[Federal Register Volume 59, Number 36 (Wednesday, February 23, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-3943]
[[Page Unknown]]
[Federal Register: February 23, 1994]
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POSTAL RATE COMMISSION
39 CFR Part 3001
[Docket No. RM91-1]
RIN 3209-AA04, 3209-AA15 and 3211-AA00
Rules of Practice and Procedure
AGENCY: Postal Rate Commission.
ACTION: Notice of proposed rulemaking; public comment period.
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SUMMARY: This serves as notice of, and a request for, comments on
proposed changes to the Commission's rules of practice and procedure
that the Commission is considering for adoption. The proposed rules
evolved out of the Commission's Docket RM91-1 proceeding. Participants
to that proceeding developed specific proposals for improvements to the
Commission's rules of practice. Adoption of these proposed rules is
expected to enhance the efficiency of Commission proceedings and ease
the burdens on participants in Commission proceedings.
DATES: Written comments responding to this document must be submitted
on or before April 4, 1994.
ADDRESSES: Comments should be sent to Charles L. Clapp, Secretary of
the Commission, Suite 300, 1333 H Street NW., Washington, DC 20268-0001
(telephone: 202/789-6840).
FOR FURTHER INFORMATION CONTACT: Stephen Sharfman, Legal Advisor,
Postal Rate Commission, Suite 300, 1333 H Street NW., Washington, DC
20268-0001 (telephone: 202/789-6820).
SUPPLEMENTARY INFORMATION: The Commission's Office of the Consumer
Advocate (OCA) has filed a motion requesting that the Commission
consider a Stipulation and Agreement on proposed changes to the
Commission's rules of practice and procedure. All documents relating to
the RM91-1 proceeding are available for public inspection at the
Commission's H Street offices.
The proposed rule changes resolve some, but not all, of the
outstanding issues in this proceeding. Fifteen participants support
proposed changes to the Commission's Rules of Practice and Procedure,
39 CFR 3001, which would alter the service requirements applicable to
requests for written discovery and the answers thereto; restrict
transcript corrections to material, substantive errors; require limited
participators to respond to discovery requests specifically directed to
testimony they sponsor; alter production specifications relating to
margins, line spacing and choice of typeface; and allow a ten-day grace
period for filing signature pages to interrogatory responses under
specified conditions. Additionally, nine participants support adding a
new rule 10(d), 39 CFR 3001.10(d), which would require that certain
documents be filed in electronic form (on diskettes) within five
working days of their being formally filed in hard copy. Adoption of
these proposed rules is expected to enhance the efficiency of
Commission proceedings and ease the burdens on participants in
Commission proceedings.
Punctuation within the attachment to the Stipulation and Agreement
might be interpreted to propose elimination of certain provisions not
discussed in the motion. It is the understanding of the Commission that
there was no intent to propose changes other than those explained in
the proposed Stipulation and Agreement. To avoid any possible
misunderstandings, the full text of affected subsections, as they would
appear if the changes proposed herein were adopted, are set forth
below. Additionally, to improve clarity, an article has been added to
the next to last sentence in Rule 26(c), 39 CFR 3001.26(c).
One of the signatories to the Stipulation and Agreement, McGraw-
Hill, Inc., also filed a comment noting that the language describing
the service requirements of discovery questions and objections differed
from the language in the rules applicable to service requirements for
discovery answers and compelled answers. Compare for example proposed
rule 25 (a)(c), with rule 25(b)(d). The comment indicates that parties
to the Stipulation intended that the rules for service of discovery
requests, answers, objections, and compelled answers be identical.
Conforming adjustments have not been proposed at this time to allow
interested persons to comment on the specific language submitted in the
Stipulation. Absent comments in opposition submitted in response to
this notice, conforming changes would be made in the final rule to
reflect that, for documents described in rules 25, 26, and 27, special
requests for service will be honored; and the final sentence in
proposed rule 12(b), 39 CFR 3001.12(b) would be changed to read as
follows:
Special requests for service are used for obtaining service of
discovery requests and answers, and any objections and compelled
answers related thereto. Participants may serve special requests for
service on any other participant requesting service of discovery
requests directed to specified witnesses or participants; or answers
provided by specified witnesses or that participant.
