Revisions to Rules of Practice, 36434-36440 [2013-14221]

Agencies

• POSTAL REGULATORY COMMISSION

[Federal Register Volume 78, Number 117 (Tuesday, June 18, 2013)]
[Rules and Regulations]
[Pages 36434-36440]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-14221]


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POSTAL REGULATORY COMMISSION

39 CFR Part 3001

[Order No. 1742; Docket No. RM2013-1]


Revisions to Rules of Practice

AGENCY: Postal Regulatory Commission.

ACTION: Final rule.

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SUMMARY: The Commission recently proposed minor changes to its rules of 
general applicability. The proposed changes involved minor 
clarifications and corrections. Having reviewed comments on the 
proposed changes, the Commission is adopting a final set of rules. The 
final rules reflect statutory and regulatory changes; minor editorial 
changes; and changes designed to foster clarity and simplicity. They 
also reflect, in some instances, the suggestions of a commenter. 
Adoption of the revisions will promote effective and efficient 
administration of agency business.

DATES: Effective date: June 28, 2013.

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

SUPPLEMENTARY INFORMATION: Regulatory history: 78 FR 22820 (Apr 17, 
2013).

Table of Contents

I. Introduction
II. Comments
III. Summary of Changes to the Proposed Rules
IV. Discussion
V. Section-by-Section Analysis
VI. Effective Date

I. Introduction

    On March 19, 2013, the Commission issued a notice of proposed 
rulemaking concerning minor clarifying amendments to the Commission's 
rules of practice and procedure in 39 CFR part 3001.\1\ The proposed 
amendments suggested minor changes that would remove obsolete 
references, adopt new terminology, and make technical edits. Interested 
persons were provided an opportunity to comment on the proposed 
amendments. Id. at 6. After consideration of the comments submitted, 
the Commission adopts the proposed amendments with several minor 
modifications.
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    \1\ Order No. 1677, Notice of Proposed Rulemaking Concerning 
Minor Amendments to the Rules of Practice, March 19, 2013 (Order No. 
1677).
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II. Comments

    The Public Representative and the Postal Service filed comments on 
May 17, 2013. No other interested person submitted comments. The Postal 
Service's comments offer no substantive suggestions and commend ``the 
Commission for undertaking to prepare these clarifications and 
improvements. . . .'' \2\
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    \2\ United States Postal Service Comments on Notice of Proposed 
Rulemaking Regarding Minor Amendments to the Rules of Practice, May 
17, 2013, at 1.
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    The Public Representative states that the ``minor amendments are a 
step in the right direction'' but ``suggests that the Commission 
undertake a more comprehensive review of its rules of practice and 
procedure to address inconsistencies, remove outdated rules, and assure 
that rules conform with current practice before the Commission.'' \3\ 
Suggestions for ``a more comprehensive update of the rules'' include:
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    \3\ Comments of the Public Representative, May 17, at 1 (PR 
Comments).

--moving all general definitions to part 3001 and removing duplicative 
definitions and definitions contained in other parts. Id. at 1-2.
--clarifying the definitions of the classes of persons that appear 
before the Commission (i.e., party, participant, complainant) and 
ensuring that the terms are used as intended. Id. at 2-3.
--distinguishing commenters as described in rule 3001.20b with 
interested persons who file comments at the Commission's invitation. 
Id. at 3, 5.
--proposing a revised definition of ``hearing''. Id. at 4.
--clarifying that the Public Representatives are not classified as 
``decision-making Commission personnel'' for the purposes of rule 
3001.7. Id.
--using consistent terminology to describe the filing and acceptance of 
documents filed online. Id.
--removing the requirement that the Postal Service file requests for 
changes in rate and classifications both online and in hard copy. Id. 
at 4-5.
--allowing the presiding officer to grant late filed motions to 
intervene. Id. at 5.
--removing references to intermediate decisions. Id. at 5, 7.
--clarifying the rights of limited participators in discovery matters 
in rules 3001.26, 3001.27, and 3001.28. Id. at 7.
--clarifying the person(s) responsible for prehearing conferences and 
ruling on motions in cases where a presiding officer is not appointed. 
Id. at 6, 7.
-- eliminating the requirement in rule 3001.31(g) that eight copies of 
all prepared testimony and exhibits be filed. Id. at 7.
--revising rule 3001.33 to be consistent with online filings. Id. at 8.
--revising rule 3001.39(c) to conform with current Commission practice. 
Id.
--allowing requests to open and close public meetings to be filed 
electronically. Id. at 9.
--removing rule 3001.75. Id.

