[Federal Register Volume 63, Number 186 (Friday, September 25, 1998)]
[Proposed Rules]
[Pages 51404-51456]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-23856]



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Part II





Department of Transportation





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Federal Railroad Administration



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49 CFR Part 230



Inspection and Maintenance Standards for Steam Locomotives; Proposed 
Revisions; Proposed Rule

  Federal Register / Vol. 63, No. 186 / Friday, September 25, 1998 / 
Proposed Rules  

[[Page 51404]]



DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

49 CFR Part 230

[Docket No. RSSL-98-1, Notice No. 1]


Inspection and Maintenance Standards for Steam Locomotives; 
Proposed Revisions

AGENCY: Federal Railroad Administration (FRA), Department of 
Transportation (DOT).

ACTION: Notice of Proposed Rulemaking (NPRM).

-----------------------------------------------------------------------

SUMMARY: FRA is proposing to update its requirements issued in 1978 
(``1978 standards'') for steam locomotive inspections and maintenance 
with new standards that represent the consensus recommendations of the 
Railroad Safety Advisory Committee's Tourist and Historic Working 
Group. The proposed standards would relax certain inspection 
requirements, while tightening others, to recognize and reflect the 
less frequent use of steam locomotives in today's national system of 
transportation. Significant changes would include: The creation of a 
``service-day'' inspection system that directly relates inspection time 
periods to the actual use of the steam locomotive; the elimination of 
waivers for steam boilers, steam locomotives and their appurtenances, 
with certain exceptions; the inclusion of allowances which encourage 
the use of new technologies, such as non-destructive testing, for 
boiler testing and inspections; and the imposition of qualification 
requirements for individuals making certain repairs to steam locomotive 
boilers, steam locomotives and their appurtenances.
    Certain of the inspection standards would be left substantively 
intact but would be relocated to new sections and given new section 
numbers. Due to the magnitude of the changes proposed, the proposed 
standards would replace the 1978 standards in their entirety.

DATES: (1) Written comments: Written comments must be received no later 
than November 24, 1998. Comments received after that date will be 
considered to the extent possible without incurring additional expense 
or delay. Requests for formal extension of the comment period must be 
made by October 26, 1998.
    (2) Hearing: Because this proposal is based largely on the 
consensus recommendations of the agency's safety advisory committee, 
FRA does not intend to schedule a public hearing regarding this 
proposal absent a specific request to do so. Any requests for FRA to 
hold a public hearing into this matter should be received by FRA by 
October 9, 1998.
    (3) Proposed Effective Date: Part 230 is proposed to become 
effective 60 days after the publication date of the final rule.

ADDRESSES: (1) Written comments: Written comments should identify the 
docket and notice numbers and be submitted in triplicate to: Docket 
Clerk, Office of Chief Counsel, Mail Stop 10, Federal Railroad 
Administration, 400 Seventh Street, S.W., Washington, D.C., 20590. 
Persons who wish to be notified that their comments have been received 
should submit a stamped, self-addressed postcard with their comments. 
The Docket Clerk will indicate on the postcard the date on which the 
comments were received and will return the card to the addressee. 
Written comments will be available for examination, both before and 
after the comment period closes, during regular business hours at the 
Federal Railroad Administration's office space in 1120 Vermont Avenue, 
N.W., Washington, D.C.

FOR FURTHER INFORMATION CONTACT: George Scerbo, Motive Power & 
Equipment Specialist, Federal Railroad Administration, (telephone 202-
493-6249); Lawrence Wagner, Trial Attorney, Office of Chief Counsel, 
FRA, 400 Seventh Street, S.W., Washington, D.C., 20590, (telephone 202-
493-6063); or John Megary, Regional Administrator, Federal Railroad 
Administration, 8701 Bedford-Euless Road, Suite 425, Hurst, TX 76053, 
(telephone 817-284-8142).

SUPPLEMENTARY INFORMATION:

I. Regulatory Background

    In his annual message in 1910, President Taft noted the need for 
regulation of the steam locomotive industry:

    The protection of railroad employees from personal injury is a 
subject of the highest importance and demands continuing attention * 
* *. It seems to me that with respect to boilers a bill might well 
be drawn requiring and enforcing by penalty a proper system of 
inspection.

    Congressional Record, December 6, 1910, p. 33. At that time, there 
were no rules or regulations governing the inspection and maintenance 
of steam locomotives other than the Ash Pan Act, 45 U.S.C.S. 17 (1908), 
repealed Pub. L. 97-468 (1933), which prescribed the method for 
attaching ash pans to a steam boiler. On February 17, 1911, however, 
Congress passed the Locomotive Boiler Inspection Act (LBIA). The LBIA, 
which was opposed by locomotive owners and operators, brought all 
locomotive steam boilers under Federal jurisdiction and established the 
Bureau of Locomotive Inspection and its attendant field force of 50 
Locomotive Inspectors.
    The LBIA became effective on July 1, 1911, and only applied to the 
steam locomotive boiler. It had an immediate and drastic impact; the 
number of incidents caused by the failure of the boiler or any of its 
appurtenances declined sharply. Incidents caused by failures of parts 
of the locomotive other than the boiler and its appurtenances began to 
increase, however, and railroad employees appealed to Congress for an 
amendment that would extend federal jurisdiction over the entire steam 
locomotive and tender and all its parts with the same force and effect 
that had previously only applied to the boiler. The railroad owners and 
operators were, again, vigorously opposed. A bill incorporating the 
proposed amendment was passed by Congress and signed by President 
Wilson on March 4, 1915.
    When the LBIA became effective in 1911, it required each railroad 
subject to the Act to file copies of its rules and instructions for the 
inspection of locomotive boilers. An examination and comparison of the 
170 rules and instructions submitted (out of approximately 2,200 
railroads in the country at that time) disclosed that these rules were 
either substantially similar, or identical, to those promulgated by the 
Master Mechanics' Association. These rules, along with the 1915 
amendments, formed the basis for the former Interstate Commerce 
Commission (ICC) rules which were adopted and have been in effect to 
date. Modifications to these rules were made over the years by ICC 
orders to enhance safety. FRA adopted all ICC rules, interpretations, 
and instructions when the Department of Transportation was created, 
effective April 1, 1967. These rules were published in the Federal 
Register and incorporated into the Code of Federal Regulations in 
December of 1968. Since then, the rules have been updated and amended 
periodically. In 1980, the regulations were removed from the CFR. 
However, FRA has continued to enforce them through today. For purposes 
of clarity, whenever those removed standards are referenced, they will 
be described as ``the 1978 standards'' since there is not current CFR 
citation for them.
    There are currently fewer than 200 steam locomotives in operation. 
Most of them are used in tourist or historic service on an 
intermittent, seasonal basis. Several years ago, a task group of the 
National Board of Boiler and

[[Page 51405]]

Pressure Vessel Inspectors comprised of steam locomotive operators, 
called the Engineering Standards Committee (ESC), petitioned the FRA to 
change the current rules to more realistically reflect the current use 
and conditions of service for today's steam locomotives. The agency 
committed to work with this group to consider revisions to these 
standards. After the agency established its Railroad Safety Advisory 
Committee (RSAC or the Committee), the agency identified this subject 
as one ripe for collaborative rulemaking. Accordingly, the agency 
tasked the RSAC with the formal revision of steam locomotive inspection 
standards on July 24, 1996. It was also recommended at that time that 
the ESC, and the FRA representatives with whom it was working, become a 
Task Force to the RSAC's Tourist and Historic Working Group.

II. Antecedents of FRA's Consensual Rulemaking Approach

    In 1994, FRA established its first formal regulatory negotiation 
committee (``reg-neg'') to address roadway worker safety. This 
committee successfully reached consensus conclusions and recommended an 
NPRM to the Administrator, persuading FRA that a more consensual 
approach to rulemaking would likely yield more effective, and more 
widely accepted, rules. In addition, President Clinton's March 1995 
Regulatory Reform Initiative directed agencies to expand their efforts 
to promote consensual rulemaking. In response to these efforts, FRA 
decided to shift toward a collaborative rulemaking process by 
establishing, and utilizing the consensus recommendations of RSAC.

III. The Railroad Safety Advisory Committee

    The RSAC formally was established on March 25, 1996 to provide 
recommendations and advice to the Administrator on the development of 
FRA's railroad safety regulatory program, including the issuance of new 
regulations, the review and revision of existing regulations, and the 
identification of non-regulatory alternatives for improvement of 
railroad safety. The Committee is comprised of 48 representatives from 
27 member organizations, including railroads, labor groups, equipment 
manufacturers, state government groups, public associations, and three 
associate non-voting representatives from the National Transportation 
Safety Board (NTSB), Canada, and Mexico. The Administrator's 
representative (the Associate Administrator for Safety or that person's 
delegate) is the Chairperson of the Committee.

IV. Steam Task Force of the Tourist and Historic Working Group

    During the July 24, 1996 meeting of the RSAC, the agency charged 
the committee with recommending revisions to the regulations governing 
locomotive inspection standards for steam-powered locomotives (49 CFR 
Part 230), in order to promote the safe operation of tourist and 
historic rail operations, including ``such additions and deletions as 
may be warranted by appropriate data and analysis.'' In its Task 
Statement (Task No. 96-5) to RSAC, the agency instructed the Committee 
to refer this task to the pre-existing Tourist and Historic Railroads 
working group (THWG or The Group), which it successfully did. The THWG 
is comprised of the following organizations:

Association of American Private Railcar Owners
American Short Line Railroad Association
Association of American Railroads
Association of Railway Museums
Brotherhood of Locomotive Engineers
FRA
Tourist Railway Association Inc. (TRAIN)

    The THWG voted during its April 1996 meeting to adopt the ESC, 
which had been examining these issues outside of the RSAC arena, and to 
have it serve as a Task Force reporting to the THWG. As adopted, the 
Steam Standards Task Force (Task Force) is comprised of knowledgeable 
persons from the following organizations:

Valley Railroad Company
Durango & Silverton Narrow Gauge
Union Pacific Railroad
Strasburg Railroad
Hartford Steam Boiler Inspection & Insurance Company
National Board of Boiler Inspectors
ABB/Combustion Engineering
Smithsonian Institution
FRA

    In addition, a locomotive engineer and several steam locomotive 
experts, now working as consultants, participated in the proceedings.
    To accomplish its goal, the Task Force met approximately six or 
seven times during an eighteen month period. During these meetings, the 
Task Force evaluated a previous ESC proposal to revise Part 230, which 
had been presented to FRA in the early 1990's. Many of the issues in 
this proposal engendered much discussion and debate within the Task 
Force. Brief summaries of those discussions are recorded in the 
appropriate parts of the section-by-section analysis portion of this 
document. Technical details supporting certain recommendations are not 
specified in this notice but are recorded in the docket and were 
discussed by the Task Force. A few issues have been designated by FRA 
as ``major issues'' and are more fully discussed below.
    On September 19, 1997, the THWG communicated to the agency their 
unanimous consensus that the Task Force's proposed recommended rule 
text revisions to Part 230 should be forwarded to the RSAC. On January 
16, 1998, both the task force, and the full THWG reached consensus that 
the proposed preamble should be included in the package presented to 
RSAC. The RSAC was presented with the entire package during its January 
27, 1998 meeting. The RSAC considered this proposal and made consensus 
recommendations to the Administrator of FRA. This document reflects the 
Administrator's utilization of those recommendations, consistent with 
applicable law and Presidential guidance.
    Throughout this document, the agency explains the rationale and 
deliberative thought processes of the task force of which it was a 
part. Unless otherwise noted, the agency agrees with the reasoning and 
explanations advanced by the task force for making the proposed 
revisions to these standards contained in this NPRM. The task force's 
deliberations were frequently characterized by robust debate. 
Throughout this document, wherever necessary to explain proposed 
revisions, the agency tries to recapture as much of that debate as is 
relevant and practical.

V. Task Force Goals

    During an early meeting, the task force identified several goals 
for revising Part 230:
    (1) harmonizing FRA and National Boiler Inspection Code terminology 
and standards;
    (2) modernizing the rules to reflect current operating realities;
    (3) eliminating any incentives, financial or otherwise, for 
operators to not follow the rules;
    (4) encouraging the use of new technologies; and
    (5) producing a rule that is more enforceable for being more 
clearly written and more understandable.
    These goals are reflected throughout this document and are embodied 
in the changes proposed.

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VI. Reorganization of Part 230

    The 1978 standards are divided into two main parts--one for the 
steam locomotive boiler and its appurtenances, and the other for the 
steam locomotive and tender. As part of the proposed revisions to Part 
230, the agency has restructured the rule so that it would contain a 
``general'' part, Subpart A, which would contain provisions that would 
apply to the entirety of Part 230, a boiler part, Subpart B, applicable 
to the boiler and its appurtenances, and a locomotive part, Subpart C, 
applicable to the steam locomotive and tender. Some of the concepts 
contained in the proposed Subpart A were formerly contained in Subparts 
A and B of the 1978 standards. This proposal is designed to reduce and 
eliminate identified redundancies in the 1978 standards, and to make 
the rule more clear, readable and understandable.

VII. Major Issues

A. Responsibility for Compliance.

    The agency is proposing to change the term ``railroad company'' 
throughout the body of the rule to the term ``locomotive owner and/or 
operator,'' consistent with the task force proposal to do so, in order 
to reflect the change in steam locomotive operating practices. Many 
railroad companies are not in the business of either owning or 
operating steam locomotives today. While some tourist railroads own and 
operate their own locomotives, frequently steam locomotives are owned 
and/or operated by entities other than the railroad on whose line they 
operate. Hence, in many instances, the locomotive owner and/or operator 
is in a much better position than the railroad company to ensure 
compliance with various regulatory requirements. Thus, the task force 
recommended, and the agency is proposing, to more specifically affix 
responsibility--throughout the rule--on those who are primarily 
responsible for the locomotive. In most cases, that is the locomotive 
owner and/or operator. The task force debated how to best articulate 
the liability standard--whether to use ``owner and operator,'' ``owner/
operator,'' or ``owner or operator.'' They settled on the ``owner and/
or operator'' construct as the clearest method for affixing joint and 
severable liability for the inspection and maintenance of steam 
locomotives on the owner and operator. In certain sections of the rule, 
however, the owner and the operator are individually identified as the 
appropriate party on whom liability would rest.
    Moreover, as provided by statute, the railroad would also be liable 
for permitting any entity to use a noncomplying locomotive on its line 
(see section-by-section discussion of section 230.4, below). The 
adoption of the owner and/or operator language is a clear signal that 
FRA intends to look first to the owner and/or operator to ensure 
compliance, whether or not that happens to be the railroad. It is 
important to note that the proposed applicability section, section 
230.2, which the agency modified from that originally submitted by the 
task force, uses the term ``railroad'' to describe where the rule 
applies. As discussed in the section-by-section analysis for the 
applicability section, the agency is proposing this change to harmonize 
all of its applicability sections. Since this section best expresses 
where the rule applies, as contrasted with the proposed 
``Responsibility for Compliance'' section, Sec. 230.8, which best 
expresses to whom the rule applies, the agency does not expect this 
change to effect a substantive revision of the task force's proposal.

B. Inspection Scheme

    In this rule, the agency is proposing to change the inspection 
scheme for steam locomotive boilers to allow for the changed nature of 
modern steam locomotive operations. The 1978 standards require steam 
locomotive boilers to be inspected at various time periods that are 
linked to an annual calendar, regardless of the amount of actual usage 
the locomotive has incurred. When locomotives were in continuous 
service, this system was not unduly burdensome. Operation of steam 
locomotives today, however, occurs much more infrequently, sometimes 
only a few times a year. Under the new inspection scheme, locomotives 
would be required to be inspected based on the number of ``service 
days'' they accrue, with various intermediate calendar inspection 
requirements retained to ensure an adequate level of safety.
1. Service Days
    This new scheme would be underpinned by the concept of a ``service 
day,'' which would be defined as any day the locomotive has steam 
pressure above atmospheric pressure and a fire in the firebox. Because 
good practice for steam locomotive operation requires that the 
locomotive boiler be slowly heated before use and slowly cooled after 
use, due to the damage such rapid heating and cooling can cause the 
metal of the boiler, a locomotive that runs on weekends could incur 
three service days for one actual day of ``use.'' Thus, the locomotive 
could have fire in the firebox and pressure above atmospheric pressure 
for an entire day before it actually runs, for the entire day that it 
runs, and during the time it takes to cool down after the day it runs, 
which could run into a third service day. Some operators were concerned 
that this definition would create an incentive for operators to 
``dump'' their fires after operating the steam locomotive to avoid 
incurring an extra service day. The task force was of the opinion, 
however, that the financial cost to operators who might so dump their 
fires (in terms of stress and damage to their boilers from such 
behavior) would likely outweigh any inspection time period benefits 
they might gain from such dumping. The task force also articulated its 
belief that, with proper damping and draft restriction, fire can be 
removed from the firebox (and a service day preserved) with no adverse 
affects for the boiler--and that this practice can be, in fact, easier 
on the boiler than banking the fire.
2. Daily Inspection
    The proposed new ``daily inspection'' section would make clear the 
inspection requirements for locomotive owners and operators. The 1978 
standards contains no requirement for a daily inspection, other than a 
requirement that the locomotive and tender be inspected ``after each 
trip, or day's work.'' In the proposed section, the agency would retain 
that general daily inspection requirement for each day that the 
locomotive is ``offered for use,'' but also would impose a ``pre-
departure'' requirement for the locomotive to be inspected at the 
beginning of each day the locomotive is actually used, with particular 
attention called to certain safety critical items--the water glasses 
and gauge cocks, the boiler's feedwater delivery systems, the air 
compressors and governors, and the air brake system.
3. 31 and 92 Service Day Inspections
    The proposed rule also requires 31 and 92 service day inspection 
requirements, which would roughly correspond to the monthly and three 
month inspections in the 1978 standards.
4. Annual Inspections
    The proposed rule includes annual inspection requirements that 
would be similar to the 1978 standards, requiring that the locomotive 
be inspected after 368 days have elapsed from the time of the prior 
annual inspection. The 1978 standards require that certain items be 
inspected at least ``once every 12 months.'' The proposal for the 
annual

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inspection, as for all other inspections, would incorporate the 
inspection requirements for all inspections required to be conducted at 
earlier intervals. Thus, locomotives that are operated infrequently 
enough to not accrue either 31 or 92 service days would have those 
inspections conducted, at a minimum, once each 368 calendar days. In 
addition, this proposal would modify the inspection time period for 
flexible staybolts and caps from once each 2 years under the 1978 
standards to during each 5th annual inspection.
5. 1472 Service Day Inspection
    Finally, the 1978 standards require that the boiler be inspected, 
at a minimum, once each 5 calendar years (boiler interior must be 
inspected after 48 calendar months, within 5 consecutive years, and 
boiler exterior must be inspected every 5 years, or if the locomotive 
is out of service for at least one full month, then after 60 calendar 
months within 6 consecutive years). This inspection is a major one, 
requiring the removal of the jacket and lagging to conduct the exterior 
inspection, and the removal of all flues in the locomotive boiler to 
conduct a ``minute'' inspection of the interior of the boiler. The 
agency is proposing to modify this requirement by requiring that these 
inspections be conducted when the locomotive has accrued 1472 service 
days, not to exceed 15 years. As explained earlier, in section IX(B), 
the proposed revisions to these standards are designed to track the 
amount of actual usage the steam locomotive receives. The 15 year 
maximum, beyond which time the 1472 service day inspection would have 
to be conducted, is derived from the Task Force's collective 
experience.
    As part of the 1472 service day inspection, the agency is also 
proposing to require the completion, verification and updating of the 
locomotive's Form 4, the ``specification card'' required by Sec. 230.54 
of the 1978 standards. The agency is making clear that this form must 
be verified, and updated as necessary, to reflect the current condition 
of the boiler following the conduct of each 1472 service day 
inspection.
    This recordkeeping requirement would not actually be new, although 
it might seem as such to some; it would merely clarify and make express 
what the 1978 standards already require. Because some locomotive owners 
and/or operators may not understand that the 1978 standards required 
that the Form 4 be continuously accurate, however, this change might be 
perceived as new.
    The 1978 standards do not expressly require periodic surveying to 
verify the accuracy of the current Form 4, nor the updating of any 
changes thereto, although doing so was required by the language of the 
form itself, which required a testimonial that all information was true 
and accurate, and by the actual language of the 1978 standards itself, 
which required that the Form 4 be updated to reflect boiler repairs or 
changes that might affect the Form 4 data.
    In addition, the agency is proposing a competence requirement for 
the conduct of the 1472 service day inspection and for the surveying of 
the boiler to recalculate the Form 4. Accordingly, this proposal would 
require that an individual competent to do so conduct the 1472 service 
day inspection and, at that time, that an individual competent to do so 
survey the boiler to evaluate the accuracy of the current Form 4 and 
use those survey results to recalculate the Form 4, if necessary. The 
recalculated Form 4 would have to be filed within 1 month after the 
completion of the 1472 service day inspection.
6. FRA Inspection Oversight
    To ensure an adequate level of safety in light of these relaxed 
time periods, the group recommended, and the agency is proposing, an 
increased amount of FRA oversight for these inspections. Thus, for 
certain of these periodic inspections, the agency would be offered the 
opportunity to be present during the conduct of some, or all, of the 
inspection. In the case of the 31 service day inspection, the agency 
would bear the responsibility for communicating to the locomotive owner 
and/or operator that FRA wants to be notified prior to the inspection 
and given an opportunity to attend. Once that occurs, however, the 
owner and/or operator would have to provide the agency with a scheduled 
date and location for the inspection. At that time, any changes to that 
schedule would have to be mutually agreed upon. This proposed approach 
would balance competing interests and would comport with the task 
force's deliberations. The task force wanted to provide owners and 
operators the flexibility to conduct their business without 
unreasonable interference by FRA scheduling conflicts; however, they 
also intended that owners and/or operators would act in good faith and 
take all reasonable measures to accommodate an FRA request to be 
present.
    In the case of the annual inspection, however, the locomotive owner 
and/or operator would bear the onus of providing FRA with one month's 
prior notice that the annual inspection is to be conducted. The agency 
would then have the option of indicating a desire to be present for 
some, or all, of this inspection. The locomotive owner and/or operator 
would, at that point, have to provide FRA with a scheduled date and 
location for each aspect of the inspection. As with the 31 service day 
inspection, once scheduled, any scheduling changes would have to be 
mutually agreed upon.
    This notification scheme would allow the agency to observe the 
locomotive owner and/or operator's conduct of various inspections, and 
would allow the FRA field personnel directly responsible for inspecting 
steam locomotive operations to work cooperatively with the regulated 
community and to obtain better information about the condition of the 
steam locomotives in their territories.

C. Elimination of Availability of Waivers

    In this rule, the agency is proposing to eliminate the availability 
of all waivers currently available under this part. The 1978 standards 
contain a section that allows for the ``modification of rules'' for 
``roads operating less than 5 locomotives'' upon a showing that 
conditions warrant it. This language predated the agency's formal 
waiver process, codified at 49 CFR 211.41, and was originally intended 
to apply only to the subpart addressing the steam locomotive and 
tender, and not the subpart addressing the locomotive boiler. In 
addition, the flue removal section in the 1978 standards would allow 
extensions of the time period for removing flues, and for conducting 
the comprehensive boiler inspection, upon formal application to the 
Director of the Bureau of Railroad Safety. Thus, throughout the 
agency's eight regions, different locomotives have been allowed to 
delay the conduct of the boiler inspection by varying amounts of time 
based, in part, on the regional processes for addressing these 
requests. By eliminating the waiver provision, the agency would 
accomplish several things: (1) regulatory clarification that the 
agency's waiver process in Part 211 is the appropriate vehicle for 
gaining relief from the requirements of this part; (2) national 
knowledge and coordination of all waivers considered and granted for 
steam locomotives; and (3) an added level of assurance that steam 
locomotives are being regulated consistently. The group also felt that 
such extensions and waivers under this part would generally no longer 
be necessary given the flexibility being

[[Page 51408]]

afforded by the proposed new inspection scheme--but where necessary, 
would be best addressed by the centralized waiver process provided for 
in Part 211.

D. Standard for Repairs

    The agency is proposing to regulate the standards for making 
certain repairs to the steam locomotive and boiler. The task force was 
concerned about controlling the quality of the repairs made to steam 
locomotives and boilers and decided to impose, as a minimum, the 
requirement that repairs be made in accordance with an ``accepted 
industry standard.'' While the task force debated simply requiring that 
repairs be made in accordance with the National Board Inspection Code ( 
NBIC ) published by the National Board of Boiler and Pressure Vessel 
Inspectors (NBBPVI) or the American Petroleum Institute (API) 
established standards, it ultimately recommended that the agency afford 
industry members a measure of flexibility by acknowledging the canon of 
established railroad practices that have been successfully utilized 
over time; this proposal reflects that decision. While there was some 
concern about whether the term ``accepted'' was too vague, the task 
force felt that it was a knowable quantum--that industry members knew 
what was required to ensure that repairs are properly made. Due to the 
small size and close-knitness of the steam locomotive community, the 
group felt that imposing an ``accepted industry standard'' on repairs 
made, and allowing that standard to include ``established railroad 
practices, or NBIC or API established standards'' would result in an 
equivalent level of quality in the repairs made. This proposal reflects 
those decisions also. Finally, as used in this proposal, ``established 
railroad practices'' would mean a practice used by one or more 
railroads over a period of time that could be reasonably shown to have 
been successful in service, or that most industry members would agree 
is an appropriate standard to use for a given repair. In practice, the 
locomotive owner and/or operator would bear the onus of proving that 
the standard is established within the railroad community and that it 
is appropriate for the repair under consideration.
    The agency also is proposing to expressly allow welding on both 
stayed and unstayed portions of the boiler, with some limitations. 
While the 1978 standards did not prohibit welding on unstayed portions 
of the boiler, it was widely understood that such welding was not 
allowed. Thus, by expressly allowing it, this proposal would suggest a 
fairly radical change.
    In section 230.33 of this proposed rule, ``Welded Repairs and 
Alterations,'' the agency is proposing requiring prior approval for any 
welding done on unstayed portions of high carbon boilers (greater than 
0.25% carbon); the risk of welding on the boiler is much higher for 
boilers with a high carbon content. Welds on unstayed portions of lower 
carbon boilers (less than 0.25% carbon) would not be similarly 
restricted.
    For both low and high carbon boilers, however, the agency is 
proposing to impose a repair standard that allows the locomotive owner 
and/or operator a measure of flexibility while simultaneously insuring 
a minimum level of safety. Accordingly, the agency is proposing to 
require that any welded repairs to unstayed portions of the boiler be 
performed in ``accordance with an accepted national standard for boiler 
repairs.'' This would modify the general repair standard discussed 
above to more narrowly apply to boiler repairs.
    By referencing an accepted national standard for boiler repairs, 
the task force, and the agency, wanted to impose a measure of quality 
control to provide assurance that any welding done is done well, and 
done safely. Because there are several national organizations that 
prescribe such procedures, the operator would be allowed to follow any 
one of a number of methods. ``In accordance with an accepted national 
standard for boiler repairs,'' therefore, would mean that all physical, 
mechanical, and documentation requirements delineated in a particular 
standard, such as the NBIC, have been satisfied. The task force heavily 
debated simply imposing the NBIC standard itself but decided that the 
financial burden imposed would be too great. The NBIC program requires 
reporting of the final repair and third-party oversight throughout the 
repair, which can be very costly. The task force felt the inspector 
oversight and reporting requirements already mandated by the agency 
would perform the same function as the NBIC third-party inspection and 
reporting requirements. Accordingly, the task force decided to simply 
reference the standard to which the repair should be done, without 
incurring the reporting requirements, or third-party inspection 
requirements, of the NBIC. This proposal reflects that decision.
    The task force was also very concerned about follow-up radiography 
for the welds conducted, and considered mandating that all welds on 
unstayed portions of the boiler be radiographed. At one point they 
considered incorporating an American Society of Mechanical Engineers 
(ASME) radiography standard, which described the procedures for 
conducting radiography, but ultimately concluded that doing so would be 
more complicated than they desired this part to be, and that doing so 
was ultimately unnecessary because the accepted national standard would 
include radiography where necessary. Accordingly, this proposal does 
not mandate radiography separate from that required by the accepted 
national standard chosen for the welded repair at issue.
    The task force discussed the potential for abuse of the ``accepted 
national standard for boiler repairs'' standard but felt that this 
section clearly requires locomotive owners and/or operators be able to 
establish and/or document such a national standard--to point to the 
procedures they followed in performing a particular weld. The 
locomotive owner and/or operator would bear the onus of establishing 
that they followed a particular national standard and did so correctly. 
Accordingly, this standard would require that the locomotive owner and/
or operator adhere to whatever the particular national standard 
requires, from pre-weld treatments and welder qualifications, through 
post-weld inspection requirements. The locomotive owner and/or operator 
would also have to demonstrate that they had satisfied the accepted 
national standard upon request by an FRA inspector.

