99-32447. Revised Docket Filing Procedures for Federal Railroad Administration Rulemaking and Adjudicatory Dockets  

  • [Federal Register Volume 64, Number 241 (Thursday, December 16, 1999)]
    [Rules and Regulations]
    [Pages 70193-70196]
    From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
    [FR Doc No: 99-32447]
    
    
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    DEPARTMENT OF TRANSPORTATION
    
    Federal Railroad Administration
    
    49 CFR Parts 211, 235, 238 and 240
    
    [Docket No. FRA-99-6625, Notice No. 1]
    RIN 2130-AB37
    
    
    Revised Docket Filing Procedures for Federal Railroad 
    Administration Rulemaking and Adjudicatory Dockets
    
    AGENCY: Federal Railroad Administration (FRA), DOT.
    
    ACTION: Final rule.
    
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    SUMMARY: The Federal Railroad Administration has consolidated its 
    docket operations with those of other Department of Transportation 
    operating elements. DOT's nine separate docket facilities have been 
    consolidated into the Centralized Docket Management System and have 
    been converted from a paper-based system to an optical imaging system 
    for more efficient storage, management and retrieval of docketed 
    information. This conversion is intended to provide better service and 
    more widespread access to both the public and government users. This 
    final rule provides details of new docket filing procedures for FRA 
    regulatory and adjudicatory proceedings.
        This final rule also amends certain FRA rules to provide accurate 
    information to the public regarding filing requirements for FRA 
    proceedings.
    
    DATES: This final rule is effective February 14, 2000.
    
    ADDRESSES: Dockets opened after September 15, 1998, are available for 
    inspection and copying in DOT's Central Docket Management System 
    located in room PL-401 at the Plaza level of the Nassif Building, 400 
    Seventh Street, SW, Washington, DC 20590. Docket materials filed in the 
    Central Docket Management System are also available for viewing and 
    downloading on the Internet at http://dms.dot.gov.
    
        All rulemaking comments, comments pertaining to regulatory waiver 
    dockets, railroad block signal applications, special approval 
    proceedings, and submissions related to adjudicatory dockets (e.g. 
    hearings on engineer certification denials or revocations) should be 
    submitted to DOT's Central Docket Management System, 401 Plaza level, 
    Nassif Building at the U.S. Department of Transportation, Room PL 401, 
    400 Seventh Street, SW, Washington, DC 20590-0001 between the hours of 
    10 a.m. and 5 p.m.
    
    FOR FURTHER INFORMATION CONTACT: Mark Tessler, Office of Chief Counsel, 
    Federal Railroad Administration, 1120 Vermont Avenue, N.W., Mail Stop 
    10, Washington, D.C. 20590 (telephone 202-493-6061) (e-mail address: 
    mark.tessler@fra.dot.gov).
    
    SUPPLEMENTARY INFORMATION: On March 15, 1995, DOT issued a public 
    meeting notice (60 FR 14050) concerning the centralization and 
    computerization of DOT dockets. On June 10, 1996, at 61 FR 29282, the 
    Office of the Secretary (OST) published a final rule revising the 
    filing procedures for OST dockets. FRA's transition to the DOT-wide 
    Central Docket Management System (Central Dockets) began in September 
    1998. All new regulatory and adjudicatory dockets established after 
    that date are located in the central docket facility. Therefore, all 
    comments and related documents filed in those proceedings should be 
    sent to the docket facility address listed above. Each Federal Register 
    notice requesting comments from the public in a proceeding will contain 
    instructions on how to file comments and where they should be sent. 
    While we prefer that all comments and related documents be sent 
    directly to the new facility, FRA will, for the foreseeable future, 
    ensure that documents sent directly to FRA will be forwarded to the 
    Central Docket. The date of receipt will, however, be the date and time 
    logged in at the Central Docket.
    
    Internet Access to Docket Materials
    
        The change in docket filing procedures announced in this notice 
    will provide the public with unprecedented access to FRA's public 
    dockets. All documents in FRA's public dockets established in the 
    central docket system are accessible through the Internet at http://
    dms.dot.gov. Detailed information is available at that Web site to 
    assist the public in viewing documents filed in FRA's and other DOT 
    administrations' regulatory and adjudicatory proceedings. In order to 
    view documents, a software program called a document image viewer must 
    be installed on your computer. The Web site listed above provides 
    information as to how such viewer programs (also known as ``plug-
    ins''), which are generally available free of charge, may be downloaded 
    onto your computer. When downloaded, the viewer program installs itself 
    into your current Internet browser to enable the documents to be 
    viewed. In many cases, Internet browsers already contain such plug-ins 
    without the need for additional action by the user.
    