III. Summary of Changes to the Proposed Rules

    As discussed below, the Commission is making the following changes 
to the rules proposed in Order No. 1677.
    In paragraph (j) of rule 3001.5, the proposed rules contained the 
phrase ``Sec. Sec.  3001.17 and 3001.18(a) of this section''. ``[O]f 
this section'' is unnecessary and has been removed from the final rule. 
In paragraph (o), the phrase ``of this chapter'' has been added 
following the reference to part 3025 for clarification.
    In rule 3001.7, the Commission adopts the Public Representative's 
suggestion to clarify that individuals assigned to represent the 
interests of the general public in a particular docket are excluded 
from the definition of ``decision-making Commission personnel'' for 
purposes of applying ex parte restrictions. Therefore, a new paragraph 
3001.7(a)(2)(iii) is added to refer to the Public Representative and 
other Commission personnel assigned to represent the interests of the 
general public pursuant to 39 U.S.C. 505. In addition, Order No. 1677 
inadvertently proposed that paragraphs (b)(1) through (b)(5) be deleted 
from the rule. The final rules leave those paragraphs intact.
    In rule 3001.10, the Commission agrees with the Public 
Representative's suggestion that requests for changes in rates and 
classifications no longer need to be filed in hard copy. Therefore, 
paragraph (a)(4) is removed; paragraph (a)(5) is redesignated as 
paragraph (a)(4); and paragraph (a)(6) is redesignated as paragraph 
(a)(5).
    In rule 3001.12, paragraph (a)(1) is removed to reflect the 
elimination of current rule 3001.10(a)(4). Paragraph (a)(2) is 
redesignated as paragraph (a)(1), and paragraph (a)(3) is redesignated 
as paragraph (a)(2).
    In rule 3001.17, paragraph (a)(2) is revised to include a reference 
to Sec.  3030.30. In rule 3001.25(a), language

[[Page 36435]]

has been added to clarify that discovery may occur in cases set for 
hearing pursuant to part 3030.
    In paragraph (j) of rule 3001.31, the Public Representative 
suggests replacing ``Provided, That'' with ``Provided, that''. The 
Commission instead revises the paragraph to form two sentences and 
removes the phrase ``Provided, That'' and the word ``general''.
    The proposed rules inadvertently suggested deletion of paragraph 
(a)(2) in rule 3001.43. The final rules leave that paragraph intact.
    The Public Representative suggests deleting rule 3001.75 in its 
entirety because as proposed, it is unnecessary in light of rule 
3001.71. The Commission agrees that rule 3001.75 is unnecessary and 
removes it.
    In all other respects, the Commission adopts the rules as proposed 
in Order No. 1677.

IV. Discussion

    The final rules adopted by this order make minor clarifications and 
corrections to the Commission's rules of practice and procedure in 39 
CFR part 3001. The amendments largely remove obsolete references, adopt 
new terminology, and make technical edits to ensure the rules reflect 
the changes brought on by the Postal Accountability and Enhancement Act 
(PAEA), Public Law 109-435, 120 Stat. 3198 (2006), and subsequent 
rulemakings. This docket was not established to consider substantive 
changes.
    In rule 3001.25(a), language has been added to clarify that 
discovery may occur in cases set for hearing pursuant to part 3030.
    The commenters do not object to any of the proposed changes, but 
the Public Representative appears concerned that the references to 39 
U.S.C. 3662 complaint cases were removed from rules 3001.5(j) and 
3001.25(a). PR Comments at 4, 6. The references to complaint cases were 
removed from rules 3001.5(j) and 3001.25(a) because the PAEA removed 
the requirement that complaint proceedings be adjudicated as formal, on 
the record hearings pursuant to the Administrative Procedure Act. Thus, 
there is no longer a statutory obligation to adjudicate 39 U.S.C. 3662 
cases formally. Nonetheless, the Commission has decided to adjudicate 
complaint cases formally if the complaint raises one or more material 
issues of fact or law. See 39 CFR 3030.30(a). The Commission's part 
3030 rules clarify when the part 3001 rules are applicable to a 
complaint proceeding filed under part 3030, as the part 3001 rules are 
applicable by regulation rather than statute. Therefore, the references 
to 39 U.S.C. 3662 complaint cases were properly removed from rules 
3001.5(j) and 3001.25(a). However, a reference to part 3030 has been 
added to rule 3001.25(a). In addition, a clarification to rule 3001.17 
is necessary to clarify when a complaint filed pursuant to part 3030 is 
noticed and adjudicated in a formal, on the record proceeding. The 
change made in this order to rule 3001.17(a)(2) should clear up any 
residual confusion.
    Since this rulemaking endeavored to make minor corrective 
amendments to the rules of practice and procedure, many of the Public 
Representative's suggestions were, as he acknowledged, ``suggestions 
for a more comprehensive update of the rules.'' PR Comments at 1. To 
the extent the Public Representative's suggestions fell within the 
narrow scope of this rulemaking, they have been incorporated into the 
final rules. Other suggestions call for more comprehensive changes that 
are outside the scope of this rulemaking. In addition, the Public 
Representative's suggestions include many substantive changes on which 
interested persons should have the opportunity to comment. Therefore, 
the Commission will review the Public Representative's suggestions, and 
if warranted, open a subsequent rulemaking and allow for additional 
comment on any further changes.

