INDEX - Click
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RSFA
and Rule Supplemental (History Trail) Information
Step 1 - Select rules to revise/refile
Step 2 - Retrieve documents to
revise/refile
Step 3 - Make corrections in RAS
Step 4 - Log on to ERF website and
answer "If revising or refiling" question
Step 5 - Upload corrected documents
Step 6 - File the revised or refiled rules
Step 7 - View
filing in History and print copies or save as PDF for your records
This document describes the steps required for
revising or refiling a typical filing of new, amended and/or rescinded rules
using:
If you are using a different version of RAS, Internet
Explorer, Adobe Reader or are using Netscape, you may notice minor differences when
attempting to perform some functions as described in this document.
Additional information regarding the
preparation and filing of rules can be found at these locations:
Familiarity
with JCARR rule filing procedures and LSC rule-drafting guidelines is highly
recommended before using the Electronic Rule Filing system. Attending the Rule Authoring Software and
Electronic Rule Filing classes is also highly recommended.
A Revised
Rule is a rule that is modified no more than 35 days after the original
filing of that rule. The filing of a revised rule does not extend the 65-day
review period (JCARR jurisdiction period). The revised rule supersedes each
earlier version of the rule filed with JCARR for review.
A Refiled Rule is a rule that is modified more than
35 days after the original filing and prior to being filed in final form. The
rule may or may not be within JCARR's jurisdiction at the time of refiling.
Once a rule is refiled, JCARR has jurisdiction over the rule for 30 days from
the date the rule is refiled. The refiled rule supersedes all earlier versions
of the rule that has not been filed in final form. The 30-day jurisdiction is
computed by excluding the refiling date and including the last day. Refiled
rules cannot be adopted in final form until the 30-day review period has ended;
refiled rules can be filed in final form on or after the 30th day.
To Be Refiled (TBR) - A rule that has been temporarily removed from JCARR
consideration by the rule-making agency. A rule is removed from a JCARR agenda
by submitting written notification (a TBR letter) to JCARR that states the
agency's intention to refile the rule(s) at a later date. The letter should
contain the rule number(s) and all original, revised, or refiled filing dates
relevant to that rule(s). The TBR letter only needs to be filed with JCARR.
Once the rule-making agency refiles the rule(s), JCARR has jurisdiction over
the rule for 30 days from the date the rule is refiled.
A Withdrawn Rule is a rule
that has been removed from JCARR consideration by the rule-making agency. The
withdrawal of a rule shall be by written notification to JCARR, LSC, and the Secretary
of State. Withdrawal of a refiled or revised rule withdraws all previous rule
filings of that rule number currently before JCARR. The notification shall
include the rule number(s) and all original, revised, or refiled filing dates
relevant to that rule(s). Once a rule has been withdrawn, the rule-making
agency may propose the rule as an original rule filing.
Original Rule Filing - The initial filing of a rule (amended, new, or rescinded)
under sections 111.15, or 119.03 of the R.C. for the 65-day review by JCARR. The 65-day
review period is computed by excluding the day the original filing is made and
including the last day. Original rules can be filed in final form on or after
the 66th day.
ERF - Electronic Rule Filing. The system and website used to
electronically file rules.
RAS - Rule Authoring Software. The software used to create XML files used
when electronically filing rules.
IBR - Incorporated By Reference (as in
"materials incorporated by reference") per Senate Bill 265. IBR materials can be uploaded to the ERF
website in PDF formate.
RSFA - Rule Summary and Fiscal Analysis. A form that must accompany each rule that is
subject to JCARR review.
PDF - Portable
Document Format; a file format developed by Adobe. Using Adobe's free Adobe Reader software (which can be installed
on most computers), anyone receiving a PDF file, regardless of operating system
or computer type, can open and read a PDF file. For more information on PDFs, visit this link: http://desktoppub.about.com/cs/pdf/index.htm
XML - EXtensible Markup Language. Documents created in XML are easy
to transmit and share across the web, which is what the Electronic Rule System
requires since it is a web-based application.
The Rule Authoring software allows filers to create rule bodies and
other filing documents in XML format so these files can be transmitted across
the web.
The need to revise or refile a rule is usually determined in
one of these two ways:
This document outlines the following recommended approach
for preparing a revised or refiled filing:
From the ERF website,
select the rules to revise/refile, and use the website's retrieve
function to retrieve the XML files for the Rule Body (and RSFA part B or
Environmental Impact, if applicable).
