81 FR 10126 - Positive Train Control Systems
DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration Federal Register Volume 81, Issue 39 (February 29, 2016)
Federal Railroad Administration
Federal Register Volume 81, Issue 39 (February 29, 2016)
| Page Range | 10126-10131 | |
| FR Document | 2016-04293 |
[Federal Register Volume 81, Number 39 (Monday, February 29, 2016)] [Rules and Regulations] [Pages 10126-10131] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-04293] ======================================================================= ----------------------------------------------------------------------- DEPARTMENT OF TRANSPORTATION Federal Railroad Administration 49 CFR Part 236 [Docket No. FRA-2016-0012, Notice No. 1] RIN 2130-AC56 Positive Train Control Systems AGENCY: Federal Railroad Administration (FRA), Department of Transportation (DOT). ACTION: Final rule. ----------------------------------------------------------------------- SUMMARY: FRA is amending its regulations to address changes in deadlines for positive train control (PTC) system implementation required by the Positive Train Control Enforcement and Implementation Act of 2015. FRA is also making conforming amendments and removing portions of its PTC regulations that are no longer applicable. DATES: This final rule is effective April 29, 2016. Petitions for reconsideration must be received on or before April 19, 2016. Petitions for reconsideration will be posted in the docket for this proceeding. Comments on any submitted petition for reconsideration must be received on or before June 3, 2016. ADDRESSES: Petitions for reconsideration and comments on petitions for reconsideration: Any petitions for reconsideration or comments on [[Page 10127]] petitions for reconsideration related to Docket No. FRA-2016-0012, may be submitted by any of the following methods:Web site: The Federal eRulemaking Portal, www.regulations.gov. Follow the Web site's online instructions for submitting comments. Fax: 202-493-2251. Mail: Docket Management Facility, U.S. Department of Transportation, 1200 New Jersey Avenue SE., W12-140, Washington, DC 20590. Hand Delivery: Room W12-140 on the Ground level of the West Building, 1200 New Jersey Avenue SE., Washington, DC between 9 a.m. and 5 p.m. Monday through Friday, except Federal holidays. Instructions: All submissions must include the agency name and docket number or Regulatory Identification Number (RIN) for this rulemaking. Note that all petitions received will be posted without change to www.regulations.gov including any personal information. Please see the Privacy Act heading in the ``Supplementary Information'' section of this document for Privacy Act information related to any submitted petitions, comments, or materials. Docket: For access to the docket to read background documents or comments received, go to www.regulations.gov or to Room W12-140 on the Ground level of the West Building, 1200 New Jersey Avenue SE., Washington, DC between 9 a.m. and 5 p.m. Monday through Friday, except Federal holidays. FOR FURTHER INFORMATION CONTACT: David Blackmore, Office of Technical Oversight, Railroad Safety Program Manager for Advanced Technology, Federal Railroad Administration, Mail Stop 25, West Building 3rd Floor, Room W35-332, 1200 New Jersey Avenue SE., Washington, DC 20590 (telephone: 202-493-1332); or Jason Schlosberg, Trial Attorney, Office of Chief Counsel, RCC-10, Mail Stop 10, West Building 3rd Floor, Room W31-207, 1200 New Jersey Avenue SE., Washington, DC 20590 (telephone: 202-493-6032). SUPPLEMENTARY INFORMATION: FRA is issuing this final rule to amend certain PTC system implementation deadlines in 49 CFR part 236, subpart I, to conform with statutory changes made by the Positive Train Control Enforcement and Implementation Act of 2015, Public Law 114-73, 129 Stat. 576, 582 (Oct. 29, 2015). FRA is also making conforming amendments and removing portions of its PTC regulations that are no longer applicable. I. Background Under the Railroad Safety Improvement Act of 2008 (RSIA), Public Law 110-432, 122 Stat. 4854 (Oct. 16, 2008) (codified at 49 U.S.C. 20157), much of the railroad industry had been implementing PTC to meet a statutory deadline of December 31, 2015. Under defined circumstances, certain small railroads could also delay PTC system implementation on locomotives until after December 31, 2015. See 49 U.S.C. 20157(i)(4) (2008); 49 CFR 236.1006(b)(4). On October 29, 2015, the Positive Train Control Enforcement and Implementation Act of 2015 (PTCEI Act), amended RSIA to extend the PTC implementation deadline to December 31, 2018, or, alternatively December 31, 2020, and provide qualifying small railroads with an additional three years to comply from the dates in FRA's regulation at 49 CFR 236.1006(b)(4)(iii)(B). See Public Law 114-73, 129 Stat. 568, 576-82 (Oct. 29, 2015); 49 U.S.C. 20157(a)(1), (a)(2)(B), (k). Congress made further amendments in the Fixing America's Surface Transportation (FAST) Act, which clarified FRA's authority under the PTCEI Act. See Public Law 114-94, sec. 11315(d), 129 Stat. 1312, 1675 (Dec. 4, 2015) (codified at 49 U.S.C. 20157(g)). By statute, and delegation from the Secretary of Transportation, FRA is required to remove or revise the date-specific deadlines in the regulations or orders implementing 49 U.S.C. 20157 necessary to conform with the amendments the PTCEI and FAST Acts made. See 49 U.S.C. 20157(g)(2); 49 CFR 1.89. FRA is not required to make any changes to its regulations other than changing the dates. 