[Federal Register Volume 67, Number 25 (Wednesday, February 6, 2002)]
[Rules and Regulations]
[Pages 5513-5515]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-2844]


=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Surface Transportation Board

49 CFR 1104

[STB Ex Parte 576]


Electronic Access to Case Filings

AGENCY: Surface Transportation Board.

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: The Surface Transportation Board (Board) is amending its rules 
governing how documents are filed in agency proceedings to facilitate 
the scanning of those documents for publication on the Board's Internet 
website, www.stb.dot.gov. The Board also is amending its rules 
governing electronic submissions to comport with current technology and 
is amending one rule to update a citation.

EFFECTIVE DATE: The amended rules are effective March 8, 2002.

FOR FURTHER INFORMATION CONTACT: Anne K. Quinlan (202) 565-1727. [TDD 
for the hearing impaired: 1-800-877-7339.]

SUPPLEMENTARY INFORMATION: For several years, the Board has been making 
filings received in select agency proceedings available to the public 
by publishing them under the ``Filings'' link on the Board's Internet 
website, www.stb.dot.gov. We have used two methods to make filings 
available on the Internet.
    Initially, we made filings available by downloading text files from 
diskettes, which were required to be filed along with the paper copies 
in certain cases to facilitate case processing. Public reaction to 
having filings available on the Internet was positive, and we were 
encouraged to make all filings available on our website. However, 
downloading text files was labor intensive, and some files could not be 
downloaded at all. Moreover, text files included only text that the 
filer had word processed; no signatures, stamps, or graphics could be 
made available on-line. A more complete solution was needed.
    More recently, the Board acquired scanning resources. Instead of 
downloading text files, we began to scan filings received in select 
cases and publish images of the filings on our website. Scanning 
technology has given the Board the ability to place on the Internet a 
replica of every documentary filing, in its entirety, in every case. 
Thus, scanning will be used to provide the public with more complete 
Internet access to the documentary record in Board proceedings.
    To ensure that the highest quality image is captured during the 
scanning process and to facilitate high-speed scanning, rule 1104.2 
will be amended. Amended rule 1104.2 will provide that filings must be 
typed, double-spaced, on 8\1/2\ by 11-inch white paper, with dark type 
no smaller than 12 point. These standards will provide adequate 
contrast for scanning and photographic reproduction. To facilitate the 
scanning process, original documents must be unbound and without driver 
tabs \1\ and

[[Page 5514]]

printed only on one side of the paper.\2\ Documents of more than one 
page may be clipped with a removable clip or similar device. These 
measures will reduce the possibility of damage to documents during 
removal of pins and staples and facilitate the use of the high-speed 
scanner mechanism for automated scanning. All pages of a submission 
(each side of each page, if printing is on both sides), including cover 
letters and attachments, must be paginated continuously.\3\ This will 
help ensure scanning accuracy.
---------------------------------------------------------------------------

    \1\ However, copies of filings may contain divider tabs. And, as 
prescribed in General Procedures for Presenting Evidence in Stand-
Alone Cost Rate Cases, STB Ex Parte No. 347 (Sub-No. 3) (STB served 
Mar. 12, 2001), copies of filings that include expert testimony or 
workpapers must include divider tabs.
    \2\ However, copies of filings may be printed on both sides of 
the paper.
    \3\ For very large filings, often assembled at different times 
and locations, this may be impractical. Accordingly, these types of 
filings may be numbered within the logical sequence of volumes or 
sections that make up the filing and need not be renumbered to 
maintain a single numbering sequence throughout the entire filing.
---------------------------------------------------------------------------

    We recognize that some filings may not conform to the above 
specifications and, therefore, we will be unable to scan them. For 
example, spreadsheet data in electronic format and oversized maps or 
blueprints may be included in a filing, but will not be susceptible to 
scanning. To address this, we have developed procedures for referencing 
the location of non-scannable submissions and making them available to 
the public at the Board's offices. Where there are oversized documents, 
however, parties are encouraged to file, in addition to the oversized 
documents, representations of them that fit on the standard paper 
described in section 1104.2(a), if possible. For example, a copy of an 
oversized map may be reduced in size (but only if the map and any 
writing on the map remain legible), or may be cut into multiple 
sequential standard pages that, when placed together, make up the 
whole. The standard sized representation should be identified and 
placed immediately behind the oversized document it represents.
    The Board has the capability to scan in color. However, scanning of 
color pages requires special handling. Accordingly, to ensure timely 
processing of all filings, color printing may not be used for textual 
submissions. Use of color in filings is limited to images such as 
graphs, maps and photographs. In addition, pages containing color 
images may be filed only as appendices or attachments to filings and 
not inserted among pages containing text. Also, the original of any 
filing that includes color images must bear an obvious notation, on the 
cover sheet, that the filing contains color.
    Confidential filings will be processed so that persons using the 
Board's website will know by looking at the on-line list of filings 
that a particular filing is in the record as a confidential filing. 
However, the contents of confidential filings will not be viewable or 
downloadable from the Board's website.\4\
---------------------------------------------------------------------------

