---
kind: "section"
citation: "49 C.F.R. § 236.1013"
title: "49"
number: "236.1013"
heading: "PTC Development Plan and Notice of Product Intent content requirements and Type Approval."
url: "https://uscodex.org/cfr/49/236.1013"
---

# §236.1013. PTC Development Plan and Notice of Product Intent content requirements and Type Approval.

- (a) For a PTC system to obtain a Type Approval from FRA, the PTCDP shall be filed in accordance with [§ 236.1009](/cfr/49/236.1009.md) and shall include:
  - (1) A complete description of the PTC system, including a list of all PTC system components and their physical relationships in the subsystem or system;
  - (2) A description of the railroad operation or categories of operations on which the PTC system is designed to be used, including train movement density (passenger, freight), operating speeds (including a thorough explanation of intended compliance with [§ 236.1007](/cfr/49/236.1007.md)), track characteristics, and railroad operating rules;
  - (3) An operational concepts document, including a list with complete descriptions of all functions which the PTC system will perform to enhance or preserve safety;
  - (4) A document describing the manner in which the PTC system architecture satisfies safety requirements;
  - (5) A preliminary human factors analysis, including a complete description of all human-machine interfaces and the impact of interoperability requirements on the same;
  - (6) An analysis of the applicability to the PTC system of the requirements of subparts A through G of this part that may no longer apply or are satisfied by the PTC system using an alternative method, and a complete explanation of the manner in which those requirements are otherwise fulfilled;
  - (7) A prioritized service restoration and mitigation plan and a description of the necessary security measures for the system;
  - (8) A description of target safety levels (e.g., MTTHE for major subsystems as defined in [subpart H](/cfr/49/subpartH.md) of this part), including requirements for system availability and a description of all backup methods of operation and any critical assumptions associated with the target levels;
  - (9) A complete description of how the PTC system will enforce authorities and signal indications;
  - (10) A description of the deviation which may be proposed under [§ 236.1029(c)](/cfr/49/236.1029.md?p=c), if applicable; and
  - (11) A complete description of how the PTC system will appropriately and timely enforce all integrated hazard detectors in accordance with [§ 236.1005(c)(3)](/cfr/49/236.1005.md?p=c-3), if applicable.
- (b) If the Associate Administrator finds that the system described in the PTCDP would satisfy the requirements for PTC systems under this subpart and that the applicant has made a reasonable showing that a system built to the stated requirements would achieve the level of safety mandated for such a system under [§ 236.1015](/cfr/49/236.1015.md), the Associate Administrator may grant a numbered Type Approval for the system.
- (c) Each Type Approval shall be valid for a period of 5 years, subject to automatic and indefinite extension provided that at least one PTC System Certification using the subject PTC system has been issued within that period and not revoked.
- (d) The Associate Administrator may prescribe special conditions, amendments, and restrictions to any Type Approval as necessary for safety.
- (e) If submitted, an NPI must contain the following information:
  - (1) A description of the railroad operation or categories of operations on which the proposed PTC system is designed to be used, including train movement density (passenger, freight), operating speeds (including a thorough explanation of intended compliance with [§ 236.1007](/cfr/49/236.1007.md)), track characteristics, and railroad operating rules;
  - (2) An operational concepts document, including a list with complete descriptions of all functions that the proposed PTC system will perform to enhance or preserve safety;
  - (3) A description of target safety levels (e.g., MTTHE for major subsystems as defined in [subpart H](/cfr/49/subpartH.md) of this part), including requirements for system availability and a description of all backup methods of operation and any critical assumptions associated with the target levels;
  - (4) A complete description of how the proposed PTC system will enforce authorities and signal indications; and
  - (5) A complete description of how the proposed PTC system will appropriately and timely enforce all integrated hazard detectors in accordance with [§ 236.1005(c)(3)](/cfr/49/236.1005.md?p=c-3), if applicable.

## Notes

### Source

Source: 75 FR 2699, Jan. 15, 2010, unless otherwise noted.

### Authority

Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20141, 20157, 20301-20303, 20306, 20501-20505, 20701-20703, 21301-21302, 21304; 28 U.S.C. 2461 note; and 49 CFR 1.89.

### Source

Source: 33 FR 19684, Dec. 25, 1968, unless otherwise noted.