[Federal Register Volume 64, Number 100 (Tuesday, May 25, 1999)]
[Notices]
[Pages 28238-28242]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-13038]
[[Page 28238]]
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DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
[FRA Docket No. FRA-1999-5685, Notice No. 1]
Federal Transit Administration
RIN 2130-AB33
Proposed Joint Statement of Agency Policy Concerning Shared Use
of the General Railroad System by Conventional Railroads and Light Rail
Transit Systems
AGENCIES: Federal Railroad Administration (FRA), Federal Transit
Administration (FTA), DOT.
ACTION: Proposed policy statement.
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SUMMARY: The Federal Railroad Administration (FRA) and the Federal
Transit Administration (FTA) have been working together to develop a
policy concerning safety issues related to light rail transit
operations that take place, or are planned to take place, on the
general railroad system. This policy explains how the two agencies
intend to coordinate use of their respective safety authorities with
regard to such shared use operations. The policy also summarizes how
the process of obtaining waivers of FRA's safety regulations may work,
especially where the light rail and conventional rail operations occur
at different times of day. FRA will soon issue a separate proposed
statement of policy providing more details on its jurisdiction and a
more detailed explanation of issues that will be addressed in the
waiver process related to shared use of the general system.
The agencies are not required by law to provide notice and
opportunity for comment on a statement of policy. However, given the
number of shared use operations being planned around the nation and the
level of interest in how the safety of those operations will be
assured, the agencies concluded that they could benefit from receiving
comments before drafting their policy in final. The agencies do not
plan to hold a hearing, but will discuss the proposed statement with
interested groups.
DATES: Submit written comments on or before July 30, 1999.
ADDRESSES: Procedures for written comments: Submit one copy to the
Department of Transportation Central Docket Management Facility located
in room PL-401 at the Plaza level of the Nassif Building, 400 Seventh
Street, SW., Washington, DC 20590. All docket material on the proposed
statement will be available for inspection at this address and on the
Internet at http://doms.dot.gov. (Docket hours at the Nassif Building
are Monday-Friday, 10 a.m. to 5 p.m., excluding Federal holidays.)
Persons desiring notification that their comments have been received
should submit a stamped, self-addressed postcard with their comments.
The postcard will be returned to the addressee with a notation of the
date on which the comments were received.
FOR FURTHER INFORMATION CONTACT: Gregory B. McBride, Deputy Chief
Counsel, FTA, TCC-2, Room 9316, 400 Seventh Street, SW., Washington, DC
20590 (telephone: (202) 366-4063); and Daniel C. Smith, Assistant Chief
Counsel for Safety, FRA, RCC-10, 1120 Vermont Avenue, NW., Mail Stop
10, Washington, DC 20590 (telephone: (202) 493-6029).
Proposed Joint Statement of Agency Policy Concerning Shared Use of
the General Railroad System by Conventional Railroads and Light
Rail Transit Systems
In many areas of the United States, local communities are
considering, planning, or developing light rail, street-level transit
systems similar to those now in operation in Portland, Oregon;
Sacramento, California; Dallas, Texas; San Diego, California; and
Baltimore, Maryland. Patterned on the trolleys that operated along the
streets of hundreds of American cities and towns earlier in the
century, these newer light rail systems promote more livable
communities by serving those who live and work in urban areas without
adding additional congestion to the nation's crowded highways.
Like the existing systems in San Diego and Baltimore, some of the
planned light rail operations would, in addition to service provided
along community streets, take advantage of underutilized urban freight
rail corridors to provide service that, in the absence of the existing
right of way, would be prohibitively expensive. These potential
passenger services generally envision light rail operations during the
day and freight operations during the night. Some plans also envision
rail transit operations on a right-of-way shared with intercity
passenger or commuter operations.
The Federal Railroad Administration (FRA) has long regulated the
nation's railroads for safety purposes. FRA's railroad safety
jurisdiction extends to all types of railroads, including ``commuter or
other short-haul railroad passenger service in a metropolitan or
suburban area,'' but does not include ``rapid transit operations in an
urban area that are not connected to the general railroad system of
transportation.'' 49 U.S.C. 20102. In this statutory context, ``rapid
transit operations'' refers to rail systems that, while they may haul
many commuters, are devoted in substantial part to moving people from
point to point within an urban area. Such systems (e.g., the Washington
Metro and San Francisco's BART) may use heavy subway, elevated, or
light rail equipment and will be covered in this statement by the
general terms ``local rail transit'' or ``light rail transit.''
``Commuter'' service, by contrast, refers to systems that have as their
primary purpose transporting commuters to and from work within a
metropolitan area, but do not devote a substantial portion of their
service to moving passengers between stations within an urban area.
