Part III - SteamCentral

fede

ral r

egiste

r

62827

WednesdayNovember 17, 1999

Part III

Department ofTransportationFederal Railroad Administration

49 CFR Parts 209 and 230Inspection and Maintenance Standardsfor Steam Locomotives; Rule

VerDate 29-OCT-99 19:33 Nov 16, 1999 Jkt 190000 PO 00000 Frm 00001 Fmt 4717 Sfmt 4717 E:\FR\FM\17NOR2.XXX pfrm11 PsN: 17NOR2

62828 Federal Register / Vol. 64, No. 221 / Wednesday, November 17, 1999 / Rules and Regulations

DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

49 CFR Parts 209 and 230

[Docket No. RSSL–98–1, Notice No. 3]

Inspection and Maintenance Standardsfor Steam Locomotives

AGENCY: Federal RailroadAdministration (FRA), Department ofTransportation (DOT).ACTION: Final rule.

SUMMARY: FRA is issuing new SteamLocomotive Inspection andMaintenance Standards in order toupdate and enhance its steamlocomotive regulatory program. Inrecognition of the reduced frequency ofuse of steam locomotives in today’stransportation system, the revisedstandards—which incorporateconsensus recommendations of theRailroad Safety Advisory Committee’sTourist and Historic Working Group—relax certain inspection requirementsand tighten others. Significant changesinclude: the creation of a ‘‘service-day’’inspection system that directly relatesinspection time periods to the actual useof the steam locomotive; theelimination, with certain exceptions, ofwaivers for steam boilers, steamlocomotives and their appurtenances;the inclusion of allowances whichencourage the use of new technologies,such as non-destructive testing, forboiler testing and inspections; and theimposition of qualification requirementsfor individuals making certain repairs tosteam locomotives, steam locomotiveboilers, and steam locomotiveappurtenances. Certain of the 1978inspection standards remainsubstantively intact but are beingrelocated to new sections and given newsection numbers. Due to the magnitudeof the changes made, these newly issuedstandards replace the 1978 standards intheir entirety.DATES: This regulation is effectiveJanuary 18, 2000.ADDRESSES: Any petition forreconsideration should reference FRADocket No. RSSL–98–1, and besubmitted in triplicate to the DocketClerk, Office of Chief Counsel, FederalRailroad Administration, 400 SeventhStreet, SW, Mail Stop 10, Washington,DC 20590.FOR FURTHER INFORMATION CONTACT:George Scerbo, Motive Power &Equipment Specialist, Federal RailroadAdministration, (telephone 202–493–6249); Paul F. Byrnes, Trial Attorney,Office of Chief Counsel, FRA, 400

Seventh Street, SW, Washington, DC,20590, (telephone 202–493–6063); orJohn Megary, Regional Administrator,Federal Railroad Administration, 8701Bedford-Euless Road, Suite 425, Hurst,TX 76053, (telephone 817–284–8142).SUPPLEMENTARY INFORMATION:

I. Historical BackgroundThe Locomotive Boiler Inspection Act

was passed by a Congress concernedover the ever-increasing rate of seriousinjury and death on the nation’srailroads in the early 1900s. In hisannual message to Congress in 1910,President Taft noted the need forregulation of the steam locomotiveindustry:

The protection of railroad employees frompersonal injury is a subject of the highestimportance and demands continuingattention * * *. It seems to me that withrespect to boilers a bill might well be drawnrequiring and enforcing by penalty a propersystem of inspection.

Congressional Record, December 6,1910, p. 33. At that time, the only ruleor regulation governing the inspectionand maintenance of steam locomotiveswas the Ash Pan Act, 45 U.S.C. S. 17(1908), repealed Pub. L. 97–468 (1983),which prescribed the method forattaching ash pans to steam locomotiveboilers. Acting in response to PresidentTaft’s speech, Congress passed theLocomotive Boiler Inspection Act(LBIA) on February 17, 1911. The LBIA,enactment of which was initiallyopposed by locomotive owners andoperators, brought all steam locomotiveboilers under Federal jurisdiction andestablished the Bureau of LocomotiveInspections.

The LBIA, which became effective onJuly 1, 1911, was limited in scope tosteam locomotive boilers. Despite itsrestricted coverage, the LBIA had animmediate, positive impact on safetywith the number of incidents caused bythe failure of the boiler or any of itsappurtenances declining sharply afterits passage. However, the number ofincidents involving failures oflocomotive parts other than boilers andrelated appurtenances continued toincrease, and railroad labor soonappealed to Congress to expand theLBIA to cover the entire steamlocomotive and tender and all its partsand appurtenances. Although therailroad owners and operators werestrongly opposed to this expansion inthe Act’s coverage, a bill amending theLBIA to incorporate the requestedchanges was passed by Congress andsigned into law by President WoodrowWilson on March 4, 1915.

When the LBIA became effective in1911, it required each railroad subject to

the Act to file copies of its rules andinstructions for the inspection oflocomotive boilers. A review of the 170rules and instructions submitted (out ofapproximately 2,200 railroads in thecountry at that time) disclosed thatthese rules were either substantiallysimilar, or identical, to thosepromulgated by the Master Mechanics’Association. These rules, incombination with the 1915 amendmentsto the LBIA, formed the basis for theInterstate Commerce Commission (ICC)rules on inspection and maintenance ofsteam locomotives and tenders: rules,that with some modification, continuein effect to this day. When the FRAcame into existence in 1967 as part ofthe newly formed DOT, it adopted allICC rules, interpretations, andinstructions pertaining to railroads thatwere in effect at that time. These ruleswere published in the Federal Registerand incorporated into the Code ofFederal Regulations in December of1968. Since then, the rules have beenupdated and amended periodically.Although the steam locomotiveregulations were removed from the CFRin 1980, FRA has continued to enforcethem. For purposes of clarity, wheneverthose removed standards are referencedin this rule, they will be referred to as‘‘the 1978 standards’’ since there is nocurrent CFR citation for them.

At present, there are approximately150 steam locomotives in operation inthe United States. Most of them are usedin tourist or historic service on anintermittent, seasonal basis. Severalyears ago, the Engineering StandardsCommittee (ESC), a task group of theNBBPVI comprised of steam locomotiveoperators, petitioned the FRA to changethe then current rules on inspection andmaintenance of steam locomotives tomore realistically reflect the current useand conditions of service for today’ssteam locomotives. The agency agreedto work with the ESC to considerrevisions to these standards. After FRAestablished the Railroad Safety AdvisoryCommittee (RSAC) in 1996, the subjectof steam locomotive inspection andmaintenance was identified as one fitfor collaborative rulemaking.Accordingly, the agency tasked theRSAC with the formal revision of steamlocomotive inspection standards on July24, 1996. It was also decided that theESC, and the FRA representativesworking with it, would become a taskforce assigned to the RSAC’s Touristand Historic Working Group.

II. The Railroad Safety AdvisoryCommittee

The RSAC’s mandate is to providerecommendations and advice to the


62829Federal Register / Vol. 64, No. 221 / Wednesday, November 17, 1999 / Rules and Regulations

Administrator of the FRA on thedevelopment of FRA’s railroad safetyregulatory programs, including theissuance of new regulations, the reviewand revision of existing regulations, andthe identification of non-regulatoryalternatives for improvement of railroadsafety. The RSAC is presentlycomprised of 48 representatives from 27member organizations, includingrailroads, labor groups, equipmentmanufacturers, state government groups,public associations, and three associatenon-voting representatives from theNational Transportation Safety Board(NTSB), Canada, and Mexico. TheAdministrator’s representative (theAssociate Administrator for Safety orthat person’s delegate) is theChairperson of the Committee.

III. Steam Task Force of the Tourist andHistoric Working Group

During the July 24, 1996 meeting ofthe RSAC, FRA tasked it withrecommending revisions to theregulations governing locomotiveinspection standards for steam-poweredlocomotives (49 CFR part 230). Thestated purpose of this task was topromote the safe operation of touristand historic rail operations, including‘‘such additions and deletions [to theregulations] as may be warranted byappropriate data and analysis.’’ In itsTask Statement (Task No. 96–5) toRSAC, the agency instructed it to referthis task to the pre-existing Tourist andHistoric Railroads working group(‘‘THWG’’ or ‘‘The Group’’). The THWGis comprised of the followingorganizations:Association of American Private Railcar

OwnersAmerican Short Line Railroad

AssociationAssociation of American Railroads

(AAR)Association of Railway MuseumsBrotherhood of Locomotive EngineersFRATourist Railway Association Inc.

(TRAIN)The THWG voted during its April

1996 meeting to officially endorse theESC (which had been examining theissues of steam locomotive inspectionand maintenance standards outside ofthe RSAC arena) and have it serve as atask force reporting to the Group. TheSteam Standards Task Force (task force)is comprised of representatives from theorganizations listed below:Valley Railroad CompanyDurango & Silverton Narrow GaugeUnion Pacific Railroad (UP)Strasburg RailroadHartford Steam Boiler Inspection &

Insurance Company

NBBPVIABB/Combustion EngineeringSmithsonian InstitutionFRA.

The task force met approximatelyseven times over an eighteen monthperiod to develop recommendations fora proposed rule. During these meetings,the task force considered a previous ESCproposal to revise part 230, which hadbeen presented to FRA in the early1990’s. The issues in this proposalengendered much discussion and debatewithin the task force. Brief summaries ofthose discussions are recorded in theappropriate parts of the section-by-section analysis portion of thisdocument. The technical detailssupporting certain of therecommendations that were discussedby the task force may be found in thepublic docket of this rulemaking. Thoseissues designated by FRA as ‘‘majorissues’’ are more fully discussed below.

During an early meeting, the taskforce identified a number of objectivesin revising part 230:

(1) Harmonizing FRA and NationalBoiler Inspection Code terminology andstandards;

(2) Modernizing the rules to reflectcurrent operating realities;

(3) Eliminating any incentives,financial or otherwise, for operators notto follow the rules;

(4) Encouraging the use of newtechnologies; and

(5) Producing a more clearly writtenand understandable rule that is moreenforceable.

These goals are reflected throughoutthis document and are embodied in thechanges and additions made to part 230.

On September 19, 1997, the THWGinformed FRA of the group members’unanimous agreement that the taskforce’s proposed recommended rule textrevisions to part 230 should beforwarded to the RSAC. On January 16,1998, the task force and the THWGreached consensus that the proposedpreamble should be included in thepackage presented to RSAC at theJanuary 27, 1998 meeting. Following thepresentation, the RSAC formulated aconsensus recommendation for aproposed rulemaking which wasforwarded to the Administrator of FRA.

IV. The Proposed RulePursuant to section 553 of the

Administrative Procedure Act, FRApublished a Notice of ProposedRulemaking (NPRM) in the FederalRegister on September 25, 1998,detailing the agency’s intent to issuenew regulations for steam locomotiveinspection and maintenance. In theNPRM, FRA solicited written comments

from all interested parties and providednotice of its intention to conduct apublic hearing on the proposedrulemaking only if so requested. A totalof 20 commenters responded to theNPRM, including: The AAR;Association of Railway Museums, Inc.;John C. Boykin; Grand Canyon Railway;Locomotive and Tower PreservationFund, LTD; Michigan State Trust Fundfor Railway Preservation, Inc.;Minnesota Transportation Museum,Inc.; NBBPVI; North Star Rail; OhioCentral Railroad System; San DiegoRailroad Museum; St. Louis Steam TrainAssociation; Tennessee Valley Railroad;UP; United States Department of theInterior; and Wisconsin RailwayPreservation Trust. Although FRA hadoriginally believed that a public hearingwould be unnecessary, a number ofinterested parties requested theopportunity to present their views atsuch a forum, and a public hearing washeld in Corpus Christi, Texas onFebruary 4, 1999. Seven organizationspresented testimony at the publichearing. Those testifying included:Austin and Texas Central Railroad;Diversified Rail Services; Grand CanyonRailway; Ohio Central Railway System;Tennessee Valley Railroad; TRAIN; andUP.

Because of the number of substantivecomments received during the noticeand comment period and at the publichearing, the task force suggested andFRA agreed to meet to address theissues raised and to consider changes tothe proposal for inclusion in the finalrule. The meeting was held inColumbus, Ohio on March 11–12, 1999.Among the issues addressed at thismeeting were: Implementation of therule; Preemption of state oversight ofsteam locomotive operations; Waivers ofrequirements; Responsibility forcompliance; Definitions of terms used;Movement of non-complyinglocomotives; Thirty-one (31) service dayinspection requirements; Ninety-two(92) service day inspectionrequirements; Annual Inspectionrequirements; One thousand fourhundred and seventy-two (1472) serviceday inspection requirements; Alterationand repair reports for steam locomotiveboilers; Responsibility for generalconstruction and safe working pressure;Maximum allowable stress on stays andbraces; Tensile strength of shell plates;Maximum shearing strength of rivets;Higher shearing strength of rivets; Timesand methods of inspection; Weldedrepairs and alterations; Hydrostatictesting of boilers; Broken staybolts;Times and methods of staybolt testing;The number and location of water



glasses and gauge cocks; When torequire boiler washing; Inspection,repair and/or replacement of arch tubes,water bar tubes, circulators, and thermicsiphons; Steam locomotive speedindicators; Testing main reservoirs;Time of cleaning; Stenciling dates oftesting and cleaning; Fire doors andmechanical stokers; Requiredillumination; Throttles; The draw gearbetween the steam locomotive andtender; Main, side, and valve motionrods; The steam locomotive frame;Tender trucks; Feed water tanks; andInspection requirements.

The discussion that follows examinesin detail comments received, the taskforce’s consideration of and response tothose comments, and those changes (ifany) FRA is making in the final rule asa result of the comments received. Thisdiscussion is organized by the relevantsection of the rule.

In order to make the final rule clearer(and therefore easier to comply with)FRA explains here the rationale and thedeliberative thought processes of thetask force in reaching its conclusions.Unless otherwise noted, the agencyagrees with the reasoning andexplanations advanced by the task forcefor the revisions and amendments thetask force recommended be made to the1978 standards. The task force’sdeliberations were thorough anddeliberative in nature, though frequentlymarked by spirited debate. Throughoutthis document, FRA has tried torecapture as much of that debate as isrelevant and practical.

V. Reorganization of Part 230

The 1978 standards were divided intotwo main parts—one for the steamlocomotive boiler and itsappurtenances, and the other for thesteam locomotive and tender. As part ofthe revisions to part 230, the agency hasrestructured the rule so that it containa ‘‘general’’ part, Subpart A, whichincludes those provisions that areapplicable to the entirety of part 230; aboiler part, Subpart B, applicable to theboiler and its appurtenances; and alocomotive part, Subpart C, applicableto the steam locomotive and tender.Some of the concepts found in SubpartA of this rule were formerly containedin Subparts A and B of the 1978standards. These revisions are designedto reduce and eliminate identifiedredundancies in the 1978 standards,thereby making the rule easier to readand comprehend.

VI. Major Issues

A. Responsibility for ComplianceIn the NPRM, FRA struck the term

‘‘railroad company’’ throughout thebody of the rule and replaced it with theterm ‘‘locomotive owner and/oroperator.’’ FRA has retained this term inthe final rule, consistent with the taskforce’s recommendations, to reflect thechanges in steam locomotive operatingpractices. Very few railroad companiesown and/or operate steam locomotivestoday. While some tourist railroads ownand operate their own locomotives,most frequently steam locomotives areowned and/or operated by entities otherthan the railroad on whose line theyoperate. These entities range all the wayfrom wealthy private enthusiasts to statehistorical agencies. Sometimes theowner of the equipment actually runs(operates) the steam railroad operation;in other cases, an individual orindividuals are hired (or volunteer) todo so. This means that in many—if notmost—instances, the locomotive ownerand/or operator is in a much betterposition than the railroad company toensure compliance with variousregulatory requirements. In recognitionof this reality, the task forcerecommended that the agency morespecifically affix responsibility forcompliance on those who are primarilyresponsible for the operation of thesteam locomotive and tender. In mostcases, that party will be the locomotiveowner and/or operator. The task forcemembers debated how to best expressthe liability standard—whether to use‘‘owner and operator,’’ ‘‘owner/operator,’’ or ‘‘owner or operator.’’ Theysettled on the ‘‘owner and/or operator’’construct as the clearest method foraffixing joint and severable liability forthe inspection and maintenance ofsteam locomotives on the owner andoperator. In certain sections of the rule,however, the owner and the operator areindividually identified as theappropriate party on whom liabilitywould rest.

In addition, as provided by statute,this rule makes clear that a railroad mayalso be held liable for permitting anyentity to use a noncomplyinglocomotive on its line (see section-by-section discussion of § 230.4, below).The adoption of the owner and/oroperator language is a clear signal thatFRA intends to look first to the ownerand/or operator to ensure compliance,regardless of whether that happens to bethe railroad on which the steamlocomotive is operating. It is importantto note that the applicability section,§ 230.2, which the agency modifiedfrom that originally submitted by the

task force, uses the term ‘‘railroad’’ todenote where the rule applies. Asexplained in the section-by-sectionanalysis of the applicability section,FRA is making this change to harmonizeall of its applicability sections. Sincethis section is intended to explainwhere the rule applies, it does not affectthe primary compliance responsibility,which remains with the owner andoperator. Therefore, FRA believes thatthis change does not substantiallychange the task force’s proposal to theagency.

B. Inspection SchemeIn issuing this rule, FRA has revised

the inspection scheme for steamlocomotive boilers to reflect the changednature of modern steam locomotiveoperations. The 1978 standards requiredsteam locomotive boilers to be inspectedat various time periods that were linkedto an annual calendar, regardless of theamount of actual usage the locomotivehas incurred. When locomotives were incontinuous service, this system was notunduly burdensome. Operation of steamlocomotives today, however, occursmuch more infrequently, sometimesonly a few times a year, greatly reducingthe need for frequent inspections rigidlytied to the passage of calendar days.Under the new inspection scheme,required locomotive inspections arebased on the number of ‘‘service days’’a steam locomotive accrues, withvarious intermediate calendarinspection requirements retained toensure an adequate level of safety.

1. Service DaysThis new inspection scheme is

underpinned by the concept of a‘‘service day’’—defined as ‘‘any day thelocomotive has steam pressure aboveatmospheric pressure and a fire in thefirebox.’’ Because good operatingpractice requires that a steamlocomotive boiler be slowly heatedbefore use and slowly cooled after useto avoid the damage rapid heating andcooling can inflict on the boiler, alocomotive that runs on weekends mayaccrue as many as three service days foreach day of actual ‘‘use.’’ For example,a steam locomotive could have fire inthe firebox and pressure aboveatmospheric pressure for an entire daybefore it actually runs, for the entire daythat it runs, and while it cools downafter it runs. Under this scenario, thelocomotive would accrue three servicedays although only in actual ‘‘use’’ forone day. Some operators wereconcerned that adopting this service dayconcept could create an incentive foroperators to ‘‘dump’’ their fires at theend of a day operating the steam



locomotive in order to avoid incurringan extra service day. The task force wasof the opinion, however, that thefinancial cost (in terms of stress anddamage to the locomotive boilers fromsuch behavior) to operators who did sodump their fires would likely outweighany inspection time period benefits theymight gain from such dumping. The taskforce also expressed the belief that, withproper damping and draft restriction,fire can be removed from the firebox(and a service day preserved) with noadverse affects for the boiler, and thatthis practice can, in fact, be easier onthe boiler than banking the fire.

2. Daily InspectionThe new ‘‘daily inspection’’ section

sets forth the daily inspectionrequirements for steam locomotiveowners and/or operators. The only dailyinspection requirement in the 1978standards was that the steam locomotiveand tender be inspected ‘‘after each trip,or day’s work.’’ The new section retainsthe general daily inspection requirementfor each day that a steam locomotive is‘‘offered for use,’’ but adds a number ofadditional specific ‘‘pre-departure’’inspection requirements that must becomplied with at the beginning of eachday the locomotive is used. This ‘‘pre-departure’’ inspection regimeemphasizes the need to examine certainsafety critical items such as the waterglasses and gauge cocks, the boilerfeedwater delivery systems, the aircompressors and governors, and the airbrake system on a daily basis.

3. 31 and 92 Service Day InspectionsThis rule also establishes 31 and 92

service day inspection requirements.These are roughly comparable to themonthly and trimonthly inspections inthe 1978 standards.

4. Annual InspectionsIn addition, this rule establishes

annual inspection requirements similarto the 1978 standards: requiring that asteam locomotive be inspected after 368calendar days have elapsed since thetime of the prior annual inspection. The1978 standards required that certainitems be inspected at least ‘‘once every12 months.’’ The revised annualinspection, as do all the other periodicinspections, incorporates the inspectionrequirements of those inspectionsrequired to be conducted morefrequently. Thus, locomotives that arenot operated often enough to accrueeither 31 or 92 service days in a 368 dayperiod will have those inspectionsconducted, at a minimum, once every368 calendar days. In addition, this ruleextends the inspection time period for

flexible staybolts and caps from onceeach 2 years under the 1978 standardsto during each 5th annual inspection.

5. 1472 Service Day InspectionFinally, the 1978 standards required

that a steam locomotive boiler beinspected, at a minimum, once each 5calendar years (boiler interior to beinspected after 48 calendar months,within 5 consecutive years; and theboiler exterior to be inspected every 5years, or, if the locomotive is out ofservice for at least one full monthduring that time, after 60 calendarmonths within 6 consecutive years).This inspection was a major one,requiring the removal of the jacket andlagging to conduct the exteriorinspection, and the removal of all fluesin the locomotive boiler to conduct a‘‘minute’’ inspection of the interior ofthe boiler. FRA is amending thisprovision by requiring that theseinspections be conducted when thelocomotive has accrued 1472 servicedays or when a period not to exceed 15years has elapsed since the last 1472service day inspection was performed.These revisions are being made in orderto take into account the amount ofactual usage a steam locomotivereceives. The 15 year maximum, beyondwhich time a 1472 service dayinspection must be conducted, is basedon the task force’s recommendations.

FRA is requiring the completion,verification and updating of thelocomotive’s FRA Form No. 4, the‘‘specification card’’ required by§ 230.54 of the 1978 standards, as partof the 1472 service day inspection. Theupdated FRA Form No. 4 must be filedwithin 1 month after the completion ofthe 1472 service day inspection. Theagency is making clear that theverification and updating of this form asnecessary to reflect the currentcondition of the boiler is required aspart of every 1472 service dayinspection. This recordkeepingrequirement is not actually new, itmerely clarifies and makes express whatthe 1978 standards required. Althoughthe 1978 standards did not expresslyrequire periodic surveying to verify theaccuracy of the current form or theupdating of any changes thereto, theneed to do so was implicit in therequirement of a signed testimonial thatall information provided on the formwas true and accurate. In addition , the1978 standards actually required thatthe FRA Form No. 4 be updated toreflect boiler repairs or changes thatmight affect the FRA Form No. 4 data.However, because some locomotiveowners and/or operators may notunderstand that the 1978 standards

required that the FRA Form No. 4 bekept up-to-date and accurate, thischange in language may be perceived bysome as imposing new recordkeepingrequirements.

FRA has also determined that safetyconcerns dictate that there be acompetency requirement for the personor persons conducting a 1472 serviceday inspection and for the person orpersons surveying the boiler for thepurpose of recalculating a FRA FormNo. 4. Accordingly, this rule specificallyprovides that only competentindividuals may perform 1472 serviceday inspections and/or surveys oflocomotive boilers in order to evaluatethe accuracy of information on thelocomotives’ current FRA Form No. 4s.

6. FRA Inspection OversightConcerned that an adequate level of

safety be maintained in light of theextended inspection intervals allowedunder this rule, the task forcerecommended that FRA increase theamount of oversight it exercises oversteam locomotive inspections. FRAshares the task force’s concerns and is,therefore, requiring that the agency beafforded the opportunity to be presentduring certain periodic steamlocomotive inspections. In the case ofthe 31 service day inspection, FRA willbe responsible for communicating to thesteam locomotive owner and/or operatorthat the agency wants to be notifiedprior to the inspection and given anopportunity to attend. Uponnotification, the steam locomotiveowner and/or operator must provideFRA with the anticipated date andlocation for the inspection. Once thatinformation is conveyed to the agency,any subsequent change in the inspectionschedule must be mutually agreed upon.FRA believes this approach balancescompeting interests and comports withthe task force recommendations. Informulating their recommendation, thetask force members sought to providesteam locomotive owners and/oroperators with the flexibility to conducttheir business without unreasonableinterference by FRA schedulingdemands while also insuring that theowners and/or operators would act ingood faith and take all reasonablemeasures to accommodate FRA requeststo be present at periodic locomotiveinspections.

In the case of the annual inspection,the steam locomotive owner and/oroperator is required to provide FRAwith one month’s prior notice that theannual inspection is to be conducted.The agency then has the option ofnotifying the owner and/or operator ofits desire to be present for the



inspection. At that point, the steamlocomotive owner and/or operator mustprovide FRA with a scheduled date andlocation for each aspect of theinspection. As with the 31 service dayinspection, once the annual inspectionis scheduled, any changes to thatschedule have to be mutually agreedupon.

This notification scheme is designedto allow the agency the opportunity toobserve the steam locomotive ownerand/or operator performing the variousrequired inspections and to allow theFRA field personnel directly responsiblefor inspecting steam locomotiveoperations to work cooperatively withthe regulated community. Being able toobserve the inspections firsthand alsoprovides FRA with more accurate andup-to-date information on the conditionof the steam locomotive fleet operatingtoday.

C. Elimination of the Special WaiverProcess

As part of this rule, FRA haseliminated all the special waivers thatwere available under part 230. The 1978standards contained a section thatallowed for the ‘‘modification of rules’’for ‘‘roads operating less than 5locomotives’’ upon a showing thatconditions warrant it. This language,which predated the agency’s formalwaiver process (codified at 49 CFR211.41), was originally intended toapply only to the subpart addressing thesteam locomotive and tender. Inaddition, the flue removal section in the1978 standards provided for thegranting of extensions of the time periodfor removing flues and for conductingthe comprehensive boiler inspection,upon formal application to the ICC’sDirector of Railroad Safety. Oneconsequence of this waiver process,which was administered locally by theagency’s eight regions, was thatlocomotive owners and/or operatorswere able to delay the conduct of theboiler inspection by varying amounts oftime based, in part, on the regionalprocedures for addressing theserequests. These waivers will now expireunless submitted to FRA forreevaluation prior to the effective dateof this rule. By eliminating the waiverprovision in part 230, the agency hasaccomplished several things: (1)Provided notice to the regulatedcommunity that the agency’s part 211waiver process is the appropriatevehicle for gaining relief from therequirements of this part; (2) gainedassurance that FRA will haveknowledge of and the ability tocoordinate on a uniform, nationwidebasis the consideration and granting of

all steam locomotive waivers appliedfor; and (3) ensured that steamlocomotives are regulated consistently.The task force and FRA also believethat, although the extensions andwaivers previously granted under thispart will generally no longer benecessary given the flexibility beingafforded by the proposed newinspection scheme, when an owner and/or operator believes such a waiver isnecessary, such requests are bestaddressed by the centralized waiverprocess provided for in part 211.

D. Standard for RepairsThe agency is establishing standards

for making certain repairs to the steamlocomotive and boiler. The task forcewas concerned about controlling thequality of the repairs made to steamlocomotives and boilers and decided toimpose, as a minimum, the requirementthat repairs be made in accordance withan ‘‘accepted industry standard.’’ Thetask force considered simply requiringthat repairs be made in accordance withthe National Board Inspection Code(NBIC ) published by the NBBPVI or inconformance with the standardsestablished by the American PetroleumInstitute (API). However, the task forcefinally decided to recommend that theagency allow steam locomotive ownersand operators to perform repairs inaccordance with established railroadpractices that have been successfullyutilized over time, thereby affordingindustry members a measure offlexibility. This proposal reflects thatdecision. While there was some concernabout whether the term ‘‘accepted’’ wastoo vague, the task force felt that theindustry members would know whatwas required to ensure that repairs areproperly made. Due to the small sizeand cohesiveness of the steamlocomotive community, the task forcefelt that imposing an ‘‘accepted industrystandard’’ on repairs made, andallowing that standard to include‘‘established railroad practices, or NBICor API established standards’’ wouldresult in an acceptable level of qualityin the repairs made. Section 230.29 ofthe final rule reflects the task force’srecommendations. Finally, as used inthis proposal, ‘‘established railroadpractices’’ means those practices usedby one or more railroads over a periodof time that can be reasonably shown tohave been successful in service, or thatmost industry members would agree isan appropriate standard to use for agiven repair. In practice, the locomotiveowner and/or operator will beresponsible for proving that thestandard is established within therailroad community and that it is

appropriate for the repair underconsideration.

For the first time, FRA is expresslyallowing welding on both stayed andunstayed portions of the boiler, withsome limitations. While the 1978standards did not prohibit welding onunstayed portions of the boiler, it waswidely understood that such weldingwas not allowed. Therefore, expresslyallowing welding on unstayed portionsof the boiler is a fairly radical changefrom the existing standards. Under§ 230.33 of this final rule, ‘‘WeldedRepairs and Alterations,’’ FRA isrequiring prior approval for any weldingdone on unstayed portions of highcarbon boilers (greater than 0.25 percentcarbon). FRA believes prior approval isnecessary since the risk of welding onthe boiler is much higher for boilerswith a high carbon content. Welds onunstayed portions of lower carbonboilers (less than 0.25 percent carbon)are not so restricted. For both low andhigh carbon boilers, however, FRA isimposing a repair standard that allowsthe locomotive owner and/or operator ameasure of flexibility whilesimultaneously insuring an adequateminimum level of safety. Accordingly,the agency is requiring that any weldedrepairs to unstayed portions of theboiler be performed in ‘‘accordance withan accepted national standard for boilerrepairs.’’ This modifies the generalrepair standard discussed above to morenarrowly apply to boiler repairs.

By referencing an accepted nationalstandard for boiler repairs, the task forceand the agency sought to impose ameasure of quality control that wouldprovide assurance that all welding isperformed properly. Because there areseveral national organizations thatprescribe such procedures, the operatorwill be allowed to follow any one of anumber of recognized methods. ‘‘Inaccordance with an accepted nationalstandard for boiler repairs,’’ therefore,means that all the physical, mechanical,and documentation requirementsdelineated in a particular standard suchas the NBIC have been satisfied. Thetask force considered recommendingthat FRA simply adopt the NBICstandard but decided that the financialburden imposed on owners and/oroperators would be too great. The NBICprogram requires reporting of the finalrepair and third-party oversightthroughout the repair, which can bevery costly. Accordingly, the task forcedecided to simply reference thestandard to which the repair should bedone, without imposing the reporting orthird-party inspection requirements ofthe standard. FRA agrees with and hasadopted the task force’s position.



The task force was also veryconcerned about follow-up radiographyfor the welds conducted, and at onepoint considered recommending that allwelds on unstayed portions of the boilerbe radiographed. The task force alsoconsidered incorporating an AmericanSociety of Mechanical Engineers(ASME) radiography standard (whichincludes procedures for conductingradiography of welds), but eventuallydecided that so doing would make thispart too complicated. The task force feltthat doing so was unnecessary becauseall ‘‘accepted national standards’’include radiography where necessary.Accordingly, the final rule mandatesonly that any radiography requiredunder the accepted national standardchosen for the welded repair at issue beso performed.

The task force discussed the potentialfor abuse of the ‘‘accepted nationalstandard for boiler repairs’’ standard butfelt that the risk of such abuse was low.This belief is based upon the clearrequirement in this section thatlocomotive owners and/or operators beable to establish through documentationcompliance with such a nationalstandard, i.e., point to the proceduresthey followed in performing a particularweld. The locomotive owner and/oroperator will bear the burden of provingto FRA that they correctly followed aparticular, relevant national standard.Accordingly, this section simplyrequires that the locomotive owner and/or operator adhere to whatever theparticular national standard followeddictates—from pre-weld treatments andwelder qualifications through post-weldinspection requirements. Thelocomotive owner and/or operator willbe required to make a showing that theysatisfied the accepted national standardupon request by an FRA inspector.

E. Allowances Encouraging the Use ofNew Technologies

The task force felt strongly that the1978 standards, which had not beensubstantively revised in over 20 years,did not adequately address the newtechnologies which have developedduring that time. Accordingly, the taskforce believed this rule should addressrecent innovations in inspection andmaintenance methodology andtechnology. The task force was alsoconcerned that compliance with the1978 standards may have resulted inexcessive wear of steam locomotives,locomotive boilers, and locomotiveappurtenances. In addition, the taskforce felt that the changed nature ofsteam locomotive operations todayprovided additional justification forupdating the rule to reflect modern

operating circumstances and forencouraging the use of non-destructivetechnologies to satisfy variousinspection requirements. Accordingly,in many sections of this rule, FRA isencouraging the use of advancedtechnologies by granting additionalregulatory flexibility where suchtechnologies are utilized. In some cases,however, the task force recommended,and the proposal incorporates,mandatory non-destructive examination(NDE) testing for safety reasons. Themain sections so affected are: (1) Theflue removal section, 230.31; (2) theArch tube, water bar tube and circulatorsection, 230.61; (3) the dry pipe section,230.62; (4) the main reservoir testingsection, 230.72; and (5) the draw gearand draft system section, 230.92.

F. Imposition of QualificationRequirements for Repair

By referencing national standards,this rule addresses, for the first time, theissue of qualification requirements forindividuals making repairs to steamlocomotives. The NTSB and the taskforce both felt strongly that the ruleshould establish minimum competencyrequirements for individuals makingcertain safety critical repairs. Thus,wherever the relevant nationalstandards include qualificationrequirements, steam locomotive ownersand/or operators making such repairswill have to comply with theserequirements. The task force consideredimposing more explicit qualificationrequirements than those imputed fromthese national standards but concludedthat doing so was not necessary at thistime. FRA agrees with the task force’sposition, and, therefore, is notmandating more explicit qualificationrequirements.

G. Implementation Schedule

This rule provides for a gradualphase-in of part 230 in order to providelocomotive owners and operators theflexibility necessary to bring theiroperations into compliance (see section230.3 for a full discussion of theimplementation schedule). Somerequirements must be complied with nolater than one year after the effectivedate for the final rule. In addition, FRAis allowing locomotive owners and/oroperators two years after the effectivedate for the final rule in which torequest flue removal extensions. Finally,locomotive owners and/or operators thatqualify to file a Petition for SpecialConsideration will be required to do sowithin one year of the effective date ofthe final rule, and the agency will haveone year from the date of filing to

consider and respond to any suchpetitions.

VII. NTSB RecommendationsFollowing their investigation of the

1995 steam boiler explosion on theGettysburg Passenger Services railroad,the NTSB issued the followingrecommendations to the agency:

(1) Require that each operating steamlocomotive have either a water columnor a water glass in addition to the waterglass and three gage cocks that arealready required. (R–96–53).

(2) Require steam locomotiveoperators to have a documented water-treatment program. (R–96–54).

(3) Describe basic responsibilities andprocedures for functions required byregulation, such as blowing down thewater glass and washing the boiler. (R–96–55).

(4) In cooperation with the TRAIN,promote awareness of and compliancewith the Hours of Service Act. (R–96–56).

(5) In cooperation with the NBBPVIand the TRAIN, explore feasibility ofrequiring a progressive crown stayfeature in steam locomotives. (R–96–57).

(6) In cooperation with the NBBPVIand the TRAIN develop certificationcriteria and require that steam-locomotive operators and maintenancepersonnel be periodically certified tooperate and/or maintain a steamlocomotive. (R–96–58).

(7) In cooperation with the NBBPVIand the TRAIN, update 49 CFR part 230to take advantage of accepted practicalmodern boiler-inspection techniquesand technologies, to minimizeinterpretation based on empiricalexperience, and to maximize the use ofobjective standards. (R–96–59).

This rule reflects the carefulconsideration of theserecommendations, both by FRA and thetask force who, through the full RSAC,advised the Administrator regardingrevisions to this part. That advisorycommittee task force was comprised ofsteam locomotive experts, steamrailroad operators, steam boilerinsurance companies, the NationalBoiler Inspection Code Committee,representatives from the Volpe NationalTransportation Systems Center (VolpeCenter) and several representatives fromFRA. Representatives of NTSB wereoffered a seat at the table but declined.FRA requested that the task forceaddress the NTSB’s recommendationsand suggest appropriate responses. Inresponse to FRA’s request, the advisorycommittee task force recommended, andFRA has adopted, the following steps:R–96–53 Water Glasses—Based on task

force support for this



recommendation and FRAconcurrence, section 230.51 of thisrule establishes a minimumrequirement of two sight glasses or asight glass and a water column oneach operating steam locomotive.

R–96–54 Water Treatment—Industrymembers of the task force did notexpress support for NTSB’s proposedwater treatment requirement becausethey felt that the current regulatoryfocus on boiler washing was adequateto address the condition of the boilerinterior, and to prevent the build upof sediment and mineral deposits. Thetask force also felt that watertreatment programs could be undulyburdensome, especially for steamlocomotives with a single watersource that requires constant testingdue to water quality variations, orwhere locomotives travel longdistances and draw water fromnumerous sources. Finally, theindustry members felt that the issue ofwater treatment should be addressedin a performance standard, but theyindicated that it would be impossibleto write a uniform performancestandard. FRA agrees that thefundamental issue is the interiorcondition of the boiler and that thetask force recommendations and FRAinspection practices adequatelyaddress the condition of the boilerinterior.

R–96–55 Delineation ofResponsibilities—The task forceexpressed support for thisrecommendation, and this rule clearlydescribes basic responsibilities andprocedures. In addition, the VolpeCenter has produced a training videofor steam-locomotive operators forFRA. The video covers proceduresrequired during daily inspections andpre-trip inspections in order to ensurethe safe operation of a steamlocomotive. This video was unveiledduring TRAIN’s annual convention inNovember of 1997, and was mailed tosteam locomotive owners andoperators throughout the countryshortly thereafter. Finally, theindustry members of the task forceendorsed putting together a‘‘Recommended Practice Manual’’(RPM) for many issues that thisproposal does not address. FRA willcontinue to work with the industry onthe development of a RPM.

R–96–56 Hours of Service ActAwareness—The industry membersindicated their support for theproposal that FRA working in tandemwith the TRAIN to promote awarenessof the Hours of Service Act. Althoughissues of compliance with the Hoursof Service Act are beyond the scope

of this rule, FRA does wish to statethat it will work with TRAIN toincrease awareness of Hours ofService Act requirements, and topromote compliance with the Act.

R–96–57 Progressive Crown Stays—The industry representativesindicated their willingness to explorethe feasibility of progressive crown-stays, but because of time constraintswere not able to address this issue inthe part 230 revisions. FRA hasrequested that the NTSB make staffassistance available to the task forceto outline the steps necessary toconduct this evaluation.

R–96–58 Certification Program—Theindustry representatives expressedsupport for this recommendation andare investigating the feasibility ofdeveloping certification criteria forseveral classes of employees orvolunteers affected. Some members,however, expressed concern about thecost involved in assessing job and taskrequirements. FRA’s preference is avoluntary certification program.While the current standards forQualification and Certification ofLocomotive Engineers containtraining requirements that may serveas a framework for better defining thecompetencies of steam locomotiveoperators, at present, thoseregulations only apply to railroadsthat operate locomotives on standardgage track that is part of the generalsystem of rail transportation.Administering a technically elaboratecertification program that wouldultimately affect the operation of lessthan 175 locomotives does not appearto be a wise use of scarce federalresources. FRA encourages the Tourist& Historic Working Group to carryforward this discussion, with theobjectives of (1) supporting privateinitiatives and; (2) offering technicalsupport for sound training programs(including the evaluation of currentcompetencies).

R–96–59 Modernization of part 230—Industry members expressed supportfor this recommendation and acted inpartnership with FRA through thetask force to accomplish it. FRAsubmitted responses to the NTSB’srecommendations. The NTSB wassatisfied with the agency’s plan,influenced by the task forcerecommendations, to address NTSBrecommendations R–96–53, R–96–55,R–96–56, and R–96–59 but was,however, dissatisfied with our plan toaddress recommendations R–96–54,R–96–57, and R–96–58. These threelatter recommendations will bediscussed at greater length below.FRA concurs with the task force’s

responses to NTSB’srecommendations and believes thatthe proposed revisions to the steamlocomotive regulations will addressmost of those recommendations. Theagency invited NTSB staff toparticipate in the task forcedeliberations, but they were unable todo so. FRA believes that a fulltechnical exchange of views wouldhave been helpful to resolving theremaining recommendations.NTSB’s recommendation R–96–54

would require operators to maintain adocumented water treatment program.The task force simply disagreed thatsuch a program was necessary. They feltthat the boiler washes were the realissue, not the chemical remediation ofthe owner or operator’s water source.The NTSB, in its response, concurredwith the task force that the wash is‘‘probably more directly effective incontrolling boiler sediment and mineraldeposits.’’ However, the NTSB added,‘‘a documented water treatment programdoes not have to be expensive, rigid orburdensome.’’ While FRA lacks the datato evaluate the cost-effectiveness of anysuch program, it doesn’t feel such aninquiry is necessary since all partiesagree that a boiler wash is the most‘‘directly effective’’ method ofpreventing boiler sediment and mineraldeposits. Based on discussions in thetask force and field experienceconcerning steam boiler maintenance, itis the agency’s judgement that safetywould not have been enhanced byincorporating this additionalrequirement into the rule. Operators arealways free to voluntarily conduct theirown water treatment programs (andmany do). Given the effectiveness of theboiler wash, it does not appear to becost-beneficial to mandate documentedwater treatment programs at this time.FRA is also concerned about thepaperwork burdens associated withsuch a program. Federal agencies aremandated to reduce informationcollection burdens, and regulatoryburdens on small entities are to beminimized. However, FRA remainswilling to consider specific data andanalysis submitted in support of thisrecommendation.

NTSB’s recommendation R–96–57, ifadopted, would have required theagency to explore the feasibility ofprogressive crown-stays in mitigatingthe damage caused by boiler failures.The task force’s experience withprogressive crown stays was notsufficient to support such a mandate atthis time. The agency, after consultationwith the task force, conveyed to theNTSB its willingness to explore this



issue fully at some later date, based onits belief that it lacked time andresources to adequately address thisissue at this time. The NTSB found thisresponse unacceptable. FRA told theNTSB it would appreciate the Board’smaking available staff assistance to thetask force to help outline the stepsnecessary to conduct this evaluation,but no such assistance was forthcoming.The agency remains open to this issuebut believes that more research isnecessary before it can conclude, oneway or another, that progressive crownstays are a cost-beneficial safetyenhancement. In the NPRM, the agencyrequested that any party with data oranalysis related to progressive crownstays, and their role in mitigating boilerfailures, submit it to the agency forconsideration: no such information wasreceived.

