PART 3010—RULES OF PRACTICE AND PROCEDURE Authority: 39 U.S.C. 404(d); 503; 504; 3661. Source: 85 FR 9620, Feb. 19, 2020, unless otherwise noted. Subpart A—General Provisions § 3010.100 Applicability and scope. (a) The rules in this part apply to practice before the Postal Regulatory Commission. (b) When a general rule conflicts with a rule governing a specific practice area, the rule governing the specific practice area shall take precedence. (c) The rules in this part shall be liberally construed to secure a just and speedy determination of issues. They permit the informal disposition of any matter for which formal procedures are not specifically required by statute. (d) Except when specifically required by statute, the rules in this part may be waived for good cause and appropriate alternative procedures may be prescribed. (e) The rules in this part shall be referred to as the “rules of practice.” Rules are to be cited using only the numbers and letters to the right of the decimal point. For example, paragraph (a) of “§ 3010.120 Filing material with the Commission” shall be referred to as “section 120(a) of the rules of practice (39 CFR 3-1-.120(a))” or as “rule 120(a)” (39 CFR 3010.120(a)). § 3010.101 Definitions. (a) Act (b) Commission Commissioner (c) Complainant (d) Effective date, Federal Register (e) Hearing on the record (f) Negotiated service agreement (g) Participant (h) Party (i) Person (j) Petitioner (k) Postal Service (l) Postal service (m) Presiding officer (n) Proceeding (o) Product (p) Public proceeding (q) Public Representative PR (1) In a public proceeding; (2) With respect to any one of the following: (i) The Commission's annual determination of compliance; (ii) A request for an advisory opinion on a change in the nature of postal services which will generally affect service on a nationwide or substantially nationwide basis, (iii) A rate or service complaint; or (iv) Appeal of a Postal Service determination to close or consolidate a post office; or (3) As appointed by the Chairman. (r) Rate or class of general applicability (s) Record in camera (t) Secretary (u) Small business concern (1) Is independently owned and operated; (2) Is not dominant in its field of operation; (3) Has a place of business located in the United States; (4) Operates primarily within the United States or makes a significant contribution to the United States economy by paying taxes or using American products, materials, or labor; and (5) Together with its affiliates, qualifies as small (v) Website https://www.prc.gov. [85 FR 9620, Feb. 19, 2020, as amended at 89 FR 67294, Aug. 20, 2024] § 3010.102 Commission dockets. (a) The Commission may initiate a proceeding by issuing a notice or order that establishes a docket in which a proceeding is to be conducted. (b) When permitted by statute or regulation, any person may seek the initiation of a proceeding by filing a request with the Commission that complies with the rules governing the type of proceeding being requested. (c) The Secretary shall maintain a docket for all matters that come before the Commission. (d)(1) The Secretary shall assign docket designations to each matter that comes before the Commission that reflect the nature of the matter, set forth the fiscal year in which the matter came before the Commission, and where applicable, the sequential number of the docket type within the fiscal year. Available docket types are: (i) Appeal of a Post Office Closing (A); (ii) Annual Compliance Report (ACR); (iii) Complaint (C); (iv) Competitive Product Rates (CP); (v) General (G); (vi) International Mail (IM); (vii) Competitive Negotiated Service Agreement (K); (viii) Mail Classification (MC); (ix) Market Test (MT); (x) Change in the Nature of Postal Services (N); (xi) Public Inquiry (PI); (xii) Market Dominant Rates (R); (xiii) Rulemaking (RM); (xiv) Special Studies (SS); and (xv) Annual Review of Tax Calculation (T). (2) The Commission may modify the list of docket types and document formats without prior notice. (e) The Secretary's assignment of a docket designation does not, by itself, establish a docket or initiate a proceeding. A docket is formally established and proceedings initiated only by the issuance of a Commission notice or order except for certain negotiated service agreements for which the authority to establish a docket and initiate a proceeding by issuance of a notice has been delegated to the Office of the General Counsel. (f) The substance of the matter presented to the Commission, not the assigned docket type, shall govern the procedural requirements for the docket. (g) Material filed with the Commission following the Secretary's assignment of a docket designation shall include the assigned docket designation. (h) Public material filed within a docket may be viewed at the Commission's Docket Section during regular business hours. Public documents filed in a docket that appear in electronic format may also be accessed remotely via the Commission's website. Confidential material filed under seal in a docket may only be accessed with prior authorization. Part 3011 of this chapter sets forth the procedures for obtaining such authorization. Persons who wish to access confidential material should contact the Commission's Docket Section for the appropriate mode for transmitting material filed under seal. (i) Active dockets may only be closed by the Commission. [85 FR 9620, Feb. 19, 2020, as amended at 89 FR 67294, Aug. 20, 2024; 91 FR 20075, Apr. 15, 2026] § 3010.103 Procedural schedules in docketed proceedings. Procedural schedules shall be established and may be periodically modified for each matter that is assigned a docket designation. § 3010.104 Consolidation and severance of proceedings. The Commission may order proceedings involving related issues or facts to be consolidated for consideration of any or all matters at issue in such proceedings. The Commission may sever proceedings which have been consolidated or order separate proceedings on any issue presented if it appears that separate proceedings will be more convenient, expeditious, or otherwise appropriate. § 3010.105 Consideration of matters before the Commission. (a) Unless it orders otherwise, the Commission shall sit en banc en banc, (b) A decision to establish a docket (other than certain negotiated service agreement dockets), close an active docket, or reach a final decision in any docket shall be by majority vote of the Commissioners then in office. § 3010.106 Presiding officers. (a) Designation of presiding officers. (b) Notice of designation. (c) Authority delegated. (1) Regulate the course of a proceeding before the Commission, including ruling on all matters not specifically reserved for the Commission, either orally during a hearing or by issuing written presiding officer rulings; (2) Regulate the course of a public hearing, including the recessing, reconvening, and adjournment thereof; (3) Issue presiding officer information requests; (4) Administer oaths and affirmations; (5) Issue subpoenas authorized by law (limited to Commissioners and Administrative Law Judges designated as presiding officers); (6) Rule upon offers of proof and receive relevant evidence; (7) Take or authorize that depositions be taken as provided in § 3010.324; (8) Hold appropriate conferences before or during hearings and to rule on matters raised at such conferences, including prehearing conferences held pursuant to § 3010.302; (9) Dispose of procedural requests or similar matters except for motions to dismiss or to otherwise make a final determination of a proceeding prior to the issuance of an intermediate decision as provided in paragraph (c)(11) of this section; (10) Certify, within their discretion, or upon direction of the Commission, any question to the Commission for its consideration and disposition including, without limitation, motions to dismiss or to otherwise make a final determination of a proceeding prior to the issuance of an intermediate decision as provided in paragraph (c)(11) of this section; (11) Submit an intermediate decision in accordance with § 3010.335, when directed; and (12) 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. (d) Conduct of hearings. (e) Disqualification. [85 FR 9620, Feb. 19, 2020, as amended at 91 FR 20076, Apr. 15, 2026] § 3010.107 Appeals from interlocutory rulings by presiding officers. (a) General policy. (b) Appeals certified by the presiding officer. (i) The ruling involves an important question of law or policy concerning which there is substantial ground for difference of opinion; and (ii) An immediate appeal from the ruling will materially advance the ultimate termination of the proceeding or subsequent review will be an inadequate remedy. (2) A request for the presiding officer to certify an appeal shall be made by motion within five days after the presiding officer's ruling has been issued. The request shall set forth with specificity the reasons that a participant believes that an appeal meets the criteria of paragraphs (b)(1)(i) and (ii) of this section. Such requests shall also state in detail the legal, policy, and factual arguments supporting the participant's position that the ruling should be modified. If the