These retrieved XML files are then edited in the Rule Authoring Software
(RAS).
On the website, open
appropriate online forms to make corrections to RSFA, Rule Supplemental and
other filing information. Upload the
corrected XML files and complete the filing.
(Note: Retrieving the XML files from the website
before editing in RAS is recommended because this ensures you are correcting
the exact version of the document (rule body, etc.) that you included in
your original filing. The alternate,
less reliable, method is to forego the 'retrieve' step and locate and open the
XML document from your RAS files.)
No Changes During Final Filing: PLEASE NOTE that the ERF system does NOT allow for changes to be made to documents or the online questions (history trail information, etc.) during the Final Filing. Any changes to dates other than the effective date and the *next* five year review date (when applicable) must be made by filing a revision or by refiling. Therefore, it is very important that you double check all documents, dates, RSFA information, and other rule supplemental information (history trail) for accuracy during and after the original filing.
RSFA and RULE SUPPLEMENTAL (History Trail) INFORMATION:
As of October 9,
2002, an RSFA created in the Rule Authoring Software
can *not* be uploaded to the ERF
website.
As of October 9, 2002, the RSFA (Rule Summary and Fiscal
Analysis) is filled out entirely on the ERF website in a series of online
forms. Therefore, the Rule Authoring
Software is no longer to be used to create or edit an RSFA.
Also, filers are now required to answer to additional RSFA
questions regarding materials being "Incorporated by Reference."
If you uploaded an RSFA to the ERF website *before* October
9, your RSFA data will appear on the online forms as it was uploaded. However, you will be required to answer the
"Incorporated by Reference" questions on Form 1 before you will be permitted
to complete the filing.
If the website's online forms are not adequate for
answering the RSFA questions, you can upload additional RSFA information using
the RSFA Attachment button. The RSFA
attachment must be in PDF file format.
(See Appendix A of the "How to Prepare an Original Filing"
document for more information.)
Do you need an RSFA? Any type of rule or any rule action that will be filed with JCARR
requires an RSFA. Please see the JCARR
manual to determine if you need an RSFA.
If you determine you do not need an RSFA, please ignore sections of this
document dealing specifically with RSFAs.
RULE SUPPLEMENTAL INFORMATION (HISTORY
TRAIL) is filled out on
the ERF website. This includes (but is not limited to) the prior effective
dates, review dates, and statutes authorizing and amplifying. Because the rule supplemental information is
filled out on the website, no supplemental information will appear when viewing
a rule body in RAS. (See Appendix A of the "How to Prepare an Original
Filing" document for more information.)
HOW TO
PREPARE A REVISE/REFILE FILING
1. Select rules to
revise/refile. Logon
to the ERF website, open the originally filed package that contains the rules
to revise/refile, select 'Prepare Revised or Refiled Filing' button and select the rules to revise/refile. DO NOT CREATE A NEW PACKAGE TO REVISE OR
REFILE!!!
·
Open an internet browser and log on to the ERF website at https://erf.registerofohio.state.oh.us. Use the username and password that were
provided to you by your authorized contact.
·
Read the 'What's New..' link on the home page for important
updates.
·
Select 'View Packages in Progress'
·
Select 'open' next to the package that contains the rule(s)
to revise/refile.
·
Select the 'Prepare Revised or Refiled Filing' button.
If
you do not see the 'Prepare Revised or Refiled Filing' button, check the
following:
- Rules must have been originally filed before
a revision or refiling can occur
- No change, Emergency, Internal Management,
or School rules
cannot
be revised/refiled.
·
'Please Choose rules to Prepare for Revise or Refile' will
appear. Select the checkbox to the left
of each rule to revise/refile and select OK.
·
You will be back at the main package content screen. The status of the rules you selected will
now appear as 'Revised Pending' or 'Refiled Pending'
If you selected a rule to
revise/refile and later decide you do not wish to revise/refile that rule, you
can deselect the rule.
§
Select the 'Prepare Revised or Refiled Filing' button.
§
'Please Choose rules to Prepare for Revise/Refile' will
appear. Deselect (remove the check from)
the checkbox to the left of each rule you do not wish to revise or refile at
this time.
§
Select OK.
The status of
the rule will no longer show 'Revise/refile pending' and will instead show the
previous filing action.
