[Federal Register Volume 64, Number 221 (Wednesday, November 17, 1999)]
[Rules and Regulations]
[Pages 62828-62918]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-28610]



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Part III





Department of Transportation





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Federal Railroad Administration



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49 CFR Parts 209 and 230



Inspection and Maintenance Standards for Steam Locomotives; Rule

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

[[Page 62828]]



DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

49 CFR Parts 209 and 230

[Docket No. RSSL-98-1, Notice No. 3]


Inspection and Maintenance Standards for Steam Locomotives

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

ACTION: Final rule.

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

SUMMARY: FRA is issuing new Steam Locomotive Inspection and Maintenance 
Standards in order to update and enhance its steam locomotive 
regulatory program. In recognition of the reduced frequency of use of 
steam locomotives in today's transportation system, the revised 
standards--which incorporate consensus recommendations of the Railroad 
Safety Advisory Committee's Tourist and Historic Working Group--relax 
certain inspection requirements and tighten others. Significant changes 
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, with certain exceptions, of waivers for 
steam boilers, steam locomotives and their appurtenances; 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 locomotives, steam locomotive boilers, and steam 
locomotive appurtenances. Certain of the 1978 inspection standards 
remain substantively intact but are being relocated to new sections and 
given new section numbers. Due to the magnitude of the changes made, 
these newly issued standards replace the 1978 standards in their 
entirety.

DATES: This regulation is effective January 18, 2000.

ADDRESSES: Any petition for reconsideration should reference FRA Docket 
No. RSSL-98-1, and be submitted in triplicate to the Docket Clerk, 
Office of Chief Counsel, Federal Railroad Administration, 400 Seventh 
Street, SW, Mail Stop 10, Washington, DC 20590.

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

SUPPLEMENTARY INFORMATION:

I. Historical Background

    The Locomotive Boiler Inspection Act was passed by a Congress 
concerned over the ever-increasing rate of serious injury and death on 
the nation's railroads in the early 1900s. In his annual message to 
Congress 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, the 
only rule or regulation governing the inspection and maintenance of 
steam locomotives was the Ash Pan Act, 45 U.S.C. S. 17 (1908), repealed 
Pub. L. 97-468 (1983), which prescribed the method for attaching ash 
pans to steam locomotive boilers. Acting in response to President 
Taft's speech, Congress passed the Locomotive Boiler Inspection Act 
(LBIA) on February 17, 1911. The LBIA, enactment of which was initially 
opposed by locomotive owners and operators, brought all steam 
locomotive boilers under Federal jurisdiction and established the 
Bureau of Locomotive Inspections.
    The LBIA, which became effective on July 1, 1911, was limited in 
scope to steam locomotive boilers. Despite its restricted coverage, the 
LBIA had an immediate, positive impact on safety with the number of 
incidents caused by the failure of the boiler or any of its 
appurtenances declining sharply after its passage. However, the number 
of incidents involving failures of locomotive parts other than boilers 
and related appurtenances continued to increase, and railroad labor 
soon appealed to Congress to expand the LBIA to cover the entire steam 
locomotive and tender and all its parts and appurtenances. Although the 
railroad owners and operators were strongly opposed to this expansion 
in the Act's coverage, a bill amending the LBIA to incorporate the 
requested changes was passed by Congress and signed into law by 
President Woodrow 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. A review 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, in combination with the 1915 
amendments to the LBIA, formed the basis for the Interstate Commerce 
Commission (ICC) rules on inspection and maintenance of steam 
locomotives and tenders: rules, that with some modification, continue 
in effect to this day. When the FRA came into existence in 1967 as part 
of the newly formed DOT, it adopted all ICC rules, interpretations, and 
instructions pertaining to railroads that were in effect at that time. 
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. Although the 
steam locomotive regulations were removed from the CFR in 1980, FRA has 
continued to enforce them. For purposes of clarity, whenever those 
removed standards are referenced in this rule, they will be referred to 
as ``the 1978 standards'' since there is no current CFR citation for 
them.
    At present, there are approximately 150 steam locomotives in 
operation in the United States. Most of them are used in tourist or 
historic service on an intermittent, seasonal basis. Several years ago, 
the Engineering Standards Committee (ESC), a task group of the NBBPVI 
comprised of steam locomotive operators, petitioned the FRA to change 
the then current rules on inspection and maintenance of steam 
locomotives to more realistically reflect the current use and 
conditions of service for today's steam locomotives. The agency agreed 
to work with the ESC to consider revisions to these standards. After 
FRA established the Railroad Safety Advisory Committee (RSAC) in 1996, 
the subject of steam locomotive inspection and maintenance was 
identified as one fit 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 decided that the 
ESC, and the FRA representatives working with it, would become a task 
force assigned to the RSAC's Tourist and Historic Working Group.

II. The Railroad Safety Advisory Committee

    The RSAC's mandate is to provide recommendations and advice to the

[[Page 62829]]

Administrator of the FRA on the development of FRA's railroad safety 
regulatory programs, 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 
RSAC is presently 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.

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

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

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

    The THWG voted during its April 1996 meeting to officially endorse 
the ESC (which had been examining the issues of steam locomotive 
inspection and maintenance standards outside of the RSAC arena) and 
have it serve as a task force reporting to the Group. The Steam 
Standards Task Force (task force) is comprised of representatives from 
the organizations listed below:

Valley Railroad Company
Durango & Silverton Narrow Gauge
Union Pacific Railroad (UP)
Strasburg Railroad
Hartford Steam Boiler Inspection & Insurance Company
NBBPVI
ABB/Combustion Engineering
Smithsonian Institution
FRA.

    The task force met approximately seven times over an eighteen month 
period to develop recommendations for a proposed rule. During these 
meetings, the task force considered a previous ESC proposal to revise 
part 230, which had been presented to FRA in the early 1990's. 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. The technical details supporting certain of the 
recommendations that were discussed by the task force may be found in 
the public docket of this rulemaking. Those issues designated by FRA as 
``major issues'' are more fully discussed below.
    During an early meeting, the task force identified a number of 
objectives in 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 not to follow the rules;
    (4) Encouraging the use of new technologies; and
    (5) Producing a more clearly written and understandable rule that 
is more enforceable.
    These goals are reflected throughout this document and are embodied 
in the changes and additions made to part 230.
    On September 19, 1997, the THWG informed FRA of the group members' 
unanimous agreement that the task force's proposed recommended rule 
text revisions to part 230 should be forwarded to the RSAC. On January 
16, 1998, the task force and the THWG reached consensus that the 
proposed preamble should be included in the package presented to RSAC 
at the January 27, 1998 meeting. Following the presentation, the RSAC 
formulated a consensus recommendation for a proposed rulemaking which 
was forwarded to the Administrator of FRA.

IV. The Proposed Rule

    Pursuant to section 553 of the Administrative Procedure Act, FRA 
published a Notice of Proposed Rulemaking (NPRM) in the Federal 
Register on September 25, 1998, detailing the agency's intent to issue 
new regulations for steam locomotive inspection and maintenance. In the 
NPRM, FRA solicited written comments from all interested parties and 
provided notice of its intention to conduct a public hearing on the 
proposed rulemaking only if so requested. A total of 20 commenters 
responded to the NPRM, including: The AAR; Association of Railway 
Museums, Inc.; John C. Boykin; Grand Canyon Railway; Locomotive and 
Tower Preservation Fund, LTD; Michigan State Trust Fund for Railway 
Preservation, Inc.; Minnesota Transportation Museum, Inc.; NBBPVI; 
North Star Rail; Ohio Central Railroad System; San Diego Railroad 
Museum; St. Louis Steam Train Association; Tennessee Valley Railroad; 
UP; United States Department of the Interior; and Wisconsin Railway 
Preservation Trust. Although FRA had originally believed that a public 
hearing would be unnecessary, a number of interested parties requested 
the opportunity to present their views at such a forum, and a public 
hearing was held in Corpus Christi, Texas on February 4, 1999. Seven 
organizations presented testimony at the public hearing. Those 
testifying included: Austin and Texas Central Railroad; Diversified 
Rail Services; Grand Canyon Railway; Ohio Central Railway System; 
Tennessee Valley Railroad; TRAIN; and UP.
    Because of the number of substantive comments received during the 
notice and comment period and at the public hearing, the task force 
suggested and FRA agreed to meet to address the issues raised and to 
consider changes to the proposal for inclusion in the final rule. The 
meeting was held in Columbus, Ohio on March 11-12, 1999. Among the 
issues addressed at this meeting were: Implementation of the rule; 
Preemption of state oversight of steam locomotive operations; Waivers 
of requirements; Responsibility for compliance; Definitions of terms 
used; Movement of non-complying locomotives; Thirty-one (31) service 
day inspection requirements; Ninety-two (92) service day inspection 
requirements; Annual Inspection requirements; One thousand four hundred 
and seventy-two (1472) service day inspection requirements; Alteration 
and repair reports for steam locomotive boilers; Responsibility for 
general construction and safe working pressure; Maximum allowable 
stress on stays and braces; Tensile strength of shell plates; Maximum 
shearing strength of rivets; Higher shearing strength of rivets; Times 
and methods of inspection; Welded repairs and alterations; Hydrostatic 
testing of boilers; Broken staybolts; Times and methods of staybolt 
testing; The number and location of water

[[Page 62830]]

glasses and gauge cocks; When to require boiler washing; Inspection, 
repair and/or replacement of arch tubes, water bar tubes, circulators, 
and thermic siphons; Steam locomotive speed indicators; Testing main 
reservoirs; Time of cleaning; Stenciling dates of testing and cleaning; 
Fire doors and mechanical stokers; Required illumination; Throttles; 
The draw gear between the steam locomotive and tender; Main, side, and 
valve motion rods; The steam locomotive frame; Tender trucks; Feed 
water tanks; and Inspection requirements.
    The discussion that follows examines in detail comments received, 
the task force's consideration of and response to those comments, and 
those changes (if any) FRA is making in the final rule as a result of 
the comments received. This discussion is organized by the relevant 
section of the rule.
    In order to make the final rule clearer (and therefore easier to 
comply with) FRA explains here the rationale and the deliberative 
thought processes of the task force in reaching its conclusions. Unless 
otherwise noted, the agency agrees with the reasoning and explanations 
advanced by the task force for the revisions and amendments the task 
force recommended be made to the 1978 standards. The task force's 
deliberations were thorough and deliberative in nature, though 
frequently marked by spirited debate. Throughout this document, FRA has 
tried to recapture as much of that debate as is relevant and practical.

V. Reorganization of Part 230

    The 1978 standards were 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 revisions to part 230, the 
agency has restructured the rule so that it contain a ``general'' part, 
Subpart A, which includes those provisions that are applicable 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 
found in Subpart A of this rule were formerly contained in Subparts A 
and B of the 1978 standards. These revisions are designed to reduce and 
eliminate identified redundancies in the 1978 standards, thereby making 
the rule easier to read and comprehend.

VI. Major Issues

A. Responsibility for Compliance

    In the NPRM, FRA struck the term ``railroad company'' throughout 
the body of the rule and replaced it with the term ``locomotive owner 
and/or operator.'' FRA has retained this term in the final rule, 
consistent with the task force's recommendations, to reflect the 
changes in steam locomotive operating practices. Very few railroad 
companies own and/or operate steam locomotives today. While some 
tourist railroads own and operate their own locomotives, most 
frequently steam locomotives are owned and/or operated by entities 
other than the railroad on whose line they operate. These entities 
range all the way from wealthy private enthusiasts to state historical 
agencies. Sometimes the owner of the equipment actually runs (operates) 
the steam railroad operation; in other cases, an individual or 
individuals are hired (or volunteer) to do so. This means that in 
many--if not most--instances, the locomotive owner and/or operator is 
in a much better position than the railroad company to ensure 
compliance with various regulatory requirements. In recognition of this 
reality, the task force recommended that the agency more specifically 
affix responsibility for compliance on those who are primarily 
responsible for the operation of the steam locomotive and tender. In 
most cases, that party will be the locomotive owner and/or operator. 
The task force members debated how to best express 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.
    In addition, as provided by statute, this rule makes clear that a 
railroad may also be held liable for permitting any entity to use a 
noncomplying locomotive on its line (see section-by-section discussion 
of Sec. 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, regardless of whether that 
happens to be the railroad on which the steam locomotive is operating. 
It is important to note that the applicability section, Sec. 230.2, 
which the agency modified from that originally submitted by the task 
force, uses the term ``railroad'' to denote where the rule applies. As 
explained in the section-by-section analysis of the applicability 
section, FRA is making this change to harmonize all of its 
applicability sections. Since this section is intended to explain where 
the rule applies, it does not affect the primary compliance 
responsibility, which remains with the owner and operator. Therefore, 
FRA believes that this change does not substantially change the task 
force's proposal to the agency.

B. Inspection Scheme

    In issuing this rule, FRA has revised the inspection scheme for 
steam locomotive boilers to reflect the changed nature of modern steam 
locomotive operations. The 1978 standards required steam locomotive 
boilers to be inspected at various time periods that were 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, greatly reducing the need for frequent inspections 
rigidly tied to the passage of calendar days. Under the new inspection 
scheme, required locomotive inspections are based on the number of 
``service days'' a steam locomotive accrues, with various intermediate 
calendar inspection requirements retained to ensure an adequate level 
of safety.
1. Service Days
    This new inspection scheme is underpinned by the concept of a 
``service day''--defined as ``any day the locomotive has steam pressure 
above atmospheric pressure and a fire in the firebox.'' Because good 
operating practice requires that a steam locomotive boiler be slowly 
heated before use and slowly cooled after use to avoid the damage rapid 
heating and cooling can inflict on the boiler, a locomotive that runs 
on weekends may accrue as many as three service days for each day of 
actual ``use.'' For example, a steam 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 while it 
cools down after it runs. Under this scenario, the locomotive would 
accrue three service days although only in actual ``use'' for one day. 
Some operators were concerned that adopting this service day concept 
could create an incentive for operators to ``dump'' their fires at the 
end of a day operating the steam

[[Page 62831]]

locomotive in order to avoid incurring an extra service day. The task 
force was of the opinion, however, that the financial cost (in terms of 
stress and damage to the locomotive boilers from such behavior) to 
operators who did so dump their fires would likely outweigh any 
inspection time period benefits they might gain from such dumping. The 
task force also expressed the 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, in fact, be easier on the boiler than banking the fire.
2. Daily Inspection
    The new ``daily inspection'' section sets forth the daily 
inspection requirements for steam locomotive owners and/or operators. 
The only daily inspection requirement in the 1978 standards was that 
the steam locomotive and tender be inspected ``after each trip, or 
day's work.'' The new section retains the general daily inspection 
requirement for each day that a steam locomotive is ``offered for 
use,'' but adds a number of additional specific ``pre-departure'' 
inspection requirements that must be complied with at the beginning of 
each day the locomotive is used. This ``pre-departure'' inspection 
regime emphasizes the need to examine certain safety critical items 
such as the water glasses and gauge cocks, the boiler feedwater 
delivery systems, the air compressors and governors, and the air brake 
system on a daily basis.
3. 31 and 92 Service Day Inspections
    This rule also establishes 31 and 92 service day inspection 
requirements. These are roughly comparable to the monthly and 
trimonthly inspections in the 1978 standards.
4. Annual Inspections
    In addition, this rule establishes annual inspection requirements 
similar to the 1978 standards: requiring that a steam locomotive be 
inspected after 368 calendar days have elapsed since the time of the 
prior annual inspection. The 1978 standards required that certain items 
be inspected at least ``once every 12 months.'' The revised annual 
inspection, as do all the other periodic inspections, incorporates the 
inspection requirements of those inspections required to be conducted 
more frequently. Thus, locomotives that are not operated often enough 
to accrue either 31 or 92 service days in a 368 day period will have 
those inspections conducted, at a minimum, once every 368 calendar 
days. In addition, this rule extends 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 required that a steam locomotive boiler 
be inspected, at a minimum, once each 5 calendar years (boiler interior 
to be inspected after 48 calendar months, within 5 consecutive years; 
and the boiler exterior to be inspected every 5 years, or, if the 
locomotive is out of service for at least one full month during that 
time, after 60 calendar months within 6 consecutive years). This 
inspection was 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. FRA is amending this provision by requiring 
that these inspections be conducted when the locomotive has accrued 
1472 service days or when a period not to exceed 15 years has elapsed 
since the last 1472 service day inspection was performed. These 
revisions are being made in order to take into account the amount of 
actual usage a steam locomotive receives. The 15 year maximum, beyond 
which time a 1472 service day inspection must be conducted, is based on 
the task force's recommendations.
    FRA is requiring the completion, verification and updating of the 
locomotive's FRA Form No. 4, the ``specification card'' required by 
Sec. 230.54 of the 1978 standards, as part of the 1472 service day 
inspection. The updated FRA Form No. 4 must be filed within 1 month 
after the completion of the 1472 service day inspection. The agency is 
making clear that the verification and updating of this form as 
necessary to reflect the current condition of the boiler is required as 
part of every 1472 service day inspection. This recordkeeping 
requirement is not actually new, it merely clarifies and makes express 
what the 1978 standards required. Although the 1978 standards did not 
expressly require periodic surveying to verify the accuracy of the 
current form or the updating of any changes thereto, the need to do so 
was implicit in the requirement of a signed testimonial that all 
information provided on the form was true and accurate. In addition , 
the 1978 standards actually required that the FRA Form No. 4 be updated 
to reflect boiler repairs or changes that might affect the FRA Form No. 
4 data. However, because some locomotive owners and/or operators may 
not understand that the 1978 standards required that the FRA Form No. 4 
be kept up-to-date and accurate, this change in language may be 
perceived by some as imposing new recordkeeping requirements.
    FRA has also determined that safety concerns dictate that there be 
a competency requirement for the person or persons conducting a 1472 
service day inspection and for the person or persons surveying the 
boiler for the purpose of recalculating a FRA Form No. 4. Accordingly, 
this rule specifically provides that only competent individuals may 
perform 1472 service day inspections and/or surveys of locomotive 
boilers in order to evaluate the accuracy of information on the 
locomotives' current FRA Form No. 4s.
6. FRA Inspection Oversight
    Concerned that an adequate level of safety be maintained in light 
of the extended inspection intervals allowed under this rule, the task 
force recommended that FRA increase the amount of oversight it 
exercises over steam locomotive inspections. FRA shares the task 
force's concerns and is, therefore, requiring that the agency be 
afforded the opportunity to be present during certain periodic steam 
locomotive inspections. In the case of the 31 service day inspection, 
FRA will be responsible for communicating to the steam locomotive owner 
and/or operator that the agency wants to be notified prior to the 
inspection and given an opportunity to attend. Upon notification, the 
steam locomotive owner and/or operator must provide FRA with the 
anticipated date and location for the inspection. Once that information 
is conveyed to the agency, any subsequent change in the inspection 
schedule must be mutually agreed upon. FRA believes this approach 
balances competing interests and comports with the task force 
recommendations. In formulating their recommendation, the task force 
members sought to provide steam locomotive owners and/or operators with 
the flexibility to conduct their business without unreasonable 
interference by FRA scheduling demands while also insuring that the 
owners and/or operators would act in good faith and take all reasonable 
measures to accommodate FRA requests to be present at periodic 
locomotive inspections.
    In the case of the annual inspection, the steam locomotive owner 
and/or operator is required to provide FRA with one month's prior 
notice that the annual inspection is to be conducted. The agency then 
has the option of notifying the owner and/or operator of its desire to 
be present for the

[[Page 62832]]

inspection. At that point, the steam locomotive owner and/or operator 
must provide FRA with a scheduled date and location for each aspect of 
the inspection. As with the 31 service day inspection, once the annual 
inspection is scheduled, any changes to that schedule have to be 
mutually agreed upon.
    This notification scheme is designed to allow the agency the 
opportunity to observe the steam locomotive owner and/or operator 
performing the various required inspections and to allow the FRA field 
personnel directly responsible for inspecting steam locomotive 
operations to work cooperatively with the regulated community. Being 
able to observe the inspections firsthand also provides FRA with more 
accurate and up-to-date information on the condition of the steam 
locomotive fleet operating today.

C. Elimination of the Special Waiver Process

    As part of this rule, FRA has eliminated all the special waivers 
that were available under part 230. The 1978 standards contained a 
section that allowed for the ``modification of rules'' for ``roads 
operating less than 5 locomotives'' upon a showing that conditions 
warrant it. This language, which predated the agency's formal waiver 
process (codified at 49 CFR 211.41), was originally intended to apply 
only to the subpart addressing the steam locomotive and tender. In 
addition, the flue removal section in the 1978 standards provided for 
the granting of extensions of the time period for removing flues and 
for conducting the comprehensive boiler inspection, upon formal 
application to the ICC's Director of Railroad Safety. One consequence 
of this waiver process, which was administered locally by the agency's 
eight regions, was that locomotive owners and/or operators were able to 
delay the conduct of the boiler inspection by varying amounts of time 
based, in part, on the regional procedures for addressing these 
requests. These waivers will now expire unless submitted to FRA for 
reevaluation prior to the effective date of this rule. By eliminating 
the waiver provision in part 230, the agency has accomplished several 
things: (1) Provided notice to the regulated community that the 
agency's part 211 waiver process is the appropriate vehicle for gaining 
relief from the requirements of this part; (2) gained assurance that 
FRA will have knowledge of and the ability to coordinate on a uniform, 
nationwide basis the consideration and granting of all steam locomotive 
waivers applied for; and (3) ensured that steam locomotives are 
regulated consistently. The task force and FRA also believe that, 
although the extensions and waivers previously granted under this part 
will generally no longer be necessary given the flexibility being 
afforded by the proposed new inspection scheme, when an owner and/or 
operator believes such a waiver is necessary, such requests are best 
addressed by the centralized waiver process provided for in part 211.

D. Standard for Repairs

    The agency is establishing 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.'' 
The task force considered simply requiring that repairs be made in 
accordance with the National Board Inspection Code (NBIC ) published by 
the NBBPVI or in conformance with the standards established by the 
American Petroleum Institute (API). However, the task force finally 
decided to recommend that the agency allow steam locomotive owners and 
operators to perform repairs in accordance with established railroad 
practices that have been successfully utilized over time, thereby 
affording industry members a measure of flexibility. This proposal 
reflects that decision. While there was some concern about whether the 
term ``accepted'' was too vague, the task force felt that the industry 
members would know what was required to ensure that repairs are 
properly made. Due to the small size and cohesiveness of the steam 
locomotive community, the task force 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 acceptable level of quality in the 
repairs made. Section 230.29 of the final rule reflects the task 
force's recommendations. Finally, as used in this proposal, 
``established railroad practices'' means those practices used by one or 
more railroads over a period of time that can 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 will be responsible for 
proving that the standard is established within the railroad community 
and that it is appropriate for the repair under consideration.
    For the first time, FRA is expressly allowing 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. Therefore, expressly allowing welding on unstayed portions of 
the boiler is a fairly radical change from the existing standards. 
Under Sec. 230.33 of this final rule, ``Welded Repairs and 
Alterations,'' FRA is requiring prior approval for any welding done on 
unstayed portions of high carbon boilers (greater than 0.25 percent 
carbon). FRA believes prior approval is necessary since 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 percent carbon) are not so restricted. For both low and high 
carbon boilers, however, FRA is imposing a repair standard that allows 
the locomotive owner and/or operator a measure of flexibility while 
simultaneously insuring an adequate minimum level of safety. 
Accordingly, the agency is requiring that any welded repairs to 
unstayed portions of the boiler be performed in ``accordance with an 
accepted national standard for boiler repairs.'' This modifies 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 sought to impose a measure of quality 
control that would provide assurance that all welding is performed 
properly. Because there are several national organizations that 
prescribe such procedures, the operator will be allowed to follow any 
one of a number of recognized methods. ``In accordance with an accepted 
national standard for boiler repairs,'' therefore, means that all the 
physical, mechanical, and documentation requirements delineated in a 
particular standard such as the NBIC have been satisfied. The task 
force considered recommending that FRA simply adopt the NBIC standard 
but decided that the financial burden imposed on owners and/or 
operators 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. Accordingly, the task force decided to simply 
reference the standard to which the repair should be done, without 
imposing the reporting or third-party inspection requirements of the 
standard. FRA agrees with and has adopted the task force's position.

[[Page 62833]]

    The task force was also very concerned about follow-up radiography 
for the welds conducted, and at one point considered recommending that 
all welds on unstayed portions of the boiler be radiographed. The task 
force also considered incorporating an American Society of Mechanical 
Engineers (ASME) radiography standard (which includes procedures for 
conducting radiography of welds), but eventually decided that so doing 
would make this part too complicated. The task force felt that doing so 
was unnecessary because all ``accepted national standards'' include 
radiography where necessary. Accordingly, the final rule mandates only 
that any radiography required under the accepted national standard 
chosen for the welded repair at issue be so performed.
    The task force discussed the potential for abuse of the ``accepted 
national standard for boiler repairs'' standard but felt that the risk 
of such abuse was low. This belief is based upon the clear requirement 
in this section that locomotive owners and/or operators be able to 
establish through documentation compliance with such a national 
standard, i.e., point to the procedures they followed in performing a 
particular weld. The locomotive owner and/or operator will bear the 
burden of proving to FRA that they correctly followed a particular, 
relevant national standard. Accordingly, this section simply requires 
that the locomotive owner and/or operator adhere to whatever the 
particular national standard followed dictates--from pre-weld 
treatments and welder qualifications through post-weld inspection 
requirements. The locomotive owner and/or operator will be required to 
make a showing that they satisfied the accepted national standard upon 
request by an FRA inspector.

E. Allowances Encouraging the Use of New Technologies

    The task force felt strongly that the 1978 standards, which had not 
been substantively revised in over 20 years, did not adequately address 
the new technologies which have developed during that time. 
Accordingly, the task force believed this rule should address recent 
innovations in inspection and maintenance methodology and technology. 
The task force was also concerned that compliance with the 1978 
standards may have resulted in excessive wear of steam locomotives, 
locomotive boilers, and locomotive appurtenances. In addition, the task 
force felt that the changed nature of steam locomotive operations today 
provided additional justification for updating the rule to reflect 
modern operating circumstances and for encouraging the use of non-
destructive technologies to satisfy various inspection requirements. 
Accordingly, in many sections of this rule, FRA is encouraging the use 
of advanced technologies by granting additional regulatory flexibility 
where such technologies are utilized. In some cases, however, the task 
force recommended, and the proposal incorporates, mandatory non-
destructive examination (NDE) testing for safety reasons. The main 
sections so 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 rule addresses, for the 
first time, the issue of qualification requirements for individuals 
making repairs to steam locomotives. The NTSB and the task force both 
felt strongly that the rule should establish minimum competency 
requirements for individuals making certain safety critical repairs. 
Thus, wherever the relevant national standards include qualification 
requirements, steam locomotive owners and/or operators making such 
repairs will 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 doing so was 
not necessary at this time. FRA agrees with the task force's position, 
and, therefore, is not mandating more explicit qualification 
requirements.

G. Implementation Schedule

    This rule provides for a gradual phase-in of part 230 in order to 
provide locomotive owners and operators the flexibility necessary to 
bring their operations into compliance (see section 230.3 for a full 
discussion of the implementation schedule). Some requirements must be 
complied with no later than one year after the effective date for the 
final rule. In addition, FRA is allowing locomotive owners and/or 
operators two years after the effective date for the final rule in 
which to request flue removal extensions. Finally, locomotive owners 
and/or operators that qualify to file a Petition for Special 
Consideration will be required to do so within one year of the 
effective date of the final rule, and the agency will have one year 
from the date of filing to consider and respond to any such petitions.