Finally, NTSB recommendation R–96–58 would require the agency todevelop a certification program forsteam locomotive operators andmaintenance personnel. After dueconsideration, FRA has decided in favorof a voluntary certification program.Given the small number of affectedentities and the scarcity of federalresources available to administer atechnically elaborate certificationprogram, the agency believes amandatory certification program isunnecessary at this time. The task force,in association with the Volpe Center,has already created and produced atraining video for the conduct of steamlocomotive daily inspections. Thisvideo was aired during the TRAINconvention held in November of 1997,and was subsequently mailed to eachsteam locomotive owner or operator forwhom the agency had user fee records.This was but a first step in response tothe NTSB’s recommendation. Theagency will continue to work with theregulated community to carry forwardthis discussion and, as such, supportsthose private initiatives offeringtechnical support for training programs,including the evaluation of currentcompetencies of steam locomotiveoperators and maintenance personnel.In the NPRM, FRA requested that anyparty supporting the NTSB’srecommendation submit data andanalysis indicating the need for a moreprescriptive approach: again, no suchinformation was received.

Comments and ResponsesThe discussion that follows examines

in detail comments received, the taskforce’s consideration of and response tothose comments, and those changes (ifany) FRA is making in the final rule asa result of the comments received.

Section 230.3 ImplementationThe provisions of this section

generated a number of comments andcounter-proposals from interestedparties. In the NPRM, FRA proposed astaggered implementation schedule forplacing the new rule into effect. Underthis schedule, locomotive owners and/or operators would be required toperform a 1472 service day inspectionmeeting the requirements of § 230.17 atthat time when the locomotive flueswould have had to be removed under§ 230.10 of the 1978 revisions.Subsection (c)–(d) of the proposalprovided for a 3-year period duringwhich a steam locomotive owner and/oroperator would be allowed to file apetition for special consideration ofboiler inspections performed inaccordance with § 230.17 within the 3-year period prior to the final rule’spublication. Several commentersexpressed concern about when steamlocomotive owners and/or operatorswould be required to perform 1472service day inspections under the newrule. Grand Canyon Railway commentedthat any locomotive in full compliancewith § 230.17 of the proposed ruleshould have any flue time remainingunder § 230.10 incorporated into thetime allowed before having to performa 1472 service day inspection. GrandCanyon Railway also stated that the1472 service day period is a validservice time for steam locomotive boilerflues and should be applied to all steamlocomotives with original flue timeremaining within a 5-year maximumperiod. Minnesota TransportationMuseum, Inc. commented that thissection should allow a steam locomotivewith existing flue time under § 230.10 ofthe 1978 revision to incorporate thatflue time under the new 1472 serviceday period. North Star Rail commentedthat the implementation section, asproposed, would have its greatestimpact on the newest, largest, leastoperated steam locomotives. North StarRail also commented that if the newregulations are to be based on servicedays, then incorporation of properlydocumented locomotives meeting allaspects of the new regulations shouldalso be based on actual documentedservice days. Wisconsin RailwayPreservation Trust commented that theproposed 1472 service day inspectionrequirement needs to be changed to takeinto account the economiccircumstances of the regulatedcommunity and the potential inequitiesof the rule as presently written. Anumber of the comments receivedaddressed the issue of when the 3-yearperiod for special consideration should

run from. The Association of RailwayMuseums, Inc. stated that the period ofeligibility for filing a petition for‘‘special consideration’’ should begin1/27/96. Grand Canyon Railwaycommented that the 3-year period isarbitrary and should be revised to takeinto account the actual date ofpublication of the final rule. MichiganState Trust for Railway Preservation,Inc. expressed its belief that the periodfor special consideration should beincreased to 4 years or more dependingupon the date of publication of the finalrule. Minnesota TransportationMuseum, Inc. observed that the 3 yearperiod for consideration was arbitrary.NBBPVI, Ohio Central Railroad,Tennessee Valley Railroad, and UP allcommented that the final rule needs totake into account delays in getting therule published. NBBPVI suggested thatJanuary 1, 1999 was a reasonable datefor implementation of the 3 year periodfor special consideration. San DiegoRailroad Museum commented that thetime period in which to file a petitionfor special consideration should beincreased to 4 or 5 years, oralternatively, start 3 years prior to thedate of publication of the proposed rule.

At the Columbus, Ohio meeting,several members of the task force alsoexpressed concern about the issue ofwhen the time for filing specialpetitions for consideration would begin.It was suggested that the date ofpublication of the NPRM was the mostequitable time to relate back from sincethat could be considered as the date thatthe regulated community first hadconstructive knowledge of FRA’sintentions. The task force was agreeableto that proposal, reaching consensus ona recommendation to FRA that theperiod for filing special petitions forconsideration extend back 3 years fromthe date of publication of the NPRM.FRA, after due consideration of thecomments received and the task forcesrecommendations, has decided to adoptthe date of publication of the Notice ofProposed Rulemaking as the date the 3year period for special considerationwill relate back from. This means thatany locomotive owner and/or operatorwhose locomotive was fully or partiallyin compliance with § 230.17 (1472service day inspection requirements)between September 25, 1995 andSeptember 25, 1998 may petition FRAfor special consideration.

Section 230.5 Preemptive EffectThis section of the NPRM, addressing

the preemptive effect of the proposedrule, generated a large number ofcomments concerning state regulation ofand/or enforcement of state boiler codes



against steam locomotive owners and/oroperators. Many of the commentsreceived took exception to FRA’s statedintention of allowing state inspectionand regulation of steam locomotivesoperations in those areas where FRAchooses not to exercise jurisdiction. Anumber of commenters took issue withthe statement in this section that thispart comes under 49 U.S.C. 20106’sexception from preemption of anadditional or more stringent State law,regulation, or order that is necessary toeliminate or reduce an essentially localsafety hazard; is not incompatible witha law, regulation, or order of the UnitedStates Government; and does notunreasonably burden interstatecommerce.

UP submitted comments which weresupported in whole by the AAR. In itscomments, UP stated that § 230.6 of theproposed rule takes too narrow a viewof preemption, drawing on the FederalRailroad Safety Act (FRSA), but failingto take into account the total preemptiveeffect of the Locomotive BoilerInspection Act (LBIA) and the FederalSafety Appliance Act (FSAA). UP alsonoted that neither the 1970 passage ofthe FRSA nor the 1994 recodification ofthe federal railroad safety laws changedthe preemptive effect of the LBIA or theFSAA. The AAR observed that it is wellsettled that the federal railroad safetylaws and regulations governinglocomotive parts and appurtenances andsafety appliances preempt the field andforeclose any state regulation thereof.

Several commenters expressedconcern over having to comply withState standards. The Austin and TexasCentral Railroad expressed concern thatthis section, as written, would allowstates to hold steam locomotive ownersand/or operators to different andpossibly conflicting standards.Diversified Rail Services commentedthat allowing state regulation couldimpose unreasonable financial burdensand result in locomotive owners and/oroperators having to comply withconflicting state and federal standards.Grand Canyon Railway opined thatallowing the States to regulate steamlocomotives was undesirable, would bedisruptive to operations and severelyburdensome on steam locomotiveowners and/or operators forced tocomply with conflicting, inconsistentstate and federal regulations. TheMichigan State Trust for RailwayPreservation, Inc. commented that stateregulation of standard gauge steamlocomotives would impede interstatetravel by steam locomotives. TheMichigan State Trust also stated that thepreemption language which tracked thatof the Federal Railroad Safety Act

should be deleted. The NBBPVI wasconcerned that, under the proposedrule, states and local authorities couldapply more stringent rules, therebyconflicting with the goal of establishingnational steam locomotive standards.North Star Rail stated that the wordingof the preemption section should beconsistent with the language of otherrules such as the Track Standards Rule.Ohio Central Railroad System’scomment was that the preemptionlanguage as proposed should be strickensince there is no need to involve otherauthorities. St. Louis Steam TrainAssociation commented that having tofollow more than one set of rules andregulations invites misinterpretationand confusion over which rules apply.Tennessee Valley Railroad observed thatit has had firsthand experience dealingwith state boiler inspectors. TennesseeValley Railroad further noted that in itsexperience, the state boiler inspectorshad applied the state boiler codeprovisions—with methodology andinspection methods designed forstationary boilers—to steamlocomotives, resulting in steamlocomotive owners and/or operatorsbeing required to make repairs whichwere in conflict with FRA’s repairrequirements. The TRAIN organizationcommented that it was concerned thatthe preemption language in theproposed rule would allow the states tocome in and create problems for touristrailroad owners and/or operators.

Although the preemption issue wasdiscussed, the task force decided not toissue any recommendation, believingthat preemption is a purely legal issueinvolving the interplay of state andfederal law: an area in which the taskforce has no particular expertise. FRArecognizes the concerns raised by thecommenters and acknowledges that theLBIA has been consistently interpretedfor over 70 years as totally preemptingthe field of locomotive safety, extendingto the design, the construction, and thematerial of every part of the locomotiveand tender and all appurtenancesthereof.

The proposed rule cited the standardfor preemption under the former FRSA(now codified at 49 U.S.C. 20106). Thatstandard allows additional or morestringent State regulations, undercertain limited conditions, even whereFRA has issued a rule or order coveringa subject matter. By contrast, the LBIA(which has no preemption provision)has been held to preempt the entire fieldof locomotive safety. See Napier v.Atlantic Coast R.R., 272 U.S. 605 (1926).

This rule is issued under the authorityof both § 20103 (the former FRSAregulatory provision) and §§ 20701–

20703. While the preemption provision§ 20103 would ordinarily set thestandard for preemption of a rule issuedunder § 20701, the broader fieldpreemption provided by the LBIA (asinterpreted by the courts) seems themore appropriate standard to apply inlight of this rule’s subject matter. Fieldpreemption is not dependent uponagency action; it is statutory in nature.

However, any preemption issue isfundamentally a question of legislativeintent. Schneidewind v. ANR PipelineCo., 485 U.S. 293, 299 (1988). ExecutiveOrder 13132 on Federalism instructsFederal agencies to construe statutes aspreemptive only where there is anexpress preemption provision or clearevidence that Congress intended topreempt. FRA is not aware of anyindication that, in enacting the LBIA,Congress intended to preempt Stateregulation of rail operations over whichFRA (or its predecessor, the ICC) hadnever exercised jurisdiction. Insulartourist railroads are a type of railoperation that includes theme parks,narrow gage lines, railroad museums,and amusement park operations. FRAhas not exercised jurisdiction over theseoperations and has no present intentionof doing so in the future (as made clearin the revisions to part 209 as amendedby Appendix A to this final rule). Whenfirst enacted, the LBIA applied only to‘‘common carriers engaged in interstatecommerce by rail.’’ Napier v. AtlanticCoast R.R., 272 U.S. 605 (1926). Asamended by the Rail SafetyImprovement Act of 1988 (Pub. L. No.100–342), the LBIA now applies torailroads as defined in 49 U.S.C. 20102.The stated intent of that amendmentwas to make the LBIA applicable to anyrailroad covered by the FRSA. However,there is no indication that, inbroadening the reach of the LBIA,Congress intended to broaden theLBIA’s field preemption beyond therailroad operations covered by the LBIAbefore 1988. The early cases findingpreemption of the locomotive safetyfield (e.g., Napier), precede the 1988amendments, and there is no record ofany subsequent case applying fieldpreemption to a railroad that would nothave been covered by the LBIA beforethe 1988 amendments.

Even if, in 1988, Congress did intendto extend field preemption beyondcommon carriers engaged in interstatecommerce, it is highly unlikely that itintended that preemption to extendbeyond the universe of railroads overwhich FRA exercises jurisdiction.Presumably, Congress would have beenquite explicit about preempting stateaction where Federal law has neverbeen exercised.



Moreover, whether FRA couldexercise safety jurisdiction over insulartourist railroads is an open question.While FRA has left open the possibilitythat it could someday assert suchjurisdiction, the agency believes that areasonable argument can be made thatinsular theme parks and amusementrides are not ‘‘railroads’’ within themeaning of 49 U.S.C. 20102, despite thebreadth of that provision. Accordingly,it seems impossible to conclude, in theabsence of clearly stated legislativeintent, that Congress intended topreclude state regulation of operationswhere FRA has not exercisedjurisdiction and where the veryexistence of that jurisdiction is open todebate.

Therefore, while FRA has stated inthe rule text the general rule of fieldpreemption in the area of locomotivesafety, it has also stated its belief thatCongress did not intend suchpreemption to apply to insular touristrailroads over which FRA has notexercised jurisdiction. This will notresult in conflict with State rules andregulations because it allows for Stateregulation only with regard to thoseoperations not covered by this rule.

Section 230.6 WaiversIn the NPRM, FRA proposed

nullifying all waivers granted under part230 of the 1978 revisions that are notfiled for reassessment by the agency.Waivers so filed would be reviewed byFRA which would then notify theapplicants whether their waivers wereto be continued. Grand Canyon Railwayand North Star Rail each submittedcomments urging FRA to establish aposition at the national level chargedwith the oversight of steam locomotiveregulation to include addressingpetitions, granting waivers, andreceiving notifications of repairsperformed. In considering the commentssubmitted, several task force membersnoted that since FRA would beenforcing the steam locomotiveregulations on a national basis, thereshould be no issue of inconsistent orconflicting application of the rules.Although the task force felt that therewas no need for FRA to establish anoffice of ‘‘national steam inspector’’, norecommendation was issued because thetask force members felt this issue wasprimarily a matter of internal agencypolicy. After review of the commentsreceived and the task force’s discussionof this issue, FRA has decided that thereis no need for the agency to create anoffice at the national level to considerpetitions, waiver requests, and repairrequests and notifications. FRA believesthat the present system, whereby each

FRA Regional Administrator overseesthe compliance of steam locomotivesoperating in his or her region withfederal requirements, and all requestsfor waivers of compliance with theregulations are filed centrally with FRAin Washington DC, has resulted inuniform, consistent regulation of steamlocomotive operations.

Section 230.7 Responsibility forCompliance

In § 230.8 in the NPRM, FRA isholding the locomotive owner and/oroperator directly and primarilyresponsible for ensuring that allrequirements of part 230 are compliedwith. Diversified Rail Servicescommented that contractors should alsobe held responsible under this section.Grand Canyon Railway commented that,in addition to owners, operators, andrailroads, contractors should be heldresponsible for work they performcovered by this regulation. St. LouisSteam Train Association commentedthat responsibility should extend to thesteam locomotive owner and/orcompensated consultants andcontractors. After a discussion in whichit was pointed out that the rule aswritten requires that any person orpersons performing covered work act incompliance with part 230, the task forcereached consensus, recommending thatthis section be left as written in theNPRM. It was also noted that thedefinition of ‘‘person’’ in § 230.9expressly includes contractors and theiremployees.

Section 230.8 DefinitionsIn § 230.9 in the NPRM, FRA

proposed to add or amend 25definitions. A number of these proposeddefinitions produced comments frominterested parties.

FIRE: The NPRM did not provide adefinition for the term ‘‘fire’’ andTennessee Valley Railroad commentedthat ‘‘fire’’ should be defined so as toeliminate any ambiguity and to helpdetermine what a ‘‘service day’’ is.

Although initially there wasdisagreement over the need to define theterm ‘‘fire,’’ the task force did finallyagree that the term should be definedsince it is used in the definition of‘‘service day’’ which is one of thecentral underpinnings of the new rule.The task force reached consensus on aproposal to define ‘‘fire’’ as ‘‘anythingthat produces products of combustionthat heat transferring components areexposed to.’’ FRA agrees with thisrecommendation and has included thedefinition of ‘‘fire’’ in the final rule.

FRA believes the inclusion of adefinition of ‘‘fire’’ will help to clarify

what a ‘‘service day’’ is. It is importantthat the definition of ‘‘service day’’ beunambiguous, which in turnnecessitates that there be no uncertaintyover what is a ‘‘fire’’ since the periodicinspection requirements in the final ruleare predicated upon accrual of servicedays, the definition of which refers tothose days where there is ‘‘fire’’ in thelocomotive firebox.

Heavy Repairs. Although § 230.106(a)of the NPRM mentions ‘‘heavy repairs,’’the term is not defined anywhere in therule. Grand Canyon Railway commentedthat the term ‘‘heavy repairs’’ wasmentioned in the NPRM and, therefore,should be defined.

The task force was in agreement thatthere was no need to define ‘‘heavyrepairs’’ since the term was only usedonce in the text of the rule. Theconsensus was to recommend that thelanguage of § 230.106 be changed,substituting ‘‘as often as needed’’ for‘‘each time the steam locomotive is inshop for heavy repairs.’’

Upon consideration of the commentsand the task force recommendation,FRA has decided to strike the words‘‘heavy repairs’’ from the final rule. Theagency has done so, in the belief thatrequiring that locomotive frames becleaned ‘‘as needed’’ is more consistentwith the ‘‘safe and suitable for service’’requirement used in the inspectioncriteria adopted in the final rule.

Operator/Owner. The NPRM definedLocomotive Operator so as todistinguish between locomotiveoperators and locomotive owners. GrandCanyon Railway commented that thedefinition of ‘‘operator’’ needs to bewritten so that the lines ofaccountability and responsibility areclearly delineated. Grand Canyonexpressed concern over the growingincidence of steam locomotive operatorswho lease the locomotives from theirowners, and the need to define theoperators’ accountability and areas ofresponsibility. Grand Canyon Railwayalso commented that ‘‘owner’’ should bedefined in terms of who is responsibleor assigned responsibility forcompliance with applicable rules andregulations of the NPRM. Grand Canyonexpressed concern over what theaccountability and responsibility ofowners is when their steam locomotivesare not under their direct control, suchas when the locomotives are beingleased by independent operators.

The task force reached consensus,agreeing that the definitions of‘‘locomotive owner’’ and ‘‘locomotiveoperator’’ provided in § 230.9adequately address the issue ofresponsibility for compliance with allapplicable rules and regulations. The



task force also felt that ‘‘locomotiveoperator,’’ as defined, addresses theissue of who is primarily responsible forcompliance in lease arrangements. FRAhas reviewed the comments submittedand recognizes the concerns raised, butbelieves that the definitions provided inthe NPRM adequately address thoseconcerns. The agency has, therefore,decided that the final rule will adopt thedefinitions for locomotive owner andlocomotive operator provided in theNPRM. However, it is to be noted thatthe final rule includes language makingclear that an ‘‘operator’’ may in fact bea railroad.

Service Day. In the NPRM, FRAproposed an inspection schedule basedon the number of service days a steamlocomotive accumulates, with a serviceday defined as each day the steamlocomotive boiler has steam pressureabove atmospheric pressure and a fire inthe firebox. John C. Boykin commentedthat the rule, as proposed, wouldpromote over rapid cooling oflocomotive boilers. Mr. Boykinsuggested that a ‘‘service day’’ be anyday where the steam locomotive boilerpressure is raised to a minimum of 50percent of allowable working pressure,Diversified Rail Services commentedthat ‘‘service day’’ should be defined asa day where the locomotive is availablefor service, a day the locomotive movesaway from a designated shop area underits own power. Diversified Rail Servicesalso suggested that the definition of‘‘service day’’ exclude those days wheresteam pressure is not raised or wheresteam tests are being performed withina designated shop area and include anyday on which the locomotive has a firein the fire box. In addition, DiversifiedRail Services took issue with thestatement that dumping a fire anddamping is less dangerous than bankinga fire. The Locomotive and TowerPreservation Fund, LTD commentedthat, since a slow cool down processimposes the least strain on a steamlocomotive boiler, those days on whichsteam pressure is properly raised or theboiler is properly cooled down shouldnot be considered service days. TheOhio Central Railroad commented that‘‘service days’’ should be defined asthose days the locomotive is used inrevenue service with an assigned crew;requested clarification on whether a‘‘service day’’ would include those dayswhere: (1) a new or repaired locomotivewas steam test-fired; (2) a locomotivehad dying coal embers and was slowinglosing steam pressure. Ohio Central alsostated that the method of drawing firefrom the firebox proposed in the NPRMwould subject steam locomotive

ashpans and associated components toabuse. The St. Louis Steam TrainAssociation commented that days whena steam locomotive is steamed up in ashop area for maintenance purposesshould not be counted as service days.Finally, the Tennessee Valley Railroadcommented that a requirement that asteam locomotive boiler stack be cappedwhen banking its fire in order to qualifyas a non-service day would be helpful.

The task force reached consensus onthis issue, recommending that thedefinition of ‘‘service day’’ remainunchanged. One task force membercommented that capping the stack asproposed by several of the commentersis actually a non-issue, since a steamlocomotive is subjected to much higherthermal stresses in its everydayoperations where a continuous stream ofcool outside air is introduced into thefirebox.

FRA has decided to retain thedefinition of ‘‘service day’’ provided inthe NPRM in the final rule. The agencybelieves this is the most equitable wayto calculate service days; balancing theneed to take into account the realities ofsteam locomotive operations today withthe need to ensure that steamlocomotives are inspected on a timelybasis.

Section 230.12 Movement of Non-Complying Locomotives

In the NPRM, FRA proposed makingpart 230 current with part 229 byallowing steam locomotive owners and/or operators to move ‘‘lite’’ or in tow,noncomplying steam locomotives forrepair purposes after making thedetermination that the noncomplyingsteam locomotive was safe to so move.Grand Canyon Railway commented thatthis section should include a provisionthat the requirement that the steamlocomotive be tagged as ‘‘non-complying’’ does not apply when suchmoves are made in yard areas andrestricted to 10 miles per hourmaximum speed. Grand CanyonRailway also suggested that this sectioninclude a requirement that the steamlocomotive initials must be written onthe non-complying tag in addition to thelocomotive number. Tennessee ValleyRailroad commented that, whenreferring to the movement of steamlocomotives without railroad carscoupled on, the term ‘‘lite engines’’should be spelled ‘‘light engine.’’

The task force agreed that this sectionshould conform with the provisions formovement of non-complyinglocomotives found in part 229. Taskforce consensus was that FRA shouldrevise this section to allow locomotiveowners and/or operators to move non-

complying steam locomotives in yardareas at speeds not to exceed 10 milesper hour without having to tag thelocomotives as non-complying. The taskforce was also in agreement that thespelling of ‘‘lite’’ engines would beretained so as to avoid confusionbetween ‘‘light’’ and ‘‘heavy’’locomotives and because ‘‘lite’’ is thetraditional (and uniformly recognized)spelling within the railroad industry.

FRA is revising the final rule tocomport with the task force’srecommendations. This revision is alsobased upon the agency’sacknowledgment of the commenters’contention that there is no compellingreason for having different proceduresfor the movement of noncomplyingsteam and nonsteam locomotives.

Section 230.14 Thirty-One (31) ServiceDay Inspection

In the NPRM, FRA proposed requiringthat certain inspections be performedwhen the steam locomotive accrued 31service days. This section, whichincluded subsections on (a) generalinspection requirements, (b) FRAnotification, and (c) the filing ofinspection reports, generated a numberof comments. A number of commentersexpressed concern that under thissection, as proposed, some steamlocomotives would not be adequatelyinspected. There were also a number ofcomments submitted seekingclarification of the notification andscheduling of inspections proceduresproposed in this section. Finally,comments were received on therequirement that locomotive ownersand/or operators file a report of eachsteam locomotive’s 31 service dayinspection in the place where that steamlocomotive is maintained and with theFRA Regional Administrator for thatregion. Diversified Rail Servicescommented that the boiler washrequirement is too ‘‘lax;’’ suggested thata 31 service day inspection and a boilerwash be required no later than every 92calendar days, regardless of the numberof service days the steam locomotive hasaccrued. The representatives of GrandCanyon Railway urged that steamlocomotive owners and/or operators berequired to perform 31 service dayinspections no later than 92 calendardays after the last 31 service dayinspection. Grand Canyon Railway alsosuggested that an inspection’s effectivedate be the date the steam locomotive isplaced in service and not the day uponwhich the steam locomotive’s boiler istest fired. In addition, Grand CanyonRailway commented that this sectionshould mandate that FRA inspectorsmay only request daily records during



normal business hours, with suchrecords to be produced within 4 hoursof a request to do so. In its comments,St. Louis Steam Train Associationexpressed the belief that the proposed31 service day inspection must beperformed no later than every 92calendar days. Grand Canyon Railwayrequested clarification on how andwhen FRA will notify steam locomotiveowners and/or operators of its desire toobserve a 31 service day inspection.Grand Canyon Railway also commentedthat FRA inspectors desiring to attend a31 service day inspection should berequired to notify the steam locomotiveowner and/or operator performing theinspection of their desire to so attend.Ohio Central Rail System suggested thatthis subsection include an explanationof how and within what prescribed timeperiod FRA would respond to thenotifications of inspection datesrequired under this section. OhioCentral Rail System also requestedclarification on whether an inspectioncan take place as scheduled when theFRA delegate is unable to attend at theagreed upon time and the parties cannotreach agreement on another inspectiondate. Tennessee Valley Railroad alsoexpressed concern about whether aninspection scheduled to be performedwith an FRA inspector in attendancecould be conducted as planned if theinspector failed to show at the agreedupon time and place. The United StatesDepartment of Interior commented thatthe inspection criteria should includethe requirement that all water glassesare to be maintained free from leakage.Tennessee Valley Railroad commentedthat filing 31 service day inspectionreports with FRA is unnecessary sincethe annual FRA Form No. 3 provides theagency with adequate notice that thesteam locomotive is in service that year,and it suggested eliminating the filingrequirement.

The task force members were inaccord that—as clearly explained in thissection—when FRA is unable to attenda scheduled inspection as agreed uponand FRA and the locomotive ownerand/or operator are unable to agreeupon a new date to perform theinspection, the inspection may go on asplanned. The task force was also inagreement that when FRA desires toattend an inspection, it will convey thatinformation to the steam locomotiveowner and/or operator throughgenerally accepted means of businesscommunication. The issue of boilerwashes and the effects of long-termwater storage of water on the steamlocomotive boiler were discussed atlength. The task force members agreed

that the concerns raised by thecommenters were legitimate but, at thesame time, addressed by therequirement that steam locomotive beinspected to determine safety andsuitability for service each day. The taskforce believes that the ‘‘safe andsuitable’’ requirement includes a dutyon the part of the steam locomotiveowner and/or operator to monitor waterquality and the effects of water storageon the locomotive each day that it isoffered for service. The task forcemembers reached consensus on theissue of when and how 31 dayinspection reports must be filed withFRA; agreeing that the agency’s desire tobe furnished with written proof thatrequired inspections have beenperformed was reasonable, especially inlight of the fact that the paperworkburden imposed on owners and/oroperators has been reduced byapproximately 33 percent under thenew rule. There was also agreement thatthe difference between alterations andrepairs is explained in the definitionssection of the proposed rule, and thatthe proposed rule clearly states when aFRA Form No. 19 must be filed withFRA. The task force also discussed theissue of when a steam locomotive isconsidered to be in service, reachingconsensus that any day the locomotivehas fire in the firebox and boilerpressure above atmosphere is a serviceday.

After weighing the concerns of thecommenters and the recommendationsof the task force, FRA has decided toleave this section unchanged in the finalrule. The agency believes that the ‘‘safeand suitable for service’’ requirement,by implication, imposes a duty on allsteam locomotive owners and/oroperators to ensure that water qualityand water storage do not have adetrimental effect on the steamlocomotive. The agency also believesthat, as written, this rule clearlyexplains how notification andrescheduling of inspections is to bedone and how inspections will go on asoriginally scheduled if FRA is unable toattend as scheduled and is unable toreach agreement with the locomotiveowner and/or operator as to analternative date on which to conduct theinspection. On the issue of ‘‘servicedays,’’ no evidence has been producedto show that FRA is not justified in itsconviction that every day that a steamlocomotive has fire in the firebox andsteam pressure raised to aboveatmospheric pressure must be countedas a service day. As previouslyexplained, FRA believes that thestresses and wear imposed on a steam

locomotive every time it has fire in the‘‘box’’ and raised steam pressurenecessitate such days being counted asservice days. FRA also believes that therequirement of timely filing ofinspection reports is justified by itsneed to have up-to-date proof that allsteam locomotives currently in use arebeing inspected as required.

Section 230.15 Ninety-two (92) ServiceDay Inspection

In this section of the NPRM, FRAproposed requiring certain inspectionsbe performed when the steamlocomotive has accrued 92 service dayswith the steam locomotive owner and/or operator required to file an inspectionreport with the appropriate RegionalAdministrator. The agency received anumber of comments regarding the (a)general inspection requirements, and (b)filing on 92 service day inspectionreports. A number of commentersexpressed concern that under thissection as proposed, some steamlocomotives would not be adequatelyinspected. Comments were also receivedregarding the requirement thatlocomotive owners and/or operatorskeep a report of each steam locomotive’s92 service day inspection on file in theplace where that steam locomotive ismaintained and with the FRA RegionalAdministrator for that region. GrandCanyon Railway noted that under thisrule, certain operations (such as thosewho run on weekends only) could go aslong as 12 consecutive months withouthaving a 31 day or 92 day inspectionperformed. Grand Canyon Railway alsosought clarification on what theeffective date of an inspection is;suggested that a 92 service dayinspection’s effective date be the day thesteam locomotive is placed in serviceand not the day upon which the steamlocomotive’s boiler is test firedfollowing a repair or rebuild. TennesseeValley Railroad commented that filing92 service day inspection reports withFRA is unnecessary since the annualFRA Form No. 3 provides the agencywith adequate notice that the steamlocomotive is in service that year, andit suggested eliminating the filingrequirement.

The task force believes that the ‘‘safeand suitable’’ requirement includes aduty on the part of the steam locomotiveowner and/or operator to inspect andmonitor the locomotive each day that itis offered for service. The task forcemembers agreed that the agency’s desireto be furnished with written proof that92 service day inspections have beenperformed was reasonable consideringthe safety issues implicated, especiallyin light of the greatly reduced



paperwork burden imposed on ownersand/or operators under the new rule.

FRA has also decided to leave thissection unchanged in the final rule. Aspreviously stated, the agency believesthat the ‘‘safe and suitable for service’’requirement, by implication, imposes aduty on all steam locomotive ownersand/or operators to ensure that waterquality and water storage do not have adetrimental effect on the steamlocomotive. Also previously stated, FRAbelieves that no evidence has beenproduced to show why every day that asteam locomotive has fire in the fireboxand steam pressure raised to aboveatmospheric pressure should not becounted as a service day. As previouslyexplained, FRA believes that thestresses and wear imposed on a steamlocomotive every time it has fire in the‘‘box’’ and raised steam pressurenecessitate such days being counted asservice days. FRA also believes that therequirement of timely filing ofinspection reports is justified by itsneed to have up-to-date proof that allsteam locomotives currently in use arebeing inspected as required.

Section 230.16 Annual InspectionFRA has proposed requiring that an

annual inspection be performed 368calendar days after the last (previous)annual inspection, with the steamlocomotive owner and/or operatorrequired to notify FRA of the time andplace of the inspection and to file aninspection report with the appropriateFRA Regional Administrator. A numberof interested parties submittedcomments on subsections (a)(1) generalrequirements, subsection (b) FRAnotification, and subsection (c) filinginspection reports. Ohio Central RailSystem requested clarification onwhether an inspection can take place asscheduled when the FRA delegate isunable to attend at the agreed upon timeand the parties cannot reach agreementon another inspection date. The UnitedStates Department of the Interior (USDI)stated its belief that annual inspectionsare only needed on steam locomotivesthat have dome throttles or shut-offvalves at the dome end of the dry pipe.USDI also recommended requiring thatannual inspections be performed eachyear for the first 2 years a steamlocomotive is in service, with theprovision that if no wastage was foundat that time, any further annualinspections could be deferred until the1472 service day inspection. TennesseeValley Railroad commented that therequirement that annual reports be filedwith FRA should be eliminated.

As previously explained, the taskforce members believe that the rule

clearly states that when FRA is unableto attend a scheduled inspection asagreed upon and FRA and thelocomotive owner and/or operator areunable to agree upon a new date toperform the inspection, the inspectionmay go on as planned. The task forcewas also in agreement that the proposedannual inspection requirements are not‘‘overkill’’, and that safetyconsiderations justify any ‘‘burden’’imposed on the owners and/or operatorsunder this section.

Here too, FRA has decided to leavethis section unchanged in the final rule,believing that the ‘‘safe and suitable forservice’’ requirement, by implication,imposes a duty on all steam locomotiveowners and/or operators to ensure thatwater quality and water storage do nothave a detrimental effect on the steamlocomotive. FRA also believes that theinspection and filing requirements arejustified by the safety concernsimplicated, especially in light of thereduced compliance ‘‘burden’’ imposedon locomotive owners and/or operatorsunder the final rule.

Section 230.17 One Thousand FourHundred and Seventy-Two (1472)Service Day Inspection

In the NPRM, FRA proposed anextremely comprehensive inspectionwhich is to be performed when a steamlocomotive is first brought out ofretirement and thereafter when 1,472service days have accrued or 15 yearshave elapsed from the time of the lastsuch inspection (whichever comes first).The agency received several commentson the general inspection requirements.Grand Canyon Railway requestedclarification on what the effective dateof an inspection is; suggested that a1472 service day/15 year inspection’seffective date be the day the steamlocomotive is placed in service and notthe day upon which the steamlocomotive’s boiler is test firedfollowing a repair or rebuild. St. LouisSteam Train Association expressed thebelief that protection needs to beprovided for owners and/or operatorswho perform the work required underthe 1472 service day inspection, butwho otherwise may have to repeat someof that work because the requisitereports were not filed in a timelymanner.

Because most steam locomotivesaccrue relatively few service days in thespace of a year, the task forceconcentrated on the issue of when the15 year period [maximum time between1472 service day inspections] wouldbegin to run. After a lengthy discussion,the task force was able to reach aconsensus, recommending that the 15

year ‘‘clock’’ start on the day a steamlocomotive is placed in service or 365calendar days after the first flue tube isinstalled, whichever comes first.

FRA is adopting the task forcerecommendation that the 15 year clockstart running on the day the steamlocomotive is placed in service or 365calendar days after the first flue tube isinstalled, whichever comes first. Theagency recognizes that many steamlocomotive restorations are done on by‘‘part-timers,’’ primarily volunteers whoare only able to work on the locomotiveson weekends. Because of the complexityof the task and the sheer number ofmanhours required to restore such alocomotive, restoration can literally takeyears; often times with the locomotivesitting outside, continuously exposed toinclement weather. In such situations,corrosion is a primary safety concern;especially so after the flue tubeinstallation begins, since at that point itis no longer possible to do a visual andtactile inspection of the entire boilersurface. After considering all the factorsinvolved, FRA has decided to impose a15 year ‘‘drop-dead’’ limit on the lengthof time after the steam locomotive isplaced in service or first flue tube isinstalled (whichever occurs first) that asteam locomotive can go before a 1472service day inspection must beperformed.

Section 230.18 RecordkeepingRequirements (Service Days)

Under this section, steam locomotiveowners and/or operators are required to(a) keep and have available forinspection, a current copy of the serviceday record for each steam locomotivecurrently in service, (b) file a FRA FormNo. 5 no later than January 31st of eachyear showing the days the steamlocomotive was in service during thepreceding year, and (c) complete all therequirements of the 1472 service dayinspection before that locomotive can bereturned to service, if the requiredservice day reports are not filed for asteam locomotive and FRA considersthat steam locomotive to have beenretired. Diversified Rail Services, Inc.commented that this section needs totake into account certain out-of-serviceand/or ownership conditions.Diversified Rail suggested that a steamlocomotive should be considered retiredonly if the locomotive owner and/oroperator failed to file a service dayreport with FRA within 2 years of thelast filing of a service day report.

The task force agreed that the 31calendar day ‘‘grace period’’ providedfor under the rule is sufficient givenFRA’s need for timely proof that allsteam locomotives currently in service



were properly inspected and maintainedduring the preceding year. The taskforce was also in agreement that thePreamble should explain that FRArecognizes that exigent circumstancesmay arise which make it difficult for anowner and/or operator to furnish theFRA Form No. 5 in a timely manner.The task force also recommended thatFRA not be totally inflexible inenforcing this section.

FRA believes the recordkeeping andfiling requirements proposed in theNPRM are reasonable and, therefore, hasincorporated them in the final rule. Theagency also realizes that a 1472 serviceday inspection is a very time-consuming, costly procedure and that,under certain circumstances, locomotiveowners and/or operators may be unableto file a FRA Form No. 5 within theprescribed time. As such, FRA willconsider those claims that failure totimely file was due to compellingcircumstances on a case-by-case basis.

Section 230.20 Alteration and RepairReport for Steam Locomotive Boilers

In § 230.20 of the NPRM, FRAproposed that steam locomotive ownersand/or operators who make alterationsto steam locomotive boilers be requiredto file alteration reports with theappropriate FRA RegionalAdministrator. This section would alsorequire the filing of repair reports withthe FRA Regional Administratorwhenever steam locomotive ownersand/or operators perform either weldedor riveted repairs to unstayed parts oflocomotive boilers, and the completionand maintenance of repair reports whenwelded or riveted repairs are performedon stayed parts of locomotive boilers. Anumber of interested parties submittedcomments on subsections (a)Alterations; subsection (b) Welded andriveted repairs to unstayed locomotiveboiler portions; and subsection (c)Welded and riveted repairs to stayedportions of the locomotive boiler.Diversified Rail Services commentedthat locomotive owners and/or operatorsperforming welded repairs on stayedareas should only be required tomaintain records of those repairs. GrandCanyon Railway commented thatlocomotive owners and/or operatorsshould be required to maintain—but notfile with FRA—records of standardrepairs such as welding or repairingstaybolts. Grand Canyon Railway alsosuggested that FRA should establish theposition of National Steam Inspectorwith responsibility for handlingwaivers, petitions, repair acceptancenotifications, and alteration/repairreports. Ohio Central Railroad Systemrequested clarification on when FRA

Form No. 19s must be filed. The St.Louis Steam Train Associationcommented that reports on steamlocomotive boiler work should continueto be maintained and FRA Form No. 19sfiled when locomotive boilers arealtered. St. Louis Steam TrainAssociation also commented that whena locomotive boiler is repaired, the formused to report the repair should notrequire the calculation of stress levels.

The task force reached consensus onthis issue, agreeing that the presentsystem (whereby FRA RegionalAdministrators provide oversight ofsteam locomotives operating withintheir respective regions) is efficient anddoes result in uniform application of theregulations. Concern was expressed thatcreation of a national steam inspectorwould result in one more layer ofbureaucracy, and that the person fillingthat position would be overburdenedand unable to provide proper oversightover the regulated community as awhole. It was also felt that there is noissue of local vs. national standardssince the FRA Regional Administratorsalready send alteration and repairreports and other documentation toFRA’s Office of Safety as conditionswarrant. The task force was also inagreement that the rule as writtenclearly explains that owners oroperators performing welded or rivetedrepairs on stayed portions of steamlocomotive boilers are only required tocomplete and maintain a FRA Form No.19 record of the work done. It was notedthat Form19s need to be filed with FRAwhenever alterations are performed inorder to satisfy the requirement that acurrent FRA Form No. 4 be on file withFRA at all times for each steamlocomotive in service.

FRA agrees with the task forcerecommendations and observations; alsobelieving that creation of another levelof oversight would provide little or noadditional safety benefit whileneedlessly straining the agency’salready limited resources. Since theagency believes that the present systemof reporting and filing is efficient andnot unduly burdensome to locomotiveowners and/or operators, this section ofthe final rule remains unchanged fromthat of the NPRM.

Section 230.23 Responsibility forGeneral Construction and Safe WorkingPressure

Section 230.23 sets out what thespecific responsibilities of the steamlocomotive owner and the steamlocomotive operator are. Grand CanyonRailway submitted comments in whichit objected to what it considered to beFRA’s lack of consistency in the use of

the terms ‘‘locomotive owner’’ and‘‘locomotive operator’’, stated the beliefthat all reference should be to ‘‘ownersor operators.’’ Grand Canyon Railwayfurther commented that the regulationshould specify that responsibility forconstruction of and repairs to a steamlocomotive lies with whoever isdelegated responsibility for thatlocomotive. The task force discussedthis issue, but felt that it involves legalmatters best left to FRA’s Office of ChiefCounsel. The consensus was to make norecommendations; deferring to theagency’s interpretation on this issue.

FRA believes that, in most cases, theresponsibility for compliance will fallequally on the owner and the operatorof the steam locomotive, and, in thesecases, the agency has chosen to use thewords ‘‘owner and/or operator’’ in thefinal rule. However, the agency alsobelieves that in certain limitedsituations, the responsibility forcompliance will lie with either thesteam locomotive owner (such as whena steam locomotive is being rebuilt orbrought out of retirement), or the steamlocomotive operator (such as where asteam locomotive breaks down while inactual use). In these cases FRA has usedthe words ‘‘owner or operator’’ in thefinal rule.

Section 230.25 Maximum AllowableStress on Stays and Braces

This section sets the maximumallowable stress per square inch of netcross-sectional area on firebox andcombustion chamber stays and braces.The Tennessee Valley Railroadcommented that the maximumallowable stress levels should bepresented as a percentage of theultimate tensile strength of the materialused in the braces and stays. TennesseeValley Railroad believes that so doingwould encourage steam locomotiveowners and/or operators to make use ofthe higher strength steels now available.Tennessee Valley Railroad also notedthat the ATSM requirements for some ofthe older materials are no longeravailable. The task force was inagreement that the maximum allowablestresses should continue to be based onthe psi ratings provided. In thediscussion on this issue, it was pointedout that steam locomotives weredesigned and built as integral units withstress levels calculated based on thelocomotives in whole. Several membersof the task force observed that it is notgood engineering practice to use acombination of materials of differentcomposition and strengths in aninterdependent structure like alocomotive. It was also noted thatchanging the rule as suggested would



result in little or no advantage over thepresent standard since there are few, ifany, new steam locomotive boilers beingbuilt. FRA agrees with the task force’sobservations and is leaving this sectionunchanged in the final rule. The agencybelieves that allowing stays and bracesmade of higher strength steels to besubjected to higher stress levels couldresult in damage to or even failure ofsurrounding sections that are not madeof correspondingly high strengthmaterials.

Section 230.26 Tensile Strength ofShell Plates

This section establishes a defaulttensile strength figure to be used forsteel or wrought iron shell plates whenthe actual figure is unknown. TennesseeValley Railroad submitted comments onthis issue, urging that the final rulerecognize the advances in materialsavailable today and take those advancesinto account when publishing ductilityand/or tensile/shearing strengthstandards. Tennessee Valley Railroadalso suggested that the words ‘‘for pre-existing boilers’’ be inserted after‘‘wrought-iron shell plates.’’

The task force members disagreedwith Tennessee Valley’s comments;recommending instead that the finalrule retain the language in the NPRM. Itwas observed that this was essentially anon-issue since the default standard isonly intended to pertain to materials thetensile strength of which is unknownand the tensile strength of present daysteels is known or easily determinable.The task force believes that thesestandards are only intended to apply tothe maintenance of existing equipment.