V. Section-by-Section Analysis

    Rule 3001.5. The amendments make changes to paragraphs (a), (h), 
(j), (m), (o), (p), and (q). The changes largely address changes in 
Commission terminology. For example, ``officer of the Commission who is 
designated to represent the interests of the general public'' in 
paragraph (h) and ``Office of the Consumer Advocate'' in paragraph (q) 
have been replaced with ``Public Representative.'' In paragraphs (a), 
(j), (m), and (o), statutory and regulatory references that have been 
changed or repealed are replaced with accurate references. The obsolete 
definition in paragraph (p) is removed, and the paragraph is reserved 
for future use.
    Rule 3001.7. The amendments address changes in Commission 
terminology and replace obsolete statutory and regulatory references. 
For example, in paragraph (a)(1)(iii), ``Office of Rates, Analysis and 
Planning'' is replaced with ``Office of Accountability and 
Compliance.'' In paragraph (a)(2)(ii), ``Subpart C'' is replaced with 
``Subpart B.'' The introductory language of paragraph (b) is amended to 
encompass proceedings under section 3661 of title 39; any proceeding 
noticed and set for hearing by the Commission pursuant to Sec. Sec.  
3001.17 and 3001.18; or any proceeding conducted pursuant to part 3025. 
In addition, a new paragraph (a)(2)(iii) is added to clarify the status 
of Commission personnel assigned to represent the interests of the 
general public in specific cases.
    Rule 3001.9. The amendments to rule 3001.9 address changes in 
Commission terminology, standardize the Commission's address and 
internal citation method, and add minor clarifying language. For 
example, in paragraph (a), ``Office of the Secretary'' is replaced with 
``Office of Secretary and Administration,'' and in paragraph (c)(2), 
``federal'' is added before ``holiday''.
    Rule 3001.10. Paragraph (a)(4) is removed; paragraph (a)(5) is 
redesignated as paragraph (a)(4); and paragraph (a)(6) is redesignated 
as paragraph (a)(5). Paragraph (c) is amended by deleting the excess 
``or'' that follows ``Word.''
    Rule 3001.12. Paragraph (a)(1) is removed; paragraph (a)(2) is 
redesignated as paragraph (a)(1); and paragraph (a)(3) is redesignated 
as paragraph (a)(2).
    Rule 3001.15. The amendments to rule 3001.15 clarify that the rule 
applies to federal holidays, make grammatical corrections, and remove 
the reference to part-day holidays.
    Rule 3001.17. The amendment to paragraph (a)(2) clarifies language, 
resolving possible confusion and clarifying that the rule is intended 
to be read in conjunction with the Commission's rules in part 3030.
    Rule 3001.18. The amendments to paragraphs (b) and (c) of rule 
3001.18 remove obsolete regulatory references and revise the types of 
decisions issued by the Commission to reflect statutory changes.
    Rule 3001.19. Rule 3001.19 is amended by removing the word 
``involved'' in the third sentence.
    Rule 3001.20a. Paragraph (c) of rule 3001.20a is amended by 
removing the obsolete statutory reference to 39 U.S.C. 3622(b)(4) and 
by replacing ``Limited participants'' with ``Limited participators''.
    Rule 3001.20b. The amendments to the introductory paragraph of rule 
3001.20b correct obsolete and imprecise regulatory references.
    Rule 3001.21. In paragraph (a), ``initial decision'' is replaced 
with ``intermediate decision''.
    Rule 3001.23. In paragraphs (a)(7) and (a)(9), ``initial or 
recommended decision'' is replaced with ``intermediate decision''.
    Rule 3001.24. Amendments to paragraphs (a) and (d)(6) remove

[[Page 36436]]

obsolete statutory references. In addition, ``recommended decision or'' 
is deleted from paragraph (a).
    Rule 3001.25. Paragraph (a) is amended by removing obsolete 
statutory references.
    Rule 3001.27. Paragraph (b) is amended by replacing the reference 
to ``.12'' with ``3001.12''.
    Rule 3001.30. Paragraph (d) is amended by removing obsolete 
statutory references and by adding clarifying language at the end of 
the first sentence. Paragraph (e)(2) is amended by replacing the 
obsolete reference to ``OCA-T1-17'' with ``PR-T1-17''. Paragraph (h) is 
amended by replacing references to ``his'' with ``his/her''.
    Rule 3001.31. Paragraph (j) is revised to improve readability with 
respect to official notice. Paragraph (k)(3)(i)(i) is amended by 
replacing ``Administrative Office'' with ``Office of Secretary and 
Administration''.
    Rule 3001.31a. Paragraph (c) is amended by removing ``and shall be 
subject to the provisions of Sec.  3001.42 of this chapter''.
    Rule 3001.32. Paragraph (f) is amended by replacing ``allowed or 
requested'' with ``certified pursuant to paragraph (b)(1) of this 
section''; by replacing both references to ``initial decision'' with 
``intermediate decision''; and by replacing ``at the conclusion of the 
proceeding'' with ``in the participants' briefs in accordance with 
Sec.  3001.34''.
    Rule 3001.34. Paragraph (a) is amended by replacing ``issuance of 
recommended decision or advisory opinion to the Postal Service within 
the contemplation of sections 3641(a) and 3661 of the Act'' with 
``issuance of the decision or advisory opinion''. Paragraph (b)(3) is 
amended by replacing ``the subject matter of the complaint, or 
recommended decision, advisory opinion, or public report to be issued'' 
with ``and the advisory opinion or decision to be issued''.
    Rule 3001.36. Rule 3001.36 is amended by removing references to 
``other designated officers'' (including in the rule title) and by 
replacing references to ``initial or recommended decisions'' with 
``intermediate decisions''. It is also amended by replacing ``shall 
determine the time and place for oral argument. He may specify the 
issue or issues on which oral argument'' with ``shall determine the 
time and place for oral argument, and may specify the issue or issues 
on which oral argument''.
    Rule 3001.39. Paragraph (c) is amended by removing ``(initial, 
recommended or tentative)'' and obsolete statutory references, and by 
updating the terminology used for the various types of decisions 
issued.
    Rule 3001.40. Rule 3001.40 is amended by removing the authority 
citation that follows the rule.
    Rule 3001.41. Rule 3001.41 is amended by removing the authority 
citation that follows the rule.
    Rule 3001.43. Paragraph (a)(1) is amended by removing the reference 
to how access to documents being considered at Commission meetings 
shall be obtained. Paragraph (c)(10) is amended by removing the 
reference to section 3624(a) of title 39 and by clarifying that the 
type of proceeding referred to is an an appellate proceeding. Paragraph 
(e)(4)(i) is amended by replacing the reference to the office of the 
Secretary of the Commission with the reception area of the Postal 
Regulatory Commission. Paragraphs (g)(1)(iii) and (g)(2)(iii) are 
amended by making nomenclature changes to replacing references to the 
office of the Secretary with the Office of Secretary and 
Administration.
    Rule 3001.72. Rule 3001.72 is amended by replacing the reference to 
a recommended decision with a reference to an advisory opinion.
    Rule 3001.75. Rule 3001.75 is removed.

