Agency Request for Regular Processing of Collection of Information by the Office of Management and Budget, 28140-28153 [2016-10831]

Download as PDF 28140 Federal Register / Vol. 81, No. 89 / Monday, May 9, 2016 / Notices FMCSA–1999–6480; FMCSA–2000– 7363; FMCSA–2004–17195; FMCSA– 2005–23099; FMCSA–2007–0071; FMCSA–2009–0011; FMCSA–2009– 0291; FMCSA–2009–0303; FMCSA– 2010–0050; FMCSA–2011–0379; FMCSA–2011–0380; FMCSA–2012– 0040; FMCSA–2012–0104; FMCSA– 2013–0174; FMCSA–2014–0002; FMCSA–2014–0003; FMCSA–2014– 0004; FMCSA–2014–0005 and click the search button. When the new screen appears, click on the blue ‘‘Comment Now!’’ button on the right hand side of the page. On the new page, enter information required including the specific section of this document to which each comment applies, and provide a reason for each suggestion or recommendation. If you submit your comments by mail or hand delivery, submit them in an unbound format, no larger than 81⁄2 by 11 inches, suitable for copying and electronic filing. If you submit comments by mail and would like to know that they reached the facility, please enclose a stamped, selfaddressed postcard or envelope. We will consider all comments and material received during the comment period. FMCSA may issue a final rule at any time after the close of the comment period. Viewing Comments and Documents To view comments, as well as any documents mentioned in this preamble, go to http://www.regulations.gov and in the search box insert the docket number FMCSA–1999–6480; FMCSA–2000– 7363; FMCSA–2004–17195; FMCSA– 2005–23099; FMCSA–2007–0071; FMCSA–2009–0011; FMCSA–2009– 0291; FMCSA–2009–0303; FMCSA– 2010–0050; FMCSA–2011–0379; FMCSA–2011–0380; FMCSA–2012– 0040; FMCSA–2012–0104; FMCSA– 2013–0174; FMCSA–2014–0002; FMCSA–2014–0003; FMCSA–2014– 0004; FMCSA–2014–0005 and click ‘‘Search.’’ Next, click ‘‘Open Docket Folder’’ and you will find all documents and comments related to this notice. Issued on: April 29, 2016. Larry W. Minor, Associate Administrator for Policy. [FR Doc. 2016–10797 Filed 5–6–16; 8:45 am] BILLING CODE 4910–EX–P DEPARTMENT OF TRANSPORTATION Federal Railroad Administration SUPPLEMENTARY INFORMATION: [Docket No. FRA–2016–0002–N–13] I. Background Agency Request for Regular Processing of Collection of Information by the Office of Management and Budget Under 49 U.S.C. 20157, as amended by the Positive Train Control Enforcement and Implementation Act of 2015 (PTCEI Act), FRA must conduct compliance reviews, at least annually, to ensure each railroad is complying with its revised PTC implementation plan (PTCIP). The PTCEI Act requires railroads to provide information to FRA that FRA determines is necessary to adequately conduct such compliance reviews. See 49 U.S.C. 20157(c)(2). To effectively monitor industry’s implementation of PTC systems, FRA is proposing to require each subject railroad to submit quarterly reports on its implementation progress, in addition to the annual progress reports the PTCEI Act mandated, under FRA’s statutory and regulatory investigative authorities. See 49 U.S.C. 20157(c)(2); see also 49 U.S.C. 20107, 20902; 49 CFR 236.1009(h). Specifically, FRA is proposing that, in addition to the annual report due each March 31 under 49 U.S.C. 20157(c)(1), railroads must provide quarterly progress reports covering the preceding three-month period and submit the forms to FRA on the dates in the following table until full PTC system implementation is completed: Federal Railroad Administration (FRA), United States Department of Transportation (DOT). ACTION: Notice. AGENCY: Consistent with the Paperwork Reduction Act of 1995 (PRA) and its implementing regulations, this document provides notice that FRA is submitting the following Information Collection Request (ICR) to the Office of Management and Budget (OMB) to collect information on railroads’ implementation of positive train control (PTC) systems on a quarterly form. FRA requests regular processing and OMB authorization to collect the information on the quarterly form identified below 30 days after publication of this notice for a period of three years. FOR FURTHER INFORMATION CONTACT: A copy of this ICR, with any public applicable supporting documentation, may be obtained by calling FRA’s Office of Safety Information Collection Clearance Officer, Robert Brogan at (202) 493–6292, or FRA’s Office of Administration Information Collection SUMMARY: Coverage period mstockstill on DSK3G9T082PROD with NOTICES Q1 Q2 Q3 Q4 ................................. ................................. ................................. ................................. VerDate Sep<11>2014 Due dates for quarterly reports January 1–March 31 ........................................................... April 1–June 30 ................................................................... July 1–September 30 .......................................................... October 1—December 31 ................................................... FRA delayed the due date for submitting the first quarterly report to allow time for the normal 60 days of notice and public comment to FRA, and the additional 30 days of public comment to OMB while the submission undergoes OMB review as required under the PRA and its concomitant regulations. See 44 U.S.C. 3501–3520; 5 CFR 1320.8(d)(1), 1320.10(e)(1), 1320.12(a). 17:44 May 06, 2016 Jkt 238001 Clearance Officer, Kimberly Toone at (202) 493–6132; these numbers are not toll-free; or by contacting Mr. Brogan via facsimile at (202) 493–6216 or Ms. Toone via facsimile at (202) 493–6497, or via email by contacting Mr. Brogan at Robert.Brogan@dot.gov, or by contacting Ms. Toone at Kim.Toone@dot.gov. Comments or questions about any aspect of this ICR should be directed to OMB’s Office of Information and Regulatory Affairs, Attn: FRA OMB Desk Officer. June 30, 2016, and each April 30 thereafter. July 31. October 31. January 31. FRA is proposing that each railroad must submit its quarterly progress reports on Form FRA F 6180.165 using FRA’s Secure Information Repository (SIR) at https://sir.fra.dot.gov. FRA is proposing to let the less detailed monthly reporting that it currently requires (approved under OMB No. 2130–0553) expire in June 2016 when railroads would be required to begin providing the quarterly progress reports. PO 00000 Frm 00095 Fmt 4703 Sfmt 4703 II. Public Participation On March 7, 2016, FRA published a notice in the Federal Register seeking public comment on the proposed Quarterly PTC Progress Report Form. 81 FR 11878, Mar. 7, 2016. By letter dated April 12, 2016, the Association of American Railroads (AAR) submitted