PART 3020—RULES APPLICABLE TO POSTAL SERVICE REQUESTS FOR CHANGES IN THE NATURE OF POSTAL SERVICES Authority: 39 U.S.C. 404(d); 503; 504; 3661. Source: 85 FR 9649, Feb. 19, 2020, unless otherwise noted. § 3020.101 Applicability. The rules in this part govern the procedure with regard to proposals of the Postal Service pursuant to 39 U.S.C. 3661 requesting from the Commission an advisory opinion on changes in the nature of postal services that will generally affect service on a nationwide or substantially nationwide basis. The Rules of General Applicability in part 3010 of this chapter are also applicable to proceedings conducted pursuant to this subpart except that §§ 3010.160 through 3010.164 (Motions); § 3010.310 (Discovery—general policy); § 3010.311 (Interrogatories for purposes of discovery); § 3010.312 (Requests for production of documents or things for the purpose of discovery); § 3010.321 (Hearings); § 3010.325 (Depositions); and § 3010.330 (Briefs) of this chapter do not apply in proceedings conducted under this part. § 3020.102 Advisory opinion and special studies. (a) Issuance of opinion. (b) Special studies. § 3020.103 Computation of time. In computing any period of time prescribed or allowed by this subpart, the term day § 3020.104 Service by the Postal Service. By filing its request electronically with the Commission, the Postal Service is deemed to have effectively served copies of its formal request and its prepared direct evidence upon those persons, including the officer of the Commission, who participated in the pre-filing conference held under § 3020.111. The Postal Service shall be required to serve hard copies of its formal request and prepared direct evidence only upon those persons who have notified the Postal Service, in writing, during the pre-filing conference(s), that they do not have access to the Commission's website. § 3020.105 Motions. (a) In general. (2) Within five days after a motion is filed, or such other period as the Commission or presiding officer in any proceeding under this subpart may establish, any participant to the proceeding may file and serve an answer in support of or in opposition to the motion pursuant to subpart B to part 3010 of this chapter. Such an answer shall state with specificity the position of the participant with regard to the ruling or relief requested in the motion and the grounds and basis and statutory or other authority relied upon. Unless the Commission or presiding officer otherwise provides, no reply to an answer or any further responsive document shall be filed. (b) Motions to be excused from answering discovery requests. (2) An answer to a motion to be excused from answering a discovery request shall be filed within two days of the filing of the motion. The text of the discovery request and any answer previously provided by the Postal Service shall be included as an attachment to the answer. (3) Unless the Commission or presiding officer grants the motion to be excused from answering, the Postal Service shall answer the interrogatory, production request, or request for admission. Answers shall be filed in conformance with subpart B to part 3010 of this chapter within three days of the date on which a motion to be excused from answering is denied. (4) The Commission or presiding officer may impose such terms and conditions as are just and may, for good cause, issue a protective order, including an order limiting or conditioning interrogatories, requests for production, and requests for admission as justice requires to protect the Postal Service from undue annoyance, embarrassment, oppression, or expense. (c) Motions to strike. (d) Motions for leave to file surrebuttal testimony. §§ 3020.106-3020.109 [Reserved] § 3020.110 Procedural schedule. (a) Notice. (1) A deadline for notices of interventions; (2) The date(s) for the mandatory technical conference between the Postal Service, Commission staff, and interested parties; (3) The deadline for discovery on the Postal Service's direct case; (4) The deadline for responses to participant in discovery on the Postal Service's case; (5) The deadline for participants to confirm their intent to file a rebuttal case; (6) The date for filing participant rebuttal testimony, if any; (7) The dates for filing motions for leave to file surrebuttal testimony and answers thereto; (8) The date for filing surrebuttal, if any; (9) The date(s) for hearings on the Postal Service's direct case, rebuttal testimony, and surrebuttal testimony, if any; (10) The date for filing initial briefs; (11) The date for filing reply briefs; and (12) A deadline for issuance of an advisory opinion which is 90 days from the date of filing. (b) Changes for good cause. (c) Incomplete request. § 3020.111 Pre-filing requirements. (a) Pre-filing conference required. (b) Purpose. (c) Rationale for the proposal. (d) Notice. Federal Register, (e) Nature of conferences. (f) Noncompliance. (g) Informal meetings. § 3020.112 Filing of formal requests. Whenever the Postal Service determines to request that the Commission issue an advisory opinion on a proposed change in the nature of postal services subject to this subpart, the Postal Service shall file with the Commission a formal request for such an opinion in accordance with the requirements of subpart B to part 3010 of this chapter and § 3020.113. The request shall be filed not less than 90 days before the proposed effective date of the change in the nature of postal services involved. Within five days after the Postal Service has filed a formal request for an advisory opinion in accordance with this section, the Commission shall lodge a notice thereof for publication in the Federal Register [91 FR 20076, Apr. 15, 2026] § 3020.113 Contents of formal requests. (a) General requirements. (b) Specific information. (1) A detailed statement of the present nature of the postal services proposed to be changed and the change proposed; (2) The proposed effective date for the proposed change in the nature of postal services; (3) A full and complete statement of the reasons and basis for the Postal Service's determination that the proposed change in the nature of postal services is in accordance with and conforms to the policies of title 39, United States Code; (4) A statement that the Postal Service has completed the pre-filing conference(s) required by § 3020.111, including the time and place of each conference and a certification that the Postal Service has made a good faith effort to address