[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: 
[email protected]).

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