    \4\ Filers are reminded that requests to maintain 
confidentiality of materials should be sought only when absolutely 
necessary. Also, in accordance with rule 1104.14, materials that 
parties believe are entitled to confidential treatment should be 
submitted in a separate package and marked ``Confidential material 
subject to a (request for a) protective order.'' Any accompanying 
request for a protective order should be submitted as a separate 
filing.
---------------------------------------------------------------------------

    Rule 1104.3 is being amended to clarify the number and type of 
electronic filings required by the Board and to reflect the Board's use 
of more current technology. Electronic submissions must be submitted on 
compact discs or 3.5-inch IBM-compatible floppy diskettes (collectively 
referred to as discs).\5\ Discs should be clearly labeled with (1) the 
Docket Number of the proceeding in which it is filed; (2) the name(s) 
of the party(ies) on whose behalf the filing is made; and (3) 
``CONFIDENTIAL'' or ``REDACTED'' as appropriate. If more than one disc 
is needed for a single filing, the label of each disc must be 
sequentially numbered to indicate the disc number and the total number 
of discs filed (e.g., the first disc of a 4-disc set should be labeled 
``Disc 1 of 4,'' the second disc ``Disc 2 of 4,'' and so forth.)
---------------------------------------------------------------------------

    \5\ Electronic submissions of textual material (pleadings, 
petitions, etc.) must be submitted in Corel WordPerfect format 
version 9.0 or earlier releases. Current rule 1104.3 requires the 
submission of electronic spreadsheets in Lotus format. However, we 
now have Excel spreadsheet software and will accept electronic 
spreadsheets in either Lotus or Excel format. Parties are reminded 
that in order to fully evaluate the evidence, we must be able to 
access and manipulate all spreadsheets. A more detailed description 
of current procedures for filing spreadsheets and related 
information in stand-alone cost proceedings appears in General 
Procedures for Presenting Evidence in Stand-Alone Cost Rate Cases. 
STB Ex Parte No. 347 (Sub-No. 3) (STB served Mar. 12, 2001).
---------------------------------------------------------------------------

    Rule 1104.15, which addresses certification of eligibility for 
Federal benefits, is being amended to reflect that the underlying 
statute has been transferred to a different section of the U.S. Code 
without substantive change.
    Because these changes update rules to agency procedure and practice 
and are not substantive changes, we find good cause to dispense with 
notice and comment. 5 U.S.C. 553(b)(A) and (B).
    The amended regulations are set forth in the Appendix.
    Pursuant to 5 U.S.C. 605(b), we certify that these rules will not 
have a significant economic impact on a substantial number of small 
entities. They affect only the technical specifications for filing the 
original copy of documentary submissions and for filing electronic 
submissions.
    This action will not significantly affect either the quality of the 
human environment or the conservation of energy resources.

List of Subjects in 49 CFR Part 1104

    Administrative practice and procedure.

    Decided: January 28, 2002.

    By the Board, Chairman Morgan, Vice Chairman Burkes.
Vernon A. Williams,
Secretary.

    For the reasons set forth in the preamble, amend part 1104 of title 
49 of the Code of Federal Regulations as follows:

PART 1104--FILING WITH THE BOARD--COPIES--VERIFICATION--SERVICE--
PLEADINGS, GENERALLY

    1. Revise the authority citation for part 1104 to read as follows:

    Authority: 5 U.S.C. 553 and 559; 18 U.S.C. 1621; 21 U.S.C. 862; 
and 49 U.S.C. 721.


    2. Revise section 1104.2 to read as follows:


Sec. 1104.2  Document specifications.