VII. NTSB 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 TRAIN, promote awareness of and 
compliance with the Hours of Service Act. (R-96-56).
    (5) In cooperation with the NBBPVI and the TRAIN, explore 
feasibility of requiring a progressive crown stay feature in steam 
locomotives. (R-96-57).
    (6) In cooperation with the NBBPVI 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 NBBPVI 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 rule reflects the careful consideration of these 
recommendations, both by FRA and the task force who, through the full 
RSAC, 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, representatives from the 
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. In 
response to FRA's request, the advisory committee task force 
recommended, and FRA has adopted, the following steps:

R-96-53  Water Glasses--Based on task force support for this

[[Page 62834]]

recommendation and FRA concurrence, section 230.51 of this rule 
establishes a minimum requirement of two sight glasses or a sight glass 
and a water column on each operating steam locomotive.
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 that the task force recommendations and FRA inspection 
practices adequately address the condition of the boiler interior.
R-96-55  Delineation of Responsibilities--The task force expressed 
support for this recommendation, and this rule clearly describes basic 
responsibilities and procedures. In addition, the Volpe Center has 
produced a training video for steam-locomotive operators for FRA. The 
video covers procedures required during daily inspections and pre-trip 
inspections in order 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 task force endorsed putting together a 
``Recommended Practice Manual'' (RPM) for many issues that this 
proposal does not address. FRA 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 
their support for the proposal that FRA working in tandem with the 
TRAIN to promote awareness of the Hours of Service Act. Although issues 
of compliance with the Hours of Service Act are beyond the scope of 
this rule, FRA does wish to state that it 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 because of time constraints were not able to address 
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. FRA's 
preference is 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, at present, 
those regulations only apply to railroads that operate locomotives on 
standard gage track that is part of the general system of rail 
transportation. Administering a technically elaborate certification 
program that would ultimately affect the operation of less than 175 
locomotives does not appear to be a wise use of scarce federal 
resources. FRA encourages the Tourist & Historic Working Group to carry 
forward this discussion, with the objectives of (1) supporting private 
initiatives and; (2) offering technical support for sound training 
programs (including the evaluation of current competencies).
R-96-59  Modernization of part 230--Industry members expressed support 
for this recommendation and acted in partnership with FRA through the 
task force to accomplish it. FRA submitted responses to the NTSB's 
recommendations. 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's 
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.

    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 FRA 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 a boiler 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 would not have been 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 about 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, FRA remains willing to consider specific data and 
analysis submitted in support of this recommendation.
    NTSB's recommendation R-96-57, if adopted, would have required 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 sufficient to support 
such a mandate at this time. The agency, after consultation with the 
task force, conveyed to the NTSB its willingness to explore this

[[Page 62835]]

issue fully at some later date, based on its belief that it lacked time 
and resources to adequately address this issue at this time. The NTSB 
found this response unacceptable. FRA told the NTSB it would appreciate 
the Board's making available staff assistance to the task force to help 
outline the steps necessary to conduct this evaluation, but no such 
assistance was forthcoming. The agency remains open to this issue but 
believes that more research is necessary before it can conclude, one 
way or another, that progressive crown stays are a cost-beneficial 
safety enhancement. In the NPRM, the agency requested that any party 
with data or analysis related to progressive crown stays, and their 
role in mitigating boiler failures, submit it to the agency for 
consideration: no such information was received.
    Finally, NTSB recommendation R-96-58 would require the agency to 
develop a certification program for steam locomotive operators and 
maintenance personnel. After due consideration, FRA has decided in 
favor of a voluntary certification program. Given the small number of 
affected entities and the scarcity of federal resources available to 
administer a technically elaborate certification program, the agency 
believes a mandatory certification program is unnecessary at this time. 
The task force, in association with the Volpe Center, has already 
created and produced 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 subsequently mailed to 
each steam locomotive owner or operator for whom the agency had user 
fee records. This was but a first step in response to the NTSB's 
recommendation. The agency will continue to work with the regulated 
community to carry forward this discussion and, as such, supports those 
private initiatives offering technical support for training programs, 
including the evaluation of current competencies of steam locomotive 
operators and maintenance personnel. In the NPRM, FRA requested that 
any party supporting the NTSB's recommendation submit data and analysis 
indicating the need for a more prescriptive approach: again, no such 
information was received.

Comments and Responses

    The discussion that follows examines in detail comments received, 
the task force's consideration of and response to those comments, and 
those changes (if any) FRA is making in the final rule as a result of 
the comments received.

Section 230.3  Implementation

    The provisions of this section generated a number of comments and 
counter-proposals from interested parties. In the NPRM, FRA proposed a 
staggered implementation schedule for placing the new rule into effect. 
Under this schedule, locomotive owners and/or operators would be 
required to perform a 1472 service day inspection meeting the 
requirements of Sec. 230.17 at that time when the locomotive flues 
would have had to be removed under Sec. 230.10 of the 1978 revisions. 
Subsection (c)-(d) of the proposal provided for a 3-year period during 
which a steam locomotive owner and/or operator would be allowed to file 
a petition for special consideration of boiler inspections performed in 
accordance with Sec. 230.17 within the 3-year period prior to the final 
rule's publication. Several commenters expressed concern about when 
steam locomotive owners and/or operators would be required to perform 
1472 service day inspections under the new rule. Grand Canyon Railway 
commented that any locomotive in full compliance with Sec. 230.17 of 
the proposed rule should have any flue time remaining under Sec. 230.10 
incorporated into the time allowed before having to perform a 1472 
service day inspection. Grand Canyon Railway also stated that the 1472 
service day period is a valid service time for steam locomotive boiler 
flues and should be applied to all steam locomotives with original flue 
time remaining within a 5-year maximum period. Minnesota Transportation 
Museum, Inc. commented that this section should allow a steam 
locomotive with existing flue time under Sec. 230.10 of the 1978 
revision to incorporate that flue time under the new 1472 service day 
period. North Star Rail commented that the implementation section, as 
proposed, would have its greatest impact on the newest, largest, least 
operated steam locomotives. North Star Rail also commented that if the 
new regulations are to be based on service days, then incorporation of 
properly documented locomotives meeting all aspects of the new 
regulations should also be based on actual documented service days. 
Wisconsin Railway Preservation Trust commented that the proposed 1472 
service day inspection requirement needs to be changed to take into 
account the economic circumstances of the regulated community and the 
potential inequities of the rule as presently written. A number of the 
comments received addressed the issue of when the 3-year period for 
special consideration should run from. The Association of Railway 
Museums, Inc. stated that the period of eligibility for filing a 
petition for ``special consideration'' should begin
1/27/96. Grand Canyon Railway commented that the 3-year period is 
arbitrary and should be revised to take into account the actual date of 
publication of the final rule. Michigan State Trust for Railway 
Preservation, Inc. expressed its belief that the period for special 
consideration should be increased to 4 years or more depending upon the 
date of publication of the final rule. Minnesota Transportation Museum, 
Inc. observed that the 3 year period for consideration was arbitrary. 
NBBPVI, Ohio Central Railroad, Tennessee Valley Railroad, and UP all 
commented that the final rule needs to take into account delays in 
getting the rule published. NBBPVI suggested that January 1, 1999 was a 
reasonable date for implementation of the 3 year period for special 
consideration. San Diego Railroad Museum commented that the time period 
in which to file a petition for special consideration should be 
increased to 4 or 5 years, or alternatively, start 3 years prior to the 
date of publication of the proposed rule.
    At the Columbus, Ohio meeting, several members of the task force 
also expressed concern about the issue of when the time for filing 
special petitions for consideration would begin. It was suggested that 
the date of publication of the NPRM was the most equitable time to 
relate back from since that could be considered as the date that the 
regulated community first had constructive knowledge of FRA's 
intentions. The task force was agreeable to that proposal, reaching 
consensus on a recommendation to FRA that the period for filing special 
petitions for consideration extend back 3 years from the date of 
publication of the NPRM. FRA, after due consideration of the comments 
received and the task forces recommendations, has decided to adopt the 
date of publication of the Notice of Proposed Rulemaking as the date 
the 3 year period for special consideration will relate back from. This 
means that any locomotive owner and/or operator whose locomotive was 
fully or partially in compliance with Sec. 230.17 (1472 service day 
inspection requirements) between September 25, 1995 and September 25, 
1998 may petition FRA for special consideration.

Section 230.5  Preemptive Effect

    This section of the NPRM, addressing the preemptive effect of the 
proposed rule, generated a large number of comments concerning state 
regulation of and/or enforcement of state boiler codes

[[Page 62836]]

against steam locomotive owners and/or operators. Many of the comments 
received took exception to FRA's stated intention of allowing state 
inspection and regulation of steam locomotives operations in those 
areas where FRA chooses not to exercise jurisdiction. A number of 
commenters took issue with the statement in this section that this part 
comes under 49 U.S.C. 20106's exception from preemption of an 
additional or more stringent State 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.
    UP submitted comments which were supported in whole by the AAR. In 
its comments, UP stated that Sec. 230.6 of the proposed rule takes too 
narrow a view of preemption, drawing on the Federal Railroad Safety Act 
(FRSA), but failing to take into account the total preemptive effect of 
the Locomotive Boiler Inspection Act (LBIA) and the Federal Safety 
Appliance Act (FSAA). UP also noted that neither the 1970 passage of 
the FRSA nor the 1994 recodification of the federal railroad safety 
laws changed the preemptive effect of the LBIA or the FSAA. The AAR 
observed that it is well settled that the federal railroad safety laws 
and regulations governing locomotive parts and appurtenances and safety 
appliances preempt the field and foreclose any state regulation 
thereof.
    Several commenters expressed concern over having to comply with 
State standards. The Austin and Texas Central Railroad expressed 
concern that this section, as written, would allow states to hold steam 
locomotive owners and/or operators to different and possibly 
conflicting standards. Diversified Rail Services commented that 
allowing state regulation could impose unreasonable financial burdens 
and result in locomotive owners and/or operators having to comply with 
conflicting state and federal standards. Grand Canyon Railway opined 
that allowing the States to regulate steam locomotives was undesirable, 
would be disruptive to operations and severely burdensome on steam 
locomotive owners and/or operators forced to comply with conflicting, 
inconsistent state and federal regulations. The Michigan State Trust 
for Railway Preservation, Inc. commented that state regulation of 
standard gauge steam locomotives would impede interstate travel by 
steam locomotives. The Michigan State Trust also stated that the 
preemption language which tracked that of the Federal Railroad Safety 
Act should be deleted. The NBBPVI was concerned that, under the 
proposed rule, states and local authorities could apply more stringent 
rules, thereby conflicting with the goal of establishing national steam 
locomotive standards. North Star Rail stated that the wording of the 
preemption section should be consistent with the language of other 
rules such as the Track Standards Rule. Ohio Central Railroad System's 
comment was that the preemption language as proposed should be stricken 
since there is no need to involve other authorities. St. Louis Steam 
Train Association commented that having to follow more than one set of 
rules and regulations invites misinterpretation and confusion over 
which rules apply. Tennessee Valley Railroad observed that it has had 
firsthand experience dealing with state boiler inspectors. Tennessee 
Valley Railroad further noted that in its experience, the state boiler 
inspectors had applied the state boiler code provisions--with 
methodology and inspection methods designed for stationary boilers--to 
steam locomotives, resulting in steam locomotive owners and/or 
operators being required to make repairs which were in conflict with 
FRA's repair requirements. The TRAIN organization commented that it was 
concerned that the preemption language in the proposed rule would allow 
the states to come in and create problems for tourist railroad owners 
and/or operators.
    Although the preemption issue was discussed, the task force decided 
not to issue any recommendation, believing that preemption is a purely 
legal issue involving the interplay of state and federal law: an area 
in which the task force has no particular expertise. FRA recognizes the 
concerns raised by the commenters and acknowledges that the LBIA has 
been consistently interpreted for over 70 years as totally preempting 
the field of locomotive safety, extending to the design, the 
construction, and the material of every part of the locomotive and 
tender and all appurtenances thereof.
    The proposed rule cited the standard for preemption under the 
former FRSA (now codified at 49 U.S.C. 20106). That standard allows 
additional or more stringent State regulations, under certain limited 
conditions, even where FRA has issued a rule or order covering a 
subject matter. By contrast, the LBIA (which has no preemption 
provision) has been held to preempt the entire field of locomotive 
safety. See Napier v. Atlantic Coast R.R., 272 U.S. 605 (1926).
    This rule is issued under the authority of both Sec. 20103 (the 
former FRSA regulatory provision) and Secs. 20701-20703. While the 
preemption provision Sec. 20103 would ordinarily set the standard for 
preemption of a rule issued under Sec. 20701, the broader field 
preemption provided by the LBIA (as interpreted by the courts) seems 
the more appropriate standard to apply in light of this rule's subject 
matter. Field preemption is not dependent upon agency action; it is 
statutory in nature.
    However, any preemption issue is fundamentally a question of 
legislative intent. Schneidewind v. ANR Pipeline Co., 485 U.S. 293, 299 
(1988). Executive Order 13132 on Federalism instructs Federal agencies 
to construe statutes as preemptive only where there is an express 
preemption provision or clear evidence that Congress intended to 
preempt. FRA is not aware of any indication that, in enacting the LBIA, 
Congress intended to preempt State regulation of rail operations over 
which FRA (or its predecessor, the ICC) had never exercised 
jurisdiction. Insular tourist railroads are a type of rail operation 
that includes theme parks, narrow gage lines, railroad museums, and 
amusement park operations. FRA has not exercised jurisdiction over 
these operations and has no present intention of doing so in the future 
(as made clear in the revisions to part 209 as amended by Appendix A to 
this final rule). When first enacted, the LBIA applied only to ``common 
carriers engaged in interstate commerce by rail.'' Napier v. Atlantic 
Coast R.R., 272 U.S. 605 (1926). As amended by the Rail Safety 
Improvement Act of 1988 (Pub. L. No. 100-342), the LBIA now applies to 
railroads as defined in 49 U.S.C. 20102. The stated intent of that 
amendment was to make the LBIA applicable to any railroad covered by 
the FRSA. However, there is no indication that, in broadening the reach 
of the LBIA, Congress intended to broaden the LBIA's field preemption 
beyond the railroad operations covered by the LBIA before 1988. The 
early cases finding preemption of the locomotive safety field (e.g., 
Napier), precede the 1988 amendments, and there is no record of any 
subsequent case applying field preemption to a railroad that would not 
have been covered by the LBIA before the 1988 amendments.
    Even if, in 1988, Congress did intend to extend field preemption 
beyond common carriers engaged in interstate commerce, it is highly 
unlikely that it intended that preemption to extend beyond the universe 
of railroads over which FRA exercises jurisdiction. Presumably, 
Congress would have been quite explicit about preempting state action 
where Federal law has never been exercised.

[[Page 62837]]

    Moreover, whether FRA could exercise safety jurisdiction over 
insular tourist railroads is an open question. While FRA has left open 
the possibility that it could someday assert such jurisdiction, the 
agency believes that a reasonable argument can be made that insular 
theme parks and amusement rides are not ``railroads'' within the 
meaning of 49 U.S.C. 20102, despite the breadth of that provision. 
Accordingly, it seems impossible to conclude, in the absence of clearly 
stated legislative intent, that Congress intended to preclude state 
regulation of operations where FRA has not exercised jurisdiction and 
where the very existence of that jurisdiction is open to debate.
    Therefore, while FRA has stated in the rule text the general rule 
of field preemption in the area of locomotive safety, it has also 
stated its belief that Congress did not intend such preemption to apply 
to insular tourist railroads over which FRA has not exercised 
jurisdiction. This will not result in conflict with State rules and 
regulations because it allows for State regulation only with regard to 
those operations not covered by this rule.

Section 230.6  Waivers

    In the NPRM, FRA proposed nullifying all waivers granted under part 
230 of the 1978 revisions that are not filed for reassessment by the 
agency. Waivers so filed would be reviewed by FRA which would then 
notify the applicants whether their waivers were to be continued. Grand 
Canyon Railway and North Star Rail each submitted comments urging FRA 
to establish a position at the national level charged with the 
oversight of steam locomotive regulation to include addressing 
petitions, granting waivers, and receiving notifications of repairs 
performed. In considering the comments submitted, several task force 
members noted that since FRA would be enforcing the steam locomotive 
regulations on a national basis, there should be no issue of 
inconsistent or conflicting application of the rules. Although the task 
force felt that there was no need for FRA to establish an office of 
``national steam inspector'', no recommendation was issued because the 
task force members felt this issue was primarily a matter of internal 
agency policy. After review of the comments received and the task 
force's discussion of this issue, FRA has decided that there is no need 
for the agency to create an office at the national level to consider 
petitions, waiver requests, and repair requests and notifications. FRA 
believes that the present system, whereby each FRA Regional 
Administrator oversees the compliance of steam locomotives operating in 
his or her region with federal requirements, and all requests for 
waivers of compliance with the regulations are filed centrally with FRA 
in Washington DC, has resulted in uniform, consistent regulation of 
steam locomotive operations.

Section 230.7  Responsibility for Compliance

    In Sec. 230.8 in the NPRM, FRA is holding the locomotive owner and/
or operator directly and primarily responsible for ensuring that all 
requirements of part 230 are complied with. Diversified Rail Services 
commented that contractors should also be held responsible under this 
section. Grand Canyon Railway commented that, in addition to owners, 
operators, and railroads, contractors should be held responsible for 
work they perform covered by this regulation. St. Louis Steam Train 
Association commented that responsibility should extend to the steam 
locomotive owner and/or compensated consultants and contractors. After 
a discussion in which it was pointed out that the rule as written 
requires that any person or persons performing covered work act in 
compliance with part 230, the task force reached consensus, 
recommending that this section be left as written in the NPRM. It was 
also noted that the definition of ``person'' in Sec. 230.9 expressly 
includes contractors and their employees.

Section 230.8  Definitions

    In Sec. 230.9 in the NPRM, FRA proposed to add or amend 25 
definitions. A number of these proposed definitions produced comments 
from interested parties.
    FIRE: The NPRM did not provide a definition for the term ``fire'' 
and Tennessee Valley Railroad commented that ``fire'' should be defined 
so as to eliminate any ambiguity and to help determine what a ``service 
day'' is.
    Although initially there was disagreement over the need to define 
the term ``fire,'' the task force did finally agree that the term 
should be defined since it is used in the definition of ``service day'' 
which is one of the central underpinnings of the new rule. The task 
force reached consensus on a proposal to define ``fire'' as ``anything 
that produces products of combustion that heat transferring components 
are exposed to.'' FRA agrees with this recommendation and has included 
the definition of ``fire'' in the final rule.
    FRA believes the inclusion of a definition of ``fire'' will help to 
clarify what a ``service day'' is. It is important that the definition 
of ``service day'' be unambiguous, which in turn necessitates that 
there be no uncertainty over what is a ``fire'' since the periodic 
inspection requirements in the final rule are predicated upon accrual 
of service days, the definition of which refers to those days where 
there is ``fire'' in the locomotive firebox.
    Heavy Repairs. Although Sec. 230.106(a) of the NPRM mentions 
``heavy repairs,'' the term is not defined anywhere in the rule. Grand 
Canyon Railway commented that the term ``heavy repairs'' was mentioned 
in the NPRM and, therefore, should be defined.
    The task force was in agreement that there was no need to define 
``heavy repairs'' since the term was only used once in the text of the 
rule. The consensus was to recommend that the language of Sec. 230.106 
be changed, substituting ``as often as needed'' for ``each time the 
steam locomotive is in shop for heavy repairs.''
    Upon consideration of the comments and the task force 
recommendation, FRA has decided to strike the words ``heavy repairs'' 
from the final rule. The agency has done so, in the belief that 
requiring that locomotive frames be cleaned ``as needed'' is more 
consistent with the ``safe and suitable for service'' requirement used 
in the inspection criteria adopted in the final rule.
    Operator/Owner. The NPRM defined Locomotive Operator so as to 
distinguish between locomotive operators and locomotive owners. Grand 
Canyon Railway commented that the definition of ``operator'' needs to 
be written so that the lines of accountability and responsibility are 
clearly delineated. Grand Canyon expressed concern over the growing 
incidence of steam locomotive operators who lease the locomotives from 
their owners, and the need to define the operators' accountability and 
areas of responsibility. Grand Canyon Railway also commented that 
``owner'' should be defined in terms of who is responsible or assigned 
responsibility for compliance with applicable rules and regulations of 
the NPRM. Grand Canyon expressed concern over what the accountability 
and responsibility of owners is when their steam locomotives are not 
under their direct control, such as when the locomotives are being 
leased by independent operators.
    The task force reached consensus, agreeing that the definitions of 
``locomotive owner'' and ``locomotive operator'' provided in Sec. 230.9 
adequately address the issue of responsibility for compliance with all 
applicable rules and regulations. The

[[Page 62838]]

task force also felt that ``locomotive operator,'' as defined, 
addresses the issue of who is primarily responsible for compliance in 
lease arrangements. FRA has reviewed the comments submitted and 
recognizes the concerns raised, but believes that the definitions 
provided in the NPRM adequately address those concerns. The agency has, 
therefore, decided that the final rule will adopt the definitions for 
locomotive owner and locomotive operator provided in the NPRM. However, 
it is to be noted that the final rule includes language making clear 
that an ``operator'' may in fact be a railroad.
    Service Day. In the NPRM, FRA proposed an inspection schedule based 
on the number of service days a steam locomotive accumulates, with a 
service day defined as each day the steam locomotive boiler has steam 
pressure above atmospheric pressure and a fire in the firebox. John C. 
Boykin commented that the rule, as proposed, would promote over rapid 
cooling of locomotive boilers. Mr. Boykin suggested that a ``service 
day'' be any day where the steam locomotive boiler pressure is raised 
to a minimum of 50 percent of allowable working pressure, Diversified 
Rail Services commented that ``service day'' should be defined as a day 
where the locomotive is available for service, a day the locomotive 
moves away from a designated shop area under its own power. Diversified 
Rail Services also suggested that the definition of ``service day'' 
exclude those days where steam pressure is not raised or where steam 
tests are being performed within a designated shop area and include any 
day on which the locomotive has a fire in the fire box. In addition, 
Diversified Rail Services took issue with the statement that dumping a 
fire and damping is less dangerous than banking a fire. The Locomotive 
and Tower Preservation Fund, LTD commented that, since a slow cool down 
process imposes the least strain on a steam locomotive boiler, those 
days on which steam pressure is properly raised or the boiler is 
properly cooled down should not be considered service days. The Ohio 
Central Railroad commented that ``service days'' should be defined as 
those days the locomotive is used in revenue service with an assigned 
crew; requested clarification on whether a ``service day'' would 
include those days where: (1) a new or repaired locomotive was steam 
test-fired; (2) a locomotive had dying coal embers and was slowing 
losing steam pressure. Ohio Central also stated that the method of 
drawing fire from the firebox proposed in the NPRM would subject steam 
locomotive ashpans and associated components to abuse. The St. Louis 
Steam Train Association commented that days when a steam locomotive is 
steamed up in a shop area for maintenance purposes should not be 
counted as service days. Finally, the Tennessee Valley Railroad 
commented that a requirement that a steam locomotive boiler stack be 
capped when banking its fire in order to qualify as a non-service day 
would be helpful.
    The task force reached consensus on this issue, recommending that 
the definition of ``service day'' remain unchanged. One task force 
member commented that capping the stack as proposed by several of the 
commenters is actually a non-issue, since a steam locomotive is 
subjected to much higher thermal stresses in its everyday operations 
where a continuous stream of cool outside air is introduced into the 
firebox.
    FRA has decided to retain the definition of ``service day'' 
provided in the NPRM in the final rule. The agency believes this is the 
most equitable way to calculate service days; balancing the need to 
take into account the realities of steam locomotive operations today 
with the need to ensure that steam locomotives are inspected on a 
timely basis.

Section 230.12  Movement of Non-Complying Locomotives

    In the NPRM, FRA proposed making part 230 current with part 229 by 
allowing steam locomotive owners and/or operators to move ``lite'' or 
in tow, noncomplying steam locomotives for repair purposes after making 
the determination that the noncomplying steam locomotive was safe to so 
move. Grand Canyon Railway commented that this section should include a 
provision that the requirement that the steam locomotive be tagged as 
``non-complying'' does not apply when such moves are made in yard areas 
and restricted to 10 miles per hour maximum speed. Grand Canyon Railway 
also suggested that this section include a requirement that the steam 
locomotive initials must be written on the non-complying tag in 
addition to the locomotive number. Tennessee Valley Railroad commented 
that, when referring to the movement of steam locomotives without 
railroad cars coupled on, the term ``lite engines'' should be spelled 
``light engine.''
    The task force agreed that this section should conform with the 
provisions for movement of non-complying locomotives found in part 229. 
Task force consensus was that FRA should revise this section to allow 
locomotive owners and/or operators to move non-complying steam 
locomotives in yard areas at speeds not to exceed 10 miles per hour 
without having to tag the locomotives as non-complying. The task force 
was also in agreement that the spelling of ``lite'' engines would be 
retained so as to avoid confusion between ``light'' and ``heavy'' 
locomotives and because ``lite'' is the traditional (and uniformly 
recognized) spelling within the railroad industry.
    FRA is revising the final rule to comport with the task force's 
recommendations. This revision is also based upon the agency's 
acknowledgment of the commenters' contention that there is no 
compelling reason for having different procedures for the movement of 
noncomplying steam and nonsteam locomotives.

Section 230.14  Thirty-One (31) Service Day Inspection

    In the NPRM, FRA proposed requiring that certain inspections be 
performed when the steam locomotive accrued 31 service days. This 
section, which included subsections on (a) general inspection 
requirements, (b) FRA notification, and (c) the filing of inspection 
reports, generated a number of comments. A number of commenters 
expressed concern that under this section, as proposed, some steam 
locomotives would not be adequately inspected. There were also a number 
of comments submitted seeking clarification of the notification and 
scheduling of inspections procedures proposed in this section. Finally, 
comments were received on the requirement that locomotive owners and/or 
operators file a report of each steam locomotive's 31 service day 
inspection in the place where that steam locomotive is maintained and 
with the FRA Regional Administrator for that region. Diversified Rail 
Services commented that the boiler wash requirement is too ``lax;'' 
suggested that a 31 service day inspection and a boiler wash be 
required no later than every 92 calendar days, regardless of the number 
of service days the steam locomotive has accrued. The representatives 
of Grand Canyon Railway urged that steam locomotive owners and/or 
operators be required to perform 31 service day inspections no later 
than 92 calendar days after the last 31 service day inspection. Grand 
Canyon Railway also suggested that an inspection's effective date be 
the date the steam locomotive is placed in service and not the day upon 
which the steam locomotive's boiler is test fired. In addition, Grand 
Canyon Railway commented that this section should mandate that FRA 
inspectors may only request daily records during

[[Page 62839]]

normal business hours, with such records to be produced within 4 hours 
of a request to do so. In its comments, St. Louis Steam Train 
Association expressed the belief that the proposed 31 service day 
inspection must be performed no later than every 92 calendar days. 
Grand Canyon Railway requested clarification on how and when FRA will 
notify steam locomotive owners and/or operators of its desire to 
observe a 31 service day inspection. Grand Canyon Railway also 
commented that FRA inspectors desiring to attend a 31 service day 
inspection should be required to notify the steam locomotive owner and/
or operator performing the inspection of their desire to so attend. 
Ohio Central Rail System suggested that this subsection include an 
explanation of how and within what prescribed time period FRA would 
respond to the notifications of inspection dates required under this 
section. Ohio Central Rail System also requested clarification on 
whether an inspection can take place as scheduled when the FRA delegate 
is unable to attend at the agreed upon time and the parties cannot 
reach agreement on another inspection date. Tennessee Valley Railroad 
also expressed concern about whether an inspection scheduled to be 
performed with an FRA inspector in attendance could be conducted as 
planned if the inspector failed to show at the agreed upon time and 
place. The United States Department of Interior commented that the 
inspection criteria should include the requirement that all water 
glasses are to be maintained free from leakage. Tennessee Valley 
Railroad commented that filing 31 service day inspection reports with 
FRA is unnecessary since the annual FRA Form No. 3 provides the agency 
with adequate notice that the steam locomotive is in service that year, 
and it suggested eliminating the filing requirement.
    The task force members were in accord that--as clearly explained in 
this section--when FRA is unable to attend a scheduled inspection as 
agreed upon and FRA and the locomotive owner and/or operator are unable 
to agree upon a new date to perform the inspection, the inspection may 
go on as planned. The task force was also in agreement that when FRA 
desires to attend an inspection, it will convey that information to the 
steam locomotive owner and/or operator through generally accepted means 
of business communication. The issue of boiler washes and the effects 
of long-term water storage of water on the steam locomotive boiler were 
discussed at length. The task force members agreed that the concerns 
raised by the commenters were legitimate but, at the same time, 
addressed by the requirement that steam locomotive be inspected to 
determine safety and suitability for service each day. The task force 
believes that the ``safe and suitable'' requirement includes a duty on 
the part of the steam locomotive owner and/or operator to monitor water 
quality and the effects of water storage on the locomotive each day 
that it is offered for service. The task force members reached 
consensus on the issue of when and how 31 day inspection reports must 
be filed with FRA; agreeing that the agency's desire to be furnished 
with written proof that required inspections have been performed was 
reasonable, especially in light of the fact that the paperwork burden 
imposed on owners and/or operators has been reduced by approximately 33 
percent under the new rule. There was also agreement that the 
difference between alterations and repairs is explained in the 
definitions section of the proposed rule, and that the proposed rule 
clearly states when a FRA Form No. 19 must be filed with FRA. The task 
force also discussed the issue of when a steam locomotive is considered 
to be in service, reaching consensus that any day the locomotive has 
fire in the firebox and boiler pressure above atmosphere is a service 
day.
    After weighing the concerns of the commenters and the 
recommendations of the task force, FRA has decided to leave this 
section unchanged in the final rule. The agency believes that the 
``safe and suitable for service'' requirement, by implication, imposes 
a duty on all steam locomotive owners and/or operators to ensure that 
water quality and water storage do not have a detrimental effect on the 
steam locomotive. The agency also believes that, as written, this rule 
clearly explains how notification and rescheduling of inspections is to 
be done and how inspections will go on as originally scheduled if FRA 
is unable to attend as scheduled and is unable to reach agreement with 
the locomotive owner and/or operator as to an alternative date on which 
to conduct the inspection. On the issue of ``service days,'' no 
evidence has been produced to show that FRA is not justified in its 
conviction that every day that a steam locomotive has fire in the 
firebox and steam pressure raised to above atmospheric pressure must be 
counted as a service day. As previously explained, FRA believes that 
the stresses and wear imposed on a steam locomotive every time it has 
fire in the ``box'' and raised steam pressure necessitate such days 
being counted as service days. FRA also believes that the requirement 
of timely filing of inspection reports is justified by its need to have 
up-to-date proof that all steam locomotives currently in use are being 
inspected as required.

