Annual PTC Progress Report

OMB Control No. 2130-0553

NIRC – Northeast Illinois Regional 2010-0042 Commuter Railroad Corporation (Metra)

The Annual Positive Train Control (PTC) Progress Report is due by March 31st of each year until full PTC system implementation is completed. The Annual PTC Progress Report must cover the railroad’s implementation efforts and progress from the directly previous calendar year, and must be submitted electronically to the Federal Railroad Administration (FRA) via the FRA Secure Information Repository at https://sir.fra.dot.gov.

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General Instructions: 1. References to a railroad’s PTC Implementation Plan (PTCIP) in this form refer to the railroad’s revised PTCIP submitted under the Positive Train Control Enforcement and Implementation Act of 2015, or the most current amended PTCIP FRA has approved, if any; 2. If a particular category listed in a table does not apply to the railroad’s technology, please indicate “N/A”; and 3. For Sections 2, 4, and 6, please select a “Status” option from the drop-down menus provided. 4. *NEW* – As labeled, Sections 2, 3.1 (not including the software-related narrative section), 3.2, 3.3, and 5 are optional for any railroad that previously demonstrated to FRA it had finished acquiring all necessary spectrum, installing all PTC system hardware for the implementation of its PTC system, and/or training all employees required to receive PTC training under 49 CFR §§ 236.1041 through 236.1049, consistent with the governing FRA-approved PTCIP.1 Section 4 is optional only for a railroad that reports in Section 1 of this form that its PTC system is governing operations, including RSD, on all PTC-mandated route miles.

Name of Railroad or Entity Subject to 49 U.S.C. § 20157(a): Northeast Illinois Regional Commuter Railroad Corporation

Railroad Code: NIRC

Annual PTC Implementation Progress Report for: 2020

PTCIP Version Number on File with FRA (basis for goals stated): 1.7, dated 11/20/2020

Date of Submission: 3/31/2021

1 These sections are currently mandatory only for railroads that are still in the spectrum acquisition, hardware installation, or employee training phases, which is the case for certain railroads that, for example: (A) commenced regularly scheduled intercity passenger or commuter rail service after December 31, 2018; (B) are in the process of constructing new main lines subject to the statutory mandate; or (C) have one or more lines that are subject to a temporary main line track exception and must still implement a PTC system.

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Contents 1. Summary ...... 4 2. Annual Update on Spectrum (Optional for Most Railroads) ...... 8 3. Annual Update on Major Installations ...... 9 3.1. Locomotive Status (Optional for Most Railroads) ...... 9 3.2. Infrastructure/Back Office Status (Optional for Most Railroads) ...... 11 3.3. Infrastructure/Wayside Status (Optional for Most Railroads) ...... 12 4. Installation/Track Segment Progress (Optional for Some Railroads) ...... 13 5. Annual Update on Employee Training (Optional for Most Railroads) ...... 17 6. Annual Update on Interoperability Progress and Other Formal Agreements ...... 18 7. Progress on Implementation Schedule/Milestones...... 19 8. Summary Update of Challenges/Risks...... 20 9. Annual Update for Intercity or Commuter Rail Passenger Transportation (if applicable) ...... 20 10. Estimated PTC Safety Plan (PTCSP) Submission Date (if not already submitted) ...... 21 11. Testing and Integration Efforts (if applicable, laboratory, integration, and revenue service demonstration) ...... 22

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1. Summary Cumulative Quantity Total Quantity PTCIP Year End Quantity Category Completed During Required for PTC Goal (If Applicable) Completed To Calendar Year Implementation Date

