[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]
[[Page 62827]]
_______________________________________________________________________
Part III
Department of Transportation
_______________________________________________________________________
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.
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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
