United States Government Accountability Office Report to the Chairman, Committee on Commerce, Science, and Transportation, U.S. Senate August 2013 POSITIVE TRAIN CONTROL Additional Authorities Could Benefit Implementation GAO-13-720 August 2013 POSITIVE TRAIN CONTROL Additional Authorities Could Benefit Implementation Highlights of GAO-13-720, a report to the Chairman, Committee on Commerce, Science, and Transportation, U. S. Senate Why GAO Did This Study What GAO Found In the wake of a 2008 commuter train To install positive train control (PTC)—a communications-based system collision that resulted in 25 fatalities, designed to prevent certain types of train accidents caused by human factors— RSIA was enacted. It requires major almost all railroads are overlaying their existing infrastructure with PTC freight railroads, Amtrak, and components; nonetheless, most railroads report they will miss the December 31, commuter railroads to install PTC on 2015, implementation deadline. Both the Association of American Railroads many major routes by the end of 2015. (AAR) and the Federal Railroad Administration (FRA) have reported that most PTC implementation, overseen by railroads will not have PTC fully implemented by the deadline. Of the four major FRA, is a complex endeavor that freight railroads included in GAO’s review, only one expects to meet the 2015 touches almost every aspect of train deadline. The other three freight railroads report that they expect to have PTC operations on major lines. According to implemented by 2017 or later. Commuter railroads generally must wait until FRA, 37 railroads are required to implement PTC. GAO was asked to freight railroads and Amtrak equip the rail lines they operate on, and most of the examine the status of PTC seven commuter railroads included in this review reported that they do not expect implementation. This report discusses, to meet the 2015 deadline. To implement PTC systems that meet the among other things, railroads’ requirements of the Rail Safety Improvement Act of 2008 (RSIA), railroads are implementation of PTC to date and the developing more than 20 major components that are currently in various stages challenges, if any, to meeting the 2015 of development, integrating them, and installing them across the rail network. deadline. GAO interviewed AAR recently reported that by the end of 2012, railroads had spent $2.8 billion on representatives from Amtrak, the four PTC implementation. To implement PTC, AAR estimates that freight railroads will largest freight railroads, and seven spend approximately $8 billion in total while the American Public Transportation commuter railroads, selected to Association (APTA) estimates that commuter railroads will spend a minimum of represent a mix of locations, ridership $2 billion. Much of the work to implement PTC remains to be done. For example, levels, and PTC implementation status. AAR reported that as of the end of 2012, about a third of wayside interface units, GAO also interviewed PTC experts which are needed to communicate data, had been installed and that less than 1 and suppliers, and reviewed FRA’s percent of locomotives needing upgrades had been fully equipped. PTC regulatory impact analyses. Most railroads report they will not complete PTC implementation by the 2015 What GAO Recommends deadline due to a number of complex and interrelated challenges. Many PTC Given the implementation challenges components continue to be in various stages of development, and in order to railroads face in meeting the deadline, ensure successful integration of these components, railroads must conduct and to help FRA manage its limited multiple phases of testing before components are installed across the network. resources, Congress should consider Also, some railroads raised concerns regarding FRA’s limited staff resources in amending RSIA as FRA has two areas: verification of field tests and timely certification of PTC systems. requested. Specifically, Congress Commuter railroads face additional challenges such as obtaining radio frequency should consider granting FRA the spectrum, which is essential for PTC communications. By attempting to authority to extend the deadline on implement PTC by the 2015 deadline while key components are still in certain rail lines on a case-by-case development, railroads could be introducing financial and operational risks. For basis, grant provisional certification of example, officials from railroads and FRA said that without adequate testing, PTC systems, and approve the use of PTC systems might be more prone to reliability issues. To mitigate risks, provide alternative safety technologies in lieu flexibility in meeting the PTC deadline, and better manage limited resources, of PTC to improve safety. DOT