2. Retrieve documents to revise/refile.
A NOTE ABOUT EDITING RETRIEVED DOCUMENTS:
·
If retrieved document is an XML file: these can be revised using the using the Rule Authoring
Software.
·
If retrieved document is a PDF file: you will need to locate the file from which the PDF was created
(usually an Adobe, Word, Word Perfect or scanned document), make the
corrections to that version of the document, then create a new PDF with the
changes. You will not save the file as
XML.
Select open next to the first rule to revise/refile. You should be at the rule content screen
that shows 'Online Summary and Supplemental Questions,' 'Rule Body,' and other
documents as applicable.
Retrieve Rule Body
§
NOTE: If the reason
you are revising/refiling is to correct RSFA Part A or Rule Supplemental
information ONLY, you do NOT need to retrieve or correct the rule body because
the RSFA and Rule Supplemental information is corrected on the website.
·
Select retrieve next to the Rule Body (make sure you do not
select 'remove' or 'replace.')
·
Select 'Save' or 'Save this file to disk' (select OK if applicable).
·
Browse to the location on your computer where you would like to store
your retrieved files. Create a new folder
if you like.
·
In the file name field, note the name of the retrieved file. (Note: Internet Explorer will add a [1] or
other bracketed number to the file name when another file by that name exists
on your computer.)
Retrieve Rule Summary and Fiscal Analysis Part B-Fiscal Detail
(RSFA-B),
Environmental Impact Form (EI), or Appendix (if Appendix is XML)
·
If the RSFA B, EI, or Appendix (if XML) must be corrected, then retrieve
it following the steps above. However,
if these forms are NOT going to be corrected, they do not need to be filed and
will not be retrieved.
Repeat the above steps for each rule being revised/refiled.
If you will be editing files in the Rule Authoring Software (RAS), you
should log off the ERF website now.
(ERF navigation tip: selecting the package name link in the green
field in the upper right corner will take you back to the main package content
screen.)
3. Make corrections in
RAS. In the Rule Authoring Software (RAS), open each
retrieved Rule Body, Rule Summary and Fiscal Analysis (RSFA) Part B,
Environmental Impact (EI), or Appendix (if XML) that will be revised/refiled,
make corrections, and save as XML.
To edit a Rule Body:
§
In RAS, select File, Open an XML Document, and locate the retrieved Rule
Body XML file.
§
Make corrections by inserting new text or striking out old text as
needed (note: your
training class materials will provide more details on editing rules).
§
Select File, Save Document as XML to save the Rule Body as
XML. Make sure to keep track of where
you are saving your corrected files.
Create a new folder if you like.
§
You will be prompted to save as S4W as well. Note that RAS supplies a standard file name
for the saved document.
******************
NOTE ABOUT SAVING FILES AS S4W and/or XML: In all cases, saving as
XML or saving as S4W, will write over the previous version of the
rule/RSFA. This is because RAS auto-names
all documents. If you want to keep the previous version, we suggest you rename
the previous version before saving changes to the revised/refiled version. See "How to Prepare an Original Filing"
Appendix B for more information on RAS file extensions.
********************
To edit an RSFA-B or Environmental Impact (EI):
§
In RAS, select File, Open an XML Document, and locate the retrieved
RSFA-B or Environmental Impact XML file.
Follow the steps described above in 'To edit a Rule Body.'
To edit an Appendix:
§
If the Appendix was created in RAS as XML, then it will need
to be edited in RAS. Select File, Open an XML Document, and locate the retrieved
Appendix. Follow the steps described above in 'To edit a Rule Body.'
§
If the Appendix is a PDF file, you will need to locate the file from
which the PDF was created (usually an Adobe, Word, Word Perfect or scanned
document), make the corrections to that version of the document, then create a
new PDF with the changes. You will not
save the file as XML.
·
Repeat the above steps for each rule being revised/refiled.
4. Log on to ERF website and answer RSFA
question "If revising or refiling this rule..." and modify other
information on online forms as needed.
·
Log in to the ERF website with username and password with filing
privileges.
·
Select 'View Packages in Progress' to open the package that
contains the rule(s) to revise/refile.
·
Each rule that you selected in step 1 will show a status of
'Revised/refiled Pending.'
·
Select 'open' next to a rule marked 'Revised/refiled
Pending.' You should be
at the rule content screen that shows 'Online Summary and Supplemental
Questions,' 'Rule Body,' and other documents as applicable.