Locomotives Fully Equipped and PTC Operable 112 N/A 522 522

Installation/Track Segments Completed 9 N/A 9 9

Employees Trained 237 1,821 2,118 1,821

Route Miles in Field Testing2 98.4 N/A 217.5 217.5

Route Miles in Revenue Service Demonstration2 98.4 N/A 217.5 217.5

Route Miles in PTC Operation 217.5 N/A 217.5 217.5

2 As applicable, enter the number of route miles where a PTC system is currently undergoing field testing in one row and, in a separate row, the number of route miles where a PTC system is currently in revenue service demonstration. Railroads must only identify in the “Route Miles in Field Testing” and “Route Miles in Revenue Service Demonstration” fields any route miles that are still currently undergoing PTC field testing and/or revenue service demonstration. For example, if field testing is complete and a railroad is operating its PTC system in revenue service demonstration exclusively, a railroad may write “Complete” in the “Route Miles in Field Testing” fields. Once a railroad has received written authorization from FRA to operate its PTC system in revenue service (through either provisional operations authorization under 49 U.S.C. 20157(h)(2) or PTC System Certification under 49 U.S.C. 20157(h)(1), the railroad must identify any route miles where a PTC system is being operated in revenue service in the “Route Miles in PTC Operation” field. If a railroad is operating the PTC system in revenue service and has completed all field testing and revenue service demonstration, it may write “Complete” in the “Route Miles in Field Testing” and “Route Miles in Revenue Service Demonstration” fields. 4 FRA F 6180.166 (XX-XX) OMB Approval Granted XX/XX/XXXX OMB Approval Expires XX/XX/XXXX OMB Control No. 2130-0553

Provide a narrative summary of overall PTC implementation progress during the preceding calendar year (January 1 to December 31): Metra’s progress on PTC implementation during 2020 included:

. PTCIP Updates o Revision 1.5.1, dated 12/23/2019, highlighting changes to the MD-N and MD-W dispatch by CP using TMDS CAD; corridor resequencing for RSD; and changes to 2019 and 2020 Locomotive Engineer training goals based on corridor resequencing was approved by FRA on 01/24/2020. o Revision 1.6, dated 4/07/2020, modifying the RSD date for the Milwaukee District-North/Fox Lake Subdivision was approved by FRA on 4/28/2020. o Revision 1.7, dated 11/20/2020, highlights: 1) adding Progressive Rail as an operator on the MD-N/C&M along with an exemption for Progressive Rail to be equipped with PTC by 12/31/2021; and 2) presenting Metra, NICTD and CN’s short- and long-term plans for NICTD interoperable PTC operations transitioning through Kensington Interlocking was approved by FRA on 12/17/2020.

. RSD Operations o MED/Blue Island Subdistrict: On 6/09/2020, with FRA approval, RSD operations commenced. o MED/South Chicago Subdistrict: On 4/28/2020, with FRA approval, RSD operations commenced. o Milwaukee District-North/C&M and Fox Lake Subdivisions: On 6/30/2020, with FRA approval, RSD operations commenced. o Milwaukee District-West/Elgin Subdivision: On 6/30/2020, with FRA approval, RSD operations commenced.

. PTC Safety Plan: On 1/10/2020, Metra submitted the railroad’s PTC Safety Plan for FRA review. On 12/11/2020, FRA approved Metra’s PTC Safety Plan along with conditional certification for Metra’s use for I-ETMS on its hosted corridors. . On 12/29/2020, Metra notified FRA that PTC implementation and interoperability was completed on its hosted corridors.

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Locomotives Fully Equipped and PTC Operable: Metra’s criteria for this category is comprised of two components: (1) PTC on board hardware installed and (2) PTC on board software installed. Metra’s strategy for software installations was to commission the vehicles “just in time” to support PTC testing, training and RSD. In 2018, Metra reported that PTC hardware was 100% installed on the 522 locomotives, cab cars and Electric Multiple Units (EMUs). During 2020, Metra completed software installations on 112 vehicles which completed Metra’s 522- vehicle fleet.

Metra’s PTCIP tracks locomotives with various individual components installed. Metra’s PTCIP does not track locomotives as PTC Operable. Metra’s criteria for Locomotives Fully Equipped and PTC Operable is comprised of units that are tested and in/or ready for PTC operations; there is no goal for this category. Metra placed Not Applicable (N/A) in the Year End Goal.

Installation/Track Segments Completed: Metra’s criteria is comprised of two components: (1) PTC wayside hardware installed and (2) PTC wayside software installed. In 2018, Metra reported that PTC wayside hardware was 100% installed. During 2019, Metra completed the wayside software installations on the MD-N/C&M and MD-W/Elgin Subdivision.

Metra’s PTCIP does not monitor Track Segments Completed, therefore, the Year End Goal is Not Applicable (N/A).