49 U.S.C. 20157(g)(3) (``Nothing in the Positive Train Control Enforcement and Implementation Act of 2015, or the amendments made by such Act, shall be construed to require the Secretary to issue regulations to implement such Act or amendments''). Accordingly, the only amendments made in this final rule are the date changes and any necessary conforming amendments. II. Justification for Final Rule FRA is issuing this final rule without providing an opportunity for prior public notice and comment as the Administrative Procedure Act (APA) normally requires. See 5 U.S.C. 553. The APA authorizes agencies to dispense with certain notice and comment procedures if the agency finds for good cause that notice and public procedure are impracticable, unnecessary, or contrary to the public interest. See 5 U.S.C. 553(b)(3)(B). For example, an ``impracticable'' good cause situation might be where the federal railroad safety rules should be amended without delay if FRA determines that the safety of the traveling public is at stake. Public notice is unnecessary when the public does not need or benefit from the notice and comment, such as with a minor or technical amendment. In this case, FRA finds, for good cause, that notice and public comment is unnecessary, because the public would not benefit from such notice. The scope of this regulatory change is very limited; FRA is merely replacing old statutory deadlines with the new statutory deadlines and is otherwise making no substantive changes to the regulations; making conforming amendments; and removing portions of its PTC regulations that are no longer applicable. III. Section-by-Section Analysis Unless otherwise noted, all section references below refer to sections in title 49 of the Code of Federal Regulations (CFR). Proposed Amendments to 49 CFR Part 236 Section 236.1005 Requirements for Positive Train Control Systems Originally, Congress mandated PTC implementation by December 31, 2015. However, the PTCEI Act extended that deadline. In the PTCEI Act, rather than choosing a single future date, Congress elected to provide an implementation deadline of December 31, 2018, with an opportunity to extend the deadline up to December 31, 2020, for those railroads that qualify. To be eligible for such an extension, a railroad must fulfill certain statutory conditions and prerequisites and receive FRA approval. Because each railroad's implementation deadline may be based on a variety of currently unfulfilled conditions or prerequisites, modification of the deadlines in this rule is not merely a simple replacement of dates in the applicable regulations. To address these variables, and place the statutory requirements in a regulatory context, some regulatory explanation and conforming amendments are required. This rule text includes some of the more explicit requirements necessary to receive FRA approval for an extension beyond 2018; some of the less definitive prerequisites (i.e., training and revenue service demonstration requirements under 49 U.S.C. 20157(a)(3)(B)) remain applicable as stated in the legislative text. FRA intends that all linguistic changes to be [[Page 10128]] conforming, to merely incorporate the new statutory deadlines, and not to include any additional requirements. Therefore, FRA is issuing a final rule in this proceeding. Even if FRA had issued a proposed rule, and received comments, FRA could not make any changes without violating the statute. To this end, FRA is striking the deadline referenced in Sec. 236.1005(b)(1) and is adding a paragraph (b)(7) to address the new deadlines the recent legislation mandates. Paragraph (b)(6) currently states that no new intercity or commuter rail passenger service shall commence after December 31, 2015, until a PTC system certified under this subpart has been installed and made operative. FRA continues to believe this is a clearly necessary requirement to satisfy the statute and to ensure PTC operations for railroads commencing new operations after the statutory implementation deadline. However, per the PTCEI Act, FRA recognizes the need to change the deadline. Accordingly, FRA is amending paragraph (b)(6) by striking ``2015'' and replacing it with ``2020.'' Since that paragraph only concerns new rail passenger service commencing after the full implementation deadline, it is consistent with the PTCEI Act to change the date to 2020. However, all rail passenger operations commencing before December 31, 2020, must comply with the implementation deadlines in the PTCEI Act. Section 236.1006 Equipping Locomotives Operating in PTC Territory For the same reasons stated in the analysis of Sec. 236.1005 above, FRA is striking the deadline in Sec. 236.1006(b)(1) and (b)(3). For purposes of clarity and context, we are replacing the latter change with a cross-reference to new paragraph Sec. 236.1005(b)(7). Paragraph (b)(2) references a number of reports that were due in prior years. Given that this regulation is now stale, it is being removed. Paragraph (b)(3) refers to the original deadline that has passed. Accordingly, FRA is striking the introductory phrase. Since the remaining text applies at all times, and is no longer limited to the implementation deadline, FRA does not believe it is necessary to cross- reference to