20 June 2001
Source: http://www.access.gpo.gov/su_docs/aces/fr-cont.html
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[Federal Register: June 20, 2001 (Volume 66, Number 119)]
[Proposed Rules]
[Page 33034-33036]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr20jn01-17]
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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