    Filing of Submissions to the Central Docket
    
    Paper Filing
    
        At the present time, to ensure that the highest quality image is 
    captured during the scanning process, we request that documents be 
    typed double spaced on 8\1/2\ by 11 inch white paper with dark type 
    (not green) to provide adequate contrast for reproduction. Original 
    documents should be unbound, without tabs, to reduce possible damage to 
    the document during removal of fasteners and to facilitate the use of a 
    high-speed mechanism for automated scanning. Multi-page documents may 
    be clipped with a removable clip or other similar device. Filers are 
    requested to provide one-sided original documents to speed the physical 
    scanning process, but the capability to sort and copy double-sided 
    copies is available. Specific filing instructions will be found on the 
    Central Docket web site. We anticipate that those instructions and 
    technical requirements will periodically change due to advances in 
    document storage and retrieval technology.
        In the unlikely event that written materials cannot be scanned they 
    will be stored at FRA's own docket facility and a cross-reference to 
    the location of the material will be noted in the docket file. 
    Similarly, non-scannable items such as videotapes, and non-paper items, 
    will be stored at FRA's docket facility.
    
    Electronic Filing
    
        In addition to traditional paper filings, comments and related 
    files may be submitted electronically to established dockets. Because 
    technology in this area is changing very rapidly, directions and 
    technical requirements for such submissions are not being specified in 
    this notice, but may be found at the Central Docket web site. This will 
    enable the public to take
    
    [[Page 70194]]
    
    immediate advantage of changes in technology as they are adopted by the 
    Central Docket. Each Federal Register notice requesting comments from 
    the public in a proceeding will contain specific information regarding 
    electronic filing of comments.
    
    Section by Section Analysis of Regulatory Amendments To Reflect the 
    Change in Docket Facilities
    
    Part 209
    
        Part 209, ``Railroad Safety Enforcement Procedures'' describes 
    certain procedures employed by FRA in its enforcement of statutes and 
    regulations related to railroad safety. Subpart B of part 209, 
    prescribes rules of procedure for the assessment of civil penalties 
    pursuant to the Federal hazardous materials transportation law. Subpart 
    C prescribes rules of procedure leading to the issuance of compliance 
    orders, while subpart D prescribes the rules of practice for 
    administrative proceedings relating to the determination of an 
    individual's fitness for performing safety-sensitive functions. No 
    changes are being made to these provisions. Section 209.9, ``Filing'' 
    provides that all materials filed with FRA in connection with a 
    proceeding under subpart B, C, or D shall be submitted to the Assistant 
    Chief Counsel for Safety. If the informal proceedings prescribed in 
    these subparts evolve into adjudicatory proceedings, the hearing 
    officer or presiding officer will take appropriate steps to create a 
    public docket and will provide the necessary direction to the parties 
    as to proper filing procedures.
    
    Part 211
    
        Part 211 of title 49 of the Code of Federal Regulations, ``Rules of 
    Practice'', provides for the rules of practice that apply to rulemaking 
    and waiver proceedings, review of emergency orders, and miscellaneous 
    safety-related proceedings and informal safety inquiries. Part 211 
    contains various references to filing of documents with the Docket 
    Clerk. This part is being revised to reflect the new filing procedures 
    and locations.
        The definition and address of the docket clerk in section 
    211.1(b)(4) is being amended to include the DOT Docket Management 
    System. Each regulation containing a filing requirement will specify 
    the office in which a document should be filed, however, generally, if 
    a party is filing a document to a docket which has already been 
    established (after November 1, 1998), that document should be filed 
    with the DOT Docket Management System and should contain the unique 
    docket number assigned to that proceeding. However, if a docket has not 
    yet been established by FRA, correspondence and documents should be 
    sent to FRA. For example, requests that FRA issue a regulatory waiver, 
    or petitions for rulemaking should be sent directly to FRA's Docket 
    Clerk who will take steps to open a docket, if appropriate.
        New paragraph 211.5(a) provides that regulatory and other dockets 
    created after November 1, 1998, are maintained by the DOT Docket 
    Management System and may be accessed at the Central Dockets office or 
    on the Internet. The records available include rulemaking and waiver 
    petitions, applications for special approval, grandfathering petitions 
    under part 238, emergency orders, notices, comments received in 
    response to notices, hearing transcripts, final rules, denials of 
    rulemaking petitions, grants and denials of waiver and other petitions.
        New paragraph 211.5(b) provides that the type of records cited in 
    paragraph (a), but created prior to November 1, 1998, remain available 
    at FRA's docket room at its headquarters at 1120 Vermont Avenue, NW, 
    Washington, DC 20590.
    