Sec. 236.1005(b)(7) or otherwise reference a deadline. In addition to changing the implementation deadline, the PTCEI Act also provides some flexibility for railroads that may achieve PTC System Certification earlier than others. The PTCEI Act, codified at 49 U.S.C. 20157(j)(1), provides that until 1 year after the last Class I railroad achieves PTC System Certification and full PTC system implementation, each railroad shall comply with the operational restrictions in 49 U.S.C. 20157(j)(2)-(j)(4) in lieu of those required under 49 CFR 236.567 and 236.1029. While these statutory provisions are substantively outside the scope of this rulemaking, FRA recognizes that paragraph (b)(3) also references Sec. 236.1029. To reduce confusion, and without making any interpretation or determination about the effect of the PTCEI Act, FRA is also referencing 49 U.S.C. 20157(j). The actual applicability at any given time of either 49 U.S.C. 20157(j) or 49 CFR 236.1029 would be determined at a later date in a different forum. As previously noted, since the rule was first issued in 2010, FRA has provided Class II and Class III railroads a limited opportunity to delay or avoid PTC implementation on certain locomotives in prescribed circumstances. The PTCEI Act requires this rule to extend those permissible delays another 3 years from the dates in FRA's regulation at 49 CFR 236.1006(b)(4)(iii)(B). Accordingly, FRA is merely adding three years to each date referenced in paragraph (b)(4)(iii)(B). Section 236.1009 Procedural Requirements Under the existing regulations, each railroad is required to submit an annual progress report on each anniversary of its initial PTCIP filing. Since the statute was amended to require annual submission of such progress reports by March 31 of each year (see 49 U.S.C. 20157(c)(1)), FRA is amending paragraph (a)(5) to reference that new progress report deadline and to avoid confusion and potential redundant submissions. FRA notes, however, that it retains under the existing and amended statutes and regulations the authority to require more frequent reporting. Section 236.1011 PTC Implementation Plan Content Requirements For the same reasons explained above regarding the amendments to Sec. 236.1005, FRA is amending the deadline in Sec. 236.1011. Given that a different deadline, albeit within the statutory limits, may apply to each railroad, FRA believes a single date in the regulation is no longer appropriate. Accordingly, the amendments to this section merely cross-reference to the applicable deadline determined under Sec. 236.1005(b)(7). Appendix A to Part 236--Civil Penalties For the same reasons as previously explained regarding the amendments to Sec. 236.1005, FRA is amending the deadline dates referenced in Appendix A. In addition, in the new legislation, Congress reaffirmed FRA's authority to enforce the requirements of subpart I. Therefore, FRA has reviewed its related civil penalties guidance found in Appendix A. Although FRA is currently not suggesting any substantive changes to the regulations, the agency believes that some clarity is warranted. And, of course, FRA retains the authority to enforce any violations of the new legislation or regulations whether or not explicitly mentioned in Appendix A. List of Subjects in 49 CFR Part 236 Penalties, Positive Train Control, Railroad safety, Reporting and recordkeeping requirements. The Rule In consideration of the foregoing, FRA hereby amends 49 CFR part 236 as follows: PART 236--[AMENDED] 0 1. The authority citation for part 236 continues to read as follows: Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20141, 20157, 20301-20303, 20306, 20501-20505, 20701-20703, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89. 0 2. In Sec. 236.1005, revise paragraphs (b)(1) introductory text and (b)(6) and add paragraph (b)(7) to read as follows: Sec. 236.1005 Requirements for Positive Train Control systems. * * * * * (b) PTC system installation--(1) Lines required to be equipped. Except as otherwise provided in this subpart, each Class I railroad and each railroad providing or hosting intercity or commuter passenger service shall progressively equip its lines as provided in its approved PTCIP such that a PTC system certified under Sec. 236.1015 is installed and operated by the host railroad on each: * * * * * (6) New rail passenger service. No new intercity or commuter rail passenger service shall commence after December 31, 2020, until a PTC system certified under this subpart has been installed and made operative. (7) Implementation deadlines. (i) Each railroad must complete full implementation of its PTC system by December 31, 2018. (ii) A railroad is excepted from paragraph (b)(7)(i) of this section and [[Page 10129]] must complete full implementation of its PTC system by December 31, 2020, or the date specified in its approved alternative schedule and sequence, whichever is earlier, only if the railroad: (A) Installs all PTC hardware and acquires all spectrum necessary to implement its PTC system by December 31, 2018; (B) Submits an alternative schedule and sequence providing for implementation of positive train control system as soon as practicable, but not later than December 31, 2020; (C) Notifies the Associate Administrator in writing that it is prepared for review of its alternative schedule and sequence under 49 U.S.C. 20157(a)(3)(B); and (D) Receives FRA