Regulatory Evaluation
It has been determined pursuant to 5 U.S.C. 605(b) that these rules
will not have a significant impact on a substantial number of small
entities under the terms of the Regulatory Flexibility Act, 5 U.S.C.
501 et seq. It has also been determined that these rules do not have
sufficient federalism implications to warrant the preparation of a
Federalism Assessment pursuant to Executive Order 12612. These rules do
not contain any information collection requirements as defined in the
Paperwork Reduction Act, 44 U.S.C. 3502(4), and consequently the review
provisions of 44 U.S.C. 3507 and the implementing regulations in 5 CFR
part 1320 do not apply.
List of Subjects in 39 CFR Part 3001
Administrative practice and procedure, Postal Service.
For the reasons set out in the preamble, 39 CFR part 3001 is
proposed to be amended as follows:
PART 3001--RULES OF PRACTICE AND PROCEDURE
1. The authority citation for 39 CFR part 3001 continues to read as
follows:
Authority: 39 U.S.C. 404(b), 3603, 3622-3624, 3661, 84 Stat.
759-762, 764, 90 Stat. 1303; (5 U.S.C. 553), 80 Stat. 383.
Subpart A--Rules of General Applicability
2. Section 3001.10 would be amended by revising paragraph (a) and
by adding paragraph (d) to read as follows:
Sec. 3001.10 Form and number of copies of documents.
(a) Production. If not printed, documents filed with the Commission
shall be produced on paper of letter size, 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 0.75 inches, except 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. The impression shall be on only one side of the paper
unless there are more than ten pages. The text shall be not less than
one and one-half spaced except that footnotes and quotations may be
single spaced. Any typeface not smaller than 12 pt may be used. If the
document is bound, it shall be bound on the left side. Copies of
documents for filing and service may be reproduced by any duplicating
process that produces clear and legible copies.
* * * * *
(d) Electronic filings. (1) All testimony, exhibits, workpapers,
library references, briefs and reply briefs which have been prepared on
a computer or word processor shall be filed as diskettes (or otherwise
electronically transmitted to the Commission) within five business days
of the initial filing of the hard copy.
(2) Diskettes filed pursuant to paragraph (d)(1) of this section
may be provided in any widely-used format. The preferred formats are
IBM-PC compatible diskettes in Word Perfect, Microsoft Word, ASCII
text, Lotus (DOS 3.0 or later version), or DIF format. If these formats
are not used to produce the initial hard copy, diskettes will be
accepted in any format actually used. Documents which have been
generated on a mainframe or minicomputer, for example, shall be
converted to diskettes, if possible. In such cases as these, where a
file translation program must be used to produce a PC-compatible
diskette, reasonable conversion programs will satisfy the requirements
of this section. If a party has generated hard copy of documents
subject to this section on a computer other than a personal computer
and lacks the capability of producing a PC-compatible diskette, the
party must arrange for other means of conveying the information
electronically. Recommended alternatives to the filing of diskettes are
transmission by modem or providing the information on magnetic tape.
(3) If documents are not prepared using electronic media, diskettes
need not be created and filed. A party that generates documents subject
to this section using non-electronic means is to file an affidavit or
declaration so stating within five business days of the initial filing
of the hard copy. The declaration or affidavit may be the statement of
a witness, counsel or an official representative of the participant.
Such an affidavit or declaration need be filed only once during the
course of a proceeding, within five business days of the filing of the
first document subject to this section.
(4) The Commission intends to file within five business days of
their initial issuance in hard copy form diskettes of all documents
issued by the Commission or the Presiding Officer. This includes
Presiding Officer's rulings, Commission orders, notices of inquiry and
other notices and Commission opinions and recommended decisions.
(5) Any changes or revisions to electronically-filed documents
shall be filed on updated diskettes. The updated diskettes are to be
filed within five business days of the initial filing of the hard copy
of the revisions.
3. Section 3001.12 would be amended by revising paragraph (b) to
read as follows:
Sec. 3001.12 Service of documents.