This section of the final rule isunchanged from the NPRM. Afterreviewing the comments and the taskforce’s recommendation, FRA decidedthat the safety benefits of establishingmaximum tensile strength values forshell plates made of steel or wrought-iron, the strength of which cannot beascertained, outweighs anyinconvenience or burden placed uponlocomotive owners and/or operators.

Section 230.27 Maximum ShearingStrength of Rivets

This section establishes a defaulttensile strength figure to be used forsteel or wrought iron shell plates whenthe actual figure is unknown. TheTennessee Valley Railroad submittedthe only comments on this issue, statingthat the maximum shearing strengthvalues for rivets should be presented asa percentage of the ultimate tensilestrength of the material the rivets aremade from since this would encouragesteam locomotive owners and/or

operators to utilize the higher strengthsteels now available. Tennessee ValleyRailroad also requested clarification onwhat the basis was for the maximumshearing strength values published andrecommended that the final rule includethe actual basis for the publishedvalues.

The task force reached consensus,agreeing that the maximum shearingstrength of rivets used in steamlocomotives should continue to becalculated based on values listed in thetable unless the rivets are made fromother materials: materials that have beenproven through testing to exceed thoselevels. It was noted that the psi levelsprovided in the table were based onmany years of actual operatingexperience.

FRA is in concurrence with the taskforce recommendations and is adoptingthem in the final rule. The agencybelieves that the conservative shearingstrength values provided in the tableprovide a margin of safety in an areawhere failure could result in extensivedamage to the equipment and seriousinjury or loss of life.

Section 230.28 Higher ShearingStrength of Rivets

In this section, FRA proposedallowing steam locomotive owners and/or operators to use a higher shearingstrength for rivets when tests of thematerial used show it to be of suchquality as to justify so doing. TennesseeValley Railroad commented that thissection is no longer needed since theappropriate ASTM or ASMEspecifications were referenced inprevious sections. In the alternative,Tennessee Valley Railroadrecommended that current ASTMstandards be used as the basis for higherstrength values in lieu of requiring thatthe materials used be strength tested.

The task force disagreed withTennessee Valley Railroad;recommending instead that themaximum shearing strength of rivetsused in steam locomotives continue tobe calculated based on values validatedthrough empirical evidence unless therivets are composed of materials thathave been proven through testing toexceed the levels provided.

Here too, FRA is in concurrence withthe task force recommendations and isadopting them in the final rule. Theagency believes that limiting theassignment of higher strength values tothose materials that have beenconclusively proven to have shearingstrengths in excess of the table valuesprovides the necessary margin of safetyin an area where failure could result in

extensive property damages, as well asserious injury or loss of life.

Section 230.32 Time and Method ofInspection

Subsection 230.32(a) imposes arequirement that the entire steamlocomotive boiler be inspected when a1472 service day inspection isperformed. Tennessee Valley Railroadtook exception to the proposedinspection requirements; commentingthat these provisions would createunnecessary work and inflict needlessstress and wear on dome lid studs andseal rings.

After due consideration of thecomments submitted, the task forcedecided to recommend that the criteriafor performing a 1472 service dayinspection remain unchanged from theNPRM. Several members of the taskforce noted that the inspectionprocedure referred to by the TennesseeValley Railroad is only required after1,472 service days have accrued or 15years have elapsed and, considering theminimal burden imposed on locomotiveowners and/or operators and the safetybenefits gained, the criteria for the 1472service day inspection should beretained.

FRA is retaining the 1472 service dayinspection methods prescribed in theNPRM. The agency remains convincedthat, in light of the age of the steamlocomotive community, and thepotential danger posed by boilerexplosions and other catastrophicfailures, any burden imposed onlocomotive owners and/or operators byrequiring a comprehensive, hands oninspection be performed once every1472 service days or 15 calendar years(whichever occurs first) is reasonable.

Section 230.33 Welded Repairs andAlterations

This section of the NPRM generated anumber of comments. Severalcommenters took exception tosubsection (a), which imposes reportingrequirements on steam locomotiveowners and/or operators welding onunstayed portions of the locomotiveboiler, and subsection (d), whichprovides that steam locomotive ownersand/or operators must submit a writtenrequest for approval to FRA beforeinstalling flush patches on unstayedboiler portions. Diversified Rail Servicescommented that steam locomotiveowners and/or operators that performwelded repairs on stayed portions of thelocomotive boiler should be required tomaintain records of those reports butnot be required to file FRA Form No.19s with FRA. Grand Canyon Railwaysubmitted similar comments, urging that



FRA only require that such reports orFRA Form No. 19s be kept by the steamlocomotive owner and/or operator’schief mechanical officer or at the sitewhere the work was performed.Tennessee Valley Railroad requestedclarification on what FRA considers a‘‘repair’’ and on whether FRA considersa ‘‘flush patch’’ to be a ‘‘repair.’’Tennessee Valley Railroad alsoquestioned whether FRA wouldconsider a partial boiler coursereplacement to be a repair.

The task force members agreed that apartial boiler course replacement shouldbe considered a flush patch if it isapplied by welding. There was alsoagreement that § 230.33(d) steamlocomotive owners and/or operatorsinstalling welded flush patches onunstayed portions of the locomotiveboiler are required to submit a writtenrequest for approval by FRA prior toperforming such work and to file a FRAForm No. 19 with FRA as per § 230.20(a)of the rule after the work is completed.The task force also noted that § 230.9 ofthe rule explains that any restorationwork is considered a ‘‘repair’’ while‘‘alterations’’ are defined as ‘‘anychanges to the boiler affecting itspressure retention capability.’’Addressing the comments urging thatthe proposed filing requirements bedeleted from the final rule, it was notedthat, in light of the fact that FRA isallowing the use of relatively newmethods of repair not previouslyapplied to steam locomotives, thesefiling requirements are not onerous. Itwas also observed that in the past FRAhad required that such patches beriveted, a much more expensive methodof repair than welding.

FRA believes that the reporting andfiling requirements in this section arejustified. The agency believes that,considering the critical nature of suchwork and the importance that it be doneproperly, requiring owners and/oroperators to obtain FRA approval beforeperforming this type of work on alocomotive boiler and to file a reportwith FRA after completing said work isnot unreasonable.

Section 230.34 Riveted Repairs andAlterations

Subsections (a)–(c) impose reportingrequirements on steam locomotiveowners and/or operators performingriveted alterations or repairs on stayedand/or unstayed portions of thelocomotive boiler. Grand CanyonRailway commented that the ruleshould only require that such reports orFRA Form No. 19s be kept by the steamlocomotive owner and/or operator’s

chief mechanical officer or at the sitewhere the work was performed.

The task force recommended that thereporting requirements be retained. Thetask force members expressed the beliefthat FRA oversight will ensure thatriveted repairs are made in compliancewith established railroad practices and/or accepted national standards for boilerrepairs.

FRA is retaining the requirements ofthis section in the final rule. The agencybelieves that it is essential that it havethe right to review all proposed rivetedalterations on unstayed boiler portionssince any such work, in changing theboiler’s pressure retention capability,may have a major impact on thelocomotive’s structural integrity.

Section 230.36 Hydrostatic Testing ofBoilers

Subsection (b) explains how steamlocomotive owners and/or operatorswill perform a hydrostatic test on theirlocomotive boilers, and subsection (c)sets forth the requirement that steamlocomotive owners and/or operatorsconduct an internal inspection of thelocomotive boiler after every hydrostatictest conducted above MAWP. Severalsteam railroads objected to those partsof § 230.36. Grand Canyon Railwaycommented that performing ahydrostatic pressure test on a boilerwith a metal temperature of 60° F couldresult in the boiler metal be shocked/stressed, further commented that theminimum boiler temperature should be70° F whenever a steam locomotiveboiler is subjected to hydrostaticpressure, and the minimum temperatureshould be 120° F whenever thelocomotive boiler is subjected tohydrostatic pressure at or abovemaximum authorized working pressure(MAWP).Grand Canyon Railway alsocommented that all hydrostatic testingshould be done at 125 percent ofMAWP. Tennessee Valley Railroadcommented that the annual boilerinspection required under § 230.32(a) issufficient to detect wear. TennesseeValley Railroad further commented thatsuch an inspection requirement is not inconformity with industry practice;results in unnecessary work being done;and inflicts needless stress and wear ondome lids, studs, and seal rings.

Upon consideration of the commentsreceived, the task force agreed that aminimum boiler metal temperature of60° F consensus was probably too low;deciding to recommend that therequired minimum metal temperature tobe raised to 70° F. One task forcemember stated that it is extremelyimportant that boiler metal temperaturebe above 45°–50° F before such testing

is done. Another member observed thatthere are a number of easy, inexpensivemethods available for supplying heatedfill water. It was also noted that theASME has raised its recommendedminimum metal temperature to 70° F.The task force agreed that raising theminimum temperature required to 70° Fwas in keeping with industry trends andwould provide an extra margin of safetywhen performing hydrostatic tests.However, the task force did not agreewith the comments urging that theminimum boiler metal temperature forperforming hydrostatic tests at or aboveMAWP be raised to 120° F. The taskforce members believe that themaximum boiler metal temperatureshould remain at 120° F because boilermetal heated to a temperature above120° F could pose a substantial risk ofinjury to any personnel coming in directcontact with the steam locomotive. Thetask force noted that the rule alreadyrequires that hydrostatic testing is to beperformed at 125 percent of MAWP. Onthe issue of boiler inspections, the taskforce was in agreement that requiring aboiler inspection after hydrostatictesting of the locomotive boiler is inkeeping with industry safety practicesand does not impose undue burdens onthe owners and/or operators and thatany stress and wear inflicted on domelids, studs, seal rings etc. is justified.

FRA also agrees that the boiler metaltemperature should be, at a minimum,70° F before hydrostatic testing of theboiler is performed. The agency believesthat raising the minimum metaltemperature will reduce the risk ofmetal ‘‘shock’’ and stress which couldlead to boiler failure. FRA does notagree with the comments urging that theboiler metal temperature be at least 120°F whenever hydrostatic testing is doneat or above MAWP. The agency believesthat the danger presented to peopleworking around metal heated to suchtemperatures would outweigh any safetybenefits gained. FRA agrees with therecommendation that hydrostatic testingbe done at or above MAWP, but pointsout that the NPRM already specifiedthat all hydrostatic testing must be doneat 125 percent of MAWP.

Section 230.39 Broken StayboltsThis section establishes (a) a limit on

the number of broken staybolts a steamlocomotive can have and still remain inservice; (b) when and how brokenstaybolts must be replaced; (c) whatcounts as a broken staybolt; and (d)what methods of closing telltale holesare prohibited. Subsections (a) and (d)generated comments. Diversified RailServices commented that this section isrepetitive and could be interpreted as



requiring a steam locomotive with abroken staybolt be operated in thatcondition for as long as 30 days. GrandCanyon Railway commented that thissection should be deleted and replacedwith the 1978 § 230.25 language. GrandCanyon Railway also commented thatthe rule should not contain a blanketprohibition on plugging telltale holes ofleaking staybolts.

The task force considered thecomments but disagreed with them,deciding to recommend that this sectionremain as written in the NPRM. It wasobserved that there were a number ofcompelling reasons for amending therule and deleting § 230.25 of the 1978standards. Among the reasons citedwere the continuing aging of the steamlocomotives in use in the United Statestoday; the longer operating andinspection cycles of steam locomotivestoday; and the progressive nature ofstaybolt failures. It was observed thatthe failure of one staybolt putssignificant additional pressure on thesurrounding staybolts, leading to thepossibility of a ‘‘cascade’’ or ‘‘domino’’effect with each ensuing staybolt failurerapidly leading to yet another failureultimately resulting in a catastrophicboiler failure. In addition, all membersof the task force concurred that, whilethis section of the rule establishes thatthe maximum time a steam locomotivemay be operated with broken stayboltsis 30 days, it does not require ownersand/or operators to run their steamlocomotives for that period of time withbroken staybolts. The task force was alsoin complete agreement that this sectiondoes not impose a total ban on theclosing of telltale holes; it simply liststhe prohibited methods for so doing.

FRA is leaving this section unchangedin the final rule. The agency believesthat, in light of the safety concernsimplicated, it is essential that steamlocomotives not be allowed to operatewith 2 or more broken staybolts within24 inches of one another or with morethan 4 broken staybolts at one time. FRAalso believes that the rule does notprohibit the closing of telltale holes perse.

Section 230.40 Time and Method ofStaybolt Testing

Subsection (a) establishes whenstaybolts are to be hammer tested andprovides an exception for inaccessiblestaybolts; subsection (b) sets out theprocedure to be followed when stayboltsare hammer tested. Diversified RailServices and Grand Canyon Railwayboth took exception to the proceduresset forth in subsection (b). DiversifiedRail Services commented that hammertesting of staybolts done with the

locomotive boiler under pressure ismuch more successful in detectingbroken staybolts. Grand Canyon Railwaysuggested that the procedure forhammer testing staybolts be changed toa 3-step process starting at 50 percentMAWP, water temperature 70° F andincrementally increasing pressure andwater temperature to 95 percent MAWPand water at 120° F. Grand CanyonRailway also recommended that theprovision allowing testing of stayboltswithout water in the locomotive boilerbe deleted; expressed the belief thatsuch tests are highly inaccurate.

The task force reviewed the commentsbut disagreed with the commenters’conclusions: believing instead that thissection simply prescribes the minimumtesting criteria and should not bechanged. Several task force membersobserved that steam locomotive ownersand/or operators are free to make use ofstricter testing methods if they believethe method prescribed is inadequate.

FRA’s purpose, in writing thissection, was to set forth minimumtesting procedures. As such, FRA willnot take exception to steam locomotiveowners and/or operators using morecomprehensive testing methods,provided the minimum testingrequirements are met.

Section 230.51 Number and Locationof Water Glasses and Gauge Cocks

This section provides that all steamlocomotive boilers must be equippedwith a minimum of 2 water glasses. JohnC. Boykin commented that therequirement for 2 water glasses isunreasonable and that there is noevidence that trycocks do not work aswell.

The task force felt that the 2 waterglass requirement was based on validconcerns and should remain. It wasobserved that 75 years of experiencehave shown that water glasses are moreaccurate and more reliable thantrycocks. One task force member notedthat the NTSB has recommended thateach steam locomotive be equippedwith 2 water glasses. Another task forcemember observed that the ASME BoilerCode § 1 has abolished the requirementfor water gauge trycocks because of thehigh level of operator skill andexperience required to operate properlyand safely.

FRA concurs with the findings of theNTSB and the recommendations of thetask force and is retaining therequirement that all steam locomotivesbe equipped with at least 2 water glassesin the final rule. FRA believes that thisrequirement will enhance safety sincewater glasses are more accurate andeasier to use than water gauge trycocks.

Section 230.60 Time of Washing

This section of the NPRM generated anumber of comments, most of whichwere in regards to subsection (a)Frequency of washing. The NBBPVIcommented that the reference in thesection-by-section analysis of § 230.60to § 230.45 of the 1978 standards wasinaccurate or incomplete. Grand CanyonRailway expressed concern that underthis washing schedule, water could beleft in steam locomotive boilers for morethan 30 days at a time; commented thatboiler washes should be performed atleast once every 92 calendar days. OhioCentral Railroad System observed that arequirement that boilers be washedevery 92 calendar days would be a lotbetter than the current regulation. OhioCentral Railroad System also noted thatrequiring that boiler washes beperformed at least once every 92calendar days would insure thatsediment and other solids would remainsoft enough to be easily flushed andwould help to avoid a buildup of excesssediment in the locomotive boiler.Tennessee Valley Railroad commentedthat the rule needs to address the issueof steam locomotives being stored forlong periods of time with water in theboiler; expressed concern about thesituation where a steam locomotiveowner and/or operator uses his or hersteam locomotive less than 31 servicedays a day, under this section, in sucha case, the locomotive boiler might onlybe washed once a year. TennesseeValley Railroad also advocated requiringthat locomotive boilers be washed atleast once every 92 calendar days,expressing the belief that leavingstanding water in a locomotive boiler isdetrimental to the boiler: suspensionswill settle out and create sludge whiledissolved oxygen in the water may reactwith carbon components in the boilermetal.

The task force recommended that thissection stay as written in the NPRM. Itwas noted that the concerns expressedby the commenters meritedconsideration but were, in fact,addressed under the daily inspectionrequirements. The task force believesthat the requirement that the steamlocomotive be inspected on a daily basisto ensure that it is safe and suitable forservice includes a duty to test waterquality and to ensure that water is notkept in boilers so long that it causesdamage to the locomotive boiler andother parts and appurtenances.

FRA has decided to leave this sectionunchanged in the final rule. The agencybelieves that under the ‘‘safe andsuitable for service’’ requirement, a dutyis imposed on all steam locomotive



owners and/or operators to ensure thatwater quality and water storage arecontinuously monitored so as to nothave a detrimental effect on the steamlocomotive and all its parts andappurtenances.

Section 230.61 Arch Tubes, Water BarTubes, Circulators, and ThermicSiphons

In § 230.61 of the NPRM, FRAproposed that every time a steamlocomotive boiler is washed (a) its archtubes, water bar tubes, circulators, andthermic siphons be cleaned, washed,and inspected; and at every annualinspection that (b) defective arch tubesand/or water bar tubes be renewed,defective circulators and thermicsiphons be renewed or repaired; and (c)arch bar tubes, water bar tubes, andcirculators be examined throughnondestructive means, with those foundto have wall thickness reduced belowrequired levels replaced or repaired.Diversified Rail Services commentedthat the rule should require that arch bartubes be replaced every 1472 serviceday inspection. Diversified Rail alsoobserved that removing the arch bartubes would allow for a full inspectionof all telltales and staybolts. GrandCanyon Railway commented that thissection should specify that thelocomotive owners and/or operators areresponsible for compliance therewith.The NBBPVI commented that thereference in the section-by-sectionanalysis of § 230.61 to § 230.45 of the1978 standards was inaccurate orincomplete.

After careful consideration ofDiversified Rail Services’ comments andrecommendations, the task forceconsensus was that adopting in the finalrule the requirement that steamlocomotive owners and/or operatorsperform an ultrasonic inspection of thearch tubes every time the boiler iswashed and repair or replace those notsafe and suitable for operation willadequately address those safetyconcerns raised. The task force believesthat this is more prudent than anabsolute requirement that arch tubes bereplaced every 1472 service days sincethat could be interpreted as requiringreplacement of the arch tubes only atthat time. The task force thenconsidered NBBPVI’s comments,agreeing that the reference as cited inthe section-by-section analysis wasinaccurate and incomplete. The taskforce’s recommendation was that thesection-by-section analysis of § 230.61be amended to include reference to§§ 230.14 and 230.46 of the 1978 Rule.

FRA believes that requiring that anultrasonic inspection of the arch tubes

be performed every time the boiler iswashed adequately addresses the issueof defective arch tubes, while, at thesame time, taking into account theeconomic burdens imposed on steamlocomotive owners and/or operatorsrequired to perform such inspections.The agency shares the concerns of thetask force that a ‘‘blanket’’ requirementthat arch tubes be replaced when the1472 service day inspection isperformed could be misinterpreted byowners and/or operators, leading to themistaken belief that they were onlyrequired to replace arch tubes at thattime.

Section 230.68 Speed IndicatorsUnder § 230.68, all steam locomotives

that operate on the general system ofrailroad transportation at speeds inexcess of 20 miles per hour are requiredto be equipped with speed indicatorsmaintained to ensure accuratefunctioning. Grand Canyon Railway andMinnesota Transportation Museumcommented that the speed indicatorrequirement should be the same as thatfor nonsteam locomotives (found at 49CFR 229.117).

With the stipulation that the term‘‘accurate functioning’’ be furtherexplained, the task force membersrecommended that this section remainas written. The task force issued itsrecommendation in the belief that FRAcan adequately address the issue ofwhat it considers to be ‘‘accuratefunctioning’’ of the speed indicator inthe preamble to the final rule.

Section 230.70 Safe Condition ofBrake and Signal Equipment

This section establishes: (a) thecriteria for performing a pre-departureinspection of a steam locomotive at thebeginning of each day the locomotive isused; and (b) a requirement that eachsteam locomotive and/or locomotivetender be equipped with a clearlyidentified emergency brake valve. GrandCanyon Railway, commenting onsubsection (a)(2)’s requirement that thesteam locomotive air compressor orcompressors be in condition to provide‘‘an ample supply of air for thelocomotive service intended,’’ urgedthat the rule be rewritten to allow asteam locomotive to continue to operateas long as it is able to provide a safelevel of air for the service the train isbeing operated in.

The task force took exception toGrand Canyon Railway’s comments.After due consideration, the task force’srecommendation to FRA was that theagency allow any steam locomotiveequipped with 2 or more aircompressors that experiences a

compressor failure while in service tocomplete that day’s service, providedthat the remaining air compressors onthat locomotive are able to supply a safelevel of air for the train’s operation.However, the task force was adamantthat, as per the requirements of the dailyinspection, no steam locomotive beallowed to start a service day unless/until all of the locomotive’s aircompressors are properly operating.

FRA believes that no steamlocomotive should be allowed to beginservice unless all of its air compressorsare properly operating. The agencyrecognizes that locomotives doexperience equipment failures whileoperating away from service facilitiesand, in such instances, will allow asteam locomotive suffering acompressor failure to finish its servicefor that day provided that a safe level ofair for the service being performed iscontinuously maintained.

Section 230.71 Orifice Testing ofCompressors

Section 230.71(b) of the NPRMreferenced a published table which liststhe compressors commonly used onsteam locomotives. The compressor sizeof one of Westinghouse compressors islisted in the table as ‘‘150 HP 81⁄2 CC’’and another as ‘‘120 LP 81⁄2 CC’’.Tennessee Valley Railroad commentedthat these compressors should be listedas ‘‘150 cfm’’ and ‘‘120 cfm’’respectively. In the discussion ofTennessee Valley’s comments, it wasobserved that at one time Westinghousehad used the terms ‘‘HP’’ and ‘‘LP’’ inrating its compressors’’ output.

The task force, agreeing in principlewith Tennessee Valley Railroad,recommended that, for the sake ofconsistency and ease of compliance, thetable rate all compressors in terms ofcfm.

In the interests of consistency andease of enforcement, FRA is changingthe terminology for the aforementionedsteam locomotive compressors to ‘‘150cfm’’ and ‘‘120 cfm’’ respectively.

Section 230.72 Testing MainReservoirs

This section establishes (a) how andwhen main reservoirs must be hammerand hydrostatically tested; (b) how andwhen main reservoirs may be drilledwith telltale holes; (c) testingprocedures for welded main reservoirswithout longitudinal lap seams; and (d)testing procedures for welded or rivetedmain reservoirs with longitudinal lapseams. Tennessee Valley Railroadrequested clarification on testingmethods for welded main reservoirs,commented that the testing



requirements should be clarified, statedits belief that the rule should adopt thelanguage of the diesel rule and thatnondestructive testing of welded mainreservoirs is unnecessary. The NBBPVIcommented that the formula providedin subsection (c) for wall thicknessvalues was missing a parens at the end.

The task force agreed that thelanguage of the part of § 230.72 dealingwith drilling of main reservoirs (part b)needs to be clarified. Since the intent ofthis part is to restrict drilling of mainreservoirs to welded reservoirs built toa safety factor of 5, the task forcerecommended that the first word of§ 230.72(b), ‘‘every’’ should be replacedwith the term ‘‘only,’’ thereby makingclear that drilling is only allowed onmain reservoirs meeting the specifiedcriteria. There was also unanimousagreement that—given the potential forserious injury and death resulting froma main reservoir failure—there is a needfor non-destructive testing of mainreservoirs in order to determine whenwall thicknesses become dangerouslythin. The task force agreed with NBBPVIthat the formula in section (c) fordetermining wall thickness is incorrect,recommending that another parenthesisbe inserted to the right of the onefollowing .6P, resulting in the correctformula of t=[PR/[S-.6P]].

After review of the comments and thetask force recommendations, FRA ismaking a small but significant change inthe language of part (b): striking the firstword ‘‘every’’ and replacing it with therestrictive term ‘‘only.’’ The agency feelsthat this change will alleviate anyconfusion over when drilling of mainreservoirs is allowed. FRA remainsconvinced that non-destructive testingof main reservoirs must be done on anannual basis in order to minimize therisk of a structural failure of a mainreservoir under pressure.

Section 230.74 Time of Cleaning

Section 230.74 of the NPRM providesthat all valves, related dirt collectors,and related filters shall be cleaned andtested as per accepted brake equipmentmanufacturer specifications or as oftenas necessary to maintain in a safe andsuitable condition for service, withcleaning and testing required after 368service days or at the time of the secondannual inspection, whichever occursfirst. Tennessee Valley Railroadcommented that the wash dates areinconsistent, recommended that the ruleallow owners and/or operators of steamlocomotives equipped with diesel typeair systems to adopt the washing andtesting schedule of similarly equippeddiesel locomotives.

The task force was in agreement thatthe cleaning and testing requirementsshould remain as written in the NPRM.It was observed that steam locomotivesoperate in a much ‘‘dirtier’’environment than diesel-electric andelectric locomotives. Several task forcemembers pointed out that steamlocomotives are continuously exposedto water, steam, smoke, ash, and coaldust; all of which have the potential ofgetting inside and ‘‘fouling’’ the airbrakesystem.

FRA remains firmly convinced that,because of the environmental conditionsin which steam locomotives operate, theair brake system on these locomotivesmust be cleaned and tested no lessfrequently than after 368 service daysaccrue or during every second annualinspection, whichever comes first.

Section 230.75 Stenciling Dates ofTesting and Cleaning

Section 230.75 requires that the dateof testing and cleaning and the initialsof the shop or station where the workwas done be legibly stenciled on thetested parts or displayed undertransparent cover in the steamlocomotive cab. Grand Canyon Railwaycommented that the shop and/or stationwhere the testing and cleaning wasperformed should be spelled out.

The task force agreed that this sectionof the rule should remain as written.Several task force members noted thatthis section merely sets the minimumstenciling requirement and owners and/or operators are free to stencil additionalinformation if so desired.

FRA is leaving this section unchangedin the final rule. The agency will allowsteam locomotive owners and/oroperators to provide (stencil) additional,more detailed information provided thebasic requirements of the final rule aremet.

Section 230.82 Fire Doors andMechanical Stokers

Section 230.82 establishes therequirements for steam locomotive firedoors. The NBBPVI commented that thewords ‘‘and mechanical Stokers’’ shouldbe deleted from the section title sincethere is no mention of fire doors in thissection.

The task force was in agreement thatthe words ‘‘and mechanical stokers’’ areexcess verbiage and should be deletedas their inclusion could mislead readersinto thinking that section of the rule wasincomplete as published.

FRA agrees that the words ‘‘andmechanical stokers’’ are unnecessaryand even possibly confusing and is,therefore, striking them from theheading for § 230.82.

Section 230.86 Required Illumination

Under § 230.86(a), steam locomotivesused between sunset and sunrise arerequired to be equipped with anoperating headlight of a specifiedbrightness; (b) which may be dimmedwhen necessary; and (c) which the leadsteam locomotive is required to displaywhen 2 or more steam locomotives areused in the same train. Grand CanyonRailway commented that this sectionshould follow the language of the dieselregulation (49 CFR 229.125(a)—(c)),thereby clarifying the requirements andproviding for the dimming andextinguishing of the lead steamlocomotive headlight when a non-steamlocomotive is on the point (actually inthe lead).

The task force agreed that § 230.86(c),as written, is subject tomisinterpretation and could be read asrequiring the lead steam locomotivehave its headlight on at all timesbetween sunset and sunrise regardlessof whether the lead steam locomotivewas actually the lead locomotive on thetrain. The task force, therefore,recommended that the word ‘‘steam’’ bestruck from § 230.86(c) of the final rule.

FRA acknowledges that § 230.86(c), aswritten in the NPRM, was subject tomisinterpretation and is amending thelanguage of this section in the final ruleby striking the word ‘‘steam.’’ Theagency’s primary objective in thissection is ensuring that whenever alocomotive is used in the lead position,it is displaying a headlight.

Section 230.88 Throttles

This section provides that throttlemust be safe and suitable for service andequipped with an effective means forholding the throttle lever in any desiredposition. A number of comments werereceived on the issue of throttle lockingdevices and on the need to include inthe rule a ban on tampering with safetydevices. Diversified Rail Services, OhioCentral Railroad System, St. LouisSteam Train Association, and TennesseeValley Railroad each submittedcomments urging FRA to require throttlelocking devices on steam locomotives.Diversified Rail Services and TennesseeValley Railroad also urged the inclusionof language expressly forbidding theremoval of or failure to properlymaintain safety devices.

The task force, while recognizing theconcerns raised in the comments, was inagreement that there is no need to adda specific requirement for throttlelocking devices to the rule. In thediscussion of this issue, several taskforce members observed that therequirement in this section that



‘‘efficient means [be] provided to holdthrottle levers in any desired position’’may be read as requiring the use ofthrottle-locking devices to lock throttlelevers in the off position when that isthe desired position. The task force alsofelt that the addition of a specificprovision prohibiting tampering withsafety devices was unnecessary in lightof § 230.4(a)’s general prohibition on theuse of steam locomotives or tenders thatare not in proper condition and safe tooperate.

FRA believes the requirement underthis section that throttles be maintainedin safe and suitable condition for servicewith efficient means to hold the throttlelever in any desired position imposes aduty on steam locomotive owners and/or operators to include a throttle lockingdevice on the steam locomotive if alocked throttle is a desired position.FRA further believes that the generalrequirement that steam locomotives bemaintained in the proper condition andsafe to operate includes a prohibition ontampering with safety devices since aninoperative or altered safety device is bydefinition not in the proper condition.

Section 230.90 Draw Gear BetweenSteam Locomotive and Tender

This section establishes (a) themaintenance and testing criteria for thedraw gear; (b) the requirements forsafety bars and/or safety chains; (c) theminimum length of safety chains and/orsafety bars; (d) the permissible limits forlost motion between steam locomotivesand tenders; and (e) the conditionsunder which spring buffers may be usedbetween steam locomotives and tenders.Ohio Central Railroad requestedclarification on the intent of subsection(a); specifically questioning whethervisual inspection is considered a form ofnondestructive examination (NDE).Tennessee Valley Railroad alsorequested clarification on the languageand intent of the visual testingrequirement and the additional testingrequirement.

The task force considered thecomments submitted, but, in the end,decided to recommend that this sectionremain as published in the NPRM. Thetask force members felt that this sectionclearly explains that a visual inspectionof the draft gear between the steamlocomotive and its tender must beperformed at every annual inspectionand, if the visual inspection fails touncover any defects, an additionalinspection using another form of NDEtesting methods will be performed onthe gear.

FRA believes that steam locomotiveowners and/or operators should beallowed to choose an appropriate

method of NDE for the testing of thelocomotive pins and drawbar. FRA alsobelieves that, if a visual inspection ofthe pins and drawbar is performed andfails to detect any defects, an additionalexamination of the pins and drawbarmust be performed utilizing anotherappropriate method of NDE.

Section 230.96 Main, Side, and ValveMotion Rods

Section 230.96 sets forth (a) whenmain, side, or valve rods must beremoved from service; (b) how andwhen repairs of main, side, or valverods may be made; (c) the criteria forbearings and bushings; (d) how muchrod side motion is acceptable; (e) therequirements for oil and grease cups; (f)limits on main rod bearing wear; and (g)wear limits on side rod bearings. GrandCanyon Railway and Tennessee ValleyRailroad submitted comments in whichthey expressed disagreement with therequirement in subsection (b) that steamlocomotive owners and/or operatorssubmit a written request to FRA forapproval prior to doing any welding ofdefective main rods, side rods, andvalve gear components. Grand CanyonRailway, concerned that steamlocomotive owners and/or operatorswould likely incur long delays waitingfor agency approval during which theowners and/or operators would not beable to use their steam locomotives,urged instead that the owners and/oroperators be permitted to performwelding on the rods (as per acceptednational standards) and then submitdetailed notification to FRA. The taskforce quickly reached consensus on thisissue, emphatically agreeing that thereporting requirement should remain aswritten in the NPRM. The task forcemembers agreed that, because rodwelding is a relatively new procedureand can involve welding on a numberof different types of metals, there isneed for uniform oversight and priorapproval to minimize the possibility ofthese repairs being done improperly. Itwas noted that an improperly repairedrod could break and fly up into thelocomotive, resulting in the seriousinjury or death of crew members,passengers, and bystanders as well assubstantial damage to the steamlocomotive, and the possible derailmentof the train.

FRA agrees completely with the taskforces observations andrecommendations. Given the potentiallydisastrous consequences if animproperly repaired side and/or valverod were to break while the steamlocomotive was operating in service, theagency believes that it is mandatory thatit have the opportunity to review and

approve or deny requests to performsuch repairs beforehand.

Section 230.106 Steam LocomotiveFrame

Section 230.106(a) establishes thecleaning, inspection, and maintenancerequirements for steam locomotiveframes, decks, plates, tailpieces,pedestals, and braces—requiringcleaning and thorough inspection ofthese parts whenever the steamlocomotive is shopped for ‘‘heavyrepairs.’’ Grand Canyon Railway tookexception to this section as written,commenting that if the cleaning andinspection requirement is tied to theperformance of ‘‘heavy repairs’’ thenthat term should be defined.

The task force agreed that the term‘‘heavy repairs’’ is not essential since itis only used once in the proposed rule.The task force quickly reachedconsensus that the term ‘‘heavy repairs’’should be stricken from the rule. It wasdecided to recommend that § 230.106(a)be changed to require that frames, decksplates be cleaned ‘‘as often as necessaryto maintain in a safe and suitablecondition for service, with cleaningintervals not to exceed every 1472service days.’’

FRA believes the term ‘‘heavyrepairs’’ is very subjective and would bedifficult to define clearly and concisely.Therefore, the agency has decided toaccept the task force’s recommendationsand is changing this section by strikingthe words ‘‘each time the steamlocomotive is in shop for heavy repairs’’and replacing them with the words ‘‘asoften as necessary to maintain in a safeand suitable condition for service, withcleaning intervals not to exceed every1472 service days.’’

Section 230.109 Tender TrucksSubsection (d) establishes a

requirement that all tenders beequipped with devices or securingarrangements to prevent the separationof the tender body and trucks in theevent of a derailment. This section drewcomments from Ohio Central RailroadSystem and the Tennessee ValleyRailroad. Ohio Central Railroadcommented that the requirement isvague and does not explain how such adevice is to be setup and what theinstallation standard will be for tendersnot originally equipped with suchdevices. Ohio Central also requestedclarification on whether steamlocomotive tenders that were designedand built without such securing deviceswould be ‘‘grandfathered’’ in under therule and as to whether auxiliary waterand/or fuel cars are considered to betenders. Tennessee Valley Railroad



requested clarification as to what is a‘‘securing device’’ and stated its beliefthat this section is not needed and willplace a major financial burden on thoselocomotive owners and/or operatorswhose tenders are not so equipped.

The task force discussed this issue atsome length and finally decided torecommend that this section beamended to adopt the requirements ofthe 1978 revisions to part 230. Underthe 1978 revisions, when tenders areequipped with securing arrangements ordevices, those arrangements or devicesmust be maintained in safe and suitablecondition for service. The effect of therecommended change would be tosimply require that such devices mustbe properly maintained when used. Thetask force members agreed torecommend that FRA consider onlyauxiliary water and/or fuel cars that aresemi-permanently or permanentlycoupled to the steam locomotive andtender as tenders.

FRA agrees with and is adopting therecommendations of the task force.Section 230.109(d) will be amended bychanging the language in the NPRM toread that ‘‘When a tender is equippedwith a device or securing arrangementto prevent the truck and tender bodyfrom separating in the event of aderailment, that device or securingarrangement shall be maintained in asafe and suitable condition for service.FRA is making this change in the finalrule because of its concern thatrequiring the installation of trucksecuring devices/arrangements ontenders that were built without suchdevices would impose substantialfinancial costs on the locomotiveowners and/or operators whileconferring minimal additional safetybenefits in return.

Section 230.115 Feed Water TanksThis section of the rule sets the

requirements for steam locomotive feedwater tanks. Subsection (a) includes arequirement that feed water tanks beequipped with measuring devices thatallow the amount of water in the tankto be measured from the locomotive cabor tender deck. Tennessee ValleyRailroad commented that 3 truck Shaylocomotives should be specificallyexcluded from this section or, in thealternative, a provision for the issuanceof waivers from this requirement shouldbe included in this section.

The task force weighed TennesseeValley’s comments but decided torecommend against making thesuggested changes. The task forcemembers believed that compliance withthis section will not be undulyburdensome and the safety benefits of

being able to continuously monitor theamount of water in the feed water tankgreatly outweigh any financial burdenimposed on locomotive owners and/oroperators.

Inspection Requirements

Appendix A to part 230 lists (forguidance purposes only) the inspectionrequirements for daily, 31 service day,annual, and 5 year inspections. Listedunder item 18 of the daily inspectionrequirements is a duty to inspect theclassification lamps. The MinnesotaTransportation Museum, Inc., tookexception to this requirement,commenting that the inspectionrequirement for class lights should bedeleted as such lights no longer haveany function.

The task force disagreed withMinnesota Transportation Museum’scomments. One task force memberobserved that his steam locomotiveoperation utilizes class lamps wheneverextra trains are run. The task forcedecided to recommend that FRA retainthe requirement that class lamps beinspected on a daily basis because,although unlikely, the need toilluminate these lamps could arise atany time.

FRA is retaining the requirement thatclassification lamps be inspected in thefinal rule. The agency believes thisrequirement is justified becausewhenever a steam locomotive is used ona steam operation that runs extras, theneed to use the class lamps may arise.

49 CFR Part 209

Section-by-Section Analysis

The following section-by-sectionanalysis discusses in more detail thechanges and amendments made toAppendix A to part 209.

In the NPRM, FRA proposed toinclude as an appendix to part 230 adiscussion of the agency’s exercise ofjurisdiction over tourist railroads. FRAhas concluded that it is more logical toinclude this discussion in Appendix Ato part 209, which already contains anagency statement of policy about itssafety jurisdiction. Therefore, ratherthan including this jurisdictionaldiscussion as an appendix to part 230,FRA is amending appendix A to part209. Because this discussion will beinserted into an existing policystatement that explains the basicprinciples of FRA jurisdiction, it doesnot contain the discussion of thoseprinciples that was originally includedwhen proposed as an appendix to part230. FRA has also changed thediscussion in ways that are intended tomake it more clear.

This jurisdictional statementsummarizes the policy FRA hasimplemented toward tourist operationsfor many years. FRA has explained thatpolicy in a report to Congress (‘‘FederalRailroad Administration RegulatoryActions Affecting Tourist Railroads’’) inJune1996, Congressional testimony, andin many letters to individual touristrailroads and their associations over thelast several years. Several rules havecontained provisions specificallyconcerning FRA’s exercise ofjurisdiction over tourist operations (e.g.,49 CFR 234.3(c)). However, until now,FRA has not published its policy in theCFR for easy reference.

49 CFR Part 230

Section-by-Section Analysis

The following section-by-sectionanalysis discusses in more detail thechanges and amendments made to the1978 version of part 230. As an aid toreaders, FRA has denominated as ‘‘new’’sections of the final rule which lack apresent counterpart.

Subpart A—General

In this subpart, FRA has added aseries of provisions consistent with tothose found in its other recentregulations. Through these uniformprovisions, FRA makes explicit thescope, purposes and applicability ofthese rules and the potentialconsequences of noncompliance withthe rules once adopted.

Section 230.1 Purpose and Scope(New)

This section clearly defines the scopeof part 230; explaining that thesestandards are intended to establishminimum standards for inspection andmaintenance of steam locomotives usedon railroads to which this part applies.

Section 230.2 Applicability (New)

As described in the ‘‘Responsibilityfor Compliance’’ discussion, the taskforce wanted to rewrite this part to makeclear that the steam locomotiveregulations would apply primarily tosteam locomotive owners and/oroperators. The task force’s proposedapplicability section read as follows:‘‘This part applies to any entity whichowns a steam locomotive or operatesone under a contract, agreement orlease. This part does not apply toentities that own or operate steamlocomotives over track that is less than24 inches in gage or to entities that areconsidered ‘‘insular’’ by this agency.’’See Appendix A of part 209 for acurrent statement of the policy on FRA’sexercise of jurisdiction.



1 See Power Brake Regulations NPRM, 59 FR47676 (September 16, 1994); Railroad AccidentReporting NPRM, 59 FR 42880 (August 19, 1994);and Grade Crossing Signal System Safety FinalRule, 59 FR 50086, (September 30, 1994).Subsequent publications in the Grade Crossing (GC)and Accident Reporting (AR) arenas have includedthis language as well. See 61 FR 30940 (AR) (6/18/96), 61 FR 31802 (GC), (6/20/96), and 61 FR 67477(AR) (12/23/96).

Although the agency changed thislanguage to text that is more in keepingwith the purpose and language of theapplicability provisions of FRA’s otherrules, the changes made do not conflictwith the task force’s recommendationthat the rule clearly place primaryresponsibility for compliance with therules on the owner and/or operator ofthe locomotive. By design, theapplicability section explains the typeof rail operations to which the rule willapply, not upon whom responsibility forcompliance will lie. By statute, FRA hasjurisdiction over all railroads (except forurban rapid transit operations notconnected to the general system), but itfrequently limits the reach of aparticular rule to less than the entireuniverse of railroads, using theapplicability section to clarify whichoperations it intends to be covered bythe rule. Locomotive owners and/oroperators and other parties seekingguidance on whether they must complywith this part should refer to § 230.8Responsibility for Compliance forguidance. That section specificallyexplains to whom the rule applies.