comments on behalf of itself and its member railroads. By letter and email E:\FR\FM\09MYN1.SGM 09MYN1 Federal Register / Vol. 81, No. 89 / Monday, May 9, 2016 / Notices mstockstill on DSK3G9T082PROD with NOTICES responses dated April 12, 2016, the American Public Transportation Association (APTA) provided comments from Metra, the Utah Transit Authority, the Tri-County Metropolitan Transportation District of Oregon, and the Fort Worth Transportation Authority. On April 19, 2016, FRA held a meeting on the proposed Quarterly PTC Progress Report Form to offer the affected regulated entities a forum to provide additional comments and feedback to FRA. Representatives from, and members of, AAR, APTA, and the American Short Line and Regional Railroad Association (ASLRRA) attended the meeting. FRA will publish minutes from the meeting in the docket as soon as practicable. FRA received the following summarized comments on the version of the Quarterly PTC Progress Report that FRA proposed on March 7, 2016. 81 FR 11878. FRA has modified the proposed form based on the industry’s comments and requests for clarification in those comments and in the meeting discussed above. The revised form that FRA will submit to OMB for review and approval is attached to this notice. A. Comments on Section 1—Summary AAR commented that the column heading ‘‘Quantity Completed As of Applicable Quarter’’ in the summary section was unclear and asked FRA to clarify whether that column refers to the quantity completed for the year as of the end of the quarter or just the quantity completed during the particular quarter. In response, FRA modified the heading to read ‘‘Cumulative Quantity Completed to Date’’ to clarify that FRA wants each railroad to provide a running cumulative total in the highlevel summary table. At the public meeting, CSX Transportation, Inc. (CSX) asked whether the row ‘‘Locomotives Fully Equipped’’ refers to locomotives with all necessary hardware installed or to locomotives with all necessary hardware installed that are mission capable and could begin operating in PTC service. FRA added the words ‘‘and PTC operable’’ to clarify its intent. Additionally, FRA eliminated the rows ‘‘Back Office Locations Completely Installed and Fully Operable’’ and ‘‘Dispatching Locations Completely Installed and Fully Operable’’ from the summary section, as AAR requested. Because several commenters requested FRA to make the Quarterly PTC Progress Report consistent with the Annual PTC Progress Report FRA published (see https://www.fra.dot.gov/ eLib/details/L17366) as much as VerDate Sep<11>2014 17:44 May 06, 2016 Jkt 238001 possible (where the questions overlap), FRA also added a comment box to the summary section and quantitative rows entitled ‘‘Route Miles in Testing or Revenue Service Demonstration’’ and ‘‘Route Miles in PTC Operation.’’ B. Comments on Section 2—Quarterly Update on Spectrum Based on AAR’s and ASLRRA’s comments at the public meeting that spectrum is difficult to quantify in the manner requested in the proposed form, FRA modified the quarterly form so a railroad can simply identify a spectrum coverage area and select from a dropdown menu the applicable status: Not acquired/not available for use; acquired but not available for use; or acquired and available for use. AAR asked FRA to clarify whether the section on spectrum is asking for a report about only the spectrum coverage missing and left to acquire or about all spectrum coverage. FRA clarified at the public meeting and in the soon-to-beposted meeting minutes that a railroad should base its progress report on the information it provided in its revised PTCIP. The PTCEI Act required each railroad to identify in its revised PTCIP the calendar year(s) when spectrum will be acquired and will be available for use in each area as needed for PTC implementation, if such spectrum was not already acquired and available for use. 49 U.S.C. 20157(a)(2)(A)(iii)(I). To make the form clearer, FRA added a footnote to the spectrum table, explaining that if the railroad reported in its revised PTCIP it had acquired all necessary spectrum and it was available for use, or the railroad’s technology does not require the use of spectrum, the railroad should indicate ‘‘N/A’’ in this table. Based on AAR’s request, FRA also added a comment box to the spectrum section so railroads can provide additional information or explanation. C. Comments on Section 3—Quarterly Update on Major Installations AAR, CSX, and Metra commented that FRA should delete the row entitled ‘‘Software for Train Management and Other Applications’’ from the table in Section 3 because software installation is not readily quantifiable. AAR specifically commented that ‘‘PTC software is versioned repeatedly over the course of the year with each release of defect remediation and improved functionality.’’ Based on these concerns, FRA deleted the quantitative category for software installation and instead added a comment box for software, specifically requesting each railroad to ‘‘describe (1) the railroad’s approach to PO 00000 Frm 00096 Fmt 4703 Sfmt 4703 28141 installation of PTC software on its locomotive fleet, and (2) any issues the railroad is experiencing with installed versions of train management software (e.g., reverting back to previous software versions due to errors in the current version).’’ With respect to the locomotive hardware installation table in Section 3, AAR commented that the ‘‘number of antennas, event recorders, displays, and other components [including GPS receivers] tells the FRA nothing relevant about how close that railroad is to adding mission-capable locomotives to its fleet.’’ Balancing FRA’s need to monitor railroads’ incremental implementation progress with the railroads’ request that FRA reduce the reporting burden, FRA decided to modify the form by deleting the categories regarding antennas, GPS receivers, and secondary communications equipment. Moreover, FRA modified the row titles to clarify that a railroad should be reporting in terms of locomotives—for example, the railroad would report the quantity of locomotives with PTC displays installed, not the quantity of PTC displays installed. The Utah Transit Authority commented that the progress report is geared only towards railroads installing the Interoperable Electronic Train Management System (I–ETMS) and, thus, it is difficult to reflect Utah Transit Authority’s own progress implementing a PTC system because it states ‘‘N/A’’ for numerous categories, including spectrum, wayside interface units, and communication towers. FRA notes the PTCEI Act requires quantitative reporting for spectrum and these hardware categories. See 49 U.S.C. 20157(a)(2)(A)(iii)(III), (c)(1)(B), and (i). FRA added a general instruction to the cover page to clarify that railroads may indeed denote a section is not applicable if the particular hardware category does not apply to its technology. In footnotes 2 and 4 in the form, FRA also clarified that a railroad may elect to add categories or subcategories to the reporting form if it wants to provide more detail. Moreover, cognizant that each type of PTC system uses different hardware equipment, FRA chose to include ‘‘Transponder Readers’’ in the locomotive apparatus table in Section 3, which is a type of hardware used in non-I–ETMS types of PTC systems. Despite Utah Transit Authority’s suggestion, FRA will not create a different progress report for each type of PTC system because there is not a definite number of PTC systems, various railroads may even implement a specific type of PTC system in different E:\FR\FM\09MYN1.SGM 09MYN1 mstockstill on DSK3G9T082PROD with NOTICES 28142 Federal Register / Vol. 81, No. 89 / Monday, May 9, 2016 / Notices ways, and multiple reporting forms would be difficult to manage administratively. The Fort Worth Transportation Authority commented the quantities of back office locations and dispatching locations installed should be only an annual, not quarterly, reporting requirement because these are large and complex installations that may take many months or years to build. More generally, BNSF and ASLRRA commented that neither back office locations nor ‘‘physical back office system equipment’’ (the statutory term) are possible to quantify in a meaningful way because most railroads have only one back office. Based on railroads’ annual progress reports, however, FRA knows of at least one Class I railroad and one large passenger railroad that have more than one back office for PTC operations. To simplify the reporting burden, FRA has deleted the multifaceted quantitative table regarding back office and dispatching locations and instead provided a series of more direct quantitative questions—i.e., ‘‘How many physical back office locations are required for PTC operations, as reported in the PTCIP?’’ and ‘‘How many physical back office locations have been constructed with all necessary equipment installed?’’. Moreover, FRA is asking the same yes/no questions that it asked in the annual progress report— i.e., ‘‘Are the Back Office Location(s) fully operable with PTC?’’ and ‘‘Are the Dispatching Location(s) fully operable with PTC?’’. And, FRA added a comment box for more information or explanation. With respect to the Infrastructure— Wayside Installations table in Section 3, AAR commented that FRA should measure the hardware installation quantities system-wide, not by track segment, to reflect the railroad’s implementation status more accurately. As requested, FRA modified this table to be system-wide, significantly reducing the reporting burden for railroads. In addition, FRA eliminated the quantitative questions regarding ground wiring and modified the row to ask only a yes/no question as in the annual progress report. Finally, AAR commented that the ‘‘Year-to-Date Cumulative Total’’ is unclear because it could mean either the sum of the current year’s progress or a cumulative for all prior years. To resolve the ambiguity, FRA modified the heading to instead state ‘‘Sum of Quarterly Totals’’ so railroads know that the column calls for the sum of the current year’s progress. Also, for consistency with the annual progress report form, FRA added a ‘‘Cumulative VerDate Sep<11>2014 17:44 May 06, 2016 Jkt 238001 Quantity Installed’’ column for the tables in Section 3. column to the table in Section 5 and provided a comment box. D. Comments on Section 4— Installation/Track Segment Progress AAR commented that FRA should add a ‘‘status’’ column for each row in Section 3 and eliminate the redundancy of Section 4. AAR believes the information could be better organized in one table and thus avoid the need for cross-referencing between the two tables during the review process. However, at the public meeting, AAR acknowledged the preferred modification would be for FRA to eliminate the track segment granularity from Section 3 and leave Section 4 as is. Accordingly, FRA removed the track-segment by tracksegment aspect of Section 3, and did not modify Section 4. Metra commented that, due to limited funding, it does not intend to create Geographic Information System (GIS) shapefiles to support the information request in Section 4 of the form, which stated ‘‘For all live segments, please provide GIS shapefile or corresponding data for segments put into operation.’’ Instead, Metra commented that it could provide the geographic information in table format. FRA has decided to eliminate this particular reporting requirement from the quarterly form. In the annual progress report, FRA intends to clarify that a railroad can provide, for track segments that are operational and complete only, either GIS shapefiles or updated, geographical information sufficiently specific to allow FRA to maintain its GIS Database. F. Comments on Section 6—Quarterly Update on Interoperability Progress No comments were received on the interoperability section of the quarterly progress report form. However, FRA notes it modified this section to align with the revisions it made to this corresponding section in the annual progress report. E. Comments on Section 5—Quarterly Update on Employee Training Metra and AAR commented that the categories in the employee training section should align with the categories in 49 CFR 236.1041. Accordingly, FRA modified the employee categories in the quarterly form to correspond with the regulations, just as it did in the annual form, based on AAR’s similar comment. The Fort Worth Transportation Authority also commented that railroads should have to provide employee training updates only annually, not quarterly, and BNSF commented it is difficult to accurately quantify employee training due to hiring, firing, retiring, and so forth. Although FRA acknowledges there might be a certain level of fluidity to employee training, FRA will nonetheless continue to ask for a quantitative update for employee training consistent with the railroad’s revised PTCIP. For consistency with the annual progress report form, FRA added a ‘‘Cumulative # of Employees Trained’’ PO 00000 Frm 00097 Fmt 4703 Sfmt 4703 G. Comments on Burden Estimate, Applicability, and Formatting AAR commented that its member railroads estimate it will take approximately 40 hours to complete the quarterly progress report form, as opposed to the 1.5 hours that FRA estimated. FRA notes that the 1.57-hour estimate is an average for all railroads. FRA estimated that the quarterly reporting burden is 3 hours for Class I and large passenger railroads, 2 hours for Class II and medium passenger railroads, and .5 hours for Class III, terminal, and small passenger railroads. These estimates take into account that railroads have already completed and provided to FRA the Annual PTC Progress Report, which requests similar types of information as the form for the Quarterly PTC Progress Report, but with more sections. FRA maintains that the average reporting burden for the quarterly form is 1.57 hours, especially as FRA has eliminated portions of the quarterly form initially proposed on March 7, 2016. 