Section 230.15  Ninety-two (92) Service Day Inspection

    In this section of the NPRM, FRA proposed requiring certain 
inspections be performed when the steam locomotive has accrued 92 
service days with the steam locomotive owner and/or operator required 
to file an inspection report with the appropriate Regional 
Administrator. The agency received a number of comments regarding the 
(a) general inspection requirements, and (b) filing on 92 service day 
inspection reports. A number of commenters expressed concern that under 
this section as proposed, some steam locomotives would not be 
adequately inspected. Comments were also received regarding the 
requirement that locomotive owners and/or operators keep a report of 
each steam locomotive's 92 service day inspection on file in the place 
where that steam locomotive is maintained and with the FRA Regional 
Administrator for that region. Grand Canyon Railway noted that under 
this rule, certain operations (such as those who run on weekends only) 
could go as long as 12 consecutive months without having a 31 day or 92 
day inspection performed. Grand Canyon Railway also sought 
clarification on what the effective date of an inspection is; suggested 
that a 92 service day inspection's effective date be the day the steam 
locomotive is placed in service and not the day upon which the steam 
locomotive's boiler is test fired following a repair or rebuild. 
Tennessee Valley Railroad commented that filing 92 service day 
inspection reports with FRA is unnecessary since the annual FRA Form 
No. 3 provides the agency with adequate notice that the steam 
locomotive is in service that year, and it suggested eliminating the 
filing requirement.
    The task force believes that the ``safe and suitable'' requirement 
includes a duty on the part of the steam locomotive owner and/or 
operator to inspect and monitor the locomotive each day that it is 
offered for service. The task force members agreed that the agency's 
desire to be furnished with written proof that 92 service day 
inspections have been performed was reasonable considering the safety 
issues implicated, especially in light of the greatly reduced

[[Page 62840]]

paperwork burden imposed on owners and/or operators under the new rule.
    FRA has also decided to leave this section unchanged in the final 
rule. As previously stated, the agency believes that the ``safe and 
suitable for service'' requirement, by implication, imposes a duty on 
all steam locomotive owners and/or operators to ensure that water 
quality and water storage do not have a detrimental effect on the steam 
locomotive. Also previously stated, FRA believes that no evidence has 
been produced to show why every day that a steam locomotive has fire in 
the firebox and steam pressure raised to above atmospheric pressure 
should not be counted as a service day. As previously explained, FRA 
believes that the stresses and wear imposed on a steam locomotive every 
time it has fire in the ``box'' and raised steam pressure necessitate 
such days being counted as service days. FRA also believes that the 
requirement of timely filing of inspection reports is justified by its 
need to have up-to-date proof that all steam locomotives currently in 
use are being inspected as required.

Section 230.16  Annual Inspection

    FRA has proposed requiring that an annual inspection be performed 
368 calendar days after the last (previous) annual inspection, with the 
steam locomotive owner and/or operator required to notify FRA of the 
time and place of the inspection and to file an inspection report with 
the appropriate FRA Regional Administrator. A number of interested 
parties submitted comments on subsections (a)(1) general requirements, 
subsection (b) FRA notification, and subsection (c) filing inspection 
reports. Ohio Central Rail System requested clarification on whether an 
inspection can take place as scheduled when the FRA delegate is unable 
to attend at the agreed upon time and the parties cannot reach 
agreement on another inspection date. The United States Department of 
the Interior (USDI) stated its belief that annual inspections are only 
needed on steam locomotives that have dome throttles or shut-off valves 
at the dome end of the dry pipe. USDI also recommended requiring that 
annual inspections be performed each year for the first 2 years a steam 
locomotive is in service, with the provision that if no wastage was 
found at that time, any further annual inspections could be deferred 
until the 1472 service day inspection. Tennessee Valley Railroad 
commented that the requirement that annual reports be filed with FRA 
should be eliminated.
    As previously explained, the task force members believe that the 
rule clearly states that when FRA is unable to attend a scheduled 
inspection as agreed upon and FRA and the locomotive owner and/or 
operator are unable to agree upon a new date to perform the inspection, 
the inspection may go on as planned. The task force was also in 
agreement that the proposed annual inspection requirements are not 
``overkill'', and that safety considerations justify any ``burden'' 
imposed on the owners and/or operators under this section.
    Here too, FRA has decided to leave this section unchanged in the 
final rule, believing that the ``safe and suitable for service'' 
requirement, by implication, imposes a duty on all steam locomotive 
owners and/or operators to ensure that water quality and water storage 
do not have a detrimental effect on the steam locomotive. FRA also 
believes that the inspection and filing requirements are justified by 
the safety concerns implicated, especially in light of the reduced 
compliance ``burden'' imposed on locomotive owners and/or operators 
under the final rule.

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

    In the NPRM, FRA proposed an extremely comprehensive inspection 
which is to be performed when a steam locomotive is first brought out 
of retirement and thereafter when 1,472 service days have accrued or 15 
years have elapsed from the time of the last such inspection (whichever 
comes first). The agency received several comments on the general 
inspection requirements. Grand Canyon Railway requested clarification 
on what the effective date of an inspection is; suggested that a 1472 
service day/15 year inspection's effective date be the day the steam 
locomotive is placed in service and not the day upon which the steam 
locomotive's boiler is test fired following a repair or rebuild. St. 
Louis Steam Train Association expressed the belief that protection 
needs to be provided for owners and/or operators who perform the work 
required under the 1472 service day inspection, but who otherwise may 
have to repeat some of that work because the requisite reports were not 
filed in a timely manner.
    Because most steam locomotives accrue relatively few service days 
in the space of a year, the task force concentrated on the issue of 
when the 15 year period [maximum time between 1472 service day 
inspections] would begin to run. After a lengthy discussion, the task 
force was able to reach a consensus, recommending that the 15 year 
``clock'' start on the day a steam locomotive is placed in service or 
365 calendar days after the first flue tube is installed, whichever 
comes first.
    FRA is adopting the task force recommendation that the 15 year 
clock start running on the day the steam locomotive is placed in 
service or 365 calendar days after the first flue tube is installed, 
whichever comes first. The agency recognizes that many steam locomotive 
restorations are done on by ``part-timers,'' primarily volunteers who 
are only able to work on the locomotives on weekends. Because of the 
complexity of the task and the sheer number of manhours required to 
restore such a locomotive, restoration can literally take years; often 
times with the locomotive sitting outside, continuously exposed to 
inclement weather. In such situations, corrosion is a primary safety 
concern; especially so after the flue tube installation begins, since 
at that point it is no longer possible to do a visual and tactile 
inspection of the entire boiler surface. After considering all the 
factors involved, FRA has decided to impose a 15 year ``drop-dead'' 
limit on the length of time after the steam locomotive is placed in 
service or first flue tube is installed (whichever occurs first) that a 
steam locomotive can go before a 1472 service day inspection must be 
performed.

Section 230.18  Recordkeeping Requirements (Service Days)

    Under this section, steam locomotive owners and/or operators are 
required to (a) keep and have available for inspection, a current copy 
of the service day record for each steam locomotive currently in 
service, (b) file a FRA Form No. 5 no later than January 31st of each 
year showing the days the steam locomotive was in service during the 
preceding year, and (c) complete all the requirements of the 1472 
service day inspection before that locomotive can be returned to 
service, if the required service day reports are not filed for a steam 
locomotive and FRA considers that steam locomotive to have been 
retired. Diversified Rail Services, Inc. commented that this section 
needs to take into account certain out-of-service and/or ownership 
conditions. Diversified Rail suggested that a steam locomotive should 
be considered retired only if the locomotive owner and/or operator 
failed to file a service day report with FRA within 2 years of the last 
filing of a service day report.
    The task force agreed that the 31 calendar day ``grace period'' 
provided for under the rule is sufficient given FRA's need for timely 
proof that all steam locomotives currently in service

[[Page 62841]]

were properly inspected and maintained during the preceding year. The 
task force was also in agreement that the Preamble should explain that 
FRA recognizes that exigent circumstances may arise which make it 
difficult for an owner and/or operator to furnish the FRA Form No. 5 in 
a timely manner. The task force also recommended that FRA not be 
totally inflexible in enforcing this section.
    FRA believes the recordkeeping and filing requirements proposed in 
the NPRM are reasonable and, therefore, has incorporated them in the 
final rule. The agency also realizes that a 1472 service day inspection 
is a very time-consuming, costly procedure and that, under certain 
circumstances, locomotive owners and/or operators may be unable to file 
a FRA Form No. 5 within the prescribed time. As such, FRA will consider 
those claims that failure to timely file was due to compelling 
circumstances on a case-by-case basis.

Section 230.20  Alteration and Repair Report for Steam Locomotive 
Boilers

    In Sec. 230.20 of the NPRM, FRA proposed that steam locomotive 
owners and/or operators who make alterations to steam locomotive 
boilers be required to file alteration reports with the appropriate FRA 
Regional Administrator. This section would also require the filing of 
repair reports with the FRA Regional Administrator whenever steam 
locomotive owners and/or operators perform either welded or riveted 
repairs to unstayed parts of locomotive boilers, and the completion and 
maintenance of repair reports when welded or riveted repairs are 
performed on stayed parts of locomotive boilers. A number of interested 
parties submitted comments on subsections (a) Alterations; subsection 
(b) Welded and riveted repairs to unstayed locomotive boiler portions; 
and subsection (c) Welded and riveted repairs to stayed portions of the 
locomotive boiler. Diversified Rail Services commented that locomotive 
owners and/or operators performing welded repairs on stayed areas 
should only be required to maintain records of those repairs. Grand 
Canyon Railway commented that locomotive owners and/or operators should 
be required to maintain--but not file with FRA--records of standard 
repairs such as welding or repairing staybolts. Grand Canyon Railway 
also suggested that FRA should establish the position of National Steam 
Inspector with responsibility for handling waivers, petitions, repair 
acceptance notifications, and alteration/repair reports. Ohio Central 
Railroad System requested clarification on when FRA Form No. 19s must 
be filed. The St. Louis Steam Train Association commented that reports 
on steam locomotive boiler work should continue to be maintained and 
FRA Form No. 19s filed when locomotive boilers are altered. St. Louis 
Steam Train Association also commented that when a locomotive boiler is 
repaired, the form used to report the repair should not require the 
calculation of stress levels.
    The task force reached consensus on this issue, agreeing that the 
present system (whereby FRA Regional Administrators provide oversight 
of steam locomotives operating within their respective regions) is 
efficient and does result in uniform application of the regulations. 
Concern was expressed that creation of a national steam inspector would 
result in one more layer of bureaucracy, and that the person filling 
that position would be overburdened and unable to provide proper 
oversight over the regulated community as a whole. It was also felt 
that there is no issue of local vs. national standards since the FRA 
Regional Administrators already send alteration and repair reports and 
other documentation to FRA's Office of Safety as conditions warrant. 
The task force was also in agreement that the rule as written clearly 
explains that owners or operators performing welded or riveted repairs 
on stayed portions of steam locomotive boilers are only required to 
complete and maintain a FRA Form No. 19 record of the work done. It was 
noted that Form19s need to be filed with FRA whenever alterations are 
performed in order to satisfy the requirement that a current FRA Form 
No. 4 be on file with FRA at all times for each steam locomotive in 
service.
    FRA agrees with the task force recommendations and observations; 
also believing that creation of another level of oversight would 
provide little or no additional safety benefit while needlessly 
straining the agency's already limited resources. Since the agency 
believes that the present system of reporting and filing is efficient 
and not unduly burdensome to locomotive owners and/or operators, this 
section of the final rule remains unchanged from that of the NPRM.

Section 230.23  Responsibility for General Construction and Safe 
Working Pressure

    Section 230.23 sets out what the specific responsibilities of the 
steam locomotive owner and the steam locomotive operator are. Grand 
Canyon Railway submitted comments in which it objected to what it 
considered to be FRA's lack of consistency in the use of the terms 
``locomotive owner'' and ``locomotive operator'', stated the belief 
that all reference should be to ``owners or operators.'' Grand Canyon 
Railway further commented that the regulation should specify that 
responsibility for construction of and repairs to a steam locomotive 
lies with whoever is delegated responsibility for that locomotive. The 
task force discussed this issue, but felt that it involves legal 
matters best left to FRA's Office of Chief Counsel. The consensus was 
to make no recommendations; deferring to the agency's interpretation on 
this issue.
    FRA believes that, in most cases, the responsibility for compliance 
will fall equally on the owner and the operator of the steam 
locomotive, and, in these cases, the agency has chosen to use the words 
``owner and/or operator'' in the final rule. However, the agency also 
believes that in certain limited situations, the responsibility for 
compliance will lie with either the steam locomotive owner (such as 
when a steam locomotive is being rebuilt or brought out of retirement), 
or the steam locomotive operator (such as where a steam locomotive 
breaks down while in actual use). In these cases FRA has used the words 
``owner or operator'' in the final rule.

Section 230.25  Maximum Allowable Stress on Stays and Braces

    This section sets the maximum allowable stress per square inch of 
net cross-sectional area on firebox and combustion chamber stays and 
braces. The Tennessee Valley Railroad commented that the maximum 
allowable stress levels should be presented as a percentage of the 
ultimate tensile strength of the material used in the braces and stays. 
Tennessee Valley Railroad believes that so doing would encourage steam 
locomotive owners and/or operators to make use of the higher strength 
steels now available. Tennessee Valley Railroad also noted that the 
ATSM requirements for some of the older materials are no longer 
available. The task force was in agreement that the maximum allowable 
stresses should continue to be based on the psi ratings provided. In 
the discussion on this issue, it was pointed out that steam locomotives 
were designed and built as integral units with stress levels calculated 
based on the locomotives in whole. Several members of the task force 
observed that it is not good engineering practice to use a combination 
of materials of different composition and strengths in an 
interdependent structure like a locomotive. It was also noted that 
changing the rule as suggested would

[[Page 62842]]

result in little or no advantage over the present standard since there 
are few, if any, new steam locomotive boilers being built. FRA agrees 
with the task force's observations and is leaving this section 
unchanged in the final rule. The agency believes that allowing stays 
and braces made of higher strength steels to be subjected to higher 
stress levels could result in damage to or even failure of surrounding 
sections that are not made of correspondingly high strength materials.

Section 230.26  Tensile Strength of Shell Plates

    This section establishes a default tensile strength figure to be 
used for steel or wrought iron shell plates when the actual figure is 
unknown. Tennessee Valley Railroad submitted comments on this issue, 
urging that the final rule recognize the advances in materials 
available today and take those advances into account when publishing 
ductility and/or tensile/shearing strength standards. Tennessee Valley 
Railroad also suggested that the words ``for pre-existing boilers'' be 
inserted after ``wrought-iron shell plates.''
    The task force members disagreed with Tennessee Valley's comments; 
recommending instead that the final rule retain the language in the 
NPRM. It was observed that this was essentially a non-issue since the 
default standard is only intended to pertain to materials the tensile 
strength of which is unknown and the tensile strength of present day 
steels is known or easily determinable. The task force believes that 
these standards are only intended to apply to the maintenance of 
existing equipment.
    This section of the final rule is unchanged from the NPRM. After 
reviewing the comments and the task force's recommendation, FRA decided 
that the safety benefits of establishing maximum tensile strength 
values for shell plates made of steel or wrought-iron, the strength of 
which cannot be ascertained, outweighs any inconvenience or burden 
placed upon locomotive owners and/or operators.

Section 230.27  Maximum Shearing Strength of Rivets

    This section establishes a default tensile strength figure to be 
used for steel or wrought iron shell plates when the actual figure is 
unknown. The Tennessee Valley Railroad submitted the only comments on 
this issue, stating that the maximum shearing strength values for 
rivets should be presented as a percentage of the ultimate tensile 
strength of the material the rivets are made from since this would 
encourage steam locomotive owners and/or operators to utilize the 
higher strength steels now available. Tennessee Valley Railroad also 
requested clarification on what the basis was for the maximum shearing 
strength values published and recommended that the final rule include 
the actual basis for the published values.
    The task force reached consensus, agreeing that the maximum 
shearing strength of rivets used in steam locomotives should continue 
to be calculated based on values listed in the table unless the rivets 
are made from other materials: materials that have been proven through 
testing to exceed those levels. It was noted that the psi levels 
provided in the table were based on many years of actual operating 
experience.
    FRA is in concurrence with the task force recommendations and is 
adopting them in the final rule. The agency believes that the 
conservative shearing strength values provided in the table provide a 
margin of safety in an area where failure could result in extensive 
damage to the equipment and serious injury or loss of life.

Section 230.28  Higher Shearing Strength of Rivets

    In this section, FRA proposed allowing steam locomotive owners and/
or operators to use a higher shearing strength for rivets when tests of 
the material used show it to be of such quality as to justify so doing. 
Tennessee Valley Railroad commented that this section is no longer 
needed since the appropriate ASTM or ASME specifications were 
referenced in previous sections. In the alternative, Tennessee Valley 
Railroad recommended that current ASTM standards be used as the basis 
for higher strength values in lieu of requiring that the materials used 
be strength tested.
    The task force disagreed with Tennessee Valley Railroad; 
recommending instead that the maximum shearing strength of rivets used 
in steam locomotives continue to be calculated based on values 
validated through empirical evidence unless the rivets are composed of 
materials that have been proven through testing to exceed the levels 
provided.
    Here too, FRA is in concurrence with the task force recommendations 
and is adopting them in the final rule. The agency believes that 
limiting the assignment of higher strength values to those materials 
that have been conclusively proven to have shearing strengths in excess 
of the table values provides the necessary margin of safety in an area 
where failure could result in extensive property damages, as well as 
serious injury or loss of life.

Section 230.32  Time and Method of Inspection

    Subsection 230.32(a) imposes a requirement that the entire steam 
locomotive boiler be inspected when a 1472 service day inspection is 
performed. Tennessee Valley Railroad took exception to the proposed 
inspection requirements; commenting that these provisions would create 
unnecessary work and inflict needless stress and wear on dome lid studs 
and seal rings.
    After due consideration of the comments submitted, the task force 
decided to recommend that the criteria for performing a 1472 service 
day inspection remain unchanged from the NPRM. Several members of the 
task force noted that the inspection procedure referred to by the 
Tennessee Valley Railroad is only required after 1,472 service days 
have accrued or 15 years have elapsed and, considering the minimal 
burden imposed on locomotive owners and/or operators and the safety 
benefits gained, the criteria for the 1472 service day inspection 
should be retained.
    FRA is retaining the 1472 service day inspection methods prescribed 
in the NPRM. The agency remains convinced that, in light of the age of 
the steam locomotive community, and the potential danger posed by 
boiler explosions and other catastrophic failures, any burden imposed 
on locomotive owners and/or operators by requiring a comprehensive, 
hands on inspection be performed once every 1472 service days or 15 
calendar years (whichever occurs first) is reasonable.

Section 230.33  Welded Repairs and Alterations

    This section of the NPRM generated a number of comments. Several 
commenters took exception to subsection (a), which imposes reporting 
requirements on steam locomotive owners and/or operators welding on 
unstayed portions of the locomotive boiler, and subsection (d), which 
provides that steam locomotive owners and/or operators must submit a 
written request for approval to FRA before installing flush patches on 
unstayed boiler portions. Diversified Rail Services commented that 
steam locomotive owners and/or operators that perform welded repairs on 
stayed portions of the locomotive boiler should be required to maintain 
records of those reports but not be required to file FRA Form No. 19s 
with FRA. Grand Canyon Railway submitted similar comments, urging that

[[Page 62843]]

FRA only require that such reports or FRA Form No. 19s be kept by the 
steam locomotive owner and/or operator's chief mechanical officer or at 
the site where the work was performed. Tennessee Valley Railroad 
requested clarification on what FRA considers a ``repair'' and on 
whether FRA considers a ``flush patch'' to be a ``repair.'' Tennessee 
Valley Railroad also questioned whether FRA would consider a partial 
boiler course replacement to be a repair.
    The task force members agreed that a partial boiler course 
replacement should be considered a flush patch if it is applied by 
welding. There was also agreement that Sec. 230.33(d) steam locomotive 
owners and/or operators installing welded flush patches on unstayed 
portions of the locomotive boiler are required to submit a written 
request for approval by FRA prior to performing such work and to file a 
FRA Form No. 19 with FRA as per Sec. 230.20(a) of the rule after the 
work is completed. The task force also noted that Sec. 230.9 of the 
rule explains that any restoration work is considered a ``repair'' 
while ``alterations'' are defined as ``any changes to the boiler 
affecting its pressure retention capability.'' Addressing the comments 
urging that the proposed filing requirements be deleted from the final 
rule, it was noted that, in light of the fact that FRA is allowing the 
use of relatively new methods of repair not previously applied to steam 
locomotives, these filing requirements are not onerous. It was also 
observed that in the past FRA had required that such patches be 
riveted, a much more expensive method of repair than welding.
    FRA believes that the reporting and filing requirements in this 
section are justified. The agency believes that, considering the 
critical nature of such work and the importance that it be done 
properly, requiring owners and/or operators to obtain FRA approval 
before performing this type of work on a locomotive boiler and to file 
a report with FRA after completing said work is not unreasonable.

Section 230.34  Riveted Repairs and Alterations

    Subsections (a)-(c) impose reporting requirements on steam 
locomotive owners and/or operators performing riveted alterations or 
repairs on stayed and/or unstayed portions of the locomotive boiler. 
Grand Canyon Railway commented that the rule should only require that 
such reports or FRA Form No. 19s be kept by the steam locomotive owner 
and/or operator's chief mechanical officer or at the site where the 
work was performed.
    The task force recommended that the reporting requirements be 
retained. The task force members expressed the belief that FRA 
oversight will ensure that riveted repairs are made in compliance with 
established railroad practices and/or accepted national standards for 
boiler repairs.
    FRA is retaining the requirements of this section in the final 
rule. The agency believes that it is essential that it have the right 
to review all proposed riveted alterations on unstayed boiler portions 
since any such work, in changing the boiler's pressure retention 
capability, may have a major impact on the locomotive's structural 
integrity.

Section 230.36  Hydrostatic Testing of Boilers

    Subsection (b) explains how steam locomotive owners and/or 
operators will perform a hydrostatic test on their locomotive boilers, 
and subsection (c) sets forth the requirement that steam locomotive 
owners and/or operators conduct an internal inspection of the 
locomotive boiler after every hydrostatic test conducted above MAWP. 
Several steam railroads objected to those parts of Sec. 230.36. Grand 
Canyon Railway commented that performing a hydrostatic pressure test on 
a boiler with a metal temperature of 60 deg. F could result in the 
boiler metal be shocked/stressed, further commented that the minimum 
boiler temperature should be 70 deg. F whenever a steam locomotive 
boiler is subjected to hydrostatic pressure, and the minimum 
temperature should be 120 deg. F whenever the locomotive boiler is 
subjected to hydrostatic pressure at or above maximum authorized 
working pressure (MAWP).Grand Canyon Railway also commented that all 
hydrostatic testing should be done at 125 percent of MAWP. Tennessee 
Valley Railroad commented that the annual boiler inspection required 
under Sec. 230.32(a) is sufficient to detect wear. Tennessee Valley 
Railroad further commented that such an inspection requirement is not 
in conformity with industry practice; results in unnecessary work being 
done; and inflicts needless stress and wear on dome lids, studs, and 
seal rings.
    Upon consideration of the comments received, the task force agreed 
that a minimum boiler metal temperature of 60 deg. F consensus was 
probably too low; deciding to recommend that the required minimum metal 
temperature to be raised to 70 deg. F. One task force member stated 
that it is extremely important that boiler metal temperature be above 
45 deg.-50 deg. F before such testing is done. Another member observed 
that there are a number of easy, inexpensive methods available for 
supplying heated fill water. It was also noted that the ASME has raised 
its recommended minimum metal temperature to 70 deg. F. The task force 
agreed that raising the minimum temperature required to 70 deg. F was 
in keeping with industry trends and would provide an extra margin of 
safety when performing hydrostatic tests. However, the task force did 
not agree with the comments urging that the minimum boiler metal 
temperature for performing hydrostatic tests at or above MAWP be raised 
to 120 deg. F. The task force members believe that the maximum boiler 
metal temperature should remain at 120 deg. F because boiler metal 
heated to a temperature above 120 deg. F could pose a substantial risk 
of injury to any personnel coming in direct contact with the steam 
locomotive. The task force noted that the rule already requires that 
hydrostatic testing is to be performed at 125 percent of MAWP. On the 
issue of boiler inspections, the task force was in agreement that 
requiring a boiler inspection after hydrostatic testing of the 
locomotive boiler is in keeping with industry safety practices and does 
not impose undue burdens on the owners and/or operators and that any 
stress and wear inflicted on dome lids, studs, seal rings etc. is 
justified.
    FRA also agrees that the boiler metal temperature should be, at a 
minimum, 70 deg. F before hydrostatic testing of the boiler is 
performed. The agency believes that raising the minimum metal 
temperature will reduce the risk of metal ``shock'' and stress which 
could lead to boiler failure. FRA does not agree with the comments 
urging that the boiler metal temperature be at least 120 deg. F 
whenever hydrostatic testing is done at or above MAWP. The agency 
believes that the danger presented to people working around metal 
heated to such temperatures would outweigh any safety benefits gained. 
FRA agrees with the recommendation that hydrostatic testing be done at 
or above MAWP, but points out that the NPRM already specified that all 
hydrostatic testing must be done at 125 percent of MAWP.