Radio Towers Fully Installed and Equipped: During 2018, Metra completed installation of 224 communication tower/poles (100%) including 8 base radio towers for PTC operations in the Chicago Region (MTA03).

Employees Trained: During 2020, 237 Metra employees received PTC-related training. Through 2020, Metra has provided PTC training to 2,118 employees; Metra’s PTCIP total goal for employees to be trained through 2020 was 1,821. Metra continued to provide training to employees in all FRA categories as their PTC program progressed in PTC testing, RSD and implementation phases. During 2020, PTC training for Metra employees included: Locomotive Engineer; On Board Mechanical Parts 1 and 2; COSMA Technical and User; Slot 10; Key Exchange Server; TMDS CAD Dispatcher; TMDS System Administrator; and Introduction to PTC for Conductors.

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Route Miles in Field Testing: Metra’s criteria for Route Miles in Testing included FRA-required Critical Features, Signal V&V, Field Integrated Test (FIT), Field Qualification Test (FQT), and 10 End-to-End runs. Metra’s PTC Field Testing phase was completed during 2020.

2020 Route Miles of Metra Subdistrict/Subdivision Field Testing Completed MED/Blue Island 4.4 MED/South Chicago 4.7 MD-N/C&M 32.0 MD-N/Fox Lake 17.5 MD-W/Elgin 39.8 Total 98.4

Route Miles in Revenue Service Demonstration (RSD): During 2020, Metra continued to progress PTC testing and RSD phases to completion.

2020 Route Miles in RSD Metra Subdistrict/Subdivision Total Miles RSD Extended RSD RID/Joliet 40.2 40.2 40.2 RID/Beverly 6.6 6.6 6.6 SouthWest Service 40.8 40.8 40.8 MED/University Park 31.5 31.5 31.5 MED/Blue Island 4.4 4.4 4.4 MED/South Chicago 4.7 4.7 4.7 MD-N/C&M 32.0 32.0 32.0 MD-N/Fox Lake 17.5 17.5 17.5 MD-W/Elgin 39.8 39.8 39.8 Total 217.5 217.5 217.5

Route Miles in PTC Operation: . During 2020, Heritage Corridor on CN, North Central Service on CN, BNSF and UP PTC operations continued. . On 12/11/2020, FRA approved Metra’s PTCSP and conditionally certified Metra’s use for I-ETMS on its hosted corridors. . On 12/29/2020, Metra notified FRA that PTC implementation and interoperability was completed on its hosted corridors.

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Interoperability Note: (T) = Tenant on Metra; (H) = Metra Tenant

During 2020, as a host and as a tenant Metra completed Lab Integrated End-to-End Test-Interoperable (LIEE-I) and Field Integrated Test- Interoperable (FIT-I) along with initiating PTC operations in the Revenue Service Demonstration/Operations phases with: Amtrak (T/H); BNSF (T); BRC (H); CN (T/H); CP (T/H); CRL (T); CSX (T); IAIS (T); NICTD (T); NS (T/H); UP (T/H); WSOR (T).

On 12/29/2020, Metra notified FRA that PTC implementation and interoperability was completed on its hosted corridors.

2. Annual Update on Spectrum (Optional for Most Railroads3) Area or Location (e.g., county) Projected Status That Was Status at That Requires Spectrum, as Listed in PTCIP for Calendar End of Calendar Year Reported in PTCIP4 Year Spectrum Coverage Area or Acquired And Available Acquired And Available For Location†: MTA03 Chicago Region For Use Use

Describe the basis for how the railroad is determining that the acquired spectrum is available for use by PTC radios (e.g., ensuring non- interference with other radios), and provide any additional narrative for Spectrum below: Click here to enter text. For Metra, acquisition of spectrum is complete.

3 This section is optional for any railroad that previously demonstrated to FRA it had finished acquiring all necessary spectrum, consistent with the governing FRA-approved PTCIP. 4 If the railroad reported in its PTCIP that all necessary spectrum had been acquired and was available for use, or the railroad’s technology does not require the use of spectrum, please indicate “N/A” in this table.

