[Federal Register Volume 67, Number 98 (Tuesday, May 21, 2002)]
[Proposed Rules]
[Pages 35766-35774]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-12644]


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POSTAL RATE COMMISSION

39 CFR Part 3001

[Docket No. RM2002-1; Order No. 1341]


Rules of Practice and Procedure

AGENCY: Postal Rate Commission.

ACTION: Proposed rule.

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SUMMARY: The Commission proposes revising its rules of practice to 
require, in most instances, that participants file documents 
electronically over the Internet. This will allow the Commission and 
others to apply modern technology to certain routine procedures. This 
should reduce the burden and expense associated with traditional hard 
copy filing. Conforming and related changes to other rules, including 
those addressing service and submission of computer-generated studies 
and analyses, are also proposed. These changes also will contribute to 
more efficient participation in Commission proceedings and enhance 
administration.

DATES: Working session on June 12, 2002 (10:00 a.m.); comments due by 
June 21, 2002.

ADDRESSES: Send correspondence concerning this proposal to Steven W. 
Williams, Secretary, Postal Rate Commission, 1333 H Street, NW., Suite 
300, Washington, DC 20268-0001. The working session will be held 
at the same address.

FOR FURTHER INFORMATION CONTACT: Stephen L. Sharfman, General Counsel, 
Postal Rate Commission, 1333 H Street, NW., Suite 300, Washington, DC 
20268-0001, 202-789-6820.

SUPPLEMENTARY INFORMATION:

Regulatory History

    See 66 FR 33034 (June 20, 2001).

Procedural History

    The Commission has preliminarily concluded that it is feasible and 
desirable to make electronic filing of documents over the Internet the 
standard procedure for filing official documents with the Commission. 
The Internet-based filing system that the Commission has developed is 
referred to as Filing Online. Nearly all participants in Commission 
proceedings rely on word processing software to generate the documents 
that they file, and nearly all have the capability to send those 
documents in electronic form to the Commission via the Internet using 
standard browser technology. The Commission has developed a user 
interface to support the electronic filing of documents by participants 
in Commission proceedings. Tests of this interface have shown it to be 
secure, reliable, and user-friendly. It is therefore appropriate to 
propose that online filing be made the standard procedure for filing 
documents in Commission proceedings.
    The Commission laid the groundwork for the conversion from hard 
copy to online filing in its notice and order concerning electronic 
filing (order no. 1317), issued June 13, 2001. There the Commission 
notified the public of the specific online filing procedures that it 
was developing, and of its intention to incorporate them in a notice of 
proposed rulemaking. It invited both written comments on those 
procedures and oral comments at a technical conference that it 
conducted on July 11, 2001. The public's suggestions resulted in some 
adjustments to the procedures proposed.
    On October 24, 2001, the Commission issued a notice to participants 
in all of the dockets that were active at that time. The notice 
announced that the Commission was setting up docket no. T2002-1 
as a vehicle for conducting a live test of its proposed online filing 
procedures. Participants were encouraged to take hard copy documents 
that they were filing in other dockets and file them simultaneously in 
docket no. T2002-1 via the Internet. Additional minor revisions 
were made to the Commission's proposed electronic filing procedures as 
a result of this test. The notice indicated the Commission's desire to 
make online filing procedures available on an optional basis shortly 
after the conclusion of the test.

Proposal To Make Filing Over the Internet Standard Procedure

    The results of the T2002-1 test docket have led the 
Commission to conclude preliminarily that the potential benefits to 
participants and the Commission promised by online filing are 
substantial, but that to fully realize them it will be necessary to 
make online filing the standard procedure for filing and serving 
documents in its proceedings. Therefore, the Commission is proposing to 
make the use of Filing Online mandatory. A participant may obtain a 
waiver of the online filing requirement if it demonstrates to the 
Commission that it faces special circumstances that make online filing 
infeasible. The Commission proposes to revise its rules of practice and 
arrange for any training that may be necessary to ensure that the 
benefits of online filing will be available to all participants in the 
next major rate or classification proceeding that the Commission 
conducts.

The Benefits of Filing Online

    As noted in order no. 1317, using Filing Online should 
substantially reduce the cost of participating in Commission 
proceedings. The process for filing documents will be greatly 
simplified. Transaction costs associated with the actual filing of hard 
copy, as well as the costs of paper, printing, and postage, will be 
largely eliminated. The need to serve participants will be eliminated 
for all but the most lengthy documents. The cumbersome attestation 
requirement for interrogatory answers will be eliminated as well. This 
streamlining should reduce the time and expense of filing documents 
with the Commission. It should also give participants earlier access to 
documents filed by others, making it possible to shorten the current 
cycle of pleading and response. It should also eliminate any confusion 
over service dates.
    Because documents will be available in portable document format 
(pdf), they will be vastly more efficient to download. It will also be 
easier to cut and paste portions of filed documents into related 
pleadings and testimony. Conversion to Filing Online should also 
facilitate document management and electronic archiving for 
participants. It should bring about these improvements without a 
reduction in security, since web transmissions between participants and 
the Commission's server will be over encrypted channels. Processing 
documents on the Commission's Web site will be secure as well. 
Procedures are provided that allow a participant to temporarily store 
documents that it plans to file in a reserved area on the Commission's 
server without losing control over its documents. Filing Online also 
provides procedures that safeguard against inadvertent filing of 
documents that have not been finalized. Materials subject to a 
protective order, however, may not be filed through Filing Online, and 
will not be posted on the Commission's Web site.
    Conversion to Filing Online also offers significant benefits to the 
Commission. The time and expense of applying scanning and optical 
character recognition procedures to filed documents will be eliminated 
for most

[[Page 35767]]

filings. As a result, filings can be posted on the Commission's Web 
site more quickly, in drastically reduced file sizes, and in a form 
that will ensure consistency when they are reproduced on different 
printers by different users. This will enable the Commission to provide 
participants with faster and more efficient service.

