[Federal Register Volume 60, Number 50 (Wednesday, March 15, 1995)]
[Notices]
[Pages 14050-14052]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-6512]



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DEPARTMENT OF TRANSPORTATION

Office of the Secretary


Notice of Public Meeting and Request for Information on the 
Centralization and Computerization of DOT Dockets

AGENCIES: The Office of the Secretary (OST), the Federal Aviation 
Administration (FAA), the Federal Highway Administration (FHWA), the 
Federal Railroad Administration (FRA), the Federal Transit 
Administration (FTA), the Maritime Administration (MARAD), the National 
Highway Traffic Safety Administration (NHTSA), the Research and Special 
Programs Administration (RSPA), and the United States Coast Guard 
(USCG), DOT.

ACTION: Notice of public meeting.

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SUMMARY: DOT is consolidating its nine separate docket facilities into 
a single, central office, and initiating a transition 
[[Page 14051]] from a paper-based system to use of an optical 
``imaging'' technology for more efficient storage, management, and 
retrieval of docketed information. This change also will address 
increasing space limitations, provide better security, and provide a 
platform for eventual electronic filing and on-line public access to 
the docket. The ultimate objective is to make records accessible from 
outside Washington, not just at DOT headquarters. This notice announces 
the date, time, location, and procedures for a public meeting to 
discuss this initiative.

DATES: The public meeting is scheduled 1:30 PM to 4:00 PM (local time) 
for: March 29, 1995; Washington, D.C.

ADDRESSES: The public meeting will be held at: U.S. Department of 
Transportation, Room 2230, 400 7th Street SW, Washington, D.C. 20590. 
Individuals interested in attending the meeting should contact Rasheed 
Tahir at 202-366-9307, no later than March 24, 1995.

FOR FURTHER INFORMATION CONTACT: Neil Eisner, Assistant General Counsel 
for Regulation and Enforcement, Office of General Counsel, Department 
of Transportation, (202) 366-4723, 400 7th Street SW, Washington, DC 
20590.