81 FR 11878. Both ASLRRA and the Tri-County Metropolitan Transportation District of Oregon requested clarification about whether only host railroads must submit the quarterly progress reports or whether the reporting requirement also applies to tenant railroads. FRA notes that the annual reporting the PTCEI Act mandated applies to any entity subject to 49 U.S.C. 20157(a), and the scope of this quarterly reporting is the same. A tenant railroad may coordinate with its host railroad to ensure the host railroad captures the tenant railroad’s implementation progress in its progress reports. Once OMB approves this information collection, FRA will provide the Quarterly PTC Progress Report Form to railroads in fillable PDF and Excel formats, which would be available for download on https://www.fra.dot.gov/ eLib/details/L17365. For purposes of internal data tracking and analysis, FRA requests that each railroad submit its report in the native format—i.e., if the railroad uses the FRA-provided Excel document, the railroad should submit the report in Excel format. FRA has E:\FR\FM\09MYN1.SGM 09MYN1 28143 Federal Register / Vol. 81, No. 89 / Monday, May 9, 2016 / Notices provided the industry with prototypes of each format, and the public may submit comments on formatting preferences to OMB’s Office of Information and Regulatory Affairs (Attn: FRA OMB Desk Officer). III. Overview of Information Collection Title: Quarterly Positive Train Control Progress Report Form. Reporting Burden: The associated collection of information is summarized below. Quarterly PTC progress report Respondent universe Total annual responses Average time per response Form FRA F 6180.165 ................................... 41 Railroads ............... 164 Reports/Forms .... 1.573 hours ................ mstockstill on DSK3G9T082PROD with NOTICES Form Number: FRA F 6180.165. Respondent Universe: 41 Railroads. Frequency of Submission: On occasion. Total Estimated Responses for New Quarterly PTC Progress Report Form: 164. Total Estimated Responses for Entire Information Collection: 147,776. VerDate Sep<11>2014 17:44 May 06, 2016 Jkt 238001 Total Estimated Annual Burden for New PTC Quarterly Progress Report Forms: 258 hours. Total Estimated Burden for Entire Information Collection: 3,122,817. Status: Regular Review. Pursuant to 44 U.S.C. 3507(a) and 5 CFR 1320.5(b), 1320.8(b)(3)(vi), FRA informs all interested parties that it may not conduct or sponsor, and a respondent is not required to respond PO 00000 Frm 00098 Fmt 4703 Sfmt 4703 Total annual burden hours 258 hours to, a collection of information unless it displays a currently valid OMB control number. Authority: 44 U.S.C. 3501–3520, 49 U.S.C. 20157(c)(2); see also 49 U.S.C. 20107, 20902; 49 CFR 236.1009(h). Issued in Washington, DC, on April 29, 2016. Corey Hill, Executive Director. E:\FR\FM\09MYN1.SGM 09MYN1 28144 Federal Register / Vol. 81, No. 89 / Monday, May 9, 2016 / Notices Key Dotes for I'TC Implementation Quartorly Procress Reportinc: Nome of Railroad or Entity SUbject to 49 U.S.C. § 201!i7{oj: Railroad Corle: Quartorly I'TC Pragi'I!SS Report lor: VerDate Sep<11>2014 17:44 May 06, 2016 Jkt 238001 PO 00000 Frm 00099 Fmt 4703 Sfmt 4725 E:\FR\FM\09MYN1.SGM 09MYN1 EN09MY16.296</GPH> mstockstill on DSK3G9T082PROD with NOTICES Dote: VerDate Sep<11>2014 17:44 May 06, 2016 Jkt 238001 PO 00000 Frm 00100 Fmt 4703 Sfmt 4725 E:\FR\FM\09MYN1.SGM 09MYN1 28145 EN09MY16.297</GPH> mstockstill on DSK3G9T082PROD with NOTICES Federal Register / Vol. 81, No. 89 / Monday, May 9, 2016 / Notices VerDate Sep<11>2014 Federal Register / Vol. 81, No. 89 / Monday, May 9, 2016 / Notices 17:44 May 06, 2016 Jkt 238001 PO 00000 Frm 00101 Fmt 4703 Sfmt 4725 E:\FR\FM\09MYN1.SGM 09MYN1 EN09MY16.298</GPH> mstockstill on DSK3G9T082PROD with NOTICES 28146 Federal Register / Vol. 81, No. 89 / Monday, May 9, 2016 / Notices 28147 VerDate Sep<11>2014 17:44 May 06, 2016 Jkt 238001 PO 00000 Frm 00102 Fmt 4703 Sfmt 4725 E:\FR\FM\09MYN1.SGM 09MYN1 EN09MY16.299</GPH> mstockstill on DSK3G9T082PROD with NOTICES 3. Quarterly Update on Major Installations 28148 Federal Register / Vol. 81, No. 89 / Monday, May 9, 2016 / Notices VerDate Sep<11>2014 17:44 May 06, 2016 Jkt 238001 PO 00000 Frm 00103 Fmt 4703 Sfmt 4725 E:\FR\FM\09MYN1.SGM 09MYN1 EN09MY16.300</GPH> mstockstill on DSK3G9T082PROD with NOTICES Infrastructure/Back Office Status Federal Register / Vol. 81, No. 89 / Monday, May 9, 2016 / Notices VerDate Sep<11>2014 lnfrutructur<!/Wayside Status 17:44 May 06, 2016 Jkt 238001 PO 00000 Frm 00104 Fmt 4703 Sfmt 4725 E:\FR\FM\09MYN1.SGM 09MYN1 EN09MY16.301</GPH> mstockstill on DSK3G9T082PROD with NOTICES 3.3. 28149 28150 Federal Register / Vol. 81, No. 89 / Monday, May 9, 2016 / Notices VerDate Sep<11>2014 17:44 May 06, 2016 Jkt 238001 PO 00000 Frm 00105 Fmt 4703 Sfmt 4725 E:\FR\FM\09MYN1.SGM 09MYN1 EN09MY16.302</GPH> mstockstill on DSK3G9T082PROD with NOTICES 4. Installation/Track Segment Progress- Current Status 5 VerDate Sep<11>2014 17:44 May 06, 2016 Jkt 238001 PO 00000 Frm 00106 Fmt 4703 Sfmt 4725 E:\FR\FM\09MYN1.SGM 09MYN1 28151 EN09MY16.303</GPH> mstockstill on DSK3G9T082PROD with NOTICES Federal Register / Vol. 81, No. 89 / Monday, May 9, 2016 / Notices 28152 Federal Register / Vol. 81, No. 89 / Monday, May 9, 2016 / Notices VerDate Sep<11>2014 17:44 May 06, 2016 Jkt 238001 PO 00000 Frm 00107 Fmt 4703 Sfmt 4725 E:\FR\FM\09MYN1.SGM 09MYN1 EN09MY16.304</GPH> mstockstill on DSK3G9T082PROD with NOTICES 6. Quarterly Update on lnteroperabilfty Progress and Other Formal Agreements Federal Register / Vol. 81, No. 89 / Monday, May 9, 2016 / Notices 28153 [FR Doc. 2016–10831 Filed 5–6–16; 8:45 am] VerDate Sep<11>2014 17:44 May 06, 2016 Jkt 238001 PO 00000 Frm 00108 Fmt 4703 Sfmt 9990 E:\FR\FM\09MYN1.SGM 09MYN1 EN09MY16.305</GPH> mstockstill on DSK3G9T082PROD with NOTICES BILLING CODE 4910–06–P