Section 230.39  Broken Staybolts

    This section establishes (a) a limit on the number of broken 
staybolts a steam locomotive can have and still remain in service; (b) 
when and how broken staybolts must be replaced; (c) what counts as a 
broken staybolt; and (d) what methods of closing telltale holes are 
prohibited. Subsections (a) and (d) generated comments. Diversified 
Rail Services commented that this section is repetitive and could be 
interpreted as

[[Page 62844]]

requiring a steam locomotive with a broken staybolt be operated in that 
condition for as long as 30 days. Grand Canyon Railway commented that 
this section should be deleted and replaced with the 1978 Sec. 230.25 
language. Grand Canyon Railway also commented that the rule should not 
contain a blanket prohibition on plugging telltale holes of leaking 
staybolts.
    The task force considered the comments but disagreed with them, 
deciding to recommend that this section remain as written in the NPRM. 
It was observed that there were a number of compelling reasons for 
amending the rule and deleting Sec. 230.25 of the 1978 standards. Among 
the reasons cited were the continuing aging of the steam locomotives in 
use in the United States today; the longer operating and inspection 
cycles of steam locomotives today; and the progressive nature of 
staybolt failures. It was observed that the failure of one staybolt 
puts significant additional pressure on the surrounding staybolts, 
leading to the possibility of a ``cascade'' or ``domino'' effect with 
each ensuing staybolt failure rapidly leading to yet another failure 
ultimately resulting in a catastrophic boiler failure. In addition, all 
members of the task force concurred that, while this section of the 
rule establishes that the maximum time a steam locomotive may be 
operated with broken staybolts is 30 days, it does not require owners 
and/or operators to run their steam locomotives for that period of time 
with broken staybolts. The task force was also in complete agreement 
that this section does not impose a total ban on the closing of 
telltale holes; it simply lists the prohibited methods for so doing.
    FRA is leaving this section unchanged in the final rule. The agency 
believes that, in light of the safety concerns implicated, it is 
essential that steam locomotives not be allowed to operate with 2 or 
more broken staybolts within 24 inches of one another or with more than 
4 broken staybolts at one time. FRA also believes that the rule does 
not prohibit the closing of telltale holes per se.

Section 230.40  Time and Method of Staybolt Testing

    Subsection (a) establishes when staybolts are to be hammer tested 
and provides an exception for inaccessible staybolts; subsection (b) 
sets out the procedure to be followed when staybolts are hammer tested. 
Diversified Rail Services and Grand Canyon Railway both took exception 
to the procedures set forth in subsection (b). Diversified Rail 
Services commented that hammer testing of staybolts done with the 
locomotive boiler under pressure is much more successful in detecting 
broken staybolts. Grand Canyon Railway suggested that the procedure for 
hammer testing staybolts be changed to a 3-step process starting at 50 
percent MAWP, water temperature 70 deg. F and incrementally increasing 
pressure and water temperature to 95 percent MAWP and water at 120 deg. 
F. Grand Canyon Railway also recommended that the provision allowing 
testing of staybolts without water in the locomotive boiler be deleted; 
expressed the belief that such tests are highly inaccurate.
    The task force reviewed the comments but disagreed with the 
commenters' conclusions: believing instead that this section simply 
prescribes the minimum testing criteria and should not be changed. 
Several task force members observed that steam locomotive owners and/or 
operators are free to make use of stricter testing methods if they 
believe the method prescribed is inadequate.
    FRA's purpose, in writing this section, was to set forth minimum 
testing procedures. As such, FRA will not take exception to steam 
locomotive owners and/or operators using more comprehensive testing 
methods, provided the minimum testing requirements are met.

Section 230.51  Number and Location of Water Glasses and Gauge Cocks

    This section provides that all steam locomotive boilers must be 
equipped with a minimum of 2 water glasses. John C. Boykin commented 
that the requirement for 2 water glasses is unreasonable and that there 
is no evidence that trycocks do not work as well.
    The task force felt that the 2 water glass requirement was based on 
valid concerns and should remain. It was observed that 75 years of 
experience have shown that water glasses are more accurate and more 
reliable than trycocks. One task force member noted that the NTSB has 
recommended that each steam locomotive be equipped with 2 water 
glasses. Another task force member observed that the ASME Boiler Code 
Sec. 1 has abolished the requirement for water gauge trycocks because 
of the high level of operator skill and experience required to operate 
properly and safely.
    FRA concurs with the findings of the NTSB and the recommendations 
of the task force and is retaining the requirement that all steam 
locomotives be equipped with at least 2 water glasses in the final 
rule. FRA believes that this requirement will enhance safety since 
water glasses are more accurate and easier to use than water gauge 
trycocks.

Section 230.60  Time of Washing

    This section of the NPRM generated a number of comments, most of 
which were in regards to subsection (a) Frequency of washing. The 
NBBPVI commented that the reference in the section-by-section analysis 
of Sec. 230.60 to Sec. 230.45 of the 1978 standards was inaccurate or 
incomplete. Grand Canyon Railway expressed concern that under this 
washing schedule, water could be left in steam locomotive boilers for 
more than 30 days at a time; commented that boiler washes should be 
performed at least once every 92 calendar days. Ohio Central Railroad 
System observed that a requirement that boilers be washed every 92 
calendar days would be a lot better than the current regulation. Ohio 
Central Railroad System also noted that requiring that boiler washes be 
performed at least once every 92 calendar days would insure that 
sediment and other solids would remain soft enough to be easily flushed 
and would help to avoid a buildup of excess sediment in the locomotive 
boiler. Tennessee Valley Railroad commented that the rule needs to 
address the issue of steam locomotives being stored for long periods of 
time with water in the boiler; expressed concern about the situation 
where a steam locomotive owner and/or operator uses his or her steam 
locomotive less than 31 service days a day, under this section, in such 
a case, the locomotive boiler might only be washed once a year. 
Tennessee Valley Railroad also advocated requiring that locomotive 
boilers be washed at least once every 92 calendar days, expressing the 
belief that leaving standing water in a locomotive boiler is 
detrimental to the boiler: suspensions will settle out and create 
sludge while dissolved oxygen in the water may react with carbon 
components in the boiler metal.
    The task force recommended that this section stay as written in the 
NPRM. It was noted that the concerns expressed by the commenters 
merited consideration but were, in fact, addressed under the daily 
inspection requirements. The task force believes that the requirement 
that the steam locomotive be inspected on a daily basis to ensure that 
it is safe and suitable for service includes a duty to test water 
quality and to ensure that water is not kept in boilers so long that it 
causes damage to the locomotive boiler and other parts and 
appurtenances.
    FRA has decided to leave this section unchanged in the final rule. 
The agency believes that under the ``safe and suitable for service'' 
requirement, a duty is imposed on all steam locomotive

[[Page 62845]]

owners and/or operators to ensure that water quality and water storage 
are continuously monitored so as to not have a detrimental effect on 
the steam locomotive and all its parts and appurtenances.

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

    In Sec. 230.61 of the NPRM, FRA proposed that every time a steam 
locomotive boiler is washed (a) its arch tubes, water bar tubes, 
circulators, and thermic siphons be cleaned, washed, and inspected; and 
at every annual inspection that (b) defective arch tubes and/or water 
bar tubes be renewed, defective circulators and thermic siphons be 
renewed or repaired; and (c) arch bar tubes, water bar tubes, and 
circulators be examined through nondestructive means, with those found 
to have wall thickness reduced below required levels replaced or 
repaired. Diversified Rail Services commented that the rule should 
require that arch bar tubes be replaced every 1472 service day 
inspection. Diversified Rail also observed that removing the arch bar 
tubes would allow for a full inspection of all telltales and staybolts. 
Grand Canyon Railway commented that this section should specify that 
the locomotive owners and/or operators are responsible for compliance 
therewith. The NBBPVI commented that the reference in the section-by-
section analysis of Sec. 230.61 to Sec. 230.45 of the 1978 standards 
was inaccurate or incomplete.
    After careful consideration of Diversified Rail Services' comments 
and recommendations, the task force consensus was that adopting in the 
final rule the requirement that steam locomotive owners and/or 
operators perform an ultrasonic inspection of the arch tubes every time 
the boiler is washed and repair or replace those not safe and suitable 
for operation will adequately address those safety concerns raised. The 
task force believes that this is more prudent than an absolute 
requirement that arch tubes be replaced every 1472 service days since 
that could be interpreted as requiring replacement of the arch tubes 
only at that time. The task force then considered NBBPVI's comments, 
agreeing that the reference as cited in the section-by-section analysis 
was inaccurate and incomplete. The task force's recommendation was that 
the section-by-section analysis of Sec. 230.61 be amended to include 
reference to Secs. 230.14 and 230.46 of the 1978 Rule.
    FRA believes that requiring that an ultrasonic inspection of the 
arch tubes be performed every time the boiler is washed adequately 
addresses the issue of defective arch tubes, while, at the same time, 
taking into account the economic burdens imposed on steam locomotive 
owners and/or operators required to perform such inspections. The 
agency shares the concerns of the task force that a ``blanket'' 
requirement that arch tubes be replaced when the 1472 service day 
inspection is performed could be misinterpreted by owners and/or 
operators, leading to the mistaken belief that they were only required 
to replace arch tubes at that time.

Section 230.68  Speed Indicators

    Under Sec. 230.68, all steam locomotives that operate on the 
general system of railroad transportation at speeds in excess of 20 
miles per hour are required to be equipped with speed indicators 
maintained to ensure accurate functioning. Grand Canyon Railway and 
Minnesota Transportation Museum commented that the speed indicator 
requirement should be the same as that for nonsteam locomotives (found 
at 49 CFR 229.117).
    With the stipulation that the term ``accurate functioning'' be 
further explained, the task force members recommended that this section 
remain as written. The task force issued its recommendation in the 
belief that FRA can adequately address the issue of what it considers 
to be ``accurate functioning'' of the speed indicator in the preamble 
to the final rule.

Section 230.70  Safe Condition of Brake and Signal Equipment

    This section establishes: (a) the criteria for performing a pre-
departure inspection of a steam locomotive at the beginning of each day 
the locomotive is used; and (b) a requirement that each steam 
locomotive and/or locomotive tender be equipped with a clearly 
identified emergency brake valve. Grand Canyon Railway, commenting on 
subsection (a)(2)'s requirement that the steam locomotive air 
compressor or compressors be in condition to provide ``an ample supply 
of air for the locomotive service intended,'' urged that the rule be 
rewritten to allow a steam locomotive to continue to operate as long as 
it is able to provide a safe level of air for the service the train is 
being operated in.
    The task force took exception to Grand Canyon Railway's comments. 
After due consideration, the task force's recommendation to FRA was 
that the agency allow any steam locomotive equipped with 2 or more air 
compressors that experiences a compressor failure while in service to 
complete that day's service, provided that the remaining air 
compressors on that locomotive are able to supply a safe level of air 
for the train's operation. However, the task force was adamant that, as 
per the requirements of the daily inspection, no steam locomotive be 
allowed to start a service day unless/until all of the locomotive's air 
compressors are properly operating.
    FRA believes that no steam locomotive should be allowed to begin 
service unless all of its air compressors are properly operating. The 
agency recognizes that locomotives do experience equipment failures 
while operating away from service facilities and, in such instances, 
will allow a steam locomotive suffering a compressor failure to finish 
its service for that day provided that a safe level of air for the 
service being performed is continuously maintained.

Section 230.71  Orifice Testing of Compressors

    Section 230.71(b) of the NPRM referenced a published table which 
lists the compressors commonly used on steam locomotives. The 
compressor size of one of Westinghouse compressors is listed in the 
table as ``150 HP 8\1/2\ CC'' and another as ``120 LP 8\1/2\ CC''. 
Tennessee Valley Railroad commented that these compressors should be 
listed as ``150 cfm'' and ``120 cfm'' respectively. In the discussion 
of Tennessee Valley's comments, it was observed that at one time 
Westinghouse had used the terms ``HP'' and ``LP'' in rating its 
compressors'' output.
    The task force, agreeing in principle with Tennessee Valley 
Railroad, recommended that, for the sake of consistency and ease of 
compliance, the table rate all compressors in terms of cfm.
    In the interests of consistency and ease of enforcement, FRA is 
changing the terminology for the aforementioned steam locomotive 
compressors to ``150 cfm'' and ``120 cfm'' respectively.

Section 230.72  Testing Main Reservoirs

    This section establishes (a) how and when main reservoirs must be 
hammer and hydrostatically tested; (b) how and when main reservoirs may 
be drilled with telltale holes; (c) testing procedures for welded main 
reservoirs without longitudinal lap seams; and (d) testing procedures 
for welded or riveted main reservoirs with longitudinal lap seams. 
Tennessee Valley Railroad requested clarification on testing methods 
for welded main reservoirs, commented that the testing

[[Page 62846]]

requirements should be clarified, stated its belief that the rule 
should adopt the language of the diesel rule and that nondestructive 
testing of welded main reservoirs is unnecessary. The NBBPVI commented 
that the formula provided in subsection (c) for wall thickness values 
was missing a parens at the end.
    The task force agreed that the language of the part of Sec. 230.72 
dealing with drilling of main reservoirs (part b) needs to be 
clarified. Since the intent of this part is to restrict drilling of 
main reservoirs to welded reservoirs built to a safety factor of 5, the 
task force recommended that the first word of Sec. 230.72(b), ``every'' 
should be replaced with the term ``only,'' thereby making clear that 
drilling is only allowed on main reservoirs meeting the specified 
criteria. There was also unanimous agreement that--given the potential 
for serious injury and death resulting from a main reservoir failure--
there is a need for non-destructive testing of main reservoirs in order 
to determine when wall thicknesses become dangerously thin. The task 
force agreed with NBBPVI that the formula in section (c) for 
determining wall thickness is incorrect, recommending that another 
parenthesis be inserted to the right of the one following .6P, 
resulting in the correct formula of t=[PR/[S-.6P]].
    After review of the comments and the task force recommendations, 
FRA is making a small but significant change in the language of part 
(b): striking the first word ``every'' and replacing it with the 
restrictive term ``only.'' The agency feels that this change will 
alleviate any confusion over when drilling of main reservoirs is 
allowed. FRA remains convinced that non-destructive testing of main 
reservoirs must be done on an annual basis in order to minimize the 
risk of a structural failure of a main reservoir under pressure.

Section 230.74  Time of Cleaning

    Section 230.74 of the NPRM provides that all valves, related dirt 
collectors, and related filters shall be cleaned and tested as per 
accepted brake equipment manufacturer specifications or as often as 
necessary to maintain in a safe and suitable condition for service, 
with cleaning and testing required after 368 service days or at the 
time of the second annual inspection, whichever occurs first. Tennessee 
Valley Railroad commented that the wash dates are inconsistent, 
recommended that the rule allow owners and/or operators of steam 
locomotives equipped with diesel type air systems to adopt the washing 
and testing schedule of similarly equipped diesel locomotives.
    The task force was in agreement that the cleaning and testing 
requirements should remain as written in the NPRM. It was observed that 
steam locomotives operate in a much ``dirtier'' environment than 
diesel-electric and electric locomotives. Several task force members 
pointed out that steam locomotives are continuously exposed to water, 
steam, smoke, ash, and coal dust; all of which have the potential of 
getting inside and ``fouling'' the airbrake system.
    FRA remains firmly convinced that, because of the environmental 
conditions in which steam locomotives operate, the air brake system on 
these locomotives must be cleaned and tested no less frequently than 
after 368 service days accrue or during every second annual inspection, 
whichever comes first.

Section 230.75  Stenciling Dates of Testing and Cleaning

    Section 230.75 requires that the date of testing and cleaning and 
the initials of the shop or station where the work was done be legibly 
stenciled on the tested parts or displayed under transparent cover in 
the steam locomotive cab. Grand Canyon Railway commented that the shop 
and/or station where the testing and cleaning was performed should be 
spelled out.
    The task force agreed that this section of the rule should remain 
as written. Several task force members noted that this section merely 
sets the minimum stenciling requirement and owners and/or operators are 
free to stencil additional information if so desired.
    FRA is leaving this section unchanged in the final rule. The agency 
will allow steam locomotive owners and/or operators to provide 
(stencil) additional, more detailed information provided the basic 
requirements of the final rule are met.

Section 230.82  Fire Doors and Mechanical Stokers

    Section 230.82 establishes the requirements for steam locomotive 
fire doors. The NBBPVI commented that the words ``and mechanical 
Stokers'' should be deleted from the section title since there is no 
mention of fire doors in this section.
    The task force was in agreement that the words ``and mechanical 
stokers'' are excess verbiage and should be deleted as their inclusion 
could mislead readers into thinking that section of the rule was 
incomplete as published.
    FRA agrees that the words ``and mechanical stokers'' are 
unnecessary and even possibly confusing and is, therefore, striking 
them from the heading for Sec. 230.82.

Section 230.86  Required Illumination

    Under Sec. 230.86(a), steam locomotives used between sunset and 
sunrise are required to be equipped with an operating headlight of a 
specified brightness; (b) which may be dimmed when necessary; and (c) 
which the lead steam locomotive is required to display when 2 or more 
steam locomotives are used in the same train. Grand Canyon Railway 
commented that this section should follow the language of the diesel 
regulation (49 CFR 229.125(a)--(c)), thereby clarifying the 
requirements and providing for the dimming and extinguishing of the 
lead steam locomotive headlight when a non-steam locomotive is on the 
point (actually in the lead).
    The task force agreed that Sec. 230.86(c), as written, is subject 
to misinterpretation and could be read as requiring the lead steam 
locomotive have its headlight on at all times between sunset and 
sunrise regardless of whether the lead steam locomotive was actually 
the lead locomotive on the train. The task force, therefore, 
recommended that the word ``steam'' be struck from Sec. 230.86(c) of 
the final rule.
    FRA acknowledges that Sec. 230.86(c), as written in the NPRM, was 
subject to misinterpretation and is amending the language of this 
section in the final rule by striking the word ``steam.'' The agency's 
primary objective in this section is ensuring that whenever a 
locomotive is used in the lead position, it is displaying a headlight.

Section 230.88  Throttles

    This section provides that throttle must be safe and suitable for 
service and equipped with an effective means for holding the throttle 
lever in any desired position. A number of comments were received on 
the issue of throttle locking devices and on the need to include in the 
rule a ban on tampering with safety devices. Diversified Rail Services, 
Ohio Central Railroad System, St. Louis Steam Train Association, and 
Tennessee Valley Railroad each submitted comments urging FRA to require 
throttle locking devices on steam locomotives. Diversified Rail 
Services and Tennessee Valley Railroad also urged the inclusion of 
language expressly forbidding the removal of or failure to properly 
maintain safety devices.
    The task force, while recognizing the concerns raised in the 
comments, was in agreement that there is no need to add a specific 
requirement for throttle locking devices to the rule. In the discussion 
of this issue, several task force members observed that the requirement 
in this section that

[[Page 62847]]

``efficient means [be] provided to hold throttle levers in any desired 
position'' may be read as requiring the use of throttle-locking devices 
to lock throttle levers in the off position when that is the desired 
position. The task force also felt that the addition of a specific 
provision prohibiting tampering with safety devices was unnecessary in 
light of Sec. 230.4(a)'s general prohibition on the use of steam 
locomotives or tenders that are not in proper condition and safe to 
operate.
    FRA believes the requirement under this section that throttles be 
maintained in safe and suitable condition for service with efficient 
means to hold the throttle lever in any desired position imposes a duty 
on steam locomotive owners and/or operators to include a throttle 
locking device on the steam locomotive if a locked throttle is a 
desired position. FRA further believes that the general requirement 
that steam locomotives be maintained in the proper condition and safe 
to operate includes a prohibition on tampering with safety devices 
since an inoperative or altered safety device is by definition not in 
the proper condition.

Section 230.90  Draw Gear Between Steam Locomotive and Tender

    This section establishes (a) the maintenance and testing criteria 
for the draw gear; (b) the requirements for safety bars and/or safety 
chains; (c) the minimum length of safety chains and/or safety bars; (d) 
the permissible limits for lost motion between steam locomotives and 
tenders; and (e) the conditions under which spring buffers may be used 
between steam locomotives and tenders. Ohio Central Railroad requested 
clarification on the intent of subsection (a); specifically questioning 
whether visual inspection is considered a form of nondestructive 
examination (NDE). Tennessee Valley Railroad also requested 
clarification on the language and intent of the visual testing 
requirement and the additional testing requirement.
    The task force considered the comments submitted, but, in the end, 
decided to recommend that this section remain as published in the NPRM. 
The task force members felt that this section clearly explains that a 
visual inspection of the draft gear between the steam locomotive and 
its tender must be performed at every annual inspection and, if the 
visual inspection fails to uncover any defects, an additional 
inspection using another form of NDE testing methods will be performed 
on the gear.
    FRA believes that steam locomotive owners and/or operators should 
be allowed to choose an appropriate method of NDE for the testing of 
the locomotive pins and drawbar. FRA also believes that, if a visual 
inspection of the pins and drawbar is performed and fails to detect any 
defects, an additional examination of the pins and drawbar must be 
performed utilizing another appropriate method of NDE.

Section 230.96  Main, Side, and Valve Motion Rods

    Section 230.96 sets forth (a) when main, side, or valve rods must 
be removed from service; (b) how and when repairs of main, side, or 
valve rods may be made; (c) the criteria for bearings and bushings; (d) 
how much rod side motion is acceptable; (e) the requirements for oil 
and grease cups; (f) limits on main rod bearing wear; and (g) wear 
limits on side rod bearings. Grand Canyon Railway and Tennessee Valley 
Railroad submitted comments in which they expressed disagreement with 
the requirement in subsection (b) that steam locomotive owners and/or 
operators submit a written request to FRA for approval prior to doing 
any welding of defective main rods, side rods, and valve gear 
components. Grand Canyon Railway, concerned that steam locomotive 
owners and/or operators would likely incur long delays waiting for 
agency approval during which the owners and/or operators would not be 
able to use their steam locomotives, urged instead that the owners and/
or operators be permitted to perform welding on the rods (as per 
accepted national standards) and then submit detailed notification to 
FRA. The task force quickly reached consensus on this issue, 
emphatically agreeing that the reporting requirement should remain as 
written in the NPRM. The task force members agreed that, because rod 
welding is a relatively new procedure and can involve welding on a 
number of different types of metals, there is need for uniform 
oversight and prior approval to minimize the possibility of these 
repairs being done improperly. It was noted that an improperly repaired 
rod could break and fly up into the locomotive, resulting in the 
serious injury or death of crew members, passengers, and bystanders as 
well as substantial damage to the steam locomotive, and the possible 
derailment of the train.
    FRA agrees completely with the task forces observations and 
recommendations. Given the potentially disastrous consequences if an 
improperly repaired side and/or valve rod were to break while the steam 
locomotive was operating in service, the agency believes that it is 
mandatory that it have the opportunity to review and approve or deny 
requests to perform such repairs beforehand.

Section 230.106  Steam Locomotive Frame

    Section 230.106(a) establishes the cleaning, inspection, and 
maintenance requirements for steam locomotive frames, decks, plates, 
tailpieces, pedestals, and braces--requiring cleaning and thorough 
inspection of these parts whenever the steam locomotive is shopped for 
``heavy repairs.'' Grand Canyon Railway took exception to this section 
as written, commenting that if the cleaning and inspection requirement 
is tied to the performance of ``heavy repairs'' then that term should 
be defined.
    The task force agreed that the term ``heavy repairs'' is not 
essential since it is only used once in the proposed rule. The task 
force quickly reached consensus that the term ``heavy repairs'' should 
be stricken from the rule. It was decided to recommend that 
Sec. 230.106(a) be changed to require that frames, decks plates be 
cleaned ``as often as necessary to maintain in a safe and suitable 
condition for service, with cleaning intervals not to exceed every 1472 
service days.''
    FRA believes the term ``heavy repairs'' is very subjective and 
would be difficult to define clearly and concisely. Therefore, the 
agency has decided to accept the task force's recommendations and is 
changing this section by striking the words ``each time the steam 
locomotive is in shop for heavy repairs'' and replacing them with the 
words ``as often as necessary to maintain in a safe and suitable 
condition for service, with cleaning intervals not to exceed every 1472 
service days.''

Section 230.109  Tender Trucks

    Subsection (d) establishes a requirement that all tenders be 
equipped with devices or securing arrangements to prevent the 
separation of the tender body and trucks in the event of a derailment. 
This section drew comments from Ohio Central Railroad System and the 
Tennessee Valley Railroad. Ohio Central Railroad commented that the 
requirement is vague and does not explain how such a device is to be 
setup and what the installation standard will be for tenders not 
originally equipped with such devices. Ohio Central also requested 
clarification on whether steam locomotive tenders that were designed 
and built without such securing devices would be ``grandfathered'' in 
under the rule and as to whether auxiliary water and/or fuel cars are 
considered to be tenders. Tennessee Valley Railroad

[[Page 62848]]

requested clarification as to what is a ``securing device'' and stated 
its belief that this section is not needed and will place a major 
financial burden on those locomotive owners and/or operators whose 
tenders are not so equipped.
    The task force discussed this issue at some length and finally 
decided to recommend that this section be amended to adopt the 
requirements of the 1978 revisions to part 230. Under the 1978 
revisions, when tenders are equipped with securing arrangements or 
devices, those arrangements or devices must be maintained in safe and 
suitable condition for service. The effect of the recommended change 
would be to simply require that such devices must be properly 
maintained when used. The task force members agreed to recommend that 
FRA consider only auxiliary water and/or fuel cars that are semi-
permanently or permanently coupled to the steam locomotive and tender 
as tenders.
    FRA agrees with and is adopting the recommendations of the task 
force. Section 230.109(d) will be amended by changing the language in 
the NPRM to read that ``When a tender is equipped with a device or 
securing arrangement to prevent the truck and tender body from 
separating in the event of a derailment, that device or securing 
arrangement shall be maintained in a safe and suitable condition for 
service. FRA is making this change in the final rule because of its 
concern that requiring the installation of truck securing devices/
arrangements on tenders that were built without such devices would 
impose substantial financial costs on the locomotive owners and/or 
operators while conferring minimal additional safety benefits in 
return.

Section 230.115  Feed Water Tanks

    This section of the rule sets the requirements for steam locomotive 
feed water tanks. Subsection (a) includes a requirement that feed water 
tanks be equipped with measuring devices that allow the amount of water 
in the tank to be measured from the locomotive cab or tender deck. 
Tennessee Valley Railroad commented that 3 truck Shay locomotives 
should be specifically excluded from this section or, in the 
alternative, a provision for the issuance of waivers from this 
requirement should be included in this section.
    The task force weighed Tennessee Valley's comments but decided to 
recommend against making the suggested changes. The task force members 
believed that compliance with this section will not be unduly 
burdensome and the safety benefits of being able to continuously 
monitor the amount of water in the feed water tank greatly outweigh any 
financial burden imposed on locomotive owners and/or operators.

Inspection Requirements

    Appendix A to part 230 lists (for guidance purposes only) the 
inspection requirements for daily, 31 service day, annual, and 5 year 
inspections. Listed under item 18 of the daily inspection requirements 
is a duty to inspect the classification lamps. The Minnesota 
Transportation Museum, Inc., took exception to this requirement, 
commenting that the inspection requirement for class lights should be 
deleted as such lights no longer have any function.
    The task force disagreed with Minnesota Transportation Museum's 
comments. One task force member observed that his steam locomotive 
operation utilizes class lamps whenever extra trains are run. The task 
force decided to recommend that FRA retain the requirement that class 
lamps be inspected on a daily basis because, although unlikely, the 
need to illuminate these lamps could arise at any time.
    FRA is retaining the requirement that classification lamps be 
inspected in the final rule. The agency believes this requirement is 
justified because whenever a steam locomotive is used on a steam 
operation that runs extras, the need to use the class lamps may arise.

49 CFR Part 209

Section-by-Section Analysis
    The following section-by-section analysis discusses in more detail 
the changes and amendments made to Appendix A to part 209.
    In the NPRM, FRA proposed to include as an appendix to part 230 a 
discussion of the agency's exercise of jurisdiction over tourist 
railroads. FRA has concluded that it is more logical to include this 
discussion in Appendix A to part 209, which already contains an agency 
statement of policy about its safety jurisdiction. Therefore, rather 
than including this jurisdictional discussion as an appendix to part 
230, FRA is amending appendix A to part 209. Because this discussion 
will be inserted into an existing policy statement that explains the 
basic principles of FRA jurisdiction, it does not contain the 
discussion of those principles that was originally included when 
proposed as an appendix to part 230. FRA has also changed the 
discussion in ways that are intended to make it more clear.
    This jurisdictional statement summarizes the policy FRA has 
implemented toward tourist operations for many years. FRA has explained 
that policy in a report to Congress (``Federal Railroad Administration 
Regulatory Actions Affecting Tourist Railroads'') in June1996, 
Congressional testimony, and in many letters to individual tourist 
railroads and their associations over the last several years. Several 
rules have contained provisions specifically concerning FRA's exercise 
of jurisdiction over tourist operations (e.g., 49 CFR 234.3(c)). 
However, until now, FRA has not published its policy in the CFR for 
easy reference.