VI. Effective Date

    Generally, substantive rules become effective not less than 30 days 
after publication in the Federal Register. 5 U.S.C. 553(d). A rule may 
become effective sooner if it is an interpretative rule, a statement of 
policy, or if the agency finds good cause to make it effective sooner. 
Id. Since the amendments promulgated by this order are not substantive 
in nature and are being adopted after public notice and opportunity for 
comment, the Commission finds that good cause exists to make the 
amendments promulgated by this order effective on June 28, 2013.

VII. Ordering Paragraphs

    It is ordered:
    1. The Commission hereby adopts the amendments to part 3001 of 
title 39, Code of Federal Regulations.
    2. These rules shall take effect on June 28, 2013.
    3. The Secretary shall arrange for publication of this order in the 
Federal Register.

List of Subjects in 39 CFR Part 3001

    Administrative practice and procedure, Freedom of information, 
Postal Service, Sunshine Act.

    For the reasons discussed in the preamble, the Commission amends 
chapter III of title 39 of the Code of Federal Regulations as follows:

PART 3001--RULES OF PRACTICE AND PROCEDURE

0
1. The authority citation for part 3001 continues to read as follows:

    Authority:  39 U.S.C. 404(d); 503; 504; 3661.

Subpart A--Rules of General Applicability

0
2. In Sec.  3001.5:
0
a. Revise paragraphs (a), (h), (j), (m), (o), and (q).
0
b. Remove and reserve paragraph (p).
    The revisions read as follows:


Sec.  3001.5  Definitions.

    (a) Act means title 39, United States Code, as amended.
* * * * *
    (h) Participant means any party to the proceeding, including formal 
intervenors as described in Sec.  3001.20, and the Public 
Representative and, for the purposes of Sec. Sec.  3001.11(e), 3001.12, 
3001.21, 3001.23, 3001.24, 3001.29, 3001.30, 3001.31, and 3001.32 only, 
it also means persons who are limited participators.
* * * * *
    (j) Hearing means a hearing under sections 556 and 557 of title 5, 
U.S.C. (80 Stat. 386), as provided by section 3661 of the Act or in any 
other proceeding noticed by the Commission under Sec. Sec.  3001.17 and 
3001.18(a).
* * * * *
    (m) Petitioner means a person who is permitted by 39 U.S.C. 
404(d)(5) to appeal to the Commission a determination of the Postal 
Service to close or consolidate a post office.
* * * * *
    (o) Ex parte communication means an oral or written communication 
not on the public record with respect to which reasonable prior notice 
to all participants and limited participators is not given, but it 
shall not include requests for status reports on any matter or 
proceeding covered by subchapter II of chapter 5 of title 5 or a 
proceeding conducted pursuant to part 3025 of this chapter.
    (p) [Reserved]
    (q) Public Representative or PR means an officer of the Commission 
designated to represent the interests of the general public in a 
Commission proceeding.
* * * * *

0
3. In Sec.  3001.7, revise paragraphs (a) and (b) to read as follows:

[[Page 36437]]

Sec.  3001.7  Ex parte communications.

    (a) Definitions. (1) Decision-making personnel. Subject to the 
exception stated in paragraph (a)(2)(ii) of this section, the following 
categories of persons are designated ``decision-making personnel'':
    (i) The Commissioners and their personal office staffs;
    (ii) The General Counsel and his/her staff;
    (iii) The Director of the Office of Accountability and Compliance 
and his/her staff;
    (iv) Any other employee who may reasonably expected to be involved 
in the decisional process.
    (2) Non-decision-making Commission personnel. The following 
categories of person are designated ``non-decision-making personnel'':
    (i) All Commission personnel other than decision-making personnel;
    (ii) Decision-making Commission personnel not participating in the 
decisional process owing to the prohibitions of Sec.  3001.8 or Sec.  
3000.735-501 of this chapter.
    (iii) The Public Representative and other Commission personnel 
assigned to represent the interests of the general public pursuant to 
39 U.S.C. 505 in the specific case or controversy at issue.
    (b) Prohibition. In any agency proceeding conducted under section 
3661 of the Act; noticed and set for hearing by the Commission pursuant 
to Sec. Sec.  3001.17 and 3001.18(a); or any proceeding conducted 
pursuant to part 3025 of this chapter to the extent required for the 
disposition of ex parte matters as authorized by law:
* * * * *

0
4. In Sec.  3001.9, revise paragraphs (a), (c)(2), and (e) to read as 
follows:


Sec.  3001.9  Filing of documents.

