defined as any action by an agency that promulgates
or is expected to lead to the promulgation of a final rule or
regulation, including notices of inquiry, advance notices of proposed
rulemaking, and notices of proposed rulemaking: (1)(i) that is a
significant regulatory action under Executive Order 12866 or any
successor order, and (ii) is likely to have a significant adverse
effect on the supply, distribution, or use of energy; or (2) that is
designated by the Administrator of the Office of Information and
Regulatory Affairs as a significant energy action. FRA has evaluated
this rule in accordance with Executive Order 13211. FRA has determined
that this rule is not likely to have a significant adverse effect on
the supply, distribution, or use of energy. Consequently, FRA has
determined that this final rule is not a ``significant energy action''
within the meaning of the Executive Order.

I. Privacy Act

    FRA wishes to inform all interested parties that anyone is able to
search the electronic form of any written communications and comments
received into any agency docket by the name of the individual
submitting the document (or signing the document, if submitted on
behalf of an association, business, labor union, etc.). Interested
parties may also review DOT's complete Privacy Act Statement in the
Federal Register published on April 11, 2000

(65 FR 19477) or visit http://www.regulations.gov/#!privacyNotice.

List of Subjects

49 CFR Part 234

    Highway safety, Highway-rail grade crossings, Penalties, Railroad
safety, Reporting and recordkeeping requirements.

49 CFR Part 235

    Administrative practice and procedure, Penalties, Railroad safety,
Reporting and recordkeeping requirements.

49 CFR Part 236

    Penalties, Positive Train Control, Railroad safety, Reporting and
recordkeeping requirements.

The Rule

    In consideration of the foregoing, FRA amends chapter II, subtitle
B of title 49, Code of Federal Regulations as follows:

PART 234--[AMENDED]

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1. The authority citation for part 234 continues to read as follows:

    Authority: 49 U.S.C. 20103, 20107, 20152, 21301, 21304, 21311,
22501 note; Pub. L. 110-432, Div. A, Secs. 202, 205; 28 U.S.C. 2461,
note; and 49 CFR 1.89.
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2. Revise Sec.  234.207 to read as follows:

Sec.  234.207  Adjustment, repair, or replacement of component.

    (a) When any essential component of a highway-rail grade crossing
warning system fails to perform its intended function, including but
not limited to failures resulting in an activation failure, partial
activation, or false activation, the cause shall be determined and the
faulty component adjusted, repaired, or replaced without undue delay.
    (b) If the failure of an essential component results in an
activation failure, partial activation, or false activation, as defined
in Sec.  234.5, a railroad shall take appropriate action under Sec.
234.105, Activation failure, Sec.  234.106, Partial activation, or
Sec.  234.107, False activation, until adjustment, repair, or
replacement of the essential component is completed.

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3. Revise Sec.  234.213 to read as follows:

Sec.  234.213  Grounds.

    (a) General. Except as provided in paragraph (b) of this section,
each circuit that affects the proper functioning of a highway-rail
grade crossing warning system shall be kept free of any ground or
combination of grounds that will permit a current flow of 75 percent or
more of the value necessary to retain a permissive state of a safety
appliance.
    (b) Exception. Paragraph (a) of this section does not apply to the
following:
    (1) Circuits that include track rail;
    (2) Alternating current power distribution circuits that are
grounded in the interest of safety;
    (3) Circuitry internal to microprocessor-based appliances;
    (4) Circuitry internal to semiconductor-based memory; and
    (5) Common return wires of grounded common return single break
circuits.

PART 235--[AMENDED]

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4. The authority citation for part 235 is revised to read as follows:

    Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49
CFR 1.89.

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5. Add Sec.  235.6 to read as follows:

Sec.  235.6  Expedited application for approval of certain changes.