E. Allowances Encouraging the Use of New Technologies

    The task force felt very strongly that the 1978 standards, which 
had not been substantively revised in over 20 years, did not adequately 
address new technologies. Accordingly, the task force wanted the rule 
to address innovations in inspection and maintenance methodology and 
technology. In many instances, the task force was concerned about the 
excessive wear on the locomotive, boiler and appurtenances from 
complying with aspects of the 1978 standards. The task force also felt 
that the altered nature of steam locomotive service today provided 
additional justification for updating the rule to reflect modern 
operating circumstances, and to encourage the use of non-destructive 
technologies to satisfy various inspection requirements. Accordingly, 
in many sections of this proposed rule, the agency is encouraging the 
use of advanced technologies by proposing to grant additional 
regulatory flexibility where such technologies are utilized. In some 
cases, however, the task force

[[Page 51409]]

recommended, and the proposal incorporates, mandatory non-destructive 
examination (NDE) testing for safety reasons. The main sections 
affected are: (1) the flue removal section, 230.31; (2) the Arch tube, 
water bar tube and circulator section, 230.61; (3)the dry pipe section, 
230.62; (4) the main reservoir testing section, 230.72; and (5) the 
draw gear and draft system section, 230.92.

F. Imposition of Qualification Requirements for Repair

    By referencing national standards, this proposed rule would 
address, for the first time, the qualification requirements for 
individuals making repairs to steam locomotives. Both the NTSB, and the 
task force, felt strongly that the rule should address minimum 
requirements for individuals making certain repairs. Thus, wherever 
national standards call out qualification requirements, steam 
locomotive owners and/or operators making such repairs would have to 
comply with these requirements. The task force considered imposing more 
explicit qualification requirements than those imputed from these 
national standards but concluded that such was not necessary at this 
time. FRA shares that view and is not proposing more explicit 
qualification requirements.

G. Implementation Schedule

    FRA is proposing a gradual phase-in of Part 230 to allow locomotive 
owners and operators the flexibility necessary to bring their 
operations into compliance. See section 230.3 for a full discussion of 
the proposed implementation schedule. FRA is proposing that some 
requirements must be complied with one year after the proposed 
effective date for the final rule. In addition, FRA proposes that 
locomotive owners and/or operators will be allowed to request flue 
removal extensions until two years after the proposed effective date 
for the final rule. Finally, locomotive owners and/or operators that 
qualify to file a Petition for Special Consideration would be required 
to do so within one year from the proposed effective date for the final 
rule and the agency will have one year to consider and respond to any 
petitions filed.

VII. National Transportation Safety Board Recommendations

    Following their investigation of the 1995 steam boiler explosion on 
the Gettysburg Passenger Services railroad, the NTSB issued the 
following recommendations to the agency:
    (1) Require that each operating steam locomotive have either a 
water column or a water glass in addition to the water glass and three 
gage cocks that are already required. (R-96-53).
    (2) Require steam locomotive operators to have a documented water-
treatment program. (R-96-54).
    (3) Describe basic responsibilities and procedures for functions 
required by regulation, such as blowing down the water glass and 
washing the boiler. (R-96-55).
    (4) In cooperation with the Tourist Railway Association, Inc. 
(TRAIN), promote awareness of and compliance with the Hours of Service 
Act. (R-96-56).
    (5) In cooperation with the National Board of Boiler and Pressure 
Vessel Inspectors and the TRAIN, explore feasibility of requiring a 
progressive crown stay feature in steam locomotives. (R-96-57).
    (6) In cooperation with the National Board of Boiler and Pressure 
Vessel Inspectors and the TRAIN develop certification criteria and 
require that steam-locomotive operators and maintenance personnel be 
periodically certified to operate and/or maintain a steam locomotive. 
(R-96-58).
    (7) In cooperation with the National Board of Boiler and Pressure 
Vessel Inspectors and the TRAIN, update 49 CFR Part 230 to take 
advantage of accepted practical modern boiler-inspection techniques and 
technologies, to minimize interpretation based on empirical experience, 
and to maximize the use of objective standards. (R-96-59).
    This proposed rule reflects the careful consideration of these 
recommendations, both by the agency and the industry advisory committee 
members who advised the Administrator regarding revisions to this Part. 
That advisory committee task force was comprised of steam locomotive 
experts, steam railroad operators, steam boiler insurance companies, 
the National Boiler Inspection Code Committee, Volpe National 
Transportation Systems Center (Volpe Center) and several 
representatives from FRA. Representatives of NTSB were offered a seat 
at the table but declined. FRA requested that the task force address 
the NTSB's recommendations and suggest appropriate responses. The 
results of that discussion were as follows:

R-96-53  Water Glasses--The task force expressed support for this 
recommendation, and section 230.51 of this proposal, which requires a 
minimum of two sight glasses or a sight glass and a water column, 
reflects that. The proposal eliminates the requirement that boilers be 
equipped with gage cocks because the task force felt that the second 
water glass was more accurate and easier to read. This proposal does 
require, however, that the gage cocks be maintained on a locomotive 
equipped with them.
R-96-54  Water Treatment--Industry members of the task force did not 
express support for NTSB's proposed water treatment requirement because 
they felt that the current regulatory focus on boiler washing was 
adequate to address the condition of the boiler interior, and to 
prevent the build up of sediment and mineral deposits. The task force 
also felt that water treatment programs could be unduly burdensome, 
especially for steam locomotives with a single water source that 
requires constant testing due to water quality variations, or where 
locomotives travel long distances and draw water from numerous sources. 
Finally, the industry members felt that the issue of water treatment 
should be addressed in a performance standard, but they indicated that 
it would be impossible to write a uniform performance standard. FRA 
agrees that the fundamental issue is the interior condition of the 
boiler, and the task force recommendations and FRA inspection practice 
adequately addresses the condition of the boiler interior.
R-96-55  Delineation of Responsibilities--The task force expressed 
support for this recommendation, and this proposal attempts to clearly 
delineate basic responsibilities and procedures. In addition, the Volpe 
Center has produced a training video for steam-locomotive operators for 
FRA. The video covers items required during daily inspections and pre-
trip inspections, such as blowing down water glasses, checking gage 
cocks and other items to ensure the safe operation of a steam 
locomotive. This video was unveiled during TRAIN's annual convention in 
November of 1997, and was mailed to steam locomotive owners and 
operators throughout the country shortly thereafter. Finally, the 
industry members of the group endorsed putting together a ``Recommended 
Practice Manual'' (RPM) for many issues that this proposal does not 
address. The agency will continue to work with the industry on the 
development of a RPM.
R-96-56  Hours of Service Act Awareness--The industry members indicated 
support for FRA's working

[[Page 51410]]

in tandem with the TRAIN to promote awareness of the Hours of Service 
Act. The agency will work with TRAIN to increase awareness of Hours of 
Service Act requirements, and to promote compliance with the Act.
R-96-57  Progressive Crown Stays--The industry representatives 
indicated their willingness to explore the feasibility of progressive 
crown-stays but did not think time would permit their addressing this 
issue in the Part 230 revisions. FRA has requested that the NTSB make 
staff assistance available to the task force to outline the steps 
necessary to conduct this evaluation.
R-96-58  Certification Program--The industry representatives expressed 
support for this recommendation and are investigating the feasibility 
of developing certification criteria for several classes of employees 
or volunteers affected. Some members, however, expressed concern about 
the cost involved in assessing job and task requirements. The agency 
would prefer to promote a voluntary certification program. While the 
current standards for Qualification and Certification of Locomotive 
Engineers contain training requirements that may serve as a framework 
for better defining the competencies of steam locomotive operators, 
those regulations do not currently apply to operations off the general 
system of rail transportation. Administering a technically elaborate 
certification program that would ultimately affect the operation of 
fewer than 150 locomotives does not appear to be a wise use of scarce 
federal resources. Following completion of the Steam Locomotive 
Standards revision, FRA will encourage the Tourist & Historic Working 
Group to carry forward this discussion, with the objectives of 
supporting private initiatives and offering technical support for sound 
training programs, including evaluation of current competencies.

R-96-59  Modernization of Part 230--Industry members expressed support 
for this recommendation and are accomplishing this through its 
partnership with FRA on the Railroad Safety Advisory Committee/Tourist 
& Historic Working Group task force.

    FRA submitted responses to the NTSB's recommendations and, 
recently, received the NTSB's reply to our response. The NTSB was 
satisfied with the agency's plan, influenced by the task force 
recommendations, to address NTSB recommendations R-96-53, R-96-55, R-
96-56, and R-96-59 but was, however, dissatisfied with our plan to 
address recommendations R-96-54, R-96-57, and R-96-58. These three 
latter recommendations will be discussed at greater length below.
    FRA concurs with the task force responses to NTSB's recommendations 
and believes that the proposed revisions to the steam locomotive 
regulations will address most of those recommendations. The agency 
invited NTSB staff to participate in the task force deliberations, but 
they were unable to do so. FRA believes that a full technical exchange 
of views would have been helpful to resolving the remaining 
recommendations. Notwithstanding the following explanation (which the 
agency supports) of the task force's deliberations, below, and why they 
did not agree with certain of the NTSB's recommendations, any party 
supporting those recommendations should submit data and analysis 
indicating the safety need for a more prescriptive approach.
    NTSB's recommendation R-96-54 would require operators to maintain a 
documented water treatment program. The task force simply disagreed 
that such a program was necessary. They felt that the boiler washes 
were the real issue, not the chemical remediation of the owner or 
operator's water source. THE NTSB, in its response, concurred with the 
task force that the wash is ``probably more directly effective in 
controlling boiler sediment and mineral deposits.'' However, the NTSB 
added, ``a documented water treatment program does not have to be 
expensive, rigid or burdensome.'' While the agency lacks the data to 
evaluate the cost-effectiveness of any such program, it doesn't feel 
such an inquiry is necessary since all parties agree that the wash is 
the most ``directly effective'' method of preventing boiler sediment 
and mineral deposits. Based on discussions in the task force and field 
experience concerning steam boiler maintenance, it is the agency's 
judgement that safety will not be enhanced by incorporating this 
additional requirement into the rule. Operators are always free to 
voluntarily conduct their own water treatment programs (and many do). 
Given the effectiveness of the boiler wash, it does not appear to be 
cost-beneficial to mandate documented water treatment programs at this 
time. FRA is also concerned with the paperwork burdens associated with 
such a program. Federal agencies are mandated to reduce information 
collection burdens, and regulatory burdens on small entities are to be 
minimized. However, and notwithstanding the above, anyone with specific 
data and analysis supporting this recommendation should submit it for 
the agency's consideration.
    The NTSB's recommendation R-96-57 would require the agency to 
explore the feasibility of progressive crown-stays in mitigating the 
damage caused by boiler failures. The task force's experience with 
progressive crown stays was not enough, without more, to support a 
mandate at this time. The agency, in consultation with the task force, 
indicated to the NTSB its willingness to do so, but felt it lacked time 
and resources to adequately address this issue at this time, in this 
rulemaking. The NTSB found this response unacceptable. The agency told 
the NTSB they would appreciate the Board's making available staff 
assistance to the task force to help outline the steps necessary to 
conduct this evaluation. No assistance was forthcoming. The agency 
remains open to this issue but believes that research is necessary 
before it can conclude, one way or another, that progressive crown 
stays are a cost-beneficial safety enhancement. Any party with data or 
analysis related to progressive crown stays, and their role in 
mitigating boiler failures, should submit it to the agency at this 
time.
    Finally, NTSB recommendation R-96-58 would require the agency to 
develop a certification program for steam locomotive operators and 
maintenance personnel. The agency prefers to promote a voluntary 
certification program, given the scarcity of federal resources 
available to administer a technically elaborate certification program 
for such a small number of affected entities. The Tourist and Historic 
Working Group's task force has already created and produced, with the 
Volpe Center, a training video for the conduct of steam locomotive 
daily inspections. This video was aired during the TRAIN convention 
held in November of 1997, and was mailed to each steam locomotive owner 
or operator for whom the agency had user fee records. This is but a 
first step in response to the NTSB's recommendation; the agency plans 
to work with the regulated community to carry forward this discussion 
and will support private initiatives, offering technical support for 
training programs, including the evaluation of current competencies of 
steam locomotive operators and maintenance personnel. Of course, any 
party supporting the NTSB's recommendations should submit data and 
analysis indicating the safety need for a more prescriptive approach.

[[Page 51411]]

Section-by-Section Analysis

    The following section-by-section analysis discusses the proposed 
changes in more detail. As an aid to readers, FRA has denominated as 
``new'' sections of the proposed rule which lack a present counter 
part.

Subpart A--General

    FRA is proposing in this subpart to add a series of provisions 
comparable to those found in its recent regulations. Through these 
uniform provisions, FRA makes explicit the scope, purposes and 
applicability of these rules and the potential consequences of 
noncompliance with the rules once adopted.
Section 230.1. Purpose and Scope (New)
    This section proposes to make explicit the scope of Part 230, and 
that these proposed standards are minimum standards only.
Section 230.2. Applicability (New)
    As described in the above ``Responsibility for Compliance'' 
discussion, the task force wanted to rewrite this Part to make clear 
that the steam locomotive regulations would apply primarily to steam 
locomotive owners and/or operators. Their proposed applicability 
section read as follows:

    This part applies to any entity which owns a steam locomotive or 
operates one under a contract, agreement or lease. This part does 
not apply to entities that own or operate steam locomotives over 
track that is less than 24 inches in gage or to entities that are 
considered ``insular'' by this agency. See Appendix A for a current 
statement of the policy on the Federal Railroad Administration's 
(FRA's) exercise of jurisdiction.

    Although the agency changed this language to text that is more in 
keeping with the purpose and language of the applicability provisions 
of FRA's other rules, this will not defeat the task force's clear 
objective to place responsibility primarily on the owner and/or 
operator of the locomotive, since the Applicability section does not 
indicate on whom the rule will place responsibility for compliance, but 
rather indicates where, geographically, the rule will apply. That is, 
the applicability section indicates on which railroads the rule will 
apply. By statute, FRA has jurisdiction over all railroads (except for 
urban rapid transit operations not connected to the general system), 
but it frequently limits the reach of a particular rule to something 
less than the entire universe of railroads, and uses the applicability 
section to clarify which operations are intended to be covered by the 
rule. Individuals trying to determine whether they must comply with 
this Part should turn to section 230.8 Responsibility for Compliance, 
for guidance. That section, which captures and retains the task force 
intent expressed in their recommended ``Applicability'' language, would 
indicate to whom the rule applies. In this rule, that would 
specifically include the locomotive owner and/or operator.
    Notwithstanding elimination from the Applicability section, the 
locomotive owner and/or operator remain specifically identified 
throughout the rule as the party or parties best able to execute 
certain delineated inspection and maintenance responsibilities. Thus, 
the fact that the locomotive owner and/or operator have been removed 
from the Applicability provision does not mean that they will not be 
held primarily responsible for compliance; rather, section 230.2 should 
be seen as standard language used to describe the extent of the 
agency's exercise of its statutory jurisdiction, with section 230.8 
providing the practical compliance guidance that the task force 
included in the Applicability section it recommended.
    Accordingly, this section proposes to make these standards apply to 
all railroads that operate steam locomotives. This section further 
carves out four categorical exceptions (three of which are ``standard'' 
exceptions) to this broad expression of regulatory authority. First, 
this section, as proposed, would not apply to railroads with less than 
24'' gage. This section is not standard, but is consistent with the 
agency's historical approach to exercising its safety jurisdiction. 
Railroads on less than 24'' gage have never been considered railroads 
by the Federal railroad safety laws and are generally considered 
miniature or imitation railroads. In the context of this rule, which 
will clearly apply to certain operations of less than standard gage, it 
is important to clarify that the smallest gage railroads are not 
included.
    Second, this section, as proposed, would not apply to ``plant'' 
railroads that exclusively operate freight trains on track inside an 
installation that is not part of the general system of transportation. 
This is a standard provision.
    Third, this section, as proposed, would not apply to urban rapid-
transit operations that are not connected to the general system of 
transportation. This is also a standard provision that merely restates 
the statutory limit on FRA's jurisdiction for the convenience of the 
reader.
    Finally, this section, as proposed, would exclude from its reach a 
railroad that operates passenger trains only on track inside an insular 
installation--one that's operations are limited to a separate enclave 
in such a way that the safety of those who do not enter the enclave is 
not affected by the operations. Insularity is destroyed, however, and 
the rule would apply, where any of the following exists: (1) a public 
highway-rail crossing that is in use; (2) an at-grade rail crossing 
that is in use; (3) a bridge over a public road or commercially 
navigable waters; or (4) a common corridor with another railroad, i.e., 
operations conducted within 30 feet of those of any other railroad. 
This section, too, is standard and reflects the agency's long-standing 
policy on its exercise of jurisdiction over tourist and historic 
railroads. This language is used where FRA intends to reach tourist 
railroads whose operations are not over the general railroad system but 
affect public safety sufficiently to be covered by a particular rule. 
As proposed, this section includes the word ``installation'' in its 
discussion of this Part's applicability to entities that operate 
``passenger'' trains. While the agency has included this term with 
specific reference to passenger operations in three of its rulemakings 
over the past few years,1 the agency believes that the 
regulated industry may not be accustomed to seeing this term in the 
context of tourist railroads, instead of the customary'plant railroad'' 
context. It is the agency's view that an ``installation'' is simply a 
separate enclave off the general system.
---------------------------------------------------------------------------

    \1\ See Power Brake Regulations NPRM, 59 FR 47676 (September 16, 
1994); Railroad Accident Reporting NPRM, 59 FR 42880 (August 19, 
1994); and Grade Crossing Signal System Safety Final Rule, 59 FR 
50086, (September 30, 1994). Subsequent publications in the Grade 
Crossing (GC) and Accident Reporting (AR) arenas have included this 
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).
---------------------------------------------------------------------------

Section 230.3. Implementation (New)
    This section proposes a staggered implementation scheme to provide 
additional flexibility to locomotive owners and operators who might be 
otherwise adversely affected by the magnitude of changes being 
proposed. The implementation language was strenuously debated by all 
members of the task force. The task force's greatest concern related to 
the potential that locomotive owners and/or operators would be required 
under the proposed rule to conduct an inspection equivalent to that 
required by this rule's section 230.17 sooner than they would be 
required to do so under section 230.10

[[Page 51412]]

of the 1978 standards. This concern was balanced against the concern 
that locomotive owners and/or operators not be granted a ``windfall'' 
and allowed more time under the proposed standards than wise to ensure 
an adequate level of safety.
    The task force's primary desire was to apply the new inspection 
requirements retroactively to certain locomotives that had complied 
with section 230.10 and section 230.11 of the 1978 standards within a 
set period of time prior to the effective date of the rule. The task 
force had a great deal of difficulty determining the appropriate period 
of time prior to the rule's effective date to allow retroactive 
application of the proposed inspection standards. The Association of 
Railway Museums, in particular, wanted to allow locomotive owners and/
or operators that had satisfied the inspection requirements under the 
1978 standards within ten years prior to this rule's effective date to 
compute the time for conducting the 1472 service day/15 year inspection 
from the date on which those inspections were conducted.
    The compromise which resulted is reflected in this section. This 
section would make the conduct of the 1472 service day inspection the 
trigger for compliance with the entire part, and would require the 1472 
service day inspection to be conducted at the time the inspection under 
section 230.10 of the 1978 standards would be required under the 1978 
standards. Thus, with the exception of certain items that become 
effective one year from the effective date of the rule, the locomotive 
owner and/or operator would have to begin to comply with the entirety 
of the rest of Part 230 whenever they conduct the 1472 service day 
inspection required under the proposed standards. Up until that time, 
however, compliance with the regulations in effect prior to the 
effective date of this rule would constitute full compliance with this 
part.
    To provide additional flexibility, however, the agency is proposing 
to continue to consider flue removal extensions under the provisions of 
section 230.10 of the 1978 standards until two years from the effective 
date of the rule. Thus, in a typical case, a locomotive that had 
received an inspection under section 230.10 of the 1978 standards up to 
five years ago would have, with this flue extension provision, a 
potential minimum of two years from the effective date of the rule to 
conduct the 1472 service day inspection required by these proposed 
standards. If the locomotive had very recently received the inspection 
required by section 230.10 of the 1978 standards, likewise, the 
locomotive owner and/or operator would have the entire period allowed 
under that section before conducting the 1472 service day inspection 
required by these proposed standards.
    Notwithstanding the above, the implementation section also proposes 
allowing locomotive owners and/or operators to petition the agency for 
``special consideration'' of the rule's implementation. In order to 
qualify to file a petition for special consideration, the locomotive 
owner and/or operator would have to have either fully or partially 
satisfied the proposed 1472 service day inspection requirements within 
three years prior to the effective date of this rule. If the locomotive 
had only partially satisfied the requirements of this section, it would 
have to be in full compliance by the time the petition is actually 
filed. The petition would have to be filed within one year from the 
effective date of the rule and would have to include all documentation 
necessary to establish that the locomotive had satisfied the 
requirements of the proposed 1472 service day inspection standards. The 
agency would then respond to the petition within one year. Thus, the 
time involved in filing a petition for special consideration, and for 
receiving FRA's response to that petition, would be the same as the 
two-year grace period allowed to non-petitioning locomotive owner and/
or operators who utilize the available flue extension provision. The 
caveat to this, however, is the additional 6-month extension which 
would be allowed where the agency did not respond in a timely fashion.
    As this language is proposed, the distinction between ``full'' and 
``partial'' satisfaction relates to the dual requirements of this 
rule's section 230.17--both the inspection, and the updating and 
verification of the Form 4. A locomotive that had satisfied both of 
these requirements within three years prior to the effective date of 
this rule would be able to file the petition the day the rule becomes 
effective. A locomotive that had only satisfied one requirement, 
however, would have ``partially'' satisfied the requirements of section 
230.17 and would have the term of the petition process, one year, to 
satisfy the second requirement. For example, a locomotive owner and/or 
operator who had inspected their locomotive under section 230.10 of the 
1978 standards within three years prior to the effective date of this 
rule, without updating and verifying the Form 4 at that time, would 
have a full year to do so before submitting the application. Likewise, 
if the Form 4 had been updated and verified within three years prior to 
the effective date of the rule but an inspection satisfying section 
230.10 of the 1978 standards had not been conducted, the locomotive 
owner and/or operator would have one year to conduct the qualifying 
inspection before submitting their application for special 
consideration.
    This section also contains provisions to address the requirements 
related to the filing of the petition. As proposed, this section would 
require petitions to be accompanied by documentation sufficient to 
allow the agency to determine the number of ``service days'' the 
locomotive has accrued from the date of the inspection conducted under 
the 1978 standards, and how many service days remain before the 1472 
service day inspection must be conducted under this rule's section 
230.17. The task force was concerned about proving the submission and 
response to the petition, so the proposed rule would recommend that 
petitions, and the agency's response thereto, be sent by some form of 
registered mail to ensure a record of delivery. In addition, this 
section contains provisions addressing the effect of the petition's 
disposition on the implementation requirements. If the agency were to 
grant the petition, the requirements would become effective upon 
receipt of the response letter. Likewise, if the agency were to deny 
the petition, the rule would become effective as though the petition 
had never been filed.
    Finally, because many task force members were concerned about the 
problem of potential untimeliness in the agency's response, this 
section would address the effect of agency silence within the one year 
response time period. It would require the petitioner to notify the 
agency that the response has not been received, and would allow 
operators at the end of their inspection cycle to operate under the 
1978 standards for an additional 6 months, or until they receive FRA's 
decision, whichever occurs first.
Section 230.4. Prohibited Acts (New)
    This proposed section would merely restate, in regulatory language, 
the dictates of Chapter 207 of Title 49 of the United States Code.
Section 230.5 Penalties (New)
    This section, as proposed, merely incorporates the maximum 
penalties provided for in the Federal railroad safety laws. These 
penalty amounts, however, have recently been adjusted for inflation 
pursuant to the Federal Civil Penalties Inflation Adjustment Act

[[Page 51413]]

of 1990, Pub. L. 101-410 Stat. 890, 28 U.S.C. 2461 note, as amended by 
the Debt Collection Improvement Act of 1996, Pub. L. 104-124 (4/26/96). 
For a more complete discussion of the agency's recent penalty 
adjustments see Civil Monetary Penalty Inflation Adjustment, 63 FR 
11618 (March 10, 1998).
Section 230.6. Preemptive Effect (New)
    FRA is proposing to add a preemption section, which would parallel 
the preemption language of section 20106 of Title 49 of the United 
States Code. As proposed, however, this section would modify that 
language to make clear that FRA does not intend to preempt states from 
regulating entities over which it is currently not exercising 
jurisdiction. Thus, in the case of an entity that operates steam 
locomotives over track of less than 24'' gage, for example, FRA would 
allow states to regulate and provide oversight for the inspection and 
maintenance of those steam locomotives. FRA believes that such a 
modification is consistent with the legislative intent of section 
20106.
Section 230.7. Waivers (New)
    FRA is proposing to nullify all waivers previously granted under 
Part 230 unless they are filed for reassessment with the agency. Under 
the terms of this provision, the agency would review these waivers and 
notify applicants whether the waiver has been continued. Locomotive 
owners and/or operators would have to assume that their waiver had 
expired unless they heard otherwise from the agency, unless the waiver 
was for a ``flue extension'' that would automatically expire one year 
from the date granted.
    With this proposal, the agency intends to rectify the 
misapplication of section 230.158 of the 1978 standards to the steam 
locomotive boiler and flues. Under the 1978 standards, railroads 
operating fewer than 5 locomotives can apply for a waiver from the 
requirements of Subpart B--Steam Locomotives and Tenders. This section 
was intended to apply only to those regulations in Subpart B but, 
instead, has been misapplied and extended to Subpart A as well. 
Consequently, under section 230.158 of the 1978 standards, modern 
operators frequently received waivers from provisions in Subpart A and 
applicable only to the boiler, such as the flue removal provision.
    With this proposal, in addition, the agency intends to make 
explicit that its waiver process, described in 49 CFR Part 211, has 
been centralized since the last time this part was substantively 
revised. Thus, this proposed section would recognize Part 211, instead 
of the 1978 standard's section 230.158, as the appropriate process for 
addressing waivers under Part 230.
Section 230.8. Responsibility for Compliance (New)
    This section, as proposed, would indicate which party or parties is 
responsible for ensuring that the requirements of Part 230 are 
satisfied. See the discussion in section IX(A) ``Responsibility for 
Compliance,'' above.
Section 230.9. Definitions (New)
    The following is an explanation of each definition that FRA 
proposes to add or amend.
    Alteration--This proposed definition incorporates the NBIC 
definition to harmonize concepts for the industry.
    ANSI--This proposed definition is non-substantive and is included 
for clarification purposes.
    API--This proposed definition is non-substantive and is included 
for clarification purposes.
    ASME--This proposed definition is non-substantive and is included 
for clarification purposes.
    Boiler Surfaces--This proposed definition was added to make 
explicit, and to help clarify, the portions of the boiler which are 
referenced throughout the rule.
    Break--This proposed definition incorporates the distinction 
between ``break'' and ``crack'' delineated in Part 229.
    Code of Original Construction--This proposed definition is non-
substantive and is included for clarification purposes.
    Crack--This proposed definition incorporates the distinction 
between ``break'' and ``crack'' delineated in Part 229
    Locomotive Operator--As discussed in the liability section above, 
the agency is proposing making its liability standards more specific, 
to acknowledge that many locomotives are owned and operated by entities 
other than railroad companies. This proposed definition distinguishes 
between these relevant entities to make clear that the locomotive may 
be owned and operated by separate entities.
    Locomotive Owner--As discussed in the liability section above, the 
agency is proposing making its liability standards more specific, to 
acknowledge that many locomotives are owned and operated by entities 
other than railroad companies. This proposed definition distinguishes 
between these relevant entities to make clear that the locomotive may 
be owned and operated by separate entities.
    MAWP--This proposed definition is non-substantive and is included 
for clarification purposes.
    NBIC--This proposed definition is non-substantive and is included 
for clarification purposes.
    NDE--This proposed definition is non-substantive and is included 
for clarification purposes.
    NPS--This proposed definition is non-substantive and is included 
for clarification purposes.
    Railroad--This proposed definition incorporates the statutory 
definition of railroad from 49 U.S.C. Sec. 20102.
    Renewal--This proposed definition incorporates industry concepts 
and is not intended to have substantive effect.
    Repair--This proposed definition incorporates the NBIC definition 
to harmonize concepts for the industry.
    Serious Injury--This proposed definition incorporates the 
definition of serious injury from the ``FRA Guide for preparing 
Accident Incident Reports'' (Effective: January 1997).
    Service Day--As described in the inspection section above, the 
agency is proposing altering the inspection time periods throughout 
this part and proposing a new ``service day'' concept. This definition, 
as proposed, would make each day that the boiler has steam pressure 
above atmospheric pressure with fire in the firebox count as a 
``service day'' for purposes of the accounting that is necessary for 
the rest of the inspection intervals.
    Stayed Portion of the Boiler--This proposed definition establishes 
a threshold for distinguishing between stayed and unstayed portions of 
the boiler, both of which are identified in this part. It is not 
intended to have substantive effect. In addition, at least one group 
member was concerned that the preamble reflect that reinforced openings 
in unstayed portions of the boiler are not considered ``stayed'' for 
purposes of this definition.
    Steam Locomotive--This proposed definition modifies the 1978 
standard's definition of ``locomotive'' to make it specific to a 
``steam locomotive.'' It has also been rewritten for grammatical 
clarity.
    Unstayed Portion of the Boiler--This proposed definition 
establishes a threshold for distinguishing between stayed and unstayed 
portions of the boiler, both of which are identified in this part. It 
is not intended to have substantive effect.
    Wastage--This proposed definition is a technical definition and is 
proposed for purposes of clarifying required minimum thicknesses and 
condemning limits for the boiler.