    (a) Filing with the Commission. The filing of each written document 
required or authorized by these rules or any applicable statute, rule, 
regulation, or order of the Commission, or by direction of the 
presiding officer, shall be made using the Internet (Filing Online) 
pursuant to Sec.  3001.10(a) at the Commission's Web site (https://www.prc.gov), unless a waiver is obtained. If a waiver is obtained, a 
hard copy document may be filed either by mailing or by hand delivery 
to the Office of Secretary and Administration, Postal Regulatory 
Commission, 901 New York Avenue NW., Suite 200, Washington, DC 20268-
0001 during regular business hours on a date no later than that 
specified for such filing. The requirements of this section do not 
apply to participants other than the Postal Service in proceedings 
conducted pursuant to part 3025 of this chapter.
* * * * *
    (c) * * *
    (2) Any document received after the close of regular business hours 
or on a Saturday, Sunday, or federal holiday, shall be deemed to be 
filed on the next regular business day.
* * * * *
    (e) Account holder exemptions. Notices of intervention and comments 
solicited by the Commission may be filed under temporary Filing Online 
accounts. Temporary Filing Online accounts may be obtained without 
meeting all of the requirements of paragraphs (b) and (c) of this 
section, and the subscription requirements of Sec.  3001.11(e). Other 
categories of documents may be filed under temporary Filing Online 
accounts under extraordinary circumstances, for good cause shown.

0
5. In Sec.  3001.10, revise paragraphs (a)(4), (a)(5), and (c) to read 
as follows:


Sec.  3001.10  Form and number of copies of documents.

    (a) * * *
    (4) Documents filed online must satisfy Filing Online system 
compatibility requirements specified by the Secretary in the Filing 
Online User Guide, which may be accessed from the Filing Online page on 
the Commission's Web site, https://www.prc.gov.
    (5) Documents requiring privileged or protected treatment shall not 
be filed online.
* * * * *
    (c) Computer media. A participant that has obtained a waiver of the 
online filing requirement of Sec.  3001.9(a) may submit a document on 
standard PC media, simultaneously with the filing of one printed 
original and two hard copies, provided that the stored document is a 
file generated in either Acrobat (pdf), Word, WordPerfect, or Rich Text 
Format (rtf).
* * * * *


Sec.  3001.12  [Amended]

0
6. In Sec.  3001.12, remove paragraph (a)(1) and redesignate paragraphs 
(a)(2) and (a)(3) as paragraphs (a)(1) and (a)(2).

0
7. Revise Sec.  3001.15 to read as follows:


Sec.  3001.15  Computation of time.

    Except as otherwise provided by law, in computing any period of 
time prescribed or allowed by this part, or by any notice, order, rule 
or regulation of the Commission or a presiding officer, the day of the 
act, event, or default after which the designated period of time begins 
to run is not to be included. The last day of the period so computed is 
to be included unless it is a Saturday, Sunday, or federal holiday, in 
which event the period runs until the end of the next day which is 
neither a Saturday, Sunday, nor a federal holiday. In computing a 
period of time which is 5 days or fewer, all Saturdays, Sundays, and 
federal holidays are to be excluded.

0
8. In Sec.  3001.17, revise paragraph (a)(2) to read as follows:


Sec.  3001.17  Notice of proceeding.

    (a) * * *
    (2) The Commission determines that a complaint filed under part 
3030 of this chapter raises one or more material issues of fact or law 
in accordance with Sec.  3030.30 of this chapter; or
* * * * *

0
9. In Sec.  3001.18, revise paragraphs (b) and (c) to read as follows:


Sec.  3001.18  Nature of the proceedings.

* * * * *
    (b) Procedure in hearing cases. In proceedings which are to be set 
for hearing, the Commission shall issue a notice of hearing or 
prehearing conference pursuant to Sec.  3001.19. After the completion 
of the hearing, the Commission or the presiding officer shall receive 
such briefs and hear such oral argument as may be ordered by the 
Commission or the presiding officer pursuant to Sec. Sec.  3001.34 to 
3001.37. The Commission shall then issue an advisory opinion or final 
decision, as appropriate.
    (c) Procedure in non-hearing cases. In any case noticed for a 
proceeding to be determined on the record in which a hearing is not 
requested by any party or ordered by the Commission, the Commission or 
the presiding officer shall issue a notice of the procedure to be 
followed with regard to the filing of briefs and oral argument. The 
Commission shall then issue an advisory opinion or final decision, as 
appropriate. The Commission or presiding officer may, if necessary or 
desirable, call procedural conferences by issuance of a notice pursuant 
to Sec.  3001.19.

0
10. Revise Sec.  3001.19 to read as follows:


Sec.  3001.19  Notice of prehearing conference or hearing.

    In any proceeding noticed for a proceeding on the record pursuant 
to Sec.  3001.17(a), the Commission shall give due notice of any 
prehearing conference or hearing by including the time and place of the 
conference or hearing in the notice of proceeding or by subsequently 
issuing a notice of prehearing conference or hearing. Such notice of

[[Page 36438]]

prehearing conference or hearing shall give the title and docket 
designation of the proceeding, a reference to the original notice of 
proceeding and the date of such notice, and the time and place of the 
conference or hearing. Such notice shall be published in the Federal 
Register and served on all participants in the proceeding. Notice of 
the time and place where a hearing will be reconvened shall be served 
on all participants in the proceeding unless announcement was made 
thereof by the presiding officer at the adjournment of an earlier 
session of the prehearing conference or hearing.

0
11. In Sec.  3001.20a, revise paragraph (c) to read as follows:


Sec.  3001.20a  Limited participation by persons not parties.

