Positive Train Control: Many Commuter Railroads Still Have Significant Additional Implementation Work and Opportunities Exist to Provide Federal Assistance
Highlights
What GAO Found
The Federal Railroad Administration (FRA) is responsible for overseeing railroads' (including commuter railroads') implementation of positive train control (PTC) by December 31, 2018. PTC is a communications-based train control system designed to prevent certain types of accidents and involves the installation, integration, and testing of hardware and software components. For example, railroads must install equipment on locomotives and along the track, and complete field testing, including revenue service demonstration (RSD)—an advanced form of testing that occurs while trains operate in regular service.
GAO's analysis of commuter railroads' PTC scheduled milestones for two key activities necessary to meet the 2018 deadline or qualify for an RSD-based extension (one of the statutory options) found that as many as two-thirds of the 29 commuter railroads may not have allocated sufficient time to complete these milestones. Specifically, in comparing the commuter railroads' schedules to FRA's estimates of the time required to complete these milestones and the experiences of railroads that have already completed them, GAO's analysis found that from 7 to 19 commuter railroads may not complete the milestones before the 2018 implementation deadline or qualify for an RSD-based extension. For example, FRA estimates that field testing (one of the milestones) takes at least one year, but GAO found that 14 commuter railroads plan to start this testing less than a year before the 2018 deadline, increasing the potential risk that this milestone will not be completed. However, FRA has the authority to establish alternative criteria for an extension not based on RSD, and several other factors can affect commuter railroads' planned and future progress. As a result, the number of commuter railroads at risk of not meeting the deadline or qualifying for an extension could increase or decrease in the coming year.
FRA's PTC management and oversight includes monitoring commuter railroads' progress, reviewing documentation, and sharing information with them, but the agency has not systematically communicated information or used a risk-based approach to help these railroads prepare for the 2018 deadline or qualify for an extension. GAO found that FRA has primarily used informal assistance, meetings with individual railroads, and participation in industry-convened groups to share information with commuter railroads, and in some cases the information conveyed has been inconsistent according to industry representatives. Some commuter railroads also told GAO that clarification about the agency's planned process for reviewing and approving extension requests would be helpful. Federal internal control standards state that management should externally communicate the necessary quality information to achieve its objectives. While FRA officials have said they are working to identify additional ways to convey extension-related information, they have not yet done so. Moreover, although FRA receives information from commuter railroads on their progress in implementing PTC, it has not used this information to prioritize resources using a risk-based approach. With the year-end 2018 deadline approaching, and an anticipated significant increase in FRA's workload, targeting resources to the greatest risk can help better ensure that FRA effectively fulfills its oversight responsibilities and provides commuter railroads the information they need to prepare for the 2018 deadline or seek an extension.
Why GAO Did This Study
Forty-one railroads including 29 commuter railroads are required by statute to implement PTC. Commuter railroads unable to implement a PTC system by December 31, 2018, may receive a maximum 2-year extension if they meet certain statutory criteria.
GAO was asked to review commuter railroads' PTC implementation. Among other objectives, this statement discusses (1) commuter railroads that may not be positioned to meet the PTC deadline or to qualify for an extension, and factors affecting their progress, and (2) the extent to which FRA's management and oversight approach has helped ensure that commuter railroads meet the deadline or qualify for an extension.
GAO analyzed commuter railroads' most recently available quarterly progress reports and collected information on planned implementation schedules, interviewed 19 commuter railroads—including 14 FRA identified as at-risk and 5 others further ahead with implementation—and interviewed FRA officials.
Recommendations
GAO recommends FRA identify and adopt a method for systematically communicating information to railroads and use a risk-based approach to prioritize its resources and workload.
DOT concurred with the recommendations. The agency also provided technical comments, which were incorporated as appropriate.