[[Page 51414]]

Section 230.10. Information Collection (New)
    This section, as proposed, is included for the convenience of the 
reader. It imposes no new requirements upon regulated entities, but 
simply represents the agency's certification that it has complied with 
all Office of Management and Budget review requirements pursuant to the 
Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et. seq.). The review 
and approval process reflected in this provision are explained in 
greater detail below.

General Inspection Requirements

Section 230.11. Repair of Non-Complying Conditions (New)
    This section would import to Part 230 the requirement embodied in 
Part 229 that non-complying locomotives be repaired before they are 
returned to service. In addition, as proposed, it would affix 
responsibility for such repairs on the locomotive owner and/or 
operator, as well as the responsibility for approving any noncomplying 
conditions that are not repaired.
Section 230.12. Movement of Non-Complying Steam Locomotives (New)
    This section would make Part 230 current with Part 229 by 
incorporating the concept of movement for the purpose of repair, which 
would allow a locomotive with noncomplying conditions to be moved for 
the purpose of repair, after the locomotive owner and/or operator has 
determined that the locomotive is safe to be moved. The task force felt 
strongly that this provision was necessary to acknowledge the operating 
exigencies which occur in most steam locomotive operations.
Section 230.13. Daily Inspection (New)
    This provision, as part of the more comprehensive changes 
contemplated for the inspection scheme in Part 230, would not effect a 
substantive change to those regulations governing the inspection of 
steam locomotives.
Section 230.14.31 Service Day Inspection (New)
    This provision, as part of the more comprehensive changes 
contemplated for the inspection scheme in Part 230, would impose no new 
inspection requirements for steam locomotives but it would relax the 
time frame within which certain inspections must occur.
Section 230.15.92 Service Day Inspection (New)
    This provision, as part of the more comprehensive changes 
contemplated for the inspection scheme in Part 230, would impose no new 
inspection requirements for steam locomotives but it would relax the 
time frame within which certain inspections must occur.
Section 230.16. Annual Inspection (New)
    This provision would not effect a substantive change to those 
regulations governing annual inspection requirements for steam 
locomotives.
Section 230.17.1472 Service Day Inspection (New)
    This provision, as part of the more comprehensive changes 
contemplated for the inspection scheme in Part 230, would impose no new 
inspection requirements for steam locomotives but it would relax the 
time frame within which certain inspections must occur and would 
require the verification and updating of information about the steam 
locomotive for which the Form 4 is filed. See the analysis in section 
IX(B)(5), above.

Recordkeeping Requirements

Section 230.18. Service Days (New)
    This provision, as part of the more comprehensive changes 
contemplated for the inspection scheme in Part 230, would impose a new 
recordkeeping requirement for steam locomotives. This section would 
require locomotive owners and/or operators to keep a record showing the 
number of service days the steam locomotive has accrued since its last 
31 service day, 92 service day, annual and 1472 service day 
inspections. This section would also require the locomotive owner and/
or operator to file a report each January 31 detailing the number of 
service days the locomotive accrued during the preceding calendar year. 
The failure to file this report would result in the locomotive being 
considered ``retired.'' In order to return a ``retired'' locomotive to 
service, the locomotive owner and/or operator would have to conduct a 
1472 service day inspection.
    The agency does not intend for this recordkeeping requirement to 
have a draconian effect; should a service day report be filed a day or 
two late, the agency will give the operator the benefit of the doubt 
and allow the report to take effect as though it had been timely filed.
    While these proposed changes would impose additional recordkeeping 
requirements on regulated entities, the agency believes that any 
additional burdens so imposed are outweighed by the benefits which 
adhere to the regulated community from the new inspection time periods.
Section 230.19. Posting of FRA Form No. 1 and FRA Form No. 3
    This section would impose no new recordkeeping requirements upon 
locomotive owners and/or operators. The FRA Form No. 1 is the 31 
service day and 92 service day inspection report, which is currently 
the monthly inspection report required by sections 230.51 and 230.160 
of the 1978 standards. The FRA Form No. 3 is the annual inspection 
report, which is identical to the annual inspection report required by 
sections 230.52 and 230.161 of the 1978 standards.
Section 230.20. Alteration and Repair Report for Steam Locomotive 
Boilers
    This section would impose no new recordkeeping requirements upon 
locomotive owners and/or operators. The FRA Form No. 19 is the 
alteration report that regulated entities are required to file by 
section 230.54 of the 1978 standards. This new provision would require 
the locomotive owner or operator to file this form whenever alterations 
that affect the information on the FRA Form No. 4 are made, and would 
impose new requirements for filing the Form 19 whenever welded or 
riveted repairs are made to the unstayed portion of the locomotive 
boiler. This section also would require that the locomotive owner and/
or operator record any welded or riveted repairs that are made to 
stayed portions of the locomotive boiler.
Section 230.21. Steam Locomotive Number Change (New)
    This section would incorporate into Part 230, in the interest of 
harmonizing outstanding requirements addressing steam locomotives, 
requirements issued by the former Interstate Commerce Commission in its 
``Interpretations, Rulings and Explanations on Questions Raised 
Regarding the Laws, Rules, and Instructions for Inspection and Testing 
of Steam Locomotives and Tenders and Their Appurtenances' (ICC 
Interpretations).
Section 230.22. Accident Reports
    As proposed, this section would retain the requirements of section 
230.162 of the 1978 standards and would impose no new requirements on 
locomotive owners and/or operators.

Subpart B--Boilers and Appurtenances

Section 230.23. Responsibility for General Construction and Safe 
Working Pressure
    This section, as proposed, would make the locomotive owner and 
operator, both, jointly and severally

[[Page 51415]]

responsible for the general design and construction of the locomotive 
boiler. section 230.1 of the 1978 standard's places that responsibility 
on the ``railroad company.'' This change is being proposed to capture 
the changes which have occurred in the steam locomotive industry since 
the original steam rules were promulgated, and to place responsibility 
for the locomotive on the parties best able to satisfy that 
responsibility. This proposal is designed to affix responsibility on 
owners and operators whether or not they are railroad companies.

Allowable Stress

Section 230.24. Maximum Allowable Stress
    This section, as proposed, does not substantively change section 
230.2 of the 1978 standards, but rewrites it to clarify the concepts it 
expresses.
Section 230.25. Maximum Allowable Stress on Stays and Braces
    This section, as proposed, does not substantively change section 
230.3 of the 1978 standards, other than to propose removing the 
distinction for locomotives constructed before and after 1915. The task 
force felt that this distinction was no longer relevant.

Strength of Materials

Section 230.26. Tensile Strength of Shell Plates
    This section, as proposed, would retain section 230.4 of the 1978 
standards, without change.
Section 230.27. Maximum Shearing Strength of Rivets
    This section, as proposed, would retain section 230.5 of the 1978 
standards, without change.
Section 230.28. Higher Shearing Strength of Rivets
    This section, as proposed, would retain section 230.6 of the 1978 
standards, without change.

Inspection and Repair

Section 230.29. Inspection and Repair
    This section, as proposed, would combine the concepts embodied in 
sections 230.7 and 230.12 of the 1978 standards. The task force decided 
to change the responsibility for inspection and repair of the 
locomotive boiler from the ``mechanical officer in charge at each point 
where boiler work is done'' to the steam locomotive owner and/or 
operator. This change was proposed since few operations still have 
chief mechanical officers due to the changed nature of steam operations 
today, and because the task force wanted to make the ``liability'' as 
consistent as possible throughout the rule. This section also would 
require the locomotive owner and/or operator to remove the boiler from 
service whenever they, or the FRA inspector, considers it necessary due 
to other defects. The task force was concerned about FRA inspectors' 
exercise of discretion in this arena. However, it was agreed that the 
agency would act in good faith and do its best to minimize any 
disruption of the operator's service whenever such concerns arise. In 
addition, they agreed that FRA should allow for non-destructive testing 
in the investigation of any ``safety concerns'' identified.
    This section also would make more specific the repair standard in 
section 230.12 of the 1978 standards, which simply requires that 
boilers be ``thoroughly repaired, and reported to be in satisfactory 
condition,'' by requiring that all defects be repaired in accordance 
with accepted industry standards. These standards may include 
established railroad practices, or NBIC or API established standards. 
See section IX(D), above, for a discussion of the meaning of 
``established railroad practices.'' This section also would propose 
replacing the ``satisfactory condition'' repair standard of the 1978 
standard's section 230.12 with a requirement that the boiler not be 
returned to service unless it is in good condition and ``safe and 
suitable for service.''
    Finally, this section proposes to require that welded repairs to 
unstayed portions of the boiler pursuant to section 230.33, must be 
made in accordance with an accepted national standard for boiler 
repairs.
Section 230.30. Lap-Joint Seam Boilers
    This section, as proposed, would clarify and eliminate an ambiguity 
in section 230.13 of the 1978 standards by explaining that ``examined 
with special care'' means removing enough lagging, jacketing, flues and 
tubes so that a thorough inspection of the entire joint, (inside and 
out) can be made. This section is otherwise unchanged and is not 
intended to restrict the use of modern technology which might allow the 
conduct of a ``thorough inspection'' without as much disassembly of the 
locomotive.
Section 230.31. Flues To Be Removed
    This proposed section, as part of the more comprehensive changes 
contemplated for the inspection scheme in Part 230, would change the 
time period within which locomotive owners and/or operators must remove 
all flues of locomotive boilers and conduct a thorough inspection of 
the boiler. Section 230.10 of the 1978 standards require that this be 
done at least once every four (4) years.
    The proposal also would allow the locomotive owner and/or operator 
to utilize non-destructive examination (NDE) methods to assess the 
condition of superheater flues and leave them in the boiler during this 
inspection provided two conditions are satisfied: (1) that the NDE 
testing shows that they are safe and suitable for locomotive service; 
and (2) that the boiler can be entered to be cleaned and inspected 
without their removal. Even if these two conditions are satisfied, 
however, this proposal would require that the locomotive owner and/or 
operator remove the superheater flues if they, or if the FRA inspector, 
thinks doing so is necessary for some identifiable safety concern.
    This proposal also would remove the language in the 1978 standards 
of the flue removal section that allows FRA to grant an extension of 
the time period within which flues must be removed. The task force felt 
that the 15-year ``drop dead'' time limit for conducting the 1472 
service day inspection should be the absolute outside time period 
within which the flues must be removed. In the task force's experience, 
operators who were previously required to remove their flues once each 
four years, which could become five years with the use of ``out of 
service credit,'' could get extensions of this requirement for up to 
twelve and thirteen years. Since this proposal would allow them to 
stretch that time period out to up to 15 years, the task force felt 
that no further extensions would be necessary.
    As discussed above in section IX(E), the task force felt strongly 
that operators should be encouraged to take advantage of new 
technologies in the use and operation of steam locomotives. By allowing 
the operator to leave superheater flues in the boiler if they could 
determine that they were safe and suitable for service, the task force 
felt it was building into this section an incentive for operators to 
utilize NDE methods, such as ultrasound, in making that determination.
Section 230.32. Time and Method of Inspection
    This section, as proposed, combines the inspection requirements for 
both the boiler interior and exterior in sections 230.9, 230.11, 230.15 
and 230.16 of the 1978 standards, and rewrites them for clarity. The 
task force felt that rewriting this section would consolidate the

[[Page 51416]]

various inspection requirements and make them more explicit.
Section 230.33. Welded Repairs and Alterations (New)
    This section, as proposed, would restrict, and therefore control, 
the welding which occurs on both unstayed and stayed portions of the 
locomotive boiler. Subsection (a) would require the locomotive owner 
and/or operator to obtain prior written approval of the FRA Regional 
Administrator before performing any welding on unstayed portions of 
boilers containing alloy steel, or carbon steel with a carbon content 
greater than .25 percent. It also would require that any welding so 
approved be conducted in accordance with an accepted national standard 
for boiler repairs. See section IX(D)(1), above, for a discussion of 
this standard.
    In subsection (b) of this section, it is proposed that locomotive 
owners and/or operators perform welding to unstayed portions of boilers 
containing carbon steel not exceeding .25 percent carbon in accordance 
with an accepted national standard for boiler repairs. Both subsections 
(a) and (b) would require the locomotive owner and/or operator to file 
an FRA Form 19, Report of Welded Repair, as discussed in section 
230.20.
    In subsection (c) of this section, it is proposed that the 
locomotive owner and/or operator be restricted in the use of weld build 
up for wasted areas of unstayed surfaces of the boiler. This proposed 
restriction would require that the locomotive owner and/or operator 
submit a written request for approval to the Regional Administrator to 
build up by weld wasted areas that exceed: (1) a total of 100 square 
inches; or (2) the smaller of either 25% of the minimum required wall 
thickness or \1/2\ of an inch. This subsection would also prohibit the 
use of weld build up for wasted sheets that have been reduced to less 
than 60 percent of the minimum required thickness required by these 
rules.
    Subsection (d) of this section, proposes to restrict the 
installation of flush patches of any size on unstayed portions of the 
boiler without the locomotive owner and/or operator submitting a 
written request for prior approval to the FRA Regional Administrator.
    Finally, subsection (e) would propose allowing locomotive owners 
and/or operators to perform welded repairs or alteration on stayed 
portions of the boiler in accordance with established railroad 
practices, or an accepted national standard for boiler repairs. The 
task force wanted to recognize the fact that many operations use their 
own welding procedures on stayed portions of the boiler, and do so 
successfully. The task force therefore recommended that the locomotive 
owner and/or operator be allowed to use established ``railroad 
practices'' as an acceptable standard for conducting welding on stayed 
portions of the boiler.
    As discussed earlier in the preamble, FRA has grave concerns about 
the quality of the welding being done on locomotive boilers. With these 
proposed changes, the agency feels comfortable that it is establishing 
standards that will improve safety while allowing operators the 
flexibility critical to their business survival by allowing them to 
make necessary repairs without incurring unnecessary costs.
Section 230.34. Riveted Repairs and Alterations (New)
    This section, as proposed, would restrict, and therefore control, 
the riveting which occurs on both unstayed and stayed portions of the 
locomotive boiler. In subsection (a) the proposal would require the 
locomotive owner and/or operator to submit a request for prior written 
approval to the FRA Regional Administrator before making any riveted 
alterations to unstayed portions of the boiler, and to make any 
approved riveting in accordance with established railroad practices, or 
an accepted national standard for boiler repairs. See the analysis for 
section 230.29, above, for a discussion of these repair standards. This 
subsection also would require the locomotive owner and/or operator to 
satisfy, at this time, the reporting requirements proposed in section 
230.20.
    In subsections (b) and (c) of this section, the agency is proposing 
to establish guidelines for the conduct of riveting on locomotive 
boilers by requiring that riveted repairs to both stayed and unstayed 
portions of the boiler be made in accordance with established railroad 
practices, or an accepted national standard for boiler repairs.

Pressure Testing of Boilers

Section 230.34. Pressure Testing (New)
    This section, as proposed, would establish a minimum temperature 
requirement for the application of any kind of pressure to locomotive 
boilers. It would require that the temperature of locomotive boilers be 
no less than 60 degrees Fahrenheit anytime the boiler is tested under 
any type of pressure. This change would incorporate the NBIC 
temperature standard and harmonize FRA standards with NBIC standards, 
which the task force wanted and FRA supports.
Section 230.36. Hydrostatic Testing of Boilers
    This section, as proposed, would consolidate all 1978 standards 
relating to the hydrostatic testing of boilers. This section would not 
substantively change the parameters of section 230.17 of the 1978 
standards, which merely stipulates the time of testing and the pressure 
at which the boiler must be tested, but it would impose an additional 
requirement that the boiler temperature be raised to between 60 and 120 
degrees Fahrenheit each time the boiler is subjected to any hydrostatic 
pressure. This proposed change would incorporate the NBIC standard for 
hydrostatic testing into the federal regulations for steam locomotive 
inspection.
    In its consideration of these issues, the task force was divided 
about the purpose of the hydrostatic test, and the concomitant pressure 
at which the test should be conducted. Many operators believed that the 
purpose of the hydrostatic test is merely to test the boiler for 
leaks--not to see if the boiler is structurally unsound at the time of 
the test. To them, therefore, testing the boiler at the maximum allowed 
working pressure (MAWP ) (as calculated in the FRA Form No. 4) would 
serve the requisite safety function of disclosing such leaks without 
unnecessarily stressing (and prematurely destroying) the boiler. Many 
in the agency, however, felt strongly that the purpose of the 
hydrostatic test is to test the boiler's integrity--to disclose 
weaknesses in the structure of the boiler that have not yet developed 
into defects. They also felt strongly that there was no data presented 
that would convince them that testing the boiler at MAWP, as specified 
on the FRA Form No. 4, would provide an equivalent level of safety. 
Because the parties could not reach a consensus on this provision, the 
agency is not proposing any changes to this language and is proposing 
to leave the required pressure at 25% above MAWP, as specified on the 
FRA Form No. 4.
Section 230.37. Steam Test Following Repairs or Alterations
    This section, as proposed, would substantially rewrite, largely 
without substantive change, section 230.20 of the 1978 standards to 
achieve greater clarity. The one substantive change being proposed 
would change the pressure required for the conduct of the steam test 
from ``not less than the allowed working pressure'' to ``between 95% 
and 100% of the MAWP.'' The task force decided that imposing a lower

[[Page 51417]]

pressure limit would reduce the stress on the boiler without an 
accompanying reduction in safety--that 95 to 100 percent of MAWP would 
be adequate to disclose unsatisfactory conditions in the locomotive 
boiler.

Staybolts

Section 230.38. Telltale Holes
    This section, as proposed, would consolidate 1978 standards' 
telltale hole provisions, sections 230.23 and 230.26, and the ``reduced 
body'' staybolt section from the ICC Interpretations in one section. As 
proposed, subsection (a) would retain section 230.26 of the 1978 
standards but would delete, as moot, the application date. Proposed 
subsection (b) is a new provision created to import the ICC 
interpretation for reduced body staybolts to Part 230. Finally, 
proposed subsection (c) is derived from section 230.23 of the 1978 
standards and would create a stand alone provision for clarity and to 
emphasize that telltale holes must be kept open at all times, except as 
required in section 230.41, which, as proposed, requires the telltale 
holes of drilled flexible staybolts to be closed with a fireproof 
porous material that will keep the telltale holes free of foreign 
matter.
Section 230.39. Broken Staybolts
    This section, as proposed, would modify section 230.25 of the 1978 
standards. Subsection (a), as proposed, would establish the maximum 
number of broken staybolts allowed for each locomotive boiler. 
Currently, section 230.25 of the 1978 standards require that a boiler 
be taken out of service when it develops two (2) broken or plugged 
staybolts adjacent to one another in any part of the firebox or 
combustion chamber, when three (3) or more are broken or plugged in a 
circle four (4) feet in diameter, and when five (5) or more are broken 
or plugged in the entire boiler. This section, as proposed, would 
change this standard by requiring that a boiler be taken out of service 
when it develops either two (2) broken staybolts within twenty-four 
(24) inches of each other, as measured inside the firebox or combustion 
chamber on a straight line, or more than four (4) broken staybolts 
within the entire firebox and combustion chamber combined.
    The NBIC requires boilers with one broken staybolt to be taken out 
of service and repaired. While the task force wanted to harmonize these 
proposed standards with the NBIC, they recommended to the agency that 
this proposal allow for a second broken staybolt within twenty-four 
(24) inches to accommodate the operational difficulties involved in 
immediately taking a boiler out of service when one staybolt breaks. 
Because prolonged exposure in a slowly progressive fail mode turns 
exponential as additional staybolts break, and to minimize the overload 
on staybolts in the area of the one which has broken, the task force 
also recommended that staybolts adjacent to those that break be 
inspected at the time the broken staybolt is replaced. As proposed, 
this section includes that recommendation.
    Subsection (b), as proposed, would require broken staybolts 
detected during the 31 service day inspection to be replaced at that 
time, and broke staybolts detected between 31 service day inspections 
to be replaced no later than 30 days from the date of detection. The 
task force determined that a strict time period was required to ensure 
an adequate measure of safety, but wanted to recognize operational 
realities that might prevent owners and/or operators from repairing 
broken staybolts immediately. This proposal reflects the task force 
consensus that 30 days would be a reasonable period of time within 
which to make the necessary repairs to the boiler. It would allow 
owners and/or operators to plan when, within a 30-day time period, they 
wanted to take the locomotive out of service and replace the broken 
bolts. This subsection also would require, consistent with the task 
force's recommendation, that the locomotive owner and/or operator 
replace broken staybolts eight (8) inches in length or less with 
staybolts drilled with telltale holes three-sixteenths (\3/16\) to 
seven thirty-seconds (\7/32\) inch in diameter and not less than one 
and one quarter (1\1/4\) inches deep in each end, or that have holes 
three-sixteenths (\3/16\) to seven thirty-seconds (\7/32\) inch in 
diameter their entire length. This expresses the task force's belief 
that drilled bolts are useful in revealing progressive failures before 
they reach catastrophic proportions.
    Subsection (c), as proposed, would import from the ICC 
Interpretations the definition of ``broken'' staybolts as those that 
are leaking, plugged, or missing, in the interest of consolidating and 
centralizing all current steam locomotive requirements.
    Finally, subsection (d), would prohibit welding, forging or 
riveting broken staybolt ends as a means of closing telltale holes. The 
ICC Interpretations state that telltale holes that are leaking, 
plugged, riveted over, or missing, will be counted as broken staybolts. 
This proposal would impose a stricter standard for broken staybolts, 
which the task force believed was desirable.
Sec. 230.40. Time and Method of Staybolt Testing
    This section, as proposed, would consolidate the requirements for 
staybolt testing from sections 230.21, 230.22, 230.24 of the 1978 
standards and the ICC Interpretations addressing the same. Because the 
1978 standards do not treat rigid staybolts and flexible staybolts 
without caps differently, this section, as proposed, consolidates these 
requirements into ``staybolt testing'' general requirements. Since the 
testing requirements being proposed for flexible staybolts with caps, 
however, remain distinct, the agency is proposed to exclude them from 
this consolidation.
    Currently, section 230.21 of the 1978 standards requires that 
staybolts be tested once a month and immediately after every 
hydrostatic test. In subsection (a), the agency is proposing to relax 
this requirement slightly by allowing the monthly inspection to be 
conducted once each thirty-one (31) service days, consistent with the 
more comprehensive changes contemplated for the inspection scheme in 
this Part. The 1978 requirement that the test be conducted following 
each hydrostatic test would be the same, but is more clearly explained 
in this new section. In addition, subsection (1) of subsection (a) 
would create an allowance for inaccessible staybolts that are drilled 
through their entire length. Under this allowance, any such impediments 
making the staybolts inaccessible (brickwork, grate bearers, etc.) need 
not be removed to hammer test the staybolts. The group concurred that 
since the through-drilled staybolt would begin to leak if it broke, 
safety would not be sacrificed by granting owners and/or operators a 
measure of flexibility in the testing of such staybolts.
    Subsection (b), as proposed, is a general section that spells out 
the requirements for testing all forms of staybolts. The task force 
tried to combine all the different ``method of testing'' provisions 
from the 1978 standards (sections 230.21-230.27). The result was 
subsection (b) of this section. The proposed requirement that there 
must be ``not less than 95 percent of the MAWP'' applied if staybolts 
are tested while the boiler contains water is a new one and reflects 
the task force's consensus view.
Sec. 230.41. Flexible Staybolts With Caps
    This section, as proposed, would rewrite section 230.23 of the 1978 
standards for clarity, while imposing a few new requirements.

[[Page 51418]]

    Subsection (a), as proposed, would extend the current timetable for 
removing the caps and inspecting, flexible staybolts from every two (2) 
years to every 5th annual inspection, consistent with the comprehensive 
changes contemplated to the inspection scheme for this part. This 
proposal reflects the task force's consensus view that this would 
provide owners and/or operators additional flexibility without 
compromising the desired level of safety.
    Subsection (b), as proposed, has merely been rewritten for clarity 
and to eliminate superfluous information. Subsections (c) and (d), 
likewise, would impose no substantive changes but, instead, would 
rewrite section 230.23 of the 1978 standards for clarity, either 
deleting text as repetitive, or moving it to other, more relevant, 
sections. For example, the 1978 requirement that the FRA Form No. 3 be 
kept in the railroad company's office would be relocated (and slightly 
modified) to the recordkeeping section of this proposal, section 
230.19.

Steam Gauges

Section 230.42. Location of Gauges
    This section, as proposed, would rewrite section 230.28 of the 1978 
standards for clarity, but would not effect any substantive changes to 
that section.
Section 230.43. Gauge Siphon
    This section, as proposed, would rewrite section 230.29 of the 1978 
standards for clarity, but would not effect any substantive changes to 
that section.
Section 230.44. Time of Testing
    This section, as proposed, would modify the requirements of section 
230.30 of the 1978 standards in order to address the operational 
realities presented by the mobility of the gauges. In today's industry, 
it is common practice for owners and/or operators to remove gauges from 
the locomotive to prevent them from being stolen or vandalized. 
Sometimes the removed gauges are stored in conditions that allow for 
them to be jostled around, which affects their calibration and 
accuracy. Accordingly, as proposed, this section would require that the 
gauges be tested prior to being installed or reapplied. In addition, 
this provision would extend the time period for testing gauges from 
once ever three months to the 92 service day inspection, consistent 
with the more comprehensive changes contemplated for the inspection 
scheme in this part. Finally, as recommended by the task force, the 
proposed rule retain the requirement in section 230.30 of the 1978 
standards that gauges be tested whenever any irregularity is reported.
Section 230.45. Method of Testing
    This section, as proposed, would more completely describe the 
method for testing gages, but would not effect a substantive change.
Section 230.46. Badge Plates
    This section, as proposed, would retain section 230.32 of the 1978 
standards but would correct its use of incorrect terminology. The term 
``boiler head'' is being proposed to be changed to the more correct 
term ``boiler backhead.''
Section 230.47. Boiler Number
    This section, as proposed, would retain section 230.33 of the 1978 
standards but would rewrite that section for clarity and to consolidate 
it with the ICC Interpretations.

Safety Relief Valves

Section 230.48. Number and Capacity
    This section, as proposed, would retain the requirements for the 
number and capacity of locomotive safety relief valves in section 
230.34 of the 1978 standards, with two changes. Subsection (a), as 
proposed, would increase the relieving tolerance from five (5) to six 
(6) percent above the MAWP. The task force recommended that the rule be 
modernized to reflect modern testing practice, which uses six percent. 
That figure is derived from the addition of the manufacturer's 
tolerance for the safety valve itself (three (3) percent) and the 
industry standard from the ASME 1952 Code for the testing tolerance for 
safety valves (an additional three (3) percent). This subsection would 
also make explicit the FRA inspector's right to require proof of the 
relieving capacity for safety relief valves on steam locomotives.
    Subsection (b) of this section, as proposed, would make explicit 
the requirement that additional capacity be provided if the capacity 
testing demonstrates the need to do so. In addition, this section 
acknowledges the use of the accumulation test as a method for testing 
safety valve capacity. By including this acknowledgment, the agency 
does not intend to state its preference for the use of accumulation 
tests in determining safety relief valve capacity.
Section 230.49. Setting of Safety Relief Valves
    In this section, the agency is proposing several changes to the 
requirements for setting safety relief valves contained in section 
230.35 of the 1978 standards. First, this section, as proposed, would 
impose a new requirement that the individual responsible for setting 
the safety relief valves be ``thoroughly familiar with the construction 
and operation of the valve being set.'' This competency requirement was 
added because the group recognized that modern safety valves have 
seals, the security of which is certified by certain organizations, but 
they did not want to officially require that the valves be reset by 
state officials. This language would create a performance standard--one 
that would require that those people resetting safety valves be 
thoroughly familiar with their construction and operation.
    Next, this section, as proposed, would change the ``opening 
pressures'' for safety relief valves contained in section 230.35 of the 
1978 standards by requiring that at least one of the two required 
safety-relief valves open at a pressure that is no greater than the 
MAWP. This proposal changes the 1978 provision, which requires that 
both valves be set to open at pressures not exceeding 6 pounds above 
working pressure (MAWP). This reflects the task force consensus that 
requiring one of the two safety valves to set to open at pressures not 
greater than MAWP would achieve a greater level of safety. This section 
would retain, however, the 6 psi upper limit contained in section 
230.35 of the 1978 standards for any additional safety valves utilized.
    This section, as proposed, would retain the procedures for setting 
safety valves, contained in section 230.35 of the 1978 standards, 
without substantive change. This proposal would change the requirement 
for the water level to be ``not above the highest gauge cock'' to the 
equivalent requirement that it not be ``higher than \3/4\ of the length 
of the visible water glass, as measured from the bottom of the glass,'' 
consistent with this document's proposed changes to section 230.37. See 
the analysis for section 230.51, below.
    Finally, this section, as proposed, would create a new requirement 
that the lowest set safety relief valve pressure be indicated on a tag 
or label and attached to the steam gauge so that it may clearly be read 
while observing the gauge. This would present a physical reminder for 
the locomotive engineer, or other crew members, of the pressure to 
which the safety relief valve is set so that valve failure might be 
more easily detected.
Section 230.50. Time of Testing
    This section, as proposed, would retain the requirements of section

[[Page 51419]]

230.36 of the 1978 standards without change, except for the increase of 
the inspection time period, from three months, to ninety-two (92) 
service days to comport with the more comprehensive changes for the 
inspection scheme contemplated in the part.