Examples include Metra in Chicago and the Long Island Railroad in New
York. FRA's jurisdiction covers all commuter railroad operations
without regard to their general system connections or the type of
equipment they use. This statement of policy does not apply to commuter
railroad operations.
Until recently, there was no Federal program for addressing the
safety of local rail transit systems that are not subject to FRA's
safety jurisdiction (i.e., those not connected to the general railroad
system). However, faced with the growing movement to develop new rail
transit systems, Congress addressed the safety of such systems in the
Intermodal Surface Transportation Efficiency Act of 1991, requiring
that the Federal Transit Administration (FTA) issue regulations
requiring that states having rail fixed guideway mass transportation
systems ``not subject to regulation by the Federal Railroad
Administration'' establish a state safety oversight program. 49 U.S.C.
5330. Those regulations, which appear at 49 CFR part 659, provide that
they apply where FRA does not regulate. Thus, with no overlap in
jurisdiction, Congress has now provided for the oversight of both
railroads subject to FRA's safety jurisdiction and rail transit systems
that are not connected to the general railroad system.
The primary issue addressed by this policy statement is the means
by which FRA and FTA propose to coordinate their safety programs with
regard to rail transit systems that share tracks with freight
railroads. Although compatible in terms of track gage, these two forms
of rail service are incompatible in terms of equipment. A collision
between a light rail transit vehicle with passengers aboard and heavy-
duty freight or passenger equipment would likely result in catastrophe.
This statement will also address how the two agencies
[[Page 28239]]
will coordinate their programs with regard to rail transit systems that
operate within the same right-of-way as conventional equipment but
without actually sharing trackage.
FRA will soon separately issue a proposed statement of agency
policy concerning its safety jurisdiction over railroad passenger
operations. In that statement, the reader will find a thorough
discussion of the extent and exercise of FRA's jurisdiction and
guidance on which of FRA's safety rules are likely to apply in
particular operational situations. In general, FRA provides safety
oversight of all railroad operations except rapid transit operations
that have no significant connection to the general railroad system,
such as the Chicago Transit Authority (CTA) in Chicago, the Washington
Metro, and the subway systems in New York, Boston, and Philadelphia. As
noted, the safety rules of FRA and FTA are mutually exclusive. If FRA
regulates a rail system, FTA's rules on state safety oversight do not
apply. Conversely, if FRA does not regulate a system, FTA's rules do
apply, assuming that the system otherwise meets the definition of a
``rail fixed guideway system'' under 49 CFR 659.5. FRA's policy
statement reviewing in detail its jurisdiction will more clearly define
where FTA's rules apply.
This joint statement is intended to: (1) Explain the nature of the
most important safety issues related to shared use of the general
railroad system by conventional and rail transit equipment; (2)
summarize the application of FRA safety rules to such shared-use
operations; and (3) help transit authorities, railroads, and other
interested parties understand how the respective safety programs of the
two agencies will be coordinated.
1. Safety Issues Related to Shared Use of the General System
The expansion of rail passenger transportation promises significant
benefits to America's communities in terms of reduced highway
congestion, reduced pollution, lower commuting times, and increased
economic opportunities. However, the expansion of rail transit systems
operating over portions of conventional railroad trackage poses major
safety issues that must be addressed if such service is to be provided
within a suitably safe transportation environment.
Potential for a Collision
The most important safety issue related to shared use of the
general railroad system is the potential for a catastrophic collision
between conventional rail equipment and rail transit equipment of
lighter weight. Because of the significantly greater mass and
structural strength of conventional equipment, the two types of
equipment are simply not designed to be operated in a setting where
there is any appreciable risk of their colliding.
Shared Use of Highway-Rail Grade Crossings
For decades, the greatest cause of death associated with
railroading in America has been collisions between railroad vehicles
and highway vehicles at grade crossings. Existing and contemplated
shared-use light rail operations on the general system will typically
involve train movements over highway grade crossings. To the extent
train movements over grade crossings increase, the collision exposure
to the highway user, rail employees, and rail passengers increases. We
want to ensure that local rail transit operations that are conducted on
the general system are designed and operated to address these serious
risks and to prevent grade crossing collisions involving light rail
equipment.
A related issue is the prevalence of death and serious injury to
trespassers on railroad property. Trespasser fatalities have recently
outpaced grade crossing accidents as the leading cause of death on the
nation's railroads. To the extent that shared use of the general system
results in a substantial increase in the number of pedestrians crossing
by foot in the path of trains, the potential for additional deaths to
trespassers is very real and should be addressed in planning these
operations.