approval of its alternative schedule and sequence. (iii) If a railroad meets the criteria in paragraph (b)(7)(ii) of this section, the railroad must adhere to its approved alternative schedule and sequence and any of its subsequently approved amendments or required modifications. * * * * * 0 3. In Sec. 236.1006, revise paragraphs (b)(1) and (3) and (b)(4)(iii)(B) to read as follows: Sec. 236.1006 Equipping locomotives operating in PTC territory. * * * * * (b) Exceptions. (1) Each railroad required to install PTC shall include in its PTCIP specific goals for progressive implementation of onboard systems and deployment of PTC-equipped locomotives such that the safety benefits of PTC are achieved through incremental growth in the percentage of controlling locomotives operating on PTC lines that are equipped with operative PTC onboard equipment. The PTCIP shall include a brief but sufficient explanation of how those goals will be achieved, including assignment of responsibilities within the organization. The goals shall be expressed as the percentage of trains operating on PTC-equipped lines that are equipped with operative onboard PTC apparatus responsive to the wayside, expressed as an annualized (calendar year) percentage for the railroad as a whole. * * * * * (3) A train controlled by a locomotive with an onboard PTC apparatus that has failed en route is permitted to operate in accordance with 49 U.S.C. 20157(j) or Sec. 236.1029, as applicable. (4) * * * (iii) * * * (B) To the extent any movement exceeds 20 miles in length, such movement is not permitted without the controlling locomotive being equipped with an onboard PTC system after December 31, 2023, and each applicable Class II or III railroad shall report to FRA its progress in equipping each necessary locomotive with an onboard PTC apparatus to facilitate continuation of the movement. The progress reports shall be filed not later than December 31, 2020 and, if all necessary locomotives are not yet equipped, on December 31, 2022. * * * * * 0 4. In Sec. 236.1009, revise paragraph (a)(5) to read as follows: Sec. 236.1009 Procedural Requirements. (a) * * * (5) Each railroad filing a PTCIP shall report annually, by March 31 of each year, and until its PTC system implementation is complete, its progress towards fulfilling the goals outlined in its PTCIP under this part, including progress towards PTC system installation pursuant to Sec. 236.1005 and onboard PTC apparatus installation and use in PTC- equipped track segments pursuant to Sec. 236.1006, as well as impediments to completion of each of the goals. * * * * * 0 5. In Sec. 236.1011, revise paragraphs (a)(6)(ii), (a)(7), and (b)(3) to read as follows: Sec. 236.1011 PTC Implementation Plan content requirements. (a) * * * (6) * * * (ii) The schedule to equip that rolling stock by the applicable deadline under Sec. 236.1005(b)(7); * * * * * (7) The number of wayside devices required for each track segment and the installation schedule to complete wayside equipment installation by the applicable deadline under Sec. 236.1005(b)(7); * * * * * (b) * * * (3) Nothing in this paragraph shall be construed to create an expectation or requirement that additional rail lines beyond those required to be equipped by this subpart must be equipped or that such lines will be equipped during the period of primary implementation ending on the applicable deadline under Sec. 236.1005(b)(7). * * * * * 0 5. In Appendix A to part 236: 0 a. Revise footnote 1; 0 b. Add footnote 2; and 0 a. Under Subpart I--Positive Train Control Systems, revise the entries for Sec. Sec. 236.1005, 236.1006, 236.1007, 236.1009, 236.1011, 236.1019, 236.1029, 236.1035, and 236.1039. The revisions and addition read as follows: [[Page 10130]] Appendix A to Part 236--Civil Penalties 1 2 --------------------------------------------------------------------------- \1\ A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a civil penalty of up to $105,000 per day for any violation where circumstances warrant. See 49 CFR part 209, Appendix A. \2\ Each plan has numerous conditions and requirements with varying degrees of importance or impact. Thus, a single recommended civil penalty amount for a violation for failure to adhere to each plan or condition is not advisable or warranted. When a violation of a plan or condition is found, FRA may consider a variety of factors to determine the appropriate civil penalty to assess, including any underlying or related violation. ------------------------------------------------------------------------ Willful Section Violation violation ------------------------------------------------------------------------ * * * * * * * Subpart I--Positive Train Control Systems 236.1005 Positive Train Control System Requirements: Failure to timely complete PTC 16,000 25,000 system installation on track segment where PTC is required...... Commencement of revenue service 16,000 25,000 prior to obtaining PTC System Certification...................... Failure of the PTC system to perform 5,000 7,500 a safety-critical function required by this section.................... Operating outside the limits of an 15,000 25,000 approved de minimis exception...... Failure to integrate a hazard 15,000 25,000 detector........................... Non-compliant event recorder........ 2,500 5,000 Failure of event recorder........... 