49 CFR Part 230

Section-by-Section Analysis
    The following section-by-section analysis discusses in more detail 
the changes and amendments made to the 1978 version of part 230. As an 
aid to readers, FRA has denominated as ``new'' sections of the final 
rule which lack a present counterpart.
Subpart A--General
    In this subpart, FRA has added a series of provisions consistent 
with to those found in its other 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 clearly defines the scope of part 230; explaining that 
these standards are intended to establish minimum standards for 
inspection and maintenance of steam locomotives used on railroads to 
which this part applies.

Section 230.2  Applicability (New)

    As described in the ``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. The task force's 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 of part 209 for 
a current statement of the policy on FRA's exercise of jurisdiction.

[[Page 62849]]

    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, the changes made do not conflict with the task 
force's recommendation that the rule clearly place primary 
responsibility for compliance with the rules on the owner and/or 
operator of the locomotive. By design, the applicability section 
explains the type of rail operations to which the rule will apply, not 
upon whom responsibility for compliance will lie. 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 less than the entire universe 
of railroads, using the applicability section to clarify which 
operations it intends to be covered by the rule. Locomotive owners and/
or operators and other parties seeking guidance on whether they must 
comply with this part should refer to Sec. 230.8 Responsibility for 
Compliance for guidance. That section specifically explains to whom the 
rule applies.
    Notwithstanding their elimination from the applicability section, 
wherever appropriate, the locomotive owner(s) and/or operator(s) are 
specifically identified in 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 are not referred to by name in the applicability provision 
does not mean that they may not be held primarily responsible for 
compliance. Section 230.2 should be viewed as describing the extent of 
the agency's exercise of its statutory jurisdiction in the area of 
steam locomotive safety, with Sec. 230.8 providing the practical 
compliance guidance that the task force recommended be included in the 
applicability section. Accordingly, Sec. 230.2 explains that these 
standards apply to all railroads that operate steam locomotives, with 
four categorical exceptions (three of which are considered ``standard'' 
exceptions). First, this section does not apply to railroads of less 
than 24'' gage. This exception is not standard but is consistent with 
the agency's historical approach to exercising its safety jurisdiction. 
Railroads operating on less than 24'' gage track have never been 
considered railroads by the Federal railroad safety laws; generally 
being considered miniature or imitation railroads. In the context of 
this rule, which clearly applies to certain operations of less than 
standard gage, it is important to clarify that the smallest gage 
railroads are not included. Second, this section does 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 does 
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 excludes from its 
reach railroads that operate passenger trains only on track inside an 
insular installation--operations limited to separate enclaves in such a 
way that the safety of those not entering the enclaves is not affected 
by the operations. Insularity is destroyed, however, and the rule 
applies where any of the following exists on its line: (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., 
where operations are 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, the agency believes 
that the regulated industry may not be accustomed to seeing this term 
in the context of tourist railroads. It is the agency's view that an 
``installation'' is simply a separate enclave off the general 
system.\1\
---------------------------------------------------------------------------

    \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 establishes a staggered implementation scheme. This 
scheme is designed to provide flexibility to those steam locomotive 
owners and operators who otherwise might be adversely affected by the 
magnitude of changes being implemented. This implementation language 
was strenuously debated by the task force members. The task force's 
greatest concern was that steam locomotive owners and/or operators 
would be required to conduct an inspection equivalent to that required 
by this rule's Sec. 230.17 sooner than they would be required to do so 
under Sec. 230.10 of the 1978 standards. The task force was also 
concerned that steam locomotive owners and/or operators not be granted 
a ``windfall'' and allowed so much time under the new standards to 
perform required inspections that safety could be compromised. The task 
force's primary concern was insuring that the new inspection 
requirements would be applied retroactively to locomotives that had 
complied with Secs. 230.10 and 230.11 of the 1978 standards within a 
certain period of time prior to the effective date of the rule. The 
task force had difficulty in determining what was an appropriate period 
of time prior to the rule's effective date in which to allow 
retroactive application of the new inspection standards. Under the 
compromise finally worked out by the task force and adopted by FRA, 
performance of the 1472 service day inspection, which must be conducted 
at the time a Sec. 230.10 inspection would have been required under the 
1978 standards, triggers the compliance requirement. Thus, with the 
exception of certain inspection and maintenance requirements that 
become effective one year from the effective date of the rule, steam 
locomotive owners and/or operators must begin to comply with part 230 
when the 1472 service day inspection becomes due under this rule. Up 
until that time, however, compliance with the regulations in effect 
prior to the effective date of this rule will be considered to be full 
compliance with this part. To provide additional flexibility, however, 
the agency will continue to consider flue removal extension requests 
made under the provisions of Sec. 230.10 of the 1978 standards for two 
years from the effective date of the rule. Thus, for example, a 
locomotive that received an inspection under Sec. 230.10 of the 1978 
standards up to five years before the date of this rule would have, 
with this flue extension provision, a minimum of two years from the 
effective date of the rule to conduct the 1472 service day inspection 
required by these standards. If the locomotive very recently received 
the inspection required by Sec. 230.10 of the 1978 standards, the 
locomotive

[[Page 62850]]

owner and/or operator will have the entire period allowed under that 
section before having to conduct the required 1472 service day 
inspection.
    In addition, under this section, locomotive owners and/or operators 
may 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 must have either 
fully or partially satisfied the 1472 service day inspection 
requirements within three years prior to September 25, 1998 (the date 
of publication of the NPRM). If the locomotive is only in partial 
compliance with the requirements of this section, it will have to be in 
full compliance by the time the petition is actually filed. The 
petition must be filed within one year from the effective date of the 
rule and must include all the documentation necessary to establish that 
the locomotive is in compliance with the requirements of the 1472 
service day inspection standards. The agency must respond to the 
petition within one year of filing. Thus, the time involved in filing a 
petition for special consideration and receiving FRA's response to that 
petition, will 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. If FRA does not respond in a timely fashion, 
the locomotive owner and/or operator awaiting the response will be 
granted an additional extension of up to 6 months or until the time the 
agency's decision is received, whichever occurs first.
    The distinction between ``full'' and ``partial'' satisfaction of 
the 1472 service day inspection requirements is made in reference to 
the two-step procedure that must be complied with under subsection (a) 
of Sec. 230.17. This consists of the general inspection requirements 
and the requirement that the FRA Form No. 4 be updated and verified at 
that time. A locomotive owner and/or operator who has satisfied both of 
these requirements within three years prior to the effective date of 
this rule will be able to file the petition the day the rule becomes 
effective. A locomotive owner and/or operator that has only satisfied 
one requirement, however, has only ``partially'' satisfied the 
requirements of Sec. 230.17 and will have until the term of the 
petition process, one year, to satisfy the second requirement. For 
example, a locomotive owner and/or operator who inspected their 
locomotive under Sec. 230.10 of the 1978 standards within three years 
prior to the effective date of this rule, but did not update and verify 
the FRA Form No. 4 at that time, will have a full year to do so before 
submitting the application. Likewise, if the FRA Form No. 4 has been 
updated and verified within three years prior to the effective date of 
the rule but an inspection satisfying Sec. 230.10 of the 1978 standards 
has not been conducted, the locomotive owner and/or operator will have 
one year in which to conduct the qualifying inspection before 
submitting an application for special consideration.
    Section 230.3 also contains provisions addressing the requirements 
related to the filing of the petition. This section requires petitions 
for special consideration to be accompanied by all the locomotive 
records that show how many service days the locomotive has accumulated 
since the last inspection conducted under the 1978 standards, and the 
number of service days remaining before a 1472 service day inspection 
must be conducted under the ``new'' Sec. 230.17. The task force was 
concerned about proving the submission and response to the petition, so 
they recommended, and FRA agreed to stress that these petitions should 
be sent by some form of registered mail to ensure a record of delivery. 
For its part, the agency will respond to all such petitions by 
registered mail within one year of receipt. In addition, this section 
contains provisions addressing the effect of the petition's disposition 
on the implementation requirements. If the agency grants the petition, 
the requirements will become effective upon receipt of the response 
letter. Likewise, if the agency denies the petition, the rule will 
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 addresses the effect of agency silence within the one year 
response time period. Under this rule, the petitioner must notify the 
agency if a response to the petition for special consideration has not 
been received within the prescribed one year period. Operators at the 
end of their inspection cycle, who have not received a response from 
the agency within the one year provided, will be allowed to operate 
under the 1978 standards for an additional 6 months, or until they 
receive FRA's decision, whichever occurs first.

Section 230.4  Penalties (New)

    This section 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 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 230.5  Preemptive Effect (New)

    This part is issued under the authority of 49 U.S.C. 20106 and 49 
U.S.C. 20701-20703. FRA believes that the broad field preemption of the 
LBIA (49 U.S.C. 20701 et seq.), while the appropriate standard in the 
area of locomotive safety, does not preempt state regulation of those 
steam locomotive operations over which FRA has never exercised 
jurisdiction, such as insular tourist railroads and amusement rides.

Section 230.6  Waivers (New)

    All waivers previously granted under part 230 that are not filed 
for reassessment with the FRA's Office of Safety prior to the effective 
date of this rule will lapse on that date. However, under the terms of 
this provision, the agency will review those waivers that are timely 
filed and notify applicants whether the waiver has been continued. The 
one exception to this is where the waiver granted was for a ``flue 
extension.'' Those waivers automatically expire one year from the date 
granted.
    The reason FRA has eliminated the granting of waivers under part 
230 is to correct the misapplication of Sec. 230.158 of the 1978 
standards for inspection and maintenance of steam locomotive boilers 
and flues. Under the 1978 standards, railroads operating fewer than 5 
locomotives were allowed to apply for waivers from the requirements of 
Subpart B--Steam Locomotives and Tenders. This section was intended to 
apply only to those regulations in Subpart B; in practice, it was 
extended to apply to Subpart A as well. Consequently, operators were 
often granted waivers from compliance with the provisions of Subpart A.
    In addition, the agency is using this section to make clear that 
its waiver process, described in 49 CFR part 211, has now been 
centralized. As such, this section cites to part 211 of this chapter 
for the appropriate standards when filing petitions for waiver from the 
requirements of part 230.

[[Page 62851]]

Section 230.7  Responsibility for Compliance (New)

    This section restates, in regulatory language, the provisions of 
Chapter 207 of Title 49 of the United States Code: commonly referred to 
as the Locomotive Inspection Act. This section also designates the 
party or parties responsible for ensuring that the requirements of part 
230 are satisfied. See the discussion in section VI(A) titled 
``Responsibility for Compliance,'' above.

Section 230.8  Definitions (New)

    The following is an explanation of each definition that FRA is 
adding or amending in this final rule.
    Alteration: This definition incorporates the NBIC definition to 
harmonize concepts within the industry.
    ANSI: This definition is non-substantive and is included for 
clarification purposes only.
    API: This definition is non-substantive and is included for 
clarification purposes only.
    ASME: This definition is non-substantive and is included for 
clarification purposes only.
    Boiler Surfaces: This definition was added to make clear what areas 
of the boiler are referenced throughout the rule.
    Break: This definition incorporates the distinction between 
``break'' and ``crack'' delineated in part 229.
    Code of Original Construction: This definition is non-substantive 
and is included for clarification purposes only.
    Crack: This definition incorporates the distinction between 
``break'' and ``crack'' delineated in part 229.
    Dead-in-tow: This definition is intended to provide guidance as to 
when a non-complying steam locomotive may be moved.
    Lite Locomotive: This definition is intended to provide guidance as 
to when a non-complying steam locomotive may be moved.
    Locomotive Operator: As discussed in the liability section above, 
in recognition of the fact that many locomotives are owned and operated 
by entities other than railroad companies, FRA is making its liability 
standards more specific. This definition distinguishes between these 
relevant entities in order to make clear that a locomotive may be owned 
and operated by separate entities.
    Locomotive Owner: As discussed in the liability section above, in 
recognition of the fact that many locomotives are owned and operated by 
entities other than railroad companies, FRA is making its liability 
standards more specific. This definition distinguishes between these 
relevant entities in order to make clear that a locomotive may be owned 
and operated by separate entities.
    MAWP: This definition is non-substantive and is included for 
clarification purposes only.
    NBIC: This definition is non-substantive and is included for 
clarification purposes only.
    NDE: This definition is non-substantive and is included for 
clarification purposes only.
    NPS: This definition is non-substantive and is included for 
clarification purposes only.
    Railroad: This definition incorporates the statutory definition of 
railroad in 49 U.S.C. Sec. 20102.
    Renewal: This definition incorporates industry concepts and is not 
intended to have substantive effect.
    Repair: This definition incorporates the NBIC definition to 
harmonize concepts within the industry.
    Serious Injury: This 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 revising the inspection time periods throughout this part, 
basing them on a new ``service day'' concept. Service day is defined as 
each and every calendar day that a steam locomotive boiler has steam 
pressure above atmospheric pressure with fire in the firebox. Each such 
day will count as a ``service day'' for the locomotive.
    Stayed Portion of the Boiler: This 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.
    Steam Locomotive: This definition modifies the 1978 standard's 
definition of ``locomotive'' to make it specific to a ``steam 
locomotive.'' It has been rewritten for grammatical clarity.
    Unstayed Portion of the Boiler: This 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 is a technical definition; included for the purpose 
of clarifying required minimum thicknesses and condemning limits for 
the boiler.

Section 230.10  Information Collection (New)

    This section is included for the convenience of the reader. 
Imposing no new requirements upon regulated entities, it 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 adopts the requirement in part 229 that non-complying 
locomotives be repaired before being returned to service. In addition, 
it affixes the responsibility for such repairs and for approving any 
noncomplying conditions that are not repaired on the locomotive owner 
and/or operator.

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

    This section makes part 230 current with part 229 by incorporating 
the concept of movement for the purpose of repair. Under this section, 
locomotive owners and/or operators are allowed to move a noncomplying 
locomotive for the purpose of repair, after the locomotive owner and/or 
operator has determined that the locomotive is safe to be so moved. 
Upon consideration of the comments received, FRA and the task force 
amended this section to provide for the movement of noncomplying steam 
locomotive. The task force felt strongly that this provision was 
necessary to accommodate the operating exigencies which may occur in 
the course of steam locomotive operations.

Section 230.13  Daily Inspection

    This provision adopts, without substantive change, the existing 
regulations governing the daily inspection of steam locomotives.

Section 230.14  31 Service Day Inspection (New)

    This provision, while not substantively changing the inspection 
requirements for steam locomotives, adds a requirement that locomotive 
owners and/or operators notify FRA before performing a 31 service day 
inspection and revises the time interval within which certain 
inspections must be performed.

[[Page 62852]]

Section 230.15  92 Service Day Inspection (New)

    This provision imposes no new inspection requirements for steam 
locomotives but revises the time frame within which certain inspections 
must be performed.

Section 230.16  Annual Inspection (New)

    This provision makes no substantive change in the annual inspection 
of steam locomotive requirements, except to add a requirement that 
locomotive owners and/or operators notify FRA before performing annual 
locomotive inspections.

Section 230.17  1,472 Service Day Inspection (New)

    This provision revises the time frame within which certain 
inspections must be performed and imposes a requirement that steam 
locomotive owners and/or operators complete, update, and verify the 
steam locomotive's FRA Form No. 4 at the time of the locomotive's 1472 
service day inspection and file the FRA Form No. 4 with FRA within 30 
days of completion of the inspection. See the analysis in section 
IX(B)(5), above.
Recordkeeping Requirements

Section 230.18  Service Days (New)

    This provision imposes a new recordkeeping requirement on the 
owners and/or operators of steam locomotives. Under this section, 
locomotive owners and/or operators are required to keep a current 
service day 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 inspection. Locomotive owners and/or 
operators are also required to file a report with FRA each January 31, 
detailing the number of service days each steam locomotive accrued 
during the preceding calendar year. Failure to file this report will 
result in the locomotive being considered ``retired.'' In order to 
return a ``retired'' locomotive to service, the locomotive owner and/or 
operator will have to first perform a 1472 service day inspection. The 
agency realizes that exigencies do arise and, as such, does not intend 
to be totally inflexible in the enforcement of this recordkeeping 
requirement. Should a service day report be filed a day or two late, 
the agency will give the operator the benefit of the doubt and accept 
the report as though it had been timely filed.
    While these changes impose some additional recordkeeping duties on 
regulated entities, the agency believes that the additional burdens so 
imposed are substantially outweighed by the benefits the regulated 
community will realize from the new inspection time periods.

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

    There are no new recordkeeping requirements imposed upon locomotive 
owners and/or operators under this section. The FRA Form No. 1, 31 
service day and 92 service day inspection report required under this 
rule, is equivalent to the monthly inspection report formerly required 
under Secs. 230.51 and 230.160 of the 1978 standards. The required FRA 
Form No. 3, annual inspection report, is equivalent to the annual 
inspection report formerly required under Secs. 230.52 and 230.161 of 
the 1978 standards.

Section 230.20  Alteration and Repair Report for Steam Locomotive 
Boilers

    This section imposes recordkeeping requirements upon locomotive 
owners and/or operators. FRA Form No. 19 is the alteration report 
regulated entities were required to file under Sec. 230.54 of the 1978 
standards. Under this rule, the locomotive owner and/or operator is 
required to file a FRA Form No.19 whenever alterations that affect the 
information on the FRA Form No. 4 are made and/or whenever welded or 
riveted repairs are made to the unstayed portion of the locomotive 
boiler. Locomotive owners and/or operators also must make out and 
maintain (but not file with FRA) FRA Form No. 19s whenever welded or 
riveted repairs are made to stayed portions of the locomotive boiler.

Section 230.21  Steam Locomotive Number Change (New)

    This section incorporates requirements originally 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

    This section, which retains the requirements of Sec. 230.162 of the 
1978 standards, details when a railroad must report an accident 
involving a steam locomotive boiler and/or appurtenance, how and to 
whom the report must be made, and what information must be conveyed in 
the report.
Subpart B--Boilers and Appurtenances

Section 230.23  Responsibility for General Construction and Safe 
Working Pressure

    This section makes the locomotive owner and operator, both, jointly 
and severally responsible for the general design and construction of 
the locomotive boiler. Section 230.1 of the 1978 standards placed that 
responsibility on the ``railroad company.'' This change, made on 
account of the changes which have occurred in the steam locomotive 
industry since the original steam rules were promulgated, places 
responsibility for the locomotive on the locomotive owner and/or 
operator, the parties in the best position to assume that 
responsibility. Under this rule, responsibility is affixed on the 
locomotive owners and operators regardless of whether they are railroad 
companies.
Allowable Stress

Section 230.24  Maximum Allowable Stress

    This section, while not substantively changing Sec. 230.2 of the 
1978 standards, rephrases some of the wording in order to help clarify 
and eliminate any ambiguities or confusion arising thereunder.

Section 230.25  Maximum Allowable Stress on Stays and Braces

    Other than removing the distinction between locomotives constructed 
before and after 1915, which the task force and FRA both believe is no 
longer relevant, this section is substantially the same as Sec. 230.3 
of the 1978 standards.
Strength of Materials

Section 230.26  Tensile Strength of Shell Plates

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

Section 230.27  Maximum Shearing Strength of Rivets

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

Section 230.28.  Higher Shearing Strength of Rivets

    This section of the final rule adopts, without change, Sec. 230.6 
of the 1978 standards.
Inspection and Repair

Section 230.29  Inspection and Repair

    This section combines the concepts embodied in Secs. 230.7 and 
230.12 of the

[[Page 62853]]

1978 standards. The task force recommended changing the party charged 
with 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. FRA agreed to 
make the recommended changes in this section because few steam 
operations still have chief mechanical officers, and the agency wanted 
to make ``liability' as consistent as possible throughout the rule. 
This section also requires the locomotive owner and/or operator to 
remove a locomotive boiler from service whenever they, or the FRA 
inspector, considers it necessary due to the presence of other defects. 
The task force originally had some concern about FRA inspectors' 
exercise of discretion in this arena. However, it was agreed that the 
agency will act in good faith and do its best to minimize any 
disruption of the operator's service whenever such concerns arise. The 
task force also recommended that FRA allow for non-destructive testing 
in the investigation of any ``safety concerns'' identified.
    This section also makes more specific the repair standard in 
Sec. 230.12 of the 1978 standards, requiring that all defects disclosed 
be repaired in accordance with accepted industry standards. These 
``accepted industry standards'' 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 replaces the ``satisfactory condition'' repair standard of 
the 1978 standard's Sec. 230.12 with the requirement that a locomotive 
boiler may not be returned to service unless it is in good condition 
and ``safe and suitable for service.''
    Finally, this section requires that welded repairs to unstayed 
portions of the boiler made pursuant to Sec. 230.33 be performed in 
accordance with an accepted national standard for boiler repairs.

Section 230.30  Lap-Joint Seam Boilers

    This section clarifies and eliminates ambiguous language in 
Sec. 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. FRA does not intend for this section, which is 
otherwise unchanged from the 1978 standards, to restrict the use of 
modern technology which may allow a ``thorough inspection'' to be 
performed without having to disassemble so much of the locomotive.

Section 230.31  Flues To Be Removed

    This section revises 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 required that flue removal and inspection be done at least 
once every four (4) years. This section allows the locomotive owner 
and/or operator to leave the superheater flues in the boiler and 
perform the inspection using NDE methods to assess their condition, 
provided two conditions are satisfied. These conditions are: (1) that 
the NDE testing shows that the superheater flues are safe and suitable 
for locomotive service; and (2) that the boiler can be entered to be 
cleaned and inspected without their removal. However, under this 
section, the locomotive owner and/or operator will still be required to 
remove the superheater flues if they--or the FRA inspector--believe 
doing so is necessary for some identifiable safety concern.
    This section also deletes the provision in the 1978 standards that 
authorized FRA to grant extensions 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 maximum amount of time a steam locomotive may operate 
without having the flues removed. Under the 1978 standards, operators 
who were required to remove their locomotive flues once each four years 
(which could become five years with the use of ``out of service 
credit'') could receive flue removal extensions of as much as thirteen 
years. Since this section allows the time period between flue removals 
to be stretched out to a maximum of 15 years, the task force felt that 
no further extensions were necessary.
    As discussed above in section IX(E), the task force strongly 
believes 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 as long as it 
could be determined that they were safe and suitable for service 
without removing them, the task force felt it was creating an incentive 
for operators to utilize the latest NDE methods in making that 
determination.

Section 230.32  Time and Method of Inspection

    This section combines the boiler inspection requirements previously 
contained in Secs. 230.9, 230.11, 230.15 and 230.16 of the 1978 
standards, and rewrites them for clarity. The task force felt that the 
various inspection requirements should be consolidated into one section 
and made more explicit.

Section 230.33  Welded Repairs and Alterations (New)

    This section specifies when welding may be done on stayed and 
unstayed portions of the locomotive boiler. Subsection (a) requires 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 requires 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.
    Subsection (b) provides that locomotive owners and/or operators 
must 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) 
require the locomotive owner and/or operator to satisfy the reporting 
requirements file an FRA Form No.19, Report of Welded Repair, as 
discussed in Sec. 230.20.
    Subsection (c) restricts the use of weld build up for wasted areas 
of unstayed surfaces of the boiler. A locomotive owner and/or operator 
desiring to build up by weld wasted areas that exceed: (1) A total of 
100 square inches; or (2) the smaller of either 25 percent of the 
minimum required wall thickness or \1/2\ inch must submit a written 
request for approval to the FRA. This subsection also prohibits the use 
of weld build up for wasted sheets that have been reduced to less than 
60 percent of the minimum thickness required by these rules.
    Subsection (d) prohibits the installation of flush patches of any 
size on unstayed portions of the boiler unless the locomotive owner 
and/or operator has submitted a written request for prior approval to 
the FRA Regional Administrator.
    Finally, subsection (e) allows locomotive owners and/or operators 
to perform welded repairs or alteration on stayed portions of the 
boiler in

[[Page 62854]]

accordance with established railroad practices or an accepted national 
standard for boiler repairs. In recognition of the fact that many 
operations successfully use their own welding procedures on stayed 
portions of the boiler, the task force recommended and FRA has agreed 
to allow locomotive owners and/or operators to use established 
``railroad practices'' as an acceptable standard for welding on stayed 
portions of the boiler.
    As discussed in the preamble, FRA has grave concerns about the 
quality of the welding being done on locomotive boilers. By enacting 
these changes, the agency believes that it has established standards 
that will improve safety while still providing operators with 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 establishes the procedures for performing riveted 
repairs and alterations on both unstayed and stayed portions of the 
locomotive boiler. Under subsection (a), the locomotive owner and/or 
operator is required to receive prior written approval from the FRA 
Regional Administrator before making any riveted alterations to 
unstayed portions of the boiler. Any such riveting must be done in 
accordance with established railroad practices or an accepted national 
standard for boiler repairs. See the analysis for Sec. 230.29, above, 
for a discussion of these repair standards. This subsection also 
requires the locomotive owner and/or operator to satisfy, at this time, 
the reporting requirements listed in Sec. 230.20.
    Subsections (b) and (c) establish guidelines for riveting 
locomotive boilers. Under these guidelines, all riveted repairs to 
stayed and unstayed portions of the boiler must be made in accordance 
with established railroad practices or an accepted national standard 
for boiler repairs.
Pressure Testing of Boilers

Section 230.35  Pressure Testing (New)

    This section sets a minimum temperature requirement for the 
application of hydrostatic pressure to locomotive boilers. The 
temperature of the locomotive boiler must be raised to at least 70 
degrees Fahrenheit anytime it is tested under hydrostatic pressure. 
This change, which incorporates the NBIC temperature standard, brings 
FRA standards in accord with NBIC standards, a change the task force 
recommended and FRA supports.

Section 230.36  Hydrostatic Testing of Boilers

    This section consolidates the 1978 standards for the hydrostatic 
testing of boilers and adds an additional requirement that the boiler 
temperature must be raised to between 70 and 120 degrees Fahrenheit 
every time the boiler is subjected to hydrostatic pressure. This change 
incorporates the NBIC standard for hydrostatic testing into the federal 
regulations for steam locomotive inspection. In its consideration of 
these issues, the task force members were divided over the purpose of 
the hydrostatic test, and the pressure at which such tests should be 
conducted. Many operators believe that the purpose of the hydrostatic 
test is merely to test the boiler for leaks--not to see if the boiler 
is structurally sound at the time of the test. To them, testing the 
boiler at the MAWP, as calculated in the FRA Form No. 4, serves the 
requisite safety function by disclosing leaks without unnecessarily 
stressing (and prematurely ruining) 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 no convincing data had been presented that testing a 
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 has decided not to change the 
pressure testing standard, keeping the required pressure for 
hydrostatic pressure testing at 25 percent above MAWP, as specified on 
the FRA Form No. 4.

Section 230.37  Steam Test Following Repairs or Alterations

    This section adopts Sec. 230.20 of the 1978 standards, rewriting 
parts of it for greater clarity. The one substantive revision changes 
the pressure required for the steam test from ``not less than the 
allowed working pressure'' to ``between 95 and 100 percent of the 
MAWP.'' The task force decided that setting a lower 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 consolidates the 1978 standards' telltale hole 
provisions, Secs. 230.23 and 230.26, and the ``reduced body'' staybolt 
section from the ICC Interpretations in one section. Subsection (a) 
retain Sec. 230.26 of the 1978 standards but deletes, as moot, the 
application date. Subsection (b) is a new provision written to import 
the ICC interpretation for reduced body staybolts to part 230. Finally, 
subsection (c), derived from Sec. 230.23 of the 1978 standards, creates 
a stand alone provision for clarity and to emphasize that telltale 
holes must be kept open at all times, except as required in 
Sec. 230.41.

