[Federal Register Volume 61, Number 112 (Monday, June 10, 1996)]
[Rules and Regulations]
[Pages 29282-29284]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-14614]
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DEPARTMENT OF TRANSPORTATION
Office of the Secretary
14 CFR Part 302
[Docket No. OST-96-1436]
RIN 2105-AC26
Revised Filing Procedures for the OST Docket
AGENCY: Office of the Secretary (OST), DOT.
ACTION: Final rule.
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SUMMARY: The Office of the Secretary (OST) is revising its document
filing requirements to reduce the number of copies filed and to conform
to, and facilitate the scanning of documents into, its new electronic
docket system. DOT is consolidating its nine separate docket facilities
and converting from a paper-based system to an optical ``imaging''
system for more efficient storage, management, and retrieval of
docketed information. These filing requirement changes will assist the
new Docket Management Facility in completing its transition to the
electronic docket system.
EFFECTIVE DATE: This rule is effective July 10, 1996.
ADDRESSES: The new Docket Management Facility is located on the Plaza
Level of the Nassif Building at the U.S. Department of Transportation,
Room PL-401, 400 Seventh Street, SW., Washington, DC 20590-0001.
FOR FURTHER INFORMATION CONTACT: Paulette Twine, Chief, Documentary
Services Division, U.S. Department of Transportation, 400 Seventh
Street, SW., Washington, DC 20590-0001, Telephone: (202) 366-9329.
SUPPLEMENTARY INFORMATION: The Secretary of Transportation has directed
that the Office of the Secretary (OST) and eight of the DOT operating
administrations consolidate their separate paper-based docket
facilities into a single, central facility and convert to an electronic
image-based system. These changes will enable the Department to provide
better service and access to the public and to government users.
The Department plans to consolidate the docket facilities of the
other DOT agencies sequentially into the new, centralized Docket
Management Facility and to expand the capacity of the system as
necessary to accommodate each DOT agency. The OST and Federal Transit
Administration (FTA) docket facilities have already relocated to the
new Docket Management Facility. The consolidation will eliminate
duplication, improve records management, enhance docket security, and
provide easier public access by creating a single point of entry.
The Department's phased transition from a paper-based docket system
to storage of docket records in an electronic format will eliminate
paper storage problems, provide users with quicker access to docketed
information and more sophisticated search capabilities, and,
eventually, provide more efficient electronic transmission of
information to and from the Docket Management Facility. To meet the
legal requirements that DOT maintain a record of all materials
submitted to the dockets and produce certified true copies of docketed
information, the docket staff is scanning documents (for OST and FTA at
this time) and storing them as images on optical disks.
Read-only optical disks are permanent and unalterable, assuring 100
percent accuracy of the records. Each document page is a separate
record in the system and will have its own unique identifying number.
The system software relates the separate 20 records of a 20-page
document to each other in sequence and gives the document an address
reachable through the indexing system. The optical disk system allows
more efficient storage and management of docketed information, because
a single disk can store hundreds of
[[Page 29283]]
documents that are easily accessible through the index. The index
provides users with the capability for rapid retrieval and more
sophisticated cross-referencing and searching of docketed information.
OST plans to backscan existing paper dockets that are currently open
and a limited amount of necessary historical or precedential material
to optical disks that can be indexed for research purposes.
As part of this transition, the Docket Management Facility will
eventually be ``networked'' to Department offices to optimize the
document flow within the Department through electronic transmission.
Eventually, we plan to encourage and expand electronic filing by public
users and provide the capability for remote public access to the
electronic docket. We now have computer work stations with an easy-to-
use interface available in the new Docket Management Facility for the
public to access the electronically stored information. Also, we have
placed many OST orders and certain rulemaking documents on the
Department's internet web site (http://www.dot.gov/geninfo). The timing
of adding electronic filing and remote access capability will depend
upon the readiness of the new system and its staff to handle them and
upon budgetary considerations.
At this time, the Department's Docket Management Facility will
continue to accept only paper filings for an original document.
