[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