2,500 5,000 Failure to provide notice, obtain 5,000 7,500 approval, or follow a condition for temporary rerouting when required.. Exceeding the allowed percentage of 5,000 7,500 controlling locomotives operating out of an initial terminal after receiving a failed initialization.. 236.1006 Equipping locomotives operating in PTC territory: Failure to adhere to a PTCIP........ (\2\) (\2\) Operating in PTC territory a 15,000 25,000 controlling locomotive without a required and operative PTC onboard apparatus.......................... Operating with a PTC onboard 15,000 25,000 apparatus that is not functioning in accordance with the applicable PTCSP.............................. Failure to report as prescribed by 5,000 7,500 this section....................... Non-compliant operation of 15,000 25,000 unequipped trains in PTC territory. Failure to equip locomotives in 15,000 25,000 accordance with the applicable PTCIP.............................. Failure to comply with conditions of (\2\) (\2\) a yard movement exception.......... Improper arrangement of the PTC 2,500 5,000 system onboard apparatus........... Engineer performing prohibited 5,000 7,500 duties............................. 236.1007 Additional requirements for high-speed service: Installing or operating a PTC system 15,000 25,000 without the required safety- critical functional attributes of a block signal system................ Operation of passenger trains at 15,000 25,000 speed equal to or greater than 60 mph on non-PTC-equipped territory where required..................... Operation of freight trains at speed 15,000 25,000 equal to or greater than 50 mph on non-PTC-equipped territory where required........................... Failure to fully implement incursion 5,000 7,500 protection where required.......... 236.1009 Procedural requirements: Failure to file PTCIP when required. 5,000 7,500 Failure to amend PTCIP when required 5,000 7,500 Failure to obtain Type Approval when 5,000 7,500 required........................... Failure to update NPI............... 5,000 7,500 Operation of PTC system without 16,000 25,000 system certification............... Failure to comply with FRA condition (\2\) (\2\) or modification.................... Failure to report as required....... 5,000 7,500 Failure to provide FRA access....... 10,000 16,000 236.1011 PTCIP content requirements: Failure to install a PTC system as 11,000 16,000 required........................... Failure to maintain a PTCIP as (\2\) (\2\) required........................... * * * * * * * 236.1019 Main line track exceptions: Operations conducted in non- 16,000 25,000 compliance with the passenger terminal exception................. Operations conducted in non- 16,000 25,000 compliance with the limited operations exception............... Failure to request modification of 11,000 16,000 the PTCIP or PTCSP when required... Operations conducted in violation of 16,000 25,000 (c)(2)............................. Operations conducted in violation of 25,000 25,000 (c)(3)............................. [[Page 10131]] * * * * * * * 236.1029 PTC system use and en route failures: Failure to determine cause of PTC 5,000 7,500 system component failure without undue delay........................ Failure to adjust, repair, or 5,000 7,500 replace faulty PTC system component without undue delay................ Failure to take appropriate action 15,000 25,000 pending adjustment, repair, or replacement of faulty PTC system component.......................... PTC territory operation with an 5,000 7,500 inoperative PTC onboard apparatus.. Interference with the normal 15,000 25,000 functioning of safety-critical PTC system............................. * * * * * * * 236.1035 Field testing requirements: Field testing without authorization 10,000 20,000 or approval........................ Failure to comply with FRA condition (\2\) (\2\) * * * * * * * 236.1039 Operations and Maintenance Manual: Failure to implement and maintain 3,000 6,000 Operations and Maintenance Manual as required........................ Failure to make Operations and 10,000 16,000 Maintenance Manual available to FRA when required...................... Failure to make Operations and 15,000 25,000 Maintenance Manual available to persons required to performed the required tasks..................... Amends Operations and Maintenance 5,000 10,000 Manual without FRA approval........ * * * * * * * ------------------------------------------------------------------------ Issued in Washington, DC, on February 23, 2016. Sarah Feinberg, Administrator. [FR Doc. 2016-04293 Filed 2-26-16; 8:45 am] BILLING CODE 4910-06-P
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(4) Complaint resolution. Cable A system also is required to include in system associated with the headquarters
system operators shall establish a the online public file the address of the employment unit.
process for resolving complaints from system’s local public file, if the system * * * * *
subscribers about the quality of the retains documents in the local file that ■ 14. Section 76.1709 is amended by
television signal delivered. Aggregate are not available in the Commission’s revising paragraphs (a) and (b) to read
data based upon these complaints shall online file, and the name, phone as follows:
be made available for inspection in number, and email address of the
accordance with § 76.1713; system’s designated contact for § 76.1709 Availability of signals.