Notwithstanding their eliminationfrom the applicability section, whereverappropriate, the locomotive owner(s)and/or operator(s) are specificallyidentified in the rule as the party orparties best able to execute certaindelineated inspection and maintenanceresponsibilities. Thus, the fact that thelocomotive owner and/or operator arenot referred to by name in theapplicability provision does not meanthat they may not be held primarilyresponsible for compliance. Section230.2 should be viewed as describingthe extent of the agency’s exercise of itsstatutory jurisdiction in the area ofsteam locomotive safety, with § 230.8providing the practical complianceguidance that the task forcerecommended be included in theapplicability section. Accordingly,§ 230.2 explains that these standardsapply to all railroads that operate steamlocomotives, with four categoricalexceptions (three of which areconsidered ‘‘standard’’ exceptions).First, this section does not apply torailroads of less than 24′′ gage. Thisexception is not standard but isconsistent with the agency’s historicalapproach to exercising its safetyjurisdiction. Railroads operating on lessthan 24′′ gage track have never beenconsidered railroads by the Federalrailroad safety laws; generally beingconsidered miniature or imitationrailroads. In the context of this rule,which clearly applies to certainoperations of less than standard gage, it

is important to clarify that the smallestgage railroads are not included. Second,this section does not apply to ‘‘plant’’railroads that exclusively operate freighttrains on track inside an installation thatis not part of the general system oftransportation, this is a standardprovision. Third, this section does notapply to urban rapid-transit operationsthat are not connected to the generalsystem of transportation. This is also astandard provision that merely restatesthe statutory limit on FRA’s jurisdictionfor the convenience of the reader.Finally, this section excludes from itsreach railroads that operate passengertrains only on track inside an insularinstallation—operations limited toseparate enclaves in such a way that thesafety of those not entering the enclavesis not affected by the operations.Insularity is destroyed, however, andthe rule applies where any of thefollowing exists on its line: (1) A publichighway-rail crossing that is in use; (2)an at-grade rail crossing that is in use;(3) a bridge over a public road orcommercially navigable waters; or (4) acommon corridor with another railroad,i.e., where operations are conductedwithin 30 feet of those of any otherrailroad. This section, too, is standardand reflects the agency’s long-standingpolicy on its exercise of jurisdictionover tourist and historic railroads. Thislanguage is used where FRA intends toreach tourist railroads whose operationsare not over the general railroad systembut affect public safety sufficiently to becovered by a particular rule. Asproposed, this section includes theword ‘‘installation’’ in its discussion ofthis part’s applicability to entities thatoperate ‘‘passenger’’ trains. While theagency has included this term withspecific reference to passengeroperations in three of its rulemakingsover the past few years, the agencybelieves that the regulated industry maynot be accustomed to seeing this term inthe context of tourist railroads. It is theagency’s view that an ‘‘installation’’ issimply a separate enclave off the generalsystem.1

Section 230.3 Implementation (New)This section establishes a staggered

implementation scheme. This scheme isdesigned to provide flexibility to thosesteam locomotive owners and operators

who otherwise might be adverselyaffected by the magnitude of changesbeing implemented. Thisimplementation language wasstrenuously debated by the task forcemembers. The task force’s greatestconcern was that steam locomotiveowners and/or operators would berequired to conduct an inspectionequivalent to that required by this rule’s§ 230.17 sooner than they would berequired to do so under § 230.10 of the1978 standards. The task force was alsoconcerned that steam locomotiveowners and/or operators not be granteda ‘‘windfall’’ and allowed so much timeunder the new standards to performrequired inspections that safety could becompromised. The task force’s primaryconcern was insuring that the newinspection requirements would beapplied retroactively to locomotives thathad complied with §§ 230.10 and 230.11of the 1978 standards within a certainperiod of time prior to the effective dateof the rule. The task force had difficultyin determining what was an appropriateperiod of time prior to the rule’seffective date in which to allowretroactive application of the newinspection standards. Under thecompromise finally worked out by thetask force and adopted by FRA,performance of the 1472 service dayinspection, which must be conducted atthe time a § 230.10 inspection wouldhave been required under the 1978standards, triggers the compliancerequirement. Thus, with the exceptionof certain inspection and maintenancerequirements that become effective oneyear from the effective date of the rule,steam locomotive owners and/oroperators must begin to comply withpart 230 when the 1472 service dayinspection becomes due under this rule.Up until that time, however, compliancewith the regulations in effect prior to theeffective date of this rule will beconsidered to be full compliance withthis part. To provide additionalflexibility, however, the agency willcontinue to consider flue removalextension requests made under theprovisions of § 230.10 of the 1978standards for two years from theeffective date of the rule. Thus, forexample, a locomotive that received aninspection under § 230.10 of the 1978standards up to five years before thedate of this rule would have, with thisflue extension provision, a minimum oftwo years from the effective date of therule to conduct the 1472 service dayinspection required by these standards.If the locomotive very recently receivedthe inspection required by § 230.10 ofthe 1978 standards, the locomotive



owner and/or operator will have theentire period allowed under that sectionbefore having to conduct the required1472 service day inspection.

In addition, under this section,locomotive owners and/or operatorsmay petition the agency for ‘‘specialconsideration’’ of the rule’simplementation. In order to qualify tofile a petition for special consideration,the locomotive owner and/or operatormust have either fully or partiallysatisfied the 1472 service day inspectionrequirements within three years prior toSeptember 25, 1998 (the date ofpublication of the NPRM). If thelocomotive is only in partial compliancewith the requirements of this section, itwill have to be in full compliance by thetime the petition is actually filed. Thepetition must be filed within one yearfrom the effective date of the rule andmust include all the documentationnecessary to establish that thelocomotive is in compliance with therequirements of the 1472 service dayinspection standards. The agency mustrespond to the petition within one yearof filing. Thus, the time involved infiling a petition for specialconsideration and receiving FRA’sresponse to that petition, will be thesame as the two-year grace periodallowed to non-petitioning locomotiveowner and/or operators who utilize theavailable flue extension provision. IfFRA does not respond in a timelyfashion, the locomotive owner and/oroperator awaiting the response will begranted an additional extension of up to6 months or until the time the agency’sdecision is received, whichever occursfirst.

The distinction between ‘‘full’’ and‘‘partial’’ satisfaction of the 1472 serviceday inspection requirements is made inreference to the two-step procedure thatmust be complied with undersubsection (a) of § 230.17. This consistsof the general inspection requirementsand the requirement that the FRA FormNo. 4 be updated and verified at thattime. A locomotive owner and/oroperator who has satisfied both of theserequirements within three years prior tothe effective date of this rule will beable to file the petition the day the rulebecomes effective. A locomotive ownerand/or operator that has only satisfiedone requirement, however, has only‘‘partially’’ satisfied the requirements of§ 230.17 and will have until the term ofthe petition process, one year, to satisfythe second requirement. For example, alocomotive owner and/or operator whoinspected their locomotive under§ 230.10 of the 1978 standards withinthree years prior to the effective date ofthis rule, but did not update and verify

the FRA Form No. 4 at that time, willhave a full year to do so beforesubmitting the application. Likewise, ifthe FRA Form No. 4 has been updatedand verified within three years prior tothe effective date of the rule but aninspection satisfying § 230.10 of the1978 standards has not been conducted,the locomotive owner and/or operatorwill have one year in which to conductthe qualifying inspection beforesubmitting an application for specialconsideration.

Section 230.3 also contains provisionsaddressing the requirements related tothe filing of the petition. This sectionrequires petitions for specialconsideration to be accompanied by allthe locomotive records that show howmany service days the locomotive hasaccumulated since the last inspectionconducted under the 1978 standards,and the number of service daysremaining before a 1472 service dayinspection must be conducted under the‘‘new’’ § 230.17. The task force wasconcerned about proving the submissionand response to the petition, so theyrecommended, and FRA agreed to stressthat these petitions should be sent bysome form of registered mail to ensurea record of delivery. For its part, theagency will respond to all such petitionsby registered mail within one year ofreceipt. In addition, this sectioncontains provisions addressing theeffect of the petition’s disposition on theimplementation requirements. If theagency grants the petition, therequirements will become effectiveupon receipt of the response letter.Likewise, if the agency denies thepetition, the rule will become effectiveas though the petition had never beenfiled.

Finally, because many task forcemembers were concerned about theproblem of potential untimeliness in theagency’s response, this sectionaddresses the effect of agency silencewithin the one year response timeperiod. Under this rule, the petitionermust notify the agency if a response tothe petition for special considerationhas not been received within theprescribed one year period. Operators atthe end of their inspection cycle, whohave not received a response from theagency within the one year provided,will be allowed to operate under the1978 standards for an additional 6months, or until they receive FRA’sdecision, whichever occurs first.

Section 230.4 Penalties (New)This section incorporates the

maximum penalties provided for in theFederal railroad safety laws. Thesepenalty amounts, however, have

recently been adjusted for inflationpursuant to the Federal Civil PenaltiesInflation Adjustment Act of 1990, Pub.L. 101–410, Stat. 890, 28 U.S.C. 2461note, as amended by the Debt CollectionImprovement Act of 1996, Pub. L. 104–124 (4/26/96). For a more completediscussion of the agency’s recentpenalty adjustments see Civil MonetaryPenalty Inflation Adjustment, 63 FR11618 (March 10, 1998).

Section 230.5 Preemptive Effect (New)

This part is issued under the authorityof 49 U.S.C. 20106 and 49 U.S.C. 20701–20703. FRA believes that the broad fieldpreemption of the LBIA (49 U.S.C.20701 et seq.), while the appropriatestandard in the area of locomotivesafety, does not preempt state regulationof those steam locomotive operationsover which FRA has never exercisedjurisdiction, such as insular touristrailroads and amusement rides.

Section 230.6 Waivers (New)

All waivers previously granted underpart 230 that are not filed forreassessment with the FRA’s Office ofSafety prior to the effective date of thisrule will lapse on that date. However,under the terms of this provision, theagency will review those waivers thatare timely filed and notify applicantswhether the waiver has been continued.The one exception to this is where thewaiver granted was for a ‘‘flueextension.’’ Those waiversautomatically expire one year from thedate granted.

The reason FRA has eliminated thegranting of waivers under part 230 is tocorrect the misapplication of § 230.158of the 1978 standards for inspection andmaintenance of steam locomotiveboilers and flues. Under the 1978standards, railroads operating fewerthan 5 locomotives were allowed toapply for waivers from the requirementsof Subpart B—Steam Locomotives andTenders. This section was intended toapply only to those regulations inSubpart B; in practice, it was extendedto apply to Subpart A as well.Consequently, operators were oftengranted waivers from compliance withthe provisions of Subpart A.

In addition, the agency is using thissection to make clear that its waiverprocess, described in 49 CFR part 211,has now been centralized. As such, thissection cites to part 211 of this chapterfor the appropriate standards whenfiling petitions for waiver from therequirements of part 230.



Section 230.7 Responsibility forCompliance (New)

This section restates, in regulatorylanguage, the provisions of Chapter 207of Title 49 of the United States Code:commonly referred to as the LocomotiveInspection Act. This section alsodesignates the party or partiesresponsible for ensuring that therequirements of part 230 are satisfied.See the discussion in section VI(A)titled ‘‘Responsibility for Compliance,’’above.

Section 230.8 Definitions (New)

The following is an explanation ofeach definition that FRA is adding oramending in this final rule.

Alteration: This definitionincorporates the NBIC definition toharmonize concepts within theindustry.

ANSI: This definition is non-substantive and is included forclarification purposes only.

API: This definition is non-substantive and is included forclarification purposes only.

ASME: This definition is non-substantive and is included forclarification purposes only.

Boiler Surfaces: This definition wasadded to make clear what areas of theboiler are referenced throughout therule.

Break: This definition incorporatesthe distinction between ‘‘break’’ and‘‘crack’’ delineated in part 229.

Code of Original Construction: Thisdefinition is non-substantive and isincluded for clarification purposes only.

Crack: This definition incorporatesthe distinction between ‘‘break’’ and‘‘crack’’ delineated in part 229.

Dead-in-tow: This definition isintended to provide guidance as towhen a non-complying steamlocomotive may be moved.

Lite Locomotive: This definition isintended to provide guidance as towhen a non-complying steamlocomotive may be moved.

Locomotive Operator: As discussed inthe liability section above, inrecognition of the fact that manylocomotives are owned and operated byentities other than railroad companies,FRA is making its liability standardsmore specific. This definitiondistinguishes between these relevantentities in order to make clear that alocomotive may be owned and operatedby separate entities.

Locomotive Owner: As discussed inthe liability section above, inrecognition of the fact that manylocomotives are owned and operated byentities other than railroad companies,

FRA is making its liability standardsmore specific. This definitiondistinguishes between these relevantentities in order to make clear that alocomotive may be owned and operatedby separate entities.

MAWP: This definition is non-substantive and is included forclarification purposes only.

NBIC: This definition is non-substantive and is included forclarification purposes only.

NDE: This definition is non-substantive and is included forclarification purposes only.

NPS: This definition is non-substantive and is included forclarification purposes only.

Railroad: This definition incorporatesthe statutory definition of railroad in 49U.S.C. Sec. 20102.

Renewal: This definition incorporatesindustry concepts and is not intended tohave substantive effect.

Repair: This definition incorporatesthe NBIC definition to harmonizeconcepts within the industry.

Serious Injury: This definitionincorporates the definition of seriousinjury from the ‘‘FRA Guide forpreparing Accident Incident Reports’’(Effective: January 1997).

Service Day: As described in theinspection section above, the agency isrevising the inspection time periodsthroughout this part, basing them on anew ‘‘service day’’ concept. Service dayis defined as each and every calendarday that a steam locomotive boiler hassteam pressure above atmosphericpressure with fire in the firebox. Eachsuch day will count as a ‘‘service day’’for the locomotive.

Stayed Portion of the Boiler: Thisdefinition establishes a threshold fordistinguishing between stayed andunstayed portions of the boiler, both ofwhich are identified in this part. It isnot intended to have substantive effect.

Steam Locomotive: This definitionmodifies the 1978 standard’s definitionof ‘‘locomotive’’ to make it specific to a‘‘steam locomotive.’’ It has beenrewritten for grammatical clarity.

Unstayed Portion of the Boiler: Thisdefinition establishes a threshold fordistinguishing between stayed andunstayed portions of the boiler, both ofwhich are identified in this part. It isnot intended to have substantive effect.

Wastage: This is a technicaldefinition; included for the purpose ofclarifying required minimumthicknesses and condemning limits forthe boiler.

Section 230.10 Information Collection(New)

This section is included for theconvenience of the reader. Imposing nonew requirements upon regulatedentities, it simply represents theagency’s certification that it hascomplied with all Office of Managementand Budget review requirementspursuant to the Paperwork ReductionAct of 1980 (44 U.S.C. 3501 et seq.). Thereview and approval process reflected inthis provision are explained in greaterdetail below.

General Inspection Requirements

Section 230.11 Repair of Non-Complying Conditions (New)

This section adopts the requirementin part 229 that non-complyinglocomotives be repaired before beingreturned to service. In addition, itaffixes the responsibility for suchrepairs and for approving anynoncomplying conditions that are notrepaired on the locomotive owner and/or operator.

Section 230.12 Movement of Non-Complying Steam Locomotives (New)

This section makes part 230 currentwith part 229 by incorporating theconcept of movement for the purpose ofrepair. Under this section, locomotiveowners and/or operators are allowed tomove a noncomplying locomotive forthe purpose of repair, after thelocomotive owner and/or operator hasdetermined that the locomotive is safeto be so moved. Upon consideration ofthe comments received, FRA and thetask force amended this section toprovide for the movement ofnoncomplying steam locomotive. Thetask force felt strongly that thisprovision was necessary toaccommodate the operating exigencieswhich may occur in the course of steamlocomotive operations.

Section 230.13 Daily Inspection

This provision adopts, withoutsubstantive change, the existingregulations governing the dailyinspection of steam locomotives.

Section 230.14 31 Service DayInspection (New)

This provision, while notsubstantively changing the inspectionrequirements for steam locomotives,adds a requirement that locomotiveowners and/or operators notify FRAbefore performing a 31 service dayinspection and revises the time intervalwithin which certain inspections mustbe performed.



Section 230.15 92 Service DayInspection (New)

This provision imposes no newinspection requirements for steamlocomotives but revises the time framewithin which certain inspections mustbe performed.

Section 230.16 Annual Inspection(New)

This provision makes no substantivechange in the annual inspection ofsteam locomotive requirements, exceptto add a requirement that locomotiveowners and/or operators notify FRAbefore performing annual locomotiveinspections.

Section 230.17 1,472 Service DayInspection (New)

This provision revises the time framewithin which certain inspections mustbe performed and imposes arequirement that steam locomotiveowners and/or operators complete,update, and verify the steamlocomotive’s FRA Form No. 4 at thetime of the locomotive’s 1472 serviceday inspection and file the FRA FormNo. 4 with FRA within 30 days ofcompletion of the inspection. See theanalysis in section IX(B)(5), above.

Recordkeeping Requirements

Section 230.18 Service Days (New)This provision imposes a new

recordkeeping requirement on theowners and/or operators of steamlocomotives. Under this section,locomotive owners and/or operators arerequired to keep a current service dayrecord showing the number of servicedays the steam locomotive has accruedsince its last 31 service day, 92 serviceday, annual and 1472 service dayinspection. Locomotive owners and/oroperators are also required to file areport with FRA each January 31,detailing the number of service dayseach steam locomotive accrued duringthe preceding calendar year. Failure tofile this report will result in thelocomotive being considered ‘‘retired.’’In order to return a ‘‘retired’’ locomotiveto service, the locomotive owner and/oroperator will have to first perform a1472 service day inspection. The agencyrealizes that exigencies do arise and, assuch, does not intend to be totallyinflexible in the enforcement of thisrecordkeeping requirement. Should aservice day report be filed a day or twolate, the agency will give the operatorthe benefit of the doubt and accept thereport as though it had been timelyfiled.

While these changes impose someadditional recordkeeping duties on

regulated entities, the agency believesthat the additional burdens so imposedare substantially outweighed by thebenefits the regulated community willrealize from the new inspection timeperiods.

Section 230.19 Posting of FRA FormNo. 1 and FRA Form No. 3

There are no new recordkeepingrequirements imposed upon locomotiveowners and/or operators under thissection. The FRA Form No. 1, 31 serviceday and 92 service day inspection reportrequired under this rule, is equivalent tothe monthly inspection report formerlyrequired under §§ 230.51 and 230.160 ofthe 1978 standards. The required FRAForm No. 3, annual inspection report, isequivalent to the annual inspectionreport formerly required under§§ 230.52 and 230.161 of the 1978standards.

Section 230.20 Alteration and RepairReport for Steam Locomotive Boilers

This section imposes recordkeepingrequirements upon locomotive ownersand/or operators. FRA Form No. 19 isthe alteration report regulated entitieswere required to file under § 230.54 ofthe 1978 standards. Under this rule, thelocomotive owner and/or operator isrequired to file a FRA Form No.19whenever alterations that affect theinformation on the FRA Form No. 4 aremade and/or whenever welded orriveted repairs are made to the unstayedportion of the locomotive boiler.Locomotive owners and/or operatorsalso must make out and maintain (butnot file with FRA) FRA Form No. 19swhenever welded or riveted repairs aremade to stayed portions of thelocomotive boiler.

Section 230.21 Steam LocomotiveNumber Change (New)

This section incorporatesrequirements originally issued by theformer Interstate CommerceCommission in its ‘‘Interpretations,Rulings and Explanations on QuestionsRaised Regarding the Laws, Rules, andInstructions for Inspection and Testingof Steam Locomotives and Tenders andTheir Appurtenances’ (ICCInterpretations).

Section 230.22 Accident Reports

This section, which retains therequirements of § 230.162 of the 1978standards, details when a railroad mustreport an accident involving a steamlocomotive boiler and/or appurtenance,how and to whom the report must bemade, and what information must beconveyed in the report.

Subpart B—Boilers and Appurtenances

Section 230.23 Responsibility forGeneral Construction and Safe WorkingPressure

This section makes the locomotiveowner and operator, both, jointly andseverally responsible for the generaldesign and construction of thelocomotive boiler. Section 230.1 of the1978 standards placed thatresponsibility on the ‘‘railroadcompany.’’ This change, made onaccount of the changes which haveoccurred in the steam locomotiveindustry since the original steam ruleswere promulgated, places responsibilityfor the locomotive on the locomotiveowner and/or operator, the parties in thebest position to assume thatresponsibility. Under this rule,responsibility is affixed on thelocomotive owners and operatorsregardless of whether they are railroadcompanies.

Allowable Stress

Section 230.24 Maximum AllowableStress

This section, while not substantivelychanging § 230.2 of the 1978 standards,rephrases some of the wording in orderto help clarify and eliminate anyambiguities or confusion arisingthereunder.

Section 230.25 Maximum AllowableStress on Stays and Braces

Other than removing the distinctionbetween locomotives constructed beforeand after 1915, which the task force andFRA both believe is no longer relevant,this section is substantially the same as§ 230.3 of the 1978 standards.

Strength of Materials

Section 230.26 Tensile Strength ofShell Plates

This section of the final rule adopts,without change,§ 230.4 of the 1978standards.

Section 230.27 Maximum ShearingStrength of Rivets

This section of the final rule adopts,without change, § 230.5 of the 1978standards.

Section 230.28. Higher ShearingStrength of Rivets

This section of the final rule adopts,without change, § 230.6 of the 1978standards.

Inspection and Repair

Section 230.29 Inspection and RepairThis section combines the concepts

embodied in §§ 230.7 and 230.12 of the



1978 standards. The task forcerecommended changing the partycharged with responsibility forinspection and repair of the locomotiveboiler from the ‘‘mechanical officer incharge at each point where boiler workis done’’ to the steam locomotive ownerand/or operator. FRA agreed to make therecommended changes in this sectionbecause few steam operations still havechief mechanical officers, and theagency wanted to make ‘‘liability’ asconsistent as possible throughout therule. This section also requires thelocomotive owner and/or operator toremove a locomotive boiler from servicewhenever they, or the FRA inspector,considers it necessary due to thepresence of other defects. The task forceoriginally had some concern about FRAinspectors’ exercise of discretion in thisarena. However, it was agreed that theagency will act in good faith and do itsbest to minimize any disruption of theoperator’s service whenever suchconcerns arise. The task force alsorecommended that FRA allow for non-destructive testing in the investigationof any ‘‘safety concerns’’ identified.

This section also makes more specificthe repair standard in § 230.12 of the1978 standards, requiring that alldefects disclosed be repaired inaccordance with accepted industrystandards. These ‘‘accepted industrystandards’’ include established railroadpractices, or NBIC or API establishedstandards. See section IX(D), above, fora discussion of the meaning of‘‘established railroad practices.’’ Thissection also replaces the ‘‘satisfactorycondition’’ repair standard of the 1978standard’s § 230.12 with therequirement that a locomotive boilermay not be returned to service unless itis in good condition and ‘‘safe andsuitable for service.’’

Finally, this section requires thatwelded repairs to unstayed portions ofthe boiler made pursuant to § 230.33 beperformed in accordance with anaccepted national standard for boilerrepairs.

Section 230.30 Lap-Joint Seam Boilers

This section clarifies and eliminatesambiguous language in § 230.13 of the1978 standards by explaining that‘‘examined with special care’’ meansremoving enough lagging, jacketing,flues and tubes so that a thoroughinspection of the entire joint (inside andout) can be made. FRA does not intendfor this section, which is otherwiseunchanged from the 1978 standards, torestrict the use of modern technologywhich may allow a ‘‘thoroughinspection’’ to be performed without

having to disassemble so much of thelocomotive.

Section 230.31 Flues To Be Removed

This section revises the time periodwithin which locomotive owners and/oroperators must remove all flues oflocomotive boilers and conduct athorough inspection of the boiler.Section 230.10 of the 1978 standardsrequired that flue removal andinspection be done at least once everyfour (4) years. This section allows thelocomotive owner and/or operator toleave the superheater flues in the boilerand perform the inspection using NDEmethods to assess their condition,provided two conditions are satisfied.These conditions are: (1) that the NDEtesting shows that the superheater fluesare safe and suitable for locomotiveservice; and (2) that the boiler can beentered to be cleaned and inspectedwithout their removal. However, underthis section, the locomotive owner and/or operator will still be required toremove the superheater flues if they—orthe FRA inspector—believe doing so isnecessary for some identifiable safetyconcern.

This section also deletes the provisionin the 1978 standards that authorizedFRA to grant extensions of the timeperiod within which flues must beremoved. The task force felt that the 15-year ‘‘drop dead’’ time limit forconducting the 1472 service dayinspection should be the absolutemaximum amount of time a steamlocomotive may operate without havingthe flues removed. Under the 1978standards, operators who were requiredto remove their locomotive flues onceeach four years (which could becomefive years with the use of ‘‘out of servicecredit’’) could receive flue removalextensions of as much as thirteen years.Since this section allows the timeperiod between flue removals to bestretched out to a maximum of 15 years,the task force felt that no furtherextensions were necessary.

As discussed above in section IX(E),the task force strongly believes thatoperators should be encouraged to takeadvantage of new technologies in theuse and operation of steam locomotives.By allowing the operator to leavesuperheater flues in the boiler as long asit could be determined that they weresafe and suitable for service withoutremoving them, the task force felt it wascreating an incentive for operators toutilize the latest NDE methods inmaking that determination.

Section 230.32 Time and Method ofInspection

This section combines the boilerinspection requirements previouslycontained in §§ 230.9, 230.11, 230.15and 230.16 of the 1978 standards, andrewrites them for clarity. The task forcefelt that the various inspectionrequirements should be consolidatedinto one section and made moreexplicit.

Section 230.33 Welded Repairs andAlterations (New)

This section specifies when weldingmay be done on stayed and unstayedportions of the locomotive boiler.Subsection (a) requires the locomotiveowner and/or operator to obtain priorwritten approval of the FRA RegionalAdministrator before performing anywelding on unstayed portions of boilerscontaining alloy steel, or carbon steelwith a carbon content greater than .25percent. It also requires that anywelding so approved be conducted inaccordance with an accepted nationalstandard for boiler repairs. See sectionIX(D)(1), above, for a discussion of thisstandard.

Subsection (b) provides thatlocomotive owners and/or operatorsmust perform welding to unstayedportions of boilers containing carbonsteel not exceeding .25 percent carbonin accordance with an accepted nationalstandard for boiler repairs. Bothsubsections (a) and (b) require thelocomotive owner and/or operator tosatisfy the reporting requirements file anFRA Form No.19, Report of WeldedRepair, as discussed in § 230.20.

Subsection (c) restricts the use ofweld build up for wasted areas ofunstayed surfaces of the boiler. Alocomotive owner and/or operatordesiring to build up by weld wastedareas that exceed: (1) A total of 100square inches; or (2) the smaller ofeither 25 percent of the minimumrequired wall thickness or 1⁄2 inch mustsubmit a written request for approval tothe FRA. This subsection also prohibitsthe use of weld build up for wastedsheets that have been reduced to lessthan 60 percent of the minimumthickness required by these rules.

Subsection (d) prohibits theinstallation of flush patches of any sizeon unstayed portions of the boilerunless the locomotive owner and/oroperator has submitted a written requestfor prior approval to the FRA RegionalAdministrator.

Finally, subsection (e) allowslocomotive owners and/or operators toperform welded repairs or alteration onstayed portions of the boiler in



accordance with established railroadpractices or an accepted nationalstandard for boiler repairs. Inrecognition of the fact that manyoperations successfully use their ownwelding procedures on stayed portionsof the boiler, the task forcerecommended and FRA has agreed toallow locomotive owners and/oroperators to use established ‘‘railroadpractices’’ as an acceptable standard forwelding on stayed portions of the boiler.

As discussed in the preamble, FRAhas grave concerns about the quality ofthe welding being done on locomotiveboilers. By enacting these changes, theagency believes that it has establishedstandards that will improve safety whilestill providing operators with theflexibility critical to their businesssurvival by allowing them to makenecessary repairs without incurringunnecessary costs.

Section 230.34 Riveted Repairs andAlterations (New)

This section establishes theprocedures for performing rivetedrepairs and alterations on both unstayedand stayed portions of the locomotiveboiler. Under subsection (a), thelocomotive owner and/or operator isrequired to receive prior writtenapproval from the FRA RegionalAdministrator before making anyriveted alterations to unstayed portionsof the boiler. Any such riveting must bedone in accordance with establishedrailroad practices or an acceptednational standard for boiler repairs. Seethe analysis for § 230.29, above, for adiscussion of these repair standards.This subsection also requires thelocomotive owner and/or operator tosatisfy, at this time, the reportingrequirements listed in § 230.20.

Subsections (b) and (c) establishguidelines for riveting locomotiveboilers. Under these guidelines, allriveted repairs to stayed and unstayedportions of the boiler must be made inaccordance with established railroadpractices or an accepted nationalstandard for boiler repairs.

Pressure Testing of Boilers

Section 230.35 Pressure Testing (New)

This section sets a minimumtemperature requirement for theapplication of hydrostatic pressure tolocomotive boilers. The temperature ofthe locomotive boiler must be raised toat least 70 degrees Fahrenheit anytimeit is tested under hydrostatic pressure.This change, which incorporates theNBIC temperature standard, brings FRAstandards in accord with NBIC

standards, a change the task forcerecommended and FRA supports.

Section 230.36 Hydrostatic Testing ofBoilers

This section consolidates the 1978standards for the hydrostatic testing ofboilers and adds an additionalrequirement that the boiler temperaturemust be raised to between 70 and 120degrees Fahrenheit every time the boileris subjected to hydrostatic pressure.This change incorporates the NBICstandard for hydrostatic testing into thefederal regulations for steam locomotiveinspection. In its consideration of theseissues, the task force members weredivided over the purpose of thehydrostatic test, and the pressure atwhich such tests should be conducted.Many operators believe that the purposeof the hydrostatic test is merely to testthe boiler for leaks—not to see if theboiler is structurally sound at the timeof the test. To them, testing the boiler atthe MAWP, as calculated in the FRAForm No. 4, serves the requisite safetyfunction by disclosing leaks withoutunnecessarily stressing (andprematurely ruining) the boiler. Many inthe agency, however, felt strongly thatthe purpose of the hydrostatic test is totest the boiler’s integrity—to discloseweaknesses in the structure of the boilerthat have not yet developed into defects.They also felt strongly that noconvincing data had been presented thattesting a boiler at MAWP, as specifiedon the FRA Form No. 4, would providean equivalent level of safety. Becausethe parties could not reach a consensuson this provision, the agency hasdecided not to change the pressuretesting standard, keeping the requiredpressure for hydrostatic pressure testingat 25 percent above MAWP, as specifiedon the FRA Form No. 4.

Section 230.37 Steam Test FollowingRepairs or Alterations

This section adopts § 230.20 of the1978 standards, rewriting parts of it forgreater clarity. The one substantiverevision changes the pressure requiredfor the steam test from ‘‘not less than theallowed working pressure’’ to ‘‘between95 and 100 percent of the MAWP.’’ Thetask force decided that setting a lowerpressure limit would reduce the stresson the boiler without an accompanyingreduction in safety—that 95 to 100percent of MAWP would be adequate todisclose unsatisfactory conditions in thelocomotive boiler.

Staybolts

Section 230.38 Telltale HolesThis section consolidates the 1978

standards’ telltale hole provisions,§§ 230.23 and 230.26, and the ‘‘reducedbody’’ staybolt section from the ICCInterpretations in one section.Subsection (a) retain § 230.26 of the1978 standards but deletes, as moot, theapplication date. Subsection (b) is a newprovision written to import the ICCinterpretation for reduced bodystaybolts to part 230. Finally, subsection(c), derived from § 230.23 of the 1978standards, creates a stand aloneprovision for clarity and to emphasizethat telltale holes must be kept open atall times, except as required in § 230.41.

Section 230.39 Broken StayboltsThis section amends § 230.25 of the

1978 standards. Subsection (a)establishes the maximum number ofbroken staybolts allowed for eachlocomotive boiler. Under § 230.25 of the1978 standards, a locomotive boiler wasrequired to be taken out of service whenit developed two (2) broken or pluggedstaybolts adjacent to one another in anypart of the firebox or combustionchamber; when three (3) or morestaybolts were broken or plugged in acircle four (4) feet in diameter, or whenfive (5) or more were broken or pluggedin the entire boiler. This section changesthis standard by requiring that a boilerbe taken out of service when it developseither two (2) broken staybolts withintwenty-four (24) inches of each other, asmeasured inside the firebox orcombustion chamber on a straight line,or more than four (4) broken stayboltswithin the entire firebox andcombustion chamber combined.

The NBIC requires boilers with onebroken staybolt to be taken out ofservice and repaired. Although the taskforce wanted to comport these standardswith the NBIC, they decided torecommend that FRA allow for a secondbroken staybolt within twenty-four (24)inches in consideration of theoperational difficulties involved inimmediately taking a boiler out ofservice when one staybolt breaks.Because prolonged exposure in a slowlyprogressive fail mode turns exponentialas additional staybolts break, and inorder to minimize the overload onstaybolts in the area of the one whichhas broken, the task force alsorecommended and this section hasadopted a requirement that stayboltsadjacent to those that break be inspectedat the time the broken staybolt isreplaced.

Subsection (b), requires brokenstaybolts detected during the 31 service



day inspection to be replaced at thattime, and broken staybolts detectedbetween 31 service day inspections tobe replaced no later than 30 days fromthe date of detection. The task force,although recognizing that a strict timeperiod was required to ensure anadequate measure of safety, wanted totake into account the fact thatoperational realities that might preventowners and/or operators from repairingbroken staybolts immediately. Thissection reflects the task force consensusthat 30 days is a reasonable period oftime within which to make thenecessary repairs to the boiler andallows owners and/or operators to planwhen, within a 30-day time period, theywant to take the locomotive out ofservice and replace the broken bolts.This subsection also sets a requirement,consistent with the task force’srecommendation, that the locomotiveowner and/or operator replace brokenstaybolts eight (8) inches in length orless with staybolts drilled with telltaleholes three-sixteenths (3⁄16) to seventhirty-seconds (7⁄32) inch in diameterand not less than one and one quarter(11⁄4) inches deep in each end, or thathave holes three-sixteenths (3⁄16) toseven thirty-seconds (7⁄32) inch indiameter their entire length. Thisrequirement is based on the task force’sbelief that drilled bolts are useful inrevealing progressive failures beforethey reach catastrophic proportions.

Subsection (c) imports from the ICCInterpretations the definition of‘‘broken’’ staybolts as those that areleaking, plugged, or missing, in theinterest of consolidating andcentralizing all current steamlocomotive requirements.

Finally, subsection (d) prohibits theclosing of broken staybolt ends bywelding, forging or riveting This is inaccord with the ICC Interpretationsstating that telltale holes that areleaking, plugged, riveted over, ormissing, will be counted as brokenstaybolts. In this section, FRA hasimposed a stricter standard for brokenstaybolts as per the task force’srecommendation.

Section 230.40 Time and Method ofStaybolt Testing

This section consolidates therequirements for staybolt testingformerly found in §§ 230.21, 230.22,230.24 of the 1978 standards and theICC Interpretations. Because the 1978standards did not treat rigid stayboltsand flexible staybolts without capsdifferently, this section combines theserequirements into ‘‘staybolt testing’’general requirements. Since the testingrequirements for flexible staybolts with

caps are separate and distinct, theagency is not including them in theconsolidation of testing requirements.

Section 230.21 of the 1978 standardsrequired that staybolts be tested once amonth and immediately after everyhydrostatic test. In subsection (a), theagency has relaxed this requirementslightly by allowing the monthlyinspection to be conducted once eachthirty-one (31) service days. Therequirement that staybolts be testedfollowing each hydrostatic test isretained, but is more clearly explained.Subsection (a)(1) makes allowance forinaccessible staybolts that are drilledthrough their entire length. Under thisprovision, impediments making thestaybolts inaccessible (brickwork, gratebearers, etc.) need not be removed tohammer test the staybolts. The taskforce members agreed that, sincethrough-drilled staybolts would begin toleak if broken, safety would not besacrificed by granting owners and/oroperators a measure of flexibility in thetesting of such staybolts.

Subsection (b) spells out the generaltesting requirements for all forms ofstaybolts. In this subsection, the taskforce tried to combine all the different‘‘method of testing’’ provisions from the1978 standards (§§ 230.21–230.27). Therequirement that ‘‘not less than 95percent of the MAWP’’ must be appliedif staybolts are tested while the boilercontains water is a new one and reflectsthe task force’s consensus view.

Section 230.41 Flexible Staybolts withCaps

This section rewrites § 230.23 of the1978 standards for enhanced clarity andadds several new requirements.

Subsection (a) extends the timeinterval for removing the caps andinspecting flexible staybolts from onceevery two (2) years to every 5th annualinspection. This change was made inorder to provide owners and/oroperators additional flexibility withoutcompromising safety.

Subsection (b) has been rewritten forclarity and to eliminate superfluousinformation.

Subsections (c) and (d) incorporatethe provisions of § 230.23 of the 1978standards substantially unchanged butedit it for clarity, deleting repetitioustext and moving some text to moreappropriate sections. For example, the1978 requirement that the FRA FormNo. 3 be kept in the railroad company’soffice has been relocated to § 230.19, therecordkeeping section of this rule.

Section 230.42 Location of GaugesThis section adopts § 230.28 of the

1978 standards substantively unchanged

while editing it for purposes of clarityand understanding.

Section 230.43 Gauge SiphonThis section adopts § 230.29 of the

1978 standards without any substantivechange but rewrites it to enhance clarityand ease of compliance.

Section 230.44 Time of TestingThis section revises the requirements

of § 230.30 of the 1978 standards inorder to address the realities of modernsteam locomotive operations. Today, itis common practice for steamlocomotive owners and/or operators toremove gauges from their locomotives toprevent them from being stolen orvandalized. Sometimes the removedgauges are stored in conditions whichmay affect their calibration andaccuracy. Accordingly, this sectionimposes a requirement that gauges mustbe tested prior to being installed orreapplied. In addition, for purposes ofconsistency with the rest of the rule,this provision extends the time forperiodic testing of gauges from onceever three months to whenever a 92service day inspection is performed.Finally, as recommended by the taskforce, this section incorporates therequirement in § 230.30 of the 1978standards that gauges be testedwhenever any irregularity is reported.

Section 230.45 Method of TestingThis section provides a more

complete description of the approvedmethod for testing steam gauges thanthat found in the 1978 standards.

Section 230.46 Badge PlatesThis section retains § 230.32 of the

1978 standards in principle but correctsthe use of improper terminology bydeleting the term ‘‘boiler head’’ andreplacing it with the more correct term‘‘boiler backhead.’’

Section 230.47 Boiler NumberThis section retains § 230.33 of the

1978 standards in principle but rewritesthe text for clarity and to comport withthe ICC Interpretations.

Safety Relief Valves

Section 230.48 Number and CapacityWith the exception of two changes,

this section retains the requirements forthe number and capacity of locomotivesafety relief valves found in § 230.34 ofthe 1978 standards. Subsection (a)increases the relieving tolerance fromfive (5) to six (6) percent above theMAWP. The task force recommendedand FRA agreed to raise the tolerance tosix percent to reflect modern testingpractices. That figure was arrived at by



adding the manufacturer’s tolerance forthe safety valve itself (three (3) percent)and the industry standard from theASME 1952 Code for the testingtolerance for safety valves (an additionalthree (3) percent). This subsection alsomakes clear that FRA inspectors havethe authority to require proof of therelieving capacity for safety relief valveson steam locomotives.

Subsection (b) makes explicit therequirement that additional safety valvecapacity must be provided if thecapacity testing demonstrates the needto do so. In addition, this sectionacknowledges the use of theaccumulation test as a method fortesting safety valve capacity. However,in so doing, FRA is not expressing apreference that accumulation tests beused when determining safety reliefvalve capacity.

Section 230.49 Setting of Safety ReliefValves

In this section, FRA has made severalchanges to the requirements for settingsafety relief valves provided in § 230.35of the 1978 standards. First, this sectionimposes a new requirement that theindividual responsible for setting thesafety relief valves be ‘‘thoroughlyfamiliar with the construction andoperation of the valve being set.’’ Thiscompetency requirement was addedbecause the task force and FRA, whilerecognizing that modern safety valveshave seals which are certified by certainorganizations, did not want to officiallyrequire that the valves be reset by stateofficials. This section creates acompetency standard which requiresany person resetting safety valves to bethoroughly familiar with theirconstruction and operation.

This section also revises the ‘‘openingpressures’’ for safety relief valves in§ 230.35 of the 1978 standards byrequiring that at least one of the tworequired safety-relief valves open at apressure that is no greater than theMAWP. This rule changes the 1978provision, which required that bothvalves be set to open at pressures notexceeding 6 pounds above MAWP. Thischange reflects the task force consensusthat requiring one of the two safetyvalves to set to open at pressures notgreater than MAWP would achieve agreater level of safety. However, thissection does retain the 6 psi upper limitin § 230.35 of the 1978 standards for anyadditional safety valves utilized.

This section also revises theprocedure for setting safety valves in§ 230.35 of the 1978 standards. Therequirement that the water level be ‘‘notabove the highest gauge cock’’ has beenchanged to the equivalent requirement

that it not be ‘‘higher than 3⁄4 of thelength of the visible water glass, asmeasured from the bottom of the glass’’consistent with the changes to § 230.37of the 1978 standards made in this rule.See the analysis for § 230.51, below.

Finally, this section adds a newrequirement that the lowest set safetyrelief valve pressure be indicated on atag or label and attached to the steamgauge so that it may clearly be readwhile observing the gauge. Requiringthis insures that the locomotiveengineer and/or other crew members areprovided with notice of the pressuresetting of the safety relief valve, therebyallowing for easier detection of safetyvalve failure.

Section 230.50 Time of Testing

This section adopts the requirementsof § 230.36 of the 1978 standards whileincreasing the inspection time periodfrom three months to ninety-two (92)service days for consistency with rest ofthe inspection schedule.

Water Glasses and Gauge Cocks

Section 230.51 Number and Location

This section amends the requirementsfor water level indicating devicescontained in § 230.37 of the 1978standards to require that steamlocomotive boilers be equipped with atleast two water glasses, the lowestreading for which must be at least 3inches above the highest part of thecrown sheet. The use of gauge cocks inaddition to water glasses is notprohibited, but gauge cocks are nolonger mandatory. However, therequirement that any gauge cocksinstalled on a steam locomotive boilermust be properly located andmaintained is retained. These changesreflect the task force’s recommendationthat water level indicator standards bemodernized. The task force and FRAbelieve that water glasses are morereliable than gauge cocks, and easier touse since they do not require manualoperation. The task force also believesthat few operators know how tocorrectly manually operate gauge cocksanymore. The task force was alsoconcerned that gauge cocks screweddirectly into the backhead are morelikely to provide highly inaccuratereadings due to the phenomenon wherethe water rushes against the boilerbackhead and creates a surge effect,generating a reading that is artificiallyhigh. This requirement comports withthe NTSB’s recommendation followingits investigation into the boilerexplosion involving the GettysburgRailroad Company, that steamlocomotive boilers be equipped with a

second water glass, and with ASMEstandards, which no longer require thatnewly constructed boilers be equippedwith gauge cocks.

FRA and the task force are aware ofthe costs this change imposes uponsteam locomotive owners and/oroperators. They discussed at length theextra cost this requirement wouldimpose upon owners and/or operators,concluding that the extra measure ofsafety measure afforded justifies thefinancial burden imposed. In addition tothe enhanced safety factor, as onemember of the task force pointed out,since gauge cocks are no longer beingmanufactured, their replacement wouldbe extremely problematic and verycostly if any could even be found. Thetask force was also concerned thatlocomotive owners and/or operators beallowed sufficient time to make anynecessary changes to their locomotiveboilers. Accordingly, this sectionimplements the task force’srecommendation that implementation ofthis provision be delayed one year toprovide all affected parties withsufficient notice and sufficient time toadd the second water glass.