Account Holders

    The specific procedures that are proposed for filing documents 
online with the Secretary of the Commission are set forth in the Filing 
Online user guide, which may be accessed from the Filing Online Login 
page on the Commission's Web site (url: www.prc.gov). A hard copy of 
the Filing Online user guide will also be mailed to each person who was 
on a service list of any Commission docket that was active within the 
past year. It will also be mailed to anyone else that requests it.
    Basic to the proposed Filing Online procedures is the requirement 
that each individual who wishes to represent a participant in a 
Commission proceeding become an account holder. An individual may 
become an account holder by filling out the account holder application 
that is attached to this notice as attachment 2 and mailing it to the 
Secretary.
    When the Commission accepts an application to become an account 
holder, the account holder assumes a contractual duty to ensure that 
each document that he or she files online is authentic, accurate, and 
authorized by the participant that the account holder purports to 
represent. This duty is the same as that imposed by the Commission's 
current subscription rule [39 CFR 3001.11(e)]. Under proposed 39 CFR 
3001.6(c), the account holder must notify the Commission if this 
authority to represent a particular participant ends.
    The Secretary will assign the new account holder a user name and 
temporary password and deliver them by e-mail. The e-mail will instruct 
the new account holder to immediately access the Profile page through 
the Commission's Filing Online link and select a new password. The new 
password and all files subsequently submitted using the new password 
will be transmitted to the Commission's server over an encrypted 
channel. The account holder will be encouraged to take the added 
precaution of periodically changing his or her password, which can be 
done on the Profile page. These procedures will keep the password-
protected material in each account holder's dedicated user area on the 
Commission's server secure.
    By submitting a document for filing under the account holder's user 
name and password, the account holder would vouch for the accuracy and 
authenticity of that document in the same way that a person would vouch 
for the accuracy and authenticity of the documents that he or she 
submits under the Commission's current subscription rule. This 
procedure will dispense with the need to sign individual documents that 
are filed online. For the same reason, submitting an interrogatory 
answer to the Commission for filing under an account holder's user name 
and password will dispense with the need for the witness to attest to 
the accuracy of his or her answer. Attestation will not be required 
until the interrogatory is offered as record evidence.

The Basic Mechanics of Filing Documents Online

    In order to use Filing Online, an account holder will access the 
Commission's Web site. The account holder will click on the Filing 
Online link in the banner at the top of the Home page and log in by 
providing the appropriate user name and password. A Welcome page will 
appear. This page will offer several choices. A page can be selected 
that will explain how to file a document (the Create Filing Record 
page). Another page can be selected that will list and display all the 
documents the account holder is currently preparing for filing (the 
User Activity page). The account holder may also select a page that 
will list all of the documents that have been submitted on behalf of a 
participant that the account holder represents, indicate which account 
holder submitted them, and whether the filings are pending or accepted 
(the Participant Activity page). Finally, a page can be selected that 
will explain how the account holder's password or address information 
can be changed (the Profile page).
    There are several ways for an account holder to file a document. 
All begin with the creation of a filing record. A filing record may be 
thought of as an empty receptacle that the account holder will fill. 
The account holder will begin this process by clicking on "create 
filing record." If the document to be filed consists of a single 
file, the account holder will fill in the basic record-identifying 
fields by selecting the appropriate docket number and filing party, and 
entering the title of the document to be filed exactly as it appears on 
the first page of that document. The document may be uploaded either 
from the account holder's personal computer or from the user area 
reserved for the account holder on the Commission's server.
    In order for the document to be filed, however, it must be in text-
based pdf form. Requiring that all Filing Online documents be submitted 
in this form is essential to the Commission's ability to provide a 
seamless exchange among all participants of documents that are filed 
online. It will ensure that page and line citations to any document 
downloaded via Filing Online will be consistent; it will make it 
feasible to assemble Filing Online documents into a searchable 
database; and it will drastically reduce the size of downloaded files.
    The account holder can produce a document in text-based pdf form on 
a personal computer using standard Adobe Acrobat software. 
Alternatively, the account holder can convert a document to text-based 
pdf form when submitting it to the Commission by simply clicking on 
either the "create pdf" button on the Edit Filing page, the 
Add Files to Computer page, or the User Activity page.
    If the material that the user wishes to file consists of a set of 
files, the user must select a text file from the set to treat as the 
"host document." A host document is one that references all 
other files in the set and describes them (as attachments, exhibits, 
workpapers, et cetera). The user will be required to enter the title of 
the host document exactly as it appears on the first page of that 
document. The host document and any collateral files that belong in the 
set should then be uploaded, either from the user's work station or 
from the user's area on the Commission's web server. The host document 
must be submitted in text-based pdf form. Any collateral files that can 
be produced in text-based pdf must also be submitted in that form. The 
"create pdf" button on the Commission's Edit Filing page, 
Add Files from Computer page, and the User Activity page can convert 
Postscript, Word, Rich Text Format or Wordperfect files into text-based 
pdf files. While data files may be submitted in their native format, 
they must accompany a host document that is in the required pdf format. 
This is necessary to enable the Commission to track and archive the 
filed material.
    After the record-identifying information has been supplied, the 
host document and attachments have been assembled, and the host 
document and any other documents capable of being converted to text-
based pdf format have been converted, the user will then click the 
"proceed with filing" button. This will bring up the 
Confirmation page.

[[Page 35768]]