·
Select 'modify' next to form 2 and answer the third
question: If revising or refiling this rule,
identify changes made from the previously filed version of this rule; if none,
please state so.
·
For each rule being revised/refiled, you MUST
answer the "If revising...." question on Form 2 or you will not be
able to complete the filing.
·
Select Save when you
have finished and print/view the RSFA and Rule Body to confirm your
changes.
MODIFYING
AN ONLINE QUESTION:
To correct
other RSFA Part A questions, Rule Supplemental, or other filing information
located in online question Forms 1 through 4:
o Select modify
next to the form that contains the question.
o If you are not sure of the
location of the question, select the "Help-Which form has which
question?" link.
o Locate the
question you wish to change, make changes, and select OK or Save.
o Print/view the
RSFA and Rule Body to confirm your changes.
5. Upload corrected
documents.
·
Replace Rule Body
§
If you made corrections to the Rule Body, select 'replace'
next to Rule Body.
§
NOTE: If the reason
for revising/refiling is to correct RSFA or Rule Supplemental information ONLY,
you do NOT need to upload a corrected rule body.
§
Select 'Browse' to search for the rule you retrieved and corrected in
RAS. Make sure you select the proper filename. (For more info, see "How to
Prepare an Original Filing"; Appendix B.)
§
When you locate the file, select it by clicking the file name once and
select 'Open.'
§
The file name will now appear on the 'Upload Rule Body' screen. Select OK.
§
To view the file you have uploaded, select print/view next to
'Rule Body.'
·
If applicable, replace
Rule Summary and Fiscal Analysis Part B-Fiscal Detail (RSFA-B),
Environmental Impact Form (EI), or Appendix (if XML)
§
If you made corrections to the RSFA B, EI, or Appendix (if XML), then
follow the 'replace' instructions described in "Replace Rule Body"
above. However, if these forms were NOT
corrected, do not replace them.
·
If applicable, replace or remove PDF documents (RSFA
attachment, Public Hearing Notice, Additional Communications, Appendix, IBR
Attachment)
To Upload a
New IBR or RSFA attachment, or Appendix:
o
Navigate to the main package content screen and select
'open' next to the rule requiring the RSFA attachment, IBR attachment, or
Appendix. Do not use the RSFA or
IBR Attachment button to upload an Appendix!!!
o
Select the IBR Attachment, RSFA Attachment or Appendix
button on the left. Supply the document
title and answer the copyright questions.
For Appendix, select the type.
Browse to upload the PDF file.
If you wish to add the IBR or RSFA attachment to all rules in the
package, check the box that says "Add attachment to all files in
package." For more information on
this feature, select the help link located next to it.
o
You are required to print/view the uploaded PDF
before completing the filing.
To Replace an
IBR or RSFA attachment, or Appendix:
o Navigate to
the main package content screen and select 'open' next to the rule requiring
the corrected RSFA attachment, IBR attachment, or Appendix.
o
Select the replace link next to the current
attachment or appendix. Browse to
upload the PDF file. If asked, supply a
new title. If you wish to add the IBR
or RSFA attachment to all rules in the package, check the box that says
"Add attachment to all files in package." For more information on this feature, select the help link
located next to it.
o You are
required to print/view the uploaded PDF before completing the filing.
To Remove an IBR or RSFA attachment, or Appendix:
o Navigate to
the main package content screen and select 'open' next to the rule requiring
removal of the RSFA attachment, IBR attachment or Appendix.
o Select the remove
link next to the current attachment or appendix. This will completely remove the attachment.
o You cannot
undo a Remove, so make sure Remove is what you want before you continue.
·
Repeat the above steps for each rule being revised/refiled.
Upload a new PHN or Additional Communication (only
one per filing action):
o
A revised or new Public Hearing Notice or an Additional Communications document
can be uploaded with each filing action.
o
Navigate to the main package content screen. The previously filed PHN or
Add'l Comm. will not appear.
o Select the
Upload Public Hearing Notice or Upload Add'l Communications button on the
left. Browse to upload the PDF. For PHN, fill out the information on
location and time of the hearing.
·
For more information on these functions, see the "How to Prepare an
Original Filing" document.
6. File the
revised or refiled rules.
IMPORTANT!!!! When you
push the OK button to complete this filing, you assume responsibility for what
is being filed. View each document to
make sure you are filing the correct version of the document and to make sure that
all dates and other supplemental information is correct.