Section 230.52 Water Glass ValvesThis section adopts § 230.38 of the

1978 standards but rewrites it for thesake of clarity and to emphasize thefunctions the valves are designed tofulfill.

Section 230.53 Time of CleaningThis section requires water glass valve

and gauge cock spindles to be cleanedat every 31 service day inspection, andwhenever testing indicates that theapparatus is malfunctioning. Inaddition, this section revises the timeperiod in which this inspection must beperformed. It also adds a performancestandard for owners and/or operators tofollow, requiring them to clean thespindles when they have indicationsthat water glasses or gauge cocks are notfunctioning properly.

Section 230.54 Testing andMaintenance

This section rewrites § 230.40 of the1978 standards for clarity. The sectionalso explains the reasons for requiringthat water glasses be tested.

Section 230.55 Tubular Type Waterand Lubricator Glasses and Shields

This section revises § 230.41 of the1978 standards. Under the revisions,tubular type water glasses must berenewed at each 92-service dayinspection and water glasses must belocated and maintained so that theengine crews have an unobstructed view



of the water in the glass from theirproper positions in the locomotive cab.

This section is based on the taskforce’s collective experience that watertubes get thin and develop a risk ofbreaking after approximately 90 servicedays. These water glass placementrequirements complement, and giveeffect to the changes adopted in § 230.51of this rule.

Section 230.56 Water Glass Lamps

This section retains § 230.42 of the1978 standards without change,consistent with the task force’srecommendation.

Injectors, Feedwater Pumps, and FluePlugs

Section 230.57 Injectors andFeedwater Pumps

Subsection (b) of this section retains§ 230.43 of the 1978 standards, andsubsections (a) and (c) are new.Subsection (a) requires a steamlocomotive to be equipped with at leasttwo means of delivering water to theboiler, with—at a minimum—one of thetwo being a live steam injector.Subsection (b) incorporates languagefrom the ICC Interpretations whichrequire bracing to ‘‘avoid’’ vibration.The task force recommended changing‘‘avoid’’ to ‘‘minimize’’, believing it tobe a more realistic standard. Subsection(c) sets a requirement that injectors andfeedwater pumps be securely braced soas to minimize vibration.

Section 230.58 Flue Plugs

This section strengthens the rules forplugging flues contained in § 230.44 ofthe 1978 standards. When § 230.44 ofthe 1978 standards was firstpromulgated by the former InterstateCommerce Commission, it was designedto accommodate the locomotive ownerand/or operator’s business concerns byallowing them to plug their flues inorder to continue in operation until thenearest repair point where the fluecould be repaired or replaced. The taskforce decided to recommend that FRAcontinue to allow flue pluggingprovided restrictions are placed on themanner in which flues may be pluggedin order to minimize the risk of fluefailures.

The task force was concerned becauseone failed flue will often be followed byadditional flue failures since flues aretypically replaced all at once, and aretherefore exposed to similar stressors.Accordingly, this section allows onlyone flue to be plugged at any time andrequires any such plugged flue to berepaired or replaced within 30 calendardays. In addition, the task force wanted

to distinguish between flues greater than21⁄4′′ in OD and flues equal to or smallerthan 21⁄4′′ in OD, and to prohibit theplugging of the latter. Subsection (b) ofthis section is largely derived from§ 230.44 of the 1978 standards, howeverit eliminates that section’s impliedallowance of plugging flues at one endonly, requiring instead that flues beplugged at both ends. The task force feltthat plugging a flue at one end wasinconsistent with the function pluggingis designed to accomplish.

Fusible Plugs

Section 230.59 Fusible PlugsThis section, incorporating the

provisions of § 230.14 of the 1978standards, imposes no new inspectionrequirements for steam locomotives onlocomotive owners and/or operators.Consistent with the comprehensivechanges made to the inspection schemein part 230, it relaxes the time frame inwhich fusible plugs must be removedand cleaned. It also adds therequirement that the removal be notedon the inspection report.

Washing Boilers

Section 230.60 Time of WashingThis section retains the inspection

and maintenance requirements of§ 230.45 of the 1978 standards. Inaddition, although not imposing anynew inspection requirements for steamlocomotives on locomotive owners and/or operators, this section does changethe minimum requirement formandatory boiler washes from onceeach month to every time that a 31-service day inspection is conducted.

In its review of the Gettysburg steamexplosion, the NTSB recommended thatthe agency consider regulating waterquality, specifically by imposing watertreatment program requirements. Thetask force strenuously debated this topicand concluded the boiler wash itselfwas the best method for addressingwater quality, especially since theregulation requires that the boiler bewashed as frequently as waterconditions require.

This section is based on FRA’sagreement with and adoption of the taskforce’s recommendation.

Section 230.61 Arch Tubes, Water BarTubes, Circulators and Thermic Siphons

This section expands therequirements of § 230.46 of the 1978standards by requiring, in addition toremoval, that the arch tubes and waterbar tubes be cleaned and inspected eachtime the boiler is washed. In addition,this section adds condemning limits forarch tubes and water bar tubes. Both of

these additions to this section arederived from the ICC Interpretations andreflect the task force’s desire toincorporate the Interpretations into thispart.

Finally, this section requires a NDEevaluation of arch tubes, water bar tubesand circulators during the annualinspection in order to assess reducedwall thickness. The task force wasconcerned about the cost this wouldimpose, and debated whether thisrequirement would prove too onerousfor smaller operations. They concluded,however, that ultrasonic testing isaffordable and that the increased safetylevels provided by this testing justifythe additional costs imposed on thelocomotive owners and/or operators.

Steam Pipes

Section 230.62 Dry Pipe (New)This section require locomotive

owners and/or operators to inspect drypipes that are subject to pressure duringeach annual inspection for the purposeof measuring the pipe wall thickness. Itestablishes a requirement that ownersand/or operators remove from serviceany dry pipes that are no longer‘‘suitable for the service intended.’’

Section 230.63 Smoke Box, SteamPipes and Pressure Parts (New)

Under this section, locomotiveowners and/or operators are required toinspect the smoke box, steam pipes andpressure parts at each annualinspection, or whenever conditions sowarrant. This section requires theperson performing the inspection toenter the smoke box and examine it forsigns of leaks from any of its pressureparts and to examine all draftappliances.

Steam Leaks

Section 230.64 Leaks Under LaggingThis section retains the concepts of

§ 230.49 of the 1978 standards withoutsubstantive change while rewriting thestandards for clarity and for ease ofcompliance.

Section 230.65 Steam Blocking View ofEngine Crew

This section retains the concepts of§ 230.50 of the 1978 standards withoutsubstantive change, but rewrites themfor clarity and for ease of compliance.

Subpart C—Steam Locomotives andTenders

Section 230.66 Design, Constructionand Maintenance

This section retains § 230.101 of the1978 standards with the onlysubstantive changes being those



required to take into account thechanged liability standard; see sectionIX(A).

Section 230.67 Responsibility forInspection and Repairs

This section amends § 230.102 of the1978 standards by making thelocomotive owner and/or operator theparty responsible for the inspection andrepair of all locomotives and tendersunder their control, instead of the chiefmechanical officer. In addition, thissection acts in conjunction with§ 230.23 by delineating the standard forrepairs and by requiring that alocomotive not be returned to serviceunless in good condition and safe andsuitable for service.

Speed Indicators

Section 230.68 Speed Indicators (New)

This section requires all steamlocomotives that operate at speeds inexcess of 20 miles per hour over thegeneral system of transportation to beequipped with speed indicators that aremaintained to ensure properfunctioning. The task force discussed(and wanted to address) the interplaybetween this part and part 240’sengineer certification standards.Because locomotive engineers may bedecertified for certain speed-relatedviolations, the task force felt that steamlocomotives that operate at more than20 miles per hour should be equippedwith speed indicators.

Ash Pans

Section 230.69 Ash Pans

This section adopts § 230.105 of the1978 standards without substantivechange, but rewrites it for the sake ofclarity and for ease of compliance.

Brake and Signal Equipment

Section 230.70 Safe Condition

This section adopts § 230.105 of the1978 standards without substantivechange but rewrites it for the sake ofclarity and for ease of compliance.

Section 230.71 Orifice Testing ofCompressors

This section retains § 230.107 of the1978 standards but reorganizes andrewrites it for clarity. In addition,consistent with the comprehensivechanges in the inspection scheme inpart 230, it lengthens the time withinwhich compressors must be orifice-tested from once each three months, toonce each 92 service days. Finally, itexpands the table listing the testingcriteria to include the commonly used120 LP Westinghouse compressor.

Section 230.72. Testing MainReservoirs

Subsection (a) of this section retainsthe requirements of § 230.108 of the1978 standards but rewrites them forclarity.

Subsections (b) through (d) of thissection are new. Subsection (b)incorporates part 229’s allowance fordrilling of certain specified weldedmain reservoirs. The task force felt thatdrilling was a good idea because itfacilitates reservoir failures in a non-catastrophic manner. This section islargely derived from § 229.31 andreflects the task force’s desire toharmonize these sections whereverpossible. Subsection (c) is intended toencourage the use of appropriate NDEmethods for testing the wall thickness ofthe welded main reservoirs. It alsoprovides for NDE testing of weldedmain reservoirs without longitudinal lapseams rather than the more destructivehammer and hydrostatic testingotherwise required. The formula for thecondemning limits for welded mainreservoirs is derived from the ASMESection VIII, Div I. The spacing for thesampling points is derived from§ 229.31.

Finally, under subsection (d), NDEtesting of welded or riveted longitudinallap seam main reservoirs is required.While the task force seriously debatedrecommending that the use of lap seammain reservoirs be prohibited, they feltthat there wasn’t a strong enough safetybasis for justifying this action. Theirconcerns were further eased by thebelief that lap seam main reservoirs willeventually be phased out for economicreasons.

Section 230.73 Air Gauges

This section adopts, with minorsubstantive changes, § 230.109 of the1978 but reorganizes and rewrites it forclarity. Part of the comprehensivechanges made to the inspection schemein part 230, it increases the time framefor performing required air gauge testingfrom once each three months to the 92service day inspection. It also adds arequirement that gauges be tested priorto reinstallation. The task forcerecommended that gauges that areremoved be retested because they wereconcerned about the impacts the gaugesmay sustain in handling and storagewhile off the locomotive. The method oftesting required by this section isidentical to that found in § 230.109 ofthe 1978 standards.

Section 230.74 Time of Cleaning

This section modifies § 230.110 of the1978 standards by broadening the scope

of the section to include all valves in theair brake system, by specifying a testingprocedure, and by relaxing the timeframe for conducting the inspection.The task force recommendedreconciling this section, to the greatestextent possible, with § 232.10. Anumber of task force members wereconcerned about requiring this cleaningtoo frequently, based on theirexperience that the cleaning processitself can adversely affect the properfunctioning of the valves. Experiencehas shown that once the system isopened to clean the valves, dirt can getin and be distributed throughout,seriously affecting the integrity of thesystem. The task force discussed variouscleaning intervals. These ranged fromonce every six months (the 1978standard) to once each fifth annualinspection; the task force ultimatelysettled on a recommended intervalbetween cleanings of between onceevery 368 service days and at everysecond annual inspection.

Section 230.75 Stenciling Dates ofTests and Cleaning

This section retains the provisions of§ 230.111 of the 1978 standards butrewrites them for clarification. Inaddition, the requirement that testingdates be stamped on metal tags andattached to the locomotive is deleted.

Section 230.76 Piston TravelThis section adopts § 230.112 of the

1978 standards without substantivechange.

Section 230.77 Foundation Brake GearThis section adopts § 230.113 of the

1978 standards without substantivechange.

Section 230.78 LeakageThis section retains the provisions of

§ 230.114 of the 1978 standards withoutsubstantive change, while identifyingspecific inspection time periods andrequirements in the rule text.

Section 230.79 Train Signal SystemThis section retain § 230.115 of the

1978 standards with minor changes. Inaddition, it recognizes other forms of‘‘onboard communication’’ and relaxesthe train signal system testingrequirements from before each tripmade to the beginning of each day thelocomotive is used.

Cabs, Warning Signals, and Sanders

Section 230.80 CabsThis section changes § 230.116 of the

1978 standards by removing all the cabcurtain requirements and rewriting thestandards for clarity. Subsection (a)



incorporates the general provisionsection of the 1978 standards whileupdating the requirements to track part229’s cab condition language. The taskforce discussed the language relating tothe cab climate at length and agreed totry and draft a performance standard forthe cab rather than select temperatureranges and specific environmentcontrols. The task force also decided todelete all the cab curtain requirementsbecause they believed that the curtainsdon’t adequately keep temperature inthe proper range, and that theperformance standard in subsection (a)was a better way to achieve the desiredoutcome. This section’s requirementthat the environment not ‘‘unreasonablyinterfere with the engine crew’sperformance of duties under ordinaryconditions of service’’ establishes aperformance standard the locomotivecab climate must be in compliance with.Therefore, a cab with poor ventilationthat gets so hot that it causes the enginecrew to get sleepy or otherwise affectstheir performance of required dutieswould be in noncompliance with thissection. The ‘‘ordinary conditions ofservice’’ language, however, takes intoaccount those conditions that areunavoidable in steam locomotiveservice such as the extreme amount ofheat from the locomotive boiler fire box.The task force wanted to make clear itsbelief that only those cab conditionsthat are ‘‘abnormal’’ for steamlocomotive service should constitutenoncompliance with this section. Thetask force wanted to move toward a‘‘common sense’’ perspective on cabconditions that would simultaneouslybe enforceable yet not unreasonablyinterfere with steam locomotiveoperations.

Subsection (b) addresses the issue ofsteam pipes in the locomotive cab. Thissection retains most of § 230.116 of the1978 standards but makes more specificthe ‘‘double strength pipe’’ description.The task force recommended that theminimum standard for these pipes bespecified as ‘‘schedule 80’’ to conformwith the more common industryterminology. All other subsections of§ 230.116 of the 1978 standards havebeen deleted as unnecessary.

Section 230.81 Cab ApronsThis section expands the

requirements of § 230.117 of the 1978standards by delineating standards forthe width of the apron. Concerned aboutthe risk of serious injury or deathresulting from an individual standing ona cab apron getting caught between thelocomotive and tender, the task forcewanted to incorporate the ICCInterpretations regarding apron width.

Requiring cab aprons be of a minimumwidth eliminates the danger of theapron dropping between the locomotiveand tender if a knuckle breaks or thedrawbar becomes disconnected and thesafety chains are stretched taut.

Section 230.82 Fire Doors

This section eliminates therequirement in § 230.118 of the 1978standards that all locomotives havemechanically operated fire doors. Thetask force decided to recommend doingso because some smaller locomotivescannot be equipped with them. The taskforce considered making themechanically operated fire doorrequirement contingent upon the weightof the locomotive, and the agencyrequested—but did not receive—comments on this issue. Because nocomments were received on this issue,FRA has decided to simply eliminatethe requirement that all steamlocomotives be equipped withmechanically operated fire doors.However, this section does not prohibitthe use of such mechanically operatedfire doors.

In addition, the task forcerecommended and FRA has agreed tothe deletion of subsections (b) and (c) of§ 230.118 of the 1978 standards, relatingto stokers.

Section 230.83 Cylinder Cocks

This section retain § 230.119 of the1978 standards without substantivechange, but edits it for clarity and easeof compliance.

Section 230.84 Sanders

This section retains § 230.120 of the1978 standards without substantivechange, but rewrites it for clarity and,consistent with the changes to the pre-departure inspection concept made inthis rule relaxes the inspection timeperiod from at the beginning of each tripto the beginning of each day thelocomotive is used.

Section 230.85 Audible WarningDevice

This section modernizes § 230.121 ofthe 1978 standards by replacing itswhistle requirement with a requirementthat steam locomotives be equippedwith audible warning devices. Thedecibel thresholds and the methodologyfor measuring the sound level aredirectly derived from § 229.129, whichspecifies the standards for audiblewarning devices for locomotives otherthan steam locomotives.

Lights

Section 230.86 Required Illumination

This section retains the requirementsin §§ 230.129 and 230.131 of the 1978standards but consolidates and editsthem for clarity. In addition, this sectioneliminates the distinction made in the1978 standards between locomotives inyard service and those in road service.FRA has done so, consistent with thetask force’s recommendation, since anyjustification for differentiating betweenroad and yard locomotives disappearedwhen the nature of steam locomotiveoperations changed.

Section 230.87 Cab Lights

While retaining § 230.132 of the 1978standards essentially unchanged, thissection extends the coverage to alllocomotives, instead of merely thoseused between sunset and sunrise. Thetask force recommended doing so inorder to address those operatingcircumstances that might arise during‘‘daylight’’ hours, making it difficult, ifnot impossible, for the engine crew toobserve unlit control instruments,gauges, and meters.

Throttle and Reversing Gear

Section 230.88 Throttles

This section restates the provisions of§ 230.156 of the 1978 standards withoutsubstantive change.

Section 230.89 Reverse Gear

This section retains parts of § 230.157of the 1978 standards but reorganizesand rewrites it for clarity and ease ofcompliance. Subsection (a) retains thegeneral language that appears beforesubsection 230.157(a) of the 1978standards. However, based on the taskforce’s experience that many steamlocomotives in service today operatesafely without power-operated reversegear, subsections (a) and (b) of the 1978standards have been deleted. As the taskforce observed, power-operated reversegears can be dangerous as well. The taskforce considered attaching a weightrestriction to this requirement butconcluded that the problem would beself-regulating since it would beimpractical to move certain locomotiveswith manual reverse operating gear.Subsections (b) and (c) are derived fromsubsection 230.157(c) of the 1978standards.

Draw Gear and Draft Systems

Section 230.90 Draw Gear BetweenSteam Locomotive and Tender

Subsection (a) of this section retainsmost of the requirements of subsection§ 230.122(a) of the 1978 standards



unchanged but adds a requirement thatNDE testing of draw pins and drawbarsbe done during every annual inspection.This section also requires that anadditional NDE testing method be usedwhen a visual inspection fails todisclose any defects. The task force,wishing to balance industry’s concernsabout requiring this test too frequentlywith safety considerations,recommended FRA require the use ofbetter technology as a condition forextending the inspection time-periodfrom three months to one year. Thissection adopts the task force’srecommendation.

Subsection (b) of this section modifiesthe 1978 standards requirements forsafety bars or chains and their relativestrength. Some task force members tookissue with the reference in the 1978standards to ‘‘two or more safety bars orsafety chains,’’ observing that somelocomotives are designed with one (1)safety bar. The consensus was that theold rule addressed those instanceswhere smaller draw bars take the placeof safety chains and not the doubledrawbar design whereby the drawbarthat normally bears no load is, in fact,a safety bar. In addition, this sectionincorporates the ICC interpretation ofthe 1978 standard’s ‘‘ample strength’’ asrequiring that the combined strength ofsafety chains or bars and their fasteningsbe at least 50 percent of the strength ofthe drawbar and its connections.

Subsections (c), (d), and (e) of thissection retain subsections (c), (d), and(e) of § 230.122 of the 1978 standardswithout change.

Section 230.91 Chafing Irons

This section retains the requirementsof § 230.123 of the 1978 standardswithout substantive change but edits itfor clarity and for ease of compliance.

Section 230.92 Draw Gear and DraftSystems

This section retains the requirementsof § 230.124 of the 1978 standardswithout substantive change but expandsit to cover couplers as well.

Driving Gear

Section 230.93 Pistons and PistonRods

This section basically retains therequirements of § 230.127 of the 1978standards but revises it by eliminatingthe stamping requirement for rods andby adding standards for fasteners. Thetask force debated whether or not amechanism for tracing materials shouldbe retained, concluding that part 230should not require it. The task forcediscussed issuing a ‘‘recommended

practices’’ handbook for steamlocomotive operators (not part of thisrule) in which traceability of materialswould be discussed.

Section 230.94 Crossheads

This section retains the requirementsof § 230.125 of the 1978 standardswithout substantive change but editsthem for clarity and ease of compliance.

Section 230.95 Guides

This section retains the requirementsof § 230.126 of the 1978 standardswithout substantive change.

Section 230.96 Main, Side, and ValveMotion Rods

Subsection (a) of this section retainsthe requirements in subsection (a) of§ 230.128 of the 1978 standards withoutsubstantive change but edits them forclarity.

Subsection (b) of this section revises§ 230.128 of the 1978 standards toexpressly allow welding of main, sideand valve motion rods, subject to FRAapproval of requests to do so. The taskforce debated how to best regulate thewelding methodology and concludedthat requiring the welding in accordancewith an accepted national standard wasthe easiest and most thorough way to doso. The task force concluded that thissection should be in conformity with§ 230.33 of these proposed standards.See the analysis of welding concerns inthat section which mirrors the taskforce’s discussion of this subsection.

Subsection (c) of this sectionincorporates subsection (c) of § 230.128of the 1978 standards in its entirety and,for clarity, adds a sentence to addressfloating bushings.

Subsection (d) of this section retainsthe requirements of subsection (d) of§ 230.128 of the 1978 standards withoutchange.

Subsection (e) of this section retainsthe requirements of subsection (e) of§ 230.128 of the 1978 standards butedits it for the sake of clarity.

Subsection (f) of this section retainthe requirements in subsection (f) of§ 230.128 of the 1978 standards withoutchange.

Subsection (g) of this section retainsthe requirements of subsection (g) of§ 230.128 of the 1978 standards withoutchange.

This section, in accordance with theelimination of any distinction betweenroad and yard service, deletes therequirements found in subsections (h)and (i) of § 230.128 of the 1978standards. As discussed previously,FRA believes that the justification fortreating these types of service differentlyno longer exists.

Section 230.97 Crank Pins

Subsection (a) of this section changesthe requirements of § 230.136 of the1978 standards, eliminating thestamping requirement, consistent with§ 230.92 of this proposal. The task forcefelt very strongly that there was no needto have the application date stamped onthe pin, since there is no apparentreason for anyone to need to know theapplication date.

This subsection also expands theprohibition for shimming or prickpunching to include a ban on ‘‘securingthe fit of a loose crank pin by shimming,prick punching, or welding.’’

Subsection (b) of this section adoptsthe requirements of subsection (b) of§ 230.136 of the 1978 standardsessentially as is except for changing theword ‘‘bolts’’ to ‘‘fasteners.’’ Thischange is non-substantive and reflectsthe acceptable use of other mechanismsas fasteners.

Running Gear

Section 230.98 Driving, Trailing, andEngine Truck Axles

This section retains the requirementsof § 230.133 of the 1978 standards withminor substantive changes: editing andreorganizing it for clarity and for ease ofcompliance. This section also relaxesthe wear allowance on secondarydriving axles. The task force decided torecommend making this change in orderto bring the regulation in line with theirown operational experiences.

Section 230.99 Tender Truck Axles


Section 230.100 Defects in TenderTruck Axles and Journals


Section 230.101 Steam LocomotiveDriving Journal Boxes.

This section retains the requirementsof § 230.137 of the 1978 standardswithout substantive change butreorganizes and edits the requirementsfor clarity and for ease of compliance.

Section 230.102 Tender Plain BearingJournal Boxes (New)

This section establishes condemninglimits for plain bearing journal boxes,consistent with the task force’srecommendation. The task force’srecommendations were based on itscollaborative efforts to identify thoseissues that could affect the operationalintegrity/function of the journal.



Section 230.103 Tender Roller BearingJournal Boxes (New)

This section imposes maintenancerequirements for tender roller bearingjournal boxes, consistent with the taskforce’s recommendation. The task forcefelt that imposing specific condemninglimits for roller bearing journal boxeswas unnecessary, believing that theperformance standard ‘‘safe andsuitable’’ would suffice.

Section 230.104 Driving Box Shoesand Wedges

This section adopts the provisions of§ 230.138 of the 1978 standards withoutchange.

Section 230.105 Lateral Motion

This section adopts the provisions of§ 230.140 of the 1978 standards withoutchange.

Trucks and Frames and EqualizingSystem

Section 230.106 Steam LocomotiveFrame

This section adopts the provisions of§ 230.139 of the 1978 but expands uponthem by allowing locomotive ownersand/or operators to operate steamlocomotives with broken frames,provided the frames are properlypatched or secured in a way thatrestores the rigidity of the frame.

Section 230.107 Tender Frame andBody

This section adopts the provisions of§ 230.152 of the 1978 standards andadds a section that establishescondemning limits for tender frames,consistent with the task force’srecommendation.

Section 230.108 Steam LocomotiveLeading and Trailing Trucks

This section retains the requirementsof § 230.143 of the 1978 standards but,consistent with the task force’srecommendations, modifies them torequire that all centering devices notpermit lost motion in excess of 1⁄2 inch.

Section 230.109 Tender Truck

This section adopts the provisions of§ 230.155 of the 1978 standards whileadding condemning defects for springsand a ‘‘safe and suitable’’ requirementfor truck centering devices (where thetender is so equipped).

Section 230.110 Pilots

This section retains the requirementsin § 230.141 of the 1978 standardswithout change but adds language tomake clear that minimum andmaximum clearances of the pilot above

the rail must be measured on tangentlevel track.

Section 230.111 Spring RiggingThis section adopts the requirements

in § 230.142 of the 1978 standards withminor revisions. This section changesthe 1978 standards to allow theadjusting of load weights by shiftingweights from one pair of wheels toanother and the repair of broken springswithin the condemning limits for springrigging by clipping, provided the clipscan be secured so as to stay in place.

Wheels and Tires

Section 230.112 Wheels and TiresThis section retains and consolidates

the 1978 standards of §§ 230.144,230.150, and 230.151 . Subsections (a),(b), and (c) adopt the requirements of§ 230.144 with a few modifications.Subsection (a) changes ‘‘pressed’’ to‘‘mounted.’’ This change was madebased on the task force’srecommendation that the rule take‘‘official’’ notice of the process ofshrinking wheels onto the axle. It wasfelt that acknowledgment of thispractice is not sufficiently provided byusing the term ‘‘pressed.’’ Subsection(b), add a sentence to address the issueof gage for track that is less thanstandard gage. The figures used werederived from back to back measurement.The task force debated whether torecommend that FRA include standardsfor ‘‘wide-flange’’ wheels but concludedthat the agency should wait to see if theuse of ‘‘wide-flange’’ wheels becomesmore prevalent before addressing theissue. FRA’s agrees with and hasadopted that recommendation. Finally,subsection (c) retains the requirementsin subsection (c) of § 230.144 of the1978 standards without change.

Subsections (d) and (e), although new,are derived from §§ 230.150 and 230.151of the 1978 standards. Subsection (d)adopts the provisions of § 230.151 of the1978 standards without substantivechange but rewrites them for enhancedclarity. Subsection (e) consolidates thestandards found in § 230.150(d) and (e)of the 1978 standards but edits them forclarity and ease of compliance.

Section 230.113 Wheels and TireDefects

This section retains the requirementsin §§ 230.145, 230.146, and 230.149 ofthe 1978 standards but consolidates andedits them to make the standards morespecific, to eliminate redundancies, andto enhance clarity.

Section 230.114 Wheel CentersThis section combines §§ 230.147 and

230.148 of the 1978 standards but

rewrites them to make the standardsmore specific and to address the issueof welding on wheel centers. The taskforce recommended that welding onwheel centers be allowed in accordancewith § 229.75(m) of the 1978 standards.This section is based on FRA’s adoptionof that recommendation.

Steam Locomotive Tanks

Section 230.115 Feed Water TanksThis section adopts the requirements

of § 230.153 of the 1978 standards,largely without change, but does somerewriting to enhance clarity and makethe requirements easier to comply with.Subsection (a) of this section changes§ 230.153 of the 1978 rule by requiringthat all locomotives, regardless of thedate of their manufacture or method ofuse, be equipped with a water levelmeasurement device capable of beingread from the cab or tender deck of thelocomotive. The task force felt that thiscould be done at a relatively low costand would eliminate the need for thelocomotive operator to climb atop thetender tank to check the water level. Inaddition, this section extends the timeperiod for inspecting feed water tanksfrom once each month to once each 92service days, consistent with the otherchanges made in the inspection schemeof this rule.

Section 230.116 Oil TanksThis section retains § 230.154 of the

1978 standards without substantivechange but rewrites it to enhanceclarity.

AppendicesFRA has included four appendices to

this rule. A brief description for each isprovided below.

Appendix A—Inspection RequirementsFRA is providing a simple reference

guide for those persons who will beconducting inspections required underthese regulations in this appendix. Thisreference guide does not modify thespecific requirements found in theparticular sections.

Appendix B—Drawings and DiagramsThis appendix provides—for

informational purposes only—a series ofdrawings and diagrams that are crossreferenced to various sections of therule. Each drawing or diagram visuallydemonstrates how the rule languageshould be applied. For example, onedrawing depicts shows how a measuringdevice should be used to take accuratemeasurements of objects such as wheelsto determine the size of flanges, flatspots, and broken rims for compliancepurposes.



Appendix C—Inspection FormsThis appendix contains examples of

the six forms being issued by FRA forthe purpose of recording compliancewith the inspection and repair activitiesin this rule. Use of these forms ismandatory since FRA is not allowingindividual operators to create their ownforms for recording this data. FRA willmake every effort to insure that theseforms are readily available to thoseparties required to use them.

Appendix D—Schedule of CivilPenalties

This appendix contains a penaltyschedule similar to those that FRA hasissued for its other regulations. FRAsuggests that those consulting thisappendix read FRA’s current policystatement concerning the manner inwhich the agency enforces the rail safetylaws. This policy statement is containedin Appendix A to 49 CFR part 209.

In addition, FRA is amending itsStatement of Agency Policy inAppendix A of part 209 to include asummary of its exercise of jurisdictionover tourist railroads. FRA hadproposed that this summary become anappendix to part 230. However,inserting the summary in FRA’s broaddiscussion of its jurisdiction in part 209is more logical.

Regulatory Impact

A. Executive Order 12866 and DOTRegulatory Policies and Procedures

This rule has been evaluated inaccordance with existing policies andprocedures, and determined to be non-significant under both Executive Order12866 and DOT policies and procedures(44 FR 11034; February 26, 1979). FRAhas prepared and placed in the docketa Regulatory Impact Analysis (RIA)addressing the economic impact of thisrule. Document inspection and copyingfacilities are available at 1120 VermontAvenue, NW, 7th Floor, Washington,DC. Photocopies may also be obtainedby submitting a written request to theFRA Docket Clerk at Office of ChiefCounsel, Federal RailroadAdministration, 400 Seventh Street, SW,Washington, DC 20590.

As part of the regulatory impactanalysis, FRA has assessed quantitativemeasurements of costs and benefitsexpected from the adoption of this rule.For a twenty year period the PresentValue (PV) of the potential societalbenefits is approximately $11.5 millionand the PV of the estimated quantifiedcosts is approximately $1.6 million. Amajority of the costs will result from thetransition from the former rule to thisrule. A majority of the savings will

result from the changes in theinspection frequencies under this rule’srequirements.

FRA anticipates that this rule will notonly reduce the federally mandatedburden for the average steam locomotiveowner/operator, but will also reduce therisk involved in steam locomotiveoperations. The PV of the net benefits is$9.94 million.

B. Regulatory Flexibility ActThe Regulatory Flexibility Act of 1980

(5 U.S.C. 601 et seq.) requires a reviewof proposed and final rules to assesstheir impact on small entities. FRA hasprepared and placed in the docket aRegulatory Flexibility Assessment (RFA)which assesses the small entity impact.Document inspection and copyingfacilities are available at 1120 VermontAvenue, 7th Floor, Washington, DC.Photocopies may also be obtained bysubmitting a written request to the FRADocket Clerk at Office of Chief Counsel,Federal Railroad Administration, 400Seventh Street, SW, Washington, DC20590.

FRA has published an interim policywhich formally establishes ‘‘smallentities’’ as being railroads which meetthe line haulage revenue requirementsof a Class III railroad. For other entities,the same dollar limit on revenues isestablished to determine whether arailroad shipper or contractor is a smallentity. FRA proposed to use thisalternative definition of ‘‘small entity’’for this rulemaking during the Notice ofProposed Rulemaking, and requestedcomments from the public on its use. Nocomments were received.

This RFA concludes, and FRAcertifies that this final rule is notexpected to have a significant economicimpact on a substantial number of smallentities. The significance of such impacton the potentially affected small entitiesvaries according to the current level ofmaintenance and inspection that asteam locomotive receives. Thus, anowner and/or operator of a steamlocomotive which has only beenmarginally maintained could besignificantly impact by this rule. Inorder to determine the significance ofthe economic impact FRA requestedcomments to the docket that would haveprovided additional data on theeconomic impact imposed by thisrulemaking. FRA received no commentsor additional data.

For this rulemaking there arepotentially 150 steam locomotives thatfall under the FRA’s jurisdiction whichcould be affected. These locomotives areowned by 82 operators. FRA estimatesthat somewhere between 85 and 95percent of these operators are small

entities. These operators primarily usetheir steam locomotives in a tourist,historic, excursion, scenic, or museumrailway operations. Since this regulationis primarily being imposed on smallentities, readers interested in furtherdetails about the impacts on theseentities beyond those noted in the RFA,should review the final rule’sRegulatory Impact Analysis (RIA) whichis also in the docket.

The impacts that this regulationwould have on the affected steamlocomotive operators will vary for the82 different operators. The impact willbe inversely proportional to the level ofinspection, maintenance and repair thateach steam locomotive has receivedprior to the implementation of this rule.Thus, steam locomotives that have beeninspected, maintained and repairedproperly should be impacted less thanone’s that have not. FRA estimates thatthe Present Value (PV) of the averagecost of this rule, per steam locomotive,is approximately $10,700 over twentyyears. One of the more significanteconomic impacts that will affect allsteam locomotives is the cost from thetransition from the former regulation tothe final rule. A revision which couldimpact a small quantity of steamlocomotives significantly each year isthe requirement for replacing brokenstaybolts. New equipment requirements,such as a second water glass, total lessthan $50,000 for all affected steamlocomotives over the twenty yearperiod.

Since this final rule impacts primarilysmall entities, most of the provisions init were formed with the recognition thatsmall operations would have to beburdened with its implementation andcost. In other words, all provisions ofthis rule considered the potentialimpact to small entities when consensuswas being formed on the rule-text.Because of this consideration, allrequirements for specific equipment(i.e., cab lights, water glass etc.) allowthe operators to have one year from theeffective date of the final rule toimplement these requirements.

The largest impact and the greatestsavings occur when a steam locomotivetransitions from the former regulation tothe final rule. Therefore,implementation for this is phased-ingradually. This requirement providessteam locomotive owners and operatorsthe flexibility necessary to bring theiroperations into compliance with therequirements of this final rule.

C. Small Business RegulatoryEnforcement Fairness Act of 1996

Pursuant to Section 312 of the SmallBusiness Regulatory Enforcement



Fairness Act of 1996 (Pub. L. 104–121),FRA is issuing a Small EntityCompliance Guide to summarize therequirements of this rule. The Guidewill be made available to all affectedsmall entities to assist them inunderstanding the actions necessary tocomply with the rule. The Guide will in

no way alter the requirements of therule but will be a tool to assist smallentities in the day-to-day application ofthose requirements.

D. Paperwork Reduction Act

The information collectionrequirements in this final rule have been

submitted for approval to the Office ofManagement and Budget (OMB) underthe Paperwork Reduction Act of 1995,44 U.S.C. 3501 et seq. The sections thatcontain the new information collectionrequirements and the estimated time tofulfill each requirement are as follows:

CFR section Respondentuniverse

Total annualresponses

Average time perresponse

Total annualburdenhours

Total annualburden cost

230.3—Implementation: Interim Flue Extensions 82 owners/opera-tors.

30 letters ............... 30 minutes ............ 15 $450

Petitions for Special Consideration ....................... 82 owners/opera-tors.

30 petitions ............ 1 hour .................... 30 1,020

Agency Silence ..................................................... 82 owners/opera-tors.

1 notification .......... 1 hour .................... 1 30

230.6—Waivers ..................................................... 82 owners/opera-tors.

2 waiver letters ...... 1 hour .................... 2 60

Grant of waiver filed for reassessment ................. 82 owners/opera-tors.

2 waiver letters ...... 1 hour .................... 2 60

230.12—Conditions for movement of Noncom-plying Locomotives.

82 owners/opera-tors.

10 tags .................. 6 minutes .............. 1 30

230.13—Inspection Reports: Recordkeeping ....... 82 owners/opera-tors.

3,650 forms ........... 2 minutes .............. 122 3,660

230.14—31 Service Day Inspection ..................... 82 owners/opera-tors.

100 reports ............ 20 minutes ............ 33 990

FRA Notification .................................................... 82 owners/opera-tors.

2 notifications ........ 5 minutes .............. .17 5

230.15—92 Day Service Inspection ..................... 82 owners/opera-tors.

100 reports ............ 20 minutes ............ 33 990

230.16—Annual Inspection ................................... 82 owners/opera-tors.

100 reports ............ 30 minutes ............ 50 1,500

FRA Notification .................................................... 82 owners/opera-tors.

100 notifications .... 5 minutes .............. 8 240

230.17—1472 Service Day Inspection (Form No.4).


15 forms ................ 30 minutes ............ 8 240

Recordkeeping (FRA Form 3) .............................. 82 owners/opera-tors.

15 reports .............. 15 minutes ............ 4 120

230.18—Service Day Report (FRA Form No. 5):Recordkeeping.


150 reports ............ 15 minutes ............ 38 1,140

230.19—Posting of Copy: Recordkeeping ........... 82 owners/opera-tors.

300 forms .............. 1 minute ................ 5 150

230.20—Alteration Reports for Steam Loco-motive Boilers (FRA Form No. 19).


5 reports ................ 1 hour .................... 5 150

230.21—Steam Locomotive Number Change ...... 82 owners/opera-tors.

5 documents ......... 2 minutes .............. .17 5

230.33—Welded Repairs and Alterations ............ 82 owners/opera-tors.

5 letters ................. 50 minutes ............ 1 30

Wastage and Flush Patches ................................. 82 owners/opera-tors.

2 letters ................. 10 minutes ............ 2 60

230.34—Riveted Repairs and Alterations ............ 82 owners/opera-tors.

37 requests ........... 5 minutes .............. 3 90

230.41—Flexible Staybolts with Caps: Record-keeping.


10 entries .............. 1 minute ................ .17 5

230.46—Badge Plates: Recordkeeping ................ 82 owners/opera-tors.

1 report .................. 30 minutes ............ .50 15

230.47—Boiler Number: Recordkeeping .............. 82 owners/opera-tors.

1 report .................. 15 minutes ............ .25 8

230.49 Setting of Safety Relief Valves ................. 150 steam loco-motives.

38 tags/labels ........ 1 minute ................ 1 30

230.75—Stenciling Dates of Tests and Cleaning:Recordkeeping.


54 tests ................. 1 minute ................ 1 30

230.96—Main, Side, Valve Rods .......................... 82 owners/opera-tors.

1 letter ................... 10 minutes ............ .17 5

230.98—Driving, Trailing, and Engine TruckAxles: Journal Diameter Stamped.

82 owner/operators 1 stamp ................. 15 minutes ............ .25 8

230.116—Oil Tanks .............................................. 82 owners/opera-tors.

150 signs ............... 1 minute ................ 3 90



All estimates include the time forreviewing instructions; searchingexisting data sources; gathering ormaintaining the needed data; andreviewing the information. Pursuant to44 U.S.C. 3506(c)(2)(B), the FRAsolicited comments concerning: whetherthese information collectionrequirements are necessary for theproper performance of the function ofFRA, including whether the informationhas practical utility; the accuracy ofFRA’s estimates of the burden of theinformation collection requirements; thequality, utility, and clarity of theinformation to be collected; andwhether the burden of collection ofinformation on those who are torespond, including through the use ofautomated collection techniques orother forms of information technology,may be minimized. For information ora copy of the paperwork packagesubmitted to OMB contact RobertBrogan at 202–493–6292.

Organizations and individualsdesiring to submit comments on thecollection of information requirementsshould direct them to Mr. RobertBrogan, Federal RailroadAdministration, 1120 Vermont Avenue,NW, Mail Stop 17, Washington, DC20590.

OMB is required to make a decisionconcerning the collection of informationrequirements contained in this final rulebetween 30 and 60 days afterpublication of this document in theFederal Register. Therefore, commentaddressed to OMB is best assured ofhaving full effect if OMB receives itwithin 30 days of publication. The finalrule will respond to any OMB or publiccomments on the information collectionrequirements contained in this proposal.

FRA is not authorized to impose apenalty on persons for violatinginformation collection requirementswhich do not display a current OMBcontrol number, if required. FRAintends to obtain current OMB controlnumbers for any new informationcollection requirements resulting fromthis rulemaking action prior to theeffective date of a final rule. The OMBcontrol number, when assigned, will beannounced by separate notice in theFederal Register.

E. Federalism ImplicationsThis rule will not have a substantial

effect on the states, on the relationshipbetween the national government andthe states, or the distribution of powerand responsibilities among the variouslevels of government. Preemption ofstate regulation in the area oflocomotive safety occurs as a result ofthe LBIA itself rather than through

FRA’s issuance of a rule. Therefore, thisrule, by itself, is not likely to increasethe preemptive effect of the LBIA.

In developing this rule through theRailroad Safety Advisory Committee(which includes representatives of Stateorganizations), FRA has fulfilled theobjectives of consultation underExecutive Order 13132 on Federalism.State representatives participated in thefull RSAC’s vote to recommend theproposed rule to the Administrator. FRAhas taken care in the rule to explain thatthe agency believes that statutorypreemption will not apply to insulartourist railroads over which FRA hasnever exercised jurisdiction.

F. Compliance With the UnfundedMandates Reform Act of 1995

Pursuant to the Unfunded MandatesReform Act of 1995 (Pub. L. 104–4) eachfederal agency ‘‘shall, unless otherwiseprohibited by law, assess the effects ofFederal Regulatory actions on State,local, and tribal governments, and theprivate sector (other than to the extentthat such regulations incorporaterequirements specifically set forth inlaw).’’ Section 201. Section 202 of theAct further requires that ‘‘beforepromulgating any general notice ofproposed rulemaking that is likely toresult in promulgation of any rule thatincludes any Federal mandate that mayresult in the expenditure by State, local,and tribal governments, in the aggregate,or by the private sector, of $100,000,000or more (adjusted annually for inflation)in any 1 year, and before promulgatingany final rule for which a general noticeof proposed rulemaking was published,the agency shall prepare a writtenstatement * * * detailing the effect onState, local and tribal governments andthe private sector.’’ The final rule issuedtoday will not result in the expenditure,in the aggregate, of $100,000,000 ormore in any one year, and thuspreparation of a statement was notrequired.