* * * * *
    (c) Scope of participation. Subject to the provisions of Sec.  
3001.30(f), limited participators may present evidence which is 
relevant to the issues involved in the proceeding and their testimony 
shall be subject to cross-examination on the same terms applicable to 
that of formal participants. Limited participators may file briefs or 
proposed findings pursuant to Sec. Sec.  3001.34 and 3001.35, and 
within 15 days after the release of an intermediate decision, or such 
other time as may be fixed by the Commission, they may file a written 
statement of their position on the issues. The Commission or the 
presiding officer may require limited participators having 
substantially like interests and positions to join together for any or 
all of the above purposes. Limited participators are not required to 
respond to discovery requests under Sec. Sec.  3001.25 through 3001.28 
except to the extent that those requests are directed specifically to 
testimony which the limited participators provided in the proceeding; 
however, limited participators are advised that failure to provide 
relevant and material information in support of their claims will be 
taken into account in determining the weight to be placed on their 
evidence and arguments.

0
12. In Sec.  3001.20b, revise the introductory text and paragraph (a) 
to read as follows:


Sec.  3001.20b  Informal expression of views by persons not parties or 
limited participators (commenters).

    Notwithstanding the provisions of Sec. Sec.  3001.20 and 3001.20a, 
any person may file with the Commission, in any case that is noticed 
for a hearing pursuant to Sec.  3001.17(a), an informal statement of 
views in writing, in accordance with the following provisions:
    (a) Form of statement. A statement filed pursuant to this section 
may be submitted as a hardcopy letter mailed to the Secretary or an 
electronic message entered under the ``Contact Us'' link on the 
Commission's Web site, https://www.prc.gov.
* * * * *

0
13. In Sec.  3001.21, revise paragraph (a) to read as follows:


Sec.  3001.21  Motions.

    (a) Scope and contents. An application for an order or ruling not 
otherwise specifically provided for in this part shall be by motion. 
Motions shall set forth with particularity the ruling or relief sought, 
the grounds and basis therefor, and the statutory or other authority 
relied upon, and shall be filed with the Secretary and served pursuant 
to the provisions of Sec. Sec.  3001.9 to 3001.12. All motions to 
dismiss proceedings or other motions which involve a final 
determination of the proceeding shall be addressed to the Commission. 
After a presiding officer is designated in any proceeding, and before 
the issuance of an intermediate decision pursuant to Sec.  3001.39 or 
certification of the record to the Commission pursuant to Sec.  
3001.38, all other motions in that proceeding shall be addressed to the 
presiding officer.
* * * * *

0
14. In Sec.  3001.23, revise paragraphs (a)(7), (a)(8), (a)(9), and 
(a)(10) to read as follows:


Sec.  3001.23  Presiding officers.

    (a) * * *
    (7) To dispose of procedural requests or similar matters but not, 
before their intermediate decision, to dispose of motions made during 
hearings to dismiss proceedings or other motions which involve a final 
determination of the proceeding;
    (8) Within their discretion, or upon direction of the Commission, 
to certify any question to the Commission for its consideration and 
disposition;
    (9) To submit an intermediate decision in accordance with 
Sec. Sec.  3001.38 and 3001.39; and
    (10) To take any other action necessary or appropriate to the 
discharge of the duties vested in them, consistent with the statutory 
or other authorities under which the Commission functions and with the 
rules, regulations, and policies of the Commission.
* * * * *

0
15. In Sec.  3001.24, revise paragraphs (a) and (d)(6) to read as 
follows:


Sec.  3001.24  Prehearing conferences.

    (a) Initiation and purposes. In any proceeding the Commission or 
the presiding officer may, with or without motion, upon due notice as 
to time and place, direct the participants in a proceeding to appear 
for a prehearing conference for the purposes of considering all 
possible ways of expediting the proceeding, including those in 
paragraph (d) of this section. It is the intent of the Commission to 
issue its advisory opinion on requests under section 3661 of the Act 
with the utmost practicable expedition. The Commission directs that 
these prehearing procedures shall be rigorously pursued by the 
presiding officer and all participants to that end.
* * * * *
    (d) * * *
    (6) Disclosure of the number, identity and qualifications of 
witnesses, and the nature of their testimony, particularly with respect 
to the policies of the Act and, as applicable according to the nature 
of the proceeding;
* * * * *

0
16. In Sec.  3001.25, revise paragraph (a) to read as follows:


Sec.  3001.25  Discovery--general policy.

    (a) Sections 3001.26 to 3001.28 allow discovery reasonably 
calculated to lead to admissible evidence during a noticed proceeding. 
Generally, discovery against a participant will be scheduled to end 
prior to the receipt into evidence of that participant's direct case. 
An exception to this procedure shall operate in all proceedings brought 
under 39 U.S.C. 3661, or set for hearing under part 3030 of this 
chapter, when a participant needs to obtain information (such as 
operating procedures or data) available only from the Postal Service. 
Discovery requests of this nature are permissible only for the purpose 
of the development of rebuttal testimony and may be made up to 20 days 
prior to the filing date for final rebuttal testimony.
* * * * *

0
17. In Sec.  3001.27, revise paragraph (b) to read as follows:


Sec.  3001.27  Requests for production of documents or things for 
purpose of discovery.