appeal is from a ruling rejecting or excluding evidence, such request shall include a statement of the substance of the evidence which the participant contends would be adduced by the excluded evidence and the conclusions intended to be derived therefrom. (3) The presiding officer may request responsive pleadings from other participants prior to ruling upon the request to certify an appeal to the Commission. (c) Appeals not certified by the presiding officer. (d) Action by the Commission. (i) The objection to the ruling should be deferred until the Commission's consideration of the entire proceeding; or (ii) Interlocutory review is otherwise not warranted or appropriate under the circumstances. (2) When the presiding officer declines to certify an appeal, the Commission will not permit an interlocutory appeal unless it determines: (i) That the presiding officer should have certified the matter; (ii) That extraordinary circumstances exist; and (iii) That prompt Commission decision is necessary to prevent grave detriment to the public interest. (3) If the Commission fails to issue an order permitting an interlocutory appeal within 15 days after the presiding officer certifies the appeal or a participant files an application for review, the appeal shall be deemed denied. If the Commission issues an order permitting an appeal, it may rule upon the merits of the appeal in that order or at a later time. (e) Effect of appeals. (f) Review at conclusion of proceeding. (1) In briefs to the presiding officer or the Commission at the conclusion of hearings on the record; or (2) By the deadline for submission of comments or reply comments, whichever is later, in all other proceedings in which a hearing on the record is not held. § 3010.108 Computation of time. (a) In computing time periods, the term “day” shall mean calendar day. (b) Except as otherwise provided by law, in computing any period of time prescribed or allowed by this part, or by any notice, order, rule, presiding officer ruling, or regulation of the Commission or a presiding officer, the day of the act, event, or default after which a designated period of time begins to run is not to be included. (c) The last day of the period so computed is to be included unless it is a Saturday, Sunday, Federal holiday, or a day on which the Commission is not continuously open from 8 a.m. to 4:30 p.m. or on which the Commission's docketing system is not accessible continuously during that time. In any such case, the applicable time period shall run until the end of the next full business day that the Commission is open and its docketing system is accessible. (d) Except in proceedings to consider changes in the nature of postal services conducted under part 3020 of this chapter, in computing a period of time which is five days or less, all Saturdays, Sundays, Federal holidays, or days on which the Commission is not continuously open from 8 a.m. to 4:30 p.m. or on which the Commission's docketing system is not accessible continuously during that time are to be excluded. § 3010.109 Automatic closure of inactive dockets. (a) Automatic closure. (b) Notice of closure. (c) Motions to stay automatic closure. (2) The Commission may order a docket remain open for a specified term not to exceed 12 months and must file such order at least 15 days prior to the automatic closure date. (d) Motions to reopen automatically closed dockets. (2) The Commission may order a closed docket to be reopened, and must set forth the basis for reopening the docket. Subpart B—Filing Requirements § 3010.120 Filing material with the Commission. (a) All material filed with the Commission shall be transmitted to the Commission in electronic format using the Filing Online system available over the internet through the Commission's website at http://www.prc.gov. (1) Material that cannot reasonably be converted to electronic format; (2) Confidential material filed under seal pursuant to part 3011 of this chapter shall not be transmitted electronically using the Filing Online system or any other electronic filing system unless authorized in advance by the Secretary; (3) Hardcopy material filed by persons who do not have the ability to submit material using the Filing Online system and who files not more than ten pages of material with the Commission in any one calendar year; (4) Hardcopy material filed by persons participating in proceedings that consider the appeal of a Postal Service determination to close or consolidate a post office, other than the Postal Service, that do not have the ability to submit material using the internet; and (5) Hardcopy material filed in docketed proceedings with the approval of the Secretary for good cause shown. (b) Material subject to the exceptions specified in paragraph (a) of this section may be filed either by mailing or by hand delivery during regular business hours to the Office of Secretary and Administration, Postal Regulatory Commission, 901 New York Avenue NW, Suite 200, Washington, DC 20268-0001. The Secretary has authority to approve the use of secure alternative electronic filing systems pursuant to § 3011.203(c)(2) of this chapter for confidential material filed under seal. The Secretary also has authority to approve the use of alternative electronic filing systems for non-confidential material on a case-by-case basis when necessary to facilitate efficient docketing operations. § 3010.121 Filing Online system. (a) Only registered users of the Filing Online system may file material using the Filing Online system. Both temporary and permanent account registrations are available. Information for establishing a Filing Online account may be obtained on the Commission's website at http://www.prc.gov. (b) A temporary account allows a user to file materials immediately, but expires after 35 days. The purpose of a temporary account is to permit persons to file comments solicited by the Commission on a one-time or infrequent basis, or to file notices of intervention where there is limited time in which to establish a permanent account. A temporary account also may be used on an extraordinary basis for good cause shown. (c) A permanent account requires the authorization of the Secretary prior to use, but remains active until cancelled. Registration can be in the form of a principal account holder or as an agent of the principal account holder. When a principal account holder is representing the interests of another person, the authority of the principal account holder to represent the person on whose behalf the document is filed must be valid and current, in conformance with § 3010.143. The authority of an agent account holder to submit documents for a principal account holder must be valid and current. A principal account holder must promptly inform the Secretary of any change in the principal account holder's authority to represent participants in a proceeding or any change in the authority delegated to an agent account holder to submit documents on the principal account holder's behalf. (d) Only such material that conforms to the requirements of this part and any other applicable Commission rule or order shall be accepted for filing. In order for material to be accepted using the Filing Online system, it must be submitted to the Commission by a temporary or permanent account holder. Material submitted through the Filing Online system is considered to have been filed on the date indicated on the receipt issued by the Secretary. A filing is accepted when the Secretary, after review, posts the filing on the Daily Listing page of the Commission's website. Material received after the close of regular business hours or on a Saturday, Sunday, Federal holiday or other day on which the Commission is closed shall be deemed to be filed on the next regular business day. § 3010.122 Material filed using method other than the Filing Online system. (a) Hardcopy and other forms of material. (b) Computer media. § 3010.123 Rejected filings. Any filing that does not comply with an applicable Commission rule 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 will attempt to 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 subsequently striking all or any part of any document. Any controversies concerning the acceptability of a filing shall be resolved after review by the Office of General Counsel. § 3010.124 Form and content of text-based documents filed with the Commission. (a) Equivalent paper size. 1/2 1/2 (b) Line spacing and font. (c) Caption, title, page numbering, and table of contents. e.g., see (d) Improper matter. (e) Exception for appeals of post office closings and consolidations. § 3010.125 Library references. (a) In general. (b) Categorization of library references. (1) Category 1—Reporting Systems Material (consisting of library references relating to the Postal Service's statistical cost and revenue reporting systems, and their primary outputs); (2) Category 2—Witness Foundational Material (consisting of material relating to the testimony of specific witnesses, primarily that which is essential to the establishment of a proper foundation for receiving into evidence the results of studies and analyses); (3) Category 3—Reference Material (consisting of previously published material provided for the convenience of the reader, such as books, chapters or other portions of books, articles, reports, manuals, handbooks, guides, and contracts); (4) Category 4—Material Provided in Response to Discovery (consisting of material provided in response to discovery requests); (5) Category 5—Disassociated Material (consisting of material filed at the request of another, from which the filing party wishes to be disassociated, is not vouching for or sponsoring the material provided); (6) Category 6—All Other Material (consisting of library references not fitting any of the other categories). (c) Labeling. (d) Filing procedure. (1) Set forth the reason(s) why the material is being designated as a library reference; (2) Identify the category into which the material falls and describe in detail what the material consists of or represents, noting matters such as the presence of survey results; (3) Explain in detail how the material relates to the participant's case or to issues in the proceeding; (4) Identify authors or others materially contributing to substantive aspects of the preparation or development of the library reference; (5) Identify the documents (such as testimony, exhibits, and an interrogatory) or request to which the library reference relates, to the extent practicable; (6) Identify other library references or testimony relied upon or referred to in the designated material, to the extent practicable; (7) Indicate whether the library reference is an update or revision to another library reference and, if it is, clearly identify the predecessor material; and (8) To the extent feasible, for proceedings scheduled for a hearing on the record, identify portions expected to be entered into the record and the expected sponsor (if the participant filing a library reference anticipates seeking, on its own behalf, to enter all or part of the material contained therein into the evidentiary record). To the extent feasible, in all other proceeding types, identify portions relevant to the proceeding. (e) Optional preface or summary. § 3010.126 Subscription. (a) Each document filed with the Commission shall be subscribed. Subscription constitutes a certification that the person filing the document has read the document being filed; that the person filing the document knows the contents thereof; that if executed in any representative capacity, the document has been subscribed in the capacity specified in the document with full power and authority so to do; that to the best of the person's 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. This requirement extends to notices of filing for library references or other material, including the underlying library references or other material to the extent referenced in the notice of filing. (b) For a document or notice of filing filed via the Filing Online system, the subscription requirement is met when the document or notice of filing is filed with the Commission. (c) For a hardcopy document or hardcopy notice of filing, the subscription requirement is met by signing in ink, by affixing an electronic signature, or by including the typed name of the individual, authorized office, employee, attorney, or other representative who files the document or notice. § 3010.127 Service. (a) Material filed by a person participating in a docket shall be deemed served on all other persons (except those served by the Secretary pursuant to paragraph (b) of this section) who are participating in the docket as of the date the material, or notice of the material's filing is posted by the Secretary on the Commission's website. (b) The Secretary shall provide service by First-Class Mail, which is deemed complete upon mailing, to the following persons upon a demonstration of the inability to effectively utilize the Filing Online system (until alternative arrangements are established): (1) Petitioners in dockets appealing Postal Service determinations to close or consolidate post offices conducted pursuant to part 3021 of this chapter; (2) Parties that have intervened in proceedings docketed for a hearing on the record; and (3) Where necessary for fairness and protection of due process, an active participant in a proceeding affecting the substantial rights of that participant. (c) The Secretary shall maintain a current service list in each proceeding docketed for a hearing on the record which shall include the parties that have intervened in that proceeding and up to two individuals designated for physical service of documents, if necessary, by each party. The service list for each current proceeding will be available on the Commission's website at http://www.prc.gov. Subpart C—Participation in Commission Proceedings § 3010.140 Opportunity to comment. Except for proceedings involving an appeal of a Postal Service determination to close or consolidate a post office, any person may submit comments in public proceedings before the Commission. An opportunity to provide a reply to comments shall be at the discretion of the Commission, or the presiding officer if one is appointed. The scope and timing of comments and reply comments may be specified by notice, order, or presiding officer's ruling. There is no requirement to intervene in a proceeding as a party in order to submit comments. [89 FR 67294, Aug. 20, 2024] § 3010.141 Appeals of Postal Service determinations to close or consolidate post offices. (a) Only a person served by the post office in which the Postal Service has issued a decision to close or consolidate a post office may file an appeal of the decision with the Commission. (b) Any other person served by the same post office under review who desires to participate in the proceeding, or any Postmaster, counsel, agent, or other person authorized or recognized by the Postal Service as such person's representative, may participate in an appeal by submitting comments. (c) Except for persons identified in paragraph (a) or (b) of this section, the designated Public Representative, and the Postal Service, no other person may participate in a proceeding to consider the appeal of a Postal Service determination to close or consolidate a post office. (d) Opposition to a person asserting eligibility for participation shall be made within three days of that person's first filing in the proceeding. § 3010.142 Parties to hearings on the record. (a) Parties to a proceeding. (b) Notices of intervention. (c) Form and time of filing. (d) Oppositions. (2) Oppositions to notices of interventions in proceedings considering the change in the nature of a postal service pursuant to part 3020 of this chapter may be filed by any party in the proceeding no later than three days after the notice of intervention is filed. (3) Pending Commission action, an opposition to intervention shall, in all proceedings except those considering the change in the nature of a postal service pursuant to part 3020 of this chapter, delay on a day-for-day basis the date for responses to discovery requests filed by that intervenor. (e) Effect of intervention. sua sponte, [85 FR 9620, Feb. 19, 2020, as amended at 91 FR 20076, Apr. 15, 2026] § 3010.143 Representation of persons. (a) By whom. (b) Authority to act. (c) Notice of appearance and withdrawal of appearance. (d) Standards of conduct. (e) Disqualification and suspension. § 3010.144 Limitation of participation by investigative or prosecuting officers. No officer, employee, or agent of the Commission who participates in a proceeding before the Commission as an attorney or witness or who actively participates in the preparation of evidence or argument presented by such persons, shall participate or advise as to the intermediate decision or Commission decision in that proceeding. Subpart D—Notices, Motions, and Information Requests § 3010.150 Notices. (a) Purpose. (b) Filing requirements. § 3010.151 Notices and orders initiating proceeding. (a) Upon a finding that a matter is properly before the Commission, the Commission shall issue a notice and order initiating the proceeding to consider that matter. The rules in this section apply to all proceedings except for: (1) Proceedings to consider certain negotiated service agreements, which are noticed pursuant to § 3010.152; and (2) Proceedings to consider the appeal of a Postal Service determination to close or consolidate post office, pursuant to part 3021 of this chapter. (b) The notice and order shall: (1) Describe the general nature of the proceeding, i.e., (2) Identify the person(s) requesting the initiation of the docket, if applicable; (3) Refer to the legal authority under which the proceeding is to be conducted; (4) Provide a sufficient description of the matter being considered such that the reader is informed of the substance of the proceeding, and provide direction as to where further information may be obtained; (5) Establish the docket under which the proceeding will be conducted; (6) Assign a Public Representative to represent the interests of the public, when required; (7) Describe how interested persons may participate in the proceeding; (8) Establish procedural deadlines, if known; and (9) Include such other information as the