The confirmation page gives the user a final chance to view a filing 
before submitting it. Clicking the "Save on Activity page" 
button saves the record on the User Activity page without filing it. If 
the account holder submits the record to the Commission, a Receipt page 
will appear that reflects the time that the Commission received the 
submission. The account holder should print a copy of this record. The 
receipt acknowledges only the fact that the Commission's server has 
received the submission. It does not constitute acceptance of the 
submission as an officially filed document. The receipt will contain a 
unique document identifier that may be used if problems subsequently 
arise.
    The Secretary or designee will check the document-identifying 
information for the host document and review any collateral files. If 
they are found to be in compliance with the Commission's rules, the 
filing will be posted on the Daily Listing page. This will indicate 
that the filing has been accepted. If a problem is found the account 
holder will be contacted.
    A dedicated User Activity page will be provided for the account 
holder's convenience. It will be password-protected and will have three 
parts. The "holding area" screen provides a space on the 
Commission's server where the account holder can temporarily upload 
individual files in order to assemble them into a set, or test their 
conversion to pdf format, without creating an official filing record. 
Documents in the holding area can be added directly to a prospective 
filing using the "add files from holding area" button. 
Files will remain in the holding area for 7 days.
    Filings not yet submitted will be listed in the "filings in 
progress" table on the User Activity page. An account holder will 
be able to save a filing record and return to it later from this 
screen. Unsubmitted filings will remain on this screen for seven days. 
Filings that the account holder has submitted to the Commission in the 
last seven days appear in the "submitted filings" table on 
the same page. All submitted filings will be listed on this screen as 
"pending" until they have been reviewed and accepted or 
rejected. Once a document is accepted, its status will change from 
"pending" to "filed."
    A Participant Activity page will be available where multiple 
account holders who represent the same participant can view a list of 
all of the filings that they submitted on behalf of that participant, 
on that day and the previous business day, whether the filings are 
pending or accepted. Both hard copy and electronic files will be 
listed.
    A Profile page will be made available where account holders can 
change their password and update their address information. To maintain 
security, account holders are encouraged to periodically change their 
password. Updating the address information on the Profile page will 
simultaneously update the account holder's address on the service list 
and participant representative pages on the Commission's Web site.
    A Help page will be available where the public may obtain 
information in a question and answer format about how to use the Filing 
Online system. Commission information specialists will also be 
available to answer questions by telephone at (202) 789-6847 
during regular Commission office hours.

Compatibility With Users' Systems

    Filing Online is designed to be compatible with most commonly-used 
web browsers, computer operating systems, and word processing software. 
The basic uploading and downloading functions provided by Filing Online 
are available to account holders that use any recent edition of the 
Internet Explorer, Netscape, or AOL web browsers, the Windows or Mac 
operating systems, and Word or WordPerfect word processing software. 
The Commission recommends that all account holders download and use the 
most recent version of Adobe Acrobat Reader to view documents 
downloaded through Filing Online. Adobe Acrobat Reader may be 
downloaded free of charge at www.Adobe.com.
    At its inception, Filing Online will offer some enhanced functions 
as well, such as batch downloading and batch printing. These will be 
available to account holders that use any recent version of the Windows 
operating system together with either Internet Explorer, Netscape 4.7 
or Netscape 6.2. Batch downloading and batch printing, however, will 
not initially be available to account holders who use other versions of 
Netscape, or who use a Mac operating system. The availability of these 
enhanced functions will gradually be expanded.

Comparison With Hard Copy Filing System

    Filing Online filing procedures should prove to be easier to comply 
with than the hard copy-based filing procedures that are currently 
followed. Most documents filed with the Commission will be generated in 
the same manner as they are currently, using standard word processing, 
spreadsheet, and statistical software. The principal restriction that 
Filing Online will impose on users is the requirement that each filing 
have at least a host document that is submitted in text-based pdf form. 
This conversion is straightforward for users who have Adobe Acrobat 
software. Users who do not have Adobe Acrobat software can make the 
conversion on the Commission's Web site at the touch of a button. This 
will ensure that all copies subsequently made of host documents filed 
through Filing Online will be true to the original, wherever and 
however they are generated.
    The requirement that host documents be filed in text-based pdf 
format should not add to the complexity of producing such documents for 
filing with the Commission. Currently, hard copy text documents are 
typically composed in Word or Wordperfect format and then printed 
before they are filed with the Commission. If a filer uses different 
printers with different printer drivers to print the same document, it 
may affect the formatting, and therefore, the appearance of the 
document, particularly if the document incorporates a graph or table 
generated by non-text based software. For this reason, the prudent 
participant currently will review a document one final time after it 
has been printed but before it has been submitted to the Commission, in 
order to catch such discrepancies. The same precaution should be 
followed when submitting a document under Filing Online. A document 
should be reviewed one final time in pdf form before it is submitted to 
the Commission in order to catch similar discrepancies that might arise 
between the word-processed version and the pdf version.
    Once produced in pdf form, it should be much easier and cheaper to 
file documents with the Commission under Filing Online than under the 
current hard copy system, for the reasons discussed above. As was also 
noted above, the need to serve documents filed through Filing Online on 
other participants will largely be eliminated.

Training and Implementation

    After comments on this notice of proposed rulemaking have been 
received and evaluated, the Commission hopes to adopt Filing Online as 
the standard procedure for filing documents in Commission proceedings. 
The Commission expects to have Filing Online rules in place and to 
implement the system in the summer of 2002.
    As noted, the Commission established docket no. T2002-1 on 
October 24, 2001, as a vehicle for testing online

[[Page 35769]]

filing procedures. Participants in docket no. T2002-1 became 
account holders by submitting the application that was attached to the 
notice to participants in that docket. Those who became account holders 
in that docket should continue to test the Filing Online system until 
they are familiar with its procedures. Those who expect to represent 
participants in future Commission proceedings who are not account 
holders should apply to become account holders and become familiar with 
Filing Online procedures by filing test documents in docket no. 
T2002-1. An account holder may file documents in any active 
docket. An account holder application is provided with this notice of 
proposed rulemaking as attachment 2. A workshop for current and 
prospective account holders will be conducted by the Commission where 
instruction on Filing Online procedures will be provided. That workshop 
is scheduled for June 12, 2002, at 10:00 a.m. Those interested in 
participating are asked to notify the secretary by June 5, 2002.