G. Public ProcedureIn accordance with Executive Order

12866, FRA provided 60 days forcomments. FRA believes that a 60 daycomment period was appropriate toallow parties with interests notrepresented on the Tourist and HistoricWorking Group of the Railroad SafetyAdvisory Committee to comment on thisrule. As noted earlier, FRA had notoriginally scheduled a public hearing,but held one in Corpus Christi, Texas onFebruary 4, 1999, in response to timelyreceived written requests to do so. FRAsolicited written comments on allaspects of this rule and changes to thisrule were made in response to

comments received in response to thisnotice.

List of Subjects

49 CFR Part 209Administrative practice and

procedure, Enforcement, Hazardousmaterials transportation, Penalties,Railroad safety.

49 CFR Part 230Penalties, Railroad safety, Reporting

and recordkeeping requirements, Steamlocomotives.

The RuleIn consideration of the foregoing, FRA

is amending Chapter II, Subtitle B ofTitle 49 of the Code of FederalRegulations as follows:

PART 209—[AMENDED]

1. The authority citation for part 209is revised to read as follows:

Authority: 49 U.S.C. 20102, 20103, 20104,20107, 20111, 20902, 21301–21311.

2. Appendix A to part 209 is amendedby inserting, just before the lastparagraph in the section headed, ‘‘TheExtent and Exercise of FRA’s SafetyJurisdiction,’’ the following:

Appendix A to Part 209—Interim Statementof Agency Policy Concerning Enforcement ofthe Federal Railroad Safety Laws* * * * *

THE EXTENT AND EXERCISE OF FRA’SSAFETY JURISDICTION

* * * * *FRA exercises jurisdiction over tourist,

scenic, and excursion railroad operationswhether or not they are conducted on thegeneral railroad system. There are twoexceptions: (1) operations of less than 24-inch gage (which, historically, have neverbeen considered railroads under the Federalrailroad safety laws); and (2) operations thatare off the general system and ‘‘insular’’(defined below).

Insularity is an issue only with regard totourist operations over trackage outside of thegeneral system used exclusively for suchoperations. FRA considers a tourist operationto be insular if its operations are limited toa separate enclave in such a way that thereis no reasonable expectation that the safetyof any member of the public’except abusiness guest, a licensee of the touristoperation or an affiliated entity, or atrespasser’would be affected by theoperation. A tourist operation will not beconsidered insular if one or more of thefollowing exists on its line:

• A public highway-rail crossing that is inuse;

• An at-grade rail crossing that is in use;• A bridge over a public road or waters

used for commercial navigation; or• A common corridor with a railroad, i.e.,

its operations are within 30 feet of those ofany railroad.



When tourist operations are conducted onthe general system, FRA exercisesjurisdiction over them, and all of FRA’spertinent regulations apply to thoseoperations unless a waiver is granted or arule specifically excepts such operations(e.g., the passenger equipment safetystandards contain an exception for theseoperations, 49 CFR 238.3(c)(3), even ifconducted on the general system). When atourist operation is conducted only on trackused exclusively for that purpose it is notpart of the general system. The fact that atourist operation has a switch that connectsit to the general system does not make thetourist operation part of the general systemif the tourist trains do not enter the generalsystem and the general system railroad doesnot use the tourist operation’s trackage forany purpose other than delivering or pickingup shipments to or from the tourist operationitself.

If a tourist operation off the general systemis insular, FRA does not exercise jurisdictionover it, and none of FRA’s rules apply. If,however, such an operation is not insular,FRA exercises jurisdiction over theoperation, and some of FRA’s rules (i.e.,those that specifically apply beyond thegeneral system to such operations) willapply. For example, FRA’s rules on accidentreporting, steam locomotives, and gradecrossing signals apply to these non-insulartourist operations (see 49 CFR 225.3, 230.2amd 234.3), as do all of FRA’s proceduralrules (49 CFR parts 209, 211, and 216) andthe Federal railroad safety statutesthemselves.

In drafting safety rules, FRA has a specificobligation to consider financial, operational,or other factors that may be unique to touristoperations. 49 U.S.C. 20103(f). Accordingly,FRA is careful to consider those factors indetermining whether any particular rule willapply to tourist operations. Therefore,although FRA asserts jurisdiction quitebroadly over these operations, we work toensure that the rules we issue are appropriateto their somewhat special circumstances.

* * * * *3. Part 230 is revised to read as

follows:

PART 230—STEAM LOCOMOTIVEINSPECTION AND MAINTENANCESTANDARDS

Subpart A—GeneralSec.230.1 Purpose and scope.230.2 Applicability.230.3 Implementation.230.4 Penalties.230.5 Preemptive effect.230.6 Waivers.230.7 Responsibility for compliance.230.8 Definitions.230.9 Information collection.


230.11 Repair of non-complying conditions.230.12 Movement of non-complying steam

locomotives.230.13 Daily inspection.230.14 Thirty-one (31) service day

inspection.

230.15 Ninety-two (92) service dayinspection.

230.16 Annual inspection.230.17 One thousand four hundred seventy-

two (1472) service day inspection.

Recordkeeping Requirements230.18 Service days.230.19 Posting of FRA Form No. 1 and FRA

Form No. 3.230.20 Alteration and repair report for

steam locomotive boilers.230.21 Steam locomotive number change.230.22 Accident reports.

Subpart B—Boilers and Appurtenances230.23 Responsibility for general

construction and safe working pressure.

Allowable Stress230.24 Maximum allowable stress.230.25 Maximum allowable stress on stays

and braces.

Strength of Materials230.26 Tensile strength of shell plates.230.27 Maximum shearing strength of

rivets.230.28 Higher shearing strength of rivets.

Inspection and Repair230.29 Inspection and repair.230.30 Lap-joint seam boilers.230.31 Flues to be removed.230.32 Time and method of inspection.230.33 Welded repairs and alterations.230.34 Riveted repairs and alterations.

Pressure Testing of Boilers230.35 Pressure testing.230.36 Hydrostatic testing of boilers.230.37 Steam test following repairs or

alterations.

Staybolts230.38 Telltale holes.230.39 Broken staybolts.230.40 Time and method of staybolt testing.230.41 Flexible staybolts with caps.

Steam Gauges230.42 Location of gauges.230.43 Gauge siphon.230.44 Time of testing.230.45 Method of testing.230.46 Badge plates.230.47 Boiler number.

Safety Relief Valves230.48 Number and capacity.230.49 Setting of safety relief valves.230.50 Time of testing.

Water Glasses and Gauge Cocks230.51 Number and location.230.52 Water glass valves.230.53 Time of cleaning.230.54 Testing and maintenance.230.55 Tubular type water and lubricator

glasses and shields.230.56 Water glass lamps.

Injectors, Feedwater Pumps, and Flue Plugs

230.57 Injectors and feedwater pumps.230.58 Flue plugs.

Fusible Plugs

230.59 Fusible plugs.

Washing Boilers

230.60 Time of washing.230.61 Arch tubes, water bar tubes,

circulators and thermic siphons.

Steam Pipes

230.62 Dry pipe.230.63 Smoke box, steam pipes and

pressure parts.

Steam Leaks

230.64 Leaks under lagging.230.65 Steam blocking view of engine crew.


230.66 Design, construction, andmaintenance.

230.67 Responsibility for inspection andrepairs.

Speed Indicators

230.68 Speed indicators.

Ash Pans

230.69 Ash pans.


230.70 Safe condition.230.71 Orifice testing of compressors.230.72 Testing main reservoirs.230.73 Air gauges.230.74 Time of cleaning.230.75 Stenciling dates of tests and

cleaning.230.76 Piston travel.230.77 Foundation brake gear.230.78 Leakage.230.79 Train signal system.

Cabs, Warning Signals, Sanders and Lights

230.80 Cabs.230.81 Cab aprons.230.82 Fire doors.230.83 Cylinder cocks.230.84 Sanders.230.85 Audible warning device.230.86 Required illumination.230.87 Cab lights.

Throttles and Reversing Gear

230.88 Throttles.230.89 Reverse gear.


230.90 Draw gear between locomotive andtender.

230.91 Chafing irons.230.92 Draw gear and draft systems.

Driving Gear

230.93 Pistons and piston rods.230.94 Crossheads.230.95 Guides.230.96 Main, side and valve motion rods.230.97 Crank pins.

Running Gear

230.98 Driving, trailing, and engine truckaxles.

230.99 Tender truck axles.230.100 Defects in tender truck axles and

journals.230.101 Steam locomotive driving journal

boxes.230.102 Tender plain bearing journal boxes.



1 Note: As an example, where a locomotive hasreceived a proper boiler inspection after September25, 1995 pursuant to §§ 230.10 and 230.11 of theregulations in effect prior to January 18, 2000 buthas not had its FRA Form No. 4 updated, thelocomotive owner or operator may update andverify the FRA Form No. 4 for that locomotive, andsubmit a timely petition that requests retroactivecredit for the boiler inspection. (See 49 CFR parts200–999, revised October 1, 1978.)

230.103 Tender roller bearing journalboxes.

230.104 Driving box shoes and wedges.230.105 Lateral motion.

Trucks, Frames and Equalizing System

230.106 Steam locomotive frame.230.107 Tender frame and body.230.108 Steam locomotive leading and

trailing trucks.230.109 Tender trucks.230.110 Pilots.230.111 Spring rigging.

Wheels and Tires

230.112 Wheels and tires.230.113 Wheels and tire defects.230.114 Wheel centers.


230.115 Feed water tanks.230.116 Oil tanks.

Appendix A to Part 230—InspectionRequirements

Appendix B to Part 230—Diagrams andDrawings

Appendix C to Part 230—FRA InspectionForms

Appendix D to Part 230—Civil PenaltySchedule

Authority: 49 U.S.C. 20103, 20701, 20702;49 CFR 1.49.

Subpart A—General

§ 230.1 Purpose and scope.

This part prescribes minimum Federalsafety standards for all steam-propelledlocomotives operated on railroads towhich this part applies. This part doesnot restrict a railroad from adopting andenforcing additional or more stringentrequirements not inconsistent with thispart.

§ 230.2 Applicability.

(a) Except as provided in paragraph(b) of this section, this part applies to allrailroads that operate steamlocomotives.

(b) This part does not apply to:(1) A railroad with track gage of less

than 24 inches;(2) A railroad that operates

exclusively freight trains and does soonly on track inside an installation thatis not part of the general system oftransportation;

(3) Rapid transit operations in anurban area that are not connected to thegeneral system of transportation; or

(4) A railroad that operates passengertrains and does so only on track insidean installation that is insular, i.e., itsoperations are limited to a separateenclave in such a way that there is noreasonable expectation that the safety ofthe public—except a business guest, alicensee of the railroad or an affiliatedentity, or a trespasser—would be

affected by the operation. An operationwill not be considered insular if one ormore of the following exists on its line:

(i) A public highway-rail crossing thatis in use;

(ii) An at-grade rail crossing that is inuse;

(iii) A bridge over a public road orwaters used for commercial navigation;or

(iv) A common corridor with anotherrailroad, i.e., its operations areconducted within 30 feet of those of anyother railroad.

(c) See appendix A of part 209 for acurrent statement of the FRA’s policy onits exercise of jurisdiction.

§ 230.3 Implementation.

Except as provided in paragraphs (a)through (c) of this section, thelocomotive owner and/or operator shallperform a 1472 service day inspectionthat meets the requirements of § 230.17when the locomotive’s flues would berequired to be removed pursuant to§ 230.10, of the regulations in effectprior to January 18, 2000. (See 49 CFRparts 200–999, revised October 1, 1978)At the time the locomotive owner and/or operator completes this inspection, itmust begin to comply with the rest ofthe provisions of this part. Up untilsuch time, and except as provided inparagraphs (a) through (c) of thissection, compliance with the regulationsin effect prior to January 18, 2000 (See49 CFR parts 200–999, revised October1, 1978) will constitute full compliancewith this part. Any interested personmay obtain the October 1, 1978 revisionof 49 CFR part s 200–999 by contactingthe Federal Railroad Administration,Office of Chief Counsel, 400 7th Street,SW, Washington, DC 20590.

(a) One year after January 18, 2000.The following sections of this part mustbe complied with by January 18, 2001:§§ 230.7, 230.51, 230.57, 230.68, 230.70,230.85, 230.87, 230.115, and 230.116.

(b) Interim flue removal extensions.FRA will continue to consider requestsfor flue removal extensions under theprovisions of § 230.10 of the regulationsin effect prior to January 18, 2000 (See49 CFR parts 200–999, revised October1, 1978) until January 18, 2002.

(c) Petition for special consideration.The locomotive owner or operator maypetition FRA for special considerationof this part’s implementation withrespect to any locomotive that has eitherfully or partially satisfied therequirements of § 230.17 within thethree (3) year period prior to September25, 1998—provided the locomotive is in

full compliance with § 230.17 by thetime the petition is actually filed.1

(1) Petition process. Petitions must befiled by January 18, 2001 and must beaccompanied by all relevantdocumentation to be considered,including a FRA Form No. 4 (seeappendix C of this part) that has beencalculated in accordance with § 230.17,and all records that demonstrate thenumber of days the locomotive has beenin service. Based upon thedocumentation provided, FRA willcalculate the number of ‘‘service days’’the locomotive has accrued and willnotify the petitioner of the number ofservice days that remain in thelocomotive’s 1472 service day cycle.Petitions should be sent to FRA by someform of registered mail to ensure arecord of delivery. FRA will investigatethese petitions and will respond to thesepetitions within one year of theirreceipt. FRA will send its response bysome form of registered mail to ensurethat a record of delivery is created. Inits response, FRA may grant the petitionor deny it. If FRA grants the petition, theentirety of the revised requirements willbecome effective upon receipt of FRA’sresponse, unless FRA’s responseindicates otherwise. If FRA denies thepetition, the rule will become effectiveas provided in the first paragraph of thissection.

(2) FRA silence. Anyone who does notreceive a response within one year ofthe date they filed their petition,whether through administrative orpostal error, must notify FRA that theresponse has not been received. Thenotification should be provided to FRAby some form of registered mail toensure a record of delivery. Uponreceipt of this notification, FRA willensure that a response is either issued,or re-issued, as soon as possible. In theinterim, however, any operator who is atthe end of their inspection cycle underthe rules in effect prior to January 18,2000 (See 49 CFR parts 200–999, revisedOctober 1, 1978) will be allowed toremain in service without conductingthe required inspection under § 230.17for an additional six months, or untilthey receive FRA’s decision, whicheveroccurs first.



§ 230.4 Penalties.(a) Any person who violates any

requirement of this part or causes theviolation of any such requirement issubject to a civil penalty of at least $500and not more than $11,000 perviolation, except that: Penalties may beassessed against individuals only forwillful violations, and, where a grosslynegligent violation or a pattern ofrepeated violations has created animminent hazard of death or injury topersons, or has caused death or injury,a penalty not to exceed $22,000 perviolation may be assessed. Each day aviolation continues shall constitute aseparate offense. See appendix A of part209 for a statement of agency civilpenalty policy.

(b) Any person who knowingly andwillfully falsifies a record or reportrequired by this part may be subject tocriminal penalties under 49 U.S.C.21311.

§ 230.5 Preemptive effect.The Locomotive Boiler Inspection Act

(49 U.S.C. 20701–20703) preempts allState laws or regulations concerninglocomotive safety. Napier v. AtlanticCoast Line R.R., 272 U.S. 605 (1926).However, FRA believes Congress didnot intend to preempt State laws orregulations concerning rail operationsover which FRA does not exercisejurisdiction. Therefore, in issuing thispart, it is FRA’s intent that State laws orregulations applicable to those railoperations to which this part does notapply (i.e., insular tourist operations)not be preempted.

§ 230.6 Waivers.(a) A person subject to a requirement

of this part may petition theAdministrator of FRA for a waiver ofcompliance with such requirement. Thefiling of such a petition does not affectthat person’s responsibility forcompliance with that requirement whilethe petition is being considered.

(b) Each petition for waiver under thissection must be filed in the manner andcontain the information required by part211 of this chapter.

(c) If the Administrator finds that awaiver of compliance is in the publicinterest and is consistent with railroadsafety, the Administrator may grant thewaiver subject to any conditions theAdministrator deems necessary. Wherea waiver is granted, the Administratorpublishes a notice containing thereasons for granting the waiver.

(d) All waivers of every form and typefrom any requirement of any order orregulation implementing theLocomotive Boiler Inspection Act, 36Stat. 913, as amended, 49 U.S.C. 20702,

applicable to one or more steamlocomotives, shall lapse on January 18,2000 unless a copy of the grant ofwaiver is filed for reassessment prior tothat date with the Office of Safety,Federal Railroad Administration, 400Seventh Street, Washington, DC 20590.FRA will review the waiver and notifythe applicant whether the waiver hasbeen continued.

§ 230.7 Responsibility for compliance.(a) The locomotive owner and/or

operator is directly responsible forensuring that all requirements of thispart are satisfied, and is the entityprimarily responsible for compliancewith this part.

(b) Although the duties imposed bythis part are generally stated in terms ofthe duties of a railroad or a steamlocomotive owner and/or operator, anyperson, including a contractor for arailroad, who performs any functioncovered by this part must perform thatfunction in accordance with this part.

(c) Chapter 207 of Title 49 of theUnited States Codes makes it unlawfulfor any railroad to use or permit to beused on its line any steam locomotive ortender unless the entire steamlocomotive or tender and its parts andappurtenances are in proper conditionand safe to operate in the service towhich they are put, withoutunnecessary danger of personal injuryand have been inspected and tested asrequired by this part.

§ 230.8 Definitions.As used in this part, the terms listed

in this section have the followingdefinitions:

Administrator. The Administrator ofthe Federal Railroad Administration orthe Administrator’s delegate.

Alteration. Any change to the boilerwhich affects its pressure retentioncapability. Rating changes areconsidered alterations.

ANSI. American National StandardsInstitute.

API. American Petroleum Institute.ASME. American Society of

Mechanical Engineers.Boiler surfaces. The boiler interior is

all the space inside a boiler occupied bywater or steam under pressure, and allassociated surfaces inside that spaceexposed to that water and steam. Theboiler exterior is the opposite surface ofall components directly exposed to theboiler interior. This includes the fireside of the firebox sheets.

Break. A fracture resulting incomplete separation into parts.

Code of original construction. Themanufacturer’s or industry code ineffect when the boiler was constructed.

If the exact code is not known, theclosest contemporary code may be usedprovided it does not pre-date theconstruction date of the boiler.

Crack. A fracture without completeseparation into parts, except thatcastings with shrinkage cracks or hottears that do not significantly diminishthe strength of the member are notconsidered to be cracked.

Dead locomotive. A locomotiveunable to produce tractive effort.

Fire. Anything that produces productsof combustion that heat transferringcomponents of the locomotive areexposed to.

FRA. The Federal RailroadAdministration.

Locomotive operator. Person or entitywhich operates, but which does notnecessarily own, one or more steamlocomotives. This term means, forpurposes of inspection and maintenanceresponsibility, the entity responsible forthe day-to-day operation of the steamlocomotive, or the delegate thereof. Thisentity may be a railroad or a person orpersons who operate a steam locomotiveunder contract for a railroad.

Locomotive owner. Person or entitywhich owns, but which does notnecessarily operate, one or more steamlocomotives that is operated on arailroad to which this part applies. Forpurposes of inspection and maintenanceresponsibility, this term includes thatentity’s delegate as well.

MAWP. Maximum allowable workingpressure as specified by the steamlocomotive specification FRA Form No.4. (See appendix C of this part.)

NBIC. National Board Inspection Codepublished by the National Board ofBoiler and Pressure Vessel Inspectors.

NDE. Non-destructive Examination.NPS. Nominal Pipe Size.Person. An entity of any type covered

under 1 U.S.C. 1, including but notlimited to the following: a railroad; amanager, supervisor, official, or otheremployee or agent of a railroad; anyowner, manufacturer, lessor, or lessee ofrailroad equipment, track, or facilities;any independent contractor providinggoods or services to a railroad; and anyemployee of such owner, manufacturer,lessor, lessee, or independentcontractor.

Railroad. Any form of non-highwayground transportation that runs on railsor electromagnetic guideways and anyentity providing such transportation,including commuter or other short-haulrailroad passenger service in ametropolitan or suburban area andcommuter railroad service that wasoperated by the Consolidated RailCorporation on January 1, 1979; andhigh speed ground transportation



systems that connect metropolitan areas,without regard to whether those systemsuse new technologies not associatedwith traditional railroads; but does notinclude rapid transit operations in anurban area that are not connected to thegeneral railroad system oftransportation.

Renewal. Replacement in kind with anewly manufactured or remanufactured(restored to original tolerances)component. Materials shall be suitablefor the service intended.

Repair. Any work which results in arestoration in kind.

Serious injury. An injury that resultsin the amputation of any appendage, theloss of sight in an eye, the fracture of abone, or the confinement in a hospitalfor a period of more than 24 consecutivehours.

Service day. Any calendar day thatthe boiler has steam pressure aboveatmospheric pressure with fire in thefirebox. In the case of a fireless steamlocomotive, any calendar day that theboiler has steam pressure aboveatmospheric pressure.

Stayed portion of the boiler. Thatportion of the boiler designed to requiresupport to retain internal pressure bythe addition of strength members, suchas staybolts, braces, diagonal stays,tubes, etc.

Steam locomotive. A self-propelledunit of equipment powered by steamthat is either designed or used formoving other equipment. This includesa self-propelled unit designed or used tocarry freight and/or passenger traffic.

Unstayed Portion of the Boiler. Thatportion of the boiler designed to be self-supported in retaining internal pressurewithout additional strength memberssuch as staybolts, braces, diagonal stays,tubes, etc.

Wastage. A reduction in the thicknessof a mechanical component, such as apipe or sheet.

§ 230.9 Information collection.(a) [Reserved].(b) The information collection

requirements are found in the followingsections: §§ 230.3, 230.12 through230.21, 230.33, 230.34, 230.41, 230.46,230.47, 230.75, 230.96, 230.98, and230.116.

§ 230.10 [Reserved]


§ 230.11 Repair of non-complyingconditions.

The steam locomotive owner and/oroperator shall repair any steamlocomotive that fails to comply with theconditions of this part, and shallapprove any such repairs made, before

placing the locomotive back intoservice.

§ 230.12 Movement of non-complyingsteam locomotives.

(a) General limitations on movement.A steam locomotive with one or morenon-complying conditions may bemoved only as a lite steam locomotiveor a steam locomotive in tow, except asprovided in paragraph (b) of thissection. Cars essential to the movementof the steam locomotive and tender(s),including tool cars and a bunk car, mayaccompany lite movements.

(b) Conditions for movement. Prior tomovement, the steam locomotive ownerand/or operator shall determine that itis safe to move the locomotive,determine the maximum speed andother restrictions necessary for safelyconducting the movement, and notify inwriting the engineer in charge of thedefective steam locomotive and, iftowed, the engineer in charge of thetowing locomotive consist, as well as allother crew members in the cabs, of thepresence of the non-complying steamlocomotive and the maximum speedand other movement restrictions. Inaddition, a tag bearing the words ‘‘non-complying locomotive’’ shall besecurely attached to each defectivesteam locomotive and shall contain thefollowing information:

(1) The steam locomotive number;(2) The name of the inspecting entity;(3) The inspection location and date;(4) The nature of the defect;(5) Movement restrictions, if any;(6) The destination; and(7) The signature of the person

making the determinations required bythis paragraph (b).

(c) Yard movements. A non-complying steam locomotive may bemoved lite or dead within a yard atspeeds not in excess of 10 miles perhour without meeting the requirementsof paragraph (b) of this section if themovement is solely for the purpose ofrepair. The locomotive owner and/oroperator is responsible for ensuring thatthe movement may be safely made.

(d) Non-complying conditionsdeveloped en route. The locomotiveowner and/or operator may continue inuse a steam locomotive that develops anon-complying condition en route untilthe next daily inspection or the nearestforward point where the repairsnecessary to bring it into compliancecan be made, whichever is earlier.Before continuing en route, the steamlocomotive owner and/or operator shalldetermine that it is safe to move thesteam locomotive, determine themaximum speed and other restrictionsnecessary for safely conducting the

movement, and notify in writing theengineer in charge of the defectivesteam locomotive and, if towed, theengineer in charge of the towing steamlocomotive consist, as well as all othercrew members in the cabs, of thepresence of the non-complying steamlocomotive and the maximum speedand other movement restrictions.

(e) Special notice for repair. Nothingin this section authorizes the movementof a steam locomotive subject to aSpecial Notice for Repair unless themovement is made in accordance withthe restrictions contained in the SpecialNotice.

§ 230.13 Daily inspection.

(a) General. An individual competentto conduct the inspection shall inspecteach steam locomotive and its tendereach day that they are offered for use todetermine that they are safe and suitablefor service. The daily inspection shall beconducted to comply with all sectionsof this part, and a daily inspectionreport filed, by an individual competentto conduct the inspection. Seeappendices A and B of this part.

(b) Pre-departure. At the beginning ofeach day the steam locomotive is used,an individual competent to do so shall,together with the daily inspectionrequired in paragraph (a) of this section,inspect the steam locomotive and itstender and appurtenances to ensure thatthey are safe and suitable for service,paying special attention to the followingitems:

(1) Water glasses and gauge cocks;(2) Boiler feedwater delivery systems,

such as injectors and feedwater pumps;and

(3) Air compressors and governors,and the air brake system.

(c) Inspection reports. The results ofthe daily inspection shall be entered onan FRA Form No. 2 (See appendix C ofthis part) which shall contain, at aminimum, the name of the railroad, theinitials and number of the steamlocomotive, the place, date and time ofthe inspection, the signature of theemployee making the inspection, adescription of the non-complyingconditions disclosed by the inspection,conditions found in non-complianceduring the day and repaired and thesignature of the person who repaired thenon-conforming conditions. This reportshall be filed even if no non-complyingconditions are detected. A competentindividual shall sign the report,certifying that all non-complyingconditions were repaired before thesteam locomotive is operated. Thisreport shall be filed and retained for atleast 92 days at the location designated



by the steam locomotive owner and/oroperator.

§ 230.14 Thirty-one (31) service dayinspection.

(a) General. An individual competentto conduct the inspection shall performthe 31 service day inspection after thesteam locomotive has accrued 31 servicedays. This inspection shall consist of all31 service day inspection items and alldaily inspection items. See appendix Aof this part. Days in service shall becounted, recorded and readily availablefor inspection when requested by anFRA inspector.

(b) FRA notification. FRA RegionalAdministrators or their delegate(s) mayrequire a steam locomotive owner oroperator to provide FRA with timelynotification before performing a 31service day inspection. If the RegionalAdministrator or their delegate indicatestheir desire to be present for the 31service day inspection, the steamlocomotive owner and/or operator shallprovide them a scheduled date andlocation for inspection. Once scheduled,the inspection must be performed at thetime and place specified, unless theRegional Administrator and the steamlocomotive owner and/or operatormutually agree to reschedule. If theRegional Administrator requests theinspection be performed on another datebut the steam locomotive owner and/oroperator and the Regional Administratorare unable to agree on a date forrescheduling, the inspection may beperformed as scheduled.

(c) Filing inspection reports. Within10 days of conducting the 31 service dayinspection, the steam locomotive ownerand/or operator shall file, for each steamlocomotive inspected, a report ofinspection (FRA Form No. 1), in theplace where the steam locomotive ismaintained and with the FRA RegionalAdministrator for that region. When thereport of annual inspection ( FRA FormNo. 3), is filed, the FRA Form No. 1 doesnot have to be filed until the next 31service day inspection. (See Appendix Bof this part.)

§ 230.15 Ninety-two (92) service dayinspection.

(a) General. An individual competentto conduct the inspection shall performthe 92 service day inspection after thesteam locomotive has accrued 92‘‘service-days.’’ This inspection shallinclude all daily, all 31 service day, andall 92 service day inspection items. Seeappendix A of this part. Days in serviceshall be counted, recorded, and readilyavailable for inspection when requestedby an FRA inspector.

(b) Filing inspection reports. Within10 days of conducting the 92 service dayinspection, the steam locomotive ownerand/or operator shall file, for each steamlocomotive inspected, a report ofinspection ( FRA Form No. 1), in theplace the locomotive is maintained andwith the FRA Regional Administratorfor that region.

When the report of annual inspection( FRA Form No. 3), is filed, the FRAForm No. 1 does not have to be fileduntil the next 92 service day inspection.(See appendix C of this part.)

§ 230.16 Annual inspection.(a) General. (1) An individual

competent to conduct the inspectionshall perform the annual inspectionafter 368 calendar days have elapsedfrom the time of the previous annualinspection. This inspection shallinclude all daily, all 31 service day, all92 service day, and all annualinspection items. (See appendix B ofthis part.)

(2) Fifth annual inspection. Anindividual competent to do so shallperform a flexible staybolt and capinspection in accordance with § 230.41at each fifth annual inspection.

(b) FRA notification. FRA RegionalAdministrators shall be providedwritten notice at least one month priorto an annual inspection and shall beafforded an opportunity to be present. Ifthe Regional Administrator or theirdelegate indicates a desire to be present,the steam locomotive owner and/oroperator will provide a scheduled dateand location for the inspection. Oncescheduled, the inspection must beperformed at the time and placespecified, unless the RegionalAdministrator and the steam locomotiveowner and/or operator mutually agree toreschedule. If the RegionalAdministrator requests the inspectionbe performed on another date but thesteam locomotive owner and/or operatorand the Regional Administrator areunable to agree on a date forrescheduling, the inspection may beperformed as scheduled.

(c) Filing inspection reports. Within10 days of completing the annualinspection, the steam locomotive ownerand/or operator shall file, for each steamlocomotive inspected, a report ofinspection (FRA Form No. 3), in theplace where the steam locomotive ismaintained and with the FRA RegionalAdministrator for that region. (Seeappendix A of this part)

§ 230.17 One thousand four hundredseventy-two (1472) service day inspection.

(a) General. Before any steamlocomotive is initially put in service or

brought out of retirement, and afterevery 1472 service days or 15 years,whichever is earlier, an individualcompetent to conduct the inspectionshall inspect the entire boiler. In thecase of a new locomotive or alocomotive being brought out ofretirement, the initial 15 year periodshall begin on the day that thelocomotive is placed in service or 365calendar days after the first flue tube isinstalled in the locomotive, whichevercomes first. This 1472 service dayinspection shall include all annual, and5th annual, inspection requirements, aswell as any items required by the steamlocomotive owner and/or operator or theFRA inspector. At this time, thelocomotive owner and/or operator shallcomplete, update and verify thelocomotive specification card (FRAForm No. 4), to reflect the condition ofthe boiler at the time of this inspection.See appendices A and B of this part.

(b) Filing inspection reports. Within30 days of completing the 1472 serviceday inspection, the steam locomotiveowner and/or operator shall, for eachsteam locomotive inspected, file in theplace where the steam locomotive ismaintained and with the FRA RegionalAdministrator for that region a report ofinspection (FRA Form No. 3), and acompleted FRA Form No.4. Seeappendix C of this part.

Recordkeeping Requirements

§ 230.18 Service days.(a) Service day record. For every

steam locomotive currently in service,the steam locomotive owner and/oroperator shall have available, and beable to show an FRA inspector uponrequest, a current copy of the serviceday record that contains the number ofservice days the steam locomotive hasaccrued since the last 31, 92, Annualand 1472 service day inspections.

(b) Service day report. By the 31st ofevery January, every steam locomotiveowner and/or operator shall file aservice day report, FRA Form No. 5,with the Regional Administratoraccounting for the days the steamlocomotive was in service from January1 through December 31st of thepreceding year. If the steam locomotivewas in service zero (0) days during thatperiod, a report must still be filed toprevent the steam locomotive frombeing considered retired by FRA. (Seeappendix B of this part.)

(c) Retirement where no service dayreports filed. Where the steamlocomotive owner and/or operator doesnot file the required service day reportfor a steam locomotive, that steamlocomotive may be considered retired



by FRA. The steam locomotive ownerand/or operator must complete all 1472service day inspection items to return aretired steam locomotive to service.

§ 230.19 Posting of FRA Form No. 1 andFRA Form No. 3.

(a) FRA Form No. 1. The steamlocomotive owner and/or operator shallplace a copy of the 31 and 92 serviceday inspection report (FRA Form No. 1),properly filled out, under transparentcover in a conspicuous place in the cabof the steam locomotive before theinspected boiler is put into service. ThisFRA Form No. 1 will not be required forthe first 31 service days following anannual inspection and the posting of anFRA Form No. 3. (See appendix B ofthis part.)

(b) FRA Form No. 3. In addition to theFRA Form No. 1, the steam locomotiveowner and/or operator shall alsomaintain in the cab a current copy ofFRA Form No. 3 in the mannerdescribed in paragraph (a) of thissection. (See appendix C of this part.)

§ 230.20 Alteration and repair report forsteam locomotive boilers.

(a) Alterations. When an alteration ismade to a steam locomotive boiler, thesteam locomotive owner and/or operatorshall file an alteration report (FRA FormNo. 19), detailing the changes to thelocomotive with the FRA RegionalAdministrator within 30 days from thedate the work was completed. This formshall be attached to, and maintainedwith, the FRA Form No. 4 until suchtime as a new FRA Form No. 4 reflectingthe alteration is submitted to theRegional Administrator. Alterationreports shall be filed and maintained forthe life of the boiler. (See appendix B ofthis part.)

(b) Welded and riveted repairs tounstayed portions of the boiler.Whenever welded or riveted repairs areperformed on unstayed portions of asteam locomotive boiler, the steamlocomotive owner and/or operator shallfile with the FRA RegionalAdministrator, within 30 days from thetime the work was completed, a repairreport, FRA Form No. 19, that detailsthe work done to the steam locomotive.Repair reports shall be filed andmaintained for the life of the boiler. (Seeappendix B of this part.)

(c) Welded and riveted repairs tostayed portions of the boiler. Wheneverwelded or riveted repairs are performedon stayed portions of a steamlocomotive boiler, the steam locomotiveowner and/or operator shall complete arepair report (FRA Form No. 19),detailing the work done. Repair reports

shall be maintained for the life of theboiler. (See appendix C of this part.)

§ 230.21 Steam locomotive numberchange.

When a steam locomotive number ischanged, the steam locomotive ownerand/or operator must reflect the changein the upper right-hand corner of alldocumentation related to the steamlocomotive by showing the old and newnumbers:

Old No. 000New No. XXX.

§ 230.22 Accident reports.

In the case of an accident due tofailure, from any cause, of a steamlocomotive boiler or any part orappurtenance thereof, resulting inserious injury or death to one or morepersons, the railroad on whose line theaccident occurred shall immediatelymake a telephone report of the accidentby calling the National Response Center(toll free) at Area Code 800–424–0201.The report shall state the nature of theaccident, the number of persons killedor seriously injured, the place at whichit occurred, and the location where thesteam locomotive may be inspected.Confirmation of this report shall beimmediately mailed to the AssociateAdministrator for Safety, FederalRailroad Administration, Washington,DC 20590, and contain a detailed reportof the accident, including, to the extentknown, the causes and a complete listof the casualties.

Subpart B—Boilers andAppurtenances

§ 230.23 Responsibility for generalconstruction and safe working pressure.

The steam locomotive owner andoperator are responsible for the generaldesign and construction of the steamlocomotive boilers under their control.The steam locomotive owner shallestablish the safe working pressure foreach steam locomotive boiler, aftergiving full consideration to the generaldesign, workmanship, age, and overallcondition of the complete boiler unit.The condition of the boiler unit shall bedetermined by, among other factors, theminimum thickness of the shell plates,the lowest tensile strength of the plates,the efficiency of the longitudinal joint,the inside diameter of the course, andthe maximum allowable stress valueallowed. The steam locomotive operatorshall not place the steam locomotive inservice before ensuring that the steamlocomotive’s safe working pressure hasbeen established.

Allowable Stress

§ 230.24 Maximum allowable stress.

(a) Maximum allowable stress value.The maximum allowable stress value onany component of a steam locomotiveboiler shall not exceed 1⁄4 of the ultimatetensile strength of its material.

(b) Safety factor. When it is necessaryto use the code of original constructionin boiler calculations, the safety factorvalue shall not be less than 4.

§ 230.25 Maximum allowable stress onstays and braces.

The maximum allowable stress persquare inch of net cross sectional areaon fire box and combustion chamberstays shall be 7,500 psi. The maximumallowable stress per square inch of netcross sectional area on round,rectangular, or gusset braces shall be9,000 psi.

Strength of Materials

§ 230.26 Tensile strength of shell plates.

When the tensile strength of steel orwrought-iron shell plates is not known,it shall be taken at 50,000 psi for steeland 45,000 psi for wrought iron.

§ 230.27 Maximum shearing strength ofrivets.

The maximum shearing strength ofrivets per square inch of cross sectionalarea shall be taken as follows:

Rivets

Poundsper

squareinch

Iron Rivets in Single Shear ............ 38,000Iron Rivets in Double Shear ........... 76,000Steel Rivets in Single Shear .......... 44,000Steel Rivets in Double Shear ......... 88,000

§ 230.28 Higher shearing strength ofrivets.

A higher shearing strength may beused for rivets when it can be shownthrough testing that the rivet materialused is of such quality as to justify ahigher allowable shearing strength.

Inspection and Repair

§ 230.29 Inspection and repair.

(a) Responsibility. The steamlocomotive owner and/or operator shallinspect and repair all steam locomotiveboilers and appurtenances under theircontrol. They shall immediately removefrom service any boiler that hasdeveloped cracks in the barrel. Thesteam locomotive owner and/or operatorshall also remove the boiler from servicewhenever either of them, or the FRAinspector, considers it necessary due toother defects.



(b) Repair standards. (1) All defectsdisclosed by inspection shall berepaired in accordance with acceptedindustry standards—which may includeestablished railroad practices, or NBICor API established standards—before thesteam locomotive is returned to service.The steam locomotive owner and/oroperator shall not return the steamlocomotive boiler or appurtenances toservice unless they are in goodcondition and safe and suitable forservice.

(2) Any welding to unstayed portionsof the boiler made pursuant to § 230.33shall be made in accordance with anaccepted national standard for boilerrepairs. The steam locomotive ownerand/or operator shall not return thesteam locomotive boiler orappurtenances to service unless they arein good condition and safe and suitablefor service.

§ 230.30 Lap-joint seam boilers.Every boiler having lap-joint

longitudinal seams without reinforcingplates shall have sufficient lagging,jacketing, flues, and tubes removed atevery annual inspection so that aninspection of the entire joint, inside andout, can be made, taking special care todetect grooving or cracks at the edges ofthe seams.

§ 230.31 Flues to be removed.(a) Inspection of the boiler interior.

During the 1472 service day inspection,the steam locomotive owner and/oroperator shall remove all flues of steamlocomotive boilers in service, except asprovided in paragraph (b) of thissection, for the purpose of inspectingthe entire interior of the boiler and itsbracing. After removing the flues, thesteam locomotive owner and/or operatorshall enter the boiler to remove scalefrom the interior and thoroughly cleanand inspect it.

(b) NDE testing. If the boiler can bethoroughly cleaned and inspectedwithout removing the superheater flues,and it can be shown throughappropriate NDE testing methods thatthey are safe and suitable for service,their removal may not be required atthis time. Their removal may berequired, however, if the FRA inspector,or the steam locomotive owner and/oroperator, considers it necessary due toidentifiable safety concerns.

§ 230.32 Time and method of inspection.(a) Time of inspection. The entire

boiler shall completely be inspected atthe 1472 service day inspection. Thejacket, lagging and any othercomponents interfering with theprovision of inspection access shall be

removed at this time. Those portions ofthe boiler that are exposed and able tobe inspected as required by the daily,31service day, annual and fifth annualinspections shall be inspected at thosetimes. The interior of the boiler alsoshall be inspected at each annualinspection, after the completion of anyhydrostatic test above MAWP, andwhenever a sufficient number of fluesare removed to allow examination. Thejacket, lagging and any othercomponents shall also be removed toprovide inspection access whenever theFRA inspector, or the steam locomotiveowner and/or operator, considers itnecessary due to identifiable safetyconcerns.

(b) Method of inspection.—(1) Entireboiler. During the 1472 service dayinspection, the entire boiler shall beexamined for cracks, pitting, grooving,or indications of overheating and fordamage where mud has collected, orheavy scale formed. The edges of plates,all laps, seams, and points where cracksand defects are likely to develop, shallbe thoroughly inspected. Rivets shall beinspected for corrosion and looseness.

(2) Boiler interior. When inspectingthe boiler interior, it must be seen thatbraces and stays are taut, that pins areproperly secured in place, and that eachis in condition to support its proportionof the load. Washout plugs shall beremoved for access and visualinspection of the water side of thefirebox sheets. Washout plug threads,sleeves and threaded openings shall beexamined at this time.

(3) Boiler exterior. A thoroughinspection shall be made of the entireexterior of the boiler while underhydrostatic pressure.

§ 230.33 Welded repairs and alterations.(a) Unstayed portions of the boiler

containing alloy steel or carbon steelwith a carbon content over 0.25 percent.Prior to welding on unstayed portions ofthe boiler, the steam locomotive ownerand/or operator shall submit a writtenrequest for approval to the FRARegional Administrator. If the approvalis granted, the steam locomotive ownerand/or operator shall perform anywelding to unstayed portions of theboiler in accordance with an acceptednational standard for boiler repairs. Thesteam locomotive owner and/or operatorshall satisfy reporting requirements in§ 230.20 at this time.

(b) Unstayed portions of the boilercontaining carbon steel not exceeding0.25 percent carbon. The steamlocomotive owner and/or operator shallperform any welding to unstayedportions of the boiler in accordancewith an accepted national standard for

boiler repairs. The steam locomotiveowner and/or operator shall satisfyreporting requirements in § 230.20 atthis time.

(c) Wastage. The steam locomotiveowner and/or operator shall submit awritten request for approval to the FRARegional Administrator beforeperforming weld build up on wastedareas of unstayed surfaces of the boilerthat exceed a total of 100 square inchesor the smaller of 25 percent of minimumrequired wall thickness or 1/2 inch.Wasted sheets shall not be repaired byweld build up if the wasted sheet hasbeen reduced to less than 60 percent ofthe minimum required thickness asrequired by this part.

(d) Flush patches. The steamlocomotive owner and/or operator shallsubmit a written request for approval tothe FRA Regional Administrator for theinstallation of flush patches of any sizeon unstayed portions of the boiler.

(e) Stayed portions of the boiler. Thesteam locomotive owner and/or operatorshall perform welded repairs oralterations on stayed portions of theboiler in accordance with establishedrailroad practices, or an acceptednational standard for boiler repairs. Thesteam locomotive owner and/or operatorshall satisfy the reporting requirementsin § 230.20 at this time.