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3. Annual Update on Major Installations

3.1. Locomotive Status (Optional for Most Railroads5) Quantity Installed During Calendar Year PTCIP Year End Goal (If Cumulative Quantity Grand Total Reported in Category / Installation Feature (Sum of Quarterly Applicable) Installed PTCIP (If Applicable) Totals) Locomotive (Apparatus)6 Locomotives with On-board Computers (e.g., Train Management N/A N/A 522 522 Computer) Installed Locomotives with PTC Displays N/A N/A 522 522 Installed Locomotives with PTC-Capable N/A N/A 522 522 Event Recorders Installed Locomotives with Locomotive Radios Installed – Primary N/A N/A 522 522 Communications (e.g., 220 MHz radios) Transponder Readers (e.g., for non N/A N/A N/A N/A I-ETMS systems)

5 This section, except the software-related narrative section below, is optional for any railroad that previously demonstrated to FRA it had finished installing all PTC system hardware for the implementation of its PTC system, consistent with the governing FRA-approved PTCIP. 6 If a particular category listed in this table does not apply to the railroad’s technology, please indicate “N/A.” A railroad may add categories or subcategories if it wants to provide more detail.

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PTC Software: 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):

. BNSF operated all Metra trains on the BNSF mainline between Chicago Union Station and Aurora with PTC. . UP operated all Metra trains on the UP-North, UP-Northwest, and UP-West lines with PTC. . Metra operated all commuter trains with PTC on CN on the North Central Service and Heritage Corridor lines. . Rollout of the I-ETMS software on the entire Metra fleet was executed “just in time” for PTC system testing, RSD and operations in order to minimize multiple software uploads.

Provide any additional narrative for Locomotive Status below: Locomotives Fully Equipped and PTC Operable: Metra’s criteria for this category was comprised of two components: (1) PTC on board hardware installed and (2) PTC on board software installed. Metra’s strategy for software installations was to commission vehicles “just in time” to support PTC testing, training, RSD and PTC operations. In 2018, Metra reported that PTC hardware was 100% installed on 522 locomotives, cab cars, and Electric Multiple Units (EMUs). During 2020, Metra completed PTC commissioning on 112 vehicles which completed the full commissioning of Metra’s complete fleet (522 vehicles) for PTC operations.

Metra’s PTCIP tracked locomotives and various individual components installed; Metra’s PTCIP does not track locomotives as PTC Operable. Metra’s criteria for Locomotives Fully Equipped and PTC Operable was comprised of unites that were tested and in/or ready for PTC operations; there is no goal in this category. Metra placed Not Applicable (N/A) in the Year End Goal.

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3.2. Infrastructure/Back Office Status (Optional for Most Railroads7) Met PTCIP Year-End Goal for Installation Infrastructure – Back Office Systems of Physical Back Office System Equipment? (Choose Yes, No, or N/A) How many physical back office locations are required 2 for PTC operations, as reported in the PTCIP?

How many physical back office locations have been 2 N/A constructed with all necessary equipment installed?

Are the Back Office Location(s) fully operable with Yes PTC?

Are the Dispatching Location(s) fully operable with Yes PTC?

Provide any additional narrative for Infrastructure/Back Office Status below: On 9/16/2018, along with the other Chicago railroads, Metra deployed TTCI’s Dynamic Short Broadcasting (DSB) slot plan for MTA03 (Chicago Region).

Key Exchange Server: During 2020, Metra’s Key Exchange Server was activated and is providing the necessary security for internal and interoperable PTC communications, along with automating security-related interaction between PTC active railroads.

System Management: During 2020, Metra completed the set up and configuration of the PTC system management application that provides statistical data from PTC-equipped locomotives as well as performs various maintenance tasks including pushing software, receiving alerts, and validating configuration information.

7 This section is optional for any railroad that previously demonstrated to FRA it had finished installing all PTC system hardware for the implementation of its PTC system, consistent with the governing FRA-approved PTCIP.

