1. POSITIVE TRAIN CONTROL What it is, and what it does SCORT – September 2015

2. Outline For discussion purposes only. Not the official position of FRA/USDOT. 2 1.What is Positive Train Control (PTC) and what does it do? 2.How could it impact SCORT members? 3.What types of systems are currently under development? 4.What is the process for certifying a system?

3. What is PTC? A type of train control required on most passenger and certain freight routes – with limited exceptions It is required by law by under the Rail Safety Improvement Act of 2008 (RSIA) By statute a compliant PTC system must:  Prevent train-to-train collisions  Prevent over-speed derailments  Prevent incursions into established work zones  Prevent movement of a train through a switch left in the wrong position  Be Interoperable Example diagram of a wireless based PTC system For discussion purposes only. Not the official position of FRA/USDOT. 3

4. How could PTC affect SCORT members? New services may need to implement PTC or be interoperable over existing routes Any passenger equipment procured needs to be properly equipped, or otherwise interoperable Changes to service providers will need to account for PTC requirements/responsibilities e.g. If new equipment is employed it will need to be tested and certified P42 Cab control stand modified for PTC. For discussion purposes only. Not the official position of FRA/USDOT. 4

5. What types of systems are currently under development? RailroadSystemTypeStatus BNSFIETMSNon-Vital Overlay Certified for Use UP, CSX, NS, CN, CP, KCS & Most non-NEC Passenger/Commuter IETMSVital* Overlay Type Approved (In Development) NEC CarriersACSES /Cab Signals Vital OverlayCertified for Use AMTRAK (Michigan)ITCSVital OverlayApproved for Use PATHCBTCVital Stand Alone Development CALTRAINCBOSS IETMS/ITCS Vital OverlayDevelopment Tri-Met, SMART, AAFEATCVital OverlayType Approved GPS antenna (top), ACSES transponder (bottom) For discussion purposes only. Not the official position of FRA/USDOT. 5 *Note: Some carriers may elect to implement a non-vital version of IETMS

6. Phase 1 – Implementation Planning Establish how a system will comply with the applicable regulations, or provide justification for exemption Submittals: Implementation Plan (PTCIP) Phase 2 – System Development Details technology to be used and how it will work Submittals: Development Plan (PTCDP), Notice of Product Intent (NPI), or Type Approval Identification & Variance Phase 3 – System Deployment & Testing Designs finalized, installation & testing begin Submittals: Test Plans Phase 4 – Certification & Full Deployment System functionality is verified and deployment continues until fully implemented Submittals: Safety Plan (PTCSP) A brief overview of the PTC system certification process For discussion purposes only. Not the official position of FRA/USDOT. 6

7. FRA Contacts For discussion purposes only. Not the official position of FRA/USDOT. 7 Technical Questions: Mark Hartong Senior Electronics Engineer Federal Railroad Administration (202) 493-1332 mark.hartong@dot.gov or David Blackmore Staff Director, Positive Train Control Federal Railroad Administration (312) 835-3903 david.blackmore@dot.gov General Questions: Devin Rouse Office of Railroad Safety Federal Railroad Administration (202) 493-6185 devin.rouse@dot.gov