49 C.F.R. Appendix D to Part 230—Civil Penalty Schedule
Title 49 - Transportation
Title 49: Transportation
PART 230—STEAM LOCOMOTIVE INSPECTION AND MAINTENANCE STANDARDS
Subpart C—Steam Locomotives and Tenders
Appendix D to Part 230—Civil Penalty Schedule
------------------------------------------------------------------------ Willful Section Violation violation------------------------------------------------------------------------ Subpart A_General230.11 Repair of non-complying conditions: (a) Failure to repair non-complying $1,000 $2,500 steam 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, 1,000 1,500 improperly 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, 1,000 1,500 improperly executed, not properly filed230.15 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, 1,000 1,500 improperly executed, not properly filed230.16 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, 1,000 1,500 improperly executed, not properly filed230.17 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, 1,000 1,500 improperly 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 1,500 3,000 service 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 1,000 1,500 filled 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 1,000 1,500 filled 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 1,000 1,500 Form 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 Appurtenances230.22 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: (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 2,500 5,000 locomotive 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 1,500 3,000 clean 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 1,500 3,000 unstayed 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 1,500 3,000 request 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 3,000230.34 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 1,500 3,000 on unstayed boiler portions in accordance with established railroad practices or accepted national standards for boiler repairs........... (c) Failure to perform riveted repairs 1,000 2,000 on 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 boiler230.36 Hydrostatic testing of boilers: (a) Failure to perform hydrostatic test 1,500 3,000 of 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 1,000 2,000 or 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 1,000 2,000 holes 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, 1,500 3,000 or 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 1,000 2,000 when so required....................... (b) Failure to properly hammer test 1,000 2,000 staybolts..............................230.41 Flexible staybolts with caps: (a) Failure to inspect flexible 1,000 2,000 staybolts 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 1,000 2,000 flexible 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 1,000 2,000 proper 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..................................... (b) Safety relief valve(s) not set to 2,500 5,000 open 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 1,000 2,000 glasses 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 3,000 6,000 with 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 1,000 2,000 otherwise 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 1,000 2,000 when required to do so................. (b) Failure to remove washout plugs, 1,500 3,000 arch 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 1,500 3,000 bar 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 1,500 3,000 box, 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 1,000 1,500 that 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 1,000 2,000 with 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) capacity230.72 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 1,000 1,500 with 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 1,000 1,500 gauge(s)...............................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 1,000 1,500 display date of testing and cleaning and initials of shop or station performing work230.76 Piston travel: (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 1,000 1,500 as required............................ (c): (1) Failure to test for leakage from 1,000 2,000 steam locomotive brake pipe as required........................... (2) Failure to repair excessive 1,000 2,000 brake 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, 1,000 2,000 attachment............................. (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 1,500230.82 Fire doors: (a) Safe and suitable for service, 1,000 2,000 general 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 1,500230.85 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 1,000 1,500 lead 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 2,000230.90 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 1,000 1,500 length................................. (d) Lost motion between steam locomotive 1,000 1,500 and tender............................. (e) Spring buffers: Improper 1,000 1,500 application, 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, 1,000 2,000 maintain, 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 1,000 2,000 with accepted national standard.... (2) Failure to submit written 1,000 2,000 request 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 1,000 1,500 securely 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 1,500230.97 Crank pins: (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 750 1,000 on 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: 1,000 1,500 Failure 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 2,500 5,000 or secured.............................230.107 Tender frame and body: (a) Failure to properly maintain........ 1,000 1,500 (b) Height difference between tender 1,000 1,500 deck and steam locomotive cab floor or deck excessive......................... (c) Gangway minimum width excessive..... 1,000 1,500 (d) Tender frame condemning defects..... 1,500 3,000230.108 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 2,000230.109 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 1,000 2,000 devices................................ (f) Friction side bearings: Run in 1,000 2,000 contact................................ (g): (1) Side bearings, failure to equip 1,000 2,000 rear trucks with................... (2) Insufficient clearance of....... 1,000 2,000230.110 Pilots: (a) General provisions.................. 1,000 1,500 (b) Clearance, insufficient or excessive 1,000 1,500230.111 Spring rigging: (a) Arrangement of springs and 1,000 2,000 equalizers............................. (b) Spring or spring rigging condemning 1,000 2,000 defects................................230.112 Wheels and tires: (a) Improperly Mounted, excess variance 1,500 3,000 in 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 2,000230.113 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 2,000230.114 Wheel centers: (a) Filling blocks and shims............ 1,000 2,000 (b) Wheel center condemning limits, 1,000 2,000 failure to repair...................... (c) Wheel center repairs................ 1,000 2,000 (d) Counterbalance maintenance.......... 1,000 2,000230.115 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 § 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 § 230.12 will result in the lapse of any affected waiver.
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