Section 230.39  Broken Staybolts

    This section amends Sec. 230.25 of the 1978 standards. Subsection 
(a) establishes the maximum number of broken staybolts allowed for each 
locomotive boiler. Under Sec. 230.25 of the 1978 standards, a 
locomotive boiler was required to be taken out of service when it 
developed two (2) broken or plugged staybolts adjacent to one another 
in any part of the firebox or combustion chamber; when three (3) or 
more staybolts were broken or plugged in a circle four (4) feet in 
diameter, or when five (5) or more were broken or plugged in the entire 
boiler. This section changes 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. Although the task force wanted to comport 
these standards with the NBIC, they decided to recommend that FRA allow 
for a second broken staybolt within twenty-four (24) inches in 
consideration of 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 in order to minimize the overload on 
staybolts in the area of the one which has broken, the task force also 
recommended and this section has adopted a requirement that staybolts 
adjacent to those that break be inspected at the time the broken 
staybolt is replaced.
    Subsection (b), requires broken staybolts detected during the 31 
service

[[Page 62855]]

day inspection to be replaced at that time, and broken staybolts 
detected between 31 service day inspections to be replaced no later 
than 30 days from the date of detection. The task force, although 
recognizing that a strict time period was required to ensure an 
adequate measure of safety, wanted to take into account the fact that 
operational realities that might prevent owners and/or operators from 
repairing broken staybolts immediately. This section reflects the task 
force consensus that 30 days is a reasonable period of time within 
which to make the necessary repairs to the boiler and allows owners 
and/or operators to plan when, within a 30-day time period, they want 
to take the locomotive out of service and replace the broken bolts. 
This subsection also sets a requirement, 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 requirement is based on the task 
force's belief that drilled bolts are useful in revealing progressive 
failures before they reach catastrophic proportions.
    Subsection (c) imports 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) prohibits the closing of broken staybolt 
ends by welding, forging or riveting This is in accord with the ICC 
Interpretations stating that telltale holes that are leaking, plugged, 
riveted over, or missing, will be counted as broken staybolts. In this 
section, FRA has imposed a stricter standard for broken staybolts as 
per the task force's recommendation.

Section 230.40  Time and Method of Staybolt Testing

    This section consolidates the requirements for staybolt testing 
formerly found in Secs. 230.21, 230.22, 230.24 of the 1978 standards 
and the ICC Interpretations. Because the 1978 standards did not treat 
rigid staybolts and flexible staybolts without caps differently, this 
section combines these requirements into ``staybolt testing'' general 
requirements. Since the testing requirements for flexible staybolts 
with caps are separate and distinct, the agency is not including them 
in the consolidation of testing requirements.
    Section 230.21 of the 1978 standards required that staybolts be 
tested once a month and immediately after every hydrostatic test. In 
subsection (a), the agency has relaxed this requirement slightly by 
allowing the monthly inspection to be conducted once each thirty-one 
(31) service days. The requirement that staybolts be tested following 
each hydrostatic test is retained, but is more clearly explained. 
Subsection (a)(1) makes allowance for inaccessible staybolts that are 
drilled through their entire length. Under this provision, impediments 
making the staybolts inaccessible (brickwork, grate bearers, etc.) need 
not be removed to hammer test the staybolts. The task force members 
agreed that, since through-drilled staybolts would begin to leak if 
broken, safety would not be sacrificed by granting owners and/or 
operators a measure of flexibility in the testing of such staybolts.
    Subsection (b) spells out the general testing requirements for all 
forms of staybolts. In this subsection, the task force tried to combine 
all the different ``method of testing'' provisions from the 1978 
standards (Secs. 230.21-230.27). The requirement that ``not less than 
95 percent of the MAWP'' must be applied if staybolts are tested while 
the boiler contains water is a new one and reflects the task force's 
consensus view.

Section 230.41  Flexible Staybolts with Caps

    This section rewrites Sec. 230.23 of the 1978 standards for 
enhanced clarity and adds several new requirements.
    Subsection (a) extends the time interval for removing the caps and 
inspecting flexible staybolts from once every two (2) years to every 
5th annual inspection. This change was made in order to provide owners 
and/or operators additional flexibility without compromising safety.
    Subsection (b) has been rewritten for clarity and to eliminate 
superfluous information.
    Subsections (c) and (d) incorporate the provisions of Sec. 230.23 
of the 1978 standards substantially unchanged but edit it for clarity, 
deleting repetitious text and moving some text to more appropriate 
sections. For example, the 1978 requirement that the FRA Form No. 3 be 
kept in the railroad company's office has been relocated to 
Sec. 230.19, the recordkeeping section of this rule.

Section 230.42  Location of Gauges

    This section adopts Sec. 230.28 of the 1978 standards substantively 
unchanged while editing it for purposes of clarity and understanding.

Section 230.43  Gauge Siphon

    This section adopts Sec. 230.29 of the 1978 standards without any 
substantive change but rewrites it to enhance clarity and ease of 
compliance.

Section 230.44  Time of Testing

    This section revises the requirements of Sec. 230.30 of the 1978 
standards in order to address the realities of modern steam locomotive 
operations. Today, it is common practice for steam locomotive owners 
and/or operators to remove gauges from their locomotives to prevent 
them from being stolen or vandalized. Sometimes the removed gauges are 
stored in conditions which may affect their calibration and accuracy. 
Accordingly, this section imposes a requirement that gauges must be 
tested prior to being installed or reapplied. In addition, for purposes 
of consistency with the rest of the rule, this provision extends the 
time for periodic testing of gauges from once ever three months to 
whenever a 92 service day inspection is performed. Finally, as 
recommended by the task force, this section incorporates the 
requirement in Sec. 230.30 of the 1978 standards that gauges be tested 
whenever any irregularity is reported.

Section 230.45  Method of Testing

    This section provides a more complete description of the approved 
method for testing steam gauges than that found in the 1978 standards.

Section 230.46  Badge Plates

    This section retains Sec. 230.32 of the 1978 standards in principle 
but corrects the use of improper terminology by deleting the term 
``boiler head'' and replacing it with the more correct term ``boiler 
backhead.''

Section 230.47  Boiler Number

    This section retains Sec. 230.33 of the 1978 standards in principle 
but rewrites the text for clarity and to comport with the ICC 
Interpretations.
Safety Relief Valves

Section 230.48  Number and Capacity

    With the exception of two changes, this section retains the 
requirements for the number and capacity of locomotive safety relief 
valves found in Sec. 230.34 of the 1978 standards. Subsection (a) 
increases the relieving tolerance from five (5) to six (6) percent 
above the MAWP. The task force recommended and FRA agreed to raise the 
tolerance to six percent to reflect modern testing practices. That 
figure was arrived at by

[[Page 62856]]

adding 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 also makes clear that FRA inspectors have the authority 
to require proof of the relieving capacity for safety relief valves on 
steam locomotives.
    Subsection (b) makes explicit the requirement that additional 
safety valve capacity must 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. However, in so doing, FRA is not expressing a preference that 
accumulation tests be used when determining safety relief valve 
capacity.

Section 230.49  Setting of Safety Relief Valves

    In this section, FRA has made several changes to the requirements 
for setting safety relief valves provided in Sec. 230.35 of the 1978 
standards. First, this section imposes 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 task 
force and FRA, while recognizing that modern safety valves have seals 
which are certified by certain organizations, did not want to 
officially require that the valves be reset by state officials. This 
section creates a competency standard which requires any person 
resetting safety valves to be thoroughly familiar with their 
construction and operation.
    This section also revises the ``opening pressures'' for safety 
relief valves in Sec. 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 rule changes the 1978 provision, 
which required that both valves be set to open at pressures not 
exceeding 6 pounds above MAWP. This change 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. However, this section does retain the 6 psi upper limit in 
Sec. 230.35 of the 1978 standards for any additional safety valves 
utilized.
    This section also revises the procedure for setting safety valves 
in Sec. 230.35 of the 1978 standards. The requirement that the water 
level be ``not above the highest gauge cock'' has been changed 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 the changes to Sec. 230.37 of the 1978 standards made 
in this rule. See the analysis for Sec. 230.51, below.
    Finally, this section adds 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. Requiring this insures that the locomotive 
engineer and/or other crew members are provided with notice of the 
pressure setting of the safety relief valve, thereby allowing for 
easier detection of safety valve failure.

Section 230.50  Time of Testing

    This section adopts the requirements of Sec. 230.36 of the 1978 
standards while increasing the inspection time period from three months 
to ninety-two (92) service days for consistency with rest of the 
inspection schedule.
Water Glasses and Gauge Cocks

Section 230.51  Number and Location

    This section amends the requirements for water level indicating 
devices contained in Sec. 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. The use of gauge cocks in addition to 
water glasses is not prohibited, but gauge cocks are no longer 
mandatory. However, the requirement that any gauge cocks installed on a 
steam locomotive boiler must be properly located and maintained is 
retained. These changes reflect the task force's recommendation that 
water level indicator standards be modernized. The task force and FRA 
believe that water glasses are more reliable than gauge cocks, and 
easier to use since they do not require manual operation. The task 
force also believes that few operators know how to correctly manually 
operate gauge cocks anymore. The task force was also concerned 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 
comports with the NTSB's recommendation following its investigation 
into the boiler explosion involving the Gettysburg Railroad Company, 
that steam locomotive 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.
    FRA and the task force are aware of the costs this change imposes 
upon steam locomotive owners and/or operators. They discussed at length 
the extra cost this requirement would impose upon owners and/or 
operators, concluding that the extra measure of safety measure afforded 
justifies the financial burden imposed. In addition to the enhanced 
safety factor, as one member of the task force pointed out, since gauge 
cocks are no longer being manufactured, their replacement would be 
extremely problematic and very costly if any could even be found. The 
task force was also concerned that locomotive owners and/or operators 
be allowed sufficient time to make any necessary changes to their 
locomotive boilers. Accordingly, this section implements the task 
force's recommendation that implementation of this provision be delayed 
one year to provide all affected parties with sufficient notice and 
sufficient time to add the second water glass.

Section 230.52  Water Glass Valves

    This section adopts Sec. 230.38 of the 1978 standards but rewrites 
it for the sake of clarity and to emphasize the functions the valves 
are designed to fulfill.

Section 230.53  Time of Cleaning

    This section requires water glass valve and gauge cock spindles to 
be cleaned at every 31 service day inspection, and whenever testing 
indicates that the apparatus is malfunctioning. In addition, this 
section revises the time period in which this inspection must be 
performed. It also adds 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 rewrites Sec. 230.40 of the 1978 standards for 
clarity. The section also explains the reasons for requiring that water 
glasses be tested.

Section 230.55  Tubular Type Water and Lubricator Glasses and Shields

    This section revises Sec. 230.41 of the 1978 standards. Under the 
revisions, tubular type water glasses must be renewed at each 92-
service day inspection and water glasses must be located and maintained 
so that the engine crews have an unobstructed view

[[Page 62857]]

of the water in the glass from their proper positions in the locomotive 
cab.
    This section is based on the task force's collective experience 
that water tubes get thin and develop a risk of breaking after 
approximately 90 service days. These water glass placement requirements 
complement, and give effect to the changes adopted in Sec. 230.51 of 
this rule.

Section 230.56  Water Glass Lamps

    This section retains Sec. 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

    Subsection (b) of this section retains Sec. 230.43 of the 1978 
standards, and subsections (a) and (c) are new. Subsection (a) requires 
a steam locomotive to be equipped with at least two means of delivering 
water to the boiler, with--at a minimum--one of the two being a live 
steam injector. Subsection (b) incorporates language from the ICC 
Interpretations which require bracing to ``avoid'' vibration. The task 
force recommended changing ``avoid'' to ``minimize'', believing it to 
be a more realistic standard. Subsection (c) sets a requirement that 
injectors and feedwater pumps be securely braced so as to minimize 
vibration.

Section 230.58  Flue Plugs

    This section strengthens the rules for plugging flues contained in 
Sec. 230.44 of the 1978 standards. When Sec. 230.44 of the 1978 
standards was first promulgated by the former Interstate Commerce 
Commission, 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 
that FRA continue to allow flue plugging provided restrictions are 
placed on the manner in which flues may be plugged in order to minimize 
the risk of flue failures.
    The task force was concerned because one failed flue will often be 
followed by additional flue failures since flues are typically replaced 
all at once, and are therefore exposed to similar stressors. 
Accordingly, this section allows only one flue to be plugged at any 
time and requires any such plugged flue to be repaired or replaced 
within 30 calendar days. In addition, the task force 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 is largely derived from 
Sec. 230.44 of the 1978 standards, however it eliminates that section's 
implied allowance of plugging flues at one end only, requiring instead 
that flues be plugged at both ends. The task force felt that plugging a 
flue at one end was inconsistent with the function plugging is designed 
to accomplish.
Fusible Plugs

Section 230.59  Fusible Plugs

    This section, incorporating the provisions of Sec. 230.14 of the 
1978 standards, imposes no new inspection requirements for steam 
locomotives on locomotive owners and/or operators. Consistent with the 
comprehensive changes made to the inspection scheme in part 230, it 
relaxes the time frame in which fusible plugs must be removed and 
cleaned. It also adds the requirement that the removal be noted on the 
inspection report.
Washing Boilers

Section 230.60  Time of Washing

    This section retains the inspection and maintenance requirements of 
Sec. 230.45 of the 1978 standards. In addition, although not imposing 
any new inspection requirements for steam locomotives on locomotive 
owners and/or operators, this section does change the minimum 
requirement for mandatory boiler washes from once each month to every 
time that a 31-service day inspection is conducted.
    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 requires that the boiler be washed as frequently 
as water conditions require.
    This section is based on FRA's agreement with and adoption of the 
task force's recommendation.

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

    This section expands the requirements of Sec. 230.46 of the 1978 
standards by requiring, in addition to removal, that the arch tubes and 
water bar tubes be cleaned and inspected each time the boiler is 
washed. In addition, this section adds condemning limits for arch tubes 
and water bar tubes. Both of these additions to this section are 
derived from the ICC Interpretations and reflect the task force's 
desire to incorporate the Interpretations into this part.
    Finally, this section requires a 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 is affordable and that the increased safety levels 
provided by this testing justify the additional costs imposed on the 
locomotive owners and/or operators.
Steam Pipes

Section 230.62  Dry Pipe (New)

    This section 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 establishes a 
requirement that owners and/or operators remove from service any dry 
pipes that are no longer ``suitable for the service intended.''

Section 230.63  Smoke Box, Steam Pipes and Pressure Parts (New)

    Under this section, locomotive owners and/or operators are required 
to inspect the smoke box, steam pipes and pressure parts at each annual 
inspection, or whenever conditions so warrant. This section requires 
the person performing the inspection to enter the smoke box and examine 
it for signs of leaks from any of its pressure parts and to examine all 
draft appliances.
Steam Leaks

Section 230.64  Leaks Under Lagging

    This section retains the concepts of Sec. 230.49 of the 1978 
standards without substantive change while rewriting the standards for 
clarity and for ease of compliance.

Section 230.65  Steam Blocking View of Engine Crew

    This section retains the concepts of Sec. 230.50 of the 1978 
standards without substantive change, but rewrites them for clarity and 
for ease of compliance.
Subpart C--Steam Locomotives and Tenders

Section 230.66  Design, Construction and Maintenance

    This section retains Sec. 230.101 of the 1978 standards with the 
only substantive changes being those

[[Page 62858]]

required to take into account the changed liability standard; see 
section IX(A).

Section 230.67  Responsibility for Inspection and Repairs

    This section amends Sec. 230.102 of the 1978 standards by making 
the locomotive owner and/or operator the party responsible for the 
inspection and repair of all locomotives and tenders under their 
control, instead of the chief mechanical officer. In addition, this 
section acts in conjunction with Sec. 230.23 by delineating the 
standard for repairs and by requiring that a locomotive not be returned 
to service unless in good condition and safe and suitable for service.
Speed Indicators

Section 230.68  Speed Indicators (New)

    This section requires all steam locomotives that operate at speeds 
in excess of 20 miles per hour over the general system of 
transportation to be equipped with speed indicators that are 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 certain speed-related violations, the task force felt 
that steam locomotives that operate at more than 20 miles per hour 
should be equipped with speed indicators.
Ash Pans

Section 230.69  Ash Pans

    This section adopts Sec. 230.105 of the 1978 standards without 
substantive change, but rewrites it for the sake of clarity and for 
ease of compliance.
Brake and Signal Equipment

Section 230.70  Safe Condition

    This section adopts Sec. 230.105 of the 1978 standards without 
substantive change but rewrites it for the sake of clarity and for ease 
of compliance.

Section 230.71  Orifice Testing of Compressors

    This section retains Sec. 230.107 of the 1978 standards but 
reorganizes and rewrites it for clarity. In addition, consistent with 
the comprehensive changes in the inspection scheme in part 230, it 
lengthens the time within which compressors must be orifice-tested from 
once each three months, to once each 92 service days. Finally, it 
expands the table listing the testing criteria to include the commonly 
used 120 LP Westinghouse compressor.

Section 230.72.  Testing Main Reservoirs

    Subsection (a) of this section retains the requirements of 
Sec. 230.108 of the 1978 standards but rewrites them for clarity.
    Subsections (b) through (d) of this section are new. Subsection (b) 
incorporates part 229's allowance for drilling of certain specified 
welded main reservoirs. The task force felt that drilling was a good 
idea because it facilitates reservoir failures in a non-catastrophic 
manner. This section is largely derived from Sec. 229.31 and reflects 
the task force's desire to harmonize these sections wherever possible. 
Subsection (c) is intended to encourage the use of appropriate NDE 
methods for testing the wall thickness of the welded main reservoirs. 
It also provides for NDE testing of welded main reservoirs without 
longitudinal lap seams rather than 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 
Sec. 229.31.
    Finally, under subsection (d), NDE testing of welded or riveted 
longitudinal lap seam main reservoirs is required. While the task force 
seriously debated recommending that the use of lap seam main reservoirs 
be prohibited, they felt that there wasn't a strong enough safety basis 
for justifying this action. Their concerns were further eased by the 
belief that lap seam main reservoirs will eventually be phased out for 
economic reasons.

Section 230.73  Air Gauges

    This section adopts, with minor substantive changes, Sec. 230.109 
of the 1978 but reorganizes and rewrites it for clarity. Part of the 
comprehensive changes made to the inspection scheme in part 230, it 
increases the time frame for performing required air gauge testing from 
once each three months to the 92 service day inspection. It also adds a 
requirement that gauges be tested prior to reinstallation. The task 
force recommended that gauges that are removed be retested because they 
were concerned about the impacts the gauges may sustain in handling and 
storage while off the locomotive. The method of testing required by 
this section is identical to that found in Sec. 230.109 of the 1978 
standards.

Section 230.74  Time of Cleaning

    This section modifies Sec. 230.110 of the 1978 standards by 
broadening the scope of the section to include 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 
reconciling this section, to the greatest extent possible, with 
Sec. 232.10. A number of task force members were concerned about 
requiring this cleaning too frequently, based on their experience that 
the cleaning process itself can adversely affect the proper functioning 
of the valves. Experience has shown that once the system is opened to 
clean the valves, dirt can get in and be distributed throughout, 
seriously affecting the integrity of the system. The task force 
discussed various cleaning intervals. These ranged from once every six 
months (the 1978 standard) to once each fifth annual inspection; the 
task force ultimately settled on a recommended interval between 
cleanings of between once every 368 service days and at every second 
annual inspection.

Section 230.75  Stenciling Dates of Tests and Cleaning

    This section retains the provisions of Sec. 230.111 of the 1978 
standards but rewrites them for clarification. In addition, the 
requirement that testing dates be stamped on metal tags and attached to 
the locomotive is deleted.

Section 230.76  Piston Travel

    This section adopts Sec. 230.112 of the 1978 standards without 
substantive change.

Section 230.77  Foundation Brake Gear

    This section adopts Sec. 230.113 of the 1978 standards without 
substantive change.

Section 230.78  Leakage

    This section retains the provisions of Sec. 230.114 of the 1978 
standards without substantive change, while identifying specific 
inspection time periods and requirements in the rule text.

Section 230.79  Train Signal System

    This section retain Sec. 230.115 of the 1978 standards with minor 
changes. In addition, it recognizes other forms of ``onboard 
communication'' and relaxes 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 changes Sec. 230.116 of the 1978 standards by removing 
all the cab curtain requirements and rewriting the standards for 
clarity. Subsection (a)

[[Page 62859]]

incorporates the general provision section of the 1978 standards while 
updating the requirements to track 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'' establishes a performance standard the locomotive cab 
climate must be in compliance with. Therefore, a cab with poor 
ventilation that gets so hot that it causes the engine crew to get 
sleepy or otherwise affects their performance of required duties would 
be in noncompliance with this section. The ``ordinary conditions of 
service'' language, however, takes into account those conditions that 
are unavoidable in steam locomotive service such as the extreme amount 
of heat from the locomotive boiler fire box. The task force wanted to 
make clear its belief that only those cab conditions that are 
``abnormal'' for steam locomotive service should constitute 
noncompliance with this section. The task force wanted to move toward a 
``common sense'' perspective on cab conditions that would 
simultaneously be enforceable yet not unreasonably interfere with steam 
locomotive operations.
    Subsection (b) addresses the issue of steam pipes in the locomotive 
cab. This section retains most of Sec. 230.116 of the 1978 standards 
but makes more specific the ``double strength pipe'' description. The 
task force recommended that the minimum standard for these pipes be 
specified as ``schedule 80'' to conform with the more common industry 
terminology. All other subsections of Sec. 230.116 of the 1978 
standards have been deleted as unnecessary.

Section 230.81  Cab Aprons

    This section expands the requirements of Sec. 230.117 of the 1978 
standards by delineating standards for the width of the apron. 
Concerned about the risk of serious injury or death resulting from an 
individual standing on a cab apron getting caught between the 
locomotive and tender, the task force wanted to incorporate the ICC 
Interpretations regarding apron width. Requiring cab aprons be of a 
minimum width eliminates the danger of the apron dropping between the 
locomotive and tender if a knuckle breaks or the drawbar becomes 
disconnected and the safety chains are stretched taut.

Section 230.82  Fire Doors

    This section eliminates the requirement in Sec. 230.118 of the 1978 
standards that all locomotives have mechanically operated fire doors. 
The task force decided to recommend doing so because some smaller 
locomotives cannot be equipped with them. The task force considered 
making the mechanically operated fire door requirement contingent upon 
the weight of the locomotive, and the agency requested--but did not 
receive--comments on this issue. Because no comments were received on 
this issue, FRA has decided to simply eliminate the requirement that 
all steam locomotives be equipped with mechanically operated fire 
doors. However, this section does not prohibit the use of such 
mechanically operated fire doors.
    In addition, the task force recommended and FRA has agreed to the 
deletion of subsections (b) and (c) of Sec. 230.118 of the 1978 
standards, relating to stokers.

Section 230.83  Cylinder Cocks

    This section retain Sec. 230.119 of the 1978 standards without 
substantive change, but edits it for clarity and ease of compliance.

Section 230.84  Sanders

    This section retains Sec. 230.120 of the 1978 standards without 
substantive change, but rewrites it for clarity and, consistent with 
the changes to the pre-departure inspection concept made in this rule 
relaxes the inspection time period from at the beginning of each trip 
to the beginning of each day the locomotive is used.

Section 230.85  Audible Warning Device

    This section modernizes Sec. 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 Sec. 229.129, which specifies the standards for 
audible warning devices for locomotives other than steam locomotives.
Lights

Section 230.86  Required Illumination

    This section retains the requirements in Secs. 230.129 and 230.131 
of the 1978 standards but consolidates and edits them for clarity. In 
addition, this section eliminates the distinction made in the 1978 
standards between locomotives in yard service and those in road 
service. FRA has done so, consistent with the task force's 
recommendation, since any justification for differentiating between 
road and yard locomotives disappeared when the nature of steam 
locomotive operations changed.

Section 230.87  Cab Lights

    While retaining Sec. 230.132 of the 1978 standards essentially 
unchanged, this section extends the coverage to all locomotives, 
instead of merely those used between sunset and sunrise. The task force 
recommended doing so in order to address those operating circumstances 
that might arise during ``daylight'' hours, making it difficult, if not 
impossible, for the engine crew to observe unlit control instruments, 
gauges, and meters.
Throttle and Reversing Gear

Section 230.88  Throttles

    This section restates the provisions of Sec. 230.156 of the 1978 
standards without substantive change.

Section 230.89  Reverse Gear

    This section retains parts of Sec. 230.157 of the 1978 standards 
but reorganizes and rewrites it for clarity and ease of compliance. 
Subsection (a) retains the general language that appears before 
subsection 230.157(a) of the 1978 standards. However, based on the task 
force's experience that many steam locomotives in service today operate 
safely without power-operated reverse gear, subsections (a) and (b) of 
the 1978 standards have been deleted. As the task force observed, 
power-operated reverse gears can be dangerous as well. The task force 
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. Subsections (b) and (c) are derived from subsection 230.157(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 retains most of the requirements of 
subsection Sec. 230.122(a) of the 1978 standards

[[Page 62860]]

unchanged but adds a requirement that NDE testing of draw pins and 
drawbars be done during every annual inspection. This section also 
requires that an additional NDE testing method be used when a visual 
inspection fails to disclose any defects. The task force, wishing to 
balance industry's concerns about requiring this test too frequently 
with safety considerations, recommended FRA require the use of better 
technology as a condition for extending the inspection time-period from 
three months to one year. This section adopts the task force's 
recommendation.
    Subsection (b) of this section modifies the 1978 standards 
requirements for safety bars or chains and their relative strength. 
Some task force members took issue with the reference in the 1978 
standards to ``two or more safety bars or safety chains,'' observing 
that some locomotives are designed with one (1) safety bar. The 
consensus was that the old rule addressed those instances where smaller 
draw bars take the place of safety chains and not the double drawbar 
design whereby the drawbar that normally bears no load is, in fact, a 
safety bar. In addition, this section incorporates the ICC 
interpretation of the 1978 standard's ``ample strength'' as requiring 
that the combined strength of safety chains or bars and their 
fastenings be at least 50 percent of the strength of the drawbar and 
its connections.
    Subsections (c), (d), and (e) of this section retain subsections 
(c), (d), and (e) of Sec. 230.122 of the 1978 standards without change.

Section 230.91  Chafing Irons

    This section retains the requirements of Sec. 230.123 of the 1978 
standards without substantive change but edits it for clarity and for 
ease of compliance.

Section 230.92  Draw Gear and Draft Systems

    This section retains the requirements of Sec. 230.124 of the 1978 
standards without substantive change but expands it to cover couplers 
as well.
Driving Gear

Section 230.93  Pistons and Piston Rods

    This section basically retains the requirements of Sec. 230.127 of 
the 1978 standards but revises it by eliminating the stamping 
requirement for rods and by adding standards for fasteners. The task 
force debated whether or not a mechanism for tracing materials should 
be retained, concluding that part 230 should not require it. The task 
force discussed issuing a ``recommended practices'' handbook for steam 
locomotive operators (not part of this rule) in which traceability of 
materials would be discussed.

Section 230.94  Crossheads

    This section retains the requirements of Sec. 230.125 of the 1978 
standards without substantive change but edits them for clarity and 
ease of compliance.

Section 230.95  Guides

    This section retains the requirements of Sec. 230.126 of the 1978 
standards without substantive change.