Agencies

[Federal Register Volume 81, Number 89 (Monday, May 9, 2016)]
[Notices]
[Pages 28140-28153]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-10831]


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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

[Docket No. FRA-2016-0002-N-13]


Agency Request for Regular Processing of Collection of 
Information by the Office of Management and Budget

AGENCY: Federal Railroad Administration (FRA), United States Department 
of Transportation (DOT).

ACTION: Notice.

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

SUMMARY: Consistent with the Paperwork Reduction Act of 1995 (PRA) and 
its implementing regulations, this document provides notice that FRA is 
submitting the following Information Collection Request (ICR) to the 
Office of Management and Budget (OMB) to collect information on 
railroads' implementation of positive train control (PTC) systems on a 
quarterly form. FRA requests regular processing and OMB authorization 
to collect the information on the quarterly form identified below 30 
days after publication of this notice for a period of three years.

FOR FURTHER INFORMATION CONTACT: A copy of this ICR, with any public 
applicable supporting documentation, may be obtained by calling FRA's 
Office of Safety Information Collection Clearance Officer, Robert 
Brogan at (202) 493-6292, or FRA's Office of Administration Information 
Collection Clearance Officer, Kimberly Toone at (202) 493-6132; these 
numbers are not toll-free; or by contacting Mr. Brogan via facsimile at 
(202) 493-6216 or Ms. Toone via facsimile at (202) 493-6497, or via 
email by contacting Mr. Brogan at Robert.Brogan@dot.gov, or by 
contacting Ms. Toone at Kim.Toone@dot.gov. Comments or questions about 
any aspect of this ICR should be directed to OMB's Office of 
Information and Regulatory Affairs, Attn: FRA OMB Desk Officer.