Commission deems appropriate. (c) For proceedings docketed for a hearing on the record pursuant to subpart F of this part, the notice and order shall also: (1) Specify the date by which notices of intervention and requests for hearing must be filed; (2) Specify the date, time, and place of a prehearing conference or first public hearing, if known; and (3) Include the procedural schedule provided for under § 3020.110 of this chapter in proceedings to consider changes in the nature of postal services pursuant to part 3020 of this chapter. (d) The document shall be published in the Federal Register § 3010.152 Notices initiating dockets for consideration of negotiated service agreements. (a) The Office of the General Counsel shall issue a notice to initiate a docket for each request that proposes the addition or removal of a negotiated service agreement from the market dominant or the competitive product list, or the modification of an existing product currently appearing on the market dominant or the competitive product list. Multiple requests may be combined into a single notice. (b) The document shall specify: (1) The docket number associated with each Postal Service request; (2) The title of each Postal Service request; (3) The request's acceptance date; (4) The legal authority cited by the Postal Service for each request; (5) The appointment of an officer of the Commission to represent the interests of the general public in the proceeding, unless the proceeding is not a public proceeding; (6) The comment deadline pertaining to each request, unless the proceeding is not a public proceeding. (c) The document shall be published in the Federal Register [85 FR 9620, Feb. 19, 2020, as amended at 89 FR 67294, Aug. 20, 2024; 91 FR 20076, Apr. 15, 2026] § 3010.160 Motions. (a) Motions. (b) Responses to motions. (c) Replies. (d) Rulings. § 3010.161 Motions for waiver. (a) Any person may file a motion requesting that any requirement imposed by regulation, order, ruling, or Commission, Chairman, or presiding officer request be waived. (b) Motions for waiver will not be entertained unless timely filed so as to permit disposition of the motion prior to the date specified for the requirement for which waiver is requested. The pendency of a motion for waiver does not excuse any person from timely meeting the requirement for which the waiver is requested. (c) Motions for waiver may be granted in whole or in part to the extent permitted by law upon a showing of good cause and that such waiver will be consistent with the public interest and will not unduly prejudice the interests of other participants. § 3010.162 Motions for continuances and extensions of time. (a) Any person may file a motion requesting the continuance of a hearing or the extension of time for any deadline. (b) The motion should be filed before the expiration of the specified time for the deadline for preforming the act for which the continuance or extension is requested. (c) The motion shall only be granted upon consideration of the potential adverse impact, if any, on other participants and the overall impact on the procedural schedule. § 3010.163 Motions for late acceptance. (a) Any person may file a motion requesting that the Commission or the presiding officer accept any material filed by that person after an established filing deadline. (b) The motion should be filed prior to or concurrent with the filing of any material filed after the established deadline. (c) The Commission or the presiding officer are under no obligation to further consider any material filed after an established deadline, unless late acceptance is approved by the Commission or presiding officer. Posting late filed material to the Commission's website alone is not an indication that the material will be considered. § 3010.164 Motions to strike. (a) Any person may, by motion, request that any material be stricken from consideration in any proceeding. (b) Motions to strike are requests for extraordinary relief that must be supported with justification for why the material should be stricken from consideration. Motions to strike shall not be used as a substitute for rebuttal testimony, briefs, comments, or any other form of pleading. § 3010.165 Motions for reconsideration. (a) Any person may file a motion requesting reconsideration of a final order by the Commission. (b) The motion shall be filed within 15 days of the issuance of the final order that is the subject of the motion and must: (1) Briefly and specifically allege material errors of fact or law and the relief sought; and (2) Be confined to new questions raised by the determination or action ordered and upon which the moving party had no prior opportunity to submit arguments. (c) Upon filing a motion for reconsideration, the underlying Commission order is not deemed to be final for purposes of 39 U.S.C. 3663 until final disposition of the motion. [87 FR 43214, July 20, 2022] § 3010.170 Information requests. (a) An information request is an informal discovery mechanism used at the discretion of the Commission, the Chairman of the Commission, or a presiding officer to obtain information that is likely to materially assist the Commission in the conduct of its proceedings, in the preparation of its reports, or in the performance of its functions under title 39 of the United States Code. (b) Information requests may be used to: (1) Require the Postal Service in any proceeding, or any party to a Commission hearing on the record, to provide any information, and associated documents or things in its possession or control, or any information, and any associated documents or things that it can obtain through reasonable effort and expense; or (2) Request that any person other than the Postal Service or a party to a Commission hearing on the record provide any information, and any associated documents or things that it can obtain through reasonable effort and expense. (c) Information that can be sought by information request includes, but is not limited to, explanations, confirmations, factual descriptions, data, documents, and other materials. Documents refer to hard copy or electronic conveyance of information and may be stored in any medium from which information can be obtained either directly or, if necessary, after translation into a reasonably usable form. Documents include, but are not limited to, writings, notes, graphs, charts, data files, emails, drawings, photographs, and images. Materials include all matter, other than documents, that convey information. (d) Information requests shall describe the information, documents, or things sought; shall briefly explain the reason for the request; and shall specify a date by which the response(s) shall be due. (e) Any person may request the issuance of an information request by motion. The motion shall list the information, documents, or things sought; shall explain the reasons the information request should be issued; and shall demonstrate why the information sought is relevant and material to the Commission's duties under title 39 of the United States Code. Upon consideration of the motion and any responses, the Commission, the Chairman of the Commission, or presiding officer may issue an information request that includes some or all of the proposed questions or modified versions of some or all of the proposed questions. Motions that do not result in the issuance of an information request prior to the Commission's final decision in the docket shall be deemed denied. Subpart E—Proceedings Using Notice and Comment Procedures § 3010.200 Applicability. (a) Except as otherwise provided in this section, the Commission shall conduct proceedings in conformance with the notice and comment procedures of this subpart whenever: (1) The Commission is considering the issuance, amendment, or repeal of any Commission rule or regulation; (2) The Commission is seeking information to inform potential future Commission action with or without the issuance of a final decision; or (3) The Commission in the exercise of its discretion determines it is appropriate. (b) Unless the Commission orders otherwise, this subpart shall not apply to proceedings governed by subpart F of this part (Proceedings with an Opportunity for a Hearing on the Record). This subpart also shall not apply to the following parts of subchapter D of chapter III (Special Rules of Practice for Specific Proceeding Types) of this title: part 3020 (Rules Applicable to Requests for Changes in the Nature of Postal Services), part 3021 (Rules for Appeals of Postal Service Determinations to Close or Consolidate Post Offices), part 3022 (Rules for Complaints) of this chapter, part 3023 (Rules for Rate or Service Inquiries), and part 3024 (Special Rules for Complaints Alleging Violations of 39 U.S.C. 404a). This subpart shall not apply to any proceeding governed by §§ 3041.325, 3041.505(f), and 3041.505(g) (Competitive Negotiated Service Agreements) of this chapter. [85 FR 9620, Feb. 19, 2020, as amended at 89 FR 67294, Aug. 20, 2024] § 3010.201 Initiation of a proceeding. (a) The Commission may on its own motion initiate a proceeding under this subpart by issuing a notice and order initiating proceeding pursuant to § 