[Federal Register Volume 69, Number 68 (Thursday, April 8, 2004)]
[Rules and Regulations]
[Pages 18498-18499]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-8074]



[[Page 18498]]

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

DEPARTMENT OF TRANSPORTATION

Surface Transportation Board

49 CFR Part 1104

[STB Ex Parte No. 651]


Electronic Filing Option for Certain Documents

AGENCY: Surface Transportation Board, Transportation.

ACTION: Final rule.

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

SUMMARY: The Surface Transportation Board (Board) is amending its 
regulations concerning filing of pleadings and other documents with the 
Board to give persons the option of filing certain types of pleadings 
and documents electronically instead of filing paper copies and to give 
persons the option of filing documents in formats other than 
WordPerfect.

DATES: These rules are effective on April 8, 2004.

FOR FURTHER INFORMATION CONTACT: John Sado, (202) 565-1661. (Federal 
Information Relay Service (FIRS) for the hearing impaired: 1-800-877-
8339.)

SUPPLEMENTARY INFORMATION: The Board is amending its regulations at 49 
CFR part 1104 as needed to add the option of electronically filing (e-
filing) certain types of pleadings and documents. If the e-filing 
option is chosen, it will eliminate the need for filing paper copies of 
those types of pleadings and documents that are eligible for e-filing.
    The Board's updated Web site, http://www.stb.dot.gov, has a link 
labeled ``E-FILING''. Clicking on that link will open a series of 
prompts that will indicate what types of pleadings and documents are 
eligible for e-filing and will lead the e-filer, step-by-step, through 
the process of how to e-file. Formal filings, recordations, 
environmental comments, rail consumer complaints, FOIA requests and 
other correspondence may be submitted to the Board through the e-filing 
process. The e-filing process may not be used to file: (1) Initial 
filings in a proceeding; (2) filings requiring a fee (except 
recordations); or (3) large evidentiary filings (collectively, over 10 
megabytes). Persons are not required to file electronically, but may 
choose the e-filing option at their discretion.
    It should be noted that e-filing will not relieve a party of the 
obligation to serve other parties. Rather, e-filing pertains only to 
documents that are sent to the Board, and existing service requirements 
remain as to other parties. With respect to e-filings made with the 
Board, the service requirements of Sec. 1104.12(a) of the Board's rules 
may be met by simultaneously e-mailing a copy of the e-filed document 
to other parties if that means of service is acceptable to those other 
parties, or by simultaneous personal service of a paper copy of the 
document on the other parties, but if e-mail is not acceptable to the 
receiving party and personal service is not feasible, the service 
requirements may be met by service of a paper copy by first-class or 
express mail.
    To e-file a formal filing or a recordation, the e-filer must first 
establish a login account. A login account can be obtained by clicking 
on the ``Request Login Account'' button found on the e-filing page. The 
user will be prompted to provide the information required to establish 
an account. The user's e-mail address will be the ``user name'' and the 
user will have the opportunity to choose a password.
    E-filing is a file attachment process. Submissions are to be 
prepared in the same manner in which a filer would if filing on paper, 
except that extra copies will not be required. E-filings will be 
available for public viewing in the Board's Public Docket Room. They 
will also be on the Board's Web site, just as paper filings are on the 
Web site. When using e-filing for a formal filing, the e-filer must 
submit a document as a PDF-format document and also, if available, in 
the original document format. The document submitted must include the 
applicable docket number and the name and address of the person 
responsible for the filing. For purposes of e-filing, a typewritten 
name is considered the signature of the appropriate party if a 
signature is required by the Board's regulations. The original, 
handwritten signature must be maintained in the files of the filing 
party. E-filers will be able to indicate, as part of the e-filing 
process, if the filing is to be treated by the Board as confidential.
    Documents received by e-filing before 5 p.m. eastern time on a 
business day will be considered filed on that day. Documents received 
by e-filing on a non-business day, or after 5 p.m. eastern time on a 
business day, will be considered filed on the next business day.
    Additionally, the Board is revising its rules to delete a reference 
to the WordPerfect format for electronic submissions of textual 
material and thus to permit practitioners to file documents in formats 
other than WordPerfect.
    Because these rule changes relate solely to the rules of agency 
practice and procedure, they will be issued as final rules without 
requesting public comment. See 5 U.S.C. 553(b)(3)(A). It should be 
noted that public comment in this matter is unnecessary, as the new 
rule will permit but not require e-filing, and will not affect any 
person's ability to review agency filings. See 5 U.S.C. 553(b)(3)(B). 
Moreover, good cause is found for making these rules effective on less 
than 30 days' notice under 5 U.S.C. 553(d) to give interested persons 
the option to use this new filing method, which will reduce paperwork 
and ease filing burdens on parties before the agency, as soon as 
possible.
    The Board certifies that the rules will not have a significant 
impact on a substantial number of small entities. As noted, the e-
filing option should streamline and simplify the process of filing 
certain pleadings and documents with the Board. If the e-filing option 
is chosen, it will eliminate the need for multiple paper copies and 
also eliminate the time and expense associated with the physical 
delivery of paper copies to the Board by mail, messenger or other 
delivery service, which should be beneficial to entities of all sizes. 
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: April 5, 2004.
By the Board, Chairman Nober.
Vernon A. Williams, Secretary.