Proposed Changes to the Commission's Rules of Practice

    The changes to the Commission's rules of practice that implement 
Filing Online are set forth in attachment 1. Included in these changes 
are some that relate only indirectly to Filing Online.
    The basic change that the Commission proposes is to revise rule 9 
to make it mandatory that all documents that are filed with the 
Commission be filed via the internet through Filing Online, unless a 
waiver is obtained. To obtain a waiver, a participant must demonstrate 
that there are special circumstances that make it infeasible for it to 
use Filing Online to file a document.
    The Commission proposes to revise rule 10 to include a list of 
documents that must be filed both through Filing Online and in hard 
copy form. The list consists of testimony and briefs that exceed 20 
pages in length, and formal rate or classifications change requests. 
Such documents are likely to be cumbersome for participants to download 
and print because they are likely to be long, to include images or 
spreadsheets, or are likely to be submitted in large batches. Where 
supplementary hard copy filing is required, the form, content, and 
service requirements for hard copy documents that are set forth in 
proposed rules 9 though 12 must be followed. Among them is a 
requirement that hard copy documents filed with the Commission be 
printed from a text-based pdf version of the document, where possible. 
See proposed rule 10(b). The proposal that lengthy documents still be 
served in hard copy form reflects requests made by the attendees at the 
technical conference that was held at the Commission on July 11, 2001.
    Documents that are filed through Filing Online will be posted on 
the Commission's Web site and will be available to participants and the 
public for downloading, normally on the same business day that they are 
submitted. When Filing Online becomes the standard form of filing 
documents with the Commission, documents filed online will be 
considered served when the document is posted by the Commission on the 
Daily Listing page of its Web site. Participants will not be required 
to serve those documents on other participants. This change in 
procedure is reflected in proposed rule 12(a). However, participants 
would still be required to serve documents in hard copy form on 
individuals found to be unable to receive service through the 
Commission's Web site.
    Proposed rule 9 requires that each individual, whether representing 
himself or herself or a participant in Commission proceedings, become 
an account holder in order to file documents in Commission dockets. 
This requirement is set forth in proposed rule 9(b). As discussed 
above, account holders would assume a contractual obligation to warrant 
the authenticity and accuracy of the documents that they file through 
Filing Online. They would receive a user name and a password, and a 
dedicated user area on the Commission web server. Relying on account 
holders to warrant the authenticity and accuracy of the documents that 
they file through Filing Online would dispense with the need for the 
participant's representatives to sign specific documents that they 
file. This change in procedure is reflected in proposed rule 11(e).
    With respect to interrogatory answers, the reliance on account 
holders to warrant the authenticity and accuracy of documents filed 
through Filing Online dispenses with the need for witnesses to 
specifically attest to the accuracy of their answers. It is 
contemplated that attestation will be not required until interrogatory 
answers are offered as evidence. This change in procedure is reflected 
in proposed rule 26(b).
    As noted, there will be restrictions on the formats and computer 
technologies that account holders may use to submit documents via 
Filing Online in order to make them compatible with the Commission's 
data processing system. These will be prescribed by the secretary of 
the Commission in a set of instructions that will be maintained on the 
Commission's Web site. Chief among them, as discussed above, is the 
requirement that documents submitted via Filing Online be accompanied 
by a host document that is in text-based pdf format. Proposed rule 
10(a)(2) would authorize the secretary to compile and maintain these 
instructions. These instructions are expected to be adapted over time 
to reflect new technology and to facilitate the use of Filing Online by 
all interested persons. A set of instructions in the form of a Filing 
Online user guide is available on the Commission's web site, and in 
hard copy form upon request.
    While reviewing its proposal to require that documents filed with 
the Commission be in a standardized electronic form, the Commission 
also re-evaluated the form requirements that are set forth in its rules 
of practice with respect to library references and computer analyses. 
Current rule 31(b)(2)(vii) requires that material filed as a library 
reference be provided in an "electronic version" unless it 
is shown that an electronic version cannot be provided. The current 
rule is broad enough to permit material to be filed as a library 
reference even if it can only be read and executed on a mainframe or on 
a Macintosh computer. Neither of these is commonly available hardware. 
If material can only be accessed through such hardware, it imposes on 
participants and the Commission the undue burden of acquiring such 
hardware, or converting the files to a PC compatible form, in order to 
read and execute the files. To avoid this, the Commission proposes to 
revise this rule to require that material filed as a library reference 
be provided on "PC media," unless it is shown that it 
cannot be provided in that form.
    The Commission's evidence rule governing the submission of computer 
analyses requires that a listing of input data, output data, and source 
codes be provided, unless it is shown that they cannot be provided. See 
current rule 31(k)(3)(i). As with the current library reference rule, 
this is broad enough to allow such material to be submitted in a form 
that can only be read and executed by a mainframe or a Macintosh 
computer. To make such material reasonably accessible to participants 
and the Commission, the Commission proposes to revise this rule to 
require that a copy of input data, output data, and source codes be 
provided in a form that allows them to be replicated using a publicly 
available PC application.

[[Page 35770]]

Postal Rate Commission Filing Online Account Holder 
Application \1\
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    \1\ This application appears as attachment 2 in the notice 
distributed to the service list and in the notice as posted on the 
Commission's web site. The changes proposed in the Code of Federal 
Regulations appear as attachment 1. The order of appearance has been 
reversed for purposes of publication in the Federal Register.
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    To file documents electronically, each account holder must have a 
login name and password. Upon submitting a completed application to the 
Commission, the account holder will receive a login name and password. 
The login name/password procedure is designed to ensure that material 
filed using the Filing Online system conforms to the Commission's rules 
of practice, is authorized by the account holder, that it is filed on 
behalf of the participant that it purports to represent, that the 
account holder has read the material filed and is familiar with its 
contents, and that the account holder warrants that it is authentic, 
accurate and otherwise in compliance with rule 11(e). If the account 
holder authorizes support staff to use his/her login name and password 
for purposes of filing documents with the Commission, the account 
holder remains ultimately responsible for ensuring that each filing 
submitted under his/her login name and password is in full compliance 
with rule 11(e). The Commission, therefore, cautions each account 
holder to employ suitable monitoring procedures to ensure that any 
material filed under his/her account fully conforms to that rule.
Account Holder Name
Affiliation
Address
Phone
Fax
Email Address
    I, ________recognize that as the 
account holder I remain responsible for the authenticity and accuracy 
of all documents filed under my login name and password and undertake 
to monitor filings with the Commission to safeguard that no 
unauthorized filing is made under my login name and password.


Signature of account holder.

    Privacy Act Notice: The collection of this information is 
authorized by 39 U.S.C. 3603. This information will be used for 
administering the filing of documents in electronic form by 
participants in Postal Rate Commission proceedings. It may be publicly 
disclosed under the routine uses given in the Privacy Act system notice 
published at 64 FR 56819 (1999).
    For the reasons discussed above, the Commission proposes to amend 
subpart A of its rules of practice and procedure as set forth below.

