[Federal Register Volume 66, Number 119 (Wednesday, June 20, 2001)]
[Proposed Rules]
[Pages 33034-33036]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-15436]


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POSTAL RATE COMMISSION

39 CFR Part 3001

[Docket No. RM2001-2; Order No. 1317]


Rules of Practice and Procedure

AGENCY: Postal Rate Commission.

ACTION: Request for comments and technical conference.

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SUMMARY: The Commission is soliciting comments on electronic filing 
procedures. The objective is to develop a rule that makes use of modern 
technology, reduces the burden and expense of paper filing, and 
facilitates public access to data filed with the Commission.

DATES: Comments are due by July 9, 2001; a technical conference is 
scheduled for July 11, 2001 at 10 a.m.

ADDRESSES: Send comments to Steven W. Williams, Acting Secretary, 
Postal Rate Commission, 1333 H Street, NW., Suite 300, Washington, DC 
20268-0001. The technical conference will be held at the above address.

FOR FURTHER INFORMATION CONTACT: Stephen L. Sharfman, 202-789-6820.

SUPPLEMENTARY INFORMATION: The Commission is issuing this document to 
solicit comments on procedures, currently under consideration, to 
permit the filing of documents electronically (filing online). In 
addition, the Commission hereby gives notice of a technical conference 
to address the filing online process. Following the technical 
conference, the Commission expects to issue a notice of proposed 
rulemaking to revise its rules of practice and procedure to reflect the 
availability of filing online.
    Consistent with government-wide initiatives to allow for the 
electronic filing and storage of documents in lieu of paper 
(hardcopy),\1\ the Commission is in the process of developing 
procedures to accept the filing of documents electronically (filing 
online). To that end, the Commission recently updated its web site 
(www.prc.gov) by introducing a new option to enable parties to download 
multiple documents simultaneously. This feature simplifies and 
expedites the downloading process.
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    \1\ See, e.g., the Government Paperwork Elimination Act, Pub. L. 
No. 105277, 17021704.
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    While participation will not be mandatory, the Commission 
anticipates general use of filing online given the significant savings 
associated with electronic filing coupled with the widespread and 
growing access to the Internet. Filing online should reduce the cost of 
participating in proceedings before the Commission substantially 
because the need to serve parties will be virtually, if not entirely, 
eliminated. Thus, substantial preparation costs will be avoided. In 
addition, filing online should enable participants to operate more 
efficiently. For example, the process of submitting documents for 
filing will be greatly simplified; transaction costs associated with 
the actual filing of a hard copy, in addition to those for printing and 
postage, will be eliminated; any confusion over service dates will be 
avoided; and participants will have access to documents sooner, in both 
a PDF (portable document format) that accurately reflects the document 
filed and that is more efficient to download, and an RTF (rich text 
format) that can be more easily used in preparing other documents (such 
as discovery responses). Moreover, the system will contain safeguards 
ensuring participants' control over their documents prior to filing and 
that only documents that a participant wishes to file will be filed.

[[Page 33035]]

    The Commission, too, will reap benefits. Filing online will 
eliminate the need to scan and optically character read (OCR) each 
filing. As a result, filings can be posted on the web site more 
promptly, in substantially reduced file sizes, and in a manner true to 
the document filed. Thus, the Commission will be able to provide better 
service to the public at reduced costs. In sum, filing online offers 
substantial, tangible benefits for participants and the Commission.
    Improved technology makes filing online a realistic goal. 
Nonetheless, filing online remains a work in progress. The Commission's 
current vision of the process is outlined in greater detail in the 
attachment.\2\ Briefly, its salient points are as follows: filing 
online will be available only to account holders; documents filed must 
be submitted in PDF, although documents in other formats may be 
attached; participants may use the Commission's web site to create PDF 
documents or may produce their own; and the PRC system will 
automatically create an RTF document from the PDF version for pasting 
text into other documents.
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    \2\ For information purposes, the attachment also summarizes the 
new download option.
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    While the Commission would like to introduce filing online 
promptly, the greater concern is that the process ultimately adopted 
operates effectively and efficiently to the benefit of the greatest 
number of prospective participants. Consequently, the Commission is 
convening a technical conference to discuss the filing online process. 
The conference will be held July 11, 2001, to commence at 10 a.m. in 
the Commission's hearing room. In addition, persons unable to attend 
the conference or interested in facilitating discussion at the 
conference are invited to submit comments on the proposed filing online 
service by July 9, 2001.
    Ted P. Gerarden, director of the office of consumer advocate, is 
designated to represent the interests of the general public in this 
docket.