However, to facilitate review and processing by internal offices, a
formal paper filing may be accompanied by a 3\1/2\ inch disk in one of
the following formats: Microsoft Word (or RTF), WordPerfect, Excel,
Lotus 1 2 3, or ASCII. We are not scanning into the new system
documents for which confidential treatment has been requested. We will
continue to store confidential documents in hard copy in a secure
location and will place a cross-reference to them in the new docket
system. Access to these documents will be granted or denied by
Department order, as is done now. If we later decide to scan
confidential documents, we will publish a Federal Register notice that
describes how the system will ensure the confidentiality of and
restrict access to these documents and provides an opportunity for
public comment.
To ensure that the highest quality image is captured during the
scanning process, revised section 302.3(b)(1) provides that documents
must be typed double-spaced on 8\1/2\ by 11 inch white paper with dark
type (not green) to provide adequate contrast for photographic
reproduction. With one exception, original documents must be unbound,
without tabs, to reduce possible damage during removal of pins and
staples and to facilitate the use of a high-speed feeder mechanism for
automated scanning. Documents of more than one page may be clipped with
a removable clip or similar device. In cases assigned by order to an
Administrative Law Judge for hearing, the filing requirements with
respect to tabbing and binding and the number of copies required will
be set by order. We prefer that filers provide one-sided original
documents to speed the physical scanning process, but we have the
software capability to sort double-sided copies.
We recognize that some filings or submissions may not conform to
these requirements (e.g., tabbed original exhibit needed by ALJ.) The
Docket Management Facility staff has developed procedures for scanning
non-conforming documents or storing unscannable documents or exhibits
(e.g., rocks, huge blueprints) and cross-referencing them in the
system. Since nonconforming documents and materials require special
handling, they may take a little longer to show up on the system.
Revised section 302.3(b)(2) requests filers to provide certain
information for more rapid and complete indexing of their documents.
Many filers already include much of this information in their
documents. The Docket Management Facility also has an Expedited
Processing Sheet that filers can use to assist in index input, a
current copy of which is available on our internet site or from the
Docket Management Facility address listed on the first page.
The revisions to section 302.3 are designed to implement the
optical scanning and electronic filing of docketed materials and to
establish that when the Department produces an electronic scanned
record, it is the official docket copy of the document. The new
specifications for document filing will allow the prompt scanning of
filed materials and thereby reduce the need to retain paper records.
Not only should this effort result in a much more efficient use of
space, personnel, equipment, and expertise, but it should save the
public and the government time and money in analyzing information
submitted to the docket.
To relieve a burden on public docket users during this transition
period, the rule reduces the generic twelve copies plus original
required for all OST proceedings to the number of copies actually
needed for the particular type of proceeding. When we have completed
our conversion to a networked system that allows routine internal
electronic access to the electronic docket, we will consider further
reducing the number of required copies. The future transition to
electronic filing also will reduce our need for copies.
This rule is being issued as a final rule because it concerns
agency practice and procedure and, therefore, is exempt from prior
notice and comment requirements under section 553 (b) (3) (A) of the
Administrative Procedure Act (APA).
Regulatory Process Matters
This final rule is not considered a significant regulatory action
under section 3(f) of Executive Order 12866, and therefore it was not
reviewed by the Office of Management and Budget. This rule is not
considered significant under the Department's regulatory policies and
procedures.
The economic impact of this rule is so minimal that further
analysis is unnecessary. The changes will provide benefits to the
public in increased availability of electronic information, more rapid
document processing and review, and fewer copies to file to the docket.
This rule does not impose unfunded mandates or requirements that will
have any impact on the quality of the human environment.
Executive Order 12612
The Department has analyzed this rule under the principles and
criteria contained in Executive Order 12612 (``Federalism'') and has
determined that the rule does not have sufficient federalism
implications to warrant the preparation of a Federalism Assessment.
Regulatory Flexibility Act
I certify this rule will not have a significant economic impact on
a substantial number of small entities. Most filers already meet the
specifications of this rule. The rule will provide a minor benefit to
affected small entities by reducing the number of copies that they have
to file to the docket.
Paperwork Reduction Act
This rule contains no reporting or recordkeeping requirements.
List of Subjects in 14 CFR Part 302
Administrative practice and procedure, Air carriers.
For the reasons set forth above, 14 CFR part 302 is amended as
follows.
