PTC is a communication-based system designed to prevent some accidents  caused by human factors, including train-to-train collisions and  derailments caused by exceeding safe speeds. The four largest Class I freight railroads have  identified suppliers of PTC technology and are working with these  suppliers to develop PTC components; however, they have not yet  installed PTC, except for some limited pilot installations. Key Steps Remain to Implement PTC by 2015, with a Potential for Delay

By law, the rail industry must complete development, testing, and full  implementation of PTC on most major routes within 5 years. Potential delays in developing PTC components, software, and  interoperability standards, as well as delays that could occur during the  subsequent testing and implementation of PTC systems, raise the risk that  railroads will not meet the implementation deadline and that the safety  benefits of PTC will be delayed. Furthermore, the extent to which  commuter railroads and small freight railroads have difficulty in covering  the costs of PTC implementation raises the risk that these railroads could  miss the deadline if funding is not available or that other critical needs  may go unmet if money is diverted to pay for PTC. Cost, Uncertainty about Effectiveness, Regulations, and Lack of Interoperability Create Challenges to Implementing New Rail Safety Technologies

Experts and other stakeholders identified costs, uncertainty about  effectiveness, regulations, and lack of interoperability with existing  systems and equipment as key challenges to implementing new rail safety  technologies:    Cost: Most experts indicated that cost was a major challenge for  implementing rail safety technologies in all four technology categories,  including for some of the most promising technologies—specifically  electronically controlled pneumatic brakes, crash energy management,  and switch position monitors/indicators. FRA Has Taken Actions to Fulfill the PTC Mandate and Promote Other Technologies, but Opportunities Exist to Inform Congress of Risks and Improve Monitoring

		To Date, FRA Is Taking the Necessary Steps to Fulfill the PTC Mandate

To fulfill the PTC mandate, FRA (1) has developed regulations regarding  the implementation of PTC systems, (2) is monitoring PTC implementation  efforts, and (3) is managing funding programs to support PTC  implementation. FRA plans to monitor railroads’ progress in implementing PTC by  requiring railroads to provide periodic information on implementation  progress and by directly observing railroads’ testing and implementation  of PTC. Additionally, FRA is required to report to Congress in 2012  on the progress railroads have made in implementing PTC. FRA Has an Opportunity to Identify and Report to Congress on PTC Implementation Risks and Potential Mitigation Actions

As we have previously discussed, there are uncertainties regarding when  the remaining tasks to implement PTC can be completed, which raise  certain risks to the successful completion of PTC by the 2015 deadline. FRA officials told us they are aware of some of these risks, but they said  that it is too early to know whether they are significant enough to  jeopardize successful implementation by the 2015 deadline. Reporting this  information can help demonstrate program results and build support for  the agency’s efforts. Much focus has been placed on  implementing PTC to address accidents caused by human factors, but  technologies besides PTC hold promise for improving safety by addressing  other accident causes, such as problems with track or equipment. While  FRA has employed several key best practices for encouraging the use of  new technologies, employing a method to monitor and report on the  industry’s adoption of new technologies that FRA was involved in  developing could provide useful information for demonstrating the results  of its R&D program and refining future efforts. Recommendations for Executive Action

We recommend that the Secretary of Transportation take the following  two actions:    To support the effective identification and mitigation of risks to the  successful fulfillment of PTC requirements by 2015, direct the  Administrator of FRA to include in FRA’s 2012 report to Congress an  analysis of the likelihood that railroads will meet the PTC implementation  deadline;  the risks to successful implementation of PTC; and actions Congress, railroads, or other stakeholders can take to mitigate  risks to successful PTC implementation. Agency Comments

We provided a draft of this report to the Department of Transportation for  review and comment. DOT also said that it would  consider our recommendations. Amtrak provided a technical  comment, which we incorporated. Appendix I: Objectives, Scope, and Methodology

This report discusses (1) the progress railroads have made in developing  and implementing positive train control (PTC) and the remaining steps to  implement PTC systems; (2) the potential benefits of other rail safety  technologies under development as well as the challenges to implementing  them; and (3) the extent of the Federal Railroad Administration’s (FRA)  efforts to fulfill the PTC mandate and encourage the implementation of  other rail safety technologies.
Why GAO Did This Study

Positive train control (PTC) is a communications-based train control system designed to prevent some serious train accidents. Federal law requires passenger and major freight railroads to install PTC on most major routes by the end of 2015. Railroads must address other risks by implementing other technologies. The Department of Transportation's (DOT) Federal Railroad Administration (FRA) oversees implementation of these technologies and must report to Congress in 2012 on progress in implementing PTC. As requested, this report discusses railroads' progress in developing PTC and the remaining steps to implement it, the benefits of and challenges in implementing other safety technologies, and the extent of FRA's efforts to fulfill the PTC mandate and encourage the implementation of other technologies. To conduct this work, GAO analyzed documents and interviewed FRA and rail industry officials. GAO also interviewed and surveyed rail experts.

What GAO Found

The four largest freight railroads and Amtrak have made progress in developing PTC and are preparing for implementation, but there is a potential for delays in completing the remaining sequence of steps to implement PTC in time for the 2015 deadline. For example, although railroads have worked with suppliers to develop some PTC components, the software needed to test and operate these components remains under development. As a result, it is uncertain whether components will be available when needed, which could create subsequent delays in testing and installing PTC equipment. Additionally, publicly funded commuter railroads may have difficulty in covering the $2 billion that PTC is estimated to cost them, which could create delays if funding for PTC is not available or require that railroads divert funding from other critical areas, such as maintenance. The uncertainties regarding when the remaining steps to implement PTC can be completed, as well as the related costs, raise the risk that railroads will not meet the implementation deadline, delaying the safety benefits of PTC. Additionally, other critical needs may go unmet if funding is diverted to pay for PTC. Other technologies hold promise for preventing or mitigating accidents that PTC would not address, but face implementation challenges. Experts identified technologies to improve track inspection, locomotives and other rail vehicles, and switches as having promise to provide additional safety. But challenges to implementing these technologies include their costs, uncertainty about their effectiveness, regulations that could create disincentives to using certain technologies, and lack of interoperability with existing systems and equipment. For example, electronically controlled pneumatic brakes are a promising technology to improve safety by slowing or stopping trains faster, but are expensive and not compatible with some common train operations. FRA has taken actions to fulfill the PTC mandate and has the opportunity to provide useful information on risks and mitigation strategies to Congress in its 2012 report. FRA has developed PTC regulations, hired new staff to monitor implementation of PTC, and created a grant program to provide funding to railroads. Going forward, as it monitors railroads' progress, FRA will have additional information for determining whether the risks previously discussed are significant enough to jeopardize successful implementation of PTC by the 2015 deadline. Prior GAO reports have noted that the identification of risks and strategies to mitigate them can help ensure the success of major projects. Including such information in FRA's 2012 report would help Congress determine whether additional actions are needed to ensure PTC is implemented successfully. Additionally, FRA's actions to encourage the implementation of other rail safety technologies align with some, but not all, best practices for such efforts. For example, FRA has followed the best practice of involving the industry early in developing new technologies, but it does not monitor the industry's use of technologies that it helped develop. Monitoring and reporting on the industry's adoption of new technologies could help the agency better demonstrate the results of its efforts.

What GAO Recommends

GAO recommends that the Secretary of Transportation direct DOT's Administrator of FRA to (1) include in its 2012 report to Congress information about PTC implementation risks and strategies to mitigate them and (2) monitor and report on the adoption of other technologies supported by the agency's efforts. DOT reviewed a draft of this report, provided technical comments, and said it would consider the recommendations.