Ordering Paragraphs

    It is ordered:
    1. A technical conference will be held July 11, 2001, commencing at 
10 a.m. in the Commission's hearing room, to discuss the filing online 
process.
    2. Interested persons may submit comments on the proposed filing 
online process by July 9, 2001.
    3. Ted P. Gerarden, director of the office of consumer advocate, is 
designated to represent the interests of the general public in this 
docket.
    4. The acting secretary shall cause this notice and order to be 
published in the Federal Register.

    Authority: 39 U.S.C. 3603.

Steven W. Williams,
Acting Secretary.

Overview of Electronic Filing Process

I. Download Option

    Recently, the Commission completed the development of a new option 
to enable website users to download multiple documents from its daily 
listing. Currently, this download feature is available only on systems 
running Windows and Internet Explorer and requires the copying of four 
(4) dll files (dynamic link libraries) to the user's local computer. 
This will occur automatically the first time that the feature is 
utilized. This configuration appears to be the only way to enable 
browsers to download multiple files into a directory structure. 
Although the Commission has encountered no difficulties with the dll 
files, it is possible that not every configuration will have the same 
success.
    The download process is very simple: just check the boxes to the 
right of each document to be downloaded, or alternatively click the 
``check all'' button, and then click the ``download checked files'' 
button. A download screen will appear, prompting the user to enter a 
download location, i.e., the drive and subdirectory to be used as the 
``root.'' Once the ``submit'' button is clicked, a box appears showing 
the files to be downloaded and the destination path. Click the ``start 
download'' button to begin the process. Users may find it helpful to 
create a special directory to serve exclusively as the ``root'' for 
this purpose.

II. Filing Online

    Electronic filing offers a host of advantages over the status quo. 
The notice identifies some of those benefits, but underscores that 
filing online remains under development. The following describes the 
filing online process currently under consideration by the Commission. 
In designing this process, the Commission has been guided by two 
underlying principles, flexibility and security. First, the Commission 
has attempted to fashion a process to minimize compliance costs while 
still enabling the account holder to exercise control over documents to 
be filed. To that end, the process gives the account holder the option 
to create a PDF using the PRC's server or using his or her own 
software. Second, the Commission addressed security issues by providing 
secure work areas, opportunities for document review, and RTF files.

A. Account Holder Application

    Each person desiring to submit an electronic filing must complete 
and return the application form, available on the PRC website, to the 
Commission. This form need be submitted only once, provided that the 
information submitted remains unchanged.
    The application will be similar to the following:
Account Holder Application
Name
Affiliation
Address
Phone
Email address

    By signing this application I, ________________, recognize that the 
authenticity of all documents filed under this account and password is 
my responsibility as the account holder.

Signature of account holder

    The account holder will receive a login name and password by mail. 
The Commission anticipates that the process ultimately employed will 
enable the account holder to select an individual login name and 
password. Attorney account holders representing more than one party may 
file on behalf of any party using a single login name and password.

B. Login to the PRC's Server

    The PRC web site will contain a link to ``filing online.'' After 
selecting this option, the account holder will be greeted with a login 
screen similar to the following:

Welcome to the PRC filing online
Login name
Password
[button for] Login

    The account holder will enter the login name and password received 
from the Commission to reach the work area.