* * * * *
    (b) Answers. The participant responding to the request shall file 
an answer with the Commission in conformance with Sec. Sec.  3001.9 
through 3001.12 within 14 days after the request is filed, or within 
such other period as may be fixed by the Commission or presiding 
officer. The answer shall state, with respect to each item or category,

[[Page 36439]]

that inspection will be permitted as requested unless the request is 
objected to pursuant to paragraph (c) of this section.
* * * * *

0
18. In Sec.  3001.30, revise paragraphs (d), (e)(2), and (h) to read as 
follows:


Sec.  3001.30  Hearings.

* * * * *
    (d) Order of procedure. In public hearings before the Commission, 
the Postal Service shall open and close in proceedings which it has 
initiated under section 3661 of the Act, and a complainant shall open 
and close in proceedings on complaints filed under section 3662 of the 
Act and set for hearing pursuant to Sec.  3001.18(a). With respect to 
the order of presentation of all other participants, and in all other 
proceedings, unless otherwise ordered by the Commission, the presiding 
officer shall direct the order of presentation of evidence and issue 
such other procedural orders as may be necessary to assure the orderly 
and expeditious conclusion of the hearing.
    (e) * * *
    (2) Written cross-examination. Written cross-examination will be 
utilized as a substitute for oral cross-examination whenever possible, 
particularly to introduce factual or statistical evidence. Designations 
of written cross-examination should be served in accordance with 
Sec. Sec.  3001.9 through 3001.12 no later than three working days 
before the scheduled appearance of a witness. Designations shall 
identify every item to be offered as evidence, listing the participant 
who initially posed the discovery request, the witness and/or party to 
whom the question was addressed (if different from the witness 
answering), the number of the request and, if more than one answer is 
provided, the dates of all answers to be included in the record. (For 
example, ``PR-T1-17 to USPS witness Jones, answered by USPS witness 
Smith (March 1, 1997) as updated (March 21, 1997)).'' When a 
participant designates written cross-examination, two hard copies of 
the documents to be included shall simultaneously be submitted to the 
Secretary of the Commission. The Secretary of the Commission shall 
prepare for the record a packet containing all materials designated for 
written cross-examination in a format that facilitates review by the 
witness and counsel. The witness will verify the answers and materials 
in the packet, and they will be entered into the transcript by the 
presiding officer. Counsel may object to written cross-examination at 
that time, and any designated answers or materials ruled objectionable 
will be stricken from the record.
* * * * *
    (h) Rulings on motions. The presiding officer is authorized to rule 
upon any such motion not formally acted upon by the Commission prior to 
the commencement of a prehearing conference or hearing where immediate 
ruling is essential in order to proceed with the prehearing conference 
or hearing, and upon any motion to the presiding officer filed or made 
after the commencement thereof, except that no motion made to the 
presiding officer, a ruling upon which would involve or constitute a 
final determination of the proceeding, shall be ruled upon 
affirmatively by the presiding officer except as a part of his/her 
intermediate decision. This section shall not preclude a presiding 
officer, within his/her discretion, from referring any motion made in 
hearing to the Commission for ultimate determination.
* * * * *

0
19. In Sec.  3001.31, revise paragraphs (j) and (k)(3)(i)(i) to read as 
follows:


Sec.  3001.31  Evidence.

* * * * *
    (j) Official notice of facts. Official notice may be taken of such 
matters as might be judicially noticed by the courts of the United 
States or of any other matter peculiarly within the knowledge of the 
Commission as an expert body. Any participant shall, on timely request, 
be afforded an opportunity to show the contrary.
    (k) * * *
    (3) * * *
    (i) * * *
    (i) An expert on the design and operation of the program shall be 
provided at a technical conference to respond to any oral or written 
questions concerning information that is reasonably necessary to enable 
independent replication of the program output. Machine-readable data 
files and program files shall be provided in the form of a compact disk 
or other media or method approved in advance by the Office of Secretary 
and Administration of the Postal Regulatory Commission. Any machine-
readable data file or program file so provided must be identified and 
described in accompanying hardcopy documentation. In addition, files in 
text format must be accompanied by hardcopy instructions for printing 
them. Files in machine code must be accompanied by hardcopy 
instructions for executing them.
* * * * *

0
20. In Sec.  3001.31a, revise paragraph (c) to read as follows:


Sec.  3001.31a  In camera orders.

* * * * *
    (c) Release of in camera information. In camera documents and 
testimony shall constitute a part of the confidential records of the 
Commission. However, the Commission, on its own motion or pursuant to a 
request, may make in camera documents and testimony available for 
inspection, copying, or use by any other governmental agency. The 
Commission shall, in such circumstances, give reasonable notice of the 
impending disclosure to the affected party. However, such notice may be 
waived in extraordinary circumstances for good cause.
* * * * *

0
21. In Sec.  3001.32, revise paragraph (f) to read as follows:


Sec.  3001.32  Appeals from rulings of the presiding officer.

* * * * *
    (f) Review at conclusion of proceeding. If an interlocutory appeal 
is not certified pursuant to paragraph (b)(1) of this section, 
objection to the ruling may be raised on review of the presiding 
officer's intermediate decision, or, if the intermediate decision is 
omitted, in the participants' briefs in accordance with Sec.  3001.34.
* * * * *

0
22. In Sec.  3001.34, revise paragraphs (a) and (b)(3) to read as 
follows:


Sec.  3001.34  Briefs.