* * * * *
(b) Service by the parties. Every document filed by any person with
the Commission in a proceeding shall be served by the person filing
such document upon the participants in the proceeding individually or
by such groups as may be directed by the Commission or presiding
officer except for discovery requests as governed by Secs. 3001.25 to
3001.27. Special requests relating to discovery must be served
individually upon the party conducting discovery and state the witness
who is the subject of the special request.
* * * * *
4. Section 3001.20a would be amended by revising 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 participants may file briefs or
proposed findings pursuant to Secs. 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. 3001.25 through Sec. 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, particularly those making contentions under 39 U.S.C.
3622(b)(4), 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.
4. Section 3001.25 would be amended by revising paragraphs (a),
(b), and (c) to read as follows:
Sec. 3001.25 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 serve upon any
other participant in a proceeding written interrogatories 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 serving the interrogatories shall
file a copy thereof with the Secretary pursuant to Sec. 3001.9 and
shall serve a copy upon the Postal Service. Special requests for
service by other participants shall be honored.
(b) Answers. 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 party responding to the interrogatories shall
serve the answers on the party who served the interrogatories within 20
days of the service of the interrogatories or within such other period
as may be fixed by the presiding officer, but before the conclusion of
the hearing. The answers are to be signed by the person making them. If
the person responding to the interrogatory is unavailable to sign the
answer when filed, a signature page must be filed within ten days
thereafter with the Commission, but need not be served on participants.
Copies of the answers to interrogatories shall be filed with the
Secretary pursuant to Sec. 3001.9 and shall be served upon other
participants who request them.
(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 which
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 are to be signed
by the attorney making them. The party objecting to interrogatories
shall serve the objections on the party who served the interrogatories
within 10 days of the service of the interrogatories. Copies of
objections to interrogatories shall be filed with the Secretary
pursuant to Sec. 3001.9 and shall be served upon the proponent of the
interrogatory and the Postal Service. Special requests for service by
other participants shall be honored.
* * * * *
6. Section 3001.26 would be amended by revising paragraphs (a) and
(c) to read as follows:
Sec. 3001.26 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 which constitute or
contain matters, not privileged, which are relevant to the subject
matter involved in the proceeding and which are in the custody or
control of the participant upon whom the request is served. 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 a copy of the request with the Secretary
pursuant to Sec. 3001.9 and shall serve copies thereof upon the Postal
Service. Special requests for service by other participants shall be
honored.
* * * * *
(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 the reasons for its applicability. A participant
claiming undue burden shall state with particularity the effort which
would be required to answer the request, providing estimates of cost
and work hours required, to the extent possible. Objections are to be
signed by the attorney making them. The party objecting to a request
shall serve the objection on the party requesting production of
documents or things, upon the Secretary pursuant to Sec. 3001.9 and
upon the Postal Service, within 10 days of the request for production.
Special requests for service by other participants shall be honored.
* * * * *
7. Section 3001.27 would be amended by revising paragraphs (a) and
(c) to read as follows:
Sec. 3001.27 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 a copy of the request with the
Secretary pursuant to Sec. 3001.9 and shall serve copies thereof upon
the Postal Service. Special requests for service by other participants
shall be honored.
* * * * *
(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 which would be
required to answer the request, providing estimates of cost and work
hours required to the extent possible. Objections are to be signed by
the attorney making them. The party objecting to requests for
admissions shall serve the objections on the party requesting
admissions, upon the Secretary pursuant to Sec. 3001.9 and upon the
Postal Service, within 10 days of the request. Special requests for
service by other participants shall be honored.
* * * * *
8. Section 3001.30 would be amended by adding paragraph (i) to read
as follows:
Sec. 3001.30 Hearings.
* * * * *
(i) Transcript corrections. Corrections to the transcript of a
hearing should not be requested except to correct a material
substantive error in the transcription of oral statements made at the
hearing.
Issued by the Commission on February 15, 1994.
Charles L. Clapp,
Secretary.
[FR Doc. 94-3943 Filed 2-22-94; 8:45 am]
BILLING CODE 7710-FW-P