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3.3. Infrastructure/Wayside Status (Optional for Most Railroads8) Quantity Installed During Calendar PTCIP Year End Cumulative Quantity Grand Total Category / Installation Feature Year Goal9 Installed Reported in PTCIP (Sum of Quarterly Totals) Infrastructure – Wayside Installations (Systemwide)10 N/A N/A 346 346 Wayside Interface Units N/A N/A 224 224 Communication Towers or Poles N/A N/A N/A N/A Switch Position Monitors N/A N/A 216 216 Wayside Radios N/A N/A 8 8 Base Station Radios

Are all necessary communication backbone utilities (including fiber, copper, ground wiring etc.) installed and ready for operation? Yes

Provide any additional narrative for Installation/Wayside Status below: . Metra completed PTC wayside installations in 2018.

8 This section is optional for any railroad that previously demonstrated to FRA it had finished installing all PTC system hardware for the implementation of its PTC system, consistent with the governing FRA-approved PTCIP. 9 Unlike the heading in table 3.1, this heading is not qualified with “(If Applicable)” because each railroad was required to provide year-end goals for these particular hardware categories under the PTC Enforcement and Implementation Act of 2015. 10 If a particular category listed in this table does not apply to the railroad’s technology, please indicate “N/A.” A railroad may add categories or subcategories if it wants to provide more detail.

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4. Installation/Track Segment Progress11 (Optional for Some Railroads12) Status at End of Precise Milepost (MP) Calendar Year Estimated Start Date Limits and/or Control Current status of Number of Route Miles for Revenue Service Point (CP) Limits Where Segment Identification13 installation/track in Segment Demonstration (if not PTC was Implemented and segment. Choose one: already completed) Operable at End of Calendar Year14 MP 0.4 to MP 40.6 Rock Island District/Joliet Commenced Operational/Complete 40.20 MTEA: LaSalle Street Subdistrict (Host) 10/08/2018 Station (MP 0 to MP 0.4) Rock Island District/Beverly Commenced MP 10.12 to MP 16.52 Operational/Complete 6.60 Branch (Host) 12/03/2018

MP 1.7265 to MP 40.1784 Rock Island District/SouthWest Commenced MTEA: Manhattan Station Operational/Complete 40.8 Service Subdistrict (Host/Tenant) 5/06/2019 (MP 40.1784 to MP 40.7086)

11 For passenger rail operations, this information should be further segregated into those routes where it is a host or tenant. 12 This section is optional for a railroad that reports in Section 1 (“Summary”) that its PTC system is governing operations, including RSD, on all PTC-mandated route miles, consistent with the governing FRA-approved PTCIP. 13 Segment identification should be consistent with installation segments as listed in the railroad’s PTCIP (e.g., by track segment, territory, subdivision, district, etc.). 14 This column must identify the precise MP limits and/or CP limits of where a PTC system had been implemented and was operable within the installation/track segment (e.g., MP 100.25 to MP 150 and MP 155 to MP 190). Also, this column must identify any miles of track, by MP or CP, that are excluded from PTC implementation under an FRA-approved exception within the installation/track segment (e.g., Main Line Track Exception (Terminal): MP 1.5 to MP 2 and De Minimis Exception: MP 45 to MP 55). Instead of completing this individual column (Column 5 in Section 4), your railroad may submit a Geographic Information System (GIS) shapefile, directly to the SIR website, identifying the installation/track segments and portions thereof (e.g., route miles) where a PTC system had been implemented and was operable by the end of the reporting period (i.e., the previous calendar year), including the following fields and information: (1) a PTC attribute field (coded with “Y” if line segment has PTC installed and operable, otherwise left blank), (2) a SUBDIV attribute field (populated with subdivision name), (3) the precise MP limits and/or CP limits of where a PTC system had been implemented and was operable, and (4) any miles of track, by MP or CP, that are excluded from PTC implementation under an FRA-approved exception within the installation/track segment (e.g., Main Line Track Exception (Terminal): MP 1.5 to MP 2 and De Minimis Exception: MP 45 to MP 55).