    Part 235
    
        Part 235 ``Instructions Governing Applications for Approval of a 
    Discontinuance or Material Modification of a Signal System or Relief 
    From the Requirements of Part 236'' is being amended to eliminate the 
    procedural requirement that notice of the filing of an application for 
    approval of a discontinuance or material modification or a request for 
    reconsideration be posted in the FRA Office of Public Affairs. For a 
    number of years, notices have also been published in the Federal 
    Register. Given the availability of the notices in the Federal Register 
    and over the Internet, posting in the Office of Public Affairs is not 
    necessary for adequate public notice. Therefore, this section is being 
    revised to provide for publication of such notices in the Federal 
    Register.
    
    Part 238
    
        Part 238, ``Passenger Equipment Safety Standards'', is being 
    amended to specify that comments in certain proceedings should be filed 
    with DOT's Central Docket Management System. Section 238.21(f) is being 
    amended to provide that comments relating to the special approval 
    procedure specified in that section be filed with the Central Dockets. 
    The amendment also provides that either written or electronic 
    submissions may be made. Because of the availability of all comments on 
    the Internet, FRA is deleting Sec. 238.21(f)(3) which had required 
    certification of filing of a copy of the comment on each petitioner. 
    Section 238.203(g), relating to petitions for grandfathering, is being 
    similarly amended. It is important to note that the only provisions 
    being amended are those relating to comments filed by interested 
    parties; provisions relating to filing of the petitions by parties 
    requesting relief, remain unchanged.
    
    Part 240
    
        Part 240, ``Qualification and Certification of Locomotive 
    Engineers'' is also being amended to specify the situations in which 
    documents should be filed with DOT's Central Docket Management System 
    and those situations in which documents should still be sent to FRA's 
    Office of Chief Counsel.
        Section 240.403, which governs petitions requesting Locomotive 
    Engineer Review Board review of a railroad's decision to deny 
    certification, deny recertification, or revoke certification, requires 
    that such petitions be submitted to FRA's Docket Clerk. These petitions 
    will still be filed with the Office of Chief Counsel.
        Petitions and other documents associated with the administrative 
    hearings prescribed in 49 CFR 240.409 (hearing for those adversely 
    affected by a decision of the Locomotive Engineer Review Board) will be 
    filed in DOT's Central Docket Management System. Section 240.407(b) 
    will thus clarify the revised filing requirement.
    
    Executive Order 12866 and DOT Regulatory Policies and Procedures
    
        This Final Rule has been evaluated in accordance with existing 
    policies and procedures of DOT. FRA has concluded that this rule does 
    not constitute a significant rule under either Executive Order 12866 or 
    DOT's regulatory policies and procedures.
    
    Regulatory Flexibility Act
    
        The Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et seq.) 
    requires a review of rules to assess their impact on small entities. 
    FRA certifies that this rule will not have a significant impact on a 
    substantial number of small entities. There are no substantial economic 
    impacts for small units of government, businesses, or other 
    organizations.
    
    Paperwork Reduction Act
    
        This rule contains no new information collection requirements.
    
    [[Page 70195]]
    
    Environmental Impact
    
        FRA has evaluated this Final Rule in accordance with its procedure 
    for ensuring full consideration of the potential environmental impacts 
    of FRA actions, as required by the National Environmental Policy Act 
    (42 U.S.C. 4321 et seq.), and related directives. This rule has no 
    impact on the environment.
    
    Federalism Implications
    
        This action has been analyzed in accordance with the principles and 
    criteria contained in Executive Order 13132, ``Federalism,'' and it has 
    been determined that this Final Rule does not have federalism 
    implications.
    
    Public Participation
    
        FRA is proceeding to a final rule without providing a notice of 
    proposed rulemaking or an opportunity for public comment. Inasmuch as 
    the final rules issued today are rules of agency organization, 
    procedure and practice, FRA finds that notice and opportunity for 
    comment are impracticable and unnecessary.
    
    List of Subjects in 49 CFR Parts 211, 235, 238 and 240
    
        Administrative practice and procedure, Railroad safety.
    
        Therefore in consideration of the foregoing, parts 211, 235, 238 
    and 240 of title 49, Code of Federal Regulations are amended as 
    follows:
    
    PART 211--[AMENDED]
    
        1. The authority citation for part 211 is revised to read as 
    follows:
    
        Authority: 49 U.S.C. 20103, 20107 and 49 CFR 1.49.
    
        2. Section 211.1(b)(4) is revised to read as follows:
    
    
    Sec. 211.1  General.
    