SUPPLEMENTARY INFORMATION: 

I. Background

    Under 49 U.S.C. 20157, as amended by the Positive Train Control 
Enforcement and Implementation Act of 2015 (PTCEI Act), FRA must 
conduct compliance reviews, at least annually, to ensure each railroad 
is complying with its revised PTC implementation plan (PTCIP). The 
PTCEI Act requires railroads to provide information to FRA that FRA 
determines is necessary to adequately conduct such compliance reviews. 
See 49 U.S.C. 20157(c)(2).
    To effectively monitor industry's implementation of PTC systems, 
FRA is proposing to require each subject railroad to submit quarterly 
reports on its implementation progress, in addition to the annual 
progress reports the PTCEI Act mandated, under FRA's statutory and 
regulatory investigative authorities. See 49 U.S.C. 20157(c)(2); see 
also 49 U.S.C. 20107, 20902; 49 CFR 236.1009(h). Specifically, FRA is 
proposing that, in addition to the annual report due each March 31 
under 49 U.S.C. 20157(c)(1), railroads must provide quarterly progress 
reports covering the preceding three-month period and submit the forms 
to FRA on the dates in the following table until full PTC system 
implementation is completed:

------------------------------------------------------------------------
                                                        Due dates for
                                 Coverage period      quarterly reports
------------------------------------------------------------------------
Q1..........................  January 1-March 31..  June 30, 2016, and
                                                     each April 30
                                                     thereafter.
Q2..........................  April 1-June 30.....  July 31.
Q3..........................  July 1-September 30.  October 31.
Q4..........................  October 1--December   January 31.
                               31.
------------------------------------------------------------------------

FRA delayed the due date for submitting the first quarterly report to 
allow time for the normal 60 days of notice and public comment to FRA, 
and the additional 30 days of public comment to OMB while the 
submission undergoes OMB review as required under the PRA and its 
concomitant regulations. See 44 U.S.C. 3501-3520; 5 CFR 1320.8(d)(1), 
1320.10(e)(1), 1320.12(a).
    FRA is proposing that each railroad must submit its quarterly 
progress reports on Form FRA F 6180.165 using FRA's Secure Information 
Repository (SIR) at https://sir.fra.dot.gov. FRA is proposing to let 
the less detailed monthly reporting that it currently requires 
(approved under OMB No. 2130-0553) expire in June 2016 when railroads 
would be required to begin providing the quarterly progress reports.

II. Public Participation

    On March 7, 2016, FRA published a notice in the Federal Register 
seeking public comment on the proposed Quarterly PTC Progress Report 
Form. 81 FR 11878, Mar. 7, 2016. By letter dated April 12, 2016, the 
Association of American Railroads (AAR) submitted comments on behalf of 
itself and its member railroads. By letter and email

[[Page 28141]]

responses dated April 12, 2016, the American Public Transportation 
Association (APTA) provided comments from Metra, the Utah Transit 
Authority, the Tri-County Metropolitan Transportation District of 
Oregon, and the Fort Worth Transportation Authority.
    On April 19, 2016, FRA held a meeting on the proposed Quarterly PTC 
Progress Report Form to offer the affected regulated entities a forum 
to provide additional comments and feedback to FRA. Representatives 
from, and members of, AAR, APTA, and the American Short Line and 
Regional Railroad Association (ASLRRA) attended the meeting. FRA will 
publish minutes from the meeting in the docket as soon as practicable.
    FRA received the following summarized comments on the version of 
the Quarterly PTC Progress Report that FRA proposed on March 7, 2016. 
81 FR 11878. FRA has modified the proposed form based on the industry's 
comments and requests for clarification in those comments and in the 
meeting discussed above. The revised form that FRA will submit to OMB 
for review and approval is attached to this notice.

A. Comments on Section 1--Summary

    AAR commented that the column heading ``Quantity Completed As of 
Applicable Quarter'' in the summary section was unclear and asked FRA 
to clarify whether that column refers to the quantity completed for the 
year as of the end of the quarter or just the quantity completed during 
the particular quarter. In response, FRA modified the heading to read 
``Cumulative Quantity Completed to Date'' to clarify that FRA wants 
each railroad to provide a running cumulative total in the high-level 
summary table.
    At the public meeting, CSX Transportation, Inc. (CSX) asked whether 
the row ``Locomotives Fully Equipped'' refers to locomotives with all 
necessary hardware installed or to locomotives with all necessary 
hardware installed that are mission capable and could begin operating 
in PTC service. FRA added the words ``and PTC operable'' to clarify its 
intent.
    Additionally, FRA eliminated the rows ``Back Office Locations 
Completely Installed and Fully Operable'' and ``Dispatching Locations 
Completely Installed and Fully Operable'' from the summary section, as 
AAR requested.
    Because several commenters requested FRA to make the Quarterly PTC 
Progress Report consistent with the Annual PTC Progress Report FRA 
published (see https://www.fra.dot.gov/eLib/details/L17366) as much as 
possible (where the questions overlap), FRA also added a comment box to 
the summary section and quantitative rows entitled ``Route Miles in 
Testing or Revenue Service Demonstration'' and ``Route Miles in PTC 
Operation.''

B. Comments on Section 2--Quarterly Update on Spectrum

    Based on AAR's and ASLRRA's comments at the public meeting that 
spectrum is difficult to quantify in the manner requested in the 
proposed form, FRA modified the quarterly form so a railroad can simply 
identify a spectrum coverage area and select from a dropdown menu the 
applicable status: Not acquired/not available for use; acquired but not 
available for use; or acquired and available for use.
    AAR asked FRA to clarify whether the section on spectrum is asking 
for a report about only the spectrum coverage missing and left to 
acquire or about all spectrum coverage. FRA clarified at the public 
meeting and in the soon-to-be-posted meeting minutes that a railroad 
should base its progress report on the information it provided in its 
revised PTCIP. The PTCEI Act required each railroad to identify in its 
revised PTCIP the calendar year(s) when spectrum will be acquired and 
will be available for use in each area as needed for PTC 
implementation, if such spectrum was not already acquired and available 
for use. 49 U.S.C. 20157(a)(2)(A)(iii)(I). To make the form clearer, 
FRA added a footnote to the spectrum table, explaining that if the 
railroad reported in its revised PTCIP it had acquired all necessary 
spectrum and it was available for use, or the railroad's technology 
does not require the use of spectrum, the railroad should indicate ``N/
A'' in this table.
    Based on AAR's request, FRA also added a comment box to the 
spectrum section so railroads can provide additional information or 
explanation.