    (a) Qualifying changes. A railroad may seek approval under this
section, instead of under Sec. Sec.  235.5 and 235.9-235.20 of this
chapter for the following changes:
    (1) Modification of a signal system consisting of the installation,
relocation, or removal of one or more signals, interlocked switches,
derails, movable-point frogs, or electric locks in an existing system
directly associated with the implementation of positive train control
pursuant to subpart I of part 236 of this chapter, if the modification
does not include the discontinuance or decrease of limits of a signal
or train control system.
    (2) [Reserved]
    (b) Procedure of expedited application. (1) To seek approval under
this section, a railroad shall provide a notice and profile plan for
the proposed modification to the FRA Regional Administrator having
jurisdiction over the affected territory.
    (2) Simultaneously with its filing with the FRA Regional
Administrator, the railroad shall serve, either by hard copy or
electronically, a copy of the notice and profile plan to
representatives of employees responsible for maintenance, inspection,
and testing of the affected signal system under part 236 of this
chapter, as well as representatives of employees responsible for
operating trains or locomotives in the affected territory.
    (3) The railroad shall include in its submission to the FRA
Regional Administrator a statement affirming that the railroad has
complied with the requirements of paragraph (b)(2) of this section,
together with a list of the names and addresses of the persons served.
    (4) In response to receipt of a notice and profile plan under
paragraph (b)(1) of this section, the Regional Administrator shall in
writing deny or approve, in full or in part, and with or without
conditions, the request for signal system modification. For any portion
of the request that is denied, the Regional Administrator shall refer
the issue to the Railroad Safety Board as an application to modify the
signal system.
    (5) A railroad may rescind its application to the Regional
Administrator and submit an application under Sec. Sec.  235.5 and
235.9-235.20 of this chapter at any time prior to the decision of the
Regional Administrator.
    (c) The resultant arrangement of any change under this section
shall comply with part 236 of this chapter.

PART 236--[AMENDED]

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6. The authority citation for part 236 is revised to read as follows:

    Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20141, 20157,
20301-20303, 20306, 20701-20703, 21301-21302, 21304; 28 U.S.C. 2461,
note; and 49 CFR 1.89.

Sec.  236.0  [Amended]

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7. In Sec.  236.0, remove paragraph (i).

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8. Revise Sec.  236.2 to read as follows:

Sec.  236.2  Grounds.

    (a) General. Except as provided in paragraph (b) of this section,
each circuit, the functioning of which affects the safety of train
operations, shall be kept free of any ground or combination of grounds
having a current flow of 75 percent or more of the value necessary to
retain a permissive state of a safety appliance.
    (b) Exception. Paragraph (a) of this section does not apply to the
following:
    (1) Circuits that include any track rail;
    (2) The common return wires of single-wire, single-break, and
signal control circuits using a grounded common;
    (3) Circuitry internal to microprocessor-based appliances;
    (4) Circuitry internal to semiconductor-based memory; or
    (5) Alternating current power distribution circuits that are
grounded in the interest of safety.

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9. Revise Sec.  236.15 to read as follows:

Sec.  236.15  Timetable instructions.

    Automatic block, traffic control, train stop, train control, cab
signal, and positive train control territory shall be designated in
timetable instructions.

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10. Revise Sec.  236.567 to read as follows:

Sec.  236.567  Restrictions imposed when device fails and/or is cut out
en route.

    (a) Except as provided in subparts H or I of this part, where an
automatic train stop, train control, or cab signal device fails and/or
is cut out en route, the train on which the device is inoperative may
proceed to the next available point of communication where report must
be made to a designated officer, at speeds not to exceed the following:
    (1) If no block signal system is in operation, restricted speed; or
    (2) If a block signal system is in operation, according to signal
indication but not to exceed 40 miles per hour.
    (b) Upon completion and communication of the report required by
paragraph (a) of this section, a train may continue to a point where an
absolute block can be established in advance of the train at speeds not
to exceed the following:
    (1) If no block signal system is in operation, restricted speed; or
    (2) If a block signal system is in operation, according to signal
indication but not to exceed 40 miles per hour.
    (c) Upon reaching the location where an absolute block has been
established in advance of the train, as referenced in paragraph (b) of
this section, the train may proceed at speeds not to exceed the
following:
    (1) If no block signal system is in operation and the train is a
passenger train, 59 miles per hour;
    (2) If no block signal system is in operation and the train is a
freight train, 49 miles per hour; and
    (3) If a block signal system is in operation, 79 miles per hour.

Sec.  236.1003  [Amended]

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11. In Sec.  236.1003, remove the words ``PIH Materials'' and add, in
their place, ``PIH materials''.