FRA has requested that Congress amend RSIA to provide additional authorities reviewed a draft of this report and in implementing PTC. Specifically, FRA requested authority to extend the provided technical comments, which deadline on certain rail lines, grant provisional certification of PTC systems, and were incorporated as appropriate. approve the use of alternative safety technologies in lieu of PTC. Flexibility in extending the deadline for certain railroads acknowledges differences in railroads’ implementation schedules and may also help FRA better manage its View GAO-13-720. For more information, limited resources by, for example, preventing a potential review backlog resulting contact Susan Fleming at (202) 512-2834 or from most of the railroads’ submitting final safety plans at the same time—a [email protected]. concern raised by both freight railroads and FRA. United States Government Accountability Office Contents Letter 1 Background 4 Almost All Railroads Are Installing PTC Overlay Systems but Face Challenges in Meeting the 2015 Implementation Deadline 13 FRA Found the Costs of Implementing PTC Outweigh the Safety Benefits, but Opportunities May Exist to Pursue Future Business Benefits 26 Conclusions 32 Matters for Congressional Consideration 33 Agency Comments 33 Appendix I Objectives, Scope, and Methodology 35 Appendix II Observations on the Quality of FRA’s Regulatory Impact Analyses Used in PTC Rulemaking 38 Appendix III GAO Contact and Staff Acknowledgments 42 Tables Table 1: Positive Train Control’s Scale of Deployment—Number of Items Requiring Upgrade or Installation 16 Table 2: Comparison of the Federal Railroad Administration’s Positive Train Control Economic Analysis to OMB’s guidelines 39 Figures Figure 1: Key Components of Current U.S. Railroad Operations 6 Figure 2: Basic Operation of a Positive Train Control (PTC) System 9 Figure 3: Positive Train Control’s Regulatory Timeline, 2008–2015 11 Figure 4: Basic Operation of the Interoperable Electronic Train Management System (I-ETMS) 15 Page i GAO-13-720 Positive Train Control Abbreviations AAR Association of American Railroads ACSES Advanced Civil Speed Enforcement System APTA American Public Transportation Association FCC Federal Communications Commission FRA Federal Railroad Administration GIS geographical information systems GPS Global Positioning System I-ETMS Interoperable Electronic Train Management System NPRM Notice of Proposed Rulemaking OMB Office of Management and Budget PTC positive train control RSIA Rail Safety Improvement Act of 2008 This is a work of the U.S. government and is not subject to copyright protection in the United States. The published product may be reproduced and distributed in its entirety without further permission from GAO. However, because this work may contain copyrighted images or other material, permission from the copyright holder may be necessary if you wish to reproduce this material separately. Page ii GAO-13-720 Positive Train Control 441 G St. N.W. Washington, DC 20548 August 16, 2013 The Honorable John D. Rockefeller Chairman Committee on Commerce, Science, and Transportation United States Senate Dear Mr. Chairman: In September 2008, a commuter train collided with a freight train in the Chatsworth neighborhood of Los Angeles, California, resulting in 25 deaths and over 100 injuries. In the wake of this accident, which was caused by the operator missing a red signal, the Rail Safety Improvement Act of 2008 (RSIA) was enacted.1 RSIA mandated the implementation of positive train control (PTC) systems by December 31, 2015, on “mainlines” used to transport inter-city rail passengers, commuters, or any amount of certain toxic materials.2 PTC is a communications-based system designed to prevent certain types of rail accidents caused by human factors, including train-to-train collisions; trains entering established work zones, which could cause roadway worker casualties or equipment damage; and derailments caused by exceeding safe speeds. PTC technology can automatically slow or stop a train that is not being operated safely due to some types of operator errors or a switch left in the wrong position. PTC system implementation is a complex and costly endeavor that touches almost every part of major rail lines and almost every aspect of their train operations. Railroad representatives and experts have reported that PTC implementation is the biggest change in the railroad industry since it transitioned from steam to diesel locomotives in the mid-20th century. According to FRA, railroads required to implement PTC must do so on over 60,000 of approximately 160,000 miles of track nationwide. In addition, FRA has reported that railroads must design, produce, and install more than 20 major PTC components, such