OMB Control No. 2130-0553 Annual PTC Progress Report 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. FRA F 6180.166 (06-20) OMB Approval Granted 06/05/2020 OMB Approval Expires 06/30/2023 OMB Control No. 2130-0553 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. FRA F 6180.166 (06-20) OMB Approval Granted 06/05/2020 OMB Approval Expires 06/30/2023 OMB Control No. 2130-0553 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 FRA F 6180.166 (06-20) OMB Approval Granted 06/05/2020 OMB Approval Expires 06/30/2023 OMB Control No. 2130-0553 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 re- sequencing 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. 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. 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