0
For the reasons set forth in the preamble, part 1104 of title 49, 
chapter X, of the Code of Federal Regulations is amended as follows:

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

0
1. The authority citation for part 1104 continues 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.

0
2. Revise the heading for Sec.  1104.1 and add new paragraph (e) to 
read as follows:


Sec.  1104.1  Address, identification, and electronic filing option.

* * * * *
    (e) Persons filing pleadings and documents with the Board have the 
option of electronically filing (e-filing) certain types of pleadings 
and documents instead of filing paper copies. Details regarding the 
types of pleadings and documents eligible for e-filing, the procedures 
to be followed, and other pertinent information are available on the 
Board's Web site, http://www.stb.dot.gov. If the e-filing

[[Page 18499]]

option is chosen (for those pleadings and documents that are 
appropriate for e-filing, as determined by reference to the information 
on the Board's Web site), then the applicable requirements will be 
those specified on the Web site, and any requirements of 49 CFR part 
1104 that are specifically applicable to filing of paper copies will 
not apply to the e-filed pleadings and documents (these requirements 
include, but are not limited to, number of copies, stapling or binding 
specifications, submission of compact disks or floppy diskettes for 
documents of 20 pages or more, signature ``in ink,'' etc.). Persons are 
not required to e-file, and may continue to use the Board's processes 
for filing paper copies.


Sec.  1104.2  [Amended]

0
3. Amend the first sentence in Sec.  1104.2(a) by adding the words ``, 
except electronic filings,'' after the word ``Documents''.


Sec.  1104.3  [Amended]

0
4. Amend Sec.  1104.3 as follows:
0
A. In paragraph (a), in the first sentence, remove the words ``of every 
pleading,'' and add in their place ``of every paper pleading,''.
0
B. In paragraph (b), add the words ``accompanying paper filings'' after 
the words ``Electronic submissions''.
0
C. In paragraph (b)(1), remove the words ``in WordPerfect 9.0 format or 
earlier releases''.
0
5. Amend Sec.  1104.6 by adding the following sentence at the end of 
the section:


Sec.  1104.6  Timely filing required.

    * * * If the e-filing option is chosen (for those pleadings and 
documents that are appropriate for e-filing, as determined by reference 
to the information on the Board's Web site), then the e-filed pleading 
or document is timely filed if the e-filing process is completed before 
5 p.m. eastern time on the due date.

0
6. Amend Sec. 1104.12 by revising paragraph (a) to read as follows:


Sec.  1104.12  Service of pleadings and papers.

    (a) Generally. Every document filed with the Board should include a 
certificate showing simultaneous service upon all parties to the 
proceeding. Service on the parties should be by the same method and 
class of service used in serving the Board, with charges, if any, 
prepaid. One copy should be served on each party. If service is made on 
the Board in person, and personal service on other parties is not 
feasible, service should be made by first-class or express mail. If a 
document is filed with the Board through the e-filing process, a copy 
of the e-filed document should be emailed to other parties if that 
means of service is acceptable to those other parties, or a paper copy 
of the document should be personally served on the other parties, but 
if email is not acceptable to the receiving party and personal service 
is not feasible, service of a paper copy should be by first-class or 
express mail. When a party is represented by a practitioner or 
attorney, service upon the practitioner is deemed to be service upon 
the party.
* * * * *
[FR Doc. 04-8074 Filed 4-7-04; 8:45 am]
BILLING CODE 4915-01-P