Ordering Paragraphs

    It is ordered:
    1. Interested persons are invited to submit comments on the 
Commission's proposed Filing Online proposal and this notice of 
proposed rulemaking no later than June 21, 2002.
    2. The Secretary shall cause this notice of proposed rulemaking to 
be published in the Federal Register.
    3. A workshop for current and prospective account holders will be 
held on June 12, 2002, at 10:00 a.m., in the hearing room of the 
Commission, 1333 H Street NW., Washington, DC.

Steven W. Williams,
Secretary.

List of Subjects in 39 CFR Part 3001

    Administrative practice and procedure, Postal Service.
    For the reasons discussed in the preamble, the Commission proposes 
to amend 39 CFR part 3001-Rules of Practice and Procedure Subpart 
A-Rules of General Applicability as follows:

PART 3001-RULES OF PRACTICE AND PROCEDURE

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

    Authority: 39 U.S.C. 404(b); 3603; 3622-24; 3661; 3662; 
3663.

Subpart A-Rules of General Applicability

    2. Revise 3001.6(c) to read as follows:


 3001.6  Appearances.

* * * * *
    (c) Notice of appearance and withdrawal of appearance. An 
individual intending to appear before the Commission or its presiding 
officer in a representative capacity for a participant in a proceeding 
shall file with the Commission a notice of appearance in the form 
prescribed by the Secretary unless that individual is named in an 
initial filing of the participant whom he/she represents as a person to 
whom communications from the Commission in regard to the filing are to 
be addressed. A person whose authority to represent a participant in a 
specific Commission proceeding has been terminated shall file a timely 
notice of withdrawal of appearance with the Commission.
* * * * *
    3. Revise  3001.9 through 3001.13 to read as 
follows:


 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  3001.10(a) at the following url: 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 the Secretary, Postal Rate Commission, 1333 H Street, NW., 
suite 300, Washington, DC 20268-0001 during regular business 
hours on a date no later than that specified for such filing.
    (b) Account holder. In order for a document to be accepted using 
Filing Online, it must be submitted to the Commission by a Filing 
Online account holder. The authority of the account holder to represent 
the participant on whose behalf the document is filed must be valid and 
current, in conformance with  3001.6.
    (c) Acceptance for filing. Only such documents as conform to the 
requirements of this part and any other applicable rule, regulation, or 
order of the Commission shall be accepted for filing. In order for a 
document to be accepted using Filing Online, it must be submitted to 
the Commission by a Filing Online account holder.
    (1) Subject to rule 9(d):
    (i) A document submitted through Filing Online is filed on the date 
indicated on the receipt issued by the Secretary. It is accepted when 
the Secretary, after review, has posted it on the Daily Listing page of 
the Commission's Web site.
    (ii) A hard copy document is filed on the date stamped by the 
secretary. It is accepted when the Secretary, after review, has posted 
it on the Daily Listing page of the Commission's Web site.
    (2) Any document received after the close of regular business hours 
or on a Saturday, Sunday, or holiday, shall be deemed to be filed on 
the next regular business day.
    (d) Rejected filings. Any filing that does not comply with any 
applicable statute, rule, regulation, or order may be rejected. Any 
filing that is rejected is deemed not to have been filed with the 
Commission. If a filing is rejected, the secretary or the secretary's 
designee will notify the person submitting the filing, indicating the 
reason(s) for rejection. Acceptance for filing shall not waive any 
failure to comply with this part, and such failure may be cause for

[[Page 35771]]

subsequently striking all or any part of any document.


 3001.10  Form and number of copies of documents.

    (a) Documents. Each document filed with the Commission must be 
submitted through Filing Online by an account holder, unless a waiver 
is obtained. The text of documents filed with the Commission shall be 
formatted in not less than one and one-half spaced lines except that 
footnotes and quotations may be single spaced. Documents must be 
submitted in Arial 12 point font, or such program, format, or font as 
the presiding officer may designate.
    (b) Attachments to documents filed online will be accepted in their 
native format (i.e., Excel, Lotus, et cetera). The form of documents 
filed as library references is governed by 
 3001.31(b)(2)(iv).
    (1) The following shall be filed both online and in hard copy form 
pursuant to paragraph (b):
    (i) Requests for changes in rates or classifications, including 
supporting documentation.
    (ii) Written testimony, including appendices and exhibits, that 
exceeds 20 pages in length.
    (iii) Briefs that exceed 20 pages in length.
    (2) Documents filed online must satisfy computer system 
compatibility requirements specified by the Secretary. They may be 
accessed from the Filing Online page on the Commission's Web site, 
www.prc.gov.
    (3) Documents requiring privileged or protected treatment shall not 
be filed online.
    (b) Hard copies. Each document filed in paper form must be produced 
on letter-size paper, 8 to 8\1/2\ inches wide by 10\1/2\ to 11 inches 
long, with left- and right-hand margins not less than 1 inch and other 
margins not less than .75 inches, except that tables, charts or special 
documents attached thereto may be larger if required, provided that 
they are folded to the size of the document to which they are attached. 
If the document is bound, it shall be bound on the left side. Copies of 
documents for filing and service must be printed from a text-based pdf 
version of the document, where possible. Otherwise, they may be 
reproduced by any duplicating process that produces clear and legible 
copies. Participants in proceedings conducted under subpart H who are 
unable to comply with these requirements may seek to have them waived. 
Each person filing a hard copy document with the Commission must 
provide an original and 24 fully conformed copies of the document 
required or permitted to be filed under this part, except for a 
document filed under seal, for which only the original and two (2) 
copies need be filed. The copies need not be signed but shall show the 
full name of the individual signing the original document and the 
certificate of service attached thereto.
    (c) Computer media. A participant that has obtained a waiver of the 
online filing requirement of  3001.9(a) may submit a 
document on standard PC media, simultaneously with the filing of one 
printed original and three hard copies, provided that the stored 
document is a file generated in either Acrobat (pdf), Word, or 
WordPerfect, or Rich Text Format (rtf).