PART 302--RULES OF PRACTICE IN PROCEEDINGS
1. The authority citation for part 302 is revised to read as
follows:
[[Page 29284]]
Authority: 5 U.S.C. 551 et seq., 49 U.S.C. 40101 et seq.
2. Section 302.3 is amended by revising paragraphs (b) and (c) and
adding paragraph (f) to read as follows:
Sec. 302.3 Filing of documents.
* * * * *
(b) Formal specifications of documents.
(1) Documents filed under this part must be on white paper not
larger than 8\1/2\ by 11 inches, including any tables, charts and other
documents that may be included. Ink must be dark enough (but may not be
green) to provide substantial contrast for scanning and photographic
reproduction. Text must be double-spaced (except for footnotes and long
quotations, which may be single-spaced), using type not smaller than 12
point. The left margin must be at least 1\1/2\ inches; all other
margins must be at least 1 inch. The title page and first page must
bear a clear date and all subsequent pages must bear a page number and
abbreviated heading. In order to facilitate automated processing in
document sheet feeders, documents of more than one page should be held
together with removable metal clips or similar retainers. Original
documents may not be bound in any form or include tabs, except in cases
assigned by order to an Administrative Law Judge for hearing, in which
case the filing requirements will be set by order. Section 302.31
contains additional requirements as to the contents and style of
briefs.
(2) To facilitate indexing, a filer should include in or provide
with each document: the docket title and subject; the relevant
operating administration before which the application or request is
filed; the identity of the filer; the title of the specific action
being requested; and the name and address of the designated agent, and
so identified, on file for official service. The Docket Management
Facility has an Expedited Processing Sheet that filers can use to
assist in this index input.
(3) * * *
(c) Number of copies. Unless otherwise specified, an executed
original, along with the number of true copies set forth below for each
type of proceeding, must be filed with the Docket Management Facility.
The copies filed need not be signed, but the name of the person signing
the original document, as distinguished from the firm or organization
he or she represents, must also be typed or printed on all copies below
the space provided for the signature.
Airport Fees...................................................9 copies
Agreements
International Air Transport Association (IATA)................6 copies
Other (under 49 USC 41309)....................................9 copies
Complaints
Enforcement...................................................5 copies
Mail Contracts................................................4 copies
Rates, Fares and Charges in Foreign Air Transportation........6 copies
Unfair Practices in Foreign Air Transportation (49 USC 41310)........7
copies
Employee Protection Program (14 CFR 314)......................7 copies
Exemptions
Computer Reservation Systems (14 CFR 255).....................8 copies
Other (under 49 USC 40109)....................................7 copies
Tariffs (under 49 U.S.C. Chapter 415 or 14 CFR 221)...........5 copies
Foreign Air Carrier Permits/Exemptions........................7 copies
International Authority for U.S. Air Carriers (certificates,
exemptions, allocation of limited frequencies or charters).....7 copies
Mail Rate Proceedings.........................................4 copies
Name Change/Trade Name Registrations..........................4 copies
Suspension of Service (14 CFR 323)............................4 copies
Tariff Justifications to exceed Standard International Fare
Levels.........................................................6 copies
U.S. Air Carrier Certificates (involving Initial or Continuing
Fitness).......................................................6 copies
Other matters..................................................3 copies
Filers are encouraged to submit one of the required true copies
(except for counterparts of Agreement CAB 18900) in electronic form on
a 3\1/2\ inch floppy disk, labeled to show the filer's and
representative's names, the docket number (if known) or space for it,
and document title. The electronic submission must be in one of the
following formats: Microsoft Word (or RTF), WordPerfect, Excel, Lotus
123, or ASCII text. The disk must be accompanied by a signed
certification that it is a true copy of the executed original document.
* * * * *
(e) Reserved.
(f) Official docket copy. With respect to all documents filed under
this part that are scanned, the electronic scanned record produced by
the Department shall thereafter be the official docket copy of the
document and any subsequent copies generated by the Department's
electronic records system will be usable for admission as record copies
in any proceeding before the Department.
Issued in Washington, DC, on 31 May, 1996, under the authority
of 49 CFR part 1.
Charles A. Hunnicutt,
Assistant Secretary for Aviation and International Affairs.
[FR Doc. 96-14614 Filed 6-7-96; 8:45 am]
BILLING CODE 4910-62-P