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Status at End of Precise Milepost (MP) Calendar Year Estimated Start Date Limits and/or Control Current status of Number of Route Miles for Revenue Service Point (CP) Limits Where Segment Identification13 installation/track in Segment Demonstration (if not PTC was Implemented and segment. Choose one: already completed) Operable at End of Calendar Year14 MP 0.9083 to MP 31.1128 MTEA: Millennium Station (MP 0.0000 to MP 0.9083) Metra Electric District/University Commenced Operational/Complete 31.50 and Park Subdistrict (Host) 12/30/219 MTEA: University Park Station (MP 31.1128 to MP 31.4313)

MP 15.2200 to MP 18.6900 Metra Electric District/ Commenced Operational/Complete 4.40 MTEA: Blue Island Station Blue Island Subdistrict (Host) 6/09/2020 (MP 18.6900 to MP 18.9987)

MP 08.4700 to MP 13.0531 Metra Electric District/ Commenced Operational/Complete 4.70 MTEA: 93rd Street Station South Chicago Subdistrict (Host) 4/28/2020 (MP 13.0531 to MP 13.1792)

Milwaukee District/North C&M Commenced MP 00.6500 to Operational/Complete 32.00 Subdivision (Host) 6/30/2020 MP 32.3500

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Status at End of Precise Milepost (MP) Calendar Year Estimated Start Date Limits and/or Control Current status of Number of Route Miles for Revenue Service Point (CP) Limits Where Segment Identification13 installation/track in Segment Demonstration (if not PTC was Implemented and segment. Choose one: already completed) Operable at End of Calendar Year14 MP 32.3678 to MP 49.6233 Milwaukee District-North/Fox Commenced Operational/Complete 17.50 MTEA: Fox Lake Station Lake Subdivision (Host) 6/30/2020 (MP 49.6233 to MP 49.7987)

Milwaukee District-West/Elgin Commenced MP 05.3400 to Operational/Complete 39.80 Subdivision (Host) 6/30/2020 MP 40.2600

Provide any additional narrative for Installation/Track Segment Status below: Installation/Track Segment Progress: Metra’s criteria for this category is comprised of two components: (1) PTC wayside hardware installed, and (2) PTC wayside software installed. During 2018, PTC wayside hardware was installed on 100% of the Metra network in compliance with 2018 PTC regulatory requirements. During 2020, PTC wayside software installations were completed on the MD-N/C&M and MD-W/Fox Lake Subdivisions which completed Metra’s software installations on all railroad hosted corridors.

2020 Route Miles of Metra Subdistrict/Subdivision Field Testing Completed MED/Blue Island 4.4 MED/South Chicago 4.7 MD-N/C&M 32.0 MD-N/Fox Lake 17.5 MD-W/Elgin 39.8 Total 98.4

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Route Miles in Revenue Service Demonstration (RSD): During 2020, Metra continued to progress PTC testing and RSD phases to completion.

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5. Annual Update on Employee Training (Optional for Most Railroads15) Number of Employees Trained During Cumulative Number of Grand Total Reported Employee Category16 Calendar Year PTCIP Year End Goal Employees Trained in PTCIP (Sum of Quarterly Totals) Employees who Install, Maintain, Repair, 130 815 996 815 Modify, Inspect, and Test the PTC System Employees who Dispatch Train 3 43 46 43 Operations Train and Engine (Operations) Employees 67 170 171 170

Roadway Worker Employees 0 582 616 582 Direct Supervisors of the Above 37 211 289 211 Employees

Provide any additional narrative for Employee Training below: During 2020, Metra completed training for all categories to support the Milwaukee Districts (MD-N/C&M and Fox Lake and MD-W/Elgin Subdivisions) going into RSD. TMDS Office System Administration training was completed for technical staff that are responsible for installing, maintaining, repairing, modifying, inspecting and testing of the Office Segment system, including the Back Office, Dispatch, Interoperable Train Control Messaging, Mobile Device Messaging, Slot 10, Key Exchange Server, Network Management System, and Systems Management.

Training conducted during 2020 included: . Mechanical On Board PTC Part 1 and Part 2 . Locomotive Engineer for MD-N and MD-W . Introduction to PTC for Conductors . TMDS CAD for CP and Metra Dispatch for MD-N and MD-W . Office TMDS System Administrator

15 This section is optional for any railroad that previously demonstrated to FRA it had finished training all employees required to receive PTC training under 49 CFR §§ 236.1041 through 236.1049, consistent with the governing FRA-approved PTCIP. 16 See 49 CFR § 236.1041(a).