Remember, that
the ERF system does NOT allow for changes to be made to documents or the online
questions (history trail information, etc.) during the Final Filing.
·
When you have replaced, uploaded, or removed
all documents as needed for the revision/refile, and viewed them, you are ready
to file.
·
Select the package name link in the green field in the upper
right corner to get back to the main package content screen.
·
Select the red FILE button. If
you do not see the red FILE button:
- Are you logged in to the website
with your 'file' username and password? You will not see the file button
if you are logged in with your 'edit' user name and password.
- Are you authorized to file a
package? If you do not know, you will
need to ask your agency's authorized contact if you have filing privileges.
·
You will be asked to 'Please Choose an Action Type to File.'
·
Select 'Revise' or 'Refile', then select OK.
·
A Status screen will appear showing the
list of documents required for this filing which are indicated with a green
checkmark, red X, or blue exclamation point.
In all columns except the RSFA:
X - item is missing an
element(s) that is required for filing
! - document has
uploaded but has not yet been viewed (each document must be viewed prior to
filing)
[ - document is ready
for filing
In the RSFA column:
X - one or more questions on Forms 2 - 4 have
not been completed
! - Forms 2 - 4 have
been completed however the RSFA (a) has not been viewed
[ - document is ready
for filing
·
If you see a red X or blue exclamation point,
you will not be permitted to file. Select 'Cancel' and upload, fill out or view the
required forms.
·
Select the checkbox beside each rule you want to file as
revised/refiled, then select OK.
·
You will now be at the filing screen and will see the following text:
'By pressing the Ok button below you are officially making
this filing with LSC, and when appropriate, JCARR and the Secretary of State.
If you are here in error, please click the Cancel button.'
·
DOUBLE CHECK the information on this screen before you press OK. When
you press OK, you have filed.
·
Press OK. You have filed.
·
A confirmation screen will appear.
·
Choose Print the Cover Letter for this filing link to
print a copy of the cover letter. (Note: recommend you print this cover letter as a confirmation
of your electronic filing.)
·
Adobe Reader will open a window. You can print the cover
letter by selecting the printer icon.
After printing, close this window by selecting File, Close.
·
Select OK to complete the filing process.
·
You will now be back at the main package screen. The rules you filed
will show a status of 'Revised/refiled.'
·
An electronic confirmation of your filing is immediately
sent to the following agencies as applicable for this filing: JCARR, LSC, Secretary of State, Department of
Development - Office of Small Business Ohio Department of Aging.
·
Select History to view detailed information on the filing.
7. View
filing in History and print copies or save as PDF for your records (optional).
·
After
you have completed the filing, you can view and print the documents exactly as
they were filed by selecting the History button on the main package content screen.
·
A
list of rules will appear and each rule will have two options: print/view documents and view
online questions.
·
Select
the print/view documents link beside one of the rules. For each rule, you can print selected
documents or you can 'print all.' (Note: 'print all' prints all attachments
and package level documents (such as PHN, Additional Communications) that are
associated with a rule).
·
To Print only selected documents: Select print/view beside the document you wish to print. Adobe Reader will open a window
and a PDF will be created of the document selected. The number of pages in the PDF displays at the bottom left (such
as '1 of 3'). To print, select File,
Print. After printing, close this
window by selecting File, Close. Then
select print/view beside the next document you wish to print and repeat
the steps above. You can also save PDF
copy of each document at this time. Select the diskette icon on the Acrobat
Screen to save. Browse to the folder where you want to save your PDF and select
Save.
·
To Print all: Select print/view documents, then
select the 'print all' option. Adobe
Reader will open a window and a PDF will be created that has all
documents for this rule. You can select
the "Bookmarks" tab on the right and click the plus sign to display
an index of the documents. The number
of pages in the PDF displays at the bottom left (such as '1 of 7'). To print the entire PDF, select File,
Print. After printing, close this
window by selecting File, Close.
·
To save a PDF copy for your records: Select print/view beside the
document you wish to print or select 'print all.' Select the diskette icon on the Acrobat Screen to save. Browse
to the folder where you want to save your PDF and select Save. After saving, close this window by selecting
File, Close.
·
Repeat above steps to view, print, or
save PDF documents for each rule in the package.
·
After closing the Acrobat screen, use the package name link
in the upper right corner to go back to the main package content screen.