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12. In Sec.  236.1005, revise the header row in the table in paragraph
(a)(1)(i), revise the heading of paragraph (b)(4)(iii), and revise
paragraphs (b)(4)(iii)(A), (b)(4)(iii)(B), and (b)(4)(iii)(C) to read
as follows:

Sec.  236.1005  Requirements for Positive Train Control systems.

    (a) * * *
    (1) * * *
    (i) * * *

------------------------------------------------------------------------
                                                           Protection
          Crossing type                Max. speed           required
------------------------------------------------------------------------

                                * * * * *
------------------------------------------------------------------------

    (b) * * *
    (4) * * *
    (iii) Freight lines with de minimis risk not used for regularly
provided intercity or commuter rail passenger service. (A) In a PTCIP
or an RFA, a railroad may request review of the requirement to install
a PTC system on a track segment where a PTC system is otherwise
required by this section, but has not yet been installed, based upon
the presence of a minimal quantity of PIH materials traffic. Any such
request shall be accompanied by estimated traffic projections for the
next 5 years (e.g., as a result of planned rerouting, coordination, or
location of new business on the line). Where the request involves prior
or planned rerouting of PIH materials traffic, the railroad must
provide the information and analysis identified in paragraph (b)(4)(i)
of this section. The submission shall also include a full description
of potential safety hazards on the segment of track and fully describe
train operations over the line. This paragraph does not apply to line
segments used for commuter rail or intercity rail passenger service.
    (B) Absent special circumstances related to specific hazards
presented by operations on the line segment, FRA will approve a request
for relief under this paragraph for a rail line segment that meets all
of the following criteria:
    (1) That carries less than 15 million gross tons annually;
    (2) That does not have a heavy grade as ``heavy grade'' is defined
in Sec.  232.407 of this chapter for any train operating over the track
segment;
    (3) Where the railroad adopts and complies with an operating rule
requiring the crew of any train approaching working limits established
under part 214 of this chapter to notify the roadway worker in charge
of the train's approach at least 2 miles in advance of the working
limits or, if the train crew does not have advance knowledge of the
working limits, as soon as practical;
    (4) That carries fewer than 100 cars containing PIH materials per
year, excluding those cars containing only a residue, as defined in
Sec.  171.8 of this title, of PIH materials;
    (5) That carries 2 or fewer trains per day carrying any quantity of
PIH materials;
    (6) Where trains carrying any quantity of PIH materials operate at
speeds not to exceed 40 miles per hour; and
    (7) Where any train transporting a car containing any quantity of
PIH materials is operated with a vacant block ahead of and behind the
train.
    (C) FRA may, in its discretion, approve other track segments not
used for regularly provided intercity or commuter passenger service
that have posed an equivalent or lesser level of risk of a PTC-
preventable accident or PIH materials release as those track segments
covered by paragraph (b)(4)(iii)(B) of this section, where such other
track segments are similar to those covered by paragraph (b)(4)(iii)(B)
of this section.
* * * * *

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13. In Sec.  236.1006, revise paragraph (a), remove and reserve
paragraph (b)(2), and add paragraphs (b)(5) and (d) to read as follows:

Sec.  236.1006  Equipping locomotives operating in PTC territory.

    (a) General. Except as provided in paragraph (b) of this section,
each locomotive, locomotive consist, or train on any track segment
equipped with a PTC system shall be controlled by a locomotive equipped
with an onboard PTC apparatus that is fully operative and functioning
in accordance with the applicable PTCSP approved under this subpart.
    (b) * * *
    (2) [Reserved]
* * * * *
    (5) Freight yard movements. For the purpose of freight switching
service or freight transfer train service, a locomotive, locomotive
consist, or train may operate without onboard PTC apparatus installed
or operational where an onboard PTC apparatus is otherwise required by
this part only if all of the following six requirements and conditions
are met:
    (i) The locomotive, locomotive consist, or train must be engaged in
freight switching service or freight transfer train service, including
yard, local, industrial, and hostling service, movements in connection
with the assembling or disassembling of trains, and work trains;
    (ii) The movement must originate either:
    (A) In a yard; or
    (B) Within 20 miles of a yard with the yard as the final
destination point;
    (iii) The locomotive, locomotive consist, or train shall not travel
to a point in excess of 20 miles from its point of entry onto the PTC-
equipped main line track;
    (iv) The speed of the locomotive, locomotive consist, or train
shall not exceed restricted speed, except if:
    (A) No other locomotive, locomotive consist, or train is operating
on any part of the route without an operational onboard PTC apparatus;
    (B) No working limits are established under part 214 of this
chapter on any part of the route; and
    (C) Either an air brake test under part 232 of this chapter is
performed, in