Water Glasses and Gauge Cocks

Section 230.51. Number and Location
    This section, as proposed, would change the requirements for water 
level indicating devices contained in section 230.37 of the 1978 
standards to require that steam locomotive boilers be equipped with at 
least two water glasses, the lowest reading for which must be at least 
3 inches above the highest part of the crown sheet. This section would 
not prohibit the use of gauge cocks, but it simply would no longer 
require it. It would require, however, that any gauge cocks installed 
on a steam locomotive boiler be properly maintained and located. These 
changes reflect the task force's recommendation that water level 
indicator standards be modernized. They expressed the view that water 
glasses are more reliable than gauge cocks, and easier to use since 
they do not require manual operation. They also expressed the belief 
that few operators know how to correctly manually operate gauge cocks 
anymore. The task force also felt that gauge cocks screwed directly 
into the backhead are more likely to provide highly inaccurate readings 
due to the phenomenon where the water rushes against the boiler 
backhead and creates a surge effect, generating a reading that is 
artificially high. This requirement would comport with the NTSB's 
recommendations following its investigation into the boiler explosion 
involving the Gettysburg Railroad Company, which included a 
recommendation that boilers be equipped with a second water glass, and 
with ASME standards, which no longer require that newly constructed 
boilers be equipped with gauge cocks.
    The group was aware of the costs such a change would impose upon 
owners and/or operators. They discussed, at length, the extra cost this 
requirement would impose upon owners and/or operators, but concluded 
that the extra safety measure afforded would well outweigh this 
imposition. In addition, one member of the group pointed out that gauge 
cocks are no longer being manufactured, which makes their replacement 
extremely costly. The task force was also concerned that owners and/or 
operators have sufficient time to make any necessary changes to their 
locomotive boilers. Accordingly, this proposal reflects the task 
force's belief that by delaying the implementation of this provision by 
one year all parties would have enough notice, and enough 
implementation time, to add the second water glass.
Section 230.52. Water Glass Valves
    This section, as proposed, would rewrite section 230.38 of the 1978 
standards to emphasize the functions the valves are designed to 
fulfill, and for clarity.
Section 230.53. Time of Cleaning
    This section, as proposed, would require that water glass valve and 
gauge cock spindles be cleaned at every 31 service day inspection, and 
whenever testing indicates that the apparatus is malfunctioning. This 
change would relax the time period within which this inspection must 
occur, consistent with the more comprehensive changes contemplated for 
the inspection scheme discussed earlier. It also would add a 
performance standard for owners and/or operators to follow, requiring 
them to clean the spindles when they have indications that water 
glasses or gauge cocks are not functioning properly.
Section 230.54. Testing and Maintenance
    This section, as proposed, would rewrite Section 230.40 of the 1978 
standards for clarity and to emphasize the purpose for the water glass 
testing requirement.
Section 230.55. Tubular Type Water and Lubricator Glasses and Shields
    As proposed, this section would modify section 230.41 of the 1978 
standards to require that tubular type water glasses be renewed at each 
92-service day inspection, and to require that water glasses be 
situated to provide the engine crew an unobstructed view from their 
proper positions in the locomotive cab.
    This proposal reflects the task force's view, based on their 
collective experience, that water tubes get thin and develop a risk of 
breaking after approximately 90 service days. The proposed water glass 
placement requirements are included here to complement, and give effect 
to, the proposed changes in section 230.51.
Section 230.56. Water Glass Lamps
    This section retains section 230.42 of the 1978 standards without 
change, consistent with the task force's recommendation.

Injectors, Feedwater Pumps, and Flue Plugs

Section 230.57. Injectors and Feedwater Pumps
    As proposed, subsection (b) of this section would retain section 
230.43 of the 1978 standards, and subsections (a) and (c) are new. 
Subsection (a), as proposed, would require that the locomotive be 
equipped with at least two means of delivering water to the boiler, and 
would establish, as a minimum, that one of those two means be a live 
steam injector. Subsection (b), as proposed, would incorporate language 
from the ICC Interpretations which requires bracing to ``avoid'' 
vibration. The group decided to change ``avoid'' to ``minimize'' 
because they felt it was a more realistic standard.
Section 230.58. Flue Plugs
    This section, as proposed, would strengthen the rules for plugging 
flues contained in section 230.44 of the 1978 standards. When this 
section was originally created by the ICC, it was designed to 
accommodate the locomotive owner and/or operator's business concerns by 
allowing them to plug their flues in order to continue in operation 
until the nearest repair point where the flue could be repaired or 
replaced. The task force decided to recommend the retention of that 
concept, to still allow flue plugging, but to recommend the restriction 
of the manner that flues are allowed to be plugged in order to improve 
the safety quotient for flue failures.
    The task force was concerned that a failed flue was usually a 
harbinger of additional flue failures since flues are typically 
replaced all at once, and are exposed to similar stressors which might 
cause failure. Accordingly, as proposed, this section would only allow 
one flue to be plugged at any time, and would require that the flue be 
repaired or replaced within 30 calender days. In addition, the group 
wanted to distinguish between flues greater than 2\1/4\'' in OD and 
flues equal to or smaller than 2\1/4\'' in OD, and to prohibit the 
plugging of the latter. Subsection (b) of this section, as proposed, is 
largely derived from section 230.44 of the 1978 standards except that 
it would change that section's implied allowance of plugging flues at 
one end only, requiring that flues be plugged at both ends. The task 
force felt that plugging the flue at one end was inconsistent with the 
function plugging is designed to accomplish.

[[Page 51420]]

Fusible Plugs

Section 230.59. Fusible Plugs
    This section, as proposed, would retain section 230.14 of the 1978 
standards and would impose no new inspection requirements for steam 
locomotives on locomotive owners and/or operators. Consistent with the 
more comprehensive changes contemplated for the inspection scheme in 
Part 230, it would relax the time frame within which fusible plugs must 
be removed, and cleaned, and their removal reported on the report of 
inspection.

Washing Boilers

Section 230.60. Time of Washing
    This section, as proposed, would retain the concepts of section 
230.45 of the 1978 standards and would impose no new inspection 
requirements for steam locomotives on locomotive owners and/or 
operators, consistent with the more comprehensive changes contemplated 
for the inspection scheme in Part 230. It would relax the time frame 
within which all boilers must be washed from once each month to once 
each 31-service days.
    In its review of the Gettysburg steam explosion, the NTSB 
recommended that the agency consider regulating water quality, 
specifically by imposing water treatment program requirements. The task 
force strenuously debated this topic and concluded the boiler wash 
itself was the best method for addressing water quality, especially 
since the regulation currently requires, and would similarly require as 
proposed, that the boiler be washed as frequently as water conditions 
require. This proposal gives effect to the task force's recommendation 
on this subject.
Section 230.61. Arch Tubes, Water Bar Tubes, Circulators and Thermic 
Siphons
    This section, as proposed, would expand the requirements of section 
230.46 of the 1978 standards by requiring, in addition to their mere 
removal, the cleaning and inspection of arch tubes and water bar tubes 
each time the boiler is washed. In addition, this section proposes the 
addition of condemning limits for arch tubes and water bar tubes. Both 
of these proposals are derived from the ICC Interpretations and reflect 
the task force's desire to incorporate the Interpretations into this 
part.
    Finally, this section would require NDE evaluation of arch tubes, 
water bar tubes and circulators during the annual inspection in order 
to assess reduced wall thickness. The task force was concerned about 
the cost this would impose, and debated whether this requirement would 
prove too onerous for smaller operations. They concluded, however, that 
ultrasonic testing was affordable and that the safety levels assured by 
requiring this testing were worth the imposition of the cost.

Steam Pipes

Section 230.62. (NEW) Dry Pipe
    This section would require locomotive owners and/or operators to 
inspect dry pipes that are subject to pressure during each annual 
inspection for the purpose of measuring the pipe wall thickness. It 
would establish a performance standard for owners and/or operators to 
remove from service pipes that are no longer ``suitable for the service 
intended.''
Section 230.63. Smoke Box, Steam Pipes and Pressure Parts (New)
    This section would require locomotive owners and/or operators to 
inspect the smoke box, steam pipes and pressure parts at each annual 
inspection, or whenever conditions warrant, by entering the smoke box 
and examining it for signs of leaks from any of its pressure parts, as 
well as by examining all draft appliances.

Steam Leaks

Section 230.64. Leaks Under Lagging
    This section, as proposed, would retain the concepts of section 
230.49 of the 1978 standards without substantive change, but would 
rewrite them for clarity.
Section 230.65. Steam Blocking View of Engine Crew
    This section, as proposed, would retain the concepts of section 
230.50 of the 1978 standards without substantive change, but would 
rewrite them for clarity.

Subpart C--Steam Locomotives and Tenders

Section 230.66. Design, Construction and Maintenance
    This section, as proposed, would retain section 230.101 of the 1978 
standards without substantive change other than that necessary to 
reflect the proposed changed liability standard; see section IX(A).
Section 230.67. Responsibility for Inspection and Repairs
    This section, as proposed, would change section 230.102 of the 1978 
standards by making the locomotive owner and/or operator, not the 
mechanical officer, the party responsible for the inspection and repair 
of all locomotives and tenders under their control. In addition, this 
section would parallel proposed section 230.23 by delineating the 
standard for repairs and by requiring that the locomotive not be 
returned to service unless they are in good condition and safe and 
suitable for service.

Speed Indicators

Section 230.68. Speed Indicators (New)
    This section would require all locomotives that operate at speeds 
in excess of 20 mph over the general system of transportation to be 
equipped with speed indicators, consistent with the requirements in 
Part 229 for non-steam locomotives. Likewise, this section would 
require these indicators to be maintained to ensure proper functioning. 
The task force discussed, and wanted to address, the interplay between 
this part and Part 240's engineer certification standards. Because 
locomotive engineers may be decertified for speeding, the task force 
felt that locomotives operating more than 20 mph, consistent with the 
standards in Part 229, should be equipped with speed indicators.

Ash Pans

Section 230.69. Ash Pans
    This section, as proposed, would retain section 230.105 of the 1978 
standards without substantive effect, but would rewrite it for clarity.

Brake and Signal Equipment

Section 230.70. Safe Condition
    This section, as proposed, would retain section 230.106 of the 1978 
standards without substantive effect, but would reorganize and rewrite 
it for clarity.
Section 230.71. Orifice Testing of Compressors
    This section, as proposed, would retain section 230.107 of the 1978 
standards without substantive effect, but would reorganize and rewrite 
it for clarity. In addition, it would, consistent with the more 
comprehensive changes contemplated for the inspection scheme in Part 
230, relax the time frame within which compressors must be orifice-
tested from once each three months, to once each 92-service days. 
Finally, it would expand the table listing the testing criteria to 
include a 120 LP Westinghouse compressor, which is frequently used.
Section 230.72. Testing Main Reservoirs
    Subsection (a) of this section, as proposed, would retain the 
concepts in Section 230.108 of the 1978 standard's

[[Page 51421]]

but would rewrite them for clarity. Subsections (b) through (d) of this 
section are new. Subsection (b), as proposed, would incorporate Part 
229's allowance for drilling of welded main reservoirs. The group felt 
that drilling was a good idea because it facilitates reservoir failures 
in a non-catastrophic manner. This section is largely derived from 
section 229.31 and reflects the task force's desire to harmonize these 
sections. Subsection (c), as proposed, would encourage the use of 
appropriate NDE methods for testing the wall thickness of the welded 
main reservoirs. It would allow welded main reservoirs without 
longitudinal lap seams to be NDE tested instead of the more destructive 
hammer and hydrostatic testing otherwise required. The formula for the 
condemning limits for welded main reservoirs is derived from the ASME 
Section VIII, Div I. The spacing for the sampling points is derived 
from section 229.31.
    Finally, subsection (d), as proposed, would require NDE testing for 
welded or riveted longitudinal lap seam main reservoirs. While the task 
force seriously debated recommending that the use of lap seam main 
reservoirs be prohibited, they felt that they didn't have a strong 
enough safety basis for justifying this action. They felt that lap seam 
main reservoirs would eventually be phased out for economic reasons.
Section 230.73. Air Gauges
    This section, as proposed, would retain section 230.109 of the 1978 
standards, with minor substantive changes, but would reorganize and 
rewrite it for clarity. As part of the more comprehensive changes 
contemplated for the inspection scheme in Part 230, it would relax the 
time frame for air gauge testing from once each 3 months to the 92 
service day inspection. It also would add the requirement that gauges 
be tested prior to reapplication following removal. The task force 
recommended that gauges that are removed be retested because they were 
concerned about the jostling of the gauges that may occur during the 
time that they are off the locomotive, requiring recalibration before 
being reapplied. The method of testing required by this section would 
remain the same as that in section 230.109 of the 1978 standards.
Section 230.74. Time of Cleaning
    This section, as proposed, would modify Section 230.110 of the 1978 
standard's by broadening the scope of the section to all valves in the 
air brake system, by specifying a testing procedure, and by relaxing 
the time frame for conducting the inspection. The task force 
recommended harmonizing this section, to the largest extent possible, 
with section 232.10. Many industry members on the task force were 
concerned about requiring this cleaning too frequently because, in 
their collective experience, the cleaning process itself disturbs the 
proper functioning of the valves--once you open the system to clean the 
valves, dirt gets moved around inside and affects the rest of the 
system, ruining it. While the task force discussed the testing 
intervals, from the 1978 standard's six months to a proposed once each 
fifth annual, they ultimately concluded that the appropriate time 
period for this cleaning was at least once every 368 service days, but 
no more than during every second annual inspection.
Section 230.75. Stenciling Dates of Tests and Cleaning
    This section, as proposed, would retain section 230.111 of the 1978 
standards but would rewrite it for clarification and to eliminate the 
requirement that testing dates be stamped on metal tags and attached to 
the locomotive.
    Section 230.76. Piston Travel
    This section, as proposed, would retain section 230.112 of the 1978 
standards without substantive change.
Section 230.77. Foundation Brake Gear
    This section, as proposed, would retain section 230.113 of the 1978 
standards without substantive change.
Section 230.78. Leakage
    This section, as proposed, would retain section 230.l14 of the 1978 
standards without substantive change, but would identify specific 
inspection time periods and requirements in the rule text.
Section 230.79. Train Signal System
    This section, as proposed, would retain section 230.115 of the 1978 
standards with minor changes. It would recognize other forms of 
``onboard communication'' and would relax the train signal system 
testing requirements from before each trip made, to the beginning of 
each day the locomotive is used.

Cabs, Warning Signals, and Sanders

Section 230.80. Cabs
    This section, as proposed, would change Section 230.116 of the 1978 
standard's by removing all the cab curtain requirements and rewriting 
the standards for clarity. Subsection (a) of this proposed section 
would incorporate the general provision section of the 1978 standard's, 
while updating the requirements to parallel Part 229's cab condition 
language. The task force discussed the language relating to the cab 
climate at length and agreed to try and draft a performance standard 
for the cab, rather than select temperature ranges and specific 
environment controls. The task force also decided to delete all the cab 
curtain requirements because they believed that the curtains don't 
adequately keep temperature in the proper range, and that the 
performance standard in subsection (a) was a better way to achieve the 
desired outcome.
    This section's requirement that the environment not ``unreasonably 
interfere with the engine crew's performance of duties under ordinary 
conditions of service'' would establish the performance standard the 
cab climate must satisfy--therefore, a cab with poor ventilation which 
gets so hot that the engineer begins to lose consciousness, or to get 
sleepy, would be in noncompliance with this section. The ``ordinary 
conditions of service'' language, however, would recognize the type of 
conditions that are unavoidable in steam locomotive service, such as 
extreme amounts of heat from the locomotive boiler fire box. The task 
force wanted to make clear that only cab conditions that were 
``abnormal'' for steam locomotive service would constitute 
noncompliance with this section. The group wanted to move toward a 
``common sense'' perspective on cab conditions which would 
simultaneously be enforceable, and yet not unreasonably interfere with 
steam locomotive operations by using ``comfort'' as the delimiting 
factor since most steam locomotive service, by nature, is uncomfortable 
for the engineer.
    Subsection (b) of the proposed section, addressing steam pipes, 
would retain the Section 230.116 of the 1978 standard's but would make 
more specific the ``double strength pipe'' description. The task force 
recommended that, at a minimum, the pipe be ``schedule 80'' to 
recognize what is more common industry verbiage/terminology.
    All other subsections of section 230.116 of the 1978 standard's 
would be deleted as unnecessary.
Section 230.81. Cab Aprons
    This section, as proposed, would expand the requirements of section 
230.117 of the 1978 standards by delineating standards for the width of 
the apron. The group wanted to incorporate the ICC Interpretations 
regarding apron width that address

[[Page 51422]]

individuals standing on the cab apron having their foot crushed when 
the locomotive goes around a curve, or individuals standing on the 
apron falling between the locomotive and tender when the safety chains 
are taut or the drawbar disconnected.
Section 230.82. Fire Doors and Mechanical Stokers
    This section, as proposed, would eliminate the requirement 
contained in section 230.118 of the 1978 standards that all locomotives 
have mechanically operated fire doors. The task force decided to do so 
because some smaller locomotives are incapable, by design, of having 
them. The task force considered making the mechanically operated fire 
door requirement contingent upon the weight of the locomotive, and the 
agency is requesting comments on that idea; whether this section 
should, for example, require that locomotives over 100,000 pounds be 
equipped with mechanically operated fire doors.
    In addition, the task force recommended the removal of subsections 
(b) and (c) of section 230.118 of the 1978 standards, relating to 
stokers.
Section 230.83. Cylinder Cocks
    This section, as proposed, would retain section 230.119 of the 1978 
standards without substantive change, but would rewrite it for clarity.
Section 230.84. Sanders
    This section, as proposed, would retain section 230.120 of the 1978 
standards without substantive change, but would rewrite it for clarity. 
Consistent with the changes to the pre-departure inspection concept 
contemplated by this part, the inspection time period has been relaxed 
from each trip to the beginning of each day the locomotive is used.
Section 230.85. Audible Warning Device
    This section, as proposed, would modernize section 230.121 of the 
1978 standards by replacing its whistle requirement with a requirement 
that steam locomotives be equipped with audible warning devices. The 
decibel thresholds and the methodology for measuring the sound level 
are directly derived from section 229.129, which requires audible 
warning devices for locomotives other than steam locomotives.

Lights

Section 230.86. Required Illumination
    This section, as proposed, would retain Section 230.129 and 230.131 
of the 1978 standards, but would consolidate and rewrite them for 
clarity. In addition, this section would eliminate the distinction in 
the 1978 standards for locomotives in yard and road service, consistent 
with the task force's recommendation, since any justification for 
treating them differently disappeared as the nature of steam locomotive 
operations changed.
Section 230.87. Cab Lights
    This section, as proposed, would retain section 230.132 of the 1978 
standards without substantive change, other than to extend this section 
to all locomotives, instead of merely those used between sunset and 
sunrise. The task force felt that this imposed no hardship upon 
locomotive owners and/or operators, and would address operating 
circumstances that could occur during ``daylight'' hours, but which 
might require being able to see control instruments, or to read 
timetables within the cab.

Throttle and Reversing Gear

Section 230.88. Throttles
    This section, as proposed, would retain section 230.156 of the 1978 
standards, without substantive change.
Section 230.89. Reverse Gear
    This section, as proposed, would retain section 230.157 of the 1978 
standards but would reorganize and rewrite it for clarity. The proposed 
subsection (a) would retain the general language that appears before 
subsection (a) verbatim. This section would not retain subsections (a) 
and (b) of the 1978 standards because the task force believed that many 
locomotives in service do not have power-operated reverse gear and have 
suffered no ill-consequences. In addition, the view was expressed that 
power-reverse gear can be dangerous as well. The group considered 
attaching a weight restriction to this requirement, but concluded that 
the problem would be self-regulating since it would be impractical to 
move certain locomotives with manual reverse operating gear. The 
proposed subsections (b) and (c) are derived from subsection (c) of the 
1978 standards.

Draw Gear and Draft Systems

Section 230.90. Draw Gear Between Steam Locomotive and Tender
    Subsection (a) of this section, as proposed, would retain most of 
the requirements of subsection (a) of section 230.122 of the 1978 
standards, except it proposes requiring NDE testing of draw pins and 
the drawbar during every annual inspection. This section also would 
require the use of an additional NDE testing method where visual 
inspection does not disclose any defects. The task force wanted to 
accommodate the industry's business concerns about conducting this test 
too frequently, and recommended requiring the use of better technology 
as the trade-off for extending the inspection time-period from three 
months to one year. This proposal reflects that recommendation.
    Subsection (b) of this section, as proposed, would modify the 1978 
standards' requirements for safety bars or chains and their relative 
strength. The industry task force members disagreed with the 1978 
standards' ``two or more safety bars or safety chains'' language, 
arguing that some locomotives are designed with one (1) safety bar. The 
consensus was that the old rule was addressing smaller draw bars that 
could take the place of safety chains, and not the double drawbar 
design where two bars are on the same pins with one pin bearing no load 
in normal use. The bar with no load is the safety bar. In addition, 
this section would incorporate the ICC interpretation of the 1978 
standard's ``ample strength'' to require the combined strength of 
safety chains or bars and their fastenings to be at least 50 percent of 
the strength of the drawbar and its connections.
    Subsections (c), (d), and (e) would retain the subsections (c), 
(d), and (e) of section 230.122 of the 1978 standards without change.
Section 230.91. Chafing Irons
    This section, as proposed, would retain section 230.123 of the 1978 
standards without substantive change, but would rewrite it for clarity.
Section 230.92. Draw Gear and Draft Systems
    This section, as proposed, would retain section 230.124 of the 1978 
standards without substantive change, but would modify it to include 
couplers, which were not previously addressed.

Driving Gear

Section 230.93. Pistons and Piston Rods
    This section, as proposed, would retain section 230.127 of the 1978 
standards but would revise it by eliminating the stamping requirement 
for rods and by adding standards for fasteners. The task force debated 
whether or not they wanted to retain a mechanism for tracing materials 
and concluded that they did not want Part 230 to require it. The task 
force discussed working on a ``recommended practices'' handbook for the 
operators,

[[Page 51423]]

not related to this rule, and including traceability there.
Section 230.94. Crossheads
    This section, as proposed, would retain section 230.125 of the 1978 
standards without substantive change, but would rewrite it for clarity.
Section 230.95. Guides
    This section, as proposed, would retain section 230.126 of the 1978 
standards without substantive change.
Section 230.96. Main, Side, and Valve Motion Rods
    Subsection (a) of this section, as proposed, would retain 
subsection (a) of section 230.128 of the 1978 standards without 
substantive change, but would rewrite it for clarity.
    Subsection (b) of this section, as proposed, would change section 
230.128 of the 1978 standards by expressly allowing welding of main, 
side and valve motion rods subject to FRA approval of requests to do 
so. The task force debated how to control the welding methodology and 
concluded that requiring the welding in accordance with an accepted 
national standard was the easiest and most thorough way to do so. The 
task force concluded that this section should be harmonized with 
section 230.33 of these proposed standards. See the analysis of welding 
concerns in that section, which is identical to the task force's 
discussion of this subsection.
    Subsection (c) of this section, as proposed, would retain 
subsection (c) of section 230.128 of the 1978 standards in its entirety 
and, for clarity, would add a sentence to address floating bushings.
    Subsection (d) of this section, as proposed, would retain 
subsection (d) of section 230.128 of the 1978 standards without change.
    Subsection (e) of this section, as proposed, would retain 
subsection (e) of section 230.128 of the 1978 standards but would very 
narrowly rewrite it for clarity.
    Subsection (f) of this section, as proposed, would retain 
subsection (f) of section 230.128 of the 1978 standards without change.
    Subsection (g) of this section, as proposed, would retain 
subsection (g) of section 230.128 of the 1978 standards without change.
    This section, as proposed, would not retain subsections (h) and (I) 
of section 230.128 of the 1978 standards, to reflect the removal 
throughout this proposed rule of distinctions between road and yard 
service. As discussed previously, the justification for treating these 
types of service differently no longer exists.
Section 230.97. Crank Pins
    Subsection (a) of this section, as proposed, would change section 
230.136 of the 1978 standards by eliminating the stamping requirement, 
consistent with section 230.92 of this proposal. The task force felt 
very strongly that it is unnecessary to know, and to have stamped on 
the pin, the application date.
    This subsection also would expand the prohibition for shimming or 
prick punching to include ``securing the fit of a loose crank pin by 
shimming, prick punching, or welding.''
    Subsection (b) of this section, as proposed, would retain the 
subsection (b) of section 230.136 of the 1978 standards but would 
change the word ``bolts'' to ``fasteners.'' This change is non-
substantive and reflects the acceptable use of other mechanisms as 
fasteners.

Running Gear

Section 230.98. Driving, Trailing, And Engine Truck Axles
    This section, as proposed, would retain section 230.133 of the 1978 
standards with minor substantive change and would rewrite and 
reorganize it for clarity. As proposed, this section would relax the 
wear allowance on secondary driving axles. The task force decided to 
make this change to harmonize the regulation with their operational 
experience.
Section 230.99. Tender Truck Axles
    This section, as proposed, would retain section 230.134 of the 1978 
standards without substantive change.
Section 230.100. Defects in Tender Truck Axles and Journals
    This section, as proposed, would retain section 230.135 of the 1978 
standards without substantive change.
Section 230.101. Steam Locomotive Driving Journal Boxes
    This section, as proposed, would retain section 230.137 of the 1978 
standards without substantive change, but would reorganize and rewrite 
it for clarity.
Section 230.102. Tender Plain Bearing Journal Boxes (New)
    This section, as proposed, would impose condemning limits for plain 
bearing journal boxes, consistent with the task force's recommendation 
to do so. The task force collaborated and identified issues that might 
affect the operational integrity/function of the journal.
Section 230.103. Tender Roller Bearing Journal Boxes (New)
    This section, as proposed, would impose maintenance requirements 
for tender roller bearing journal boxes, consistent with the task 
force's recommendation to do so. The task force did not find it 
necessary to impose specific condemning limits for roller bearing 
journal boxes, believing that the performance standard ``safe and 
suitable'' would suffice.
Section 230.104. Driving Box Shoes and Wedges
    This section, as proposed, would retain section 230.138 of the 1978 
standards without change.
Section 230.105. Lateral Motion
    This section, as proposed, would retain section 230.140 of the 1978 
standards without change.

Trucks and Frames and Equalizing System

Section 230.106. Steam Locomotive Frame
    This section, as proposed, would retain section 230.139 of the 1978 
standards but would modify it by adding a section which would allow 
locomotive owners and/or operators to continue in existence locomotives 
with broken frames that are properly patched or secured in a way to 
restore the rigidity of the frame.
Section 230.107. Tender Frame and Body
    This section, as proposed, would retain section 230.152 of the 1978 
standards and would add a section that would contain condemning limits 
for a tender frame, consistent with the task force's recommendation.
Section 230.108. Steam Locomotive Leading and Trailing Trucks
    This section, as proposed, would retain section 230.143 of the 1978 
standards but would modify it to require that all centering devices not 
permit lost motion in excess of \1/2\ inch, consistent with the task 
force's recommendation.
Section 230.109. Tender Truck
    This section, as proposed, would retain section 230.155 of the 1978 
standards but would modify it to establish condemning limits for 
springs and to include truck centering devices.
Section 230.110. Pilots
    This section, as proposed, would retain section 230.141 of the 1978 
standards without change but would clarify that minimum and maximum

[[Page 51424]]

clearances of the pilot above the rail must be measured on tangent 
level track.
Section 230.111. Spring Rigging
    This section, as proposed would retain section 230.142 of the 1978 
standards with minor modifications. This section would change the 1978 
standards to allow the adjusting of load weights by shifting weights 
from one pair of wheels to another, and to allow broken springs within 
the condemning limits for spring rigging to be repaired by clipping, 
provided the clips can be secured so as to stay in place.

