FRA steam locomotive records: what Part 230 requires

By RailCompliant · · 9 min read

FRA steam locomotive records come from a single regulation, 49 CFR Part 230, and they come down to 6 Federal Railroad Administration (FRA) forms and a running count of service days. Form No. 2 records the daily inspection, Form No. 1 the 31 and 92 service day inspections, Form No. 3 the annual, Forms No. 3 and No. 4 the 1472, Form No. 5 each year's service days, and Form No. 19 boiler alterations and welded or riveted repairs. Some go to FRA within 10 or 30 days, 2 ride in the cab, and the boiler reports are kept "for the life of the boiler."

Why records are where heritage operations get hurt

A steam locomotive's compliance lives on paper, and paper is where heritage and tourist operations are weakest. Volunteers turn over. The person who ran the last 1472, knows which Form 19s went to FRA and keeps the current Form 4 can be the same person, and the history lives in their head or in a single binder. When they step away, the records go with them.

Part 230 does not forgive the gap:

  • You must be able to show an FRA inspector the service days accrued "since the last 31, 92, Annual and 1472 service day inspections" (§230.18(a)). The 1472 comes due "after every 1472 service days or 15 years, whichever is earlier" (§230.17(a)), so that count can reach back 15 years. What goes into the count is in What counts as a service day.
  • Miss the January Form No. 5 and the locomotive "may be considered retired by FRA." Bringing it back then takes "all 1472 service day inspection items" (§230.18(c)).
  • Alteration and repair reports are kept "for the life of the boiler" (§230.20). Lose them and the boiler's history is gone.
  • If a record is missing, say so. Don't rebuild it from memory and present it as the original: any person who "knowingly and willfully falsifies a record or report required by this part may be subject to criminal penalties" (§230.4(b)).

The fix is records that more than 1 person can find, read and keep up.

Who has to keep them

Part 230 "applies to all railroads that operate steam locomotives," except track gage under 24 inches, freight-only operations inside an installation off the general system, urban rapid transit not connected to the general system, and insular passenger operations (§230.2). A line is not insular if it has a public highway-rail crossing in use, an at-grade rail crossing in use, a bridge over a public road or waters used for commercial navigation, or a common corridor within 30 feet of another railroad.

"The locomotive owner and/or operator is directly responsible" for compliance (§230.7(a)), and for inspection and maintenance both terms include their delegate (§230.8).

FRA steam locomotive records at a glance

"Staff Director" means the FRA Motive Power and Equipment (MP&E) Division Staff Director. Where a section names no signer, the table lists the form's signature lines from appendix C to Part 230.

Inspection or event Record Who signs or certifies Where it is kept or filed, and when How long it is kept
Daily inspection (§230.13) Form No. 2, Daily Locomotive Inspection Report The employee making the inspection; the person who repaired each defect; "a competent individual" certifying defects were repaired before the locomotive is operated "At the location designated by the steam locomotive owner and/or operator," even if nothing was found "At least 92 days"
31 service day inspection (§230.14) Form No. 1, 31 and 92 Service Day Inspection Report Form lines: inspector, officer in charge Within 10 days, "in the place where the steam locomotive is maintained" and with the Staff Director; a copy in the cab Not stated
92 service day inspection (§230.15) Form No. 1 Form lines: inspector, officer in charge Same as the 31 Not stated
Before each annual (§230.16(b)) Written notice Not stated To the Staff Director "at least one month prior" Not stated
Annual inspection (§230.16) Form No. 3, Annual Inspection Report Form lines: inspector, officer in charge Within 10 days, where the locomotive is maintained and with the Staff Director; a current copy in the cab Not stated
1472 service day inspection (§230.17) Form No. 3 and a completed Form No. 4, Boiler Specification Card Owner and/or operator "shall complete, update and verify" Form No. 4; form lines for calculations, verification, owner and operator Within 30 days, where the locomotive is maintained and with the Staff Director Not stated; Form No. 4 must reflect the boiler at this inspection
Every service day (§230.18(a)) Service day record Not stated Ready to "show an FRA inspector upon request" A "current copy"
Each calendar year (§230.18(b)) Form No. 5, the service day report Form line: officer in charge With the Staff Director "by the 31st of every January," even for 0 service days Not stated
Boiler alteration (§230.20(a)) Form No. 19, Report of Alteration or Welded or Riveted Repair Filed by owner and/or operator; form lines: work done by, certified by With the Staff Director within 30 days of completing the work; attached to Form No. 4 until a new Form No. 4 reflects the alteration "For the life of the boiler"
Welded or riveted repair, unstayed portion (§230.20(b)) Form No. 19 As for an alteration With the Staff Director within 30 days of completing the work "For the life of the boiler"
Welded or riveted repair, stayed portion (§230.20(c)) Form No. 19 As for an alteration Completed and kept; no FRA filing in the section "For the life of the boiler"