3010.151. (b)(1) Any person may request the initiation of a proceeding under this subpart by filing a petition with the Commission pursuant to the filing requirements of subpart B of this part. The petition shall: (i) Provide the name, address, phone number and other pertinent contact information of the requesting person; (ii) Identify the subject matter of the petition; (iii) Provide specific proposals, including specific language, in regard to the subject matter of the petition; (iv) Provide all facts, views, arguments, and data deemed to support the action requested; and (v) Describe the impact of the proposal on the person filing the petition, the Postal Service, the mailing community, and the Commission, as applicable. (2) Upon consideration of the petition, the Commission in its discretion may initiate a proceeding under this subpart by issuing a notice and order initiating proceeding pursuant to § 3010.151, reject the petition, or defer a decision whether to grant or reject the petition. The Commission shall provide an explanation for the rejection or delay in consideration of any petition. (c) Subparts A, B, C, and D of this part apply to the initiation and conduct of proceedings under this subpart E. § 3010.202 Participation in notice and comment proceedings. (a) Comments. (b) Information requests. (c) Technical conferences. (d) Oral presentations. (e) Other procedures. § 3010.203 Commission action. (a) The Commission shall consider all relevant comments and material of record before taking any final action. Any final decision which includes the issuance, amendment, or repeal of a rule or regulation, shall, at a minimum, publish the final rule or regulation in the Federal Register (b) Any issuance, amendment, or repeal of a rule or regulation will be made effective not less than 30 days from the time it is published in the Federal Register Federal Register, (c) For good cause shown by publication with the rule, any issuance, amendment, or repeal of a rule may be made effective in less than 30 days from the time the Commission's order is published in the Federal Register (d) Rules involving any military, naval or foreign affairs function of the United States; matters relating to agency management or personnel, public property, loans, grants, benefits or contracts; rules granting or recognizing exemption or relieving restriction; rules of organization, procedure or practice; or interpretative rules; and statements of policy may be made effective without regard to the 30-day requirement. Subpart F—Proceedings With an Opportunity for a Hearing on the Record. § 3010.300 Applicability. The Commission shall conduct proceedings on the record with the opportunity for a hearing subject to this subpart whenever: (a) The Commission determines that a complaint filed under part 3022 of this chapter raises one or more material issues of fact or law in accordance with § 3022.30 of this chapter and a proceeding on the record with the opportunity for a hearing is necessary; (b) The Commission determines that the streamlined procedures in part 3020 of this chapter applicable to a Postal Service request to change the nature of postal services which will generally affect service on a nationwide or substantially nationwide basis are not appropriate; or (c) The Commission in the exercise of its discretion determines it is appropriate. § 3010.301 Notice of proceeding. Whenever the Commission determines that a proceeding will be held on the record with an opportunity for a hearing under this part, it shall publish notice of the proceeding in the Federal Register § 3010.302 Prehearing conferences. (a) Initiation and purposes. (b) Who presides. (c) Informal off-the-record procedures. (d) Required preparation and cooperation of all parties. (e) Matters to be pursued. (1) The definition and simplification of the issues, including any appropriate explanation, clarification, or amendment of any proposal, filing, evidence, complaint or other pleading filed by any party; (2) Arrangements for timely completion of discovery from the Postal Service or any other party of information regarding any issues in the proceeding, prior filings, evidence or pleadings of any party; (3) Procedures for timely discovery with regard to any future evidentiary filings of any party; (4) Stipulations, admissions or concessions as to evidentiary facts, and agreements as to documentary matters, exhibits and matters of official notice, which will avoid unnecessary proof or dispute; (5) The possible grouping of parties with substantially like interests for purposes of presenting evidence, making and arguing motions and objections, cross-examining witnesses, filing briefs, and presenting oral argument to the Commission or presiding officer; (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; (7) Limitation of the scope of the evidence and the number of witnesses in order to eliminate irrelevant, immaterial, or cumulative and repetitious evidence; (8) Procedures to direct and control the use of discovery prior to the hearing and submission of written testimony and exhibits on matters in dispute so as to restrict to a bare minimum the amount of hearing time required for oral cross-examination of witnesses; (9) Division of the proceeding where practicable into two or more phases for separate and, if advisable, simultaneous hearings; (10) Establishment of dates for the submission and service of such written testimony and exhibits as may be appropriate in advance of the hearing; (11) The order of presentation of the evidence and cross-examination of witnesses so that the hearing may proceed in the most expeditious and orderly manner possible; and (12) All other matters which would aid in an expeditious disposition of the proceeding, including consent of the parties to use informal off-the-record procedures such as prehearing conferences, technical conferences, settlement conferences, or alternative dispute resolution consistent with 5 U.S.C. 556. (f) Rulings by presiding officer. (i) Any of the procedural matters itemized in paragraph (e) of this section; and (ii) Such other procedural matters on which the presiding officer is authorized to rule during the course of the hearing if ruling at this stage would expedite the proceeding. (2) Either on the record at the conclusion of such prehearing conference, or by order issued shortly thereafter, the presiding officer shall state the agreements reached by the parties, the actions taken, and the rulings made by the presiding officer. Such rulings shall control the subsequent course of the proceedings unless modified during the hearing to prevent manifest injustice. [85 FR 9620, Feb. 19, 2020, as amended at 91 FR 15889, Mar. 31, 2026] § 3010.303 Hearing format. (a) In any case noticed for a proceeding to be determined on the record, the Commission or the presiding officer, if one has been appointed, may determine whether to hold a public hearing, or to hold a hearing by written submission of material only. A public hearing may be held if a hearing is requested by any party to the proceeding or if the Commission determines that a hearing is in the public interest. Generally, public hearings provide an opportunity for oral cross-examination of witnesses whereas hearings held by written submission of material only do not. (b) Once established, requests to change the hearing format may be proposed by motion, or by the Commission's or presiding officer's own motion. (c) Only representatives of the Commission, parties that have intervened in a proceeding, or persons intending to intervene prior to the deadline for notices of intervention may participate in a public hearing. However, public hearings are generally open to the public for observation. Public hearings may be closed to the public for good cause, or when confidential material is being presented. § 3010.304 Scheduling order. (a) When issued. (b) Content of scheduling order. (1) A deadline for conclusion of discovery on proponent's direct case; (2) A deadline to request oral cross-examination of proponent's witnesses; (3) A deadline for designation of written cross-examination on proponent's direct case; (4) The time and date for a public hearing on proponent's direct case, or the date and procedures for entering a proponent's direct case into evidence in a hearing by written submission of material only; (5) A deadline for parties other than the proponent to file testimony in support of, or in rebuttal to, the proponent's direct case; (6) A deadline for conclusion of discovery on testimony supporting or rebutting the proponent's direct case; (7) A deadline to request oral cross-examination of other parties' witnesses; (8) A deadline for designation of written cross-examination on other parties' testimony; (9) The time and date for a public hearing on other parties' testimony, or the date and procedures for entering other parties' testimony in a hearing by written submission of material only; (10) A deadline for the proponent to file surrebuttal testimony to other parties' direct cases; (11) A deadline for conclusion of discovery on any proponent's surrebuttal rebuttal testimony; (12) A deadline to request oral cross-examination of proponent's