 3001.11  General contents of documents.

    (a) Caption and title. The caption of each document filed with the 
Commission in any proceeding shall clearly show the docket designation 
and title of the proceeding before the Commission. The title of such 
document shall identify each participant on whose behalf the filing is 
made and include a brief description of the document or the nature of 
the relief sought therein (e.g., motion for extension, brief on 
exceptions, complaint, notice of intervention, answer to complaint).
    (b) Designation of individuals to receive service. Each notice of 
intervention filed pursuant to  3001.20 or 20a must 
state the name, full mailing address, telephone number, and e-mail 
address of up to two individuals designated to receive service of hard 
copy documents relating to the proceeding.
    (c) Contents. In the event there is no rule, regulation, or order 
of the Commission which specifically prescribes the contents of any 
document to be filed, such document shall contain a proper 
identification of the parties concerned and a concise but complete 
statement of the relief sought and of the facts and citations of 
authority and precedent relied upon.
    (d) Improper matter. Defamatory, scurrilous, or unethical matter 
shall not be included in any document filed with the Commission.
    (e) Subscription. Each document filed with the Commission shall be 
subscribed. Subscription constitutes a certification that he/she has 
read the document being subscribed and filed; that he/she knows the 
contents thereof; that if executed in any representative capacity, the 
document has been subscribed and executed in the capacity specified in 
the document with full power and authority so to do; that to the best 
of his/her knowledge, information and belief every statement contained 
in the document is true and no such statements are misleading; and that 
such document is not filed for purposes of delay.
    (1) For a document filed via the Internet by an account holder, the 
subscription requirement is met when the document is filed with the 
Commission.
    (2) For a hard copy document filed under either 
 3001.10(b) or (c), the original shall be signed in ink by 
the individual filing the same or by an authorized officer, employee, 
attorney, or other representative and all other copies of such document 
filed with the Commission and served on the participants in any 
proceeding shall be fully conformed thereto.
    (f) Table of contents. Each document filed with the Commission 
consisting of 20 or more pages shall include a table of contents with 
page references. For briefs see  3001.34.
    (g) Certificate of service. A certificate of service signed in ink 
must be attached to the original of each hard copy document filed with 
the Commission showing service on all participants in a proceeding as 
prescribed by  3001.12. All copies filed and served shall 
be fully conformed thereto.


 3001.12  Service of documents.

    (a) Service by account holders. Each document filed in a proceeding 
via the Internet by an Account Holder shall be deemed served on all 
participants upon its acceptance for filing by the Commission, except 
for:
    (1) A document subject to  3001.10(a)(1), which must 
meet the service requirements that apply to hard copy documents as well 
as those that apply to documents filed online.
    (2) A document that must be served on a participant that the 
Commission or presiding officer has determined is unable to receive 
service through the Commission's Web site.
    (b) Service by others. If the Commission or presiding officer has 
determined that a participant is unable to file documents online, 
documents filed by that participant must meet the service requirements 
that apply to hard copy documents.
    (c) Service by the Commission. Except as provided in this section, 
each document issued by the Commission or presiding officer shall be 
deemed served upon the participants in the proceeding upon its posting 
by the Commission on its Web site. Service of Commission documents on 
any participant that the Commission or presiding officer has determined 
is unable to receive service

[[Page 35772]]

through the Commission Web site shall be by mail.
    (d) Hard copy documents. Each participant filing a hard copy 
document in a proceeding shall serve such document upon each person on 
the proceeding's service list, unless the Commission or presiding 
officer otherwise directs.
    (e) Limitation on extent of hard copy service. To avoid the 
imposition of an unreasonable burden upon participants, the Commission 
or the presiding officer may, by appropriate order, limit service of 
hard copy documents to service upon participants intending to actively 
participate in the hearing, or upon a person or persons designated for 
properly representative groups, or by requiring the making of documents 
available for convenient public inspection, or by any combination of 
such methods.
    (f) Service list. The Secretary shall maintain a current service 
list in each proceeding which shall include the participants in that 
proceeding and up to two individuals designated for service of 
documents by each participant . The service list for each current 
proceeding will be available on the Commission's Web site, www.prc.gov. 
Each participant is responsible for ensuring that its listing on the 
Commission's Web site is accurate, and should promptly notify the 
Commission of any errors.
    (g) Method of hard copy service. Service of hard copy documents may 
be made by First-Class Mail or personal delivery, to the address shown 
for the individuals designated on the Secretary's service list. Service 
of any hard copy document upon the Postal Service shall be made by 
delivering or mailing six copies thereof to the address shown for the 
individual designated in the Secretary's service list.
    (h) Date of hard copy service. Whenever service is made by mail, 
the date of the postmark shall be the date of service. Whenever service 
is made by personal delivery, the date of such delivery shall be the 
date of service.
    (i) Form of hard copy certificate of service. The certificate of 
service of hard copy documents shall show the name of the participant 
or his/her counsel making service, the date and place of service, and 
include the statement that "I hereby certify that I have this day 
served the foregoing document upon all participants of record in this 
proceeding in accordance with section 12 of the rules of 
practice."


 3001.13  Docket and hearing calendar.

    The Secretary shall maintain a docket of all proceedings, and each 
proceeding as initiated shall be assigned an appropriate designation. 
The Secretary shall maintain a hearing calendar of all proceedings that 
have been set for hearing. Proceedings shall be heard on the date set 
in the hearing order, except that the Commission may for cause, with or 
without motion, at any time with due notice to the parties advance or 
postpone the date of hearing. All documents filed in a docket, other 
than matter filed under seal, and the hearing calendar may be accessed 
remotely via the Commission's Web site, or viewed at the Commission's 
docket section during regular business hours.
    4. Amend  3001.20 by revising paragraph (c) to read as 
follows:


 3001.20  Formal Intervention.

* * * * *
    (c) Form and time of filing. Notices of intervention shall be filed 
no later than the date fixed for such filing in any notice or order 
with respect to the proceeding issued by the Commission or its 
Secretary, unless in extraordinary circumstances for good cause shown, 
the Commission authorizes a late filing. Notices of intervention shall 
conform to the requirements of  3001.9 through 
3001.12.
* * * * *
    5. Amend  3001.20a by revising paragraph (a) to read as 
follows:


 3001.20a  Limited participation by persons not parties.