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. Office Slot 10 . COSMA Technical and User (System Management) . Key Exchange Server

6. Annual Update on Interoperability Progress and Other Formal Agreements This section is provided to help railroads describe interoperability information. Please provide any additional information (e.g., an appendix) as appropriate.

Required content:  For host railroads: provide updates to any agreements and key milestones for all tenant operations  For tenant railroads: provide updates to any agreements and key milestones for all operations over tracks hosted by another railroad

Host and Tenant Railroads: Provide a general update on interoperability in the textbox below: LIEE-I and FIT-I Complete: Amtrak (T/H); BNSF (T); BRC (H); CN (T/H); CP (T/H); CRL (T); CSX (T); IAIS (T); NICTD (T); NS (T/H); UP (T/H); WSOR (T) *Note: (T) = Tenant on Metra; (H) = Metra as a Tenant

Note: Progressive Rail is operating on the MD-W under short-line exemption.

Host Railroads Only: For each tenant, provide additional tenant information below: Estimated Quantity of Scheduled Completion Date Current Tenant Tenant Identification (add rows for Tenant Rolling Stock to be for Interoperability Testing Interoperability Status additional tenants as necessary) Equipped with PTC Choose one: 2020- Complete Amtrak PTCIP submitted Operational/Complete

BNSF Railway PTCIP submitted 2020-Complete Operational/Complete

Canadian National PTCIP submitted 2020-Complete Operational/Complete

Canadian Pacific Railway PTCIP submitted 2020-Complete Operational/Complete

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Estimated Quantity of Scheduled Completion Date Current Tenant Tenant Identification (add rows for Tenant Rolling Stock to be for Interoperability Testing Interoperability Status additional tenants as necessary) Equipped with PTC Choose one: Chicago Rail Link 4 locomotives 2020-Complete Operational/Complete

CSX Transportation PTCIP submitted 2020-Complete Operational/Complete

Iowa Interstate Railroad 8 locomotives 2020-Complete Operational/Complete

Norfolk Southern PTCIP submitted 2020-Complete Operational/Complete

Northern Indiana Commuter Transportation 2020-Complete PTCIP submitted Operational/Complete District

Wisconsin and Southern Railroad 14 locomotives 2020-Complete Operational/Complete

Union Pacific Railroad PTCIP submitted 2020-Complete Operational/Complete

7. Progress on Implementation Schedule/Milestones Describe the extent to which the railroad or other entity is not complying with the implementation schedule it provided in its PTCIP: On 1/10/2020, Metra submitted the railroad’s PTC Safety Plan for FRA review. On 12/11/2020, FRA approved Metra’s PTC Safety Plan along with conditional certification for Metra’s use for I-ETMS on its hosted corridors.

FRA F 6180.166 (06-20) OMB Approval Granted 06/05/2020 OMB Approval Expires 06/30/2023 OMB Control No. 2130-0553

8. Summary Update of Challenges/Risks Provide any update to the summary of remaining technical, programmatic, operational, or other challenges that the railroad or other entity provided in its PTCIP, including challenges with availability of public funding, interoperability, spectrum, software, permitting, and testing, demonstration, and certification. Also, identify any risks that might cause the railroad to miss its schedule milestones (e.g., funding, technology, agreements): As presented in Metra’s PTC Implementation Plan, Revision 1.7, the one remaining challenge/obstacle identified is:

1. Operations in/out of Downtown Underground Chicago Stations: Metra is encountering issues enforcing PTC regulatory requirements due to Global Positioning System (GPS) connectivity problems at its downtown stations, namely: 1) Chicago Union Station/North End; 2) Chicago Union Station/South End; 3) Millennium Station; and 3) LaSalle Street Station. Metra is awaiting the release of on board software provided by Wabtec Railway Electronics, that will enforce restricted speed in the Main Track Exclusion Addendum (MTEA) areas identified in downtown station locations.

9. Annual Update for Intercity or Commuter Rail Passenger Transportation (if applicable) If this section is not applicable to your railroad, please write “N/A.”

For each entity providing regularly scheduled intercity or commuter rail passenger transportation, provide a description of the resources identified and allocated to implement a PTC system: Metra: During 2020, Metra continued to hire and identify staff required to support PTC installations, testing, configuration management, revenue service demonstration and implementation. Metra has established a full complement of staff to support daily PTC operations in the system certification phase which began on 12/11/2020.