surrebuttal witnesses; (13) A deadline for designation of written cross-examination on proponent's surrebuttal testimony; (14) The time and date for a public hearing on a proponent's surrebuttal testimony, or the date and procedures for entering a proponent's surrebuttal testimony in a hearing by written submission of material only; (15) A deadline for filing briefs; (16) A deadline for filing reply briefs; and (17) A deadline for requesting oral argument. (c) Witness availability. (d) Subsequent scheduling of public hearings. § 3010.310 Discovery—general policy. (a) Sections 3010.311 through 3010.313 allow discovery reasonably calculated to lead to admissible evidence during a proceeding noticed for hearing on the record. In general, discovery against a party will be scheduled to end prior to the receipt into evidence of that party's direct case. An exception to this procedure shall operate in all proceedings set for hearing when a party needs to obtain information (such as operating procedures or data) available only from the Postal Service. Such discovery requests 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. (b) The discovery procedures set forth in §§ 3010.311 through 3010.313 are not exclusive. Parties are encouraged to engage in informal discovery whenever possible to clarify exhibits and testimony. The results of these efforts may be introduced into the record by stipulation, by supplementary testimony or exhibit, by presenting selected written interrogatories and answers for adoption by a witness at the hearing, or by other appropriate means. In the interest of reducing motion practice, parties also are expected to use informal means to clarify questions and to identify portions of discovery requests considered overbroad or burdensome. (c) If a party or an officer or agent of a party fails to obey an order of the Commission or the presiding officer to provide or permit discovery pursuant to §§ 3010.311 through 3010.313, the Commission or the presiding officer may make such orders in regard to the failure as are just, and among others, may direct that the matters regarding which the order was made or any other designated facts shall be taken to be established for the purposes of the proceeding in accordance with the claim of the parties obtaining the order, or prohibit the disobedient party from introducing designated matters in evidence, or strike the evidence, complaint or pleadings or parts thereof. § 3010.311 Interrogatories for purpose of discovery. (a) Service and contents. (b) Answers. (c) Objections. (d) Motions to compel responses to discovery. (e) Compelled answers. (f) Supplemental answers. (g) Orders. § 3010.312 Requests for production of documents or things for purpose of discovery. (a) Service and contents. (b) Answers. (c) Objections. (d) Motions to compel requests for production of documents or things for purposes of discovery. (e) Compelled answers. (f) Orders and rulings. § 3010.313 Requests for admissions for purpose of discovery. (a) Service and content. (b) Answers. (c) Objections. (d) Motions to compel responses to requests for admissions. (e) Compelled answers. § 3010.320 Settlement conferences. Any party to a proceeding may submit offers of settlement or proposals of adjustment at any time and may request a conference between the parties to consider such offers or proposals. The Commission or the presiding officer shall afford the parties appropriate opportunity prior to or during the hearing for conferences for the purpose of considering such offers or proposals as time, the nature of the proceeding, and the public interest permit. Unaccepted offers of settlement or adjustment and proposed stipulations not agreed to shall be privileged and shall not be admissible in evidence against any party claiming such privilege. § 3010.321 Hearings. (a) How convened. Federal Register. Federal Register. (2) At the adjournment of each hearing session, the presiding officer responsible for the conduct of that hearing session shall announce if and when the hearing will reconvene. If an announcement is not made at the adjournment of the hearing session, the Commission or presiding officer shall announce the time, date, and location of any subsequent hearing, or prehearing conference, in writing by notice, order, or presiding officer ruling. (b) Who presides. (c) Entering of appearances. (d) Witnesses. (e) Order of presentations. (2) The order of presentations by parties other than the proponent shall be determined by the Commission or the presiding officer. (3) The Commission or presiding officer shall announce the order of presentation of parties and individual witnesses prior to hearing sessions and shall issue such other procedural orders as may be necessary to assure the orderly and expeditious conclusion of the hearing. Parties may present their preferences for order of appearance to the Commission or the presiding officer orally at a hearing or by filing a notice prior to the scheduled hearing date. Parties who disagree with a proposed order of appearances may move for a revised order of appearances either orally at a hearing or by filing a written motion pursuant to § 3010.160. (f) Swearing in of witnesses. (2) The oath shall be given upon the first appearance of the witness providing testimony. Upon subsequent appearances, the witness is to be reminded by the presiding officer that the witness remains under oath for the duration of the proceeding. (3) Witnesses not attending a hearing whose testimony is entered by counsel during a hearing shall attach a signed declaration that the testimony being submitted is that of the witness. A declaration shall be included with each piece of written testimony, and each set of written cross-examination. The declaration shall state the following (or an equivalent): “Declaration of [witness name]. I, [witness name], hereby declare under penalty of perjury that: The [testimony, designated responses to written cross-examination] filed under my name were prepared by me or under my direction; and were I to [provide oral testimony, respond orally to the questions appearing in the interrogatories], my answers would be the same.” (4) Hearings that are conducted by the written submission of testimony only shall also attach written declarations to testimony and cross-examination as described above. (g) Presentation of the evidence Presentations by parties. (2) Written testimony. (ii) Witnesses shall be provided an opportunity to verify that the written testimony they are sponsoring is their testimony and that it would be the same if given orally. The witness, or counsel, shall state the original filing date of the testimony and identify all subsequent filings that amended the original testimony. If there are any final corrections to the testimony, the corrections may be noted on the hard copies submitted to the Commission. However, the witness shall be required to file errata to the testimony within seven days of the hearing, making corrections only to the extent as identified during the hearing. Any other changes shall be requested separately by motion to amend the record. (iii) Parties shall be provided an opportunity to object to all or part of a witness's written testimony prior to entering that testimony into the record. Objections that have not previously been made in writing at least 14 days prior to the hearing date shall be granted only under extraordinary circumstances. (iv) After resolution of all objections, the presiding officer shall order the testimony entered into the record as evidence. Unless otherwise ordered by the presiding officer, the written testimony shall not be copied into the hearing transcript. (3) Library references. (ii) Witnesses shall be provided an opportunity to verify that the library reference is their library reference and to affirm that they are in fact sponsoring the library reference. If a witness inadvertently fails to verify and affirm that the witness is sponsoring a library reference that is cited in written testimony or in response to written cross-examination, it will be presumed that the library reference is to be included in the record to the extent specified in the notice of the filing of the library reference. (iii) Parties shall be provided an opportunity to object to all or any part of the library reference being entered into the record. Objections that have not been made in writing at least 14 days prior to the hearing date shall be granted only under extraordinary circumstances. (iv) After resolution of all objections, the presiding officer shall order the library reference be entered into the record as evidence. Unless ordered by the presiding officer, library references shall not be copied into the hearing transcript. (4) Written cross-examination. (ii) Designations of written cross-examination should be filed with the Commission and served on the answering party 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 party 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 party designates written cross-examination, three hard copies of the documents to be included shall simultaneously be submitted to the Secretary. The documents are to be printed single-sided, and