Wheels and Tires

Sectopm 230.112. Wheels and Tires
    This section, as proposed, would combine the 1978 standards of 
Sections 230.144, 230.150, and 230.151 . Subsections (a), (b) and (c) 
reflect section 230.144 with a few modifications. Subsection (a), as 
proposed, would change ``pressed'' to ``mounted.'' This change was 
recommended to acknowledge the process of shrinking wheels onto the 
axle, which is not acknowledged by the use of the word ``pressed.'' 
Next, subsection (b), as proposed, would add a sentence to address gage 
for track that is less than standard gage. The figures used were 
derived from back to back measurement. The task force spent a fair 
amount of time debating the inclusion of standards for ``wide-flange'' 
wheels, but concluded that they would wait to see if the industry 
became more saturated with ``wide-flange'' wheels before addressing it. 
This proposal reflects that recommendation. Finally, subsection (c) 
would retain subsection (c) of section 230.144 of the 1978 standards 
without change.
    Subsections (d) and (e) new and are derived from sections 230.150 
and 230.151 of the 1978 standards. Subsection (d) would retain section 
230.151 of the 1978 standards without substantive change but would 
rewrite it for clarity. Subsection (e) would combine the standards 
embodied in section 230.150(d) and (e) of the 1978 standards but would 
rewrite them for clarity.
Section 230.113. Wheels and Tire Defects
    This section, as proposed, would combine sections 230.145, 230.146, 
and 230.149 of the 1978 standards but would rewrite them to make the 
standards more specific, to eliminate redundancies, and for clarity.
Section 230.114. Wheel Centers
    This section, as proposed, would combine sections 230.147 and 
230.148 of the 1978 standards but would rewrite them to make the 
standards more specific and to address welding on wheel centers. The 
task force recommended that welding on wheel centers be allowed in 
accordance with section 229.75(m) of the 1978 standards. This proposal 
reflects that recommendation.

Steam Locomotive Tanks

Section 230.115. Feed Water Tanks
    This section, as proposed, would retain section 230.153 of the 1978 
standards, largely without change, but would rewrite it for clarity. 
Subsection (a) of this section would change section 230.153 of the 1978 
rule by requiring that all locomotives, regardless of the date of their 
manufacture or method of use, be equipped with a water level 
measurement device capable of being read from the cab or tender deck of 
the locomotive. The task force felt that this was capable of being 
accomplished very cheaply and eliminated the need for locomotive 
operators to climb atop the tender tank to check the water levels. In 
addition, this section would extend the inspection time period for 
inspecting feed water tanks from once each month to once each 92-
service days, consistent with the comprehensive changes to the 
inspection scheme contemplated by this part.
Section 230.116. Oil Tanks
    This section, as proposed, would retain section 230.154 of the 1978 
standards without substantive change, but would rewrite it for clarity.

Appendices

    FRA proposes to include at least five appendices to this rule. A 
brief description for each is provided below.
Appendix A--FRA's Exercise of Jurisdiction Over Tourist and Historic 
Railroads.
    FRA proposes to include a statement of the agency's long standing 
policy concerning the exercise of its broad authority to regulate 
railroads. The policy statement is being included to help clarify the 
extent to which it currently exercises its jurisdiction.
Appendix B--Inspection Requirements
    FRA proposes to provide in this appendix a simple reference guide 
for those who would be conducting the inspections required under these 
regulations. It is not intended to modify the specific requirements 
contained in any particular section.
Appendix C--FRA Inspection Forms
    This appendix contains examples of the six forms being proposed by 
FRA for recording compliance with the inspection and repair activities 
contained in various sections of the proposed rule. Use of these forms 
would be mandatory since, FRA does not contemplate individual operators 
as being given the freedom to create their own forms for recording this 
data. FRA will make a concentrated effort to make access to these forms 
readily available assuming that use of these forms becomes mandatory.
Appendix D--Drawings and Diagrams [Reserved]
    In the final rule, this appendix would contain a series of drawings 
and diagrams that would be cross referenced to various sections of the 
rule. Each drawing or diagram visually demonstrates how the rule 
language should be applied. For example, it would depict how to apply 
an instrument in order to correctly take measurements of objects such 
as wheels to determine the size of flanges, flat spots, and broken rims 
for compliance purposes.
Appendix E--Schedule of Civil Penalties [Reserved]
    In the final rule, this appendix would contain a penalty schedule 
similar to those that FRA has issued for its other regulations. 
Although such FRA penalty schedules are statements of policy and the 
obligation to provide notice and opportunity to comment prior to their 
issuance is not required under law, FRA would welcome comments from 
interested parties expressing their views on what penalties might be 
appropriate. FRA suggests that those interested in commenting on this 
issue examine FRA's current policy statement concerning the manner in 
which the agency enforces the rail safety laws. This policy statement 
is contained in Appendix A to 49 CFR Part 209,

Regulatory Impact

A. Executive Order 12866 and DOT Regulatory Policies and Procedures

    This rule has been evaluated in accordance with existing policies 
and procedures, and determined to be non-significant under both 
Executive Order 12866 and DOT policies and procedures (44 FR 11034; 
February 26, 1979). FRA has prepared and placed in the docket a 
Regulatory Impact Analysis (RIA) addressing the economic impact of this 
rule. Document inspection and copying

[[Page 51425]]

facilities are available at 1120 Vermont Avenue, N.W., 7th Floor, 
Washington, D.C. Photocopies may also be obtained by submitting a 
written request to the FRA Docket Clerk at Office of Chief Counsel, 
Federal Railroad Administration, 400 Seventh Street, S.W., Washington, 
D.C. 20590.
    As part of the regulatory impact analysis, FRA has assessed 
quantitative measurements of costs and benefits expected from the 
adoption of the final rule. For a twenty year period the Net Present 
Value (NPV) of the potential societal benefits is $11,548,440, and the 
NPV of the estimated quantified costs is $1,605,679. A majority of the 
costs would be caused by the transition from the current rule to the 
proposed rule. A majority of the savings would occur from the changes 
in the inspection frequencies that occur once an operator is operating 
under the proposed rule's requirements.
    FRA anticipates that this rule will not only reduce the federally 
mandated burden for the average steam locomotive owner/operator, but 
also reduce the risk involved in their operations. The NPV of the net 
benefits is $9.9 million.

B. Regulatory Flexibility Act

    The Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et seq.) 
requires a review of proposed and final rules to assess their impact on 
small entities. FRA has prepared and placed in the docket an Initial 
Regulatory Flexibility Assessment (IRFA) which assesses the small 
entity impact. Document inspection and copying facilities are available 
at 1120 Vermont Avenue, 7th Floor, Washington, D.C. Photocopies may 
also be obtained by submitting a written request to the FRA Docket 
Clerk at Office of Chief Counsel, Federal Railroad Administration, 400 
Seventh Street, S.W., Washington, D.C. 20590.
    FRA has recently published an interim policy which formally 
establishes ``small entities'' as being railroads which meet the line 
haulage revenue requirements of a Class III railroad. For other 
entities, the same dollar limit on revenues is established to determine 
whether a railroad shipper or contractor is a small entity. FRA is 
proposing to use this alternative definition of ``small entity'' for 
this rulemaking. Since this is still considered to be an alternative 
definition, FRA is using this definition in consultation with the 
Office of Advocacy, SBA, and therefore requests public comments on its 
use.
    The IRFA concludes that this proposed rule would have an economic 
impact on a sizable number of small entities. However, FRA certifies 
that this proposed rule is not expected to have a significant economic 
impact on a substantial number of small entities. The significance of 
the impact on the potentially affected small entities varies according 
to the current level of maintenance and inspection that a steam 
locomotive receives. Thus, an owner and/or operator of a steam 
locomotive which has only been marginally maintained could be 
significantly impacted by this proposed rule. In order to determine the 
significance of the economic impact FRA requests comments to the docket 
that will provide additional data on the economic impact caused by this 
proposed rule. The FRA will consider the comments and data it 
receives--or lack of comments and data--in making a final decision on 
the significance of the economic impact.
    For this proposed rulemaking there are potentially 150 steam 
locomotives that fall under the FRA's jurisdiction which could be 
affected. These locomotives are owned by 82 operators. FRA estimates 
that the somewhere between 85 and 95 percent of these operators are 
small entities. These operators primarily use their steam locomotives 
in a tourist, historic, excursion, or museum railway operations. Since 
this proposed regulation is primarily being imposed on small entities, 
readers interested in further details about the impacts on these 
entities should review the NPRM's Regulatory Impact Analysis (RIA).
    The impacts that this proposed regulation will have on the affected 
steam locomotive operators will vary for the 82 different operators. 
The impact will be inversely proportional to the level of inspection, 
maintenance and repair that each steam locomotive is currently given. 
Thus, steam locomotives that have been inspected, maintained and 
repaired properly should be impacted less than ones that have not. FRA 
estimates that the Net Present Value (NPV) of the average cost of this 
rule, per steam locomotive, is approximately $10,000 over twenty years. 
One of the more significant economic impacts that will affect all steam 
locomotives is the cost for transitioning from the current rule to the 
proposed. A proposed change that could impact a small quantity of steam 
locomotives each year is the proposed change involving replacing broken 
staybolts. Proposed new equipment requirements, such as a second water 
glass, total less than $50,000 for all affected steam locomotives over 
the twenty-year period.
    Since this proposed regulation impacts primarily small entities, 
most of the provisions in it were formed with the recognition that 
small operations would have to be burdened with its implementation and 
cost. In other words, all provisions of this proposed rule considered 
the potential impact to small entities when consensus was being formed 
on the rule-text. Because of this consideration, all requirements for 
specific equipment (i.e., cab lights, water glass etc . . .) allow for 
the operators to have one year from the effective date of the final 
rule to implement these sections.
    The largest impact and the greatest savings occur when a steam 
locomotive transitions from the current rule to the proposed. The 
proposed implementation for this is therefore gradually phased in. This 
proposal would allow steam locomotive owners and operators the 
flexibility necessary to bring their operations into compliance.

C. Small Business Regulatory Enforcement Fairness Act of 1996

    Pursuant to Section 312 of the Small Business Regulatory 
Enforcement Fairness Act of 1996 (P.L. 104-121), FRA will issue a Small 
Entity Compliance Guide to summarize the requirements of this rule. The 
Guide will be made available to all affected small entities to assist 
them in understanding the actions necessary to comply with the rule. 
The Guide will in no way alter the requirements of the rule, but will 
be a tool to assist small entities in the day-to-day application of 
those requirements.

D. Paperwork Reduction Act

    The information collection requirements in this final rule have 
been submitted for approval to the Office of Management and Budget 
(OMB) under the Paperwork Reduction Act of 1995, 44 U.S.C. 3501 et seq. 
The sections that contain the new information collection requirements 
and the estimated time to fulfill each requirement are as follows:

[[Page 51426]]



----------------------------------------------------------------------------------------------------------------
                                                                                           Total
                                    Respondent        Total annual    Average time per     annual       Total
          CFR section                universe          responses          response         burden       annual
                                                                                           hours     burden cost
----------------------------------------------------------------------------------------------------------------
230.3--Implementation:
    --Interim Flue Extensions.  82 owners/         30 letters.......  30 minutes......           15         $450
                                 operators.
    --Petitions for Special     82 owners/         30 petitions.....  1 hour..........           30        1,020
     Consideration.              operators.
    --Agency Silence..........  82 owners/         1 notification...  1 hour..........            1           30
                                 operators.
230.12--Conditions for          82 owners/         10 tags..........  6 minutes.......            1           30
 Movement of Non-Complying       operators.
 Steam Locomotives.
230.13--Inspection Reports:
    --Recordkeeping...........  82 owners/         3,650 forms......  2...............    122 hours        3,660
                                 operators.
230.14--31 Service Day          82 owners/         100 reports......  20 minutes......           33          990
 Inspection.                     operators.
    --FRA Notification........  82 owners/         2 notifications..  5 minutes.......          .17            5
                                 operators.
230.15--92 Day Service          82 owners/         100 reports......  20 minutes......           33          990
 Inspection.                     operators.
230.16--Annual Inspection.....  82 owners/         100 reports......  30 minutes......           50        1,500
                                 operators.
    --FRA Notification........  82 owners/         100 notifications  5 minutes.......            8          240
                                 operators.
230. 17--1472 Service Day       82 owners/         15 forms.........  30 minutes......            8          240
 Inspection (Form No. 4).        operators.
    --Recordkeeping (Form No.   82 owners/         15 reports.......  15 minutes......            4          120
     3).                         operators.
230.18--Service Day Report
 (Form No. 5):
    --Recordkeeping...........  82 owners/         150 reports......  15 minutes......           38        1,140
                                 operators.
230. 19--Posting of Copy:
    --Recordkeeping...........  82 owners/         300 forms........  1 minute........            5          150
                                 operators.
230.20--Alteration Reports For  82 owners/         5 reports........  1 hour..........      5 hours          150
 Steam Locomotive Boilers        operators.
 (Form No. 19).
230.21--Steam Locomotive        82 owners/         5 documents......  2 minutes.......           17            5
 Number Change.                  operators.
230.33--Welded Repairs and      82 owners/         5 letters........  50 minutes......            1           30
 Alterations.                    operators.
    --Wastage and Flush         82 owners/         12 letters.......  10..............            1           60
     Patches.                    operators.
230.34--Riveted Repairs and     82 owners/         37 requests......  5 minutes.......            3           90
 Alterations.                    operators.
230.41--Flexible Staybolts
 with Caps:
    --Recordkeeping...........  82 owners/         10 entries.......  1 minute........          .17            5
                                 operators.
230.46--Badge Plates:
    --Recordkeeping...........  82 owners/         1 report.........  30 minutes......          .50           15
                                 operators.
230.47--Boiler Number:
    --Recordkeeping...........  82 owners/         1 report.........  15 minutes......          .25            8
                                 operators.
230.75--Stenciling Dates of
 Tests and Cleaning:
    --Recordkeeping...........  82 owners/         54 tests.........  1 minute........            1           30
                                 operators.
230.96--Main, Side, and Valve   82 owners/         1 letter.........  10 minutes......     .17 hour            5
 Rods.                           operators.
230.98--Driving, Trailing, and
 Engine Truck Axles:
    Journal Diameter Stamped..  82 owner/          1 stamp..........  15 minutes......          .25            8
                                 operators.
230.116--Oil Tanks............  82 owners/         150 signs........  1 minute........            3           90
                                 operators.
----------------------------------------------------------------------------------------------------------------

    All estimates include the time for reviewing instructions; 
searching existing data sources; gathering or maintaining the needed 
data; and reviewing the information. Pursuant to 44 U.S.C. 
3506(c)(2)(B), the FRA solicits comments concerning: whether these 
information collection requirements are necessary for the proper 
performance of the function of FRA, including whether the information 
has practical utility; the accuracy of FRA's estimates of the burden of 
the information collection requirements; the quality, utility, and 
clarity of the information to be collected; and whether the burden of 
collection of information on those who are to respond, including 
through the use of automated collection techniques or other forms of 
information technology, may be minimized. For information or a copy of 
the paperwork package submitted to OMB contact Robert Brogan at 202-
493-6292.
    Organizations and individuals desiring to submit comments on the 
collection of information requirements should direct them to the Office 
of Management and Budget, Attention: Desk Officer for the Federal 
Railroad Administration, Office of Information and Regulatory Affairs, 
Washington, D.C. 20503, and should also send a copy of their comments 
to Robert Brogan, Federal Railroad Administration, RRS-21, Mail Stop 
25, 400 7th Street, S.W., Washington. D.C. 20590.
    OMB is required to make a decision concerning the collection of 
information requirements contained in this final rule between 30 and 60 
days after publication of this document in the Federal Register. 
Therefore, a comment to OMB is best assured of having its full effect 
if OMB receives it within 30 days of publication. The final rule will 
respond to any OMB or public comments on the information collection 
requirements contained in this proposal.
    FRA cannot impose a penalty on persons for violating information 
collection requirements which do not display a current OMB control 
number, if required. FRA intends to obtain current OMB control numbers 
for any new information collection requirements resulting from this 
rulemaking action prior to the effective date of a final rule. The 
valid OMB control number for this information collection is 2130-0505.

E. Federalism Implications

    This final rule will not have a substantial effect on the states, 
on the

[[Page 51427]]

relationship between the national government and the states, or the 
distribution of power and responsibilities among the various levels of 
government. Thus, in accordance with Executive Order 12612, preparation 
of a Federalism assessment is not warranted.

F. Compliance With the Unfunded Mandates Reform Act of 1995

    Pursuant to the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-
4) each federal agency ``shall, unless otherwise prohibited by law, 
assess the effects of Federal Regulatory actions on State, local, and 
tribal governments, and the private sector (other than to the extent 
that such regulations incorporate requirements specifically set forth 
in law).'' Section 201. Section 202 of the Act further requires that 
``before promulgating any general notice of proposed rulemaking that is 
likely to result in promulgation of any rule that includes any Federal 
mandate that may result in the expenditure by State, local, and tribal 
governments, in the aggregate, or by the private sector, of 
$100,000,000 or more (adjusted annually for inflation) in any 1 year, 
and before promulgating any final rule for which a general notice of 
proposed rulemaking was published, the agency shall prepare a written 
statement * * * detailing the effect on State, local and tribal 
governments and the private sector.'' The final rule issued today will 
not result in the expenditure, in the aggregate, of $100,000,000 or 
more in any one year, and thus preparation of a statement is not 
required.

G. Request for Public Comments

    In accordance with Executive Order 12866, FRA is allowing 60 days 
for comments. FRA believes that a 60 day comment period is appropriate 
to allow parties with interests not represented on the Tourist and 
Historic Working Group of the Railroad Safety Advisory Committee to 
comment on this proposed rule. As noted earlier, FRA has not scheduled 
a public hearing and will not do so unless requested to do in writing. 
FRA solicits written comments on all aspects of this proposed rule and 
FRA may make changes to the final rule based on comments received in 
response to this notice.
    In the very near future, FRA's docket system will be integrated 
with the centralized DOT docket facility which will enable the public 
to view all documents in a public docket through the Internet. At that 
time, all comments received in this proceeding will be transferred to 
the central docket facility and all subsequent documents relating to 
this proceeding will be filed directly in, and be available for 
inspection through, the centralized docket system. A notice of the 
docket system change with complete filing and inspection information 
will be published in the Federal Register at the appropriate time.

List of Subjects in 49 CFR Part 230

    Steam locomotives, Railroad safety, Penalties, Reporting and 
recordkeeping requirements.

The Proposed Rule

    For the reasons set out above, FRA proposes revising Part 230 of 
Title 49 of the Code of Federal Regulations to read as follows:

PART 230--STEAM LOCOMOTIVE INSPECTION AND MAINTENANCE STANDARDS

Subpart A--General

Sec.
230.1  Purpose and scope.
230.2  Applicability.
230.3  Implementation.
230.4  Prohibited acts.
230.5  Penalties.
230.6  Preemptive effect.
230.7  Waivers.
230.8  Responsibility for compliance.
230.9  Definitions.
230.10  Information collection.

General Inspection Requirements

230.11  Repair of non-complying conditions.
230.12  Movement of non-complying locomotives.
230.13  Daily inspection.
230.14  Thirty-one (31) service day inspection.
230.15  Ninety-two (92) service day inspection.
230.16  Annual inspection.
230.17  One thousand four hundred seventy-two (1472) service day 
inspection.

Recordkeeping Requirements

230.18  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 Appurtenances

230.23  Responsibility for general construction and safe working 
pressure.

Allowable Stress

230.24  Maximum allowable stress.
230.25  Maximum allowable stress on stays and braces.

Strength of Materials

230.26  Tensile strength of shell plates.
230.27  Maximum shearing strength of rivets.
230.28  Higher shearing strength of rivets.

Inspection and Repair

230.29  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 Boilers

230.35  Pressure testing.
230.36  Hydrostatic testing of boilers.
230.37  Steam test following repairs or alterations.

Staybolts

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

Steam Gauges

230.42  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 Valves

230.48  Number and capacity.
230.49  Setting of safety relief valves.
230.50  Time of testing.

Water Glasses and Gauge Cocks

230.51  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.

Subpart C--Steam Locomotives and Tenders

230.66  Design, construction, and maintenance.
230.67  Responsibility for inspection and repairs.

Speed Indicators

230.68  Speed indicators.

Ash Pans

230.69  Ash pans.

[[Page 51428]]

Brake and Signal Equipment

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 and mechanical stokers.
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.

Draw Gear and Draft Systems

230.90  Draw gear between locomotive and tender.
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 truck axles.
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.
230.103  Tender roller bearing journal boxes.
230.104  Driving box shoes and wedges.
230.105  Lateral motion.

Trucks and 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  Wheel and tire defects.
230.114  Wheel centers.

Steam Locomotive Tanks

230.115  Feed water tanks.
230.116  Oil tanks.

Appendix A to Part 230--FRA's Exercise of Jurisdiction Over Tourist 
and Historic Railroads.
Appendix B to Part 230--Inspection Requirements.
Appendix C to Part 230--FRA Inspection Forms.
Appendix D to Part 230--Drawings and Diagrams. [Reserved]
Appendix E to Part 230--Schedule of Civil Penalties. [Reserved]

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

Subpart A--General.


Sec. 230.1  Purpose and scope.

    This part prescribes minimum Federal safety standards for all 
steam-propelled locomotives. This part does not restrict a railroad 
from adopting and enforcing additional or more stringent requirements 
not inconsistent with this part.


Sec. 230.2  Applicability.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to all railroads that operate steam locomotives.
    (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 so 
only on track inside an installation that is not part of the general 
system of transportation;
    (3) Rapid transit operations in an urban area that are not 
connected to the general system of transportation; or
    (4) A railroad that operates passenger trains and does so only on 
track inside an installation that is insular, i.e., its operations are 
limited to a separate enclave in such a way that there is no reasonable 
expectation that the safety of the public--except a business guest, a 
licensee of the railroad or an affiliated entity, or a trespasser--
would be affected by the operation. An operation will not be considered 
insular if one or more of the following exists on its line:
    (i) A public highway-rail crossing that is in use;
    (ii) An at-grade rail crossing that is in use;
    (iii) A bridge over a public road or waters used for commercial 
navigation; or (iv) A common corridor with another railroad, i.e., its 
operations are conducted within 30 feet of those of any other railroad.
    (c) See Appendix A of this part for a current statement of the 
Federal Railroad Administration's (FRA's) policy on its exercise of 
jurisdiction.


Sec. 230.3  Implementation.

    Except as provided in paragraphs (a) through (c) of this section, 
the locomotive owner and/or operator shall perform a 1472 service day 
inspection that meets the requirements of Sec. 230.17 when the 
locomotive's flues would be required to be removed pursuant to 
Sec. 230.10, of the regulations in effect prior to [the effective date 
of the final rule]. (See 49 CFR Parts 200-299, revised October 1, 
1978). At the time the locomotive owner and/or operator completes this 
inspection, it must begin to comply with the rest of the provisions of 
this part. Up until such time, and except as provided in paragraphs (a) 
through (c) of this section, compliance with the regulations in effect 
prior to [the effective date of the final rule] (See 49 CFR Parts 200-
299, revised October 1, 1978) will constitute full compliance with this 
part. Any interested person may obtain the October 1, 1978 revision of 
49 CFR Parts 200-999 by contacting the Federal Railroad Administration, 
Office of Chief Counsel, 400 7th Street, S.W., Washington, D.C. 20590.
    (a) One year after effective date of the final rule. The following 
sections of this part must be complied with by [one year after 
effective date of the final rule]: Secs. 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 
requests for flue removal extensions under the provisions of 
Sec. 230.10 of the regulations in effect prior to [effective date of 
the final rule] (See 49 CFR Parts 200-299, revised October 1, 1978) 
until [two (2) years after the effective date of the final rule].
    (c) Petition for Special Consideration. The locomotive owner or 
operator may petition FRA for special consideration of this part's 
implementation with respect to any locomotive that has either fully or 
partially satisfied the requirements of Sec. 230.17 within three (3) 
years prior to [the publication date of the final rule], provided the 
locomotive is in full compliance with Sec. 230.17 by the time the 
petition is actually filed 1.
---------------------------------------------------------------------------

    \1\ Note: As an example, where the locomotive has received a 
proper boiler inspection within 3 years prior to the publication 
date of this rule, but has not had its Form 4 updated, the 
locomotive owner or operator may update and verify the Form 4 for 
that locomotive, and submit a timely petition that requests 
retroactive credit for the boiler inspection that was conducted 
within the past three years pursuant to Secs. 230.10 and 230.11 of 
the regulations in effect prior to [effective date of the final 
rule]. (See 49 CFR Parts 200-299, revised October 1, 1978).
---------------------------------------------------------------------------

    (1) Petition process. Petitions must be filed by [one year after 
effective date of the final rule] and must be accompanied by all 
relevant documentation to be considered, including a FRA Form 4 (see 
Appendix C of this Part) that has been calculated in accordance with 
Sec. 230.17, and all records that demonstrate the number of days the 
locomotive has been in service. Based

[[Page 51429]]

upon the documentation provided, the agency will calculate the number 
of ``service days'' the locomotive has accrued and will notify the 
petitioner of the number of service days that remain in the 
locomotive's 1472 service day cycle. Petitions should be sent to the 
agency by some form of registered mail to ensure a record of delivery. 
The agency will investigate these petitions and will respond to these 
petitions within one year of their receipt. The agency will send its 
response by some form of registered mail to ensure that a record of 
delivery is created. In its response, the agency may grant the petition 
or deny it. If the agency grants the petition, the entirety of the 
revised requirements will become effective upon receipt of the agency's 
response, unless the agency's response indicates otherwise. If the 
agency denies the petition, the rule will become effective as provided 
in the first paragraph of this section.
    (2) Agency silence. Anyone who does not receive a response within 
one year of the date they filed their petition, whether through 
administrative or postal error, must notify FRA that the response has 
not been received. The notification should be provided to the agency by 
some form of registered mail to ensure a record of delivery. Upon 
receipt of this notification, FRA will ensure that a response is either 
issued, or re-issued, as soon as possible. In the interim, however, any 
operator who is at the end of their inspection cycle under the rules in 
effect prior to [effective date of final rule] (See 49 CFR Parts 200-
299, revised October 1, 1978) will be allowed to remain in service 
without conducting the required inspection under Sec. 230.17 for an 
additional six months, or until they receive FRA's decision, whichever 
occurs first.


Sec. 230.4  Prohibited acts.

    Chapter 207 of Title 49 of the United States Code makes it unlawful 
for any railroad to use or permit to be used on its line any steam 
locomotive or tender unless the entire steam locomotive or tender and 
its parts and appurtenances--
    (a) Are in proper condition and safe to operate in the service to 
which they are put, without unnecessary danger of personal injury; and
    (b) Have been inspected and tested as required by this part.


Sec. 230.5  Penalties.

    (a) Any person who violates any requirement of this part or causes 
the violation of any such requirement is subject to a civil penalty of 
at least $500 and not more than $11,000 per violation, except that: 
Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury 
to persons, or has caused death or injury, a penalty not to exceed 
$22,000 per violation may be assessed. Each day a violation continues 
shall constitute a separate offense. See Appendix E to this part for a 
statement of agency civil penalty policy.
    (b) Any person who knowingly and willfully falsifies a record or 
report required by this part may be subject to criminal penalties under 
49 U.S.C. 21311.


Sec. 230.6  Preemptive effect.

    Under 49 U.S.C. 20106, issuance of this part preempts any State 
law, regulation, or order covering the same subject matter, except an 
additional or more stringent law, regulation, or order that is 
necessary to eliminate or reduce an essentially local safety hazard; is 
not incompatible with a law, regulation, or order of the United States 
Government; and does not unreasonably burden interstate commerce. By 
issuance of this part, the FRA does not intend to preempt state laws 
authorizing safety inspections, by state officials pursuant to their 
own boiler safety programs, of steam locomotive boilers over which the 
FRA is not currently exercising its safety jurisdiction.


Sec. 230.7  Waivers.

    (a) A person subject to a requirement of this part may petition the 
Administrator for a waiver of compliance with such requirement. The 
filing of such a petition does not affect that person's responsibility 
for compliance with that requirement while the petition is being 
considered.
    (b) Each petition for waiver under this section must be filed in 
the manner and contain the information required by part 211 of this 
chapter.
    (c) If the Administrator finds that a waiver of compliance is in 
the public interest and is consistent with railroad safety, the 
Administrator may grant the waiver subject to any conditions the 
Administrator deems necessary. Where a waiver is granted, the 
Administrator publishes a notice containing the reasons for granting 
the waiver.
    (d) All waivers of every form and type from any requirement of any 
order or regulation implementing the Locomotive Boiler Inspection Act, 
36 Stat. 913, as amended, 49 U.S.C. 20702, applicable to one or more 
steam locomotives, shall lapse on [effective date of final rule] unless 
a copy of the grant of waiver is filed for reassessment prior to that 
date with the Office of Safety, Federal Railroad Administration, 400 
Seventh Street, Washington, D.C. 20590. FRA will review the waiver and 
notify the applicant whether the waiver has been continued.