C. Comments on Section 3--Quarterly Update on Major Installations

    AAR, CSX, and Metra commented that FRA should delete the row 
entitled ``Software for Train Management and Other Applications'' from 
the table in Section 3 because software installation is not readily 
quantifiable. AAR specifically commented that ``PTC software is 
versioned repeatedly over the course of the year with each release of 
defect remediation and improved functionality.'' Based on these 
concerns, FRA deleted the quantitative category for software 
installation and instead added a comment box for software, specifically 
requesting each railroad to ``describe (1) the railroad's approach to 
installation of PTC software on its locomotive fleet, and (2) any 
issues the railroad is experiencing with installed versions of train 
management software (e.g., reverting back to previous software versions 
due to errors in the current version).''
    With respect to the locomotive hardware installation table in 
Section 3, AAR commented that the ``number of antennas, event 
recorders, displays, and other components [including GPS receivers] 
tells the FRA nothing relevant about how close that railroad is to 
adding mission-capable locomotives to its fleet.'' Balancing FRA's need 
to monitor railroads' incremental implementation progress with the 
railroads' request that FRA reduce the reporting burden, FRA decided to 
modify the form by deleting the categories regarding antennas, GPS 
receivers, and secondary communications equipment. Moreover, FRA 
modified the row titles to clarify that a railroad should be reporting 
in terms of locomotives--for example, the railroad would report the 
quantity of locomotives with PTC displays installed, not the quantity 
of PTC displays installed.
    The Utah Transit Authority commented that the progress report is 
geared only towards railroads installing the Interoperable Electronic 
Train Management System (I-ETMS) and, thus, it is difficult to reflect 
Utah Transit Authority's own progress implementing a PTC system because 
it states ``N/A'' for numerous categories, including spectrum, wayside 
interface units, and communication towers. FRA notes the PTCEI Act 
requires quantitative reporting for spectrum and these hardware 
categories. See 49 U.S.C. 20157(a)(2)(A)(iii)(III), (c)(1)(B), and (i). 
FRA added a general instruction to the cover page to clarify that 
railroads may indeed denote a section is not applicable if the 
particular hardware category does not apply to its technology. In 
footnotes 2 and 4 in the form, FRA also clarified that a railroad may 
elect to add categories or subcategories to the reporting form if it 
wants to provide more detail. Moreover, cognizant that each type of PTC 
system uses different hardware equipment, FRA chose to include 
``Transponder Readers'' in the locomotive apparatus table in Section 3, 
which is a type of hardware used in non-I-ETMS types of PTC systems. 
Despite Utah Transit Authority's suggestion, FRA will not create a 
different progress report for each type of PTC system because there is 
not a definite number of PTC systems, various railroads may even 
implement a specific type of PTC system in different

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ways, and multiple reporting forms would be difficult to manage 
administratively.
    The Fort Worth Transportation Authority commented the quantities of 
back office locations and dispatching locations installed should be 
only an annual, not quarterly, reporting requirement because these are 
large and complex installations that may take many months or years to 
build. More generally, BNSF and ASLRRA commented that neither back 
office locations nor ``physical back office system equipment'' (the 
statutory term) are possible to quantify in a meaningful way because 
most railroads have only one back office. Based on railroads' annual 
progress reports, however, FRA knows of at least one Class I railroad 
and one large passenger railroad that have more than one back office 
for PTC operations. To simplify the reporting burden, FRA has deleted 
the multi-faceted quantitative table regarding back office and 
dispatching locations and instead provided a series of more direct 
quantitative questions--i.e., ``How many physical back office locations 
are required for PTC operations, as reported in the PTCIP?'' and ``How 
many physical back office locations have been constructed with all 
necessary equipment installed?''. Moreover, FRA is asking the same yes/
no questions that it asked in the annual progress report--i.e., ``Are 
the Back Office Location(s) fully operable with PTC?'' and ``Are the 
Dispatching Location(s) fully operable with PTC?''. And, FRA added a 
comment box for more information or explanation.
    With respect to the Infrastructure--Wayside Installations table in 
Section 3, AAR commented that FRA should measure the hardware 
installation quantities system-wide, not by track segment, to reflect 
the railroad's implementation status more accurately. As requested, FRA 
modified this table to be system-wide, significantly reducing the 
reporting burden for railroads. In addition, FRA eliminated the 
quantitative questions regarding ground wiring and modified the row to 
ask only a yes/no question as in the annual progress report.
    Finally, AAR commented that the ``Year-to-Date Cumulative Total'' 
is unclear because it could mean either the sum of the current year's 
progress or a cumulative for all prior years. To resolve the ambiguity, 
FRA modified the heading to instead state ``Sum of Quarterly Totals'' 
so railroads know that the column calls for the sum of the current 
year's progress. Also, for consistency with the annual progress report 
form, FRA added a ``Cumulative Quantity Installed'' column for the 
tables in Section 3.

