Revised Filing Procedures for the OST Docket

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