Sec. 230.8  Responsibility for compliance.

    (a) The locomotive owner and/or operator is directly responsible 
for ensuring that all requirements of this part are satisfied, and is 
the entity primarily responsible for compliance with this part.
    (b) Although the duties imposed by this part are generally stated 
in terms of the duties of a railroad or a steam locomotive owner and/or 
operator, any person, including a contractor for a railroad, who 
performs any function covered by this part must perform that function 
in accordance with this part.


Sec. 230.9  Definitions.

    As used in this part, the terms listed in this section have the 
following definitions:
    Administrator. The Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Alteration. Any change to the boiler which affects its pressure 
retention capability. Rating changes are considered alterations.
    ANSI. American National Standards Institute.
    API. American Petroleum Institute.
    ASME. American Society of Mechanical Engineers.
    Boiler surfaces. The boiler interior is all the space inside a 
boiler occupied by water or steam under pressure, and all associated 
surfaces inside that space exposed to that water and steam. The boiler 
exterior is the opposite surface of all components directly exposed to 
the boiler interior. This includes the fire side of the firebox sheets.
    Break. A fracture resulting in complete separation into parts.
    Code of original construction. The manufacturer's or industry code 
in effect when the boiler was constructed. If the exact code is not 
known, the closest contemporary code may be used provided it does not 
pre-date the construction date of the boiler.
    Crack. A fracture without complete separation into parts, except 
that castings with shrinkage cracks or hot tears that do not 
significantly diminish the strength of the member are not considered to 
be cracked.
    FRA. The Federal Railroad Administration.
    Locomotive operator. Person or entity which operates, but which 
does not necessarily own, one or more steam

[[Page 51430]]

locomotives. This term means, for purposes of inspection and 
maintenance responsibility, the entity responsible for the day-to-day 
operation of the steam locomotive, or their delegate.
    Locomotive owner. Person or entity which owns, but which does not 
necessarily operate, one or more steam locomotives. For purposes of 
inspection and maintenance responsibility, this term includes their 
delegate as well.
    MAWP. Maximum allowable working pressure as specified by the steam 
locomotive specification FRA Form No. 4. (See appendix C of this part)
    NBIC. National Board Inspection Code published by the National 
Board of Boiler 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 not limited to the following: a railroad; a manager, supervisor, 
official, or other employee or agent of a railroad; any owner, 
manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor.
    Railroad. Any form of non-highway ground transportation that runs 
on rails or electromagnetic guideways and any entity providing such 
transportation, including commuter or other short-haul railroad 
passenger service in a metropolitan or suburban area and commuter 
railroad service that was operated by the Consolidated Rail Corporation 
on January 1, 1979; and high speed ground transportation systems that 
connect metropolitan areas, without regard to whether those systems use 
new technologies not associated with traditional railroads; but does 
not include rapid transit operations in an urban area that are not 
connected to the general railroad system of transportation.
    Renewal. Replacement in kind with a newly manufactured or 
remanufactured (restored to original tolerances) component. Materials 
shall be suitable for the service intended.
    Repair. Any work which results in a restoration in kind.
    Serious injury. An injury that results in the amputation of any 
appendage, the loss of sight in an eye, the fracture of a bone, or the 
confinement in a hospital for a period of more than 24 consecutive 
hours.
    Service day. Any calendar day that the boiler has steam pressure 
above atmospheric pressure with fire in the firebox. In the case of a 
fireless steam locomotive, any calendar day that the boiler has steam 
pressure above atmospheric pressure.
    Stayed portion of the boiler. That portion of the boiler designed 
to require support to retain internal pressure by the addition of 
strength members, such as staybolts, braces, diagonal stays, tubes, 
etc.
    Steam locomotive. A self-propelled unit of equipment powered by 
steam that is either designed or used for moving other equipment. This 
includes a self-propelled unit designed or used to carry freight and/or 
passenger traffic.
    Unstayed Portion of the Boiler. That portion of the boiler designed 
to be self-supported in retaining internal pressure without additional 
strength members such as staybolts, braces, diagonal stays, tubes, etc.
    Wastage. A reduction in the thickness of a mechanical component, 
such as a pipe or sheet.


Sec. 230.10  Information collection.

    (a) [Reserved]
    (b) The information collection requirements are found in the 
following sections: 230.3, 230.12 though 230.21, 230.33, 230.34, 
230.41, 230.46, 230.47, 230.75, 230.96, 230.98, ad 230.116.

General Inspection Requirements


Sec. 230.11  Repair of non-complying conditions.

    The steam locomotive owner and/or operator shall repair any steam 
locomotive that fails to comply with the conditions of this part, and 
shall approve any such repairs made, before placing the locomotive back 
into service.


Sec. 230.12  Movement of non-complying steam locomotives.

    (a) General limitations on movement. A steam locomotive with one or 
more non-complying conditions may be moved only as a lite steam 
locomotive or a steam locomotive in tow, except as provided in 
paragraph (b) of this section. Cars essential to the movement of the 
steam locomotive and tender(s), including tool cars and a bunk car, may 
accompany lite movements.
    (b) Conditions for movement. Prior to movement, the steam 
locomotive owner and/or operator shall determine that it is safe to 
move the locomotive, determine the maximum speed and other restrictions 
necessary for safely conducting the movement, and notify in writing the 
engineer in charge of the defective steam locomotive and, if towed, the 
engineer in charge of the towing locomotive consist, as well as all 
other crew members in the cabs, of the presence of the non-complying 
steam locomotive and the maximum speed and other movement restrictions. 
In addition, a tag bearing the words ``non-complying locomotive'' shall 
be securely attached to each defective steam locomotive and shall 
contain the following information:
    (1) The steam locomotive number;
    (2) The name of the inspecting carrier;
    (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 
by this paragraph (b).
    (c) Non-complying conditions developed en route. The locomotive 
owner and/or operator may continue in use a steam locomotive that 
develops a non-complying condition en route until the next daily 
inspection or the nearest forward point where the repairs necessary to 
bring it into compliance can be made, whichever is earlier. Before 
continuing en route, the steam locomotive owner and/or operator shall 
determine that it is safe to move the steam locomotive, determine the 
maximum speed and other restrictions necessary for safely conducting 
the movement, and notify in writing the engineer in charge of the 
defective steam locomotive and, if towed, the engineer in charge of the 
towing steam locomotive consist, as well as all other crew members in 
the cabs, of the presence of the non-complying steam locomotive and the 
maximum speed and other movement restrictions.
    (d) Special notice for repair. Nothing in this section authorizes 
the movement of a steam locomotive subject to a Special Notice for 
Repair unless the movement is made in accordance with the restrictions 
contained in the Special Notice.


Sec. 230.13  Daily inspection.

    (a) General. An individual competent to conduct the inspection 
shall inspect each steam locomotive and its tender and appurtenances 
each day that they are offered for use to determine that they are safe 
and suitable for service. The daily inspection shall be conducted to 
comply with all sections of this part, and a daily inspection report 
filed, by an individual competent to conduct the inspection. See 
appendices B and C of this part.
    (b) Pre-departure. At the beginning of each day the steam 
locomotive is used, an individual competent to do so shall, together 
with the daily inspection required above, inspect the steam locomotive 
and its tender and appurtenances to ensure that they are safe and 
suitable for service, paying special attention to the following items:

[[Page 51431]]

    (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 of the daily inspection shall 
be entered on an FRA Form No. 2 (See appendix C of this part) which 
shall contain, at a minimum, the name of the railroad, the initials and 
number of the steam locomotive, the place, date and time of the 
inspection, the signature of the employee making the inspection, a 
description of the non-complying conditions disclosed by the 
inspection, conditions found in non-compliance during the day and 
repaired and the signature of the person who repaired the non-
conforming conditions. This report shall be filed even if no non-
complying conditions are detected. A competent individual shall sign 
the report, certifying that all non-complying conditions were repaired 
before the steam locomotive is operated. This report shall be filed and 
retained for at least 92 days at the location designated by the steam 
locomotive owner and/or operator.


Sec. 230.14  Thirty-one (31) service day inspection.

    (a) General. An individual competent to conduct the inspection 
shall perform the 31 service day inspection after the steam locomotive 
has accrued 31 ``service-days.'' This inspection shall consist of all 
31 service day inspection items and all daily inspection items. See 
appendix B of this part. Days in service shall be counted, recorded and 
readily available for inspection when requested by an FRA inspector.
    (b) FRA notification. FRA Regional Administrators, or their 
delegate(s), may require a steam locomotive owner or operator to 
provide FRA with notification before a 31 service day inspection. If 
the Regional Administrator or their delegate indicates their desire to 
be present for the 31 service day inspection, the steam locomotive 
owner and/or operator shall provide them a scheduled date and location 
for inspection. Once scheduled, the inspection must be performed at the 
time and place specified, unless the Regional Administrator and the 
steam locomotive owner and/or operator mutually agree to reschedule.
    (c) Filing inspection reports. Within 10 days of conducting the 31 
service day inspection, the steam locomotive owner and/or operator 
shall file, for each steam locomotive inspected, a report of inspection 
(FRA Form No. 1), in the place where the steam locomotive is maintained 
and with the FRA Regional Administrator for that region. When the 
report of annual inspection (FRA Form No. 3), is filed, the FRA Form 
No. 1 does not have to be filed until the next 31 service day 
inspection. (See appendix C of this part)


Sec. 230.15  Ninety-two (92) service day inspection.

    (a) General. An individual competent to conduct the inspection 
shall perform the 92 service day inspection after the steam locomotive 
has accrued 92 ``service-days.'' This inspection shall include all 
daily, all 31 service day, and all 92 service day inspection items. See 
Appendix B of this part. Days in service shall be counted, recorded, 
and readily available for inspection when requested by an FRA 
inspector.
    (b) Filing inspection reports. Within 10 days of conducting the 92 
service day inspection, the steam locomotive owner and/or operator 
shall file, for each steam locomotive inspected, a report of inspection 
( FRA Form No. 1), in the place the locomotive is maintained and with 
the Regional Administrator for that region. When the, report of annual 
inspection (FRA Form No. 3), is filed, the FRA Form No. 1 does not have 
to be filed until the next 92 service day inspection. (See appendix C 
of this part)


Sec. 230.16  Annual inspection.

    (a) General. (1) An individual competent to conduct the inspection 
shall perform the annual inspection after 368 calendar days have 
elapsed from the time of the previous annual inspection. This 
inspection shall include all daily, all 31 service day, all 92 service 
day, and all annual inspection items. See Appendix B of this part.
    (2) Fifth annual inspection. An individual competent to do so shall 
perform a flexible staybolt and cap inspection in accordance with 
Sec. 230.41 at each fifth annual inspection.
    (b) FRA notification. FRA Regional Administrators shall be provided 
written notice at least one month prior to an annual inspection and 
afforded an opportunity to be present. If the Regional Administrator or 
their delegate indicates a desire to be present, the steam locomotive 
owner and/or operator will provide a scheduled date and location for 
the inspection. Once scheduled, the inspection must be performed at the 
time and place specified, unless the Regional Administrator and the 
steam locomotive owner and/or operator mutually agree to reschedule.
    (c) Filing inspection reports. Within 10 days of completing the 
annual inspection, the steam locomotive owner and/or operator shall 
file, for each steam locomotive inspected, a report of inspection (FRA 
Form No. 3), in the place where the steam locomotive is maintained and 
with the Regional Administrator for that region. (See appendix C of 
this part)


Sec. 230.17  One thousand four hundred seventy-two (1472) service day 
inspection.

    (a) General. Before any steam locomotive is initially put in 
service or brought out of retirement, and after 1472 service days or 15 
years, whichever is earlier, an individual competent to conduct the 
inspection shall inspect the entire boiler. This 1472 service day 
inspection shall include all annual, and 5th annual, inspection 
requirements, as well as any items required by the steam locomotive 
owner and/or operator or the FRA inspector. At this time, the 
locomotive owner and/or operator shall complete, update and verify the 
locomotive specification card (FRA Form No. 4), to reflect the 
condition of the boiler at the time of this inspection. See appendices 
B and C of this part.
    (b) Filing inspection reports. Within 30 days of completing the 
1472 service day inspection, the steam locomotive owner and/or operator 
shall, for each steam locomotive inspected, file in the place where the 
steam locomotive is maintained and with the FRA Regional Administrator 
for that region a report of inspection, (FRA Form No. 3), and a 
completed FRA Form No.4. (See appendix C of this part)

Recordkeeping Requirements


Sec. 230.18  Service days.

    (a) Service day record. For every steam locomotive currently in 
service, the steam locomotive owner and/or operator shall have 
available, and be able to show an FRA inspector upon request, a current 
copy of the service day record that contains the number of service days 
the steam locomotive has accrued since the last 31, 92, Annual and 1472 
service day inspections.
    (b) Service day report. By the 31st of every January, every steam 
locomotive owner and/or operator shall file a service day report, FRA 
Form No. 5, with the Regional Administrator accounting for the days the 
steam locomotive was in service from January 1 through December 31st of 
the preceding year. If the steam locomotive was in service zero (0) 
days during that period, a report must still be filed to prevent the 
steam locomotive from being considered retired by FRA. (See appendix C 
of this part)
    (c) Retirement where no service day reports filed. Where the steam

[[Page 51432]]

locomotive owner and/or operator does not file the required service day 
report for a steam locomotive, that steam locomotive may be considered 
retired by FRA. The steam locomotive owner and/or operator must 
complete all 1472 service day inspection items to return a retired 
steam locomotive to service.


Sec. 230.19  Posting of FRA Form No. 1 and FRA Form No. 3.

    (a) FRA Form No. 1. The steam locomotive owner and/or operator 
shall place a copy of the 31 and 92 service day inspection report, (FRA 
Form No. 1), properly filled out, under transparent cover in a 
conspicuous place in the cab of the steam locomotive before the boiler 
inspected is put into service. This FRA Form No. 1 will not be required 
for the first 31 service days following an annual inspection and the 
posting of an FRA Form No. 3. (See appendix C of this part)
    (b) Form No. 3. In addition to the FRA Form No. 1, the steam 
locomotive owner and/or operator shall also maintain in the cab a 
current copy of FRA Form No. 3 in the manner described in paragraph (a) 
of this section. (See appendix C of this part)


Sec. 230.20  Alteration and repair report for steam locomotive boilers.

    (a) Alterations. When an alteration is made to a steam locomotive 
boiler, the steam locomotive owner and/or operator shall file an 
alteration report (FRA Form No. 19), detailing the changes to the 
locomotive with the FRA Regional Administrator within 30 days from the 
date the work was completed. This form shall be attached to, and 
maintained with, the FRA Form No. 4 until such time as a new FRA Form 
No. 4 reflecting the alteration is submitted to the Regional 
Administrator. Alteration reports shall be filed and maintained for the 
life of the boiler. (See appendix C of this part)
    (b) Welded and riveted repairs to unstayed portions of the boiler. 
Whenever welded or riveted repairs are performed on unstayed portions 
of a steam locomotive boiler, the steam locomotive owner and/or 
operator shall file with the FRA Regional Administrator, within 30 days 
from the time the work was completed, a repair report, FRA Form No. 19, 
that details the work done to the steam locomotive. Repair reports 
shall be filed and maintained for the life of the boiler. (See appendix 
C of this part)
    (c) Welded and riveted repairs to stayed portions of the boiler. 
Whenever welded or riveted repairs are performed on stayed portions of 
a steam locomotive boiler, the steam locomotive owner and/or operator 
shall complete a repair report (FRA Form No. 19), detailing the work 
done. Repair reports shall be maintained for the life of the boiler. 
(See appendix C of this part)


Sec. 230.21  Steam locomotive number change.

    When a steam locomotive number is changed, the steam locomotive 
owner and/or operator must reflect the change in the upper right-hand 
corner of all documentation related to the steam locomotive by showing 
the old and new numbers:

Old No. 000
New No. XXX


Sec. 230.22  Accident reports.

    In the case of an accident due to failure, from any cause, of a 
steam locomotive boiler or any part or appurtenance thereof, resulting 
in serious injury or death to one or more persons, the railroad on 
whose line the accident occurred shall immediately report the accident 
by toll free telephone, Area Code 800-424-0201. The report shall state 
the nature of the accident, the number of persons killed or seriously 
injured, the place at which it occurred, as well as where the steam 
locomotive may be inspected. Confirmation of this report shall be 
immediately mailed to the Associate Administrator for Safety, Federal 
Railroad Administration, Washington, D.C. 20590, and contain a detailed 
report of the accident, including, to the extent known, the causes and 
a complete list of the casualties.

Subpart B--Boilers and Appurtenances


Sec. 230.23  Responsibility for general construction and safe working 
pressure.

    The steam locomotive owner and operator are responsible for the 
general design and construction of the steam locomotive boilers under 
their control. The steam locomotive owner shall establish the safe 
working pressure for each steam locomotive boiler, after giving full 
consideration to the general design, workmanship, age, and overall 
condition of the complete boiler unit. The condition of the boiler unit 
shall be determined by, among other factors, the minimum thickness of 
the shell plates, the lowest tensile strength of the plates, the 
efficiency of the longitudinal joint, the inside diameter of the 
course, and the maximum allowable stress value allowed. The steam 
locomotive operator shall not place the steam locomotive in service 
before ensuring that the steam locomotive's safe working pressure has 
been established.

Allowable Stress


Sec. 230.24  Maximum allowable stress.

    (a) Maximum allowable stress value. The maximum allowable stress 
value on any component of a steam locomotive boiler shall not exceed 
\1/4\ of the ultimate tensile strength of its material.
    (b) Safety factor. When it is necessary to use the code of original 
construction in boiler calculations, the safety factor value shall not 
be less than 4.


Sec. 230.25  Maximum allowable stress on stays and braces.

    The maximum allowable stress per square inch of net cross sectional 
area on fire box and combustion chamber stays shall be 7,500 psi. The 
maximum allowable stress per square inch of net cross sectional area on 
round, rectangular, or gusset braces shall be 9,000 psi.

Strength of Materials


Sec. 230.26  Tensile strength of shell plates.

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


Sec. 230.27  Maximum shearing strength of rivets.

    The maximum shearing strength of rivets per square inch of cross 
sectional area shall be taken as follows:

------------------------------------------------------------------------
                                                                 Pounds
                                                                   per
                            Rivets                               square
                                                                  inch
------------------------------------------------------------------------
Iron Rivets in Single Shear...................................     38000
Iron Rivets in Double Shear...................................     76000
Steel Rivets in Single Shear..................................     44000
Steel Rivets in Double Shear..................................     88000
------------------------------------------------------------------------

Sec. 230.28  Higher shearing strength of rivets.

    A higher shearing strength may be used for rivets when it can be 
shown by test that the rivet material used is of such quality as to 
justify a higher allowable shearing strength.

Inspection and Repair


Sec. 230.29  Inspection and repair.

    (a) Responsibility. The steam locomotive owner and/or operator 
shall inspect and repair all steam locomotive boilers and appurtenances 
under their control. They shall immediately remove from service any 
boiler that has developed cracks in the barrel. The steam locomotive 
owner and/or operator shall also remove the boiler from service 
whenever either of them, or the FRA inspector, considers it necessary 
due to other defects.

[[Page 51433]]

    (b) Repair standards. (1) All defects disclosed by any inspection 
shall be repaired in accordance with accepted industry standards, which 
may include established railroad practices, or NBIC or API established 
standards, before the steam locomotive is returned to service. The 
steam locomotive owner and/or operator shall not return the steam 
locomotive boiler or appurtenances to service unless they are in good 
condition and safe and suitable for service.
    (2) Any welding to unstayed portions of the boiler made pursuant to 
Sec. 230.33 shall be made in accordance with an accepted national 
standard for boiler repairs. The steam locomotive owner and/or operator 
shall not return the steam locomotive boiler or appurtenances to 
service unless they are in good condition and safe and suitable for 
service.


Sec. 230.30  Lap-joint seam boilers.

    Every boiler having lap-joint longitudinal seams without 
reinforcing plates shall have enough lagging, jacketing, flues, and 
tubes removed at every annual inspection so that an inspection of the 
entire joint, inside and out, can be made, taking special care to 
detect grooving or cracks at the edges of the seams.


Sec. 230.31  Flues to be removed.

    (a) Inspection of the boiler interior. During the 1472 service day 
inspection, the steam locomotive owner and/or operator shall remove all 
flues of steam locomotive boilers in service, except as provided in 
paragraph (b) of this section, for the purpose of inspecting the entire 
interior of the boiler and its bracing. After removing the flues, the 
steam locomotive owner and/or operator shall enter the boiler to remove 
scale from the interior and thoroughly clean and inspect it.
    (b) NDE testing. If the boiler can be thoroughly cleaned and 
inspected without removing the superheater flues, and it can be shown 
through appropriate NDE testing methods that they are safe and suitable 
for service, their removal may not be required at this time. Their 
removal may be required, however, if the FRA inspector, or the steam 
locomotive owner and/or operator, considers it necessary due to 
identifiable safety concerns.


Sec. 230.32  Time and method of inspection.

    (a) Time of inspection. The entire boiler shall completely be 
inspected at the 1472 service day inspection. The jacket, lagging and 
any other components interfering with the provision of inspection 
access shall be removed at this time. Those portions of the boiler that 
are exposed and able to be inspected as required by the daily, 31 
service day, annual and fifth annual inspections shall be inspected at 
those times. The interior of the boiler also shall be inspected at each 
annual inspection, after the completion of any hydrostatic test above 
MAWP, and whenever a sufficient number of flues are removed to allow 
examination. The jacket, lagging and any other components shall also be 
removed to provide inspection access whenever the FRA inspector, or the 
steam locomotive owner and/or operator, considers it necessary due to 
identifiable safety concerns.
    (b) Method of Inspection.--(1) Entire boiler. During the 1472 
service day inspection, the entire boiler shall be examined for cracks, 
pitting, grooving, or indications of overheating and for damage where 
mud has collected, or heavy scale formed. The edges of plates, all 
laps, seams, and points where cracks and defects are likely to develop, 
shall be thoroughly inspected. Rivets shall be inspected for corrosion 
and looseness.
    (2) Boiler interior. When inspecting the boiler interior, it must 
be seen that braces and stays are taut, that pins are properly secured 
in place, and that each is in condition to support its proportion of 
the load. Washout plugs shall be removed for access and visual 
inspection of the water side of the firebox sheets. Washout plug 
threads, sleeves and threaded openings shall be examined at this time.
    (3) Boiler exterior. A thorough inspection shall be made of the 
entire exterior of the boiler while under hydrostatic pressure.


Sec. 230.33  Welded repairs and alterations.

    (a) Unstayed portions of the boiler containing alloy steel or 
carbon steel with a carbon content over 0.25 percent. Prior to welding 
on unstayed portions of the boiler, the steam locomotive owner and/or 
operator shall submit a written request for approval to the FRA 
Regional Administrator. If the approval is granted, the steam 
locomotive owner and/or operator shall perform any welding to unstayed 
portions of the boiler in accordance with an accepted national standard 
for boiler repairs. The steam locomotive owner and/or operator shall 
satisfy reporting requirements in Sec. 230.20 at this time.
    (b) Unstayed portions of the boiler containing carbon steel not 
exceeding 0.25 percent carbon. The steam locomotive owner and/or 
operator shall perform any welding to unstayed portions of the boiler 
in accordance with an accepted national standard for boiler repairs. 
The steam locomotive owner and/or operator shall satisfy reporting 
requirements in Sec. 230.20 at this time.
    (c) Wastage. The steam locomotive owner and/or operator shall 
submit a written request for approval to the FRA Regional Administrator 
before performing weld build up on wasted areas of unstayed surfaces of 
the boiler that exceed a total of 100 square inches, or the smaller of 
25 percent of minimum required wall thickness or \1/2\ of an inch. 
Wasted sheets shall not be repaired by weld build up if the wasted 
sheet has been reduced to less than 60 percent of the minimum required 
thickness as required by this part.
    (d) Flush patches. The steam locomotive owner and/or operator shall 
submit a written request for approval to the FRA Regional Administrator 
for the installation of flush patches of any size on unstayed portions 
of the boiler.
    (e) Stayed portions of the boiler. The steam locomotive owner and/
or operator shall perform welded repairs or alterations on stayed 
portions of the boiler in accordance with established railroad 
practices, or an accepted national standard for boiler repairs. The 
steam locomotive owner and/or operator shall satisfy reporting 
requirements in Sec. 230.20 at this time.


Sec. 230.34  Riveted repairs and alterations.

    (a) Alterations to unstayed portions of the boiler. Prior to making 
riveted alterations on unstayed portions of the boiler, the steam 
locomotive owner and/or operator shall submit a written request for 
approval to the FRA Regional Administrator. If approval is granted, the 
steam locomotive owner and/or operator shall perform any riveting to 
unstayed portions of the boiler in accordance with established railroad 
practices, or an accepted national standard for boiler repairs. The 
steam locomotive owner and/or operator shall satisfy reporting 
requirements in Sec. 230.20 at this time.
    (b) Repairs to unstayed portions of the boiler. The steam 
locomotive owner and/or operator shall perform any riveted repairs to 
unstayed portions of the boiler in accordance with established railroad 
practices, or an accepted national standard for boiler repairs. The 
steam locomotive owner and/or operator shall satisfy reporting 
requirements in Sec. 230.20 at this time.
    (c) Repairs to stayed portions of the boiler. The steam locomotive 
owner and/or operator shall perform riveted repairs or alterations on 
stayed portions of the boiler in accordance with established railroad 
practices, or an accepted national standard for boiler

[[Page 51434]]

repairs. The steam locomotive owner and/or operator shall satisfy 
reporting requirements in Sec. 230.20 at this time.

Pressure Testing of Boilers


Sec. 230.35  Pressure testing.

    The temperature of the steam locomotive boiler shall be raised to 
at least 60  deg.F any time pressure is applied to the boiler.


Sec. 230.36  Hydrostatic testing of boilers.

    (a) Time of test. The locomotive owner and/or operator shall 
hydrostatically test every boiler at the following times:
    (1) During the 1472 service day inspection, and at every annual 
inspection thereafter;
    (2) After making any alteration to the boiler;
    (3) After installing a flush patch on an unstayed portion of the 
boiler; and
    (4) After any riveting on an unstayed portion of the boiler.
    (b) Method of testing. The metal temperature of the boiler shall be 
between 60  deg.F and 120  deg.F each time it is subjected to any 
hydrostatic pressure. Hydrostatic testing required by these rules shall 
be conducted at 25 percent above the MAWP.
    (c) Internal inspection. An internal inspection of the boiler shall 
be conducted following any hydrostatic test where the pressure exceeds 
MAWP.


Sec. 230.37  Steam test following repairs or alterations.

    Upon completion of any repair or alteration, the locomotive owner 
and/or operator shall conduct a steam test of the boiler with steam 
pressure raised to between 95 percent and 100 percent of the MAWP. At 
this time, the boiler shall be inspected to ensure that it is in a safe 
and suitable condition for service.

Staybolts


Sec. 230.38  Telltale holes.

    (a) Staybolts less than 8 inches long. All staybolts shorter than 8 
inches, except flexible bolts, shall have telltale holes 3/16 inch to 
7/32 inch diameter and at least 1\1/4\ inches deep in the outer end.
    (b) Reduced body staybolts. On reduced body staybolts, the telltale 
hole shall extend beyond the fillet and into the reduced section of the 
staybolt. Staybolts may have through telltale holes.
    (c) Telltale holes kept open. All telltale holes, except as 
provided for in Sec. 230.41, must be kept open at all times.


Sec. 230.39  Broken staybolts.

    (a) Maximum allowable number of broken staybolts. No boiler shall 
be allowed to remain in service with two broken staybolts located 
within 24 inches of each other, as measured inside the firebox or 
combustion chamber on a straight line. No boiler shall be allowed to 
remain in service with more than 4 broken staybolts inside the entire 
firebox and combustion chamber, combined.
    (b) Staybolt replacement. Broken staybolts must be replaced during 
the 31 service day inspection, if detected at that time. Broken 
staybolts detected in between 31 service day inspections must be 
replaced no later than 30 calendar days from the time of detection. 
When staybolts 8 inches or less in length are replaced, they shall be 
replaced with bolts that have telltale holes \3/16\ inch to \7/32\ inch 
in diameter and at least 1\1/4\ inches deep at each end, or that have 
telltale holes \3/16\ inch to \7/32\ inch in diameter their entire 
length. At the time of replacement of broken staybolts, adjacent 
staybolts shall be inspected.
    (c) Assessment of broken staybolts. Telltale holes leaking, 
plugged, or missing shall be counted as broken staybolts.
    (d) Prohibited methods of closing telltale holes. Welding, forging 
or riveting broken staybolt ends is prohibited as a method of closing 
telltale holes.