not stapled, hole-punched, or bound, but may be fastened together by paper or binder clip, or equivalent. The Secretary 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. (iii) A witness shall be provided an opportunity to verify that the written cross-examination is that of the witness and to assert that if the written cross-examination were being provided orally at the hearing it would be that of the witness. If there are any final corrections to the written cross-examination, the corrections may be noted on the hard copies before submission to the Commission. (iv) Parties shall be provided an opportunity to object to all or any part of the written cross-examination prior to entering the testimony into the record. (v) After resolution of all objections, the presiding officer shall order the written cross-examination entered into the record as evidence. The presiding office shall direct that the written cross-examination be copied into the hearing transcript. (5) Oral cross-examination. (ii) 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. If no notices are filed, and the Commission or presiding officer has no other reason for the witness to appear, the Commission or the presiding officer, in their discretion, may excuse the witness from appearing at the hearing and direct that the witness's testimony be entered by counsel. (iii) A party 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 full business days before the scheduled appearance of the witness. They may be filed online or delivered in hardcopy form to counsel for the witness, at the discretion of the party. When presented, examination exhibits are not to be considered record evidence. They are to be transcribed into the record for reference only. If adopted by the witness, the examination exhibit may be offered in evidence by motion. (iv) At the conclusion of oral cross-examination, the witness shall be given an opportunity to consult with counsel. Counsel shall then be provided an opportunity to examine the witness for the purpose of clarifying statements previously made during oral cross-examination. (h) Institutional testimony. (2) When institutional responses are offered in evidence by any party, the responding party shall make available at the hearing an officer of the institution that has the authority to attest to the authenticity and truthfulness of the responses, and that has the knowledge to be subject to oral cross-examination in regard to the responses. Section 3010.321 applies as if the officer of the institution were an individual witness. (i) Limitations on presentation of the evidence. (j) Motions during hearing. (k) Rulings on motions. (l) Transcript corrections. § 3010.322 Evidence—general. (a) Form and admissibility. (b) Documentary material General. (2) Status of library references. (c) Commission's files. (d) Public document items. (e) Designation of evidence from other Commission dockets. (2) In proceedings to consider the appeal of a Postal Service determination to close or consolidate a post office conducted pursuant to part 3021 of this chapter, these requests must be made at least six days before the date for filing the party's direct case. Oppositions to motions for designations and/or requests for counter-designations shall be filed within three days. Oppositions to requests for counter-designations are due within two days. (3) In all other proceedings subject to this section, these requests must, in the absence of extraordinary circumstances, be made at least 28 days before the date for filing the party's direct case. Oppositions to motions for designations and/or requests for counter-designations shall be filed within 14 days. Oppositions to requests for counter-designations are due within seven days. (4) In all proceedings subject to this section, the moving party must submit two copies of the identified material to the Secretary at the time requests for designations and counter-designations are made. (f) Form of prepared testimony and exhibits. (g) Copies to parties. (h) Reception and ruling. (i) Offers of proof. (j) Official notice of facts. § 3010.323 Evidence—introduction and reliance upon studies and analyses. (a) Statistical studies. (1) Market research. (i) A clear and detailed description of the sample, observational, and data preparation designs, including definitions of the target population, sampling frame, units of analysis, questionnaires or data collection instruments, survey variables, and the possible values; (ii) An explanation of methodology for the production and analysis of the major survey estimates and associated sampling errors; (iii) A presentation of response, coverage and editing rates, and any other potential sources of error associated with the survey's quality assurance procedures; (iv) A discussion of data comparability over time and with other data sources; (v) A complete description and assessment of the effects of all editing and imputation employed; (vi) Identification of all applicable statistical models considered and the reasons the model based procedures and/or models were selected over other models or procedures, when model-based procedures are employed; and (vii) An explanation of all statistical tests performed and an appropriate set of summary statistics summarizing the results of each test. (2) Other sample surveys. (i) A clear description of the survey design, including the definition of the universe under study, the sampling frame and units, and the validity and confidence limits that can be placed on major estimates; and (ii) An explanation of the method of selecting the sample and the characteristics measured or counted. (3) Experimental analyses. (i) A complete description of the experimental design, including a specification of the controlled conditions and how the controls were realized; and (ii) A complete description of the methods of making observations and the adjustments, if any, to observed data. (4) Econometric studies. (i) A presentation of the economic theory and assumptions underlying the study; (ii) A complete description of the econometric model(s) and the reasons for each major assumption and specification; (iii) The definition of the variables selected and the justification for their selection; (iv) For any alternative model whose computed econometric results influenced the choice of the preferred model, a statement of the reasons for rejecting that alternative, an identification of any differences between that alternative and the preferred model with respect to variable definitions, equation forms, data, or estimation methods, and, upon request, the computed econometric results for that alternative; (v) A reference to a detailed description in a text, manual, or technical journal for every econometric technique used in the estimation process and the reasons for selecting the technique, or, in the alternative, a description and analysis of the technique that is sufficient for a technical evaluation; (vi) Summary descriptions and source citations for all input data and, upon request, a complete listing of the data. Complete descriptions of any alterations, adjustments, or transformations made to the data as received from the original sources, and the reasons for making the alterations, adjustments, or transformations; (vii) A complete report of the econometric results including, where applicable coefficient estimates, standard errors and t-values, goodness-of-fit statistics, other appropriate test statistics, the variance/covariance matrix of the estimates, and computed residuals for results computed from samples composed of fewer than 250 observations, and, upon request, other computed residuals; and (viii) Descriptions of all statistical tests of hypotheses and the results of such tests. (5) All other studies involving statistical methodology. (i) The formula used for statistical estimates; (ii) The standard errors of each component estimated; (iii) Test statistics and the description of statistical tests and all related computations, and final results; and (iv) Summary descriptions of input data, and upon request the actual input data shall be made available at the offices of the Commission. (b) Computer analyses. (i) For all input data, designations of all sources of such data, and explanations of any modifications to such data made for use in the program; (ii) Definitions of all input and output variables or sets of variables; (iii) A description of input and output data file organization; (iv) For all source codes, documentation sufficiently comprehensive and detailed to satisfy generally accepted software documentation standards appropriate to the type of program and its intended use in the proceeding; (v) All pertinent operating system and programming language manuals; (vi) If the requested program is user interactive, a representative sample run, together with any explanation necessary to illustrate the response sequence; (vii) 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; and (viii) Computer simulation models offered in evidence or relied upon as support for other evidence, shall be bound by all applicable provisions of this paragraph (b) and the separate requirements of paragraph (a) of