Shared Infrastructure
Light rail operations on or over the general railroad system will
affect and be affected by the track, bridges, signals, and other
structures on the line. The light rail and conventional systems may
also share a communications system. The responsibility for operating
and maintaining this shared infrastructure may vary. However, even if
the light rail operator has no direct responsibility for maintenance,
there will need to be sufficient coordination to alert the light rail
operator to related safety problems and to ensure the light rail
operator conveys relevant information (e.g., readily apparent track
defects or signal failures) to the party responsible for operation and
maintenance.
Employee Safety
The safety of employees who operate trains on the general system,
control movements over that system, or maintain its infrastructure is
protected in certain ways by the Federal railroad safety laws. Light
rail employees will be entitled to appropriate protections during
shared-use operations. In addition, the light rail operators will need
to observe rules designed to protect employees of other organizations
who may be working along the right-of-way.
2. Approaches to Various Forms of Shared Use
Operations on the General System
Local rail transit operations conducted over the lines of the
general system become part of that system and necessitate FRA safety
oversight of rail transit operations to the extent of such shared use.
The only two existing examples are the San Diego Trolley and the
Central Light Rail Line in Baltimore. This does not mean that all of
FRA's regulations will be applied to all aspects of these operations.
First, FRA has no intention of overseeing rail transit operations
conducted separate and apart from the general system. (As noted above,
FRA regulates commuter operations without regard to their general
system connections.) Second, FRA anticipates granting appropriate
waivers of its rules to permit shared use of general system lines by
light rail and conventional equipment where the applicant transit
systems and railroads commit to alternative measures and FRA finds that
those measures will ensure safety.
Where complete temporal separation between light rail and
conventional operations is achieved, the risk of collision between the
two types of equipment can be minimized or eliminated. Temporal
separation involves operating conventional and light rail equipment at
completely distinct periods of the day (e.g., where the light rail line
operates only between 6 a.m. and 10 p.m., and freight or other
conventional rail movements occur only between 11 p.m. and 5 a.m., and
where procedures and/or technologies are in place to ensure strict
observation of these limits). Under these circumstances, FRA
anticipates granting necessary waivers concerning rules related to
design of the passenger equipment, although waivers in other safety
areas not addressed by temporal separation may not be appropriate.
Operations Outside of the Shared-Use Area
Where local rail transit operations consist of segments that
involve shared use with conventional equipment adjoined with segments
that do not involve shared use (e.g., street railway
[[Page 28240]]
segments), FRA does not currently intend to exercise its jurisdiction
over operations outside of the shared-use area (which, because of their
connection to the general system, are within FRA's jurisdiction).
Instead, FRA, with FTA's assistance, will coordinate with the state
oversight agency to ensure effective and non-duplicative monitoring of
the safety of the different segments of the operation. FRA, again with
FTA's assistance, will make every effort in its waiver process to give
due weight to elements of the operation's system safety plan that carry
over into the shared-use portion of the system.
Operations Within a Shared Right-of-Way
A light rail transit operation may share a right-of-way but no
trackage with a conventional railroad. An example is a light rail
system whose tracks run parallel to but between the tracks of a freight
line. Where such systems share highway-rail grade crossings with
conventional railroads, FRA expects both systems to observe its rules
on grade crossing signals that, for example, require prompt reports of
warning system malfunctions. In addition, FRA and FTA will coordinate
with rapid transit agencies and railroads wherever there are concerns
about sufficient intrusion detection and related safety measures
designed to avoid a collision between rapid transit trains and
conventional equipment.
Operations Over a Rail Crossing at Grade and Other Limited Connections
Where a rail transit system crosses a conventional railroad at
grade, but has no other connection to the general system, FRA's safety
rules cover the point of connection, and FRA and FTA will coordinate
with the transit system and railroad to ensure safety at the crossing.
FRA does not consider a switch that merely permits the transit system
to receive shipments for its own use a connection significant enough to
warrant application of FRA's rules.
3. FTA and FRA Safety Partnership
FTA and FRA have been working closely together for several years to
ensure proper coordination of their safety programs. In October 1998,
FRA and FTA entered into an agreement designed to enhance their efforts
in identifying and resolving safety issues in rail-related projects
funded by FTA. Under the agreement, the agencies agreed to take actions
that will ensure that FRA's rail safety expertise is brought to bear on
safety issues inherent in rail grant proposals early in the planning
and development process.