Sec. 230.40  Time and method of staybolt testing.

    (a) Time of hammer testing.--(1) General. All staybolts shall be 
hammer tested at every 31 service day inspection, except as provided in 
paragraph (a)(2) of this section. All staybolts also shall be hammer 
tested under hydrostatic pressure any time hydrostatic pressure above 
the MAWP specified on the boiler specification form (FRA Form No. 4), 
is applied to the boiler. (See appendix C of this part)
    (2) Exception for inaccessible staybolts. The removal of brickwork 
or grate bearers for the purpose of hammer testing staybolts during 
each 31 service day inspection will not be required if the staybolts 
behind these structural impediments have a telltale hole \3/16\ inch to 
\7/32\ inch in diameter their entire length. Whenever the brickwork or 
grate bearers are removed for any other reason, however, the bolts 
shall be inspected at that time.
    (b) Method of hammer testing. If staybolts are tested while the 
boiler contains water, the hydrostatic pressure must be not less than 
95 percent of the MAWP. The steam locomotive owner and/or operator 
shall tap each bolt with a hammer and determine broken bolts from the 
sound or the vibration of the sheet. Whenever staybolts are tested 
while the boiler is not under pressure, such as during the 31 service 
day inspection, the staybolt test must be made with all the water 
drained from the boiler.


Sec. 230.41  Flexible staybolts with caps.

    (a) General. Flexible staybolts with caps shall have their caps 
removed during every 5th annual inspection for the purpose of 
inspecting the bolts for breakage, except as provided in paragraph (b) 
of this section.
    (b) Drilled flexible staybolts. For flexible staybolts that have 
telltale holes between \3/16\ inch and \7/32\ inch in diameter, and 
which extend the entire length of the bolt and into the head not less 
than one third of the diameter of the head, the steam locomotive owner 
and/or operator need not remove the staybolt caps if it can be 
established, by an electrical or other suitable method, that the 
telltale holes are open their entire length. Any leakage from these 
telltale holes during the hydrostatic test indicates that the bolt is 
broken and must be replaced. Before the steam locomotive is placed in 
service, the inner ends of all telltale holes shall be closed with a 
fireproof porous material that will keep the telltale holes free of 
foreign matter and permit steam or water to exit the telltale hole when 
the bolt is broken or fractured.
    (c) Recordkeeping. The removal of flexible staybolt caps and other 
tests shall be reported on FRA Form No. 3. (See appendix C of this 
part)
    (d) Testing at request of FRA inspector. Staybolt caps also shall 
be removed, or any of the above tests made, whenever the FRA inspector 
or the steam locomotive owner and/or operator considers it necessary 
due to identifiable safety concerns about the condition of staybolts, 
staybolt caps or staybolt sleeves.

Steam Gauges


Sec. 230.42  Location of gauges.

    Every boiler shall have at least one steam gauge which will 
correctly indicate the working pressure. The gauge shall be positioned 
so that it will be kept reasonably cool and can conveniently be read by 
the engine crew.


Sec. 230.43  Gauge siphon.

    The steam gauge supply pipe shall have a siphon on it of ample 
capacity to prevent steam from entering the gauge. The supply pipe 
shall directly enter the boiler and be maintained steam tight. The 
supply pipe and its connections shall be cleaned each time the gauge is 
tested.

[[Page 51435]]

Sec. 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 is reported.


Sec. 230.45  Method of testing.

    Steam gauges shall be compared with an accurate test gauge or dead 
weight tester. While under test load at the MAWP of the boiler to which 
the gauge will be applied, the gauge shall be set to read that pressure 
as accurately as the physical limitations of the gauge will allow. 
Under test the gauge shall read within the manufacturer's tolerance at 
all points on the gauge up to 25 percent above the allowed pressure. If 
the manufacturer's tolerance is not known, the gauge must read within 2 
percent full scale accuracy at all points on the gauge up to 25 percent 
above allowed pressure.


Sec. 230.46  Badge plates.

    A metal badge plate showing the allowed steam pressure shall be 
attached to the boiler backhead in the cab. If boiler backhead is 
lagged, the lagging and jacket shall be cut away so that the plate can 
be seen.


Sec. 230.47  Boiler number.

    (a) Generally. The builder's number of the boiler, if known, shall 
be stamped on the steam dome or manhole flange. If the builder's number 
cannot be obtained, an assigned number, which shall be used in making 
out specification cards, shall be stamped on the steam dome or manhole 
flange.
    (b) Numbers after January 10, 1912. Numbers which are stamped after 
January 10, 1912 shall be located on the front side of the steam dome 
or manhole flange at the upper edge of the vertical surface, oriented 
in a horizontal manner, and have figures at least \3/8\ inch high.
    (c) Name of manufacturer or owner. The number shall be preceded by 
the name of the manufacturer if the original number is known or the 
name of the steam locomotive owner if a new number is assigned.

Safety Relief Valves


Sec. 230.48  Number and capacity.

    (a) Number and capacity. Every boiler shall be equipped with at 
least two safety relief valves, suitable for the service intended, that 
are capable of preventing an accumulation of pressure greater than 6 
percent above the MAWP under any conditions of service. An FRA 
inspector may require verification of sufficient safety valve relieving 
capacity.
    (b) Determination of capacity. Safety relief valve capacity may be 
determined by making an accumulation test with the fire in good, bright 
condition and all steam outlets closed. Additional safety relief valve 
capacity shall be provided if the safety relief valves allow an excess 
pressure of more than 6 percent above the MAWP during this test.


Sec. 230.49  Setting of safety relief valves.

    (a) Qualifications of individual who adjusts. Safety relief valves 
shall be set and adjusted by a competent person who is thoroughly 
familiar with the construction and operation of the valve being set.
    (b) Opening pressures. At least one safety relief valve shall be 
set to open at a pressure not exceeding the MAWP. Safety relief valves 
shall be set to open at pressures not exceeding 6 psi above the MAWP.
    (c) Setting procedures. When setting safety relief valves, two 
steam gauges shall be used, one of which must be so located that it 
will be in full view of the persons engaged in setting such valves; and 
if the pressure indicated by the gauges varies more than 3 psi they 
shall be removed from the boiler, tested, and corrected before the 
safety relief valves are set. Gauges shall in all cases be tested 
immediately before the safety relief valves are set or any change made 
in the setting. When setting safety relief valves, the water level 
shall not be higher than \3/4\ of the length of the visible water 
glass, as measured from the bottom of the glass.
    (d) Labeling of lowest set pressure. The set pressure of the lowest 
safety relief valve shall be indicated on a tag or label attached to 
the steam gauge so that it may be clearly read while observing the 
steam gauge.


Sec. 230.50  Time of testing.

    All safety relief valves shall be tested, and adjusted if 
necessary, under steam at every 92 service day inspection, and also 
when any irregularity is reported.

Water Glasses and Gauge Cocks


Sec. 230.51  Number and location.

    Every boiler shall be equipped with at least two water glasses. The 
lowest reading of the water glasses shall not be less than 3 inches 
above the highest part of the crown sheet. If gauge cocks are used, the 
reading of the lowest gauge cock shall not be less than 3 inches above 
the highest part of the crown sheet.


Sec. 230.52  Water glass valves.

    All water glasses shall be equipped with no more than two valves 
capable of isolating the water glass from the boiler. They shall also 
be equipped with a drain valve capable of evacuating the glass when it 
is so isolated.


Sec. 230.53  Time of cleaning.

    The spindles of all water glass valves and of all gauge cocks shall 
be removed and valves and cocks thoroughly cleaned of scale and 
sediment at every 31 service day inspection, and when testing indicates 
that the apparatus may be malfunctioning. In addition, the top and 
bottom passages of the water column shall be cleaned and inspected at 
each annual inspection.


Sec. 230.54  Testing and maintenance.

    (a) Testing. All water glasses must be blown out, all gauge cocks 
must be tested, and all passages verified to be open at the beginning 
of each day the locomotive is used, and as often as necessary to ensure 
proper functioning.
    (b) Maintenance. Gauge cocks, water column drain valves, and water 
glass valves must be maintained in such condition that they can easily 
be opened and closed by hand, without the aid of a wrench or other 
tool.


Sec. 230.55  Tubular type water and lubricator glasses and shields.

    (a) Water glasses. Tubular type water glasses shall be renewed at 
each 92 service day inspection.
    (b) Shields. All tubular water glasses and lubricator glasses must 
be equipped with a safe and suitable shield which will prevent the 
glass from flying in case of breakage. This shield shall be properly 
maintained.
    (c) Location and maintenance. Water glasses and water glass shields 
shall be so located, constructed, and maintained that the engine crew 
can at all times have an unobstructed view of the water in the glass 
from their proper positions in the cab.


Sec. 230.56  Water glass lamps.

    All water glasses must be supplied with a suitable lamp properly 
located to enable the engine crew to easily see the water in the glass.

Injectors, Feedwater Pumps, and Flue Plugs


Sec. 230.57  Injectors and feedwater pumps.

    (a) Water delivery systems required. Each steam locomotive must be 
equipped with at least two means of delivering water to the boiler, at 
least one of which is a live steam injector.
    (b) Maintenance and testing. Injectors and feedwater pumps must be 
kept in good condition, free from scale, and must be tested at the 
beginning of each day the locomotive is used, and as often as 
conditions require, to ensure that

[[Page 51436]]

they are delivering water to the boiler. Boiler checks, delivery pipes, 
feed water pipes, tank hose and tank valves must be kept in good 
condition, free from leaks and from foreign substances that would 
obstruct the flow of water.
    (c) Bracing. Injectors, feedwater pumps, and all associated piping 
shall be securely braced so as to minimize vibration.


Sec. 230.58  Flue plugs.

    (a) When plugging is permitted. Flues greater than 2\1/4\ inches in 
outside diameter (OD) shall not be plugged. Flues 2\1/4\ inches in 
outside diameter (OD) or smaller may be plugged following failure, 
provided only one flue is plugged at any one time. Plugs must be 
removed and proper repairs made no later than 30 days from the time the 
plug is applied.
    (b) Method of plugging. When used, flue plugs must be made of 
steel. The flue must be plugged at both ends. Plugs must be tied 
together by means of a steel rod not less than \5/8\ inch in diameter.

Fusible Plugs


Sec. 230.59  Fusible plugs.

    If boilers are equipped with fusible plugs, the plugs shall be 
removed and cleaned of scale each time the boiler is washed, but not 
less frequently than during every 31 service day inspection. Their 
removal shall be noted on the FRA Form No. 1 or FRA Form No. 3. (See 
appendix C of this part)

Washing Boilers


Sec. 230.60  Time of washing.

    (a) Frequency of washing. All boilers shall thoroughly be washed as 
often as the water conditions require, but not less frequently than at 
each 31 service day inspection. The date of the boiler wash shall be 
noted on the FRA Form No. 1 or FRA Form No. 3. (See appendix C of this 
part)
    (b) Plug removal. All washout plugs, arch tube plugs, thermic 
siphon plugs, circulator plugs and water bar plugs must be removed when 
boilers are washed.
    (c) Plug maintenance. All washout plugs, washout plug sleeves and 
threaded openings shall be maintained in a safe and suitable condition 
for service and shall be examined for defects each time the plugs are 
removed.
    (d) Fusible plugs cleaned. Fusible plugs shall be cleaned in 
accordance with Sec. 230.59.


Sec. 230.61  Arch tubes, water bar tubes, circulators and thermic 
siphons.

    (a) Frequency of cleaning. Each time the boiler is washed, arch 
tubes and water bar tubes shall thoroughly be cleaned mechanically, 
washed, and inspected. Circulators and thermic siphons shall thoroughly 
be cleaned, washed and inspected.
    (b) Defects. Arch tubes and water bar tubes found blistered, 
bulged, or otherwise defective shall be renewed. Circulators and 
thermic siphons found blistered, bulged or otherwise defective shall be 
either repaired or renewed.
    (c) Method of examination. Arch tubes, water bar tubes and 
circulators shall be examined using an appropriate NDE method that 
accurately measures wall thickness at each annual inspection. All arch 
brick shall be removed for this inspection. If any are found with wall 
thickness reduced below that required to render them safe and suitable 
for the service intended at the MAWP specified on the boiler 
specification FRA Form No. 4, they must be replaced or repaired. (See 
appendix C of this part)

Steam Pipes


Sec. 230.62  Dry pipe.

    Dry pipes subject to pressure shall be examined at each annual 
inspection to measure wall thickness. Dry pipes with wall thickness 
reduced below that required to render the pipe suitable for the service 
intended at the MAWP must be replaced or repaired.


Sec. 230.63  Smoke box, steam pipes and pressure parts.

    The smoke box, steam pipes and pressure parts shall be inspected at 
each annual inspection, or any other time that conditions warrant. The 
individual conducting the inspection must enter the smoke box to 
conduct the inspection, looking for signs of leaks from any of the 
pressure parts therein and examining all draft appliances.

Steam Leaks


Sec. 230.64  Leaks under lagging.

    The steam locomotive owner and/or operator shall take out of 
service at once any boiler that has developed a leak under the lagging 
due to a crack in the shell, or to any other condition which may reduce 
safety. Pursuant to Sec. 230.29, the boiler must be repaired before 
being returned to service.


Sec. 230.65  Steam blocking view of engine crew.

    The steam locomotive owner and/or operator shall keep the boiler, 
and its piping and appurtenances, in such repair that they do not emit 
steam in a manner that obscures the engine crew's vision.

Subpart C--Steam Locomotives and Tenders


Sec. 230.66  Design, construction, and maintenance.

    The steam locomotive owner and operator are responsible for the 
general design, construction and maintenance of the steam locomotives 
and tenders under their control.


Sec. 230.67  Responsibility for inspection and repairs.

    The steam locomotive owner and/or operator shall inspect and repair 
all steam locomotives and tenders under their control. All defects 
disclosed by any inspection shall be repaired in accordance with 
accepted industry standards, which may include established railroad 
practices, before the steam locomotive or tender is returned to 
service. The steam locomotive owner and/or operator shall not return 
the steam locomotive or tender to service unless they are in good 
condition and safe and suitable for service.

Speed Indicators


Sec. 230.68  Speed indicators.

    Steam locomotives that operate at speeds in excess of 20 mph over 
the general system of railroad transportation shall be equipped with 
speed indicators. Where equipped, speed indicators shall be maintained 
to ensure accurate functioning.

Ash Pans


Sec. 230.69  Ash pans.

    Ash pans shall be securely supported from mud-rings or frames with 
no part less than 2\1/2\ inches above the rail. Their operating 
mechanism shall be so arranged that they may be safely operated and 
securely closed.

Brake and Signal Equipment


Sec. 230.70  Safe condition.

    (a) Pre-departure inspection. At the beginning of each day the 
locomotive is used, the steam locomotive operator shall ensure that:
    (1) The brakes on the steam locomotive and tender are in safe and 
suitable condition for service;
    (2) The air compressor or compressors are in condition to provide 
an ample supply of air for the locomotive service intended;
    (3) The devices for regulating all pressures are properly 
performing their functions;
    (4) The brake valves work properly in all positions; and
    (5) The water has been drained from the air-brake system.
    (b) Brake pipe valve required. Each steam locomotive shall have a 
brake

[[Page 51437]]

pipe valve attached to the front of the tender, the rear of the back 
cab wall, or adjacent to the exit of a vestibuled cab. The words 
``Emergency Brake Valve'' shall be clearly displayed near the valve.


Sec. 230.71  Orifice testing of compressors.

    (a) Frequency of testing. The compressor or compressors shall be 
tested for capacity by orifice test as often as conditions may require, 
but not less frequently than once every 92 service days.
    (b) Orifice testing criteria. (1) Compressors in common use, as 
listed in the following table, shall have orifice test criteria as 
follows:

----------------------------------------------------------------------------------------------------------------
                                                                                                         Air
                                                                              Single    Diameter of    pressure
                   Make                            Compressor size         strokes per    orifice     maintained
                                                                              minute    (in inches)  (in pounds)
----------------------------------------------------------------------------------------------------------------
Westinghouse..............................  9\1/2\.......................          120      \11/64\           60
Westinghouse..............................  11...........................          100       \3/16\           60
Westinghouse..............................  150 HP 8\1/2\ CC.............          100       \9/32\           60
Westinghouse..............................  120 LP 8\1/2\ CC.............          100      \15/64\           60
New York..................................  2a...........................          120       \5/32\           60
New York..................................  6a...........................          100      \13/64\           60
New 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 increased 5 single strokes per minute for each 1,000 feet increase in altitude.

    (2) For compressors not listed in the table in paragraph (b) (1) of 
this section, the air pressure to be maintained shall be no less than 
80 percent of the manufacturer's rated capacity for the compressor.


Sec. 230.72  Testing main reservoirs.

    (a) Hammer and hydrostatic testing. Except as described below, 
every main reservoir, except those cast integrally with the frame, 
shall be hammer and hydrostatically tested during each annual 
inspection. The reservoir shall be hammer tested while empty and with 
no pressure applied. If no defective areas are detected, a hydrostatic 
test of MAWP shall be applied.
    (b) Drilling of main reservoirs. (1) Each welded main reservoir 
originally constructed to withstand at least five times the MAWP may be 
drilled over its entire surface with telltale holes that are 3/16 of an 
inch in diameter. The holes shall be spaced not more than 12 inches 
apart, measured both longitudinally and circumferentially, and drilled 
from the outer surface to an extreme depth determined 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; and
R = inside radius of the reservoir in inches.

    (2) One row of holes shall be drilled lengthwise of the reservoir 
on a line intersecting the drain opening. When main reservoirs are 
drilled as described in paragraph (b)(1) of this section, the 
hydrostatic and hammer tests described in paragraph (a) of this section 
are not required during the annual inspection. Whenever any telltale 
hole shall have penetrated the interior of any reservoir, the reservoir 
shall be permanently withdrawn from service.
    (c) Welded main reservoirs without longitudinal lap seams. For 
welded main reservoirs that do not have longitudinal lap seams, an 
appropriate NDE method that can measure the wall thickness of the 
reservoir may be used instead of the hammer test and hydrostatic test 
required in paragraph (a) of this section. The spacing of the sampling 
points for wall thickness shall not be greater than 12 inches 
longitudinally and circumferentially. The reservoir shall permanently 
be withdrawn from service where the NDE testing reveals wall thickness 
less than the value determined by the following formula:

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, or 10,000 psi if the tensile strength is unknown; and
R = Inside radius of the reservoir in inches.

    (d) Welded or riveted longitudinal lap seam main reservoirs. (1) 
For welded or riveted longitudinal lap seam main reservoirs, an 
appropriate NDE method that can measure wall thickness of the reservoir 
shall be used instead of, or in addition to, the hammer test and 
hydrostatic test. The spacing of the sampling points for wall thickness 
shall not be greater than 12 inches longitudinally and 
circumferentially. Particular care shall be taken to measure along the 
longitudinal seam on both plates at an interval of no more than 6 
inches longitudinally. The reservoir shall be withdrawn permanently 
from service where NDE testing reveals wall thickness less than the 
value determined 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, or 10,000 psi if the tensile strength of steel is unknown; and
R = Inside radius of the reservoir in inches.

(2) Repairs of reservoirs with reduced wall thickness are prohibited.


Sec. 230.73  Air gauges.

    (a) Location. Air gauges shall be so located that they may be 
conveniently read by the engineer from his usual position in the cab. 
No air gauge may be more than three psi in error.
    (b) Frequency of testing. Air gauges shall be tested prior to 
reapplication following removal, as well as during the 92 service day 
inspection and whenever any irregularity is reported.
    (c) Method of testing. Air gauges shall be tested using an accurate 
test gauge or dead weight tester designed for this purpose.


Sec. 230.74  Time of cleaning.

    All valves in the air brake system, including related dirt 
collectors and filters, shall be cleaned and tested in accordance with 
accepted brake equipment manufacturer's specifications, or as often as 
conditions require to maintain them in a safe and suitable condition 
for service, but not less frequently than after 368 service days or 
during the second annual inspection, whichever occurs first.

[[Page 51438]]

Sec. 230.75  Stenciling dates of tests and cleaning.

    The date of testing and cleaning, and the initials of the shop or 
station at which the work is done, shall legibly be stenciled in a 
conspicuous place on the tested parts, or placed on a card displayed 
under a transparent cover in the cab of the steam locomotive.


Sec. 230.76  Piston travel.

    (a) Minimum piston travel. The minimum piston travel shall be 
sufficient to provide proper brake shoe clearance when the brakes are 
released.
    (b) Maximum piston travel. The maximum piston travel when steam 
locomotive is standing shall be as follows:

------------------------------------------------------------------------
                                                                 Maximum
                                                                 piston
                      Type of wheel brake                        travel
                                                                   (in
                                                                 inches)
------------------------------------------------------------------------
Cam Type Driving Wheel Brake..................................    3\1/2\
Other forms of Driving Wheel Brake............................         6
Engine Truck Brake............................................         8
Tender Brake..................................................         9
------------------------------------------------------------------------

Sec. 230.77  Foundation brake gear.

    (a) Maintenance. Foundation brake gear shall be maintained in a 
safe and suitable condition for service. Levers, rods, brake beams, 
hangers, and pins shall be of ample strength, and shall not be fouled 
in any way which will affect the proper operation of the brake. All 
pins shall be properly secured in place with cotter pine, split keys, 
or nuts. Brake shoes must be properly applied and kept approximately in 
line with the tread of the wheel.
    (b) Distance above the rails. No part of the foundation brake gear 
of the steam locomotive or tender shall be less than 2\1/2\ inches 
above the rails.


Sec. 230.78  Leakage.

    (a) Main reservoirs and related piping. Leakage from main reservoir 
and related piping shall be tested at every 92 service day inspection 
and shall not exceed an average of 3 psi per minute in a test of 3 
minutes duration that is made after the pressure has been reduced to 60 
percent of the maximum operating pressure.
    (b) Brake cylinders. Leakage from brake cylinders shall be tested 
at every 92 service day inspection. With a full service application 
from maximum brake pipe pressure, and with communication to the brake 
cylinders closed, the brakes on the steam locomotive and tender must 
remain applied for a minimum of 5 minutes.
    (c) Brake pipes. Steam locomotive brake pipe leakage shall be 
tested at the beginning of each day the locomotive is used, and shall 
not exceed 5 psi per minute.


Sec. 230.79  Train signal system.

    Where utilized, the train signal system, or any other form of on-
board communication, shall be tested and known to be in safe and 
suitable condition for service at the beginning of each day the 
locomotive is used.

Cabs, Warning Signals, Sanders and Lights


Sec. 230.80  Cabs.

    (a) General provisions. Cabs shall be securely attached or braced 
and maintained in a safe and suitable condition for service. Cab 
windows of steam locomotives shall provide an undistorted view of the 
track and signals for the crew from their normal position in the cab. 
Cab floors shall be kept free of tripping or slipping hazards. The cab 
climate shall be maintained to provide an environment that does not 
unreasonably interfere with the engine crew's performance of their 
duties under ordinary conditions of service.
    (b) Steam pipes. Steam pipes shall not be fastened to the cab. New 
construction or renewals made of iron or steel pipe greater than \1/8\ 
inch NPS that are subject to boiler pressure in cabs shall have a 
minimum wall thickness equivalent to schedule 80 pipe, with properly 
rated valves and fittings. Live steam heating radiators must not be 
fastened to the cab. Exhaust steam radiators may be fastened to the 
cab.
    (c) Oil-burning steam locomotives. If the cab is enclosed, oil 
burning steam locomotives that take air for combustion through the 
fire-door opening shall have a suitable conduit extending from the 
fire-door to the outside of the cab.


Sec. 230.81  Cab aprons.

    (a) General provisions. Cab aprons shall be of proper length and 
width to ensure safety. Cab aprons shall be securely hinged, maintained 
in a safe and suitable condition for service, and roughened, or other 
provision made, to afford secure footing.
    (b) Width of apron. The cab apron shall be of a sufficient width to 
prevent, when the drawbar is disconnected and the safety chains or the 
safety bars are taut, the apron from dropping between the steam 
locomotive and tender.


Sec. 230.82  Fire doors and mechanical stokers.

    (a) General provisions. Each steam locomotive shall have a fire 
door which shall latch securely when closed and which shall be 
maintained in a safe and suitable condition for service. Fire doors on 
all oil-burning locomotives shall be latched securely with a pin or 
key.
    (b) Mechanically operated fire doors. Mechanically operated fire 
doors shall be so constructed and maintained that they may be operated 
by pressure of the foot on a pedal, or other suitable appliance, 
located on the floor of the cab or tender at a suitable distance from 
the fire door, so that they may be conveniently operated by the person 
firing the steam locomotive.
    (c) Hand-operated doors. Hand operated fire doors shall be so 
constructed and maintained that they may be conveniently operated by 
the person firing the steam locomotive.


Sec. 230.83  Cylinder cocks.

    Each steam locomotive shall be equipped with cylinder cocks which 
can be operated from the cab of the steam locomotive. All cylinder 
cocks shall be maintained in a safe and suitable condition for service.


Sec. 230.84  Sanders.

    Steam locomotives shall be equipped with operable sanders that 
deposit sand on the rail head in front of a set of driving wheels. 
Sanders shall be tested at the beginning of each day the locomotive is 
used.


Sec. 230.85  Audible warning device.

    (a) General provisions. Each steam locomotive shall be equipped 
with an audible warning device that produces a minimum sound level of 
96db(A) at 100 feet in front of the steam locomotive in its direction 
of travel. The device shall be arranged so that it may conveniently be 
operated by the engineer from his normal position in the cab.
    (b) Method of measurement. Measurement of the sound level shall be 
made using a sound level meter conforming, at a minimum, to the 
requirements of ANSI S1.4-1971, Type 2, and set to an A-weighted slow 
response. While the steam locomotive is on level, tangent track, the 
microphone shall be positioned 4 feet above the ground at the center 
line of the track and shall be oriented with respect to the sound 
source in accordance with the microphone manufacturer's 
recommendations.


Sec. 230.86  Required illumination.

    (a) General provisions. Each steam locomotive used between sunset 
and sunrise shall be equipped with an operable headlight that provides 
illumination sufficient for a steam locomotive engineer in the cab to 
see, in a clear atmosphere, a dark object as large as a man of average 
size standing at least 800 feet ahead and in front of

[[Page 51439]]

such headlight. If a steam locomotive is regularly required to run 
backward for any portion of its trip other than to pick up a detached 
portion of its train or to make terminal movements, it shall also be 
equipped on its rear end with an operable headlight that is capable of 
providing the illumination described in this paragraph (a).
    (b) Dimming device. Such headlights shall be provided with a device 
whereby the light from same may be diminished in yards and at stations 
or when meeting trains.
    (c) Where multiple locomotives utilized. When two or more steam 
locomotives are used in the same train, the leading steam locomotive 
only will be required to display a headlight.


Sec. 230.87  Cab lights.

    Each steam locomotive shall have cab lights that sufficiently 
illuminate the control instruments, meters and gauges to enable the 
engine crew to make accurate readings from their usual and proper 
positions in the cab. These lights shall be so located and constructed 
that the light will shine only on those parts requiring illumination 
and does not interfere with the engine crew's vision of the track and 
signals. Each steam locomotive shall also have a conveniently located 
additional lamp that can be readily turned on and off by the persons 
operating the steam locomotive, and that provides sufficient 
illumination for them to read train orders and timetables.

Throttle and Reversing Gear


Sec. 230.88  Throttles.

    Throttles shall be maintained in safe and suitable condition for 
service, and efficient means provided to hold the throttle lever in any 
desired position.


Sec. 230.89  Reverse gear.

    (a) General provisions. Reverse gear, reverse levers, and quadrants 
shall be maintained in a safe and suitable condition for service. 
Reverse lever latch shall be so arranged that it can be easily 
disengaged, and provided with a spring which will keep it firmly seated 
in quadrant. Proper counterbalance shall be provided for the valve 
gear.
    (b) Air-operated power reverse gear. Steam locomotives that are 
equipped with air operated power reverse gear shall be equipped with a 
connection whereby such gear may be operated by steam or by an 
auxiliary supply of air in case of failure of the main reservoir air 
pressure. The operating valve handle for such connection shall be 
conveniently located in the cab of the locomotive and shall be plainly 
marked. If an independent air reservoir is used as the source of the 
auxiliary supply for the reverse gear, it shall be provided with means 
to automatically prevent loss of pressure in event of failure of the 
main reservoir air pressure.
    (c) Power reverse gear reservoirs. Power reverse gear reservoirs, 
if provided, must be equipped with the means to automatically prevent 
the loss of pressure in the event of a failure of main air pressure and 
have storage capacity for not less than one complete operating cycle of 
control equipment.

Draw Gear and Draft Systems


Sec. 230.90  Draw gear between steam locomotive and tender.