(5) Subscriber records and public questions about the public file. In (a) The operator of every cable
inspection file. The operator of a cable addition, a system must provide on the television system shall maintain for
television system shall make the system, online public file a list of the five digit public inspection a file containing a list
its public inspection file, and its records ZIP codes served by the system. To the of all broadcast television stations
of subscribers available for inspection extent this section refers to the local carried by its system in fulfillment of
upon request in accordance with public inspection file, it refers to the the must-carry requirements pursuant to
§ 76.1716. public file of a physical system, which § 76.56. Such list shall include the call
(d) Exceptions to the public is either maintained at the location sign, community of license, broadcast
inspection file requirements. The described in paragraph (e) or on the channel number, cable channel number,
operator of every cable television system Commission’s Web site, depending and in the case of a noncommercial
having fewer than 1,000 subscribers is upon where the documents are required educational broadcast station, whether
exempt from the online public file and to be maintained under the that station was carried by the cable
from the public record requirements Commission’s rules. system on March 29, 1990.
contained in § 76.1701 (political file); (g) Reproduction of records. Copies of (b) Such records must be maintained
§ 76.1702 (EEO records available for any material in the public inspection in accordance with the provisions of
public inspection); § 76.1703 file that is not also available in the
§ 76.1700.
(commercial records for children’s Commission’s online file shall be
programming); § 76.1704 (proof-of- available for machine reproduction * * * * *
performance test data); § 76.1706 (signal [FR Doc. 2016–04117 Filed 2–26–16; 8:45 am]
upon request made in person, provided
leakage logs and repair records); the requesting party shall pay the BILLING CODE 6712–01–P
§ 76.1714 (FCC rules and regulations); reasonable cost of reproduction.
and § 76.1715 (sponsorship Requests for machine copies shall be
identification). fulfilled at a location specified by the DEPARTMENT OF TRANSPORTATION
(e) Location of records. Public file system operator, within a reasonable
material that continues to be retained at period of time, which in no event shall Federal Railroad Administration
the system shall be retained in a public be longer than seven days. The system
inspection file maintained at the office operator is not required to honor 49 CFR Part 236
in the community served by the system requests made by mail but may do so if [Docket No. FRA–2016–0012, Notice No. 1]
that the system operator maintains for it chooses.
the ordinary collection of subscriber RIN 2130–AC56
■ 13. Section 76.1702 is amended by
charges, resolution of subscriber revising paragraph (a) to read as follows: Positive Train Control Systems
complaints, and other business and, if
the system operator does not maintain § 76.1702 Equal employment opportunity. AGENCY: Federal Railroad
such an office in the community, at any (a) Every employment unit with six or Administration (FRA), Department of
accessible place in the communities more full-time employees shall maintain Transportation (DOT).
served by the system (such as a public for public inspection a file containing ACTION: Final rule.
registry for documents or an attorney’s copies of all EEO program annual
office). Public file locations will be open reports filed with the Commission SUMMARY: FRA is amending its
at least during normal business hours pursuant to § 76.77 and the equal regulations to address changes in
and will be conveniently located. The employment opportunity program deadlines for positive train control
public inspection file shall be available information described in paragraph (b) (PTC) system implementation required
for public inspection at any time during of this section. These materials shall be by the Positive Train Control
regular business hours for the facility placed in the Commission’s online Enforcement and Implementation Act of
where they are kept. All or part of the public inspection file(s), maintained on 2015. FRA is also making conforming
public inspection file may be the Commission’s database, for each amendments and removing portions of
maintained in a computer database, as cable system associated with the its PTC regulations that are no longer
long as a computer terminal capable of employment unit. These materials shall applicable.
accessing the database is made be placed in the Commission’s online
public inspection file annually by the DATES: This final rule is effective April
available, at the location of the file, to
date that the unit’s EEO program annual 29, 2016. Petitions for reconsideration
members of the public who wish to
report is due to be filed and shall be must be received on or before April 19,
review the file.