Coordination on Rail Safety Waiver Requests
Light rail transit operators who intend to share use of the general
railroad system with conventional equipment will either have to comply
with FRA's safety rules or obtain a waiver of appropriate rules. FRA
may grant a waiver ``if the waiver is in the public interest and
consistent with railroad safety.'' 49 U.S.C. 20103(d). FRA intends to
make its waiver process as smooth and comprehensive as possible. FTA
will assist FRA in that effort. As part of that process, FRA asks that
the light rail operator and all other affected railroads jointly file a
Petition for Approval of Shared Use. In its separate statement of
policy to be published in the near future, FRA provides guidance on
what factors the petition should address. The factors include:
A detailed description of both the light rail and the
conventional railroad's operations on the shared use trackage.
Plans for separation of the light rail and conventional
operations by time of day, including a description of what protective
systems will ensure that simultaneous operation of the two types of
equipment will not occur.
Alternative safety measures to be employed in place of
each rule for which waiver is sought.
Any system safety program plan developed for the
operation, including one prepared for a stand-alone rapid transit
segment under FTA's State Safety Oversight Program.
Note: FRA and FTA have grave concerns about whether, given their
structural incompatibility, light rail and conventional equipment
can ever be operated safely on the same trackage at the same time.
In the event that petitioners nevertheless seek approval of
simultaneous joint use, the petitioners will face a steep burden of
demonstrating that extraordinary safety measures will be taken to
adequately reduce the likelihood and/or severity of a collision
between conventional and light rail equipment to the point where the
safety risks associated with joint use would be acceptable. FRA
expects that such a petition will contain a considerable amount of
additional information, including:
Equipment specifications for any equipment that will
not meet FRA's passenger equipment safety standards, plus an
engineering analysis of the equipment's resistance to damage in
various types of collisions.
A quantitative risk assessment concerning the risk of
collision between the light rail and conventional equipment and
between the light rail equipment and highway vehicles.
Like all waiver petitions, a Petition for Approval of Shared Use
will be reviewed by FRA's Railroad Safety Board. FTA will appoint a
non-voting liaison to FRA's board, and that person will participate in
the board's consideration of all such petitions. This close cooperation
between the two agencies will ensure that FRA benefits from the
insights, particularly with regard to operational and financial issues,
that FTA can provide about light rail operations, as well as from FTA's
knowledge of and contacts with state safety oversight programs. This
working relationship will also ensure that FTA has a fuller
appreciation of the safety issues involved in each specific shared use
operation and a voice in shaping the safety requirements that will
apply to such operations.
In general, the greater the safety risks inherent in a proposed
operation the greater will be the mitigation measures required. It is
the intention of FTA and FRA to maintain the level of safety typical of
conventional rail passenger operations while accommodating the
character and needs of light rail transit operations.
FRA and FTA believe that they can give light rail operators a high
degree of confidence that FRA will provide the waivers they need to
operate on a time-separated basis in shared-use situations. To
facilitate the waiver process, FRA will include in its soon-to-be-
issued proposed statement of policy a detailed statement of the rules
light rail operators should expect to comply with and those rules from
which they can expect to receive waivers, provided that the planned
light rail operations will be wholly separated in time from
conventional rail operations. For discussion purposes only, we have
attached a chart summarizing FRA's early thinking on these issues. With
this information, light rail operators can plan and design their
projects in such a way that they can be confident, absent unusual facts
about a particular project presenting some atypical safety hazard, of
receiving the waivers needed to operate.
In its petition, the light rail operator may want to certify that
the subject matter addressed by the rule to be waived is addressed by
the system safety plan and that the light rail operation will be
monitored by the state safety oversight program. That is likely to
expedite FRA's processing of the petition. FRA will analyze information
submitted by the Petitioner to demonstrate that a safety matter is
addressed by the light rail operator's system safety plan. Where FRA
grants a waiver, the state agency will oversee the area addressed by
the waiver, but FRA will actively participate in partnership with FTA
and the state agency to address any safety problems. If the
[[Page 28241]]
conditions under which the waiver was granted change substantially, or
unanticipated safety issues arise, FRA may modify or withdraw a waiver
in order to ensure safety.
Conclusion
Expanded use of existing railroad lines to provide increased
transportation opportunities for passengers in metropolitan areas is a
development that FTA and FRA strongly wish to encourage. Working
together, the two agencies intend to ensure that such development goes
forward smoothly and in a way that guarantees that the blending of
light rail and conventional rail operations continues their excellent
safety records.
Issued in Washington, DC, on May 18, 1999.
Jolene M. Molitoris,
Federal Railroad Administrator.
Gordon J. Linton,
Federal Transit Administrator.