The rule allows 2 shortcuts. Once a Form No. 3 is filed, Form No. 1 "does not have to be filed until the next" 31 or 92 service day inspection (§230.14(c), §230.15(b)), and no cab copy of Form No. 1 is needed for the first 31 service days after an annual and the posting of Form No. 3 (§230.19(a)).

The 1472 is where these records are tested hardest; see The 1472 inspection for steam locomotives, explained.

FRA publishes the current Forms 1, 2, 3, 4, 5 and 19 on its Current Forms page.

What gets written onto those forms

These tasks have no form of their own and go on the inspection reports:

  • Boiler washes: "The date of the boiler wash shall be noted on the FRA Form No. 1 or FRA Form No. 3" (§230.60(a)).
  • Fusible plugs, where fitted: "Their removal shall be noted on the FRA Form No. 1 or FRA Form No. 3" (§230.59).
  • Flexible staybolt caps: "The removal of flexible staybolt caps and other tests shall be reported on FRA Form No. 3" (§230.41).

Form No. 4 carries more weight than a filing. Part 230 defines maximum allowable working pressure (MAWP) as the pressure "specified by the steam locomotive specification FRA Form No. 4" (§230.8). Renumber the locomotive and "all documentation related to the steam locomotive" must show the old and new numbers in the upper right-hand corner (§230.21).

What must be posted in the cab

  • Form No. 1: a copy "properly filled out, under transparent cover in a conspicuous place in the cab" before the inspected boiler goes into service (§230.19(a)).
  • Form No. 3: "a current copy," kept the same way (§230.19(b)).
  • Badge plate: "A metal badge plate showing the allowed steam pressure shall be attached to the boiler backhead in the cab" (§230.46).
  • Air brake test and cleaning dates: the date and the shop or station initials, stenciled on the tested parts or "placed on a card displayed under a transparent cover in the cab" (§230.75).

Records made when something goes wrong

Moving a non-complying locomotive. Before the move, the owner and/or operator must "notify in writing" the engineer and cab crew, and tag the locomotive "non-complying locomotive" with 7 items, ending with "the signature of the person making the determinations" (§230.12(b)).

Boiler accidents. When a failure of the boiler or its appurtenances causes serious injury or death, "the railroad on whose line the accident occurred shall immediately make a telephone report" to the National Response Center and mail a confirmation to FRA (§230.22).

Where records are kept, and electronic records

Part 230 names places, not systems: those in the table and the cab. Service days must be "readily available for inspection when requested by an FRA inspector" (§230.14(a)).

Part 230 does not mention electronic records, electronic signatures or electronic filing. It neither authorizes nor forbids them, and the cab postings are physical by their wording: "under transparent cover." If you keep records electronically, ask your FRA MP&E inspector how they want to see them, and make sure more than 1 person can open them.

How RailCompliant handles it

RailCompliant counts service days, tracks the daily through 1472 service day intervals, and opens each Form No. 1, 3, 4 or 19 filing with its due date when a Part 230 inspection is approved. The Form No. 4 builder computes MAWP from your boiler data and requires owner and operator signatures. The audit binder gathers a locomotive's records behind an expiring, read-only share link for an inspector, and your records export to CSV, so the history doesn't depend on a single person. Start a free trial or see pricing.

This is a summary; the regulation text and your FRA inspector have the final word.

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