* * * * *
    (a) Form of Intervention. Notices of intervention as a limited 
participator shall be in writing, shall set forth the nature and extent 
of the intervenor's interest in the proceeding, and shall conform to 
the requirements of  3001.9 through 3001.12.
* * * * *
    6. Amend  3001.26 to revise paragraphs (a) through (c) 
and paragraph (e) to read as follows:


 3001.26  Interrogatories for purpose of discovery.

    (a) Service and contents. In the interest of expedition and limited 
to information which appears reasonably calculated to lead to the 
discovery of admissible evidence, any participant may propound to any 
other participant in a proceeding written, sequentially numbered 
interrogatories, by witness, requesting nonprivileged information 
relevant to the subject matter in such proceeding, to be answered by 
the participant served, who shall furnish such information as is 
available to the participant. A participant through interrogatories may 
require any other participant to identify each person whom the other 
participant expects to call as a witness at the hearing and to state 
the subject matter on which the witness is expected to testify. The 
participant propounding the interrogatories shall file them with the 
Commission in conformance with  3001.9 through 
3001.12. Follow-up interrogatories to clarify or elaborate on the 
answer to an earlier discovery request may be filed after the initial 
discovery period ends. They must be filed within 7 days of receipt of 
the answer to the previous interrogatory unless extraordinary 
circumstances are shown.
    (b) Answers. Answers to discovery requests shall be prepared so 
that they can be incorporated as written cross-examination. Each answer 
shall begin on a separate page, identify the individual responding and 
the relevant testimony number, if any, the participant who asked the 
question, and the number and text of the question. Each interrogatory 
shall be answered separately and fully in writing, unless it is 
objected to, in which event the reasons for objection shall be stated 
in the manner prescribed by paragraph (c) of this section. The 
participant responding to the interrogatories shall file the answers in 
conformance with  3001.9 through 3001.12 within 14 
days of the filing of the interrogatories or within such other period 
as may be fixed by the Commission or presiding officer, but before the 
conclusion of the hearing.
    (c) Objections. In the interest of expedition, the bases for 
objection shall be clearly and fully stated. If objection is made to 
part of an interrogatory, the part shall be specified. A participant 
claiming privilege shall identify the specific evidentiary privilege 
asserted and state the reasons for its applicability. A participant 
claiming undue burden shall state with particularity the effort that 
would be required to answer the interrogatory, providing estimates of 
cost and work hours required, to the extent possible. An interrogatory 
otherwise proper is not necessarily objectionable because an answer 
would involve an opinion or contention that relates to fact or the 
application of law to fact, but the Commission or presiding officer may 
order that such an interrogatory need not be answered until a 
prehearing conference or other later time. Objections shall be filed 
with the Commission in conformance with  3001.9 
through 3001.12 within 10 days of the filing of the interrogatories.
* * * * *

[[Page 35773]]

    (e) Compelled answers. The Commission, or the presiding officer, 
upon motion of any participant to the proceeding, may compel a more 
responsive answer, or an answer to an interrogatory to which an 
objection has been raised if the objection is found not to be valid, or 
may compel an additional answer if the initial answer is found to be 
inadequate. Such compelled answers shall be filed in conformance with 
 3001.9 through 3001.12 within 7 days of the date of 
the order compelling an answer or within such other period as may be 
fixed by the Commission or presiding officer, but before the conclusion 
of the hearing.
* * * * *
    7. Amend  3001.27 to revise paragraphs (a) through (c) 
and paragraph (e) to read as follows:


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

    (a) Service and contents. In the interest of expedition and limited 
to information which appears reasonably calculated to lead to the 
discovery of admissible evidence, any participant may serve on any 
other participant to the proceeding a request to produce and permit the 
participant making the request, or someone acting in his/her behalf, to 
inspect and copy any designated documents or things that constitute or 
contain matters, not privileged, that are relevant to the subject 
matter involved in the proceeding and that are in the custody or 
control of the participant to whom the request is addressed. The 
request shall set forth the items to be inspected either by individual 
item or category, and describe each item and category with reasonable 
particularity, and shall specify a reasonable time, place, and manner 
of making inspection. The participant requesting the production of 
documents or things shall file its request with the Commission in 
conformance with  3001.9 through 3001.12.
    (b) Answers. The participant responding to the request shall file 
an answer with the Commission in conformance with 
 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, that inspection will be permitted as 
requested unless the request is objected to pursuant to paragraph (c) 
of this section.
    (c) Objections. In the interest of expedition, the bases for 
objection shall be clearly and fully stated. If objection is made to 
part of an item or category, the part shall be specified. A participant 
claiming privilege shall identify the specific evidentiary privilege 
asserted and state with particularity the reasons for its 
applicability. A participant claiming undue burden shall state with 
particularity the effort that would be required to answer the request, 
providing estimates of cost and work hours required, to the extent 
possible. Objections shall be filed with the Commission in conformance 
with  3001.9 through 3001.12 within ten days of the 
request for production.
* * * * *
    (e) Compelled answers. Upon motion of any participant to the 
proceeding to compel a response to discovery, as provided in paragraph 
(d) of this section, the Commission or the presiding officer may compel 
production of documents or things to which an objection is found not to 
be valid. Such compelled documents or things shall be made available to 
the participant making the motion within 7 days of the date of the 
order compelling production or within such other period as may be fixed 
by the Commission or presiding officer, but before the conclusion of 
the hearing. When complying with orders to produce documents or things, 
notice shall be filed in conformance with  3001.9 
through 3001.12. The Commission or the presiding officer may, on such 
terms and conditions as are just and reasonable, order that any 
participant in a proceeding shall respond to a request for inspection, 
and may make any protective order of the nature provided in 
 3001.26(g) as may be appropriate.
    8. Amend  3001.28 to revise paragraphs (a) through (c) 
and paragraph (e) to read as follows:


 3001.28  Requests for admissions for purpose of discovery.

    (a) Service and content. In the interest of expedition, any 
participant may serve upon any other participant a written request for 
the admission, for purposes of the pending proceeding only, of any 
relevant, unprivileged facts, including the genuineness of any 
documents or exhibits to be presented in the hearing. The participant 
requesting the admission shall file its request with the Commission in 
conformance with  3001.9 through 3001.12.
    (b) Answers. Each matter of which an admission is requested shall 
be separately set forth and is admitted unless within 14 days after the 
request is filed, or within such other period as may be fixed by the 
Commission or presiding officer, the participant to whom the request is 
directed files a written answer or objection pursuant to paragraph (c) 
of this section. A participant who answers a request for admission 
shall file its answer with the Commission in conformance with 
 3001.9 through 3001.12.
    (c) Objections. In the interest of expedition, the bases for 
objection shall be clearly and fully stated. If objection is made to 
part of an item, the part shall be specified. A participant claiming 
privilege shall identify the specific evidentiary privilege asserted 
and state the reasons for its applicability. A participant claiming 
undue burden shall state with particularity the effort that would be 
required to answer the request, providing estimates of cost and work 
hours required to the extent possible. Objections shall be filed with 
the Commission in conformance with  3001.9 through 
3001.12, within 10 days of the request for admissions.
* * * * *
    (e) Compelled answers. Upon motion of any participant to the 
proceeding the Commission or the presiding officer may compel answers 
to a request for admissions to which an objection has been raised if 
the objection is found not to be valid. Such compelled answers shall be 
filed with the Commission in conformance with  3001.9 
through 3001.12 within 7 days of the date of the order compelling 
production or within such other period as may be fixed by the 
Commission or the presiding officer, but before the conclusion of the 
hearing. If the Commission or presiding officer determines that an 
answer does not comply with the requirements of this rule, it may order 
either that the matter is admitted or that an amended answer be filed.
    9. Amend  3001.30 by revising paragraph (e)(3) to read 
as follows:


 3001.30  Hearings.

* * * * *
    (e) * * *
    (3) Oral cross-examination. Oral cross-examination will be 
permitted for clarifying written cross-examination and for testing 
assumptions, conclusions or other opinion evidence. Notices of intent 
to conduct oral cross-examination should be filed three or more working 
days before the announced appearance of the witness and should include 
specific references to the subject matter to be examined and page 
references to the relevant direct testimony and exhibits. Participants 
intending to use complex numerical hypotheticals, or to question using 
intricate or extensive cross-references, shall provide adequately 
documented cross-examination exhibits for the record. Copies of these 
exhibits should be filed at least two calendar days (including

[[Page 35774]]

one working day) before the scheduled appearance of the witness. If a 
participant has obtained permission to receive service of documents in 
hard copy form, hard copy notices of intent to conduct oral cross-
examination of witnesses for that participant should be delivered to 
counsel for that participant and served three or more working days 
before the announced appearance of the witness, and cross-examination 
exhibits should be delivered to counsel for the witness at least two 
calendar days (including one working day) before the scheduled 
appearance of the witness.
* * * * *
    10. Amend  3001.31 by:
    a. Revising the first sentence of paragraph (b)(2)(iv);
    b. Revising paragraph (b)(2)(vii);
    c. Removing and reserving paragraph (f);
    d. Removing and reserving paragraph (g);
    e. Revising paragraph (k)(3)(i); and
    f. Revising paragraph (k)(3)(i)(i).


 3001.31  Evidence.

* * * * *
    (b) * * *
    (2) * * *
    (iv) Filing procedure. Participants filing material as a library 
reference shall file contemporaneous written notice of this action in 
conformance with  3001.9 through 3001.12. 
* * *
* * * * *
    (vii) Electronic version. Material filed as a library reference 
shall also be made available on standard PC media, absent a showing of 
why a version on PC media cannot be supplied or should not be required 
to be supplied. The material provided on PC media must be submitted in 
a form that allows it to be replicated using a publicly available PC 
application. The library reference documentation shall include file 
names and corresponding descriptions of file contents, and shall 
identify the applications necessary to execute the files. This 
documentation should be included in both the hard copy and the 
electronic version of the library reference.
* * * * *
    The revisions are to read as follows:
    (k) * * *
    (3) Computer analyses. (i) In the case of computer analyses that 
are being offered in evidence, or relied upon as support for other 
evidence, a foundation for the reception of such materials must be laid 
by furnishing a general description of the program that includes the 
objectives of the program, the processing tasks performed, the methods 
and procedures employed, and a copy of the input and output data and 
source codes (or a showing pursuant to paragraph (k)(3)(iii) of this 
section as to why such codes cannot be so furnished). The copy provided 
must be submitted in a form that allows it to be replicated using a 
publicly available PC application. For the purpose of completing such 
foundation, the following additional items shall be deemed 
presumptively necessary and shall be furnished upon request of a 
participant, the Commission, or the presiding officer, unless the 
presumption is overcome by an affirmative showing.
* * * * *
    (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 a form that allows them to 
be replicated using a publicly available PC application. Any machine-
readable data file or program file so provided must be identified and 
described in accompanying hard copy documentation. In addition, files 
in text format must be accompanied by hard copy instructions for 
printing them. Files in machine code must be accompanied by hard copy 
instructions for executing them.
* * * * *
    11. Amend  3001.42 by revising paragraph (a) to read as 
follows:


 3001.42  Public information and requests.

* * * * *
    (a) Notice and publication. Service of intermediate and recommended 
decisions, advisory opinions and public reports upon parties to the 
proceedings is provided in  3001.12(c) and 
3001.39(d). Descriptions of the Commission's organization, its methods 
of operation, statements of policy and interpretations, procedural and 
substantive rules, and amendments thereto will be filed with and 
published in the Federal Register, and are available on the 
Commission's Web site, www.prc.gov. Commission recommended decisions, 
advisory opinions and public reports, orders, and intermediate 
decisions will be released to the press and made available to the 
public promptly, by posting on the Commission's Web site.
* * * * *

[FR Doc. 02-12644 Filed 5-20-02; 8:45 am]
BILLING CODE 7710-FW-P