C. Work Area

    The account holder's work area serves several functions.
    First, it identifies the ``documents submitted today.'' These are 
filings submitted that business day by the account holder; they are 
posted for informational purposes only, and cannot be edited.
    Second, it identifies ``documents in progress.'' These are 
potential filings (document(s)) for which the account holder has 
entered some information, e.g., party or document title, and perhaps 
has attached other files, but that have not yet been submitted for 
filing. The account holder can edit these documents by selecting the 
relevant

[[Page 33036]]

one(s) and then clicking the ``open existing document'' button.
    Third, the account holder can create a new document by clicking on 
the ``create new document'' button. The account holder will be prompted 
to identify the filing party(ies) and enter the title of document. An 
area for comments will be provided.
    Fourth, because each filing must have a PDF file, the work area 
provides the account holder with a process to convert documents to PDF 
using the PRC's server. Clicking on the ``convert files to PDF'' button 
begins the conversion. This process is addressed in detail in section 
II D, below.
    Illustratively, the screen of an account holder with the OCA may 
look something like this:
Documents Submitted Today
Party(ies)  Title
OCA  Answer of the OCA to interrogatories of UPS, witness: Callow (UPS/
OCA-T1-1-15)
OCA  Answer of the OCA to interrogatories of UPS, witness: Thompson 
(UPS/OCA-T2-7-11)
Documents in progress
OCA  Answer of the OCA to interrogatories of USPS, witness: Callow 
(UPS/OCA-T1-1-8)
OCA  Answer of the OCA to interrogatories of UPS, witness: Thompson 
(UPS/OCA-T2-1-11)
[button for]  Open existing document
[button for]  Create new document
[button for]  Convert files to PDF

D. Converting to PDF

    Two PDF options will be available; the first is available at no 
charge through the PRC's website; alternatively, participants may 
purchase the appropriate software to create their own PDF files.
1. On PRC Server
    The conversion screen will display the account holder's uploaded 
files, as well as buttons for uploading, converting, and reviewing 
documents.
[button for] Upload files
    Upon Clicking the button to upload, the Account Holder will be 
prompted to select the documents to be converted from the account 
holder's local system. The documents will be copied to the work area on 
the PRC's server.
    On the convert page, the account holder will be prompted to select 
the document(s) to be converted, and then to click the ``convert files 
now'' button.
[button for] Convert files now
    After conversion, the account holder may review the PDF(s) 
produced. A list will be displayed allowing the account holder to 
download and review each PDF prior to filing.
[button for] Review PDFs
2. On Account Holder's System
    Adobe Acrobat Reader is the free software that allows 
one to view PDF files. Adobe Acrobat is the most common 
software program used to produce PDF files. Those not converting to PDF 
on the PRC's server may purchase Adobe Acrobat to produce 
PDF files on their own system. The Commission's web site will contain a 
link to the appropriate site where such software may be purchased. To 
reiterate, account holders are not required to purchase anything to 
participate in filing online.
    Once the PDF is ready, it may be filed.

E. Filing

    The date and time of filing are established by the PRC's server. 
The individual responsible for the filing is determined by the account 
used. That individual will be required to identify on whose behalf the 
filing is being made and enter the document title as it appears on the 
document. An optional field for comments will be available.
    Once the preliminary information is entered, the PDF and any other 
electronic files should be attached to the filing. The PDF of the 
document is required.
    The account holder should confirm that the information entered is 
correct and that the appropriate files are attached and then click the 
``submit'' button.
[button for] Submit
    After clicking the ``submit'' button, the account holder will be 
prompted that the filing will become official and that the account 
holder may not access it further upon clicking the ``ok'' button. 
Alternatively, the account holder may cancel the transaction by 
clicking the ``cancel'' button.
[button for] OK
[button for] Cancel
    Following submission of a filing, a receipt page will appear that 
the account holder may print for his or her records.

F. Processing

    Once the filing is submitted, i.e., the ``ok'' button is clicked, 
an RTF file will be produced. The RTF is a formatted text file 
generated from the PDF submitted, i.e., only the text visible in the 
PDF is included and it is free of excess hard returns. Participants may 
open this file in their word processors and utilize it as they deem 
appropriate, e.g., cut and paste from it or modify it to create another 
pleading.
    Finally, upon receipt of a filing, Commission personnel in dockets 
will check the document information and attached files. Assuming these 
checks reveal no problem, the filing will be made available on the 
Commission's web site. If there is a problem, the account holder will 
be contacted.

[FR Doc. 01-15436 Filed 6-19-01; 8:45 am]
BILLING CODE 7710-FW-P