    (a) When filed. At the close of the taking of testimony in any 
proceeding, the Commission or the presiding officer shall fix the time 
for the filing and service of briefs, giving due regard to the timely 
issuance of the decision or advisory opinion. In addition, subject to 
such consideration, due regard shall be given to the nature of the 
proceeding, the complexity and importance of the issues involved, and 
the magnitude of the record. In cases subject to a limitation on the 
time available to the Commission for decision, the Commission shall 
generally direct that each participant shall file a single brief at the 
same time. In cases where, because of the nature of the issues and the 
record or the limited number of participants involved, the filing of 
initial and reply briefs, or the filing of initial, answering, and 
reply briefs, will not unduly delay the conclusion of the proceeding 
and will aid in the proper

[[Page 36440]]

disposition of the proceeding, the participants may be directed to file 
more than one brief and at different times rather than a single brief 
at the same time. The presiding officer or the Commission may also 
order the filing of briefs during the course of the proceeding.
    (b) * * *
    (3) A clear, concise and definitive statement of the position of 
the filing participant as to the proposals of the Postal Service and 
the advisory opinion or decision to be issued;
* * * * *

0
23. Revise Sec.  3001.36 to read as follows:


Sec.  3001.36  Oral argument before the presiding officer.

    In any case in which the presiding officer is to issue an 
intermediate decision, such officer may permit the presentation of oral 
argument when, in his/her opinion, time permits, and the nature of the 
proceedings, the complexity or importance of the issues of fact or law 
involved, and the public interest warrants hearing such argument. The 
presiding officer shall determine the time and place for oral argument, 
and may specify the issue or issues on which oral argument is to be 
presented, the order in which the presentations shall be made, and the 
amount of time allowed each participant. A request for oral argument 
before the issuance of an intermediate decision shall be made during 
the course of the hearing on the record.

0
24. In Sec.  3001.39, revise paragraph (c) to read as follows:


Sec.  3001.39  Intermediate decisions.

* * * * *
    (c) Contents. All intermediate decisions shall include findings and 
conclusions, and the reasons or basis therefor, on all the material 
issues of fact, law, or discretion presented on the record, and the 
appropriate intermediate decision pursuant to the Act. An intermediate 
decision in a proceeding under section 3661 of the Act shall include a 
determination of the question of whether or not the proposed change in 
the nature of postal service conforms to the policies established under 
the Act.
* * * * *


Sec.  3001.40  [Amended]

0
25. Amend Sec.  3001.40 by removing the authority citation.


Sec.  3001.41  [Amended]

0
26. Amend Sec.  3001.41 by removing the authority citation.

0
27. In Sec.  3001.43, revise paragraphs (a)(1), (c)(10), (e)(4)(i), 
(g)(1)(iii), and (g)(2)(iii) to read as follows:


Sec.  3001.43  Public attendance at Commission meetings.

    (a) Open Commission meetings. (1) Commissioners shall not jointly 
conduct or dispose of agency business other than in accordance with 
this section. Except as provided in paragraph (c) of this section, 
every portion of every meeting of the Commission shall be open to 
public observation.
* * * * *
    (c) * * *
    (10) Specifically concern the Commission's issuance of a subpoena 
or the Commission's participation in a civil action or appellate 
proceeding, an action in a foreign court or international tribunal, or 
an arbitration, or the initiation, conduct or disposition by the 
Commission of a particular case of formal Commission adjudication 
pursuant to the procedures in section 554 of title 5 or otherwise 
involving a determination on the record after opportunity for a 
hearing.
* * * * *
    (e) * * *
    (4) * * *
    (i) Publicly posting a copy of the document in the reception area 
of the Postal Regulatory Commission located at 901 New York Avenue NW., 
Suite 200, Washington, DC 20268-0001;
* * * * *
    (g) * * *
    (1) * * *
    (iii) Ten copies of such requests must be received by the Office of 
Secretary and Administration no later than three working days after the 
issuance of the notice of meeting to which the request pertains. 
Requests received after that time will be returned to the requester 
with a statement that the request was untimely received and that copies 
of any nonexempt portions of the transcript or minutes for the meeting 
in question will ordinarily be available in the Office of Secretary and 
Administration 10 working days after the meeting.
    (2) * * *
    (iii) Ten copies of such requests should be filed with the Office 
of Secretary and Administration as soon as possible after the issuance 
of the notice of meeting to which the request pertains. However, a 
single copy of the request will be accepted. Requests to close meetings 
must be received by the Office of Secretary and Administration no later 
than the time scheduled for the meeting to which such a request 
pertains.
* * * * *

Subpart D--Rules Applicable to Requests for Changes in the Nature 
of Postal Services

0
28. Revise Sec.  3001.72 to read as follows:


Sec.  3001.72  Filing of formal requests.

    Whenever the Postal Service determines to request that the 
Commission issue an advisory opinion on a proposed change in the nature 
of postal services subject to this subpart, the Postal Service shall 
file with the Commission a formal request for such an opinion in 
accordance with the requirements of Sec. Sec.  3001.9 to 3001.11 and 
3001.74. Such request shall be filed not less than 90 days in advance 
of the date on which the Postal Service proposes to make effective the 
change in the nature of postal services involved. Within 5 days after 
the Postal Service has filed a formal request for an advisory opinion 
in accordance with this subsection, the Secretary shall lodge a notice 
thereof with the Director of the Federal Register for publication in 
the Federal Register.


Sec.  3001.75  [Removed]

0
29. Remove Sec.  3001.75.

Shoshana M. Grove,
Secretary.
[FR Doc. 2013-14221 Filed 6-17-13; 8:45 am]
BILLING CODE 7710-FW-P