[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]
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