Section 230.96  Main, Side, and Valve Motion Rods

    Subsection (a) of this section retains the requirements in 
subsection (a) of Sec. 230.128 of the 1978 standards without 
substantive change but edits them for clarity.
    Subsection (b) of this section revises Sec. 230.128 of the 1978 
standards to expressly allow welding of main, side and valve motion 
rods, subject to FRA approval of requests to do so. The task force 
debated how to best regulate 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 in conformity with Sec. 230.33 of 
these proposed standards. See the analysis of welding concerns in that 
section which mirrors the task force's discussion of this subsection.
    Subsection (c) of this section incorporates subsection (c) of 
Sec. 230.128 of the 1978 standards in its entirety and, for clarity, 
adds a sentence to address floating bushings.
    Subsection (d) of this section retains the requirements of 
subsection (d) of Sec. 230.128 of the 1978 standards without change.
    Subsection (e) of this section retains the requirements of 
subsection (e) of Sec. 230.128 of the 1978 standards but edits it for 
the sake of clarity.
    Subsection (f) of this section retain the requirements in 
subsection (f) of Sec. 230.128 of the 1978 standards without change.
    Subsection (g) of this section retains the requirements of 
subsection (g) of Sec. 230.128 of the 1978 standards without change.
    This section, in accordance with the elimination of any distinction 
between road and yard service, deletes the requirements found in 
subsections (h) and (i) of Sec. 230.128 of the 1978 standards. As 
discussed previously, FRA believes that the justification for treating 
these types of service differently no longer exists.

Section 230.97  Crank Pins

    Subsection (a) of this section changes the requirements of 
Sec. 230.136 of the 1978 standards, eliminating the stamping 
requirement, consistent with Sec. 230.92 of this proposal. The task 
force felt very strongly that there was no need to have the application 
date stamped on the pin, since there is no apparent reason for anyone 
to need to know the application date.
    This subsection also expands the prohibition for shimming or prick 
punching to include a ban on ``securing the fit of a loose crank pin by 
shimming, prick punching, or welding.''
    Subsection (b) of this section adopts the requirements of 
subsection (b) of Sec. 230.136 of the 1978 standards essentially as is 
except for changing 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 retains the requirements of Sec. 230.133 of the 1978 
standards with minor substantive changes: editing and reorganizing it 
for clarity and for ease of compliance. This section also relaxes the 
wear allowance on secondary driving axles. The task force decided to 
recommend making this change in order to bring the regulation in line 
with their own operational experiences.

Section 230.99  Tender Truck Axles

    This section retains the requirements of Sec. 230.134 of the 1978 
standards without substantive change.

Section 230.100  Defects in Tender Truck Axles and Journals

    This section retains the requirements of Sec. 230.135 of the 1978 
standards without substantive change.

Section 230.101  Steam Locomotive Driving Journal Boxes.

    This section retains the requirements of Sec. 230.137 of the 1978 
standards without substantive change but reorganizes and edits the 
requirements for clarity and for ease of compliance.

Section 230.102  Tender Plain Bearing Journal Boxes (New)

    This section establishes condemning limits for plain bearing 
journal boxes, consistent with the task force's recommendation. The 
task force's recommendations were based on its collaborative efforts to 
identify those issues that could affect the operational integrity/
function of the journal.

[[Page 62861]]

Section 230.103  Tender Roller Bearing Journal Boxes (New)

    This section imposes maintenance requirements for tender roller 
bearing journal boxes, consistent with the task force's recommendation. 
The task force felt that imposing specific condemning limits for roller 
bearing journal boxes was unnecessary, believing that the performance 
standard ``safe and suitable'' would suffice.

Section 230.104  Driving Box Shoes and Wedges

    This section adopts the provisions of Sec. 230.138 of the 1978 
standards without change.

Section 230.105  Lateral Motion

    This section adopts the provisions of Sec. 230.140 of the 1978 
standards without change.
Trucks and Frames and Equalizing System

Section 230.106  Steam Locomotive Frame

    This section adopts the provisions of Sec. 230.139 of the 1978 but 
expands upon them by allowing locomotive owners and/or operators to 
operate steam locomotives with broken frames, provided the frames are 
properly patched or secured in a way that restores the rigidity of the 
frame.

Section 230.107  Tender Frame and Body

    This section adopts the provisions of Sec. 230.152 of the 1978 
standards and adds a section that establishes condemning limits for 
tender frames, consistent with the task force's recommendation.

Section 230.108  Steam Locomotive Leading and Trailing Trucks

    This section retains the requirements of Sec. 230.143 of the 1978 
standards but, consistent with the task force's recommendations, 
modifies them to require that all centering devices not permit lost 
motion in excess of \1/2\ inch.

Section 230.109  Tender Truck

    This section adopts the provisions of Sec. 230.155 of the 1978 
standards while adding condemning defects for springs and a ``safe and 
suitable'' requirement for truck centering devices (where the tender is 
so equipped).

Section 230.110  Pilots

    This section retains the requirements in Sec. 230.141 of the 1978 
standards without change but adds language to make clear that minimum 
and maximum clearances of the pilot above the rail must be measured on 
tangent level track.

Section 230.111  Spring Rigging

    This section adopts the requirements in Sec. 230.142 of the 1978 
standards with minor revisions. This section changes the 1978 standards 
to allow the adjusting of load weights by shifting weights from one 
pair of wheels to another and the repair of broken springs within the 
condemning limits for spring rigging by clipping, provided the clips 
can be secured so as to stay in place.
Wheels and Tires

Section 230.112  Wheels and Tires

    This section retains and consolidates the 1978 standards of 
Secs. 230.144, 230.150, and 230.151 . Subsections (a), (b), and (c) 
adopt the requirements of Sec. 230.144 with a few modifications. 
Subsection (a) changes ``pressed'' to ``mounted.'' This change was made 
based on the task force's recommendation that the rule take 
``official'' notice of the process of shrinking wheels onto the axle. 
It was felt that acknowledgment of this practice is not sufficiently 
provided by using the term ``pressed.'' Subsection (b), add a sentence 
to address the issue of gage for track that is less than standard gage. 
The figures used were derived from back to back measurement. The task 
force debated whether to recommend that FRA include standards for 
``wide-flange'' wheels but concluded that the agency should wait to see 
if the use of ``wide-flange'' wheels becomes more prevalent before 
addressing the issue. FRA's agrees with and has adopted that 
recommendation. Finally, subsection (c) retains the requirements in 
subsection (c) of Sec. 230.144 of the 1978 standards without change.
    Subsections (d) and (e), although new, are derived from 
Secs. 230.150 and 230.151 of the 1978 standards. Subsection (d) adopts 
the provisions of Sec. 230.151 of the 1978 standards without 
substantive change but rewrites them for enhanced clarity. Subsection 
(e) consolidates the standards found in Sec. 230.150(d) and (e) of the 
1978 standards but edits them for clarity and ease of compliance.

Section 230.113  Wheels and Tire Defects

    This section retains the requirements in Secs. 230.145, 230.146, 
and 230.149 of the 1978 standards but consolidates and edits them to 
make the standards more specific, to eliminate redundancies, and to 
enhance clarity.

Section 230.114  Wheel Centers

    This section combines Secs. 230.147 and 230.148 of the 1978 
standards but rewrites them to make the standards more specific and to 
address the issue of welding on wheel centers. The task force 
recommended that welding on wheel centers be allowed in accordance with 
Sec. 229.75(m) of the 1978 standards. This section is based on FRA's 
adoption of that recommendation.
Steam Locomotive Tanks

Section 230.115  Feed Water Tanks

    This section adopts the requirements of Sec. 230.153 of the 1978 
standards, largely without change, but does some rewriting to enhance 
clarity and make the requirements easier to comply with. Subsection (a) 
of this section changes Sec. 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 could be done at a relatively low cost and would 
eliminate the need for the locomotive operator to climb atop the tender 
tank to check the water level. In addition, this section extends the 
time period for inspecting feed water tanks from once each month to 
once each 92 service days, consistent with the other changes made in 
the inspection scheme of this rule.

Section 230.116  Oil Tanks

    This section retains Sec. 230.154 of the 1978 standards without 
substantive change but rewrites it to enhance clarity.

Appendices

    FRA has included four appendices to this rule. A brief description 
for each is provided below.

Appendix A--Inspection Requirements

    FRA is providing a simple reference guide for those persons who 
will be conducting inspections required under these regulations in this 
appendix. This reference guide does not modify the specific 
requirements found in the particular sections.

Appendix B--Drawings and Diagrams

    This appendix provides--for informational purposes only--a series 
of drawings and diagrams that are cross referenced to various sections 
of the rule. Each drawing or diagram visually demonstrates how the rule 
language should be applied. For example, one drawing depicts shows how 
a measuring device should be used to take accurate measurements of 
objects such as wheels to determine the size of flanges, flat spots, 
and broken rims for compliance purposes.

[[Page 62862]]

Appendix C--Inspection Forms

    This appendix contains examples of the six forms being issued by 
FRA for the purpose of recording compliance with the inspection and 
repair activities in this rule. Use of these forms is mandatory since 
FRA is not allowing individual operators to create their own forms for 
recording this data. FRA will make every effort to insure that these 
forms are readily available to those parties required to use them.

Appendix D--Schedule of Civil Penalties

    This appendix contains a penalty schedule similar to those that FRA 
has issued for its other regulations. FRA suggests that those 
consulting this appendix read 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.
    In addition, FRA is amending its Statement of Agency Policy in 
Appendix A of part 209 to include a summary of its exercise of 
jurisdiction over tourist railroads. FRA had proposed that this summary 
become an appendix to part 230. However, inserting the summary in FRA's 
broad discussion of its jurisdiction in part 209 is more logical.

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 facilities are available at 1120 
Vermont Avenue, NW, 7th Floor, Washington, DC. 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, SW, Washington, DC 20590.
    As part of the regulatory impact analysis, FRA has assessed 
quantitative measurements of costs and benefits expected from the 
adoption of this rule. For a twenty year period the Present Value (PV) 
of the potential societal benefits is approximately $11.5 million and 
the PV of the estimated quantified costs is approximately $1.6 million. 
A majority of the costs will result from the transition from the former 
rule to this rule. A majority of the savings will result from the 
changes in the inspection frequencies under this rule's requirements.
    FRA anticipates that this rule will not only reduce the federally 
mandated burden for the average steam locomotive owner/operator, but 
will also reduce the risk involved in steam locomotive operations. The 
PV of the net benefits is $9.94 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 a Regulatory 
Flexibility Assessment (RFA) which assesses the small entity impact. 
Document inspection and copying facilities are available at 1120 
Vermont Avenue, 7th Floor, Washington, DC. 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, SW, Washington, DC 20590.
    FRA has 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 proposed to use 
this alternative definition of ``small entity'' for this rulemaking 
during the Notice of Proposed Rulemaking, and requested comments from 
the public on its use. No comments were received.
    This RFA concludes, and FRA certifies that this final rule is not 
expected to have a significant economic impact on a substantial number 
of small entities. The significance of such 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 impact by this rule. In 
order to determine the significance of the economic impact FRA 
requested comments to the docket that would have provided additional 
data on the economic impact imposed by this rulemaking. FRA received no 
comments or additional data.
    For this 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 somewhere 
between 85 and 95 percent of these operators are small entities. These 
operators primarily use their steam locomotives in a tourist, historic, 
excursion, scenic, or museum railway operations. Since this regulation 
is primarily being imposed on small entities, readers interested in 
further details about the impacts on these entities beyond those noted 
in the RFA, should review the final rule's Regulatory Impact Analysis 
(RIA) which is also in the docket.
    The impacts that this regulation would 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 has received prior to 
the implementation of this rule. Thus, steam locomotives that have been 
inspected, maintained and repaired properly should be impacted less 
than one's that have not. FRA estimates that the Present Value (PV) of 
the average cost of this rule, per steam locomotive, is approximately 
$10,700 over twenty years. One of the more significant economic impacts 
that will affect all steam locomotives is the cost from the transition 
from the former regulation to the final rule. A revision which could 
impact a small quantity of steam locomotives significantly each year is 
the requirement for replacing broken staybolts. 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 final rule 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 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 the operators to have one 
year from the effective date of the final rule to implement these 
requirements.
    The largest impact and the greatest savings occur when a steam 
locomotive transitions from the former regulation to the final rule. 
Therefore, implementation for this is phased-in gradually. This 
requirement provides steam locomotive owners and operators the 
flexibility necessary to bring their operations into compliance with 
the requirements of this final rule.

C. Small Business Regulatory Enforcement Fairness Act of 1996

    Pursuant to Section 312 of the Small Business Regulatory 
Enforcement

[[Page 62863]]

Fairness Act of 1996 (Pub. L. 104-121), FRA is issuing 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:

----------------------------------------------------------------------------------------------------------------
                                                                                           Total
                                    Respondent        Total annual    Average time per     annual       Total
          CFR section                universe          responses          response         burden       annual
                                                                                           hours     burden cost
----------------------------------------------------------------------------------------------------------------
230.3--Implementation: Interim  82 owners/         30 letters.......  30 minutes......           15         $450
 Flue Extensions.                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.
230.6--Waivers................  82 owners/         2 waiver letters.  1 hour..........            2           60
                                 operators.
Grant of waiver filed for       82 owners/         2 waiver letters.  1 hour..........            2           60
 reassessment.                   operators.
230.12--Conditions for          82 owners/         10 tags..........  6 minutes.......            1           30
 movement of Noncomplying        operators.
 Locomotives.
230.13--Inspection Reports:     82 owners/         3,650 forms......  2 minutes.......          122        3,660
 Recordkeeping.                  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 (FRA Form 3)....  82 owners/         15 reports.......  15 minutes......            4          120
                                 operators.
230.18--Service Day Report      82 owners/         150 reports......  15 minutes......           38        1,140
 (FRA Form No. 5):               operators.
 Recordkeeping.
230.19--Posting of Copy:        82 owners/         300 forms........  1 minute........            5          150
 Recordkeeping.                  operators.
230.20--Alteration Reports for  82 owners/         5 reports........  1 hour..........            5          150
 Steam Locomotive Boilers (FRA   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 Patches.....  82 owners/         2 letters........  10 minutes......            2           60
                                 operators.
230.34--Riveted Repairs and     82 owners/         37 requests......  5 minutes.......            3           90
 Alterations.                    operators.
230.41--Flexible Staybolts      82 owners/         10 entries.......  1 minute........          .17            5
 with Caps: Recordkeeping.       operators.
230.46--Badge Plates:           82 owners/         1 report.........  30 minutes......          .50           15
 Recordkeeping.                  operators.
230.47--Boiler Number:          82 owners/         1 report.........  15 minutes......          .25            8
 Recordkeeping.                  operators.
230.49 Setting of Safety        150 steam          38 tags/labels...  1 minute........            1           30
 Relief Valves.                  locomotives.
230.75--Stenciling Dates of     82 owners/         54 tests.........  1 minute........            1           30
 Tests and Cleaning:             operators.
 Recordkeeping.
230.96--Main, Side, Valve Rods  82 owners/         1 letter.........  10 minutes......          .17            5
                                 operators.
230.98--Driving, Trailing, and  82 owner/          1 stamp..........  15 minutes......          .25            8
 Engine Truck Axles: Journal     operators.
 Diameter Stamped.
230.116--Oil Tanks............  82 owners/         150 signs........  1 minute........            3           90
                                 operators.
----------------------------------------------------------------------------------------------------------------


[[Page 62864]]

    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 solicited 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 Mr. Robert 
Brogan, Federal Railroad Administration, 1120 Vermont Avenue, NW, Mail 
Stop 17, Washington, DC 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, comment addressed to OMB is best assured of having 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 is not authorized to 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 
OMB control number, when assigned, will be announced by separate notice 
in the Federal Register.

E. Federalism Implications

    This rule will not have a substantial effect on the states, on the 
relationship between the national government and the states, or the 
distribution of power and responsibilities among the various levels of 
government. Preemption of state regulation in the area of locomotive 
safety occurs as a result of the LBIA itself rather than through FRA's 
issuance of a rule. Therefore, this rule, by itself, is not likely to 
increase the preemptive effect of the LBIA.
    In developing this rule through the Railroad Safety Advisory 
Committee (which includes representatives of State organizations), FRA 
has fulfilled the objectives of consultation under Executive Order 
13132 on Federalism. State representatives participated in the full 
RSAC's vote to recommend the proposed rule to the Administrator. FRA 
has taken care in the rule to explain that the agency believes that 
statutory preemption will not apply to insular tourist railroads over 
which FRA has never exercised jurisdiction.

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 was not 
required.

G. Public Procedure

    In accordance with Executive Order 12866, FRA provided 60 days for 
comments. FRA believes that a 60 day comment period was 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 rule. As noted earlier, FRA had not originally 
scheduled a public hearing, but held one in Corpus Christi, Texas on 
February 4, 1999, in response to timely received written requests to do 
so. FRA solicited written comments on all aspects of this rule and 
changes to this rule were made in response to comments received in 
response to this notice.

List of Subjects

49 CFR Part 209

    Administrative practice and procedure, Enforcement, Hazardous 
materials transportation, Penalties, Railroad safety.

49 CFR Part 230

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

The Rule

    In consideration of the foregoing, FRA is amending Chapter II, 
Subtitle B of Title 49 of the Code of Federal Regulations as follows:

PART 209--[AMENDED]

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

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

    2. Appendix A to part 209 is amended by inserting, just before the 
last paragraph in the section headed, ``The Extent and Exercise of 
FRA's Safety Jurisdiction,'' the following:

Appendix A to Part 209--Interim Statement of Agency Policy Concerning 
Enforcement of the Federal Railroad Safety Laws

* * * * *

THE EXTENT AND EXERCISE OF FRA'S SAFETY JURISDICTION

* * * * *
    FRA exercises jurisdiction over tourist, scenic, and excursion 
railroad operations whether or not they are conducted on the general 
railroad system. There are two exceptions: (1) operations of less 
than 24-inch gage (which, historically, have never been considered 
railroads under the Federal railroad safety laws); and (2) 
operations that are off the general system and ``insular'' (defined 
below).
    Insularity is an issue only with regard to tourist operations 
over trackage outside of the general system used exclusively for 
such operations. FRA considers a tourist operation to be 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. A tourist 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 of those of any railroad.

[[Page 62865]]

    When tourist operations are conducted on the general system, FRA 
exercises jurisdiction over them, and all of FRA's pertinent 
regulations apply to those operations unless a waiver is granted or 
a rule specifically excepts such operations (e.g., the passenger 
equipment safety standards contain an exception for these 
operations, 49 CFR 238.3(c)(3), even if conducted on the general 
system). When a tourist operation is conducted only on track used 
exclusively for that purpose it is not part of the general system. 
The fact that a tourist operation has a switch that connects it to 
the general system does not make the tourist operation part of the 
general system if the tourist trains do not enter the general system 
and the general system railroad does not use the tourist operation's 
trackage for any purpose other than delivering or picking up 
shipments to or from the tourist operation itself.
    If a tourist operation off the general system is insular, FRA 
does not exercise jurisdiction over it, and none of FRA's rules 
apply. If, however, such an operation is not insular, FRA exercises 
jurisdiction over the operation, and some of FRA's rules (i.e., 
those that specifically apply beyond the general system to such 
operations) will apply. For example, FRA's rules on accident 
reporting, steam locomotives, and grade crossing signals apply to 
these non-insular tourist operations (see 49 CFR 225.3, 230.2 amd 
234.3), as do all of FRA's procedural rules (49 CFR parts 209, 211, 
and 216) and the Federal railroad safety statutes themselves.
    In drafting safety rules, FRA has a specific obligation to 
consider financial, operational, or other factors that may be unique 
to tourist operations. 49 U.S.C. 20103(f). Accordingly, FRA is 
careful to consider those factors in determining whether any 
particular rule will apply to tourist operations. Therefore, 
although FRA asserts jurisdiction quite broadly over these 
operations, we work to ensure that the rules we issue are 
appropriate to their somewhat special circumstances.
* * * * *
    3. Part 230 is revised 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  Penalties.
230.5  Preemptive effect.
230.6  Waivers.
230.7  Responsibility for compliance.
230.8  Definitions.
230.9  Information collection.

General Inspection Requirements

230.11  Repair of non-complying conditions.
230.12  Movement of non-complying steam locomotives.
230.13  Daily inspection.
230.14  Thirty-one (31) service day inspection.
230.15  Ninety-two (92) service 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.

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.
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.

[[Page 62866]]

230.103  Tender roller bearing journal boxes.
230.104  Driving box shoes and wedges.
230.105  Lateral motion.

Trucks, Frames and Equalizing System

230.106  Steam locomotive frame.
230.107  Tender frame and body.
230.108  Steam locomotive leading and trailing trucks.
230.109  Tender trucks.
230.110  Pilots.
230.111  Spring rigging.

Wheels and Tires

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

Steam Locomotive Tanks

230.115  Feed water tanks.
230.116  Oil tanks.

Appendix A to Part 230--Inspection Requirements

Appendix B to Part 230--Diagrams and Drawings

Appendix C to Part 230--FRA Inspection Forms

Appendix D to Part 230--Civil Penalty Schedule

    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 operated on railroads to which this part 
applies. 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 part 209 for a current statement of the 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 January 18, 2000. 
(See 49 CFR parts 200-999, 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 January 18, 
2000 (See 49 CFR parts 200-999, revised October 1, 1978) will 
constitute full compliance with this part. Any interested person may 
obtain the October 1, 1978 revision of 49 CFR part s 200-999 by 
contacting the Federal Railroad Administration, Office of Chief 
Counsel, 400 7th Street, SW, Washington, DC 20590.
    (a) One year after January 18, 2000. The following sections of this 
part must be complied with by January 18, 2001: 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 January 18, 2000 (See 
49 CFR parts 200-999, revised October 1, 1978) until January 18, 2002.
    (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 the three 
(3) year period prior to September 25, 1998--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 a locomotive has received a 
proper boiler inspection after September 25, 1995 pursuant to 
Secs. 230.10 and 230.11 of the regulations in effect prior to 
January 18, 2000 but has not had its FRA Form No. 4 updated, the 
locomotive owner or operator may update and verify the FRA Form No. 
4 for that locomotive, and submit a timely petition that requests 
retroactive credit for the boiler inspection. (See 49 CFR parts 200-
999, revised October 1, 1978.)
---------------------------------------------------------------------------

    (1) Petition process. Petitions must be filed by January 18, 2001 
and must be accompanied by all relevant documentation to be considered, 
including a FRA Form No. 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 upon the documentation provided, FRA 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 FRA by 
some form of registered mail to ensure a record of delivery. FRA will 
investigate these petitions and will respond to these petitions within 
one year of their receipt. FRA will send its response by some form of 
registered mail to ensure that a record of delivery is created. In its 
response, FRA may grant the petition or deny it. If FRA grants the 
petition, the entirety of the revised requirements will become 
effective upon receipt of FRA's response, unless FRA's response 
indicates otherwise. If FRA denies the petition, the rule will become 
effective as provided in the first paragraph of this section.
    (2) FRA 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 FRA 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 January 18, 2000 (See 49 CFR parts 200-999, 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.

[[Page 62867]]

Sec. 230.4  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 A of part 209 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. 230.5  Preemptive effect.

    The Locomotive Boiler Inspection Act (49 U.S.C. 20701-20703) 
preempts all State laws or regulations concerning locomotive safety. 
Napier v. Atlantic Coast Line R.R., 272 U.S. 605 (1926). However, FRA 
believes Congress did not intend to preempt State laws or regulations 
concerning rail operations over which FRA does not exercise 
jurisdiction. Therefore, in issuing this part, it is FRA's intent that 
State laws or regulations applicable to those rail operations to which 
this part does not apply (i.e., insular tourist operations) not be 
preempted.


Sec. 230.6  Waivers.

    (a) A person subject to a requirement of this part may petition the 
Administrator of FRA 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 January 18, 2000 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, DC 20590. FRA will review the waiver and notify the 
applicant whether the waiver has been continued.


Sec. 230.7  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.
    (c) Chapter 207 of Title 49 of the United States Codes 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 are in proper condition and safe to 
operate in the service to which they are put, without unnecessary 
danger of personal injury and have been inspected and tested as 
required by this part.


Sec. 230.8  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.
    Dead locomotive. A locomotive unable to produce tractive effort.
    Fire. Anything that produces products of combustion that heat 
transferring components of the locomotive are exposed to.
    FRA. The Federal Railroad Administration.
    Locomotive operator. Person or entity which operates, but which 
does not necessarily own, one or more steam 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 the delegate thereof. This entity may be a railroad or a 
person or persons who operate a steam locomotive under contract for a 
railroad.
    Locomotive owner. Person or entity which owns, but which does not 
necessarily operate, one or more steam locomotives that is operated on 
a railroad to which this part applies. For purposes of inspection and 
maintenance responsibility, this term includes that entity's 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

[[Page 62868]]

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. 230.9  Information collection.

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


Sec. 230.10  [Reserved]

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 entity;
    (3) The inspection location and date;
    (4) The nature of the defect;
    (5) Movement restrictions, if any;
    (6) The destination; and
    (7) The signature of the person making the determinations required 
by this paragraph (b).
    (c) Yard movements. A non-complying steam locomotive may be moved 
lite or dead within a yard at speeds not in excess of 10 miles per hour 
without meeting the requirements of paragraph (b) of this section if 
the movement is solely for the purpose of repair. The locomotive owner 
and/or operator is responsible for ensuring that the movement may be 
safely made.
    (d) 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.
    (e) 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 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 A and B 
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 in paragraph (a) of this section, 
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:
    (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

[[Page 62869]]

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 A 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 timely notification before performing 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. If the Regional Administrator requests the 
inspection be performed on another date but the steam locomotive owner 
and/or operator and the Regional Administrator are unable to agree on a 
date for rescheduling, the inspection may be performed as scheduled.
    (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 B 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 A 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 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 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 
shall be 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. If the Regional Administrator requests the 
inspection be performed on another date but the steam locomotive owner 
and/or operator and the Regional Administrator are unable to agree on a 
date for rescheduling, the inspection may be performed as scheduled.
    (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 FRA Regional Administrator for that region. (See appendix A 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 every 1472 service days 
or 15 years, whichever is earlier, an individual competent to conduct 
the inspection shall inspect the entire boiler. In the case of a new 
locomotive or a locomotive being brought out of retirement, the initial 
15 year period shall begin on the day that the locomotive is placed in 
service or 365 calendar days after the first flue tube is installed in 
the locomotive, whichever comes first. 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 A and B 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 B 
of this part.)
    (c) Retirement where no service day reports filed. Where the steam 
locomotive owner and/or operator does not file the required service day 
report for a steam locomotive, that steam locomotive may be considered 
retired

[[Page 62870]]

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 
inspected boiler 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 B of this part.)
    (b) FRA 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 B 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 
B 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 make a telephone 
report of the accident by calling the National Response Center (toll 
free) at 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, and the location 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, DC 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...................................    38,000
Iron Rivets in Double Shear...................................    76,000
Steel Rivets in Single Shear..................................    44,000
Steel Rivets in Double Shear..................................    88,000
------------------------------------------------------------------------

Sec. 230.28  Higher shearing strength of rivets.

    A higher shearing strength may be used for rivets when it can be 
shown through testing 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 62871]]

    (b) Repair standards. (1) All defects disclosed by 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 sufficient 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, 
31service 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 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 the 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 62872]]

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 70 deg. F any time hydrostatic 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 70 degrees Fahrenheit and 120 degrees Fahrenheit 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 B 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 B of this 
part.)
    (d) Testing at request of FRA inspector. Staybolt caps also shall 
be removed, or any of the tests in this section 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

[[Page 62873]]

enter the boiler and be maintained steam tight. The supply pipe and its 
connections shall be cleaned each time the gauge is tested.


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 
whenever 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.

[[Page 62874]]

    (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 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 B 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 B of this 
part.)
    (b) Plug removal. All washout plugs, arch tube plugs, thermic 
siphon plugs, circulator plugs and water bar plugs must be removed 
whenever locomotive 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 B 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 miles per 
hour 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

[[Page 62875]]

    (5) The water has been drained from the air-brake system.
    (b) Brake pipe valve required. Each steam locomotive shall have a 
brake 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:

----------------------------------------------------------------------------------------------------------------
                                                                                    Diameter of    Air pressure
                 Make                        Compressor size      Single strokes   orifice  (in     maintained
                                                                    per minute        inches)       (in pounds)
----------------------------------------------------------------------------------------------------------------
Westinghouse..........................  9\1/2\..................             120         \11/64\              60
Westinghouse..........................  11......................             100          \3/16\              60
Westinghouse..........................  150 CFM 8\1/2\ CC.......             100          \9/32\              60
Westinghouse..........................  120 CFM 8\1/2\..........             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 in 
paragraphs (b) through (d) of this section, 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) Only 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 or her usual position in the 
cab. No air gauge may be more than 3 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

[[Page 62876]]

days or during the second annual inspection, whichever occurs first.