    * * * * *
        (b) * * *
        (4) Docket Clerk means the Docket Clerk, Office of Chief Counsel, 
    Federal Railroad Administration, 1120 Vermont Avenue, N.W., Mail Stop 
    10, Washington, D.C. 20590 or the Docket Clerk, Department of 
    Transportation Central Docket Management System, Nassif Building, Room 
    Pl-401, 400 Seventh Street, S.W., Washington, D.C. 20590-0001.
    * * * * *
        3. Section 211.5 is amended by revising paragraphs (a) and (b) to 
    read as follows:
    
    
    Sec. 211.5  Regulatory docket.
    
        (a)(1) Records of the Federal Railroad Administration created after 
    November 1, 1998, concerning each proceeding subject to this part are 
    maintained in current docket form by the DOT Docket Management System. 
    These records include rulemaking and waiver petitions, emergency 
    orders, notices, comments received in response to notices, hearing 
    transcripts, final rules, denials of rulemaking petitions, grants and 
    denial of waiver and other petitions. Also included are records 
    pertaining to applications for special approval under Sec. 211.55 and 
    Sec. 238.21 of this chapter, petitions for grandfathering approval 
    under Sec. 238.203 of this chapter, signal applications under parts 235 
    and 236 of this chapter, and informal safety inquiries under 
    Sec. 211.61.
        (2) Any person may examine docketed material created after November 
    1, 1998:
        (i) At the DOT Docket Management System, room Pl-401 (plaza level), 
    400 Seventh Street, S.W. Washington, D.C. 20590. Copies of docketed 
    materials may be obtained upon payment of the fees prescribed by the 
    Docket Management System, or
        (ii) Through the Internet at http://dms.dot.gov. All docketed 
    materials are available for viewing and may be downloaded for 
    electronic storage or printing. There is no charge for this service.
        (b) Records of the Federal Railroad Administration created before 
    November 1, 1998, concerning each proceeding subject to this part are 
    available in FRA's Docket Office, seventh floor, 1120 Vermont Avenue, 
    Washington, DC 20590. Any person may examine docketed material at that 
    location during normal business hours. Copies of docketed material may 
    be obtained upon payment of the fees prescribed in part 7 of this 
    title.
    * * * * *
        4. Section 211.7 is revised to read as follows:
    
    
    Sec. 211.7  Filing requirements.
    
        (a) Any person may petition the Administrator for issuance, 
    amendment, repeal or permanent or temporary waiver of any rule or 
    regulation. A petition for waiver must be submitted at least 3 months 
    before the proposed effective date, unless good cause is shown for not 
    doing so.
        (b)(1) All petitions and applications subject to this part, 
    including applications for special approval under Sec. 211.55 and 
    Sec. 238.21 of this chapter, petitions for grandfathering approval 
    under Sec. 238.203 of this chapter, and signal applications under parts 
    235 and 236 of this chapter, shall be submitted in triplicate to the 
    FRA Docket Clerk. Each petition received shall be acknowledged in 
    writing. The acknowledgment shall contain the docket number assigned to 
    the petition or application and state the date the petition or 
    application was received. Within 60 days following receipt, FRA will 
    advise the petitioner or applicant of any deficiencies in its petition 
    or application.
        (2) All comments submitted in response to a notice and other 
    material pertaining to proceedings subject to this part, including 
    comments submitted in response to requests for special approval under 
    Sec. 211.55 and Sec. 238.21 of this chapter, petitions for 
    grandfathering approval under Sec. 238.203 of this chapter, and signal 
    applications under parts 235 and 236 of this chapter, shall be 
    submitted to the DOT Central Docket Management System and shall contain 
    the assigned docket number for that proceeding. The form of such 
    submissions may be in written or electronic form consistent with the 
    standards and requirements established by the Central Docket Management 
    System and posted on its web site at http://dms.dot.gov.
        5. The second sentence of Sec. 211.19(a) is revised to read as 
    follows:
    
    
    Sec. 211.19  Petitions for extensions of time to comment.
    
        (a) * * * The petition must be received by the FRA Docket Clerk not 
    later than 10 days before expiration of the time stated in the notice 
    and must contain reference to the FRA docket number for the proceeding 
    involved. * * *
    * * * * *
    
    PART 235--[AMENDED]
    
        6. The authority citation for part 235 continues to read as 
    follows:
    
        Authority: 49 U.S.C. 20103, 20107, and 49 CFR 1.49.
    
        7. Section 235.14 is revised to read as follows:
    
    
    Sec. 235.14  Notice.
    