Program Management Consultant: During 2020, PTC program management consultant services continued to be led by AECOM Technical Services (with LTK Engineering, Clifton Weiss & Associates, Los Alamos Technical Associates and Gravity Consulting). AECOM staffing continues to change as needed to support Metra’s PTC project implementation.

System Integrator: During 2020, PTC system integrator services continued to be led by Parsons Transportation Group (with Wabtec/Xorail, Rail Safety Consulting, Rail Operations, Cory’s Thunder, Raul V. Bravo + Associates, Synnov Group [providing project controls support, replacing CivCon Services] and Kaskaskia Engineering Group) for development, testing and implementation of the Office Segment and integrated PTC system. In 2018, Parsons added Princeton to the system integrator team for the development and implementation of the : (1) Key Exchange Server which is used to share secure railroad information for interoperability; and (2) implementation of Systems Management (COSMA) which is used to monitor PTC components.

FRA F 6180.166 (06-20) OMB Approval Granted 06/05/2020 OMB Approval Expires 06/30/2023 OMB Control No. 2130-0553

10. Estimated PTC Safety Plan (PTCSP) Submission Date (if not already submitted) If this section is not applicable to your railroad, please write “N/A.”

PTCSP Submission Date 1/10/2020 - Actual

Provide any additional narrative for PTCSP Submission below: . 1/10/2020: PTC Safety Plan submitted. . 11/23/2020: 118 FRA comments were issued related to Metra’s PTC Safety Plan. . 12/07/2020: FRA and Metra met to review Metra’s responses to FRA comments on the railroad’s PTC Safety Plan. . 12/11/2020: FRA approved Metra’s PTC Safety Plan along with providing conditional approval of Metra’s use of I-ETMS for PTC operations.

FRA F 6180.166 (06-20) OMB Approval Granted 06/05/2020 OMB Approval Expires 06/30/2023 OMB Control No. 2130-0553

11. Testing and Integration Efforts (if applicable, laboratory, integration, and revenue service demonstration) Provide an update on testing and integration efforts below: Metra completed laboratory, integration and RSD on all railroad-owned lines. Specifically, testing and RSD was completed during 2020 on:

. Testing o MED/Blue Island Subdistrict: Completed FIT, FQT and End-to-End Runs during 2020 2nd Quarter. o MED/South Chicago Subdistrict: Completed FIT, FQT and End-to-End Runs during 2020 2nd Quarter. o Milwaukee District: Completed FIT during 2020 2nd Quarter. o Milwaukee District-North/C&M and Fox Lake Subdivisions: Completed FQT and End-to-End Runs during 2020 2nd Quarter. o Milwaukee District -West/Elgin Subdivision: Completed FQT and End-to-End runs during 2020 2nd Quarter. o I-ETMS 6.3.19 Brake Testing: Completed brake testing for diesel vehicles on RID and Electric Multiple Units (EMUs) on MED during 2020 2nd Quarter. . RSD Operations o MED/Blue Island Subdistrict: On 6/09/2020, with FRA approval, RSD operations commenced. o MED/South Chicago Subdistrict: On 4/28/2020, with FRA approval, RSD operations commenced. o Milwaukee District-North/C&M and Fox Lake Subdivisions: On 6/30/2020, with FRA approval, RSD operations commenced. o Milwaukee District-West/Elgin Subdivision: On 6/30/2020, with FRA approval, RSD operations commenced.

Public reporting burden for this information collection is estimated to average 40.12 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. According to the Paperwork Reduction Act of 1995, a federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall a person be subject to a penalty for failure to comply with, a collection of information unless it displays a currently valid OMB control number. The valid OMB control number for this information collection is 2130-0553. All responses to this collection of information are mandatory. Send comments regarding this burden estimate or any other aspect of this collection, including suggestions for reducing this burden to OMB’s Office of Information and Regulatory Affairs, Attn: FRA OMB Desk Officer.

FRA F 6180.166 (06-20) OMB Approval Granted 06/05/2020 OMB Approval Expires 06/30/2023