    (a) Documents filed with the Board must be on white paper not 
larger than 8\1/2\ by 11 inches, including any tables, charts, or other 
documents that may be included. Ink must be dark enough 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. Printing 
may appear only on one side of the paper for original documents, but 
copies of filings may be printed on both sides of the paper.
    (b) In order to facilitate automated processing in document sheet 
feeders, original documents of more than one page may not be bound in 
any permanent form (no metal, plastic, or adhesive staples or binders) 
but must be held together with removable metal clips or similar 
retainers. Original documents may not include divider tabs, but copies 
must if workpapers or expert witness testimony are submitted. All pages 
of original documents, and each side of pages that are printed on both 
sides, must be paginated continuously, including cover letters and 
attachments. Where, as a result of assembly processes, such pagination 
is

[[Page 5515]]

impractical, documents may be numbered within the logical sequences of 
volumes or sections that make up the filing and need not be renumbered 
to maintain a single numbering sequence throughout the entire filing.
    (c) Some filings or portions of filings will not conform to the 
standard paper specifications set forth in paragraph (a) of this 
section and may not be scannable. For example, electronic spreadsheets 
are not susceptible to scanning, but oversized documents, such as 
oversized maps and blueprints, may or may not be scannable. Filings 
that are not scannable will be referenced on-line and made available to 
the public at the Board's offices. If parties file oversized paper 
documents, they are encouraged to file, in addition to the oversized 
documents, representations of them that fit on the standard paper, 
either through reductions in size that do not undermine legibility, or 
through division of the oversized whole into multiple sequential pages. 
The standard paper representations must be identified and placed 
immediately behind the oversized documents they represent.
    (d) Color printing may not be used for textual submissions. Use of 
color in filings is limited to images such as graphs, maps and 
photographs. To facilitate automated processing of color pages, color 
pages may not be inserted among pages containing text, but may be filed 
only as appendices or attachments to filings. Also, the original of any 
filing that includes color images must bear an obvious notation, on the 
cover sheet, that the filing contains color.

    3. Revise section 1104.3 to read as follows:


Sec. 1104.3  Copies.

    (a) An executed original, plus 10 copies, of every pleading, 
document, or paper permitted or required to be filed under this 
subchapter, including correspondence, must be furnished for the use of 
the Board, unless otherwise specifically directed by another Board 
regulation or notice in an individual proceeding. Copies may be 
reproduced by any duplicating process, provided all copies are clear 
and legible. Appropriate notes or other indications shall be used so 
that matters shown in color on the original, but in black and white on 
the copies, will be accurately identified on all copies.
    (b) Electronic submissions must be furnished as follows:
    (1) Textual submissions of 20 or more pages must be accompanied by 
three electronic copies submitted on compact discs or 3.5-inch IBM-
compatible formatted floppy diskettes in WordPerfect 9.0 format or 
earlier releases.
    (2) Three sets of evidence or workpapers consisting of mathematical 
computations must be submitted as functioning electronic spreadsheets 
in Lotus 1-2-3 Release 9 or Microsoft Excel 97, or compatible versions, 
on compact discs or 3.5-inch IBM-compatible formatted floppy diskettes. 
In order to fully evaluate evidence, all spreadsheets must be fully 
accessible and manipulable. Electronic databases placed in evidence or 
offered as support for spreadsheet calculations must be compatible with 
the Microsoft Open Database Connectivity (ODBC) standard. ODBC is a 
Windows technology that allows a database software package to import 
data from a database created using a different software package. We 
currently use Microsoft Access 97 and databases submitted should be in 
either this format or another ODBC-compatible format. All databases 
must be supported with adequate documentation on data attributes, SQL 
queries, programmed reports, and so forth.
    (3) One copy of each diskette or compact disc submitted to the 
Board should, if possible, be provided to any other party requesting a 
copy.
    (4) Each diskette and compact disc must be clearly labeled with the 
Docket Number of the proceeding in which it is filed; the name(s) of 
the party(ies) on whose behalf the filing is made, and ``CONFIDENTIAL'' 
or ``REDACTED'' as appropriate. If more than one diskette or disc is 
submitted for one filing, the label of each must be sequentially 
numbered to indicate the diskette or disc number and the total number 
of diskettes or discs filed (e.g., the first disc of a 4-disc set 
should be labeled ``Disc 1 of 4,'' the second disc ``Disc 2 of 4,'' and 
so forth).

    4. In section 1104.15, remove the citation ``21 U.S.C. 853a'' and 
add, in its place, the citation ``21 U.S.C. 862'' in the section 
heading and in the text.

[FR Doc. 02-2844 Filed 2-5-02; 8:45 am]
BILLING CODE 4915-00-M