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.

    (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 or her 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

[[Page 62877]]

at least 800 feet ahead and in front of 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 
locomotives are used in the same train, the leading 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 allow 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 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 shall be 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

[[Page 62878]]

diameters more than \3/32\ inch at front or back end. The total lost 
motion at both ends shall not exceed \5/32\ inch.
    (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 A 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 no later than January 18, 2005.


Sec. 230.99  Tender truck axles.

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

----------------------------------------------------------------------------------------------------------------
                                                                      Minimum         Minimum         Minimum
                                                                    diameter of     diameter of     diameter of
                      Axle load (in pounds)                        journal  (in     wheel seat      center  (in
                                                                      inches)       (in 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;
    (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:

------------------------------------------------------------------------
                                                                  Inches
------------------------------------------------------------------------
Engine truck wheels (with swing centers).......................      1

[[Page 62879]]

 
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 as 
often as necessary to maintain in a safe and suitable condition for 
service with cleaning intervals, in any case, not to exceed every 1472 
service days.
    (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. Where equipped, tender devices 
and/or securing arrangements intended to prevent the truck and tender 
body from separating in case of derailment 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

[[Page 62880]]

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:

------------------------------------------------------------------------
 Weight per axle (weight on drivers                            Minimum
   divided by number of pairs of        Diameter of wheel     thickness
          driving wheels)                center (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

[[Page 62881]]

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 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--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.

[[Page 62882]]

    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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Appendix D to Part 230--Civil Penalty Schedule

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
              Subpart A--General
 
230.11  Repair of non-complying conditions:
    (a) Failure to repair non-complying steam        $1,000       $2,500
     locomotive prior to use in service.......
    (b) Failure of owner and/or operator to           1,000        1,500
     approve repairs made prior to use of
     steam locomotive.........................
230.12  Movement of non-complying steam               (\1\)        (\1\)
 locomotive:
230.13  Daily inspection:
    (a) (b):
        (1) Inspection overdue................        1,500        3,000
        (2) Inspection not performed by               1,000        1,500
         qualified person.....................
    (c) Inspection report not made, improperly        1,000        1,500
     executed or not retained.................
230.14  Thirty-one service day inspection:
    (a):
        (1) Inspection overdue................        1,500        3,000
        (2) Inspection not performed by
         qualified person.....................
    (b) Failure to notify FRA.................        1,000        1,500
    (c) Inspection report not made, improperly        1,000        1,500
     executed, not properly filed.............
230.15  Ninety-two service day inspection:
    (a):
        (1) Inspection overdue................        1,500        3,000
        (2) Inspection not performed by               1,000        1,500
         qualified person.....................
    (b) Inspection report not made, improperly        1,000        1,500
     executed, not properly filed.............
230.16  Annual inspection:
    (a):
        (1) Inspection overdue................        1,500        3,000
        (2) Inspection not performed by               1,000        1,500
         qualified person.....................
    (b) Failure to notify FRA.................        1,000        1,500
    (c) Inspection report not made, improperly        1,000        1,500
     executed, not properly filed.............
230.17  One thousand four hundred seventy-two
 service day inspection:
    (a):
        (1) Inspection overdue................        1,500        3,000
        (2) Inspection not performed by               1,250        2,000
         qualified person.....................
    (b) Inspection report not made, improperly        1,000        1,500
     executed, not properly maintained, not
     properly filed...........................
230.18  Service days:
    (a) Service day record not available for          1,000        1,500
     inspection...............................
    (b) Failure to file service day report            1,000        1,500
     with FRA Regional Administrator..........
    (c) Failure to complete all 1,472 service         1,500        3,000
     day inspection items prior to returning
     retired steam locomotive to service......
230.19  Posting of forms:
    (a) FRA Form No. 1:
        (1) FRA Form No. 1 not properly filled        1,000        1,500
         out..................................
        (2) FRA Form No. 1 not properly               1,000        1,500
         displayed............................
    (b) FRA Form No. 3:
        (1) FRA Form No. 3 not properly filled        1,000        1,500
         out..................................
        (2) FRA Form No. 3 not properly               1,000        1,500
         displayed............................
230.20  Alteration and repair reports:
    (a) Alterations:
        (1) Failure to properly file FRA Form         1,000        1,500
         No. 19 with FRA Regional
         Administrator........................
        (2) FRA Form No. 19 not properly              1,000        1,500
         filled out...........................
        (3) FRA Form No. 19 not properly              1,000        1,500
         maintained...........................
    (b) Repairs to unstayed portions of the
     boiler:
        (1) FRA Form No. 19 not properly              1,000        1,500
         filled out...........................
        (2) FRA Form No. 19 not properly              1,000        1,500
         maintained...........................
    (c) Repairs to stayed portions of the
     boiler:
        (1) FRA Form No. 19 not properly              1,000        1,500
         filled out...........................
        (2) FRA Form No. 19 not properly              1,000        1,500
         maintained...........................
230.21  Failure to properly document steam            1,000        1,500
 locomotive number Change.....................
 
     Subpart B--Boilers and Appurtenances
 
230.22  Failure to properly report accident           1,500        2,500
 resulting from failure of steam locomotive
 boiler or part or appurtenance thereof.......
230.23  Responsibility for general
 construction and safe working pressure:
    (a) Failure to properly establish safe            5,000       10,000
     working pressure for steam locomotive
     boiler...................................
    (b) Placing steam locomotive in service           5,000       10,000
     before safe working pressure for boiler
     has been established.....................
230.24  Maximum allowable stress values on
 boiler components:
    (a) Use of materials not of sufficient            1,000        2,000
     tensile strength.........................
    (b) Use of a safety factor value of less          2,000        4,000
     than 4 when using the code of original
     construction in boiler calculations......
230.25  Maximum allowable stresses on stays
 and braces:
    (a) Exceeding allowable stress values on          1,000        2,000
     fire box and/or combustion chamber.......
    (b) Exceeding allowable stress values on          1,000        2,000
     round, rectangular or gusset braces......
230.29  Inspection and repair:

[[Page 62914]]

 
    (a):
        (1) Failure of owner and/or operator          1,500        3,000
         to inspect and repair any steam
         locomotive boiler and/or appurtenance
         under control thereof................
        (2) Failure to remove steam locomotive        2,500        5,000
         from service when considered
         necessary to do so...................
    (b):
        (1) Failure of perform repairs in             2,000        4,000
         accordance with accepted industry
         standards............................
        (2) Owner and/or operator returning           2,000        4,000
         steam locomotive boiler and/or
         appurtenances to service before they
         are in good condition and safe and
         suitable for service.................
230.30  Lap-joint seam boilers, Failure to            2,000        4,000
 properly inspect.............................
230.31  Flues to be removed:
    (a):
        (1) Failure to remove all flues when          1,500        3,000
         inspecting boiler....................
        (2) Failure to enter boiler and clean         1,500        3,000
         and inspect..........................
    (b) Failure to remove superheater flues           1,000        2,000
     when deemed necessary to do so...........
230.32  Time and method of inspection:
    (a) Failure to perform 1,472 service day          1,500        3,000
     inspection when required to do so........
    (b) Failure to properly inspect boiler            1,500        3,000
     during 1,472 service day inspection......
230.33  Welded repairs and alterations:
    (a) Failure to obtain permission before           1,500        3,000
     welding on unstayed portions of boiler
     containing alloy or carbon steel with
     carbon content over .25 percent carbon...
    (b) Failure to perform welding on unstayed        1,500        3,000
     portions of boiler containing carbon
     steel not exceeding .25 percent carbon in
     accordance with a nationally accepted
     standard for boiler repairs..............
    (c):
        (1) Failure to submit written request         1,500        3,000
         for approval before performing weld
         buildup on wasted areas of unstayed
         boiler surfaces that exceed 100
         square inches or the smaller of 25
         percent of minimum required wall
         thickness or \1/2\ inch..............
        (2) Repairing wasted sheets...........        1,500        3,000
230.34  Riveted repairs and alterations:
    (a) Failure to obtain approval before             1,500        3,000
     making riveted alterations on unstayed
     portions of the boiler; failure to do
     riveting in accordance with established
     railroad practices or accepted national
     standards for boiler repairs.............
    (b) Failure to perform riveted repairs on         1,500        3,000
     unstayed boiler portions in accordance
     with established railroad practices or
     accepted national standards for boiler
     repairs..................................
    (c) Failure to perform riveted repairs on         1,000        2,000
     stayed boiler portions in accordance with
     established railroad practices or
     accepted national standards for boiler
     repairs..................................
230.35  Failure to raise temperature of steam         1,000        2,000
 locomotive boiler to 70 degrees F. before
 applying hydrostatic pressure to the boiler..
230.36  Hydrostatic testing of boilers:
    (a) Failure to perform hydrostatic test of        1,500        3,000
     boiler as required.......................
    (b) Failure to properly perform                   1,500        3,000
     hydrostatic test.........................
    (c) Failure to properly inspect boiler            1,500        3,000
     after conducting hydrostatic test above
     MAWP.....................................
230.37 Failure to perform proper steam test or        1,000        2,000
 inspection of boiler after completion of
 repair or alteration to boiler...............
230.38  Telltale holes:
    (a) Failure to have telltale holes as             1,000        2,000
     required in staybolts....................
    (b) Failure to have proper telltale holes         1,000        2,000
     in reduced body staybolts................
    (c) Failure to keep telltales holes when          1,000        2,000
     so required..............................
230.39  Broken staybolts:
    (a) Boiler in service with excess number          1,500        3,000
     of broken staybolts......................
    (b) Failure to replace staybolts when             1,500        3,000
     required to do so; to properly replace
     staybolts when so required; to inspect
     adjacent staybolts when replacing broken
     staybolts................................
    (c) Failure to count leaking, plugged, or         1,500        3,000
     missing telltale holes as broken
     staybolts................................
    (d) Closing telltale holes by prohibited          1,500        3,000
     means....................................
230.40  Time and method of staybolt testing:
    (a) Failure to hammer test staybolts when         1,000        2,000
     so required..............................
    (b) Failure to properly hammer test               1,000        2,000
     staybolts................................
230.41  Flexible staybolts with caps:
    (a) Failure to inspect flexible staybolts         1,000        2,000
     as required..............................
    (b) Failure to replace broken flexible            1,000        2,000
     staybolts; failure to close inner ends of
     telltale holes as required...............
    (c) Failure to report removal of flexible         1,000        2,000
     staybolts caps and other tests on FRA
     Form No. 3 when so required..............
    (d) Failure to remove staybolt caps or            1,000        2,000
     otherwise test when FRA inspector or
     steam locomotive owner and/or operator
     consider it necessary to do so...........
230.42  Failure to have accurate boiler steam         2,000        4,000
 gauge where engine crew can conveniently read
230.43  Failure to have gauge siphon of proper        1,000        2,000
 capacity on steam gauge supply pipe; failure
 to properly clean, maintain the steam gauge
 supply pipe..................................
230.44  Failure to test steam gauge when so           1,000        2,000
 required.....................................
230.45  Failure to properly test and/or set           1,000        2,000
 steam gauge..................................
230.46  Failure to attach to boiler backhead          1,000        1,500
 metal badge plate showing allowable steam
 pressure.....................................
230.47  Boiler Number:
    (a) (b) (c) Failure to stamp builder's            1,000        1,500
     number on boiler when number is known....
230.48  Number and capacity of safety relief
 valves:
    (a) Failure to equip steam locomotive             2,500        5,000
     boiler with proper safety relief valves..
    (b) Failure to provide additional safety          3,000        6,000
     relief valve capacity when so required...
230.49  Setting of safety relief valves:
    (a) Safety relief valve(s) set and/or             2,500        5,000
     adjusted by person not competent to do so

[[Page 62915]]

 
    (b) Safety relief valve(s) not set to open        2,500        5,000
     at prescribed pressure(s)................
    (c) Safety relief valve(s) not properly           3,000        6,000
     set......................................
    (d) Set pressure of lowest safety relief          1,000        2,000
     valve not properly indicated.............
230.50  Failure to test and adjust safety             1,500        3,000
 relief valves when required to do so.........
230.51  Failure to equip steam locomotive             1,000        2,000
 boiler with at least 2 properly installed
 water glasses................................
230.52  Failure to properly equip water               2,000        4,000
 glasses......................................
230.53  Failure to properly clean water glass         1,000        2,000
 valves and/or gauge cocks when required to do
 so...........................................
230.54  Testing and maintenance:
    (a) Failure to properly test water glasses        1,000        2,000
     and/or gauge cocks.......................
    (b) Failure to properly maintain gauge            1,500        3,000
     cocks, water column drain valves, and/or
     water glass valves.......................
230.55  Tubular type water and lubricator
 glasses and shields:
    (a) Failure to renew tubular type water           1,000        2,000
     glasses as required......................
    (b) Failure to properly shield tubular            1,000        2,000
     water glasses and/or lubricator glasses..
    (c) Failure to properly locate and/or             1,000        2,000
     maintain water glasses and/or water glass
     shields..................................
230.56 Failure to equip water glass with              1,000        2,000
 suitable lamp................................
230.57  Injectors and feedwater pumps:
    (a) Failure to equip steam locomotive with        3,000        6,000
     proper means for delivering water to the
     boiler...................................
    (b) Failure to properly test and/or               2,500        5,000
     maintain injectors, feedwater pumps,
     boiler checks, delivery pipes, feed water
     pipes, tank hose, tank valves............
    (c) Failure to properly brace injectors,          1,000        2,000
     feedwater pumps, and/or associated piping
230.58  Flue plugs:
    (a) Plugging flue plugs when not otherwise        1,000        2,000
     permitted................................
    (b) Improperly plugging flue plugs, when          1,000        2,000
     otherwise permitted......................
230.59  Failure to remove and properly clean          1,500        3,000
 fusible boiler plugs when required to do so;
 failure to properly note removal.............
230.60 Time of washing:
    (a) Failure to thoroughly wash boiler when        1,000        2,000
     required to do so........................
    (b) Failure to remove washout plugs, arch         1,500        3,000
     tube plugs, thermic siphon plugs,
     circulator plugs, water bar plugs when
     washing locomotive boiler................
    (c) Failure to examine and/or properly            1,500        3,000
     maintain washout plugs washout plug
     sleeves, threaded openings...............
    (d) Failure to clean fusible plugs when           1,500        3,000
     required to do so........................
230.61  Arch tubes, water bar tubes,
 circulators and thermic siphons:
    (a) Failure to clean, wash, inspect arch          1,000        2,000
     tubes, water bar tubes, circulators and
     thermic siphons as required..............
    (b) Failure to renew arch tubes, water bar        1,500        3,000
     tubes; failure to repair or renew
     circulators, thermic siphons when
     required.................................
    (c) Failure to properly inspect and/or            1,500        3,000
     replace as necessary arch tubes, water
     bar tubes, circulators...................
230.62  Failure to properly inspect and/or            2,500        5,000
 repair or replace as necessary dry pipes
 subject to pressure..........................
230.63  Failure to properly inspect smoke box,        1,500        3,000
 steam pipes, pressure parts when required to
 do so........................................
230.64  Failure to remove from service steam          1,500        3,000
 locomotive boiler leaking under lagging from
 condition which may reduce safety and/or
 repair the boiler before returning to service
230.65  Failure to keep steam locomotive              1,000        2,000
 boiler, piping, appurtenances in repair so
 steam does not obscure vision................
230.66  Failure to properly oversee general           1,000        2,000
 design, construction, maintenance of steam
 locomotive(s) and tender(s)..................
230.67  Failure to ensure all steam                   2,500        5,000
 locomotives and tenders are properly
 inspected and repaired and/or all defects are
 properly repaired and steam locomotive and/or
 tender are in good condition, safe and
 suitable for service before being returned to
 service......................................
230.68  Failure to equip steam locomotive that        1,000        1,500
 operates in excess of 20 miles per hour over
 the general system with speed indicator
 maintained to ensure accurate functioning....
230.69  Failure to equip steam locomotive with        1,000        2,000
 properly supported ash pan with operating
 mechanism that may be safely operated and
 securely closed..............................
230.70  Safe condition:
    (a) Failure to perform proper pre-                1,000        2,000
     departure inspection when so required....
    (b) Failure to properly equip steam               1,000        2,000
     locomotive with brake pipe valve clearly
     identified as ``Emergency Brake Valve''..
230.71  Orifice testing of air compressors:...
    (a)(b):
        Failure to properly test and/or               1,000        2,000
         maintain air compressor(s) capacity..
230.72  Testing main reservoirs:
    (a) Failure to properly test main                 1,000        2,000
     reservoir(s) when required...............
    (b) Impermissibly or improperly drilling          1,000        2,000
     main reservoir...........................
    (c) Impermissibly using NDE method to             1,000        2,000
     measure wall thickness of main reservoir.
    (d) Failure to use appropriate method of          1,500        3,000
     NDE testing of wall thickness of welded
     or riveted longitudinal lap seam main
     reservoir(s); failure to withdraw main
     reservoir(s) from service when testing
     reveals insufficient wall thickness......
230.73  Air gauges:
    (a) Failure to equip steam locomotive with        1,000        1,500
     properly located air gauge(s) that are no
     more than 3 psi in error.................
    (b) Failure to test air gauge(s) when so          1,000        1,500
     required.................................
    (c) Failure to properly test air gauge(s).        1,000        1,500
230.74  Failure to properly clean and/or test         1,000        1,500
 all air brake valves, related dirt
 collectors, filters when required to do so...
230.75 Failure to properly stencil or display         1,000        1,500
 date of testing and cleaning and initials of
 shop or station performing work..............
230.76  Piston travel:

[[Page 62916]]

 
    (a) Insufficient minimum piston travel....        1,000        1,500
    (b) Excessive piston travel when steam            1,000        2,000
     locomotive is stationary.................
230.77  Foundation brake gear:
    (a) Failure to properly maintain                  1,000        2,000
     foundation brake gear....................
    (b) Foundation brake gear less than 2.5           1,000        2,000
     inches above rail........................
230.78  Leakage:
    (a):
        (1) Failure to test for leakage from          1,000        1,500
         main reservoir or related piping as
         required.............................
        (2) Failure to repair excessive               1,000        2,000
         leakage from main reservoir or
         related piping leakage...............
    (b) Failure to test for brake cylinder as         1,000        1,500
     required.................................
    (c):
        (1) Failure to test for leakage from          1,000        2,000
         steam locomotive brake pipe as
         required.............................
        (2) Failure to repair excessive brake         1,000        2,000
         pipe leakage.........................
230.79  Train signal system:
        (1) Failure to test the train signal          1,000        1,500
         system or other form of on-board
         communication as required............
        (2) Failure to repair train signal            1,000        1,500
         system or other on-board
         communication when not safe or
         suitable for service.................
230.80  Cabs:
    (a) Steam locomotive cab not safe and             1,000        2,000
     suitable for service.....................
    (b) Steam pipes: Construction, attachment.        1,000        2,000
    (c) Oil-burning steam locomotive, cab-            1,000        1,500
     enclosed.................................
230.81  Cab aprons:
    (a) Cab apron, general provisions.........        1,000        1,500
    (b) Cab apron, insufficient width.........        1,000        1,500
230.82  Fire doors:
    (a) Safe and suitable for service, general        1,000        2,000
     provisions...............................
    (b) Construction and maintenance of               1,000        2,000
     mechanically operated fire doors.........
    (c) Construction and maintenance of hand-         1,000        2,000
     operated fire doors......................
230.83  Cylinder cocks:
        (1) Failure to properly equip with            1,000        1,500
         cylinder cocks.......................
        (2) Failure to properly maintain              1,000        1,500
         cylinder cocks.......................
230.84  Sanders:
        (1) Inoperable sanders................        1,000        1,500
        (2) Failure to test sanders...........        1,000        1,500
230.85  Audible warning devices:
    (a) General provisions....................        1,000        1,500
    (b) Sound level measurements, Failure to          1,000        1,500
     properly take............................
230.86  Required illumination:
    (a) General provisions....................        1,000        1,500
    (b) Dimming device, Failure to properly           1,000        1,500
     equip with...............................
    (c) Multiple locomotives, Failure of lead         1,000        1,500
     locomotive to display headlight..........
230.87  Cab lights: Failure to properly equip         1,000        2,000
 with.........................................
230.88  Throttles: Failure to properly                1,000        2,000
 maintain, equip..............................
230.89  Reverse gear:
    (a) General provisions....................        1,000        2,000
    (b) Air-operated power reverse gear.......        1,000        2,000
    (c) Power reverse gear reservoirs.........        1,000        2,000
230.90  Draw gear and draft systems:
    (a) Maintenance and testing...............        1,000        1,500
    (b) Safety bars and chains, general.......        1,000        1,500
    (c) Safety bars and chains, minimum length        1,000        1,500
    (d) Lost motion between steam locomotive          1,000        1,500
     and tender...............................
    (e) Spring buffers: Improper application,         1,000        1,500
     compression..............................
230.91  Chafing irons: Improper application,          1,000        1,500
 maintenance..................................
230.92  Draw gear, draft systems: Improperly          1,000        1,500
 maintained, fastened.........................
230.93  Pistons and piston rods:
    (a) Failure to properly inspect, maintain,        1,000        2,000
     renew....................................
    (b) Fasteners: Failure to keep tight,             1,000        2,000
     properly equip...........................
230.94  Crossheads: Improperly maintained,            1,000        2,000
 excess clearance.............................
230.95  Guides: Failure to securely fasten,           1,000        2,000
 properly maintain............................
230.96  Main, side, valve motion rods:
    (a) General...............................        1,000        2,000
    (b) Repairs...............................
        (1) Failure to make in accordance with        1,000        2,000
         accepted national standard...........
        (2) Failure to submit written request         1,000        2,000
         for approval prior to welding........
        (c) Bearings and bushings.............        1,000        1,500
    (d) Rod side motion: Excessive motion.....        1,000        1,500
    (e) Oil, grease cups: Failure to securely         1,000        1,500
     fasten, properly equip...................
    (f) Main rod bearings:
        (1) excessive bore....................        1,000        1,500
        (2) excessive lost motion.............        1,000        1,500
    (g) Side rod bearings, excessive bore.....        1,000        1,500
230.97  Crank pins:

[[Page 62917]]

 
    (a) General provisions....................        1,000        2,000
    (b) Maintenance: Failure to maintain in           1,000        2,000
     safe, suitable condition.................
230.98  Driving, trailing, engine truck axles:
    (a) Condemning defects....................        1,000        2,000
    (b) Journal diameter: Failure to stamp on           750        1,000
     end of axle..............................
230.99  Tender truck axle: Insufficient               1,000        2,000
 diameter.....................................
230.100  Defects in tender truck axles and
 journals:
    (a) Tender truck axle condemning defects..        1,000        2,000
    (b) Tender truck journal condemning               1,000        2,000
     defects..................................
230.101  Steam locomotive driving journal
 boxes:
    (a) Driving journal boxes: Failure to             1,000        2,000
     properly maintain........................
    (b) Broken bearings: Failure to renew.....        1,000        2,000
    (c) Loose bearings: Failure to repair or          1,000        2,000
     renew....................................
230.102  Tender plain bearing journal boxes:          1,000        1,500
 Failure to repair............................
230.103  Tender roller bearing journal boxes:         1,000        1,500
 Failure to properly maintain.................
230.104  Driving box shoes and wedges: Failure        1,000        1,500
 to properly maintain.........................
230.105  Lateral motion:
    (a) Condemning limits: Total lateral              1,000        1,500
     motion in excess of......................
    (b) Limits exceeded, failure to                   1,000        1,500
     demonstrate conditions require additional
     lateral motion...........................
    (c) Interferes with other parts of steam          1,000        1,500
     locomotive...............................
230.106   Steam locomotive frame:
    (a) Failure to properly inspect and/or            1,000        2,000
     maintain.................................
    (b) Broken frames, not properly patched or        2,500        5,000
     secured..................................
230.107  Tender frame and body:
    (a) Failure to properly maintain..........        1,000        1,500
    (b) Height difference between tender deck         1,000        1,500
     and steam locomotive cab floor or deck
     excessive................................
    (c) Gangway minimum width excessive.......        1,000        1,500
    (d) Tender frame condemning defects.......        1,500        3,000
230.108  Steam locomotive leading and trailing
 trucks:
    (a) Failure to properly maintain..........        1,000        1,500
    (b) Safety chain, suitable safety chain           1,000        1,500
     not provided.............................
    (c) Insufficient truck clearance..........        1,000        2,000
230.109  Tender trucks:
    (a):
        (1) Tender truck frames...............        1,000        2,000
        (2) Tender truck center plate.........        1,000        2,000
    (b) Tender truck bolsters: Failure to             1,500        3,000
     properly maintain........................
    (c) Condemning defects, springs and/or            1,000        2,000
     spring rigging...........................
    (d) Truck securing arrangement: Not               1,000        1,500
     properly maintained......................
    (e) Side bearings, truck centering devices        1,000        2,000
    (f) Friction side bearings: Run in contact        1,000        2,000
    (g):
        (1) Side bearings, failure to equip           1,000        2,000
         rear trucks with.....................
        (2) Insufficient clearance of.........        1,000        2,000
230.110  Pilots:
    (a) General provisions....................        1,000        1,500
    (b) Clearance, insufficient or excessive..        1,000        1,500
230.111  Spring rigging:
    (a) Arrangement of springs and equalizers.        1,000        2,000
    (b) Spring or spring rigging condemning           1,000        2,000
     defects..................................
230.112  Wheels and tires:
    (a) Improperly Mounted, excess variance in        1,500        3,000
     axle diameter............................
    (b) Out of gage...........................        1,000        2,000
    (c) Flange distance variance, excessive...        1,000        2,000
    (d) Tire thickness, insufficient..........        1,000        2,000
    (e) Tire width, insufficient..............        1,000        2,000
230.113  Wheels and tire defects:
        (1) Failure to repair.................        1,000        2,000
        (2) Welding on, except as otherwise           1,500        3,000
         provided for.........................
    (a) Cracks or breaks in...................        1,000        2,000
    (b) Flat spots............................        1,000        2,000
    (c) Chipped flange........................        1,000        2,000
    (d) Broken rim............................        1,000        2,000
    (e) Shelled-out spots.....................        1,000        2,000
    (f) Seams.................................        1,000        2,000
    (g) Worn flanges, excessive wear..........        1,000        2,000
    (h) Worn treads, excessive wear...........        1,000        2,000
    (i) Flange height, insufficient or                1,000        2,000
     excessive................................
    (j) Rim thickness, insufficient...........        1,000        2,000
    (k) Wheel diameter, excessive variance....        1,000        2,000
230.114  Wheel centers:
    (a) Filling blocks and shims..............        1,000        2,000
    (b) Wheel center condemning limits,               1,000        2,000
     failure to repair........................

[[Page 62918]]

 
    (c) Wheel center repairs..................        1,000        2,000
    (d) Counterbalance maintenance............        1,000        2,000
230.115  Feed water tanks:
    (a) General provisions....................        1,000        2,000
    (b) Inspection frequency, failure to              1,000        1,500
     inspect as required......................
    (c) Top of tender: Improperly maintained          1,000        1,500
     and/or equipped..........................
230.116  Oil tanks:
        (1) Failure to properly maintain......        2,500        5,000
        (2) Failure to equip with complying           5,000       7,500
         safety cut-off device................
------------------------------------------------------------------------
\1\ Failure to observe any condition for movement set forth in Sec.
  230.12 will deprive the railroad of the benefit of the movement-for-
  repair provision and make the railroad and any responsible individuals
  liable for penalty under the particular regulatory section(s)
  concerning the substantive defect(s) present on the locomotive at the
  time of movement. Failure to comply with Sec.  230.12 will result in
  the lapse of any affected waiver.

    Issued in Washington, D.C. on September 30, 1999.
Jolene M. Molitoris,
Administrator.
[FR Doc. 99-28610 Filed 11-16-99; 8:45 am]
BILLING CODE 4610-06-P