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Federal Railroad Administration | The Administrator of FRA should identify and adopt a method for systematically communicating information to railroads regarding the deadline extension criteria and process. (Recommendation 1) |
The Federal Railroad Administration (FRA) is responsible for overseeing 41 railroads' (including 29 commuter railroads') implementation of positive train control (PTC) by December 31, 2018, as required by statute. Commuter railroads unable to implement a PTC system by the 2018 deadline may receive a maximum 2-year extension if they meet certain statutory criteria. In 2018, GAO reported that FRA's PTC management and oversight included monitoring commuter railroads' progress, reviewing documentation, and sharing information with them, but the agency had not systematically communicated information or used a risk-based approach to help these railroads prepare for the 2018 deadline or qualify for an extension. Specifically, GAO reported that FRA had primarily used informal assistance, meetings with individual railroads, and participation in industry-convened groups to share information with commuter railroads, and in some cases the information conveyed had been inconsistent. Some commuter railroads also told GAO that clarification about the extension criteria as well as the agency's planned process for reviewing and approving extension requests would be helpful. According to the Federal Standards for Internal Control, management should externally communicate the necessary quality information to achieve its objectives. While FRA officials said they were working to identify additional ways to convey extension-related information, they had not yet done so at the time of our review. Absent systematic communication articulating the FRA's planned approach for the extension process, railroads may not have the information they need to effectively prepare for the deadline or seek a deadline extension. Therefore, GAO recommended that the FRA Administrator identify and adopt a method for systematically communicating information to railroads regarding the deadline extension criteria and process. In June, July, and August 2018, FRA held three PTC symposiums that focused on sharing information with railroads regarding the extension process and alternative criteria, PTC testing, and safety plans, respectively. The symposiums were attended by representatives from all railroads. Specifically, in the June 2018 symposium, FRA presented information on the procedures for requesting and obtaining FRA's approval for an extension to implement PTC beyond the 2018 deadline including FRA's review process. FRA also clarified that for commuter railroads, beginning initial testing was one approach that could potentially qualify as alternative criteria, rather than initiating more advanced testing. Representatives GAO interviewed from the railroads that participated in the symposiums found them to be helpful, and some reported that the information presented led them to adjust their approach to meeting the 2018 deadline. Holding these collaboration sessions enabled FRA to efficiently and consistently provide the railroads the information they needed to prepare for the 2018 deadline or seek an extension.
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| Federal Railroad Administration |
Priority Rec.
The Administrator of FRA should develop an approach to use the information gathered to prioritize the allocation of resources to address the greatest risk. (Recommendation 2) |
The Federal Railroad Administration (FRA) is responsible for overseeing forty-two railroads'-including Amtrak, commuter, and freight railroads-implementation of positive train control (PTC)-a communications-based system designed to slow or stop a train that is not being operated safely. The statutory deadline for PTC implementation was December 31, 2018, but railroads that met certain criteria were able to ask for a maximum 2-year extension. In 2018, GAO reported that FRA's PTC management and oversight included monitoring commuter railroads' progress, reviewing documentation, and sharing information, but the agency had not used a risk-based approach to help railroads prepare for the deadline or qualify for an extension. Specifically, GAO reported that while FRA had taken steps to more closely monitor railroads' implementation progress, the agency had not prioritized its efforts, including its allocation of resources, based on an assessment of risk. While FRA receives information from railroads on their progress implementing PTC, the agency had not used this information to prioritize how to allocate resources or address risk. For example, FRA had not fully leveraged the implementation progress data that railroads' submit to the agency to identify and develop a risk-based approach to prioritize agency actions. By not effectively targeting actions to help mitigate risks posed by railroads most at risk of not meeting the statutory deadline, FRA would miss the opportunity to leverage its limited resources by providing direct assistance in the areas of greatest need. Therefore, GAO recommended that FRA develop an approach to use the information gathered to prioritize the allocation of resources to address the greatest risk. In 2020, GAO confirmed that FRA has taken steps to prioritize resources and address risk areas, both in focusing on getting railroads into a key stage of testing during 2019, and more recently, identifying and providing assistance to railroads most at risk of not meeting the December 31, 2020 deadline. FRA's approach in early 2020 included using the data railroads' submit to the agency to identify specific railroads at risk of not fully implementing PTC by the extended deadline. For example, FRA identified the railroads most at-risk of noncompliance based on a range of criteria, including their status at the end of 2019 in key implementation areas and unresolved technical issues, among other factors. FRA also obtained additional contract support to conduct additional safety plan reviews and increased expertise to support PTC specialists. FRA also has met regularly with at-risk railroads to discuss progress, technical issues, and interoperability challenges since 2020. FRA technical specialists and officials have also met with industry association and working groups on critical interoperability locations, such as the Northeast Corridor and Chicago, where a number of the railroads they identified as at-risk operate. As a result of these actions, FRA has targeted its resources to address specific risks and challenges faced by at-risk railroads, and provided technical assistance and oversight tailored to the needs of those railroads.
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