        The FRA will publish notice of the filing of an application or a 
    request for reconsideration of an application in the Federal Register 
    and a copy of such notice will be available at the Department of 
    Transportation Central Docket Management System, Nassif Building, Room 
    Pl-401, 400 Seventh Street, S.W., Washington, D.C. 20590, and on the 
    Docket Management System's Web site at http://dms.dot.gov.
    
    PART 238--[AMENDED]
    
        8. The authority citation for part 238 continues to read as 
    follows:
    
    
    [[Page 70196]]
    
    
        Authority: 49 U.S.C. 20103, 20107, 20133, 20141, 20302-03, 
    20306, and 20701-02; 49 CFR 1.49.
    
        9. Section 238.21(f) is revised to read as follows:
    
    
    Sec. 238.21  Special approval procedure.
    
    * * * * *
        (f) Comment. Not later than 30 days from the date of publication of 
    the notice in the Federal Register concerning a petition under 
    paragraphs (b) and (c) of this section, any person may comment on the 
    petition.
        (1) Each comment shall set forth specifically the basis upon which 
    it is made, and contain a concise statement of the interest of the 
    commenter in the proceeding.
        (2) Each comment shall be submitted to the DOT Central Docket 
    Management System, Nassif Building, Room Pl-401, 400 Seventh Street, 
    S.W., Washington, D.C. 20590, and shall contain the assigned docket 
    number for that proceeding. The form of such submission may be in 
    written or electronic form consistent with the standards and 
    requirements established by the Central Docket Management System and 
    posted on its web site at http://dms.dot.gov.
    * * * * *
        10. Section 238.203(g) is revised to read as follows:
    
    
    Sec. 238.203  Static end strength.
    
    * * * * *
        (g) Comment. Not later than 30 days from the date of publication of 
    the notice in the Federal Register concerning a petition under 
    paragraph (d) of this section, any person may comment on the petition.
        (1) Each comment shall set forth specifically the basis upon which 
    it is made, and contain a concise statement of the interest of the 
    commenter in the proceeding.
        (2) Each comment shall be submitted to the DOT Central Docket 
    Management System, Nassif Building, Room Pl-401, 400 Seventh Street, 
    SW, Washington, DC 20590, and shall contain the assigned docket number 
    for that proceeding. The form of such submission may be in written or 
    electronic form consistent with the standards and requirements 
    established by the Central Docket Management System and posted on its 
    web site at http://dms.dot.gov.
    * * * * *
    
    PART 240--[AMENDED]
    
        11. The authority citation for part 240 continues to read as 
    follows:
    
        Authority: 49 U.S.C. 20103, 20107, 20135; 49 CFR 1.49.
    
        12. Section 240.403(b)(2) is revised as follows:
    
    
    Sec. 240.403  Petition requirements.
    
    * * * * *
        (b) * * *
        (2) Be submitted in triplicate to the Docket Clerk, Office of Chief 
    Counsel, Federal Railroad Administration, 1120 Vermont Avenue, NW, 
    Washington, DC 20590;
    * * * * *
        13. Section 240.407(b) is revised to read as follows:
    
    
    Sec. 240.407  Request for a hearing.
    
    * * * * *
        (b) To exercise that right, the adversely affected party shall, 
    within 20 days of service of the Board's decision on that party, file a 
    written request with the Docket Clerk, Department of Transportation 
    Central Docket Management System, Nassif Building, Room Pl-401, 400 
    Seventh Street, S.W., Washington, D.C. 20590. The form of such request 
    may be in written or electronic form consistent with the standards and 
    requirements established by the Central Docket Management System and 
    posted on its web site at http://dms.dot.gov.
    * * * * *
        Issued in Washington, D.C. on September 30, 1999.
    Jolene M. Molitoris,
    Administrator.
    [FR Doc. 99-32447 Filed 12-15-99; 8:45 am]
    BILLING CODE 4910-06-P
    
    
    

Document Information

Effective Date:
2/14/2000
Published:
12/16/1999
Department:
Federal Railroad Administration
Entry Type:
Rule
Action:
Final rule.
Document Number:
99-32447
Dates:
This final rule is effective February 14, 2000.
Pages:
70193-70196 (4 pages)
Docket Numbers:
Docket No. FRA-99-6625, Notice No. 1
RINs:
2130-AB37: Revised Docket Filing Procedures for Federal Railroad Administration Rulemaking and Adjudicatory Dockets
RIN Links:
https://www.federalregister.gov/regulations/2130-AB37/revised-docket-filing-procedures-for-federal-railroad-administration-rulemaking-and-adjudicatory-doc
PDF File:
99-32447.pdf
CFR: (12)
49 CFR 211.1
49 CFR 211.5
49 CFR 211.7
49 CFR 211.19
49 CFR 211.55
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