D. Comments on Section 4--Installation/Track Segment Progress

    AAR commented that FRA should add a ``status'' column for each row 
in Section 3 and eliminate the redundancy of Section 4. AAR believes 
the information could be better organized in one table and thus avoid 
the need for cross-referencing between the two tables during the review 
process. However, at the public meeting, AAR acknowledged the preferred 
modification would be for FRA to eliminate the track segment 
granularity from Section 3 and leave Section 4 as is. Accordingly, FRA 
removed the track-segment by track-segment aspect of Section 3, and did 
not modify Section 4.
    Metra commented that, due to limited funding, it does not intend to 
create Geographic Information System (GIS) shapefiles to support the 
information request in Section 4 of the form, which stated ``For all 
live segments, please provide GIS shapefile or corresponding data for 
segments put into operation.'' Instead, Metra commented that it could 
provide the geographic information in table format. FRA has decided to 
eliminate this particular reporting requirement from the quarterly 
form. In the annual progress report, FRA intends to clarify that a 
railroad can provide, for track segments that are operational and 
complete only, either GIS shapefiles or updated, geographical 
information sufficiently specific to allow FRA to maintain its GIS 
Database.

E. Comments on Section 5--Quarterly Update on Employee Training

    Metra and AAR commented that the categories in the employee 
training section should align with the categories in 49 CFR 236.1041. 
Accordingly, FRA modified the employee categories in the quarterly form 
to correspond with the regulations, just as it did in the annual form, 
based on AAR's similar comment. The Fort Worth Transportation Authority 
also commented that railroads should have to provide employee training 
updates only annually, not quarterly, and BNSF commented it is 
difficult to accurately quantify employee training due to hiring, 
firing, retiring, and so forth. Although FRA acknowledges there might 
be a certain level of fluidity to employee training, FRA will 
nonetheless continue to ask for a quantitative update for employee 
training consistent with the railroad's revised PTCIP.
    For consistency with the annual progress report form, FRA added a 
``Cumulative # of Employees Trained'' column to the table in Section 5 
and provided a comment box.

F. Comments on Section 6--Quarterly Update on Interoperability Progress

    No comments were received on the interoperability section of the 
quarterly progress report form. However, FRA notes it modified this 
section to align with the revisions it made to this corresponding 
section in the annual progress report.

G. Comments on Burden Estimate, Applicability, and Formatting

    AAR commented that its member railroads estimate it will take 
approximately 40 hours to complete the quarterly progress report form, 
as opposed to the 1.5 hours that FRA estimated. FRA notes that the 
1.57-hour estimate is an average for all railroads. FRA estimated that 
the quarterly reporting burden is 3 hours for Class I and large 
passenger railroads, 2 hours for Class II and medium passenger 
railroads, and .5 hours for Class III, terminal, and small passenger 
railroads. These estimates take into account that railroads have 
already completed and provided to FRA the Annual PTC Progress Report, 
which requests similar types of information as the form for the 
Quarterly PTC Progress Report, but with more sections. FRA maintains 
that the average reporting burden for the quarterly form is 1.57 hours, 
especially as FRA has eliminated portions of the quarterly form 
initially proposed on March 7, 2016. 81 FR 11878.
    Both ASLRRA and the Tri-County Metropolitan Transportation District 
of Oregon requested clarification about whether only host railroads 
must submit the quarterly progress reports or whether the reporting 
requirement also applies to tenant railroads. FRA notes that the annual 
reporting the PTCEI Act mandated applies to any entity subject to 49 
U.S.C. 20157(a), and the scope of this quarterly reporting is the same. 
A tenant railroad may coordinate with its host railroad to ensure the 
host railroad captures the tenant railroad's implementation progress in 
its progress reports.
    Once OMB approves this information collection, FRA will provide the 
Quarterly PTC Progress Report Form to railroads in fillable PDF and 
Excel formats, which would be available for download on https://www.fra.dot.gov/eLib/details/L17365. For purposes of internal data 
tracking and analysis, FRA requests that each railroad submit its 
report in the native format--i.e., if the railroad uses the FRA-
provided Excel document, the railroad should submit the report in Excel 
format. FRA has

[[Page 28143]]

provided the industry with prototypes of each format, and the public 
may submit comments on formatting preferences to OMB's Office of 
Information and Regulatory Affairs (Attn: FRA OMB Desk Officer).

III. Overview of Information Collection

    The associated collection of information is summarized below.
    Title: Quarterly Positive Train Control Progress Report Form.
    Reporting Burden:

 
----------------------------------------------------------------------------------------------------------------
                                      Respondent         Total annual      Average time per      Total annual
  Quarterly PTC progress report        universe            responses           response          burden hours
----------------------------------------------------------------------------------------------------------------
Form FRA F 6180.165.............  41 Railroads......  164 Reports/Forms.  1.573 hours.......  258 hours
----------------------------------------------------------------------------------------------------------------

    Form Number: FRA F 6180.165.
    Respondent Universe: 41 Railroads.
    Frequency of Submission: On occasion.
    Total Estimated Responses for New Quarterly PTC Progress Report 
Form: 164.
    Total Estimated Responses for Entire Information Collection: 
147,776.
    Total Estimated Annual Burden for New PTC Quarterly Progress Report 
Forms: 258 hours.
    Total Estimated Burden for Entire Information Collection: 
3,122,817.
    Status: Regular Review.
    Pursuant to 44 U.S.C. 3507(a) and 5 CFR 1320.5(b), 
1320.8(b)(3)(vi), FRA informs all interested parties that it may not 
conduct or sponsor, and a respondent is not required to respond to, a 
collection of information unless it displays a currently valid OMB 
control number.

    Authority: 44 U.S.C. 3501-3520, 49 U.S.C. 20157(c)(2); see also 
49 U.S.C. 20107, 20902; 49 CFR 236.1009(h).

    Issued in Washington, DC, on April 29, 2016.
Corey Hill,
Executive Director.

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[FR Doc. 2016-10831 Filed 5-6-16; 8:45 am]
 BILLING CODE 4910-06-P