which case the locomotive, locomotive consist, or train may proceed at
a speed not to exceed 30 miles per hour; or an air brake test under
part 232 of this chapter is not performed, in which case the
locomotive, locomotive consist, or train may proceed at a speed not to
exceed 20 miles per hour;
    (v) The speed of the locomotive, locomotive consist, or train shall
not exceed restricted speed on PTC-equipped track where the route
terminates; and
    (vi) The route of the locomotive or train is protected against
conflicting operations by the PTC system and sufficient operating rules
to protect against train-to-train collisions, as specified in the
PTCSP.
    (vii) FRA may, in its discretion, approve yard movement procedures
other than the yard movement procedures in paragraphs (b)(5)(i) through
(b)(5)(vi) of this section in a PTCSP or an RFA that provide an
equivalent or greater level of safety as the requirements of paragraphs
(b)(5)(i) through (b)(5)(vi) of this section, where such procedures are
similar to those of paragraphs (b)(5)(i) through (b)(5)(vi) of this
section.
    (viii) A locomotive, locomotive consist, or train with an operative
onboard PTC apparatus may assist a locomotive, locomotive consist, or
train operating without an operative onboard PTC apparatus for purposes
such as locomotive malfunction, rescue of locomotive or cars, or to add
or remove power, provided that such a movement is made at restricted
speed.
* * * * *
    (d) Onboard PTC apparatus. (1) The onboard PTC apparatus shall be
so arranged that each member of the crew assigned to perform duties in
the locomotive can receive the same PTC information displayed in the
same manner and execute any functions necessary to that crew member's
duties. The locomotive engineer shall not be required to perform
functions related to the PTC system while the train is moving that have
the potential to distract the locomotive engineer from performance of
other safety-critical duties.
    (2) The onboard PTC apparatus may be distributed among multiple
locomotives if such functionality is included with the applicable PTCSP
approved under this subpart. The controlling locomotive shall be
equipped with a fully operative interface that complies with paragraph
(d)(1) of this section and is consistent with appendix E of this part.

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14. Add Sec.  236.1009(a)(5) to read as follows:

Sec.  236.1009  Procedural requirements.

    (a) * * *
    (5) Each railroad filing a PTCIP shall report annually, on the
anniversary of its original PTCIP submission, and until its PTC system
implementation is complete, its progress towards fulfilling the goals
outlined in its PTCIP under this part, including progress towards PTC
system installation pursuant to Sec.  236.1005 and onboard PTC
apparatus installation and use in PTC-equipped track segments pursuant
to Sec.  236.1006, as well as impediments to completion if each of the
goals.
* * * * *

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15. Add Sec.  236.1015(d)(21) to read as follows:

Sec.  236.1015  PTC Safety Plan content requirements and PTC System
Certification.

* * * * *
    (d) * * *
    (21) A list of each location where a locomotive with a failed
onboard PTC apparatus will be regularly be exchanged or repaired
pursuant to Sec.  236.1029(b)(6) and a list of each movement that could
take place pursuant to Sec.  236.1029(b)(6) if the movement potentially
could exceed 500 miles.
* * * * *

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16. Section 236.1029 is amended by--
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a. Revising the section heading,
0
b. Revising the last sentence in paragraph (a),
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c. Revising paragraphs (b) and (c),
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d. Removing and reserving paragraph (f), and
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e. Adding paragraphs (g) and (h).
    The revisions and additions read as follows:

Sec.  236.1029  PTC system use and failures.