SUPPLEMENTARY INFORMATION: The Secretary of Transportation has directed 
that the Office of the Secretary (OST) and the DOT operating 
administrations consolidate their separate paper-based docket 
facilities into a single, central office and convert to an electronic 
image-based system. This change will enable the Department to provide 
better service and access to the public and to government users. 
Currently, OST and each operating administration has its own separate 
docket facility and performs many duplicative docketing functions. 
Substantial building space is inefficiently allocated for public access 
to the dockets. On a given day, several facilities may be empty and one 
jammed, with public users waiting in the hall outside. Increases in the 
number and complexity of rulemakings and adjudicatory proceedings have 
generated a growing mountain of paper, which, in turn, has created 
pressing space and storage problems. The dependence on paper also 
perpetuates inefficiencies in information processing and dissemination. 
Voluminous dockets, in particular, make it difficult for users to 
search for and organize relevant information. Multiple copies of 
docketed materials must be produced and circulated to responsible 
offices in the Department. These efforts consume a substantial amount 
of time and resources. The consolidation will eliminate duplication, 
improve records management, enhance docket security, and provide easier 
public access by creating a single point of entry. The affected offices 
and agencies are working together to develop the consolidated docket 
facility and to standardize docket procedures to the extent possible.
    As part of the consolidation effort, DOT has initiated a phased 
transition from a paper-based docket system to storage of docket 
records in an electronic format. This change responds to five different 
needs: to (1) Store increasing amounts of docketed information; (2) 
provide users with better, quicker, and easier access to that 
information: (3) provide more efficient ways to transmit information to 
and from the dockets; (4) provide users with the ability to perform 
electronic searches of information in the dockets to increase the 
efficiency and quality of this review; and (5) provide better security 
for docketed materials, which now may get lost or misplaced.
    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 new system will store docketed information as 
images on optical disks. Images are like photographs; when stored on 
read-only optical disks, they are permanent and unalterable, assuring 
100 percent accuracy of the records. The optical disk system will allow 
more efficient storage and management of docketed information, because 
a single disk can store hundreds of documents that are easily available 
through the index. The index will provide users with the capability for 
rapid retrieval and more sophisticated cross-referencing and searching 
of docketed information.
    The system will have controlled access and security features to 
maintain its integrity and to protect against viruses and tampering. It 
will have ``open architecture'' to enable future expansion and 
incorporation of technological improvements. When finally implemented, 
it will consist of about 5.5 million imaged records, taking into 
account the average annual amount of material received and the orderly 
retirement of records. The agencies plan to backscan 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. Suggestions on what information would be useful to include in 
the system are welcome, bearing in mind that all existing paper dockets 
cannot be scanned. The remainder of the paper dockets will be sent to 
the Federal Records Center consistent with standard operating 
procedures.
    The Department's Docket Management Facility initially will accept 
only ``hard'' copy filings. However, to facilitate review and 
processing now, the formal paper filing can be accompanied by floppy 
disks for the action offices. The Department is considering providing 
Optical Character Recognition (OCR) capability in the docket system as 
soon as it is feasible. The Department's priority, however, is to 
optimize the document flow into, within, and from the Department 
through electronic transmission. When the new system and its staff have 
the capability to handle the change, electronic filing will be 
encouraged. Electronically-filed documents will not need OCR 
translation. The Department is considering adding future capabilities 
to the system where possible, including: (1) Use of government-approved 
electronic signature; (2) electronic transfer of documents to the 
Federal Register and to the Federal Records Center; (3) multi-media 
capability to enable access by visually and hearing impaired 
individuals; and (4) automatic billing of public users (through credit 
cards/bills) for filing fees and copying services. The timing of the 
transition to electronic transmission, OCR and the availability of the 
future capabilities will depend upon the readiness of the new system to 
handle them and upon budgetary constraints.
    The Department plans a phased transition to the new, centralized 
facility. The Office of the Secretary's (OST) docket office has already 
been relocated. During the transfer of OST's docket to the imaging 
system and the internal connection of Department staff to the dockets 
on-line, hard copies will be maintained in the docket office until the 
new system works smoothly. Computer work stations in the new docket 
office will be available to access the information that is 
electronically stored. These will have an easy-to-use interface and 
docket staff will be available to help users. The docket offices of the 
other DOT agencies will be sequentially consolidated into the new 
facility. As part of this process, the docket facility will eventually 
be ``networked'' to Department offices.
    Ultimately, the public will have on-line access to the docket from 
outside of DOT's docket office. The system will support both Macintosh 
and IBM compatible equipment and provide an easy-to-use interface with 
pull-down menus. The architecture of the network will enable real-time 
response for accessing images, but acceptable speed (comparable to 
turning the pages of a [[Page 14052]] document) will require the use of 
at least a 486DX2-66 machine or Macintosh equivalent.
    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.

Notice of Public Meeting

    The Department believes that users will benefit from an opportunity 
to hear a more detailed description of the new docket management system 
and to ask questions about it. Therefore, we are holding a public 
meeting beginning at 1:30 PM and ending no later than 4:00 PM (local 
time) on March 29, 1995, in Washington, DC. We hope that as people 
start using the system, they will point out problems and bring us new 
ideas on how to make the system more responsive to their needs.
    Seating will be restricted by available room size and will be made 
available on a first-come-first-served basis. If time and the number of 
attendees permit, we may be able to conduct one or more short tours of 
the new docket facility. If the interest expressed in the tour exceeds 
the capacity of our docket facility, we will schedule additional tours. 
Persons interested in attending should contact Rasheed Tahir at 202-
366-9307.
    Since this meeting is intended to inform the public about and to 
solicit public views and questions on the new docket management system, 
we will conduct it in an informal manner.

    Issued in Washington, D. C. on March 13, 1995.
Stephen H. Kaplan,
General Counsel.
[FR Doc. 95-6512 Filed 3-14-95; 8:45 am]
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