    (a) Maintenance and testing. The draw gear between the steam 
locomotive and tender, together with the pins and fastenings, shall be 
maintained in safe and suitable condition for service. The pins and 
drawbar shall be removed and tested for defects using an appropriate 
NDE method at every annual inspection. Where visual inspection does not 
disclose any defects, an additional NDE testing method shall be 
employed. Suitable means for securing the drawbar pins in place shall 
be provided. Inverted drawbar pins shall be held in place by plate or 
stirrup.
    (b) Safety bars and chains generally. One or more safety bar(s) or 
two or more safety chains shall be provided between the steam 
locomotive and tender. The combined strength of the safety chains or 
safety bar(s) and their fastenings shall be not less than 50 percent of 
the strength of the drawbar and its connections. These shall be 
maintained in safe and suitable condition for service, and inspected at 
the same time draw gear is inspected.
    (c) Minimum length of safety chains or bars. Safety chains or 
safety bar(s) shall be of the minimum length consistent with the 
curvature of the railroad on which the steam locomotive is operated.
    (d) Lost motion. Lost motion between steam locomotives and tenders 
not equipped with spring buffers shall be kept to a minimum and shall 
not exceed \1/2\ inch.
    (e) Spring buffers. When spring buffers are used between steam 
locomotives and tenders the spring shall be applied with not less than 
\3/4\ inch compression, and shall at all times be under sufficient 
compression to keep the chafing faces in contact.


Sec. 230.91  Chafing irons.

    Chafing irons that permit proper curving shall be securely attached 
to the steam locomotive and tender, and shall be maintained to permit 
lateral and vertical movement.


Sec. 230.92  Draw gear and draft systems.

    Couplers, draft gear and attachments on steam locomotives and 
tenders shall be securely fastened, and maintained in safe and suitable 
condition for service.

Driving Gear


Sec. 230.93  Pistons and piston rods.

    (a) Maintenance and testing. Pistons and piston rods shall be 
maintained in safe and suitable condition for service. Piston rods 
shall be inspected for cracks each time they are removed, and shall be 
renewed if found defective.
    (b) Fasteners. Fasteners (keys, nuts, etc.) shall be kept tight and 
shall have some means to prevent them from loosening or falling out of 
place.


Sec. 230.94  Crossheads.

    Crossheads shall be maintained in a safe and suitable condition for 
service, with not more than \1/4\ inch vertical or \5/16\ inch lateral 
clearance between crossheads and guides.


Sec. 230.95  Guides.

    Guides shall be securely fastened and maintained in a safe and 
suitable condition for service.


Sec. 230.96  Main, side, and valve motion rods.

    (a) General. Main, side or valve motion rods developing cracks or 
becoming otherwise defective shall be removed from service immediately 
and repaired or renewed.
    (b) Repairs. Repairs, and welding, of main, side or valve motion 
rods shall be made in accordance with an accepted national standard. 
The steam locomotive owner and/or operator shall submit a written 
request for approval to the FRA Regional Administrator prior to welding 
defective main rods, side rods, and valve gear components.
    (c) Bearings and bushings. Bearings and bushings shall so fit the 
rods as to be in a safe and suitable condition for service, and means 
shall be provided to prevent bushings from turning in the rod. Straps 
shall fit and be securely bolted to rods. Floating bushings need not be 
provided with means to prevent bushings from turning.
    (d) Side motion of rods. The total amount of side motion of each 
rod on its crank pin shall not exceed \1/4\ inch.
    (e) Oil and grease cups. Oil and grease cups shall be securely 
attached to rods, and grease cup plugs shall be equipped with a 
suitable fastening that will prevent them from being ejected.
    (f) Main rod bearings. The bore of main rod bearings shall not 
exceed pin diameters more than \3/32\ inch at front or back end. The 
total lost motion at both ends shall not exceed \5/32\ inch.

[[Page 51440]]

    (g) Side rod bearings. The bore of side rod bearings shall not 
exceed pin diameters more than \5/32\ inch on main pin nor more than 
\3/16\ inch on other pins.


Sec. 230.97  Crank pins.

    (a) General provisions. Crank pins shall be securely applied. 
Securing the fit of a loose crank pin by shimming, prick punching, or 
welding is not permitted.
    (b) Maintenance. Crank pin collars and collar fasteners shall be 
maintained in a safe and suitable condition for service.

Running Gear


Sec. 230.98  Driving, trailing, and engine truck axles.

    (a) Condemning defects. Driving, trailing, and engine truck axles 
with any of the following defects shall be removed from service 
immediately and repaired, see appendix B of this part for inspection 
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 in diameter below the 
original/new journal diameter, except as provided in paragraph (a)(7) 
of this section;
    (7) Any driving axles other than main driving axles with an 
original or new diameter greater than 6 inches that are worn \3/4\ inch 
or more in diameter below the original/new diameter.
    (b) Journal diameter stamped. For steam locomotives with plain 
bearings, the original/new journal diameter shall be stamped on one end 
of the axle by [5 years after effective date of the final rule].


Sec. 230.99  Tender truck axles.

    The minimum diameters of axles for various axle loads shall be as 
follows:

------------------------------------------------------------------------
                                             Minimum             Minimum
                                            diameter   Minimum  diameter
                                               of     diameter     of
           Axle load (in pounds)             journal  of wheel   center
                                               (in    seat (in     (in
                                             inches)   inches)   inches)
------------------------------------------------------------------------
50000.....................................    5\1/2\    7\3/8\   6\7/16\
38000.....................................         5    6\3/4\    5\7/8\
31000.....................................    4\1/2\    6\1/4\   5\5/16\
22000.....................................    3\3/4\         5    4\3/8\
15000.....................................    3\1/4\    4\5/8\    3\7/8\
------------------------------------------------------------------------

Sec. 230.100  Defects in tender truck axles and journals.

    (a) Tender truck axle condemning defects. Tender truck axles with 
any of the following defects shall be removed from 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, or 
derailment;
    (4) A fillet in the back shoulder that is worn out; or
    (5) A gouge between the wheel seats that is more than \1/8\ of an 
inch in depth.
    (b) Tender truck journal condemning defects. Tender truck journals 
with any of the following defects shall be removed from service 
immediately and repaired :
    (1) Cut journals that cannot be made to run cool without turning;
    (2) Seams in axles causing journals to run hot;
    (3) Overheating, as evidenced by pronounced blue black 
discoloration;
    (4) Transverse seams in journals of iron or steel axles; or
    (5) Journal surfaces having any of the following:
    (i) A circumferential score;
    (ii) Corrugation;
    (iii) Pitting;
    (iv) Rust; or (v) Etching.


Sec. 230.101  Steam locomotive driving journal boxes.

    (a) Driving journal boxes. Driving journal boxes shall be 
maintained in a safe and suitable condition for service. Not more than 
one shim may be used between the box and bearing.
    (b) Broken bearings. Broken bearings shall be renewed.
    (c) Loose bearings. Loose bearings shall be repaired or renewed.


Sec. 230.102  Tender plain bearing journal boxes.

    Plain bearing journal boxes with the following defects shall be 
removed from service immediately and repaired:
    (a) A box that does not contain visible free 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 can reasonably be expected to damage the bearing; or have a 
detrimental effect on the lubrication of the journal and bearing;
    (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 been scorched, burned, or glazed;
    (5) Contains decaying or deteriorated fabric that impairs proper 
lubrication of the pad;
    (6) Has an exposed center core (except by design); or
    (7) Has metal parts contacting the journal;
    (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.


Sec. 230.103  Tender roller bearing journal boxes.

    Tender roller bearing journal boxes shall be maintained in a safe 
and suitable condition.


Sec. 230.104  Driving box shoes and wedges.

    Driving box shoes and wedges shall be maintained in a safe and 
suitable condition for service.


Sec. 230.105  Lateral motion.

    (a) Condemning limits. The total lateral motion or play between the 
hubs of the wheels and the boxes on any pair of wheels shall not exceed 
the following limits:

Engine truck wheels (with swing centers)............................1''
Engine truck wheels (with rigid centers).......................1\1/2\''
Trailing truck wheels...............................................1''
Driving wheels..................................................\3/4\''
    (b) Limits increased. These limits may be increased on steam 
locomotives operating on track where the curvature exceeds 20 degrees 
when it can be shown that conditions require additional lateral motion.
    (c) Non-interference with other parts. The lateral motion shall in 
all cases be kept within such limits that the driving wheels, rods, or 
crank pins will not interfere with other parts of the steam locomotive.

Trucks, Frames and Equalizing System


Sec. 230.106  Steam locomotive frame.

    (a) Maintenance and inspection. Frames, decks, plates, tailpieces, 
pedestals, and braces shall be maintained in a safe and suitable 
condition for service, and shall be cleaned and thoroughly inspected 
each time the steam locomotive is in shop for heavy repairs.

[[Page 51441]]

    (b) Broken frames. Broken frames properly patched or secured by 
clamps or other suitable means which restores the rigidity of the frame 
are permitted.


Sec. 230.107  Tender frame and body.

    (a) Maintenance. Tender frames shall be maintained in a safe and 
suitable condition for service.
    (b) Height difference. The difference in height between the deck on 
the tender and the cab floor or deck on the steam locomotive shall not 
exceed 1\1/2\ inches.
    (c) Gangway minimum width. The minimum width of the gangway between 
steam locomotive and tender, while standing on tangent track, shall be 
16 inches.
    (d) Tender frame condemning defects. A tender frame with any of the 
following defects shall be removed from service immediately and 
repaired:
    (1) Portions of the tender frame or body (except wheels) that have 
less than a 2\1/2\ inches clearance from the top of rail;
    (2) Tender center sill that is broken, cracked more than 6 inches, 
or permanently bent or buckled more than 2\1/2\ inches in any six foot 
length;
    (3) Tender coupler carrier that is broken or missing;
    (4) Tender center plate, any portion of which is missing or broken 
or that is not properly secured; or
    (5) Tender that has a broken side sill, crossbearer, or body 
bolster.


Sec. 230.108  Steam locomotive leading and trailing trucks.

    (a) Maintenance. Trucks shall be maintained in safe and suitable 
condition for service. Center plates shall fit properly, and the male 
center plate shall extend into the female center plate not less than 
\3/4\ inch. All centering devices shall be properly maintained and 
shall not permit lost motion in excess of \1/2\ inch.
    (b) Safety chain required. A suitable safety chain shall be 
provided at each front corner of all four wheel engine trucks.
    (c) Clearance required. All parts of trucks shall have sufficient 
clearance to prevent them from interfering with any other part of the 
steam locomotive.


Sec. 230.109  Tender trucks.

    (a) Tender truck frames. A tender truck frame shall not be broken, 
or have a crack in a stress area that affects its structural integrity. 
Tender truck center plates shall be securely fastened, maintained in a 
safe and suitable condition for service, and provided with a center pin 
properly secured. The male center plate must extend into the female 
center plate at least \3/4\ inch. Shims may be used between truck 
center plates.
    (b) Tender truck bolsters. Truck bolsters shall be maintained 
approximately level.
    (c) Condemning defects for springs or spring rigging. Springs or 
spring rigging with any of the following defects shall be taken out of 
service immediately and renewed or properly repaired:
    (1) An elliptical spring with its top (long) leaf or any other five 
leaves in the entire 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 the top half broken, or any three leaves in the entire spring 
broken.
    (d) Tender securing arrangement. Each tender shall have a device or 
securing arrangement to prevent the truck and tender body from 
separating in case of derailment. This arrangement shall be maintained 
in a safe and suitable condition for service.
    (e) Side bearings and truck centering devices. Where equipped, side 
bearings and truck centering devices shall be maintained in a safe and 
suitable condition for service.
    (f) Friction side bearings. Friction side bearings shall not be run 
in contact, and shall not be considered to be in contact if there is 
clearance between them on either side when measured on tangent level 
track.
    (g) Side bearings. All rear trucks shall be equipped with side 
bearings.
    When the spread of side bearings is 50 inches, their maximum 
clearance shall be \3/8\ inch on each side for rear trucks and \3/4\ 
inch on each side for front trucks, where used. When the spread of the 
side bearings is increased, the maximum clearance shall be increased 
proportionately.


Sec. 230.110  Pilots.

    (a) General provisions. Pilots shall be securely attached, properly 
braced, and maintained in a safe and suitable condition for service.
    (b) Minimum And maximum clearance. The minimum clearance of pilot 
above the rail shall be 3 inches and the maximum clearance shall be 6 
inches measured on tangent level track.


Sec. 230.111  Spring rigging.

    (a) Arrangement of springs and equalizers. Springs and equalizers 
shall be arranged to ensure the proper distribution of weight to the 
various wheels of the steam locomotive, maintained approximately level 
and in a safe and suitable condition for service. Adjusting weights by 
shifting weights from one pair of wheels to another is permissible.
    (b) Spring or spring rigging condemning defects. Springs or spring 
rigging with any of the following defects shall be removed from service 
immediately and renewed or properly repaired:
    (1) Top leaf broken or two leaves in top half or any three leaves 
in spring broken. (The long side of a spring to be considered the top.) 
Broken springs not exceeding these requirements may be repaired by 
applying clips providing the clips can be made to remain in place;
    (2) Any spring with leaves excessively shifting in the band;
    (3) Broken coil springs; or
    (4) Broken driving box saddle, equalizer, hanger, bolt, or pin.

Wheels and Tires


Sec. 230.112  Wheels and tires.

    (a) Mounting. Wheels shall be securely mounted on axles. Prick 
punching or shimming the wheel fit will not be permitted. The diameter 
of wheels on the same axle shall not vary more than \3/32\ inch.
    (b) Gage. Wheels used on standard gage track will be out of gage if 
the inside gage of flanges, measured on base line is less than 53 
inches or more than 53\3/8\ inches. Wheels used on less than standard 
gage track will be out of gage if the inside gage of flanges, measured 
on base line, is less than the relevant track gage less 3\1/2\ inches 
or more than the relevant track gage less 3\1/8\ inches.
    (c) Flange distance variance. The distance back to back of flanges 
of wheels mounted on the same axle shall not vary more than \1/4\ inch.
    (d) Tire thickness. Wheels may not have tires with a minimum 
thickness less than that indicated in the table in this paragraph (d). 
When retaining rings are used, measurements of tires to be taken from 
the outside circumference of the ring, and the minimum thickness of 
tires may be as much below the limits specified earlier in this 
paragraph (d) as the tires extend between the retaining rings, provided 
it does not reduce the thickness of the tire to less than 1\1/8\ inches 
from the throat of flange to the counterbore for the retaining rings. 
The required minimum thickness for tires, by wheel center diameter and 
weight per axle, is as follows:

[[Page 51442]]



------------------------------------------------------------------------
   Weight per axle (weight on                                  Minimum
  drivers divided by number of     Diameter of wheel center   thickness
    pairs of driving wheels)               (inches)            (inches)
------------------------------------------------------------------------
30,000 pounds and under.........  44 and under.............       1\1/4\
                                  Over 44 to 50............      1\5/16\
                                  Over 50 to 56............       1\3/8\
                                  Over 56 to 62............      1\7/16\
                                  Over 62 to 68............       1\1/2\
                                  Over 68 to 74............      1\9/16\
                                  Over 74..................       1\5/8\
Over 30,000 to 35,000 pounds....  44 and under.............      1\5/16\
                                  Over 44 to 50............       1\3/8\
                                  Over 50 to 56............      1\7/16\
                                  Over 56 to 62............       1\1/2\
                                  Over 62 to 68............      1\9/16\
                                  Over 68 to 74............       1\5/8\
                                  Over 74..................     1\11/16\
Over 35,000 to 40,000 pounds....  44 and under.............       1\3/8\
                                  Over 44 to 50............      1\7/16\
                                  Over 50 to 56............       1\1/2\
                                  Over 56 to 62............      1\9/16\
                                  Over 62 to 68............       1\5/8\
                                  Over 68 to 74............     1\11/16\
                                  Over 74..................       1\3/4\
Over 40,000 to 45,000 pounds....  44 and under.............      1\7/16\
                                  Over 44 to 50............       1\1/2\
                                  Over 50 to 56............      1\9/16\
                                  Over 56 to 62............       1\5/8\
                                  Over 62 to 68............     1\11/16\
                                  Over 68 to 74............       1\3/4\
                                  Over 74..................     1\13/16\
Over 45,000 to 50,000 pounds....  44 and under.............       1\1/2\
                                  Over 44 to 50............      1\9/16\
                                  Over 50 to 56............       1\5/8\
                                  Over 56 to 62............     1\11/16\
                                  Over 62 to 68............       1\3/4\
                                  Over 68 to 74............     1\13/16\
                                  Over 74..................       1\7/8\
Over 50,000 to 55,000 pounds....  44 and under.............      1\9/16\
                                  Over 44 to 50............       1\5/8\
                                  Over 50 to 56............     1\11/16\
                                  Over 56 to 62............       1\3/4\
                                  Over 62 to 68............     1\13/16\
                                  Over 68 to 74............       1\7/8\
                                  Over 74..................     1\15/16\
Over 55,000 pounds..............  44 and under.............       1\5/8\
                                  Over 44 to 50............     1\11/16\
                                  Over 50 to 56............       1\3/4\
                                  Over 56 to 62............     1\13/16\
                                  Over 62 to 68............       1\7/8\
                                  Over 68 to 74............     1\15/16\
                                  Over 74..................            2
------------------------------------------------------------------------

    (e) Tire width. Flanged tires shall be no less than 5\1/2\ inches 
wide for standard gage and no less than 5 inches wide for narrow gage. 
Plain tires shall be no less than 6 inches wide for standard gage and 
no less than 5\1/2\ inches wide for narrow gage.


Sec. 230.113  Wheels and tire defects.

    Steam locomotive and tender wheels or tires developing any of the 
defects listed in this section shall be removed from service 
immediately and repaired. Except as provided in Sec. 230.114, welding 
on wheels and tires is prohibited. A wheel that has been welded is a 
welded wheel for the life of the wheel.
    (a) Cracks or breaks. Wheels and tires may not have a crack or 
break in the flange, tread, rim, plate, hub or brackets.
    (b) Flat spots. Wheels and tires may not have a single flat spot 
that is 2\1/2\ inches or more in length, or two adjoining spots that 
are each two or more inches in length.
    (c) Chipped flange. Wheels and tires may not have a gouge or chip 
in the flange that is more than 1\1/2\ inches in length and \1/2\ inch 
in width.
    (d) Broken rims. Wheels and tires may not have a circumferentially 
broken rim if the tread, measured from the flange at a point \5/8\ inch 
above the tread, is less than 3\3/4\ inches in width.
    (e) Shelled-out spots. Wheels and tires may not have a shelled-out 
spot 2\1/2\ inches or more in length, or two adjoining spots that are 
each two or more inches in length, or so numerous as to endanger the 
safety of the wheel.
    (f) Seams. Wheels and tires may not have a seam running lengthwise 
that is within 3\3/4\ inches of the flange.
    (g) Worn flanges. Wheels and tires may not have a flange worn to a 
\15/16\ inch thickness or less, as measured at a point \3/8\ inch above 
the tread.
    (h) Worn treads. Wheels and tires may not have a tread worn hollow 
\5/16\ inch or more.
    (i) Flange height. Wheels and tires may not have a flange height of 
less than

[[Page 51443]]

1 inch nor more than 1\1/2\ inches, as measured from the tread to the 
top of the flange.
    (j) Rim thickness. Wheels may not have rims less than 1 inch thick.
    (k) Wheel diameter. Wheels may not have wheel diameter variance, 
for wheels on the same axle or in the same driving wheel base, greater 
than \3/32\ inch, when all tires are turned or new tires applied to 
driving and trailing wheels. When a single tire is applied the diameter 
must not vary more than \3/32\ inch from that of the opposite wheel on 
the same axle. When a single pair of tires is applied the diameter must 
be within \3/32\ inch of the average diameter of the wheels in the 
driving wheel base to which they are applied.


Sec. 230.114  Wheel centers.

    (a) Filling blocks and shims. Driving and trailing wheel centers 
with divided rims shall be properly fitted with iron or steel filling 
blocks before the tires are applied, and such filling blocks shall be 
properly maintained. When shims are inserted between the tire and the 
wheel center, not more than two thicknesses of shims may be used, one 
of which must extend entirely around the wheel. The shim which extends 
entirely around the wheel may be in three or four pieces, providing 
they do not lap.
    (b) Wheel center condemning defects. Wheel centers with any of the 
following defects shall be removed from service immediately 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 in paragraph (b)(4) of this section; or (4) Driving or 
trailing wheel center with three adjacent spokes or 25 percent or more 
of the spokes in the wheel broken.
    (c) Wheel center repairs. Wheel centers may be repaired by welding 
or brazing provided that the defect can properly be so repaired and, 
following the repair, the crankpin and axle shall remain tight in the 
wheel. Banding of the hub is permitted.
    (d) Counterbalance maintenance. Wheel counterbalances shall be 
maintained in a safe and suitable condition for service.

Steam Locomotive Tanks


Sec. 230.115  Feed water tanks.

    (a) General provisions. Tanks shall be maintained free from leaks, 
and in safe and suitable condition for service. Suitable screens must 
be provided for tank wells or tank hose and shall be maintained in a 
manner that allows the unobstructed flow of water. Feed water tanks 
shall be equipped with a device that permits the measurement of the 
quantity of water in the tender feed water tank from the cab or tender 
deck of the steam locomotive. Such device shall be properly maintained.
    (b) Inspection frequency. As often as conditions warrant but not 
less frequently than every 92 service days, the interior of the tank 
shall be inspected, and cleaned if necessary.
    (c) Top of tender. Top of tender behind fuel space shall be kept 
clean, and means provided to carry off excess water. Suitable covers 
shall be provided for filling holes.


Sec. 230.116  Oil tanks.

    The oil tanks on oil burning steam locomotives shall be maintained 
free from leaks. The oil supply pipe shall be equipped with a safety 
cut-off device that:
    (a) Is located adjacent to the fuel supply tank or in another safe 
location;
    (b) Closes automatically when tripped and that can be reset without 
hazard; and
    (c) Can be hand operated from clearly marked locations, one inside 
the cab and one accessible from the ground on each exterior side of the 
steam locomotive.

Appendix A to Part 230--FRA's Exercise of Jurisdiction Over Tourist 
and Historic Railroads

    1. Basic Statutory Concept. FRA's authority to regulate 
railroads arises from Title 49 of the United States Code section 
20103 which gives the agency plenary authority over ``every area of 
railroad safety.'' 49 U.S.C. 20103. ``Railroad'' is defined by 
statute as ``all forms of non-highway ground transportation that run 
on rails or electromagnetic guideways * * *.'' 49 U.S.C. 20102(1). 
The definition excludes only rapid transit systems that operate in 
urban areas and are not connected to the general railroad system of 
transportation.1 ``Railroad carrier'' is defined by the 
statute as ``a person providing railroad transportation.'' 49 U.S.C. 
20102(2). For resource and policy reasons, FRA does not extend the 
reach of most of its regulations as far as the statute permits. (See 
49 CFR Part 209, Appendix A.) In an effort to clarify the proper 
extent of the exercise of FRA's jurisdiction, FRA has recently 
settled on several principles that it will use as guidelines.
---------------------------------------------------------------------------

    \1\ ``General railroad system of transportation'' is defined at 
49 CFR Part 209, Appendix A as: ``the network of standard gage 
railroads over which the interchange of goods and passengers 
throughout the nation is possible.''
---------------------------------------------------------------------------

    2. Programatic Approach. FRA will exercise jurisdiction over all 
tourist operations, whether or not they operate over the general 
railroad system, except those that are (1) less than 24 inches in 
gage and/or (2) insular. Operations with less than 24-inch gage have 
never been considered railroads under the Federal railroad safety 
laws and are generally considered miniature or imitation railroads. 
FRA will consider a tourist operation insular if its operations are 
limited to a separate enclave in such a way that there is no 
reasonable expectation that the safety of any member of the public--
except a business guest, a licensee of the tourist operation or an 
affiliated entity, or a trespasser--would be affected by the 
operation. An operation will not be considered insular if one or 
more of the following exists on its line: a public highway-rail 
crossing that is in use; 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 (track centers) of those of any railroad. Thus, the 
mere fact that a tourist operation is not connected to the general 
railroad system would not make it insular under these criteria. 
While these criteria will tend to sort out the insular theme parks 
and museums, there will still be a need to do case-by-case analysis 
in some close situations.
    3. How the Safety Regulations Apply. If the railroad operates on 
the general system, all statutes and regulations apply unless and 
until any appropriate waiver has been applied for and granted. Of 
course, FRA generally lacks authority to waive statutory 
requirements. However, note that a mere physical connection to a 
general system railroad does not necessarily make the tourist or 
historic railroad part of the general system, unless its operations 
extend onto the general system or the connecting general system 
railroad operates on its property. The fact that the tourist or 
historic railroad acts as a shipper or consignee of rail rolling 
stock delivered from or to the connecting railroad does not make the 
shipper/consignee a general system railroad, so long as the two 
operations are kept physically separate to ensure safety. FRA 
Regional Administrators are authorized to evaluate means of 
separating tourist and historic railroads from the general system so 
as to ensure no interference between freight and passenger 
operations. Examples might include use of a locked derail, locked or 
spiked switch, or temporary removal of a section of rail when 
tourist or historic passenger operations are being conducted. Some 
railroads are neither insular nor part of the general system (i.e., 
stand-alone lines with no freight traffic). For these railroads, 
only the following regulations and statutory provisions apply: (a) 
49 U.S.C. 20102, 20301, 20302, 20502-20505, 20902, 21302, 21304 
(formerly 45 U.S.C. 1, 2, 4, 9, 11 of the Safety Appliance Act and 
45 U.S.C. 22 of the Locomotive Inspection Act); (b) Federal signal 
inspection laws, 49 U.S.C. 20102, 20502-20505, 20902, 21302, 21304; 
(c) Hazardous materials regulations (49 CFR Parts 171-179); (d) 
FRA's procedural regulations at 49 CFR Parts 209, 211, and 216; (e) 
Noise emission regulations (49 CFR Part 210); but note that the 
regulations do NOT apply to steam locomotives; (f) Freight car 
safety standards (49 CFR Part 215) applicable only to standard gage 
lines; (g) Accident/incident reporting regulations (49 CFR Part 
225); (h) Hours of Service restrictions on duty hours (but NOT 
reporting or record keeping); (i) Steam locomotive inspection 
regulations (49 CFR

[[Page 51444]]

Part 230); (j) Grade crossing signal system safety regulations (49 
CFR Part 234); and (k) All general power and enforcement provisions 
of the rail safety statutes (e.g., subpoena authority, civil penalty 
authority, disqualification authority, and emergency order 
authority). Thus, there are many FRA regulations that do not 
presently apply to tourist railroads that are not operated over the 
general system. However, FRA's emergency order authority permits it 
to address a true safety emergency arising from conditions (e.g., 
the proper functioning of air brakes) covered by those regulations 
or any other regulations (e.g., the track safety standards) that do 
not apply outside of the general system. Thus, even off-the-system 
tourist railroads should understand that FRA has jurisdiction to 
inspect their operations and to take emergency action if those 
operations pose an imminent hazard of death or injury.

Appendix B to Part 230--Inspection Requirements

    The lists in this appendix are intended as guidance only. 
Adherence to this list does not 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, tender and its parts and 
appurtenances are safe and suitable for service.

Daily Inspection Requirements; Sec. 230.13

    1. Observance of lifting pressure of the lowest safety valve.
    2. Testing of water glasses and gauge cocks.*
    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 the locomotive is used.

31 Service Day Inspection Requirements; Sec. 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 and siphons.
    4. Removal and inspection of all washout and water tube plugs.
    5. Testing of all staybolts.
    6. Removal, cleaning and inspection of fusible plugs (if any).

92 Service Day Inspection Requirements; Sec. 230.15

    1. Removal and testing of all air and steam gauges.
    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; Sec. 230.16

    1. Testing of thickness of arch and water bar 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 and drilled main reservoirs)
    8. Removal and inspection of steam locomotive drawbar(s) and 
pins (NDE testing other than merely visual)
    9. Inspection of longitudinal lap joint boiler seams.

5 Year Inspection Requirements; Sec. 230.16

    1. Inspection of flexible staybolt caps and sleeves.

1472 Service Day Inspection Requirements; Sec. 230.17

    1. Removal of boiler flues (as necessary) and cleaning of boiler 
interior.
    2. Removal of jacket and lagging and inspection of boiler 
interior and exterior.
    3. Hydrostatic testing of boiler.
    4. Thickness verification (boiler survey) and recomputation and 
update of steam locomotive specification card, (FRA Form No. 4).

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BILLING CODE 4910-06-C

[[Page 51456]]

Appendix D to Part 230--Diagrams and Drawings [Reserved]

    Note: The text of this appendix will be included when this part 
is published as a final rule.

Appendix E to Part 230--Civil Penalty Schedule [Reserved]

    Note: The text of this appendix will be included when this part 
is published as a final rule.

    Issued in Washington, D.C. on August 28, 1998.
Jolene M. Molitoris,
Administrator.
[FR Doc. 98-23856 Filed 9-24-98; 8:45 am]
BILLING CODE 4910-06-P