(f) Links and contact and geographic retained for a period of five years. A 2016. Petitions for reconsideration will
information. A system must provide a headquarters employment unit file and be posted in the docket for this
proceeding. Comments on any
asabaliauskas on DSK5VPTVN1PROD with RULES
link to the public inspection file hosted a file containing a consolidated set of all
on the Commission’s Web site from the documents pertaining to the other submitted petition for reconsideration
home page of its own Web site, if the employment units of a multichannel must be received on or before June 3,
system has a Web site, and provide video programming distributor that 2016.
contact information on its Web site for operates multiple units shall be ADDRESSES: Petitions for reconsideration
a system representative who can assist maintained in the online public and comments on petitions for
any person with disabilities with issues inspection file(s), maintained on the reconsideration: Any petitions for
related to the content of the public files. Commission’s database, for every cable reconsideration or comments on
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conforming, to merely incorporate the PTC System Certification and full PTC Appendix A to Part 236—Civil Penalties
new statutory deadlines, and not to system implementation, each railroad For the same reasons as previously
include any additional requirements. shall comply with the operational explained regarding the amendments to
Therefore, FRA is issuing a final rule in restrictions in 49 U.S.C. 20157(j)(2)– § 236.1005, FRA is amending the
this proceeding. Even if FRA had issued (j)(4) in lieu of those required under 49 deadline dates referenced in Appendix
a proposed rule, and received CFR 236.567 and 236.1029. While these A. In addition, in the new legislation,
comments, FRA could not make any statutory provisions are substantively Congress reaffirmed FRA’s authority to
changes without violating the statute. outside the scope of this rulemaking, enforce the requirements of subpart I.
To this end, FRA is striking the FRA recognizes that paragraph (b)(3) Therefore, FRA has reviewed its related
deadline referenced in § 236.1005(b)(1) also references § 236.1029. To reduce civil penalties guidance found in
and is adding a paragraph (b)(7) to Appendix A. Although FRA is currently
confusion, and without making any
address the new deadlines the recent not suggesting any substantive changes
interpretation or determination about
legislation mandates. to the regulations, the agency believes
Paragraph (b)(6) currently states that the effect of the PTCEI Act, FRA is also
referencing 49 U.S.C. 20157(j). The that some clarity is warranted. And, of
no new intercity or commuter rail
actual applicability at any given time of course, FRA retains the authority to
passenger service shall commence after
either 49 U.S.C. 20157(j) or 49 CFR enforce any violations of the new
December 31, 2015, until a PTC system
236.1029 would be determined at a later legislation or regulations whether or not
certified under this subpart has been
installed and made operative. FRA date in a different forum. explicitly mentioned in Appendix A.
continues to believe this is a clearly As previously noted, since the rule List of Subjects in 49 CFR Part 236
necessary requirement to satisfy the was first issued in 2010, FRA has Penalties, Positive Train Control,
statute and to ensure PTC operations for provided Class II and Class III railroads Railroad safety, Reporting and
railroads commencing new operations a limited opportunity to delay or avoid recordkeeping requirements.
after the statutory implementation PTC implementation on certain
deadline. However, per the PTCEI Act, locomotives in prescribed The Rule
FRA recognizes the need to change the circumstances. The PTCEI Act requires In consideration of the foregoing, FRA
deadline. Accordingly, FRA is this rule to extend those permissible hereby amends 49 CFR part 236 as
amending paragraph (b)(6) by striking delays another 3 years from the dates in follows:
‘‘2015’’ and replacing it with ‘‘2020.’’ FRA’s regulation at 49 CFR
Since that paragraph only concerns new 236.1006(b)(4)(iii)(B). Accordingly, FRA PART 236—[AMENDED]
rail passenger service commencing after is merely adding three years to each
the full implementation deadline, it is ■ 1. The authority citation for part 236
date referenced in paragraph continues to read as follows:
consistent with the PTCEI Act to change (b)(4)(iii)(B).
the date to 2020. However, all rail Authority: 49 U.S.C. 20102–20103, 20107,
passenger operations commencing Section 236.1009 Procedural 20133, 20141, 20157, 20301–20303, 20306,
before December 31, 2020, must comply Requirements 20501–20505, 20701–20703, 21301–21302,
with the implementation deadlines in 21304; 28 U.S.C. 2461, note; and 49 CFR
Under the existing regulations, each 1.89.
the PTCEI Act.
railroad is required to submit an annual ■ 2. In § 236.1005, revise paragraphs
Section 236.1006 Equipping progress report on each anniversary of
Locomotives Operating in PTC Territory (b)(1) introductory text and (b)(6) and
its initial PTCIP filing. Since the statute add paragraph (b)(7) to read as follows:
For the same reasons stated in the was amended to require annual
analysis of § 236.1005 above, FRA is submission of such progress reports by § 236.1005 Requirements for Positive Train
striking the deadline in § 236.1006(b)(1) March 31 of each year (see 49 U.S.C. Control systems.