Summary of FRA Waivers That May Be Appropriate for Time-Separated
Light Rail Operations
FRA may, after notice and an opportunity for a hearing, grant a
waiver of a federal safety rule ``if the waiver is in the public
interest and consistent with railroad safety.'' 49 U.S.C. 20103. This
document lists each of FRA's railroad safety rules and provides FRA's
early thinking on whether the operator of a light rail system that
shares trackage with a conventional railroad should expect to comply
with the rule on the shared track or may receive a waiver. This chart
assumes that the operations of the local rail transit agency on the
general railroad system are completely separated in time from
conventional railroad operations, in accordance with guidance issued by
FRA, and that the light rail operation poses no atypical safety
hazards. FRA's procedural rules on matters such as enforcement (49 CFR
parts 209 and 216), and its statutory authority to take emergency
action to address an imminent hazard of death or injury, would apply to
these operations in all cases.
Where waivers are granted, a light rail operator would be expected
to operate under a system safety plan developed in accordance with the
FTA state safety oversight program. The state safety oversight agency
would be responsible for the safety oversight of the light rail
operation, even on the general system, with regard to aspects of that
operation for which a waiver is granted. FRA will actively participate
in partnership with the state agency to address any safety problems. If
the conditions under which the waiver was granted change substantially,
or unanticipated safety issues arise, FRA may modify or withdraw a
waiver in order to ensure safety.
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Title 49 CFR part Subject of rule Likely treatment Comments
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Track, Structures, and Signals
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213............................ Track Safety Standards Comply (assuming light rail If the conventional RR
operator owns track or has owns the track, light
been assigned rail will have to observe
responsibility for it). speed limits for class of
track.
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233, 235, 236.................. Signal and train Comply (assuming light rail If conventional RR
control. operator or its contractor maintains signals, light
has responsibility for rail will have to abide
signal maintenance). by operational
limitations and report
signal failures.
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234............................ Grade Crossing Signals Comply (assuming light rail If conventional RR
operator or its contractor maintains devices, light
has responsibility for rail will have to comply
crossing devices). with sections concerning
activation failures and
false activations.
213, Appendix C................ Bridge safety policy.. Not a rule. Compliance
voluntary.
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Motive Power and Equipment
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210............................ Noise emission........ Waive...................... State safety oversight.
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215............................ Freight car safety Waive...................... State safety oversight.
standards.
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221............................ Rear end marking Waive...................... State safety oversight.
devices.
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223............................ Safety glazing Waive...................... State safety oversight.
standards.
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229............................ Locomotive safety Waive, except perhaps for State safety oversight.
standards. alerting lights, which are
important for grade
crossing safety.
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231*........................... Safety appliance Waive...................... State safety oversight;
standards. see note below on
statutory requirements.
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238............................ Passenger equipment Waive...................... State safety oversight.
standards.
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Operating Practices
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214............................ Bridge Worker......... Waive...................... OSHA standards.
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[[Page 28242]]
214............................ Roadway Worker Safety. Comply.....................
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217............................ Operating Rules....... Waive...................... State safety oversight.
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218............................ Operating Practices... Waive, except for State safety oversight.
prohibition on tampering
with safety devices
related to signal system.
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219............................ Alcohol and Drug...... Waive if FTA rule otherwise FTA rule may apply.
applies.
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220............................ Radio communications.. Waive, except to extent State safety oversight.
communications with
freight trains and roadway
workers are necessary.
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225............................ Accident reporting and Comply with regard to train Employee injuries would be
investigation. accidents and crossing reported under FTA or
accidents; waive as to OSHA rules.
injuries.
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228**.......................... Hours of service Waive (in concert with See note below on possible
recordkeeping. waiver of statute); waiver waiver of statutory
not likely for personnel requirements.
who dispatch conventional
RR or maintain signal
system on shared use track.
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239............................ Passenger train Waive...................... State safety oversight.
emergency
preparedness.
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240............................ Engineer certification Waive...................... State safety oversight.
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* Certain safety appliance requirements (e.g., automatic couplers) are statutory and can only be waived under
the conditions set forth in 49 U.S.C. 20306, which permits exemptions if application of the requirements would
``preclude the development or implementation of more efficient railroad transportation equipment or other
transportation innovations.'' If consistent with employee safety, FRA could probably rely on this provision to
address most light rail equipment that could not meet the standards.
** Currently, 49 U.S.C. 21108 permits FRA to waive substantive provisions of the hours of service laws based
upon a joint petition by the railroad and affected labor organizations, after notice and an opportunity for a
hearing. This is a ``pilot project'' provision, so waivers are limited to two years but may be extended for
additional two-year periods after notice and an opportunity for comment.
[FR Doc. 99-13038 Filed 5-24-99; 8:45 am]
BILLING CODE 4910-06-P