§ 230.34 Riveted repairs and alterations.(a) Alterations to unstayed portions of

the boiler. Prior to making rivetedalterations on unstayed portions of theboiler, the steam locomotive owner and/or operator shall submit a writtenrequest for approval to the FRARegional Administrator. If approval isgranted, the steam locomotive ownerand/or operator shall perform anyriveting to unstayed portions of theboiler in accordance with establishedrailroad practices or an acceptednational standard for boiler repairs. Thesteam locomotive owner and/or operatorshall satisfy reporting requirements in§ 230.20 at this time.

(b) Repairs to unstayed portions of theboiler. The steam locomotive ownerand/or operator shall perform anyriveted repairs to unstayed portions ofthe boiler in accordance withestablished railroad practices, or anaccepted national standard for boilerrepairs. The steam locomotive ownerand/or operator shall satisfy reportingrequirements in § 230.20 at this time.

(c) Repairs to stayed portions of theboiler. The steam locomotive ownerand/or operator shall perform rivetedrepairs or alterations on stayed portionsof the boiler in accordance withestablished railroad practices or anaccepted national standard for boiler



repairs. The steam locomotive ownerand/or operator shall satisfy reportingrequirements in § 230.20 at this time.

Pressure Testing of Boilers

§ 230.35 Pressure testing.

The temperature of the steamlocomotive boiler shall be raised to atleast 70 deg. F any time hydrostaticpressure is applied to the boiler.

§ 230.36 Hydrostatic testing of boilers.

(a) Time of test. The locomotiveowner and/or operator shallhydrostatically test every boiler at thefollowing times:

(1) During the 1472 service dayinspection, and at every annualinspection thereafter;

(2) After making any alteration to theboiler;

(3) After installing a flush patch on anunstayed portion of the boiler; and

(4) After any riveting on an unstayedportion of the boiler.

(b) Method of testing. The metaltemperature of the boiler shall bebetween 70 degrees Fahrenheit and 120degrees Fahrenheit each time it issubjected to any hydrostatic pressure.Hydrostatic testing required by theserules shall be conducted at 25 percentabove the MAWP.

(c) Internal inspection. An internalinspection of the boiler shall beconducted following any hydrostatictest where the pressure exceeds MAWP.

§ 230.37 Steam test following repairs oralterations.

Upon completion of any repair oralteration, the locomotive owner and/oroperator shall conduct a steam test ofthe boiler with steam pressure raised tobetween 95 percent and 100 percent ofthe MAWP. At this time, the boiler shallbe inspected to ensure that it is in a safeand suitable condition for service.

Staybolts

§ 230.38 Telltale holes.

(a) Staybolts less than 8 inches long.All staybolts shorter than 8 inches,except flexible bolts, shall have telltaleholes 3/16 inch to 7/32 inch diameterand at least 11⁄4 inches deep in the outerend.

(b) Reduced body staybolts. Onreduced body staybolts, the telltale holeshall extend beyond the fillet and intothe reduced section of the staybolt.Staybolts may have through telltaleholes.

(c) Telltale holes kept open. Alltelltale holes, except as provided for in§ 230.41, must be kept open at all times.

§ 230.39 Broken staybolts.(a) Maximum allowable number of

broken staybolts. No boiler shall beallowed to remain in service with twobroken staybolts located within 24inches of each other, as measured insidethe firebox or combustion chamber on astraight line. No boiler shall be allowedto remain in service with more than 4broken staybolts inside the entirefirebox and combustion chamber,combined.

(b) Staybolt replacement. Brokenstaybolts must be replaced during the 31service day inspection, if detected atthat time. Broken staybolts detected inbetween 31 service day inspectionsmust be replaced no later than 30calendar days from the time ofdetection. When staybolts 8 inches orless in length are replaced, they shall bereplaced with bolts that have telltaleholes 3⁄16 inch to 7⁄32 inch in diameterand at least 11⁄4 inches deep at each end,or that have telltale holes 3⁄16 inch to 7⁄32

inch in diameter their entire length. Atthe time of replacement of brokenstaybolts, adjacent staybolts shall beinspected.

(c) Assessment of broken staybolts.Telltale holes leaking, plugged, ormissing shall be counted as brokenstaybolts.

(d) Prohibited methods of closingtelltale holes. Welding, forging, orriveting broken staybolt ends isprohibited as a method of closingtelltale holes.

§ 230.40 Time and method of staybolttesting.

(a) Time of hammer testing.—(1)General. All staybolts shall be hammertested at every 31 service dayinspection, except as provided inparagraph (a)(2) of this section. Allstaybolts also shall be hammer testedunder hydrostatic pressure any timehydrostatic pressure above the MAWPspecified on the boiler specificationform (FRA Form No. 4), is applied to theboiler. (See appendix B of this part.)

(2) Exception for inaccessiblestaybolts. The removal of brickwork orgrate bearers for the purpose of hammertesting staybolts during each 31 serviceday inspection will not be required ifthe staybolts behind these structuralimpediments have a telltale hole 3/16inch to 7/32 inch in diameter theirentire length. Whenever the brickworkor grate bearers are removed for anyother reason, however, the bolts shall beinspected at that time.

(b) Method of hammer testing. Ifstaybolts are tested while the boilercontains water, the hydrostatic pressuremust be not less than 95 percent of theMAWP. The steam locomotive owner

and/or operator shall tap each bolt witha hammer and determine broken boltsfrom the sound or the vibration of thesheet. Whenever staybolts are testedwhile the boiler is not under pressure,such as during the 31 service dayinspection, the staybolt test must bemade with all the water drained fromthe boiler.

§ 230.41 Flexible staybolts with caps.(a) General. Flexible staybolts with

caps shall have their caps removedduring every 5th annual inspection forthe purpose of inspecting the bolts forbreakage, except as provided inparagraph (b) of this section.

(b) Drilled flexible staybolts. Forflexible staybolts that have telltale holesbetween 3⁄16 inch and 7⁄32 inch indiameter, and which extend the entirelength of the bolt and into the head notless than one third of the diameter of thehead, the steam locomotive owner and/or operator need not remove the stayboltcaps if it can be established, by anelectrical or other suitable method, thatthe telltale holes are open their entirelength. Any leakage from these telltaleholes during the hydrostatic testindicates that the bolt is broken andmust be replaced. Before the steamlocomotive is placed in service, theinner ends of all telltale holes shall beclosed with a fireproof porous materialthat will keep the telltale holes free offoreign matter and permit steam orwater to exit the telltale hole when thebolt is broken or fractured.

(c) Recordkeeping. The removal offlexible staybolt caps and other testsshall be reported on FRA Form No. 3.(See appendix B of this part.)

(d) Testing at request of FRAinspector. Staybolt caps also shall beremoved, or any of the tests in thissection made, whenever the FRAinspector or the steam locomotiveowner and/or operator considers itnecessary due to identifiable safetyconcerns about the condition ofstaybolts, staybolt caps or stayboltsleeves.

Steam Gauges

§ 230.42 Location of gauges.Every boiler shall have at least one

steam gauge which will correctlyindicate the working pressure. Thegauge shall be positioned so that it willbe kept reasonably cool and canconveniently be read by the enginecrew.

§ 230.43 Gauge siphon.The steam gauge supply pipe shall

have a siphon on it of ample capacityto prevent steam from entering thegauge. The supply pipe shall directly



enter the boiler and be maintainedsteam tight. The supply pipe and itsconnections shall be cleaned each timethe gauge is tested.

§ 230.44 Time of testing.Steam gauges shall be tested prior to

being installed or being reapplied,during the 92 service day inspection,and whenever any irregularity isreported.

§ 230.45 Method of testing.Steam gauges shall be compared with

an accurate test gauge or dead weighttester. While under test load at theMAWP of the boiler to which the gaugewill be applied, the gauge shall be setto read that pressure as accurately as thephysical limitations of the gauge willallow. Under test the gauge shall readwithin the manufacturer’s tolerance atall points on the gauge up to 25 percentabove the allowed pressure. If themanufacturer’s tolerance is not known,the gauge must read within 2 percentfull scale accuracy at all points on thegauge up to 25 percent above allowedpressure.

§ 230.46 Badge plates.A metal badge plate showing the

allowed steam pressure shall beattached to the boiler backhead in thecab. If boiler backhead is lagged, thelagging and jacket shall be cut away sothat the plate can be seen.

§ 230.47 Boiler number.(a) Generally. The builder’s number of

the boiler, if known, shall be stampedon the steam dome or manhole flange.If the builder’s number cannot beobtained, an assigned number, whichshall be used in making outspecification cards, shall be stamped onthe steam dome or manhole flange.

(b) Numbers after January 10, 1912.Numbers which are stamped afterJanuary 10, 1912 shall be located on thefront side of the steam dome or manholeflange at the upper edge of the verticalsurface, oriented in a horizontalmanner, and have figures at least 3⁄8inch high.

(c) Name of manufacturer or owner.The number shall be preceded by thename of the manufacturer if the originalnumber is known or the name of thesteam locomotive owner if a newnumber is assigned.

Safety Relief Valves

§ 230.48 Number and capacity.(a) Number and capacity. Every boiler

shall be equipped with at least twosafety relief valves, suitable for theservice intended, that are capable ofpreventing an accumulation of pressure

greater than 6 percent above the MAWPunder any conditions of service. AnFRA inspector may require verificationof sufficient safety valve relievingcapacity.

(b) Determination of capacity. Safetyrelief valve capacity may be determinedby making an accumulation test withthe fire in good, bright condition and allsteam outlets closed. Additional safetyrelief valve capacity shall be provided ifthe safety relief valves allow an excesspressure of more than 6 percent abovethe MAWP during this test.

§ 230.49 Setting of safety relief valves.

(a) Qualifications of individual whoadjusts. Safety relief valves shall be setand adjusted by a competent personwho is thoroughly familiar with theconstruction and operation of the valvebeing set.

(b) Opening pressures. At least onesafety relief valve shall be set to openat a pressure not exceeding the MAWP.Safety relief valves shall be set to openat pressures not exceeding 6 psi abovethe MAWP.

(c) Setting procedures. When settingsafety relief valves, two steam gaugesshall be used, one of which must be solocated that it will be in full view of thepersons engaged in setting such valves;and if the pressure indicated by thegauges varies more than 3 psi they shallbe removed from the boiler, tested, andcorrected before the safety relief valvesare set. Gauges shall in all cases betested immediately before the safetyrelief valves are set or any change madein the setting. When setting safety reliefvalves, the water level shall not behigher than 3⁄4 of the length of thevisible water glass, as measured fromthe bottom of the glass.

(d) Labeling of lowest set pressure.The set pressure of the lowest safetyrelief valve shall be indicated on a tagor label attached to the steam gauge sothat it may be clearly read whileobserving the steam gauge.

§ 230.50 Time of testing.

All safety relief valves shall be tested,and adjusted if necessary, under steamat every 92 service day inspection, andalso whenever any irregularity isreported.

Water Glasses and Gauge Cocks

§ 230.51 Number and location.

Every boiler shall be equipped with atleast two water glasses. The lowestreading of the water glasses shall not beless than 3 inches above the highest partof the crown sheet. If gauge cocks areused, the reading of the lowest gaugecock shall not be less than 3 inches

above the highest part of the crownsheet.

§ 230.52 Water glass valves.All water glasses shall be equipped

with no more than two valves capableof isolating the water glass from theboiler. They shall also be equipped witha drain valve capable of evacuating theglass when it is so isolated.

§ 230.53 Time of cleaning.The spindles of all water glass valves

and of all gauge cocks shall be removedand valves and cocks thoroughlycleaned of scale and sediment at every31 service day inspection, and whentesting indicates that the apparatus maybe malfunctioning. In addition, the topand bottom passages of the watercolumn shall be cleaned and inspectedat each annual inspection.

§ 230.54 Testing and maintenance.(a) Testing. All water glasses must be

blown out, all gauge cocks must betested, and all passages verified to beopen at the beginning of each day thelocomotive is used, and as often asnecessary to ensure proper functioning.

(b) Maintenance. Gauge cocks, watercolumn drain valves, and water glassvalves must be maintained in suchcondition that they can easily be openedand closed by hand, without the aid ofa wrench or other tool.

§ 230.55 Tubular type water and lubricatorglasses and shields.

(a) Water glasses. Tubular type waterglasses shall be renewed at each 92service day inspection.

(b) Shields. All tubular water glassesand lubricator glasses must be equippedwith a safe and suitable shield whichwill prevent the glass from flying in caseof breakage. This shield shall beproperly maintained.

(c) Location and maintenance. Waterglasses and water glass shields shall beso located, constructed, and maintainedthat the engine crew can at all timeshave an unobstructed view of the waterin the glass from their proper positionsin the cab.

§ 230.56 Water glass lamps.All water glasses must be supplied

with a suitable lamp properly located toenable the engine crew to easily see thewater in the glass.

Injectors, Feedwater Pumps, and FluePlugs

§ 230.57 Injectors and feedwater pumps.(a) Water delivery systems required.

Each steam locomotive must beequipped with at least two means ofdelivering water to the boiler, at leastone of which is a live steam injector.



(b) Maintenance and testing. Injectorsand feedwater pumps must be kept ingood condition, free from scale, andmust be tested at the beginning of eachday the locomotive is used, and as oftenas conditions require, to ensure thatthey are delivering water to the boiler.Boiler checks, delivery pipes, feed waterpipes, tank hose and tank valves mustbe kept in good condition, free fromleaks and from foreign substances thatwould obstruct the flow of water.

(c) Bracing. Injectors, feedwaterpumps, and all associated piping shallbe securely braced so as to minimizevibration.

§ 230.58 Flue plugs.(a) When plugging is permitted. Flues

greater than 21⁄4 inches in outsidediameter (OD) shall not be plugged.Flues 21⁄4 inches in outside diameter(OD) or smaller may be pluggedfollowing failure, provided only oneflue is plugged at any one time. Plugsmust be removed and proper repairsmade no later than 30 days from thetime the plug is applied.

(b) Method of plugging. When used,flue plugs must be made of steel. Theflue must be plugged at both ends. Plugsmust be tied together by means of a steelrod not less than 5⁄8 inch in diameter.

Fusible Plugs

§ 230.59 Fusible plugs.If boilers are equipped with fusible

plugs, the plugs shall be removed andcleaned of scale each time the boiler iswashed but not less frequently thanduring every 31 service day inspection.Their removal shall be noted on theFRA Form No. 1 or FRA Form No. 3.(See appendix B of this part.)

Washing Boilers

§ 230.60 Time of washing.(a) Frequency of washing. All boilers

shall thoroughly be washed as often asthe water conditions require, but notless frequently than at each 31 serviceday inspection. The date of the boilerwash shall be noted on the FRA FormNo. 1 or FRA Form No. 3. (See appendixB of this part.)

(b) Plug removal. All washout plugs,arch tube plugs, thermic siphon plugs,circulator plugs and water bar plugsmust be removed whenever locomotiveboilers are washed.

(c) Plug maintenance. All washoutplugs, washout plug sleeves andthreaded openings shall be maintainedin a safe and suitable condition forservice and shall be examined fordefects each time the plugs are removed.

(d) Fusible plugs cleaned. Fusibleplugs shall be cleaned in accordancewith § 230.59.

§ 230.61 Arch tubes, water bar tubes,circulators and thermic siphons.

(a) Frequency of cleaning. Each timethe boiler is washed, arch tubes andwater bar tubes shall thoroughly becleaned mechanically, washed, andinspected. Circulators and thermicsiphons shall thoroughly be cleaned,washed and inspected.

(b) Defects. Arch tubes and water bartubes found blistered, bulged, orotherwise defective shall be renewed.Circulators and thermic siphons foundblistered, bulged or otherwise defectiveshall be either repaired or renewed.

(c) Method of examination. Archtubes, water bar tubes and circulatorsshall be examined using an appropriateNDE method that accurately measureswall thickness at each annualinspection. All arch brick shall beremoved for this inspection. If any arefound with wall thickness reducedbelow that required to render them safeand suitable for the service intended atthe MAWP specified on the boilerspecification FRA Form No. 4, theymust be replaced or repaired. (Seeappendix B of this part.)

Steam Pipes

§ 230.62 Dry pipe.Dry pipes subject to pressure shall be

examined at each annual inspection tomeasure wall thickness. Dry pipes withwall thickness reduced below thatrequired to render the pipe suitable forthe service intended at the MAWP mustbe replaced or repaired.

§ 230.63 Smoke box, steam pipes andpressure parts.

The smoke box, steam pipes andpressure parts shall be inspected at eachannual inspection, or any other timethat conditions warrant. The individualconducting the inspection must enterthe smoke box to conduct theinspection, looking for signs of leaksfrom any of the pressure parts thereinand examining all draft appliances.

Steam Leaks

§ 230.64 Leaks under lagging.The steam locomotive owner and/or

operator shall take out of service at onceany boiler that has developed a leakunder the lagging due to a crack in theshell, or to any other condition whichmay reduce safety. Pursuant to § 230.29,the boiler must be repaired before beingreturned to service.

§ 230.65 Steam blocking view of enginecrew.

The steam locomotive owner and/oroperator shall keep the boiler, and itspiping and appurtenances, in suchrepair that they do not emit steam in a

manner that obscures the engine crew’svision.


§ 230.66 Design, construction, andmaintenance.

The steam locomotive owner andoperator are responsible for the generaldesign, construction and maintenance ofthe steam locomotives and tendersunder their control.

§ 230.67 Responsibility for inspection andrepairs.

The steam locomotive owner and/oroperator shall inspect and repair allsteam locomotives and tenders undertheir control. All defects disclosed byany inspection shall be repaired inaccordance with accepted industrystandards, which may includeestablished railroad practices, before thesteam locomotive or tender is returnedto service. The steam locomotive ownerand/or operator shall not return thesteam locomotive or tender to serviceunless they are in good condition andsafe and suitable for service.

Speed Indicators

§ 230.68 Speed indicators.

Steam locomotives that operate atspeeds in excess of 20 miles per hourover the general system of railroadtransportation shall be equipped withspeed indicators. Where equipped,speed indicators shall be maintained toensure accurate functioning.

Ash Pans

§ 230.69 Ash pans.

Ash pans shall be securely supportedfrom mud-rings or frames with no partless than 21⁄2 inches above the rail.Their operating mechanism shall be soarranged that they may be safelyoperated and securely closed.


§ 230.70 Safe condition.

(a) Pre-departure inspection. At thebeginning of each day the locomotive isused, the steam locomotive operatorshall ensure that:

(1) The brakes on the steamlocomotive and tender are in safe andsuitable condition for service;

(2) The air compressor or compressorsare in condition to provide an amplesupply of air for the locomotive serviceintended;

(3) The devices for regulating allpressures are properly performing theirfunctions;

(4) The brake valves work properly inall positions; and



(5) The water has been drained fromthe air-brake system.

(b) Brake pipe valve required. Eachsteam locomotive shall have a brakepipe valve attached to the front of thetender, the rear of the back cab wall, oradjacent to the exit of a vestibuled cab.

The words ‘‘Emergency Brake Valve’’shall be clearly displayed near thevalve.

§ 230.71 Orifice testing of compressors.(a) Frequency of testing. The

compressor or compressors shall betested for capacity by orifice test as

often as conditions may require, but notless frequently than once every 92service days.

(b) Orifice testing criteria. (1)Compressors in common use, as listedin the following table, shall have orificetest criteria as follows:

Make Compressor size Single strokesper minute

Diameter oforifice

(in inches)

Air pressuremaintained(in pounds)

Westinghouse .......................................................................... 91⁄2 ......................................... 120 11⁄64 60Westinghouse .......................................................................... 11 ........................................... 100 3⁄16 60Westinghouse .......................................................................... 150 CFM 81⁄2 CC ................... 100 9⁄32 60Westinghouse .......................................................................... 120 CFM 81⁄2 ......................... 100 15⁄64 60New York ................................................................................. 2a ........................................... 120 5⁄32 60New York ................................................................................. 6a ........................................... 100 13⁄64 60New York ................................................................................. 5b ........................................... 100 15⁄64 60

Note: This table shall be used for altitudes to and including 1,000 feet. For altitudes over 1,000 feet the speed of compressor may be in-creased 5 single strokes per minute for each 1,000 feet increase in altitude.

(2) For compressors not listed in thetable in paragraph (b)(1) of this section,the air pressure to be maintained shallbe no less than 80 percent of themanufacturer’s rated capacity for thecompressor.

§ 230.72 Testing main reservoirs.(a) Hammer and hydrostatic testing.

Except as described in paragraphs (b)through (d) of this section, every mainreservoir, except those cast integrallywith the frame, shall be hammer andhydrostatically tested during eachannual inspection. The reservoir shallbe hammer tested while empty and withno pressure applied. If no defectiveareas are detected, a hydrostatic test ofMAWP shall be applied.

(b) Drilling of main reservoirs. (1)Only welded main reservoir originallyconstructed to withstand at least fivetimes the MAWP may be drilled over itsentire surface with telltale holes that are3⁄16 of an inch in diameter. The holesshall be spaced not more than 12 inchesapart, measured both longitudinally andcircumferentially, and drilled from theouter surface to an extreme depthdetermined by the following formula:D=(.6PR/(S¥.6P))Where:D = Extreme depth of telltale holes in

inches but in no case less than one-sixteenth inch;

P = certified working pressure in psi;S = 1⁄5 of the minimum specified tensile

strength of the material in psi; andR = inside radius of the reservoir in

inches.(2) One row of holes shall be drilled

lengthwise of the reservoir on a lineintersecting the drain opening. Whenmain reservoirs are drilled as describedin paragraph (b)(1) of this section, thehydrostatic and hammer tests described

in paragraph (a) of this section are notrequired during the annual inspection.Whenever any telltale hole shall havepenetrated the interior of any reservoir,the reservoir shall be permanentlywithdrawn from service.

(c) Welded main reservoirs withoutlongitudinal lap seams. For weldedmain reservoirs that do not havelongitudinal lap seams, an appropriateNDE method that can measure the wallthickness of the reservoir may be usedinstead of the hammer test andhydrostatic test required in paragraph(a) of this section. The spacing of thesampling points for wall thickness shallnot be greater than 12 incheslongitudinally and circumferentially.The reservoir shall permanently bewithdrawn from service where the NDEtesting reveals wall thickness less thanthe value determined by the followingformula:t=(PR/(S¥.6P)Where:t = Minimum value for wall thickness;P = Certified working pressure in psi;S = 1⁄5 of the minimum specified tensile

strength of the material in psi, or10,000 psi if the tensile strength isunknown; and

R = Inside radius of the reservoir ininches.

(d) Welded or riveted longitudinal lapseam main reservoirs. (1) For welded orriveted longitudinal lap seam mainreservoirs, an appropriate NDE methodthat can measure wall thickness of thereservoir shall be used instead of, or inaddition to, the hammer test andhydrostatic test. The spacing of thesampling points for wall thickness shallnot be greater than 12 incheslongitudinally and circumferentially.Particular care shall be taken to measurealong the longitudinal seam on both

plates at an interval of no more than 6inches longitudinally. The reservoirshall be withdrawn permanently fromservice where NDE testing reveals wallthickness less than the valuedetermined by the following formula:t=(PR/(0.5S¥0.6P))Where:t = Minimum value for wall thickness;P = Certified working pressure in psi;S = 1⁄5 of the minimum specified tensile

strength of the material in psi, or10,000 psi if the tensile strength ofsteel is unknown; and

R = Inside radius of the reservoir ininches.

(2) Repairs of reservoirs with reducedwall thickness are prohibited.

§ 230.73 Air gauges.

(a) Location. Air gauges shall be solocated that they may be convenientlyread by the engineer from his or herusual position in the cab. No air gaugemay be more than 3 psi in error.

(b) Frequency of testing. Air gaugesshall be tested prior to reapplicationfollowing removal, as well as during the92 service day inspection and wheneverany irregularity is reported.

(c) Method of testing. Air gauges shallbe tested using an accurate test gauge ordead weight tester designed for thispurpose.

§ 230.74 Time of cleaning.

All valves in the air brake system,including related dirt collectors andfilters, shall be cleaned and tested inaccordance with accepted brakeequipment manufacturer’sspecifications, or as often as conditionsrequire to maintain them in a safe andsuitable condition for service, but notless frequently than after 368 service



days or during the second annualinspection, whichever occurs first.

§ 230.75 Stenciling dates of tests andcleaning.

The date of testing and cleaning andthe initials of the shop or station atwhich the work is done, shall legibly bestenciled in a conspicuous place on thetested parts or placed on a carddisplayed under a transparent cover inthe cab of the steam locomotive.

§ 230.76 Piston travel.(a) Minimum piston travel. The

minimum piston travel shall besufficient to provide proper brake shoeclearance when the brakes are released.

(b) Maximum piston travel. Themaximum piston travel when steamlocomotive is standing shall be asfollows:

Type of wheel brakeMaximum

piston travel(in inches)

Cam Type Driving Wheel Brake 31⁄2Other forms of Driving Wheel

Brake ..................................... 6Engine Truck Brake .................. 8Tender Brake ............................ 9

§ 230.77 Foundation brake gear.(a) Maintenance. Foundation brake

gear shall be maintained in a safe andsuitable condition for service. Levers,rods, brake beams, hangers, and pinsshall be of ample strength, and shall notbe fouled in any way which will affectthe proper operation of the brake. Allpins shall be properly secured in placewith cotter pine, split keys, or nuts.Brake shoes must be properly appliedand kept approximately in line with thetread of the wheel.

(b) Distance above the rails. No partof the foundation brake gear of thesteam locomotive or tender shall be lessthan 21⁄2 inches above the rails.

§ 230.78 Leakage.(a) Main reservoirs and related piping.

Leakage from main reservoir and relatedpiping shall be tested at every 92 serviceday inspection and shall not exceed anaverage of 3 psi per minute in a test of3 minutes duration that is made afterthe pressure has been reduced to 60percent of the maximum operatingpressure.

(b) Brake cylinders. Leakage frombrake cylinders shall be tested at every92 service day inspection. With a fullservice application from maximumbrake pipe pressure, and withcommunication to the brake cylindersclosed, the brakes on the steamlocomotive and tender must remainapplied for a minimum of 5 minutes.

(c) Brake pipes. Steam locomotivebrake pipe leakage shall be tested at thebeginning of each day the locomotive isused, and shall not exceed 5 psi perminute.

§ 230.79 Train signal system.Where utilized, the train signal

system, or any other form of on-boardcommunication, shall be tested andknown to be in safe and suitablecondition for service at the beginning ofeach day the locomotive is used.

Cabs, Warning Signals, Sanders andLights

§ 230.80 Cabs.(a) General provisions. Cabs shall be

securely attached or braced andmaintained in a safe and suitablecondition for service. Cab windows ofsteam locomotives shall provide anundistorted view of the track andsignals for the crew from their normalposition in the cab. Cab floors shall bekept free of tripping or slipping hazards.The cab climate shall be maintained toprovide an environment that does notunreasonably interfere with the enginecrew’s performance of their dutiesunder ordinary conditions of service.

(b) Steam pipes. Steam pipes shall notbe fastened to the cab. New constructionor renewals made of iron or steel pipegreater than 1⁄8 inch NPS that are subjectto boiler pressure in cabs shall have aminimum wall thickness equivalent toschedule 80 pipe, with properly ratedvalves and fittings. Live steam heatingradiators must not be fastened to thecab. Exhaust steam radiators may befastened to the cab.

(c) Oil-burning steam locomotives. Ifthe cab is enclosed, oil burning steamlocomotives that take air for combustionthrough the fire-door opening shall havea suitable conduit extending from thefire-door to the outside of the cab.

§ 230.81 Cab aprons.(a) General provisions. Cab aprons

shall be of proper length and width toensure safety. Cab aprons shall besecurely hinged, maintained in a safeand suitable condition for service, androughened, or other provision made, toafford secure footing.

(b) Width of apron. The cab apronshall be of a sufficient width to prevent,when the drawbar is disconnected andthe safety chains or the safety bars aretaut, the apron from dropping betweenthe steam locomotive and tender.

§ 230.82 Fire doors.(a) General provisions. Each steam

locomotive shall have a fire door whichshall latch securely when closed andwhich shall be maintained in a safe and

suitable condition for service. Fire doorson all oil-burning locomotives shall belatched securely with a pin or key.

(b) Mechanically operated fire doors.Mechanically operated fire doors shallbe so constructed and maintained thatthey may be operated by pressure of thefoot on a pedal, or other suitableappliance, located on the floor of thecab or tender at a suitable distance fromthe fire door, so that they may beconveniently operated by the personfiring the steam locomotive.

(c) Hand-operated doors. Handoperated fire doors shall be soconstructed and maintained that theymay be conveniently operated by theperson firing the steam locomotive.

§ 230.83 Cylinder cocks.

Each steam locomotive shall beequipped with cylinder cocks whichcan be operated from the cab of thesteam locomotive. All cylinder cocksshall be maintained in a safe andsuitable condition for service.

§ 230.84 Sanders.

Steam locomotives shall be equippedwith operable sanders that deposit sandon the rail head in front of a set ofdriving wheels. Sanders shall be testedat the beginning of each day thelocomotive is used.

§ 230.85 Audible warning device.

(a) General provisions. Each steamlocomotive shall be equipped with anaudible warning device that produces aminimum sound level of 96db(A) at 100feet in front of the steam locomotive inits direction of travel. The device shallbe arranged so that it may convenientlybe operated by the engineer from his orher normal position in the cab.

(b) Method of measurement.Measurement of the sound level shall bemade using a sound level meterconforming, at a minimum, to therequirements of ANSI S1.4–1971, Type2, and set to an A-weighted slowresponse. While the steam locomotive ison level, tangent track, the microphoneshall be positioned 4 feet above theground at the center line of the trackand shall be oriented with respect to thesound source in accordance with themicrophone manufacturer’srecommendations.

§ 230.86 Required illumination.

(a) General provisions. Each steamlocomotive used between sunset andsunrise shall be equipped with anoperable headlight that providesillumination sufficient for a steamlocomotive engineer in the cab to see, ina clear atmosphere, a dark object aslarge as a man of average size standing



at least 800 feet ahead and in front ofsuch headlight. If a steam locomotive isregularly required to run backward forany portion of its trip other than to pickup a detached portion of its train or tomake terminal movements, it shall alsobe equipped on its rear end with anoperable headlight that is capable ofproviding the illumination described inthis paragraph (a).

(b) Dimming device. Such headlightsshall be provided with a device wherebythe light from same may be diminishedin yards and at stations or when meetingtrains.

(c) Where multiple locomotivesutilized. When two or more locomotivesare used in the same train, the leadinglocomotive only will be required todisplay a headlight.

§ 230.87 Cab lights.Each steam locomotive shall have cab

lights that sufficiently illuminate thecontrol instruments, meters and gaugesto allow the engine crew to makeaccurate readings from their usual andproper positions in the cab. These lightsshall be so located and constructed thatthe light will shine only on those partsrequiring illumination and does notinterfere with the engine crew’s visionof the track and signals. Each steamlocomotive shall also have aconveniently located additional lampthat can be readily turned on and off bythe persons operating the steamlocomotive and that provides sufficientillumination to read train orders andtimetables.

Throttle and Reversing Gear

§ 230.88 Throttles.Throttles shall be maintained in safe

and suitable condition for service, andefficient means shall be provided tohold the throttle lever in any desiredposition.

§ 230.89 Reverse gear.(a) General provisions. Reverse gear,

reverse levers, and quadrants shall bemaintained in a safe and suitablecondition for service. Reverse leverlatch shall be so arranged that it can beeasily disengaged, and provided with aspring which will keep it firmly seatedin quadrant. Proper counterbalanceshall be provided for the valve gear.

(b) Air-operated power reverse gear.Steam locomotives that are equippedwith air operated power reverse gearshall be equipped with a connectionwhereby such gear may be operated bysteam or by an auxiliary supply of air incase of failure of the main reservoir airpressure. The operating valve handle forsuch connection shall be convenientlylocated in the cab of the locomotive and

shall be plainly marked. If anindependent air reservoir is used as thesource of the auxiliary supply for thereverse gear, it shall be provided withmeans to automatically prevent loss ofpressure in event of failure of the mainreservoir air pressure.

(c) Power reverse gear reservoirs.Power reverse gear reservoirs, ifprovided, must be equipped with themeans to automatically prevent the lossof pressure in the event of a failure ofmain air pressure and have storagecapacity for not less than one completeoperating cycle of control equipment.


§ 230.90 Draw gear between steamlocomotive and tender.

(a) Maintenance and testing. Thedraw gear between the steam locomotiveand tender, together with the pins andfastenings, shall be maintained in safeand suitable condition for service. Thepins and drawbar shall be removed andtested for defects using an appropriateNDE method at every annual inspection.Where visual inspection does notdisclose any defects, an additional NDEtesting method shall be employed.Suitable means for securing the drawbarpins in place shall be provided. Inverteddrawbar pins shall be held in place byplate or stirrup.

(b) Safety bars and chains generally.One or more safety bar(s) or two or moresafety chains shall be provided betweenthe steam locomotive and tender. Thecombined strength of the safety chainsor safety bar(s) and their fastenings shallbe not less than 50 percent of thestrength of the drawbar and itsconnections. These shall be maintainedin safe and suitable condition forservice, and inspected at the same timedraw gear is inspected.

(c) Minimum length of safety chainsor bars. Safety chains or safety bar(s)shall be of the minimum lengthconsistent with the curvature of therailroad on which the steam locomotiveis operated.

(d) Lost motion. Lost motion betweensteam locomotives and tenders notequipped with spring buffers shall bekept to a minimum and shall not exceed1⁄2 inch.

(e) Spring buffers. When springbuffers are used between steamlocomotives and tenders the spring shallbe applied with not less than 3⁄4 inchcompression, and shall at all times beunder sufficient compression to keepthe chafing faces in contact.

§ 230.91 Chafing irons.Chafing irons that permit proper

curving shall be securely attached to thesteam locomotive and tender, and shall

be maintained to permit lateral andvertical movement.

§ 230.92 Draw gear and draft systems.Couplers, draft gear and attachments

on steam locomotives and tenders shallbe securely fastened, and maintained insafe and suitable condition for service.

Driving Gear

§ 230.93 Pistons and piston rods.(a) Maintenance and testing. Pistons

and piston rods shall be maintained insafe and suitable condition for service.Piston rods shall be inspected for crackseach time they are removed, and shallbe renewed if found defective.

(b) Fasteners. Fasteners (keys, nuts,etc.) shall be kept tight and shall havesome means to prevent them fromloosening or falling out of place.

§ 230.94 Crossheads.Crossheads shall be maintained in a

safe and suitable condition for service,with not more than 1⁄4 inch vertical or5⁄16 inch lateral clearance betweencrossheads and guides.

§ 230.95 Guides.Guides shall be securely fastened and

maintained in a safe and suitablecondition for service.

§ 230.96 Main, side, and valve motionrods.

(a) General. Main, side or valvemotion rods developing cracks orbecoming otherwise defective shall beremoved from service immediately andrepaired or renewed.

(b) Repairs. Repairs, and welding ofmain, side or valve motion rods shall bemade in accordance with an acceptednational standard. The steamlocomotive owner and/or operator shallsubmit a written request for approval tothe FRA Regional Administrator prior towelding defective main rods, side rods,and valve gear components.

(c) Bearings and bushings. Bearingsand bushings shall so fit the rods as tobe in a safe and suitable condition forservice, and means shall be provided toprevent bushings from turning in therod. Straps shall fit and be securelybolted to rods. Floating bushings neednot be provided with means to preventbushings from turning.

(d) Side motion of rods. The totalamount of side motion of each rod onits crank pin shall not exceed 1⁄4 inch.

(e) Oil and grease cups. Oil and greasecups shall be securely attached to rods,and grease cup plugs shall be equippedwith a suitable fastening that willprevent them from being ejected.

(f) Main rod bearings. The bore ofmain rod bearings shall not exceed pin



diameters more than 3⁄32 inch at front orback end. The total lost motion at bothends shall not exceed 5⁄32 inch.

(g) Side rod bearings. The bore of siderod bearings shall not exceed pindiameters more than 5⁄32 inch on mainpin nor more than 3⁄16 inch on otherpins.

§ 230.97 Crank pins.(a) General provisions. Crank pins

shall be securely applied. Securing thefit of a loose crank pin by shimming,prick punching, or welding is notpermitted.

(b) Maintenance. Crank pin collarsand collar fasteners shall be maintainedin a safe and suitable condition forservice.

Running Gear

§ 230.98 Driving, trailing, and engine truckaxles.

(a) Condemning defects. Driving,trailing, and engine truck axles with anyof the following defects shall beremoved from service immediately andrepaired (see appendix A of this part forinspection requirements):

(1) Bent axle;(2) Cut journals that cannot be made

to run cool without turning;(3) Transverse seams in iron or steel

axles;(4) Seams in axles causing journals to

run hot;(5) Axles that are unsafe on account

of usage, accident or derailment;

(6) Any axle worn 1⁄2 inch or more indiameter below the original/new journaldiameter, except as provided inparagraph (a)(7) of this section;

(7) Any driving axles other than maindriving axles with an original or newdiameter greater than 6 inches that areworn 3⁄4 inch or more in diameter belowthe original/new diameter.

(b) Journal diameter stamped. Forsteam locomotives with plain bearings,the original/new journal diameter shallbe stamped on one end of the axle nolater than January 18, 2005.

§ 230.99 Tender truck axles.

The minimum diameters of axles forvarious axle loads shall be as follows:

Axle load (in pounds)

Minimumdiameter of

journal(in inches)

Minimumdiameter ofwheel seat(in inches)

Minimumdiameter of

center(in inches)

50000 ........................................................................................................................................... 51⁄2 73⁄8 67⁄16

38000 ........................................................................................................................................... 5 63⁄4 57⁄831000 ........................................................................................................................................... 41⁄2 61⁄4 55⁄16

22000 ........................................................................................................................................... 33⁄4 5 43⁄815000 ........................................................................................................................................... 31⁄4 45⁄8 37⁄8

§ 230.100 Defects in tender truck axles andjournals.

(a) Tender truck axle condemningdefects. Tender truck axles with any ofthe following defects shall be removedfrom service immediately and repaired:

(1) Axles that are bent;(2) Collars that are broken, cracked, or

worn to 1⁄4 inch or less in thickness;(3) Truck axles that are unsafe on

account of usage, accident, orderailment;

(4) A fillet in the back shoulder thatis worn out; or

(5) A gouge between the wheel seatsthat is more than 1⁄8 of an inch in depth.

(b) Tender truck journal condemningdefects. Tender truck journals with anyof the following defects shall beremoved from service immediately andrepaired :

(1) Cut journals that cannot be madeto run cool without turning;

(2) Seams in axles causing journals torun hot;

(3) Overheating, as evidenced bypronounced blue black discoloration;

(4) Transverse seams in journals ofiron or steel axles; or

(5) Journal surfaces having any of thefollowing:

(i) A circumferential score;(ii) Corrugation;(iii) Pitting;(iv) Rust;(v) Etching.

§ 230.101 Steam locomotive drivingjournal boxes.

(a) Driving journal boxes. Drivingjournal boxes shall be maintained in asafe and suitable condition for service.Not more than one shim may be usedbetween the box and bearing.

(b) Broken bearings. Broken bearingsshall be renewed.

(c) Loose bearings. Loose bearingsshall be repaired or renewed.

§ 230.102 Tender plain bearing journalboxes.

Plain bearing journal boxes with thefollowing defects shall be removed fromservice immediately and repaired:

(a) A box that does not contain visiblefree oil;

(b) A box lid that is missing, broken,or open except to receive servicing;

(c) A box containing foreign matter,such as dirt, sand, or coal dust that canreasonably be expected to damage thebearing; or have a detrimental effect onthe lubrication of the journal andbearing;

(d) A lubricating pad that:(1) Is missing;(2) Is not in contact with the journal;(3) Has a tear extending half the

length or width of the pad, or more,except by design;

(4) Shows evidence of having beenscorched, burned, or glazed;

(5) Contains decaying or deterioratedfabric that impairs proper lubrication ofthe pad;

(6) Has an exposed center core (exceptby design); or

(7) Has metal parts contacting thejournal;

(e) A plain bearing that:(1) Is missing, cracked, broken;(2) Has a bearing liner loose;(3) Has a broken out piece; or(4) Has indications of having been

overheated, as evidenced by:(i) Melted babbitt:(ii) Smoke from hot oil; or(iii) Journal surface damage; or(f) A plain bearing wedge that:(1) Is missing, cracked or broken; or(2) Is not located in its design

position.

§ 230.103 Tender roller bearing journalboxes.

Tender roller bearing journal boxesshall be maintained in a safe andsuitable condition.

§ 230.104 Driving box shoes and wedges.Driving box shoes and wedges shall

be maintained in a safe and suitablecondition for service.

§ 230.105 Lateral motion.(a) Condemning limits. The total

lateral motion or play between the hubsof the wheels and the boxes on any pairof wheels shall not exceed the followinglimits:

Inches

Engine truck wheels (with swingcenters) ......................................... 1



Inches

Engine truck wheels (with rigid cen-ters) ............................................... 11⁄2

Trailing truck wheels ......................... 1Driving wheels .................................. 3⁄4

(b) Limits increased. These limits maybe increased on steam locomotivesoperating on track where the curvatureexceeds 20 degrees when it can beshown that conditions requireadditional lateral motion.

(c) Non-interference with other parts.The lateral motion shall in all cases bekept within such limits that the drivingwheels, rods, or crank pins will notinterfere with other parts of the steamlocomotive.

Trucks, Frames and Equalizing System

§ 230.106 Steam locomotive frame.(a) Maintenance and inspection.

Frames, decks, plates, tailpieces,pedestals, and braces shall bemaintained in a safe and suitablecondition for service, and shall becleaned and thoroughly inspected asoften as necessary to maintain in a safeand suitable condition for service withcleaning intervals, in any case, not toexceed every 1472 service days.

(b) Broken frames. Broken framesproperly patched or secured by clampsor other suitable means which restoresthe rigidity of the frame are permitted.

§ 230.107 Tender frame and body.(a) Maintenance. Tender frames shall

be maintained in a safe and suitablecondition for service.

(b) Height difference. The differencein height between the deck on thetender and the cab floor or deck on thesteam locomotive shall not exceed 11⁄2inches.

(c) Gangway minimum width. Theminimum width of the gangwaybetween steam locomotive and tender,while standing on tangent track, shall be16 inches.

(d) Tender frame condemning defects.A tender frame with any of thefollowing defects shall be removed fromservice immediately and repaired:

(1) Portions of the tender frame orbody (except wheels) that have less thana 21⁄2 inches clearance from the top ofrail;

(2) Tender center sill that is broken,cracked more than 6 inches, orpermanently bent or buckled more than21⁄2 inches in any six foot length;

(3) Tender coupler carrier that isbroken or missing;

(4) Tender center plate, any portion ofwhich is missing or broken or that is notproperly secured; or

(5) Tender that has a broken side sill,crossbearer, or body bolster.