this section, to the extent that portions of the simulation model utilize or rely upon such studies. Information that compares the simulation model output results to the actual phenomena being modelled, using data other than those from which the model was developed, shall be separately identified and submitted as evidence supporting the test and validation of the simulation model. Separate statements concerning the model limitations, including limiting model design assumptions and range of data input utilized in model design, shall be provided. Where test and validation of the entire simulation model are not possible, test and validation information shall be provided for disaggregate portions of the model. If disaggregate testing and validation are not possible, separate statements to that effect and statements regarding operational experts' review of model validity shall be provided. (2) Upon timely and otherwise proper request of a party, or sua sponte, (3) When the requestor is other than the Commission or the presiding officer, the cost of producing the material required in paragraphs (b)(1)(iv), (vi), and (vii) of this section, shall be borne by the requesting party unless otherwise ordered, for good cause shown by the requestor. When the Commission or the presiding officer is the requestor, it may assume or equitably allocate such costs for good cause shown by the requester. (4) If the recipient of a request for materials pursuant to this paragraph (b) asserts that compliance with the request would conflict with patent, copyright, trade secret or contract rights applicable to the requested material, the recipient shall immediately notify the requestor and the presiding officer. If valid, the presiding officer shall devise means of accommodating such rights. Such means may include protective orders, including access under protective conditions to the computer facilities of the recipient of a request, making material available for inspection, compensation, or other procedures, according to the nature of the right affected by compliance with this paragraph (b). If the presiding officer determines that compensation is necessary to accommodate the affected right, the cost of compensation shall be borne in the same manner that paragraph (b)(3) of this section prescribes for bearing the costs referenced there. If such right cannot be accommodated by reasonable compensation, or by protective orders or other procedures, and, as a result, materials required by this paragraph (b) cannot be provided, the presiding officer shall determine, in the presiding officer's discretion, whether evidence that relies upon the materials not provided shall be admissible or afforded limited weight. (c) Other studies and analyses. (d) Expedition. § 3010.324 In camera orders. (a) Definition. in camera in camera (b) In camera treatment of documents and testimony. in camera. in camera (i) A description of the documents and testimony; (ii) A full statement of the reasons for granting in camera (iii) A full statement of the reasons for the date on which in camera (2) Any party desiring, for the preparation and presentation of the case, to disclose in camera In camera in camera “In Camera in camera (c) Release of in camera information. In camera in camera (d) Briefing of in camera information. in camera in camera in camera in camera § 3010.325 Depositions. (a) When permissible. (1) The person whose deposition is to be taken would be unavailable at the hearing; (2) The deposition is deemed necessary to perpetuate the testimony of the witness; or (3) The taking of the deposition is necessary to prevent undue and excessive expense to a party and will not result in undue delay or an undue burden to other parties. (b) Application. (1) The name, identification, and post office address of the witness; (2) The subject matter of the testimony. (3) The time and place of taking the deposition; (4) The name, identification, and post office address of the officer before whom the deposition is to be taken; and (5) The reasons why the testimony of such witness should be taken by deposition. (c) Authorization. (d) Qualifications of officer before whom taken. (e) Oath and reduction to writing. (f) Scope and conduct of examination. (g) Objections. (h) When a part of the record. (i) Fees. § 3010.330 Briefs. (a) When filed. (b) Contents. (1) A subject index with page references, and a list of all cases and authorities relied upon, arranged alphabetically, with references to the pages where the citation appears; (2) A concise statement of the case from the viewpoint of the filing party; (3) A clear, concise, and definitive statement of the position of the filing party as to the matter before the Commission and the decision to be issued; (4) A discussion of the evidence, reasons, and authorities relied upon with exact references to the record and the authorities; and (5) Proposed findings and conclusions with appropriate references to the record or the prior discussion of the evidence and authorities relied upon. (c) Incorporation by references. (d) Excerpts from the record. (e) Filing and service. § 3010.331 Proposed findings and conclusions. The Commission or the presiding officer may direct the filing of proposed findings and conclusions with a brief statement of the supporting reasons for each proposed finding and conclusion. § 3010.332 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 the presiding officer's 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 party. A request for oral argument before the issuance of an intermediate decision shall be made during the course of the hearing on the record. § 3010.333 Oral argument before the Commission. (a) When ordered. (b) How requested. (c) Notice of oral argument. (d) Use of documents at oral argument. § 3010.334 Commission decisions. (a) At the conclusion of a proceeding on the record with the opportunity for a hearing, the Commission shall issue a final decision which either: (1) Adopts an intermediate decision prepared by a presiding officer; or (2) Rules upon the matters that are before the Commission, or provides explanation for why such rulings are not being provided. (b) Commission decisions shall be based on the evidence entered into the record, and consider the arguments filed on brief. Argument provided in comments may further inform the Commission's decision, but have no evidentiary standing and are not required to be addressed in the final decision. (c) An intermediate decision may be adopted by the Commission in whole or in part. When an intermediate decision is adopted in part, the Commission shall explain its decisions regarding both what is and is not adopted. (d) When exceptions, or objections to exceptions, to an intermediate decision are filed pursuant to § 3010.336 by any party to the proceeding, the Commission shall consider and rule upon such exceptions, or objections to exceptions in its final decision. (e) Commission decisions shall be filed in the docket and served on all parties. Commission decisions shall be part of the record of the proceeding. § 3010.335 Intermediate decisions. (a) An intermediate decision shall be issued by the presiding officer which rules upon the matters that are before the Commission, or provides explanation for why such rulings are not being provided, in a proceeding on the record with the opportunity for a hearing when: (1) The Commission is not sitting en banc; (2) The presiding office has been directed to issue an intermediate decision by Commission notice or order. (b) Intermediate decisions shall be based on the evidence entered into the record, and shall consider the arguments filed on brief. Arguments provided in comments may further inform the presiding officer's decision, but are not required to be addressed in the intermediate decision. (c) Intermediate decisions shall be filed in the docket and served on all parties. Intermediate decisions shall be part of the record of the proceeding. (d) Intermediate decisions are subject to review by the Commission and subject to challenge by parties to the proceeding through the filing of exceptions pursuant to § 3010.336. After review and consideration of the exceptions filed, intermediate decisions may be adopted by the Commission, in whole or in part, as part of the final decision in the proceeding. (e)(1) The Commission may, at any time, direct the omission of an intermediate decision and the certification of the record for the Commission's consideration sitting en banc. en banc. (i) The concurrence of other parties; and (ii) Whether opportunity for filing briefs or presenting oral argument to the Commission is desired or waived. (2) Failure of any party to object to such request shall constitute a waiver of any objections. Motions shall be filed no later than the deadline for the filing of briefs. In either instance, the decision to omit an intermediate decision shall be based upon the consideration of the novelty of the matters before the Commission, and the timely and efficient operation of the docket. § 3010.336 Exceptions to intermediate decisions. (a) Briefs on exceptions and opposing exceptions. (b) Filing and contents. (c) Failure to except results in waiver.