concerns of interested persons about the Postal Service's proposal raised at the pre-filing conference(s); (5) The prepared direct evidence required by § 3020.114; (6) The name of an institutional witness capable of providing information relevant to the Postal Service's proposal that is not provided by other Postal Service witnesses; and (7) Confirmation that Postal Service witnesses, including its institutional witness, will be available for the mandatory technical conference provided for in § 3020.115. (c) Additional information. (d) Reliance on prepared direct evidence. § 3020.114 Filing of prepared direct evidence. As part of a formal request for an advisory opinion under this subpart, the Postal Service shall file all of the prepared direct evidence upon which it proposes to rely in the proceeding on the record before the Commission to establish that the proposed change in the nature of postal services is in accordance with and conforms to the policies of title 39, United States Code. Such prepared direct evidence shall be in the form of prepared written testimony and documentary exhibits which shall be filed in accordance with §§ 3010.322 and 3010.323 of this chapter. § 3020.115 Mandatory technical conference. (a) Date. (b) Witnesses. (c) Purpose. (d) Relation to discovery process. (e) Record. § 3020.116 Discovery—in general. (a) Purpose. (b) Informal discovery. (c) Failure to obey orders or rulings. (1) Direct that certain designated facts are established for the purposes of the proceeding; (2) Prohibit a participant from introducing certain designated matters in evidence; (3) Strike certain evidence, requests, pleadings, or parts thereof; or (4) Such other relief as the Commission deems appropriate. § 3020.117 Interrogatories. (a) Service and contents. (b) Answers. (2) Each interrogatory shall be answered separately and fully in writing by the individual responsible for the answer, unless it is objected to, in which event the reasons for objection shall be stated in a motion to be excused from answering in the manner prescribed by paragraph (c) of this section. (3) 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. (4) Answers filed by a respondent shall be filed in conformance with subpart B to part 3010 of this chapter within seven days of the filing of the interrogatories or within such other period as may be fixed by the Commission or presiding officer. Any other period fixed by the Commission or presiding officer shall end before the conclusion of the hearing. (c) Motion to be excused from answering. (d) Supplemental answers. § 3020.118 Production of documents. (a) Service and contents. (2) 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 items shall file its request with the Commission in conformance with part 3010, subpart B, of this chapter. (b) Answers. (2) If the respondent objects to an item or category, it shall state the reasons for objection in a motion to be excused from answering as prescribed by paragraph (c) of this section. (c) Motions to be excused from answering. § 3020.119 Admissions. (a) Service and content. (b) Answers. (2) If the answer filed by the respondent does not admit a matter asserted in the participant's request, it must either specifically deny the matter or explain in detail why it cannot truthfully admit or deny the asserted matter. When good faith requires, the respondent must admit a portion of the asserted matter and either deny or qualify the remaining portion of such asserted matter. Lack of knowledge for failing to admit or deny can be invoked only after reasonable inquiry if the information already possessed or reasonably obtainable is insufficient to enable an admission or denial. (3) Grounds for objection to requests for admission must be stated. Objections cannot be based solely upon the ground that the request presents a genuine issue for trial. (c) Motion to be excused from answering. § 3020.120 Rebuttal testimony. (a) Timing. (b) Limitations. (c) Intent to file rebuttal testimony. (d) Adjustment of dates. § 3020.121 Surrebuttal testimony. (a) Scope. (b) Motion for leave to file surrebuttal. (c) Deadline for filing surrebuttal authorized by the Commission. (d) Adjustment of procedural dates. § 3020.122 Hearings. (a) Initiation. (b) Presiding officer. en banc (c) Entering of appearances. (d) Order of procedure. (e) Presentation of the evidence Presentations by participants. (2) Written cross-examination. (3) Oral cross-examination. (f) Limitations on presentation of the evidence. (1) The number of witnesses to be heard upon any issue; (2) The examination by any participant to specific issues; and (3) The cross-examination of a witness to that required for a full and true disclosure of the facts necessary for exploration of the Postal Service's proposal, disposition of the proceeding, and the avoidance of irrelevant, immaterial, or unduly repetitious testimony. (g) Motions during hearing. (h) Rulings on motions. (i) Transcript corrections. (j) Field hearings. § 3020.123 Initial and reply 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 participant; (3) A clear, concise, and definitive statement of the position of the filing participant as to the Postal Service request; (4) A discussion of the evidence, reasons, and authorities relied upon with precise 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) Length. (d) Include by reference. (e) Excerpts from the record. (f) Filing and service. (g) Statements of Position. Appendix A to Part 3020—Pro Forma N-Case Procedural Schedule Line Action Day number 1 Pre-Filing Consultations 1 n/a. 2 Commission Order 2 n/a. 3 Filing of Postal Service Request 0. 4 Commission Notice and Order 3 1-3. 5 Technical Conference 10. 6 Participant Discovery on Postal Service Case Ends 28. 7 Responses to Participant Discovery on Postal Service Case 35. 8 Participants Confirm Intent to File a Rebuttal Case 37. 4 9 Filing of Rebuttal Cases (if submitted) 42. 10 Deadline for Motions to Leave to File Surrebuttal 44. 5 11 Deadline for Answers to Motions for Surrebuttal 46. 12 Filing of Surrebuttal Cases (if authorized) 49. 6 13 Hearings: Hearings (with no Rebuttal Cases) 42-44. Hearings (with Rebuttal Cases, but no requests for leave to file Surrebuttal Cases) 49-51. Hearings (with Rebuttal Cases and requests for leave to file Surrebuttal Cases) 54-56. 14 Initial Briefs (7 days after conclusion of hearings). 15 Reply Briefs (7 days after filing of Initial Briefs). 16 Target Issuance Date of Advisory Opinion 90. 1 2 3 4 5 6