and (b)(3). For purposes of clarity and 20157(c)(1)), FRA is amending * * * * *
context, we are replacing the latter paragraph (a)(5) to reference that new (b) PTC system installation—(1) Lines
change with a cross-reference to new progress report deadline and to avoid required to be equipped. Except as
paragraph § 236.1005(b)(7). confusion and potential redundant otherwise provided in this subpart, each
Paragraph (b)(2) references a number submissions. FRA notes, however, that Class I railroad and each railroad
of reports that were due in prior years. it retains under the existing and providing or hosting intercity or
Given that this regulation is now stale, amended statutes and regulations the commuter passenger service shall
it is being removed. authority to require more frequent progressively equip its lines as provided
Paragraph (b)(3) refers to the original reporting. in its approved PTCIP such that a PTC
deadline that has passed. Accordingly, system certified under § 236.1015 is
FRA is striking the introductory phrase. Section 236.1011 PTC Implementation installed and operated by the host
Since the remaining text applies at all Plan Content Requirements railroad on each:
times, and is no longer limited to the * * * * *
implementation deadline, FRA does not For the same reasons explained above (6) New rail passenger service. No
believe it is necessary to cross-reference regarding the amendments to new intercity or commuter rail
to § 236.1005(b)(7) or otherwise § 236.1005, FRA is amending the passenger service shall commence after
reference a deadline. deadline in § 236.1011. Given that a December 31, 2020, until a PTC system
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In addition to changing the different deadline, albeit within the certified under this subpart has been
implementation deadline, the PTCEI Act statutory limits, may apply to each installed and made operative.
also provides some flexibility for railroad, FRA believes a single date in (7) Implementation deadlines. (i) Each
railroads that may achieve PTC System the regulation is no longer appropriate. railroad must complete full
Certification earlier than others. The Accordingly, the amendments to this implementation of its PTC system by
PTCEI Act, codified at 49 U.S.C. section merely cross-reference to the December 31, 2018.
20157(j)(1), provides that until 1 year applicable deadline determined under (ii) A railroad is excepted from
after the last Class I railroad achieves § 236.1005(b)(7). paragraph (b)(7)(i) of this section and
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![Federal Register / Vol. 81, No. 39 / Monday, February 29, 2016 / Rules and Regulations 10131
Willful
Section Violation violation
* * * * * * *
236.1029 PTC system use and en route failures:
Failure to determine cause of PTC system component failure without undue delay ...................................... 5,000 7,500
Failure to adjust, repair, or replace faulty PTC system component without undue delay ............................... 5,000 7,500
Failure to take appropriate action pending adjustment, repair, or replacement of faulty PTC system com-
ponent ........................................................................................................................................................... 15,000 25,000
PTC territory operation with an inoperative PTC onboard apparatus .............................................................. 5,000 7,500
Interference with the normal functioning of safety-critical PTC system ........................................................... 15,000 25,000
* * * * * * *
236.1035 Field testing requirements:
Field testing without authorization or approval ................................................................................................. 10,000 20,000
Failure to comply with FRA condition ............................................................................................................... (2) (2 )
* * * * * * *
236.1039 Operations and Maintenance Manual:
Failure to implement and maintain Operations and Maintenance Manual as required ................................... 3,000 6,000
Failure to make Operations and Maintenance Manual available to FRA when required ................................ 10,000 16,000
Failure to make Operations and Maintenance Manual available to persons required to performed the re-
quired tasks ................................................................................................................................................... 15,000 25,000
Amends Operations and Maintenance Manual without FRA approval ............................................................ 5,000 10,000
* * * * * * *
Issued in Washington, DC, on February 23,
2016.
Sarah Feinberg,
Administrator.
[FR Doc. 2016–04293 Filed 2–26–16; 8:45 am]
BILLING CODE 4910–06–P
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Document Created: 2016-02-27 02:05:06
Document Modified: 2016-02-27 02:05:06
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Rules and Regulations | |
| Action | Final rule. | |
| Dates | This final rule is effective April 29, 2016. Petitions for reconsideration must be received on or before April 19, 2016. Petitions for reconsideration will be posted in the docket for this proceeding. Comments on any submitted petition for reconsideration must be received on or before June 3, 2016. | |
| Contact | David Blackmore, Office of Technical Oversight, Railroad Safety Program Manager for Advanced Technology, Federal Railroad Administration, Mail Stop 25, West Building 3rd Floor, Room W35-332, 1200 New Jersey Avenue SE., Washington, DC 20590 (telephone: 202-493-1332); or Jason Schlosberg, Trial Attorney, Office of Chief Counsel, RCC-10, Mail Stop 10, West Building 3rd Floor, Room W31-207, 1200 New Jersey Avenue SE., Washington, DC 20590 (telephone: 202-493-6032). | |
| FR Citation | 81 FR 10126 | |
| RIN Number | 2130-AC56 | |
| CFR Associated | Penalties; Positive Train Control; Railroad Safety and Reporting and Recordkeeping Requirements |
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