§ 230.108 Steam locomotive leading andtrailing trucks.

(a) Maintenance. Trucks shall bemaintained in safe and suitablecondition for service. Center plates shallfit properly, and the male center plateshall extend into the female center platenot less than 3⁄4 inch. All centeringdevices shall be properly maintainedand shall not permit lost motion inexcess of 1⁄2 inch.

(b) Safety chain required. A suitablesafety chain shall be provided at eachfront corner of all four wheel enginetrucks.

(c) Clearance required. All parts oftrucks shall have sufficient clearance toprevent them from interfering with anyother part of the steam locomotive.

§ 230.109 Tender trucks.(a) Tender truck frames. A tender

truck frame shall not be broken, or havea crack in a stress area that affects itsstructural integrity. Tender truck centerplates shall be securely fastened,maintained in a safe and suitablecondition for service, and provided witha center pin properly secured. The malecenter plate must extend into the femalecenter plate at least 3⁄4 inch. Shims maybe used between truck center plates.

(b) Tender truck bolsters. Truckbolsters shall be maintainedapproximately level.

(c) Condemning defects for springs orspring rigging. Springs or spring riggingwith any of the following defects shallbe taken out of service immediately andrenewed or properly repaired:

(1) An elliptical spring with its top(long) leaf or any other five leaves in theentire spring pack broken;

(2) A broken coil spring or saddle;(3) A coil spring that is fully

compressed;(4) A broken or cracked equalizer,

hanger, bolt, gib or pin;(5) A broken coil spring saddle; and(6) A semi-elliptical spring with a top

(long) leaf broken or two leaves in thetop half broken, or any three leaves inthe entire spring broken.

(d) Tender securing arrangement.Where equipped, tender devices and/orsecuring arrangements intended toprevent the truck and tender body fromseparating in case of derailment shall bemaintained in a safe and suitablecondition for service.

(e) Side bearings and truck centeringdevices. Where equipped, side bearingsand truck centering devices shall bemaintained in a safe and suitablecondition for service.

(f) Friction side bearings. Friction sidebearings shall not be run in contact, andshall not be considered to be in contactif there is clearance between them on

either side when measured on tangentlevel track.

(g) Side bearings. All rear trucks shallbe equipped with side bearings. Whenthe spread of side bearings is 50 inches,their maximum clearance shall be 3⁄8inch on each side for rear trucks and 3⁄4inch on each side for front trucks, whereused. When the spread of the sidebearings is increased, the maximumclearance shall be increasedproportionately.

§ 230.110 Pilots.(a) General provisions. Pilots shall be

securely attached, properly braced, andmaintained in a safe and suitablecondition for service.

(b) Minimum and maximumclearance. The minimum clearance ofpilot above the rail shall be 3 inches andthe maximum clearance shall be 6inches measured on tangent level track.

§ 230.111 Spring rigging.(a) Arrangement of springs and

equalizers. Springs and equalizers shallbe arranged to ensure the properdistribution of weight to the variouswheels of the steam locomotive,maintained approximately level and ina safe and suitable condition for service.Adjusting weights by shifting weightsfrom one pair of wheels to another ispermissible.

(b) Spring or spring riggingcondemning defects. Springs or springrigging with any of the following defectsshall be removed from serviceimmediately and renewed or properlyrepaired:

(1) Top leaf broken or two leaves intop half or any three leaves in springbroken. (The long side of a spring to beconsidered the top.) Broken springs notexceeding these requirements may berepaired by applying clips providing theclips can be made to remain in place;

(2) Any spring with leaves excessivelyshifting in the band;

(3) Broken coil springs; or(4) Broken driving box saddle,

equalizer, hanger, bolt, or pin.

Wheels and Tires

§ 230.112 Wheels and tires.(a) Mounting. Wheels shall be

securely mounted on axles. Prickpunching or shimming the wheel fit willnot be permitted. The diameter ofwheels on the same axle shall not varymore than 3⁄32 inch.

(b) Gage. Wheels used on standardgage track will be out of gage if theinside gage of flanges, measured on baseline is less than 53 inches or more than533⁄8 inches. Wheels used on less thanstandard gage track will be out of gageif the inside gage of flanges, measured



on base line, is less than the relevanttrack gage less 31⁄2 inches or more thanthe relevant track gage less 31⁄8 inches.

(c) Flange distance variance. Thedistance back to back of flanges ofwheels mounted on the same axle shallnot vary more than 1⁄4 inch.

(d) Tire thickness. Wheels may nothave tires with a minimum thickness

less than that indicated in the table inthis paragraph (d). When retaining ringsare used, measurements of tires to betaken from the outside circumference ofthe ring, and the minimum thickness oftires may be as much below the limitsspecified earlier in this paragraph (d) asthe tires extend between the retaining

rings, provided it does not reduce thethickness of the tire to less than 11⁄8inches from the throat of flange to thecounterbore for the retaining rings. Therequired minimum thickness for tires,by wheel center diameter and weightper axle, is as follows:

Weight per axle (weight on drivers divided by number of pairs of driving wheels) Diameter of wheel center (inches)Minimumthickness(inches)

30,000 pounds and under ............................................................................................... 44 and under .............................................. 11⁄4Over 44 to 50 ............................................. 15⁄16

Over 50 to 56 ............................................. 13⁄8Over 56 to 62 ............................................. 17⁄16

Over 62 to 68 ............................................. 11⁄2Over 68 to 74 ............................................. 19⁄16

Over 74 ...................................................... 15⁄8Over 30,000 to 35,000 pounds ....................................................................................... 44 and under .............................................. 15⁄16

Over 44 to 50 ............................................. 13⁄8Over 50 to 56 ............................................. 17⁄16

Over 56 to 62 ............................................. 11⁄2Over 62 to 68 ............................................. 19⁄16

Over 68 to 74 ............................................. 15⁄8Over 74 ...................................................... 111⁄16

Over 35,000 to 40,000 pounds ....................................................................................... 44 and under .............................................. 13⁄8Over 44 to 50 ............................................. 17⁄16

Over 50 to 56 ............................................. 11⁄2Over 56 to 62 ............................................. 19⁄16

Over 62 to 68 ............................................. 15⁄8Over 68 to 74 ............................................. 111⁄16


Over 44 to 50 ............................................. 11⁄2Over 50 to 56 ............................................. 19⁄16

Over 56 to 62 ............................................. 15⁄8Over 62 to 68 ............................................. 111⁄16

Over 68 to 74 ............................................. 13⁄4Over 74 ...................................................... 113⁄16

Over 45,000 to 50,000 pounds ....................................................................................... 44 and under .............................................. 11⁄2Over 44 to 50 ............................................. 19⁄16

Over 50 to 56 ............................................. 15⁄8Over 56 to 62 ............................................. 111⁄16

Over 62 to 68 ............................................. 13⁄4Over 68 to 74 ............................................. 113⁄16


Over 44 to 50 ............................................. 15⁄8Over 50 to 56 ............................................. 111⁄16

Over 56 to 62 ............................................. 13⁄4Over 62 to 68 ............................................. 113⁄16

Over 68 to 74 ............................................. 17⁄8Over 74 ...................................................... 115⁄16

Over 55,000 pounds ....................................................................................................... 44 and under .............................................. 15⁄8Over 44 to 50 ............................................. 111⁄16

Over 50 to 56 ............................................. 13⁄4Over 56 to 62 ............................................. 113⁄16

Over 62 to 68 ............................................. 17⁄8Over 68 to 74 ............................................. 115⁄16

Over 74 ...................................................... 2

(e) Tire width. Flanged tires shall beno less than 51⁄2 inches wide forstandard gage and no less than 5 incheswide for narrow gage. Plain tires shallbe no less than 6 inches wide forstandard gage and no less than 51⁄2inches wide for narrow gage.

§ 230.113 Wheels and tire defects.

Steam locomotive and tender wheelsor tires developing any of the defectslisted in this section shall be removedfrom service immediately and repaired.Except as provided in § 230.114,welding on wheels and tires isprohibited. A wheel that has been

welded is a welded wheel for the life ofthe wheel.

(a) Cracks or breaks. Wheels and tiresmay not have a crack or break in theflange, tread, rim, plate, hub or brackets.

(b) Flat spots. Wheels and tires maynot have a single flat spot that is 21⁄2inches or more in length, or two



adjoining spots that are each two ormore inches in length.

(c) Chipped flange. Wheels and tiresmay not have a gouge or chip in theflange that is more than 11⁄2 inches inlength and 1⁄2 inch in width.

(d) Broken rims. Wheels and tires maynot have a circumferentially broken rimif the tread, measured from the flange ata point 5⁄8 inch above the tread, is lessthan 33⁄4 inches in width.

(e) Shelled-out spots. Wheels and tiresmay not have a shelled-out spot 21⁄2inches or more in length, or twoadjoining spots that are each two ormore inches in length, or so numerousas to endanger the safety of the wheel.

(f) Seams. Wheels and tires may nothave a seam running lengthwise that iswithin 33⁄4 inches of the flange.

(g) Worn flanges. Wheels and tiresmay not have a flange worn to a 15⁄16

inch thickness or less, as measured at apoint 3⁄8 inch above the tread.

(h) Worn treads. Wheels and tires maynot have a tread worn hollow 5⁄16 inchor more.

(i) Flange height. Wheels and tiresmay not have a flange height of less than1 inch nor more than 11⁄2 inches, asmeasured from the tread to the top ofthe flange.

(j) Rim thickness. Wheels may nothave rims less than 1 inch thick.

(k) Wheel diameter. Wheels may nothave wheel diameter variance, forwheels on the same axle or in the samedriving wheel base, greater than 3⁄32

inch, when all tires are turned or newtires applied to driving and trailingwheels. When a single tire is applied,the diameter must not vary more than3⁄32 inch from that of the opposite wheelon the same axle. When a single pair oftires is applied the diameter must bewithin 3⁄32 inch of the average diameterof the wheels in the driving wheel baseto which they are applied.

§ 230.114 Wheel centers.(a) Filling blocks and shims. Driving

and trailing wheel centers with dividedrims shall be properly fitted with ironor steel filling blocks before the tires areapplied, and such filling blocks shall beproperly maintained. When shims areinserted between the tire and the wheelcenter, not more than two thicknesses ofshims may be used, one of which mustextend entirely around the wheel. Theshim which extends entirely around thewheel may be in three or four pieces,providing they do not lap.

(b) Wheel center condemning defects.Wheel centers with any of the followingdefects shall be removed from serviceimmediately and repaired:

(1) Wheels centers loose on axle;(2) Broken or defective tire fastenings;

(3) Broken or cracked hubs, plates,bolts or spokes, except as provided inparagraph (b)(4) of this section; or

(4) Driving or trailing wheel centerwith three adjacent spokes or 25 percentor more of the spokes in the wheelbroken.

(c) Wheel center repairs. Wheelcenters may be repaired by welding orbrazing provided that the defect canproperly be so repaired and, followingthe repair, the crankpin and axle shallremain tight in the wheel. Banding ofthe hub is permitted.

(d) Counterbalance maintenance.Wheel counterbalances shall bemaintained in a safe and suitablecondition for service.


§ 230.115 Feed water tanks.

(a) General provisions. Tanks shall bemaintained free from leaks, and in safeand suitable condition for service.Suitable screens must be provided fortank wells or tank hose and shall bemaintained in a manner that allows theunobstructed flow of water. Feed watertanks shall be equipped with a devicethat permits the measurement of thequantity of water in the tender feedwater tank from the cab or tender deckof the steam locomotive. Such deviceshall be properly maintained.

(b) Inspection frequency. As often asconditions warrant but not lessfrequently than every 92 service days,the interior of the tank shall beinspected, and cleaned if necessary.

(c) Top of tender. Top of tenderbehind fuel space shall be kept clean,and means provided to carry off excesswater. Suitable covers shall be providedfor filling holes.

§ 230.116 Oil tanks.

The oil tanks on oil burning steamlocomotives shall be maintained freefrom leaks. The oil supply pipe shall beequipped with a safety cut-off devicethat:

(a) Is located adjacent to the fuelsupply tank or in another safe location;

(b) Closes automatically when trippedand that can be reset without hazard;and

(c) Can be hand operated from clearlymarked locations, one inside the caband one accessible from the ground oneach exterior side of the steamlocomotive.

Appendix A to Part 230—InspectionRequirements

The lists in this appendix are intended asguidance only. Adherence to this list doesnot relieve the steam locomotive owner and/or operator of responsibility for either: (1)Completing the inspection and maintenance

requirements described in this part; or (2)ensuring that the steam locomotive, tenderand its parts and appurtenances are safe andsuitable for service.

Daily Inspection Requirements; § 230.13

1. Observance of lifting pressure of thelowest safety valve.

2. Testing of water glasses and gaugecocks.*

3. Inspection of tubular water glass shields.4. Inspection of all cab lamps.*5. Inspection of boiler feedwater delivery

systems.*6. Inspection of lagging for indication of

leaks.7. Inspection for leaks obstructing vision of

engine crew.8. Observance of compressor(s) and

governor to ascertain proper operation.*9. Inspection of brake and signal

equipment.*10. Inspection of brake cylinders for piston

travel.11. Inspection of foundation brake gear.12. Inspection of sanders.*13. Inspection of draw gear and chafing

irons.14. Inspection of draft gear.15. Inspection of crossheads and guides.16. Inspection of piston rods and fasteners.17. Inspection of main, side, and valve

motion rods.18. Inspection of headlights and

classification lamps.*19. Inspection of running gear.20. Inspection of tender frames and tanks.21. Inspection of tender trucks for amount

of side bearing clearance.Note: All items marked (*) should be

checked at the beginning of each day thelocomotive is used.

31 Service Day Inspection Requirements;§ 230.14

1. Washing of boiler.2. Cleaning and inspection of water glass

valves and gauge cocks.3. Cleaning, washing and inspection of

arch tubes, water bar tubes, circulators andsiphons.

4. Removal and inspection of all washoutand water tube plugs.

5. Testing of all staybolts.6. Removal, cleaning and inspection of

fusible plugs (if any).


1. Removal and testing of all air and steamgauges.

2. Cleaning of steam gauge siphon pipe.3. Renewal of tubular water glasses.4. Testing and adjusting of safety relief

valves.5. Testing of main reservoir and brake

cylinder leakage.6. Entering and inspection of tender tank

interior.

Annual Inspection Requirements; § 230.16

1. Testing of thickness of arch and waterbar tubes (arch brick to be removed)

2. Hydrostatic testing of boiler.3. Testing of all staybolts.4. Interior inspection of boiler.



5. Thickness verification of dry pipes.6. Smoke box inspection.7. Main reservoir hammer or UT testing

and hydrostatic testing (for non-welded anddrilled main reservoirs)

8. Removal and inspection of steamlocomotive drawbar(s) and pins (NDE testingother than merely visual)

9. Inspection of longitudinal lap jointboiler seams.

5 Year Inspection Requirements; § 230.16

1. Inspection of flexible staybolt caps andsleeves.


1. Removal of boiler flues (as necessary)and cleaning of boiler interior.

2. Removal of jacket and lagging andinspection of boiler interior and exterior.

3. Hydrostatic testing of boiler.4. Thickness verification (boiler survey)

and recomputation and update of steamlocomotive specification card, (FRA FormNo. 4).

BILLING CODE 4610–06–P





























































BILLING CODE 4610–06–C



Appendix D to Part 230—Civil Penalty Schedule

Section Violation Willfulviolation

Subpart A—General230.11 Repair of non-complying conditions:

(a) Failure to repair non-complying steam locomotive prior to use in service ........................................................ $1,000 $2,500(b) Failure of owner and/or operator to approve repairs made prior to use of steam locomotive .......................... 1,000 1,500

230.12 Movement of non-complying steam locomotive: (1) (1)230.13 Daily inspection:

(a) (b):(1) Inspection overdue ...................................................................................................................................... 1,500 3,000(2) Inspection not performed by qualified person ............................................................................................. 1,000 1,500

(c) Inspection report not made, improperly executed or not retained ..................................................................... 1,000 1,500230.14 Thirty-one service day inspection:

(a):(1) Inspection overdue ...................................................................................................................................... 1,500 3,000(2) Inspection not performed by qualified person .............................................................................................

(b) Failure to notify FRA ........................................................................................................................................... 1,000 1,500(c) Inspection report not made, improperly executed, not properly filed ................................................................. 1,000 1,500

230.15 Ninety-two service day inspection:(a):

(1) Inspection overdue ...................................................................................................................................... 1,500 3,000(2) Inspection not performed by qualified person ............................................................................................. 1,000 1,500

(b) Inspection report not made, improperly executed, not properly filed ................................................................. 1,000 1,500230.16 Annual inspection:

(a):(1) Inspection overdue ...................................................................................................................................... 1,500 3,000(2) Inspection not performed by qualified person ............................................................................................. 1,000 1,500

(b) Failure to notify FRA ........................................................................................................................................... 1,000 1,500(c) Inspection report not made, improperly executed, not properly filed ................................................................. 1,000 1,500

230.17 One thousand four hundred seventy-two service day inspection:(a):

(1) Inspection overdue ...................................................................................................................................... 1,500 3,000(2) Inspection not performed by qualified person ............................................................................................. 1,250 2,000

(b) Inspection report not made, improperly executed, not properly maintained, not properly filed ......................... 1,000 1,500230.18 Service days:

(a) Service day record not available for inspection ................................................................................................. 1,000 1,500(b) Failure to file service day report with FRA Regional Administrator ................................................................... 1,000 1,500(c) Failure to complete all 1,472 service day inspection items prior to returning retired steam locomotive to

service ................................................................................................................................................................... 1,500 3,000230.19 Posting of forms:

(a) FRA Form No. 1:(1) FRA Form No. 1 not properly filled out ....................................................................................................... 1,000 1,500(2) FRA Form No. 1 not properly displayed ..................................................................................................... 1,000 1,500

(b) FRA Form No. 3:(1) FRA Form No. 3 not properly filled out ....................................................................................................... 1,000 1,500(2) FRA Form No. 3 not properly displayed ..................................................................................................... 1,000 1,500

230.20 Alteration and repair reports:(a) Alterations:

(1) Failure to properly file FRA Form No. 19 with FRA Regional Administrator .............................................. 1,000 1,500(2) FRA Form No. 19 not properly filled out ..................................................................................................... 1,000 1,500(3) FRA Form No. 19 not properly maintained ................................................................................................. 1,000 1,500

(b) Repairs to unstayed portions of the boiler:(1) FRA Form No. 19 not properly filled out ..................................................................................................... 1,000 1,500(2) FRA Form No. 19 not properly maintained ................................................................................................. 1,000 1,500

(c) Repairs to stayed portions of the boiler:(1) FRA Form No. 19 not properly filled out ..................................................................................................... 1,000 1,500(2) FRA Form No. 19 not properly maintained ................................................................................................. 1,000 1,500

230.21 Failure to properly document steam locomotive number Change ................................................................... 1,000 1,500

Subpart B—Boilers and Appurtenances230.22 Failure to properly report accident resulting from failure of steam locomotive boiler or part or appurtenance

thereof .......................................................................................................................................................................... 1,500 2,500230.23 Responsibility for general construction and safe working pressure:

(a) Failure to properly establish safe working pressure for steam locomotive boiler .............................................. 5,000 10,000(b) Placing steam locomotive in service before safe working pressure for boiler has been established ............... 5,000 10,000

230.24 Maximum allowable stress values on boiler components:(a) Use of materials not of sufficient tensile strength .............................................................................................. 1,000 2,000(b) Use of a safety factor value of less than 4 when using the code of original construction in boiler calcula-

tions ....................................................................................................................................................................... 2,000 4,000230.25 Maximum allowable stresses on stays and braces:

(a) Exceeding allowable stress values on fire box and/or combustion chamber .................................................... 1,000 2,000(b) Exceeding allowable stress values on round, rectangular or gusset braces ..................................................... 1,000 2,000

230.29 Inspection and repair:




(a):(1) Failure of owner and/or operator to inspect and repair any steam locomotive boiler and/or appur-

tenance under control thereof ....................................................................................................................... 1,500 3,000(2) Failure to remove steam locomotive from service when considered necessary to do so .......................... 2,500 5,000

(b):(1) Failure of perform repairs in accordance with accepted industry standards .............................................. 2,000 4,000(2) Owner and/or operator returning steam locomotive boiler and/or appurtenances to service before they

are in good condition and safe and suitable for service ............................................................................... 2,000 4,000230.30 Lap-joint seam boilers, Failure to properly inspect ........................................................................................... 2,000 4,000230.31 Flues to be removed:

(a):(1) Failure to remove all flues when inspecting boiler ...................................................................................... 1,500 3,000(2) Failure to enter boiler and clean and inspect .............................................................................................. 1,500 3,000

(b) Failure to remove superheater flues when deemed necessary to do so ........................................................... 1,000 2,000230.32 Time and method of inspection:

(a) Failure to perform 1,472 service day inspection when required to do so .......................................................... 1,500 3,000(b) Failure to properly inspect boiler during 1,472 service day inspection .............................................................. 1,500 3,000

230.33 Welded repairs and alterations:(a) Failure to obtain permission before welding on unstayed portions of boiler containing alloy or carbon steel

with carbon content over .25 percent carbon ....................................................................................................... 1,500 3,000(b) Failure to perform welding on unstayed portions of boiler containing carbon steel not exceeding .25 percent

carbon in accordance with a nationally accepted standard for boiler repairs ...................................................... 1,500 3,000(c):

(1) Failure to submit written request for approval before performing weld buildup on wasted areas ofunstayed boiler surfaces that exceed 100 square inches or the smaller of 25 percent of minimum re-quired wall thickness or 1⁄2 inch .................................................................................................................... 1,500 3,000

(2) Repairing wasted sheets ............................................................................................................................. 1,500 3,000230.34 Riveted repairs and alterations:

(a) Failure to obtain approval before making riveted alterations on unstayed portions of the boiler; failure to doriveting in accordance with established railroad practices or accepted national standards for boiler repairs .... 1,500 3,000

(b) Failure to perform riveted repairs on unstayed boiler portions in accordance with established railroad prac-tices or accepted national standards for boiler repairs ........................................................................................ 1,500 3,000

(c) Failure to perform riveted repairs on stayed boiler portions in accordance with established railroad practicesor accepted national standards for boiler repairs ................................................................................................. 1,000 2,000

230.35 Failure to raise temperature of steam locomotive boiler to 70 degrees F. before applying hydrostatic pres-sure to the boiler .......................................................................................................................................................... 1,000 2,000

230.36 Hydrostatic testing of boilers:(a) Failure to perform hydrostatic test of boiler as required .................................................................................... 1,500 3,000(b) Failure to properly perform hydrostatic test ........................................................................................................ 1,500 3,000(c) Failure to properly inspect boiler after conducting hydrostatic test above MAWP ............................................ 1,500 3,000

230.37 Failure to perform proper steam test or inspection of boiler after completion of repair or alteration to boiler .. 1,000 2,000230.38 Telltale holes:

(a) Failure to have telltale holes as required in staybolts ........................................................................................ 1,000 2,000(b) Failure to have proper telltale holes in reduced body staybolts ........................................................................ 1,000 2,000(c) Failure to keep telltales holes when so required ................................................................................................ 1,000 2,000

230.39 Broken staybolts:(a) Boiler in service with excess number of broken staybolts ................................................................................. 1,500 3,000(b) Failure to replace staybolts when required to do so; to properly replace staybolts when so required; to in-

spect adjacent staybolts when replacing broken staybolts .................................................................................. 1,500 3,000(c) Failure to count leaking, plugged, or missing telltale holes as broken staybolts ............................................... 1,500 3,000(d) Closing telltale holes by prohibited means ......................................................................................................... 1,500 3,000

230.40 Time and method of staybolt testing:(a) Failure to hammer test staybolts when so required ........................................................................................... 1,000 2,000(b) Failure to properly hammer test staybolts .......................................................................................................... 1,000 2,000

230.41 Flexible staybolts with caps:(a) Failure to inspect flexible staybolts as required ................................................................................................. 1,000 2,000(b) Failure to replace broken flexible staybolts; failure to close inner ends of telltale holes as required ............... 1,000 2,000(c) Failure to report removal of flexible staybolts caps and other tests on FRA Form No. 3 when so required .... 1,000 2,000(d) Failure to remove staybolt caps or otherwise test when FRA inspector or steam locomotive owner and/or

operator consider it necessary to do so ............................................................................................................... 1,000 2,000230.42 Failure to have accurate boiler steam gauge where engine crew can conveniently read ............................... 2,000 4,000230.43 Failure to have gauge siphon of proper capacity on steam gauge supply pipe; failure to properly clean,

maintain the steam gauge supply pipe ........................................................................................................................ 1,000 2,000230.44 Failure to test steam gauge when so required ................................................................................................. 1,000 2,000230.45 Failure to properly test and/or set steam gauge .............................................................................................. 1,000 2,000230.46 Failure to attach to boiler backhead metal badge plate showing allowable steam pressure .......................... 1,000 1,500230.47 Boiler Number:

(a) (b) (c) Failure to stamp builder’s number on boiler when number is known ..................................................... 1,000 1,500230.48 Number and capacity of safety relief valves:

(a) Failure to equip steam locomotive boiler with proper safety relief valves ......................................................... 2,500 5,000(b) Failure to provide additional safety relief valve capacity when so required ...................................................... 3,000 6,000

230.49 Setting of safety relief valves:(a) Safety relief valve(s) set and/or adjusted by person not competent to do so ................................................... 2,500 5,000




(b) Safety relief valve(s) not set to open at prescribed pressure(s) ........................................................................ 2,500 5,000(c) Safety relief valve(s) not properly set ................................................................................................................. 3,000 6,000(d) Set pressure of lowest safety relief valve not properly indicated ....................................................................... 1,000 2,000

230.50 Failure to test and adjust safety relief valves when required to do so ............................................................ 1,500 3,000230.51 Failure to equip steam locomotive boiler with at least 2 properly installed water glasses .............................. 1,000 2,000230.52 Failure to properly equip water glasses ............................................................................................................ 2,000 4,000230.53 Failure to properly clean water glass valves and/or gauge cocks when required to do so ............................. 1,000 2,000230.54 Testing and maintenance:

(a) Failure to properly test water glasses and/or gauge cocks ............................................................................... 1,000 2,000(b) Failure to properly maintain gauge cocks, water column drain valves, and/or water glass valves ................... 1,500 3,000

230.55 Tubular type water and lubricator glasses and shields:(a) Failure to renew tubular type water glasses as required ................................................................................... 1,000 2,000(b) Failure to properly shield tubular water glasses and/or lubricator glasses ........................................................ 1,000 2,000(c) Failure to properly locate and/or maintain water glasses and/or water glass shields ....................................... 1,000 2,000

230.56 Failure to equip water glass with suitable lamp .................................................................................................. 1,000 2,000230.57 Injectors and feedwater pumps:

(a) Failure to equip steam locomotive with proper means for delivering water to the boiler .................................. 3,000 6,000(b) Failure to properly test and/or maintain injectors, feedwater pumps, boiler checks, delivery pipes, feed

water pipes, tank hose, tank valves ..................................................................................................................... 2,500 5,000(c) Failure to properly brace injectors, feedwater pumps, and/or associated piping ............................................... 1,000 2,000

230.58 Flue plugs:(a) Plugging flue plugs when not otherwise permitted ............................................................................................. 1,000 2,000(b) Improperly plugging flue plugs, when otherwise permitted ................................................................................ 1,000 2,000

230.59 Failure to remove and properly clean fusible boiler plugs when required to do so; failure to properly noteremoval ......................................................................................................................................................................... 1,500 3,000

230.60 Time of washing:(a) Failure to thoroughly wash boiler when required to do so ................................................................................. 1,000 2,000(b) Failure to remove washout plugs, arch tube plugs, thermic siphon plugs, circulator plugs, water bar plugs

when washing locomotive boiler ........................................................................................................................... 1,500 3,000(c) Failure to examine and/or properly maintain washout plugs washout plug sleeves, threaded openings ......... 1,500 3,000(d) Failure to clean fusible plugs when required to do so ....................................................................................... 1,500 3,000

230.61 Arch tubes, water bar tubes, circulators and thermic siphons:(a) Failure to clean, wash, inspect arch tubes, water bar tubes, circulators and thermic siphons as required ...... 1,000 2,000(b) Failure to renew arch tubes, water bar tubes; failure to repair or renew circulators, thermic siphons when

required ................................................................................................................................................................. 1,500 3,000(c) Failure to properly inspect and/or replace as necessary arch tubes, water bar tubes, circulators ................... 1,500 3,000

230.62 Failure to properly inspect and/or repair or replace as necessary dry pipes subject to pressure ................... 2,500 5,000230.63 Failure to properly inspect smoke box, steam pipes, pressure parts when required to do so ........................ 1,500 3,000230.64 Failure to remove from service steam locomotive boiler leaking under lagging from condition which may

reduce safety and/or repair the boiler before returning to service .............................................................................. 1,500 3,000230.65 Failure to keep steam locomotive boiler, piping, appurtenances in repair so steam does not obscure vision 1,000 2,000230.66 Failure to properly oversee general design, construction, maintenance of steam locomotive(s) and ten-

der(s) ............................................................................................................................................................................ 1,000 2,000230.67 Failure to ensure all steam locomotives and tenders are properly inspected and repaired and/or all defects

are properly repaired and steam locomotive and/or tender are in good condition, safe and suitable for service be-fore being returned to service ...................................................................................................................................... 2,500 5,000

230.68 Failure to equip steam locomotive that operates in excess of 20 miles per hour over the general systemwith speed indicator maintained to ensure accurate functioning ................................................................................ 1,000 1,500

230.69 Failure to equip steam locomotive with properly supported ash pan with operating mechanism that may besafely operated and securely closed ........................................................................................................................... 1,000 2,000

230.70 Safe condition:(a) Failure to perform proper pre-departure inspection when so required .............................................................. 1,000 2,000(b) Failure to properly equip steam locomotive with brake pipe valve clearly identified as ‘‘Emergency Brake

Valve’’ .................................................................................................................................................................... 1,000 2,000230.71 Orifice testing of air compressors:.

(a)(b):Failure to properly test and/or maintain air compressor(s) capacity ................................................................ 1,000 2,000

230.72 Testing main reservoirs:(a) Failure to properly test main reservoir(s) when required ................................................................................... 1,000 2,000(b) Impermissibly or improperly drilling main reservoir ............................................................................................ 1,000 2,000(c) Impermissibly using NDE method to measure wall thickness of main reservoir ............................................... 1,000 2,000(d) Failure to use appropriate method of NDE testing of wall thickness of welded or riveted longitudinal lap

seam main reservoir(s); failure to withdraw main reservoir(s) from service when testing reveals insufficientwall thickness ........................................................................................................................................................ 1,500 3,000

230.73 Air gauges:(a) Failure to equip steam locomotive with properly located air gauge(s) that are no more than 3 psi in error .... 1,000 1,500(b) Failure to test air gauge(s) when so required .................................................................................................... 1,000 1,500(c) Failure to properly test air gauge(s) ................................................................................................................... 1,000 1,500

230.74 Failure to properly clean and/or test all air brake valves, related dirt collectors, filters when required to doso .................................................................................................................................................................................. 1,000 1,500

230.75 Failure to properly stencil or display date of testing and cleaning and initials of shop or station performingwork .............................................................................................................................................................................. 1,000 1,500

230.76 Piston travel:




(a) Insufficient minimum piston travel ...................................................................................................................... 1,000 1,500(b) Excessive piston travel when steam locomotive is stationary ........................................................................... 1,000 2,000

230.77 Foundation brake gear:(a) Failure to properly maintain foundation brake gear ........................................................................................... 1,000 2,000(b) Foundation brake gear less than 2.5 inches above rail ..................................................................................... 1,000 2,000

230.78 Leakage:(a):

(1) Failure to test for leakage from main reservoir or related piping as required ............................................ 1,000 1,500(2) Failure to repair excessive leakage from main reservoir or related piping leakage ................................... 1,000 2,000

(b) Failure to test for brake cylinder as required ..................................................................................................... 1,000 1,500(c):

(1) Failure to test for leakage from steam locomotive brake pipe as required ................................................ 1,000 2,000(2) Failure to repair excessive brake pipe leakage .......................................................................................... 1,000 2,000

230.79 Train signal system:(1) Failure to test the train signal system or other form of on-board communication as required .................. 1,000 1,500(2) Failure to repair train signal system or other on-board communication when not safe or suitable for

service ............................................................................................................................................................ 1,000 1,500230.80 Cabs:

(a) Steam locomotive cab not safe and suitable for service ................................................................................... 1,000 2,000(b) Steam pipes: Construction, attachment .............................................................................................................. 1,000 2,000(c) Oil-burning steam locomotive, cab-enclosed ...................................................................................................... 1,000 1,500

230.81 Cab aprons:(a) Cab apron, general provisions ............................................................................................................................ 1,000 1,500(b) Cab apron, insufficient width .............................................................................................................................. 1,000 1,500

230.82 Fire doors:(a) Safe and suitable for service, general provisions .............................................................................................. 1,000 2,000(b) Construction and maintenance of mechanically operated fire doors ................................................................. 1,000 2,000(c) Construction and maintenance of hand-operated fire doors .............................................................................. 1,000 2,000

230.83 Cylinder cocks:(1) Failure to properly equip with cylinder cocks .............................................................................................. 1,000 1,500(2) Failure to properly maintain cylinder cocks ................................................................................................. 1,000 1,500

230.84 Sanders:(1) Inoperable sanders ...................................................................................................................................... 1,000 1,500(2) Failure to test sanders ................................................................................................................................. 1,000 1,500

230.85 Audible warning devices:(a) General provisions .............................................................................................................................................. 1,000 1,500(b) Sound level measurements, Failure to properly take ......................................................................................... 1,000 1,500

230.86 Required illumination:(a) General provisions .............................................................................................................................................. 1,000 1,500(b) Dimming device, Failure to properly equip with ................................................................................................. 1,000 1,500(c) Multiple locomotives, Failure of lead locomotive to display headlight ................................................................ 1,000 1,500

230.87 Cab lights: Failure to properly equip with ......................................................................................................... 1,000 2,000230.88 Throttles: Failure to properly maintain, equip ................................................................................................... 1,000 2,000230.89 Reverse gear:

(a) General provisions .............................................................................................................................................. 1,000 2,000(b) Air-operated power reverse gear ........................................................................................................................ 1,000 2,000(c) Power reverse gear reservoirs ............................................................................................................................ 1,000 2,000

230.90 Draw gear and draft systems:(a) Maintenance and testing ..................................................................................................................................... 1,000 1,500(b) Safety bars and chains, general ......................................................................................................................... 1,000 1,500(c) Safety bars and chains, minimum length ........................................................................................................... 1,000 1,500(d) Lost motion between steam locomotive and tender ........................................................................................... 1,000 1,500(e) Spring buffers: Improper application, compression ............................................................................................ 1,000 1,500

230.91 Chafing irons: Improper application, maintenance ........................................................................................... 1,000 1,500230.92 Draw gear, draft systems: Improperly maintained, fastened ............................................................................ 1,000 1,500230.93 Pistons and piston rods:

(a) Failure to properly inspect, maintain, renew ...................................................................................................... 1,000 2,000(b) Fasteners: Failure to keep tight, properly equip ................................................................................................. 1,000 2,000

230.94 Crossheads: Improperly maintained, excess clearance ................................................................................... 1,000 2,000230.95 Guides: Failure to securely fasten, properly maintain ...................................................................................... 1,000 2,000230.96 Main, side, valve motion rods:

(a) General ............................................................................................................................................................... 1,000 2,000(b) Repairs.

(1) Failure to make in accordance with accepted national standard ................................................................ 1,000 2,000(2) Failure to submit written request for approval prior to welding ................................................................... 1,000 2,000(c) Bearings and bushings ................................................................................................................................ 1,000 1,500

(d) Rod side motion: Excessive motion ................................................................................................................... 1,000 1,500(e) Oil, grease cups: Failure to securely fasten, properly equip .............................................................................. 1,000 1,500(f) Main rod bearings:

(1) excessive bore ............................................................................................................................................. 1,000 1,500(2) excessive lost motion .................................................................................................................................. 1,000 1,500

(g) Side rod bearings, excessive bore ..................................................................................................................... 1,000 1,500230.97 Crank pins:




(a) General provisions .............................................................................................................................................. 1,000 2,000(b) Maintenance: Failure to maintain in safe, suitable condition ............................................................................. 1,000 2,000

230.98 Driving, trailing, engine truck axles:(a) Condemning defects ........................................................................................................................................... 1,000 2,000(b) Journal diameter: Failure to stamp on end of axle ............................................................................................ 750 1,000

230.99 Tender truck axle: Insufficient diameter ............................................................................................................ 1,000 2,000230.100 Defects in tender truck axles and journals:

(a) Tender truck axle condemning defects .............................................................................................................. 1,000 2,000(b) Tender truck journal condemning defects .......................................................................................................... 1,000 2,000

230.101 Steam locomotive driving journal boxes:(a) Driving journal boxes: Failure to properly maintain ............................................................................................ 1,000 2,000(b) Broken bearings: Failure to renew ..................................................................................................................... 1,000 2,000(c) Loose bearings: Failure to repair or renew ........................................................................................................ 1,000 2,000

230.102 Tender plain bearing journal boxes: Failure to repair .................................................................................... 1,000 1,500230.103 Tender roller bearing journal boxes: Failure to properly maintain ................................................................. 1,000 1,500230.104 Driving box shoes and wedges: Failure to properly maintain ........................................................................ 1,000 1,500230.105 Lateral motion:

(a) Condemning limits: Total lateral motion in excess of ......................................................................................... 1,000 1,500(b) Limits exceeded, failure to demonstrate conditions require additional lateral motion ....................................... 1,000 1,500(c) Interferes with other parts of steam locomotive ................................................................................................. 1,000 1,500

230.106 Steam locomotive frame:(a) Failure to properly inspect and/or maintain ........................................................................................................ 1,000 2,000(b) Broken frames, not properly patched or secured ............................................................................................... 2,500 5,000

230.107 Tender frame and body:(a) Failure to properly maintain ................................................................................................................................ 1,000 1,500(b) Height difference between tender deck and steam locomotive cab floor or deck excessive ............................ 1,000 1,500(c) Gangway minimum width excessive ................................................................................................................... 1,000 1,500(d) Tender frame condemning defects ..................................................................................................................... 1,500 3,000

230.108 Steam locomotive leading and trailing trucks:(a) Failure to properly maintain ................................................................................................................................ 1,000 1,500(b) Safety chain, suitable safety chain not provided ................................................................................................ 1,000 1,500(c) Insufficient truck clearance ................................................................................................................................. 1,000 2,000

230.109 Tender trucks:(a):

(1) Tender truck frames .................................................................................................................................... 1,000 2,000(2) Tender truck center plate ............................................................................................................................ 1,000 2,000

(b) Tender truck bolsters: Failure to properly maintain ............................................................................................ 1,500 3,000(c) Condemning defects, springs and/or spring rigging ........................................................................................... 1,000 2,000(d) Truck securing arrangement: Not properly maintained ...................................................................................... 1,000 1,500(e) Side bearings, truck centering devices ............................................................................................................... 1,000 2,000(f) Friction side bearings: Run in contact ................................................................................................................. 1,000 2,000(g):

(1) Side bearings, failure to equip rear trucks with ........................................................................................... 1,000 2,000(2) Insufficient clearance of ............................................................................................................................... 1,000 2,000

230.110 Pilots:(a) General provisions .............................................................................................................................................. 1,000 1,500(b) Clearance, insufficient or excessive ................................................................................................................... 1,000 1,500

230.111 Spring rigging:(a) Arrangement of springs and equalizers .............................................................................................................. 1,000 2,000(b) Spring or spring rigging condemning defects ..................................................................................................... 1,000 2,000

230.112 Wheels and tires:(a) Improperly Mounted, excess variance in axle diameter ..................................................................................... 1,500 3,000(b) Out of gage ......................................................................................................................................................... 1,000 2,000(c) Flange distance variance, excessive .................................................................................................................. 1,000 2,000(d) Tire thickness, insufficient ................................................................................................................................... 1,000 2,000(e) Tire width, insufficient ......................................................................................................................................... 1,000 2,000

230.113 Wheels and tire defects:(1) Failure to repair ........................................................................................................................................... 1,000 2,000(2) Welding on, except as otherwise provided for ............................................................................................ 1,500 3,000

(a) Cracks or breaks in ............................................................................................................................................. 1,000 2,000(b) Flat spots ............................................................................................................................................................ 1,000 2,000(c) Chipped flange .................................................................................................................................................... 1,000 2,000(d) Broken rim ........................................................................................................................................................... 1,000 2,000(e) Shelled-out spots ................................................................................................................................................ 1,000 2,000(f) Seams .................................................................................................................................................................. 1,000 2,000(g) Worn flanges, excessive wear ............................................................................................................................ 1,000 2,000(h) Worn treads, excessive wear ............................................................................................................................. 1,000 2,000(i) Flange height, insufficient or excessive ............................................................................................................... 1,000 2,000(j) Rim thickness, insufficient .................................................................................................................................... 1,000 2,000(k) Wheel diameter, excessive variance .................................................................................................................. 1,000 2,000

230.114 Wheel centers:(a) Filling blocks and shims ...................................................................................................................................... 1,000 2,000(b) Wheel center condemning limits, failure to repair .............................................................................................. 1,000 2,000




(c) Wheel center repairs ........................................................................................................................................... 1,000 2,000(d) Counterbalance maintenance ............................................................................................................................. 1,000 2,000

230.115 Feed water tanks:(a) General provisions .............................................................................................................................................. 1,000 2,000(b) Inspection frequency, failure to inspect as required ........................................................................................... 1,000 1,500(c) Top of tender: Improperly maintained and/or equipped ..................................................................................... 1,000 1,500

230.116 Oil tanks:(1) Failure to properly maintain ......................................................................................................................... 2,500 5,000(2) Failure to equip with complying safety cut-off device ................................................................................. 5,000 7,500

1 Failure to observe any condition for movement set forth in § 230.12 will deprive the railroad of the benefit of the movement-for-repair provisionand make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) concerning the substantive de-fect(s) present on the locomotive at the time of movement. Failure to comply with § 230.12 will result in the lapse of any affected waiver.

Issued in Washington, D.C. on September30, 1999.Jolene M. Molitoris,Administrator.[FR Doc. 99–28610 Filed 11–16–99; 8:45 am]BILLING CODE 4610–06–P


Date post:	12-Mar-2022
Category:	Documents
Upload:	others
View:	0 times
Download:	0 times

Part III - SteamCentral

Documents