    (a) In general. * * * Until repair of such essential components is
completed, a railroad shall take appropriate action as specified in its
PTCSP.
    (b) En route failures. Except as provided in paragraphs (c) and (g)
of this section, where a controlling locomotive that is operating in,
or is to be operated within, a PTC-equipped track segment experiences
PTC system failure or the PTC system is otherwise cut out while en
route (i.e., after the train has departed its initial terminal), the
train may only continue in accordance with all of the following:
    (1) Except as provided in paragraph (b)(5) of this section, where
no block signal system is in use, the train may proceed at a speed not
to exceed 40 miles per hour; however, if the involved train is
transporting one or more cars containing PIH materials, excluding those
cars containing only a residue of PIH materials, the train may only
proceed at a speed not to exceed 30 miles per hour.
    (2) Where a block signal system is in place:
    (i) A passenger train may proceed at a speed not to exceed 59 miles
per hour;
    (ii) A freight train transporting one or more cars containing PIH
materials, excluding those cars containing only a residue of PIH
materials, may proceed at a speed not to exceed 40 miles per hour; and
    (iii) Any other freight train may proceed at a speed not to exceed
49 miles per hour.
    (3) Where a cab signal system with an automatic train control
system is in use, the train may proceed at a speed not to exceed 79
miles per hour.
    (4) A report of the failure or cut-out must be made to a designated
railroad officer of the host railroad as soon as safe and practicable.
    (5) Where the PTC system is the exclusive method of delivering
mandatory directives, an absolute block must be established in advance
of the train as soon as safe and practicable, and the train shall not
exceed restricted speed until the absolute block in advance of the
train is established.
    (6) Where the failure or cut-out is a result of a defective onboard
PTC apparatus, the train may continue no farther than the next forward
designated location for the repair or exchange of onboard PTC
apparatuses.
    (c) Exception for alternative system failure procedure. A railroad
may submit for approval a PTCSP, an RFA, or an Order of Particular
Applicability with an alternative system failure procedure other than
that required by paragraph (b) of this section. FRA may, in its
discretion, approve such an alternative system failure procedure if it
provides similar requirements of, and an equivalent or greater level of
safety as, the requirements of paragraph (b) of this section.
* * * * *
    (f) [Reserved]
    (g) Temporary exceptions. From October 21, 2014 through the 24
months following the date of required PTC system implementation
established by section 20157 of title 49 of the United States Code--
    (1) A railroad's PTCSP or Order of Particular Applicability may
provide for compliance with the en route failure requirements of Sec.
236.567 instead of paragraph (b) of this section where a controlling
locomotive that is operating

in, or is to be operated within, a PTC-equipped track segment
experiences PTC system failure or the PTC system is otherwise cut out
while en route;
    (2) A train may proceed as prescribed under either paragraph (b) of
this section or Sec.  236.567 where the PTC system fails to initialize
for any reason prior to the train's departure from its initial
terminal; and
    (3) A railroad's PTCSP may provide for the temporary disabling of
PTC system service where necessary to perform PTC system repair or
maintenance. In this paragraph (g)(3), ``PTC system service'' does not
refer to the failure of the onboard PTC apparatus for a single
locomotive, locomotive consist, or train.
    (i) The PTCSP shall specify appropriate operating rules to apply
when the PTC system is temporarily disabled in accordance with this
paragraph (g)(3).
    (ii) The railroad shall make reasonable efforts to schedule the
temporary disabling of PTC system service for times posing the least
risk to railroad safety.
    (iii) The railroad shall provide notice to the FRA regional office
having jurisdiction over that territory at least 7 days in advance of
planned temporary disabling of PTC system service and contemporaneous
notice for unplanned temporary disabling of PTC system service.
    (iv) The PTC system that is temporarily disabled in accordance with
this paragraph (g)(3) shall be placed back into service without undue
delay.
    (h) Annual report of system failures. Annually, by April 16 of each
year following the date of required PTC system implementation
established by section 20157 of title 49 of the United States Code,
each railroad shall provide FRA with a report of the number of PTC
failures that occurred during the previous calendar year. The report
shall identify failures by category, including but not limited to
locomotive, wayside, communications, and back office system failures.

    Issued in Washington, DC, on August 8, 2014.
Joseph C. Szabo,
Administrator.
[FR Doc. 2014-19849 Filed 8-21-14; 8:45 am]
BILLING CODE 4910-06-P